UNESCO

SCIENCE
REPORT
Towards 2030

UNESCO
Publishing
United Nations
Educational, Scientic and
Cultural Organization
UNESCO
SCIENCE
REPORT
Towards 2030
Published in 2015 by the United Nations Educational,
Scientific and Cultural Organization
7, place de Fontenoy, 75352 Paris 07 SP, France

UNESCO 2015
Second revised edition 2016

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Original title: UNESCO Science Report: towards 2030

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 UNESCO
Publishing
United Nations
Educational, Scientific and
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UNESCO
SCIENCE
REPORT
Towards 2030
Report team
Director of the Publication: Internal Review Committee:
Flavia Schlegel, Assistant Director-General for Natural Sciences Salvatore Arico, Chiao-Ling Chien, Paulina Gonzales-Pose,
Gaith Fariz, Ernesto Fernandez Polcuch, Bhanu Neupane,
Editor-in-Chief:
Peggy Oti-Boateng, Rohan Pathirage, Jayakumar Ramasamy,
Susan Schneegans
Martin Schaaper and April Tash
Researcher/Editor:
Thanks go also to:
Deniz Ercal
Sonia Bahri, Alessandro Bello, Anathea Brooks, Isabelle
Statistical support: Brugnon, Andrea Gisselle Burbano Fuertes, Anne Candau,
Wilfried Amoussou-Gunou, Chiao-Ling Chien, Oula Hajjar, Alison Clayson, Natasha Lazic, Bassam Safeiddine, Natalia
Sirina Kerim-Dikeni, Luciana Marins, Rohan Pathirage, Tolochko, Carl Vannetelbosch and Rebecca Vella Muskat
Zahia Salmi and Martin Schaaper

Administrative assistants:
Ali Barbash and Edith Kiget Acknowledgments
Editorial Board:
UNESCO wishes to express its gratitude to Thomson Reuters
Zohra ben Lakhdar, Professor Emeritus of Physics, University of
for providing the data on publications used throughout
Tunis, Tunisia
the UNESCO Science Report, in the interests of stimulating a
Can Huang, Professor and Deputy Head of Department global debate on relevant policy issues. UNESCO also wishes
of Management, Science and Engineering at the School of to thank the Organization of Petroleum Exporting Countries
Management, Zhejiang University, Hangzhou, China Fund for International Development and the Swiss Federal
University of Lausanne for their financial support. UNESCO
Dong-Pil Min, Professor Emeritus of Seoul National University
also wishes to extend its thanks to the LOral Foundation for
and Member, Scientific Advisory Board to United Nations
sponsoring the chapter in the report entitled Is the gender
Secretary-General
gap narrowing in science and engineering?
Gabriela Dutrnit, Professor of Economics and Management of
Innovation, Autonomous Metropolitan University, Mexico A number of partners have also contributed to the
dissemination of the reports findings by sponsoring and/or
Fred Gault, Professorial Fellow, United Nations University
translating other language editions of the executive
MERIT, Netherlands
summary of the report. Thanks go to the Government of
Ousmane Kane, President of Steering Committee, National Flanders (French, Russian and Spanish editions), the Egyptian
Academy of Science and Technology of Senegal Academy of Scientific Research and Technology (Arabic
edition), the China Association for Science and Technology
Patarapong Intarakumnerd, Professor, National Graduate
(Chinese edition), the National Commissions for UNESCO of
Institute for Policy Studies, Japan
Austria, Germany, Luxembourg and Switzerland (German
Slavo Radosevic, Professor of Industry and Innovation Studies, edition) and the National Commission for UNESCO of Andorra
Acting Director, School of Slavonic and East European Studies, (Catalan edition).
University College, London
UNESCO also takes this opportunity to thank the partners who
J. Thomas Ratchford, former Associate Director for Policy and
have committed to producing editions of the full report in the
International Affairs at the White House Office of Science and
official languages of the United Nations.
Technology Policy, USA

Shuan Sadreghazi, Research fellow, Innovation Studies and

Development, United Nations UniversityMERIT, Netherlands

Yerbol Suleimenov, Deputy Chair, Science Committee of

Ministry of Education and Science, Kazakhstan

Peter Tindemans, Secretary-General, Euroscience

Cardinal Warde, Professor of Electrical Engineering,

Massachusetts Institute of Technology, USA

iv
Contents
Foreword xx
Irina Bokova, Director-General of UNESCO

Perspectives on emerging issues 1

Universities: increasingly global players 3

Patrick Aebischer, President, Ecole polytechnique fdrale de Lausanne, Switzerland

A more developmental approach to science 6

Bhanu Neupane, Programme Specialist, Communication Sector, UNESCO

Science will play a key role in realizing Agenda 2030 9

Opinion piece based on a policy brief prepared by the Scientific Advisory Board
of the Secretary-General of the United Nations

Science for a sustainable and just world: a new

framework for global science policy? 12
Heide Hackmann, International Council for Science
and Geoffrey Boulton, University of Edinburgh

Local and indigenous knowledge at the

sciencepolicy interface 15
Douglas Nakashima, Head, Local and Indigenous Knowledge Systems programme,
UNESCO

Global overview 19

01:  A world in search of an effective growth strategy 20

Luc Soete, Susan Schneegans, Deniz Ercal, Baskaran Angathevar
and Rajah Rasiah

02: Tracking trends in innovation and mobility 56

Elvis Korku Avenyo, Chiao-Ling Chien, Hugo Hollanders, Luciana Marins,
Martin Schaaper and Bart Verspagen

03:  Is the gender gap narrowing in science and

engineering? 84
Sophia Huyer

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UNESCO SCIENCE REPORT

A closer look at regions and countries 105

04: Canada 106

Paul Dufour

05: United States of America 128

Shannon Stewart and Stacy Springs

06: Caricom 156

 Harold Ramkissoon and Ishenkumba A. Kahwa

07: Latin America 174

 Guillermo A. Lemarchand

08: Brazil 210

 Renato Hyuda de Luna Pedrosa and Hernan Chaimovich

09: European Union 230

 Hugo Hollanders and Minna Kanerva

10: Southeast Europe 274

 Djuro Kutlaca

11: European Free Trade Association 296

 Hans Peter Hertig

12: Countries in the Black Sea basin 312

 Deniz Ercal and Igor Yegorov

13: Russian Federation 342

Leonid Gokhberg and Tatiana Kuznetsova

14: Central Asia 364

 Nasibakhon Mukhitdinova

15: Iran 388

Kioomars Ashtarian

16: Israel 408

 Daphne Getz and Zehev Tadmor

17: The Arab States 430

 Moneef R. Zoubi, Samia Mohamed-Nour, Jauad El-Kharraz and Nazar Hassan

18: West Africa 470

 George Essegbey, Nouhou Diaby and Almamy Konte

19: East and Central Africa 498

 Kevin Urama, Mammo Muchie and Remy Twiringiyimana

20: Southern Africa 534

 Erika KraemerMbula and Mario Scerri

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21: South Asia 566

 Dilupa Nakandala and Ammar Malik

22: India 598

Sunil Mani

23: China 620

 Cong Cao

24: Japan 642

 Yasushi Sato and Tateo Arimoto

25: Republic of Korea 660

 Deok Soon Yim and Jaewon Lee

26: Malaysia 676

 Rajah Rasiah and V.G.R. Chandran

27: Southeast Asia and Oceania 692

Tim Turpin, Jing A. Zhang, Bessie M. Burgos and Wasantha Amaradasa

Annexes 733

01: Composition of regions and subregions 734

02: Glossary 738

03: Statistical annex 743

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Illustrations
Chapter 1: A world in search of an effective growth strategy
Table 1.1: World trends in population and GDP..................................................................................................................................................................................... 25
Table 1.2: World shares of expenditure on R&D, 2007, 2009, 2011 and 2013 .................................................................................................................. 26
Table 1.3: World shares of researchers, 2007, 2009, 2011 and 2013 ....................................................................................................................................... 32
Table 1.4: World shares of scientific publications, 2008 and 2014 ........................................................................................................................................... 36
Table 1.5: Patents submitted to USPTO, 2008 and 2013 ................................................................................................................................................................. 38
Table 1.6: Internet users per 100 population, 2008 and 2013 ..................................................................................................................................................... 43

Figure 1.1: GERD financed by government as a share of GDP, 20052013 (%) ................................................................................................................. 28
Figure 1.2: GERD performed by business enterprises as a share of GDP, 20052013 (%) ......................................................................................... 29
Figure 1.3: Mutually reinforcing effect of strong government investment in R&D and researchers, 20102011 .................................... 31
Figure 1.4: Long-term growth of tertiary-level international students worldwide, 19752013 ........................................................................... 34
Figure 1.5: Trends in scientific publications worldwide, 2008 and 2014 ............................................................................................................................... 37
Figure 1.6: Trends in triadic patents worldwide, 2002, 2007 and 2012 .................................................................................................................................. 39
Figure 1.7: World shares of GDP, GERD, and publications for the G20, 2009 and 2013 (%) ..................................................................................... 40

Chapter 2: Tracking trends in innovation and mobility

Box 2.1: European companies rate countries attractiveness for relocating their R&D ......................................................................................... 63
Box 2.2: Innovation in the BRICS ................................................................................................................................................................................................................... 71

Table 2.1: Sectorial distribution of knowledge-related FDI projects, 20032014 ......................................................................................................... 65

Table 2.2: Highly important sources of information for firms ..................................................................................................................................................... 72
Table 2.3: Partners with which firms co-operate in innovation .................................................................................................................................................. 73

Figure 2.1: Trends in business R&D, 20012011 ...................................................................................................................................................................................... 58

Figure 2.2: Types of innovator around the world ................................................................................................................................................................................... 61
Figure 2.3: Innovation rate of firms in the BRICS ..................................................................................................................................................................................... 62
Figure 2.4: Most attractive countries for business R&D according to EU firms, 2014 ................................................................................................... 63
Figure 2.5: Trend in number of projects in the FDI Markets database, 20032014......................................................................................................... 64
Figure 2.6: Trends in knowledge-related FDI projects, 20032014 ........................................................................................................................................... 66
Figure 2.7: Firms with in-house or external R&D among surveyed countries .................................................................................................................... 70
Figure 2.8: Profile of the type of innovation done by firms in BRICS countries ................................................................................................................ 71
Figure 2.9: Firms linkages with universities and related institutions ...................................................................................................................................... 74
Figure 2.10: Outbound mobility ratio among doctoral students, 2000 and 2013 ............................................................................................................. 76
Figure 2.11: Distribution of international students, 2012 .................................................................................................................................................................... 77
Figure 2.12: Preferred destinations of international doctoral students, 2012 ...................................................................................................................... 78
Figure 2.13: Main clusters of international student mobility, 2012 .............................................................................................................................................. 80
Figure 2.14: Percentage of national citizens with a doctorate who lived abroad in the past ten years, 2009 .............................................. 81
Figure 2.15: Percentage of foreign doctorate-holders in selected countries, 2009 .......................................................................................................... 81

Chapter 3: Is the gender gap narrowing in science and engineering?

Box 3.1: Explore the data.................................................................................................................................................................................................................................. 100
Box 3.2: The CGIAR: advancing the careers of women in global research.................................................................................................................... 101

Table 3.1: Female researchers by field of science, 2013 or closest year (%)....................................................................................................................... 87
Table 3.2: Share of female tertiary graduates in four selected fields, 2013 or closest year (%)............................................................................ 92

Figure 3.1: The leaky pipeline: share of women in higher education and research, 2013 (%)................................................................................ 86

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Figure 3.2: Share of female researchers by country, 2013 or closest year (%)..................................................................................................................... 88
Figure 3.3: Share of women in selected South African institutions, 2011(%)...................................................................................................................... 90
Figure 3.4: Share of women among researchers employed in the business enterprise sector, 2013 or closest year (%).................... 96

Chapter 4: Canada
Box 4.1: Canada, China and Israel to share agro-incubator..................................................................................................................................................... 113
Box 4.2: Genomics is a growing priority for Canada..................................................................................................................................................................... 120
Box 4.3: The Canadian public has a positive attitude towards science.......................................................................................................................... 123

Table 4.1: GERD intentions in Canada by performing sector and source of funds, 2013 and 2014 (%)...................................................... 109
Table 4.2: R&D personnel in Canada by sector, 20082012........................................................................................................................................................ 110
Table 4.3: Canadian federal S&T spending by socio-economic objective, 20112013............................................................................................ 116
Table 4.4: Canadas federal priorities for 2007 and 2014............................................................................................................................................................... 117
Table 4.5: Networks of centres of excellence in Canada by sector, 2014.......................................................................................................................... 125

Figure 4.1: GERD/GDP ratio in Canada, 20002013 (%).................................................................................................................................................................... 107

Figure 4.2: GERD in Canada by funding sector, 20032013.......................................................................................................................................................... 108
Figure 4.3: Business expenditure on R&D in Canada and other OECD countries as a share of GDP, 2013 or closest year (%)..... 109
Figure 4.4: Canadas strengths in S&T, industrial R&D and economics................................................................................................................................. 110
Figure 4.5: Scientific publication trends in Canada, 20052014................................................................................................................................................ 114
Figure 4.6: Major Canadian federal science departments and agencies............................................................................................................................. 116
Figure 4.7: Canadian expenditure on energy-related industrial R&D, 20092012....................................................................................................... 119
Figure 4.8: Doctoral graduates in Canada and other OECD countries, 2012.................................................................................................................... 122
Figure 4.9: Spending on R&D in higher education in Canada and other OECD countries as a share of GDP, 2013 (%).................... 122

Chapter 5: United States of America

Box 5.1: The Accelerating Medicines Partnership.......................................................................................................................................................................... 134
Box 5.2: Industrial trends in the USA in life sciences.................................................................................................................................................................... 136
Box 5.3: The rise (and fall?) of patent trolls.......................................................................................................................................................................................... 146

Chapter 1
Box 5.4: American billionaires driving more R&D........................................................................................................................................................................... 149

Table 5.1: Parameters of the Accelerated Medicines Partnership, 2014............................................................................................................................ 134

Figure 5.1: GDP per capita, GDP growth and public sector deficit in the USA, 20062015.................................................................................... 129
Figure 5.2: GERD/GDP ratio in the USA, 20022013 (%).................................................................................................................................................................. 130
Figure 5.3: Distribution of GERD in the USA by source of funds, 20052012................................................................................................................... 130
Figure 5.4: R&D budget by US agency, 19942014............................................................................................................................................................................. 138
Figure 5.5: Proportional allocation of federal R&D spending in the USA by discipline, 19942011 (%)....................................................... 140
Figure 5.6: Science and engineering in the USA by state, 2010................................................................................................................................................. 142
Figure 5.7: Survival rate of US start-ups, 19772012 ......................................................................................................................................................................... 143
Figure 5.8: Patents in force in the USA, 2005 and 2013.................................................................................................................................................................... 147
Figure 5.9: Triadic patents of the USA in the USPTO database, 20022012...................................................................................................................... 147
Figure 5.10: High-tech exports from the USA as a world share, 20082013 (%)............................................................................................................... 148
Figure 5.11: Scientific publication trends in the USA, 20052014............................................................................................................................................... 150

Chapter 6: Caricom
Box 6.1: The Tropical Medicine Research Institute: an oasis in a public policy desert......................................................................................... 167
Box 6.2: Bio-Tech R&D Institute Ltd: adding value to local medicinal plants............................................................................................................. 169

Table 6.1: Socio-economic indicators for CARICOM countries, 2014 or closest year................................................................................................ 157
Table 6.2: Overview of STI governance in CARICOM countries, 2015.................................................................................................................................. 162

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Figure 6.1: Economic growth in CARICOM countries, 20022013 (%)................................................................................................................................... 158

Figure 6.2: GDP by economic sector in the CARICOM countries, 2012................................................................................................................................. 159
Figure 6.3: Probability of a hurricane striking Caribbean countries in a given year, 2012 (%)............................................................................. 159
Figure 6.4: Electricity costs for the CARICOM countries, 2011..................................................................................................................................................... 160
Figure 6.5: GERD by sector of performance in Trinidad and Tobago, 20002011........................................................................................................ 163
Figure 6.6: Public expenditure on education, 2012 or closest year......................................................................................................................................... 165
Figure 6.7: Gender breakdown of staff at University of the West Indies, 2009/2010 academic year. By level of appointment... 167
Figure 6.8: Refereed articles by Caribbean scientists, by institution, 20012013.......................................................................................................... 168
Figure 6.9: Scientific publication trends in the CARICOM countries, 20052014.......................................................................................................... 170
Figure 6.10: USPTO patents granted to Caribbean countries, 2008-2013............................................................................................................................. 172
Figure 6.11: High-tech exports by CARICOM countries, 20082013.......................................................................................................................................... 172

Chapter 7: Latin America

Box 7.1: Tenaris: a corporate university building industrial skills in-house ................................................................................................................ 184
Box 7.2: Towards a common knowledge area for Europe and Latin America........................................................................................................... 188
Box 7.3: A growing policy interest in indigenous knowledge in Latin America....................................................................................................... 193
Box 7.4: Ikiam: a university in the heart of the Amazon............................................................................................................................................................. 204

Table 7.1: Inventory of operational STI policy instruments in Latin America, 20102015.................................................................................... 180
Table 7.2: Scientific articles on indigenous knowledge systems, 19902014................................................................................................................ 192
Table 7.3: Percentage of manufacturing firms in Latin America engaged in innovation...................................................................................... 195
Table 7.4: National space agencies and main national space technology suppliers in Latin America........................................................ 198
Table 7.5: Existing regulatory policies and fiscal incentives in Latin America for renewable energy, 2015............................................. 199
Table 7.6: Institutions in Latin America and the Caribbean with the most scientific publications, 20102014.................................... 206

Figure 7.1: Trends in GDP growth in Latin America, 20052009 and 20102014......................................................................................................... 175
Figure 7.2: Relation between governance indicators and scientific productivity in Latin America, 2013................................................... 176
Figure 7.3: Technological intensity of Latin American exports, 2013..................................................................................................................................... 178
Figure 7.4: Trends in higher education in Latin America, 19962013.................................................................................................................................... 182
Figure 7.5: Researchers (FTE) in Latin America, 19962013........................................................................................................................................................... 184
Figure 7.6: Researchers (FTE) in Latin America per thousand labour force, 2012.......................................................................................................... 185
Figure 7.7: Trends in GERD in Latin America and the Caribbean, 20062014 (%)......................................................................................................... 186
Figure 7.8: Scientific publication trends in Latin America and the Caribbean, 20052014.................................................................................... 189
Figure 7.9: Patent applications and grants in Latin America, 20092013........................................................................................................................... 194

Chapter 8: Brazil
Box 8.1: The Brazilian Institute for Pure and Applied Mathematics.................................................................................................................................. 212
Box 8.2: The Brazilian Centre for Research in Energy and Materials................................................................................................................................. 213
Box 8.3: Science without Borders............................................................................................................................................................................................................... 215
Box 8.4: Company investment in energy efficiency a legal obligation in Brazil................................................................................................... 221
Box 8.5: Innovation made in Brazil: the case of Natura.............................................................................................................................................................. 222
Box 8.6: The So Paulo Research Foundation: a sustainable funding model............................................................................................................. 228

Table 8.1: Invention patents granted to Brazilians by USPTO, 20042008 and 20092013................................................................................ 224

Figure 8.1: GDP per capita and GDP growth rate for Brazil, 20032013............................................................................................................................... 211
Figure 8.2: PhD degrees obtained in Brazil, 20052013................................................................................................................................................................... 215
Figure 8.3: GERD in Brazil by funding sector, 20042012............................................................................................................................................................... 217
Figure 8.4: Brazilian business sectors contribution to GERD as a share of GDP, 2012 (%)...................................................................................... 217
Figure 8.5: Share of Brazilian FTE researchers per 1 000 labour force, 2001 and 2011 (%)..................................................................................... 218
Figure 8.6: FTE researchers in Brazil by sector, 2001 and 2011 (%).......................................................................................................................................... 218

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Figure 8.7: Government expenditure on R&D in Brazil by socio-economic objective, 2012 (%)........................................................................ 220
Figure 8.8: Electricity generation by type in Brazil, 2015................................................................................................................................................................. 221
Figure 8.9: Scientific publication trends in Brazil, 20052014..................................................................................................................................................... 223
Figure 8.10: Relative intensity of publications versus patenting in Brazil, 20092013................................................................................................. 224
Figure 8.11: Relative impact of scientific publications from So Paulo and Brazil, 20002013.............................................................................. 225
Figure 8.12: Relative shares of Brazilian states for investment in science and technology....................................................................................... 226

Chapter 9: European Union

Box 9.1: The European Research Council: the first pan-European funding body for frontier research................................................... 250
Box 9.2: Galileo: a future rival for GPS..................................................................................................................................................................................................... 256
Box 9.3: Germanys strategy for the fourth industrial revolution........................................................................................................................................ 264
Box 9.4: The Ogden Trust: philanthropy fostering physics in the UK............................................................................................................................... 268
Box 9.5: What impact would a Brexit have on European research and innovation?............................................................................................. 269

Table 9.1: Population, GDP and unemployment rates in the EU, 2013............................................................................................................................... 231
Table 9.2: GERD/GDP ratio in the EU28 in 2009 and 2013 and targets to 2020 (%)................................................................................................... 236
Table 9.3: The global top 50 companies by R&D volume, 2014............................................................................................................................................... 239
Table 9.4: Top 40 EU companies for R&D, 20112013..................................................................................................................................................................... 240
Table 9.5: EUs relative position in the global top 2 500 R&D companies, 2013........................................................................................................... 240
Table 9.6: EU and US companies in selected R&D-intensive sectors, 2013...................................................................................................................... 241
Table 9.7: Progress by EU member states on Innovation Union commitments as of 2015.................................................................................. 243
Table 9.8: Structure and budget of Horizon 2020, 20142020................................................................................................................................................. 247
Table 9.9: Number of projects within Seventh Framework Programme related to sustainable development, 20072013..........248
Table 9.10: Key indicators for measuring progress towards Europe 2020 objectives for societal challenges........................................... 249
Table 9.11: EU member states performance in calls for research proposals within Seventh Framework Programme, 20072013.. 252
Table 9.12: EU government budget appropriation for R&D by socio-economic objective, 2013 (%)............................................................. 254

Figure 9.1: Government debt to GDP ratio for selected EU countries, 20082013 (%)............................................................................................. 232
Figure 9.2: Recession periods in the European Union, 20082014.......................................................................................................................................... 233
Figure 9.3: GERD by source of funds and performing sector, 2013 or latest available year (%).......................................................................... 237
Figure 9.4: BERD as a share of GDP in the EU, 2005 and 2013 (%)............................................................................................................................................ 238
Figure 9.5: Employment by R&D intensity, 2005 and 2013 (%)................................................................................................................................................... 241
Figure 9.6: Innovation performance of EU regions, 2004 and 2010........................................................................................................................................ 242
Figure 9.7: Grants by the European Research Council, 2013........................................................................................................................................................ 251
Figure 9.8: Uptake of STI activities by new EU member states, 20042013....................................................................................................................... 257
Figure 9.9: Scientific publicationation trends in the European Union, 20052014...................................................................................................... 258
Figure 9.10: Publication profiles in the European Union, 20082014....................................................................................................................................... 260
Figure 9.11: Publication performance in the European Union, 20082014.......................................................................................................................... 261

Chapter 10: Southeast Europe

Box 10.1: The Western Balkans first innovation strategy............................................................................................................................................................ 275
Box 10.2: Southeast Europe defines its energy future................................................................................................................................................................... 276
Box 10.3: A first incubator in Croatia for bioscience start-ups................................................................................................................................................. 288

Table 10.1: Key socio-economic indicators for Southeast Europe, 2008 and 2013....................................................................................................... 273
Table 10.2: Global competitiveness in Southeast Europe, 20122014.................................................................................................................................. 279
Table 10.3: Capacity of Southeast Europe to retain and attract talent, 2014.................................................................................................................... 279
Table 10.4: Researchers in Southeast Europe (HC) per million inhabitants by gender, 2005 and 2012......................................................... 281
Table 10.5: Researchers in Southeast Europe (HC) by field and gender, 2012................................................................................................................. 281
Table 10.6: Patents, publications and royalty payments in Southeast Europe, 20022010................................................................................... 282

Figure 10.1: GERD/GDP ratio in Southeast Europe, 20032013 (%)........................................................................................................................................... 278

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Figure 10.2: GERD per capita in Southeast Europe, 2013 (%).......................................................................................................................................................... 278
Figure 10.3: GERD in Southeast Europe by source of funds, 2013 (%)...................................................................................................................................... 278
Figure 10.4: Growth in number of tertiary graduates in Southeast Europe, 20052012............................................................................................. 280
Figure 10.5: Number of researchers in Southeast Europe, 2008 and 2013........................................................................................................................... 280
Figure 10.6: Researchers (FTE) in Southeast Europe by sector of employment, 2013 (%)......................................................................................... 282
Figure 10.7: USPTO patents granted to Southeast European countries, 20052008 and 20092012.............................................................. 282
Figure 10.8: Scientific publication trends in Southeast Europe, 20052014........................................................................................................................ 283

Chapter 11: European Free Trade Association

Box 11.1: Arctic research in Svalbard.......................................................................................................................................................................................................... 305
Box 11.2: A vote on immigration ricochets on Swiss science................................................................................................................................................... 308
Box 11.3: Swissnex: a Swiss formula for science diplomacy....................................................................................................................................................... 309

Table 11.1: International comparisons for EFTA countries in science, 2014 or closest year................................................................................... 300

Figure 11.1: Trends in GDP per capita in EFTA countries, 20002013....................................................................................................................................... 298
Figure 11.2: GERD in EFTA countries by source of funds, 2007 and 2013 or closest years (%)............................................................................... 299
Figure 11.3: Scientific publication trends in EFTA countries, 20052014............................................................................................................................... 302
Figure 11.4: GDP in EFTA countries by economic sector, 2013 or closest year (%)......................................................................................................... 304
Figure 11.5: Researchers (FTE) in EFTA countries by sector of employment, 2008 and 2013 or closest years (%)................................... 304
Figure 11.6: GERD in EFTA countries by type of research, 2012 or nearest year (%)...................................................................................................... 306

Chapter 12: Countries in the Black Sea basin

Box 12.1: The Organization of the Black Sea Economic Cooperation................................................................................................................................. 314
Box 12.2: Two publicprivate partnerships in Armenias ICT sector.................................................................................................................................... 324
Box 12.3: Time to assess the impact of Turkish technoparks.................................................................................................................................................... 335
Box 12.4: A first for Ukraine: the Key Laboratory................................................................................................................................................................................ 338

Table 12.1: Socio-economic trends in the Black Sea countries.................................................................................................................................................... 313

Table 12.2: Tertiary education in the Black Sea countries............................................................................................................................................................... 316
Table 12.3: High-tech merchandise exports by Black Sea countries, 2008 and 2013.................................................................................................. 321
Table 12.4: Patent applications from Black Sea countries, 20012012.................................................................................................................................. 321
Table 12.5: Key development targets for Turkey to 2018 and 2023......................................................................................................................................... 333

Figure 12.1: Government expenditure on education, as a percentage of GDP (%) in Black Sea countries, 2012 or closest year........ 316
Figure 12.2: Trends in researchers from the Black Sea countries, 20012013.................................................................................................................... 317
Figure 12.3: GERD/GDP ratio for the Black Sea countries, 20012013...................................................................................................................................... 318
Figure 12.4: GDP per capita and GERD/GDP ratio in the Black Sea countries, 20102013 (average)................................................................. 319
Figure 12.5: GERD in the Black Sea region by sector of performance, 2005 and 2013................................................................................................. 320
Figure 12.6: Scientific publication trends in the Black Sea countries, 20052014........................................................................................................... 322
Figure 12.7: Budget breakdown of Moldovas state programmes for R&D, by thematic priority, 2012 (%).................................................. 332

Chapter 13: Russian Federation

Box 13.1: Skolkovo Innovation Centre: a temporary tax haven near Moscow............................................................................................................. 354
Box 13.2: Reform of the Academy of Sciences..................................................................................................................................................................................... 356

Table 13.1: Economic indicators for the Russian Federation, 20082013............................................................................................................................ 343
Table 13.2: Objectives and quantitative targets to 2018 of the May 2012 presidential decrees......................................................................... 345

Figure 13.1: Trends in GERD in the Russian Federation, 20032013.......................................................................................................................................... 346

Figure 13.2: Scientific publication trends in the Russian Federation, 20052014............................................................................................................ 349

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Figure 13.3: Public expenditure on education in Russia, 2005, 2008 and 2013................................................................................................................. 351
Figure 13.4: Breakdown of R&D units in the Russian Federation by type and personnel, 2013 (%)................................................................... 355
Figure 13.5: Nanotechnology patents in the Russian Federation, 20112015................................................................................................................... 357

Chapter 14: Central Asia

Box 14.1: Three neighbourhood schemes.............................................................................................................................................................................................. 368
Box 14.2: The Caspian Energy Hub............................................................................................................................................................................................................... 377
Box 14.3: An international research university for Kazakhstan................................................................................................................................................ 378
Box 14.4: Turkmenistans Sun Institute..................................................................................................................................................................................................... 383
Box 14.5: Uzbek and US scientists add economic value to cotton fibre........................................................................................................................... 386

Table 14.1: PhDs obtained in science and engineering in Central Asia, 2013 or closest year............................................................................... 369
Table 14.2: Central Asian researchers by field of science and gender, 2013 or closest year.................................................................................. 370
Table 14.3: Kazakhstans development targets to 2050................................................................................................................................................................... 376
Table 14.4: Uzbekistans most active research organizations, 2014......................................................................................................................................... 385

Figure 14.1: GDP growth trends in Central Asia, 20002013 (%)................................................................................................................................................. 365
Figure 14.2: GDP in Central Asia by economic sector, 2005 and 2013 (%)............................................................................................................................ 367
Figure 14.3: Trends in GERD/GDP ratio in Central Asia, 20012013.......................................................................................................................................... 367
Figure 14.4: Central Asian researchers by field of science, 2013 (%).......................................................................................................................................... 370
Figure 14.5: Central Asian researchers by sector of employment (HC), 2013 (%)............................................................................................................. 371
Figure 14.6: Scientific publication trends in Central Asia, 20052014...................................................................................................................................... 372

Chapter 15: Iran

Box 15.1: Automobiles dominate Iranian industry........................................................................................................................................................................... 399
Box 15.2: The ups and downs of Irans pharmaceutical industry........................................................................................................................................... 401
Box 15.3: The Royan Institute: from infertility treatments to stem cell research........................................................................................................ 402

Table 15.1: Key targets for education and research in Iran to 2025......................................................................................................................................... 393
Table 15.2: Government outlay for R&D in Iran by major agency, 2011............................................................................................................................... 400
Table 15.3: Growth in Irans science and technology parks, 20102013.............................................................................................................................. 403

Figure 15.1: Scientific publication trends in Iran, 20052014......................................................................................................................................................... 390

Figure 15.2: Students enrolled in Iranian universities in Iran, 2007 and 2013..................................................................................................................... 396
Figure 15.3: PhD graduates in Iran by field of study and gender, 2007 and 2012........................................................................................................... 396
Figure 15.4: Focus of Iranian firms by type of research, 2006 and 2011 (%)......................................................................................................................... 398
Figure 15.5: Trends in nanotechnology in Iran.......................................................................................................................................................................................... 404

Chapter 16: Israel

Box 16.1: Israeli Centres of Research Excellence................................................................................................................................................................................ 415
Box 16.2: Israel launches cyber security initiative............................................................................................................................................................................. 419
Box 16.3: Natural gas: a chance to develop technologies and markets............................................................................................................................ 422

Table 16.1: FDI inflows to Israel and outflows, 20092013............................................................................................................................................................. 410

Table 16.2: Characteristics of Israels civilian labour force, 2013................................................................................................................................................ 411
Table 16.3: Grants by the Israeli Office of the Chief Scientist, by R&D programme, 20082013, NIS............................................................... 421

Figure 16.1: GDP per capita in Israel, 20092013..................................................................................................................................................................................... 409

Figure 16.2: Trends in Israels GERD/GDP ratio, 20062013............................................................................................................................................................. 410
Figure 16.3: Employment targets to 2020 for Israeli minorities.................................................................................................................................................... 411
Figure 16.4: Annual output per employee in Israel, 20002010................................................................................................................................................... 412

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Figure 16.5: GERD in Israel by funding and performing sectors, 2007 and 2011 (%)..................................................................................................... 413
Figure 16.6: Israeli government outlay for R&D by major socio-economic objective, 2007, 2010 and 2013 (%)...................................... 413
Figure 16.7: GERD in Israel by type of research, 2006 and 2013 (%)........................................................................................................................................... 414
Figure 16.8: Share of women among Israeli university students (2013) and senior academic staff (2011) (%).......................................... 414
Figure 16.9: University graduates in Israel, by field of study, 2006/2007 and 2012/2013.......................................................................................... 416
Figure 16.10: Education spending in Israel as a share of GDP, 20022011 (%) .................................................................................................................... 417
Figure 16.11: Scientific publication trends in Israel, 20052014...................................................................................................................................................... 418
Figure 16.12: Venture capital raised by Israeli funds, 2013.................................................................................................................................................................. 424
Figure 16.13: Domestic and foreign patent applications to the Israel Patent Office, 19962012........................................................................... 425
Figure 16.14: Israeli patent applications filed with USPTO, 20022012..................................................................................................................................... 425

Chapter 17: The Arab States

Box 17.1: Upgrading the Suez Canal........................................................................................................................................................................................................... 432
Box 17.2: Matching university curricula to market needs........................................................................................................................................................... 437
Box 17.3: SESAME project soon to light up the region.................................................................................................................................................................. 452
Box 17.4: Morocco plans to lead Africa in renewables by 2020.............................................................................................................................................. 458
Box 17.5: Fellowships for budding inventors from the Gulf...................................................................................................................................................... 461
Box 17.6: Masdar City: a greenprint for the city of the future................................................................................................................................................ 464
Box 17.7: Dubai to print its first 3D building....................................................................................................................................................................................... 465

Table 17.1: Socio-economic indicators for the Arab States, 2008 and 2013...................................................................................................................... 434
Table 17.2: Arab researchers (HC) by field of employment, 2013 or closest year (%).................................................................................................. 441
Table 17.3: Arab tertiary graduates in science, engineering and agriculture, 2012 or closest year.................................................................. 441
Table 17.4: Share of Arab female graduates in science, engineering and agriculture, 2014 or closest year (%)..................................... 442
Table 17.5: Patent applications in Arab states, 20102012............................................................................................................................................................ 443
Table 17.6: Libyan targets for STI to 2040................................................................................................................................................................................................... 455

Figure 17.1: Military expenditure in selected Arab states as a % of GDP, 20062013................................................................................................... 433
Figure 17.2: Estimated oil price needed to balance the government budget in OPEC member states, 2014............................................ 435
Figure 17.3: GDP per economic sector in the Arab world, 2013 or closest year................................................................................................................ 436
Figure 17.4: FDI inflow to selected Arab economies as a share of GDP, 20062013 (%)............................................................................................. 436
Figure 17.5: GERD/GDP ratio in the Arab world, 2009 and 2013 or closest years (%).................................................................................................... 439
Figure 17.6: Arab researchers and technicians (FTE) per million inhabitants, 2013 or closest year.................................................................... 440
Figure 17.7: Share of women Arab researchers, 2013 (%)................................................................................................................................................................. 440
Figure 17.8: Arab government expenditure on education as a share of GDP (%)............................................................................................................ 442
Figure 17.9: High-tech exports from the Arab world, 2006, 2008, 2010 and 2012.......................................................................................................... 443
Figure 17.10: Scientific publication trends in the Arab States, 20052014.............................................................................................................................. 444
Figure 17.11: Internet access and mobile phone subscriptions in Arab states, 2013....................................................................................................... 448
Figure 17.12: Egyptian student enrolment in public universities, 2013 (%)............................................................................................................................ 449
Figure 17.13: Distribution of research grants by the Lebanese National Council for Scientific Research, 20062010 (%).................... 454

Chapter 18: West Africa

Box 18.1: The African Biosafety Network of Expertise.................................................................................................................................................................... 475
Box 18.2: An African Economic Community by 2028..................................................................................................................................................................... 477
Box 18.3: The West Africa Institute............................................................................................................................................................................................................... 478
Box 18.4: Taxing business to upgrade tertiary education in Nigeria................................................................................................................................... 493

Table 18.1: The African Centres of Excellence Project, 2014.......................................................................................................................................................... 474

Table 18.2: The WAEMU Centres of Excellence, 2012......................................................................................................................................................................... 474
Table 18.3: Gross enrolment in ECOWAS countries, 2009 and 2012 (%)............................................................................................................................... 479
Table 18.4: Tertiary enrolment in West Africa, 2007 and 2012 or nearest available year.......................................................................................... 480
Table 18.5: Researchers (FTE) in West Africa, 2012 or closest year............................................................................................................................................ 481

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 Illustrations

Figure 18.1: Economic growth in West Africa, 20052013 (%)....................................................................................................................................................... 471

Figure 18.2: Top three export products in Africa, 2012....................................................................................................................................................................... 473
Figure 18.3: West African PhD students enrolled in S&T fields by gender, 2007 and 2012 or closest year.................................................... 480
Figure 18.4: GERD/GDP ratio in West Africa, 2011 or closest year (%)...................................................................................................................................... 481
Figure 18.5: GERD in Ghana and Senegal by sector of performance, 2010........................................................................................................................... 481
Figure 18.6: Scientific publication trends in West Africa, 20052014....................................................................................................................................... 484
Figure 18.7: Priority sectors of Cte dIvoires National Development Plan to 2015........................................................................................................ 487

Chapter 19: East and Central Africa

Box 19.1: Networks of centres of excellence in biosciences...................................................................................................................................................... 506
Box 19.2: African centres of excellence in biomedical sciences.............................................................................................................................................. 516
Box 19.3: ActivSpaces and CiHub: giving start-ups a head-start in Cameroon............................................................................................................ 517
Box 19.4: Konza Technology City, Kenyas Silicon Savannah.................................................................................................................................................. 523
Box 19.5: Geothermal energy for Kenyas development.............................................................................................................................................................. 524
Box 19.6: The Presidential Innovations Fund in Uganda.............................................................................................................................................................. 529

Table 19.1: Socio-economic indicators for sub-Saharan Africa, 2014 or closest year.................................................................................................. 500
Table 19.2: Investment priorities in sub-Saharan Africa, 2013 or closest year.................................................................................................................. 504
Table 19.3: Gross enrolment ratio for education in East and Central Africa, 2012 or closest year..................................................................... 510
Table 19.4: Tertiary enrolment by level of programme in sub-Saharan Africa, 2006 and 2012 or closest years...................................... 511
Table 19.5: GERD in sub-Saharan Africa, 2011......................................................................................................................................................................................... 513
Table 19.6: University graduates in Rwanda, 2012/2013................................................................................................................................................................. 526

Figure 19.1: Top 12 crude oil-producing countries in Africa, 2014............................................................................................................................................. 501

Figure 19.2: Composition of GDP in sub-Saharan Africa by economic sector, 2013 (%)............................................................................................. 502
Figure 19.3: Women researchers in sub-Saharan Africa, 2013 or closest year (%)........................................................................................................... 508
Figure 19.4: Technology hubs in East and Central Africa, 2014..................................................................................................................................................... 509
Figure 19.5: Science and engineering students in Cameroon and Ethiopia, 2010.......................................................................................................... 510
Figure 19.6: GERD in sub-Saharan Africa by field of science, 2012 or closest year (%)................................................................................................. 512
Figure 19.7: Researchers in sub-Saharan Africa per million inhabitants (HC), 2013 or closest year.................................................................... 513
Figure 19.8: Scientific publication trends in East and Central Africa, 20052014............................................................................................................. 514
Figure 19.9: GERD/GDP ratio in East and Central Africa, 2013, or closest year (%).......................................................................................................... 521
Figure 19.10: Breakdown of priority areas for Rwandas Economic Transformation to 2018....................................................................................... 525

Chapter 20: Southern Africa

Box 20.1 The Gaborone Declaration for Sustainability in Africa............................................................................................................................................ 540
Box 20.2: The Malawi Innovation Challenge Fund........................................................................................................................................................................... 551
Box 20.3: South Africa wins bid to host radio telescope.............................................................................................................................................................. 557
Box 20.4: A network of African Institutes for Mathematical Sciences................................................................................................................................. 558
Box 20.5: Challenges facing Tanzanias bio-industry...................................................................................................................................................................... 560
Box 20.6: Simple technology brings Maasai better homes........................................................................................................................................................ 561

Table 20.1: Social landscape of Southern Africa..................................................................................................................................................................................... 536

Table 20.2: Economic landscape of Southern Africa........................................................................................................................................................................... 537
Table 20.3: STI planning in SADC countries............................................................................................................................................................................................... 541
Table 20.4: KEI and KI rankings for 13 SADC countries, 2012........................................................................................................................................................ 543
Table 20.5: Status of national innovation systems in the SADC region................................................................................................................................. 546
Table 20.6: South Africas bilateral scientific co-operation in Africa, 2015.......................................................................................................................... 556
Table 20.7: International trade by the SADC in high-tech products, 20082013, in US$ millions...................................................................... 557

Figure 20.1: Public expenditure on education in Southern Africa as a share of GDP, 2012 or closest year (%).......................................... 536
Figure 20.2: GDP in SADC countries by economic sector, 2013 or closest year................................................................................................................. 538

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Figure 20.3: GERD/GDP ratio in Southern Africa, 2012 or closest year..................................................................................................................................... 541
Figure 20.4: Researchers (HC) in Southern Africa per million inhabitants, 2013 or closest year............................................................................ 542
Figure 20.5: Women researchers (HC) in Southern Africa, 2012 or closest year................................................................................................................ 543
Figure 20.6: Scientific publication trends in SADC countries, 20052014............................................................................................................................. 544

Chapter 21: South Asia

Box 21.1: The South Asian University: shared investment, shared benefits................................................................................................................... 569
Box 21.2: South Asia Regional Youth Grant competitions.......................................................................................................................................................... 572
Box 21.3: Quality higher education for Bangladesh........................................................................................................................................................................ 581
Box 21.4: Agricultural technology to boost productivity in Bangladesh.......................................................................................................................... 583
Box 21.5: Using ICTs to foster collaborative learning in Bhutan............................................................................................................................................. 584
Box 21.6: An app tracks a dengue outbreak in Pakistan............................................................................................................................................................... 589
Box 21.7: Developing smart industry through the Sri Lanka Institute of Nanotechnology................................................................................ 594

Table 21.1: Tertiary enrolment in Bangladesh, Pakistan and Sri Lanka, 2009 and 2012 or closest years....................................................... 571
Table 21.2: University enrolment in Bangladesh and Sri Lanka by field of study, 2010 and 2012 or closest years................................ 571
Table 21.3: Patent applications in South Asia, 2008 and 2013..................................................................................................................................................... 575
Table 21.4: Researchers (FTE) in Pakistans public sector by employer, 2011 and 2013............................................................................................ 590

Figure 21.1: GDP per capita in South Asia, 20052013........................................................................................................................................................................ 567

Figure 21.2: FDI inflows to South Asia as a share of GDP, 20052013 (%)............................................................................................................................. 568
Figure 21.3: Public expenditure on education in South Asia, 2008 and 2013 or closest years............................................................................... 570
Figure 21.4: Internet users and mobile phone subscribers per 100 inhabitants in South Asia, 2013................................................................ 572
Figure 21.5: GERD/GDP ratio in South Asia, 20062013..................................................................................................................................................................... 573
Figure 21.6: South Asian ranking for private-sector expenditure on R&D, 20102014................................................................................................ 574
Figure 21.7: Researchers (HC) and technicians in South Asia per million inhabitants and by gender, 2007 and 2013
or closest years..................................................................................................................................................................................................................................... 575
Figure 21.8: Scientific publication trends in South Asia, 20052014......................................................................................................................................... 576
Figure 21.9: Afghanistans ambitious university reform..................................................................................................................................................................... 579
Figure 21.10: GDP per economic sector in South Asia, 2013.............................................................................................................................................................. 582
Figure 21.11: Students enrolled in higher education in Nepal, 2011 and 2013.................................................................................................................... 586
Figure 21.12: Pakistani Higher Education Commissions budgetary allocations, 20092014.................................................................................... 590
Figure 21.13: Growth in number of Pakistani universities, 20012014....................................................................................................................................... 591
Figure 21.14: Sri Lankan researchers (FTE) by sector of employment, 2008 and 2010......................................................................................................592

Chapter 22: India

Box 22.1: Frugal innovation in India............................................................................................................................................................................................................ 607
Box 22.2: The worlds most productive paddy farmer is Indian.............................................................................................................................................. 611
Box 22.3: Schemes to improve higher education in India........................................................................................................................................................... 617

Table 22.1: Positive and disquieting features of Indias socio-economic performance, 20062013................................................................ 599
Table 22.2: Distribution of innovative and manufacturing activity within India, 2010.............................................................................................. 604
Table 22.3: Exports of R&D and testing services from India and China to the USA, 20062011.......................................................................... 606
Table 22.4: Examples of frugal innovation in India............................................................................................................................................................................... 608

Figure 22.1: Scientific publication trends in India, 20052014...................................................................................................................................................... 601

Figure 22.2: R&D trends in Indian public and private enterprises, 20052011 (%)......................................................................................................... 603
Figure 22.3: Indias main industrial performers, 2010 (%).................................................................................................................................................................. 603
Figure 22.4: Trends in Indian patents, 19972013.................................................................................................................................................................................. 605
Figure 22.5: Receipts, payments and net trade balance in the use of IPRs in India, 20002014............................................................................ 606
Figure 22.6: Share of foreign companies performing R&D in India (%), 20012011...................................................................................................... 607
Figure 22.7: Government outlay for Indias major science agencies, 2010 (%).................................................................................................................. 609

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Figure 22.8: Changes in agricultural yields in India, 19802014................................................................................................................................................... 611

Figure 22.9: Growth of the Indian biotechnology industry, 20042014................................................................................................................................. 612
Figure 22.10: Exports of high-tech manufactured products from India, 20002013........................................................................................................ 613
Figure 22.11: Green energy technology patents granted to Indian inventors, 19972012......................................................................................... 614
Figure 22.12: Indian FTE researchers by sector of employment and gender, 2005 and 2010.................................................................................... 615
Figure 22.13: Indian science, engineering and technology graduates, 2011/2012........................................................................................................... 616

Chapter 23: China

Box 23.1: Chinas smart cities........................................................................................................................................................................................................................... 622
Box 23.2: Wooing the Chinese elite back home................................................................................................................................................................................. 630
Box 23.3: Cultivating a new variety of GMOs: a mega-engineering programme....................................................................................................... 632
Box 23.4: Water body pollution control and treatment: a mega-engineering programme............................................................................... 634
Box 23.5: Large-scale advanced nuclear power stations: a mega-engineering programme............................................................................. 635

Table 23.1: Trends in Chinese human resources in S&T, 20032013....................................................................................................................................... 625

Table 23.2: Chinas mega-engineering programmes to 2020...................................................................................................................................................... 631

Figure 23.1: Trends in GDP per capita and GDP growth in China, 20032014................................................................................................................... 622
Figure 23.2: Chinese GERD/GDP ratio and BERD/GDP ratio, 20032014 (%)....................................................................................................................... 624
Figure 23.3: Growth in Chinese GERD, 2003 2013................................................................................................................................................................................ 624
Figure 23.4: GERD in China by type of research, 2004, 2008 and 2013 (%)........................................................................................................................... 625
Figure 23.5: Applications and patents granted to Chinese and foreign inventors, 20022013............................................................................. 626
Figure 23.6: Scientific publication trends in China, 20052014.................................................................................................................................................... 627
Figure 23.7: Cumulative number of Chinese students going abroad and returnees, 19862013..........................................................................631
Figure 23.8: Priorities of Chinas national research programmes, 2012................................................................................................................................... 637

Chapter 24: Japan

Box 24.1: The Mitsubishi Regional Jet........................................................................................................................................................................................................ 647
Box 24.2: Why the increase in Japanese Nobel laureates since 2000?............................................................................................................................... 655

Table 24.1: Socio-economic indicators for Japan, 2008 and 2013............................................................................................................................................. 643
Table 24.2: Collaboration between universities and industry in Japan, 2008 and 2013........................................................................................... 645
Table 24.3: Trends in Japanese GERD, 20082013................................................................................................................................................................................ 650
Table 24.4: Patent activities in Japan, 2008 and 2013........................................................................................................................................................................ 656

Figure 24.1: Number of universities and university students in Japan, 2008, 2011 and 2014................................................................................. 648
Figure 24.2: R&D expenditure in Japan by field, 2008 and 2013.................................................................................................................................................. 651
Figure 24.3: Number of researchers (HC) in Japan, 2008 and 2013............................................................................................................................................ 652
Figure 24.4: Trends in masters and PhD programmes in Japan, 20082013...................................................................................................................... 652
Figure 24.5: Share of female researchers in Japan by sector and employer, 2013 (%)................................................................................................. 653
Figure 24.6: Breakdown of working hours of Japanese university researchers, 2008 and 2013............................................................................ 653
Figure 24.7: Scientific publication trends in Japan, 20052014.................................................................................................................................................... 654
Figure 24.8: Overseas production by Japanese manufacturers, 2000-2012......................................................................................................................... 655
Figure 24.9: Japans technology trade and FDI stock, 2008 and 2013...................................................................................................................................... 656
Figure 24.10: Japans progress towards targets under the Kyoto Protocol, 2012............................................................................................................... 657

Chapter 25: Republic of Korea

Box 25.1: The Republic of Koreas Silicon Valley................................................................................................................................................................................. 667
Box 25.2: Brain Korea 21 Plus: the sequel................................................................................................................................................................................................ 672
Box 25.3: The Korean Innovation Centre................................................................................................................................................................................................. 673

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UNESCO SCIENCE REPORT

Table 25.1. Socio-economic trends in the Republic of Korea, 20082013........................................................................................................................... 661

Table 25.2: The Republic of Koreas R&D targets to 2012 and 2017......................................................................................................................................... 664

Figure 25.1: Progression in GERD/GDP ratio in Republic of Korea, 20022013 (%)........................................................................................................ 662
Figure 25.2: The Republic of Koreas strategic technologies for 20132017....................................................................................................................... 665
Figure 25.3: GERD in the Republic of Korea by source of funds and as a share of GDP, 20062013 (%)......................................................... 666
Figure 25.4: GERD in the Republic of Korea by source of funds, 2010 and 2013 (%)..................................................................................................... 666
Figure 25.5: GERD in the Republic of Korea by type of research, 20032013...................................................................................................................... 666
Figure 25.6: Scientific publication trends in the Republic of Korea, 20052014............................................................................................................... 668
Figure 25.7: GERD in the Republic of Korea by socio-economic objective, 2013 (%).................................................................................................... 669
Figure 25.8: Triadic patent family registrations in the Republic of Korea, 19992012.................................................................................................. 669
Figure 25.9: Changes in Republic of Koreas competitiveness ranking in science and technology, 19992014....................................... 670
Figure 25.10: Trends among Korean researchers (FTE), 20082013.............................................................................................................................................. 671

Chapter 26: Malaysia

Box 26.1: A multinational platform to drive innovation in electrical goods and electronics............................................................................. 681
Box 26.2: The Malaysian palm oil industry.............................................................................................................................................................................................. 683

Table 26.1: Intensity of high-tech industries in Malaysia, 2000, 2010 and 2012............................................................................................................. 681
Table 26.2: Semiconductor firms in Penang and Kedah with R&D and/or chip design, 2014............................................................................... 684
Table 26.3: University enrolment in Malaysia, 2007 and 2010..................................................................................................................................................... 685

Figure 26.1: GDP growth in Malaysia, 20022014 (%).......................................................................................................................................................................... 677

Figure 26.2: Examples of government funding instruments for innovation in Malaysia............................................................................................ 679
Figure 26.3: GERD/GDP ratio in Malaysia, 20082012.......................................................................................................................................................................... 680
Figure 26.4: Patent applications and granted patents in Malaysia, 19942014................................................................................................................ 682
Figure 26.5: Top patent assignees in Malaysia, 2010............................................................................................................................................................................ 682
Figure 26.6: Key indicators for Malaysias oil palm industry, 20002014................................................................................................................................ 683
Figure 26.7: Scientific publication trends in Malaysia, 20052014.............................................................................................................................................. 686
Figure 26.8: Researchers (FTE) per million population in Malaysia, 20082012..................................................................................................................687
Figure 26.9: Number of degree-seeking international students in Malaysia, 2007 and 2012................................................................................. 688

Chapter 27: Southeast Asia and Oceania

Box 27.1: New Zealand: using science diplomacy to make a small voice heard......................................................................................................... 715
Box 27.2: Scuba rice for the Philippines................................................................................................................................................................................................. 717
Box 27.3: Innovative ways of financing innovation in Singapore.......................................................................................................................................... 720

Table 27.1: Research personnel in Southeast Asia and Oceania, 2012 or closest year............................................................................................... 699
Table 27.2: GERD in Southeast Asia and Oceania, 2013 or closest year................................................................................................................................. 703
Table 27.3: National renewable energy targets for selected Pacific Island states, 20132020............................................................................. 727
Table 27.4: Fijis Green Growth Framework, 2014................................................................................................................................................................................. 727

Figure 27.1: GDP per capita in Southeast Asia and Oceania, 2013.............................................................................................................................................. 693
Figure 27.2: Trends in GDP growth in Southeast Asia and Oceania, 20052013.............................................................................................................. 694
Figure 27.3: Internet and mobile phone access in Southeast Asia and Oceania, 2013 (%)....................................................................................... 695
Figure 27.4: Trends in high-tech exports from Southeast Asia and Oceania, 2008 and 2013................................................................................. 696
Figure 27.5: Trends in higher education in Southeast Asia and Oceania, 2013 or closest year.............................................................................. 700
Figure 27.6: Women researchers (HC) in Southeast Asia, 2012 or closest year (%)......................................................................................................... 702
Figure 27.7: Researchers (FTE) in Southeast Asia and Oceania by sector of employment, 2012 or closest year (%).............................. 703
Figure 27.8: Scientific publication trends in Southeast Asia and Oceania, 20052014................................................................................................ 704
Figure 27.9: Cambodias rectangular development strategy, 2013........................................................................................................................................... 710

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Figure 27.10: Trends in GERD in Singapore, 20022012........................................................................................................................................................................ 719

Figure 27.11: Government expenditure on R&D in Fiji by socio-economic objective, 20072012........................................................................ 726

Statistical annex
Table S1: Socioeconomic indicators, various years....................................................................................................................................................................... 744
Table S2: R&D expenditure by sector of performance and source of funds, 2009 and 2013 (%).................................................................... 750
Table S3: R&D expenditure as a share of GDP and in purchasing power parity (PPP) dollars, 20092013.............................................. 756
Table S4: Public expenditure on tertiary education, 2008 and 2013................................................................................................................................... 759
Table S5: Tertiary graduates in 2008 and 2013 and graduates in science, engineering, agriculture and health in 2013............. 762
Table S6: Total researchers and researchers per million inhabitants, 2009 and 2013............................................................................................ 768
Table S7: Researchers by field of science, 2013 or closest year (%)...................................................................................................................................... 774
Table S8: Scientific publications by country, 20052014............................................................................................................................................................. 777
Table S9: Publications by major field of science, 2008 and 2014........................................................................................................................................... 780
Table S10: Scientific publications in international collaboration, 20082014................................................................................................................. 786

xix
Foreword
Irina Bokova, Director-General of UNESCO

In 2015, the United Nations General Assembly took income countries cutting back public spending,
a historic and visionary step with the adoption while private sector funding has been maintained
of the 2030 Agenda for Sustainable Development. or increased, and with lower income countries
For the first time at this level, the role of science, increasing public investment in R&D. The debate
technology and innovation has been explicitly between quick scientific gains and long-term
recognized as a vital driver of sustainability. public investment in basic and high-risk research
Sustainability depends on the capacity of states to to enlarge the scope of scientific discoveries has
put science at the heart of their national strategies never been so relevant.
for development, strengthening their capacities
and investment to tackle challenges, some Secondly, the NorthSouth divide in research
of which are still unknown. This commitment and innovation is narrowing, as a large
resonates at the heart of UNESCOs mandate and number of countries are incorporating science,
I see this as a call for action, as we celebrate the technology and innovation in their national
70th anniversary of the Organization. development agendas, in order to be less reliant
on raw materials and move towards knowledge
I see this edition of the UNESCO Science Report economies. Broad-based NorthSouth and
as a springboard to take the 2030 Agenda for SouthSouth collaboration is also increasing, in
Sustainable Development forward, providing order to solve pressing sustainable developmental
precious insights into the concerns and priorities challenges, including climate change.
of member states and sharing critical information
to harness the power of science for sustainability. Thirdly, there are ever more scientists in the
world and they are becoming more mobile. The
The UNESCO Science Report draws a comprehensive number of researchers and publications worldwide
picture of the many facets of science in an increased by over 20% during the period from
increasingly complex world including trends 2007 and 2014. A growing number of countries are
in innovation and mobility, issues relating to big putting policies in place to increase the number of
data and the contribution of indigenous and local women researchers; at the same time, scientists are
knowledge to addressing global challenges. not only publishing more in international scientific
journals but also co-authoring more with foreign
Since the UNESCO Science Report 2010, clear partners, with more articles becoming freely
trends have emerged. Firstly, despite the financial available through open access. At different income
crisis, global expenditure on research and levels, countries across the world are striving to
development has grown faster than the global attract and retain scientific talent, upgrading their
economy, showing confidence that investment higher education and research infrastructure and
in science will bring future benefits. Much of this developing new scholarships and scientific visas.
investment is in the applied sciences and is being Private firms are relocating research laboratories
spearheaded by the private sector. This points to and some universities are setting up campuses
an important shift in the landscape, with high- abroad to tap into a bigger talent pool.

xx
With all this, we face the challenge of mobilizing
these accelerating trends of scientific enterprise,
knowledge, mobility and international co-operation
to inform policy and take the world on a more
sustainable path.

This calls for a stronger sciencepolicy interface

and for the relentless drive towards innovation.
Achieving many of the Sustainable Development
Goals will depend not only on the diffusion of
technology but also on how well countries partner
with one another in the pursuit of science.

I see this as the key challenge of science

diplomacy in the years ahead and UNESCO will
bring the full force of its scientific mandate to bear
to support member states, strengthen capacities
and share critical information ranging from
sustainable water management to technology
and innovation policies.

This report is unique in providing such a clear

vision of the global scientific landscape, reflecting
the contributions of more than 50 experts from
across the world. I am convinced that the analysis
here will help clear the path towards more
sustainable development, laying the foundations
for more inclusive knowledge societies across the
world.

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xxii
Perspectives
on emerging
issues

1
UNESCO SCIENCE REPORT 2016

International students studying alongside Indian students on the Bangalore campus of the Indian
Institute of Management. Photo: Atul Loke

2
 Perspectives on emerging issues
Universities: increasingly global players
Patrick Aebischer, President, Ecole polytechnique fdrale de Lausanne, Switzerland

Global competition but also a global family What makes a university world class? A world-class university
As I am writing this essay in June 2015, 9.5 million students has a critical mass of talent (both faculty and students), self-
are simultaneously taking the gaokao (), the Chinese governance and administrative autonomy; academic freedom
National College Entrance Examination giving access for faculty and research, which includes the right to critical
to university. What better illustration of the formidable thought; the empowering of young researchers to head
importance of higher education at the beginning of the 21st their own laboratories; and sufficient resources to provide a
century? More than ever, people are convinced today that comprehensive environment for learning and cutting-edge
knowledge and skills obtained at universities are crucial to research. Some of the top-ranked institutions are seasoned
personal well-being, as well as to the social and economic Western universities, from which younger universities might
health of cities, nations and regions. learn a few things. Most universities do not feature in these
world-class rankings but they nevertheless fulfil important
Universities have become institutions of a global world, in educational roles at the local level.
addition to assuming their traditional local and national roles.
The answers to global challenges (energy, water and food In the past ten years, many new universities most notably
security, urbanization, climate change, etc.) are increasingly from Asia have entered ARWUs top 500, even though US
dependent on technological innovation and the sound universities still dominate the top positions. The past decade
scientific advice brokered to decision-makers. The findings has seen the advent of an increasingly multi-polar academic
contributed by research institutes and universities to the world, as noted already in the UNESCO Science Report 2010.
reports of the Intergovernmental Panel on Climate Change
and the Consensus for Action1 statement illustrate the If competition between universities is one hallmark of
decisive role these institutions are playing in world affairs. this new league, co-operation and collaboration between
Research universities also attract innovative industries. The scientists is another. In recent years, long-distance scientific
Googles and Tatas of this world only thrive in proximity to collaboration has become the rule: scientists now live in
great research institutions and it is this winning combination a hyper-connected world. One way to measure this is by
that fosters the emergence of dynamic entrepreneurial examining the co-authorship of scientific papers. The 2015
ecosystems such as Silicon Valley in the USA and Bangalore in European Leiden ranking of universities for their capacity to
India which are at the root of innovation and prosperity. engage in long-distance collaboration shows that six of the
top ten universities come from Africa and Latin America, with
Universities themselves have become global players. the University of Hawaii (USA) in the lead.
Increasingly, they are competing with one another to attract
funds, professors and talented students2. The reputation Explosive growth in brain circulation
of a university is made at the global level. This trend will Student numbers are exploding around the world, as there
accelerate with the digital revolution, which is giving world- has never been a greater need for a good tertiary education.
class universities an even greater global presence through Emerging economies will have around 63 million more
their online courses. university students in 2025 than today and the number
worldwide is expected to more than double to 262 million
As testimony to this evolution, global university rankings have by the same year. Nearly all of this growth will take place in
appeared in the last ten years. They reflect both the existence the newly industrializing world, more than half of it in China
of global competition and a global family of universities. The and India alone. Student migration, brain circulation and the
annual Academic Ranking of World Universities (ARWU) was first internationalization of universities has never been higher.
published in June 2003 by the Center for World-Class Universities There were 4.1 million students enrolled at universities
of Shanghai Jiao Tong University, China. Quickly, other abroad in 2013, 2% of all university students3. This number
international rankings followed: the QS World University and could double to eight million by 2025. Given this small
the Times Higher Education rankings. International university percentage, brain drain should generally not represent a
rankings may often be debated but they never go unnoticed. threat to the development of national innovation systems, so
brain circulation should remain as unencumbered as possible
1. A message of scientific consensus addressed to world leaders on the need in higher education. Universities will remain in high demand
to maintain humanitys life support systems; the project is hosted by Stanford around the world, at a time when public financial support is
University (USA). See: http://consensusforaction.stanford.edu
2. Malaysia, for instance, hopes to become the sixth-largest global destination for
international university students by 2020; between 2007 and 2012, the number of 3. This global figure masks strong variations from one region to another.
its international students almost doubled to more than 56 000. See Chapter 26. See Figure 2.12.

3
UNESCO SCIENCE REPORT

strained in most countries. Gains in productivity will therefore At the Ecole polytechnique fdrale de Lausanne, we have
be unavoidable, despite the very competitive nature of set up one such initiative, EssentialTech. This programme
science; in particular, the emergence of university networks to implements essential technologies in the context of a
enable institutions to share their faculty, courses and projects comprehensive value chain: from understanding needs
is a way forward. to monitoring the real impact of these technologies and
contributing to their long-term viability. For technology
Be relevant: close the innovation gap to have a significant and sustainable impact, scientific,
The creation and transfer of scientific knowledge are critical economic, societal, environmental and institutional factors
to building and sustaining socio-economic welfare and all have to be considered. This programme requires an
integration in the global economy. In the long run, no region interdisciplinary and multicultural, collaborative approach,
or nation can remain a simple user of new knowledge but as well as partnerships between the private sector, public
must also become a creator of new knowledge. Closing the authorities and civil society, particularly with stakeholders
innovation gap is a necessary role of universities; innovation from low- and middle-income countries. Across the globe,
(or technology transfer) must become as important a mission many universities have set up such initiatives, or are in the
as teaching and research. process of doing so.

Unfortunately, many countries in Africa and Asia mainly Digital disruption: a way of going global
are producing fewer inventions today than they did in the The digital revolution is one new and disruptive way for
early 1990s, despite healthy rates of economic growth. An universities to go global beyond their single campuses
analysis of patents signed between 1990 and 2010 shows to reach a global audience. Cloud computing and
that 2 billion people live in regions that are falling behind in supercomputing, as well as the handling of big data, have
innovation. This decline is overshadowed by the extraordinary already transformed research. They have given rise to global
development in India and China:4 almost one-third of the collaborative projects such as the Human Genome Project in
2.6 million patents filed worldwide in 2013 came from China the 1990s and the more recent Human Brain Project.5 They
alone. allow for crowd-based networked science where researchers,
patients and citizens can work together. In education, this
Youth need to know their (IP) rights and engage in revolution is increasingly taking the form of massive open
reverse innovation online courses (MOOCs). Some world-class universities have
This deficit in new patents in many countries is not due to realized what MOOCs can do for their visibility and reputation
a lack of entrepreneurial spirit, as many examples show, and begun offering such courses.
such as the re-invention of mobile banking in Africa. Rather,
the gap is due to the fact that universities cannot bear the Two factors have contributed to the rapid rise of MOOCs
cost of research and technology transfer for lack of financial (Escher et al., 2014). Firstly, digital technology has come of
resources. According to Bloom (2006), responsibility for this age, with widespread use of laptops, tablets and smartphones
relative neglect of higher education lies partly at the door of in many countries and growing broadband penetration
the international development community, which in the past on all continents. Secondly, the digital native generation
failed to encourage African governments to prioritize higher has now reached university age and is totally at ease with
education. An estimated 11 million young Africans are set to the all-pervasive use of digital social networks for personal
enter the job market each year over the next decade; efforts communication. The number of world-class universities
must be made to support their ideas, says Boateng (2015). For committed to this digital innovation is steadily growing, as is
young people to find good jobs in the global economy, they the number of students one MOOCs provider, Coursera, has
will need skills, knowledge and will to innovate, as well as seen the number of students almost double from 7 million in
greater awareness of the value of intellectual property (IP). April 2014 to 12 million today. Unlike their online educational
predecessors, the costs of MOOCs are borne not by students
One way to create the best conditions collectively for but by the institution producing the courses, which adds
collaborative and reverse innovation is for universities to their attractiveness. MOOCs allow a single university
to work on appropriate (or essential) technology. These to extend its teaching to a global audience: the Ecole
technologies aim to be economically, socially and polytechnique fdrale de Lausanne counts 10 000 students
environmentally sustainable; they are both high-tech (and on campus but has close to 1million registrations worldwide
therefore appealing to researchers) and low-cost (and for its MOOCs.
therefore suited to innovators and entrepreneurs).

5. This is one of the European Commissions Future and Emerging Technologies

4. See Chapters 22 (India) and 23 (China). Flagship projects to 2023. See: https://www.humanbrainproject.eu

4
 Perspectives on emerging issues
Perspectives on emerging issues

MOOCs could also alleviate the textbook gap REFERENCES

In the coming years, MOOCs will allow affordable, quality
courses to be disseminated everywhere. On-campus Boateng, P. (2015) Africa needs IP protection to build
education will remain fundamental to student life but knowledge economies. SciDev.net.
universities will have to adapt to global competition and
increasing demand from students for quality lectures Bloom D.; Canning D. and K. Chan (2006) Higher Education
dispensed by top universities. Universities that share their and Economic Development in Africa. World Bank:
lectures, complemented by seminars and exercises unique Washington, D.C.
to each location, are certain to be part of the landscape in
2020. MOOCS will foster the co-design and co-production of Escher, G.; Noukakis, D. and P. Aebischer (2014) Boosting
these courses by partner universities. One could also imagine higher education in Africa through shared massive open
providing a set of high-quality introductory lectures online to online courses (MOOCs). In: Education, Learning, Training:
a network of partner institutions. MOOCs could also alleviate Critical Issues for Development. International Development
the textbook gap by providing freely accessible modules Policy series No. 5. Graduate Institute Publications: Geneva
of knowledge produced by the best experts and stored in a (Switzerland); Brill-Nijhoff: Boston (USA), pp. 195214.
Wikipedia-like repository.
Toivanen, H. and A. Suominen A. (2015) The global inventor
The momentum created by MOOCs may also result in gap: distribution and equality of worldwide inventive
new educational packages. Up until now, MOOCs have effort, 19902010. PLoS ONE, 10(4):
been delivered as individual courses. However, they may e0122098. doi:10.1371/journal.pone.012209.
aggregate into accredited programmes, in future. Universities
sometimes as networks will decide on certification and
perhaps even revenue-sharing. Certified courses are of great
importance for professional education because employers
are increasingly focusing on the potential employees skill set
rather than on a formal degree. Through MOOCs, the lifelong
learning that is so crucial to knowledge societies is becoming
a globally feasible target.

At first, universities feared that a few fast-moving world-class

universities would take over the MOOC business to install
domination and homogeneity. What we are actually seeing
is that MOOCs are becoming a tool for co-operation, co-
production and diversity. Competition to produce the best
courses, yes, but monolithic domination, no.

The partnering of universities will happen

For many years, and understandably so, primary education
was the main challenge in education. Now has come the
time to recognize, in parallel, the crucial importance of the
research experience and skills that only universities can
deliver to students and lifelong learners.

The partnering of universities to co-produce, re-appropriate,

integrate, blend and certify classes will happen across the
world. The university of tomorrow will be a global and
multilevel enterprise, with a lively campus, several antennae Physics students from Iran, Senegal, Spain, Venezuela and Viet Nam
located with strategic partners and a global virtual online enjoying an impromptu study session on the terrace of UNESCOs Abdus
presence. The Ecole polytechnique fdrale de Lausanne is Salam International Centre for Theoretical Physics in Italy in 2012.
among those universities that have already embarked on this There were 4.1 million international students worldwide in 2013.
Roberto Barnaba/ICTP
path.

5
A more developmental approach to science
Bhanu Neupane, Programme Specialist, Communication Sector, UNESCO

Science 2.0: the data revolution A shift from basic research towards big science
Science is not only created using data; the principle output The focus of scientific discovery has shifted from basic
of any scientific investigation is also data. The science-led research to relevant or big science, in order to solve pressing
data revolution has allowed Web 2.0 and Science 2.0 to developmental challenges, many of which have been
co-evolve. The second-generation World Wide Web (Web identified as Sustainable Development Goals by the United
2.0) has made it easier for people to share information and Nations. However, basic research is extremely important
collaborate and, in turn, the second-generation open science for any future scientific discovery; one classic example is
movement (Science 2.0) has used these new web-based the discovery of the double helical structure of DNA by
technologies to share research more rapidly with a greater Watson and Crick in 1953, which laid the foundations for the
range of collaborators.This growth in interconnectedness, subsequent work done in the fields of genetics and genomics.
information-sharing and data-reuse has helped to develop a A more recent example is the sequencing of the human
modern approach to science. As Science 2.0 is maturing, it has genome, which was completed in 2003 within the Human
gradually begun replacing existing methods of teaching and Genome Project. Whereas the identification of the 25000
learning science. Primarily characterized by the exponential genes in human DNA was purely a quest for knowledge, the
generation and utilization of data for scientific purposes, this sequencing of corresponding base pairs within the same
paradigm shift has both assisted and benefited from this data project was undertaken to unravel the mysteries of genetic
revolution (IEAG, 2014). variation, in order to improve the treatment of genetic
diseases.
Increasingly collaborative science
Researchers and academics are now sharing their data and Computer networks and online interactions which facilitate the
research results across web-based platforms, so that the sharing of scientific information in real time across the global
global scientific community can utilize them and further build research community have gradually encouraged researchers to
upon these raw scientific datasets, through collaboration. access and build upon these results in locally customized ways
One example of this type of collaborative science can be seen to solve social challenges. The global research community is
in the big data generated for climate change projections no longer pegged on searching for a new element to add to
developed by using global-scale models (Cooney, 2012). the periodic table or for a molecular base triplet that encodes
Research such as this provides a case for the utilization of an amino acid. Rather, its focus is now on the bigger picture
large datasets assimilated and compiled in different parts and how research can be applied to address challenges that
of the world to solve local problems. This type of big data could ultimately threaten human existence, such as global
downscaling can bridge the gap between global and pandemics, water, food and energy insecurity or climate
local effects by layering larger-scale data with local-level change. This shift in research priorities towards a big science
data. Another example is the recently digitized and openly agenda is evident in the amount of research funds allocated to
accessible rice breeding project 3K RGP, 2014 which now applied science. Researchers are investing more than before
provides virtual access to the genomic sequence data of in turning a discovery in basic research into a commercially
3 000 rice cultivars from 89 countries. Local researchers can viable and sustainable product or technology with a potentially
use such information to breed improved rice varieties that are beneficial socio-economic impact.
locally customized for distribution at farmer level, resulting
in higher annual rice yields that nurture national economic Without citizen engagement, no social good can come of
growth. open data
Another shift in the focus of science from basic research to an
The combined impact of online tools and advocacy for a applied and developmental approach fuelled by Science 2.0
culture of open science at the institutional and national levels technologies is underscored by scientists easier access than
has fueled the accumulation and sharing of big data in virtual before to big data. Access can be defined firstly in the context
knowledge banks. Such sharing of metadata will, for example, of inclusiveness. If basic research is to be used for the betterment
allow for the generation of locally relevant projections of of human lives, there is no better way to identify a citizens
weather patterns and the development of cultivars that needs and challenges and to serve the interests of that
can best adapt to a particular climatic condition. In this persons wider community than to involve citizens themselves
way, studies in various scientific disciplines have become in the associated developmental processes. Science can only
increasingly interconnected and data-heavy. This has made be inclusive if all parties at all levels (government, academic
science more dynamic and given rise to two dimensions of and general public) are duly involved. Thus, access can be
scientific practices. defined secondly in the context of openness. Citizens cannot

6
 Perspectives on emerging issues
Perspectives on emerging issues

participate if science is not open and transparent. Without and wide participation at all levels can go hand-in hand with
citizen engagement, no social good can come of open data, respect for intellectual property rights and the avoidance
since there will be no recognition of local needs for of research duplication or the misuse of data, such as when
subsequent data downscaling and data mainstreaming. For citation or restrictions on commercial use are ignored.
example, a regional scientific project aiming to identify the
local impact of an increase in pollution levels can only be Researchers are awash with information
successful if citizens are able to report on the state of their With rapidly evolving technologies that range from genome
health in real time to the scientific surveyors through a virtual sequencing machines capable of reading a humans
platform that makes them active, yet informal participants in chromosomal DNA (circa 1.5 gigabytes of data) in half an hour
the project. Increasingly, discoveries that support early to particle accelerators like the Large Hadron Collider at the
disaster warning such as three-dimensional simulation European Organization for Nuclear Research (CERN), which
models are being considered more important that those generates close to 100 terabytes of data a day), researchers
that improve the capability to handle the post-disaster are awash with information (Hannay, 2014).
recovery.
A recent survey of the research community undertaken by
Todays interconnected and futuristic approach to science has the DataONE project showed that 80% of scientists were
therefore redefined open and inclusive scientific practices. willing to share their data with others in the research and
What used to be a teacherstudent interaction in a research education community (Tenopir et al., 2011). Increasingly
laboratory has now become a virtual interaction. These days, though, researchers working in data-intensive scientific fields,
there are many scientific experiments in which ordinary in particular, are wondering how best to manage and control
citizens are both able to access and contribute to scientific big the sharing of their data and where to draw the line between
data in real time across virtual platforms to influence scientific data transparency for the social good and the risks of an
processes and sometimes, government decision-making uncontrollable data explosion.
processes that affect their daily lives. Engaging citizens in
this way enables the general public to take part informally Avoiding the uncontrolled explosion of big data
in the collection and analysis of big data and to influence, Global spending on scientific research amounted to
for example, the local customization of a developmental PPP$ 1.48 trillion in 2013 (see Chapter 1); the investment
technology from the West, so that it is adapted to the local made in publishing this research is in the order of billions
needs of a community in the developing world. This kind (Hannay, 2014). Given that interdisciplinary and highly
of public participation will gradually build an educated collaborative research fields such as bionanotechnology,
citizenry and augment the role played by citizens in solving astronomy or geophysics are data-intensive and require
applied scientific problems. The term citizen science refers to frequent data-sharing and access, in order to interpret,
the public engagement of citizens who actively contribute compare and collaboratively build upon previous research
to science, such as by providing experimental data and results, resources should be similarly allocated for defining,
facilities for researchers. This fosters greater interaction implementing and communicating about big data
between science, policy and society and thus more open, governance and for establishing big-data sharing protocols
transdisciplinary and democratic research. and data governance policies at higher levels of formal
scientific collaboration. Even at the level of citizens, the
One example of citizen science is the project on ecosystem possible implications of sharing without control in an
services management being implemented by UNESCO attempt to make science more citizen-friendly could result
and its partners, which has evident linkages to poverty in citizens being bombarded with an overwhelming amount
alleviation. The project blends cutting-edge concepts of of scientific information that they can neither make sense of,
adaptive governance with technological breakthroughs nor utilize. The creation of scientific big data must therefore
in citizen science and knowledge co-generation. A set of go hand-in-hand with big data security and control, in order
environmental virtual observatories enable marginalized and to ensure that an open and inclusive scientific culture can
vulnerable communities to participate in solving various local function properly.
environmental problems (Buytaert et al., 2014).
A workshop on data governance organized by the
While fostering a culture of open science through the international Creative Commons community in the State of
provision of access to big data underpins scientific Virginia (USA) in 2011 defined data governance in big science
reproducibility, it also inevitably raises the question of as being the system of decisions, rights and responsibilities
how this type of openness and inclusiveness can maintain that describe the custodians of big data and the methods used
accountability for the actions that result from, and affect, these to govern it. It includes laws and policies associated with data,
openly accessible data and how the full integration of science as well as strategies for data quality control and management

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UNESCO SCIENCE REPORT

in the context of an organization.1 Data governance can A mapping exercise2 undertaken in May 2015 gives a clear
happen both at the traditional level (universities) and at understanding of how open science and openness in scientific
the virtual level (across scientific disciplines or within large big data link to the Sustainable Development Goals; this
international collaborative research projects). exercise recalls the interconnectedness between the action
line on access to knowledge adopted by the World Summit on
A code of conduct for digital science? the Information Society in 2005 and the sustainable delivery of
Big data governance applies to all stakeholders involved social goods and services to improve lives and alleviate poverty
in the research enterprise, including research institutions, an interconnectedness that has been the guiding light for the
governments and funders, commercial industries and the formulation of the Sustainable Development Goals.
general public. Different stakeholders can contribute at
different levels. For example, at the more formal levels,
governments could create data governance policies in REFERENCES
association with affiliated research institutes at both
national and international levels. At the level of citizens, Buytaert, W.; Zulkafli, Z.; Grainger, S.; Acosta, L.; Alemie, T.C.;
people could be provided with tailored educational Bastiaensen, J.; De Bivre, B.; Bhusal, J.; Clark, J.; Dewulf, A.;
resources and courses in virtual classrooms to educate them Foggin, M.; Hannah, D. M.; Hergarten, C.; Isaeva, A.;
about big data governance. The beneficiaries would be Karpouzoglou, T.; Pandeya, B.; Paudel, D.; Sharma, K.;
students, researchers, librarians, data archivists, university Steenhuis, T. S.; Tilahun, S.; Van Hecken, G.and M.
administrators, publishers and so on. The recent data Zhumanova (2014) Citizen science in hydrology and water
governance workshop also describes how this type of resources: opportunities for knowledge generation,
training could be integrated into the creation of a code of ecosystem service management and sustainable
conduct for digital science describing best practices for development. Frontiers in Earth Science, 2 (26)
citizen science, such as data citation and appropriate data
description. Cooney, C.M. (2012) Downscaling climate models: sharpening
the focus on local-level changes. Environmental Health
By imposing this type of data usage agreement, terms of use Perspectives, 120 (1). January.
clauses and policies targeting funders on open knowledge
banks, the way in which these data are globally searched, Hannay, T. (2014) Sciences big data problem. Wired. August.
viewed and downloaded by those interacting with the data See: www.wired.com/insights/2014/08/sciences-big-data-
archive could be controlled. This would, in turn, shape and problem
differentiate how e-discovery of scientific data takes place both
at the formal levels of scientific collaboration and scientific IEAG (2014) A World That Counts: Mobilising a Data
communities, as well at the informal level of citizens. Revolution for Sustainable Development. Report prepared
by the Independent Expert Advisory Group on a Data
Big data and openness for sustainable development Revolution for Sustainable Development, at the request of
With evolving scientific practices nurturing a gradual shift the Secretary-General of the United Nations: New York.
towards virtual science, there is a lot of potential for using and
processing openly accessible big data generated from scientific Tenopir, C.; Allard, S.; Douglass, K.; Avdinoglu, A.U.; Wu, L.;
research to help achieve the Sustainable Development Goals Read, E.; Manoff, M. and M. Frame (2011) Data sharing by
adopted in 2015. For the United Nations, data is the lifeblood of scientists: practices and perceptions. PloSOne:
decision-making and the raw material for accountability. Without DOI: 10.1371/journal.pone.0021101
high-quality data providing the right information on the right
things at the right time, designing, monitoring and evaluating
effective policies becomes almost impossible. The analysis,
monitoring and making of such policies will be vital to taking up
the challenges facing humanity, as defined by the 17Sustainable
Development Goals and 169 targets comprising Agenda 2030.

As a specialized agency, UNESCO is, itself, committed to making

open access and open data one of the central supporting
agendas for achieving the Sustainable Development Goals.

1. See this workshops final report:

https://wiki.creativecommons.org/wiki/Data_governance_workshop 2. See: www.itu.int/net4/wsis/sdg/Content/wsis-sdg_matrix_document.pdf

8
 Perspectives on emerging issues
Science will play a key role in realizing Agenda 2030
The 2030 Agenda for Sustainable Development was adopted on 25 September 2015 at the United Nations Summit on
Sustainable Development. This new agenda comprises 17 agreed Sustainable Development Goals which replace the Millennium
Development Goals adopted in 2000. What role will science1 play in realizing Agenda 2030? What are the related challenges and
opportunities? The following opinion piece2 attempts to answer these questions.

There can be no sustainable development without sectorial and societal levels, as reflected in SDG 12 on
science responsible consumption and production. They also offer a
Since governments have agreed that Agenda 2030 should platform for critical discourse about societal concerns and
reflect an integrated vision of sustainable development, aspirations and for discussion on the priorities and values
science cuts across virtually all 17 of the Sustainable that determine political processes, the focus of SDG 16 on
Development Goals within this agenda. Provisions related to peace, justice and strong institutions.
science are also to be found in the Declaration, in many of the
targets accompanying the Sustainable Development Goals The greater accuracy of weather forecasts is one example
and in the Means of Implementation, including as regards of a scientific success story, with current five-day forecasts
national investment in science, technology and innovation, being about as reliable as 24-hour forecasts four decades
the promotion of basic science, science education and ago. There is, nevertheless, still a need for longer forecasts
literacy, and, lastly, in the parts of Agenda 2030 on monitoring and more regional applications, as well as the dissemination
and evaluation. of forecasts of extreme weather events such as heavy rain,
flash floods and storm surges, which particularly affect the
Science will be critical to meeting the challenge of most underdeveloped countries in Africa and Asia. This need
sustainable development, as it lays the foundations for new relates to SDG 13 on climate action.
approaches, solutions and technologies that enable us to
identify, clarify and tackle local and global problems. Science Although infectious diseases have been largely contained
provides answers that are testable and reproducible and, in recent decades by vaccination and antibiotics, the world
thus, provides the basis for informed decisionmaking and still faces an inevitable rise in pathogenic resistance to
effective impact assessments. Both in its scope of study and antimicrobial drugs (WHO, 2014; NAS, 2013). In addition,
its applications, science spans the understanding of natural new pathogens are emerging or mutating. New methods
processes and the human impact thereon, the organization of treatment based on basic research into the origin of
of social systems, the contribution of science to health and antibiotic resistance and applied research devoted to
wellbeing and to better subsistence and livelihood strategies, developing new antibiotics and alternatives are of critical
enabling us to meet the overriding goal of reducing poverty. importance to furthering human health and wellbeing.
These issues are relevant to SDG 3 on good health and
Faced with the challenge of climate change, science has well-being.
already provided some solutions for a secure and sustainable
energy supply; yet, there is room for further innovation, such Basic and applied science: two sides of the same coin
as with regard to the deployment and storage of energy Basic science and applied science are two sides of the same
or energy efficiency. This is directly relevant to SDG 7 on coin, being interconnected and interdependent (ICSU,
affordable and clean energy and to SDG 13 on climate action. 2004). As Max Planck (1925)put it, Knowledge must precede
application and the more detailed our knowledge [], the
The transition to sustainable development cannot rely solely richer and more lasting will be the results we can draw from
on engineering or technological sciences, though. The social that knowledge (ICSU, 2004). Basic research is driven by
sciences and humanities play a vital role in the adoption curiosity about the unknown, rather than being oriented
of sustainable lifestyles. They also identify and analyse the towards any direct practical application. Basic science entails
underlying reasons behind decisions made at the personal, thinking out of the box; it leads to new knowledge and
offers new approaches which, in turn, may lead to practical
applications. This takes patience and time and, thus,
1. Science should be understood here in the broader sense of science, technology constitutes a longterm investment but basic research is the
and innovation (STI), ranging from the natural sciences to technologies, social
sciences and the humanities prerequisite for any scientific breakthrough. In turn, new
knowledge can lead to practical scientific applications and
2. This opinion piece is based on the policy brief entitled The Crucial Role of Science
for Sustainable Development and the Post-2015 Development Agenda: Preliminary big leaps forward for humanity. Basic science and applied
Reflection and Comments by the Scientific Advisory Board of the UN Secretary-General. science thus complement each other in providing innovative
This policy brief was presented to the high-level session of the United Nations
Economic and Social Council devoted to the sustainable development goals and
solutions to the challenges humanity faces on the pathway
related processes in New York on 4 July 2014 and has since been updated to sustainable development.

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UNESCO SCIENCE REPORT

There are countless examples of such transformational ideas. the exchange of information among scientists working in
In medical history, the discovery of the bacterial origin of the laboratories of the European Organization for Nuclear
diseases allowed for the development of immunization Research (CERN) in Switzerland. Since then, the Web has
methods, thus saving countless lives. Electricitybased light radically changed the way in which the world accesses
did not simply evolve from a candle; this transition occurred information. CERN being a publicly funded research centre,
in steps, through new concepts and sporadic leaps forward. it preferred to make the Web freely available to everybody,
Acceleratorbased particle physics is another example of how rather than patent its invention.
one invention can have unanticipated beneficial spin-offs:
initially developed solely as a tool for basic research, particle The need for an integrated approach
accelerators are common nowadays in major medical centres, For the post2015 development agenda to be truly
where they produce Xrays, protons, neutrons or heavy ions transformative, it will be vital to respect the interrelatedness
for the diagnosis and treatment of diseases such as cancer, of the development issues addressed by the Sustainable
thus benefiting millions of patients. Development Goals. This point was acknowledged by the
Open Working Group on the Sustainable Development Goals
There is, thus, no dichotomy between basic and applied convened by the United Nations General Assembly during
science, nor competition but only opportunities for synergies. the formal negotiations which led to the formulation of
These considerations are central to SDG 9 on industry, Agenda 2030. The artificial division of Agenda 2030s goals,
innovation and infrastructure. based on disciplinary approaches, may be necessary for
comprehension, resource mobilization, communication and
Science, like music, is universal public awarenessraising. Nevertheless, one cannot insist
Science, like music, is universal. It is a language that we can enough on the complexity and strong interdependence of
share across cultural and political borders. For example, the three economic, environmental and social dimensions of
more than 10000 physicists from 60 countries work together sustainable development.
at the European Laboratory for Particle Physics (CERN) in
Switzerland, inspired by the same passion and driven by To illustrate the strong interrelation between these three
shared goals. In universities around the world, new graduate dimensions, let us consider the following: nutrition, health,
and undergraduate programmes are being designed to gender equality, education and agriculture are all relevant to
teach tomorrows global problem-solvers how to work across several Sustainable Development Goals and all interrelated.
disciplines, scales and geographies. Here, science acts as a It is impossible to be healthy without adequate nutrition.
leverage for research collaboration, science diplomacy and Adequate nutrition, in turn, is closely linked to agriculture
peace, which is also relevant to SDG 16. as a provider of nutritious food (SDG 2 on zero hunger).
Agriculture, however, affects the environment and, thus,
Science plays a key educational role. The critical thinking biodiversity (the focus on SDGs 14 and 15 on life below
that comes with science education is vital to train the mind water and life on land, respectively); agriculture is estimated
to understand the world in which we live, make choices to be the main driver of deforestation when mismanaged.
and solve problems. Science literacy supplies the basis for Women are at the nexus of health, nutrition and agriculture.
solutions to everyday problems, reducing the likelihood of In rural areas, they are responsible for the daily production
misunderstandings by furthering a common understanding. of food and for childcare. Deprived of education and thus
Science literacy and capacitybuilding should be promoted in of access to knowledge, some women are unfamiliar with
low and middleincome countries, particularly in cases where the interlinkages portrayed above. Moreover, their cultural
a widespread appreciation of the benefits of science and the background often discriminates against their wellbeing
resources for science are often lacking. This situation creates when they are treated like secondclass citizens. Promoting
dependence on countries that are more scientifically literate gender equality and empowering rural women will, thus,
and more industrialized. Hence, science has a role to play in be of paramount importance to making progress in all the
the realization of SDG 4 on quality education. aforementioned areas and to curb unsustainable population
growth. Science is well-placed to build bridges permitting
Science is a public good such interlinkages, in the context of SDG 5 on gender equality.
Public good science not only brings about transformative
change on the road to sustainable development. It is also a Another example of the close interlinkages among agricultural
way of crossing political, cultural and psychological borders practices, health and environment is the concept of one health.
and, thus, helps lay the foundation for a sustainable world. This concept advocates the idea that human and animal health
Science may further democratic practices when results are are closely linked. This is demonstrated, for instance, by the fact
freely disseminated and shared, and made accessible to all. that viruses originating in animals can spread to humans, as
For example, the World Wide Web was invented to facilitate seen in the case of Ebola or influenza (Avian flu, for instance).

10
 Perspectives on emerging issues
Perspectives on emerging issues

Given the interdisciplinary nature of science for sustainable NAS (2013) Antibiotics Research: Problems and Perspectives.
development, the Scientific Advisory Board to the Secretary- National Academy of Sciences Leopoldina: Hamburg
General of the United Nations has stressed the importance (Germany).
of intensifying co-operation among the different scientific
fields and portraying science clearly and forcefully as a key United Nations (2013) Statistics and Indicators for the Post2015
ingredient in the future success of Agenda 2030. Governments Development Agenda. United Nations System Task Team
should acknowledge the potential of science to federate on the Post2015 Development Agenda. New York.
different knowledge systems, disciplines and findings and
its potential to contribute to a strong knowledge base in the United Nations (2012) The Future We Want. General Assembly
pursuit of the Sustainable Development Goals. Resolution A/RES/66/288, para. 247.

WHO (2014) Antimicrobial Resistance: Global Report on

REFERENCES Surveillance. World Health Organization: Geneva.

ICSU (2004) ICSU Position Statement: The Value of Basic

Scientific Research. International Council for Science. Paris.

Planck, M. (1925) The Nature of Light. English translation

of lecture given to Kaiser Wilhelm Society for the
Advancement of Science: Berlin.

NO ZERO
POVERTY HUNGER

GOOD HEALTH QUALITY GENDER CLEAN WATER AFFORDABLE AND

AND WELL-BEING EDUCATION EQUALITY AND SANITATION CLEAN ENERGY

DECENT WORK AND INDUSTRY, INNOVATION REDUCED SUSTAINABLE CITIES RESPONSIBLE

ECONOMIC GROWTH AND INFRASTRUCTURE INEQUALITIES AND COMMUNITIES CONSUMPTION
AND PRODUCTION

CLIMATE LIFE LIFE PEACE, JUSTICE PARTNERSHIPS

ACTION BELOW WATER ON LAND AND STRONG FOR THE GOALS
INSTITUTIONS

11
Science for a sustainable and just world:
a new framework for global science policy?
Heide Hackmann, International Council for Science,
and Geoffrey Boulton, University of Edinburgh

The challenge of global change the general public is well-prepared. Whereas many sectors
The magnitude and implications of human exploitation of society will need to become involved in this process, the
of the Earth system are becoming clearer each year to the scientific community will have a special role to play.
scientists who study them and to the wider public who
attempt to grasp them. The Earths natural capital yields Central to the challenge is the need to de-couple growth,
an annual dividend of resources that form the bedrock of or even economic stasis, from environmental impact. It is
the human economy and the life support system for the becoming clearer how this might best be done through the
planets inhabitants. However, as the worlds population widespread adoption of a range of proven or achievable
grows, its cumulative consumption is increasingly biting technologies at increasingly competitive costs and of
into that productive capital. Two human activities stand operational systems and business models operating through
out, in this regard: the historical development of ever more an enabling economic and regulatory frame. Closely tied
abundant energy sources to power society and the over- to such necessary technological transitions, there is a need
extraction and overconsumption of both non-renewable for society not only to adapt but to find appropriate ways of
and, crucially, renewable resources. These activities are not fundamentally transforming socio-economic systems, the
only unsustainable but have also created novel hazards. values and beliefs that underpin them and the behaviour,
Their consequences are severe and, for future generations, social practices and lifestyles they perpetuate.
potentially disastrous. We live in an era in which human
society has become a defining geological force, one These complex global realities provide a powerful imperative
informally termed the Anthropocene (Zalasiewicz et al., to promote profound changes in the way that science
2008; ISSC and UNESCO, 2013). contributes to public policy and practice.

The local impact of human activity is transmitted globally Challenging and changing science
through the global ocean, the global atmosphere and global In the past two decades, there has been an increasing
cultural, economic, trade and travel networks. Conversely, realization of the need to create public dialogue and
these global transmission systems have a local impact that engagement as two-way processes, if effective and equitable
varies in magnitude according to geographic location. public policies are to be developed and implemented.
This results in a complex coupling between social and However, the scale and international scope of the challenge
biogeophysical processes that has re-configured the global described above require an altogether more profound
ecology to produce one which is novel to the Earth and approach (see, for example, Tbara, 2013). These approaches
to which poverty, inequality and conflict are integral. On typically cross boundaries between different disciplines
account of multiple interdependences and non-linear, (physical, social, human, engineering, medical, life sciences)
chaotic relationships that unfold differently depending on to achieve greater interdisciplinarity; foster truly global
context, this coupling means that attempts to address a collaboration embracing the full diversity of scientific voices
problem affecting one aspect of this ecology necessarily from around the world; advance new research methods for the
have implications for others. Society, therefore, is confronted analysis of complex, multidisciplinary problems; and combine
by a global set of major converging environmental, socio- different types or subcultures of knowledge: specialized
economic, political and cultural problems that must be scientific, political/strategic, indigenous/local, community-
understood as parts of a whole in providing guidance for the based, individual, and holistic (see, for example, Brown et al.,
way in which each can be effectively addressed. 2010). Open knowledge systems facilitate solutions-oriented
research, bringing academics and non-academics together as
However, this is the set of problems exemplified by the knowledge partners in networks of collaborative learning and
United Nations Sustainable Development Goals that society problem-solving and making traditional dichotomies between,
now expects science to help solve, urgently and in ways that for example, basic and applied research irrelevant.
are both sustainable and just. Meeting this challenge will
require the engagement of peoples from diverse cultures A major example of the open knowledge systems approach at
and their leaders; it will demand global responses for which the international level is Future Earth, established in 2012 by an
neither the scientific community, nor the policy world, nor international alliance of partners, including the International

12
 Perspectives on emerging issues
Perspectives on emerging issues

Council for Science, International Social Science Council, years have led naturally to the aspiration that science
UNESCO, the United Nations Environment Programme, World should become an overtly public enterprise rather than one
Meteorological Organization, United Nations University and conducted behind closed laboratory and library doors, that
the Belmont Forum, a group of national scientific funding publicly funded science should be done openly, that its
agencies. Future Earth1 provides a platform for global change data should be open to scrutiny, that its results should be
and sustainability research. Through this platform, researchers available freely or at minimal cost, that scientific results and
from many disciplines are learning to work with non-academic their implications should be communicated more effectively
partners in subject matter-based networks combining to a wide range of stakeholders, and that scientists should
knowledge and action on oceans, health, the water energy engage publicly in the transdisciplinary mode. Open science
food nexus, social transformations and global finance. Central is also a crucial counterbalance to business models built on
to the work of Future Earth is the promotion of inter- and the capture and privatization of socially produced knowledge
transdisciplinary scientific practices. through the monopoly and protection of data. If the scientific
enterprise is not to founder under such pressures, an assertive
While the ultimate consequences of the runaway commitment to open data, open information and open
unsustainability of the socialecological system are, as yet, knowledge is required from the scientific community.
unfathomed, there are intensified efforts to understand the
system by drawing on the perspectives of all disciplines, Challenging science policy
ensuring their joint, reciprocal framing of the issues and the Do the discourses about open knowledge systems and, more
collaborative design, execution and application of research. broadly, of open science, amount to a new science policy
At the same time, there has been a shift in emphasis beyond paradigm or framework one that moves away from seeing
interdisciplinarity towards transdisciplinarity as a fundamental the value of science through the (often national) lens of the
enabling process. Transdisciplinary research engages knowledge economy towards valuing science as a public
decision-makers, policy-shapers and practitioners, as well as enterprise working for a sustainable and just world?
actors from civil society and the private sector as partners
in the codesign and coproduction of solutions-oriented In theory, yes. Narratives about basic concepts of science
knowledge, policy, and practice. It recognizes that there are policy have indeed shifted in that direction. For example,
multiple sources of relevant knowledge and expertise to be within large parts of the scientific community, notions
harnessed such that all involved actors are both producers of scientific relevance now focus less on the language of
and users of knowledge at one time or another. In this way, national economic growth and competitiveness, more on the
transdisciplinarity becomes more than a new way of infusing need for transformative research oriented towards finding
scientific knowledge into policy and practice, more than solutions to the global challenges we face.
merely a strategic reframing of the one-way science-to-action
paradigm. It is conceived as a social process of creating We have also seen changes in how the sciencepolicy
actionable knowledge and promoting mutual learning in interface or nexus is understood: from a one-way delivery
ways that foster scientific credibility, practical relevance and system based on a linear model of knowledge transfer,
socio-political legitimacy. It is an effort to link and integrate the with its language of impact and uptake and its dualistic
perspectives of different knowledge subcultures in addressing mechanisms of knowledge production and use (e.g. via policy
social complexity and supporting collective problem-solving. briefs, assessments and some advisory systems), towards a
In transdisciplinary research, scientific knowledge producers multidirectional model of iterative interaction, with feedback
cease to think of knowledge users as passive information loops and acknowledgement of the messy decision-making
receivers, or at best as contributors of data to analyses framed processes on both sides.
by scientists. Instead, scientists integrate the concerns,
values, and worldviews of policymakers and practitioners, of Last but not least, we are seeing shifts in the geopolitics of
entrepreneurs, activists and citizens, giving them a voice in science and, particularly, in how we formulate attempts to
developing research that is compatible with their needs and overcome global knowledge divides. Capacity-building has
aspirations (Mauser et al., 2013). become capacity development but both have essentially
remained locked into the idea of support as a form of
A fundamental and, indeed, necessary underpinning for the catch-up aid for the global South. That thinking is changing
further development of open knowledge systems is currently towards notions of capacity mobilization, recognizing
being created by national and international initiatives for excellence and the need to support regional science systems
open science and open data (The Royal Society, 2012). in order to foster truly global integration and collaboration.
The moves towards wider public engagement in recent Has a shift towards a new science policy framework been
realized in practice? There are encouraging signs of change
1. see: www.futureearth.org in this direction. At the international level, Future Earth

13
UNESCO SCIENCE REPORT

provides a new institutional framework for the promotion train them, evaluate and reward them, for the kinds of
of integrated, transdisciplinary scientific practice. More career systems we put in place. This has implications for
importantly, perhaps, financial support for a such practice how we fund research and whether and how science can
has been committed through the multilateral funding respond to current demands for it to contribute solutions to
initiatives of the Belmont Forum and, more recently, through critical global challenges and to support transformations to
the International Social Science Councils Transformations to sustainability. It will determine the role that science plays in
Sustainability Programme.2 shaping the future path of humanity on planet Earth.

At the same time, a critical reality check of prevailing science

policy practices suggests the opposite. Universities, globally, REFERENCES
have a vital role to play here. They are unique among human
institutions in the range of knowledge they enfold, in sustaining Brown, V. A. B.; Harris, J. A. and J.Y. Russell (2010) Tackling
and reinvigorating inherited knowledge, creating and Wicked Problems through the Transdisciplinary Imagination.
communicating new knowledge. Only too often, though, that Earthscan Publishing.
knowledge is still contained and communicated in disciplinary
siloes, reinforced by exclusive disciplinary approaches to ISSC and UNESCO (2013) World Social Science Report 2013:
academic training, funding priorities and incentive mechanisms. Changing Global Environments. Organisation for Economic
Old ways of producing scientific knowledge are perpetuated Co-operation and Development and UNESCO Publishing:
by traditional forms of evaluation based on unyielding and Paris.
inappropriate metrics, as well as enduring reward and career
advancement systems. Researchers are rarely encouraged (let Mauser, W.; Klepper, G.; Rice, M.; Schmalzbauer, B.S.;
alone rewarded) to acquire the socio-cultural competencies and Hackmann, H.; Leemans, R. and H. Moore (2013)
engagement skills needed to manage cross-cultural, inter- and Transdisciplinary global change research: the co-creation
transdisciplinary processes. of knowledge for sustainability. Current Opinion in
Environmental Sustainability, 5:420431:
Creating the conditions of possibility http://dx.doi.org/10.1016/j.cosust.2013.07.001.
Science policy is not yet walking the talk of an open
knowledge, open science policy framework. The onus lies not The Royal Society (2012) Science as an open enterprise.
only with universities but also with those national science The Royal Society Science Policy Centre report 02/12.
policy bodies that set research priorities, allocate funding
and devise incentive systems to recognize and respond to Tbara, J.D. (2013) A new vision of open knowledge systems
the broader imperative that such a framework entails. In for sustainability: opportunities for social scientists. In
particular, we need creative and co-ordinated solutions from ISSC and UNESCO (2013) World Social Science Report 2013:
them for a better integration of the natural, social and human Changing Global Environments. Organisation for Economic
sciences in fields such as global change and sustainability Co-operation and Development and UNESCO Publishing:
research. We also need dedicated support for open, inclusive Paris.
processes of producing solutions-oriented knowledge in
partnership with societal stakeholders. We also need science Zalasiewicz, J. et al. (2008) Are we now living in the
policy-makers to be critical and reflexive. Theme-focused Anthropocene? GSA Today, 18(2): 48:
research must not crowd out creative explorations of doi: 10.1130/GSAT01802A.1.
unregarded territory to which we owe many of the insights
and technologies upon which the modern world is built and
where creative solutions for a future world are likely to arise.
It is, therefore, vital for there to be careful monitoring and
evaluation of the difference the codesign and coproduction
of knowledge between academics and non-academics makes
to the practice and effectiveness of policy.

Why is this so important? Committed support for integrated,

solutions-oriented, transdisciplinary science has real
implications for what it means to be a scientist in the
Anthropocene for how they practice their art, how we

2. See: www.belmontforum.org; www.worldsocialscience.org/activities/transformations

14
 Perspectives on emerging issues
Local and indigenous knowledge at the
sciencepolicy interface
Douglas Nakashima, Head, Local and Indigenous Knowledge Systems programme, UNESCO

Towards global recognition environmental fluctuations and change (Nakashima and

In recent years, local and indigenous knowledge has emerged Rou, 2002). These knowledge systems are dynamic, and are
as a new and increasingly influential contribution to the global transmitted and renewed by each succeeding generation.
sciencepolicy interface. Of particular note is the recognition
provided by the Intergovernmental Panel on Climate Change Several terms co-exist in the published literature. They include
(IPCC) in its Fifth Assessment Report (2014). In analysing indigenous knowledge, traditional ecological knowledge,
characteristics of adaptation pathways in the Summary for local knowledge, farmers knowledge and indigenous science.
Policy-makers on Climate Change 2014: Synthesis Report, the Although each term may have somewhat different connotations,
IPCC concludes: they share sufficient meaning to be used interchangeably.

Indigenous, local, and traditional knowledge systems and Berkes (2012) defines traditional ecological knowledge as a
practices, including indigenous peoples holistic view of cumulative body of knowledge, practice and belief, evolving
community and environment, are a major resource for by adaptive processes and handed down through generations
adapting to climate change but these have not been used by cultural transmission, about the relationship of living
consistently in existing adaptation efforts. Integrating such beings (including humans) with one another and with their
forms of knowledge with existing practices increases the environment.
effectiveness of adaptation.
Recognition as knowing again
This acknowledgement of the importance of local and Local and indigenous knowledge is not something new.
indigenous knowledge is echoed by IPCCs sister global Indeed, it is as old as humanity itself. What is new, however, is its
assessment body. The Intergovernmental Platform for growing recognition by scientists and policy-makers around the
Biodiversity and Ecosystem Services (IPBES) established in world, on all scales and in a rapidly growing number of domains.
2012 has retained indigenous and local knowledge as an
operating principle that translates into the following scientific Recognition is the key word, not in the sense of discovering
and technical function of the IPBES Multidisciplinary Expert what was previously unknown but rather as revealed by
Panel: explore ways and means of bringing different knowledge the words etymology: re (again) + cognoscere (know),
systems, including indigenous knowledge systems, to the science meaning to know again, recall or recover the knowledge of .
policy interface. something formerly known or felt.1 Indeed, todays efforts to
know again indigenous knowledge acknowledge the divide
Other prestigious scientific bodies with global mandates put in place by positivist science centuries ago.
in science and policy are bringing local and indigenous
knowledge to the fore. The Scientific Advisory Board to the This separation, and even opposition, of science, on the one
Secretary-General of the United Nations decided at its Third hand, and local and indigenous knowledge, on the other, was
Session in May 2015 to prepare a policy brief for the attention not a malevolent act. It might best be understood as a historical
of the Secretary-General recognizing the important role of necessity without which science could not have emerged as
indigenous and local knowledge for sustainable development a distinct body of understanding with defined methods and
and providing recommendations for enhancing the synergies an identifiable group of thinkers and practitioners. Just as
between ILK and science. Western philosophy has ignored continuities and emphasized
discontinuities when constructing nature in opposition
Understanding local and indigenous knowledge systems to culture, so, too, has positivist science chosen to ignore
Before going any further, it may be useful to clarify what is innumerable traits shared with other knowledge systems in
meant by local and indigenous knowledge systems. The term order to set itself apart, first as different then as unique and
makes reference to knowledge and know-how that have been ultimately as superior.
accumulated across generations, which guide human societies
in their innumerable interactions with their environment; Still today, young scientists are trained to value the scientific
they contribute to the well-being of people around the globe traits of being empirical, rational and objective, which suggest
by ensuring food security from hunting, fishing, gathering, by opposition that other knowledge systems suffer from
pastoralism or small-scale agriculture, as well as by providing
health care, clothing, shelter and strategies for coping with 1. See: www.etymonline.com/index.php?term=recognize

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UNESCO SCIENCE REPORT

subjectivity, the anecdotal and irrationality. Of course, no one 1981). In northern North America, land use mapping for
can deny the impressive track record of positivist science in indigenous land claims paved the way for advocating a role
advancing understandings of our biophysical environment for indigenous knowledge in wildlife management and
with an astounding suite of technical advances that have environmental impact assessment (Nakashima, 1990).
transformed and continue to transform, for better and for
worse, the world in which we live. The division and opposition Efforts to better understand the vast stores of knowledge
of science to other knowledge systems, and among possessed by indigenous peoples and local communities
disciplines within science itself, are no doubt important keys expanded in the years to come, with a particular focus on
to the global success of positivist science. biological diversity. The now well-known article 8(j) of the
Convention on Biological Diversity (1992) contributed to
However, compartmentalization, reductionism and building international awareness by requiring Parties to
specialization also have their limitations and blind spots. Have respect, preserve and maintain knowledge, innovations and
the advantages of opposing nature and culture, or science practices of indigenous and local communities embodying
and other knowledge systems, been increasingly outweighed traditional lifestyles relevant for the conservation and
in recent decades by their disadvantages? Might the growing sustainable use of biological diversity.
understanding and appreciation of these shortcomings
be contributing to the emergence of local and indigenous But local and indigenous knowledge was also gaining
knowledge in the global arena? recognition in other domains. Orlove et al. (2002) unveiled
that Andean farmers, through their observations of the
Local and indigenous knowledge emerging in global arena Pleiades constellation, could predict the advent of an El Nio
The emergence of local and indigenous knowledge at the year with an accuracy equivalent to that of contemporary
global sciencepolicy interface suggests that a long period meteorological science:
of separation between science and local and indigenous
knowledge systems is coming to an end. This said, separation The apparent size and brightness of the Pleiades varies with
may not be the right term. In actual fact, the interconnections the amount of thin, high cloud at the top of the troposphere,
of science with other knowledge systems may never have which in turn reflects the severity of El Nio conditions over
been severed, only obscured. Science grew from local the Pacific. Because rainfall in this region is generally sparse
observations and understanding of how nature works. In in El Nio years, this simple method (developed by Andean
the early days of colonial science, for example, ethnobotany farmers) provides a valuable forecast, one that is as good
and ethnozoology relied on the knowledge and know-how or better than any long-term prediction based on computer
of local people to identify useful plants and animals. Local modelling of the ocean and atmosphere.
and indigenous systems of nomenclature and classification,
adopted wholesale, were often disguised as scientific Recognition of the veracity of local and indigenous knowledge
taxonomies. European understanding of Asian botany, has also emerged in another domain: that of natural disaster
for example, ironically, depended upon a set of diagnostic preparedness and response. One of the most striking examples
and classificatory practices, which though represented as relates to the Indian Ocean tsunami that tragically took over
Western science, had been derived from earlier codifications of 200000 lives in December 2004. In the midst of this immense
indigenous knowledge (Ellen and Harris, 2000, p.182). disaster, accounts began to emerge of how local and indigenous
knowledge had saved lives. UNESCO had its own direct source
Not until the mid-20th century do we observe a shift in the of understanding, as a project had been running for many years
attitude of Western scientists towards local and indigenous with the Moken peoples of the Surin Islands in Thailand. The
knowledge. This was triggered by Harold Conklins iconoclastic 2004 tsunami completely destroyed their small seaside village,
work in the Philippines on The Relations of Hanunoo Culture but no lives were lost. After the tsunami, the Moken explained
to the Plant World (1954). Conklin revealed the extensive that the entire village, adults and children, had known that the
botanical knowledge of the Hanunoo which covers hundreds unusual withdrawal of the ocean from the island shore was a sign
of characteristics which differentiate plant types and often that they should abandon the village and move rapidly to high
indicate significant features of medicinal or nutritional value. In ground. None of the Moken present on the Surin Islands had
another realm and another region, Bob Johannes worked with themselves witnessed laboon, their term for tsunami but, from
Pacific Island fishers to record their intimate knowledge of the the knowledge passed down through generations, they knew
months and periods as well as the precise locations of spawning the signs and how to respond (Rungmanee and Cruz, 2005).
aggregations of some 55species of fish that followed the moon as
a cue for spawning (Berkes, 2012). This indigenous knowledge Biodiversity, climate and natural disasters are but a few of
more than doubled the number of fish species known to the many domains in which the competence of local and
science that exhibit lunar spawning periodicity (Johannes, indigenous knowledge has been demonstrated. Others could

16
 Perspectives on emerging issues
Perspectives on emerging issues

be mentioned, such as knowledge of the genetic diversity of REFERENCES

animal breeds and plant varieties, including pollination and
pollinators (Lyver et al., 2014; Rou et al., 2015), knowledge Berkes, F. (2012) Sacred Ecology. Third Edition. Routledge:
of ocean currents, swells, winds and stars that is at the heart New York.
of traditional open ocean navigation (Gladwin, 1970) and,
of course, traditional medicine, including womens in-depth Ellen, R. and H. Harris (2000) Introduction. In: R. Ellen,
knowledge of childbirth and reproductive health (Pourchez, P. Parker and A. Bicker (eds) Indigenous Environmental
2011). That human populations around the world have Knowledge and its Transformations: Critical Anthropological
developed expertise in a multitude of domains related to their Perspectives. Harwood: Amsterdam.
everyday lives seems self-evident, yet this fount of knowledge
has been obscured by the rise of scientific knowledge, as if Gladwin, T. (1970) East Is a Big Bird: Navigation and Logic on
science needed to marginalize others ways of knowing in order Puluwat Atoll. Harvard University Press: Massachusetts.
to ensure its own global growth in recognition and influence.
Lyver, P.; Perez, E.; Carneiro da Cunha, M. and M. Rou (eds)
Where to from here? [2015] Indigenous and Local Knowledge about Pollination
The emergence of local and indigenous knowledge at the and Pollinators associated with Food Production. UNESCO:
global level brings with it many challenges. One relates to Paris.
maintaining the vitality and dynamism of local and indigenous
knowledge and practices in the local communities from which Nakashima, D.J. (1990) Application of Native Knowledge in EIA:
they originate. These other knowledge systems are confronted Inuit, Eiders and Hudson Bay Oil. Canadian Environmental
with a multitude of threats, including mainstream education Assessment Research Council. Canadian Environmental
systems that ignore the vital importance of a childhood Assessment Research Council (CEARC) Background Paper
education anchored in indigenous languages, knowledge and Series: Hull, 29 pp.
worldviews. Recognizing the risks of an education centred
only on positivist ontologies, UNESCOs programme on Local Nakashima, D.J.; Galloway McLean, K.; Thulstrup, H.D.; Ramos
and Indigenous Knowledge Systems is developing education Castillo, A. and J.T. Rubis (2012) Weathering Uncertainty:
resources rooted in local languages and knowledge with the Traditional Knowledge for Climate Change Assessment and
Mayangna of Nicaragua, the people of Marovo Lagoon in the Adaptation. UNESCO: Paris, 120 pp.
Solomon Islands and for Pacific youth.2
Nakashima, D. and M. Rou (2002). Indigenous knowledge,
Of a different nature is the challenge of meeting expectations peoples and sustainable practice. In: T. Munn.
raised by the recognition, in multiple domains, of the Encyclopedia of Global Environmental Change. Chichester,
importance of local and indigenous knowledge. How, for Wiley and Sons, pp. 314324.
example, might local knowledge and knowledge-holders
contribute to assessments of biodiversity and ecosystems Orlove, B.; Chiang, S.; John, C.H. and M. A. Cane (2002)
services, or to understanding the impact of climate Ethnoclimatology in the Andes. American Scientist, 90:
change and opportunities for adaptation? Moving beyond 428435.
recognition to address the how has become a major focus
in sciencepolicy fora. Having reinforced recognition of the Pourchez, L. (2011) Savoirs des femmes : mdecine traditionnelle
importance of local and indigenous knowledge for climate et nature: Maurice, Reunion et Rodrigues. LINKS Series, 1.
change adaptation in the IPCCs Fifth Assessment Report UNESCO Publishing: Paris.
(Nakashima et al., 2012), UNESCO is now collaborating with
the United Nations Framework Convention on Climate Roue, M.; Battesti, V.; Csard, N. and R. Simenel (2015)
Change to identify tools for, and methods of, bringing Ethno-ecology of pollination and pollinators. Revue
indigenous and traditional knowledge, alongside science, dethnocologie, 7. http:// ethnoecologie.revues.org/2229 ;
into the response to climate change. Last but not least, a DOI: 10.4000/ethnoecologie.2229
Task Force on Indigenous and Local Knowledge has been
established to provide IPBES with appropriate approaches Rungmanee, S. and I. Cruz (2005) The knowledge that saved
and procedures for bringing indigenous and local knowledge the sea gypsies. A World of Science, 3 (2): 2023.
into global and regional assessments of biodiversity and
ecosystem services. UNESCO is assisting in that effort through
its role as the technical support unit for the task force.

2. See: www.unesco.org/links, www.en.marovo.org and www.canoeisthepeople.org

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UNESCO SCIENCE REPORT 2016

18
20
 Perspectives

Global
overview

Perspectives

21
19
Many dilemmas appear increasingly common to a
wide range of countries, such as that of trying to find a
balance between local and international engagement
in research, or between basic and applied science,
the generation of new knowledge and marketable
knowledge, or public good science versus science to
drive commerce.
Luc Soete, Susan Schneegans, Deniz Ercal, Baskaran Angathevar and Rajah Rasiah

Photo: Shutterstock.com

20
1 . A world in search of an effective
growth strategy
Luc Soete, Susan Schneegans, Deniz Ercal, Baskaran Angathevar and Rajah Rasiah

Chapter 1
INTRODUCTION have, meanwhile, allowed opportunistic terrorist groups to
prosper. These hyper-violent militias not only pose a threat
For two decades now, the UNESCO Science Report series has to political stability; they also undermine national aspirations
been mapping science, technology and innovation (STI) towards a knowledge economy, for they are inherently
around the world on a regular basis. Since STI do not evolve in hostile to enlightenment, in general, and the education
a vacuum, this latest edition summarizes the evolution since of girls and women, in particular. The tentacles of this
2010 against the backdrop of socio-economic, geopolitical obscurantism now stretch as far south as Nigeria and Kenya
and environmental trends that have helped to shape (Chapters 18 and 19).
contemporary STI policy and governance.
Meanwhile, countries emerging from armed conflict
More than 50 experts have contributed to the present report, are modernizing infrastructure (railways, ports, etc)
each of them covering the region or country from which and fostering industrial development, environmental
they hail. A quinquennial report has the advantage of being sustainability and education to facilitate national
able to focus on longer-term trends, rather than becoming reconciliation and revive the economy, as in Cte dIvoire
entrenched in descriptions of short-term annual fluctuations and Sri Lanka (Chapters 18 and 21).
which, with respect to policy and science and technology
indicators, rarely add much value. The nuclear deal concluded in 2015 could be a turning
point for science in Iran but, as Chapter 15 observes,
international sanctions have already incited the regime
KEY INFLUENCES ON STI POLICY to accelerate the transition to a knowledge economy, in
AND GOVERNANCE order to compensate for lost oil revenue and international
isolation by developing local products and processes. The
Geopolitical events have reshaped science in many regions flow of revenue from the lifting of sanctions should give
The past five years have witnessed major geopolitical the government an opportunity to boost investment in
changes with significant implications for science and R&D, which accounted for just 0.31% of GDP in 2010.
technology. To name just a few: the Arab Spring in 2011;
the nuclear deal with Iran in 2015; and the creation of the Meanwhile, the Association of South East Asian Nations
Association of Southeast Asian Nations (ASEAN) Economic (ASEAN) intends to transform this vast region into a
Community in 2015. common market and production base with the creation
of the ASEAN Economic Community by the end of 2015.
At first sight, many of these developments have little to do The planned removal of restrictions to the cross-border
with science and technology but their indirect impact has movement of people and services is expected to spur
often been significant. In Egypt, for instance, there has been co-operation in science and technology and thereby
a radical change in STI policy since the Arab Spring. The new reinforce the emerging AsiaPacific knowledge hub. The
government considers the pursuit of a knowledge economy as greater mobility of skilled personnel should be a boon for
being the best way to harness an effective growth engine. The the region and enhance the role of the ASEAN University
Constitution adopted in 2014 mandates the state to allocate Network, which already counts 30 members. As part of the
1% of GDP to research and development (R&D) and stipulates negotiating process for the ASEAN Economic Community,
that the state guarantees the freedom of scientific research each member state may express its preference for a specific
and encourages its institutions as a means towards achieving research focus. The Laotian government, for instance, hopes
national sovereignty and building a knowledge economy that to prioritize agriculture and renewable energy (Chapter 27).
supports researchers and inventors (Chapter 17).
In sub-Saharan Africa, too, regional economic communities
In Tunisia, there has been greater academic freedom in the past are playing a growing role in the regions scientific
year and scientists have been developing closer international integration, as the continent prepares the groundwork
ties; Libya, on the other hand, is confronted with a militant for its own African Economic Community by 2028. Both
insurgency, offering little hope of a rapid revival of science and the Economic Community of West African States and the
technology. Syria is in the throes of a civil war. Porous political Southern African Development Community (SADC) have
borders resulting from the political upheaval of the Arab Spring adopted regional strategies for STI in recent years that

21
UNESCO SCIENCE REPORT

complement the continents decadal plans.1 The East African Angola, Malawi and Namibia have all experienced below-
Community (EAC) has entrusted the Inter-University Council normal rainfall in recent years that has affected food security.
for East Africa with the mission of developing a Common In 2013, ministers from the SADC approved the development
Higher Education Area. The ongoing development of of a Regional Climate Change programme. In addition, the
networks of centres of excellence across the continent should Common Market for Eastern and Southern Africa (COMESA),
foster greater scientific mobility and information-sharing, as EAC and SADC have been implementing a joint five-year
long as obstacles to the mobility of scientists can be removed. initiative since 2010 known as the Tripartite Programme on
The decision by Kenya, Rwanda and Uganda in 2014 to adopt Climate Change Adaptation and Mitigation (Chapter 20).
a single tourist visa is a step in the right direction.
In Africa, agriculture continues to suffer from poor land
It will be interesting to see the extent to which the new management and low investment. Despite the continents
Union of South American Nations (UNASUR) fosters regional commitment, in the Maputo Declaration (2003), to devoting
scientific integration in the years to come. Modelled on the at least 10% of GDP to agriculture, only a handful of
European Union (EU), UNASUR plans to establish a common countries have since reached this target (see Table 19.2).
parliament and currency for its 12 members and to foster the Agricultural R&D suffers as a consequence. There have
free movement of goods, services, capital and people around been moves, however, to reinforce R&D. For instance,
the subcontinent (Chapter 7). Botswana established an innovative hub in 2008 to foster
the commercialization and diversification of agriculture and
Environmental crises raising expectations of science Zimbabwe is planning to establish two new universities of
Environmental crises, be they natural or human-made, have agricultural science and technology (Chapter 20).
also influenced STI policy and governance in the past five
years. The shockwaves from the Fukushima nuclear disaster in Energy has become a major preoccupation
March 2011 carried far beyond Japans shores. The disaster The EU, USA, China, Japan, the Republic of Korea and others
prompted Germany to commit to phasing out nuclear energy have all toughened national legislation in recent years to
by 2020 and fostered debate in other countries on the risks of reduce their own carbon emissions, develop alternative
nuclear energy. In Japan itself, the triple catastrophe2 made a energy sources and promote greater energy efficiency.
tremendous impact on Japanese society. Official statistics Energy has become a major preoccupation of governments
show that the tragedy of 2011 has shaken the publics trust everywhere, including oil-rent economies like Algeria and
not only in nuclear technology but in science and technology Saudi Arabia that are now investing in solar energy to
more broadly (Chapter 24). diversify their energy mix.

It doesnt tend to make the headlines but growing concern This trend was evident even before Brent crude oil prices
over recurrent drought, flooding and other natural began their downward spiral in mid-2014. Algerias
phenomena have led governments to adopt coping strategies Renewable Energy and Energy Efficiency Programme was
in the past five years. Cambodia, for instance, has adopted a adopted in March 2011, for instance, and has since approved
Climate Change Strategy (20142023) with the assistance of more than 60 wind and solar energy projects. Gabons
European development partners to protect its agriculture. In Strategic Plan to 2025 (2012) states that setting the country
2013, the Philippines was hit by possibly the strongest on the path to sustainable development is at the heart of
tropical cyclone ever to make landfall. The country has the new executives policy. The plan identifies the need to
been investing heavily in tools to mitigate disaster risk, such diversify an economy dominated by oil (84% of exports in
as 3D disaster-simulation models, and building local 2012), foresees a national climate plan and fixes the target of
capability to apply, replicate and produce many of these raising the share of hydropower in Gabons electricity matrix
technologies (Chapter 27). The biggest single US economy, from 40% in 2010 to 80% by 2020 (Chapter 19).
the State of California, has been experiencing drought for
years; in April 2015, the state governor announced a 40% A number of countries are developing futuristic, hyper-
carbon emissions reduction target by 2030 over 1990 levels connected smart cities (such as China) or green cities
(Chapter 5). which use the latest technology to improve efficiency in
water and energy use, construction, transportation and so
1. Namely, Africas Science and Technology Consolidated Plan of Action (20052014)
on, examples being Gabon, Morocco and the United Arab
and its successor, the Science, Technology and Innovation Strategy for Africa (STISA Emirates (Chapter 17).
2024)
2. A subterranean earthquake generated a tsunami that swamped the Fukushima If sustainability is a primary concern for most governments,
nuclear plant, cutting off the power supply to its cooling system, causing the
nuclear rods to overheat and sparking multiple explosions which released
some are swimming against the tide. The Australian
radioactive particles into the air and water. government, for instance, has shelved the countrys carbon

22
 A world in search of an effective growth strategy

tax and announced plans to abolish institutions instigated The Republic of Korea is seeking its own growth strategy.
by the previous government3 to stimulate technological Although it came through the global financial crisis remarkably
development in the renewable energy sector (Chapter 27). unscathed, it has outgrown its catch-up model. Competition

Chapter 1
with China and Japan is intense, exports are slipping and global
The quest for a growth strategy that works demand is evolving towards green growth. Like Japan, it is faced
Overall, the years 20092014 have been a difficult transition with a rapidly ageing population and declining birthrates that
period. Ushered in by the global financial crisis of 2008, challenge its long-term economic development prospects. The
this transition has been marked by a severe debt crisis in Park Geun-hye administration is pursuing her predecessors goal
the wealthier countries, uncertainty over the strength of of low carbon, green growth but also emphasizing the creative
the ensuing recovery and the quest for an effective growth economy, in an effort to revitalize the manufacturing sector
strategy. Many high-income countries are faced with similar through the emergence of new creative industries. Up until
challenges, such as an ageing society (USA, EU, Japan, etc.) now, the Republic of Korea has relied on large conglomerates
and chronic low growth (Table 1.1); all are confronted with such as Hyundai (vehicles) and Samsung (electronics) to drive
tough international competition. Even those countries that growth and export earnings. Now, it is striving to become more
are doing well, such as Israel and the Republic of Korea, fret entrepreneurial and creative, a process that will entail changing
over how to maintain their edge in a rapidly evolving world. the very structure of the economy and the very bases of
science education.
In the USA, the Obama administration has made investment in
climate change research, energy and health a priority but much Among the BRICS (Brazil, Russian Federation, India, China and
of its growth strategy has been contraried by the congressional South Africa), China has managed to dodge the fallout from
priority of reducing the federal budget deficit. Most federal the 2008 global financial and economic crisis but its economy
research budgets have remained flat or declined in inflation- was showing signs of strain4 in mid-2015. Up until now, China
adjusted dollars over the past five years (Chapter 5). has relied upon public expenditure to drive growth but, with
investor confidence faltering in August 2015, Chinas desired
In 2010, the EU adopted its own growth strategy, Europe 2020, switch from export-orientation to more consumption-driven
to help the region emerge from the crisis by embracing smart, growth has been thrown into doubt. There is also some concern
sustainable and inclusive growth. The strategy observed among the political leadership that the massive investment in
that the crisis has wiped out years of economic and social R&D over the past decade is not being matched by scientific
progress and exposed structural weaknesses in Europes output. China, too, is in search of an effective growth strategy.
economy. These structural weaknesses include low R&D
spending, market barriers and insufficient use of information By maintaining a strong demand for commodities to fuel
and communication technologies (ICTs). Horizon 2020, the its rapid growth, China has buffeted resource-exporting
EUs current seven-year framework programme for research economies since 2008 from the drop in demand from North
and innovation, has received the biggest budget ever in America and the EU. Ultimately, however, the cyclical boom
order to drive this agenda between 2014 and 2020. The 2020 in commodities has come to an end, revealing structural
Strategy adopted by Southeast Europe mirrors that of its EU weaknesses in Brazil and the Russian Federation, in particular.
namesake but, in this case, the primary aim of this growth
strategy is to prepare countries for their future accession to In the past year, Brazil has entered into recession. Although
the EU. the country has expanded access to higher education in
recent years and raised social spending, labour productivity
Japan is one of the worlds big spenders on R&D (Figure 1.1) but remains low. This suggests that Brazil has, so far, not managed
its self-confidence has been shaken in recent years, not only by to harness innovation to economic growth, a problem shared
the triple catastrophe in 2011 but also by the failure to shake by the Russian Federation.
off the deflation that has stifled the economy for the past 20
years. Japans current growth strategy, Abenomics, dates from The Russian Federation is searching for its own growth
2013 and has not yet delivered on its promise of faster growth. strategy. In May 2014, President Putin called for a widening
The effects of a low-growth equilibrium on investor confidence of Russian import substitution programmes to reduce the
are visible in the reluctance of Japanese firms to raise R&D countrys dependence on technological imports. Action
spending or staff salaries and in their aversion to the necessary plans have since been launched in various industrial sectors
risk-taking to launch a new growth cycle. to produce cutting-edge technologies. However, the
governments plans to stimulate business innovation may be

3. namely the Australian Renewable Energy Agency and the Clean Energy Finance 4. The Chinese economy grew by 7.4% in 2014 and is projected to grow by 6.8% in
Corporation 2015 but there is growing uncertainty as to whether it will achieve this target.

23
UNESCO SCIENCE REPORT

contraried by the current recession, following the downturn would not be that strongly affected by the crisis appears, with
in Brent crude oil prices, the imposition of sanctions and a hindsight, to have been spot on.
deteriorating business climate.
In 2013, world GERD amounted to PPP$ 1478 billion,
Meanwhile, in India, growth has remained at the respectable compared to only PPP$ 1132 billion in 20075. This was
level of about 5% in the past few years but there are less than the 47% increase recorded over the previous
concerns that economic growth is not creating enough period (20022007) but a significant increase nevertheless.
jobs. Today, Indias economy is dominated by the services Moreover, this rise took place during a time of crisis. As GERD
sector (57% of GDP). The Modi government elected in 2014 progressed much faster than global GDP, this caused global
has argued for a new economic model based on export- R&D intensity to climb from 1.57% (2007) to 1.70% (2013) of
oriented manufacturing to foster job creation. India is already GDP (Tables 1.1 and 1.2).
becoming a hub for frugal innovation, thanks to the large
domestic market for pro-poor products and services such as As argued in the UNESCO Science Report 2010, Asia, in general,
low-cost medical devices and cheap cars. and China, in particular, were the first to recover from the
crisis, pulling global R&D investment relatively quickly to
With the end of the commodities boom, Latin America is, itself, higher levels.6 In other emerging economies such as Brazil
in search of a new growth strategy. Over the past decade, the and India, the rise in R&D intensity took longer to kick in.
region has reduced its exceptionally high levels of economic
inequality but, as global demand for raw materials has fallen, Similarly, the prediction that both the USA and EU would be
Latin Americas own growth rates have begun stagnating or able to maintain their own R&D intensity at pre-crisis levels was
even contracting in some cases. Latin American countries not only correct but even too conservative a prediction. The
are not lacking in policy initiatives or in the sophistication Triad (EU, Japan and USA) have all seen GERD rise over the past
of institutional structures to promote science and research five years to levels well above those of 2007, unlike Canada.
(Chapter 7). Countries have made great strides in terms of
access to higher education, scientific mobility and output. Public research budgets: a converging, yet contrasting
Few, however, appear to have used the commodities boom to picture
embrace technology-driven competitiveness. Looking ahead, The past five years have seen a converging trend:
the region may be well placed to develop the type of scientific disengagement in R&D by the public sector in many high-
excellence that can underpin green growth by combining its income countries (Australia, Canada, USA, etc.) and a growing
natural advantages in biological diversity and its strengths investment in R&D on the part of lower income countries.
with regard to indigenous (traditional) knowledge systems. In Africa, for instance, Ethiopia has used some of the fastest
growth rates on the continent to raise GERD from 0.24%
The long-term planning documents to 2020 or 2030 of (2009) to 0.61% (2013) of GDP. Malawi has raised its own
many low- and middle-income countries also reflect the ratio to 1.06% and Uganda to 0.48% (2010), up from 0.33%
quest for a growth strategy able to carry them into a higher in 2008. There is a growing recognition in Africa and beyond
income bracket. These vision documents tend to have a that the development of modern infrastructure (hospitals,
triple focus: better governance, in order to improve the roads, railways, etc.) and the achievement of economic
business environment and attract foreign investment to diversification and industrialization will necessitate greater
develop a dynamic private sector; more inclusive growth, investment in STI, including the constitution of a critical mass
to reduce poverty levels and inequality; and environmental of skilled workers.
sustainability, to protect the natural resources on which most
of these economies depend for foreign exchange. Spending on R&D is on the rise in many East and Central
African countries with innovation hubs (Cameroon, Kenya,
Rwanda, Uganda, etc.), driven by greater investment by both
GLOBAL TRENDS IN R&D EXPENDITURE the public and private sectors (Chapter 19). The sources of
Africas heightened interest in STI are multiple but the global
How has the crisis affected R&D investment? financial crisis of 20082009 certainly played a role. It boosted
The UNESCO Science Report 2010 was written in the immediate commodity prices and focused attention on beneficiation
aftermath of the global financial crisis. Its coverage policies in Africa.
encompassed a period of historically unmatched global
economic growth between 2002 and 2007. It was also
5. PPP stands for purchasing power parity.
forward-looking. One question it addressed was the extent
6. Chinas R&D intensity more than doubled between 2007 and 2013 to 2.08. This
to which the global crisis might be bad for global knowledge is above the EU average and means that China is on track to achieve its target of a
creation. The conclusion that global investment in R&D 2.5% GERD/GDP ratio by 2020.

24
 A world in search of an effective growth strategy

Table 1.1: World trends in population and GDP

Chapter 1
Population Share of global
(in millions) population (%) GDP in constant 2005 PPP$ billions Share of global GDP (%)
2007 2013 2007 2013 2007 2009 2011 2013 2007 2009 2011 2013
World 6 673.1 7 162.1 100.0 100.0 72 198.1 74 176.0 81 166.9 86 674.3 100.0 100.0 100.0 100.0
High-income economies 1 264.1 1 309.2 18.9 18.3 41 684.3 40 622.2 42 868.1 44 234.6 57.7 54.8 52.8 51.0
Upper-middle-income economies 2 322.0 2 442.1 34.8 34.1 19 929.7 21 904.3 25 098.5 27 792.6 27.6 29.5 30.9 32.1
Lower-middle-income economies 2 340.7 2 560.4 35.1 35.7 9 564.7 10 524.5 11 926.1 13 206.4 13.2 14.2 14.7 15.2
Low-income economies 746.3 850.3 11.2 11.9 1 019.4 1 125.0 1 274.2 1 440.7 1.4 1.5 1.6 1.7
Americas 913.0 971.9 13.7 13.6 21 381.6 21 110.0 22 416.8 23 501.5 29.6 28.5 27.6 27.1
North America 336.8 355.3 5.0 5.0 14 901.4 14 464.1 15 088.7 15 770.5 20.6 19.5 18.6 18.2
Latin America 535.4 574.1 8.0 8.0 6 011.0 6 170.4 6 838.5 7 224.7 8.3 8.3 8.4 8.3
Caribbean 40.8 42.5 0.6 0.6 469.2 475.5 489.6 506.4 0.6 0.6 0.6 0.6
Europe 806.5 818.6 12.1 11.4 18 747.3 18 075.1 19 024.5 19 177.9 26.0 24.4 23.4 22.1
European Union 500.8 509.5 7.5 7.1 14 700.7 14 156.7 14 703.8 14 659.5 20.4 19.1 18.1 16.9
Southeast Europe 19.6 19.2 0.3 0.3 145.7 151.0 155.9 158.8 0.2 0.2 0.2 0.2
European Free Trade Association 12.6 13.5 0.2 0.2 558.8 555.0 574.3 593.2 0.8 0.7 0.7 0.7
Other Europe 273.6 276.4 4.1 3.9 3 342.0 3 212.3 3 590.5 3 766.4 4.6 4.3 4.4 4.3
Africa 957.3 1 110.6 14.3 15.5 3 555.7 3 861.4 4 109.8 4 458.4 4.9 5.2 5.1 5.1
Sub-Saharan Africa 764.7 897.3 11.5 12.5 2 020.0 2 194.3 2 441.8 2 678.5 2.8 3.0 3.0 3.1
Arab States in Africa 192.6 213.3 2.9 3.0 1 535.8 1 667.1 1 668.0 1 779.9 2.1 2.2 2.1 2.1
Asia 3 961.5 4 222.6 59.4 59.0 27 672.8 30 248.0 34 695.7 38 558.5 38.3 40.8 42.7 44.5
Central Asia 61.8 67.2 0.9 0.9 408.9 446.5 521.2 595.4 0.6 0.6 0.6 0.7
Arab States in Asia 122.0 145.2 1.8 2.0 2 450.0 2 664.0 3 005.2 3 308.3 3.4 3.6 3.7 3.8
West Asia 94.9 101.9 1.4 1.4 1 274.2 1 347.0 1 467.0 1 464.1 1.8 1.8 1.8 1.7
South Asia 1 543.1 1 671.6 23.1 23.3 5 016.1 5 599.2 6 476.8 7 251.4 6.9 7.5 8.0 8.4
Southeast Asia 2 139.7 2 236.8 32.1 31.2 18 523.6 20 191.3 23 225.4 25 939.3 25.7 27.2 28.6 29.9
Oceania 34.8 38.3 0.5 0.5 840.7 881.5 920.2 978.0 1.2 1.2 1.1 1.1
Other groupings
Least developed countries 783.4 898.2 11.7 12.5 1 327.2 1 474.1 1 617.9 1 783.6 1.8 2.0 2.0 2.1
Arab States all 314.6 358.5 4.7 5.0 3 985.7 4 331.1 4 673.2 5 088.2 5.5 5.8 5.8 5.9
OECD 1 216.3 1 265.2 18.2 17.7 38 521.2 37 306.1 39 155.4 40 245.7 53.4 50.3 48.2 46.4
G20 4 389.5 4 615.5 65.8 64.4 57 908.7 59 135.1 64 714.6 68 896.8 80.2 79.7 79.7 79.5
Selected countries
Argentina 39.3 41.4 0.6 0.6 631.8 651.7 772.1 802.2 0.9 0.9 1.0 0.9
Brazil 190.0 200.4 2.8 2.8 2 165.3 2 269.8 2 507.5 2 596.5 3.0 3.1 3.1 3.0
Canada 33.0 35.2 0.5 0.5 1 216.8 1 197.7 1 269.4 1 317.2 1.7 1.6 1.6 1.5
China 1 334.3 1 385.6 20.0 19.3 8 313.0 9 953.6 12 015.9 13 927.7 11.5 13.4 14.8 16.1
Egypt 74.2 82.1 1.1 1.1 626.0 702.1 751.3 784.2 0.9 0.9 0.9 0.9
France 62.2 64.3 0.9 0.9 2 011.1 1 955.7 2 035.6 2 048.3 2.8 2.6 2.5 2.4
Germany 83.6 82.7 1.3 1.2 2 838.9 2 707.0 2 918.9 2 933.0 3.9 3.6 3.6 3.4
India 1 159.1 1 252.1 17.4 17.5 3 927.4 4 426.2 5 204.3 5 846.1 5.4 6.0 6.4 6.7
Iran 71.8 77.4 1.1 1.1 940.5 983.3 1 072.4 1 040.5 1.3 1.3 1.3 1.2
Israel 6.9 7.7 0.1 0.1 191.7 202.2 222.7 236.9 0.3 0.3 0.3 0.3
Japan 127.2 127.1 1.9 1.8 4 042.1 3 779.0 3 936.8 4 070.5 5.6 5.1 4.9 4.7
Malaysia 26.8 29.7 0.4 0.4 463.0 478.0 540.2 597.7 0.6 0.6 0.7 0.7
Mexico 113.5 122.3 1.7 1.7 1 434.8 1 386.5 1 516.3 1 593.6 2.0 1.9 1.9 1.8
Republic of Korea 47.6 49.3 0.7 0.7 1 293.2 1 339.2 1 478.8 1 557.6 1.8 1.8 1.8 1.8
Russian Federation 143.7 142.8 2.2 2.0 1 991.7 1 932.3 2 105.4 2 206.5 2.8 2.6 2.6 2.5
South Africa 49.6 52.8 0.7 0.7 522.1 530.5 564.2 589.4 0.7 0.7 0.7 0.7
Turkey 69.5 74.9 1.0 1.0 874.1 837.4 994.3 1 057.3 1.2 1.1 1.2 1.2
United Kingdom 61.0 63.1 0.9 0.9 2 203.7 2 101.7 2 177.1 2 229.4 3.1 2.8 2.7 2.6
United States of America 303.8 320.1 4.6 4.5 13 681.1 13 263.0 13 816.1 14 450.3 18.9 17.9 17.0 16.7

Source: World Banks World Development Indicators, April 2015; and estimations by UNESCO Institute for Statistics; United Nations Department of
Economic and Social Affairs, Population Division (2013) World Population Prospects: the 2012 Revision

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UNESCO SCIENCE REPORT

Table 1.2: World shares of expenditure on R&D, 2007, 2009, 2011 and 2013

GERD (in PPP$ billions) Share of world GERD (%)

2007 2009 2011 2013 2007 2009 2011 2013
World 1 132.3 1 225.5 1 340.2 1 477.7 100.0 100.0 100.0 100.0
High-income economies 902.4 926.7 972.8 1 024.0 79.7 75.6 72.6 69.3
Upper middle-income economies 181.8 243.9 303.9 381.8 16.1 19.9 22.7 25.8
Lower middle-income economies 46.2 52.5 60.2 68.0 4.1 4.3 4.5 4.6
Low-income economies 1.9 2.5 3.2 3.9 0.2 0.2 0.2 0.3
Americas 419.8 438.3 451.6 478.8 37.1 35.8 33.7 32.4
North America 382.7 396.5 404.8 427.0 33.8 32.4 30.2 28.9
Latin America 35.5 39.8 45.6 50.1 3.1 3.3 3.4 3.4
Caribbean 1.6 2.0 1.3 1.7 0.1 0.2 0.1 0.1
Europe 297.1 311.6 327.5 335.7 26.2 25.4 24.4 22.7
European Union 251.3 262.8 278.0 282.0 22.2 21.4 20.7 19.1
Southeast Europe 0.5 0.8 0.7 0.8 0.0 0.1 0.1 0.1
European Free Trade Association 12.6 13.1 13.7 14.5 1.1 1.1 1.0 1.0
Other Europe 32.7 34.8 35.0 38.5 2.9 2.8 2.6 2.6
Africa 12.9 15.5 17.1 19.9 1.1 1.3 1.3 1.3
Sub-Saharan Africa 8.4 9.2 10.0 11.1 0.7 0.7 0.7 0.8
Arab States in Africa 4.5 6.4 7.1 8.8 0.4 0.5 0.5 0.6
Asia 384.9 440.7 524.8 622.9 34.0 36.0 39.2 42.2
Central Asia 0.8 1.1 1.0 1.4 0.1 0.1 0.1 0.1
Arab States in Asia 4.3 5.0 5.6 6.7 0.4 0.4 0.4 0.5
West Asia 15.5 16.1 17.5 18.1 1.4 1.3 1.3 1.2
South Asia 35.4 39.6 45.7 50.9 3.1 3.2 3.4 3.4
Southeast Asia 328.8 378.8 455.1 545.8 29.0 30.9 34.0 36.9
Oceania 17.6 19.4 19.1 20.3 1.6 1.6 1.4 1.4
Other groupings
Least developed countries 2.7 3.1 3.7 4.4 0.2 0.3 0.3 0.3
Arab States all 8.8 11.4 12.7 15.4 0.8 0.9 0.9 1.0
OECD 860.8 882.2 926.1 975.6 76.0 72.0 69.1 66.0
G20 1 042.6 1 127.0 1 231.1 1 358.5 92.1 92.0 91.9 91.9
Selected countries
Argentina 2.5 3.1 4.0 4.6-1 0.2 0.3 0.3 0.3-1
Brazil 23.9 26.1 30.2 31.3 -1
2.1 2.1 2.3 2.2-1
Canada 23.3 23.0 22.7 21.5 2.1 1.9 1.7 1.5
China 116.0 169.4b 220.6 290.1 10.2 13.8b 16.5 19.6
Egypt 1.6 3.0b 4.0 5.3 0.1 0.2b 0.3 0.4
France 40.6 43.2 44.6b 45.7 3.6 3.5 3.3b 3.1
Germany 69.5 73.8 81.7 83.7 6.1 6.0 6.1 5.7
India 31.1 36.2 42.8 2.7 3.0 3.2
Iran 7.1+1 3.1b 3.2-1 0.6+1 0.3b 0.3-1
Israel 8.6 8.4 9.1 10.0 0.8 0.7 0.7 0.7
Japan 139.9 126.9b 133.2 141.4 12.4 10.4b 9.9 9.6
Malaysia 2.7-1 4.8b 5.7 6.4-1 0.3+1 0.4b 0.4 0.5-1
Mexico 5.3 6.0 6.4 7.9 0.5 0.5 0.5 0.5
Republic of Korea 38.8 44.1 55.4 64.7 3.4 3.6 4.1 4.4
Russian Federation 22.2 24.2 23.0 24.8 2.0 2.0 1.7 1.7
South Africa 4.6 4.4 4.1 4.2-1 0.4 0.4 0.3 0.3-1
Turkey 6.3 7.1 8.5 10.0 0.6 0.6 0.6 0.7
United Kingdom 37.2 36.7 36.8 36.2 3.3 3.0 2.7 2.5
United States of America 359.4 373.5 382.1 396.7-1 31.7 30.5 28.5 28.1-1

-n/+n = data are for n years before or after reference year Note: GERD figures are in PPP$ (constant prices 2005). Many of the underlying data are estimated
by the UNESCO Institute for Statistics for developing countries, in particular. Furthermore in a
b: break in series with previous year for which data are shown
substantial number of developing countries data do not cover all sectors of the economy.

26
 A world in search of an effective growth strategy

Chapter 1
GERD as share of GDP (%) GERD per capita (in PPP$) GERD per researcher (PPP$ thousands)
2007 2009 2011 2013 2007 2009 2011 2013 2007 2009 2011 2013
1.57 1.65 1.65 1.70 169.7 179.3 191.5 206.3 176.9 177.6 182.3 190.4
2.16 2.28 2.27 2.31 713.8 723.2 750.4 782.1 203.0 199.1 201.7 205.1
0.91 1.11 1.21 1.37 78.3 103.3 126.6 156.4 126.1 142.7 155.7 176.1
0.48 0.50 0.50 0.51 19.7 21.8 24.2 26.6 105.0 115.9 126.0 137.7
0.19 0.22 0.25 0.27 2.6 3.1 3.9 4.5 26.2 28.7 32.9 37.6
1.96 2.08 2.01 2.04 459.8 469.9 474.2 492.7 276.8 264.6 266.3 278.1
2.57 2.74 2.68 2.71 1 136.2 1 154.9 1 158.3 1 201.8 297.9 283.0 285.9 297.9
0.59 0.65 0.67 0.69 66.3 72.7 81.2 87.2 159.5 162.1 168.2 178.9
0.33 0.41 0.26 0.34 38.5 47.6 30.5 40.8 172.9 202.0 138.4 203.1
1.58 1.72 1.72 1.75 368.3 384.0 401.6 410.1 139.8 141.3 142.6 139.4
1.71 1.86 1.89 1.92 501.9 521.3 548.2 553.5 172.4 169.1 171.2 163.4
0.31 0.56 0.47 0.51 23.0 43.5 38.2 42.4 40.0 65.9 52.0 54.9
2.25 2.36 2.39 2.44 995.1 1 014.4 1 038.8 1 072.0 242.0 231.0 218.4 215.2
0.98 1.08 0.98 1.02 119.5 126.6 127.0 139.2 54.1 59.8 58.8 64.1
0.36 0.40 0.42 0.45 13.5 15.5 16.2 17.9 86.2 101.8 98.6 106.1
0.42 0.42 0.41 0.41 11.0 11.4 11.7 12.4 143.5 132.2 129.4 135.6
0.29 0.38 0.43 0.49 23.4 32.0 34.5 41.2 49.3 76.5 73.8 83.3
1.39 1.46 1.51 1.62 97.2 108.8 126.9 147.5 154.1 159.0 171.3 187.7
0.20 0.24 0.20 0.23 13.4 16.9 15.7 20.7 38.2 42.7 39.2 41.5
0.18 0.19 0.18 0.20 35.5 38.5 40.2 45.9 137.2 141.3 136.4 151.3
1.22 1.20 1.19 1.24 163.3 166.2 176.1 178.1 133.4 135.4 141.0 132.6
0.71 0.71 0.70 0.70 23.0 25.0 28.0 30.5 171.8 177.3 195.9 210.0
1.78 1.88 1.96 2.10 153.7 174.4 206.5 244.0 154.9 160.0 172.4 190.8
2.09 2.20 2.07 2.07 505.7 537.5 512.0 528.7 159.3 166.1 158.7 164.3

0.20 0.21 0.23 0.24 3.4 3.8 4.3 4.8 59.0 61.4 66.4 74.1
0.22 0.26 0.27 0.30 28.1 34.6 36.8 43.1 71.9 95.9 92.4 103.3
2.23 2.36 2.37 2.42 707.7 715.1 740.8 771.2 220.8 213.7 215.7 217.7
1.80 1.91 1.90 1.97 237.5 252.3 271.1 294.3 186.0 186.5 192.5 201.5

0.40 0.48 0.52 0.58-1 64.5 78.6 98.1 110.7-1 65.6 72.0 79.4 88.2-1
1.11 1.15 1.20 1.15 -1
126.0 135.0 153.3 157.5 -1
205.8 202.4 210.5 -1

1.92 1.92 1.79 1.63 707.5 682.3 658.5 612.0 154.2 153.3 139.2 141.9-1
1.40 1.70b 1.84 2.08 87.0 125.4b 161.2 209.3 * 147.0b 167.4 195.4
0.26 0.43b 0.53 0.68 21.5 39.6b 50.3 64.8 32.4 86.5b 96.1 111.6
2.02 2.21 2.19b 2.23 653.0 687.0 701.4 710.8 183.1 184.3 178.9b 172.3
2.45 2.73 2.80 2.85 832.0 887.7 985.0 1 011.7 239.1 232.7 241.1 232.3
0.79 0.82 0.82 26.8 30.5 35.0 171.4-2 201.8-1
0.75+1 0.31b 0.31-1 97.5+1 41.8b 43.0 130.5+1 58.9b 58.4-1
4.48 4.15 4.10 4.21 1 238.9 1 154.1 1 211.4 1 290.5 165.6 152.9-1
3.46 3.36b 3.38 3.47 1 099.5 996.2b 1 046.1 1 112.2 204.5 193.5b 202.8 214.1
0.61-1 1.01b 1.06 1.13-1 101.11 173.7b 199.9 219.9-1 274.6-1 163.1b 121.7 123.5-1
0.37 0.43 0.42 0.50 46.6 51.3 54.0 65.0 139.3 138.9 139.7
3.00 3.29 3.74 4.15 815.6 915.7 1 136.0 1 312.7 174.8 180.7 191.6 200.9
1.12 1.25 1.09 1.12 154.7 168.4 160.1 173.5 47.4 54.7 51.3 56.3
0.88 0.84 0.73 0.73-1 92.9 87.1 79.7 80.5-1 238.6 224.0 205.9 197.3-1
0.72 0.85 0.86 0.95 90.9 99.8 117.0 133.5 127.1 123.1 118.5 112.3
1.69 1.75 1.69 1.63 610.1 594.4 590.3 573.8 147.2 143.2 146.6 139.7
2.63 2.82 2.77 2.81-1 1 183.0 1 206.7 1 213.3 1 249.3-1 317.0 298.5 304.9 313.6-1

Source: estimations by UNESCO Institute for Statistics, July 2015; for Brazilian GERD/GDP ratio in 2012: Brazilian Ministry of Science, Technology and Innovation

27
UNESCO SCIENCE REPORT

Figure 1.1: GERD financed by government as a share of GDP, 20052013 (%)

1.0
Korea, Rep. 0.95

0.9
Germany 0.85

0.79
0.8 France 0.78
0.79
USA 0.76
0.77 Australia 0.78 Singapore
0.77 Russian Fed.
0.76
0.7
0.69

0.66

0.63
Japan 0.60
0.6 0.60

0.55 Canada 0.57

0.53
0.53 Italy 0.54
0.5
UK 0.44
China 0.44
Argentina 0.44

0.4 Poland 0.41

South Africa Mexico 0.38

0.35 0.33
0.33
0.33
0.3

0.25
0.23 Turkey 0.25

0.2 0.20

2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: OECDs Main Science and Technology Indicators, September 2015

The global crisis also provoked a reversal in brain drain in may be a game-changer for Kenya, which has not only
some parts of Africa, as visions of Europe and North America created a National Research Fund but also, critically, made
struggling with low growth rates and high unemployment provisions for the fund to receive 2% of Kenyas GDP each
discouraged emigration and encouraged some to return financial year. This substantial commitment of funds should
home. Returnees are today playing a key role in STI policy help Kenya raise its GERD/GDP ratio well above 0.79%
formulation, economic development and innovation. Even (2010).
those who remain abroad are contributing: remittances are
now overtaking FDI inflows to Africa (Chapter 19). The BRICS countries present a contrasting picture. In
China, public and business funding of R&D have risen
The heightened interest in STI is clearly visible in the Vision in tandem. In India, business R&D has progressed faster
2020 or 2030 planning documents adopted by African than government commitment to R&D. In Brazil, public
countries in recent years. In Kenya, for instance, the Science, commitment to R&D has remained more or less stable since
Technology and Innovation Act passed in 2013 contributes 2008, whereas the business enterprise sector has slightly
to the realization of Kenya Vision 2030, which foresees the augmented its own effort. Since all firms surveyed in 2013
countrys transformation into an upper middle-income reported a drop in innovation activity since 2008, this trend
economy with a skilled labour force by 2030. The act will most likely affect spending if the Brazilian economic

28
 A world in search of an effective growth strategy

Figure 1.2: GERD performed by business enterprises as a share of GDP, 20052013 (%)

Chapter 1
3.5

Korea, Rep. 3.26

3.0

Japan 2.64

2.5 2.53

2.0 2.02 USA 1.92

Germany 1.91
1.73
1.68 China 1.60

1.5
France 1.44
1.27
Australia 1.23 UK 1.05
1.05
1.0 1.00
0.91

0.73 Italy 0.68

Russian Fed. 0.68

0.53 Turkey 0.45
0.5 0.50

0.24
0.20 India 0.29 Poland 0.38
0.19 South Africa 0.32
0.18 Mexico 0.17
0.12
Argentina 0.12
0
2005 2006 2007 2008 2009 2010 2011 2012 2013
Source: OECDs Main Science and Technology Indicators, September 2015

slowdown persists. In South Africa, there has been a sharp five years. France and the UK saw it decline. As in Canada,
drop in private-sector R&D since the global financial crisis, in budgetary pressures on national research budgets have
spite of rising public spending on R&D. This partly explains led to significant reductions in government-funded R&D
why the GERD/GDP ratio shrank from a high of 0.89% in 2008 intensity (Figure 1.1). With the notable exception of Canada,
to 0.73% in 2012. this trend is not perceptible in overall R&D expenditure,
since the private sector has maintained its own level of
The high-income countries have been particularly hard hit by spending throughout the crisis (Figures 1.1 and 1.2 and
the crisis which swept the world in 2008 and 2009. Whereas Table 1.2).
the US economy is back on an even keel, Japan and the EU are
finding recovery an uphill struggle. In Europe, slow economic In search of an optimal balance between basic and
growth since the financial crisis of 2008 and the ensuing applied science
pressures of fiscal consolidation within Eurozone countries The great majority of countries now acknowledge the
have put pressure on public investment in knowledge importance of STI for sustaining growth over the longer
(Chapter 9), despite the hike in the Horizon 2020 budget. term. Low and lower-middle income countries hope to use
Among EU countries, only Germany was actually in a position it to raise income levels, wealthier countries to hold their
to increase its commitment to public R&D over the past own in an increasingly competitive global marketplace.

29
UNESCO SCIENCE REPORT

The danger is that, in the race to improve national The Republic of Korea increased its own commitment to
competitiveness, countries may lose sight of the old adage basic research from 13% to 18% of GERD between 2001 and
that without basic science, there would be no science to 2011 and Malaysia has followed a similar path (from 11%
apply. Basic research generates the new knowledge that in 2006 to 17% in 2011). These two countries now devote a
gives rise to applications, commercial or otherwise. As comparable share to that of the USA: 16.5% in 2012. In the
the author of the chapter on Canada puts it (Chapter 4), Republic of Korea, the government is investing heavily in
science powers commerce but not only. The question basic research to correct the impression that the country
is: what is the optimal balance between basic and applied made the transition from a poor agricultural country to an
research? industrial giant through imitation alone, without developing
an endogenous capacity in basic sciences. The government
The Chinese leadership has become dissatisfied with also plans to foster linkages between basic sciences and
the return on its wider investment in R&D. At the same the business world: in 2011, the National Institute for Basic
time, China has opted to devote just 46% of research Science opened on the site of the future International
expenditure to basic research over the past decade. In Science Business Belt in Daejeon.
India, universities perform just 4% of GERD. Although India
has created an impressive number of universities in recent The gap in R&D expenditure is narrowing
years, industry has complained about the employability of Geographically, the distribution of investment in knowledge
science and engineering graduates. Basic research not only remains unequal (Table 1.2). The USA still dominates, with
generates new knowledge; it also contributes to the quality 28% of global investment in R&D. China has moved into
of university education. second place (20%), ahead of the EU (19%) and Japan
(10%). The rest of the world represents 67% of the global
In the USA, the federal government specializes in population but just 23% of global investment in R&D.
supporting basic research, leaving industry to take the lead
in applied research and technological development. There GERD encompasses both public and private investment
is a risk that the current austerity drive, combined with in R&D. The share of GERD performed by the business
changing priorities, may affect the USAs long-term capacity enterprise sector (BERD) tends to be higher in economies
to generate new knowledge. with a greater focus on technology-based competitiveness
in manufacturing, as reflected in their higher BERD/GDP
Meanwhile, the USAs northern neighbour is cutting back ratio (Chapter 2). Among the larger economies for which
on federal funding of government science but investing adequate data are available, the BERD/GDP intensity has risen
in venture capital, in order to develop business innovation appreciably in only a few countries such as the Republic of
and woo new trading partners. In January 2013, the Korea and China and, to a lesser extent, in Germany, the USA,
Canadian government announced its Venture Capital Action Turkey and Poland (Figure 1.2). At best, it has remained
Plan, a strategy for deploying CAN$ 400 million in new stable in Japan and the UK and receded in Canada and
capital over the next 710 years to leverage private sector- South Africa.
led investment in the form of venture capital funds.
Given the fact that almost one in five human beings is
The Russian Federation has traditionally devoted a large Chinese, the rapid progression in BERD in China has had a
share of GERD to basic research (like South Africa: 24% in knock-on effect of massive proportions: between 2001 and
2010). Since the government adopted an innovation-led 2011, China and Indias combined global share of BERD
growth strategy in 2012, a greater share of its appropriation quadrupled from 5% to 20%, largely to the detriment of
for R&D has been oriented towards the needs of industry. Western Europe and North America (see Figure 2.1).
Since funding is finite, this readjustment has occurred to
the detriment of basic research, which dropped from 26% Figure 1.3 highlights the continuing concentration of R&D
to 17% of the total between 2008 and 2013. resources in a handful of highly developed or dynamic
economies. Several of these advanced economies fall in
The EU has made the opposite calculation. Despite the middle of the figure (Canada and UK), reflecting their
the chronic debt crisis, the European Commission has similar density of researchers with the leaders (such as
maintained its commitment to basic research. The European Germany or the USA), yet lower levels of R&D intensity.
Research Council (est. 2007), the first pan-European funding The R&D or human capital intensities of Brazil, China, India
body for frontier research in basic sciences, has been and Turkey might still be low but their contribution to the
endowed with 13.1billion for the period 20142020, global stock of knowledge is rapidly rising, thanks to the
equivalent to 17% of Horizon 2020s overall budget. sheer size of their financial investment in R&D.

30
 A world in search of an effective growth strategy

Figure 1.3: Mutually reinforcing effect of strong government investment in R&D and researchers, 20102011
The size of the bubbles is proportionate to GERD funded by business as a share of GDP (%)

Chapter 1
8 000

Finland

7 000

Denmark

Singapore

6 000

Luxembourg Korea, Rep.

Norway
Japan Sweden

5 000

Canada
Researchers (FTE) per million inhabitants

Portugal
Austria

Slovenia UK Germany
4 000
USA
Belgium France
New Zealand

Netherlands
Estonia
Ireland
Russian Fed.
3 000
Slovakia Czech Republic
Lithuania Spain

Hungary

2 000
Latvia

Poland Italy
Malta Bulgaria
Malaysia
Argentina Ukraine
Costa Rica
Serbia
1 000
Turkey
Romania China
Kazakhstan Brazil
Uruguay

Colombia Mexico South Africa

Kuwait
0

0.00 0.20 0.40 0.60 0.80 1.00 1.20 1.40 1.60

GERD funded from non-business sources as a share of GDP (%)
Source: UNESCO Institute for Statistics, August 2015

31
UNESCO SCIENCE REPORT

Table 1.3: World shares of researchers, 2007, 2009, 2011 and 2013

Researchers (000s) Share of global researchers (%)

2007 2009 2011 2013 2007 2009 2011 2013

World 6 400.9 6 901.9 7 350.4 7 758.9 100.0 100.0 100.0 100.0
High-income economies 4 445.9 4 653.9 4 823.1 4 993.6 69.5 67.4 65.6 64.4
Upper middle-income economies 1 441.8 1 709.4 1 952.3 2 168.8 22.5 24.8 26.6 28.0
Lower middle-income economies 439.6 453.2 478.0 493.8 6.9 6.6 6.5 6.4
Low-income economies 73.6 85.4 96.9 102.6 1.2 1.2 1.3 1.3
Americas 1 516.6 1 656.7 1 696.1 1 721.9 23.7 24.0 23.1 22.2
North America 1 284.9 1 401.2 1 416.1 1 433.3 20.1 20.3 19.3 18.5
Latin America 222.6 245.7 270.8 280.0 3.5 3.6 3.7 3.6
Caribbean 9.1 9.7 9.2 8.5 0.1 0.1 0.1 0.1
Europe 2 125.6 2 205.0 2 296.8 2 408.1 33.2 31.9 31.2 31.0
European Union 1 458.1 1 554.0 1 623.9 1 726.3 22.8 22.5 22.1 22.2
Southeast Europe 11.3 12.8 14.2 14.9 0.2 0.2 0.2 0.2
European Free Trade Association 51.9 56.8 62.9 67.2 0.8 0.8 0.9 0.9
Other Europe 604.3 581.4 595.8 599.9 9.4 8.4 8.1 7.7
Africa 150.1 152.7 173.4 187.5 2.3 2.2 2.4 2.4
Sub-Saharan Africa 58.8 69.4 77.1 82.0 0.9 1.0 1.0 1.1
Arab States in Africa 91.3 83.3 96.3 105.5 1.4 1.2 1.3 1.4
Asia 2 498.1 2 770.8 3 063.9 3 318.0 39.0 40.1 41.7 42.8
Central Asia 21.7 25.1 26.1 33.6 0.3 0.4 0.4 0.4
Arab States in Asia 31.6 35.6 40.7 44.0 0.5 0.5 0.6 0.6
West Asia 116.2 119.2 124.3 136.9 1.8 1.7 1.7 1.8
South Asia 206.2 223.6 233.0 242.4 3.2 3.2 3.2 3.1
Southeast Asia 2 122.4 2 367.4 2 639.8 2 861.1 33.2 34.3 35.9 36.9
Oceania 110.5 116.7 120.1 123.3 1.7 1.7 1.6 1.6
Other groupings
Least developed countries 45.2 51.0 55.8 58.8 0.7 0.7 0.8 0.8
Arab States all 122.9 118.9 137.0 149.5 1.9 1.7 1.9 1.9
OECD 3 899.2 4 128.9 4 292.5 4 481.6 60.9 59.8 58.4 57.8
G20 5 605.1 6 044.0 6 395.0 6 742.1 87.6 87.6 87.0 86.9
Selected countries
Argentina 38.7 43.7 50.3 51.6-1 0.6 0.6 0.7 0.7-1
Brazil 116.3 129.1 138.7-1 1.8 1.9 2.0-1
Canada 151.3 150.2 163.1 156.6-1 2.4 2.2 2.2 2.1-1
China *
1 152.3b 1 318.1 1 484.0 * 16.7b 17.9 19.1
Egypt 49.4 35.2 41.6 47.7 0.8 0.5 0.6 0.6
France 221.9 234.4 249.2b 265.2 3.5 3.4 3.4b 3.4
Germany 290.9 317.3 338.7 360.3 4.5 4.6 4.6 4.6
India 154.8 -2
192.8-1 2.6-2 2.7-1
Iran 54.3+1 52.3b 54.8-1 0.8+1 0.8b 0.8-1
Israel 55.2 63.7-1 0.8 0.8-1
Japan 684.3 655.5b 656.7 660.5 10.7 9.5b 8.9 8.5
Malaysia 9.7-1 29.6b 47.2 52.1-1 0.2-1 0.4b 0.6 0.7-1
Mexico 37.9 43.0 46.1 0.6 0.6 0.6
Republic of Korea 221.9 244.1 288.9 321.8 3.5 3.5 3.9 4.1
Russian Federation 469.1 442.3 447.6 440.6 7.3 6.4 6.1 5.7
South Africa 19.3 19.8 20.1 21.4-1 0.3 0.3 0.3 0.3-1
Turkey 49.7 57.8 72.1 89.1 0.8 0.8 1.0 1.1
United Kingdom 252.7 256.1 251.4 259.3 3.9 3.7 3.4 3.3
United States of America 1 133.6 1 251.0 1 252.9 1 265.1-1 17.7 18.1 17.0 16.7-1
-n/+n = data are for n years before or after reference year
b: break in series with previous year for which data are shown

32
 A world in search of an effective growth strategy

GLOBAL TRENDS IN HUMAN CAPITAL

Widespread growth in researchers, little change in the

Chapter 1
Researchers per million inhabitants
global balance
2007 2009 2011 2013
Today, there are some 7.8 million researchers worldwide
959.2 1 009.8 1 050.4 1 083.3
(Table 1.3). Since 2007, the number of researchers has risen by
3 517.0 3 632.3 3 720.4 3 814.1
21%. This remarkable growth is also reflected in the explosion
620.9 723.9 813.0 888.1
of scientific publications.
187.8 187.8 192.2 192.9
98.7 109.6 119.1 120.7
1 661.2 1 776.1 1 780.8 1 771.6
The EU remains the world leader for the number of
3 814.6 4 081.5 4 052.0 4 034.1 researchers, with a 22.2% share. Since 2011, China (19.1%)
415.8 448.3 482.7 487.7 has overtaken the USA (16.7%), as predicted by the UNESCO
223.0 235.4 220.2 200.8 Science Report 2010, despite a downward readjustment of the
2 635.4 2 717.4 2 816.4 2 941.9 Chinese figures since this publications release. Japans world
2 911.8 3 081.9 3 202.0 3 388.3 share has shrunk from 10.7% (2007) to 8.5% (2013) and the
575.4 659.9 734.8 772.0 Russian Federations share from 7.3% to 5.7%.
4 112.4 4 390.4 4 757.0 4 980.8
2 208.8 2 115.3 2 160.2 2 170.4 The Big Five thus still account for 72% of all researchers,
156.8 151.8 164.1 168.8 even if there has been a reshuffle in their respective shares.
77.0 86.0 90.6 91.4
Of note is that the high-income countries have ceded some
474.0 418.1 467.2 494.5
ground to the upper middle-income countries, including
630.6 684.4 740.8 785.8
China; the latter accounted for 22.5% of researchers in 2007
351.6 395.0 399.7 500.0
but 28.0% in 2013 (Table 1.3).
259.2 272.5 294.4 303.1
1 224.1 1 226.9 1 249.1 1 343.2
133.7 141.0 143.1 145.0
As Figure 1.3 highlights, once countries are prepared to
991.9 1 090.1 1 197.6 1 279.1 invest more in research personnel and in publicly funded
3 173.8 3 235.7 3 226.8 3 218.9 research, the propensity of businesses to invest in R&D also
increases (the size of the bubbles). Public and privately
57.7 62.2 65.0 65.5 funded research have different aims, of course, but their
390.7 360.5 397.8 417.0 contribution to national growth and welfare depends on how
3 205.9 3 346.7 3 433.7 3 542.3 well they complement one another. This holds for countries
1 276.9 1 353.2 1 408.0 1 460.7 of all income levels but it is clear that the relationship
becomes powerful above a certain threshold in researcher
983.5 1 092.3 1 236.0 1 255.8-1 density and publicly funded R&D intensity. Whereas one
612.0 667.2 710.3-1 can find a few countries with a relatively high intensity of
4 587.7 4 450.6 4 729.0 4 493.7-1 business-funded R&D in the lower left-hand quadrant of the
* 852.8b 963.2 1 071.1
graphic, none in the upper right-hand quadrant have a low
665.0 457.9 523.6 580.7
intensity of business R&D.
3 566.1 3 726.7 3 920.1b 4 124.6
3 480.0 3 814.6 4 085.9 4 355.4
Researchers from lower income countries are still pursuing
137.4-2 159.9-1
career opportunities abroad but their destination of choice
746.9+1 710.6b 736.1-1
7 316.6 8 337.1-1
is widening. This may be partly because the 2008 crisis has
5 377.7 5 147.4b 5 157.5 5 194.8
somewhat tarnished the image of Europe and North America as
368.2-1 1 065.4b 1 642.7 1 780.2-1 an Eldorado. Even countries suffering from brain drain are also
334.1 369.1 386.4 attracting researchers. For instance, Sudan lost more than 3 000
4 665.0 5 067.5 5 928.3 6 533.2 junior and senior researchers to migration between 2002 and
3 265.4 3 077.9 3 120.4 3 084.6 2014, according to the National Research Centre. Researchers
389.5 388.9 387.2 408.2-1 were drawn to neighbouring countries such as Eritrea and
714.7 810.7 987.0 1 188.7 Ethiopia by the better pay, which is more than double that
4 143.8 4 151.1 4 026.4 4 107.7 offered to university staff in Sudan. In turn, Sudan has become
3 731.4 4 042.1 3 978.7 3 984.4-1 a refuge for students from the Arab world, particularly since the
Note: Researchers are in full-time equivalents. turmoil of the Arab Spring. Sudan is also attracting a growing
Source: estimations by UNESCO Institute for Statistics, July 2015 number of students from Africa (Chapter 19).

33
UNESCO SCIENCE REPORT

Figure 1.4: Long-term growth of tertiary-level international students worldwide, 19752013

0.8m 1.1m 1.7m 2.8m 4.1m

1975
1985
1995

2005

2013

Source: UNESCO Institute for Statistics, June 2015

In the coming years, competition for skilled workers from the students in 2009, two-thirds of whom came from other SADC
global pool will most likely intensify (Chapter 2). This trend nations (Chapter 20). Cuba is a popular destination for Latin
will depend in part on levels of investment in science and American students (Chapter 7).
technology around the world and demographic trends, such
as low birth rates and ageing populations in some countries The other half of human capital still a minority
(Japan, EU, etc). Countries are already formulating broader As countries grapple with the need to establish a pool of
policies to attract and retain highly skilled migrants and scientists or researchers that is commensurate with their
international students, in order to establish an innovative ambitions for development, their attitudes to gender issues
environment or maintain it, as in Malaysia (Chapter 26). are changing. Some Arab States now have more women
than men studying natural sciences, health and agriculture
The number of international students is growing rapidly at university (Chapter 17). Saudi Arabia plans to create 500
(Figure 1.4). Chapter 2 highlights the increasing mobility vocational training schools to reduce its dependence on
at doctoral level, which, in turn, is driving the mobility of foreign workers, half of which will train teenage girls (Chapter
scientists. This is perhaps one of the most important trends 17). Some 37% of researchers in the Arab world are women,
of recent times. A study conducted recently by the UNESCO more than in the EU (33%).
Institute for Statistics found that students from the Arab
States, Central Asia, sub-Saharan African and Western Europe On the whole, women constitute a minority in the research
were more likely to study abroad than their peers from other world. They also tend to have more limited access to
regions. Central Asia has even overtaken Africa for the share funding than men and to be less represented in prestigious
of tertiary students studying abroad (see Figure 2.10). universities and among senior faculty, which puts them at a
further disadvantage in high-impact publishing (Chapter 3).
National and regional schemes in Europe and Asia are The regions with the highest shares of women researchers
actively encouraging doctoral students to study abroad. The are Southeast Europe (49%), the Caribbean, Central Asia and
Vietnamese government, for instance, sponsors the doctoral Latin America (44%). Sub-Saharan Africa counts 30% women
training of its citizens overseas, in order to add 20 000 and South Asia 17%. Southeast Asia presents a contrasting
doctorate-holders to the faculty of Vietnamese universities picture, with women representing 52% of researchers in the
by 2020. Saudi Arabia is taking a similar approach. Malaysia, Philippines and Thailand, for instance, but only 14% in Japan
meanwhile, plans to become the sixth-largest global and 18% in the Republic of Korea (Chapter 3).
destination for international university students by 2020.
Between 2007 and 2012, the number of international Globally, women have achieved parity (4555%) at the
students in Malaysia almost doubled to more than 56000 bachelors and masters levels, where they represent 53% of
(Chapter26). South Africa hosted about 61 000 international graduates. At the PhD level, they slip beneath parity to 43%.

34
 A world in search of an effective growth strategy

The gap widens at the researcher level, where they now only Innovation occurring in countries of all income levels
account for 28.4% of researchers, before becoming a gulf at As Chapter 2 highlights, and contrary to some received wisdom,
the higher echelons of decision-making (Chapter 3). innovative behaviour is occurring in countries spanning all

Chapter 1
income levels. The significant differences in innovation rate
A number of countries have put policies in place to foster and typologies observed among developing countries that
gender equality. Three examples are Germany, where the otherwise have comparable levels of income are of distinct
coalition agreement of 2013 introduced a 30% quota for policy interest. According to a survey of innovation conducted
women on company boards of directors, Japan, where the by the UNESCO Institute for Statistics (Chapter 2), firms
selection criteria for most large university grants now take innovative behaviour tends to be clustered in research hotspots,
into account the proportion of women among teaching such as in coastal regions of China or in the Brazilian State of
staff and researchers, and the Republic of Congo, which So Paolo. The survey suggests that, over time, FDI flows related
established a Ministry for the Promotion of Women and to R&D are spreading innovation more evenly around the world.
Integration of Women in National Development in 2012.
Whereas much high-level policy focuses on fostering
investment in R&D, the innovation survey underscores the
TRENDS IN KNOWLEDGE GENERATION potential importance for firms of acquiring external knowledge
or pursuing non-technological innovation (Chapter 2). The
The EU still leads the world for publications survey confirms the weakness of interaction between firms, on
The EU still leads the world for publications (34%), followed by the one hand, and universities and public laboratories, on the
the USA on 25% (Table 1.4). Despite these impressive figures, other. This worrying trend is highlighted in many chapters of the
the world shares of both the EU and the USA have fallen over present report, including those on Brazil (Chapter 8), the Black
the past five years, as China has pursued its meteoric rise: Sea basin (Chapter 12), Russian Federation (Chapter 13), Arab
Chinese publications have nearly doubled over the past five States (Chapter 17) and India (Chapter 22).
years to 20% of the world total. Ten years ago, China accounted
for just 5% of global publications. This rapid growth reflects the Patenting behaviour provides insights into the impact of
coming of age of the Chinese research system, be it in terms of innovation. Triadic patents a term referring to the same
investment, the number of researchers or publications. invention being patented by the same inventor with the
patenting offices of the USA, EU and Japan provide an
In terms of the relative specializations of countries in scientific indicator of a countrys propensity to pursue technology-
disciplines, Figure 1.5 points to the large differences in based competitiveness at the global level. The overall
specialization among countries. The traditionally dominant dominance of high-income economies in this regard is
scientific countries seem to be relatively strong in astronomy striking (Table 1.5 and Figure 1.6). The Republic of Korea and
and relatively weak in agricultural sciences. This is particularly China are the only countries that have made a significant dent
the case for the UK, which is strong in social sciences. Frances in the dominance of the Triad for this indicator. Although the
scientific strength still seems to lie in mathematics. The USA global share of the non-G20 countries tripled in the ten years
and UK focus more on life sciences and medicine and Japan to 2012, it remains a trifling 1.2%. Table 1.5 likewise illustrates
on chemistry. the extreme concentration of patent applications in North
America, Asia and Europe: the rest of the world barely counts
Among the BRICS countries, there are some striking differences. for 2% of the world stock.
The Russian Federation shows a strong specialization in
physics, astronomy, geosciences, mathematics and chemistry. The United Nations is currently discussing how to
By contrast, Chinas scientific output shows a fairly well- operationalize the proposed technology bank for least
balanced pattern, with the exception of psychology, social developed countries.7 The purpose of the technology bank
and life sciences, where Chinas scientific output is well below will be to enhance the ability of these countries to access
the average. Brazils relative strengths lie in agriculture and life technologies developed elsewhere and to increase their
sciences. Malaysia, not surprisingly, specializes in engineering capacity to patent. In September 2015, the United
and computer sciences. Nations adopted a Technology Facilitation Mechanism
for clean and environmentally sound technologies at a
Over the past five years, several new trends have emerged Summit on Sustainable Development in New York (USA);
in terms of national research priorities. Some of the data on this mechanism will contribute to the implementation of the
scientific publications reflect these priorities but often the Sustainable Development Goals (Agenda 2030) adopted the
classification across disciplines is not detailed enough. For same month.
instance, energy has become an overriding preoccupation
but related research is spread across several disciplines. 7. See: http://unohrlls.org/technologybank

35
UNESCO SCIENCE REPORT

Table 1.4: World shares of scientific publications, 2008 and 2014

Change Publications
(%) World share of Publications per with international
Total publications publications (%) million inhabitants co-authors (%)
2008
2008 2014 2014 2008 2014 2008 2014 2008 2014
World 1 029 471 1 270 425 23.4 100.0 100.0 153 176 20.9 24.9
High-income economies 812 863 908 960 11.8 79.0 71.5 653 707 26.0 33.8
Upper middle-income economies 212 814 413 779 94.4 20.7 32.6 91 168 28.0 28.4
Lower middle-income economies 58 843 86 139 46.4 5.7 6.8 25 33 29.2 37.6
Low-income economies 4 574 7 660 67.5 0.4 0.6 6 9 80.1 85.8
Americas 369 414 417 372 13.0 35.9 32.9 403 428 29.7 38.2
North America 325 942 362 806 11.3 31.7 28.6 959 1 013 30.5 39.6
Latin America 50 182 65 239 30.0 4.9 5.1 93 112 34.5 41.1
Caribbean 1 289 1 375 6.7 0.1 0.1 36 36 64.6 82.4
Europe 438 450 498 817 13.8 42.6 39.3 542 609 34.8 42.1
European Union 379 154 432 195 14.0 36.8 34.0 754 847 37.7 45.5
Southeast Europe 3 314 5 505 66.1 0.3 0.4 170 287 37.7 43.3
European Free Trade Association 26 958 35 559 31.9 2.6 2.8 2 110 2 611 62.5 70.1
Other Europe 51 485 57 208 11.1 5.0 4.5 188 207 27.2 30.3
Africa 20 786 33 282 60.1 2.0 2.6 21 29 52.3 64.6
Sub-Saharan Africa 11 933 18 014 51.0 1.2 1.4 15 20 57.4 68.7
Arab States in Africa 8 956 15 579 74.0 0.9 1.2 46 72 46.0 60.5
Asia 292 230 501 798 71.7 28.4 39.5 73 118 23.7 26.1
Central Asia 744 1 249 67.9 0.1 0.1 12 18 64.0 71.3
Arab States in Asia 5 842 17 461 198.9 0.6 1.4 46 118 50.3 76.8
West Asia 22 981 37 946 65.1 2.2 3.0 239 368 33.0 33.3
South Asia 41 646 62 468 50.0 4.0 4.9 27 37 21.2 27.8
Southeast Asia 224 875 395 897 76.1 21.8 31.2 105 178 23.7 25.2
Oceania 35 882 52 782 47.1 3.5 4.2 1 036 1 389 46.8 55.7
Other groupings
Least developed countries 4 191 7 447 77.7 0.4 0.6 5 8 79.7 86.8
Arab States all 14 288 29 944 109.6 1.4 2.4 44 82 45.8 65.9
OECD 801 151 899 810 12.3 77.8 70.8 654 707 25.8 33.3
G20 949 949 1 189 605 25.2 92.3 93.6 215 256 22.4 26.2
Selected countries
Argentina 6 406 7 885 23.1 0.6 0.6 161 189 44.9 49.3
Brazil 28 244 37 228 31.8 2.7 2.9 147 184 25.6 33.5
Canada 46 829 54 631 16.7 4.5 4.3 1 403 1 538 46.6 54.5
China 102 368 256 834 150.9 9.9 20.2 76 184 23.4 23.6
Egypt 4 147 8 428 103.2 0.4 0.7 55 101 38.0 60.1
France 59 304 65 086 9.7 5.8 5.1 948 1 007 49.3 59.1
Germany 79 402 91 631 15.4 7.7 7.2 952 1 109 48.6 56.1
India 37 228 53 733 44.3 3.6 4.2 32 42 18.5 23.3
Iran 11 244 25 588 127.6 1.1 2.0 155 326 20.5 23.5
Israel 10 576 11 196 5.9 1.0 0.9 1 488 1 431 44.6 53.1
Japan 76 244 73 128 -4.1 7.4 5.8 599 576 24.5 29.8
Malaysia 2 852 9 998 250.6 0.3 0.8 104 331 42.3 51.6
Mexico 8 559 11 147 30.2 0.8 0.9 74 90 44.7 45.9
Republic of Korea 33 431 50 258 50.3 3.2 4.0 698 1 015 26.6 28.8
Russian Federation 27 418 29 099 6.1 2.7 2.3 191 204 32.5 35.7
South Africa 5 611 9 309 65.9 0.5 0.7 112 175 51.9 60.5
Turkey 18 493 23 596 27.6 1.8 1.9 263 311 16.3 21.6
United Kingdom 77 116 87 948 14.0 7.5 6.9 1 257 1 385 50.4 62.0
United States of America 289 769 321 846 11.1 28.1 25.3 945 998 30.5 39.6

Note: The sum of the numbers for the various regions exceeds the total number because papers with multiple authors from different
regions contribute fully to each of these regions.
Source: Data from Thomson Reuters Web of Science Science Citation Index Expanded compiled for UNESCO by Science-Metrix, May 2015

36
 Agricultural sciences
0.6
Figure 1.5: Trends in scientific publications worldwide,
A world in search of an2008 and
effective
0.5
0.4
2014
growth strategy
Astronomy Social sciences
0.3

13.8% 60.1% 109.6%

0.2
Psychology 0.1 Biological
0.0
-0.1 sciences
Agricultural sciences -0.2
-0.3
0.6 -0.4
Social sciences 0.5 Astronomy -0.5
Growth in publications with authors
0.4 Growth in publications with authors
Physics Growth-0.6
in publications with authors from
Chemistry
0.3 -0.7
from Europe between 2008 and0.22014 from Africa between 2008 and 2014 Arab states between 2008 and 2014

Chapter 1
Psychology 0.1 Biological
0.0
-0.1 sciences
-0.2 Agricultural sciences
-0.3 Other life 0.6 Computer
-0.4 Social sciences Astronomy sciences
-0.5 sciences 0.5
0.4
Physics -0.6 Chemistry 0.3
Scientific specialization in large advanced
-0.7 0.2
0.1
Psychology Biological
economies Medical sciences 0.0
-0.1
Engineering
sciences
-0.2
France
Other life tops G7 counties for its specialization
Computer Mathematics -0.3
-0.4 Geosciences
in mathematics
sciences sciences
Physics USA
-0.5
UK
-0.6 Canada Chemistry
-0.7
Germany France Japan
G7 countries
Medical sciences diverge the most in their
Engineering
specialization in psychology and social
sciences Mathematics Geosciences Other life Computer
sciences sciences
USA UK Canada
Germany France Japan
Agricultural sciences
Medical sciences Engineering
0.6
USA Germany Canada Social sciences 0.5 Astronomy
0.4
UK France Japan Mathematics 0.3 Geosciences
0.2
Psychology USA UK0.1 Canada
Biological
0.0
Germany France
-0.1 Japansciences
China Brazil sciences Russian Fed.
Agricultural Scientific specialization in large emerging
-0.2
-0.3
India sciences Korea, Rep.0.6 South Africa
Social 0.5 Astronomy economies -0.4
-0.5
0.4
0.3
Physics -0.6
-0.7
Chemistry
0.2 The Russian Federation tops large emerging
Psychology
Turkey Malaysia 0.1 Mexico Biological
0.0
-0.1 sciences economies in geosciences, physics and
Arab Latin America Sub-Saharan Africa
States
-0.2
(minus Brazil) (minus S. Africa) mathematics but trails them
Agricultural sciencesin life sciences
-0.3 Other life 0.6 Computer
-0.4 Social sciences Astronomy sciences
-0.5 sciences 0.5

Physics -0.6
-0.7
Chemistry The Republic of Korea, China and India
0.4
0.3
dominate engineering and chemistry Biological
Psychology
0.2
0.1
Medical sciences 0.0 Engineering
-0.1 sciences
Brazil specializes in agricultural
Mathematics
sciences,
-0.2
-0.3
Geosciences
Other life Computer
sciences sciences South Africa in astronomy
USA Germany -0.4 Canada
-0.5
Physics UK China Brazil -0.6
France -0.7
Russian Fed.
Japan Chemistry
India Korea, Rep. South Africa
Medical sciences Engineering
China Brazil Russian Fed.
Mathematics Geosciences Other life Computer
India Korea, Rep. South Africa
sciences sciences
China Brazil Russian Fed.
India Korea, Rep. South Africa
Scientific specialization in other emerging Turkey
Medical sciences
Agricultural sciences
Malaysia Mexico
Engineering
national and regional economies Social
Arab sciences 0.6
Latin America
0.5 Astronomy
Sub-Saharan Africa
0.4
States Mathematics
(minus Brazil)
0.3 (minus S. Africa)
Geosciences
Sub-Saharan Africa and Latin America have 0.2
Psychology China Brazil 0.1 Russian Fed.
Biological
a similar
USA concentration
Germany in agriculture
Canada and
India
0.0
Korea,-0.1
Rep. sciences
South Africa
geosciences
UK France
Agricultural sciences
Japan -0.2
-0.3
0.6 -0.4
Social sciences 0.5 Astronomy -0.5
The Arab States focus most on mathematics
0.4
0.3
Physics -0.6 Chemistry
China Brazil
Russian Fed. -0.7
and least on psychology 0.2
India
Psychology Korea, Rep.0.1 South Africa
Biological
0.0
-0.1 sciences
-0.2 Agricultural sciences
-0.3 Other life 0.6 Computer
Social sciences Astronomy sciences
Turkey Malaysia -0.4
-0.5 Mexico sciences 0.5
0.4
PhysicsArab -0.6
Latin America
-0.7
Chemistry
Sub-Saharan Africa 0.3
0.2
States (minus Brazil) (minus S. Africa) 0.1
Psychology Biological
Medical sciences 0.0 Engineering
-0.1 sciences
Source: UNU-MERIT, based on the Web of Science (Thomson Reuters); -0.2
-0.3
Other
data life
treatment by ScienceMetrix Computer Mathematics -0.4 Geosciences
sciences sciences -0.5
Turkey
Physics Malaysia -0.6 Sub-Saharan AfricaChemistry
(S. Africa)
-0.7
Mexico Arab States Latin America (Brazil)
37
Medical sciences Engineering

Other life Computer

UNESCO SCIENCE REPORT

Table 1.5: Patents submitted to USPTO, 2008 and 2013

By region or country of inventor
USPTO patents
Total World share (%)
2008 2013 2008 2013
World 157 768 277 832 100.0 100.0
High-income economies 149 290 258 411 94.6 93.0
Upper middle-income economies 2 640 9 529 1.7 3.4
Lower middle-income economies 973 3 586 0.6 1.3
Low-income economies 15 59 0.0 0.0
Americas 83 339 145 741 52.8 52.5
North America 83 097 145 114 52.7 52.2
Latin America 342 829 0.2 0.3
Caribbean 21 61 0.0 0.0
Europe 25 780 48 737 16.3 17.5
European Union 24 121 45 401 15.3 16.3
Southeast Europe 4 21 0.0 0.0
European Free Trade Association 1 831 3 772 1.2 1.4
Other Europe 362 773 0.2 0.3
Africa 137 303 0.1 0.1
Sub-Saharan Africa 119 233 0.1 0.1
Arab States in Africa 18 70 0.0 0.0
Asia 46 773 83 904 29.6 30.2
Central Asia 3 8 0.0 0.0
Arab States in Asia 81 426 0.1 0.2
West Asia 1 350 3 464 0.9 1.2
South Asia 855 3 350 0.5 1.2
Southeast Asia 44 515 76 796 28.2 27.6
Oceania 1 565 2 245 1.0 0.8
Other groupings
Least developed countries 7 23 0.0 0.0
Arab States all 99 492 0.1 0.2
OECD 148 658 257 066 94.2 92.5
G20 148 608 260 904 94.2 93.9
Selected countries
Argentina 45 114 0.0 0.0
Brazil 142 341 0.1 0.1
Canada 3 936 7 761 2.5 2.8
China 1 757 7 568 1.1 2.7
Egypt 10 52 0.0 0.0
France 3 683 7 287 2.3 2.6
Germany 9 901 17 586 6.3 6.3
India 848 3 317 0.5 1.2
Iran 3 43 0.0 0.0
Israel 1 337 3 405 0.8 1.2
Japan 34 198 52 835 21.7 19.0
Malaysia 200 288 0.1 0.1
Mexico 90 217 0.1 0.1
Republic of Korea 7 677 14 839 4.9 5.3
Russian Federation 281 591 0.2 0.2
South Africa 102 190 0.1 0.1
Turkey 35 113 0.0 0.0
United Kingdom 3 828 7 476 2.4 2.7
United States of America 79 968 139 139 50.7 50.1

Note: The sum of the numbers and percentages for the various regions exceeds the total because patents with multiple inventors from different regions
contribute fully to each of these regions.
Source: Data from United States Patents and Trademark Office (USPTO) PATSTAT, database compiled for UNESCO by Science-Metrix, June 2015

38
Figure 1.6: Trends in triadic patents worldwide,
A world 2002,
in search 2007
of an and 2012
effective growth strategy
Number of triadic patents, 2002, 2007 and 2012
20 000

2002
2007
2.2%

Chapter 1
17 523

17 355 2012
16 828

Switzerlands world share of triadic patents

16 511
15 000 in 2012, up from 1.8% in 2002, the biggest
15 391

15 101

13 971 leap among high-income countries

13 910

13 765
10 000 -40.2%
Australias rate of decline in triadic patents
between 2002 and 2012 (from an 0.9%
to 0.6% world share), the sheerest drop
among the G20
5 000 2 878

2 843

2 660
2 666
1 984

1 851
1 570

856
694

603
435

399
458
272

205
0
Japan European USA Republic Other high- China Other G20 Rest of
Union28 of Korea income members the world
economies

Among the Triad, the European Union and USA showed the greatest contraction in their world
share of triadic patents between 2002 and 2012

The Republic of Koreas share of triadic patents almost doubled to 5.5% between 2002 and 2012

Chinas share of triadic patents grew from 0.5% to 3.6% and the other G20 members doubled their
world share to 1.6%, on average

Global shares of triadic patents, 2002 and 2012 (%)

USA

29.5 Korea, Rep. 26.5

5.5
2.8 Other high-income
economies
5.1 5.1
0.5 China
0.8 3.6
2002 0.4 2012
1.6
1.2
Other G20 members

31.0 26.9
Rest of the world

USA 30.0 Japan 29.6

Japa
n
European Union28
Chin
a of countries in the USPTO database, 2002, 2007 and 2012; triadic patents are a series of corresponding patents filed at the European
Note: Nowcasting triadic patents
A
US(USPTO) and the Japan Patent Office (JPO) for the same invention, by the same applicant or inventor.
Patent Office (EPO), the United States Patent and Trademark Office

an
Source: UNESCO Institute for Statistics based on OECD online databasep(OECD.Stat), August 2015
Ja
ina
Ch
39
 Figure 1.7: World shares of GDP, GERD, researchers and publications for the G20, 2009 and 2013 (%)

40
36.4
34.0
6.4
5.7

22.5

21.4
22.2
2.6
2.6

2.5
2.3

2.0

30.5
1.7

19.1

19.1

28.1
-1
27.4
16.9
Russian

25.3
Federation
20.2

19.6
19.1

18.1
7.7

17.9
7.2

7.3
6.9
16.7

16.7
UNESCO SCIENCE REPORT

6.0

16.7
16.1

5.7

4.5
4.3
4.6
4.6

3.7
13.8

3.6
13.4

3.3
3.4

3.0

2.8
2.6
2.5

1.9
2.2

1.6
2.1

1.5
1.5
11.1
10.4
9.6
9.5
8.5
7.0

Canada UK Germany European Union

5.8

5.7
5.1
4.7

4.4

5.1
4.1
4.0

4.6
4.5
3.6
3.5
3.4

3.5
3.4
3.4

3.1

2.6
2.4
1.8
1.8

2.2
1.9
1.9
1.9

1.7
1.5
1.4
1.4
1.2
0.8

1.1
1.1

0.7
0.6
USA France Italy Turkey China Korea, Rep. Japan

1.9
1.8
1.5
1.4

0.9
0.8

0.6
6.7

0.9

0.5
0.5
6.0

0.2

0.1
4.2
3.6

3.0

Mexico
2.8+1

Saudi Arabia

India
2.4
2.2
0.3

0.1
0.1
0.1
0.1

3.1
3.0
2.9
2.8

2.1
2.2-1
Indonesia

1.9
Note: For publications, the sum of
individual G20 members shares
exceeds the share of the G20 as a Brazil
group, as publications with co-authors
from more than one G20 member
3.7
3.1

0.7
0.6

0.7
0.7

0.4
0.3
0.3

are included under each individual

0.3-1
1.5-1
1.3-2
1.3-1

1.0
1.0

country concerned but are counted

only once in the G20 total.
South Africa
Australia

0.9
0.9
0.6
0.7
0.6
0.6

0.3
0.3-1
Source: for GERD (PPP$) and
researchers: estimations by UNESCO
Institute for Statistics, July 2015; for
Argentina
GDP (PPP$): World Banks World
Development Indicators, April 2015; World share of GDP, 2009 World share of GERD, 2009 World share of researchers, 2009 World share of publications, 2009
for publications: Thomson Reuters
World share of GDP, 2013 World share of GERD, 2013 World share of researchers, 2013 World share of publications, 2014
Web of Science; data treatment by
ScienceMetrix
 A world in search of an effective growth strategy

A CLOSER LOOK AT COUNTRIES In the United States of America (Chapter 5), GDP has been
on the upswing since 2010. However, the recovery from the
AND REGIONS
20082009 recession remains fragile. Despite the decline

Chapter 1
More countries are covered by the UNESCO Science Report in unemployment levels, wages have stagnated. There is
this time than ever before. This reflects the growing evidence that the economic stimulus package of 2009,
acceptance worldwide of STI as a driver of development. The formally known as the American Recovery and Reinvestment
following section summarizes the most insightful trends and Act, may have buffered immediate job losses for those
developments emerging from Chapters 4 to 27. working in science and technology, since a significant portion
of this stimulus package went to R&D.
Canada (Chapter 4) has managed to dodge the worst
shockwaves from the US financial crisis of 2008, thanks to Since 2010, federal investment in R&D has stagnated in
a robust banking industry and strong energy and natural the wake of the recession. Despite this, industry has largely
resource sectors, but this is now changing with the decline in maintained its commitment to R&D, particularly in growing,
global oil prices since 2014. high-opportunity sectors. As a result, total R&D spending has
dipped only slightly and the balance of spending has shifted
Two important weaknesses highlighted by the UNESCO further towards industrial sources since 2010. GERD is now
Science Report 2010 persist: a tepid private-sector rising and the business sectors investment in innovation
commitment to innovation and the lack of a strong national appears to be accelerating.
agenda for talent and training in scientific and engineering
fields. Academic research remains relatively strong, overall, Most of the 11 agencies that conduct the bulk of federally
with publications outperforming the OECD average in terms funded R&D have seen flat R&D budgets for the past five
of average citation rate, but Canada is slipping in higher years. The Department of Defense has even experienced a
education rankings. An additional vulnerability has emerged: steep decline, reflecting the winding down of the intervention
a policy agenda focused almost exclusively on using science in Afghanistan and Iraq and the lesser need for related
to power commerce, often to the detriment of critical public technologies. The decline in non-defence R&D appears to
good science, alongside the downsizing of government be due to a combination of decreasing federal budgets
science agencies and departments. for specific research and the budget sequester instigated
by Congress in 2013, which has enacted US$1 trillion in
A recent government review has identified a possible automatic cuts to the federal budget to reduce the deficit.
disconnect between Canadas strengths in science and
technology, on the one hand, and industrial R&D and This trend is having the greatest impact on basic research
economic competitiveness, on the other. Although and public-interest science in such areas as life sciences,
overall industrial R&D remains weak, four industries energy and climate, which happen to be priority areas
display considerable strength: aerospace products and for the executive branch of government. In order to take
parts manufacturing; ICTs; oil and gas extraction; and up the grand challenges in priority areas announced by
pharmaceutical manufacturing. the president in 2013, the executive is fostering tripartite
industrynonprofitgovernment partnerships. Some
Between 2010 and 2013, Canadas GERD/GDP fell to its lowest milestones built on this collaborative model are the BRAIN
level in a decade (1.63%). In parallel, the share of business Initiative, the Advanced Manufacturing Partnership and the
funding of R&D receded from 51.2% (2006) to 46.4%. The American Business Act on Climate Pledge that received a
pharmaceutical, chemical, primary and fabricated metals US$140 billion commitment from its industrial partners in
industries have all experienced an erosion in R&D spending. 2015.
Consequently, the number of personnel employed in
industrial R&D shrank by 23.5% between 2008 and 2012. While business R&D has been thriving, budget restrictions
have resulted in deep cuts to universities research budgets.
Notable developments since 2010 include a renewed focus Universities have responded by seeking new sources of
on polar research and knowledge, enhanced support for funding from industry and relying heavily on temporary
universities, growing applications of genomics through contract or adjunct workers. This is affecting the morale of
Genome Canada, a Venture Capital Action Plan (2013), a both young and established scientists and inciting some
Canadian partnership with the EUs Eureka programme and to change career course or emigrate. In parallel, the rate of
an International Education Strategy to attract more foreign return migration among foreign students based in the USA
students to Canadas shores and maximize opportunities for is rising as levels of development in their country of origin
global partnerships. improve.

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UNESCO SCIENCE REPORT

The countries of the Caribbean Common Market However, with the exception of Brazil (Chapter 8), no Latin
(CARICOM) (Chapter 6) have been hit by the post-2008 American country has an R&D intensity comparable to that
economic slowdown in developed countries, on which of dynamic emerging market economies. To narrow this
they are highly dependent for trade. After meeting their gap, countries need to start by augmenting the number
debt obligations, there is little left over for the state to of researchers. It is, thus, encouraging that investment
spend on socio-economic development. Many countries in higher education is on the rise; so, too, are scientific
also rely heavily on volatile earnings from tourism and production and international scientific collaboration.
remittances.
Latin Americas modest performance in patenting reveals
The region is vulnerable to natural disasters. A costly and a lack of zeal for technology-driven competitiveness. There
ageing fossil-fuel-based energy infrastructure and acute is a trend towards greater patenting in natural resource-
vulnerability to climate change make renewable energy an related sectors such as mining and agriculture, however,
obvious focus for future research. The Caribbean Community largely through public research institutions.
Climate Change Centre Plan (20112021) for climate change
mitigation and resilient development is a key step in this In order to harness STI to development more effectively,
direction. some Latin American countries have adopted measures to
support strategic sectors such as agriculture, energy and
Health is another key priority, the region boasting several ICTs, including a focus on biotechnologies and
centres of excellence in this field. One of these, St Georges nanotechnologies. Examples are Argentina, Brazil, Chile,
University, produces 94% of Grenadas refereed publications. Mexico and Uruguay. Other countries are targeting science
Thanks to the impressive growth in output from this and research funding to expand endogenous innovation,
university in recent years, Grenada is now only surpassed by such as Panama, Paraguay and Peru, or promoting broad-
the larger Jamaica and Trinidad and Tobago for the volume based strategies to foster competitiveness, as in the
of internationally catalogued publications. Dominican Republic and El Salvador.

One of the regions greatest challenges will be to develop Technologies fostering sustainable development are an
a more vibrant research culture. Even the more affluent emerging priority throughout Latin America, especially in
Trinidad and Tobago spends just 0.05% of GDP (2012) on the area of renewable energy, but the region needs to do
R&D. Poor data hamper evidence-based STI policy-making much more to close the gap with dynamic emerging markets
in most countries. Existing pockets of research excellence in technology-focused manufacturing. A first step will be to
in academia and business tend to owe more to dynamic instil greater stability in long-term STI policy-making and to
individuals than to any particular policy framework. prevent a proliferation of strategies and initiatives.

The Strategic Plan for the Caribbean Community (20152019) Brazil (Chapter 8) has faced an economic slowdown since
is a first for the region. This planning document advocates 2011 that has affected its capacity to push on with socially
nurturing innovation and creativity, entrepreneurship, inclusive growth. The slowdown has been triggered by
digital literacy and inclusiveness. CARICOM countries stand weaker international commodities markets, coupled with
to gain a lot from a genuinely regional approach to STI by the perverse effects of economic policies designed to fuel
reducing duplication and promoting synergies in research. consumption. In early 2015, Brazil entered into recession for
There are already some bases to build upon, including the the first time in six years.
regional University of the West Indies and the Caribbean
Science Foundation. Labour productivity has stagnated, despite a range
of policies to revive it. Since productivity levels are an
Socio-economic development in Latin America (Chapter 7) indication of the rate of absorption and generation of
has slowed after a buoyant decade, especially for the innovation, this trend suggests that Brazil has not managed
regions commodity exporters, but high-tech production to harness innovation to economic growth. The Brazilian
and exports remain marginal for most Latin American experience is akin to that of the Russian Federation and
countries. South Africa, where labour productivity has stagnated since
1980, unlike in China and India.
There is, however, a growing public policy focus on research
and innovation. Several countries now have sophisticated Brazils R&D intensity in both the government and business
STI policy instruments in place. The region is also leading enterprise sectors has grown but the GERD/GDP ratio failed
efforts to understand and promote the role of indigenous to reach the government target of 1.50% by 2010 (1.15% in
knowledge systems for development. 2012) and business stands no chance of contributing the

42
 A world in search of an effective growth strategy

desired 0.90% of GDP by 2014 (0.52% in 2012). Public and

Table 1.6: Internet users per 100 population,
2008 and 2013 private firms have actually reported a drop in innovation
activity since 2008. Among the targets set by the four-year

Chapter 1
2008 2013
World 23.13 37.97 plan Brasil Maior (Larger Brazil), only that for expanding
High-income economies 64.22 78.20 access to fixed broadband internet has seen tangible
Upper middle-income economies 23.27 44.80 progress. Brazils share of world exports has actually
Lower middle-income economies 7.84 21.20 receded (see also Table 1.6).
Low-income economies 2.39 7.13
Americas 44.15 60.45 The governments efforts to overcome rigidities in the
North America 74.26 84.36 public research system by instituting a category of
Latin America 27.09 47.59
autonomous research bodies (social organizations) to
Caribbean 16.14 30.65
pave the way for research institutions to apply modern
Europe 50.82 67.95
management methods and develop closer ties with
European Union 64.19 75.50
industry has produced some success stories in fields such
Southeast Europe 34.55 57.42
as applied mathematics or sustainable development.
European Free Trade Association 83.71 90.08
Research excellence nevertheless remains concentrated in
Other Europe 25.90 53.67
a handful of institutions situated mainly in the south.
Africa 8.18 20.78
Sub-Saharan Africa 5.88 16.71
Arab States in Africa 17.33 37.65
The volume of Brazilian publications has swelled in
Asia 15.99 31.18 recent years but patenting by Brazilians in key global
Central Asia 9.53 35.04 markets remains low. Technology transfer from public
Arab States in Asia 19.38 38.59 research institutions to the private sector remains a major
West Asia 14.37 37.84 component of innovation in fields ranging from medicine to
South Asia 4.42 13.74 ceramics, agriculture and deep-sea oil drilling. Two national
Southeast Asia 24.63 43.58 laboratories have been set up since 2008 to foster the
Oceania 54.50 64.38 development of nanotechnology. Universities now have the
Other groupings capacity to develop nanoscale materials for drug delivery
Least developed countries 2.51 7.00 but, since domestic pharmaceutical companies dont have
Arab States all 18.14 38.03 internal R&D capabilities, universities have to work with
OECD 63.91 75.39 them to push new products and processes out to market.
G20 28.82 44.75
Selected countries Since 2008, the European Union (Chapter 9) has been in a
Argentina 28.11 59.90 protracted debt crisis. Unemployment rates have soared,
Brazil 33.83 51.60
especially for the young. As it strives to shore up its macro-
Canada 76.70 85.80
economic governance, the worlds most advanced project
China 22.60 45.80
for economic and political union between sovereign states
Egypt 18.01 49.56
is searching for a growth strategy that works.
France 70.68 81.92
Germany 78.00 83.96
Europe 2020, the ten-year strategy adopted in 2010 for
India 4.38 15.10
smart, sustainable and inclusive growth, is striving to
Iran 10.24 31.40
reposition the EU to reach the unfulfilled goals of its
Israel 59.39 70.80
Japan 75.40 86.25
earlier Lisbon Strategy by raising investment in R&D
Malaysia 55.80 66.97
(1.92% of GDP in 2013), completing the internal market
Mexico 21.71 43.46 (especially in services) and promoting the use of ICTs.
Republic of Korea 81.00 84.77 Additional programmes have been launched since 2010,
Russian Federation 26.83 61.40 including the ambitious Innovation Union. In July 2015, the
South Africa 8.43 48.90 Juncker Commission added a European Fund for Strategic
Turkey 34.37 46.25 Investment to the EUs growth policy arsenal, a small public
United Kingdom 78.39 89.84 budget ( 21 billion) being used to leverage 14 times more
United States of America 74.00 84.20 (294 billion) in private investment.
Source: for data on internet users: International Telecommunications Union/
ICT Indicators database, June 2015, and estimations by UNESCO Institute for Europe remains a pole of excellence and international co-
Statistics; for population, United Nations Department of Economic and Social
operation in basic research. The first pan-European funding
Affairs, Population Division (2013) World Population Prospects: the 2012 Revision
body for frontier research was set up in 2008: the European

43
UNESCO SCIENCE REPORT

Research Council (ERC). Between 2008 and 2013, one-third Institute for Statistics of bringing the regions statistics up to
of all ERC grantees co-authored articles listed among the top EU standards by 2018.
1% most highly cited publications worldwide. The Horizon
2020 programme for research and innovation, which has The European Free Trade Association (Chapter 11)
been endowed with by far the biggest budget yet of any EU encompasses four wealthy countries which remain strongly
framework programme (nearly 80 billion), is expected to integrated with the EU, yet distinct from it. The European
boost EU scientific output further. Economic Area agreement signed two decades ago gives
Iceland, Liechtenstein and Norway fully associated partner
Although the R&D intensity of the ten countries which joined status in EU research programmes. Switzerlands involvement
the EU in 2004 remains lower than that of the older members, in the latter, while traditionally strong, has recently been
the gap is narrowing. The same cannot be said of Bulgaria, confined to temporary arrangements limiting participation
Croatia and Romania, which contributed less to EU GERD in in key programmes like Excellent Science, pending the
2013 than in 2007. resolution of a dispute with the EU over the implications of
the February 2014 Swiss referendum for the free movement
Several member states are promoting technology-intensive of EU researchers in Switzerland.
manufacturing, including France and Germany, or seeking
ways to give SMEs greater access to finance. Of some concern Switzerland figures in the top three OECD countries for
is the fact that the innovation performance of 13 countries innovation. It has a research-intensive private sector, even
out of 28 has slipped, owing to a declining share of innovative though the share of Swiss firms investing in innovation has
companies, fewer publicprivate scientific partnerships and a recently fallen. Switzerland owes its success partly to its ability
lesser availability of risk capital. to attract international talent to private industry and the
university sector.
Southeast European (Chapter 10) economies are at different
stages of EU integration, which remains a common goal: At 1.7 (2013), Norways GERD/GDP ratio remains below
whereas Slovenia has been part of the Eurozone since 2007, the EU28 average and the level of Iceland (1.9 in 2013)
Bosnia and Herzegovinas Stabilisation and Association and Switzerland (3.0 in 2012). Norways share of the adult
Agreement with the EU only entered into force in June 2015. population with tertiary qualifications and/or engaged in the
In July 2014, all non-EU countries in the region announced STI sector is one of the highest in Europe. Unlike Switzerland,
their decision to join the EUs Horizon 2020 programme. Norway struggles to attract international talent and to
transform scientific knowledge into innovative products;
Slovenia is often considered a leader in the region. Its GERD/ it also counts a small proportion of high-tech companies
GDP ratio rose from 1.63% to 2.59% between 2008 and 2013, conducting R&D. These trends may reflect weak incentives to
albeit within a contracting GDP. Slovenia is also the only compete in an oil-rich welfare state.
country in Southeast Europe where business enterprises fund
and perform the majority of R&D. Although business R&D has Iceland was severely hit by the global financial crisis of 2008.
stagnated in most other countries, R&D intensity has risen Its R&D intensity declined from 2.6 to 1.9 between 2007 and
in Bosnia and Herzegovina, the Former Yugoslav Republic 2013. Despite being confronted with brain drain, Iceland has
of Macedonia and Serbia; as of 2012, it was close to 1% in an excellent publication record, largely due to a highly mobile
Serbia (0.91), which was also performing better in innovation younger generation of scientists. Most spend at least part of
surveys. However, even the more industrialized countries their career abroad and half of all doctorates are awarded in
of Croatia and Serbia suffer from weak universityindustry the USA.
linkages. Strong growth in the number of doctorate-holders
has enabled researcher density to grow in most countries. Despite Liechtensteins tiny size, some of its internationally
competitive companies in machinery, construction and
In 2013, governments adopted the SEE 2020 Strategy medical technology conduct a high level of R&D.
mirroring its EU namesake, in which they commit to raising
their R&D intensity and boosting the size of their highly skilled Seldom viewed as a region, the countries of the Black Sea
labour force. This strategy is complemented by the Western basin (Chapter 12) are middle-income economies that face
Balkans Regional Research and Development Strategy for similar challenges with regard to STI. Although they have
Innovation (2013) promoting technology transfer from public followed different trajectories, most Black Sea countries appear
research organizations to the private sector and greater to be converging in terms of educational attainment and, for
collaboration with industry; it advocates smart specialization the larger ones (such as Turkey and Ukraine), in terms of their
in high-opportunity areas, such as green innovation and level of industrialization. Most are feeling the gravitational pull
energy, and includes a component promoted by the UNESCO of the EU in international scientific collaboration.

44
 A world in search of an effective growth strategy

In their strategic documents, all seven Black Sea countries Despite government efforts, the financial contribution of
acknowledge the importance of science-based innovation industry to GERD in the Russian Federation fell from 33%
for long-term productivity growth, including Azerbaijan to 28% between 2000 and 2013, even though industry

Chapter 1
where R&D intensity had struggled to keep up with oil-driven performs 60% of GERD. Generally speaking, a low proportion
growth in the 2000s. In the historically more industrialized of industrial investment goes towards acquiring new
post-Soviet states of Belarus and Ukraine, GERD is no longer technologies and technology-based start-ups remain
as high as in the heady days of the 1980s but remains on a uncommon. The modest investment so far in sustainable
par (0.70.8% of GDP) with less ambitious middle-income technologies can largely be explained by the business
economies. sectors tepid interest in green growth. Only one in four
(26%) innovative enterprises are producing inventions in the
In the other, less populous post-Soviet states (Armenia, environmental field. The government has high hopes for the
Georgia and Moldova), post-transition instability and long- Skolkovo Innovation Centre, a high-tech business complex
term policy and funding neglect have rendered much of being built near Moscow to attract innovative companies
the Soviet-era research infrastructure obsolete and severed and nurture start-ups in five priority areas: energy efficiency
modern industryscience linkages. These countries do have and energy saving; nuclear technologies; space technologies;
exploitable assets, though. Armenia, for instance, can boast of biomedicine; and strategic computer technologies and
scientific excellence in ICTs. software. A law adopted in 2010 provides residents with
generous tax benefits for 10 years and makes provision for the
All six post-Soviet states suffer from severe lacunae when it establishment of the Skolkovo Fund to support development
comes to the availability or comparability of data on R&D and of a university on site. One of the centres biggest partners is
personnel, partly because this aspect of their transition to the Massachusetts Institute of Technology (USA).
advanced economies remains incomplete.
Low business patenting illustrates the weak synergies
Coming from a lower starting point, Turkey has been between a relatively determined government effort to
surpassing the other Black Sea countries for many promote economically relevant research and a business
quantitative measures of STI input. Its equally impressive sector unfocused on innovation. For example, since the
socio-economic transformation over the past decade appears government made nanotechnology a priority growth area in
to have been mostly driven by medium-tech production. 2007, production and exports have grown but the patenting
Turkey could still learn from the other shores of the Black Sea intensity of related research has been very low.
why an early emphasis on strong educational attainment is
so important for building technological excellence. In turn, its Scientific production has shown modest growth but is
neighbours could learn from Turkey that a highly educated making a relatively low impact. A recent government
labour force and R&D alone do not lead to innovation; you initiative has shaken up university research by establishing
also need a business-friendly economic environment and a Federal Agency for Research Organizations to take over
contestable markets. the role of financing and managing the property of research
institutes from the Russian Academy of Sciences. In 2013, the
Economic growth has slowed in the Russian Federation government set up the Russian Science Foundation to expand
(Chapter 13) since the global financial crisis (2008) and the the spectrum of competitive funding mechanisms for research.
country has been in recession since the third-quarter of
2014, following the sharp drop in global oil prices and the The countries of Central Asia (Chapter 14) are gradually
imposition of sanctions by the EU and USA in reaction to the moving from a state-controlled to a market economy.
events in Ukraine. Although both exports and imports grew impressively during
the commodities boom of the past decade, these countries
Reforms implemented since 2012 as part of an innovation- remain vulnerable to economic shocks, owing to their reliance
led growth strategy have failed to overcome the structural on exports of raw materials, a restricted circle of trading
weaknesses which hamper growth in the Russian Federation, partners and a negligible manufacturing capacity.
including limited market competition and persistent barriers
to entrepreneurship. These reforms include an attempt All but Uzbekistan halved the number of its national
to attract researchers to research deserts by raising their research institutions between 2009 and 2013. These centres
salaries and providing incentives for state-owned enterprises established during the Soviet period have since become
to innovate. Government appropriations for R&D in 2013 obsolete with the development of new technologies and
reflected a greater orientation towards the needs of industry changing national priorities. As part of a drive modernize
than five years earlier, to the detriment of basic research, infrastructure, Kazakhstan and Turkmenistan are both
which was down from 26% to 17% of the total. building technology parks and grouping existing institutions

45
UNESCO SCIENCE REPORT

to create research hubs. Bolstered by strong economic July 2015 may help the government to reach its target of
growth in all but Kyrgyzstan, national development raising GERD to 3% of GDP.
strategies are fostering new high-tech industries, pooling
resources and orienting the economy towards export As economic sanctions have tightened their grip, the
markets. government has sought to boost endogenous innovation.
The Innovation and Prosperity Fund was established by law
Three universities have been set up in Central Asia in recent in 2010 to support investment in R&D by knowledge-based
years to foster competence in strategic economic areas: firms and the commercialization of research results, as well
Nazarbayev University in Kazakhstan, Inha University in as to help SMEs acquire technology. Between 2012 and late
Uzbekistan, specializing in ICTs, and the International Oil 2014, it planned to allocate 4 600 billion Iranian rials (circa
and Gas University in Turkmenistan. Countries are not only US$ 171.4 million) to 100 knowledge-based companies.
bent on augmenting the efficiency of traditional extractive
sectors but also wish to make greater use of ICTs and other Although sanctions have caused a shift in Irans trading
modern technologies to develop the business sector, partners from West to East, scientific collaboration has
education and research. remained largely oriented towards the West. Between
2008 and 2014, the top foreign partners for scientific co-
This ambition is hampered by chronic low investment authorship were the USA, Canada, the UK, Germany and
in R&D. Over the past decade, the regions GERD/GDP Malaysia. Ties with Malaysia are growing: one in seven
ratio has hovered around 0.20.3%. Uzbekistan broke foreign students in Malaysia is now of Iranian origin (see
with this trend in 2013 by raising its own R&D intensity to Chapter 26).
0.41%. Kazakhstan is the only country where the business
enterprise and private non-profit sectors make any Over the past decade, several research centres and 143
significant contribution to R&D but R&D intensity overall companies have been established in nanotechnology. By
is very low in Kazakhstan: just 0.17 in 2013. Nevertheless, 2014, Iran ranked seventh worldwide for the volume of
spending on scientific and technological services has risen papers related to nanotechnology, even if few patents are
strongly in this country, suggesting a growing demand for being granted to inventors, as yet.
R&D products. This trend is also revealing of enterprises
preference for purchasing embodied technological solutions Israel (Chapter 16) has the worlds most R&D-intensive
in imported machinery and equipment. The government business sector, in addition to being the worlds most
has adopted a strategy for modernizing enterprises through venture capital-intensive economy. The country has
technology transfer and the development of business achieved a qualitative edge in a range of technologies in
acumen; the focus is on developing project finance, electronics, avionics and related systems, initially propelled
including through joint ventures. by spin-offs from the defence industry. The development
of these systems has given Israeli high-tech industries
Between 2005 and 2014, Kazakhstans share of scientific a qualitative edge in civilian spin-offs in the software,
papers from the region grew from 35% to 56%. Although two- communications and internet sectors. In 2012, the high-tech
thirds of papers from the region have a foreign co-author, the sector accounted for an exceptional 46% of Israels exports.
main partners tend to come from beyond Central Asia.
Such success, combined with an acute sense of vulnerability
In Iran (Chapter 15), international sanctions have slowed in a country largely isolated from its immediate
industrial and economic growth, limited foreign investment neighbourhood, has given rise to introspection. There
and oil and gas exports and triggered national currency is debate, for instance, on how Israel should promote its
devaluation and hyperinflation. The sanctions also appear to technological edge in the largely non-defence-driven
have accelerated the shift from a resource-based economy disciplines that are considered to be tomorrows drivers
to a knowledge economy by challenging policy-makers to of growth, including biotechnology and pharmaceuticals,
look beyond extractive industries to the countrys human nanotechnology and material sciences. Since excellence
capital for wealth creation, including a large pool of young in these areas tends to be rooted in the basic research
university graduates. Between 2006 and 2011, the number laboratories of universities, Israels decentralized university
of firms declaring R&D activities more than doubled. research system will need to manage the necessary
However, even though one-third of GERD came from the transition to these growth areas but is it equipped to do
business sector in 2008, this contribution (0.08% of GDP) so? In the absence of a national policy for universities, it is
remains too small to nurture innovation effectively. GERD not clear how they will manage to supply the knowledge,
amounted to just 0.31% of GDP in 2010. The easing of skills and human resources needed for these new science-
sanctions following the conclusion of the nuclear deal in based industries.

46
 A world in search of an effective growth strategy

There is a visible ageing of scientists and engineers in some and Tunisia (around 0.7%) is close to the average for upper
fields, including physical sciences and practical engineering. middle-income economies. Moreover, this ratio has risen
The shortage of professional staff will be a major handicap in the most populous Arab country, Egypt: from 0.43%

Chapter 1
for the national innovation system, as the growing demand for (2009) to 0.68% of GDP (2013); the government has opted to
engineers and technical professionals begins to outpace supply. engage Egypt on the path to a knowledge economy, with the
The Sixth Higher Education Plan (20112015) foresees the prospect of more diversified sources of income.
recruitment of 1 600 senior faculty, about half of whom will
occupy new positions (a net increase of more than 15%). It also Governments dependent on both oil exports (Gulf States
foresees an investment of NIS 300 million (circa US$ 76 million) and Algeria) and oil imports (Morocco and Tunisia) are also
over six years in upgrading and renovating academic fostering the development of knowledge economies. A wide
infrastructure and research facilities. Some argue that the plan range of recent initiatives harness STI to socio-economic
pays insufficient attention to the funding of university research, development, often in the field of energy. Examples are the
which in the past relied heavily on Jewish philanthropic revival of the Zewail City of Science and Technology project
contributions from abroad. in Egypt and the establishment of the Emirates Institution
for Advanced Science and Technology to operate Earth
Israels broader problem of a binary economic structure persists, observation satellites. Morocco inaugurated Africas biggest
with a small high-tech sector serving as the locomotive of wind farm in 2014 and is developing what may turn out to be
the economy co-existing with much larger but less efficient Africas biggest solar farm. In 2015, Saudi Arabia announced a
traditional industrial and services sectors with lower productivity programme to develop solar energy.
levels. This binary economic structure has led to a well-paid
labour force living at the core of the country and a poorly paid Both Qatar and Saudi Arabia have seen phenomenal growth
labour force living primarily on the periphery. Israeli decision- in the volume of scientific publications over the past decade.
makers need to reflect on how to address such systemic issues Saudi Arabia now counts two universities among the worlds
in the absence of an umbrella organization for STI policy, top 500. It plans to reduce its dependence on foreign workers
without sacrificing the flexibility of the decentralized education by developing technical and vocational education, including
and research systems that has served the country so well, so far. for girls.

Most Arab States (Chapter 17) devote more than 1% of GDP to West Africa (Chapter 18) has experienced strong economic
higher education and many have high gross tertiary enrolment growth in recent years, despite the Ebola epidemic and other
rates for both sexes. Generally speaking, though, they have crises. However, this growth masks structural weaknesses: the
failed to create economic opportunities on a sufficient scale to members of the Economic Community of West African States
absorb the growing pool of youth. (ECOWAS) remain dependent on revenue from commodities
and have, so far, failed to diversify their economies. The
With the exception of the capital-surplus oil-exporting countries, main obstacle is the shortage of skilled personnel, including
Arab economies have not experienced rapid, sustained technicians. Only three West African countries devote
expansion. Low economic participation rates (especially among more than 1% of GDP to higher education (Ghana, Mali and
women) and high unemployment rates (especially among Senegal) and illiteracy remains a major hurdle to expanding
youth) have been exacerbated in most countries since 2008. vocational training.
Events that have erupted since 2011 (the so-called Arab Spring)
were as much a reaction to economic frustration as poor public Africas Science and Technology Consolidated Plan of Action
governance. Military spending was already high in the Middle (20052014) called for the establishment of regional networks
East but political turmoil in recent years and the concomitant of centres of excellence and for a greater mobility of scientists
rise of opportunist terrorist groups have led many governments across the continent. In 2012, the West African Economic
to divert additional resources towards military spending. and Monetary Union designated 14 centres of excellence,
a label which earned them funding for the next two years.
The democratic transition in Tunisia is one of the Arab Springs The World Bank launched a similar project in 2014 but in the
success stories. It has brought greater academic freedom that form of loans.
will be a boon for Tunisian research and should make it easier
for universities to develop ties with industry. Tunisia already ECOWAS Vision 2020 (2011) provides a road map for
counts several technoparks. improving governance, accelerating economic and monetary
integration and fostering publicprivate partnerships.
R&D intensity has remained low in most Arab states, The ECOWAS Policy on Science and Technology (2011) is an
especially in the oil-rent economies where high GDP makes integral part of Vision 2020 and espouses the ambitions of the
it hard to increase intensity. The GERD/GDP ratio in Morocco continental plan of action for STI.

47
UNESCO SCIENCE REPORT

So far, the research sector has had little impact in West Africa, The East African Community (EAC) and Common Market
owing to a lack of national research and innovation strategies, for Southern and Eastern Africa consider STI to be a key
low investment in R&D, little private-sector involvement component of economic integration. For instance, the EAC
and little intraregional collaboration among West African Common Market Protocol (2010) makes provisions for market-
researchers. The government remains by far the biggest led research, technological development and the adaptation
source of GERD. West African output remains low, with only of technologies in the community, in order to support the
Gambia and Cabo Verde publishing 50 scientific articles or sustainable production of goods and services and enhance
more per million inhabitants. international competitiveness. The EAC has entrusted the
Inter-University Council for East Africa with the mission of
In East and Central Africa (Chapter 19), there has been a developing a Common Higher Education Area by 2015.
considerable gain in interest in STI since 2009. Most countries
have based their long-term planning (vision) documents on Southern Africa (Chapter 20) is characterized by a common
harnessing STI to development. These planning documents desire to harness STI to sustainable development. As
tend to reflect the common vision for the future that elsewhere in the subcontinent, the economies of the
they share with West and Southern Africa: a prosperous Southern African Development Community (SADC) are highly
middle-income country (or higher) characterized by good dependent on natural resources. The drop in government
governance, inclusive growth and sustainable development. funding for agricultural R&D by SADC countries is, thus, a
cause for concern.
Governments are increasingly looking for investors rather
than donors and devising schemes to support local There is a wide disparity in R&D intensity, from a low of
businesses: a fund developed by Rwanda to foster a green 0.01% in Lesotho to a high of 1.06% in Malawi, which is
economy provides competitive funds to successful public trying to attract FDI to develop its private sector. South
and private applicants; in Kenya, the Nairobi Industrial and Africa attracted about 45% of the FDI flowing to the SADC
Technology Park is being developed within a joint venture in 2013 and is establishing itself as a leading investor in the
with a public university. The first technology incubators in region: between 2008 and 2013, its outward flows of FDI
Kenya have been incredibly successful in helping start-ups almost doubled to US$ 5.6 billion, powered by investment
capture markets in information technology (IT), in particular. in telecommunications, mining and retail in mostly
Many governments are now investing in this dynamic sector, neighbouring countries.
including those of Cameroon, Rwanda and Uganda.
The contraction in South Africas GERD/GDP ratio between
Spending on R&D is on the rise in most countries with 2008 and 2012 from 0.89% to 0.73% is mostly due to a drop
innovation hubs. Kenya now has one of Africas highest R&D in private-sector funding that could not be offset by the
intensities (0.79% of GDP in 2010 ), followed by Ethiopia concomitant rise in public spending on R&D. South Africa
(0.61% in 2013), Gabon (0.58% of GDP in 2009) and Uganda generates about one-quarter of African GDP and has a fairly
(0.48% in 2010). The government tends to be the main source solid innovation system: it filed 96% of SADC patents between
of R&D spending but business contributes 29% in Gabon 2008 and 2013.
(2009) and 14% in Uganda (2010). Foreign sources account for
at least 40% of R&D in Kenya, Uganda and Tanzania. In most SADC countries, STI policies remain firmly linked to the
state apparatus, with little participation by the private sector. STI
East and Central African countries participated in Africas policy documents are rarely accompanied by implementation
Science and Technology Consolidated Plan of Action (CPA, plans and allocated budgets. A lack of human and financial
20052014) and have embraced its successor, the Science, resources has also hampered progress towards regional STI
Technology and Innovation Strategy for Africa (STISA-2024). policy targets. Other obstacles to the development of national
Implementation of the CPA suffered from the failure to set up innovation systems include a poorly developed manufacturing
the African Science and Technology Fund to ensure sustainable sector, few incentives for private-sector investment in R&D,
funding but several networks of centres of excellence in a serious shortage of scientific and technological skills at all
biosciences were nevertheless established, including a research levels, ongoing brain drain, poor science education at school
hub for East Africa in Kenya and two complementary networks, for want of qualified teachers and an appropriate curricula,
Bio-Innovate and the African Biosafety Network of Expertise. poor legal protection of intellectual property rights, and lack of
Five African Institutes of Mathematical Sciences have been co-operation in science and technology.
established in Cameroon, Ghana, Senegal, South Africa and
Tanzania. Since 2011, the African Observatory of Science, Intra-African trade remains dismally low, at approximately
Technology and Innovation another product of the CPA has 12% of total African trade. Regional integration is high on
been helping to improve African data. the list of the African Union, the New Partnership for Africas

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Development and regional economic communities like the a more business-friendly economic environment could help
SADC, COMESA and EAC, which formally launched a Free to make publicprivate partnerships a driver of economic
Trade Area in June 2015. The development of regional STI development.

Chapter 1
programmes is also high on their list of priorities. The most
formidable obstacle of all to regional integration is probably In India (Chapter 22), economic growth has slowed to about
the resistance of individual governments to relinquishing any 5% per year since the 2008 crisis; there is concern that this
national sovereignty. respectable growth rate is not creating sufficient jobs. This
has led Prime Minister Modi to argue for a new economic
In South Asia (Chapter 21), political instability has been a model based on export-oriented manufacturing, as opposed
barrier to development but the resolution of crises in the to the current model weighted towards services (57% of GDP).
region, including the return to peace in Sri Lanka and the
democratic transition in Afghanistan offer hope for the future. Despite slower economic growth, all indicators of R&D output
Sri Lanka is investing heavily in infrastructure development have progressed rapidly in recent years, be they for the share
and Afghanistan in education at all levels. of high-tech exports among Indian exports or the number
of scientific publications. The business enterprise sector
All economies have grown in the past decade, with GDP has become increasingly dynamic: it performed nearly 36%
per capita progressing fastest in Sri Lanka (excluding India, of all R&D in 2011, compared to 29% in 2005. The only key
see Chapter 22). South Asia nevertheless remains one of the indicator which has stagnated is the measure of Indias R&D
worlds least economically integrated regions, intraregional effort: 0.82% of GDP in 2011. The government had planned
trade accounting for just 5% of the total. to raise GERD to 2% of GDP by 2007 but has since had to set
back the target date to 2018.
Although South Asian countries have made a strong drive
to achieve universal primary education by 2015, this effort Innovation is concentrated in nine industrial sectors, with
has eaten into investment in higher education (just 0.20.8% more than half of business R&D expenditure concerning just
of GDP). Most countries have formulated policies and three industries: pharmaceuticals, automotive and computer
programmes to foster the use of ICTs in schools, research software. Innovative firms are also largely circumscribed to
and economic sectors but these efforts are hampered by an just six of Indias 29 states. Despite India having one of the
unreliable electricity supply in rural areas, in particular, and most generous tax regimes for R&D in the world, this regime
the lack of broadband internet infrastructure. Mobile phone has failed to spread an innovation culture across firms and
technology is widely used in the region but still underutilized industries.
for information- and knowledge-sharing, as well as for the
development of commercial and financial services. There has been strong growth in patents, six out of ten of
which were in IT and one out of ten in pharmaceuticals in
Pakistans R&D effort slid from 0.63% to 0.29% of GDP between 2012. The majority of pharmaceutical patents are held by
2007 and 2013, whereas Sri Lanka maintained a low 0.16% of domestic firms, whereas foreign firms tend to hold most IT
GDP. Pakistan plans to hoist its investment in R&D to 1% of patents. This is because Indian companies have traditionally
GDP by 2018 and Sri Lanka to 1.5% by 2016. The challenge had less success in manufacturing products which require
will be to put effective mechanisms in place to achieve these engineering skills than in science-based industries like
targets. Afghanistan has surpassed its own target by doubling pharmaceuticals.
university enrolment between 2011 and 2014.
The majority of patents granted to Indians are for high-
The country to watch may be Nepal, which has improved tech inventions. In order to sustain this capacity, the
several indicators in just a few years: its R&D effort has risen government is investing in new areas such as aircraft design,
from 0.05% (2008) to 0.30% (2010) of GDP, it now has more nanotechnology and green energy sources. It is also using
technicians per million inhabitants than either Pakistan or Sri Indias capabilities in ICTs to narrow the urbanrural divide
Lanka and is just a whisker behind Sri Lanka for researcher and setting up centres of excellence in agricultural sciences to
intensity. Reconstruction needs after the tragic earthquake reverse the worrying drop in yields of some staple food crops.
of 2015 may oblige the government to review some of its India is also evolving into a hub for frugal innovation, with
investment priorities. a growing local market for pro-poor inventions, such as low-
cost medical devices or Tatas latest micro-car, the Nano Twist.
To realize their ambition of becoming knowledge economies,
many South Asian countries will need to boost the uptake The employability of scientists and engineers has been a
into secondary education and adopt credible funding and nagging worry for policy-makers for years and, indeed, for
prioritization mechanisms. Tax incentives for innovation and prospective employers. The government has introduced

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UNESCO SCIENCE REPORT

a number of remedial measures to improve the quality of China has already managed to reach many of the quantitative
higher education and academic research. Researcher density targets set by its Medium and Long-term Plan for the Development
in the private sector is now rising, underpinned by spectacular of Science and Technology (20062020) and is on track to reach
growth in the number of engineering students. Nevertheless, that of a 2.5% GERD/GDP ratio by 2020. This plan is currently
the government still needs to invest more heavily in undergoing a mid-term review. The findings may determine the
university research, which performs just 4% of R&D, to enable extent to which the country preserves elements of the open,
universities to fulfil their role better as generators of new bottom-up development strategy that has served it so well
knowledge and providers of quality education. for the past three decades. One risk is that a more politicized,
interventionist strategy might deter foreign capital and slow
In China (Chapter 23), scientists and engineers have clocked down Chinas brain gain, which has recently accelerated: nearly
up some remarkable achievements since 2011. These span half of the 1.4 million students who have returned home since
a wide range of areas from fundamental discoveries in the early 1990s have done so since 2010.
condensed matter physics to landing a probe on the moon
in 2013 and Chinas first large passenger aircraft. China is Japan (Chapter 24) has been pursuing extraordinarily active
on track to become the worlds largest scientific publisher fiscal and economic policies to shake itself out of the economic
by 2016. Meanwhile, at home, seven out of ten (69%) of the lethargy that has plagued it since the 1990s. This policy reform
patents granted by Chinas State Intellectual Property Office package has come to be known as Abenomics, in reference to
in 2013 went to domestic inventors. the prime minister. The third arrow of this package in the area
of pro-growth policies is yet to show results, however.
There is nevertheless some dissatisfaction among the political
leadership with the return so far on the governments Japan nevertheless remains one of the most R&D-intensive
investment in R&D. Despite a massive injection of funds economies in the world (3.5% of GDP in 2013). The most
(2.09% of GDP in 2014), better trained researchers and remarkable trend in industrial spending on R&D in recent years
sophisticated equipment, Chinese scientists have yet to has been the substantial cutback in ICTs. Most other industries
produce cutting-edge breakthroughs. Few research results maintained more or less the same level of R&D expenditure
have been turned into innovative and competitive products between 2008 and 2013.The challenge for Japanese industry
and China faces a US$10 billion deficit (2009) in its intellectual will be to combine its traditional strengths with a future-
property balance of payments. Many Chinese enterprises oriented vision.
still depend on foreign sources for core technologies. Just
4.7% of GERD goes on basic research, compared to 84.6% on Japan faces a number of challenges. Its ageing population,
experimental development (up from 73.7% in 2004). coupled with a waning interest among the young for an
academic career and the drop in scientific publications, reflect
These problems have forced China to put its ambition a need for a far-reaching reform of the national innovation
on hold of embarking on a truly innovation-driven system.
development trajectory while the leadership pushes ahead
with a comprehensive reform agenda to address perceived For the academic sector, university reform has been a challenge
weaknesses. The Chinese Academy of Sciences, for instance, for years. Regular funding of national universities has declined
has come under pressure to raise the quality of academic consistently for more than a decade by roughly 1% a year. In
research and collaborate more with other innovation actors. parallel, the amount of competitive grants and project funding
To foster technology transfer, an expert group has been set have increased. In particular, there has been a proliferation
up under Vice-Premier Ma Kai to identify industrial champions recently of multipurpose, large-scale grants that do not target
capable of concluding strategic partnerships with foreign individual researchers but rather the universities themselves;
multinationals. This resulted in Intel acquiring 20% of the these grants do not purely fund university research and/or
shares in Tsinghua Unigroup, a state company, in September education per se; they also mandate universities to conduct
2014. systemic reforms, such as the revision of curricula, promotion
of female researchers and internationalization of education and
The new normal of slower economic growth highlights the research. The drop in regular funding has been accompanied
urgency for China to transform its economic development by increasing demands on academics, who now have less
model from one that is labour-, investment-, energy- and time for research. This has translated into a drop in scientific
resource-intensive to one that is increasingly dependent publications, a trend almost unique to Japan.
upon technology and innovation. A number of policies are
moving in this direction. For instance, the Twelfth Five-Year The Fukushima disaster in March 2011 has had a profound
Plan (20112015) specifically calls for the development of impact on science. The disaster has not only shaken the
smart city technologies. publics confidence in nuclear technology but also in science

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and technology more broadly. The government has reacted In parallel, the government is building the International
by trying to restore public confidence. Debates have been Science Business Belt in Daejeon. The aim is to correct
organized and, for the first time, the importance of scientific the impression that the Republic of Korea made the

Chapter 1
advice in decision-making has come to the fore. Since transition from a poor agricultural country to an industrial
the Fukushima disaster, the government has decided to giant through imitation alone, without developing an
reinvigorate the development and use of renewable energy. endogenous capacity in basic sciences. A National Institute
for Basic Science opened on the site in 2011 and a heavy ion
Published just months after the Fukushima disaster, the accelerator is currently under construction to support basic
Fourth Basic Plan for Science and Technology (2011) was a research and provide linkages to the business world.
radical departure from its predecessors. It no longer identified
priority areas for R&D but rather put forward three key areas Malaysia (Chapter 26) has recovered from the global
to be addressed: recovery and reconstruction from the financial crisis to register healthy average annual GDP
Fukushima disaster, green innovation and life innovation. growth of 5.8% over 20102014. This, coupled with strong
high-tech exports, has helped sustain government efforts
The Republic of Korea (Chapter 25) is the only nation to to finance innovation, such as through the provision of R&D
have transformed itself from a major recipient of foreign aid grants to universities and firms. This has helped to raise
into a major donor and in just two generations. Today, it the GERD/GDP ratio from 1.06% in 2011 to 1.13% in 2012.
is in search of a new development model. The government The rise in R&D funding has translated into more patents,
recognizes that the remarkable growth of the past is no scientific publications and foreign students.
longer sustainable. Competition with China and Japan is
intense, exports are slipping and global demand for green It was in 2005 that Malaysia adopted the target of becoming
growth has altered the balance. In addition, a rapidly ageing the sixth-largest global destination for international
population and declining birthrates threaten Koreas long- university students by 2020. Between 2007 and 2012, the
term economic prospects. number of international students almost doubled to more
than 56 000, the target being to attract 200 000 by 2020.
The Park government is pursuing the low carbon, green Malaysia is attracting a lot of students from the region but
growth policy adopted by its predecessor but has added the was also one of the top ten destinations for Arab students
creative economy to this mix. Seed money has been allocated by 2012.
to fostering the emergence of a creative economy over the
five years to 2018. A number of bodies have helped to strengthen the
participation of business in R&D in strategic sectors. One
The government has come to realize that developing national example is the Malaysian Palm Oil Board. In 2012, a group
capabilities for innovation will require nurturing creativity of multinational corporations created their own platform
among the young. Ministries have jointly introduced for Collaborative Research in Engineering, Science and
measures to attenuate the focus on academic backgrounds Technology (CREST). This trilateral partnership involving
and promote a new culture whereby people encourage industry, academia and the government strives to satisfy
and respect the creativity of individuals. One example of the research needs of electrical and electronics industries
these measures is the Da Vinci Project being experimented in Malaysia that employ nearly 5000 research scientists and
in selected primary and secondary schools to develop a engineers.
new type of class which encourages students to exercise
their imagination and revitalizes hands-on research and While the government has done remarkably well in
experience-based education. supporting R&D, a number of issues have undermined
Malaysias capacity to support frontier technologies. Firstly,
The process of making the country more entrepreneurial and collaboration between the principal actors of innovation still
creative will entail changing the very structure of the economy. needs strengthening. Secondly, science and mathematics
Up until now, it has relied on large conglomerates to drive teaching needs upgrading, as 15 year-old Malaysian students
growth and export earnings. These still represented three- have been performing less well in the triennial assessments
quarters of private investment in R&D in 2012. The challenge conducted by the OECDs Programme for International
will be for the country to produce its own high-tech start-ups Student Assessment. Thirdly, the share of full-time equivalent
and to foster a creative culture in SMEs. Another challenge researchers per million inhabitants has grown steadily but
will be to turn the regions into hubs for creative industries by remains fairly low for a dynamic Asian economy like Malaysia:
providing the right financial infrastructure and management 1780 in 2012. Malaysia is also still a net technology importer,
to improve their autonomy. The new Innovation Center for the as its royalties from technological licensing and services have
Creative Economy in Daejeon serves as a business incubator. remained negative.

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UNESCO SCIENCE REPORT

Southeast Asia and Oceania (Chapter 27) has successfully CONCLUSION

navigated through the global financial crisis of 2008, with
many countries managing to avoid recession. The creation of An evolving public commitment to science and research
the Association of Southeast Asian Nations (ASEAN) Economic This latest edition of the UNESCO Science Report covers more
Community in late 2015 is likely to boost economic growth countries and regions than ever before. This reflects the
in the region and spur both the cross-border movement of growing acceptance worldwide and, in particular, in the
researchers and greater specialization. Meanwhile, democratic non-OECD world, of STI as a driver of development. At the
reforms in Myanmar have led to the easing of international same time, the statistical data on basic STI indicators remain
sanctions, offering prospects for growth, particularly since the patchy, especially in non-OECD countries. Nevertheless,
government is fostering export-oriented industries. there is a growing awareness of the need for reliable data
to enable monitoring of national science and innovation
The AsiaPacific Economic Cooperation completed a study in systems and inform policy. This realization has given rise
2014 of skills shortages in the region, with a view to setting to the African Science and Technology Indicators Initiative,
up a monitoring system to address training needs. For its which has spawned an observatory based in Equatorial
part, the ASEAN Plan of Action on Science, Technology and Guinea. A number of Arab economies are also establishing
Innovation (20162020) emphasizes social inclusion and observatories of STI, including Egypt, Jordan, Lebanon,
sustainable development, including in such areas as green Palestine and Tunisia.
technology, energy, water resources and innovation for
life. Government priorities in Australia, on the other hand, Another striking trend observed in the UNESCO Science
are shifting away from renewable energy and low carbon Report is the decline in public commitment to R&D observed
strategies. in many developed countries (Canada, UK, USA, etc), as
opposed to a growing belief in the importance of public
Countries from the region are increasingly collaborating investment in R&D for knowledge creation and technology
with one another, as reflected by trends in international adoption in emerging and lower income countries. STI has,
scientific co-authorship. For the less developed economies, of course, been mainstreamed in many emerging economies
co-authorship even accounts for 90100% of output; the for some time, including Brazil, China and the Republic of
challenge for them will be to steer international scientific Korea. What we are seeing now is the adhesion of many
collaboration in the direction envisaged by national S&T middle- and low-income countries to this philosophy, with
policies. many incorporating STI in their vision or other planning
documents. Of course, these countries have benefited from
A comparatively high share of R&D is performed by the much higher economic growth rates than OECD countries
business sector in four countries: Singapore, Australia, the in recent years, so the jury is still out, to some extent, as to
Philippines and Malaysia. In the case of the latter two, this is whether they will be able to pursue this public commitment
most likely a product of the strong presence of multinational in years of lower or even negative growth. Brazil and the
companies in these countries. Innovation performance is Russian Federation will be test cases, as both have now
generally weak in the region, which produces 6.5% of the entered recession following the end of a cyclical boom in
worlds scientific publications (2013) but only 1.4% of global raw materials.
patents (2012); moreover, four countries accounted for 95%
of those patents: Australia, Singapore, Malaysia and New However, as Chapter 2 highlights, it is not just the diverging
Zealand.The challenge for economies such as Viet Nam public commitment to investment in R&D between the
and Cambodia will be to draw on the knowledge and skills highly developed and emerging and middle-income world
embedded in the large foreign firms that they host, in order that is narrowing. While most R&D (and patenting) is taking
to develop the same level of professionalism among local place in high-income countries, innovation is occurring in
suppliers and firms. countries across the full spectrum of income levels. Much
innovation is occurring without any R&D activity at all; in
Since 2008, many countries have boosted their R&D effort, the majority of countries surveyed by the UNESCO Institute
including in the business enterprise sector. In some cases, for Statistics in 2013, innovation unrelated to R&D implicated
though, business expenditure on R&D is highly concentrated more than 50% of firms. Policy-makers should take note
in the natural resource sector, such as mining and minerals in of this phenomenon and, accordingly, focus not just on
Australia. The challenge for many countries will be to deepen designing incentives for firms to engage in R&D. They also
and diversify business sector involvement across a wider need to facilitate non-research-related innovation,
range of industrial sectors, especially since the onset of a cycle particularly in relation to technology transfer, since the
of declining prices for raw materials adds a sense of urgency acquisition of machinery, equipment and software is
to the task of developing innovation-driven growth policies. generally the most important activity tied to innovation.

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 A world in search of an effective growth strategy

Innovation spreading but policy hard to get right evaluated and that the bodies responsible for implementing
Formulating a successful national science and innovation the policy co-ordinate their efforts and are held accountable.
policy remains a very difficult task. Reaping the full benefit

Chapter 1
from science- and innovation-driven economic development Some countries have either been historically equipped with
requires moving in the right direction in a number of different relatively strong higher education systems and a wide pool
policy fields simultaneously, including those affecting of scientists and engineers or have been making important
education, basic science, technological development and its strides in these directions recently. Despite this, they are
corollary of mainstreaming sustainable (green) technologies, not yet seeing a strong focus on R&D and innovation in
business R&D and economic framework conditions. the business sector for reasons ranging from the sectorial
specialization of their economies to a poor or deteriorating
Many dilemmas appear increasingly common to a wide range business environment. To varying degrees, a diverse range
of countries, such as that of trying to find a balance between of countries are experiencing this phenomenon, including
local and international engagement in research, or between Canada, Brazil, India, Iran, the Russian Federation, South Africa
basic and applied science, the generation of new knowledge and Ukraine.
and marketable knowledge, or public good science versus
science to drive commerce. Other countries have made great strides in economic reform,
industrial modernization and international competitiveness
The current trend towards a greater orientation of STI policy but still need to complement their push for public-sector
towards industrial and commercial development is also driven R&D with significant qualitative improvements in the
having international ramifications. The UNESCO Science spheres of higher education and basic research, in order to
Report 2010 anticipated that international diplomacy take their business R&D beyond experimental development
would increasingly take the form of science diplomacy. towards more genuine innovation. Again, a wide range of
This prophecy has come true, as illustrated by the case countries find themselves confronted with this challenge,
studies from New Zealand (Box 27.1) and Switzerland including China, Malaysia and Turkey. For some, the challenge
(Box 11.3). However, in some cases, things have taken will be to orient an FDI-driven industrial competitiveness
an unexpected turn. Some governments are showing a more towards endogenous research, as in the case of
tendency to tie research partnerships and science diplomacy Malaysia. For others, the challenge will be to foster healthy
to trade and commercial opportunities. It is revealing that collaboration between the different components of the public
Canadas innovation network is now managed by the Trade research system. The current reform of academies of sciences
Commissioner Service at the Department of Foreign Affairs, in China, the Russian Federation and Turkey illustrates
Trade and Development, for instance, rather than being the tensions that can arise when the autonomy of these
placed in the foreign service; this megadepartment was institutions is called into question.
created in 2013 by amalgamating the Canadian International
Development Agency and the Department of Foreign Affairs Open science and open education within closed
and International Trade. Australia has taken a similar step by borders?
subsuming AusAID into the Department of Foreign Affairs Another trend worth noting is the steep rise in the number
and Trade and giving foreign aid an increasingly commercial of researchers, who now number 7.8 million worldwide.
focus. This represents an increase of 21% since 2007 (Table 1.3).
This growth is also reflected in the explosion of scientific
The global economic boom between 2002 and 2007 seemed publications. The competition to publish in a limited number
to have lifted all boats on the wave of prosperity and focused of high-impact journals has increased dramatically, as has
policy attention and resource allocation on innovation the competition among scientists to secure jobs in the most
in many emerging and developing countries. This period reputed research institutions and universities. Moreover,
witnessed a proliferation of STI policies, long-term planning these institutions are themselves increasingly competing with
(vision) documents and ambitious targets around the world. one another to attract the worlds best talent.
Since the crisis of 20082009, slow economic growth and the
tightening of public budgets appear to have made the art of The Internet has brought with it open science, paving the
crafting and implementing successful science and innovation way to online international research collaboration, as well as
policies much more difficult. The pressure being exerted open access to publications and underlying data. At the same
on public interest science in Australia, Canada and the USA time, there has been a global move in the direction of open
illustrates one of the consequences of the tightening of public education with the widespread development and availability
R&D budgets. The challenge for low- and middle-income of online university courses (MOOCS) provided by new global
countries, on the other hand, will be to ensure that policies university consortia (see p. 4). In short, the academic research
are well-funded, that their implementation is monitored and and higher education system is internationalizing rapidly, with

53
UNESCO SCIENCE REPORT

major implications for its traditional national organization and countrys eight priorities for boosting R&D to 2020 (Chapter
funding. The same is happening in the private sector, which 14). Southeast Europes own 2020 Strategy identifies effective
potentially has a much bigger role to play than universities in public services, anti-corruption and justice as being one
spreading the resource balance in science and technology of the five pillars of the regions new growth strategy. In
around the world (Chapter 2). Increasingly, it is considered a neighbouring Moldova, 13% of the 2012 state programme
must to have an international composition of research staff in for R&D has been allocated to the consolidation of the rule
both research and innovation. As the saying goes, Silicon of law and utilization of cultural heritage in the perspective
Valley was built on IC, a reference not to integrated circuits of European integration. The chapter on the Arab States
but to the contribution of Indians and Chinese to this places considerable emphasis on the need to improve
innovation hubs success. governance, transparency, the rule of law and the fight
against corruption to reap greater benefits from investment
The fly in the ointment is that cross-border flows of knowledge in science and technology, together with enhancing reward
in the form of researchers, scientific co-authorship, invention for initiative and drive and developing a healthy climate for
co-ownership and research funding are also strongly business. Last but not least, the chapters on Latin America
dependent on factors that have little to do with science. and Southern Africa highlight the strong link between
These days, mercantilism characterizes much of national STI government effectiveness and scientific productivity.
policy-making. All governments are keen to increase high-tech
exports but few are prepared to discuss removing non-tariff The consequences for science of the resource curse
barriers (such as government procurement) that may be Resource extraction can allow a country to accumulate
constraining their imports. Everyone wishes to attract foreign significant wealth but long-term, sustained economic growth
R&D centres and skilled professionals (scientists, engineers, is seldom driven by reliance on natural resources. A number of
doctors, etc.) but few are prepared to discuss frameworks for countries appear to be failing to seize the opportunity offered
facilitating cross-border movement (in both directions). The by resource-driven growth to strengthen the foundations
EUs decision to adopt scientific visas as of 2016 within its of their economies. It is tempting to infer from this that, in
Innovation Union to facilitate the cross-border movement of countries awash with natural resources, high-growth from
specialists is one attempt to remove some of these barriers. resource extraction provides a disincentive for the business
sector to focus on innovation and sustainable development.
Import substitution has exerted a strong influence on
development policy in recent decades. Today, there is a The end of the latest commodities boom, coupled with
growing debate as to the merits of protectionist industrial the collapse in global oil prices since 2014, has underscored
policies. The authors of the chapter on Brazil (Chapter 8), the vulnerability of national innovation systems in a
for instance, argue that import substitution policies have wide range of resource-rich countries that are currently
removed the incentive for endogenous enterprises to struggling to remain competitive: Canada (Chapter 4),
innovate, since they do not have to compete internationally. Australia (Chapter 27), Brazil (Chapter 8), the oil-exporting
Arab States (Chapter 17), Azerbaijan (Chapter 12), Central
Good governance is good for science Asia (Chapter 14) and the Russian Federation (Chapter 13).
Good governance accompanies progress at each stage of Other countries with a traditionally heavy reliance on
the innovation-driven development process. Absence of commodity exports for their economic expansion have been
corruption in the university system is essential to ensure making more decisive efforts to prioritize knowledge-driven
that institutions are producing qualified graduates. At the development, as illustrated by the chapters on Iran
other end of the innovation cycle, a highly corrupt business (Chapter 15) and Malaysia (Chapter 26).
environment is a strong disincentive for the emergence of
innovation-driven competition. For instance, companies Under normal circumstances, resource-rich countries can
will have little incentive to invest in R&D, if they cannot rely afford the luxury of importing the technologies they need for
on the justice system to defend their intellectual property. as long as the bonanza lasts (Gulf States, Brazil, etc.). In
Scientific fraud is also more likely to occur in environments exceptional cases where resource-rich countries are faced
characterized by poor governance standards. with an embargo on technology, they tend to opt for import
substitution strategies. For instance, since mid-2014, the
The UNESCO Science Report highlights numerous examples Russian Federation (Chapter 13) has broadened its import
where countries have recognized the need for better substitution programmes in response to trade sanctions that
governance to foster endogenous science and innovation. are affecting imports of key technologies. The case of Iran
With exemplary frankness, Uzbekistans Committee for (Chapter 15) illustrates how a long-running trade embargo
Coordination of Science and Technology Development can incite a country to invest in endogenous technological
has identified strengthening the rule of law as one of the development.

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 A world in search of an effective growth strategy

It is worth noting that several oil-rent economies expressed This shift in research priorities is evident in the amount of
interest in developing renewable energy before global oil research funds currently being allocated to applied science
prices began falling in mid-2014, including Algeria, Gabon, (see p. 6). In parallel, both governments and businesses

Chapter 1
the United Arab Emirates and Saudi Arabia. The UNESCO are increasingly investing in the development of green
Science Report 2010 had observed a paradigm shift towards technologies and green cities. At the same time, we should
green growth. It is evident from the current report that this not forget that basic science and applied science are two
trend has since accelerated and is seducing an ever-greater sides of the same coin, as recalled by the Scientific Advisory
number of countries, even if levels of public investment may Board to the Secretary General of the United Nations (see p. 9).
not always be commensurate with ambitions. They are interconnected and interdependent [and], thus,
complement each other in providing innovative solutions to
The emphasis is often on developing coping strategies to the challenges humanity faces on the pathway to sustainable
protect agriculture, reduce disaster risk and/or diversify the development. An adequate investment in both basic sciences
national energy mix, in order to ensure long-term food, water and applied research and development will be critical to
and energy security. Countries are also becoming increasingly reaching the goals of Agenda 2030.
aware of the value of their natural capital, as illustrated by the
recommendation in the Gaborone Declaration on Sustainability
(2012) for African countries to integrate the value of natural Luc Soete (b. 1950: Belgium) is Rector of the University
capital into national accounting and corporate planning. of Maastricht in the Netherlands. He is former director of
Among high-income economies (EU, Republic of Korea, UNU-Merit In Maastricht, which he founded in 1988.
Japan, etc), a firm commitment to sustainable development
is often coupled with the desire to maintain competitiveness Susan Schneegans (b. 1963: New Zealand) is
in global markets that are increasingly leaning towards Editor-in-Chief of the UNESCO Science Report series.
green technologies; global investment in renewable energy
technologies increased by 16% in 2014, triggered by an 80% Deniz Ercal (b.1962: Turkey) is an independent
decrease in the manufacturing costs of solar energy systems. consultant and researcher based in Paris (France), who
It is to be expected that the trend towards green growth works on policy and economics in the sphere of science,
will accentuate, as countries strive to implement the new technology, innovation and sustainable development.
Sustainable Development Goals.
Baskaran Angathevar (b.1959: India) is Associate
Looking ahead: Agenda 2030 Professor (Visiting) at the University of Malayas Faculty of
On 25 September 2015, the United Nations adopted the Economics and Administration.
2030 Agenda for Sustainable Development. This ambitious
new phase transitions from the Millennium Development Rajah Rasiah (b.1957: Malaysia) has been Professor of
Goals (20002015) to a new set of integrated Sustainable Economics and Technology Management at the
Development Goals (20152030). The new agenda is universal University of Malayas Faculty of Economics and
and, thus, applies to developing and developed countries Administration since 2005.
alike. It comprises no fewer than 17 goals and 169 targets.
Progress towards these goals over the next 15 years will
need to be informed by evidence, which is why a series of
indicators will be identified by March 2016 to help countries
monitor their progress towards each target. The goals balance
the three economic, environmental and social pillars of
sustainable development, while embracing other pillars of the
United Nations mission related to human rights, peace and
security. STI is woven into the fabric of Agenda 2030, since it
will be essential for achieving many of these goals.

Although the Sustainable Development Goals have been

adopted by governments, it is evident that they will only be
reached if all stakeholder groups take ownership of them.
The scientific community is already on board. As we have
seen from the UNESCO Science Report: towards 2030, the focus
of scientific discovery has shifted towards problem-solving,
in order to tackle pressing developmental challenges.

55
Policy-makers should ...
focus not just on designing
incentives for firms to
engage in R&D [but also]
facilitate non-research-
related innovation,
particularly in relation to
technology transfer.
Elvis Korku Avenyo, Chiao-Ling Chien,
Hugo Hollanders, Luciana Marins, Martin
Schaaper and Bart Verspagen

Car assembly plant in Lovech, Bulgaria in 2012.

Photo: Ju1978 / Shutterstock.com

56
2 . Tracking trends in innovation and mobility
Elvis Korku Avenyo, Chiao-Ling Chien, Hugo Hollanders, Luciana Marins,
Martin Schaaper and Bart Verspagen

This trade-off between the right of firms to protect their

INTRODUCTION
knowledge and the public good is the basis of every system of
Innovation is spreading its reach across the globe intellectual property rights employed in the global economy.
With the rise of the so-called emerging economies, research

Chapter 2
and development (R&D) are spreading their reach across the Public knowledge is not affected by this trade-off but much
globe. Multinational firms are playing an important role in of the knowledge generated today involves contributions
this process. By establishing research facilities (R&D units) from both public and private actors. This can affect the rate
in foreign countries, they are fostering knowledge transfer at which knowledge is diffused. One obvious example is the
and the accrued mobility of research personnel. Importantly, influence of new knowledge on agricultural productivity. The
this phenomenon is a two-way street. Multinational firms so-called Green Revolution in the mid-20th century depended
from Brazil, the Russian Federation, India, China and South almost exclusively on research done by public laboratories
Africa (the BRICS countries) are not only a magnet for foreign and universities. This made the knowledge generated by the
multinationals; these firms born in the BRICS are also Green Revolution readily available for farmers worldwide and
purchasing high-tech companies in North America and Europe provided a great boost to agricultural productivity in many
and thereby acquiring skilled personnel and a portfolio of developing countries. However, when the advent of genetic
patents overnight. Nowhere is this more visible than in China science and modern biotechnology in the late 20th century
and India, which together now contribute more to global gave agricultural productivity another boost, the situation
expenditure on business R&D than Western Europe (Figure 2.1). was very different because, by this time, private firms had
In 2014, for instance, the Indian firm Motherson Sumi Systems come to play a leading role. They protected their knowledge,
Ltd purchased Ohio-based Stoneridge Harness Inc.s wiring leading to a much stronger dependence of farmers and
harness for US$65.7 million (see Chapter 22). others on a handful of multinational firms that could act as
monopolies. This has given rise to heated debates about
Different work cultures the economic and ethical sides of private firms developing
Both private and (semi-) public agents innovate but their breakthrough technologies but limiting the diffusion of
different work cultures affect the way in which the knowledge these.
generated is diffused. Traditionally, scientists working in
public institutions like universities have been motivated by Private science is increasingly mobile
the desire to establish a reputation that is dependent on Another difference between the culture of public and private
openness. Their success depends on being first to report science and technology concerns the degree of mobility.
a discovery by publishing it in widely accessible journals, Private science is increasingly mobile, public science is not.
on other scientists acknowledging this discovery and Here, we are not referring to individual researchers working
building upon it in their own work. This implies that making in the public and private sectors, who tend to see mobility
knowledge available to colleagues and the wider public is a as a way of furthering their careers. Rather, we are referring
key element of the work of academic scientists. to differences at institutional level. Increasingly, firms are
relocating their research laboratories abroad. Universities,
Scientists working in private firms, on the other hand, have by and large, remain much more immobile, with only a small
a different motivation. Respecting their employers interests minority setting up campuses abroad. Thus, the private sector
calls for secrecy and the appropriation of knowledge potentially has a much bigger role to play than universities in
rather than allowing it to circulate freely. The marketplace spreading the resource balance in science and technology
being characterized by competition, a firm is obliged to around the world.
appropriate the knowledge that it develops in the form of
goods, services and processes to prevent competitors from In 2013, the UNESCO Institute for Statistics launched its first
imitating the discovery at a lesser cost. international survey of innovation by manufacturing firms.
For the first time, a database containing innovation-related
Firms use a whole range of strategies to protect their indicators for 65 countries at different stages of development
knowledge, from patents and other intellectual property was made available to the public. In the following pages, we
rights to secrecy. Although they will eventually make this shall be exploring the types of innovation being implemented
knowledge available to the general public through the by private firms and the linkages they need with other
market, this protection of their knowledge limits its diffusion. socio-economic actors in order to innovate.

57
Figure
UNESCO Trends inREPORT
2.1:SCIENCE business R&D, 20012011

The contribution of business R&D to GERD has dropped since 2006 in sub-Saharan Africa,
the Americas and the former Soviet states
Share of business R&D in GERD at national level, 2006 and 2011 (%)

2006 2011
76.1 75.0
World average in 2006: 66.3 World average in 2011: 65.9
69.7 69.2 67.6
62.8 62.4 63.9 63.7
59.1
56.8 57.4
51.4 51.4
48.5
44.1
42.0
39.9
38.3
35.2
32.2

16.9

Sub-Saharan AsiaPacific China Eastern Europe Japan and Latin America Middle East and North America Oceania Former Soviet Western Europe
Africa and India Asian Tigers North Africa states

1.08%
Global average for business R&D as a share of GDP in 2001
1.15%
Global average for business R&D as a share of GDP in 2011

Business R&D only contributes 0.2% of GDP in Latin America and sub-Saharan Africa
Business R&D as a share of national GDP, 20012011 (%)
2.0
1.88
1.85
1.81

1.60
1.5

1.34
1.28
1.22
1.15
1.08 Global average
Global average 1.07
1.0

0.78

0.60
0.55
0.5
0.43
0.39
0.36
0.33
0.27
0.22
0.18 0.20
0.15
0.10
0.0 0.01
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011

Japan and Asian Tigers North America Western Europe Oceania China and India Former Soviet states
Eastern Europe Middle East and North Africa Latin America Sub-Saharan Africa Rest of AsiaPacific

58
 5.1%
China and Indias share of global business R&D in 2001
19.9%
China and Indias share of global business R&D in 2011

China and India are capturing a greater share of business R&D, to the detriment of Western Europe
and North America
World shares of business R&D, 20012011 (%), calculated in PPP$

40.7
40

Chapter 2
35

30
29.3
North
America

25
24.3

Japan and
22.2 Asian Tigers
Percentage shares

21.7
China
and India
20 19.9
19.7
Western
Europe

15

Former Soviet states

Middle East and North Africa
10
Latin America
Eastern Europe
Oceania
Sub-Saharan Africa
Rest of AsiaPacific

5 5.1

2.2 2.6
2.0 1.9
1.2 1.5
1.0 1.4
0.9 1.3
0.4 0.5
0 0.0 0.1
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011

Note: In the present chapter, the Middle East and North Africa encompasses Algeria, Bahrain, Egypt, Iran, Iraq, Israel, Jordan, Kuwait, Lebanon, Libya, Morocco, Oman,
Palestine, Qatar, Saudi Arabia, Syria, Tunisia, Yemen and United Arab Emirates. See Annex 1 for the composition of the Asian Tigers.
Source: Estimations by UNU-MERIT based on data from the UNESCO Institute for Statistics

59
UNESCO SCIENCE REPORT

We shall also be establishing a profile of where foreign organizational innovators (65%), whereas marketing
direct investment (FDI) is going around the world. Instead innovators prevail in Indonesia (55%) and Malaysia (50%).
of ranking countries from most to least or best to worst, In the group of low- and middle-income countries
we shall be identifying common features, as well as surveyed, process innovation is the least implemented
dissimilarities, presented by firms in countries of different type. This is somewhat preoccupying, given the supportive
income levels which are engaging in innovation. The second role that process innovation plays in the implementation of
part of our essay will be devoted to analysing current trends other types of innovation.
in scientific mobility and the implications of these trends for a
countrys capacity to innovate. Overall, marketing innovation is the least implemented
type of innovation among the 65 countries surveyed. In
addition, the share of innovators among manufacturing
firms varies from 10% to 50%, regardless of the type of
TRENDS IN INNOVATION
innovation being implemented, and only a few high-
Innovative behaviour varies according to income level income countries present even shares for all four types of
The role played by innovation in the process of economic innovation.
development has long been acknowledged. Some would
even argue that this relationship was first evoked more Germany has the highest innovation rate among
than 200 years ago in the works of English economist Adam high-income countries
Smith (1776) or in those of German essayist Karl Marx (1867), From this point on, the discussion will focus only on
long before the term was formally coined by the Austrian product and process innovation. Overall, the innovation
economist Joseph Schumpeter (1942). rate found in high-income countries in other words,
the share of firms engaging actively in innovation
In the second half of the 20th century, countries began matches the share of innovative firms. This means that
gradually including innovation in their political agenda, the innovation rate is chiefly composed of firms that have
which raised the need to provide policy-makers with implemented at least one product or process innovation
empirical evidence. Over the past two decades, a lot of over the reference period covered by the national
work has been done to standardize the international innovation survey, which is usually three years.
definition of innovation and design indicators. This work
culminated in the first version of the Oslo Manual in 1992, Germany presents the highest innovation rate among
subsequently updated by the Organisation for Economic high-income countries. The fact that many firms have
Co-operation and Development (OECD) and Eurostat, the abandoned innovation altogether or are living off
European statistics office, in 1997 and 2005. Despite these ongoing activities does not hamper Germanys innovative
efforts, measuring innovation1 remains a challenge and the performance as, when these firms are set aside, Germany
variations in the methodological procedures adopted by still has one of the highest shares of innovators: 59%.
countries even when the guidelines of the Oslo Manual
are followed hinders the production of fully harmonized A similar trend can be observed in the group of low- and
indicators. middle-income countries surveyed, with some exceptions.
In Panama, for instance, around 26% of the firms surveyed
According to the 2013 survey of firms, product innovation declared they had only abandoned or ongoing innovation
is the most common form of innovation in 11 high-income activities. This means that, despite having an innovation
countries and process innovation in 12 high-income rate of 73%, the share of firms actually implementing
countries (Figure 2.2). In Germany, around half of firms innovation in Panama only amounts to 47%.
are product innovators and almost as many are marketing
innovators (48%) and organizational (46%) innovators, a In the BRICS countries, product innovators prevail in South
profile similar to that found in Canada. Africa and the Russian Federation, whereas China and
India present similar shares of both types of innovators
Among the low- and middle-income countries that (Figure 2.3). In Brazil, the share of firms implementing
responded to the questionnaire, the profile of innovation process innovation is remarkably higher than the share
varies considerably from one country to another; in Costa implementing product innovation. In India, almost half of
Rica, for instance, 68% of manufacturing firms are product the innovation rate is composed of firms with abandoned
innovators; Cuba, on the other hand, has a high share of or ongoing innovation activities.

1. See the glossary on p. 738 for the definition of terms related to innovation in
the present chapter. For more information about the timeframe and methodology
adopted by the countries surveyed, see UIS (2015).

60
 Tracking trends in innovation and mobility

Figure 2.2: Types of innovator around the world

Share of manufacturing firms (%)

Types of innovator in high-income countries

Australia
Uruguay Austria
United Kingdom 60 Belgium
Sweden Canada
50

Chapter 2
Spain China, Hong Kong SAR
40
Slovakia Croatia
30
Russian Federation Cyprus
20
Portugal Czech Rep.
10
Poland Denmark
0
Norway Estonia

New Zealand Finland

Netherlands France

Malta Germany

Luxembourg Iceland
Product innovators Lithuania Ireland
Organizational innovators Latvia Israel
Korea, Japan Italy
Process innovators Rep.
Marketing innovators

Types of innovator in low- and middle-income countries

Argentina
Ukraine 70 Belarus

Turkey 60 Brazil

50
South Africa Bulgaria
40

30
Serbia Colombia
20

10
Romania Costa Rica
0

Philippines Cuba

Mexico Ecuador

Malaysia Egypt

Indonesia El Salvador
India Hungary

Source: UNESCO Institute for Statistics, September 2014

61
UNESCO SCIENCE REPORT

Figure 2.3: Innovation rate of firms in the BRICS

Share of manufacturing firms (%)
40
38.20
35.62
35.91

31.96 30.02
30
29.05

25.07 25.25

20.90

20

18.52
17.50
16.80

11.40
13.10
12.07 12.13
10

8.00

5.90

0
Brazil (2011) Russia (2010) India (2009) China (2006) South Africa (2007)

Source: UNESCO Institute for Statistics, September 2014 Product innovators Process innovators Innovative firms Innovation-active firms

Firms still prefer to keep investment in knowledge survey of the largest spenders on R&D in the European
at home Union (EU) in 2014 found that two out of three companies
How do firms move their resources devoted to science, considered their home country to be the most attractive
technology and innovation (STI) across national borders? location for R&D (Box 2.1).
Although it is hard to track this phenomenon, some trends
can be deduced from a database on FDI related to knowledge, Two broad motives for the international re-location of
the fDi Markets2 database. We shall be examining four project R&D have been identified. The first is called home-base
categories from this database: R&D projects, the hard core of exploiting; in other words, the adaptation of existing
private-sector investment in knowledge; design, development knowledge for new markets in the targeted markets
and testing, the largest category, which comprises less themselves, in order to benefit from local information and
original research than the first category; education and the skills of local workers. This leads to a re-location of
training; and ICTs and internet infrastructure. A basic finding R&D in those countries where the multinational firm is also
of the literature on firms investment trends is that R&D and manufacturing and selling its products.
other forms of knowledge-related investment are traditionally
less globalized than other forms of investment; although A second motive is called home-base augmenting; this
multinational firms often locate their production or services- targets specific knowledge found at foreign locations. This
related activities such as sales and customer support abroad, approach stems from the idea that knowledge is specific
they are more reluctant to do the same for investment in to a given location and cannot easily be transferred over
knowledge. This is changing but there is still a tendency to long geographical distances. A reason for this may be the
keep investment in knowledge at home. For instance, a existence of a university or public research laboratory with
very specific expertise, or a common labour market offering
2. The fDi Markets database contains information about individual investment
projects, the firm making the investment, its country of origin and destination, as
the skills needed to implement the R&D project that the firm
well as the date and amount of the investment (US$ 1 000). has in mind.

62
 Tracking trends in innovation and mobility

Box 2.1: European companies rate countries attractiveness for relocating their R&D

A survey commissioned by the public organizations are considered the size and economic growth rate, as
European Commission in 2014 of the most important criteria. Other important well as the quantity and labour cost
biggest spenders on R&D in the EU factors are proximity to other company of R&D personnel. China and India are
has revealed that two out of three sites (for Belgium, Denmark, Germany, not considered attractive in terms of
companies consider their home France, Italy, Finland and Sweden) and intellectual property rights especially
country to be the most attractive the quantity of R&D personnel (for Italy, as concerns enforcement or public

Chapter 2
location for R&D. Austria, Poland and the UK). support for R&D via grants and direct
funding, publicprivate partnerships
Beyond the home country, the Companies consider the USA as being and financing of non-R&D types of
USA, Germany, China and India more attractive for R&D in terms of investment.
are considered the most attractive market size and growth rate, whereas
locations in terms of human EU countries stand out for the quality
resources, knowledge-sharing and of their R&D personnel in the labour
proximity to other company sites, market and the level of public support
technology poles, incubators and for R&D via grants, direct funding and
suppliers. fiscal incentives.
Source: (text and Figure 2.4): Executive Summary
Within the EU, the quality of R&D When contemplating the idea of setting from: Joint Research Centre Institute for
Prospective Technological Studies (2014) The
personnel and knowledge-sharing up R&D units in China and India, EU 2014 EU Survey on Industrial R&D Investment Trends.
opportunities with universities and companies tend to look first at market See: http://iri.jrc.ec.europa.eu/survey14.html

Figure 2.4: Most attractive countries for business R&D according to EU firms, 2014

125
Not company's home country
Company's home country

100

75

50

25

0
ria

A
en

m
ce
y

UK

ly

nd

a
s

ia

a
US
nd
an

ar

in

di
ai
n

Ita
an

iu

st
an

ed
la

la
Sp

Ch
m

In
rm

la

Au
lg
m
Po

Fin
Fr

Sw

n
er

Be
Ro
Ge

De
th
Ne

Note: Survey based on an attractiveness index compiled for 161 responses from 186 companies.

63
UNESCO SCIENCE REPORT

Figure 2.5: Trend in number of projects in the FDI Markets database, 20032014
800
Design, development and testing
Research and development
ICT infrastructure
Education and training
700

670

600

500

400

383
313

300
256

200
153
141

100 117
55

0
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Source: fDi Markets database, May 2015

Home-base augmenting R&D is generally seen as more radical, The financial crisis is visible in aggregate economic indicators
in the sense that it has greater implications for the technological from 2008 onwards. The crisis does not seem to have had
capabilities of both the destination and the region in which the a marked influence on the investment projects recorded
investment project originates. We have no way of distinguishing in the fDi Markets database. The top five sectors (out of 39)
between these two motives directly but it would seem for FDI-related projects are software and IT services;
reasonable to expect that the design, development and testing communications; business services; pharmaceuticals; and
category will generally be aimed more at home-base exploiting semiconductors (Table 2.1). These five sectors cover 65% of all
projects than the R&D category. knowledge-related FDI projects. The R&D category is dominated
by the three related sectors of pharmaceuticals, biotechnology
A drop in the number of R&D-related FDI projects and chemicals (57% of projects). As for the design, development
Figure 2.5 presents an overview of the trends in the number and testing category, here, the trio of sectors in the top five
of projects in each category. Note that the data for 2014 are concerns semiconductors, industrial machinery and chemicals.
incomplete. We prefer this simple count to studying the trends In the education category, the top ranking goes to business
in invested dollars because the average investment amount services, industrial machinery and original equipment
per project stays roughly constant over time but varies greatly manufacturers (OEM) in the automotive industry.
between the ICT infrastructure category and the other three.
There are clear differences between the four categories, with A growing tendency to converge
the number of R&D projects clearly falling over time, the design There is a strong concentration of private R&D in the
category and the ICT infrastructure category rising over time developed parts of the globe, where about 90% of all R&D-
and education fluctuating slightly. related FDI projects originate, even if Chinas growing private

64
 Tracking trends in innovation and mobility

Table 2.1: Sectorial distribution of knowledge-related FDI projects, 20032014

Share Share Rank for Share Share Share

of total of total design, of total of total of total
Overall projects Rank for projects development projects Rank for projects Rank for ICT projects
Sector rank (%) R&D (%) and testing (%) education (%) infrastructure (%)
Software & IT services 1 26 2 15 1 37 2 11 2 21
Communications 2 23 4 8 2 10 4 6 1 76
Business services 3 7 33 7 1 37 3 1

Chapter 2
Pharmaceuticals 4 5 1 19 11 24 10
Semiconductors 5 4 6 3 7 14 10
Chemicals 3 8 5 5
Biotechnology 5 8
Industrial machinery 4 5 3 7
Automotive 5 6
Financial services 3 1
Transportation 5 0
Top 5 (%) 65 57 65 67 99
Source: fDi Markets database, May 2015

sector makes it a rising power (Figure 2.6). When Western Projects in design, development and testing paint a similar
Europe, North America, Japan and the Asian Tigers are on the picture to that for R&D-related projects. China and India attract
receiving end of FDI, however, they only account for about a slightly larger share of total FDI projects in this category, as
55% of all projects. This implies that FDI streams are tending do the other regions. Africa has crossed the 1% threshold for
to create a more even distribution of R&D around the world. this category. It would seem that this type of project is more
Those parts of the world with a small share of global business prone to globalization than those in the pure R&D category,
R&D are attracting a relatively large share of R&D-related FDI perhaps because the knowledge embedded in design,
projects from regions that are home to the great majority of development and testing is slightly easier to transfer as
private R&D (Figure 2.6). evidenced by the larger number of FDI projects in this category
as the knowledge in this category is more akin to home-base
Much of this tendency to converge comes from China and exploiting than home-base augmenting. The map here shows
India. Taken together, they attract almost 29% of all R&D- the same hotspots in China, India, Brazil and South Africa as in
related FDI projects. China attracts the most but the number the first map for R&D-related projects but also some additional
of projects is only about one-third larger than for India. ones, notably in Mexico (Guadalajara and Mexico City),
By contrast, just 4.4% of these projects originate in these Argentina (Buenos Aires) and South Africa (Cape Town).
two countries. Africa stands out for the very low number
of projects it attracts, less than 1% of the global total. As In the learning and education category, the Middle East and
the first map3 shows in Figure 2.6, both the destination Africa attract relatively large shares of projects. When it comes
and origin of projects are very concentrated, even within to ICT infrastructure, though, Latin America, Eastern Europe and
countries. China, India and, to a lesser extent, Brazil, attract Africa all stand out on the receiving end. The maps for these
numerous R&D projects but, within these large countries, only two categories tend to reproduce the same hotspots as the
a small number of cities attract the majority of projects. In map of R&D-related FDI projects.
China, these locations are mostly located in coastal regions,
including Hong Kong and Beijing. In India, it is Bangalore, As an intermediate conclusion, we could say that the distribution
Mumbai and Hyderabad in the south which attract the of knowledge-related FDI projects is tending to become more
majority of projects. In Brazil, the two top cities are So Paulo evenly spread across the world. This is a slow trend clearly visible.
and Rio de Janeiro. Africa is almost virgin territory, with the However, even in terms of the very broad global regions that
JohannesburgPretoria region being the only hotspot. we used, there are large differences between different parts of
the globe. Some parts of the world, such as China and India, are
3. In order to keep the maps in Figure 2.6 readable, projects are documented only able to attract foreign R&D; others, such as Africa, are much less
when at least one of the sides is not a high-income region, namely North America,
Western Europe, Japan, the Asian Tigers and Oceania. Some projects do not have
able to do so. Thus, even if convergence is taking place, it is not
information on the cities. complete convergence in a geographical sense.

65
Figure
UNESCO Trends inREPORT
2.6:SCIENCE knowledge-related FDI projects, 20032014
Hardly any R&D-related projects are destined for Africa; most go to China and India
Share of total projects (%)

Destination of R&D-related FDI projects

Middle East
Western China and Japan and North Latin Eastern and North Former
Europe India Asian Tigers America America Europe Africa Soviet states Africa Oceania Total
Western Europe 10.6 8.3 4.3 6.0 1.8 2.4 1.1 0.8 0.5 0.5 36.2

China and India 1.7 0.3 0.7 0.9 0.1 0.1 0.4 0.1 0.1 4.4

Japan and Asian

2.0 4.6 2.5 2.0 0.1 0.2 0.1 0.3 0.0 0.2 12.1
Tigers
Source of R&D-related FDI projects

North America 13.1 14.8 6.5 1.9 2.2 1.6 1.9 0.9 0.3 0.8 44.1

Latin America 0.1 0.0 0.0 0.0 0.2

Eastern Europe 0.2 0.0 0.0 0.0 0.1 0.4

Middle East and

0.3 0.3 0.0 0.3 0.1 0.0 1.1
North Africa

Former Soviet
0.2 0.0 0.1 0.0 0.3
states

Africa 0.0 0.0

Oceania 0.2 0.2 0.2 0.1 0.7

Total 28.4 28.7 14.3 11.3 4.3 4.5 3.5 2.2 0.8 1.6

4.3%
Share of R&D-related projects destined for Latin America
28.7%
Share of R&D-related projects destined for China and India

R&D projects flowing to and from developing regions

KEY
Blue flows from
traditionally R&D-
intensive countries
to new countries in
terms of R&D

Green flows from

new countries to
traditionally R&D-
intensive countries

Red flows between

new countries

Source: UNU-Merit

66
 Tracking trends in innovation and mobility
China and India are the greatest beneficiaries of projects in design, development and testing
Share of total projects (%)

Destination of projects in design, development and testing

Middle East
Western China and Japan and North Latin Eastern and North Former
Europe India Asian Tigers America America Europe Africa Soviet states Africa Oceania Total
Western Europe 8.4 8.6 3.6 5.8 2.1 3.9 1.3 0.7 0.6 0.5 35.5
Source of projects in design, development and testing

China and India 1.6 0.5 0.8 1.2 0.6 0.2 0.2 0.0 0.1 0.2 5.4

Japan and Asian

2.2 3.4 2.0 1.9 0.2 0.2 0.1 0.1 0.0 0.1 10.3

Chapter 2
Tigers

North America 11.0 17.4 5.4 2.0 2.8 2.5 1.5 1.0 0.3 0.9 44.9

Latin America 0.1 0.0 0.0 0.1 0.4 0.0 0.0 0.0 0.6

Eastern Europe 0.1 0.0 0.0 0.0 0.2 0.0 0.1 0.5

Middle East and

0.2 0.5 0.1 0.1 0.0 0.1 0.2 0.0 1.2
North Africa

Former Soviet
0.1 0.0 0.0 0.0 0.0 0.1 0.1 0.4
states

Africa 0.1 0.1 0.0 0.0 0.0 0.2

Oceania 0.1 0.1 0.1 0.1 0.0 0.0 0.0 0.1 0.6

Total 23.8 30.6 12.1 11.3 6.1 7.2 3.4 2.1 1.1 1.8

1.1%
Share of projects in design, development and testing
30.6%
Share of projects in design, development and testing
destined for Africa destined for China and India
Design, development and testing FDI projects flowing to and from developing regions

KEY
Blue flows from
traditionally R&D-
intensive countries
to new countries in
terms of R&D

Green flows from

new countries to
traditionally R&D-
intensive countries

Red flows between

new countries

Source: UNU-Merit

67
Figure
UNESCO 2.6 SCIENCE
(continued) REPORT

Western Europe, China and India attract four out of ten projects in education
Share of total projects (%)

Destination of FDI projects in education

Middle East
Western China and Japan and North Latin Eastern and North Former
Europe India Asian Tigers America America Europe Africa Soviet states Africa Oceania Total
Western Europe 8.6 7.6 5.2 4.3 2.2 2.4 4.0 1.8 2.2 0.9 39.2

China and India 0.7 0.9 0.8 0.5 0.9 0.2 2.0 0.1 1.1 0.1 7.1

Japan and Asian

2.3 3.0 2.0 1.5 0.6 0.7 0.7 0.2 0.5 0.3 11.8
Tigers
Source of FDI projets in education

North America 7.8 9.0 4.7 0.9 2.2 1.7 4.7 1.1 1.4 0.9 34.3

Latin America 0.1 0.7 0.1 0.1 0.1 1.1

Eastern Europe 0.2 0.1 0.1 0.3

Middle East and

0.5 0.5 0.2 0.1 0.1 1.2 0.1 2.7
North Africa

Former Soviet
0.1 0.1 0.1 0.1 0.3
states

Africa 0.1 0.5 0.5

Oceania 0.1 0.4 0.3 0.1 0.1 0.1 1.1

Total 20.4 22.1 13.3 7.5 5.9 4.9 12.8 3.4 5.9 2.2

5.9%
Africa and Latin America attract the same share
22.1%
Share of projects in education destined for China and India
of projects in education
Education projects flowing to and from developing regions

KEY
Blue flows from
traditionally R&D-
intensive countries
to new countries in
terms of R&D

Green flows from

new countries to
traditionally R&D-
intensive countries

Red flows between

new countries

Source: UNU-Merit

68
 Tracking trends in innovation and mobility
Africa attracts more FDI projects in ICT infrastructure than in other categories
Share of total projects (%)

Destination of FDI projects in ICT infrastructure

Middle East
Western China and Japan and North Latin Eastern and North Former
Europe India Asian Tigers America America Europe Africa Soviet states Africa Oceania Total
Western Europe 11.2 1.3 2.7 3.2 5.8 5.5 0.9 3.0 2.0 1.1 36.6
Source of projects in design, development and testing

China and India 0.4 0.0 0.6 0.5 0.2 0.1 0.2 1.1 0.1 3.3

Japan and Asian

1.3 1.7 2.0 1.0 0.3 0.2 0.3 0.1 0.4 0.8 8.1
Tigers

Chapter 2
North America 13.0 3.5 7.0 2.4 4.4 1.4 0.6 0.5 0.7 2.4 35.8

Latin America 0.6 0.1 3.4 0.2 4.2

Eastern Europe 0.4 0.0 0.2 0.0 0.6 0.0 0.3 1.5

Middle East and

0.4 0.1 0.1 0.1 0.1 0.0 1.1 0.0 0.7 2.7
North Africa

Former Soviet
0.1 0.2 0.0 0.0 1.2 1.6
states

Africa 0.3 0.0 0.0 0.1 2.4 2.8

Oceania 0.2 0.1 0.2 0.1 0.0 0.1 0.8

Total 27.8 6.7 13.0 7.5 14.3 7.9 3.2 5.3 7.2 4.5

7.2%
Share of FDI projects in ICT infrastructure destined for Africa
14.3%
Share of FDI projects in ICT infrastructure destined for Latin
America
Infrastructure projects flowing to and from developing regions

KEY
Blue flows from
traditionally R&D-
intensive countries
to new countries in
terms of R&D

Green flows from

new countries to
traditionally R&D-
intensive countries

Red flows between

new countries

Source: UNU-Merit

69
UNESCO SCIENCE REPORT

Firms prefer in-house R&D to outsourcing Generally speaking, firms prefer in-house R&D to outsourcing,
For years, R&D measures were used as a proxy for innovation the most notable exception being Cuba (Figure 2.7). In the
on the assumption that engagement in R&D would Republic of Korea, there is even a large gap between the share
automatically lead to the marketing of innovative products of firms performing R&D internally (86%) and externally (15%).
and processes. Nowadays, it has been recognized that This same phenomenon is to be found in Hong Kong (China):
the innovation process encompasses activities other than 84% and 17% respectively. On mainland China, almost two-
R&D. The relationship between these two phenomena is thirds of firms perform in-house R&D (Box 2.2).
nevertheless still of great interest.
Overall, whereas, in 65% of high-income countries, more than
In the EUs Community Innovation Survey, which is followed half of firms perform in-house R&D, this is observed in only
by many countries worldwide, the harmonized questionnaire 40% of low- and middle-income countries. It is interesting to
asks about engagement in in-house and outsourced (or observe that not all firms active in innovation engage in R&D,
external) R&D but also other activities related to innovation, whatever the income status of the country. This supports the
such as the acquisition of machinery, equipment and software argument that innovation is broader than R&D and that firms
and the acquisition of other external knowledge. may be innovators without actually being R&D performers.

Figure 2.7: Firms with in-house or external R&D among surveyed countries
Share of innovation-active firms (%)
R&D performers and contractors in high-income countries

100
In-house R&D External R&D
90 86
84 84
80 78
72 71
70 69 68 67
63
59 61 59
60 58 57 57 56
53 53 51 51
50 49
47
41 41 41 40 39
40 34 34 33 33 34 38 37 36
32 34
30 29
30 27 26 27 27
21 23 22 21 21
20 19 20 20
20 17 18 18
15
19
10 4 5
3
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100
In-house R&D External R&D
90

80 76
72
69
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63
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60
54
51 50
50 49
44 43 42
40 39 39
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28 27
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Source: UNESCO Institute for Statistics, September 2014

70
 Tracking trends in innovation and mobility

Box 2.2: Innovation in the BRICS

The great majority of firms in low- and Figure 2.8: Profile of the type of innovation done by firms in BRICS countries
middle-income economies acquire Share of innovation-active manufacturing firms (%)
machinery, equipment and software 100
to give themselves the technological
edge that will enable them to innovate.
85
The BRICS countries are no exception

Chapter 2
to the rule.

75 71
Among BRICS countries, China is the
68
country with the highest share of firms 66
64
engaging in the acquisition of external
knowledge. In China, about 30% of 63

firms engaged in innovation purchase

existing know-how and licence 50 54
patented and non-patented inventions
or other types of external knowledge.

China also has the greatest proportion 35

28
of firms performing in-house R&D (63%). 25
This is slightly lower than the proportion 25
of firms acquiring machinery, equipment 16 16 22 22
20 19
and software. The gap between these 17
two activities is much higher in India, the 13
11
Russian Federation and, above all, Brazil.
7
0
The Russian Federation has a slightly
Brazil Russian Fed. India China South Africa
higher share of firms outsourcing R&D
than performing it in-house. Brazil has External R&D Acquisition of machinery, equipment and software

the lowest rate of outsourcing of the In-house R&D Acquisition of external knowledge

five countries, just 7% of firms. Source: UNESCO Institute for Statistics, September 2014

Little interaction with universities where clients or customers prevail. Moreover, suppliers
As the innovation process is interactive, firms tend to rely on are rated as highly important by 53% of the firms active in
their ties to other sources of knowledge for information and co- innovation in Argentina, making them most important source
operation. Internal sources of information are most frequently of information in this country.
rated as highly important by firms in countries of all income
levels. This is even the predominant source of information in all Cuba is the only country where as many as 25% of firms
but one high-income country (Table 2.2). Only in the Russian consider the government or public research institutes as
Federation is another source of information highly important, being highly important sources of information. Overall,
that supplied by clients or customers. most firms do not consider government sources including
institutions of higher education as highly important sources
In the other BRICS countries, both customers and internal of information.
sources predominate as highly important sources of
information: in China and India, 60% and 59% of firms A similar situation prevails in terms of partnerships. Very
respectively rate their customers as such. Also of note is that few firms interact with government institutions such as
firms in Brazil and India rate their suppliers equally highly. universities and public research institutes (Table 2.3). The
low proportion of firms co-operating with universities is of
Although the majority of firms in low- and middle-income concern, given the contribution that the latter make to the
countries also rate internal sources of information as being generation and dissemination of knowledge and technology
highly important, there are more countries in this category and their role as suppliers of graduates to firms (Figure 2.9).

71
UNESCO SCIENCE REPORT

Table 2.2: Highly important sources of information for firms

Share of innovation-active manufacturing firms (%)
SOURCES OF INFORMATION
Internal Market Institutional Other
Suppliers of Consultants, Universities Scientific
Within your equipment, Competitors commercial or other Government journals
enterprise or materials, or other labs or higher or public Conferences, and trade/ Professional
enterprise components Clients or enterprises in private R&D education research trade fairs, technical and industry
group or software customers your sector institutes institutions institutes exhibitions publications associations
High-income countries
Australia 72.9 28.6 42.1 21.0 13.7 1.2 2.9 10.0 23.0 16.3
Belgium 55.1 26.7 28.7 8.4 4.7 5.2 1.6 11.7 6.7 3.1
Croatia 44.0 27.7 33.2 14.5 5.3 2.7 0.5 14.1 8.2 2.4
Cyprus 92.8 71.9 63.4 48.1 41.3 6.0 5.5 63.0 31.5 20.4
Czech Rep. 42.7 21.8 36.8 18.5 3.9 4.3 2.3 13.3 3.8 1.9
Estonia 30.1 29.4 18.8 9.3 5.8 4.2 1.1 12.7 2.0 1.3
Finland 63.4 17.3 41.1 11.7 3.6 4.5 2.8 8.8 3.4 2.5
France 51.2 19.9 27.8 9.4 6.2 3.4 3.1 10.8 7.9 5.5
Israel 79.3 17.6 19.1 7.9 7.5 3.7 2.2 13.7 6.7 2.1
Italy 35.5 18.8 17.6 4.5 15.1 3.7 1.0 9.7 3.7 4.4
Japan 33.7 20.7 30.5 7.5 6.2 5.1 4.8 4.6 2.0 2.9
Latvia 44.4 23.3 23.9 16.5 7.8 3.4 1.6 20.2 7.1 3.4
Lithuania 37.5 15.6 18.9 12.2 4.1 2.9 3.8 13.1 2.2 0.5
Luxembourg 68.3 36.5 46.1 24.6 12.6 7.8 3.6 38.3 24.0 18.6
Malta 46.0 39.0 38.0 21.0 10.0 4.0 2.0 13.0 2.0 3.0
New Zealand 86.4 51.0 76.3 43.1 43.4 10.2 16.0 45.9 48.3 21.4
Norway 79.1 50.4 78.3 30.0 9.4 7.2 10.5 10.5 16.0 30.4
Poland 48.2 20.2 19.2 10.1 5.2 5.8 7.3 14.8 10.3 4.8
Portugal 33.9 18.5 30.3 10.2 5.9 3.2 2.2 13.9 6.0 4.3
Korea, Rep. 47.4 16.1 27.7 11.3 3.4 3.9 6.1 6.7 5.2 4.9
Russian Fed. 32.9 14.1 34.9 11.3 1.7 1.9 7.4 12.0 4.1
Slovakia 50.5 27.2 41.6 18.1 2.8 2.5 0.6 12.4 13.6 1.4
Spain 45.5 24.2 20.9 10.4 8.7 5.0 7.7 8.7 4.7 3.9
Uruguay 52.9 24.2 40.3 21.2 13.6 5.8 27.1 18.0
Low- and middle-income countries
Argentina 26.4 52.7 36.3 16.4 28.5 40.0 42.4
Brazil 41.3 41.9 43.1 23.8 10.2 7.0
Bulgaria 28.6 22.4 26.1 13.6 5.5 13.6 9.4 5.1
China 49.5 21.6 59.7 29.6 17.1 8.9 24.7 26.7 12.0 14.8
Colombia 97.6 42.5 52.6 32.1 28.4 16.2 8.0 43.7 47.3 24.5
Cuba 13.6 11.5 5.1 19.6 24.7
Ecuador 67.0 34.9 59.0 27.1 10.7 2.0 2.2 22.2 42.5 6.3
Egypt 75.9 32.1 16. 1 17.0 2.7 1.8 0.9 22.3 13.4 4.5
El Salvador 26.4 40.3 5.4 15.2 3.8 1.8 13.9 10.3
Hungary 50.5 26.4 37.4 21.3 13.0 9.9 3.3 16.6 9.6 7.7
India 58.5 43.3 59.0 32.6 16.8 7.9 11.0 29.7 15.1 24.5
Indonesia 0.4 1.3 1.8 1.3 0.9 0.4 0.4 0.9 0.9 0.9
Kenya 95.7 88.2 90.3 80.6 52.7 37.6 39.8 71.0 64.5 72.0
Malaysia 42.4 34.5 39.0 27.9 15.0 9.5 16.7 28.1 21.7 23.6
Mexico 92.2 43.6 71.9 44.0 19.0 26.4 23.6 36.9 24.5
Morocco 51.3 56.4 15.4 17.9 6.4 12.8 43.6 34.6 25.6
Nigeria 51.7 39.3 51.7 30.0 14.6 6.8 4.1 11.5 7.1 20.2
Panama 43.6 10.9 15.2 6.6 5.2 2.4 2.4 5.2 0.5 1.9
Philippines 70.7 49.5 66.2 37.9 21.2 10.1 7.1 21.7 16.7 15.7
Romania 42.1 31.8 33.5 20.5 5.2 3.3 2.0 14.3 10.2 3.5
Serbia 36.2 18.3 27.3 10.5 7.8 5.3 2.6 14.8 10.3 5.7
South Africa 44.0 17.9 41.8 11.6 6.9 3.1 2.3 12.9 16.7 8.4
Tanzania 61.9 32.1 66.7 27.4 16.7 7.1 11.9 16.7 9.5 20.2
Turkey 32.6 29.1 33.9 18.0 5.2 3.7 2.8 19.7 9.4 6.9
Uganda 60.9 24.8 49.0 23.0 12.2 3.2 5.0 16.4 8.3 11.3
Ukraine 28.6 22.4 21.9 11.0 4.7 1.9 4.6 14.7 9.1 4.0
Source: UNESCO Institute for Statistics, September 2014

72
 Tracking trends in innovation and mobility

Table 2.3: Partners with which firms co-operate in innovation

Share of innovation-active manufacturing firms (%)
CO-OPERATION
Suppliers of Consultants,
Other enterprises equipment, materials, Competitors or commercial labs Universities or other Government or
within your components other enterprises in or private R&D higher education public research
enterprise group or software Clients or customers your sector institutes institutions institutes
High-income countries
Australia 21.4 49.4 41.6 21.4 36.2 1.4 5.6

Chapter 2
Austria 21.2 30.2 22.8 8.0 20.2 24.7 11.6
Belgium 17.7 32.4 19.2 9.3 16.5 19.6 10.8
Croatia 8.6 26.1 21.6 13.9 12.3 13.9 9.1
Cyprus 8.1 51.9 45.5 37.0 34.0 7.7 9.4
Czech Rep. 14.5 25.6 21.1 10.0 14.0 16.6 6.6
Denmark 16.8 28.9 25.1 9.1 17.2 14.5 10.5
Estonia 20.3 23.6 23.1 10.5 11.3 9.9 2.5
Finland 23.6 38.1 41.6 33.2 34.2 33.8 24.8
France 16.1 23.6 20.2 9.8 14.3 13.2 10.8
Germany 8.6 14.2 13.5 3.0 8.7 17.1 8.1
Iceland 6.2 9.5 23.7 3.8 1.9 10.4 15.6
Ireland 15.4 19.6 17.0 4.1 15.1 13.0 10.0
Israel 28.8 40.1 15.4 20.3 14.4 10.1
Italy 2.2 6.7 5.1 2.7 6.6 5.3 2.2
Japan 31.7 31.5 19.9 16.9 15.7 14.4
Korea, Rep. 11.5 12.8 8.1 6.3 10.0 12.8
Latvia 14.0 20.8 19.6 14.0 10.6 5.9 1.9
Lithuania 17.7 31.3 24.2 11.3 14.8 13.1 8.6
Luxembourg 22.8 31.7 29.9 19.2 22.8 19.2 22.8
Malta 13.0 12.0 8.0 4.0 7.0 7.0 3.0
Netherlands 14.5 26.3 14.7 7.7 13.7 11.0 7.8
New Zealand 18.2 18.7 16.6 7.2 5.9
Norway 16.8 22.1 22.0 7.6 19.4 14.3 18.1
Poland 11.2 22.7 15.2 7.7 10.1 12.6 9.0
Portugal 5.1 13.0 12.2 4.7 8.3 7.5 4.8
Russian Fed. 12.6 16.7 10.9 3.9 5.1 9.1 15.6
Slovakia 18.6 31.5 27.8 20.8 16.1 15.7 10.8
Spain 5.5 10.4 6.7 3.5 6.3 7.3 9.7
Sweden 33.3 35.9 30.7 14.2 29.7 18.3 8.8
UK 6.2 9.4 11.0 3.8 4.5 4.7 2.5
Low- and middle-income countries
Argentina 12.9 7.6 3.5 9.3 14.5 16.1
Brazil 10.0 12.8 5.2 6.2 6.3
Bulgaria 3.9 13.6 11.2 6.4 5.8 5.7 3.0
Colombia 29.4 21.0 4.1 15.5 11.2 5.3
Costa Rica 63.9 61.1 16.5 49.6 35.3 8.1
Cuba 15.3 28.5 22.1 14.9 26.4
Ecuador 62.4 70.2 24.1 22.1 5.7 3.0
Egypt 3.6 7.1 0.9 7.1 1.8 0.9
El Salvador 36.9 42.1 1.3 15.3 5.5 3.4
Hungary 15.5 26.9 21.1 16.4 20.1 23.1 9.9
Indonesia 25.7 15.9 8.0 10.2 8.4 4.9
Kenya 53.8 68.8 54.8 51.6 46.2 40.9
Malaysia 32.9 28.8 21.2 25.5 20.7 17.4
Mexico 9.7 7.0 6.1
Morocco 25.6 19.2 3.8
Panama 64.5 0.5 18.5 3.8 1.4 7.6
Philippines 91.2 92.6 94.1 67.6 64.7 47.1 50.0
Romania 2.8 11.7 10.6 6.2 5.9 7.2 3.1
Serbia 16.6 19.4 18.3 13.0 12.4 12.5 9.8
South Africa 14.2 30.3 31.8 18.6 21.1 16.2 16.2
Turkey 10.4 11.6 10.7 7.4 7.9 6.4 6.6
Ukraine 16.5 11.5 5.3 5.7 4.2 6.6
Source: UNESCO Institute for Statistics, September 2014

73
UNESCO SCIENCE REPORT

Figure 2.9: Firms linkages with universities and related institutions

Share of innovation-active manufacturing firms (%)

45

Co-operation partners, high-income countries

33.80

Highly important sources of information, high-income countries

30
19.55

19.16

16.59

15.71

15.70

14.36

14.33

13.87

13.23

13.06

12.62
15

10.00

9.90

9.10

7.66

7.45

7.26

7.00

5.90
10.2

529

1.40
7.8

7.20
2.5 7.2 2.7 2.9
5.1 5.8 1.9 6.0 1.2
4.5 5.2 4.3 4.2 5.0 4.0
3.7 3.9 3.2 3.4 3.7
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TRENDS IN SCIENTIFIC MOBILITY in 1992. In the 1990s, many Indians working in the USAs
IT industry began collaborating with their counterparts in
The diaspora can boost innovation at home and abroad India and outsourcing their work. A 2012 survey shows that
Although new technologies like the internet have opened up 12 of the top 20 IT firms in India have expatriate Indians as
possibilities for virtual mobility, physical movement remains founders, co-founders, chief executive officers or managing
crucial to cross-fertilize ideas and spread scientific discoveries directors (Pande, 2014). In 2009, the Indian government
47.10

45 time and space. The following discussion will be

across launched the Global Indian Network of Knowledge to
46.24

examining recent trends in international scientific mobility, facilitate knowledge exchange between the diaspora and
defined as the cross-border physical movement of peopleCo-operation
who partners,
Indialow-
in and middle-income
business, IT andcountries
education (Pande, 2014).
40.0
Highly important sources of information, low- and middle-income countries
participate in research training or research work. For the purpose
37.6
of this analysis, we shall draw on the international learning Between 2006 and 2015, the Dutch government implemented
30
mobility and career of doctorate-holders studies undertaken the Temporary Return of Qualified Nationals projects to help
jointly by the UNESCO Institute for Statistics, OECD and Eurostat. a number of post-conflict countries build their technological
23.06

26.4
capacity and transfer knowledge. The voluntary return
20.71

There is a wealth of evidence to support the claim that diaspora of highly qualified overseas nationals to Afghanistan for
16.20

knowledge networks can transform the

19.6 local and international a maximum of six months to help rebuild their country
environment
15 for innovation. As far back as the 1960s 16.2and has already brought about technological change and
14.89

14.47

1970s, the Korean and Taiwanese diaspora were persuaded innovation in education, engineering and health (Siegel and
12.55

8.41

6.30
7.16

6.96
11.16

to leave Californias Silicon Valley to establish science parks Kuschminder, 2012). Elsewhere, temporary returnees have
6.43

5.71

5.55

10.1 9.9 9.5

1.42
4.18

in their homeland (Agunias and Newland, 2012). Another

1.79

introduced 7.0
new technology, revised university curricula and
2.0 6.4 2.4
example is the Colombian network of scientists 5.3 and engineers trained local 1.9
instructors, among 1.8 things. One factor
other
3.85

0.4 3.7 3.8

3.1 3.3
abroad,
0 which was set up in 1991 to reconnect expatriates with contributing to the projects success is the participants
a

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their home country (Meyer and Wattiaux, 2006). substantial knowledge of the local language and culture.
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A more recent case study concerns the Indian diasporas Scientific mobility nurtures international research
role in Indias information technology (IT) industry, which collaboration
contributed as much as 7.5% to Indias GDP in 2012. Perhaps When Woolley et al. (2008) surveyed scientists in six AsiaPacific
the most famous Indian expatriate in the IT industry is Satya countries, they found that those who had obtained research
Nadella, an engineer who was appointed chief executive degrees and trained overseas were also active participants in
officerof Microsoft in 2014 after joining the multinational international research collaboration. Jns (2009) discovered

74
 7.8 2.9
2.5 7.2 2.7

7.
5.1 5.8 1.9 6.0 1.2
4.5 5.2 4.3 4.2 5.0 4.0
3.7 3.9 3.2 3.4 3.7
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an

Ita
an

tv
ak
Re

Fe

an

al
iu

rw

an

pr

ra
oa

la
Isr

p.

to

Sp
rtu
bo

La
M
l

Ja
lg

ov

hu

st
al
Fin

Po

Cy
n
Fr
h

Re
No

Cr

Es
Be

Au
Po
ia
m

ec

Sl

Lit

ss
a,
xe

Cz

w
re

Ru
Lu

Ne
Ko
Tracking trends in innovation and mobility
47.10

45
46.24

Co-operation partners, low- and middle-income countries

40.0
37.6 Highly important sources of information, low- and middle-income countries

Chapter 2
30
23.06

26.4
20.71

16.20

19.6
15 16.2
14.89

14.47

12.55

8.41

6.30
7.16

6.96
11.16

6.43

5.71

5.55
10.1 9.9 9.5

1.42
4.18

1.79
7.0 6.4 2.4
2.0 1.9 1.8
5.3

3.85
0.4 3.7 3.8
3.1 3.3
0
a

sia

ia
a

ba

ico

ey

or
ia

il

co

a
s

t
sia

do

yp
ne

az
in
ny

ric

bi

m
ar

in
an
rb

ad
rk

oc
Cu

ne
ay

ex
nt

ra
ng

na
Eg
Br

ua
pi

Ke

Af

Se

Tu

lv

or
al

Uk
lo
ge

do

M
ilip

Pa
Hu

Ec
Ro
h

Sa
M

M
Co
ut

Ar

In
Ph

El
So

Source: UNESCO Institute for Statistics, September 2014

that research collaboration between visiting academics Competition for skilled workers likely to intensify
and their German colleagues survived beyond the end of A number of governments are keen to promote scientific
the academics stay. Meanwhile, Jonkers and Tijssen (2008) mobility as a route to building research capacity or
found that the growth in Chinas internationally co-authored maintaining an innovative environment. In the coming years,
publications could be explained by the high population of the competition for skilled workers from the global pool
the Chinese scientific diaspora established in various host will most likely intensify. This trend will depend in part on
countries; they also found that Chinese returnees had an factors such as levels of investment in science and technology
impressive record of international copublications. around the world and demographic trends, such as low birth
rates and ageing populations in some countries (de Wit,
International scientific collaboration is obviously invaluable 2008). Countries are already formulating broader policies to
for tackling global scientific issues such as climate change and attract and retain highly skilled migrants and international
water, food or energy security and for integrating local and students, in order to establish an innovative environment or
regional actors into the global scientific community. It has maintain it (Cornell University et al., 2014).
also been widely used as a strategy for helping universities
improve the quality and quantity of their research output. Brazil and China are among countries showing a renewed
Halevi and Moed (2014) argue that countries in a phase of policy interest in promoting mobility. In 2011, the Brazilian
building up their capacity begin establishing projects with government launched the Science without Borders programme
foreign research teams in scientifically advanced countries, to consolidate and expand the national innovation system
in particular; these projects are often funded by foreign through international exchanges. In the three years to 2014, the
or international agencies with a focus on specific topics. government awarded 100 000 scholarships to talented Brazilian
This trend is evident in countries such as Pakistan and students and researchers to study fields of science, technology,
Cambodia where the great majority of scientific articles have engineering and mathematics at the worldstop universities. In
international co-authors (see Figures 21.8 and 27.8). Later, addition to promoting outbound mobility, the Science without
when countries research capacity increases, they move Borders programme provides highly qualified researchers from
on to the phase of consolidation and expansion. Ultimately, overseas with grants to work with local researchers on joint
countries enter the phase of internationalization: their projects (See box 8.3).
research institutions start functioning as fully fledged partners
and increasingly take the lead in international scientific China, the country with the largest number of students living
co-operation, as has happened in Japan and Singapore (see abroad, has seen a shift in its own policy on scientific mobility.
Chapters 24 and 27). For many years, the Chinese government fretted about brain

75
UNESCO SCIENCE REPORT

drain. In 1992, the government began encouraging students A similar initiative that is still in the early stages is the Plan
who had settled abroad to return home for short visits to of Action on Science, Technology and Innovation, 20162020
mainland China (see Box 23.2). In 2001, the government (APASTI) adopted by the Association of Southeast Asian
adopted a liberalized policy inviting the diaspora to contribute Nations. APASTI aims to strengthen scientific capacity in
to modernizing the country without any obligation to member states by fostering exchanges among researchers
move back to China (Zweig et al., 2008). In the past decade, both within the region and beyond (see Chapter 27).
the governments ambition of increasing the number of
world-class universities has spawned a rash of government More international PhD students are studying science
scholarships for study abroad: from fewer than 3 000 in 2003 and engineering
to over 13 000 in 2010 (British Council and DAAD, 2014). Here, we shall be analysing trends in the cross-border migration
of university students and doctorate-holders. Over the past two
Regional schemes in Europe and Asia promoting mobility decades, the number of students pursuing higher education
There are also regional policies promoting scientific mobility. abroad has more than doubled from 1.7 million (1995) to
Launched in 2000, the EUs European Research Area 4.1 million (2013). Students from the Arab States, Central Asia,
exemplifies this trend. To enhance the competitiveness of sub-Saharan African and Western Europe are more likely to
European research institutions, the European Commission study abroad than their peers from other regions (Figure 2.10).
has launched a range of programmes to facilitate researchers
international mobility and strengthen multilateral research The data used in the analysis on the following pages are drawn
co-operation within the EU. For instance, the EUs Marie from the UNESCO Institute for Statistics database; they are the
Skodowska-Curie actions programme provides researchers fruit of joint data collections undertaken with the OECD and
with grants to promote transnational, intersectorial and Eurostat annually for mobile students and every three years for
interdisciplinary mobility. PhD-holders. The survey excludes students on short-term exchange
programmes. In 2014, more than 150 countries representing
Another initiative that is influencing cross-border mobility 96% of the worlds tertiary student population reported data on
is EUs requirement for publicly funded institutions to international students. In addition, 25 mainly OECD countries have
announce their vacancies internationally to provide an open reported data on doctorate-holders for the years 2008 or 2009.
labour market for researchers. Moreover, the scientific visa
package expedites administrative procedures for researchers We can observe four distinct trends in the mobility of international
applying from non-EU countries. Around 31% of post-doctoral students at doctoral level and among students enrolled in science
researchers in the EU have worked abroad for over three and engineering programmes. Firstly, the latter two broad fields
months at least once in the past ten years (EU, 2014). are the most popular educational programmes for international

Figure 2.10: Outbound mobility ratio among doctoral students, 2000 and 2013
By region of origin (%)

Central
& Eastern
Europe 7.6
Figure 2.10
3.13.3 1.7 2.0 Central 2000 2013
Western 3.4 3.6 3.7 Asia
0.5 0.5 Europe
1.8
North
America 6.0 1.0 1.0
Arab
States 1.9 1.9
4.0 South World average
1.1 0.9 & West Asia 2000 & 2013
East Asia and
Latin America the Pacific
and Caribbean
Sub-Saharan
Africa

Note: The outbound mobility ratio is the number of students from a given country (or region) enrolled in tertiary
programmes abroad, expressed as a percentage of total tertiary enrolment in that country (or region).
Source: UNESCO Institute for Statistics, June 2015

76
 Tracking trends in innovation and mobility

Figure 2.11: Distribution of international students, 2012

By type of programme and field of education (%)

38
Doctoral programmes

29 Other tertiary, non-doctoral

programmes

24

Chapter 2
19

16

13 13
12

9
7

4 4
3 3 3
2 4
1 1

Science Engineering, Social Humanities Health Education Agriculture Services Not known
manufacturing sciences, & arts & welfare or
& construction business unspecified
& law
Note: Data concern 3.1 million international students enrolled in 44 mainly OECD and/or EU countries.
Source: UNESCO Institute for Statistics, October 2014

doctoral students: out of a total of 359000 international There is a marked variation in the inbound mobility rate of
doctoral students in 2012, 29% were enrolled in science doctoral students: three in ten students in the USA are from
programmes and 24% in engineering, manufacturing and overseas, compared to more than four in ten in the UK and
construction programmes (Figure 2.11). By comparison, in non- France (Figure 2.12). The rate is even higher in Luxembourg,
doctoral programmes, international students studying science Liechtenstein and Switzerland, where more than half of
and engineering constitute the second- and third-largest doctoral students come from abroad.
groups after social sciences, business and law. Among these
students, a relatively large proportion comes from countries Thirdly, the proportion of doctoral students pursuing a degree
with a medium-level of technological capability, such as Brazil, abroad varies greatly from one country to the next. The ratio of
Malaysia, Saudi Arabia, Thailand and Turkey (Chien, 2013). students from a given country enrolled in doctoral programmes
abroad (or outbound mobility ratio) ranges from a low of
There has been a notable shift in the profile of international 1.7% in the USA to a high of 109.3% in Saudi Arabia (Figure
doctoral students away from social sciences and business 2.12). Saudi Arabia thus has more doctoral students enrolled
towards science and engineering programmes. Between 2005 in programmes abroad than at home. This relatively high
and 2012, the number of international doctoral enrolments in outbound mobility ratio is consistent with Saudi Arabias long
science and engineering grew by 130%, compared to a rise of tradition of government sponsorship of its citizens academic
120% reported in other fields. study abroad. Viet Nam had the next highest ratio of 78.1%
in 2012, with approximately 4 900 enrolled abroad and 6 200
The second distinctive trend is the concentration of international domestically. This high ratio is the result of the Vietnamese
doctoral students in a smaller number of host countries than non- governments policy of sponsoring the doctoral training of its
doctoral students. The USA (40.1%), UK (10.8%) and France (8.3%) citizens overseas, in order to add 20000 doctorate-holders to
host the bulk of international doctoral students. The USA hosts the faculty of Vietnamese universities by 2020 to improve its
nearly half of doctoral students enrolled in S&T fields (Figure 2.12). higher education system (British Council and DAAD, 2014).

77
UNESCO Preferred
SCIENCE
Figure 2.12: destinations of international doctoral students, 2012
REPORT
The USA alone hosts nearly half of international doctoral students
enrolled in science and engineering fields
Distribution of international doctoral students in science and engineering programmes
by host country, 2012 (%)

France
UK
USA
49.1%
Share of international doctoral students
9.2 enrolled in science and engineering
programmes in the USA
7.4
Australia

9.2%
4.6
Canada 49.1
3.9

Germany 3.5 2012 Share of international doctoral students

enrolled in science and engineering
3.1
Switzerland programmes in the UK
2.9
2.9
Japan

7.4%
2.0
Malaysia
11.4
Sweden
Share of international doctoral students
Other countries
enrolled in science and engineering
programmes in France

The USA hosts four out of ten international doctoral students

Share of international students by type of programme and host country, 2012 (%)

40.1 Doctoral programmes

Other tertiary, non-doctoral
programmes

21.8

14.2
8.8 8.7
10.8
8.3 8.5 4.9
7.1 4.0 3.1 2.8
1.2 1.7 3.0 1.4 2.7 1.4 1.3
4.7 4.3 1.7 1.9 1.9 2.1 1.9 0.8 5.0
3.9 0.8 1.4 0.9 0.9
3.1 0.6
1.7 1.7 1.4 1.3 1.1 1.1
A

ce

lia

sia

en

ly

nd

ic

ay

s
UK

nd

rie
an

ad

in

ri

re
pa

ai
n
US

bl
Ita
iu

rw
an

ra

st
ed
ay
la

la
Ch

Sp
Ko

nt
pu
rm

rla
n
Ja

lg
st

Au

a
er
Fr

No
al
Ca

Sw

Ze

ou
Be
Au

he

of

Re
Ge

itz

tc
w
t
Sw

ic

h
Ne

Ne
bl

ec

os
pu

Cz

rh
Re

he
Ot

78
Most doctoral students in Luxembourg, Liechtenstein
Trackingand Switzerland
trends are international
in innovation students
and mobility
Share of international doctoral students in individual host countries, or inbound mobility rate, 2012 (%)

80
75

51

42 41 41
39
35 34 34

Chapter 2
32
29 29

24 24 23 23
21

13 12
11 10 10
9 8 8 8 4 4 4
7 7 7 7 6 3 3 2 2 2
1 1 0.3
Luxembourg
Liechtenstein
Switzerland
France
New Zealand
UK
Netherlands
Malaysia
Belgium
Norway
Australia
USA
Sweden
Iceland
Denmark
Austria
Ireland
Japan
Finland
Czech Rep.
Italy
Portugal
Slovenia
China
Slovakia
Malta
Chile
Rep. of Korea
Estonia
Cyprus
Germany
Hungary
Bulgaria
Turkey
Thailand
Latvia
Croatia
Israel
Brazil
Romania
Poland
FYR Macedonia
Lithuania
5 600 5 200
Number of Saudi doctoral Number of Saudi doctoral
students being trained overseas students being trained in Saudi
in 2012 Arabia in 2012

Saudi Arabia has more doctoral students enrolled in programmes abroad than at home
Countries with more than 4 000 doctoral students enrolled abroad in 2012

Outbound
Number of mobility
Country of origin outbound ratio* Top destinations
China 58 492 22.1 USA, Japan, UK, Australia, France, Rep. of Korea, Canada, Sweden
India 30 291 35.0 USA, UK, Australia, Canada, France, Rep. of Korea, Switzerland, Sweden
Germany 13 606 7.0 Switzerland, Austria, UK, USA, Netherlands, France, Sweden, Australia
Iran 12 180 25.7 Malaysia, USA, Canada, Australia, UK, France, Sweden, Italy
Korea, Rep. 11 925 20.7 USA, Japan, UK, France, Canada, Australia, Switzerland, Austria
Italy 7 451 24.3 UK, France, Switzerland, USA, Austria, Netherlands, Spain, Sweden
Canada 6 542 18.0 USA, UK, Australia, France, Switzerland, New Zealand, Ireland, Japan
USA 5 929 1.7 UK, Canada, Australia, Switzerland, New Zealand, France, Rep. of Korea, Ireland
Saudi Arabia 5 668 109.3 USA, UK, Australia, Malaysia, Canada, France, Japan, New Zealand
Indonesia 5 109 13.7 Malaysia, Australia, Japan, USA, UK, Rep. of Korea, Netherlands, France
France 4 997 12.3 USA,UK, Malaysia, Switzerland, France, Japan, Germany, China
Viet Nam 4 867 78.1 France, U.S., Australia, Japan, Rep. of Korea, UK, New Zealand, Belgium
Turkey 4 579 9.2 USA, UK, France, Netherlands, Switzerland, Austria, Canada, Italy
Pakistan 4 145 18.0 UK, USA, Malaysia, France, Sweden, Australia, Rep. of Korea, New Zealand
Brazil 4 121 5.2 USA, Portugal, France, Spain, UK, Australia, Italy, Switzerland

* The number of students from a given country enrolled in doctoral programmes abroad, expressed as a percentage of total doctoral enrolment in that country
Note: The UNESCO Institute for Statistics recognizes that Germany is a top destination for international doctoral students. However, due to data unavailability,
Germany is absent from the top destinations listed here.

Note: Data for the tables and graphics in Figure 2.12 concern 3.1 million international students enrolled in 44 mainly OECD and/or EU countries.
Source: UNESCO Institute for Statistics, October 2014; Institute of International Education (2013) Open Doors Report on International Educational Exchange

79
UNESCO SCIENCE REPORT

Figure 2.13: Main clusters of international student mobility, 2012

Hong Kong (China)

Macao (China)

Lao PDR

Viet Nam
China
Singapore

Korea, Rep.
Mongolia
Japan
Nepal
Kazakhstan
Brunei
Sri Lanka Indonesia
Turkmenistan Maldives

Afghanistan Australia New Zealand

Bangladesh India
Russia Singapore

Iraq Pakistan
Somalia Philippines Papua New Guinea
Malaysia
Turkey UAE Libya
Lithuania Gambia
Czech Rep.
Poland Sweden Guatemala

Greece Norway
UK USA
Bulgaria
Germany Netherlands
Bermuda
Austria
Serbia Belgium Holy See
Canada Aruba
Slovenia Italy Peru
Cuba
Spain Trinidad & Tobago
Luxembourg
Nigeria Mozambique
Haiti
Mauritius Ghana
Tunisia Andorra
France South
Cameroon Africa Botswana
Niger
Cte dIvoire
Zimbabwe
Algeria Madasgascar

Monaco Senegal

Source: Data from UNESCO Institute for Statistics, October 2014; map created using VOSviewer

Fourthly, at least six noticeable networks (or clusters) of Bilateral ties between host and home countries in terms of
international student mobility can be identified (Figure 2.13). geography, language and history shape these clusters to a certain
It should be noted that, although the flows of students are extent. The USA cluster embraces Canada, several Latin American
directional, the network shown in the map is undirected. and Caribbean countries, the Netherlands and Spain. The UK
Moreover, the distance between two countries approximately cluster encompasses other European countries and its former
reflects the number of tertiary-level students migrating colonies, such as Malaysia, Pakistan and the United Arab Emirates.
between the countries. A smaller distance indicates a stronger India, a former colony of the UK, has maintained ties to the UK
relation. The colours reflect the different clusters of the student but is now also part of the cluster constituted by Australia, Japan
mobility network. The size of the bubbles (countries) reflects and countries located in East Asia and the Pacific. Similarly, France
the sum of student numbers from a given country who study leads its cluster, which consists of its former colonies in Africa.
abroad and the number of international students studying Another cluster groups mainly Western European countries.
in that country. For instance, in 2012, approximately 694400 Additionally, the historical link between the Russian Federation
Chinese students studied abroad and, the same year, China and former Soviet states shapes a distinct cluster. Lastly, it is worth
hosted 89000 international students. The total number of noting that South Africa plays an important role in the student
international students originating from and flowing into China mobility network in the southern part of Africa (see Chapter 20).
amounts to 783400. By comparison, approximately 58100
US students studied abroad in 2012 and, the same year, the International mobility of doctorate-holders
USA hosted 740500 international students. In total, there are The careers of doctorate-holders survey reveals that, on
798600 international students originating from and flowing average, between 5% and 29% of citizens with a doctorate
into the USA. As a result, the sizes of the bubbles for China and have gained research experience abroad for three months or
the USA are comparable, even though the trends are reversed. longer in the past 10 years (Figure 2.14). In Hungary, Malta

80
 Tracking trends in innovation and mobility

and Spain, the proportion is over 20%, whereas in Latvia, to publishing opportunities, for instance, or enable the
Lithuania, Poland and Sweden, it is under 10%. scientist to pursue a research direction that may not be
possible at home. Other motivations include other job-
The main destinations for these mobile researchers previous related or economic factors and family or personal reasons
sojourn abroad were the USA, UK, France and Germany (Auriol (Auriol et al., 2013).
et al., 2013). Studies conducted across Europe have shown that
a high level of mobility by qualified personnel between sectors The presence of foreign doctorate-holders and researchers
(such as universities and industries) and across countries has long been acknowledged as adding cultural capital to
contributes to the overall professionalism of the labour force, as the local community and expanding the talent pool of an

Chapter 2
well as to the innovative performance of the economy (EU, 2014). economy (Iversen et al., 2014). The careers of doctorate-
holders survey reveals that Switzerland hosts the highest
Academic factors often lie behind the researchers decision percentage (33.9%) of foreign doctorate-holders, followed
to uproot him- or herself. The move may offer better access by Norway (15.2%) and Sweden (15.1%) [Figure 2.15].

Figure 2.14: Percentage of national citizens with a doctorate who lived abroad in the past ten years, 2009

29

24
21
19 19 18
16
14
11 11

7 7 6 5
a

tia

en
m
ta

ia
s

ia

ia
l
l

d
nd

ae
ga

ni
ar

ai

an
ar

tv

an
al

iu

oa

ed
e
Sp
ng

Isr
tu

la

lg

La
M

lg

hu
ov

l
Po
Cr

Sw
er

Bu
r

Be
Hu

Po

Sl

Lit
th
Ne

Note: The data cover sojourns of three months or more abroad. Data for Belgium, Hungary, the Netherlands and Spain refer to graduation years from 1990 onwards. For
Spain, there is limited coverage of doctorate-holders for 20072009.

Source: UNESCO Institute for Statistics/OECD/Eurostat data collection on careers of doctorate-holders, 2010

Figure 2.15: Percentage of foreign doctorate-holders in selected countries, 2009

33.9

15.2 15.1

5.2 4.8 4.3

3.2 2.7 0.8 0.7 0.7 0.4 0.4 0.3 0.3 0.2
en

tia
ay

ia

ia
s

ta

ia
l

l
nd

nd

ga

ae

ni
ar

ai

en
ar
tv

an
al
iu
w

ed

oa
a

Sp
ng
la

Isr
tu
la

lg
La
M
lg
r

hu

ov
l
No

Po

Cr
er

Sw

er

Bu
r

Be

Hu
Po

Sl
Lit
itz

th
Sw

Ne

Source: UNESCO Institute for Statistics/OECD/Eurostat data collection on careers of doctorate-holders, 2010

81
UNESCO SCIENCE REPORT

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Elvis Korku Avenyo (b.1985: Ghana) is a PhD Fellow at Luciana Marins (b.1981: Brazil) joined the UNESCO Institute
UNU-MERIT (Maastricht University) in the Netherlands. He for Statistics in 2010, where she has been responsible
holds a Master of Philosophy (M Phil.) in Economics from for analysing data and structuring the global survey of
the University of Cape Coast (Ghana). His doctoral thesis innovation statistics that is the object of the present
focuses on the role played by firm-level innovation in chapter. She holds a PhD in Business Administration,
creating satisfying jobs in Sub-Saharan Africa. Management and Innovation from the Federal University of
Rio Grande do Sul (Brazil).
Chiao-Ling Chien (b. 1975) has been a researcher at
the UNESCO Institute for Statistics since 2008. She has Martin Schaaper (b. 1967: Netherlands) is head of
co-edited and co-authored a number of the institutes the Science, Technology and Innovation unit and the
publications on international student mobility, access Communication and Information unit at the UNESCO
to higher education and other topics. She holds a PhD Institute for Statistics. He holds a Masters in Econometrics
in Higher Education Policy and Administration from the from the Erasmus University Rotterdam (Netherlands).
University of Minnesota (USA).
Bart Verspagen (b. 1966: Netherlands) is Director of
Hugo Hollanders (b. 1967: Netherlands) is an economist UNU-MERIT. He holds a PhD from Maastricht University
and researcher at UNU-MERIT (Maastricht University) in and an honorary doctorate from the University of Oslo.
the Netherlands. He has over 15 years of experience in His research focus is on the economics of innovation and
innovation studies and innovation statistics. He is primarily new technologies, as well as the role of technology in
involved in research projects funded by the European international growth rate differentials and international
Commission, including as lead author of its innovation trade.
scoreboard report.

83
UNESCO SCIENCE REPORT

Gender equality will encourage

new solutions and expand the
scope of research; it should be
considered a priority by all if
the global community is serious
about reaching the next set of
development goals.
Sophia Huyer

Professor Deborah Jin from the University

of Colorado (USA) was the first to succeed in
cooling down molecules to such an extent
that chemical reactions could be observed in
slow motion. Dr Jin was the LOralUNESCO
laureate for North America in 2013.
Photo: Julian Dufort for the LOral Foundation

84
3 . Is the gender gap narrowing in science
and engineering?
Sophia Huyer

INTRODUCTION energy and transportation, environment and health services.

They are also comparatively well-represented in related
Women underrepresented in decision-making on scientific disciplines. Many of them serve on the National
climate change Climate Change Committee. However, when it comes to
As the global community prepares to make the transition designing and implementing plans, interpreting decisions
from the Millennium Development Goals to the Sustainable and monitoring results, women are a rare commodity
Development Goals in 2015, it is turning its attention from (Huyer, 2014).
a focus on poverty reduction to a broader perspective
combining socio-economic and environmental priorities.
Over the next 15 years, scientific research will play a key role TRENDS IN RESEARCH

Chapter 3
in monitoring relevant trends in such areas as food security,
health, water and sanitation, energy, the management of Gender parity remains elusive among researchers
ocean and terrestrial ecosystems and climate change. Women When it comes to womens participation in research
will play an essential role in implementing the Sustainable overall, globally, we are seeing a leaky pipeline. Women are
Development Goals, by helping to identify global problems actively pursuing bachelors and masters degrees and even
and find solutions. outnumber men at these levels, since they represent 53% of
graduates, but their numbers drop off abruptly at PhD level.
Since men tend to enjoy a higher socio-economic status, Suddenly, male graduates (57%) overtake women (Figure 3.1).
women are disproportionately affected by droughts, floods The discrepancy widens at the researcher level, with men now
and other extreme weather events and marginalized when representing 72% of the global pool. The high proportion
it comes to making decisions on recovery and adaptation of women in tertiary education is, thus, not necessarily
(EIGE, 2012). Some economic sectors will be strongly affected translating into a greater presence in research.
by climate change but women and men will not necessarily
be affected in the same way. In the tourism sector, for Although women account for just 28%1 of global researchers,
instance, women in developing countries tend to earn according to available data, this figure masks wide variations
less than their male counterparts and occupy fewer at both the national and regional levels (Figure 3.2). Women
managerial positions. They are also overrepresented in the are highly represented in Southeast Europe (49%), for
non-agricultural informal sector: 84% in sub-Saharan Africa, instance, and in the Caribbean, Central Asia and Latin America
86% in Asia and 58% in Latin America (WTO and UN Women, (44%). One in three researchers is a woman in the Arab
2011). There are, thus, clear gender differences in the ability to States (37%), the European Union (33%) and the European
cope with climate-change-induced shocks. Free Trade Association (34%), which are closely followed by
sub-Saharan Africa (30%).
Despite these gender differences, women are not represented
equally in the key climate-change related sectors of science For many regions, gender parity (4555% of researchers) is
as skilled workers, professionals or decision-makers. Although a legacy of the former Soviet bloc, which stretched across
they are fairly well represented in some related science Central Asia, the Baltic States and Eastern Europe to Southeast
disciplines including health, agriculture and environmental Europe. One-third of the member states of the European
management they are very much a minority in other Union (EU) today were once part of the Soviet bloc. Over
fields that will be vital for the transition to sustainable the past decade, several Southeast European countries have
development, such as energy, engineering, transportation, managed to recover the gender parity in research that they
information technology (IT) and computing the latter being had lost in the 1990s following the break-up of the former
important for warning systems, information-sharing and Yugoslavia: Croatia, FYR Macedonia, Montenegro and Serbia
environmental monitoring. (see Table 10.4).

Even in those scientific fields where women are present, they

1. This estimate by the UNESCO Institute for Statistics for 137 countries excludes
are underrepresented in policy-making and programming. North America, owing to the international incomparability of these data. The global
The Former Yugoslav Republic of Macedonia is a case in point. share of female researchers would not rise more than a few percentage points,
however, even if the share of female researchers in the USA could be included in
In this country, women are well-represented in governmental the calculation. Hypothetically, a 40% share of female researchers in the USA would
decision-making structures related to climate change, such as push the global share up from 28.4% to 30.7%.

85
UNESCO SCIENCE REPORT

Figure 3.1: The leaky pipeline: share of women in higher education and research, 2013 (%)

Female bachelors Female masters Female PhD Female

graduates
g graduates graduates researchers

53 53
43

28

Source: UNESCO Institute for Statistics estimates based on data from its database, July 2015

Countries in other regions have made great strides. In Asia, of scientific research and decision-making, there are very
Malaysia, the Philippines and Thailand have all achieved few women left. In 2015, the EU Commissioner for Research,
gender parity (see Figure 27.6) and, in Africa, Namibia and Science and Innovation Carlos Moedas called attention to this
South Africa are on the verge of joining this select club (see phenomenon, adding that the majority of entrepreneurs in
Figure 19.3). The countries with the highest proportion of science and engineering tended to be men. In Germany, the
female researchers are Bolivia (63%) and Venezuela (56%). coalition agreement signed in 2013 introduces a 30% quota
Lesotho has slipped out of this category after experiencing a for women on company boards of directors (see Chapter 9).
precipitous drop from 76% to 31% between 2002 and 2011.
Although data for most countries are limited, we know
Some high-income countries have a surprisingly low proportion that women made up 14% of university chancellors and
of female researchers. Just one in four researchers is a woman in vice-chancellors at Brazilian public universities in 2010
France, Germany and the Netherlands, for instance. Even lower (Abreu, 2011) and 17% of those in South Africa in 2011
proportions are to be found in the Republic of Korea (18%) and (Figure 3.3). In Argentina, women make up 16% of directors
Japan (15%). Despite the governments efforts to improve this and vice-directors of national research centres (Bonder, 2015)
ratio (see Chapter 24), Japan still has the lowest proportion and, in Mexico, 10% of directors of scientific research institutes
of female researchers of any member of the Organisation for at the National Autonomous University of Mexico. In the USA,
Economic Co-operation and Development (OECD). numbers are slightly higher at 23% (Huyer and Hafkin, 2012).
In the EU, less than 16% of tertiary institutions were headed by
The lowest participation rate of all comes from Saudi Arabia: a woman in 2010 and just 10% of universities (EU, 2013). At the
1.4% (see Figure 17.7), down from 18.1% in 2000. However, main tertiary institution for the English-speaking Caribbean, the
this figure only covers the King Abdulaziz City for Science and University of the West Indies, women represented 51% of
Technology. Participation is also very low in Togo (10%) and lecturers but only 32% of senior lecturers and 26% of full
Ethiopia (13%) and has almost halved in Nepal since 2002 professors in 2011 (Figure 6.7). Two reviews of national
from 15% to 8% (see Figure 21.7). academies of science produce similarly low numbers, with
women accounting for more than 25% of members in only a
The glass ceiling still intact handful of countries, including Cuba, Panama and South Africa.
Each step up the ladder of the scientific research system sees Indonesia deserves an honorary mention at 17% (Henry, 2015;
a drop in female participation until, at the highest echelons Zubieta, 2015; Huyer and Hafkin, 2012).

86
 Is the gender gap narrowing in science and engineering?

Table 3.1: Female researchers by field of science, 2013 or closest year (%)
Natural Engineering and Medical Agricultural Social sciences
Year sciences technology sciences sciences and humanities
Albania 2008 43.0 30.3 60.3 37.9 48.1
Angola 2011 35.0 9.1 51.1 22.4 26.8
Armenia 2013 46.4 33.5 61.7 66.7 56.3
Azerbaijan 2013 53.9 46.5 58.3 38.5 57.4
Bahrain 2013 40.5 32.1 45.9 43.0
Belarus 2013 50.6 31.5 64.6 60.1 59.5
Bosnia & Herzegovina 2013 43.7 29.6 58.1 42.7 47.0
Botswana 2012 27.8 7.9 43.6 18.1 37.5
Bulgaria 2012 51.0 32.4 58.8 55.6 55.8
Burkina Faso 2010 10.1 11.6 27.7 17.4 35.9
Cabo Verde 2011 35.0 19.6 60.0 100.0 54.5
Chile 2008 26.5 19.0 34.4 27.8 32.7
Colombia 2012 31.8 21.6 52.5 33.6 39.9
Costa Rica 2011 36.7 30.9 60.8 31.5 53.6
Croatia 2012 49.7 34.9 56.1 45.8 55.5
Cyprus 2012 38.7 25.4 46.3 22.8 43.6
Czech Rep. 2012 28.2 12.8 50.6 36.1 42.2
Egypt 2013 40.7 17.7 45.9 27.9 49.7

Chapter 3
El Salvador 2013 35.4 17.7 65.0 35.5 46.4
Estonia 2012 38.2 32.0 65.0 49.7 61.8
Ethiopia 2013 12.2 7.1 26.1 7.6 13.3
Gabon 2009 31.4 20.0 58.3 30.2 17.0
Ghana 2010 16.9 6.6 20.8 15.5 22.3
Greece 2011 30.7 29.5 43.0 33.1 46.0
Guatemala 2012 44.1 43.5 60.6 17.2 53.6
Hungary 2012 24.0 20.0 48.1 37.8 44.8
Iran 2010 34.3 19.6 29.5 24.5 25.5
Iraq 2011 43.6 25.7 41.4 26.1 33.7
Japan 2013 12.6 5.3 30.8 21.5 31.9
Jordan 2008 25.7 18.4 44.1 18.7 31.7
Kazakhstan 2013 51.9 44.7 69.5 43.4 59.1
Kenya 2010 14.4 11.2 20.0 30.4 37.1
Korea, Rep. 2013 27.4 10.3 45.6 25.6 40.4
Kuwait 2013 41.8 29.9 44.9 43.8 34.7
Kyrgyzstan 2011 46.5 30.0 44.0 50.0 48.7
Latvia 2012 47.6 34.7 63.7 59.5 65.9
Lesotho 2009 42.0 16.7 40.0 75.0
Lithuania 2012 43.9 34.1 61.5 56.5 65.4
FYR Macedonia 2012 40.4 40.1 64.2 45.5 52.0
Madagascar 2011 34.6 18.7 33.8 24.9 44.8
Malawi 2010 22.2 6.5 17.5 12.5 32.8
Malaysia 2012 49.0 49.8 50.8 48.9 51.6
Mali 2006 7.2 15.1 14.9 25.9 12.2
Malta 2012 27.2 17.2 49.3 26.2 34.8
Mauritius 2012 36.4 19.4 41.7 45.4 51.9
Moldova 2013 45.7 29.0 52.5 45.4 61.0
Mongolia 2013 48.7 45.9 64.2 54.6 40.6
Montenegro 2011 56.7 37.0 58.5 54.5 49.0
Morocco 2011 31.5 26.3 44.1 20.5 27.1
Mozambique 2010 27.8 28.9 53.1 20.4 32.0
Netherlands 2012 23.3 14.9 42.8 31.9 40.8
Oman 2013 13.0 6.2 30.0 27.6 23.1
Pakistan 2013 33.8 15.4 37.0 11.0 39.9
Palestine 2007 21.2 9.6 25.5 11.8 27.9
Philippines 2007 59.5 39.9 70.2 51.3 63.2
Poland 2012 37.0 20.6 56.3 49.7 47.3
Portugal 2012 44.5 28.5 60.8 53.2 52.5
Qatar 2012 21.7 12.5 27.8 17.9 34.3
Romania 2012 46.8 39.0 59.1 51.0 49.8
Russian Fed. 2013 41.5 35.9 59.5 56.4 60.3
Saudi Arabia 2009 2.3 2.0 22.2
Senegal 2010 16.7 13.0 31.7 24.4 26.1
Serbia 2012 55.2 35.9 50.4 60.0 51.8
Slovakia 2013 44.3 25.8 58.5 45.5 52.1
Slovenia 2012 37.5 19.5 54.2 52.8 51.0
Sri Lanka 2010 40.0 27.0 46.4 38.2 29.8
Tajikistan 2013 30.3 18.0 67.6 23.5 29.3
Togo 2012 9.0 7.7 8.3 3.2 14.1
Trinidad & Tobago 2012 44.2 32.6 52.3 39.6 55.3
Turkey 2013 36.0 25.6 47.3 32.9 41.8
Uganda 2010 17.1 23.3 30.6 19.7 27.0
Ukraine 2013 44.5 37.2 65.0 55.0 63.4
Uzbekistan 2011 35.4 30.1 53.6 24.9 46.5
Venezuela 2009 35.1 40.4 64.9 47.6 62.8
Zimbabwe 2012 25.3 23.3 40.0 25.5 25.6

Source: UNESCO Institute for Statistics, August 2015

87
88
Figure 3.2: Share of female researchers by country, 2013 or closest year (%)

28.4%
Share of women researchers
worldwide

R U S S I A N F E D E R A T I O N
UNESCO SCIENCE REPORT

48.5%
Share of women researchers
in top region for this indicator KAZAKHSTAN
MONGOLIA

UZBEKISTAN KYRGYZSTAN
ARMENIA AZERBAIJAN
TURKEY TAJIKISTAN
KOREA, REP. JAPAN
TUNISIA CYPRUS CHINA
PALESTINE IRAQ IRAN
MOROCCO ISRAEL JORDAN
KUWAIT
LIBYA PAKISTAN NEPAL
BAHRAIN
EGYPT QATAR
UAE
SAUDI OMAN
CUBA
ARABIA INDIA
MALI
GUATEMALA THAILAND
SENEGAL
EL SALVADOR GAMBIA
VIET NAM
BURKINA FASO PHILIPPINES
COSTA TRINIDAD & TOBAGO
RICA TOGO CENTRAL
VENEZUELA ETHIOPIA
GHANA AFRICAN
CAMEROON REPUBLIC SRI LANKA
COLOMBIA MALAYSIA
UGANDA
GABON KENYA
ECUADOR RWANDA
BURUNDI
TANZANIA

BRAZIL MALAWI
ANGOLA MOZAMBIQUE
ZAMBIA
BOLIVIA
ZIMBABWE MADAGASCAR
BOTSWANA
PARAGUAY NAMIBIA

CHILE SOUTH LESOTHO

AFRICA
URUGUAY
ARGENTINA

Women have obtained gender parity in Southeast Europe and are on the
verge of doing so in the Caribbean, Latin America and Central Asia
 Regional shares of female researchers, Spotlight on Europe
2013 (%)

Southeast Europe 48.5

Caribbean 44.4
ICELAND

Central Asia 44.3

FINLAND

Latin America 44.3

014.9%
NORWAY
1524.9%
Eastern Europe 40.2
SWEDEN ESTONIA RUSSIAN
2534.9% FEDERATION
Arab States 36.8 3544.9% LATVIA
DENMARK
4554.9% LITHUANIA
European Free Trade
Association
34.2 55% or more UNITED KINGDOM
IRELAND BELARUS
Data unavailable NETHERLANDS POLAND
European Union 33.1 GERMANY
BELGIUM
CZECH REP. UKRAINE
Sub-Saharan Africa 30.0 LUXEMBOURG SLOVAKIA

AUSTRIA MOLDOVA
FRANCE SWITZERLAND HUNGARY
West Asia 27.2 SLOVENIA ROMANIA
CROATIA
33.1%
Share of women researchers BOS. &
HERZ. SERBIA
in the European Union
Southeast Asia 22.5 MONTENEGRO BULGARIA
ITALY FYR
MACEDONIA
SPAIN ALBANIA
South Asia 16.9 Note: Data for the most recent year available since
PORTUGAL
GREECE TURKEY
2007. For China, data cover R&D personnel rather than
researchers. For Congo, India and Israel, data are based
on full-time equivalents rather than head counts.
Note: Data are unavailable for North America. The regional
averages are based on available data and are derived by using Source: UNESCO Institute for Statistics estimates based CYPRUS

89
Is the gender gap narrowing in science and engineering?

the nearest years data, whenever data are missing for 2013. on data from its database, July 2015

Chapter 3
UNESCO SCIENCE REPORT

Figure 3.3: Share of women in selected South African institutions, 2011(%)

19 17 21 22

Heads of science councils Heads of universities Full university Members of the Academy
and national science facilities (chancellors and vice-chancellors) professors of Sciences

Note: The data for the share of women among full university professors are for 2009.
Source: ASSAf (2011)

These trends are evident in other spheres of scientific women drop to 2030%. Data from Morocco show a cyclical
decision-making, with women being underrepresented as pattern from 2000 but a general rise to 47% in 2010.
peer reviewers, on editorial boards and research councils.
A survey of 10 highly regarded journals in environmental In sub-Saharan Africa, numbers are substantially lower,
biology, natural resource management and plant sciences reflecting a gender imbalance in education at all levels (see
reviewed the number of women on editorial boards and Chapters 1820). Shares of women graduates at the tertiary
among editors from 1985 to 2013. The study found that level range from the low teens to more than half, as in
women made up 16% of subject editors, 14% of associate Namibia (58%) and South Africa (60%). Female representation
editors and 12% of editors-in-chief (Cho et al., 2014). has dropped substantially in Swaziland, from a high of 55%
in 2005 to 39% in 2013. In South Asia, the participation of
women in tertiary education remains low, with the notable
TRENDS IN TERTIARY EDUCATION exception of Sri Lanka at 61%.

The scales have tipped in favour of female students Overall, women are more likely to pursue tertiary education
The absence of women from the highest echelons of science in countries with relatively higher levels of national income.
and related decision-making is surprising, given the progress The lowest ratios of women to men tend to be found in low-
towards gender parity observed at all levels of education in income countries, most of which are situated in sub-Saharan
recent decades. The pendulum has even swung the other Africa. Examples are Ethiopia (31%), Eritrea (33%), Guinea
way, with there now being a global gender imbalance in (30%) and Niger (28%). In Central African Republic and Chad,
favour of female students, albeit not in all regions. Female male tertiary students are 2.5 times more common than
university students dominate in North America (57%), Central female ones (Table 19.4). Notable exceptions among the
and South America (4967%) and even more so across the 31 low-income countries are Comoros (46%), Madagascar
Caribbean2 (5785%). Europe and West Asia show a similar (49%) and Nepal (48%).
trend, with the notable exception of Turkey and Switzerland,
where females make up around 40% of tertiary enrolment, The same pattern can be found in countries with relatively
and Liechtenstein (about 21%). In most Arab states, the same low GDP per capita in other regions but there are signs that
trend towards gender parity can be observed, the exceptions the trend is waning. In Asia, female students face considerable
here being Iraq, Mauritania and Yemen, where figures for disparities in Afghanistan (share of women tertiary students:
24%), Tajikistan (38%), and Turkmenistan (39%) but the share
2. Antigua and Barbuda, Barbados, Cuba, Dominican Republic and Jamaica has become much more favourable to women in recent years

90
 Is the gender gap narrowing in science and engineering?

in Cambodia (38% in 2011) and Bangladesh (41% in 2012). for instance. There are also exceptions to the rule. In Oman,
In the Arab States, the lowest participation rate concerns for instance, women make up 53% of engineering graduates
Yemeni women (30%). Djibouti and Morocco have each (Table 3.2). Women are a minority among health and welfare
increased the share of female students to more than 40%. graduates in four sub-Saharan countries5 and two Asian ones:
Bangladesh (33%) and Viet Nam (42%).
A slight rise in national wealth may correlate to a drop in
gender disparities. Sub-Saharan African countries with higher The second-most popular field of science for women is science.
levels of wealth also report higher participation rates for While numbers are not as high as for health and welfare, the
women than men in tertiary education. For example, 59% share of women studying science is on a par with that of men
of tertiary students are women in Cabo Verde and 54% in or slightly higher in many mainly Latin American and Arab
Namibia. However, there are notable exceptions among high- countries. In the 10 countries reporting data from Latin America
income3 countries. Men continue to outnumber women in and the Caribbean, females make up 45% or more of tertiary
tertiary education in Liechtenstein, Japan and Turkey. graduates in science. They make up over half of graduates
in Panama and Venezuela, the Dominican Republic and in
Empirical research and anecdotal observations highlight Trinidad and Tobago (the latter having a very small graduate

Chapter 3
several reasons for the growing participation of women in population). In Guatemala, as much as 75% of science graduates
higher education. Education is perceived as a means of moving are female. Eleven out of 18 Arab States also have a majority
up the social ladder (Mellstrm, 2009). Having a tertiary of female science graduates.6 The countries in South Asia
education brings individual returns in the form of higher reporting data Bangladesh and Sri Lanka reveal averages
income levels, even though women are obliged to have more of 4050%, whereas some east and southeast Asian countries
years of education under their belt than men to secure jobs of show percentages of 52% or more: Brunei Darussalam (66%),
comparable pay a pattern found in countries of all income Philippines (52%), Malaysia (62%) and Myanmar (65%). Japan
levels. Many countries are also anxious to expand their skilled and Cambodia have low shares of 26% and 11% respectively
labour force, in order to develop a knowledge economy and and the Republic of Korea a share of 39%.
increase their global competitiveness, examples being Iran (see
Chapter 15) and Malaysia (see Chapter 26). Another explanation Graduation rates for women in Europe and North America
lies in the active campaign for gender equality undertaken by range from a high of 55% in Italy, Portugal and Romania
numerous organizations in recent decades. to a low of 26% in the Netherlands. Next come Malta and
Switzerland with 29% and 30% respectively. The majority of
countries fall in the 3046% range.
TRENDS IN TERTIARY SCIENCE
EDUCATION Within the broad field of science, some interesting trends
can be observed. Women graduates are consistently highly
Women now dominate graduates in health represented in the life sciences, often at over 50%. However,
Although women tertiary graduates generally outnumber their representation in the other fields is inconsistent. In
their male counterparts with national and regional North America and much of Europe, few women graduate
variations , this is not necessarily the case when the in physics, mathematics and computer science but, in other
data are broken down by field into science, engineering, regions, the proportion of women may be close to parity
agriculture and health.4 The good news is that the share of in physics or mathematics. This may explain the decrease
female graduates in scientific fields is on the rise. This trend in science students in some countries; often, an increase in
has been most marked since 2001 in all developing regions agriculture or engineering occurs at the expense of science,
except Latin America and the Caribbean, where womens suggesting a redistribution of female participation rather than
participation was already high. an overall increase.

The presence of women varies according to the field of study. More women are graduating in agriculture
Women now dominate the broad fields of health and welfare Trends in agricultural science tell an interesting story. Around the
in most countries and regions but not the rest of the sciences; world, there has been a steady increase in female graduates since
they are least likely to figure among engineering graduates, 2000. The reasons for this surge are unclear, although anecdotal
evidence suggests that one explanation may lie in the growing
3. defined as countries with per capita GDP above PPP$ 10000 emphasis on national food security and the food industry.
4. Science here is defined as encompassing life sciences, physical sciences,
mathematics, statistics and computer sciences; engineering includes
5. Benin, Burundi, Eritrea and Ethiopia
manufacturing and processing, construction and architecture; agriculture includes
forestry, fisheries and veterinary science; health and welfare includes medicine, 6. Algeria, Bahrain, Jordan, Kuwait, Lebanon, Oman, Palestine, Qatar, Saudi Arabia, Tunisia
nursing, dental studies, medical technology, therapy, pharmacy and social services. and United Arab Emirates

91
UNESCO SCIENCE REPORT

Table 3.2: Share of female tertiary graduates in four selected fields, 2013 or closest year (%)

Year Science Engineering Agriculture Health & welfare

Albania 2013 66.1 38.8 41.5 72.7
Algeria 2013 65.4 32.4 56.5 64.6
Angola 2013 36.2 19.3 21.7 63.3
Argentina 2012 45.1 31.0 43.9 73.8
Austria 2013 33.3 21.2 55.9 70.8
Bahrain 2014 66.3 27.6 a 76.8
Bangladesh 2012 44.4 16.6 31.1 33.3
Belarus 2013 54.4 30.0 29.2 83.8
Bhutan 2013 25.0 24.9 15.5 52.6
Bosnia & Herzegovina 2013 46.8 37.5 46.9 74.2
Brazil 2012 33.1 29.5 42.3 77.1
Brunei Darussalam 2013 65.8 41.8 a 85.7
Burkina Faso 2013 18.8 20.6 16.8 45.9
Colombia 2013 41.8 32.1 40.9 72.0
Costa Rica 2013 30.5 33.7 37.4 76.9
Cuba 2013 44.9 28.3 30.0 68.2
Denmark 2013 35.4 35.3 67.4 80.0
Egypt 2013 49.6 25.3 46.6 54.4
El Salvador 2013 59.0 26.6 24.6 78.0
Eritrea 2014 35.0 15.8 29.8 26.3
Finland 2013 42.5 21.7 57.6 85.1
France 2013 37.8 25.6 50.1 74.4
Georgia 2013 47.7 23.1 27.5 74.4
Ghana 2013 27.1 18.4 17.2 57.6
Honduras 2013 35.9 37.4 28.3 74.7
Iran 2013 66.2 24.7 41.1 65.1
Kazakhstan 2013 61.5 31.0 43.0 79.8
Kuwait 2013 72.2 25.0 a 44.5
Kyrgyzstan 2013 61.3 25.8 27.9 77.1
Lao PDR 2013 39.1 10.6 30.7 59.8
Latvia 2013 38.7 26.8 48.7 92.3
Lesotho 2013 54.5 27.5 45.7 78.8
Lithuania 2013 41.8 21.8 50.9 84.3
FYR Macedonia 2013 37.6 39.1 48.5 75.3
Madagascar 2013 32.1 24.2 51.9 74.1
Malaysia 2012 62.0 38.7 54.4 62.9
Mongolia 2013 46.6 37.9 63.0 83.9
Mozambique 2013 35.6 34.4 40.6 47.4
Myanmar 2012 64.9 64.6 51.5 80.7
Nepal 2013 28.4 14.0 33.3 57.0
Netherlands 2012 25.8 20.9 54.5 75.1
New Zealand 2012 39.1 27.4 69.3 78.1
Norway 2013 35.9 19.6 58.9 83.6
Oman 2013 75.1 52.7 6.0 37.8
Palestine 2013 58.5 31.3 37.1 56.7
Panama 2012 50.5 35.9 54.0 75.6
Philippines 2013 52.1 29.5 50.7 72.1
Poland 2012 46.1 36.1 56.4 71.5
Portugal 2013 55.7 32.5 59.9 78.9
Qatar 2013 64.7 27.4 a 72.9
Korea, Rep. 2013 39.0 24.0 41.1 71.4
Moldova 2013 48.9 30.5 28.3 77.6
Rwanda 2012 40.3 19.6 27.3 61.9
Saudi Arabia 2013 57.2 3.4 29.6 52.0
Serbia 2013 46.2 35.0 46.5 73.3
Slovakia 2013 45.6 30.9 50.9 81.9
Slovenia 2012 39.9 24.4 59.1 81.8
South Africa 2012 49.1 28.5 48.6 73.7
Spain 2012 38.4 26.8 45.4 75.0
Sri Lanka 2013 47.4 22.4 57.4 58.1
Sudan 2013 41.8 31.8 64.3 66.4
Swaziland 2013 31.6 15.2 42.8 60.4
Sweden 2012 40.6 28.9 63.1 82.0
Switzerland 2013 31.8 14.0 30.1 74.4
Syria 2013 50.9 36.0 45.0 49.5
Tunisia 2013 63.8 41.1 69.9 77.5
Turkey 2012 48.2 24.8 45.0 63.4
Ukraine 2013 49.6 26.2 34.1 80.6
United Arab Emirates 2013 60.2 31.1 54.1 84.6
UK 2013 45.7 22.2 64.1 77.3
USA 2012 40.1 18.5 48.3 81.5
Viet Nam 2013 a 31.0 36.7 42.3
Zimbabwe 2013 47.7 21.4 40.3 50.0
a = not applicable Note: Engineering includes manufacturing and construction. The oldest data are for 2012.
Source: UNESCO Institute for Statistics, August 2015

92
 Is the gender gap narrowing in science and engineering?

Another possible explanation is that women are highly This should be a wake-up call. Female participation is falling in
represented in biotechnology. For example, in South Africa, a field that is expanding globally as its importance for national
women were underrepresented in engineering (16%) in 2004 economies grows, penetrating every aspect of daily life. Could
and in natural scientific professions (16%) in 2006 but made this be a symptom of the phenomenon by which women
up 52% of employees working in biotechnology-related are the first hired and the first fired? In other words, are they
companies. being pushed out once a company gains prestige and raises
the remuneration of staff, or when companies run into financial
At the same time, women are poorly represented in difficulties?
agricultural extension services in the developing world. Better
understanding of womens incursion into this sector, as well Women engineers well-regarded in Malaysia and India
as their career paths, may shed some light on the barriers and There are exceptions. The Malaysian information technology
opportunities for women in the other sciences. (IT) sector is made up equally of women and men, with large
numbers of women employed as university professors and in
Women least present in engineering the private sector. This is a product of two historical trends: the
Women are consistently least represented in engineering, predominance of women in the Malay electronics industry, the

Chapter 3
manufacturing and construction. In many cases, engineering precursor to the IT industry, and the national push to achieve
has lost ground to other sciences, including agriculture. a pan-Malayan culture beyond the three ethnic groups
However, there are regional exceptions: the share of women of Indian, Chinese and Malay. Government support for the
graduating as engineers has risen in sub-Saharan Africa, the education of all three groups is available on a quota basis and,
Arab States and parts of Asia. Of the 13 sub-Saharan countries since few Malay men are interested in IT, this leaves more room
reporting data, seven observe substantial increases (more for women. Additionally, families tend to be supportive of their
than 5%) in women engineers since 2000.7 However, less than daughters entry into this prestigious and highly remunerated
20% of women still graduate in engineering, with the notable industry, in the interests of upward mobility (Mellstrm, 2009).
exceptions of Liberia and Mozambique. Of the seven Arab
countries reporting data, four observe a steady percentage In India, the substantial increase in women undergraduates in
or an increase;8 the highest scores come from the United engineering may be indicative of a change in the masculine
Arab Emirates and Palestine (31%), Algeria (31%) and Oman, perception of engineering in the country. It is also a product
with an astonishing 53%. Some Asian countries show similar of interest on the part of parents, since their daughters will
rates: 31% in Viet Nam, 39% in Malaysia and 42% in Brunei be assured of employment as the field expands, as well as an
Darussalam. advantageous marriage. Other factors include the friendly
image of engineering in India, compared to computer
The numbers in Europe and North America are generally low: sciences, and the easy access to engineering education
19% in Canada, Germany and the USA and 22% in Finland, for resulting from the increase in the number of womens
example, but there are some bright spots: 50% of engineering engineering colleges9 over the last two decades (Gupta, 2012).
graduates are women in Cyprus and 38% in Denmark.

Fewer female graduates in computer science TRENDS FROM A REGIONAL PERSPECTIVE

An analysis of computer science shows a steady decrease
in female graduates since 2000 that is particularly marked Latin America tops world for female participation
in high-income countries. Exceptions in Europe include Latin America has some of the worlds highest rates of women
Denmark, where female graduates increased from 15% to 24% studying scientific fields; it also shares with the Caribbean one
between 2000 and 2012, and Germany, which saw an increase of the highest proportions of female researchers: 44%. Of the
from 10% to 17%. These are still very low levels. In Turkey, the 12 countries reporting data for the years 20102013, seven
proportion of women graduating in computer science rose have achieved gender parity, or even dominate research:
from a relatively high 29% to 33%. Over the same period, the Bolivia (63%), Venezuela (56%), Argentina (53%), Paraguay
share of women graduates slipped in Australia, New Zealand, (52%), Uruguay (49%), Brazil (48%) and Guatemala (45%).
the Republic of Korea and USA. The situation in Latin America Costa Rica is just a whisker behind, with 43%. Chile has the
and the Caribbean is worrying: in all countries reporting lowest score among countries for which there are recent data
data, the share of women graduates in computer science has (31%). The Caribbean paints a similar picture, with Cuba having
dropped by between 2 and 13 percentage points. achieved gender parity (47%) and Trinidad and Tobago being
on the cusp (44%).

7. Benin, Burundi, Eritrea, Ethiopia, Madagascar, Mozambique and Namibia

9. Fifteen womens engineering colleges have been established in the country
8. Morocco, Oman, Palestine and Saudi Arabia since 1991.

93
UNESCO SCIENCE REPORT

Factoring in specific scientific fields changes some of these One in three researchers is a woman in Turkey (36%) and
dynamics. As in most other regions, the great majority of Tajikistan (34%). Participation rates are lower in Iran (26%) and
health graduates are women (6085%). Women are also Israel (21%), although Israeli women represent 28% of senior
strongly represented in science. More than 40% of science academic staff. At university, Israeli women dominate medical
graduates are women in each of Argentina, Colombia, sciences (63%) but only a minority study engineering (14%),
Ecuador, El Salvador, Mexico, Panama and Uruguay. The physical sciences (11%), mathematics and computer science
Caribbean paints a similar picture, with women graduates (10%) [see Chapter 16].
in science being on a par with men or dominating this field
in Barbados, Cuba, Dominican Republic and Trinidad and There has been an interesting evolution in Iran. Whereas the
Tobago. In engineering, women make up over 30% of the share of female PhD graduates in health remained stable at
graduate population in six Latin American countries10 and one 3839% between 2007 and 2012, it rose in all three other
Caribbean country the Dominican Republic. Of note is the broad fields. Most spectacular was the leap in female PhD
decrease in women engineering graduates in Argentina, Chile graduates in agricultural sciences from 4% to 33% but there
and Honduras. was also a marked progression in science (from 28% to 39%)
and engineering (from 8% to 16%) [see Figure 12.3].
The discouraging news is that the participation of women
in science has consistently dropped over the past decade. Southeast Europe: a legacy of gender parity
This trend has been observed in all sectors of the larger With the exception of Greece, all the countries of Southeast
economies: Argentina, Brazil, Chile and Colombia. Mexico is Europe were once part of the Soviet bloc. Some 49% of
a notable exception, having recorded a slight increase. Some researchers in these countries are women (compared to 37%
of the decrease may be attributed to women transferring to in Greece in 2011). This high proportion is considered a legacy
agricultural sciences in these countries. of the consistent investment in education by the Socialist
governments in place until the early 1990s, including that of
Another negative trend is the drop in female doctoral the former Yugoslavia. Moreover, the participation of female
students and in the labour force. Of those countries researchers is holding steady or increasing in much of the
reporting data, the majority signal a significant drop of 1020 region, with representation broadly even across the four sectors
percentage points in the transition from masters to doctoral of government, business, higher education and non-profit.
graduates, a trend which augurs ill for employers.
In most countries, women tend to be on a par with men
Despite the substantial participation by women in the science among tertiary graduates in science. Between 70% and
and technology sector, attitudes and institutional practices 85% of graduates are women in health, less than 40% in
persist in Latin America that devalue a womens ability. For agriculture and between 20% and 30% in engineering.
example, a review of the software and information services Albania has seen a considerable increase in the share of its
industry in Latin America found that a glass ceiling persists, women graduates in engineering and agriculture.
with substantial gender disparities in management positions
and on boards of directors. National reviews of womens EU: female researcher pool growing fastest
representation in science in the region refer to obstacles Women make up 33% of researchers overall in the EU, slightly
relating to the worklife balance and disadvantages to women more than their representation in science (32%). Women
in science and research who are expected to both manage the constitute 40% of researchers in higher education, 40% in
household and put in full-time and even overtime at the same government and 19% in the private sector, with the number
rates as men (ECLAC, 2014; Bonder, 2015). of female researchers increasing faster than that of male
researchers. The proportion of female researchers has been
Gender parity in Eastern Europe and Central Asia increasing over the last decade, at a faster rate than men
Most countries in Eastern Europe, West and Central Asia have (5.1% annually over 20022009 compared with 3.3% for men),
attained gender parity in research (Armenia, Azerbaijan, which is also true for their participation among scientists
Georgia, Kazakhstan, Mongolia and Ukraine) or are on the and engineers (up 5.4% annually between 2002 and 2010,
brink of doing so (Kyrgyzstan and Uzbekistan). This trend compared with 3.1 % for men).
is reflected in tertiary education, with some exceptions in
engineering and computer science. Although Belarus and the Despite these gains, womens academic careers in Europe
Russian Federation have seen a drop over the past decade, remain characterized by strong vertical and horizontal
women still represented 41% of researchers in 2013. segregation. In 2010, although female students (55%)
and graduates (59%) outnumbered male students, men
outnumbered women at the PhD and graduate levels (albeit by
10. Argentina, Colombia, Costa Rica, Honduras, Panama, Uruguay a small margin). Further along in the research career, women

94
 Is the gender gap narrowing in science and engineering?

represented 44% of grade C academic staff, 37% of grade B of researchers are women in the regions most populous
academic staff and 20% of grade A academic staff.11 These country, India. The percentage of female researchers is
trends are intensified in science, with women making up 31% highest in Sri Lanka but has receded somewhat to 37% (2010)
of the student population at the tertiary level to 38% of PhD from the 42% reported in 2006. Pakistan is gradually catching
students and 35% of PhD graduates. At the faculty level, they up (20% in 2013) [see Figure 21.7].
make up 32% of academic grade C personnel, 23 % of grade
B and 11 % of grade A. The proportion of women among full A breakdown of the research labour force reveals that South
professors is lowest in engineering and technology, at 7.9 %. Asian women are most present in the private non-profit sector
With respect to representation in science decision-making, they make up 60% of employees in Sri Lanka followed by
in 2010 15.5% of higher education institutions were headed the academic sector: 30% of Pakistani and 42% of Sri Lankan
by women and 10% of universities had a female rector. female researchers. Women tend to be less present in the
Membership on science boards remained predominantly male government sector and least likely to be employed in the
as well, with women making up 36% of board members. business sector, accounting for 23% of employees in Sri Lanka
and just 5% in Nepal (Figure 3.4).
The EU has engaged in a major effort to integrate female

Chapter 3
researchers and gender research into its research and Women have achieved parity in science in both Sri Lanka
innovation strategy since the mid-2000s. Increases in and Bangladesh but are less likely to undertake research
womens representation in all of the scientific fields overall in engineering. They represent 17% of the research pool in
indicates that this effort has met with some success; however, Bangladesh and 29% in Sri Lanka. Many Sri Lankan women
the continued lack of representation of women at the have followed the global trend of opting for a career in
top level of faculties, management and science decision agricultural sciences (54%) and they have also achieved parity
making indicate that more work needs to be done. The EU is in health and welfare. In Bangladesh, just over 30% choose
addressing this through a gender equality strategy and cross- agricultural sciences and health, which goes against the
cutting mandate in Horizon 2020, its research and innovation global trend. Although Bangladesh still has progress to make,
funding programme for 20142020. the share of women in each scientific field has increased
steadily over the past decade.
A lack of data for other high-income countries
In Australia, New Zealand and the USA, women make up Southeast Asia: women often on a par with men
the great majority of graduates in fields related to health. Southeast Asia presents a different picture entirely, with
The same can be said of agriculture, in New Zealands case. women basically on a par with men in some countries: they
Both Australia and the USA have seen a modest progression make up 52% of researchers in the Philippines and Thailand,
in the share of female graduates in these two broad fields: for example. Other countries are close to parity, such as
4346% in agriculture and 7677% in health for Australia and Malaysia and Viet Nam, whereas Indonesia and Singapore are
47.548% in agriculture and 7981% in health for the USA. still around the 30% mark. Cambodia trails its neighbours at
Just one in five women graduate in engineering in these two 20%. Female researchers in the region are spread fairly equally
countries, a situation that has not changed over the past across the sectors of participation, with the exception of the
decade. In New Zealand, women jumped from representing private sector, where they make up 30% or less of researchers
39% to 70% of agricultural graduates between 2000 and 2012 in most countries.
but ceded ground in science (4339%), engineering (3327%)
and health (8078%). As for Canada, it has not reported sex- The proportion of women tertiary graduates reflects these
disaggregated data for women graduates in science and trends, with high percentages of women in science in Brunei
engineering. Moreover, none of the four countries listed here Darussalam, Malaysia, Myanmar and the Philippines (around
has reported recent data on the share of female researchers. 60%) and a low of 10% in Cambodia. Women make up the
majority of graduates in health sciences, from 60% in Laos
South Asia: the lowest shares of women to 81% in Myanmar Viet Nam being an exception at 42%.
South Asia is the region where women make up the smallest Women graduates are on a par with men in agriculture but less
proportion of researchers: 17%. This is 13 percentage points present in engineering: Viet Nam (31%), the Philippines (30%)
below sub-Saharan Africa. Of those countries in South Asia and Malaysia (39%); here, the exception is Myanmar, at 65%.
reporting data, Nepal has the lowest representation of all at
8% (2010), a substantial drop from 15% in 2002. Only 14% In the Republic of Korea, women make up about 40% of
graduates in science and agriculture and 71% of graduates in
11. Grade A is the highest grade/post at which research is normally conducted; health sciences but only 18% of female researchers overall. This
grade B researchers occupy mid-level positions; grade C is the first grade/post
to which a newly qualified PhD-holder would normally be recruited (European
represents a loss in the investment made in educating girls and
Commission, 2013). women up through tertiary education, a result of traditional

95
UNESCO SCIENCE REPORT

views of womens role in society and in the home. Kim and Female researchers in the region are primarily employed
Moon (2011) remark on the tendency of Korean women to in government research institutes, with some countries
withdraw from the labour force to take care of children and also seeing a high participation of women in private non-
assume family responsibilities, calling it a domestic brain drain. profit organizations and universities. With the exception
of Sudan (40%) and Palestine (35%), fewer than one in
Women remain very much a minority in Japanese science (15% four researchers in the business enterprise sector is a
in 2013), although the situation has improved slightly (13% in woman; for half of the countries reporting data, there are
2008) since the government fixed a target in 2006 of raising the barely any women at all employed in this sector.
ratio of female researchers to 25% (see Chapter 24). Calculated
on the basis of the current number of doctoral students, the Despite these variable numbers, the percentage of female
government hopes to obtain a 20% share of women in science, tertiary-level graduates in science and engineering is
15% in engineering and 30% in agriculture and health by the very high across the region, which indicates that there is
time the current Basic Plan for Science and Technology ends in a substantial drop between graduation and employment
2016. Today, Japanese female researchers are most common in and research. Women make up half or more than half
the public sector in health and agriculture, where they represent of science graduates in all but Sudan and over 45% in
29% of academics and 20% of government researchers (see agriculture in eight out of the 15 countries reporting
Figure 24.5). One of the main thrusts of Abenomics, Japans data.12 In engineering, women make up 53% of graduates
current growth strategy, is to enhance the socio-economic in Oman, with rates of 2538% in the majority of the other
role of women. Consequently, the selection criteria for most countries which is high in comparison to other regions.
large university grants now take into account the proportion of Interestingly, the participation of women is somewhat
women among teaching staff and researchers (Chapter 24). lower in health than in other regions, possibly on account
of cultural norms restricting interactions between males
Arab States: a high share of female students and females. Iraq and Oman have the lowest percentages
At 37%, the share of female researchers in the Arab States (mid-30s), whereas Iran, Jordan, Kuwait, Palestine and
compares well with other regions. The countries with the Saudi Arabia are at gender parity in this field. The United
highest proportion of female researchers are Bahrain and Arab Emirates and Bahrain have the highest rates of all:
Sudan, at around 40%. Jordan, Libya, Oman, Palestine and 83% and 84%.
Qatar have percentage shares in the low twenties. The
country with the lowest participation of female researchers Why such a high proportion of female engineering students
is Saudi Arabia, even though they make up the majority of in the region? The case of the United Arab Emirates offers
tertiary graduates, but the figure of 1.4% covers only the King
Abdulaziz City for Science and Technology. 12. Algeria, Egypt, Jordan, Lebanon, Sudan, Syria, Tunisia and UAE

Figure 3.4: Share of women among researchers employed in the business enterprise sector, 2013 or closest year (%)
60
58.6
57.3

50
49.8
47.9
47.5
47.2
45.6
44.8
43.1

40
42.9
42.8
40.3
40.1
37.8
37.6
37.4
37.4
37.2
35.2
35.1
33.8

33.3
33.3

32.9

30
31.4
31.0

30.8
30.8

30.2
29.4

29.3
29.4

29.3
28.9
26.9

20

10

0
Greece
Croatia

Russian Fed.
Uruguay

Kyrgyzstan

Thailand
Philippines

Malaysia

El Salvador
Bosnia & Herz.
Azerbaijan
Kazakhstan

Ukraine
Uzbekistan
Romania
Montenegro
Belarus

Viet Nam
South Africa

Kenya
Botswana

Portugal

Cyprus
Moldova
Denmark
Namibia

Zambia
Lithuania

Estonia
Spain

Argentina
Mongolia
Latvia

Bulgaria
Serbia

Note: Data are in head counts. The oldest data are for the Philippines and Israel (2007), Iran, Lesotho and Zambia (2008) and Thailand (2009).
Source: UNESCO Institute for Statistics, August 2015

96
 Is the gender gap narrowing in science and engineering?

some insights. The government has made it a priority to develop technology, medical equipment handling, plumbing, electricity
a knowledge economy, having recognized the need for a strong and mechanics (see Chapter 17).
human resource base in science, technology and engineering.
With just 1% of the labour force being Emirati, it is also concerned Sub-Saharan Africa: solid gains
about the low percentage of Emirati citizens employed in key Just under one in three (30%) researchers in sub-Saharan
industries (see Chapter 17). As a result, it has introduced policies Africa is a woman. Much of sub-Saharan Africa is seeing solid
promoting the training and employment of Emirati citizens, as gains in the share of women among tertiary graduates in
well as a greater participation of Emirati women in the labour scientific fields. In two of the top four countries for womens
force. Emirati female engineering students have said that they representation in science, women graduates are part of very
are attracted to a career in engineering for reasons of financial small cohorts: they make up 54% of Lesothos 47 tertiary
independence, the high social status associated with this field, graduates in science and 60% of those in Namibias graduating
the opportunity to engage in creative and challenging projects class of 149. South Africa and Zimbabwe, which have larger
and the wide range of career opportunities. graduate populations in science, have achieved parity, with
49% and 47% respectively. The next grouping clusters seven
Once Arab women scientists and engineers graduate, they may countries poised at around 3540%,13 whereas the rest are

Chapter 3
come up against barriers to finding gainful employment. These grouped around 30% or below.14 Burkina Faso ranks lowest,
include a misalignment between university programmes and with women making up 18% of its science graduates.
labour market demand a phenomenon which also affects
men , a lack of awareness about what a career in their chosen Female representation in engineering is fairly high in
field entails, family bias against working in mixed-gender sub-Saharan Africa in comparison with other regions. In
environments and a lack of female role models (Samulewicz et al, Mozambique and South Africa, for instance, women make
2012; see also Chapter 17). up more than 34% and 28% of engineering graduates,
respectively. Numbers of female graduates in agricultural
One of the countries with the smallest female labour force is science have been increasing steadily across the continent,
developing technical and vocational education for girls as part with eight countries reporting the share of women graduates
of a wider scheme to reduce dependence on foreign labour. of 40% or more.15 In health, this rate ranges from 26% and 27%
By 2017, the Technical and Vocational Training Corporation of in Benin and Eritrea to 94% in Namibia.
Saudi Arabia is to have constructed 50 technical colleges,
50 girls higher technical institutes and 180 industrial secondary 13. Angola, Burundi, Eritrea, Liberia, Madagascar, Mozambique and Rwanda
institutes. The plan is to create training placements for about 14. Benin, Ethiopia, Ghana, Swaziland and Uganda
500 000 students, half of them girls. Boys and girls will be 15. Lesotho, Madagascar, Mozambique, Namibia, Sierra Leone, South Africa,
trained in vocational professions that include information Swaziland and Zimbabwe
26.7
26.1
25.9
25.8

25.5
25.6

25.5
25.5

23.9
23.5
23.3
23.2

22.2
22.3

21.9
21.6
21.4
20.8
20.2
20.0
19.7
19.4
19.2
18.2
16.3
16.3
15.4
15.1
14.5
14.2
13.8
11.6
11.4
11.0
8.1
Nepal 5.3
Czech Rep.
Sweden

Singapore

Norway
Iceland

Israel

France

Luxembourg
UK
Malta
Belgium
Slovenia
Chile

Colombia

Qatar

Ireland

Iran
Italy

Uganda
Slovakia

Poland

Lesotho
Austria
Finland

Korea, Rep.
Germany

India
Japan
Turkey

Switzerland

Netherlands
Ethiopia

Mali
Sri Lanka

Hungary

97
UNESCO SCIENCE REPORT

POLICY ISSUES such as favouritism or victimization, or to feel that their

supervisor was oblivious to their personal life, or to feel
Progress but a persistent generation effect isolated from their research group. They were also more
Concrete progress is being made in much of the world in likely to be uncomfortable with the research culture of
increasing the share of women studying scientific disciplines. their group in terms of working patterns, work hours and
Moreover, female participation at tertiary level is expanding competition among peers. As a result, female students
beyond life and health sciences. We are also seeing progress viewed an academic career as offering a solitary existence;
in the recognition of female scientists at national, regional they felt intimidated by the competitive atmosphere and
and global levels. The African Union has instigated awards for that an academic career demanded too much of a sacrifice
women scientists, for instance (see Chapter 18). In the past from them concerning other aspects of their life. Many female
five years, five Nobel prizes have been awarded to women students also spoke of having been advised against pursuing
for work in medicine, physiology and chemistry.16 In 2014, a scientific career, owing to the challenges they would face as
the Iranian Maryam Mirzakhani became the first woman a woman (Royal Society of Chemistry, 2008). In Japan, female
to receive the prestigious Fields Medal awarded by the engineering undergraduates complained of experiencing
International Mathematical Union. difficulties in approaching instructors with questions and
had trouble engaging with learning both in and outside the
However, the data also show that gender equality in science classroom (Hosaka, 2013).
is not a natural result of these trends it is not simply a matter
of waiting for female tertiary graduates to make their way The maternal wall results from expectations that a womans
through the system. Gaps and barriers persist throughout job performance will be affected by her taking a leave of
the scientific research system. This has been systematically absence to have children, or by absences from work to
documented in Europe and the USA, where a decade or so of take care of the family (Williams, 2004). In some countries,
injecting policy, programming and funding into the system once women have embarked on a scientific career, their
to promote gender equality in research have not produced trajectories tend to be less stable than those of men and
as much progress as expected. Indeed, in the USA, numbers characterized by shorter term and temporary work, rather
have remained stagnant and even decreased in some fields than full-time positions (Kim and Moon, 2011). Some of these
over the past decade, whereas there has been little change in challenges stem from a working and research environment
the gender balance in the EU for positions of leadership and where women are expected to fit in and become one of the
prestige (EU, 2013). Eurostat uses the term generation effect boys rather than one which encourages flexible working
to refer to a gender imbalance in the research population arrangements to accommodate the life situations of both
which increases with age rather than evening out. Despite women and men. In East Africa, barriers facing female
increases in numbers of female students, the gender gap in researchers include difficulty in travelling to conferences or
scientific research in Europe is still disproportionately high, in participating in field work, on the assumption that they
making it less likely women will automatically catch up to are the primary domestic caregiver at home (Campion and
men (EU, 2013). Shrum, 2004). The maternal wall is supplemented by the glass
ceiling, whereby a womans performance tends to be more
Getting more women into science isnt working closely scrutinized than that of men, obliging women to work
A combination of factors reduces the proportion of women harder to prove themselves (Williams, 2004).
at each stage of a scientific career: the graduate-level
environment; the maternal wall/glass ceiling; performance Women should not have to choose between two
evaluation criteria; the lack of recognition; lack of support for sacrifices
leadership bids; and unconscious gender bias. Women who do take leave for family reasons sacrifice
progress in their careers, particularly in the research
With regard to the graduate-level environment, a 2008 study environment. When they return, they are either considered
of the career intentions of graduate students in chemistry in as having fallen behind in their career, compared to their
the UK found that 72% of women had planned to become peers, or in need of retraining in their field. Changing the
a researcher at the start of their studies but, by the time current system of performance appraisal and reward to
they completed their PhD, only 37% still harboured this accommodate womens child-bearing years without obliging
career goal. This was the result of a number of factors which them to sacrifice their careers is the single most important
discourage women more than men from planning a career step towards rectifying this imbalance.
in research, especially in academia. Female students were
more likely to encounter problems with their supervisor In many countries, the worklife balance and family
responsibilities are also emerging concerns for men
16. See: www.nobelprize.org/nobel_prizes/lists/women.html (CMPWASE, 2007).

98
 Is the gender gap narrowing in science and engineering?

Women have less access to research funding for a laboratory position significantly higher than a female
Performance evaluation includes productivity measurements, applicant. The participants in the study also selected a higher
such as the number of authored publications and patents, the starting salary and offered more career mentoring to the male
citation rate of these papers and the amount of research funding (Moss-Racusina et al., 2012).
obtained. In science, productivity is measured in terms of
research, teaching and service (such as committee membership), Science remains one of the few sectors where gender bias is
with research tending to carry the most weight. Publication in common and considered acceptable by some. In June 2015,
high-prestige journals or conference proceedings ranks highest 72 year-old Nobel laureate Sir Tim Hunt criticized the presence
and teaching lowest. Studies in the USA indicate that female of women in his laboratories, explaining that he considered
faculty tend to focus on teaching and service more than research, them a distraction and overly emotional. Weeks later, Matt
particularly in terms of the number of authored publications. Taylor from the European Space Agency wore a shirt with a
At the same time, young researchers are expected to spend garish pin-up girl pattern when making a major announcement
80120 hours per week in the laboratory, putting women with about the Rosetta Project space probe. After people expressed
children at an immediate disadvantage (CMPWASE, 2007). indignation via social media, both men made public apologies.

Chapter 3
Universally, the publication rate of female researchers is lower Pragmatic reasons to hire a woman
than that for men, although there are data gaps. South African Companies and institutions are increasingly aware that a diverse
women authored 25% of published articles in 2005, Korean labour force will improve their performance and enable them
women 15% in 2009 (Kim and Moon, 2011) and Iranian women to reach more segments of their target customer or client base
about 13%, with a focus on chemistry, medical and social or relevant stakeholders. Diversity in research also expands the
sciences (see Chapter 15). Recent research suggests that the pool of talented researchers, bringing in fresh perspectives,
main explanation for this trend lies in womens limited access to talent and creativity. Google recently recognized its own need
funding and generally lower status: women are less represented for a more diverse labour force for the very reasons cited above.
than men at prestigious universities and among senior faculty, [Google] is not where we want to be when it comes to diversity,
the very positions where researchers publish the most (Ceci according to Laszlo Bock, Googles senior vice president for
and Williams, 2011). For example, in East Africa in 2004, the lack people operations (Miller, 2014). Women make up just 17% of
of equal access to funding and interaction with regional and Googles technicians and one in four of its top executives. Ethnic
international collaborators decreased the likelihood of female diversity is also low, with 1% Afro-American, 2% Hispanic and
researchers being published in prestigious international journals 34% Asian employees in the USA.
(Campion and Shrum, 2004).
Conversely, the attrition of talented women from the
If women in all countries are penalized when it comes to science system represents a serious loss in investment. Many
research funding, the same goes for patents. In all countries, governments are setting targets for raising the share of GDP
across all sectors and in all fields, the percentage of women spent on research and development (R&D), 60% of which
obtaining patents is less than their male counterparts goes on human resources. If governments are serious about
(Rosser, 2009). Globally, patenting rates by women are highest reaching their targets, many more researchers will need to be
in pharmaceutical fields (24.1%), followed by basic chemicals hired. Widening the pool of talented researchers will increase
(12.5%), machine tools (2.3%) and energy machinery (1.9 %). the rate of progress towards reaching government targets
In Europe, the share of patent applications made by women and ensure that the money spent on educating half of these
was around 8% in 2008. About 94% of US patents are owned by potential researchers does not go down the drain (Sheehan
men (Frietsch et al., 2008; Rosser, 2009). Research on this topic and Wyckoff, 2003). Many countries recognize that a greater
suggests that ability is not an issue. Rather, women scientists gender balance and diversity in science and research would
tend not to understand or show interest in the patenting increase their competitiveness in a globalized economy.
process, or to focus on research with a social impact rather than Malaysia and the United Arab Emirates have both instituted
on technical processes that can be patented (Rosser, 2009). policies fostering greater diversity in the labour force,
including women, and are seeing positive results. Science in
A persistent bias that women cannot do as well as men both the public and private sectors in the Republic of Korea,
The number of women who have been recognized as leaders on the other hand, is characterized by a strong, persistent
by high-prestige societies or through awards remains low, gender imbalance in scientific research and industry.
despite some high-profile exceptions. Lack of recognition of
womens achievements contributes to the misconception that The scientific endeavour itself suffers when women do not
women cannot do science or, at least, not as well as men. This participate equally in research and industry (Figure 3.4).
gender bias can be conscious or unconscious. In one study, Feminist critiques of science have shown that the way in
all faculty, both male and female, rated a male applicant which experiments are set up, the way research questions

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UNESCO SCIENCE REPORT

are defined and the type of conclusions drawn from research on expert panels and advisory groups and the integration
findings are all influenced by gender (Rosser, 2009). How of gender aspects in the content of research and innovation
many inventions have never seen the light of day as a projects to improve scientific quality and societal relevance.
result of womens absence from research? What important
considerations from a gender perspective are being In the USA, the Science and Engineering Equal Opportunity Act
overlooked? It was not until 1993 that aspirin was found to of 1980 mandates equal opportunities for men and women in
have a totally different effect on heart disease in men and education, training and employment in scientific and technical
women, reducing the chances of a heart attack in men but fields. As a result, the National Science Foundation supports
not of a stroke, while reducing the risk of a stroke in women and undertakes research, data collection and other activities
but not of a heart attack (Kaiser, 2005). to assess, measure and increase the participation of women
in science, technology, engineering and mathematics. One
Simply and perhaps most importantly, women should have of its programmes, ADVANCE, offers fellowships and awards
the same opportunities as men to understand and benefit for institutional transformation and leadership to increase the
from the fruits of research, contribute to society, earn a living participation of women in research and reward excellence.18
and choose a fulfilling profession. The United Nations has
made a strong commitment to gender mainstreaming be it A number of low- and middle-income countries have also
in research, legislation, policy development or in activities on developed policies in one or more areas to integrate women
the ground as part of its mandate to ensure that both women and gender issues more effectively into science. In 2003, the
and men are in a position to influence, participate in and Department of Science and Technology of South Africa convened
benefit from development efforts.17 UNESCO has embraced an advisory body to advise it on priorities, key directions and
this commitment by establishing gender equality as one of successful strategies for increasing the participation of women in
its two global priorities, along with Africa. UNESCO considers science. This agenda is set in a national context of gender equality
gender equality not only to be a fundamental human right and driven by a national gender machinery consisting of a group
but also a building block of sustainable, peaceful societies. of co-ordinated structures within and beyond government:
This commitment includes promoting a greater participation SET4W is part of the National Advisory Council on Innovation,
by women in science, technology, innovation and research. a national body appointed by the Minister of Science and
This is why the UNESCO Institute of Statistics systematically Technology to advise him or her, as well as the Department of
collects gender-disaggregated data, which it then makes freely Science and Technology and the National Research Foundation.
available to the public through interactive websites (Box 3.1). Set4W provides advice on policy issues at the nexus of science,
technology, innovation and gender (ASSAf, 2011).
Moving forward: policies for gender equality
Among industrialized countries, the EU and the USA have The Brazilian approach combines policy with robust
both adopted strong policies and funding incentives to foster mechanisms for implementation. The high level of female
the participation of women in science. Horizon 2020, the EU representation in various sectors is a result of strong support
programme funding research and innovation from 2014 to for gender equality. Womens rights both inside and outside
2020, treats gender as a cross-cutting issue; it implements a the home have been strengthened and the participation of
strategy to promote gender equality in research and innovation, women and girls in education and employment has been
including gender balance in research teams, gender balance encouraged.This strategy has proven highly successful,

17. See: www.un.org/womenwatch/osagi/gendermainstreaming.htm 18. www.nsf.gov/crssprgm/advance/

Box 3.1: Explore the data

Women in Science is an interactive data provides a global perspective on the charts and ranking tables for more
tool developed by the UNESCO Institute gender gap in research, with an emphasis than 75 indicators on the human and
for Statistics. It lets you explore and on science, technology, engineering financial resources devoted to R&D. Go
visualize gender gaps in the pipeline and mathematics. Available in English, to: http://on.unesco.org/RD-map.
leading to a research career: from the French and Spanish, it may be accessed at
decision to enrol in a doctorate degree http://on.unesco.org/1n3pTcO. Both products are automatically
course to the scientific fields that updated with the latest data. They can
women pursue and the sectors in which In addition, the eAtlas of Research and be easily embedded on websites, blogs
they work. By presenting both regional Experimental Development lets you and social media sites.
and country-level data, this product explore and export interactive maps, Source: UNESCO Institute for Statistics

100
 Is the gender gap narrowing in science and engineering?

gender parity having been attained in the national labour flexible publication and research schedules to ensure that
force. The government has also increased investment in R&D women (and men) who interrupt their career during their
and programmes fostering science and engineering education child-bearing years will not jeopardize their future career;
for all (see Chapter 7). The availability of scholarships, coupled
n Institutional gender policies need to be supported at the
with transparency in competitions at graduate levels, has
highest levels of governance;
encouraged many women to enter science (Abreu, 2011).
n Decision-making and selection processes should be open,
Systematic collection of gender-disaggregated data transparent and accountable. All professional, grant,
To support policy implementation and research, both the EU selection and hiring committees should reflect a balance
and USA systematically collect gender-disaggregated data. In between male and female members;
the USA, the National Science Foundation is also required to
n Modernize human resources management and the work
prepare and submit reports to the US Congress (parliament)
environment;
on policy and programming to promote minority participation
in these fields and to eliminate discrimination in science and n Eliminate the gender pay gap, including the gender
engineering by sex, race, ethnic group or discipline. Since research funding gap;

Chapter 3
2005, Eurostat has been given a mandate to collect gender-
n Make resources available to parents for retraining or
disaggregated data by qualification, sector, field of science,
re-entering the labour force; and
age, citizenship, economic activity and employment in the
business enterprise sector. South Africa and Brazil also collect n Ensure that women and men can take advantage of travel,
comprehensive gender-disaggregated data. conference and funding opportunities equally.

UN Women and the UN Global Compact have joined forces

Creating a level playing field in the workplace
to produce the Womens Empowerment Principles, a set of
Extensive research has been undertaken in Europe and the
guidelines for business on how to empower women in the
USA to identify models which ensure that countries can
workplace, marketplace and community. These guidelines
benefit from the talent, creativity and accomplishments of
are intended to promote best practice by outlining the
both sexes when it comes to science and engineering. A
gender dimensions of corporate responsibility and the role
number of approaches can be taken to promote an equitable
of business in sustainable development; the guidelines
and diverse workplace (CMPWASE, 2007; EU, 2013):
thus apply both to businesses and to governments in their
n Address unconscious bias in hiring and performance interactions with the business world. Companies are asked to
assessment; use a set of seven principles to assess company policies and
programmes; develop an action plan for integrating gender
n Implement sexual harassment training and policies and
considerations; communicate progress to stakeholders;
ensure redress for victims of harassment;
use the Womens Empowerment Principles for guidance in
n Address the institutional culture and processes that reporting; raise awareness about the Womens Empowerment
penalize a womans family life: performance evaluation in Principles and promote their implementation; and share good
relation to hiring, tenure and promotion needs to accept practices and lessons learned with others.

Box 3.2: The CGIAR: advancing the careers of women in global research

The Consultative Group on and those seeking out CGIAR as an In 2014, women made up 31% of
International Agricultural Research employer of choice; and the CGIAR leadership. The CGIAR
(CGIAR) established its Gender and Consortium has since hired a Senior
n progress in gender mainstreaming
Diversity programme in 1999 with a Advisor on Gender and Research to
achieved throughout the CGIAR
mandate to promote the recruitment, advise centres on related issues in the
system, using such indicators as
advancement and retention of women workplace. Reports are also submitted
the number of male and female
scientists and other professionals. A to the CGIAR Fund Council every six
staff in key leadership positions, the
Gender Monitoring Framework was months to monitor the performance of
integration of gender considerations
designed for the CGIAR in 2013 to the Gender and Diversity programme.
into research priority-setting,
monitor progress in addressing:
implementation and evaluation and,
n what CGIAR has done in its own lastly, the extent to which research
work place(s) to raise the share budgets and expenditure are
of women in senior positions allocated with respect to gender. Source: CGIAR (2015)

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CONCLUSION n ensure supplementary support for women in the

form of training, access to finance and backing for
A need to fix the system entrepreneurship.
Although more women are studying for degrees related to
health, science and agriculture than before and there is even a Gender equality is more than a question of justice or equity.
gender imbalance in favour of women at the tertiary level overall, Countries, businesses and institutions which create an enabling
the sheer drop in female researchers to less than 30% globally environment for women increase their innovative capacity
indicates that serious barriers remain to the full participation and competitiveness. The scientific endeavour benefits from
of women in science and engineering. At the transition from the creativity and vibrancy of the interaction of different
masters to PhD level then, as they climb the rungs of the career perspectives and expertise. Gender equality will encourage
ladder, a number of women are lost to science. new solutions and expand the scope of research. This should
be considered a priority by all if the global community is serious
Even women who embark on a career in science or about reaching the next set of development goals.
engineering often leave their jobs for family reasons or
change career paths more often than men. Recent research
indicates that approaches to this problem need to change, an
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Research, science and government institutions are Ceci, S. J. and W. M. Williams (2011) Understanding current
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n support a commitment to gender equality and diversity Cho, A. H.; Johnson, S. A.; Schuman, C. E.; Adler, J. M.;
through funding, programming and the monitoring of Gonzalez, O.; Graves, S. J.; Huebner, J. R.; Marchant,
progress; and D. B. Rifai, S. W.; Skinner, I. and E. M. Bruna (2014)
Women are underrepresented on the editorial boards of
n introduce fellowships and grants to increase the
journals in environmental biology and natural resource
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management. PeerJ, 2:e542.
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CGIAR (2015) Third CGIAR Consortium Gender and Diversity
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Performance Report. Consortium of Consultative Group on
advancement policies;
International Agricultural Research: Montpellier (France).
n adopt strategies to promote diversity in education and
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Academic Science and Engineering. National Academy of Kim, Y. and Y. Moon (2011) National Assessment on Gender and
Sciences, National Academy of Engineering and Institute of Science, Technology and Innovation: Republic of Korea. Women
Medicine. The National Academies Press: Washington, DC. in Global Science and Technology: Brighton (Canada).

ECLAC (2014) The Software and Information Technology Mellstrm, U. (2009) The intersection of gender, race and
Services Industry: an Opportunity for the Economic cultural boundaries, or why is computer science in Malaysia
Autonomy of Women in Latin America. United Nations dominated by women? Social Studies of Science, 39(6).
Economic Commission for Latin America and the
Caribbean: Santiago. Miller, C. C. (2014) Google releases employee data, illustrating
techs diversity challenge. The New York Times , 28 May.
EIGE (2012) Women and the Environment: Gender Equality and
Climate Change. European Institute for Gender Equality. MossRacusina, C. A.; Dovidio, J. F.; Brescoll, V. L.; Graham,
European Union: Luxembourg. M. J. and J. Handelsman (2012) Science facultys subtle
gender biases favor male students. PNAS Early Edition.
EU (2013) She Figures 2012: Gender in Research and Innovation.

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Directorate-General for Research and Innovation. Rosser, S. (2009) The gender gap in patenting: is technology
European Union: Brussels. transfer a feminist issue? NWSA Journal, 21(2): 6584.

Expert Group on Structural Change (2012) Research and Royal Society of Chemistry (2008) The Chemistry PhD: the Impact
Innovation Structural Change in Research Institutions: on Womens Retention. Royal Society of Chemistry: London.
Enhancing Excellence, Gender Equality and Efficiency in
Research and Innovation. Directorate-General for Research Samulewicz, D., Vidican, G. and N. G. Aswad (2012) Barriers to
and Innovation. European Commission: Brussels. pursuing careers in science, technology and engineering
for women in the United Arab Emirates . Gender,
Frietsch, R.; I. Haller and M. Vrohlings (2008) Gender-specific Technology and Development, 16(2): 12552.
Patterns in Patenting and Publishing. Discussion Paper.
Innovation Systems and Policy Analysis no. 16. Fraunhofer Sheehan, J. and J. Wyckoff (2003) Targeting R&D: Economic and
Institute (Germany). Policy Implications of Increasing R&D Spending. STI Working
Paper 2003/8. Organisation for Economic Co-operation
Gupta, N. (2012) Women undergraduates in engineering and Developments Directorate for Science, Technology
education in India: a study of growing participation. and Industry: Paris.
Gender, Technology and Development, 16(2).
Williams, J. (2004) Hitting the Maternal Wall. Academe, 90(6):
Henry, F. (2015) Survey of Women in the Academies of the 1620.
Americas. International Network of Academies of Sciences
Women for Science Programme: Mexico City. WTO and UN Women (2011) Global Report on Women in Tourism
2010. World Tourism Organization and United Nations Entity
Hosaka, M. (2013) I wouldnt ask professors questions! Women for Gender Equality and the Empowerment of Women.
engineering students learning experiences in Japan.
International Journal of Gender, Science and Technology, 5(2). Zubieta, J. and M. Herzig (2015) Participation of Women and
Girls in National Education and the STI System in Mexico.
Huyer, S. (2014) Gender and Climate Change in Macedonia: Women in Global Science and Technology and the
Applying a Gender Lens to the Third National Organization for Women in Science for the Developing
Communication on Climate Change. Government of FYR World: Brighton (Canada).
Macedonia Publications: Skopje.

Huyer, S. and N. Hafkin (2012) National Assessments of Gender Sophia Huyer (b. 1962: Canada) is Executive Director at
Equality in the Knowledge Society. Global Synthesis Report. Women in Global Science and Technology. She is also
Women in Global Science and Technology and the Gender and Social Inclusion Research Leader of the Climate
Organization for Women in Science for the Developing Change, Agriculture and Food Security Programme of the
World: Brighton (Canada). Consultative Group on International Agricultural Research.
She holds a PhD in Environmental Studies from York
Kaiser, J. (2005) Gender in the pharmacy: does It matter? University in Toronto (Canada).
Science, 308.

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104
22
 Perspectives

A closer look
at regions
and countries

Perspectives

105
23
Science powers commerce
but not only.
Paul Dufour

A truck driver gives Hitchbot, the talking,

hitchhiking robot, a ride part of the way
to its destination, during a Canadian
experiment to test public attitudes towards
robots.
Photo: Norbert Guthier: www.guthier com

106
 Canada
4 . Canada
Paul Dufour

INTRODUCTION plummeted since mid-2014, it is not clear what impact this will
have on the overall fiscal health of the Canadian economy.
Priorities: job creation and balancing the books
When last we reviewed the Canadian science, technology and One of the governments key strategies has been to create
innovation (STI) scene in the UNESCO Science Report 2010, a jobs2 by expanding trade. In his introduction to the Global
federal Conservative government had been in power since Markets Plan adopted in 2013, the Minister of International
20061. Since then, Canada has weathered the fiscal downturn Trade Ed Fast recalled that today, trade is equivalent to more
fairly well, in part because of its sound financial banking than 60% of our annual GDP and one in five Canadian jobs is
services industry but also because the Canadian economy directly linked to exports. The main goal of Canadas Global
relied heavily on its endowment of energy sources and other Commerce Strategy (2007) was to extend our reach to new
natural resources, assets that are always in demand in the emerging markets; by 2014, Canada had concluded free
fast-paced emerging global environment. trade agreements with no fewer than 37 countries, including
a major deal with the European Union (EU). Its successor, the
When the shockwaves from the US financial crisis turned Global Markets Action Plan (2013), fine-tuned this strategy by
a healthy budget surplus of CAN$ 13.8billion in 2006 into eliminating trade barriers and cutting red tape to boost trade
a budget deficit of CAN$ 5.8 billion two years later, the with established and emerging markets3 considered to hold
government reacted by adopting a stimulus package in the greatest promise for Canadian business.
January 2009. This package encouraged consumer spending

Chapter 4
and investment through tax breaks and other measures, in an Concerns about public interest science, business R&D
attempt to reverse the downturn. and education
The governments incremental approach to policy-making
The package was costly (CAN$ 35 billion) and left the over the past decade has translated into a lack of bold
government deeper in debt: the deficit peaked at moves to stimulate funding for science and innovation.
CAN$ 55.6 billion in 20092010. Balancing the budget by The organizational ecology of science and technology (S&T)
2015 became the cornerstone of the governments multi-year has undergone some change, with a growing focus on
Economic Action Plan (2010), which promised responsible economic returns from investment in knowledge. In parallel,
fiscal management to ensure ongoing economic growth and gross domestic expenditure on research and development
job creation over the longer term. In 2014, the government (GERD) as a percentage of GDP has been dropping (Figure 4.1).
projected that the deficit would fall to CAN$ 2.9 billion by
20142015, with a return to a budget surplus the following
year. In 2015, the latter is very much in doubt. In order to meet 2. The unemployment rate has remained steady since 2000, at between 6% and
its deficit target, the government sold its remaining shares in 8% of the active population. In April 2015, for instance, 6.8% of Canadians were
unemployed (Statistics Canada).
the General Motors bailout of 2009. However, as oil prices have
3. The following emerging markets are considered as being priorities for foreign
direct investment, technology and talent and/or part of regional trading platforms:
1. The Conservative Party came to power in the 2006 federal election. Initially, a Brazil, China (including Hong Kong), Chile, Colombia, Indonesia, India, Israel,
minority government, it won its first majority government in the 2011 elections. Malaysia, Mexico, Peru, the Philippines, Republic of Korea, Saudi Arabia, Singapore,
Stephen Harper has been prime minister since 2006. South Africa, Thailand, Turkey, United Arab Emirates and Viet Nam

Figure 4.1: GERD/GDP ratio in Canada, 20002013 (%)

2.1

2.0

1.9
1.91
1.8

1.7

1.6 1.63

1.5
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: Statistics Canada

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UNESCO SCIENCE REPORT

Some challenges addressed in the UNESCO Science Report has been downsizing science agencies and departments.
2010 have not been tackled and others are emerging. Recent surveys of Canadas scientific community reveal acute
Two important weaknesses persist. The first is the lacunae concerns at the impact of cuts on public interest science and
of aggressive private-sector commitment to innovation. basic science, as well as on Canadas international standing.
Canada continues to slide in overall global competitiveness
rankings, in large part because of its underinvestment in The present chapter will focus largely on analysing these
innovation. According to the latest World Competitiveness three challenges. To set the scene, we shall begin by
Report (WEF, 2014), Canadas private-sector spending on examining what the data tell us.
R&D ranks just 27th in the world, compared to 19th for
universityindustry collaboration on R&D. For government
procurement of advanced technology a key driver of TRENDS IN R&D
technological innovation in the worlds most competitive
economies , Canada ranks 48th. Canadas R&D effort at its lowest level for a decade
At1.63%, CanadasGERD/GDP ratio sank to its lowest ebb in
The second weakness concerns the lack of a strong national a decade in 2013. This is because the rise in GERD since 2004
agenda for talent and science education when it comes (15.2%) had failed to keep pace with GDP (+42.9%). Between
to orchestrating effective skills, education and training for 1997 and 2009, R&D had been buoyed by continuous budget
the 21st century. With a number of indicators suggesting a surpluses then by the federal stimulus package in 2009. GERD
decline in the prestige of higher education in Canada, this is had even peaked in 2001 at 2.09% of GDP (Figure 4.1).
becoming an urgent issue.
Between 2010 and 2013, the trend went into reverse. Federal
A third vulnerability has emerged since the release of in-house R&D became a casualty of the governments
the UNESCO Science Report 2010. Since the adoption determination to balance the budget through its Economic
of the multi-year austerity budget in 2010, the government Action Plan (2010). Government funding of R&D sagged by

Figure 4.2: GERD in Canada by funding sector, 20032013

In CAN$ millions

2003 4 527 1 354 12 427 3 589 638 2 158 24 693

2004 4 651 1 285 13 388 4 147 735 2 389 26 679

2005 5 252 1 358 13 827 4 341 784 2 460 28 022

2006 5 223 1 467 14 834 4 435 827 2 246 29 031

2007 5 477 1 468 14 776 4 574 957 2 779 30 031

2008 5 709 1 552 15 210 5 054 1 015 2 211 30 757

2009 5 951 1 662 14 618 4 824 944 2 131 30 129

2010 6 467 1 702 14 347 4 970 1 068 2 001 30 555

2011 6 216 1 794 15 246 5 193 1 153 1 885 31 486

2012* 5 979 2 033 14 833 5 417 1 185 1 859 31 307

2013* 5 920 2 043 14 282 5 478 1 193 1 831 30 748

Federal government Provincial governments Business enterprise

Higher education Private non-profit Foreign

Source: Statistics Canada  * preliminary data

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 Canada

just over CAN$ 600 million, or over 10%, and continues to

decline, with projected spending in 2013 of CAN$ 5.8 billion Figure 4.3: Business expenditure on R&D in Canada
and other OECD countries as a share of GDP,
(Figure 4.2). Some infrastructure projects are nevertheless
2013 or closest year (%)
being pursued for specialized facilities. For instance, a global
High Arctic Research Station is being established in Canadas Israel 3.49
high north, the participation of Canada in the Thirty Metre Korea, Rep. 3.26
Telescope has received a boost of CAN$ 243.5 million over Japan 2.64
ten years and Canadas National Science and Technology Finland 2.29
Museum will be closed until 2017 for refurbishment. Sweden 2.28
Switzerland 2.05-1
The end to stimulus spending coincided with a 10.6% increase in
USA 1.96-1
GDP between 2008 and 2012; it is the combination of these two
Germany 1.91
factors which drove the GERD/GDP ratio down to 1.63% in 2013.
OECD total 1.64

A worrying slump in industrial R&D Belgium 1.58

It is a characteristic of Canadian science that the federal France 1.44

government agencies fund about one-tenth and universities Australia 1.23-2
four-tenths of all R&D. Much of the countrys R&D effort relies Netherlands 1.14
on the dynamism of the business enterprise sector, which funds UK 1.05
and performs the other half. The slump in industrial R&D in
Norway 0.87
recent years is thus a worrying trend: in 2013, business-financed

Chapter 4
Canada 0.83
R&D accounted for 46.4% of overall spending, compared to
Italy 0.67
51.2% in 2006. Over the same period, foreign funding sources
also shrank from 7.7% to 6.0% of the total, according to the -n = data are for n years before reference year
UNESCO Institute for Statistics. Source: UNESCO Institute for Statistics, August 2015

A 6.9% decline in federal funding of R&D is the main CAN$ 30.6 billion in R&D spending in 2014, down marginally
contributor to a stagnant year for Canadian R&D in 2014, from CAN$ 30.7 billion the previous year (Table 4.1).
according to the latest data from Statistics Canada. The agency
released a brief report in January 2015 which projected This situation contrasts with that of other members of the
Organisation for Economic Co-operation and Development
(OECD), where the GERD/GDP ratio has recovered to pre-
Table 4.1: GERD intentions in Canada by performing
2008 levels. Among the G7 countries, only Canada registered
sector and source of funds, 2013 and 2014 (%)
declines between 2008 and 2012. Business expenditure on
2013 2014 R&D (BERD) tells a similar story (Figure 4.3). Canadas BERD/
Research and development spending intentions CAN$ millions % GDP ratio peaked at 1.3% in 2001 before falling to 0.8% by
change
2013. In the OECD, BERD has increased from 1.4% on average
Total, performing sector 30 748 30 572 -0.6
in 2004 to 1.6% in 2013. Sectors that have experienced an
Business enterprises 15 535 15 401 -0.9
erosion in R&D spending in Canada include pharmaceuticals,
Higher education 12 237 12 360 1.0 chemicals, primary metals and fabricated metals.
Federal government 2 475 2 305 -6.9
Provincial government and provincial research organizations 339 338 -0.3 The cutback in industrial R&D spending has also taken its toll
Private non-profit 161 169 5.0 on the number of personnel engaged in R&D. Between 2008
Total, funding sector 30 748 30 572 -0.6 and 2012, their number dropped from 172 744 to 132 156,
representing a 23.5% decline in industrial R&D jobs. According
Business enterprises 14 282 14 119 -1.1
to the most recent analysis by Statistics Canada, the number
Federal government 5 920 5 806 -1.9
of R&D personnel in industry declined by 13440 (9.2%) between
Higher education 5 478 5 533 1.0
2011 and 2012, the second largest drop since 20082009 when
Provincial government and provincial research organizations 2 043 2 066 1.1 17560 jobs were shed (Table 4.2).
Foreign 1 831 1 842 0.6
Private non-profit 1 193 1 207 1.2 Industry has not been the only sector to experience job losses,
Note: Components may not add up to totals because of rounding.
according to the latest data from Statistics Canada. There
Source: Statistics Canada, January 2015 were fewer R&D personnel of all types in the federal and
provincial governments in 2012 (Table 4.2).

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UNESCO SCIENCE REPORT

Table 4.2: R&D personnel in Canada by sector, 20082012

Sector 2008 2009 2010 2011 2012

Federal government 16 270 17 280 17 080 16 960 16 290
researchers 7 320 7 670 8 010 7 850 7 870
technicians 4 700 5 170 4 900 4 760 4 490
support staff 4 250 4 440 4 170 4 350 3 930
Provincial governments 2 970 2 880 2 800 2 780 2 780
researchers 1 550 1 500 1 600 1 600 1 620
technicians 890 880 770 750 750
support staff 530 500 430 420 420
Business 172 740 155 180 144 270 145 600 132 160
researchers 98 390 93 360 94 530 97 030 88 960
technicians 52 080 47 190 38 570 39 290 32 950
support staff 22 280 14 630 11 180 9 280 10 240
Higher education 62 480 60 180 67 590 70 010 71 320
researchers 49 450 47 350 53 970 56 090 57 510
technicians 6 790 6 680 7 150 7 310 7 250
support staff 6 240 6 150 6 470 6 610 6 550
Private non-profit 2 190 1 240 1 300 1 240 1 390
researchers 500 340 530 520 590
technicians 900 470 540 500 510
support staff 790 430 230 220 290
Total 256 650 236 760 233 060 236 590 223 930
researchers 157 200 150 220 158 660 163 090 156 550
technicians 65 350 63 380 51 930 52 620 45 950
support staff 34 090 26 150 22 470 20 880 21 430
Source: Statistics Canada, CANSIM table 358-0159; Research Money, 22 December 2014

POLICY ISSUES IN INDUSTRIAL R&D

Weak business innovation translates into poor Until the early 2000s, their competitiveness was supported
productivity growth by an ample labour supply and a favourable exchange
The perennial weakness of Canadas innovation performance rate, which made productivity growth less urgent. Since
by the private sector remains a major challenge. A synthesis then, the boom in commodity prices has supported
report from the Council of Canadian Academies makes for Canadian incomes in the aggregate.
depressing reading (CCA, 2013a). This document summarizes
the main findings of seven different reports, from which The report notes that Canadas fundamental challenge will be
two main conclusions emerge: Canadian academic research, to transform its commodity-based economy into an economy
overall, is relatively strong and well-regarded internationally. capable of providing a larger number of markets with a greater
Canadian business innovation, by contrast, is weak by variety of goods and services, where firms must compete
international standards; this is the primary cause of Canadas primarily through product and marketing innovation. As more
poor productivity growth. Canadian firms develop strategies that focus on innovation
out of sheer necessity, they will create a much more powerful
The report asks (CCA, 2013a):
business pull on Canadas strong S&T capacity.
How has Canadas economy sustained relative prosperity,
despite weak innovation and correspondingly feeble Indeed, a second report by the Council of Canadian
productivity growth? The answer is that Canadian firms Academies on The State of Industrial R&D in Canada has
have been as innovative as they have needed to be. concluded that Canadian industrial R&D remains weak for a

110
 Canada

host of complex, often poorly understood reasons, are most prevalent in British Columbia and Alberta; and
although four key industries display considerable pharmaceuticals are most often located in Ontario, Quebec
strength (CCA, 2013b): and British Columbia.

n aerospace products and parts manufacturing;

The report goes a step further and examines the alignment
n information and communication technologies (ICTs); of strengths in industrial R&D with strengths in S&T and
economics (Figure 4.4). It points out that, whereas there is
n oil and gas extraction; and
some congruence between these areas, there is a significant
n pharmaceutical drug manufacturing. lack of alignment that is not fully understood (CCA, 2013b):

The panels report found that, whereas R&D activity is With Canadas strong post-secondary education system
extensive and spread across a wide range of industries, and a foundation of world-class university research, the
the relationship between R&D and S&T is asymmetrical. underpinnings for robust investment in industrial R&D
When examined by geographical location, the panel found exist. But attempting to connect such scientific strength
that Canadas strengths in industrial R&D were clustered and industrial R&D in a direct, linear relationship is
in certain parts of the country. Ontario and Quebec are overly simplistic, particularly as the R&D-intensive
dominant in aerospace; the majority of the ICT industry is industries [count] for a smaller part of the Canadian
found in Ontario, Quebec and British Columbia; oil and gas economy than of other advanced economies.

Figure 4.4: Canadas strengths in S&T, industrial R&D and economics

Chapter 4
SCIENCE & STRENGTHS IN ECONOMIC
TECHNOLOGY INDUSTRIAL R&D STRENGTHS
STRENGTHS

n Clinical medicine n Aerospace products & n Aerospace

parts manufacturing
n Historical studies n Oil & gas extraction
n ICTs
n Information & n Construction
communication n Oil & gas extraction
n Forestry
technologies
n Pharmaceutical &
n Financial, insurance &
n Physics & astronomy drug manufacturing
real estate
n Psychology &
n Retail & wholesale
cognitive science
trade
n Visual & performing
arts

Source: adapted from CCA (2013b)

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UNESCO SCIENCE REPORT

How best to incite private investment in panels key recommendations was to create an Industrial
high-potential companies? Research and Innovation Council to deliver the federal
Along with some of the provinces, the federal government governments 60 business innovation programmes spread
has been experimenting with different mechanisms to over 17 departments at the time. The government has not
help reshape the business culture in this area. These have heeded this advice.
had limited success. For example, in January 2013, the
government announced its Venture Capital Action Plan, a The Venture Capital Action Plan received mixed reviews, with
strategy for deploying CAN$ 400 million in new capital over some questioning the wisdom of using taxpayer money to
the next 710 years to leverage private sector-led investment nurture venture capital funds when this role fell naturally to
in the form of venture capital funds. the private sector.

Within this Action Plan, the government allocated In the longer-term, any attempt to develop more evidence
CAN$ 60million in 2013 over five years, with an additional on what works for Canadas unique knowledge economy
CAN$ 40million in 2014, to help outstanding incubator and will require a more thoughtful and co-ordinated approach
accelerator organizations expand their services to worthy than the Venture Capital Action Plan. Indeed, a report
entrepreneurs. The Canada Accelerator and Incubator exploring ten policy criteria that could provide a more
Program (CAIP4) subsequently made a call for research robust framework for innovation policy in Canada has
proposals on 23 September 2013 which attracted close to been developed recently by scholars (University of Ottawa,
100 applicants. CAIP is delivered by the National Research 2013). Their report draws on evidence spanning 60 years to
Councils Industrial Research Assistance Program, which establish these ten criteria, which include:
evaluated these proposals on the basis of strict eligibility and
n the policy should not prejudgethe practical value of any
selection criteria, including:
category of knowledge;
n the extent to which the project would encourage the
n the policy should enable measurements that encompass
growth of early-stage firms that represent superior
the process of innovation (and not just the input and
investment opportunities;
output); and
n the potential of the project to develop entrepreneurial
n the policy should favour open knowledge regimes over
networks with other important firms and organizations,
proprietary ones.
in order to provide entrepreneurs with a broader range of
specialized services;
Science diplomacy to commercial ends
n the ability of the organization to demonstrate matching By 2014, half of Canadas scientific papers were co-authored
resources, either financial or in-kind (i.e. mentoring by foreign partners, compared to an OECD average of 29.4%
resources, administrative support) for the proposed (Figure 4.5). Canadas collaboration rate with its closest
activities; and partner, the USA, has been in decline: 38% of international
papers were co-authored with US scientists in 2000 but only
n a credible demonstration that the proposed activities
25% in 2013, according to ScienceMetrix.
would be incremental to existing operations.

In Canada, research partnerships and science diplomacy

An unnecessarily complicated funding system
are increasingly being tied to trade and commercial
The private sectors reluctance to invest in high-potential
opportunities. It is revealing that Canadas innovation
companies has been a subject for debate in recent years.
network is managed by the Trade Commissioner Service at
When Tom Jenkins submitted his panels review of federal
the Department of Foreign Affairs, Trade and Development,
support for R&D to the Minister of State for Science and
rather than being placed in the foreign service. This
Technology in October 2011, he observed that, relative to
mega-department was created within Canadas Economic
the size of the Canadian economy, government support
Action Plan 2013 by amalgamating the Department of
for business R&D in Canada is among the most generous
Foreign Affairs and International Trade and the Canadian
in the world, yet were near the bottom of the pack when it
International Development Agency, which had been in
comes to seeing business R&D investmentWhat we found
existence since 1968.
was a funding system that is unnecessarily complicated
and confusing to navigate (Jenkins et al., 2011). One of the
Two recent schemes illustrate the trend towards
commercializing science diplomacy: the International
4. CAIP is providing support over a five-year period in the form of non-repayable Science and Technology Partnerships Canada (ISTPCanada)
contributions of up to CAN$ 5 million a year to a limited number of best-in-class programme and the CanadaEUREKA partnership.
accelerators and incubators.

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 Canada

Box 4.1: Canada, China and Israel to share agro-incubator

In September 2013, Canada, Israel At the signing of the agreement, Mr Wang Jun Quan, Deputy Director-
and China agreed to establish a joint Dr Henri Rothschild, President and General of the Administrative
incubator for the development and CEO of International Science and Committee of the Yangling
commercialization of agricultural Technology Partnerships Canada and Agricultural High-tech Industries
technologies derived from of the CanadaIsrael Industrial R&D Demonstration Zone, expressed
collaborative research. Foundation, observed that the resulting pride at hosting the incubator and
innovations will open up new Asian at facilitating collaboration with
The incubator has since been established markets for collaborators, while enabling innovators from Canada and Israel.
in the Yangling Agricultural Hi-tech the development of the sustainable use This centre will address the agricultural
Industries Demonstration Zone, known of marginal lands, improved food quality needs of Yangling and further establish
as the agricultural epicentre of China. and safety. this region as a global hub for agro-
The incubator will enable commercial innovation, he said.
firms from all three countries to engage Mr Michael Khoury, Consul for Economic
in collaborative R&D while connecting Affairs at the Consulate General of
them to market opportunities and Israel, welcomed the incubator as an
accelerating the commercialization of opportunity for Israel to build on our
emerging agro-technologies. In 2012, collaboration with Canada and China
Canadian agricultural exports to China to date and bring our multidisciplinary

Chapter 4
exceeded CAN$ 5 billion. strengths to bear on this critical sector. Source: ISTP Canada press release, 3 October 2013

ISTPCanada was launched in 2007 to connect Canadian The CanadaEureka partnership gives Canadian
innovators to global R&D partners, funding and markets companies greater access to European markets. Eureka is
The programme was mandated by the Department of a pan-European intergovernmental initiative designed to
Foreign Affairs, Trade and Development to facilitate new support the competitiveness of European companies by
R&D partnerships between Canadian companies or research fostering market-oriented R&D via international collaboration.
institutions (including universities) and their counterparts The partnership agreement was signed on 22 June 2012 in
from four key trading partners: Brazil, China, India and Budapest (Hungary), the National Research Council having
Israel. Three of Canadas ten provinces participated in the been designated Canadas National Project Coordinator Office
programme: Alberta, British Columbia and Ontario. Between for Eureka. At the signing, Gary Goodyear, then Minister of
2007 and March 2012, ISTPCanada developed 24 early-stage State for Science and Technology, said that our governments
partnerships with China, 16 with India, 5 with Brazil and top priority is the economy creating jobs, growth and long-
a further 5 multilateral activities with all three countries. term prosperity for Canadian workers, businesses and families.
See Box 4.1 for an example. It also funded 29 bilateral R&D5 Through our participation in the Eureka Initiative, Canadian
projects: 17 with China, 8 with India and 4 with Brazil. ISTP companies will be better positioned to access international
covered up to 50% of the Canadian costs of approved joint markets and accelerate technology development leading to
research projects proposed by companies, universities/ commercialization.
colleges and private research institutes. It claimed an almost
four-fold leverage on every dollar invested in R&D projects; Small innovative Canadian companies have rapidly taken
thus, it estimates that the CAN$ 10.9 million it invested in R&D advantage of Canadas status as an associate member of the
projects between 2007 and 2012 generated CAN$ 37.9 million. Eureka network. By September 2014, 15 projects had been
ISTPCanada shut down in 2015, owing to lack of support from launched for the development of technologies ranging from
the responsible government department.6 virtual machining to water desalination. Valued at more than
CAN$ 20 million, these market-driven industrial R&D projects
have helped Canadian firms partner one-on-one, and in
5. ISTPCanadas main partners are: in China, the Ministry of Science and Technology
and China Association for International Exchange of Personnel; in India, the Global clusters, with companies from Europe but also from Israel and
Innovation and Technology Alliance, Department of Science and Technology and the Republic of Korea.
Department of Biotechnology; and in Brazil: the So Paulo Research Foundation
(FAPESP) and Minas Gerais Research Foundation (FAPEMIG).
6. In a premonitory interview published in the 10 February 2015 issue of Research
Money, CEO Pierre Bilodeau commented that ISTPCanadas future looked uncertain,
as money and time were running out to renew its mandate. After no further
funding was forthcoming, ISTPCanada closed its office in April 2015.

113
 50.4%
Figure 4.5: Scientific publication
trends in Canada,
20052014 Share of Canadian papers with a
foreign co-author, 20082014;

1.25
the OECD average is 29.4%

YUKON
TERRITORY
Average citation rate
NORTHWEST NUNAVUT
for Canadian TERRITORIES

publications, 20082012;
the OECD average is 1.08
BRITISH NEWFOUNDLAND
COLUMBIA

ALBERTA
MANITOBA
QUEBEC
SASKATCHEWAN PRINCE
EDWARD
ISLAND

ONTARIO NEW
BRUNSWICK
NOVA SCOTIA

Canadian publications grew by 21%

between 2005 and 2010 but the pace since slowed
60 000
54 632
51 508
49 728 54 631
50 000

13.1%
51 459
48 713
42 648 46 829
43 917
40 000
39 879
Share of Canadian papers among
10% most-cited, 20082012;
30 000 the OECD average is 11.2%;
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

1 538
Canada specializes in medical sciences 98 633
Cumulative totals by field, 20082014

71 279 Publications per million

inhabitants in 2014

35 071
29 776
23 543 24 908

8 988 8 546 10 956

5 430 4 365 4 505 3 314
ics
es

y
es
ics
re

ry

es

es

es
m

og
nc

in
tu

ist
nc

nc

nc

nc

nc
ys
at
no

er
cie

ol
ul

em
cie

cie
cie

ie

cie
Ph
ne

ch
tro
ric

sc
rs

he
ls

ls
os

ls
Ch

gi

y
Ag

As

te

ife
at

Ps
ica

ica

cia
En

Ge
pu

rl
og

ed

So
he
m

M
ol

Co

Ot
Bi

Note: Totals exclude unclassified articles.

Canada publishes most with US partners

Main foreign partners, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Canada USA (85 069) UK (25 879) China (19 522) Germany (19 244) France (18 956)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded, data treatment by ScienceMetrix

114
 Canada

POLICY ISSUES IN PUBLIC INTEREST funded by the Department of Fisheries and Oceans (PIPSC,
2014). See Figure 4.6 and Table 4.3.
SCIENCE
Budget cuts: a threat to Canadas global knowledge The report opined that the worst is yet to come. Between
brand? 2013 and 2016, a combined CAN$ 2.6 billion will be cut from
Canadas global knowledge brand is at risk. Government 10 federal science-based departments and agencies8 alone,
science and federal scientists have become a target for cuts. including a projected 5 064 FTE positions (PIPSC, 2014).
This has led to a first-ever mobilization of different interests According to the UNESCO Institute for Statistics, 9490 FTE
to parry this troubling trend. The budget cuts are partly a researchers were employed in the government sector in 2010
consequence of the governments austerity budget but and a further 57510 in the university sector.
they also reflect an ideological bent that is predisposed to
downsizing the public service. In an unprecedented series The report expressed concern that a recent shift in budget
of documented public cases, the Canadian government has priorities towards greater support for commercial ventures
been accused of eroding support for public good science and would be detrimental to basic science and public interest
even of muzzling its own scientists (Turner, 2013). science. It cited a slated decrease in internal S&T funding9 of
CAN$ 162 million in 20132014, much of which is devoted to
The Professional Institute of the Public Service of Canada public health, public safety and the environment, compared
(PIPSC) has catalogued the concerns of government scientists to a CAN$ 68million increase in support for commercial
through two surveys. The first of these drew over 4 000 ventures (PIPSC, 2014). The authors cited a public opinion
responses (PIPSC, 2013). It found that that nearly three out poll by Environics in November 2013, in which 73% of
respondents felt that the top priority for government

Chapter 4
of every four federal scientists (74%) surveyed believed the
sharing of scientific findings had become too restricted in scientific activity should be the protection of public health,
the past five years; nearly the same number (71%) believed safety and the environment (PIPSC, 2014).
political interference had compromised Canadas ability to
develop policy, law and programmes based on scientific The survey also reflected federal scientists concerns that
evidence. According to the survey, nearly half (48%) were new departmental policies on intellectual property and
aware of actual cases in which their department or agency obtaining permission to publish, as well as restrictive policies
had suppressed information, leading to incomplete, on travel to international conferences, were compromising
inaccurate or misleading impressions by the public, industry Canadas international scientific collaboration (PIPSC, 2014).
and/or other government officials. Indeed, a recent report assessing the media policies of federal
science departments had this to say (Magnuson-Ford and
The second survey7 (PIPSC, 2014) argued that continued Gibbs, 2014):
cuts within government science would further affect the
n Media policies in Canadian federal science departments
governments ability to develop and implement evidence-
were graded for openness of communication, protection
based policies. Vanishing Science: the Disappearance of
against political interference, rights to free speech and
Canadian Public Interest Science observed that, between 2008
protection for whistleblowers. Overwhelmingly, current
and 2013, a total of CAN$ 596 million (in constant 2007
policies do not support open communication between
dollars) has been cut from science and technology budgets
federal scientists and the media.
at federal science-based departments and agencies and
2141 full-time equivalent (FTE) positions have been n Government media policies do not support open and
eliminated (PIPSC, 2014). timely communication between scientists and journalists,
nor do they protect scientists right to free speech.
The report stated that these cuts have resulted in the loss
n Government media policies do not protect against political
of whole programmes, including the Environment Canada-
interference in science communication.
funded National Roundtable on the Environment and the
Economy for 25 years the leading federal advisory panel n Over 85% of departments assessed (12 out of 14) received
on sustainable development , the Hazardous Materials a grade of C or lower.
Information Review Commission and the Canadian
Foundation for Climate and Atmospheric Sciences, as well as
the Ocean Contaminants and Marine Toxicology Program 8. Agriculture Canada, Canadian Food Inspection Agency, Canadian Space Agency,
Environment Canada, Fisheries and Oceans Canada, Health Canada, Industry
Canada, National Research Council, Natural Resources Canada , Public Health
7. Invitations to participate in the online survey of federal scientists were sent
Agency of Canada
to 15398 PIPSC members scientists, researchers and engineers engaged in
scientific work in over 40 federal departments and agencies. Of these, 4069 (26%) 9. Internal science refers in the present chapter to R&D conducted within science-
responded (PIPSC, 2014). based departments and agencies.

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UNESCO SCIENCE REPORT

Figure 4.6: Major Canadian federal science departments and agencies

by spending intentions for 2012
Natural Sciences and Engineering
Research Council
Canadian Institutes for Health Research

National Research Council

Social Sciences and Humanities
Research Council
Natural Resources Canada

Environment Canada

Statistics Canada

Health Canada

Canada Foundation for Innovation

Industry Canada
R&D
Atomic Energy of Canada Ltd
Related
Canadian International Development scientific
Agency activities

0 200 400 600 800 1 000

Source: Government of Canada Can$ millions

Table 4.3: Canadian federal S&T spending by socio-economic objective, 20112013

2010/2011 2011/2012 2012/2013

Intramural Extramural Intramural Extramural Intramural Extramural
CAN$ millions
Total 2863 4738 2520 4381 2428 4483
Exploration and exploitation of the Earth 90 77 86 92 59 93
Transport 64 56 60 58 51 49
Telecommunications 46 52 41 35 34 35
Other infrastructure and general
44 76 42 37 35 43
planning of land use
Control and care of the environment 200 227 208 225 121 251
Protection and improvement of human
280 1432 264 1415 240 1512
health
Production, distribution and rational
717 269 545 257 561 161
utilization of energy
Agriculture 360 179 354 154 409 1603
Fisheries 7 29 7 21 6 17
Forestry 70 90 69 58 70 54
Industrial production and technology 206 801 182 799 153 937
Social structures and relationships 156 222 125 243 141 264
Space exploration and exploitation 78 228 74 268 61 195
Non-oriented research 247 938 240 641 211 636
Other civil research 21 4 14 2 16 1
Defence 276 57 211 76 258 71

Note: Federal S&T spending is the sum of spending on R&D and related scientific activities. Non-programme (indirect) costs are excluded from intramural expenditure.
Source: Statistics Canada, August 2014

116
 Canada

The federal governments response to the survey Technology, Greg Rickford10. He was replaced in March
As a partial response to these critiques, the federal 2014 by another junior science minister, Ed Holder, who
government instituted a confidential examination of has inherited the file.
government science in mid-2014, led by an expert panel
reporting to a group of deputy ministers responsible for In December 2014, Prime Minister Harper launched the
science and research. The review was designed to provide an revised strategy, entitled Seizing Canadas Moment: Moving
informed external perspective of government science and to Forward in Science, Technology and Innovation. This is
come up with ideas and approaches for performing science essentially a progress report on what the government has
differently in science-based departments and agencies to undertaken since 2007. There is no earmarked funding for any
meet current and future challenges, while recognizing the of the fresh commitments.
nature and value of internal science. The expert panel offered
its confidential advice in late 2014. It is unclear whether any The new strategy differs from its predecessor announced in 2007,
action has been taken since on the basis of this report. in that innovation has been added as its central pillar (Table 4.4).
Seizing Canadas Moment states that the 2014 Strategy puts
In October 2013, the federal government announced its innovation front and centre in fostering business innovation, in
intention to launch a revised federal STI strategy to refresh building synergies with Canadas research capacities and in using
its seven-year old predecessor outlined by the prime minister its skilled and innovative workforce. It emphasizes the need for
in May 2007. A short discussion paper accompanied
10. In May 2014, Greg Rickford took over the joint portfolio of Minister of Natural
consultations in January 2014 which took place under the Resources and Minister for the Federal Economic Development Initiative for
aegis of the former Minister of State for Science and Northern Ontario; the latter initiative had been entrusted to him in 2011.

Chapter 4
Table 4.4: Canadas federal priorities for 2007 and 2014

Federal S&T strategy of 2007 Federal S&T strategy of 2014

Priority area Subpriorities Priority area Subpriorities
Environmental n Water: health, energy, security Environment n Water: health, energy, security
science and n Cleaner methods of extracting, and agriculture n Biotechnology
technologies processing and using hydrocarbon n Aquaculture
fuels, including reduced n Sustainable methods of accessing energy and mineral
consumption of these fuels resources from unconventional sources
n Food and food systems
n Climate change research and technology
n Disaster mitigation

Natural n Energy production in the oil sands Natural resources n Arctic: responsible development and monitoring
resources and n Arctic: resource production, climate and energy n Bio-energy, fuel cells and nuclear energy
energy change adaptation, monitoring; n Bio-products
n Biofuels, fuel cells and nuclear n Pipeline safety
energy
Health and n Regenerative medicine Health and life n Neuroscience and mental health
related n Neuroscience sciences n Regenerative medicine
lifesciences and n Health in an ageing population n Health in an ageing population
technologies n Biomedical engineering and medical n Biomedical engineering and medical technologies
technologies

Information and n New media, animation and games Information and n New media, animation and games
communication n Wireless networks and services communication n Communications networks and services
technologies n Broadband networks technologies n Cybersecurity
n Telecom equipment n Advanced data management and analysis
n Machine-to-machine systems
n Quantum computing

Advanced n Automation (including robotics)

manufacturing n Lightweight materials and technologies
n Additive manufacturing
n Quantum materials
n Nanotechnology
n Aerospace
n Automotive

Source: compiled by author

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UNESCO SCIENCE REPORT

businesses of all sizes to define and implement for themselves In the 2009 budget, the federal government created a Clean
the science, technology and innovation they require to Energy Fund of more than CAN$ 600 million to fund various
compete nationally and internationally. Importantly, the projects, with the majority of the money (CAN$ 466 million)
strategy exhorts a sort of volunteerism by the business sector going to carbon capture and storage projects. Canada also
in reshaping its approach to investing in innovation. As such, has programmes designed to support various forms of
it leaves the market to develop its own model. renewable energy, including wind energy, small hydropower,
solar thermal, solar photovoltaic, marine energy, bio-energy
In the meantime, public policy initiatives targeting STI are and nuclear.
being put forward on several fronts, in the hope of effecting
change by moral suasion. We shall briefly discuss some key The Program of Energy Research and Development (PERD) is
topics currently under debate. operated by Natural Resources Canada to advance key clean
energy technologies that will contribute to a reduction of
A desire to become a global energy superpower greenhouse gas emissions. PERD funds R&D performed by
Early on in his mandate, Canadas current prime minister 13 federal departments and agencies, which are at liberty to
argued that Canada was aiming to become a global energy collaborate with partners from industry, funding agencies, the
superpower.11 Indeed, the governments preoccupation with university sector and associations.
finding new energy markets for oil and gas especially the
Alberta oil (tar) sands has been remarkable but not without Provincial governments have also played a strong role in
controversy both in Canada and abroad, as illustrated by energy production. Some have also invested in schemes to
Canada being named Fossil of the Year by environmentalists stimulate energy research. Quebec, for example, has a well-
at several international meetings on climate change12. developed clean-tech cluster that is supported through various
programmes and instruments. British Columbia has developed
Not all sectors of the Canadian economy have fared as well as a bio-energy strategy designed to ensure that biofuel
oil sands. Since 2002, there has been a remarkable increase in production meets 50% or more of the provinces renewable
the real value of Canadas exports from the energy, metals and fuel requirements by 2020; develop at least 10 community
minerals, industrial and agricultural sectors, and a considerable energy projects that convert local biomass into energy by 2020;
drop in exports from the electronics, transportation, consumer and establish one of Canadas most comprehensive provincial
goods and forestry sectors. In 2002, just under 13% of Canadian biomass inventories of waste to energy opportunities. In the
exports were energy-related products; by 2012, that proportion absence of federal leadership on climate change and energy,
had grown to over 25%. From 1997 to 2012, oils national share several provinces have also developed their own carbon
of commodity production value rose from 18% to 46%, nearly pricing schemes.
as much as the economic value generated from natural gas,
forestry, metals and mining, agriculture and fishing combined. In June 2014, Canadas Minister of Natural Resources
Many manufacturing companies, especially in the hard-hit co-chaired a national roundtable discussion on energy
automobile and consumer goods sectors, have retooled, in order innovation in Canada, along with the Chair of Sustainable
to serve the resource sector, further contributing to an economy Development Technology Canada. The national
that is increasingly unbalanced and reliant on commodities; for roundtable was the sixth and final roundtable in a series
over a decade now, R&D conducted by the private sector in the of thematic roundtables held across the country since
energy sector has been heavily concentrated in oil and gas. November 2013. Each event focused on a specific area of
energy technology: distributed power generation; next-
Some attention has been paid to clean energy generation transportation; energy efficiency; long-term R&D
Leaving aside the use of conventional energy, some attention opportunities and; unconventional oil and gas, including
has also been paid to clean or renewable energy (Figure 4.7). carbon capture and storage.
In 2008, the federal government announced a green energy
target: by 2020, 90% of all electricity generated in Canada The roundtables focused largely on identifying barriers
was to come from non-greenhouse gas emitting sources. to accelerating energy innovation in Canada and how
These sources include nuclear energy, clean coal, wind and best to align efforts and enhance collaboration, in order
hydroelectricity. By 2010, 75% of electricity was generated to make Canada more competitive both domestically and
from these sources. abroad.A number of prevailing themes emerged from these
discussions, including:

11. Remarks by the Prime Minister of Canada, St Petersburg G8 Summit, 2006 n building national leadership to promote innovation
12. In 2011, Canada became the first signatory to withdraw from the Kyoto by engaging key players within governments, utilities,
Protocol to the United Nations Framework Convention on Climate Change, an industry and academia;
agreement with binding targets adopted in 1997. The Kyoto Protocol expired in 2012.

118
 Canada

n enhancing alignment, co-ordination and collaboration to n the Sustainable Development Natural Gas Fund seeks to
maximize the impact of investment in innovation; support technologies in the residential sector: small-scale
affordable combined heat and power units, ultra-efficient
n providing certainty through policy measures;
water heaters, technologies that improve the efficiency of
n enhancing market access opportunities to foster a residential heating and/or cooling.
domestic market and support companies in demonstrating
their technologies at home; Another group dabbling in renewable energy is the National
Research Council (NRC), Canadas largest public research
n greater information-sharing to break down barriers; and
organization. In retooling its mandate into that of a research
n addressing energy literacy and consumer awareness and technology organization over the past year, it has
through education. launched a series of so-called flagship programmes which
focus on research for industrial markets. The NRCs Algal
The Government of Canada plans to use the discussions from Carbon Conversion Flagship aims to provide Canadian
these roundtables as a guide to identifying the best means of industry with solutions to divert CO2 emissions into algal
collaborating with private and public sector groups interested biomass, which could then be processed into biofuels and
in promoting energy innovation in Canada. other marketable products.

Sustainable Development Technology Canada has been a key In 2013, the Harper government abolished its sole source of
player in the energy debate. Created in 2001, this non-profit independent, external advice on sustainable development
foundation finances and supports the development and issues (including energy), the National Roundtable on the

Chapter 4
demonstration of clean technologies. As of December 2013, Environment and the Economy. This agency had a mandate
57 of Sustainable Development Technology Canadas more to raise awareness among Canadians and their government of
mature companies had received CAN$ 2.5 billion in follow-on the challenges of sustainable development. In over 25 years, it
financing. The foundation operates three funds: had released dozens of reports on priority issues.

n the Sustainable Development Tech Fund has used

Other groups have produced numerous reports on clean
CAN$ 684 million allocated by the federal government
energy. Among these is the Council of Canadian Academies,
to support 269 projects that address climate change, air
which responds to federal requests for scientific assessments
quality, clean water and clean soil;
required for public policy input (among other clients). A 2013
n the NextGen Biofuels Fund supports the establishment of report addresses how new and existing technologies can be
first-of-a-kind large demonstration-scale facilities for the used to reduce the environmental footprint of oil (tar) sands
production of next-generation renewable fuels. development on air, water and land. In 2014, the Council of

Figure 4.7: Canadian expenditure on energy-related industrial R&D, 20092012

By area of technology, in millions of current CAN$
1 488
1 500

1 191
1 200

995
928
900

600

369
326
292
300
227

91 117 106
68 58 85 86 80
0.0
2009 2010 2011 2012
Fossil fuels All other energy-related technologies Renewable energy Energy efficiency

Source: Statistics Canada, August 2014

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UNESCO SCIENCE REPORT

Canadian Academies also published a report written by an n advances in solar heating and power were now ready for
expert panel on the state of knowledge concerning the potential wider application and that this could provide the basis for
environmental impact from the exploration, extraction and a rejuvenated Canadian manufacturing sector;
development of Canadas shale gas resources (CCA, 2014a).13
n wind power in Canada had expanded to close to 4 000 MW
but progress towards grid integration, load forecasting,
Lastly, the Canadian Academy of Engineering has produced
cost-effective electrical energy storage and the
an analytical report of note on progress regarding various
development of a Canadian design and fabrication
renewable energy options for Canada. Bowman and Albion
capability remained limited;
(2010) concluded that a Canadian network had been
established in bio-energy but could find no evidence of a plan n projects were in place to upgrade tar sands bitumen
to organize, fund and undertake demonstration projects for to higher value products but this would require major
the most promising bioenergy applications. In respect of other funding to move from the pilot stage to the field
Canadian energy opportunities, the academy noted that: demonstration stage; and that

n hydrogen was an active research area that counted several

13. In 2006, the CCA had been asked to address the challenge of safely extracting
gas from gas hydrates. Its report cited estimates suggesting that the total amount demonstration projects related to British Columbias
of natural gas bound in hydrate form may exceed all conventional gas resources Hydrogen Highway and an inter-university programme on
coal, oil and natural gas combined. It also identified challenges linked to extracting
gas from the hydrates, including the potential impact on environmental policy and
the production of hydrogen through the thermo-chemical
unknown effects on communities (CCA, 2006). splitting of water.

Box 4.2: Genomics is a growing priority for Canada

Genome Canada is Canadas principal organizations, philanthropists, Canadian renewal of the Genomics Research
player in genomics research. institutions and others, Genome Canada and Development Initiative (GRDI) and
Constituted as a non-profit and the regional Genome Centres have funding of CAN$ 100 million over five
corporation in 2000, it works as a together invested over CAN$ 2 billion in years.
co-operative and collaborative genomics research, across all provinces in
network, with six* regional genome all life science sectors. With this latest slice of funding, GRDI
centres, combining national leadership has brought in the Canadian Food
with the ability to respond to regional Genome Canada has also invested Inspection Agency as a full member
and local needs and priorities. This CAN$ 15.5 million in a new Genomics and is allocating greater resources
has allowed regional expertise to be Innovation Network. The network is to interdepartmental projects.
translated into applications for those comprised of ten nodes, each of which Discussions were initiated with
who can use them most effectively. receives core operational funding from Genome Canada in 2011 to find a
Genome Canada, with matching funds mechanism for formal collaboration.
For instance, livestock, energy and from various public and private sector
crop improvement projects are partners. The Genomics Innovation Participating departments and
located in Alberta, Saskatchewan Network allows innovation centres agencies are also finding that GRDI
and Manitoba, aquaculture and wild across Canada to collaborate and funding is attracting resources from
fisheries in the coastal regions, forestry harness their collective strength to other sources. In its annual report for
in western Canada and Quebec and advancing genomics research. Each node financial year 20122013, the initiative
human health research predominantly provides Canadian and international reported that its investment that year
in Atlantic Canada, Ontario, Quebec, researchers with access to the leading- of CAN$ 19.9 million had leveraged a
and British Columbia. With the edge technologies required to conduct further CAN$ 31.9 million for an annual
financial support of the Canadian research in genomics, metabolomics, total of CAN$ 51.8 million. The National
government for over almost 15 years proteomics and related areas. Research Council had achieved the
(totalling CAN$ 1.2 billion) and co- highest leverage, using its initial
funding from provinces, industry, Within the federal government, there is endowment of CAN$ 4.8 million to
national and international funding also a capacity for genomics research. attract an additional CAN$ 10.1million.
The ongoing value of government-
* Genome British Columbia, Genome Alberta,
Genome Prairie, Ontario Genomics Institute, performed genomics research received
Genome Quebec and Genome Atlantic an endorsement in 2014 with the Source: compiled by author

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 Canada

but clean energy remains the poor relation 0.65% in 2013. With this decline, Canadas rank among
According to Statistics Canada, energy-related R&D 41economies has dropped from fourth in 2008 and third
rose by18.4% from2011to CAN$ 2.0billion in2012, in 2006 to ninth.
mostly as a result of increases in R&D expenditure on
fossil-fuel technologies. R&D spending on the latter Meanwhile, reports from both the Council of Canadian
was concentrated in oil (tar) sands and heavy crude oil Academies and the Science, Technology and Innovation
technologies, up53.6% to CAN$ 886million, and in crude Council (STIC) have pointed to shifts in Canadas position
oil and natural gas technologies, almost unchanged at with respect to research excellence (STIC, 2012; CCA,
CAN$ 554million. 2013a). They have noted a need for improvement in two
strategic areas: the production of doctoral graduates per
By contrast, R&D spending on energy-efficient 100 000 population and higher education expenditure on
technologies fellby 5.9% to CAN$ 80million and R&D as a share of GDP (Figures 4.8 and 4.9).
spending on renewable energy technologies fellby 18.9%
to CAN$ 86million between2011and2012 (Figure 4.7). This public policy challenge stems largely from the
fact that Canada has no central authority responsible
In short, whereas green energy and clean-tech are for education, no ministry of education. Rather, the
receiving some attention from the private sector and responsibility for training and education tends to fall to
policy circles, they are no match for the scale of support provincial governments, with the exception of periodic
and advocacy behind conventional sources, including tar attempts by the central government to weigh in and
sands. Moreover, with the global decline in oil prices since provide incentives and other forms of moral suasion.
mid-2014, the overall strategy of investing capital (political

Chapter 4
and otherwise) in this one sector has now put Canadas While education remains almost exclusively a
economic health in jeopardy. provincial matter, responsibility for R&D is undefined
constitutionally. As a result, different levels of
Although energy questions currently consume much of government intervene with various policy instruments,
the policy and incentive focus for R&D support, other leading to varying outcomes.
areas have also received some attention in recent years.
Genomics, for instance, has risen to the top of the priority This makes for a complex web of actors and recipients,
list for support (Box 4.2). This is hardly surprising, since often with unco-ordinated leadership, not to mention a
Canada is particularly prolific in clinical medicine and certain confusion.
biomedical research (Figure 4.5).
To be sure, the focus on job creation has increased
somewhat, with assessments currently under way to
POLICY ISSUES IN HIGHER EDUCATION examine the countrys educational assets. For instance,
the Council of Canadian Academies has been called
The talent and skills conundrum in to assess how well-prepared Canada is to meet
A national debate is under way as to what kinds of skills, future requirements for skills in science, technology,
training and talent Canada needs for the 21st century. engineering and mathematics (STEM). The councils
This is not a new debate but it has taken on a fresh urgency assessment examined the role of STEM skills in fostering
with the accumulation of warning signs, particularly as productivity, innovation and growth in a rapidly
regards higher education. For one thing, Canada is slipping changing demographic, economic, and technological
in higher education rankings. According to the World environment, as well as the extent and nature of the
Competitiveness Report published by the World Economic global market for STEM skills. It also assessed how STEM
Forum in 2014, Canada ranks second in the world for skills were likely to evolve, which skills were likely to be
primary school enrolment, yet only 23rd for secondary most important for Canada and how well Canada was
enrolment and 45th for post-secondary enrolment. positioned to meet future needs in terms of STEM skills
through education and international migration.
A report from the governments own Science, Technology
and Innovation Council has commented on the need There are also some new incentives to encourage foreign
to address the talent base. Canadas share of human scholars to come to Canada and, reciprocally, to increase
resources in S&T in the manufacturing labour force the engagement of Canadian students internationally,
amounts to only 11.5% among the lowest in OECD but this tends to be piecemeal in approach. In addition,
countries. Canadas higher education investment in R&D some adjustments have been made to Canadas
(HERD) as a proportion of GDP has fluctuated, declining to immigration policy, in part to attract new talent and skills.

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UNESCO SCIENCE REPORT

Figure 4.8: Doctoral graduates in Canada and other OECD countries, 2012 %
20 60

52.8

49.1 50
15 45.0 45.2
44.2 44.2 43.8 43.5
42.5
40.7
39.0 39.0 39.3
38.3 40
36.7 37.2
34.9 35.3
34.0 33.9 34.4 34.9 34.8 34.7
33.7
10 32.5 32.7 32.9
32.2
30.3
29.5 29.2
30

5
19.6
18.1 20

0 10
Switzerland-1

Australia-1

Poland-3
Canada-1
Sweden
Ireland
Slovakia

Germany
Finland
France
Austria
Portugal

Norway
New Zealand
Netherlands
Israel
Belgium

Korea, Rep.
Spain
USA
Estonia
Italy

Iceland
Greece
Japan

Hungary
Turkey
Chile
Mexico
Slovenia

Denmark

Luxembourg
Czech Rep.
UK

Doctoral graduates in science per 100 000 inhabitants Doctoral graduates in engineering per 100 000 inhabitants Share awarded to women (%)

-n = data are for n years before reference year

Source: UNESCO Institute for Statistics, April 2015

Figure 4.9: Spending on R&D in higher education in Canada and other OECD countries as a share of GDP, 2013 (%)
Non-OECD countries are given for comparison

1.0 0.97
0.90
0.83
0.8
0.72 0.71
0.66 0.65
0.63 0.63
0.6 0.59
0.53
0.51 0.51
0.49
0.47 0.46
0.43 0.43
0.40 0.40 0.39
0.4 0.38
0.35 0.35

0.25

0.2
0.15
0.10

0.0
Switzerland-1

Australia-1

-2
New Zealand
Portugal
Sweden

Austria
Finland

Iceland-2
Canada

Netherlands
Israel
Norway

Germany

Belgium
Japan
France
OECD total

Turkey
USA
Korea, Rep.
Italy
Spain
Poland

China
Russia
Denmark

UK

-n = data are for n years before reference year

Source: OECD (2015) Main Science and Technology Indicators

122
 Canada

The future of education will be international n create 50 000 opportunities per year for Canadian
In 2011, the federal government commissioned an expert students to go abroad for study and cultural exchanges;
panel to examine the question of international education. The
n introduce 8 000 new scholarships for international
Advisory Panel on Canadas International Education Strategy
students, co-funded by the Canadian federal and
was led by Amit Chakma, President and Vice-Chancellor of the
provincial governments;
University of Western Ontario. The panel was asked to make
recommendations regarding how to maximize economic n improve education visa processing to provide
opportunities for Canada in the field of international education, consistent and timely processing for high-quality
including greater engagement with emerging key markets, candidates;
a focus on attracting the brightest international students,
n target promotional efforts towards priority markets,
encouraging Canadians to study abroad, expanding the
including China, India, Brazil, the Middle East and North
delivery of Canadian education services abroad and building
Africa, while maintaining traditional markets like the
bigger partnerships between Canadian and foreign institutions.
USA, France and UK, and develop Canadas education
brand, to be used by all partners in priority markets;
The report was commissioned in the context of the federal
governments Global Commerce Strategy (20072013), the n improve linkages and collaboration between Canadian
precursor to its Global Markets Action Plan. Among the expert and international educational institutions and research
panels final recommendations in August 2012 were to: institutes and;
n double the number of international students choosing n entrench a pan-Canadian approach in the international
Canada from 239 131 to 450 000 by 2022 without education sector with all key stakeholders and align

Chapter 4
displacing any domestic students; activities to advance shared objectives better.

Box 4.3: The Canadian public has a positive attitude towards science

A survey of Canadas science culture Here are the studys main findings: n More than half (51%) of those
In August 2014, the Council of who hold degrees in science,
n 93% of Canadians surveyed were
Canadian Academies released an technology, engineering or
moderately or very interested
assessment of Canadas science mathematics are immigrants.
in scientific discoveries and
culture, based on a survey of 2 004
technological developments; for this
Canadians. Testing public attitudes towards robots
measure, Canada ranks 1st out of 33
In 2014, a team of academics in
countries for which data are available.
The expert panel assessed communication, multimedia and
gender imbalances in science, n Respondents who were younger, mechatronics decided to test whether
the participation of aboriginal male, highly educated and/or had robots could trust humans. Scientists
communities and the influence of a high incomes showed a greater from the Universities of Ryerson,
bilingual culture on popular science, interest in science; this is consistent McMaster and Toronto built a friendly
among other issues. with findings from other countries. robot using artificial intelligence and
technologies for speech recognition
n About 42% of respondents exhibited
The survey revealed that Canadians and processing. They then equipped
sufficient knowledge to grasp basic
had positive attitudes towards science Hitchbot (the hitchhiking robot) with
concepts and understand general
and technology and few reservations a GPS and left it by the roadside on
media coverage of scientific issues
about science, compared to citizens a summers day, after publicizing the
but less than half had sufficient
of other countries. Canadians also experiment. Would Canadian motorists
knowledge to understand current
showed above-average levels of pick Hitchbot up and carry the robot
public debates about issues involving
support for public funding of research, towards its ultimate destination
science and technology.
compared to other countries. 6 000 km distant? The experiment
n Canada ranks first among OECD was a success, with motorists posting
The report also revealed an extensive countries for overall post-secondary photos of themselves with Hitchbot on
popular science culture in Canada, educational attainment (diplomas Facebook and other social media (see
with over 700 programmes or and degrees) but only 20% of first photo, p.106).
organizations: museums, science university degrees are in the sciences
weeks and festivals, science fairs, etc. and engineering. Source: CCA (2014b); for Hitchbot: press release

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UNESCO SCIENCE REPORT

In 2014, the government responded to several of the reports With regard to Canadian education abroad, more than 80%
recommendations through the release of its Comprehensive of universities which responded to the survey offer a degree
International Education Strategy. For instance, the government or certificate programme abroad with international partners
assigned CAN$ 5 million per year to addressing the first and 97% offer opportunities for Canadian students to do
objective of doubling the number of students; it also academic coursework abroad. However, outbound student
highlighted the need to focus resources and efforts on mobility remains low: just 3.1% of full-time undergraduates
priority markets aligned with Canadas Global Markets Action (about 25000) had an international experience in 20122013
Plan, namely Brazil, China, India, Mexico, North Africa and the and only 2.6% had chalked up a for-credit experience abroad
Middle East and Viet Nam. (up slightly from 2.2% in 2006). Cost and inflexible curricular
or credit transfer policies are perceived as being major
In June 2014, two advocacy groups, the Council of Chief barriers to greater student participation.
Executives and the Canadian International Council, argued in
their joint report that one of the reasons why Canada with Not surprisingly, China is overwhelmingly the top focus
120000 international students trailed countries such as the for almost all the efforts by Canadian universities to
UK (427000) and Australia (almost 250000) was the lack of a internationalize their institutions. China has become Canadas
unified brand to promote itself (Simon, 2014). third-biggest partner in terms of joint scientific authorship
(Figure 4.5).
Their report noted that Canada was the only developed
country without a national ministry of education. Using 2011 As for Canadian students themselves, their preferred
UNESCO rankings of international students per country, destinations for an overseas experience remain the traditional
the report underscored Canadas eighth place ranking. Its English-speaking and major Western European nations, despite
ability to attract students from China, the biggest source of their universities geographical focus on developing powers.
foreign students, was dismal, it noted, at only 3.8%. The report
proposed that Canada create a new organization to brand
international education as being central to both domestic and
foreign policy, which would be known as Education Canada. FOSTERING AN INNOVATION CULTURE
New programmes and a facelift for others
Eight out of ten universities seek high-quality partnerships
The federal budget of 2014 contains a major new funding
Universities across Canada are taking a more strategic
programme called the Canada First Research Excellence Fund
approach to internationalization. According to a recent
(CFREF). In announcing the federal strategy for STI in 2014,
survey, Canadian universities are deeply committed to
the prime minister also launched the competition for this new
internationalization. Fully 95% identify it as part of their
programme.
strategic planning and 82% view it as one of their top
five priorities; 89% of respondents say that the pace of Pegged at CAN$ 50 million for the first year (20152016),
internationalization on their campuses has accelerated CFREF is designed to drive Canadian post-secondary
(either greatly or somewhat) during the past three years institutions to excel globally in research areas that create
(AUCC, 2014). long-term economic advantages for Canada. The fund joins
programmes such as the Canada Excellence Research Chairs
The commitment of universities to internationalization and the Canada Research Chairs. Once implemented, it will
is also becoming more sophisticated. For example, the presumably contribute significantly to research across all
pursuit of high-quality partnerships is now a priority for disciplines. CFREF will be available to all post-secondary
79% of institutions. Evaluation is also growing: today, 59% institutions on a competitive, peer-reviewed basis.
of Canadian universities track the implementation of their
internationalization strategies within their quality assessment The fund will be administered by the Social Sciences and
and assurance procedures and just over three-fifths assess Humanities Research Council of Canada, in collaboration with
their success in supporting international students. the Natural Sciences and Engineering Research Council of
Canada and the Canadian Institutes of Health Research. These
The most common top priority for internationalization is three funding councils collaborate trilaterally on issues such
undergraduate student recruitment, identified by 45% as open access. Each is currently undergoing a transformation
universities as being their highest priority and by 70% as to centre it more on its core mission.
figuring among their top five priorities. The next top-rated
priorities are to pursue strategic partnerships with universities The Canadian Institutes for Health Research have undergone a
overseas and to expand international academic research retooling of their own business model. Meanwhile, the Natural
collaboration. Sciences and Engineering Research Council has launched a

124
 Canada

consultation on its strategic plan to 2020, which will lay n builds international research networks, creating innovation
greater emphasis on developing a science culture, global leaders in Canada and abroad; and
outreach and discovery (basic) research.
n provides professional and entrepreneurship skills training
for graduate students, so that they have the tools to meet
For its part, the Social Sciences and Humanities Research
emerging innovation needs.
Council is examining the vital role of social sciences
and humanities in knowledge production and their
Business-led Networks of Centres of Excellence
contribution to future social issues, including challenges
The Business-led Networks of Centres of Excellence (NCE)
such as:
programme also fosters an innovation culture. Led by a
n What new ways of learning will Canadians need to adopt non-profit consortium of industrial partners, each of these
at university, in particular, to thrive in an evolving society large-scale collaborative research networks focuses on
and labour market? specific challenges identified by a given industrial sector. The
programmes partnership model places academic and private-
n What effects will the quest for energy and natural
sector partners on an equal footing; it allows networks to fund
resources have on our society and our position on the
private sector partners directly so they can conduct research
world stage?
at their own facilities.
n How are the experiences and aspirations of Aboriginal
Peoples in Canada essential to building a successful shared The programme was created in 2007 and made permanent
future? in the 2012 federal budget, with annual funding of
CAN$ 12 million. It proposes funding on a competitive basis.
n What might the implications be for Canada of a global

Chapter 4
Matching requirements mean that at least half of each
peak population?
networks research costs are paid by the partners. In 2014, the
n How can emerging technologies be leveraged to benefit newly formed Refined Manufacturing Acceleration Process
Canadians? (ReMAP) network was awarded CAN$ 7.7 million over five
years through this programme, for instance, to develop
n What knowledge will Canada need to thrive in an
technologies of benefit to the electronics sector. The research
interconnected, evolving global landscape?
partnership involves academics, research organizations and a
wide range of companies.
Last but not least, it is worth noting that another unique
education cum training programme continues to receive
There is some debate as to whether the current mix of
federal support. The federal government announced in
NCEs should not be more closely aligned with the federal
its 2013 and 2014 budgets a combined CAN$ 21 million
governments most recent STI priorities, as outlined in its
investment in industrial research and training for postdoctoral
2014 strategy. As Table 4.5 illustrates, the match is not
fellows through a former programme of the Networks of
evenly distributed across the five redefined priority areas
Centres of Excellence14 known as Mitacs. Mitacs co-ordinates
(Watters, 2014).
collaborative industryuniversity research projects with
human capital development. Since 1999, Mitacs has been
promoting academicindustrial R&D while supporting the
Table 4.5: Networks of centres of excellence in Canada
development of future innovation leaders. In particular,
by sector, 2014
Mitacs:
Share
n helps companies identify their innovation needs and of total Total
Share of funding (CAN$
matches them with academic expertise; Number total (%) (%) millions)
n fosters cutting edge research tied to commercial ICTs 6 14 8 81.7
outcomes; Natural resources 6 14 8 83.3
Manufacturing/Engineering 2 5 9 88.9
14. Since their inception in 1989, the Networks of Centres of Excellence have Cross-sectorial 4 9 8 76.9
administered national funding programmes on behalf of the Natural Sciences
and Engineering Research Council, Canadian Institutes of Health Research and Environment 5 11 24 235.1
Social Sciences and Humanities Research Council of Canada, in partnership with
Health and life sciences 25 48 42 420.8
Industry Canada and Health Canada. These programmes support large-scale,
multidisciplinary collaboration between universities, industry, government and Total 44 100 100 986.6
non-profit organizations. The programme has expanded
over the years to comprise: 16 NCEs; 23 Centres of Excellence for Source: Watters (2014)
the Commercialization of Research and 5 Business-led Networks of
Centres of Excellence.

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UNESCO SCIENCE REPORT

CONCLUSION relevance. The Liberal Party has introduced a draft bill to

re-instate the long-form census at Statistics Canada,
Science powers commerce (but not only) eliminated by the Conservative government. However,
The Canadian research landscape continues to evolve history has shown that such endeavours turn out to be
across the country along with a somewhat muted global marginal at best, since science and technology are rarely at
reach. Research partnerships and science diplomacy are the centre of decision-making and budgetary outlays. Rather,
increasingly tied to trade and commercial opportunities. The they essentially receive CPA continuous partial attention
international development envelope is now embedded in from all governments.
one large department, since the elimination of the Canadian
International Development Agency. Canada will be celebrating its 150th birthday in 2017. If
the country is serious about reinvigorating its knowledge
The research system has become more complex, with a diversity culture and positioning itself as a world leader via STI, a more
of programmes that have often been established unilaterally concerted and co-ordinated national effort will be required
at the federal level, prompting corresponding responses at with demonstrated leadership from all stakeholders. An
provincial levels. There has been a marked increase in policy opportunity exists to seize the day but Canada must engage
guidance, with a view to setting research priorities to suit all stakeholders in an open and transparent fashion.
the political agenda of the incumbent government. Several
areas continue to attract high-level policy attention, including
northern education and research infrastructure, along with KEY TARGETS FOR CANADA
global health especially maternal and newborn child health
through a multi-million dollar Grand Challenges Canada n Double the number of international students choosing
programme that catalyses partnerships and support using an Canada to 450 000 by 2022, without displacing any
integrated approach to innovation. domestic students;

n Raise the share of electricity generated in Canada from

A key consideration has been the impact of austerity budgets non-greenhouse gas emitting sources to 90%, including
in Canada, which limit the ability of public policy to make up nuclear energy, clean coal, wind and hydroelectricity;
for shortfalls in research funding overall, in a context of rising
enrolments and diminishing success rates for research grants. n Cut CAN$ 2.6 billion from 10 federal science-based
This trend is particularly visible in basic research also known departments and agencies between 2013 and 2016.
as discovery research where the returns are often seen to
be long-term and thus stretching well beyond the term of
individual government mandates. As a result, there has been
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from all political parties in the run-up to the election. The Strengths and Innovation Weaknesses. Council of Canadian
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CCA (2006) Energy from Gas Hydrates: Assessing the Turner, C. (2013) The War on Science: Muzzled Scientist and
Opportunities and Challenges for Canada. Council of Willful Blindness in Stephen Harpers Canada. Greystone
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Chakma, Amit; Bisson, Andr; Ct, Jacynthe, Dodds, University of Ottawa (2013) Canadas Future as an Innovation
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Chapter 4
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Magnuson-Ford, K. and K. Gibbs (2014) Can Scientists Speak?

Grading Communication Policies for Federal Government
Scientists. Evidence for Democracy and Simon Fraser
University. See: https://evidencefordemocracy.ca

OHara, K. and P. Dufour (2014) How accurate is the Harper

governments misinformation? Scientific evidence and
scientists in federal policy making. In: G. Bruce Doern and
Christopher Stoney (eds) How Ottawa Spends, 20142015.
McGill-Queens University Press, 2014 , pp 178191.

PIPSC (2014) Vanishing Science: the Disappearance of Canadian

Public Interest Science. Survey of federal government
scientists by the Professional Institute for the Public
Service of Canada. See:www.pipsc.ca/portal/page/portal/
website/issues/science/vanishingscience

PIPSC (2013) The Big Chill - Silencing Public Interest Science.

Survey of federal government scientists by the
Professional Institute for the Public Service of Canada.

Simon, B. (2014) Canadas International Education Strategy: Time

for a Fresh Curriculum. Study commissioned by Council of
Chief Executives and Canadian International Council.

STIC (2012) State of the Nation 2012: Canadas S&T System:

Aspiring to Global Leadership. Science, Technology and
Innovation Council: Ottawa.

127
 The future looks brighter
for business than for basic
research.
Shannon Stewart and Stacy Springs

A nurse uses a light therapy device to

treat the side-effects of chemotherapy and
radiotherapy in a cancer patient, during a
trial at Birmingham Hospital in 2011 run
by the University of Alabama. This High
Emissivity Aluminiferous Luminescent
Substrate (HEALS) technology uses 288
powerful light-emitting diodes (LEDs) to
provide intense light. HEALS light therapy
was developed from experiments carried out
at the International Space Station.
Photo : Jim West/Science Photo Library

128
 United States of America
5 . United States of America
Shannon Stewart and Stacy Springs

INTRODUCTION Since 2010, federal investment in research and

development (R&D) has stagnated in the wake of the
A fragile recovery recession. Despite this, industry has largely maintained
The US economy has recovered from the 200820091 recession. its commitment to R&D, particularly in growing, high-
The stock market has hit new heights and GDP has been on the opportunity sectors. As a result, total R&D spending has
upswing since 2010, despite having stuttered in a few quarters. dipped only slightly and the balance of spending has
At 5.5%, the 2015 unemployment rate is well below its 2010 shifted further towards industrial sources since 2010, from
peak of 9.6%. 68.1% to 69.8% of the total. Gross domestic expenditure on
research and development (GERD) is now rising, as is the
After a sharp deterioration in 2008, the USAs public finances share performed by the business enterprise sector
are on the mend. The combined federal and state fiscal deficit (Figures 5.2 and 5.3).
should improve to 4.2% of GDP in 2015, thanks to increasingly
robust economic growth, even though it will remain one The recovery remains fragile, however. Despite the decline
of the highest among G7 countries (Figure 5.1). The federal in unemployment, there are still 8.5 million job-seekers.
budget deficit (2.7% of GDP) will make up just under two- The long-term unemployed those out of a job for
thirds of the total deficit, according to projections2 by the 27 weeks or more still number about 2.5 million. A further
Congressional Budget Office. This is a big improvement on 6.6 million are employed part-time but would prefer full-
the situation in 2009, when the federal deficit peaked at time employment and 756 000 have given up looking for
9.8% of GDP. work. Wages remain stagnant and many of those who lost
their jobs during the recession have since found positions
1. According to the US National Bureau of Economic Research, the USA was in recession in growth areas but with lower salaries. The average hourly
from December 2007 to end June 2009. wage rose by just 2.2% over the 12 months ending in
2. See: https://www.cbo.gov/publication/49973 April 2015.

Chapter 5
Figure 5.1: GDP per capita, GDP growth and public sector deficit in the USA, 20062015

GDP based on current PPP $ per capita Real GDP growth (annual percentage change)
Government fiscal balance (% of GDP)
3 60 000
3.1
2.7 2.4
2.5 2.3 2.2
1.8
1.6
-0.3
0 50 000

-2.4
-3.2
-3 40 000
-2.8 -4.2
-5.3
-5.8
-6 30 000
-7.0

-9 20 000
-8.6

-11.3 -9.9

-12 10 000

-13.5
-15 0
2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Note: Data for 2015 are estimates. General government fiscal balance is also known as net lending/borrowing. The fiscal balance covers both the federal and state governments.
Source: IMF Data Mapper online, August 2015

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UNESCO SCIENCE REPORT

Figure 5.2: GERD/GDP ratio in the USA, 20022013 (%)

Other countries are given for comparison (%)
3.5 Japan 3.47

3.12
3.0
Germany 2.85*
USA 2.73*

2.55
2.5
2.42

France 2.23*
2.17
China 2.08
2.0

1.5

1.07 * Provisional
1.0
2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: UNESCO Institute for Statistics, August 2015. USA data for 2013 from OECD Main Science and Technology Indicators, August 2015

Figure 5.3: Distribution of GERD in the USA by source of funds, 20052012

In constant 2005 billion PPP$
300
Business enterprise & Abroad Government Other (higher education & private non-profit)

250
249.6
239.8 238.3
233.2
227.5 226.8
220.3
200 207.7

150
121.9 121.3 119.1 122.2
114.7
101.0 102.4 104.8

100

50
21.4 23.0 24.1 24.1 24.7 24.9
19.4 20.1

0
2005 2006 2007 2008 2009 2010 2011 2012

Source: UNESCO Institute for Statistics, August 2015

130
 United States of America

Funding from the economic stimulus package of population; in parallel, federal investment in energy and
2009, formally known as the American Recovery and climate research has been modest.
Reinvestment Act, may have buffered immediate job
losses for those working in science and technology, since a In his 2015 State of the Union address, President Obama set
significant portion of this stimulus package went to R&D. A forth his policy priorities for the future as being the pursuit
study by Carnivale and Cheah (2015) showed that students of the fight against climate change and a new Precision
who had majored in science, technology, engineering and Medicine Initiative. The executives priorities are being
mathematics were less affected by unemployment than the taken forward largely thanks to collaboration between
average American: only 5% were unemployed in 20112012. the government, industry and non-profit sectors. Some
Those graduates having studied physical sciences were the milestones built on this collaborative model are the BRAIN
least affected of all. However, average salaries for recent Initiative, the Advanced Manufacturing Partnership and
graduates have declined across all disciplines. Moreover, the American Business Act on Climate Pledge that recently
although the Industrial Research Institute indicates that received a US$ 140 billion commitment from its partners
businesses plan to hire people with experience and new in industry. These three initiatives are discussed in the next
graduates albeit fewer than last year cutbacks looming section.
in the federal budget for R&D in 2015 and 2016 throw a pall
over the economic future of publicly funded R&D funding. On the international scene, the USA is having to contend
with the gradual, inexorable shift from a monopolar
Flat federal research budgets structure to a more pluralistic and globalized playing field for
Although the president makes an annual budget request, science. This shift is mirrored at many levels of US science,
the ultimate authority on federal funding of science in the ranging from education to patent activity. For instance, the
USA is Congress (bicameral parliament). Control of Congress Organisation for Economic Co-operation and Development
was divided between the two main political parties from (OECD) projects that China will exceed the USA in R&D
2011 onwards, with Republicans controlling the House spending by about 2019 (see also Chapter 23). Although
of Representatives and Democrats the Senate, until the the USA is the current world leader in R&D, its lead is
Republicans gained control over the latter in January 2015. narrowing and is projected to narrow further or even

Chapter 5
In spite of the efforts made by the government to increase disappear in the near future.
allocations to research, congressional priorities have
largely prevailed (Tollefson, 2012). Most federal research
budgets have remained flat or declined in inflation-adjusted
dollars over the past five years, as part of the congressional GOVERNMENT PRIORITIES
austerity drive to trim US$ 4 trillion from the federal
budget to reduce the deficit. Since 2013, Congress has Climate change: the science policy priority
withheld approval of the federal budget presented by the Climate change has been the Obama administrations top
government several times. This bargaining chip has been priority for science policy. One key strategy has been to invest
possible since 2011, when Congress passed a law stipulating in alternative energy technologies as a way of reducing the
that about US$1 trillion in automatic budget cuts across carbon emissions that lead to climate change. This includes
the board would start to take effect in 2013 if Congress increasing the availability of funding for basic research in the
and the White House could not agree on a plan to reduce field of energy at universities, loans for businesses and other
the deficit. The deadlock over the budget in 2013 led to incentives for R&D. In the aftermath of the financial crisis, the
an administrative shutdown for several weeks, effectively White House effectively leveraged the ensuing economic
putting federal employees on leave without pay. The crisis as an opportunity to invest in science, research and
effects of budgetary austerity and sequestration linger in development. Since then, however, political difficulties have
federal investment, making it difficult for young scientists to forced the president to scale down his ambitions.
establish a career, as we shall see later.
In the face of Congressional opposition, the president
This austerity drive may be explained, at least in part, by has taken steps to address climate change to the extent
the perception of there being a lesser need for R&D than that his executive powers allow. For instance, he vetoed a
before. With two lengthy interventions in Afghanistan and congressional bill in March 2015 that would have authorized
Iraq winding down, the focus of research has shifted away construction of the Keystone XL pipeline to carry oil from tar
from military technologies, causing defence-related R&D sands in Canada across the USA to the Gulf of Mexico. He has
to decline accordingly. On the other hand, federal research also overseen the creation of ambitious new fuel standards
investment in the life sciences has failed to keep pace for cars and trucks, for instance. In 2014, his top scientist, John
with inflation, in spite of the emerging needs of an ageing Holdren, Director of the Office of Science and Technology

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Policy and Co-Chair of the Presidents Council of Advisors Better health care: the Patients Bill of Rights
on Science and Technology,3 organized and issued the Better health care has been a priority of the Obama
National Climate Assessment, a thorough, peer-reviewed administration. The Patient Protection and Affordable Care
examination of the effects of climate change on the USA. Act was signed into law by the president in March 2010 and
On the grounds that the USA needs to maintain its energy upheld by the Supreme Court in a decision rendered in June
independence, the president has nevertheless authorized 2012. Touted as the Patients Bill of Rights, it sets out to give a
fracking and, in 2015, approved oil drilling in the Arctic maximum of citizens health care coverage.
Ocean.
The Biologics Price Competition and Innovation Act is part
The government has elected to use the power of the of this law. It creates a pathway for abbreviated licensure for
Environmental Protection Agency to regulate greenhouse biological products that are shown to be biosimilar to, or
gas emissions. The Environmental Protection Agency wishes interchangeable with, an approved biological product. The
to reduce power plants carbon emissions by 30% across act was inspired by the Drug Price Competition and Patent
the USA. Some states are also supporting this policy, since Restoration Act (1984), more commonly known as the Hatch-
each state is free to fix its own emission targets. California Waxman Act, which encouraged development of generic
is one of the most rigorous, in this regard. In April 2015, drug competition as a cost containment measure for high-
the state governor imposed a 40% carbon emissions priced pharmaceuticals. Another inspiration for the act was
reduction target by 2030 over 1990 levels. California the fact that the patents for many biologic drugs will expire in
has been experiencing severe drought for several the next decade.
years.
Although the Biologics Price Competition and Innovation Act
The USA will only be able to reach its emissions reduction was passed in 2010, the first biosimilar was only approved in
targets with the involvement of industrial stakeholders. On the USA by the Food and Drug Administration (FDA) in 2015:
27 July 2015, 13 large US companies committed to investing Zarxio, made by Sandoz. Zarxio is a biosimilar of the cancer
US$140 billion in low carbon emission projects, as part of the drug Neupogen, which boosts the patients white blood cells to
American Business Act on Climate Pledge announced by the ward off infection. In September 2015, a US court ruled that the
White House. Six of the signatories have made the following Neupogen brand manufacturer Amgen could not block Zarxio
pledges: from being sold in the USA. Neupogen costs about US$ 3000 per
chemotherapy cycle; Zarxio hit the US market on 3 September at
n Bank of America undertakes to increase its investment in a 15% discount. In Europe, the same drug had been approved as
favouring the environment from US$50 billion at present early as 2008 and has been safely marketed there ever since. The
to US$ 125 billion by 2025; lag in development of an approval pathway in the USA has been
criticized for impeding access to biological therapies.
n Coca-cola undertakes to reduce its carbon footprint by
one-quarter by 2020;
The true cost savings from the use of biosimilars is difficult to
n Google, the world leader for the purchase of renewable assess. A 2014 study by the Rand Institute estimates a range of
energy to run its data centres, pledges to triple its US$1366 billion in savings over 20142024, depending upon
purchases over the next decade; the level of competition and FDA regulatory approval patterns.
Unlike generics, biosimilars cannot be approved on the basis
n Walmart, the world leader in distribution (supermarket
of minimal and inexpensive tests to prove bioequivalence.
chains) pledges to increase its production of renewable
Since biological drugs are complex, heterogeneous products
energy by 600% and double the number of its
derived from living cells, they can only be shown to be highly
supermarkets running on renewable energy by 2020;
similar to the appropriate reference product and therefore
n Berkshire Hathaway Energy (Warren Buffett group) will require demonstration that there are no clinically meaningful
double its investment in renewable energy, currently differences in safety and efficacy. The extent to which
US$ 15 billion; and clinical trials are required will largely determine the cost of
development.
n Alcoa, the aluminium manufacturer, undertakes to halve its
carbon emissions by 2025.
The Affordable Care Act included financial incentives for
health care providers to adopt electronic health records: up to
3. This group of distinguished scientists advises the president through written US$63750 for a physician whose practice includes a minimum
reports. Recent topics include individual privacy in big data contexts, education of 30% of patients covered by Medicaid, a federally funded,
and work training and health care delivery issues. The councils reports tend to
focus more closely on the presidents policy agenda than those of the national
state-run programme for those with limited income. According
academies of science. to an annual report submitted to Congress in October 2014,

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 United States of America

more than six of ten hospitals electronically exchanged patient goal of this project is to leverage genetic, optical and imaging
health information with providers outside their organization technologies to map individual neurons and complex
and seven out of ten health-care providers electronically circuits in the brain, eventually leading to a more complete
prescribed new prescriptions. One of the benefits of electronic understanding of this organs structure and function.
health records is that this system makes it easier to analyse
swaths of patient health data to individualize and personalize So far, the BRAIN Initiative has obtained commitments of over
care. It was President George W. Bush who, in 2004, initiated a US$ 300 million in resources from federal agencies (NIH, FDA,
plan for Americans to have electronic health records by 2014, National Science Foundation, etc.), industry (National Photonics
in order to reduce medical errors, optimize treatment and Initiative, General Electric, Google, GlaxoSmithKline, etc.) and
consolidate medical records for better, more cost-efficient care. philanthropy (foundations and universities).

Cures for the 21st century The first phase is focusing on the development of tools. The
The goal of the 21st Century Cures bill is to streamline drug NIH has created 58 awards totalling US$46 million, guided by
discovery, development and approval by relaxing barriers to the scientific vision of the chairs Drs Cori Bargmann and William
information-sharing, increasing regulatory transparency and Newsome. For its part, the Defense Advanced Research Projects
modernizing standards for clinical trials. The bill includes an Agency has focused on tools to create electrical interfaces with
innovation fund of US$1.75 billion per year for five years for the nervous system to treat motor damage. Industrial partners
one of the USAs main science agencies, the National Institutes are developing improved solutions that the project will require
of Health (NIH), and US$110 million per year for five years for in terms of imaging, storage and analysis. Universities across the
the FDA. Endorsed by a number of industry groups, it enjoys country have committed to aligning their neuroscience centres
strong support. In a rare moment of bipartisanship, the bill and core equipment with the objectives of the BRAIN Initiative.
passed the House on 10 July 2015. At the time of writing in
August 2015, the bill has not yet been taken up by the Senate. A Precision Medicine Initiative
Defined as delivering the right treatment to the right patient at
Were the bill to pass into law, it would alter the way in which the right time, precision medicine tailors treatments to patients
clinical trials are conducted by allowing new and adaptive based on their unique physiology, biochemistry and genetics.

Chapter 5
trial designs that factor in personalized parameters, such In his 2016 budget request, the president asked for US$215
as biomarkers and genetics. This provision has proven million to be shared by the NIH, National Cancer Institute
controversial, with doctors cautioning that overreliance on and FDA to fund a Precision Medicine Initiative. As of August
biomarkers as a measure of efficacy can be misleading, as they 2015, the budget had not yet been voted upon. Between
may not always reflect improved patient outcomes. The bill also 2005 and 2010, pharmaceutical and biopharmaceutical
includes specific provisions to incentivize the development, companies increased their investment in precision medicine
and facilitate the approval, of drugs for rare diseases and new by roughly 75% and a further increase of 53% is projected by
antibiotics, including the prospect of limited release to special 2015. Between 12% and 50% of the products in their drug
populations the first time that an identified subpopulation for development pipelines are related to personalized medicine
a particular disease will be treated differently from a regulatory (See Box 5.2).
perspective. (For another approach to speeding up the process
of drug approval through pre-competitive collaboration, see A focus on advanced manufacturing
the Accelerating Medicines Partnership, Box 5.1.) One of the federal governments major priorities has been
to steer advanced manufacturing towards enhancing US
The BRAIN Initiative: a grand challenge competitiveness and job creation. In 2013, the president
In 2009, the Obama administration published its Strategy for launched the Advanced Manufacturing Partnership Steering
American Innovation, which was updated two years later. This Committee 2.0 (AMP 2.0). Based on recommendations of the
strategy emphasizes innovation-based economic growth as a co-chairs representing the industrial, labour and academic
way of raising income levels, creating better-quality jobs and sectors, he also called for the creation of a National Network
improving quality of life. One element of this strategy are the for Manufacturing Innovation, a series of connected
grand challenges introduced by the president in April 2013, institutes for manufacturing innovation to scale up advanced
three months into his second term of office, to help catalyse manufacturing technologies and processes. Congress
breakthroughs in priority areas, by combining the efforts of approved this request, enabling the president to sign the
public, private and philanthropic partners. Revitalize American Manufacturing Act into law in September
2014 for an investment of US$ 2.9 billion. These funds, which
The Brain Research through Advancing Innovative are to be matched by private and non-federal partners, will be
Neurotechnologies (BRAIN) Initiative is one of the grand used to create an initial network of up to 15 institutes, nine of
challenges announced by the president in April 2013. The which have already been determined or established.

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Box 5.1: The Accelerating Medicines Partnership

The Accelerating Medicines Partnership Currently, we are investing too much molecular indicators of disease,
was launched by the National Institutes money and time in avenues that dont called biomarkers, and distinguishing
of Health (NIH) in Washington DC on pan out, while patients and their families those biological targets most likely
4 February 2014. This publicprivate wait, said NIH director Francis S. Collins, at to respond to new therapies (known
partnership involves the NIH and the launch. All sectors of the biomedical as targeted therapies). They will thus
the Food and Drug Administration enterprise agree that this challenge is be able to focus on a small number
on the government side, 10 major beyond the scope of any one sector and of molecules. Laboratories will share
biopharmaceutical companies and that it is time to work together in new ways samples, such as blood or brain tissue
several non-profit organizations. to increase our collective odds of success. from deceased patients, to identify
Government bodies and industry are biomarkers. They will also participate in
sharing the US$ 230 million budget Developing a new drug takes well over NIH clinical trials.
(see Table 5.1). a decade and has a failure rate of more
than 95%. As a consequence, each success The partnership will be managed
Over the next five years, the partnership costs more than US$1 billion. The most through the Foundation for the NIH.
will develop up to five pilot projects expensive failures happen in late phase One critical component is that industry
for three common but difficult-to- clinical trials. It is thus vital to pinpoint the partners have agreed to make the
treat diseases: Alzheimers disease, right biological targets (genes, proteins data and analyses arising from the
type 2 (adult onset) diabetes and the and other molecules) early in the process, partnership accessible to the broad
autoimmune disorders, rheumatoid so as to design more rational drugs and biomedical community. They will not
arthritis and lupus. The ultimate goal better tailored therapies. use any discoveries to develop their
is to increase the number of new own drug until these findings have
diagnostics and therapies for patients For each pilot project, scientists from NIH been made public.
and reduce the time and cost of and industry have developed research
developing them. plans aimed at characterizing effective Source: www.nih.gov/science/amp/index.htm

Table 5.1: Parameters of the Accelerating Medicines Partnership, 2014

Government partners Industrial partners Partners among non-profit organizations

Food and Drug Administration AbbVie (USA) Alzheimers Association

National Institutes of Health Biogen (USA) American Diabetes Association

Bristol-Myers Squibb (USA) Lupus Foundation of America

GlaxoSmithKline (UK) Foundation for the NIH

Johnson & Johnson (USA) Geoffrey Beene Foundation

Lilly (USA) PhRMA

Merck (USA) Rheumatology Research Foundation

Pfizer (USA) USAgainstAlzheimers

Sanofi (France)

Takeda (Japan)

Research focus Total project (US$ millions) Total NIH (US$ millions) Total industry (US$ millions)

Alzheimers Disease 129.5 67.6 61.9

Type 2 Diabetes 58.4 30.4 28.0

Rheumatoid Arthritis and Lupus 41.6 20.9 20.7

Total 229.5 118.9 110.6

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 United States of America

These include institutes focusing on additive manufacturing Greater congressional control over grant funding
like three-dimensional (3D) printing, digital manufacturing and The America Creating Opportunities to Meaningfully Promote
design, lightweight manufacturing, wide band semiconductors, Excellence in Technology, Education, and Science Act
flexible hybrid electronics, integrated photonics, clean energy (America COMPETES Act) was first passed in 2007 before being
and revolutionary fibres and textiles. The goal for these reauthorized and fully funded in 2010; it will be taken up again
innovation hubs will be to ensure sustainable collaborative before the end of the current legislature in January 2017.
innovation among industry, academia and government The aim of this act is to bolster US research and innovation
stakeholders in order to develop and demonstrate advanced through investment in education, teacher training, loan
manufacturing technologies that increase commercial guarantees for innovative manufacturing technologies and
productivity, bring together the best talent from all sectors scientific infrastructure. It also requires periodic assessment of
to demonstrate cutting-edge technology and create a talent progress in these areas and the general competitiveness of US
pipeline for advanced manufacturing. science and technology. Its primary focus is education and its
effects on this sector are discussed in detail in the section on
A shift away from human spaceflight Trends in Education (see p. 148).
In recent years, the focus of the National Aeronautics and
Space Administration (NASA) has shifted away from human At the time of writing in August 2015, the America COMPETES
spaceflight, as part of a cost-cutting drive. In a reflection of Reauthorization Act of 2015 has been passed by the House
this trend, the showpiece space shuttle programme was but not by the Senate. If passed, the new act will create a
retired in 2011 and its successor cancelled. US astronauts level of congressional control over the grant schemes funded
now rely on Russian-operated Soyouz rockets to transport by the National Science Foundation. The law would require
them to and from the International Space Station. In parallel, every grant funded by NSF to be in the national interest and
a partnership between NASA and the privately owned US each grant announcement to be accompanied by a written
company SpaceX is gaining traction but SpaceX does not justification from the agency indicating how the grant meets
yet have human flight capabilities. In 2012, SpaceXs Dragon any of the seven subsets of national interest outlined by the
became the first commercial spacecraft to fly cargo to and bill. These seven subsets are defined as having the potential to:
from the International Space Station.

Chapter 5
n increase economic competitiveness in the USA;
In 2015, the US spacecraft New Horizons achieved a flyby of
n advance the health and welfare of the American public;
the dwarf planet Pluto in the Kuiper belt, 4.8 billion km from
Earth, which astrophysicist Neil deGrasse Tyson likened to n develop an American labour force trained in science,
a hole-in-one on a two-mile golf shot. John Holdren, the technology, engineering and mathematics that is globally
presidents top scientist, noted that the USA had become the competitive;
first nation to explore our entire Solar System.
n increase public scientific literacy and public engagement
with science and technology in the USA;

CONGRESSIONAL PRIORITIES n increase partnerships between academia and industry in

the USA;
A drive to cut research funding
n support the national defence of the USA; or
The Republican leadership of the House Committee on Science,
Space and Technology has been vocally sceptical of the Obama n promote the progress of science in the USA.
administrations climate change agenda. It has also striven to
reduce funding for geosciences and alternative energy research, Sequestration has squeezed research budgets
while intensifying political oversight. Individual members of As we saw in the introduction, sequestration is a set of
Congress have criticized specific grants for being wasteful and automatic budget reductions aimed at reducing the federal
unscientific, a strategy that resonates with the public. deficit. Since 2013, the agencies that fund R&D have received
blanket cuts ranging from 5.1% to 7.3% and can expect
Congress is able to set science-related policy directly through their budgets to remain flat through 2021. Made outside the
the passage of legislation that affects both matters of funding normal budget appropriations schedule, these cuts caught
and law. The topics can vary widely: Congress takes up bills many institutions by surprise, particularly the universities and
ranging from flood preparedness to nanotechnology, from government laboratories that depend on federal funding.
offshore drilling to treatments for addiction. Below are three
examples of enacted legislation that is having a large impact Since most research universities depend heavily on federal
on US science policy: the America COMPETES Act, budgetary grants to fund their activities, sequestration forced an
sequestration and the Food Safety Modernization Act. immediate and significant across-the-board cut to their

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UNESCO SCIENCE REPORT

Box 5.2: Industrial trends in the USA in life sciences

Industrial investment on the rise high cholesterol, pain, high blood pressure further development and emergence
The USA carries out 46% of global R&D in and heart disease, asthma, depression and of wearable health monitoring devices,
life sciences, making it the world leader. so on. telediagnosis and telemonitoring,
In 2013, US pharmaceutical companies robotics, biosensors, 3-D printing, new
spent US$40 billion on R&D inside the From January 2008 to December 2014, the in vitro diagnostic tests and mobile apps
USA and nearly another US$ 11 billion on price of commonly prescribed generic drugs that enable users to monitor their health
R&D abroad. Some 7% of the companies decreased by almost 63% and the price of and related behaviour better.
on Thomson Reuters Top 100 Global commonly used branded drugs increased
Innovators list for 2014 are active in life by a little more than 127%. However, a new Biotechnology clusters
science industries, equal to the number trend in the USA, where drug consumer Biotechnology clusters are characterized
of businesses in consumer products and prices are largely unregulated, has been by talent from top-notch universities
telecommunications. the acquisition of pharmaceuticals through and university research centres; first-
licensing, purchase, a merger or acquisition, rate hospitals, teaching and medical
Pharmaceutical companies pursued thus raising consumer prices astronomically. research centres; (bio)pharmaceutical
mergers and acquisitions actively in The Wall Street Journal has reported increases companies ranging from start-ups to
2014 and 2015. In the first half of 2014, of as much as 600% for some branded large companies; patent activity; NIH
the value of this type of activity totalled drugs. research grant funding and state-level
US$317.4 billion and, in the first quarter policies and initiatives. The latter focus
of 2015, the drug industry accounted for Costly orphan drugs on economic development but also on
a little more than 45% of all US mergers Orphan diseases affect fewer than 200000 creating jobs within states, support for
and acquisitions. patients per year. Since 1983, over 400 drugs advanced manufacturing and public
and biologic products for rare diseases have private partnerships to meet demand
In 2014, venture capital investment been designated by the FDA (2015), 260 for talent (education and training). State-
in the life sciences was at its highest alone in 2013. In 2014, sales of the top 10 level policies also invest public monies
level since 2008: in biotechnology, orphan drugs in the USA amounted to in R&D and the commercialization of the
US $6.0 billion was invested in 470 deals US$ 18.32 billion; by 2020, orphan drugs sales resulting product or process, in addition
and, in life sciences overall, US$8.6 worldwide are projected to account for 19% to boosting state-led exports.
billion in 789 deals. Two-thirds (68%) of (US$28.16 billion) of the total US$176 billion
the investment in biotechnology went in prescription drug spending. One overview classifies the USAs
to first-time/early-stage development biotechnology clusters by region: San
deals and the remainder to the However, orphan drugs cost about 19.1 times Francisco Bay Area; Southern California;
expansion stage of development (14%), more than non-orphan drugs (on an annual the mid-Atlantic region (Delaware,
seed-stage companies (11%) and late- basis) in 2014, at an average annual cost per Maryland and Virginia and the capital,
stage companies (7%). patient of US$137782. Some are concerned Washington, DC); the mid-West (Illinois,
that the incentives given to pharmaceutical Iowa, Kansas, Michigan, Minnesota,
Astronomic rise in prescription drug prices companies to develop orphan drugs by the Missouri, Ohio, Nebraska and Wisconsin);
In 2014, spending on prescription drugs FDAs orphan drug products programme is Research Triangle Park and the State of
hit US $374 billion. Surprisingly, this hike taking the companies attention away from North Carolina; Idaho; Montana; Oregon
in spending was fuelled by the costly developing drugs that will benefit more of and Washington State; Massachusetts;
new drugs on the market for treating the population. Connecticut, New York, New Jersey,
hepatitis C (US$11 billion) rather than by Pennsylvania and Rhode Island; and Texas.
the millions of newly insured Americans Medical devices: dominated by SMEs
under the Patient Protection and According to the US Department of Another overview ranks clusters by city
Affordable Care Act of 2010 Commerce, the market size of the medical or metropolitan area: San Francisco Bay
(US$ 1 billion). About 31% of this device industry in the USA is expected to area, Boston/Cambridge, Massachusetts,
spending went on specialty drug reach US$133 billion by 2016. There are San Diego, Maryland/suburban
therapies to treat inflammatory more than 6500 medical device companies Washington, DC, New York, Seattle,
conditions, multiple sclerosis, oncology, in the USA, more than 80% of which have Philadelphia, Los Angeles and Chicago.
hepatitis C and HIV, etc., and 6.4% on fewer than 50 employees. Observers
traditional therapies to treat diabetes, of the medical device field foresee the Source: compiled by authors

136
 United States of America

research budgets. As a result, universities scrambled to reduce which had contracted by 1.4% during 2008-2010, has since
the budgets of projects already under way by reducing staff rebounded by 6% (between 2010 and 2012). In global terms,
and student positions, delaying equipment purchases and R&D funded by government has remained fairly stagnant since
cancelling fieldwork. Federal grants that were already funded 2008, despite the Recovery Act funding of 2009 and some
as well as those being solicited all suffered from cuts to their political talk on fostering innovation-led recovery (Figure 5.4).
budgets. In general, the crisis has reduced morale among young However, the global picture masks the sharp drop in defence
and even established scientists and encouraged many to switch R&D; that carried out by the Department of Defense contracted
career paths. Some are even moving overseas to places where by 27% in real terms between 2010 and 2015 (budget request).
there appears to be more research money available.
A steep decline in defence spending
A major law to limit food contaminants Among the 11 agencies that conduct the majority of federally
Since the UNESCO Science Report 2010, the largest single piece funded R&D, most have seen flat R&D budgets over the past
of legislation covering scientific issues to pass into law has been five years, the Department of Defense even experiencing a
the Food Safety Modernization Act (2011). This law introduced steep decline. At its peak in 2010, the Department of Defense
a major overhaul of the food safety system and includes a new spent US$88.6 billion on R&D; in 2015, it is expected to spend
focus on imported foods, in particular. The overriding goal is to only US $64.6 billion. This reflects the winding down of the
move from coping with contamination to preventing it. interventions in Afghanistan and Iraq and the reduced need
for military technologies.
The passage of the Food Safety Modernization Act coincided
with growing consumer awareness of food safety and purity. According to testimony given in February 2015 by Andrew
Regulation and consumer demand are leading to some Hunter (2015) of the Center for Strategic and International
reforms within the food industry to limit the use of antibiotics, Studies before the US House of Representatives Committee
hormones and some pesticides. on Small Business, the Department of Defense contracted
US$36 billion in R&D through industry in 2012 but only
US$28 billion in 2013. Hunter noted that 2014 defence
TRENDS IN R&D INVESTMENT contract obligations appeared to show a 9% decrease over

Chapter 5
the previous year, consistent with the US armys gradual
R&D intensity has been sustained withdrawal of troops from Afghanistan by 2016.
Generally speaking, US investment in R&D rose with the
economy in the first years of the century before receding Non-defence federal R&D contracts were slightly above
slightly during the economic recession then rising again as US$10 billion in 2014, a drop of 6% over the previous year.
growth resumed. GERD amounted to US$ 406 billion (2.82% of Hunter suggested that this trend was due to a combination
GDP) in 2009. After dipping briefly, R&D intensity recovered to of decreasing federal budgets for specific research and the
2009 levels in 2012, when GERD reached 2.81% of GDP, before budget sequester instigated by Congress in 2013, which has
dropping again in 2013 (Figure 5.2). enacted US $1 trillion in automatic cuts to the federal budget
to reduce the budget deficit.
The federal government is the primary funder of basic research,
at 52.6% in 2012; state governments, universities and other Alternative energy a priority
non-profits funded 26%. Technological development, on the The main areas of non-defence R&D are public health and safety,
other hand, is primarily funded by industry: 76.4% to the federal energy, basic science and the environment. The Department of
governments 22.1% in 2012. Health and Human Services saw a major increase in its budget
as a result of a doubling of the NIH budget between 1998 and
Comparing them directly, the development phase is 2003. Since then, the departments budget has failed to keep
significantly more costly; therefore, private industry provides the pace with inflation, resulting in a gradual squeeze on the newly
largest input in absolute terms. Business enterprises contributed expanded pipeline of researchers and trainees.
59.1 % of US GERD in 2012, down from 69.0 % in 2000. Private
non-profits and foreign entities each contribute a small fraction Consistent with its focus on climate change, the government
of total R&D, 3.3% and 3.8%, respectively. GERD figures are has energetically funded alternative energy initiatives. The
derived from the UNESCO Institute of Statistics R&D data, which new Advanced Research Projects Agency Energy (ARPA-E) is
were, themselves, derived from OECD statistics. modelled on the highly successful Defense Advanced Research
Projects Agency programme. The latter was established in
Figure 5.3 shows trends in GERD by funding source from 2005 2009 with US $400 million in funding from a federal stimulus
to 2012 in current billions of dollars and constant 2005 dollars. package; its budget appropriations depend on the needs of
Business sector funding of R&D (including R&D from abroad), the projects selected, ranging from US$180 million in 2011

137
UNESCO SCIENCE REPORT

Figure 5.4: R&D budget by US agency, 19942014

In billions of constant 2012 US$*
100
Dept of Defense
National Aeronautics and Space Administration
Dept of Energy
Dept of Health and Human Services
National Science Foundation
80 Department of Agriculture
Dept of the Interior
Dept of Transportation
Environmental Protection Agency
66.1
Dept of Commerce
Dept of Homeland Security
60 Dept of Veteran Affairs
Other
52.1

40

30.8

20 16.6

13.8 11.5

11.4
9.9

0
1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014**
6
5.6

3.3

2.4
2.2

2
1.6
1.6 1.6

1.5 1.2
1.0
1 1.0
0.9
0.9
0.9 0.8

0.5
0.4
0.3
0
* excluding Recovery Act funding (20.5 billion US$ in 2009) ** 2014 data are provisional
Source: American Association for the Advancement of Science

138
 United States of America

to US$280 million in 2015. Projects are organized around A 2015 paper published in Science Translational Medicine
seven themes, including efficiency, grid modernization and by deans of US medical schools noted that support for the
renewable energy. research ecosystem must be predictable and sustainable both
for institutions and individual investigators (Levine, et al., 2015).
The Department of Energys budget has remained relatively They pointed out that, without greater spending, biomedical
stable over the past seven years. It rose fairly steeply between research would contract, the ability to address patient health
2008 and 2010 from US$ 10.7 billion to US$ 11.6 billion but had would recede and the biomedical field would make a smaller
fallen back to US$ 10.9 billion by 2013 (Figure 5.4). contribution to the national economy.

Wrangling ahead over the 2016 research budget An uncertain future for the NIH budget
The presidents planned 2016 budget for science and The NIH is the governments flagship biomedical research
technology comprises small cuts to defence but an increase for funding organization. Since 2004, NIH funding has
all other R&D under the Department of Defense. It also proposes remained flat and is even decreasing when inflation is
a small increase for the NIH, cuts in defence-related nuclear taken into consideration. The only brief respite came from
energy R&D, a 37.1% cut in Homeland Security R&D, a 16.2% the governments stimulus package in 2009 to reboot the
cut in R&D in the field of education and a few other small cuts. economy after the subprime crisis, the American Recovery and
The National Science Foundation would receive a 5.2% increase. Reinvestment Act. The NIH budget today is lower than in 2003
The Department of Energys Office of Science would receive 2005, when it peaked at circa $35 billion per year. Since 2006,
US$4.9 billion, an increase over the past two years, within the the success rate for grant proposals has hovered around 20%.
departments wider budget of US$12.5 billion. Overall, this
budget would result in a 6.5% increase in total R&D: 8.1% for Furthermore, the average age of a researcher obtaining an
defence and 4.7% for non-defence (Sargent, 2015). NIH grant4 for the first time is now 42 years. This raises the
question of whether institutions are in a position to promote
Congress has agreed to small increases for the National Science young faculty or give them tenure, as obtaining grants tends
Foundation, National Institute of Standards and Technology to be a pre-requisite for obtaining tenure. After reviewing the
and some Department of Energy programmes for 2016 but problems facing both the NIH and biomedical researchers, four

Chapter 5
insists on flat funding in 2017 that would actually translate top US scientists and administrators declared that the country
into a decrease when adjusted for inflation. Although this was under the misconception that the research enterprise
would only mean a slight decrease in funding for the National would expand forever (Alberts et al., 2014). They noted that,
Science Foundation under the Congressional budget, Congress after 2003, the demands for research dollars grew much faster
also plans to cut funding to the foundations Social Science than the supply with the notable exception of the boost from
Directorate by 44.9%. the American Recovery and Reinvestment Act. The problem of
dwindling funds has been exacerbated by the 2008 recession
Congress also intends to cut funding for environmental and and the 2013 sequester of government funds. In 2014, NIH
geoscience research, to curb the study of climate change. financial resources were at least 25% less in constant dollars
Congress plans to decrease R&D funds for renewable energy than they were in 2003 (Alberts et al., 2014).
and advanced energy projects under the Department of Energy,
while raising funds for fossil fuel energy research. Moreover, It is estimated that the NIHs 2016 budget will increase by
future R&D budgets will only be allowed to grow in concert with 3.3% to US$31.3 billion, $1 billion more than in the FY2015
GDP. Political wrangling will determine the actual budget but, at budget. Although this sounds promising, inflation of 1.6%
this point, the chances of seeing significant increases in federal and an increase in the Biomedical Research and Development
R&D budgets look slim, even if there is some agitation on the Price Index5 of 2.4% will eat into the budget increase. It will be
part of Republicans to increase NIHs budget. Figure 5.5 shows a worth watching to see whether there are moves in Congress to
breakdown of funding allocations by discipline. increase the NIHs budget. For now, the American Association
for the Advancement of Science estimates that the FY2016 rate
Federal funding: a roller coaster ride of grant funding will average 19.3%, a huge drop from the rate
Research funding has grown at an unpredictable rate for many of 33.3% over the past decade but better than the FY2015 rate
scientific disciplines, a trend which is ultimately disruptive to of 17.2%.
training and research. In boom times, the pipeline of trainees
swells but, often, by the time they complete their training, they
are facing a period of austerity and unprecedented competition 4. The majority of these grants correspond to what is known as the R01
mechanism, which limits the grant to US$250 million per year in direct costs for a
for grants. Declining federal support for R&D has the greatest circumscribed study of 15 years.
impact on public good science, where there is little incentive for 5. This index offers an estimate of inflation for goods and services purchased on the
industry to step in. NIHs budget.

139
UNESCO SCIENCE REPORT

Figure 5.5: Proportional allocation of federal R&D spending in the USA by discipline, 19942011 (%)

NIH Life science Other life sciences Psychology Physical sciences Environmental science Maths / Computer science
Engineering Social sciences Other

100

90

80

70

60

50

40

30

20

10
1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

2011
Source: American Association for the Advancement of Science

NSF budget likely to remain flat Targeted cuts in 2016 to the Geosciences Directorate of 16.2%
The National Science Foundation (NSF) is the USAs largest may have unintended consequences: in addition to climate
source of research grants for non-medical sciences. It funds most change, the Geosciences Directorate also funds public interest
non-medical biological research and research in mathematics. research that is critical to tornado, earthquake and tsunami
At the time of writing in August 2015, the 2016 and 2017 NSF prediction and preparedness.
budgets have not yet been approved by Congress. Current
estimates are that they will be flat for both years. The NSF With the notable exception of the Departments of Defense
has requested US$7.723 billion for 2015 in its submission to and Energy, most government departments have much
Congress, a 5% increase over the estimated budget. However, smaller research budgets than either the NIH or NSF (Figures
in the latest version of the America COMPETES Reauthorization 5.4 and 5.5). The Department of Agriculture requested a US
Act of 2015, the House Committee on Science, Space and $4 billion budget increase for 2016 but only a small portion
Technology has recommended an annual appropriation of of this departments US$25 billion in discretionary funds
US$7.597 billion for the 2016 and 2017 financial years, a mere goes to research. Moreover, most of the research conducted
3.6% increase (US$263 million) over the current budget. by the Forest Service research is likely to be cut. As for the
Environmental Protection Agency, it faces strong opposition
Although the NSF indicates an overall 23% success rate among from many Congressional Republicans who consider
grant applicants, some directorates have higher success rates environmental regulations to be anti-business.
than others. The average NSF grant runs to about US$172200
per year for three years on average, which includes institutional Six million work in science and engineering
overheads. A 23% success rate is considered fairly low, although The occupation of nearly six million US workers involved science
success rates for some NSF programmes have been as low as or engineering in 2012. Over the period of 20052012, the USA
45% in some years. had, on average, 3979 full-time equivalent R&D researchers

140
 United States of America

per million inhabitants. This is lower than some countries of the GERD in the USA has increased by 31.2%, enabling it to maintain
European Union (EU), Australia, Canada, Iceland, Israel, Japan, its share of GERD among the G7 nations at 54.0% (54.2% in
Singapore or the Republic of Korea but the USA also has a much 2000).
larger population than any of these countries.
As the home country of many of the worlds leading high-
In 2011, GERD per researcher amounted to US$342500 (in tech multinationals, the US remains in the league of large
current dollars). In 2010, research and/or development was the economies with a relatively high GERD/GDP ratio. That ratio
primary or secondary activity of: 75.2 % of biological, agricultural rose moderately since 2010 (which marked a moderate rebound
and environmental life scientists; 70.3% of physical scientists, from the 2008-9 contraction), albeit with a GDP growing slower
66.5% of engineers, 49.4% of social scientists and 45.5% of than the average of last several decades.
computer and mathematical scientists.
China has overtaken the USA as the worlds largest economy,
The Bureau of Labor Statistics maps the distribution of jobs or is about to do so, depending on the indicator.6 China is also
related to science and engineering across all 50 US states (Figure rapidly approaching the USA in terms of R&D intensity (Figure
5.6). Geographically speaking, there is a broad correlation 5.5). In 2013, Chinas GERD/GDP ratio amounted to 2.08%,
between the proportion of inhabitants employed in these fields surpassing the EU average of 1.93%. Although it still trails the
and the states share of national GERD, although there are some USA for this indicator (2.73% according to provisional data),
stark differences. Depending on the location, these differences Chinas R&D budget is growing fast and will surpass that of
reflect the greater prevalence of academics in some states, or a the USA by about 2022, according to a prediction by Battelle
heightened business focus on R&D. In some cases, the two are and R&D Magazine in December 2013. Several convergent
combined, since high-tech companies tend to gravitate towards factors cast doubt over the accuracy of Battelles prediction: the
those regions with the best universities. The State of California deceleration in Chinas rate of economic growth to 7.4% in 2014
is home to the prestigious Stanford University and University of (see Chapter 23), the considerable drop in industrial production
California, for instance, which rub shoulders with Silicon Valley, since 2012 and the major stock market slide in mid-2015.
the name given to the area hosting the leading corporations
(Microsoft, Intel, Google, etc.) and start-ups in information The USAs R&D effort peaked in 2009 at 2.82% of GDP. Despite

Chapter 5
technology. The State of Massachusetts is known for its Route the recession, it was still 2.79% in 2012 and will slide only
128 around the city of Boston, which is home to numerous marginally to 2.73% in 2013, according to provisional data, and
high-tech firms and corporations. Harvard University and the should remain at a similar level in 2014.
Massachusetts Institute of Technology are found within this
state. Differences from one state to another may also reflect the While investment in R&D is high, it has so far failed to reach the
budget available to each researcher, which varies according to presidents target of 3% of GDP by the end of his presidency
sectorial specialization. in 2016. American supremacy is eroding in this respect, even
as other nations China, in particular are carrying their own
Only three states fall into the top category for both R&D investment in R&D to new heights (Chapter 23).
spending as a share of GDP and the share of jobs in science
and engineering: Maryland, Massachusetts and Washington.
One can speculate that Marylands position reflects the
TRENDS IN BUSINESS R&D
concentration of federally funded research institutions there.
Washington State has a high concentration of high-tech firms A rebound by business
like Microsoft, Amazon and Boeing. Taken together, the six The USA has historically been a leader in business R&D and
states that are well above the mean in terms of GERD/GDP ratio innovation. However, the economic recession of 20082009
account for 42% of all R&D in the USA: New Mexico, Maryland, has had a lasting impact. While the major performers of R&D
Massachusetts, Washington, California and Michigan. The State largely maintained their commitments, the pain of the US
of New Mexico is home to the Los Alamos National Laboratory recession was felt mainly by small businesses and start-ups.
but may otherwise have a relatively low GERD. As for Michigan, Statistics released by the US Census Bureau showed that, in
the engineering functions of most automobile manufacturers 2008, the number of business deaths began overtaking the
are located in this state. At the other end of the scale, Arkansas, number of business births and that the trend continued at
Louisiana and Nevada are the only states that fall into the lowest least through 2012, the last year for which data are available
category for both maps (Figure 5.6). (Figure 5.7). However, more recent data collected by the
Kauffman Foundation suggest that the trend reversed in 2015.
US supremacy in R&D gradually eroding
6. By 2015, the Chinese economy had overtaken the USA in terms of purchasing
The USA invests more funds in R&D in absolute terms than the power parity (GDP in international dollars) but was still far from doing so in terms of
other G7 nations combined: 17.2% more in 2012. Since 2000, GDP at market prices and exchange rates.

141
Figure
UNESCO Science and
5.6: SCIENCE engineering
REPORT 2015 in the USA by state, 2010
Three states fall into the top category in both maps: Maryland, Massachusetts and Washington

Science and engineering occupations as a share of all occupations, 2010 (%)

The mean is 4.17%.
WASHINGTON
NEW HAMPSHIRE MAINE
MONTANA NORTH VERMONT
DAKOTA MINNESOTA

OREGON
WISCONSIN MASSACHUSETTS
IDAHO SOUTH
DAKOTA NEW YORK
MICHIGAN RHODE ISLAND
WYOMING
CONNECTICUT
IOWA PENNSYLVANIA
NEW JERSEY
NEBRASKA

INDIANA
NEVADA OHIO
DELAWARE
ILLINOIS
UTAH WEST MARYLAND
COLORADO VIRGINIA

KANSAS VIRGINIA
CALIFORNIA MISSOURI KENTUCKY
NORTH
CAROLINA
TENNESSEE
5.59% and above
ARIZONA NEW OKLAHOMA SOUTH
ARKANSAS
MEXICO
CAROLINA 4.17% 5.59%

MISSISSIPPI
GEORGIA
2.75% 4.17%
ALABAMA Below 2.75%
TEXAS
LOUISIANA
ALASKA

FL
32%
OR
ID
A
13.7%
National contribution of seven jurisdictions
HAWAII with the highest share of science and engineering
occupations (in descending order): District of
Californias share of national science and engineering Columbia, Virginia, Washington, Maryland,
occupations, the top US state for this indicator Massachusetts, Colorado and California

R&D performed as a share of state GDP, 2010 (%)

The mean is 2.31%.
WASHINGTON
NEW HAMPSHIRE MAINE
MONTANA NORTH VERMONT
DAKOTA MINNESOTA

OREGON
WISCONSIN MASSACHUSETTS
IDAHO SOUTH
DAKOTA NEW YORK
MICHIGAN RHODE ISLAND
WYOMING
CONNECTICUT
IOWA PENNSYLVANIA
NEW JERSEY
NEBRASKA
INDIANA

NEVADA OHIO
DELAWARE
ILLINOIS
UTAH WEST MARYLAND
COLORADO VIRGINIA

KANSAS VIRGINIA
CALIFORNIA MISSOURI KENTUCKY
NORTH
CAROLINA

42%
TENNESSEE
ARIZONA NEW OKLAHOMA SOUTH
ARKANSAS
CAROLINA
MEXICO
MISSISSIPPI

GEORGIA
ALABAMA

TEXAS Contribution of
LOUISIANA six states to national
ALASKA
R&D expenditure:
FL
OR

New Mexico, Maryland,

ID

3.88% and above

A

2.31% 3.88% Massachusetts,

0.75% 2.31% Washington, California
Below 0.75% and Michigan
HAWAII

Source: Bureau of Labor Statistics, Occupational Employment Statistics Survey (various years); National Science Foundation (2014) Science and Engineering Indicators

142
 United States of America

In 2012, business R&D activity was mainly concentrated in apprenticeship programmes in strategic areas, such as
the States of California (28.1%), Illinois (4.8%), Massachusetts advanced manufacturing, information technology,
(5.7%), New Jersey (5.6%), Washington State (5.5%), Michigan business services and health care.
(5.4%), Texas (5.2%), New York (3.6%) and Pennsylvania
(3.5%). Science and engineering (S&E) employment is Signs of inertia rather than a return to growth
concentrated in 20 major metropolitan areas, comprising The recession has been bad for US business research
18% of all S&E employment. The metropolitan areas with spending. From 2003 to 2008, this type of expenditure had
the greatest share of jobs in science and engineering in followed a generally upward trajectory. In 2009, the curve
2012 were all situated in the northeast, in Washington DC, inverted, as expenditure fell by 4% over the previous year
Virginia, Maryland and West Virginia. Second was the Boston then again in 2010, albeit by 12% this time. Companies in
metropolitan area in the State of Massachusetts and third was high-opportunity industries like health care cut back less
the Seattle metropolitan area in Washington State. than those in more mature industries, such as fossil fuels.
The largest cutbacks in R&D spending were in agriculture
Retiring baby boomers may leave jobs unfilled production: -3.5% compared to the average R&D to net
Concern about the retirement of the baby boomers7 leaving sales ratio. The chemicals and allied products industry and
R&D jobs unfilled is a major worry of company executives. electronic equipment industry, on the other hand, showed
The federal government will, thus, need to provide adequate R&D to net sales ratios that were 3.8% and 4.8% higher than
funding to train the next generation of employees with skills average. Although the amount of R&D spending increased in
in science, technology, engineering and mathematics. 2011, it was still below the level of 2008 expenditure.

Many of the initiatives announced by the president focus By 2012, the growth rate of business-funded R&D had recovered.
on publicprivate partnerships like the American Whether this continues will be contingent on the pursuit of
Apprenticeship Grants competition. This scheme was economic recovery and growth, levels of federal research
announced in December 2014 and is being implemented funding and the general business climate. Battelles 2014 Global
by the Department of Labor with an investment of R&D Funding Forecast (published in 2013) had predicted a 4.0%
US$ 100million. The competition encourages publicprivate increase in R&D funded by business in the USA from 2013 to

Chapter 5
partnerships between employers, business associations, 2014 to US$307.5 billion about one-fifth of global R&D.
labour organizations, community colleges, local and
state governments and NGOs to develop high-quality The industry information provider, IBIS World, shows business
R&D expenditure increasing in 2015, decreasing in 20172018
7. Those born between 1946 and 1964 in the aftermath of the Second World War,
then rising again, but only slightly, in 2019 (Edwards, 2015).
when there was a surge in the birth rate. IBIS attributes this to the transition from dependence on

Figure 5.7: Survival rate of US start-ups, 19772012

20
share of new firms (%)
share of closed firms (%)
17.1

15

12.9

11.0

10
9.5

5
1977
1978
1979
1980
1981
1982
1983
1984
1985
1986
1987
1988
1989
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012

Source: US Census Bureau, Business Dynamic Statistics, published by Gallup

143
UNESCO SCIENCE REPORT

federal investment to a more self-sustained model. Although streamlining the speed to market and the opportunity to adapt
research expenditure will keep rising, the rate of increase products to a local market. However, offshoring comes with a
is likely to be in the 2% per year range and, with decreases potential drawback: the added organizational complexity can
in some years, overall growth may be relatively flat. The make the company less adaptive and flexible. Experts from the
Industrial Research Institutes forecast for 2015 is based on a Harvard Business Review have suggested on several occasions
survey of 96 research leaders: it forecasts that companies will that there is an optimal point of offshoring for any given
maintain flat growth of R&D budgets over 2014 levels. The IRI business that depends on the industry and market.
report states that data on 2015 is indicative of inertia, not a
return to growth (IRI, 2015). High R&D spending fosters greater sales
Does high corporate R&D spending result in greater net sales?
Venture capital has fully recovered The answer is yes. The financial benefits seem to be highly
The one bright spot in the financial picture for technology- contextual and selective. Bloomberg estimated in March 2015
related companies is the burgeoning venture capital market. that US corporate R&D grew by 6.7% in 2014, the biggest
The National Venture Capital Association (NVCA) reported in growth since 1996. Bloomberg estimates that 18 big companies
2014 that venture capital investment totaled US$48.3 billion catalogued in Standard & Poors 500 Index increased R&D by
for 4356 deals. This, says NVCA, is an increase of 61% in dollars 25% or more from 2013 and that these straddle a range of
and a 4% increase in deals over the prior year. The software sectors from pharmaceuticals to hospitality and information
industry dominated these deals, with US$19.8 billion having technology. Bloomberg also considers that the 190 companies
been invested in 1799 deals. Second came internet-specific in this index that declare R&D outperform the index.8
companies, which garnered US$11.9 billion in investment
through 1005 deals. The life sciences, including biotechnology On the other hand, Hesseldahl (2014) discussed a report from
and medical devices, received US$ 8.6 billion in 789 deals Bernstein Research on technology companies that arrived at
(Box 5.2). The STI Outlook 2014 published by the Organisation the opposite conclusion. It claimed that companies that spent
for economic Co-operation and Development estimates that the most on R&D tended to have shares that underperformed
venture capital investment in the USA has fully recovered. the markets over time and also relative to those companies
that spent less. In fact, companies spending the most on R&D
Mergers, acquisitions and moves offshore relative to sales saw their average share price decline by 26%
In the quest for talent, access to new markets and unique after five years, not precluding growth in the interim. Those
products, some traditional performers of R&D have been technology companies that invested a middle amount of
actively engaging in mergers and acquisitions. In the 12 R&D also saw a decline (15%) after five years. Only some of
months from 30 June 2014 to 30 June 2015, 12249 deals were the companies that invested the least in R&D saw their share
concluded in the USA, 315 of which represented more than price rise after five years, although many of those companies
US$ 1 billion. Notable among them was a flurry of acquisitions experienced share price losses. John Bussey (2012) of the Wall
by technology giants Yahoo, Google and Facebook, each Street Journal has noted that those companies investing the
seeking to add new talent and products to its stable. On most in R&D are not necessarily the best innovators with the
the other hand, several pharmaceutical companies have best financial performance for each R&D dollar spent. From this,
made strategic mergers in recent years to relocate their we can conclude that corporate investment in R&D should be
headquarters overseas to order to gain a tax advantage, primarily determined by a fundamental need for specific R&D.
including Medtronic and Endo International. Pfizers own
attempt to take over the British pharmaceutical company Tax credits undermined by uncertainty
Astrazeneca aborted in 2014, after Pfizer admitted plans to The federal government and most of the 50 states that make
cut research spending in the combined company (Chapter 9). up the USA offer R&D tax credits for particular industries or
companies in particular areas. Congress usually renews a
Some US companies are taking advantage of globalization federal R&D tax credit every few years. According to Emily
to move their R&D activities overseas. Some multinational Chasan (2012) from The Wall Street Journal, since companies
companies specializing in pharmaceuticals, in particular, may cannot rely on these credits being renewed, they do not factor
be moving at least some of their R&D to Asia on a large scale. them in when making decisions about investing in R&D.
The Industrial Research Institute actually notes in its report a
decrease in the number of foreign-supported laboratories in A report by Rubin and Boyd (2013) for the State of New York on its
China but this finding stems from a small sample of business numerous business tax credits stated that there is no conclusive
executives (IRI, 2015). evidence from research studies conducted since the mid-1950s to

Factors that can influence the decision to move R&D offshore 8. See: www.bloomberg.com/news/articles/2015-03-26/surge-in-r-d-spending-
include tax advantages but also the availability of local talent, burnishes-u-s-image-as-innovation-nation

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 United States of America

show that business tax incentives create net economic gains to Since the crisis of 20082009, the USA has also fallen behind
the states above and beyond what would have been attained in Germany for high-tech exports (Figure 5.10). The last year in
the absence of the incentives. Nor is there conclusive evidence which the USA showed a positive trade balance for aerospace
from the research that state and local taxes, in general, have an technology was 2008, the year it exported nearly US$70 billion
impact on business location and expansion decisions. worth of aerospace products. In 2009, the value of aerospace
imports overtook that of exports, a trend that lasted through
Indeed, companies decide to invest in R&D based on a single 2013. The USAs trade in armaments managed to conserve a
factor: the need for R&D. Tax incentives tend to reward these slight positive balance between 2008 and 2013. The USAs trade
decisions after-the-fact. Furthermore, many small companies in chemistry products has been near-equal, with greater value
fail to recognize that they are eligible to claim the credit and, in imports in 2008 and 20112013. Trade in electrical machinery
thus, fail to take advantage of it. has been fairly constant, with imports representing nearly double
the value of exports. The USA also lags far behind its competitors
Transition to a first to file model in electronics and telecommunications, with imports worth
In 2013, US residents filed 287831 patents, almost the same US$161.8 billion in 2013 and exports worth just US$50.5 billion.
number as non-residents (283781). In China, on the other Until 2010, the USA was a net exporter of pharmaceuticals but
hand, just 17% of patents were filed by non-residents and has become a net importer since 2011. The other area where
there were as many as 704836 resident applications to the the USAs exports are slightly higher in value than its imports is
State Intellectual Property Office (see Figure 23.5). Likewise, scientific instruments but here the difference is slight.
in Japan, non-residents accounted for just 21% of patent
applications. The picture changes somewhat when one When it comes to trade in intellectual property, however, the
examines the number of patents in force. Although China is USA remains unrivalled. Income from royalties and licensing
catching up fast, it still trails the USA, Japan and the EU for amounted to US$129.2 billion in 2013, the highest in the world.
this indicator (Figures 5.8 and 5.9). Japan comes a distant second, with receipts of US$31.6 billion
that year. The USAs payments for use of intellectual property
The America Invents Act of 2011 moved the USA from a first amounted to US$ 39.0 billion in 2013, exceeded only by Ireland
to invent system to a first to file model, the most significant (US$ 46.4 billion).

Chapter 5
patent reform since 1952. The act will limit or eliminate
lengthy legal and bureaucratic challenges that used to The USA is a post-industrial country. Imports of high-tech
accompany contested filings. However, the pressure to file products far exceed exports. New cellphones, tablets and smart
early may limit the inventors ability to exploit the period of watches are not manufactured in the USA. Scientific instruments
exclusivity fully. It may also disadvantage very small entities, that were once made in the USA are increasingly being made
for which the legal costs of preparing an application are the overseas. However, the USA profits from a technologically skilled
main barrier to filing. This legislation has also fostered the rise workforce that, second to China in size, still produces a large
of what are familiarly known as patent trolls (Box 5.3). volume of patents and can still profit from the license or sale of
those patents. Within the USAs scientific R&D industries, 9.1%
A post-industrial country of products and services are concerned with the licensing of
The USA has run a negative trade balance since at least 1992. intellectual property rights.
The balance for trade in goods is consistently negative. The
deficit reached a high of US$708.7 billion in 2008 before falling Together with Japan, the USA remains the largest single source
precipitously to US$383.8 billion the following year. In 2014, the of triadic patents, which are a proxy for an economys ambition
balance stood at US$504.7 billion and will remain negative into and its effort to pursue technology-driven competitiveness in the
2015. High-tech imports have been lower in value than exports principal advanced country markets. Since the mid-2000s, the
and led mostly (in terms of value) by computers and office USA has falling triadic patenting numbers, along with other large
machines, electronics and telecommunications (Figure 5.10). advanced economies, but triadic patenting resumed growth in
the USA in 2010 (Figure 5.8).
The USA lost its world leadership for the volume of high-tech
exports to China some time ago. However, up until 2008, it Five corporations in top 20 for R&D spending
was still the largest exporter of high-tech goods excluding The top 11 USA-based multinational corporations for R&D
computing and communications equipment. Much of the latter funding in 2014 were responsible for a total of US$83.7 billion in
has become commoditized and is now assembled in China R&D expenditure (see Table 9.3). The top five have figured among
and other emerging economies, with high-tech, value-added the worlds top 20 for at least 10 years: Intel, Microsoft, Johnson
components being produced elsewhere. The USA imported & Johnson, Pfizer and IBM. The top international firm for R&D
US$105.8 billion worth of computers and office machines in investment in 2014 was the German corporation Volkswagen,
2013 but exported just US$ 17.1 billion worth of the same. followed closely by the Korean Samsung (see Table 9.3).

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Box 5.3: The rise (and fall?) of patent trolls

Patent troll is a term used widely to exponentially in the USA: in 2012, 62% of 29 April 2014 should make patent trolls
designate firms that are formally called patent litigation was brought by patent think twice in future before bringing
patent assertion entities. These firms trolls. frivolous lawsuits. The decision departs
make no products but rather focus on from the so-called American Rule,
buying dormant patents from other The America Invents Act of 2011 set which generally requires litigants to
firms, often at a low price. Ideally, out to limit the power of patent trolls bear their own legal costs. It brings
the patent they purchase is broad by preventing ligitators from attacking litigation closer to the English rule of
and vague. The troll then threatens several companies at once in a single loser pays, whereby the unsuccessful
high-tech firms with litigation for lawsuit. In reality, this has had the litigant is forced to bear the legal
infringement of its patent, unless opposite effect by multiplying the costs of both parties which may
the firm agrees to pay a licensing fee number of lawsuits. explain why patent trolls are much less
that may run into the hundreds of common in the UK.
thousands of dollars. Even if the firm is In December 2013, the House of
convinced that it has not infringed the Representatives passed a bill that would In August 2014, US judges cited the
patent, it will often prefer to pay the have required a judge to determine early Supreme Court judgment in their
licensing fee rather than risk litigation, on in the legal process whether a given decision on an appeal filed by Google
as cases can take years to settle in patent was valid. However, the bill failed against patent troll Vringo, which
court and entail exorbitant legal costs. to pass into law after being shelved by was claiming hundreds of millions of
the Senate Judiciary Committee in May US dollars. The judges found against
Patent trolls have become a nightmare 2014 following intense lobbying by Vringo in the appeal on the grounds
for companies in Silicon Valley, in pharmaceutical and biotech companies that neither of its two patents was
particular, including giants Google and and universities, which feared the new valid.
Apple. However, trolls also harass small law would make it hard for them to
Source: Fisher, D. (2014) Patent trolls face higher
start-up companies, some of which defend their own patents.
risks as Supreme Court loosens fee-shifting rule.
have been forced out of business. Forbes.com 29 April; Wyatt, E. (2014) Legislation to
Ultimately, reform may come not from protect against patent trolls is shelved. NY Times
Online, 21 May; Chien, C. (2013) Patent Trolls by
The business is so lucrative that the Congress but from the judiciary. A the Numbers. Santa Clara Law Digital Commons.
number of patent trolls has grown decision by the US Supreme Court on Compiled by Susan Schneegans, UNESCO.

Google was included in this list for the first time in 2013 and Facebook is developing virtual reality technology based on
Amazon in 2014, which is why the online store does not their acquisition of Oculus Rift, an approach that will integrate
appear in Table 9.3, despite having spent US$ 6.6 billion on people into the digital environment, rather than vice versa.
R&D in 2014. Intels investment in R&D has more than doubled
in the past 10 years, whereas Pfizers investment is down from The small sensors that facilitate this connectivity are also
US$9.1 billion in 2012. being applied in industry and health care. Since it relies on
service contracts for much of its revenue, General Electric
The technological ambitions of the new giants of information is currently investing in sensor technology to collect
and communications technology (ICTs) can broadly be more information about the performance of its aeroplane
described as smoothing the interface between information engines in flight. Meanwhile, in health care, a few new
technology and the physical world. Amazon has optimized the enterprises are experimenting with the use of data from
consumer experience by developing services like Prime and personal activity trackers to manage chronic diseases like
Pantry to meet consumer needs in almost real time. Amazon diabetes.
recently introduced a limited pilot of the Dash Button, an
extension of Amazon Pantry that allows a user to re-order a Massachusetts a hotspot for non-profit R&D
household consumable by pressing a physical button. Google Private non-profit organizations account for about 3% of
has made several acquisitions of products at the interface of GERD in the USA. In the 2013 fiscal year, federal obligations
computation and the physical world, including autonomous to non-profits for R&D totalled about US$6.6 billion.
thermostats, and has developed the first operating system Among non-profits, those in the State of Massachusetts
specifically for such low-power devices. Perhaps the most received the greatest share of federal funding: 29% of the
ambitious project is Googles self-driving car, which is scheduled total in 2013, driven primarily by the cluster of research
for commercial release in the next five years. Conversely, hospitals near Boston.

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 United States of America

Figure 5.8: Patents in force in the USA, 2005 and 2013

Other major economies are given for comparison
2.5
Non-resident
1 164 800
Resident

2.0

267 280
788 602
1.5 1 570 897
Millions

107 872 1 222 702

1.0
447 415 1 015 183
895 366

0.5 586 493

126 039
0.0 56 357
2005 2013 2005 2013 2005 2013
China Japan USA
Source: WIPO statistics online, accessed on 27 August 2015; patents held by the primary patent office for each economy: Chinas State Intellectual Property Office,
Japan Patent Office, European Patent Office, US Patent and Trademarks Office for the USA

Chapter 5
Figure 5.9: Triadic patents of the USA in the USPTO database, 20022012
Number of triadic patents (nowcasting) for the worlds largest economies for this indicator

20 000

17 355
16 828
16 511
Japan 15 391
15 000
EU 13 978
USA 13 765

10 000

6 890

Germany 5 468
5 000

Korea, Rep. 2 878

2 752 France 2 555
1 570 China 1 851

272
0
2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

Note: Triadic patents are filed by the same inventor for the same invention in the USA, Europe and Japan.
Source: OECD Patent Statistics (database), August 2015

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UNESCO SCIENCE REPORT

Half of all federal obligations to non-profits are distributed

Figure 5.10: High-tech exports from the USA as a world within Massachusetts, California and the District of Columbia,
share, 20082013 (%) three states which also happen to account for a sizeable share
Other large exporters are given for comparison of the nations R&D expenditure and science and engineering
Total exports occupations (Figure 5.6). The institutions that receive the lions
35 share of funding are the national security-oriented MITRE
Corp., research hospitals and cancer centres, Batelle Memorial
Institute, the R&D generalist SRI International and RAND
China
30 30.8 Corporation. Non-profits can also raise money for R&D from
private sources, such as philanthropic donations (Box 5.4).

25
TRENDS IN EDUCATION
20.5 Common core standards to improve science teaching
20 To prepare for the projected growth in jobs in science,
technology, engineering and mathematics in the coming
years, the Department of Education has focused on improving
15 the proficiency of students and teachers in these subjects. To
that end, a group under the aegis of the National Governors
12.3
Association created the Common Core State Standards in
2009 for proficiency in English and mathematics.
10 8.8 Germany
9.6
6.7 USA 7.8 These are national standards, as opposed to state ones. The US
education system is highly decentralized, however, so federal
5.0 France 5.5
5 Japan 5.2 policy may not be fully implemented in practice. In anticipation
2008 2009 2010 2011 2012 2013 of this, the Obama administration has created incentives like
the US$4.3 billion Race to the Top, a competition for funding
Exports excluding computers, office machines, electronics designed to encourage states to engage in educational reform.
and telecommunications

20 Common Core Standards are highly controversial, as they require

20.0
very difficult standardised testing, with tests produced by major
academic publishing houses. It remains to be seen whether
Germany 16.1
schools that embrace the Common Core Standards will prepare
students any better for a career in science and engineering.
15
A drive to improve the quality of education
13.3
The America COMPETES Act is intended to bolster US
China 11.2 competitiveness in science, technology, engineering and
USA 11.1 mathematics through education. It places strong emphasis
France 10.9
10 on improving this type of education at all levels through
9.6 teacher training. This has resulted in the creation of a STEM
7.5 Master Teacher Corps. Additionally, the administration has
UK 6.2 formed a loose coalition of government and non-profit
6.0
groups with an interest in teacher education called 100Kin10,
Japan 5.9
5 the explicit goal of which is to prepare 100000 excellent
5.2
teachers of these subjects and, in turn, one million qualified
2.9 Italy 2.7
workers within 10 years.
India 1.5
0.8
The America COMPETES Act also mandates programmes
Russian Fed. 0.9
0 0.5 to retain undergraduates majoring in S&T fields, with an
2008 2009 2010 2011 2012 2013 emphasis on underrepresented minorities, such as African
Americans, Latinos and Native Americans. In addition,
Source: Comtrade database of United Nations Statistics Division, July 2014
it provides scientific institutions with funds to stimulate

148
 United States of America

Box 5.4: American billionaires driving more R&D

Americas billionaires have increased Lederberg. Conversely, the Bill and contractor. SpaceX has received more
their influence on R&D in both for- Melinda Gates Foundation, perhaps the than US$5.5 billion in federal contracts
profit and non-profit contexts and are most high-profile philanthropic research from the US Air Force and NASA. It
having a major impact on research organization of all, has consistently received a US$ 20 million subsidy from
priorities. Critics suggest that this defied that trend by instead focusing on the State of Texas to build a launching
influence is skewing research activities the diseases that most affect the worlds facility to foster the states economic
towards the narrow interests of poor. development.
wealthy, predominantly Caucasian
patrons and the elite universities Philanthropic and other privately funded Other philanthropy-driven R&D
where most of these billionnaires R&D has a complex relationship with priorities have become federal
received their education. federal priority-setting. Some privately priorities, as well. Before President
funded groups have stepped in when Obama announced his BRAIN
Some projects do, indeed, focus political will is weak. For example, initiative, Paul G. Allen and Fred Kavli
explicitly on the personal interests executives from eBay, Google, and had established privately funded
of their patrons. Eric and Wendy Facebook are funding the development brain institutes in Seattle in the State
Schmidt founded the Schmidt Ocean of a space-based telescope to search of Washington and at the three
Institute after an inspiring diving trip for asteroids and meteors that threaten Universities of Yale, Columbia and
in the Caribbean, for instance, and to strike Earth for far less money than a California, with scientists at those
Lawrence Ellison founded the Ellison similar project would require at NASA. institutes helping to develop the
Medical Foundation after a series SpaceX, the private venture of Elon federal agenda.
of salons held at his home that had Musk, has achieved similar savings for
been led by Nobel laureate Joshua the federal government by acting as a Source: compiled by authors

Chapter 5
student interest through informal education. It also Universities have responded to the constrained funding
prioritizes vocational training in advanced manufacturing environment by looking for new ways to diversify revenue
at the secondary school and community college levels. and decrease costs. This includes seeking new sources of
Lastly, it requires that the White House Office of Science funding from industry, relying heavily on temporary contract
and Technology Policy draw up a strategic plan for science, or adjunct workers for both teaching and research and the
technology, engineering and mathematics education every adoption of new teaching technologies that allow bigger
five years. class sizes.

A drop in revenue for state universities Too many researchers competing for academic posts
Since the recession of 20082009, public research universities In the latter half of the 20th century, scientific departments
have experienced a decline in state appropriations, federal at US universities went through a growth phase. Each
research funds and other grants, while enrolment has investigator would train several people who could then
increased. The result has been a major decline in the amount reasonably expect to obtain an academic research position
of funding per student at these universities, despite dramatic themselves. Recently, science departments have stopped
increases in tuition fees and deferrals of facility maintenance. expanding. As a result, the pipeline has dramatically narrowed
The National Science Board predicted in 2012 that this cost- at the postdoctoral phase, creating a bottleneck that
saving drive would have a lasting impact on the educational effectively stalls the career of many researchers.
and research capacities of public research universities. (The
pattern of growth in scientific publications does seem to A 2015 National Academy of Sciences report suggests that, as
have become more irregular since 2011, see Figure 5.11). This tenure-track positions become scarcer, academic postdoctoral
prospect is particularly troubling because demand for public fellowships are being extended. In parallel, the fraction of
education is rising fastest among historically disadvantaged graduates who pursue a fellowship before obtaining their
groups who would otherwise choose two-year degree first faculty position is increasing, a practice that is spreading
programmes at for-profit institutions; public universities to new fields. As a result, the number of postdoctoral
provide educational opportunities in science and engineering researchers climbed by 150% between 2000 and 2012.
that their for-profit competitors do not (National Science Although postdoctoral fellowships were originally conceived
Board, 2012). as advanced research training, in practice, evidence suggests

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UNESCO Scientific
SCIENCE
Figure 5.11: publication trends in the USA, 20052014
REPORT
The USA has maintained its share of publications among high-income economies
350 000 40
Volume of US publications (left axis)
USAs % share among high-income economies (right axis)
USAs % share of world total (right axis)
36.4
325 000 321 846

35.4 35

300 000

30.6

30

275 000

267 521

25.3
250 000 25
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

1.32
Average citation rate for US
14.7%
Share of US papers among 10%
34.8%
Share of US papers with
publications, 20082012; most cited papers, 20082012; foreign co-authors, 20082014;
the OECD average is 1.08 the OECD average is 11.1% the OECD average is 29.4%

US scientists publish most in medical and biological sciences 630 977

Cumulative totals by field, 20082014

47%
Share of scientific
488 258

publications on
astronomy worldwide
originating in the USA
175 444
150 800 158 991
130 233

35 671 35 235 39 547 28 411 23 398 18 260

8 451
ics
es

y
es
s
re

ry

es

es

es
ic
m

og
nc

in
tu

ist
nc

nc

nc

nc

nc
ys
at
no

er
cie

ol
ul

em
cie

em

cie
cie

ie

cie
Ph
ne

ch
tro
ric

sc
rs
ls

ls
os

ls
Ch

h
gi

y
Ag

As

te

ife
at

Ps
ica

ica

cia
En

Ge
pu

rl
og

ed

So
he
m

M
ol

Co

Ot
Bi

Note: The totals exclude 175 543 unclassified articles.

The USAs main partner is China, followed closely by the UK, Germany and Canada
Main foreign partners, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
USA China (119 594) UK (100 537) Germany (94 322) Canada (85 069) France (62 636)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

150
 United States of America

that not all postdoctoral fellowships provide consistent and 340000 jobs and contributed US$26.8 billion to the US
thorough mentoring and professional development. Often, economy, according to a 2014 report by the National
hopeful academics will stall professionally in postdoctoral Association of Foreign Student Advisers.
fellowships while providing high-quality research for low pay
on indefinite terms. The number of US citizens studying overseas was much lower,
just under 274000. The top five destinations for US students
Open innovation: a marriage of reason were the UK (12.6%), Italy (10.8%), Spain (9.7%), France (6.3%)
Realizing that it had a lot of gain from encouraging the and China (5.4%). These statistics belie the sheer numbers of
adoption of technologies developed with federal grant students enrolled outside the country of their citizenship: 4.1
money, Congress passed the Bayh Dole Act in 1980. The act million in 2013, 53% of whom came from China, India and the
allowed universities to retain intellectual property rights Republic of Korea (see also Chapter 2).
from federally funded R&D and launched a trend in the
university system towards the patenting and licencing of The top five foreign student populations in the USA in 2014
new technology. were from China (28%), India (12%) and the Republic of Korea
(circa 8%), Saudi Arabia (circa 6%) and Canada (circa 3%),
As a result, some universities have become foci of according to the July 2014 quarterly review of the Student
innovation, where small start-ups developed from on- and Exchange Visitor Information System published by US
campus research add value and, usually, partner with a Immigration and Customs Enforcement (ICE). Some 966333
larger established industrial partner to bring its product(s) foreign students were following a full-time academic or
to market. Having observed the success of these universities vocational programme at a certified tertiary institution (F-1
in seeding local innovation ecosystems, a growing number and M-1 visas).9 According to ICE, the numbers of F-1 and
of universities are developing internal infrastructure like M-1 visa-holders increased by 8% from 2013 to 2014. An
technology transfer offices, to support start-ups based additional 233000 students were J-1 visa holders.
on research, and incubators for faculty inventors that
are designed to support embryonic companies and their More than half of the F-1 and M-1 visa students were men
technologies (Atkinson and Pelfrey, 2010). Technology (56%), according to statistics collected by ICE. Almost six out
of ten women (58%) were from Eastern Europe and three-

Chapter 5
transfer supports the university mission in disseminating
ideas and solutions that can be put into practice. It also quarters (77%) of the men from Western Asia. A little less than
supports job growth in their local economies and increases half of students with this type of visa had chosen California as
ties to industry that form the basis for sponsored research. their destination, followed by New York and Texas.
However, owing to its unpredictable nature, technology
transfer is not a reliable supplement to the universitys The bulk of these students are pursuing degrees in the
revenue compared to other sources of revenue, such as following fields: business, management and marketing;
federal grants and tuition. engineering; computer and related sciences; and education-
related studies. Among those studying science, technology,
From the industrial perspective, many companies in engineering or mathematics, three-quarters (75%) had
technology-heavy industries are finding that partnering with opted for engineering, computer and information sciences
universities is a more effective use of their R&D investment and support services, or biological and biomedical sciences.
than developing technologies internally (Enkel, et al., 2009).
By sponsoring university research, they benefit from the In 2012, the USA hosted 49% of the worlds international
broad expertise and collaborative environment within doctoral students in science and engineering (See Figure
academic departments. Although industry-sponsored 2.12). The National Science Foundations 2013 Survey of
research accounts for only 5% of academic R&D, leading Earned Doctorates compared doctoral degrees awarded to US
universities are increasingly relying on research dollars citizens with those awarded to students with permanent
from industry as alternatives to federal and state dollars. residence and temporary visa-holders. The study found that
Incentives are not always directly aligned on sponsored temporary visa-holders earned 28% of the doctoral degrees
research, however. The career of academic researchers is awarded in the life sciences, 43% of those in the physical
dependent on publishing their results, whereas industrial sciences, 55% in engineering, 10% in education, 14% in
partners may prefer not to publish to prevent competitors humanities, and 33% in non-science and engineering fields.
from benefiting from their investment (see also Chapter 2). These percentages have increased slightly for all fields since
2008.
An 8% rise in foreign students since 2013
In the 2013/2014 academic year, over 886000 international 9. J-1 visas are conferred on foreign nationals selected by a Department of State-
students and their families living in the USA supported designated programme to participate in an exchange visitor programme.

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UNESCO SCIENCE REPORT

More foreign students being wooed back home are responsible for global climate change: 50% of the public
Historically, a large majority of trainees from overseas who agrees with this statement, compared to 87% of scientists.
came to the USA have stayed on indefinitely. As the countries
of origin develop increasingly sophisticated R&D sectors, Americans are less concerned about climate change than
students and trainees are seeing more opportunities open residents of other countries and more likely to attribute
up at home. As a result, the rate of return migration among observed trends to non-human causes. Addressing the
foreign students and postdoctoral scholars is rising. Twenty causes of climate change is not a high policy priority for most
years ago, around one in 10 Chinese doctoral graduates Americans. However, momentum may be building in this
returned to China after completing their degree but the area, as evidenced by the Peoples Climate March 2015 in
current rate is closer to 20% and the trend is gaining New York City, which attracted about 400000 participants
momentum (see also Box 23.2). from civil society.

The drivers of this trend are a pushpull phenomenon in In general, Americans view nuclear energy more favorably
which the US research environment seems increasingly than residents of other countries. Support for both oil and
competitive, even as foreign enterprises are offering skilled nuclear power has gradually rebounded after high-profile
workers more opportunities. For instance, the scarcity of accidents in those industries in the Gulf of Mexico and Japan,
visas for skilled workers creates tough competition for those although support for nuclear energy production has not
wishing to work in sophisticated US industries; in 2014, the completely recovered.
lottery for these visas closed after just one week because it
was oversubscribed. US business executives are strongly in One point on which both the general public and scientists
favour of increasing the number of visas for skilled workers, agree, according to a survey of the public and the American
particularly in the software industry. At the same time, Association for the Advancement of Science, is that science
countries such as China, India and Singapore are investing teaching at the primary level in the USA lags behind that of
heavily in building world-class research facilities, a potent lure other countries, despite US science being highly regarded
for US-trained foreign students to return home. abroad.

Publics factual grasp of science is tenuous

SCIENCE, TECHNOLOGY AND THE PUBLIC In spite of a broad enthusiasm for science and discovery, the
American publics factual grasp of science shows room for
Americans positive about science improvement. Respondents to a factual questionnaire scored
Several recent surveys have found that Americans attitudes an average of 5.8 correct answers to nine questions, which is
towards science are generally positive and optimistic comparable to results from European countries. These scores
(Pew, 2015). They value scientific research (90% support have been stable over time.
maintaining or increasing research funding) and have high
confidence in scientific leaders. In general, they appreciate the In addition, the way in which a question is asked may affect a
contributions of science to society and believe that scientific persons answer. For instance, only 48% of survey respondents
and engineering work is a worthy enterprise: 85% consider agreed with the statement that human beings, as we know
that the benefits of scientific research outweigh or match them today, developed from earlier species of animals but
the harm it can do. In particular, they believe science has had 72% agreed with an identical statement that first specified
a positive impact on medical treatments, food safety and According to the theory of evolution. Likewise, 39% of
environmental conservation. Furthermore, the great majority Americans agreed that the Universe began with a huge
of Americans see investment in engineering, technology explosion but 60% agreed with the statement that According
and research as paying off in the long term. Most Americans to astronomers, the Universe began with a huge explosion.
report being generally interested in new scientific discoveries.
More than half have visited a zoo, aquarium, natural history or Public consulting open access scientific literature
science museum in 2012. The America COMPETES Act established the goal of making
all unclassified research results produced at least partly with
Public sceptical of some scientific issues federal funding publicly available. By the time the act was
The biggest differences of opinion between the general passed in 2007, a similar requirement was already in the
public and the scientific community concern acceptance of pipeline at the NIH requiring funded investigators to submit
genetically modified foods (37% of the public versus 88% of accepted manuscripts to PubMed Central within 12 months
scientists consider them generally safe) and animal research of publication. PubMed Central is a free full-text archive of
(47% of the public versus 89% of scientists in favour). There literature from biomedical and life science journals at the
is a comparably large scepticism about whether humans NIHs National Library of Medicine.

152
 United States of America

The 12-month embargo has successfully protected the foresees publicprivate partnerships in the areas of clean coal
business models of scientific journals, since the number of technology, clean vehicles, energy efficiency and energy and
publications has risen since the policy entered into effect water.
and has made a wealth of information available to the public.
Estimates suggest that PubMed Central receives 500000 An historic agreement with Iran
unique visits every weekday, the average user accessing two Another major diplomatic success has been the negotiation
articles, and that 40% of users are members of the general of a nuclear agreement with Iran jointly with the other four
public, rather than from industry or academia. permanent members of the United Nations Security Council
and Germany. The agreement signed in July 2015 is highly
The government generates about 140000 datasets10 technical. In return for the lifting of sanctions, the Iranians
in a host of areas. Each of these datasets is a potential have made a number of concessions with regard to their
application for a mobile phone or could be cross-referenced nuclear programme. The agreement was endorsed by the
with other datasets to reveal new insights. Innovative United Nations Security Council within a week of adoption.
businesses have used these data as a platform for the
provision of useful services. For example, home price Building diplomacy through science
estimates on Realtor.com are based on open-source data Scientific collaboration is often the most durable type
on housing prices from the Census Bureau. Bankrank.org of peace-building programme, owing to the high level
provides information on banks based on data from the of personal investment. For instance, the Middle East
Consumer Financial Protection Bureau. Other applications are Research Cooperation programme run by the US Agency
built on the Global Positioning System or the Federal Aviation for International Development (USAID), which establishes
Administration. President Obama has created the position of bilateral or trilateral scientific collaboration with Arab and
Chief Data Scientist to promote the use of these datasets, with Israeli partners, has operated without interruption since
Silicon Valley veteran DJ Patil the first person to serve in this its establishment in 1981 as part of the 1978 Camp David
office. Accords, in spite of periods of violent conflict in the Middle
East. In a similar spirit of peace-building, individual scientists
in the USA have been working with Cuban colleagues for
TRENDS IN SCIENCE DIPLOMACY

Chapter 5
over half a century, despite the embargo. The restoration of
USCuban diplomatic relations in 2015 should lead to new
An agreement with China on climate change export rules for donated scientific equipment that will help to
Consistent with the presidents overarching priorities, the modernize Cuban laboratories.
most important goal of science diplomacy at the moment
and in the near future will be to address climate change. Universities are also a major contributor to science diplomacy
His Climate Action Plan (2013) articulates both a domestic through international scientific collaboration. In the past
and international policy agenda aimed at quickly and decade, a number of universities have set up satellite
effectively reducing greenhouse emissions. To that end, campuses abroad that focus specifically on science and
the administration has entered into a variety of bilateral technology, including the University of California (San Diego),
and multilateral agreements and will be participating the University of Texas (Austin), Carnegie Mellon University
in negotiations at the United Nations Climate Change and Cornell University. A School of Medicine is due to open
Conference in Paris in November 2015 for a universal legally at Nazarbayev University in 2015, in partnership with the
binding agreement. In the run-up to the conference, the University of Pittsburgh; another fruit of this USKazakh
USA has provided developing countries with technical partnership is the Central Asian Journal of Global Health,
assistance in preparing their Intended Nationally Determined which first appeared in 2012 (see Box 14.3). For its part, the
Contributions. Massachusetts Institute of Technology has helped to establish
the Skolkovo Institute of Science and Technology in the
During a visit to China in November 2014, the USA agreed Russian Federation (see Box 13.1).
to reduce its own carbon emissions by 2628% over 2005
levels by 2025. In parallel, the US and Chinese presidents Other projects involving the Russian Federation have stalled
issued a Joint Announcement on Climate. The details of the or lost momentum. For instance, as diplomatic tensions
agreement had been ironed out by the USAChina Clean grew between the USA and the Russian Federation in 2012,
Energy Research Center. This virtual centre was established Bilateral Presidential Commission meetings bringing together
in November 2009 by President Obama and President Hu scientists and innovators from the two countries were quietly
Jintao and endowed with US$150million. The joint workplan suspended. Projects such as the USARussia Innovation
corridor have also been put on hold. The Russian Federation
10. These datasets are available online at www.data.gov. has also enacted a number of policies since 2012 that have

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UNESCO SCIENCE REPORT

had an adverse effect on foreign scientific collaboration, CONCLUSION

including a law on undesirable organizations. The MacArthur
Foundation recently pulled out of the Russian Federation The future looks brighter for business than for
after being declared an undesirable organization. basic research
In the USA, the federal government specializes in supporting
For its part, the USA has introduced new restrictions on basic research, leaving industry to take the lead in applied
Russian scientists working in the USA in sensitive industries research and technological development. In the past five
but, for now, the longstanding collaboration in human space years, federal spending on R&D has dipped as a consequence
flight is proceeding as usual (see Chapter 13). of austerity and changing priorities. Industry spending, on the
other hand, has picked up. The result is that R&D spending
A focus on Africa in health and energy has flagged only somewhat over the past five years before
The Ebola epidemic in 2014 highlighted the challenge returning to modest growth.
of mobilizing funds, equipment and human resources to
manage a rapidly evolving health crisis. In 2015, the USA Business has generally maintained or augmented its R&D
decided to invest US$ 1 billion over the next five years in commitment over the past five years, particularly in newer
preventing, detecting and responding to future infectious high-opportunity sectors. R&D tends to be considered a long-
disease outbreaks in 17 countries,11 within its Global Health term investment in the USA that is essential to fuel innovation
Security Agenda. More than half of this investment will and build resilience in times of uncertainty.
focus on Africa. The USA is also partnering with the African
Union Commission for the establishment of African Centers Although most R&D spending enjoys broad bipartisan
for Disease Control and Prevention. It is also supporting the support, public-interest science stands to suffer the most from
development of national public health institutes. the current austerity and political targeting.

The USA and Kenya signed a Cooperative Threat Reduction The federal government has been able to wield some
agreement during President Obamas visit to Kenya in July influence through partnerships with industry and non-
2015. The aim is to enhance biological safety and security profit organizations in the field of innovation, in particular.
through real-time biosurveillance, rapid disease reporting, Examples are the Advanced Manufacturing Partnership, the
research and training related to potential biological threats, BRAIN Initiative and the more recent Climate Pledge. The
whether posed by naturally occurring diseases, deliberate federal government has also fostered greater transparency
biological attacks or the unintentional release of biological and made government data available to potential innovators.
pathogens and toxins. Regulatory reforms offer a promising new era in precision
medicine and drug development.
In 2014, USAID launched the Emerging Pandemic
Threats 2 Program with more than 20 countries in Africa and The USA has also maintained its commitment to science
Asia to help detect viruses with pandemic potential, improve and engineering education and job training. The stimulus
laboratory capacity to support surveillance, respond in an package adopted in 2009 to conjugate the financial crisis
appropriate and timely manner, strengthen national and local provided a one-time opportunity for the federal government
response capacities and educate at-risk populations on how to foster high-tech job growth at a time of burgeoning
to prevent exposure to these dangerous pathogens. demand for skilled workers. Only time will tell if this massive
injection of funds in education and training will pay off.
A year later, President Obama launched Power Africa, Within universities meanwhile, the pipeline of trainees has
which is also being spearheaded by USAID. Rather than been squeezed by the austerity drive, resulting in a build-up
being an aid programme, Power Africa provides incentives of postdoctoral fellows and greater competition for funding.
to foster private investment in the development of Thanks to a heavy investment in technology transfer, leading
infrastructure in Africa. In 2015, Power Africa partnered with universities and research institutes are making their ivory
the United States African Development Foundation and tower more porous to their surrounding communities in the
General Electric, for instance, to provide African entrepreneurs hope of seeding robust local knowledge economies.
with small grants to develop innovative, off-the-grid energy
projects in Nigeria (Nixon, 2015). What does the future look like for US science? Indications are
that opportunities in federally funded basic research are likely to
stagnate. Conversely, the future looks bright for innovation and
development in the business enterprise sector.
11. The 17 partners are (in Africa): Burkina Faso, Cameroon, Cote dIvoire, Ethiopia,
Guinea, Kenya, Liberia, Mali, Senegal, Sierra Leone, Tanzania and Uganda; (in Asia):
Bangladesh, India, Indonesia, Pakistan and Viet Nam.

154
 United States of America

Industrial Research Institute (2015) 2015 R&D trends forecasts:

KEY TARGETS FOR THE USA
results from the Industrial Research Institutes annual
survey. ResearchTechnology Management, 58 (4).
n Raise GERD to 3% of GDP by the end of 2016;
JanuaryFebruary.
n Prepare 100000 excellent teachers of science,
technology, engineering and mathematics and, in Levine, A. S.; Alpern, R.J.; Andrews, N. C.; Antman, K.; Balser,
turn, one million qualified workers in the ten years to J. R.; Berg, J. M.; Davis, P.B.; Fitz, J. G.; Golden, R. N.;
2021, through a loose coalition of government and Goldman, L.; Jameson, J.L.; Lee, V.S.; Polonsky, K.S.;
non-profit groups with an interest in teacher education Rappley, M.D.; Reece, E.A.; Rothman, P.B.; Schwinn, D.A.;
dubbed 100Kin10; Shapiro, L.J. and A. M. Spiegel (2015) Research in Academic
Medical Centers: Two Threats to Sustainable Support. Vol. 7.
n Reduce the USAs carbon emission by 2628% over
2005 levels by 2025;
National Science Board (2012) Diminishing Funding and Rising
n Reduce the carbon emissions of the State of California Expectations: Trends and Challenges for Public Research
by 40% over 1990 levels by 2030. Universities. A Companion to Science and Engineering
Indicators 2012. National Science Foundation: Arlington
(USA).
REFERENCES
Nixon, R. (2015) Obamas Power Africa project is off to a
Alberts, B.; Kirschner, M. W.; Tilghman, S. and H. Varmus sputtering start. New York Times, 21 July.
(2015) Opinion: Addressing systemic problems in the
biomedical research enterprise. Proceedings of the National OECD (2015) Main Science and Technology Indicators.
Academy of Sciences, 112(7). Organisation for Economic Co-operation and
Development Publishing: Paris.
Atkinson, R. C. and A. P. Pelfrey (2010) Science and the
Entrepreneurial University. Research and Occasional Paper Pew Research Center (2015) Public and Scientists Views on
Series (CSHE.9.10). Center for Studies in Higher Education,

Chapter 5
Science and Society. 29 January. See: www.pewinternet.org/
University of California: Berkeley (USA). files/2015/01/PI_ScienceandSociety_Report_012915.pdf

Bussey, J. (2012) Myths of the big R&D budget. Wall Street Rubin, M. M. and D. J. Boyd (2013) New York State Business
Journal, 15 June. Tax Credits: Analysis and Evaluation. New York State Tax
Reform and Fairness Commission.
Chasan, E. (2012) Tech CFOs dont really trust R&D tax credit,
survey says. Wall Street Journal and The Dow Jones Sargent Jr., J. F. (2015) Federal Research and Development
Company: New York. Funding: FY 2015. Congressional Research Service:
Washington DC.
Edwards, J. (2014) Scientific Research and Development in the
USA. IBIS World Industry Report No.: 54171, December. Tollefson, J. (2012) US science: the Obama experiment. Nature,
489(7417): 488.
Enkel, E.; Gassmann, O. and H. Chesbrough (2009) Open R&D
and open innovation: exploring the phenomenon. R&D
Management, 39(4). Shannon Stewart (b. 1984: USA) is a Research Scientist
at the Center for Biomedical Innovation within the
Hesseldahl, A. (2014) Does spending big on research pay off Massachusetts Institute of Technology. She holds a PhD in
for tech companies? Not really. <re/code>, 8 July. Molecular, Cellular and Developmental Biology from Yale
University (USA).
Hunter, A. (2015) US Government Contracting and the
Industrial Base. Presentation to the US House of Stacy Springs (b. 1968: USA) is Director of Programmes
Representatives Committee on Small Business. Center for at the Center for Biomedical Innovation within the
Strategic and International Studies. See: http://csis.org/ Massachusetts Institute of Technology (MIT), where
files/attachments/ts150212_Hunter.pdf she heads a programme on biologics manufacturing.
Dr Springs holds a PhD in Organic Chemistry from the
University of Texas at Austin (USA).

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UNESCO SCIENCE REPORT

In the absence of robust public policy to support

and entrench STI in the national development
process, it is researchers themselves who are
devising innovative means of driving STI.
Harold Ramkissoon and Ishenkumba A. Kahwa

A student prepares a tooth to receive a dental filling, observed by a simulator

software which can detect any incisions and compare them to an optimal one.
Among the onlookers are the Hon. Portia Simpson Miller, Prime Minister of
Jamaica, and Prof. Archibald McDonald, Principal of the Mona Campus of the
University of the West Indies.
Photo: University of the West Indies, Mona Campus

156
 Caricom
6 . Caricom
Antigua and Barbuda, Bahamas, Barbados, Belize, Dominica, Grenada, Guyana, Haiti, Jamaica, Montserrat,
St Kitts and Nevis, St Lucia, St Vincent and the Grenadines, Suriname, Trinidad and Tobago

Harold Ramkissoon and Ishenkumba A. Kahwa

INTRODUCTION socio-economic imperatives. Consequently, the 20102014

period can best be described as one of slow growth. GDP
Low growth and high debt progressed by about 1% on average over this period,
Most members of the Caribbean Common Market (CARICOM) although growth climbed to 2.3% in 2013 and growth of 3% is
are highly indebted1 (Table 6.1), as they struggle to emerge projected for 2014 (Figure 6.1).
from the global recession triggered in September 2008, which
stressed their banking system and led to the failure of a major Apart from natural resource-rich Trinidad and Tobago, which has
regional insurance2 company in 2009. After meeting their been able to weather the economic storm thus far, thanks to high
debt obligations, there is little left for the state to support commodity prices, unemployment remains high in the region.
Both Grenada and Barbados have had delicate conversations
1. The ratio of public debt to GDP rose by about 15 percentage points in the with the International Monetary Fund (IMF), while Jamaica has
Caribbean between 2008 and 2010 (IMF, 2013). signed an agreement with the IMF leading to some painful
2. The region lost about 3.5% of GDP after the failure of the CL Financial Group in adjustments. The majority of countries are dependent on tourism
January 2009; this group of insurance companies had invested in real estate and
but, as Table 6.1 shows, remittances from the regions diaspora are
other vulnerable assets in a weak regulatory environment. The group was active in
all the CARICOM countries but Haiti and Jamaica. It was based in Trinidad & Tobago, quite significant contributors to many national incomes. In Haiti,
where GDP shrank by as much as 12% (IMF, 2013). remittances even account for about one-fifth of GDP.

Table 6.1: Socio-economic indicators for CARICOM countries, 2014 or closest year

Population, Population GDP per Unemploy- Inflation, Debt to Remittances, Internet Mobile phone
Key
2014 growth, 2014 capita, 2013 ment rate, consumer prices, GDP ratio, 2013 access, subscriptions,
sectors
(000s) (annual %) (current PPP$) 2013 (%) 2013 (%) 2012 (%) (US$ millions) 2013 (%) 2013 (%)

Antigua &
91 1.0 20 977 1.1 97.8 21 Tourism 63.4 127.1
Barbuda
Bahamas 383 1.4 23 102 13.6 0.4 52.6 Tourism 72.0 76.1
Barbados 286 0.5 15 566 12.2 1.80 70.4 82 Tourism 75.0 108.1
Goods export
Belize 340 2.3 8 442 14.6 0.7 81.0 74 (agriproducts 31.7 52.9
and oil)

Chapter 6
Dominica 72 0.5 10 030 0.0 72.3 24 Tourism 59.0 130.0
Grenada 106 0.4 11 498 0.0 105.4 30 Tourism 35.0 125.6
Goods export
Guyana 804 0.5 6 551 11.1 1.8 60.4 328 33.0 69.4
and tourism
Haiti 10 461 1.4 1 703 7.0 5.9 1 780 Agriculture 10.6 69.4
Goods export
Jamaica 2 799 0.5 8 890 15.0 9.3 143.3 2 161 37.8 100.4
and tourism
Montserrat 5 Tourism
St Kitts & Nevis 55 1.1 20 929 0.7 144.9 51 Tourism 80.0 142.1
St Lucia 184 0.7 10 560 1.5 78.7 30 Tourism 35.2 116.3
St Vincent &
109 0.0 10 663 0.8 68.3 32 Tourism 52.0 114.6
Grenadines
Goods export
(energy,
Suriname 544 0.9 16 266 7.8 1.9 18.6 7 bauxite/ 37.4 127.3
alumina) and
tourism
Trinidad & Goods export
1 344 0.2 30 349 5.8 5.2 35.7 126-2 63.8 144.9
Tobago (energy)

Source: For population data: UN Department of Economic and Social Affairs (2013) World Population Prospects: 2012 Revision; for GDP and related data: World Banks World
Development Indicators, February 2015; for government debt: World Banks World Development Indicators and IMF (2013); for internet and mobile phone subscriptions:
International Telecommunications Union. IMF (2013); for remittances: World Banks World Development Indicators, February 2015; for type of economy: ECLAC.

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UNESCO SCIENCE REPORT

Figure 6.1: Economic growth in CARICOM countries, 20022013 (%)

15

12

9 Belize 5.29
8.01 Guyana 4.82

6.26
Bahamas 1.83
6 5.12
4.30 Haiti 4.30
3.65
2.90 Suriname 2.29
3 2.70 St Vincent &
1.91 the Grenadines 2.80
1.05 St Kitts & Nevis 2.00
0.67 Grenada 1.80
0 0.11
Trinidad & Tobago 1.60
-0.26
Jamaica 1.30
-2.13
Antigua & Barbuda 0.60
-3 Barbados 0.00
St Lucia -0.50
Dominica -0.80
-6

-9

-12
2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Antigua & Barbuda Bahamas Barbados Belize Dominica Grenada Guyana Haiti Jamaica
St Kitts & Nevis St Lucia St Vincent & the Grenadines Suriname Trinidad & Tobago

Source: World Banks World Development Indicators, January 2015

Despite financial constraints, there has been considerable As seen in Figure 6.3, most CARICOM countries have at least a
investment in information and communication technologies 10% chance of being struck by a hurricane each year and even
(ICTs) in recent years. In Suriname, for instance, internet moderate storms can reduce growth by about 0.5% of GDP,
connectivity progressed from 21% to 37% between 2008 according to the IMF (2013).
and 2013 and, in Trinidad and Tobago, from 35% to 64%. By
2013, almost three-quarters of the inhabitants of Barbados The region would be hard-pressed to deal with a major
and Bahamas had access. Mobile phone subscriptions have meteorological disaster, which is why it should be taking
grown at an even faster rate, including in Haiti where internet climate change adaption more seriously. This is all the more
connectivity has stagnated at less than 10%. These trends offer urgent in that the Caribbean is both the most tourist-intensive
new opportunities for businesses and are helping scientists to region in the world and set to become the most at-risk tourist
develop greater international and intraregional collaboration. destination between 2025 and 2050, according to the World
Travel and Tourism Council. Headquartered in Belize, the
Vulnerable tourism-based economies Caribbean Community Climate Change Centre (CCCCC) has
The regions fragile tourism-based economy has not received a mandate from CARICOM to3:
diversified and remains vulnerable to the vagaries of
Mother Nature (Figure 6.2). For example, winds that were n Mainstream climate change adaptation strategies into the
well beneath hurricane strength took a toll on the small sustainable development agendas of CARICOM states;
economies of St Lucia, Dominica and St Vincent and the
n Promote the implementation of specific adaptation
Grenadines in December 2013. In 2012, two hurricanes
measures to address key vulnerabilities in the region;
struck Haiti just as its economy was beginning to recover
from the devastating earthquake in January 2010 which n Promote actions to reduce greenhouse gas emissions
had destroyed much of the capital city, Port-au-Prince, through fossil fuel reduction and conservation, and
killed more than 230 000 people and left 1.5 million switching to renewable and cleaner energy sources;
homeless. In 2014, more than 60 000 people were still living
in camps; much of donor aid for rehousing has been used
to build temporary shelters which are only designed to last 3. See: www.caribbeanclimate.bz/ongoing-projects/2009-2021-regional-planning-
35 years (Caroit, 2015). for-climate-compatible-development-in-the-region.html

158
 Caricom

n Encourage action to reduce the vulnerability of natural and fossil-fuel-based electricity is also obsolete, inefficient and
human systems in CARICOM countries to the impact of a expensive to run. Conscious of this vulnerability, CARICOM
changing climate; has developed an Energy Policy (CARICOM, 2013), approved
in 2013, and an accompanying CARICOM Sustainable Energy
n Promote action to derive social, economic and
Roadmap and Strategy (C-SERMS). Under the policy, renewable
environmental benefits through the prudent management
energy sources are to contribute 20% to the total electricity
of standing forests in CARICOM countries.
generation mix in member states by 2017, 28% by 2022 and
47% by 2027. A similar policy instrument is being developed
The CCCCC has produced an implementation plan for
for the transportation sector.
20112021 and carried out work to assess and build capacity
in climate change mitigation and resilient development
Stakeholders participated in a resource mobilization forum
strategies. This work has been supported by the regions
for the first phase of C-SERMS in July 2013. The forum was
specialists, who have produced models for climate change
hosted by the CARICOM Secretariat, with support from the
and mitigation processes in Caribbean states and who play a
Inter-American Development Bank (IADB) and the German
major advisory role to the divisions in ministries responsible
Agency for International Cooperation (GIZ). The IADB has
for climate change, such as Jamaicas appropriately expanded
since provided the University of the West Indies (UWI) with a
Ministry of Water, Land, Environment and Climate Change4.
grant of over US$ 600 000 to develop capacity in sustainable
energy technologies across the region. One area of interest
Meanwhile, high energy costs impact negatively on economic
is the utilization of ICTs in managing energy and training
competitiveness and the cost of living (Figure 6.4). In 2008,
in sustainable energy technologies, with an emphasis on
over US$ 14 billion was spent on importing fossil fuels, which
enhancing the involvement of women. The participation of
are estimated to provide over 90% of energy consumed in
energy giants such as General Electric, Philips and the Scottish
CARICOM countries. The machinery needed to generate
Development Corporation augurs well for technology transfer.
The region has considerable potential for hydroelectric,
4. See www.mwh.gov.jm geothermal, wind and solar energy which, once significantly

Figure 6.2: GDP by economic sector in the CARICOM Figure 6.3: Probability of a hurricane striking
countries, 2012 Caribbean countries in a given year, 2012 (%)

Antigua & Barbuda 2.1 79.4 2.6 15.9 Jamaica 23.6

Bahamas 2.1 80.0 4.5 13.4 Bahamas 20.2

Chapter 6
Barbados 1.5 82.9 6.9 8.8 St Lucia 17.2
Dominica 14.9 69.8 3.0 12.3
Belize 17.2
Grenada* 5.6 76.9 4.9 12.6
Dominica 15.1
Guyana 21.5 44.6 3.6 30.3
Antigua & Barbuda 15.1
Jamaica 6.7 72.5 9.2 11.6
St Vincent & Gren. 12.7
St Kitts & Nevis 1.5 74.7 10.3 13.4
St Kitts & Nevis 10.2
St Lucia 3.6 81.5 3.5 13.4
Barbados 10.2
St Vincent & Gren. 7.5 72.0 6.7 13.8
Trinidad & Tobago 8.9
Suriname 9.3 51.9 23.2 15.6
Grenada 8.9
Trinidad & Tobago 0.6 42.0 6.4 51.0
Montserrat 4.7
Agriculture Services Manufacturing Other industry

*For Grenada, data are for 2011. 0 5 10 15 20 25

Note: Data are unavailable for Haiti and Montserrat.
Source: World Bank; World Development Indicators, September 2014 Source: IMF (2013)

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UNESCO SCIENCE REPORT

Figure 6.4: Electricity costs for the CARICOM countries, 2011

Household tariffs per kWh in US$, other countries and regions are given for comparison

1.0

0.9

0.8

0.7

0.6

0.5

0.4

0.3

0.2

0.1

0.0

Indonesia
Barbados
St Vincent

St Lucia

Montserrat

Antigua

Jamaica

Grenada

Bahamas

Chile

EU Average

Belize

Dominican Rep.

Japan

Singapore

Israel

USA

Suriname

Mexico

Canada

Trinidad & Tobago

Dominica

Thailand

Costa Rica
Source: IMF (2013)

exploited (as opposed to sporadically, at present), could the fluidification of markets, driven by progress in ICTs,
make a huge difference to the energy resilience of CARICOM manufacturing and automation, as well as by the lowering
countries. Some of these resources are being exploited of trade barriers and transport costs; this is encouraging
to a limited extent. One of the problems with electricity corporations around the world to spread their production
generation using petroleum sources is that the regions capacity across different locations in order to create global
machinery is obsolete, inefficient and expensive to run. To value chains: the United Nations Conference on Trade and
deal with this problem, Jamaica has approved construction of Development estimates that 80% of the worlds exports
new gas-fired electricity generation plants. of goods and services now occur through trade among
multinational enterprises. This, in turn, has spawned a fourth
The efforts of CARICOM countries to adopt sustainable energy phenomenon, the creation of megamarkets, such as the
technologies are contributing to implementation of the proposed regional free-trade agreement known as the Trans-
Programme of Action for the Sustainable Development of Pacific Partnership, involving countries from North and Latin
Small Island Developing States. First adopted5 in Barbados in America, Asia and the South Pacific6 (CARICOM, 2014).
1994, this programme was updated in Mauritius in 2005 then
again in Samoa in 2014. Where does the Caribbean fit into this new global picture?
As Ralph Consalves, Prime Minister of Saint Vincent and the
Strength in numbers: a need to develop regionalism Grenadines and former Chair of CARICOM, put it at CARICOMs
The Caribbean is in danger of being left behind, unless 40th anniversary in 2013, it is evident to all responsible
it can adapt to an increasingly knowledge-driven global persons of discernment that our region would find it more
economy that is being shaped by convergent phenomena. difficult by far to address its immense current and prospective
The first of these phenomena is the weak post-crisis recovery challenges, unless its governments and peoples embrace
of developed countries and the slowdown in growth of strongly a more mature, more profound regionalism.
developing countries, which obliges Caribbean economies
to reduce their dependence on traditional markets and
sources of foreign capital. The second phenomenon is
6. The countries participating in negotiations thus far have been Australia, Brunei
Darussalam, Canada, Chile, Japan, Malaysia, Mexico, New Zealand, Peru, Singapore,
5. See www.unesco.org/new/en/natural-sciences/priority-areas/sids USA and Viet Nam.

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 Caricom

The Strategic Plan for the Caribbean Community: 20152019 TRENDS IN STI GOVERNANCE
is CARICOMs answer to the phenomena described above
(CARICOM, 2014). The first of its kind in the region, the plan sets CARICOM plan mirrors national aspirations
out to reposition the Caribbean in an increasingly volatile global Elections are constitutionally due for eight CARICOM countries
economy. The overarching objective is twofold: to stimulate the in 2015 and the remainder between 2016 and 2019. If election
productive capability of domestic firms and correct the current results do not derail the Strategic Plan for the Caribbean
mismatch between training and the specialized knowledge Community: 20152019 and it is fully implemented, it should
and skills required by the market, in order to drive growth and provide a good framework for developing STI in the region.
combat rising levels of unemployment among the young, in
particular. The plan outlines strategies for nurturing innovation The important point here is that the collective aspirations
and creativity, entrepreneurship, digital literacy and inclusiveness captured in the Strategic Plan to 2019 are similar to those
and for making optimum use of available resources. of major national plans. For example, Trinidad and Tobagos
Vision 2020 (2002), Jamaicas Vision 2030 (2009) and the
A central aim is to reinforce the Caribbeans socio-economic, Strategic Plan of Barbados for 20052025 all share a common
technological and environmental resilience. With the aspiration to achieve socio-economic development, security,
exception of Guyana, Suriname and Trinidad and Tobago, resilience to environmental shocks and an engagement in STI
which have significant hydrocarbon or mineral reserves, to improve the standard of living. Like the Strategic Plan for
most states are small with too limited natural resources to the Caribbean Community, these national plans accord central
support rapid economic development. They will thus need importance to STI in realizing these aspirations.
to look elsewhere for wealth creation. The two key enablers
identified by the plan for improving the Caribbeans resilience The United Nations Development Assistance Facility (UNDAF)
are a common foreign policy, in order to mobilize resources programme has complemented these efforts. There are five
effectively, and R&D and innovation. The plan proposes using national UNDAF programmes for each of Jamaica, Trinidad and
advocacy to mobilize funding for business R&D from state and Tobago, Guyana, Belize and Suriname, as well as a subregional
private sources, creating an enabling legislative environment one for Barbados and the smaller CARICOM members grouped
for R&D and innovation, identifying opportunities for co- within the Organization of Eastern Caribbean States (Kahwa et
operation and devising national school-based programmes al., 2014). The UNDAF programmes have used national strategic
that drive, enable and reward R&D and innovation. planning documents to develop action plans aligned with
national priorities, via a consultative process at national levels.
The strategy focuses on the following areas to drive
economic growth: Antigua and Barbuda, the Bahamas, Belize, Jamaica,
St Lucia, Guyana and Trinidad and Tobago have all either
n Creative, manufacturing and service industries, with a articulated their S&T policies or identified and targeted specific

Chapter 6
special focus on tourism initially; priority areas, such as ICTs. In these countries, there is either
n Natural resource and value-added products, promoting the a national commission or a ministry/department responsible
integration of production; for science and technology, with Belize7 also having a Prime
Ministers Council of Science Advisors (Table 6.2).
n Agriculture and fisheries and export development, to
reduce dependence on food imports and foster sustainable Some countries have developed a roadmap for STI, like
fisheries by improving co-operative management and Jamaica. Its roadmap builds on the national consensus of
conservation and the development of aquaculture; Jamaica Vision 2030 and places STI at the centre of national
n Resource mobilization; development efforts. This roadmap was triggered by the
need, identified by Jamaicas public sector reform, for
n ICTs; operational consolidation of government and other publicly
n Air/Maritime transport infrastructure and services, to supported R&D institutions, in order to achieve efficiency
facilitate the mobility of goods and services and foster gains and accelerate innovation to pave the way to developed
global competitiveness; country status by 2030.

n Energy efficiency, diversification and cost reduction, An urgent need to map research and innovation
including the development of alternative energy to meet As recognized by the Strategic Plan for the Caribbean
CARICOMs target of 20% renewable sources by 2017, by Community: 20152019, Jamaicas Roadmap for Science,
facilitating publicprivate partnerships, in line with the Technology and Innovation and a report commissioned by the
CARICOM Energy Policy of 2013 and its companion CARICOM
Sustainable Energy Roadmap and Strategy (C-SERMS). 7. See: www.pribelize.org/PM-CSA-Web/PM-CSA-Statement-Members.pdf

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UNESCO SCIENCE REPORT

Table 6.2: Overview of STI governance in CARICOM countries, 2015

Antigua & Ministry of Education,
Barbuda Science & Technology

Suriname Ministry of Labour

& Technology
Development

Dominica Ministry of National Science &

information, Science, Technology Council
Telecommunications
& Technology

Bahamas Ministry of Education, Bahamas National

Science & Technology Environment, Science Development Plan
& Technology Vision 2040
Commission (under development)

Grenada Ministry of National Science & National Strategic National

Communications, Technology Council Development Plan transformation
Works, Physical (2007) through innovation,
Development, Public creativity and
Utilities & ICT enterprise

St Vincent & Ministry of Foreign National Centre National Economic & Improving the quality
Grenadines Affairs, Foreign of Technological Social Development of life for all
Trade & Information Innovation Inc. Plan 2013 2025
Technology (2013)

Barbados Ministry of Education, National Council Strategic Plan, A fully developed National Innovation
Science, Technology for Science and 20062025 society that is socially Competition (2003),
and Innovation Technology just and globally National Council for
competitive Science & Technology

St Lucia Ministry of National Science and National vision under Job creation through Prime Ministers Under preparation
Sustainable Technology Council preparation live local work Award for Innovation,
Development, local and tourism Chamber of
Energy, Science and development Commerce, Industry
Technology & Agriculture
Belize Ministry of Energy, Prime Ministers Horizon 2030 Vision Resilience, Yes, 2012 Energy and capacity-
Science and Council of Science (2010-2030) sustainable building in STI
Technology and Policy development and
Public Utilities high quality of life
for all
Guyana Office of the President National Science National Development Enhance national Yes, 2014 Support development
Research Council Strategy (1997) capacity to undertake programming in
development diverse sectors
programmes

Trinidad & Tobago Ministry of Science, National Institute of Vision 2020 (2002) Developed country Prime Minister's Yes, 2000 Enhancing industrial
technology and Higher Education, status by 2020 Awards For Scientific competitiveness &
Higher Education Research, Science & Ingenuity (2000) human development
Technology

Jamaica Ministry of Science, National Commission Vision 2030 (2009) Developed country National Innovation Yes, 1960 Effective exploitation STI roadmap (2012)
Technology, Energy for Science & status by 2030 Awards (2005), of natural resources
and Mining Technology Scientific Research
Council
Body responsible Additional Strategic Main objective National award STI policy R&D priorities of STI action/
for STI policy relevant bodies planning of planning (year) and body (year of STI policy implementation
document (year document responsible adoption) plan
of adoption)

Source: compiled by authors

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 Caricom

UNESCO Kingston Office (Kahwa et al., 2014), STI policy in standards. Despite the efforts by UNESCO and ECLAC, Trinidad
the region is desperately in need of: and Tobago was still the only CARICOM country providing
data on R&D in 2014.
n Systematic STI data collection and scientometric analysis
to inform policy-making;
According to ECLAC, the collection and analysis of STI
n Evidence-driven decision-making, STI policy development performance indicators remains a challenge for the
and implementation; Caribbean, despite the existence of relevant bodies, as this
task is often not included in their mandate. These bodies
n Mapping existing STI policies, related legal frameworks
include the:
and the impact of these on all national and regional
economic sectors. n Scientific Research Council of Jamaica (est. 1960), an
agency of the Ministry of Industry, Technology, Energy
In November 2013, UNESCO launched Mapping Research and and Commerce, which has a subsidiary called Marketech
Innovation in the Republic of Botswana, the first in a series Limited and a subdivision, the Food Technology Institute;
which profiles STI in individual countries, via data and
n Caribbean Industrial Research Institute in Trinidad and
sectorial analyses, combined with an inventory of
Tobago (est. 1970);
relevant institutions, the existing legal framework and
national policy instruments (UNESCO, 2013). By providing an n Institute of Applied Science and Technology (formerly the
in-depth situation analysis, these mapping exercises help National Scientific Research Centre) in Guyana (est. 1977),
countries devise evidence-based strategies to correct which is currently being resuscitated after a long period of
structural weaknesses and improve the monitoring of decline, according to its website.
their national innovation system. This type of mapping
exercise is just what the Caribbean needs. Without a similar It is not clear why Trinidad and Tobago is the only CARICOM
rigorous understanding of the status and potential of STI in country reporting R&D data but weaknesses in data collection
their countries, Caribbean governments will be advancing in may be at play. In Jamaica, the UWI has formed a partnership
a haze. According to Kahwa et al. (2014), the current poor with the Jamaica Manufacturers Association to determine
understanding of the Caribbean STI environment the nature and level of R&D activity, as well as unmet needs,
is compounded by weaknesses in institutional research in the manufacturing sector, at least. Data-gathering got
capacity and the inadequate collection, analysis and storage under way in 2014. It is planned to extend the study to
of key data, including for performance indicators. Trinidad and Tobago, where recent reports on industrial R&D
activity are not encouraging. According to the data, industrial
R&D has declined markedly in recent years (Figure 6.5). This
Lack of STI data: a persistent problem may have something to do with the drop in R&D activity in

Chapter 6
As far back as 2003, the Subregional Office for the the sugar sector.
Caribbean of the United Nations Economic Commission for
Latin America and the Caribbean (ECLAC) noted the persistent
paucity of STI indicators for the Caribbean and the negative Figure 6.5: GERD by sector of performance in
impact this was exerting on policy development, economic Trinidad and Tobago, 20002011
planning and the ability of Caribbean states to assess and deal 2000 11.1 69.1 19.8
effectively with challenges requiring innovative application 2001 11.8 68.3 19.9
of STI. The same year, ECLAC addressed the STI indicators gap
2002 11.0 70.1 19.0
by developing a Manual for the Compilation of Science and
2003 10.4 70.0 19.6
Technology Indicators in the Caribbean8.
2004 24.3 53.2 22.5
2005 29.5 45.1 25.4
The UNESCO Institute for Statistics has also published several
2006 1.5 57.6 41.0
guides for developing countries, most recently the Guide to
Conducting an R&D Survey for Countries Starting to Measure 2007 2.2 55.6 42.1

R&D9 (2014). In 2011, the UNESCO Institute for Statistics ran 2008 2.6 67.2 30.1
a training workshop in Grenada to help CARICOM countries 2009 2.2 61.3 36.5
respond to STI data surveys while respecting international 2010 57.4 42.6
2011 60.2 39.8
Business enterprise sector Government Higher Education
8. See: www.cepal.org/publicaciones/xml/3/13853/G0753.pdf
9. see: www.uis.unesco.org/ScienceTechnology/Pages/guide-to-conducting-rd- Source: UNESCO Institute for Statistics
surveys.aspx

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UNESCO SCIENCE REPORT

Chronic underinvestment in R&D depending on available funds seem to be a good incentive.

The sluggish economic growth in the Caribbean in recent Senior leaders often hand out the awards at elegant galas.
years has done little to boost STI, or deepen its engagement
in solving economic challenges. Even the more affluent To develop excellence, focus on the young
Trinidad and Tobago spent just 0.05% of GDP on research and The World Academy of Sciences (TWAS) has a regional office for
development (R&D) in 2012. Latin America and the Caribbean which awards five annual prizes
to the top senior scientist in the region. The Caribbean is yet to
Underinvestment in R&D is nothing new, however. As long ago make an appearance on winners row. TWAS also identifies the
as 2004, the Vice-Chancellor of the University of the West Indies, regions top five young scientists each year; to date, only one from
Prof. E. Nigel Harris, lamented in his inaugural address that, the Caribbean has been so honoured. There is thus still some way
if we do not invest in science and technology, we shall not cross to travel on the road to excellence.
the ramparts in the field of sustainable development and even
run the risk of perishing in the trenches of under-development. What is critical at this juncture is to focus on our young
At the time, Trinidad and Tobago was enjoying comfortable researchers. St Lucias Ministry of Youth Development and Sports
economic growth of 8% per year, which even peaked two years has understood this. It runs a National Youth Awards Scheme
later at nearly 14%; despite this, the country devoted just 0.11% which includes an award to an Outstanding Youth in Innovation
of GDP to R&D in 2004 and even less (0.06%) in 2006. Thus, poor and Technology.
economic performance alone cannot explain the extremely low
commitment to STI by CARICOM governments. Young researchers have also become a priority for two of the
Caribbeans four regional organizations, the Caribbean Science
A need for a more vibrant research culture Foundation and Cariscience.
One of the greatest challenges facing the CARICOM countries
is the need to develop a more vibrant and pervasive research Cariscience is a network of scientists set up in 1999 as an NGO
culture. While there are certainly pockets of excellence, more affiliated to UNESCO. Cariscience remains the workhorse of the
people need to be encouraged to follow their passion for region. In the past four years, it has hosted several conferences
research. Scientists themselves need to make the quantum for young scientists and a series of public lectures and summer
leap from doing good science to doing great science. schools for pre-university students in frontier areas such as
genetics and nanoscience. In 2014, Cariscience pushed back its
Despite limited funding, the Caribbean Academy of Sciences boundaries by running a training workshop on Technopreneurship
(est.1988) does its best to give CARICOM scientists international for the Caribbean in Tobago, with the International Science,
exposure by organizing biennial conferences to showcase Technology and Innovation Centre for SouthSouth Cooperation
research undertaken in the region. It also works closely with (ISTIC11) in Malaysia as its strategic partner. Of note is that the
like-minded bodies, such as the InterAmerican Network of keynote speech was delivered by Dr Keith Mitchell, Prime Minister
Academies of Sciences and the InterAcademy Panel. of Grenada, who is also the prime minister responsible for science
and technology (S&T) within CARICOM.
The intergovernmental Caribbean Council for Science and
Technology also does what it can to support the regions The Caribbean Science Foundation dates from 2010. It has chosen
scientists but it continues to be plagued by the operational the novel path of becoming a private company12 with its attendant
difficulties identified in 2007 (Mokhele, 2007). The human and Board of Directors. In its young existence, it has already launched
financial resources needed to achieve the councils objectives two programmes, both of which focus on introducing talented
have not materialized. students to innovation and problem-solving.

An encouraging development is the revival of national The first of these is the Student Programme for Innovation in
innovation awards where contestants compete for prizes and Science and Engineering (SPISE), which runs an intensive annual
the attention of investors, venture capital and opportunities four-week summer school for gifted Caribbean secondary
for further product development by academic researchers and school pupils with an interest in science and engineering.
other interested parties. These contests have taken place10 in The programme was introduced in 2012 and has enjoyed a
Jamaica, Barbados and Trinidad and Tobago. The competitions noticeable measure of success.
are taken seriously by innovators and the exposure and prize
money between about US$ 2 500 and US$ 20 000 in Jamaica, 11. ISTIC was founded in 2008 and operates under the auspices of UNESCO.
12. It was originally intended for the Caribbean Science Foundation to focus largely
10. In Barbados, the National Innovation Competition (est. 2003) is run by the on fostering universityindustry linkages. However, most industries in CARICOM
National Council for Science and Technology. In Jamaica, the Scientific Research countries do not have an R&D unit or even invest in R&D. Economies remain primarily
Council manages the National Innovation Awards for Science and Technology, mercantile.To change this culture will take time, which is why the foundation is
established in 2005. meanwhile focusing on youth.

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 Caricom

The second programme is the Sagicor Visionaries Challenge,

sponsored jointly by the Caribbean Science Foundation, Figure 6.6: Public expenditure on education,
2012 or closest year
Sagicor Life Inc., a Caribbean company offering financial
services, and the Caribbean Examinations Council. The
Sagicor Visionaries Challenge runs stimulating workshops in Public expenditure on Total public expenditure
higher education (% GDP) on education (% GDP)
secondary schools for pupils and their teachers to brainstorm
ideas for innovation and ways of improving the teaching of
science subjects and mathematics. The aim is to encourage Jamaica 1.07 6.12
pupils to develop effective, innovative and sustainable
solutions to the challenges facing them. The scheme includes
Barbados 1.70 5.61
mentorship and the organization of competitions.

Better co-ordination should avoid duplication St Vincent & Grenadines

0.36 5.13
While four regional organizations seem an adequate number (2010)
to serve a population of about seven million, there has not
generally been any co-ordination of activities up to now, St Lucia (2011) 0.22 4.41
even though this would avoid duplication and enhance
co-operation. This led Dr Keith Mitchell to launch the
CARICOM Science, Technology and Innovation Committee
in January 2014. The committee has a mandate to work with Higher education as a share of total education expenditure (%)
existing regional bodies rather than competing with them;
its objectives are to:
Barbados 30.22
n identify and prioritize areas of interest in science and
engineering for regional development;
Jamaica 17.56
n formulate projects;

n work closely with all regional bodies that will be

implementing the projects; St Vincent & Grenadines
7.01
(2010)
n help raise project funding; and

n advise the prime minister responsible for S&T within

St Lucia (2011) 5.01
CARICOM.

Chapter 6
There are currently six committee members, plus a
Source: UNESCO Institute for Statistics
representative of the diaspora from the Massachusetts
Institute of Technology in the USA. The committee is planning
to hold a high-level ministerial meeting in 2015. support for UWI, which has reacted by generating over 60%
of its income in the 2013/2014 academic year. Barbados is
heading in the same direction, despite internal opposition,
and Trinidad and Tobago is expected to follow suit.
TRENDS IN HIGHER EDUCATION
A wavering commitment to higher education Mona Campus: a success story
The CARICOM countries spend 46% of GDP on education, Of UWIs four campuses, the Mona Campus in Jamaica has
according to available data (Figure 6.6). Those with demonstrated the greatest resilience; it is leading the way in
universities to support tend to spend more than those which putting innovative funding mechanisms in place for tertiary
do not. This level of expenditure is similar to that of Brazil education: in 1999/2000, the 17 contributing Caribbean
(5.8%), France (5.7%), Germany (5.1%) and South Africa (6.6%). governments covered nearly 65% of the campuss income; by
2009/2010, this share had dwindled to 50% and by 2013/2014
Expenditure on higher education has become a controversial to 34%. The Mona Campus has developed cost containment
topic; it is argued that it is expensive and consumes a large measures and new revenue streams based on supplementary
proportion of the education budget (18% in Jamaica and tuition fees for high-demand teaching programmes such as
30% in Barbados), at the expense of early childhood and medicine (since 2006), law (2009) and engineering (2012), as
secondary-level education. In rebalancing its own education well as some commercial activities such as business process
expenditure, the Jamaican government has slashed its outsourcing and fees earned from service provision.

165
UNESCO SCIENCE REPORT

The campus has been able to devote 4.3% of its income The development of St Georges University in Grenada over the
to student support, over 75% of which goes to needy past decade has been spectacular. The university was founded in
medical students. The campus is spending 68% of annual 1976 by an act of parliament as an offshore medical training school,
income on R&D. While this is modest compared to North before introducing graduate and undergraduate programmes in
American universities which spent 1827% of their income 1993. In spite of being located in a small island country (Grenada)
on R&D, it should spearhead Jamaicas efforts to develop without a prior research pedigree, St Georges University has
an effective national innovation system. The creation of a morphed into a promising research centre in little over a decade.
resource mobilization unit, the Mona Office of Research and
Innovation, should help the campus to go after external The trend in Grenada should be encouraging to the Bahamas
grant funding and commercialize innovation from its R&D and St Kitts and Nevis, where output is also climbing steadily. The
programme. Mona Campus has also engaged in public Bahamas published just five papers in 2006 but 23 in 2013. Much
private partnerships to deal with infrastructural challenges of this output is coming from the College of the Bahamas but there
the recent construction of student accommodation and the are other contributing institutions. St Kitts and Nevis can count on
development of potable water resources are good examples. Ross University for veterinary medicine and related disciplines; it
This has made the campus a more viable and competitive produced a single paper in 2005 but 15 in 2013.
institution than it was a decade ago, a veritable success story.
Publications in the area of health are emanating from both
Women marginalized as they climb the career ladder university medical schools and hospitals, as well as government
One issue which continues to bedevil the region is the ministries and research centres (Box 6.1). By contrast, little output
disproportionately small number of women rising to the has materialized from agricultural research centres since 2005. In
highest echelons of academia. This phenomenon is quite most CARICOM countries, agriculture accounts for less than 4%
evident at the University of the West Indies, where the share of of GDP (Figure 6.2). The notable exceptions are Suriname (9%),
women diminishes as staff move up the career ladder from low Dominica (15%) and, above all, Guyana (22%) but, even here, articles
academic ranks such as lecturer, where they are the majority, on relevant topics are few and far between. Such low investment
to senior lecturer and professor, where they are in a small and output in agricultural R&D could be a threat to food security in a
minority (Figure 6.7). This imbalance in academic progress region that is still a net importer of foodstuffs.
may be resolved by giving female academic staff members
ample time to focus on research. The important thing here is While research output from non-academic, non-health related
to recognize that there is a problem, so that the causes of this R&D centres is not high, these entities provide critical services.
imbalance can be determined and the situation rectified. The Scientific Research Council in Jamaica is active in wastewater
management and provides information services on topics that
include renewable energy, education, industrial support services
TRENDS IN SCIENTIFIC PRODUCTIVITY and the development of natural products from endemic plants.
The Caribbean Industrial Research Institute in Trinidad and Tobago
Grenadas scientific output progressing fast facilitates climate change research and provides industrial support
For years, Jamaica, Trinidad and Tobago and Barbados have for R&D related to food security, as well as equipment testing
dominated scientific publishing, owing to the presence on and calibration for major industries13. The Bureaux of Standards
their soil of campuses of the University of the West Indies in St Lucia14 and St Vincent and Grenadines develop and manage
(Figures 8 and 9). Today, however, UWIs dominance has standards and ensure product quality control and compliance,
been eroded somewhat by the impressive rise in refereed including environmental monitoring.
publications from Grenada. Much of this is due to St Georges
University, which contributes about 94% of Grenadas Another challenge is the low level of intraregional collaboration.
publications. Whereas, in 2005, Grenada produced just six US researchers are the primary collaborators for the CARICOM
articles in international journals covered by the Thomson countries. Over 80% of articles from Grenada are co-authored with
Reuters Web of Science database, this number had risen to the USA and nearly 20% with Iranian collaborators. The highest level
77 by 2012. With this dramatic rise in output, Granada has of intraregional collaboration is found in Jamaica, which counts
overtaken Barbados and Guyana to become the number Trinidad and Tobago as its number four collaborator. The CARICOM
three producer in the Caribbean of the most internationally innovation framework should create a mechanism to encourage
respected publications, behind Jamaica and Trindidad and intraregional collaboration; UWIs Mona Campus has established
Tobago. When publications per 100 000 inhabitants are a small grant scheme to support quality R&D proposals from such
considered (Figure 6.9), the high productivity of Grenada collaborators.
becomes evident. It is indeed a remarkable success story that
a Caribbean country without a prior research pedigree should 13. See: www.cariri.com
have made such impressive strides on the global stage. 14. See: www.slbs.org.lc

166
 Caricom

Figure 6.7: Gender breakdown of staff at University of the West Indies, 2009/2010 academic year
By level of appointment

800 125
127
44
40
212 120
600 189 116 99

35
180 85
Number of staff

400
500
465 466
49 447
17 377
75 34 369
200
173 185
95 69 93
23 45 67 34 58
0
Male Female Male Female Male Female Male Female
2003/2004 2007/2008 2009/2010 2011/2012

Assistant lecturer Lecturer Senior lecturer Professor

Source: UWI Official Statistics and communication from the Office of Planning

Box 6.1: The Tropical Medicine Research Institute: an oasis in a public policy desert

The Tropical Medicine Research Institute All the articles published by TMRI opportunities to young promising
(TMRI) operates Caribbean-wide out of since 2000 have been funded by these researchers (through postdoctoral
the University of the West Indies (UWI). agencies. Productivity peaked at 38 positions) and competent support
It was born of the merger, in 1999, of articles in 2011 before falling back to 15 in staff, such as research nurses,
the Tropical Metabolism Research Unit 2014, the same level as in 2006. Although physicians, statisticians and equipment
and Sickle Cell Research Unit* at UWIs there are relatively few publications, these technologists. Very stringent
Mona Campus in Jamaica. are of an excellent quality, as indicated recruitment and career advancement

Chapter 6
by regular contributions to high-impact processes are also in place.
The new institute fleshed out its journals such as Science, Nature and the
mandate by adding a new entity, the Lancet. The total number of TMRIs refereed Clearly, the institute is an oasis of
Epidemiology Research Unit (ERU), and publications is actually about three times success in the desert that is Caribbean
by taking under its wing the Chronic that found in elite journals covered by the STI policy. The institute has managed
Disease Research Centre (CDRC) at the Thomson Reuters database, so there is to detach itself from the poor national
UWIs Cave Hill Campus in Barbados. potential for productivity in high-impact research environment to create a
journals to increase dramatically. competitive research programme on
The Tropical Medicine Research the global stage. Other R&D entities
Institutes long-term research projects The departure of two senior researchers have not been so savvy; they will be
are relatively well-funded, thanks to the has affected productivity. However, TMRI held back as long as they continue to
competitive funding obtained by staff has invested in staff mentorship and is place all their eggs in the basket of
from a variety of agencies over the past increasing cross-institute collaboration, non-functional or non-existent national
decade, such as the: National Institutes while still attracting significant funding; R&D policy frameworks.
of Health (USA), National Health this recipe seems set to reverse the
Fund (Jamaica), Caribbean Health negative impact of the senior researchers
Source: authors
Research Council (now the Caribbean departure.
Public Health Agency), The Wellcome *Up until 1999, the Sickle Cell Research Unit had
Trust, European Commission, Grand The Tropical Medicine Research been funded by the British Medical Research Council
(BMRC). The Tropical Metabolism Research Unit had
Challenges, Canada and Chase Fund Institute has built a research culture of been part of UWI since 1970, when it was transferred
(Jamaica). a high standard by offering mentorship from the BMRC.

167
168
Bahamas Marine Mammal
Research Organisation 9

University of Belize 10

University Hospital
of the West Indies 10

Scientific Research
Council (Jamaica) 11

Caribbean Institute of
Meteorology and Hydrology 11

Eric Williams Medical

Complex (Trinidad) 12
UNESCO SCIENCE REPORT

Northern Caribbean
University 15

Princess Margaret
Hospital (Bahamas) 23

Source: Thomson Reuters Web of Science, Science Citation Index Expanded

Caribbean Epidemiology
Centre 30

Kingston Public
Hospital (Jamaica) 32

College of the Bahamas 36

Tobago Institute of Health 41

Figure 6.8: Refereed articles by Caribbean scientists, by institution, 20012013

University of Technology
of Jamaica 41

University of
Trinidad & Tobago 48

University of Suriname 48

University of Guyana 73

St Georges University 462

University of the West Indies 4 144

 Caricom

Box 6.2: Bio-Tech R&D Institute Ltd: adding value to local medicinal plants

The Bio-Tech R&D Institute Ltd is a In October 2014, Dr Lowe and his team Initially, the Bio-Tech R&D Institute Ltd
private R&D company founded by published a paper in the European received financial support from the
Dr Henry Lowe in 2010 with the Journal of Medicinal Plants after Environmental Health Foundation, a
ambition of becoming a premier discovering that proprietary extracts not-for-profit company founded by
biotechnology company in Jamaica from the Jamaican variety of Guinea Henry Lowe, but the BTI now lives off
and the wider Caribbean. The main Hen Weed inhibited the survival of the income from sales of its own products.
research focus is on isolating pure HIV virus. Dr Lowe told the Jamaican No government funding flows to BTI.
compounds for the development of Observer at the time that these findings,
candidates for the treatment of cancer, if confirmed, might also impact the BRDI has achieved remarkable success
HIV/AIDS, diabetes and other chronic treatment of other viral diseases, such as in its first five years of existence.
diseases. Chikungunya and Ebola. In late 2014, he Henry Lowe himself was awarded
attracted international attention when the National Medal for Science
The companys research has led he launched a company (Medicanja) and Technology in 2014 by the
to the discovery and validation of to research and exploit marijuana plant Government of Jamaica.
several Jamaican medicinal plants varieties for potentially profitable medical
and their products. These include applications. This success story shows that an
Tillandsia recurvata (Old Mans Beard entrepreneur with a vision can
or Ball Moss), Guaiacum officinale The Bio-Tech R&D Institute Ltd employs provide a country and a region with
(Lignum vitae) and Vernonia species. about a dozen enthusiastic young desperately needed R&D leadership,
In February 2012, it began marketing PhD-holders and masters graduates, even in the absence of effective public
seven nutraceutical products and a who have been able to engage in policy. There is hope that public policy
line of herbal teas in Jamaica. These effective collaboration with established will evolve in the near future, now that
discoveries have spawned several laboratories locally and overseas, BRDIs achievements have attracted
publications, including six in the especially at UWI and the University the attention of the senior political
journals covered by Thomson Reuters of Maryland (USA). The company leadership.
database and as many patents.* has deepened its collaboration with
The companys formulations for the UWI, where it is establishing
nutraceutical products are produced a state-of-the-art R&D facility and
Source: authors
to the highest standards in a facility lending its entrepreneurial skill to the
*see: http://patents.justia.com/inventor/henry-lowe;
approved by the US Food and Drug commercialization of UWIs suite of

Chapter 6
www.ehfjamaica.com/pages/bio-tech-rd-institute-
Administration. intellectual property. limited

Private R&D companies emerging local Jamaica Intellectual Property Office. One known local
Private indigenous research companies are also emerging, invention which has been commercialized is a collection
such as the Bio-tech R&D Institute (Box 6.2). Cariscience has of three patents on UWIs Cardiac Surgery Simulator
admitted the institute as a member at a time when some Technology,15 which has been licensed to a US company after
university departments are finding it a challenge to meet the extensive field trials at leading US cardiac surgery schools.
criteria for membership. This is an important development The cardiac surgery simulator, which uses a combination
in the science landscape, for it means that high quality of specially harvested porcine (pig) hearts and a computer
research is no longer the preserve of universities, government controlled electromechanical pumping system to simulate
laboratories and foreign outfits. a pumping heart, gives students a much better feel for real
surgical circumstances. Each unit manufactured will bear the
Invented by the UWI label Invented by the UWI, which should help improve the
Jamaica, Trinidad and Tobago and Barbados all register some techno-savvy image of the region.
patenting activity. Jamaica has a small but growing cadre
of local inventers seeking patent ownership through the 15. US Patent numbers: 8 597 874; 8 129 102; and 7 709 815: www.uspto.gov

169
 Bahamas

UNESCO SCIENCE REPORT

Haiti
Jamaica
Antigua & Barbuda
Belize St Kitts & Nevis
Montserrat

Figure 6.9: Scientific publication trends

Dominica

in the CARICOM countries, 20052014 St Vincent &

St Lucia
the Grenadines Barbados

Grenada

Trinidad
& Tobago

Guyana

Suriname

200
Grenada and St Kitts & Nevis show strong growth
Countries with more than 15 publications between 2008 and 2014

Grenada 152
150

Trinidad &
136 Tobago 146
136

Jamaica 117

100

Haiti 60

Barbados 52
50
St Kitts &
44 Nevis 40

Bahamas 33

Guyana 23
18
17
14 Belize 16
13
12
8 Suriname 11
2 St Lucia 0
1
0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

170
Grenada has the most intensive output
Scientific publications per million inhabitants in 2014
Caricom
Grenada 1 430
St Kitts & Nevis 730
Barbados 182
Dominica 138
Trinidad & Tobago 109
Bahamas 86
Belize 47
Jamaica 42
Guyana 29
Suriname 20
St Vin. & Gren. 18
Antigua & Barbuda 11
St Lucia 11
Haiti 6

CARICOM countries publish most in health, led by Grenada and Jamaica

Cumulative totals, 2008-2014

Antigua & Barb. 2 1 1 1 13

Bahamas 37 2 2 42 5 13 1 6 4

Barbados 3 19 51 24 7 10 48 8 121 3 40 44

Belize 4 30 1 2 17 11 3 3

Dominica 13 2 25 1 2

Grenada 9 208 311 23 351 7332

Guyana 2 22 11 11 15 40 11 2 2

Haiti 3 66 2 5 23 107 24 33

Jamaica 33 179 70 7 22 75 22 528 11 2

18 3

St Kitts & Nevis 2 25 1 8 47

St Lucia 6 1 4

Chapter 6
St Vin. & Gren. 1 4 4

Suriname 2 13 2 3 14 2 27 1 2 1

Trinidad & Tobago 57 4 188 57 11 86 108 6 329 15 15

1 13

Agriculture Astronomy Biological sciences Chemistry Computer science Engineering Geosciences

Mathematics Medical sciences Other life sciences Physics Psychology Social sciences

Jamaica and Trinidad & Tobago are close partners

Main partners for seven most prolific CARICOM countries, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Bahamas USA (97) Canada (37) UK (34) Germany (8) Australia (6)
Barbados USA (139) UK (118) Canada (86) Germany (48) Belgium/ Japan (43)
Grenada USA (532) Iran (91) UK (77) Poland (63) Turkey (46)
Guyana USA (45) Canada (20) UK (13) France (12) Netherlands (8)
Haiti USA (208) France (38) UK (18) South Africa (14) Canada (13)
Jamaica USA (282) UK (116) Canada (77) Trinidad & Tobago (43) South Africa (28)
Trinidad & Tobago USA (251) UK (183) Canada (95) India (63) Jamaica (43)
Source: Thomson Reuters Web of Science, Science Citation Index Expanded, data treatment by ScienceMetrix

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UNESCO SCIENCE REPORT

Figure 6.10: USPTO patents granted to Caribbean Figure 6.11: High-tech exports by CARICOM
countries, 2008-2013 countries, 20082013
Value in millions of US$

Bahamas 34 Barbados 97.5

Cuba 29 Trindad & Tobago 42.5

Jamaica 22 Jamaica 22.2

Trinidad & Tobago 17 Suriname 18.8

Dominician Rep. 16 St Lucia 4

Antigua & Barbuda 6 Dominica 2.2

St Kitts & Nevis 5 Grenada 1.4

Barbados 4 St Kitts & Nevis 0.5

Grenada 1 Guyana 0.4

Note: Many patents are assigned to Barbados by companies but the Belize 0.3
inventors of these patents tend to have an address in the USA, so the
patent is not attributed to Barbados.

Source: USPTO Source: Comtrade database of United Nations Statistics Division

The US Patents and Trademark Office (USPTO) lists CONCLUSION

134 patents from CARICOM countries over the period
20082013, the top contributors being the Bahamas (34), Time for a detailed mapping exercise
Jamaica (22) and Trinidad and Tobago (17). See Figure 6.10. The small CARICOM countries are vulnerable to a variety of
environmental and economic shocks. Up until now, they
A handful of countries have high-tech exports have not managed to put in place and implement effective
High-tech exports from the Caribbean are modest and policy frameworks to propel STI. Consequently, important
sporadic (Figure 6.11). It is interesting to note, however, challenges in the region related to energy, water and food
that Barbados not only holds a sizeable share of Caribbean security, sustainable tourism, climate change and poverty
patents but also has the greatest value of high-tech reduction are not getting the level of input from the
exports, which rose from US$ 5.5 million in 2008 to scientific enterprise required to make a difference.
stabilize at US$ 1821 million over 20102013.
What is encouraging is that CARICOM has promulgated a
Nearly eight out of ten Barbados exports over 20082013 long-term development strategy for the region, the Strategic
concerned either scientific instruments (US$ 42.2 million) Plan for the Caribbean Community: 20152019. Moreover,
or chemistry (US$ 33.2 million excluding pharmaceuticals). engaging with STI is a pivot for this plans success, as indeed
Less revenue was earned from exports of electronics it does in several national planning documents, such as
and telecommunications (US$ 6.8 million) and computers Vision 2020 in Trinidad and Tobago, Jamaica Vision 2030 and
and office machines (US$ 7.8 million). Whereas Trinidad the Barbados Strategic Plan 20052025. What is now required
and Tobago led the region for high-tech exports in are policies that break with the implementation deficits
2008 (US$ 36.2 million), these had plummeted to of the past and effectively employ STI to accelerate the
US$ 3.5 million by the following year. Jamaicas revenue development process.
has also dipped since 2008. By contrast, Suriname
managed to increase its export earnings slightly over the It is heartening to note that, in spite of a lack of effective STI
same period. policy frameworks and wavering public support for tertiary
education, there are some bright spots on the horizon:

172
 Caricom

n Grenada has emerged over the past decade as a strong REFERENCES

contributor to STI in the region, thanks largely to the
growing productivity of St Georges University; CARICOM (2014) Strategic Plan for the Caribbean Community:
20152019. Secretariat of the Caribbean Common Market.
n the UWI Mona Campus has managed to reduce its
dependence on dwindling government funding by CARICOM (2013) CARICOM Energy Policy. Secretariat of the
generating income streams of its own; Caribbean Common Market.
n the Tropical Medicine Research Institute at UWI continues Caroit, Jean-Michel (2015) A Hati, limpossible reconstruction.
to publish high-quality papers in top journals on the global Le Monde, 12 January.
stage; and
IMF (2013) Caribbean Small States: Challenges of High Debt
n a small new local private R&D company, the Bio-tech R&D
and Low Growth. International Monetary Fund, p. 4.
Institute Limited, has muscled its way in just five years onto
See: www.imf.org/external/np/pp/eng/2013/022013b.pdf
the global scene with papers, patents and commercial
products, the sales from which are now generating a profit. Kahwa, I. A. (2003)Developing world science strategies.
Science,302: 1677.
As pointed out by Kahwa (2003) a decade ago and echoed
by the recent success stories above, in the absence of robust Kahwa, I. A; Marius and J. Steward (2014) Situation Analysis
public policy to support and entrench STI in the national of the Caribbean: a Review for UNESCO of its Sector
development process, it is researchers themselves who are Programmes in the English- and Dutch-speaking Caribbean.
devising innovative means of driving STI. It is high time UNESCO: Kingston.
that the region embarked on a detailed STI policy mapping
Mokhele, K. (2007) Using Science, Technology and Innovation
exercise, in order to get a clear picture of the current situation.
to Change the Fortunes of the Caribbean Region. UNESCO
and the CARICOM Steering Committee on Science and
Only then will countries be able to design evidence-based
Technology. UNESCO: Paris.
policies which propose credible strategies for raising investment
in R&D, for instance. The findings of the situation analysis can UNESCO (2013) Mapping Research and Innovation in the
be used to mobilize resources and strategic support for STI, to Republic of Botswana. G. A. Lemarchand and S. Schneegans
cultivate industrial participation in R&D by aligning efforts with (eds). GOSPIN Country Profiles in Science, Technology
industry needs, to reform or phase out underperforming public and Innovation Policy, vol. 1. UNESCO: Paris.
R&D institutions, to explore more politically and socially palatable
means of raising funding for R&D, to align international and
multilateral aid/borrowing on relevant R&D opportunities and to

Chapter 6
Harold Ramkissoon (b. 1942: Trinidad and Tobago) is a
develop protocols for measuring and rewarding institutional and
mathematician and Professor Emeritus at the University
individual achievements in R&D. This cannot be too difficult a
of the West Indies (Trinidad). He is also PresidentEmeritus
task when the leadership of the region is so highly educated.
of Cariscience. He has been the recipient of several
awards, including the Chaconia Gold Medal, Trinidad
KEY TARGETS FOR THE CARICOM COUNTRIES and Tobagos second-highest national award.
Prof. Ramkissoon is a Fellow of the Caribbean Academy
n Raise the share of renewable energy sources in the of Sciences, the World Academy of Sciences (TWAS) and
electricity generation mix in CARICOM member states a Corresponding Member of the Cuban Academy of
to 20% by 2017, 28% by 2022 and 47% by 2027; Sciences and Venezuelan Academy of Sciences.
n Raise the share of intra-CARICOM trade above the
current share of 1316% of intraregional trade by 2019. Ishenkumba A. Kahwa(b. 1952: Tanzania) holds a PhD
in Chemistry from the Louisiana State University (USA).
He currently serves as Deputy Principal of the University
of the West Indies (Jamaica), after having served as Head
of the Department of Chemistry from 2002 to 2008 and
as Dean of the Faculty of Science and Technology from
2008 to 2013. Prof. Kahwa has a keen interest in both
environmental research and policy and the interactions
between society and the sciencetechnologyinnovation
triad.

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UNESCO SCIENCE REPORT

A variety of policy instruments have

been introduced to make endogenous
research more responsive to the needs
of the productive system and society at
large. This is now beginning to bear fruit
in some countries.
Guillermo A. Lemarchand

A young man from the Achuar Territory in

Ecuador holds up a frog. There is a growing
research focus on pharmacology, biodiversity
and the sustainable management of natural
resources in Latin America.
Photo: James Morgan/ Panos

174
 Latin America
7 . Latin America
Argentina, Plurinational State of Bolivia, Brazil, Chile, Colombia, Costa Rica, Cuba, Dominican Republic, Ecuador,
El Salvador, Guatemala, Honduras, Mexico, Nicaragua, Panama, Paraguay, Peru, Uruguay, Bolivarian Republic of Venezuela

Guillermo A. Lemarchand

INTRODUCTION although South America is set to contract by 0.4%, Central

American economies and Mexico are likely to expand by 2.7%
Development slowing after a buoyant decade (ECLAC, 2015a).
Latin America consists essentially of middle-income
economies1 with very high (Argentina, Chile, Uruguay and Prospects for Central America have improved, thanks to the
Venezuela), high or medium levels of development. Chile healthy economic growth of their biggest trading partner,
has the highest GDP per capita and Honduras the lowest. the USA (see Chapter 5), and lower oil prices since mid-2014.
Within countries, inequality is among the highest in the Moreover, declining prices for raw materials since the end of
world, even though there has been some improvement in the commodities boom in 2010 should give countries in Central
the past decade. According to the United Nations Economic America and the Caribbean which are net importers of these
Commission for Latin America (ECLAC), the four countries products some breathing space. The Mexican economy is
with the lowest levels of poverty are, Honduras, Brazil, also dependent on North Americas performance and is, thus,
Dominican Republic and Colombia (on Brazil, see Chapter 8). looking more dynamic. Present reforms in Latin America within
the energy and telecommunications sectors, in particular,
The Latin American economy grew by just 1.1% in 2014, are expected to push up growth rates in the medium term.
meaning that GDP per capita actually stagnated. Preliminary Meanwhile, growth forecasts are being revised downwards for
figures for the first quarter of 2015 suggest an ongoing those countries of South America that export raw materials.
slowdown in activity since the decade-long commodities GDP is most dependent on this type of export in Venezuela,
boom wound down in 2010 (see also Figure 7.1); some of followed by Ecuador and Bolivia then Chile and Colombia.
the regions larger economies could even experience a
contraction. While the region is expected to grow by about The Andean countries of Chile, Colombia and Peru are in a
0.5% on average in 2015, this masks a fairly wide variation: comparatively enviable position but this may be short-lived,
since their growth is expected to falter. Paraguay is also
1. Argentina and the Bolivarian Republic of Venezuela have had high inflation rates showing strong growth, as it recovers from a severe drought
for the past few years. However, the official exchange rate has remained flat, a
factor which might generate some distortions in the real GDP per capita values
in 2012, whereas Uruguays economy is growing at a more
expressed in US dollars. For a discussion of this issue, see ECLAC (2015a). moderate rate.

Figure 7.1: Trends in GDP growth in Latin America, 20052009 and 20102014
8.3

20052009
8.2

20102014
7.1

6.8
6.5

6.4

Chapter 7
6.1

5.9
5.8

5.7

5.3
5.1

5.0

5.0
4.8
4.8

4.7

4.7

4.7
4.6
4.3

4.3

4.1

3.7

3.7
3.6

3.6

3.4

3.3
3.2

2.9

2.7
2.7

2.1

1.9
1.8

1.5
1.1

a
a

ba

ico
a
ica

a
pu an

as
ia
a
a
m u

ile
ne c

ay

or
y

il
do

gu
am

bi

al
in
el
Ve bli

ua
r

az
liv

ur
Pe

ad
Cu

Re inic

Ch

gu
aR

ex
em
zu

m
nt

ua

ra
ug

Br
Bo

nd
n

lv
lo

ra

M
ge
Pa

ca
st

at
Ec
Ur

Sa
Co

Ho

Pa
Co
Ar

Ni
Do

Gu

El

Note: Data for Cuba cover 20052009 and 20102013.

Source: World Banks World Development Indicators, September 2015

175
UNESCO SCIENCE REPORT

In Venezuela, the collapse of the Brent crude price since 2015 to face charges of fraud after months of street
mid-2014 has complicated an already difficult political protests; such a development would have been inconceivable
situation but the economy is still performing vigorously. a few decades ago, suggesting that the rule of law has
Argentina, meanwhile, is facing a debt crisis that has pitched gained traction in Guatemala. The normalization of bilateral
it against private creditors in the USA; it showed almost zero relations with the USA in 2015 should give Cuban science
growth in 2014 and this indicator may slip further in 2015. a considerable boost. Meanwhile, political tensions persist
The combination of numerous administrative barriers and in Venezuela, the only country in the region to have seen
successive fiscal and monetary policies designed to stimulate its scientific publications decline between 2005 and 2014
household and business spending have engaged both (by 28%).
Argentina and Venezuela in a spiral of high inflation levels
and low foreign reserves. Political stability, the absence of violence, government
effectiveness and the control of corruption are all vital
On the political front, there has been some turbulence. to achieve long-term development goals and improve a
A corruption scandal involving the Brazilian oil company countrys scientific and technological performance. However,
Petrobras has taken a political turn (see Chapter 8). only Chile, Costa Rica and Uruguay currently have positive
In Guatemala, President Prez Molinaresigned in September values for all of these governance indicators. Colombia,

Figure 7.2: Relation between governance indicators and scientific productivity in Latin America, 2013
2.0

300 articles per million inhabitants

1.5 Chile

50 articles per million inhabitants

Note: The size of the bubble is proportionate to

the number of articles per million inhabitants in 1.0
2013. Horizontal and vertical axis values should be
read from the centre of each bubble.

0.5
Government effectiveness (2013)

Costa Rica
Uruguay
Mexico Panama
Colombia
Brazil El Salvador
0.0
-2.0 -1.5 -1.0 -0.5 0.5 1.0 1.5 2.0

Peru Argentina
Bolivia
Cuba
-0.5
Ecuador Dominican
Honduras Republic
Guatemala

Nicaragua
Paraguay -1.0

Venezuela

-1.5

-2.0

Political stability/absence of violence (2013)

Source: author, based on World Banks Worldwide Governance Indicators; United Nations Statistics Division; and Thomson Reuters Science Citation
Index Extended

176
 Latin America

Mexico and Panama can boast of government effectiveness The majority of Latin American economies specialize in low
but not of political stability, owing to internal conflicts. technology, however, not only in terms of the content of
Argentina, Cuba and the Dominican Republic all have positive their manufactured goods but also insofar as firms investing
values for political stability but are less effective when it in an industry tend to operate at a considerable distance
comes to policy implementation. The remainder of countries from the technological frontier. In addition to involving more
have negative values for both indicators. It is interesting to innovation, the production and export of medium- or high-
note the high correlation between good governance and tech goods requires a higher level of physical and human
scientific productivity (Figure 7.2). capital than low-tech products or those based on natural
resources.
A regional union modelled on the EU
At the regional level, one of the most momentous In recent decades, the region has experienced mixed fortunes
developments in recent years has been the creation of the in incorporating technology into its exports. Mexico and,
Union of South American Nations (UNASUR). The treaty was to a lesser extent, Central America, have achieved a radical
approved in May 2008 and entered into force in March 2011; transformation from commodities to medium- and high-tech
the South American Council of Science, Technology and manufactured products, thanks to special import regimes and
Innovation (COSUCTI) was established a year later within export-oriented manufacturing. By contrast, the technological
UNASUR to foster scientific co-operation. content of South American exports has not changed. This is
because, on the whole, Latin America specializes in primary
The new regional body is modelled on the European Union production.
(EU) and, thus, embraces the principle of the freedom of
movement of people, goods, capital and services. UNASURs Only in Costa Rica and, to a lesser degree, Mexico, do
12 members2 have plans to establish a common currency certain high-tech exports drive economic growth to an
and parliament (in Cochabamba, Bolivia) and are discussing extent comparable with developing European economies
the idea of standardizing university degrees. UNASURs (Figure 7.3). Moreover, there has been a decline in the high-
headquarters are located in Quito (Ecuador) and its Bank of tech component of manufactured exports from Mexico (and
the South in Caracas (Venezuela). Rather than creating other Brazil) since 2000. In Costa Rica, the large share of high-tech
new institutions, UNASUR plans to rely on existing trade blocs exports can be explained by the arrival of Intel, Hewlett
like the Common Market for the South (MERCOSUR) and the Packard and IBM in the late 1990s; this drove high-tech goods
Andean Community. to a peak of 63% of manufactured exports before their share
stabilized at around 45%, according to the UNESCO Science
High-tech exports drive growth in very few countries Report 2010. In April 2014, Intel announced that it would
The sectorial distribution of FDI in Latin America follows be relocating its microchip assembly plant in Costa Rica to
a very distinct pattern. In 2014, 18% of the regions Malaysia. Intel is estimated to have brought in 11% of net
technology-oriented FDI focused on low-tech projects, 22% FDI inflows in 20002012 and represented 20% of Costa
on mediumlow, 56% on mediumhigh and only 4% on Rican exports in recent years. The cost to Costa Rica of the
high-tech projects. Investment in high technology tends closure of Intels production facility has been estimated at
to be destined for Brazil and Mexico, where much of it is 0.30.4% of GDP over a 12-month period. The closure may
captured by the automotive sector. At the other extreme, this reflect the highly competitive market for microchip assembly Chapter 7

type of technology accounts for less than 40% of FDI flows or the declining demand for personal computers worldwide.
to Colombia, Panama and Peru. In Bolivia, the commodities Although Intel wound up its assembly operations in Costa
sector receives the lions share, especially the mining industry. Rica with the loss of 1500 jobs in 2014, it also added about
In Central America and the Dominican Republic, where non- 250 high-value jobs to the companys R&D group based
renewable natural resources are scarce and investment in in Costa Rica (Moran, 2014). Meanwhile, Hewlett Packard
maquiladoras3 is not very capital-intensive, most investment announced in 2013 that it would be moving 400 jobs in ICT
goes to the services sector, which in the case of the services from its Costa Rican operations to Bangalore in India
Dominican Republic includes a competitive tourism sector. but that it would be remaining in Costa Rica.
Ecuador, Colombia and especially Brazil have a more balanced
distribution of FDI (ECLAC, 2015b). A recent comparison with Southeast Asia has shown that the
unfavourable conditions for trade in Latin America, such as
time-consuming administrative procedures for exports, have
2. Argentina, Bolivia, Brazil, Chile, Colombia, Ecuador, Guyana, Paraguay, Peru, discouraged export-intensive firms in the region from deeply
Suriname, Uruguay and Venezuela
integrating global supply chains (Ueki, 2015). Trade costs are
3. A maquiladora is an export-processing zone where factories are exonerated from
custom duties to enable them to assemble and transform goods using imported
also negatively affecting the development of internationally
components, many of which are then re-exported. competitive manufacturing industries in Latin America.

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UNESCO SCIENCE REPORT

Figure 7.3: Technological intensity of Latin American exports, 2013

45
70

Costa Rica

40 60

50
35

Costa Rica 43.3

40
High-tech exports as a percentage of manufactured exports (2013)

30
Cuba 35.4

30

25
23.0

20
Mexico 16.0
20

Brazil 9.6
10
8.4 7.9 Argentina 9.9
Mexico
6.5 5.2 5.7 Colombia 7.4
15 Chile 4.9
2.0

0
19901992 19931995 19961998 19992001 20022004 20052007 20082010 20112013

Argentina
10
Uruguay
Brazil
Bolivia
Colombia

Paraguay

Chile Guatemala
5

Ecuador El Salvador
Peru

Dominican Republic
Venezuela Nicaragua
Panama
0
0 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80

Manufactured exports as a percentage of merchandise exports (2013)

Source: author, based on raw data from the World Bank accessed in July 2015

178
 Latin America

TRENDS IN STI POLICY AND the public and/or private sectors (Lemarchand, 2010; CEPAL,
2014; IDB, 2014). In Colombia, for instance, 10% of the revenue
GOVERNANCE
from the General Royalties System Fund (est. 2011) goes
A growing public policy focus on R&D towards STI. In Peru, 25% of the royalties from the exploitation
Over the past decade, several Latin American countries of various natural resources are allocated to the regional
have given their scientific institutions more political weight. government where the mining took place through what are
Honduras, for example, has passed a law (2013) and related known as Canon funds (est. 2001); of these royalties, 20%
decree (2014) creating a national innovation system is earmarked exclusively for public investment in academic
composed of the National Secretariat for Science, Technology research that promotes regional development through
and Innovation (SENACIT) and the Honduran Institute of science and engineering. In Peru, 5% of the royalties from
Science, Technology and Innovation (IHCIETI), among other mining are allocated to universities by law (2004). A similar law
bodies, including a national foundation for funding STI. adopted by Chile in 2005 allocates 20% of mining revenue to
In 2009, Colombia passed a law defining the attributes and an innovation fund (IDB, 2014).
mandates of each individual institution within its entire
national innovation system. In so doing, it followed in the The most traditional mechanisms for promoting scientific
footsteps of Panama (2007), Venezuela (2005), Peru (2004), research in Latin America are competitive grants and centres
Mexico (2002) and Argentina (2001). of excellence. Competitive funds may target infrastructure and
the equipping of laboratories, take the form of travel grants,
In some cases, these new legal frameworks require that STI research grants, technological development grants or financial
policies be approved by interministerial councils like the incentives that reward a researchers scientific productivity.
ScientificTechnological Cabinet (GACTEC) in Argentina. In Argentinas Incentive Programme for University Teachers
other cases, STI policies may be approved by more eclectic who conduct scientific research and the National System of
councils bringing together the president, secretaries of state, Researchers (SNI) in Mexico6 have played a fundamental role
academies of sciences and representatives of the private in expanding academic research. Two examples of centres of
sector, as in the case of the Council for Scientific Research, excellence are the Programa Iniciativa Cientfica Milenio in Chile
Technological Development and Innovation (CGICDTI)4 in and the Centro de Excelencia en Genmica in Colombia.
Mexico. The most complex and sophisticated institutional
ecosystems are found in the larger, richer economies of Over the past two decades, most Latin American countries have
Argentina, Brazil, Chile and Mexico.5 created specific funds for competitive research and innovation.7
Most of these funds originated from a series of national loans
Argentina, Brazil and Costa Rica all have Ministries of Science, provided by the Inter-American Development Bank (IDB). The
Technology and Innovation. In Cuba, the Dominican Republic IDB wields considerable influence over the design of national
and Venezuela, on the other hand, the science ministry shares research and innovation policies by proposing specific terms
its mandate with higher education or the environment. Chile of reference for how these loans should be allocated: as
has a National Innovation Council and Uruguay a Ministerial competitive grants, credits, scholarships, for publicprivate
Cabinet for Innovation. Several countries still have National partnerships, new evaluation and assessment procedures, etc.
Science and Technology Councils with policy planning
attributes, as in Mexico and in Peru. Other countries have Cuba adopted this competitive funding model in 2014 Chapter 7

national secretaries of science and technology, such as Panama with the creation of the Financial Science and Innovation
and Ecuador. In March 2013, Ecuador also created a National Fund (FONCI), which promotes research and innovation in
Council for Science and Technology (see p. 203). Some have the public and business enterprise sector. This is a major
administrative departments responsible for science and breakthrough for Cuba, considering that, up until now, the
technology, like Colombias Administrative Department for bulk of the research budget for all R&D institutions, personnel
Science, Technology and Innovation (Colciencias). and research projects has come from the public purse.

6. respectively the Programa de Incentivo a Docentes Investigadores (Argentina)

A variety of sophisticated funding schemes for R&D and Sistema Nacional de Investigadores (Mexico); both programmes established
Over the past decade, many countries have formulated a financial incentive for university teachers, according to their annual scientific
productivity and their category of researcher
strategic plans and designed a variety of new policy
instruments, including fiscal incentives, to foster innovation in 7. Examples are the Fondo para la Investigacin Cientfica y Tecnolgica (FONCYT)
and Fondo Tecnolgico Argentino (FONTAR, Argentina), Fondo de Fomento
al Desarrollo Cientfico y Tecnolgico (FONDEF, Chile), Fondo de Riesgo para la
4. Consejo General de Investigacin Cientfica, Desarrollo Tecnolgico e Innovacin
Investigacin (FORINVES, Costa Rica), Fondo Financiero de Ciencia e Innovacin
5. The complete organizational charts of all Latin American and Caribbean (FONCI, Cuba), Fondo de Apoyo a la Ciencia y Tecnologa (FACYT, Guatemala),
countries can be found at UNESCOs Global Observatory of STI Policy Instruments Fondo Nacional de Ciencia y Tecnologa (FONACYT, Paraguay), Fondo para la
(GOSPIN), which developed a prototype in 2010 for monitoring these national Innovacin, Ciencia y Tecnologa (FINCYT, Peru) and the Agencia Nacional de
innovation systems. See: http://spin.unesco.org.uy Investigacin e Innovacin (ANII, Uruguay)

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UNESCO SCIENCE REPORT

A shift towards sectorial funding of R&D Sectorial funds are one illustration of the diversity of
Brazil established 14 sectorial funds between 1999 and sophisticated policy instruments (Table 7.1) promoting
2002 to channel taxes8 levied on specific state-owned research and innovation in Latin America, even if these
companies towards fostering industrial development in key instruments have proved more effective in some countries
industries and services such as oil and gas, energy, space or than others. All countries face the same challenges, however.
information technology. Argentina, Mexico and Uruguay For one thing, there is a need to link endogenous research
have all reoriented their policies towards this type of vertical with innovation in the productive sector this problem was
funding, as opposed to horizontal funding which tends not to already highlighted in the UNESCO Science Report 2010 and
prioritize fields. Mexico adopted 11 sectorial funds in 2003 and stems from the lack of long-term industrial policies (over
a 12th for sustainability research in 2008. Other examples are decades) to promote private-sector innovation. There is also a
Argentinas Sectorial Fund (FONARSEC, est. 2009) and the fund need to design and develop more effective policy instruments
for software (FONSOFT, est. 2004), as well as the Innovagro to connect the demand and supply sides of national
Sectorial Fund for the Uruguayan agro-industry (est. 2008). innovation systems. In addition, there is a weak culture of
evaluation and oversight for scientific programmes and
Brazil launched its own Inova-Agro programme in mid-2013. projects in most Latin American countries; only Argentina and
Inova-Agro has since become the main tool for channelling Brazil can boast of having institutions that conduct strategic
funding to the agribusiness sector disbursed by the National foresight studies, the Centre of Management and Strategic
Bank for Economic and Social Development (BNDES), since Studies (CGEE) in Brazil and the new Interdisciplinary Centre
it accounts for over 80% of the total of circa US$ 27 million; for Studies in Science, Technology and Innovation (CIECTI)9 in
more than four-fifths of Inova-Agro funding targets livestock, Argentina, which opened in April 2015.
fisheries and aquaculture.
9. Centro de Gesto e Estudos Estratgicos (Brazil) and Centro Interdisciplinario de
8. For details, see the UNESCO Science Report 2010. Estudios en Ciencia, Tecnologa e Innovacin (Argentina)

Table 7.1: Inventory of operational STI policy instruments in Latin America, 20102015
Policy instruments to:
Number of operational policy
Country instruments by objective a. strengthen production of new endogenous scientific
knowledge;
a b c d e f g h i j k l m
b. strengthen the infrastructure of public and private
Argentina 22 9 25 2 32 15 5 4 5 14 12 10 38 research laboratories;

Bolivia 2 1 1 1 8 1 1 1 4 3 1 5 c. build capacity in research, innovation and strategic

planning;
Brazil 15 10 31 6 6 15 5 5 5 8 4 27
d. strengthen gender equality in research and
Chile 25 12 25 6 24 17 7 6 14 6 37 innovation;
Colombia 6 1 2 1 10 1 1 3 2 2 1 6 e. strengthen the social appropriation of scientific
Costa Rica 2 2 10 2 23 4 3 4 4 4 knowledge and new technologies;

Cuba 5 1 f. develop strategic S&T areas;

Dominican Rep. 1 g. strengthen science education from primary to

postgraduate levels;
Ecuador 5 4 2 2 4 1 1 4
h. develop green technologies and technologies
El Salvador 4 2 5 9 1 6 2 fostering social inclusion;
Guatemala 3 6 6 2 1 4 i. promote indigenous knowledge systems;
Honduras 1 1 1 2 1 j. strengthen co-ordination, networking and
integration processes in the research and innovation
Mexico 16 9 13 5 6 14 6 3 4 6 5 19
eco-system to promote synergies among the
Nicaragua 1 1 1 government, university and productive sectors;

Panama 5 2 14 6 3 1 1 1 4 k. strengthen the quality of technology foresight

studies to: assess the potential of high-value
Paraguay 8 1 6 5 4 1 3 2 5 3 markets; develop business plans for high-tech
Peru 10 7 12 1 6 3 5 1 1 2 6 companies; construct and analyse long-term
scenarios; and provide consulting services and
Uruguay 13 3 11 1 13 9 2 3 3 8 4 14 strategic intelligence;
Venezuela 5 1 3 2 7 2 1 2 l. strengthen regional and international co-operation,
networking and promotion of science and
Source: compiled by author on the basis of operational policy instruments collected by UNESCOs
technology;
Montevideo office (http://spin.unesco.org.uy) and categorized using the new GOSPIN methodology:
see UNESCO (2014) Proposed Standard Practice for Surveys on Science, Engineering, Technology and Innovation m. promote start-ups in high-tech fields and new niche
(SETI) Policy Instruments, SETI Governing Bodies, SETI Legal Framework and Policies products and services with high added value.

180
 Latin America

TRENDS IN HUMAN RESOURCES Many Bolivians, Colombians, Ecuadorians and Peruvians

choose to study in Latin America but outside their home
Spending on tertiary education high country. Relative to population, Bolivia still figures high on the
Many Latin American governments devote more than 1% list but is this time joined by Nicaragua, Panama and Uruguay.
of GDP to higher education (Figure 7.4), a level typical of Cuba is one of the most popular student destinations within
developed countries. Moreover, in Chile and Colombia, there Latin America; the UNESCO Institute for Statistics estimates
has been strong growth in both expenditure per student and that there are around 17 000 students from other Latin
in university enrolment since 2008. American countries living in Cuba, compared to 5 000 in Brazil
and around 2000 in each of Argentina and Chile.
Both the number of university graduates and tertiary
institutions have been expanding steadily for decades. Schemes to strengthen knowledge networks
According to the UNESCO Institute for Statistics, more than In light of the shortage of engineers, geologists, oceanographers,
2 million bachelors or equivalent degrees were awarded in meteorologists and other specialists, Argentina, Brazil and Chile
Latin America in 2012, a 48% increase over 2004. Most of the have all introduced a series of financial incentives and scholarships
graduates were women.10 The rise in PhD degrees has been to attract undergraduates to these strategic fields. They have also
almost as spectacular: 44% since 2008 (23556 in 2012). The adopted new scholarship schemes to attract foreign nationals to
share of PhD-holders in the general population in the more PhD programmes. In 2013, the Mexican National Council for Science
advanced countries of Latin America compares well with the and Technology (CONACYT) and the Organization of American
figures for China, India, the Russian Federation and South States jointly created a programme offering 500 scholarships over
Africa but not with the most developed countries (Figure 7.4). the next five years for postgraduate education in biology, chemistry,
Earth sciences, engineering, mathematics and physics, in order to
Six out of ten graduates at the bachelors level specialize in facilitate graduate student exchanges within the Americas.
social sciences (Figure 7.4), compared to only about one in
seven for engineering and technology. This trend contrasts Another milestone has been the founding of a research institute
starkly with that in emerging economies such as China, the in collaboration with UNESCOs Abdus Salam International
Republic of Korea or Singapore, where the great majority of Centre for Theoretical Physics (ICTP), the So Paulo State
graduates study engineering and technology. In 1999, there University and the So Paulo Research Funding Agency: the
was an equal share of PhD students studying social sciences ICTPSouth American Institute for Basic Research, located
and natural and exact sciences in Latin America but the region within the State University of So Paulo. Between 2012 and
has never recovered from the strong disaffection for the latter 2015, this new institute organized 22 regional graduate schools,
fields witnessed at the turn of the century (Figure 7.4). 23 regional workshops and 18 regional mini-schools.

High ratios of students living abroad In recent decades, several Latin American countries have sought
Among students from the region enrolled in tertiary study to strengthen knowledge networks at home by reinforcing
abroad, there were four times as many (132806) living in ties with the diaspora. Those proposing the greatest variety of
North America or Western Europe as in Latin America (33546) student scholarships and training schemes are Argentina, Brazil,
in 2013 (Figure 7.4). Although the more populous countries Chile and Mexico. In Argentina, the Races Programme (races
account for the majority of these international students, meaning roots) became a state policy in 2008; this programme Chapter 7

some smaller countries also have large contingents, such as has repatriated around 1200 highly qualified researchers since its
Ecuadorians in the USA (Figure 7.4). The highest ratios (per creation in 2003, in parallel to promoting the creation of networks
national population) of students living in developed countries of Argentinean scientists in developed countries.
are to be found in Ecuador, Colombia, the Dominican
Republic and Panama. Other examples are the Mexican Talent Network (Red de
Talentos Mexicanos, est. 2005), the Bilateral Forum on Higher
Some 3 900 students of Latin American origin were awarded Education, Innovation and Research involving Mexico and the
PhDs in science or engineering in US universities between USA (FOBESII, est. 2014), Chile Global and, in Brazil, Science
2008 and 2011 (NSB, 2014). Although between one-third without Borders (see Box 8.3). Colombia, Ecuador and Uruguay
and half typically announce their intention to stay in the USA have also put in place well-funded initiatives. Some schemes
indefinitely, the number of PhDs and postdocs returning from favour the repatriation of scientists, with a set of sophisticated
study abroad can rival the number trained at home, as in the mechanisms for the co-ordination of these schemes with
case of Panama. industrial and production development policies to ease the
absorption of these highly skilled people into the domestic
10. The highest shares were found in Panama and Uruguay (66%), the Dominican
Republic and Honduras (64%), Brazil (63%), Cuba (62%), Argentina (61%), El Salvador
economy. Others promote short visits (23 months) by experts
(60%), Colombia (57%), Chile (56%) and Mexico (54%). for the purposes of teaching graduate courses.

181
 Figure 7.4: Trends in higher education in Latin America,
19962013 4.47%
Share of GDP spent on higher
Eleven countries devote more than 1% of GDP to higher education education by Cuba, the highest
Expenditure on higher education as a share of GDP, 2013 or closest year (%) in the region

4.47
0.29%
Share of GDP spent on higher
education by El Salvador, the
lowest in the region

1.61 1.55
1.43
1.19 1.14 1.11 1.11 1.08 1.04 1.02 0.96 0.93 0.87
0.74
0.55
0.35 0.29
y -2

a -3

r -1

2
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Pa
ca
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+n/-n = data refer to n years before or after reference year

The great majority of first-degree graduates in Latin America study social sciences
Distribution of bachelors degrees by field of study, 19962012 (%)

60

55.84

51.77

50

Social sciences
Engineering & technology
Medical sciences
Humanities
40
Natural & exact sciences
Agricultural sciences
Unassigned

30

23.16

20

15.33
14.04

14.00

10
6.45

4.24 5.66
3.92
2.87
0.00 2.50
0 0.21
1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

182
 Brazil has the most PhD graduates per million inhabitants in Latin America Latin America
PhD graduates per million inhabitants, 2012

23 556
Countries outside Latin America are given for comparison

333 299
277 Number of doctorates awarded
255
240 in Latin America and the
Caribbean in 2012
201
176

70
60
39 44 42
36 31 25 25 16 16 13 8 5 4 2 1 1
y

lia

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The share of PhD graduates in natural sciences has not recovered since this indicator plunged
a decade ago
Distribution of PhDs in Latin America by field of study,19962012 (%)
50
48.06

40 38.07
Social sciences & humanities Natural & exact sciences
33.86 Engineering & technology Agricultural sciences
30
Medical sciences Unassigned

20
14.75
11.86 13.34
10 10.95
10.20 10.19
5.87
0.00 3.80
0
1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

Students head for Western Europe and North America more than other Latin American countries,
with the exception of those from Bolivia, Nicaragua, Paraguay and Uruguay

132 814
Number of Latin American university students living abroad, 2013
Chapter 7

Destination: Latin America

27 793

Destination: North America & Western Europe

Number of Latin American university
24 632

students heading to Western Europe

or North America in 2013
19 621

10 380
10 288
7 934
6 493
5 812
5 221

4 152

3 930

3 158
3 236

2 717
2 170

2 060
1 915

1 755
1 749

1 733

1 774
1 674

1 612
1 596

1 395

1 278

1 321
1 241

1 052

1 053
1 084

998
954

812
750
347

380
290

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Source: For higher education spending and students living abroad: UNESCO Institute for Statistics: for graduates; RICYT database, July 2015; for PhD students per
million inhabitants, estimations based on data from the UNESCO Institute for Statistics and United Nations Statistics Division

183
UNESCO SCIENCE REPORT

The Start-Up Chile programme (2010) takes a different Most countries need more researchers
approach. Its aim is to attract entrepreneurs from around In the past few years, there has been a leap in the number
the world in the hope that their presence in Chile will of full-time equivalent (FTE) researchers in Costa Rica,
help transmit tacit entrepreneurial knowledge to local Ecuador and Venezuela, whereas other countries have seen
entrepreneurs in a way that would be impossible through less vigorous growth (Figure 7.5). Latin American countries
traditional training and scholarship programmes (see also generally trail dynamic open economies for the number of
Box 7.1). researchers per million inhabitants, although the top two

Box 7.1: Tenaris: a corporate university building industrial skills in-house

Attracting and retaining talented oil and gas industry, with facilities Internal experts recruited from within
scientists and engineers remains in nine countries* that employ over the company serve as the main body
a big challenge for the industrial 27000 people. of instructors.
sector in Latin America. In the past
two decades, top companies have Tenaris University has based its global The company has compensated for
been investing in the development campus in Campana (2008), Argentina, the recent drop in global demand
of corporate universities around the and has three other training facilities in for its products by augmenting the
world: Motorola, Mastercard, Toyota, Brazil, Italy and Mexico. The university number of hours employees spend in
Cisco, etc.. offers employees the choice between training. This way, employees should
450 e-learning and 750classroom return to the factory floor with better
In 2005, Tenaris a company of courses at its Industrial Schools (for skills once production picks up again.
Argentinian origin created the first company engineers), Schools of Finance
corporate university in Latin America. and Administration, Commercial *Argentina, Brazil, Canada, Colombia, Italy, Japan,
Mexico, Romania and the USA
Tenaris is a leading manufacturer of Management, Information Technology
seamless steel pipes for the worlds and its Schools of Technical Studies. Source: compiled by author

Figure 7.5: Researchers (FTE) in Latin America, 19962013

150 000
Brazil 138 653

120 000

90 000
73 875 Argentina
60 000 51 685

24 804 Mexico
30 000 43 592
19 894
1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
10 000
Venezuela 8 686

8 000 Colombia
7 702
Chile
6 803
6 000
Costa Rica
5 551 6 107

4 000
Ecuador
2 668 2 735
Uruguay
1 803
2 000 Nicaragua
1 159 548 388
983 54 Bolivia Panama Paraguay
590 724 1 646 438 1 081
313 481 Guatemala
0 411
Source: UNESCO Institute for Statistics

184
 Latin America

Figure 7.6: Researchers (FTE) in Latin America per thousand labour force, 2012
Countries outside Latin America are given for comparison

15.9
14.9

12.92
11.6

9.2

3.02
2.11
1.48
1.08 0.88 0.63 0.41 0.37 0.35 0.32 0.06
l

ica

ico

ay

0)

ile

a
ae

ga

10

10
ar

ua
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al
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an

01
gu

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nm

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20

20
ap

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Fi

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Source: UNESCO Institute for Statistics

countries Argentina (1 256) and Costa Rica (1 289) both Mexico. Brazil is the only country with an R&D effort of more
have ratios above the world average: 1083 (see Table 1.3). than 1% of GDP (see Chapter 8 and Figure 7.7).

Argentina still has the most full-time equivalent (FTE) GERD has remained relatively constant in Latin America over
researchers per thousand labour force. Argentinas ratio is even the past few decades (Lemarchand, 2010, p. 3537). Since 2006,
twice that of Brazil, 3.4 times that of Mexico and almost ten R&D spending has grown moderately in Argentina, Brazil and
times that of Chile. This said, Argentina still has a great distance Mexico but there is no evidence to suggest that either Chile
to travel to catch up to developed economies (Figure 7.6). or Colombia is making a determined push to raise its own
R&D intensity. Among the smaller economies, Costa Rica and
Latin America as a region nevertheless excels for other Uruguay have the highest level of investment in R&D, whereas
indicators, such as for the participation of women in research GERD seems to fluctuate in Bolivia, Cuba, Ecuador and Panama.
(Lemarchand, 2010, pp. 5661). A recent study has shown
that Latin America also has the highest rates of female The public sector remains the main source of funding, particularly
entrepreneurship and a smaller gender gap in research than in Argentina, Cuba, Mexico and Paraguay. Businesses in the region
other regions (IDB, 2015; see also Chapter 3). This is hardly contribute about 40% of R&D funding, on average (Figure 7.7),
surprising, given the explicit policy instruments promoting with Brazil slightly surpassing this share (see Chapter 8). The public
women in science and engineering in Latin America. The most sector still carries out the bulk of research. Six countries receive Chapter 7

compelling of these are the Women and Science programme a considerable share of research funding from abroad: Chile, El
in Brazil and the Postgraduate Scholarship Programme for Salvador, Guatemala, Panama, Paraguay and Uruguay (Figure 7.7).
Indigenous Women in Mexico. In the case of Chile, the high share of GERD funded from abroad
(18%) relates to the activity of a cluster of European and North
American astronomical observatories; in Panama, the high share
TRENDS IN R&D EXPENDITURE (21%) is due to the presence of the Smithsonian Institution.

Countries could invest more in R&D A breakdown of R&D expenditure by socio-economic objective
In 2012, gross domestic expenditure on R&D (GERD) in Latin is only available for a handful of countries. In 2012, Argentina
America and the Caribbean surpassed PPP$ 54 billion (in 2012 and Chile allocated one-third of this expenditure to engineering
constant dollars),11 a 1.70% increase over 2003. Just three and technology, a sizeable share for emerging economies. Both
countries concentrate 91% of GERD: Argentina, Brazil and prioritized industrial and agricultural production and technology.
Smaller countries prioritized agricultural production (Guatemala
and Paraguay), human health (El Salvador, Guatemala and
11. The original RICYT estimations were calculated using PPP current international
dollars. In order to remove distortions caused by inflation, here, we have adjusted Paraguay), social structures (Ecuador), infrastructure, energy
those values to constant PPP (2012) dollars. and the environment (Panama).

185
 Trends inREPORT
Figure 7.7:SCIENCE
UNESCO GERD in Latin America and the Caribbean, 20062014 (%)

Few Latin American countries have seen a consistent rise in their R&D intensity over the past decade
GERD as a share of GDP, 20062014 (%)
1.2

Brazil 1.15

1.0

0.98

0.8 1.15%
Only Brazil comes close to the R&D intensity typical
0.53%
In 2014, Mexico had an R&D intensity typical of a
of upper middle-income economies (1.37%) lower middle-income economy (0.51%)

Argentina 0.60
0.6
Mexico 0.53

Costa Rica 0.47

0.43
0.41 Cuba 0.41
0.4 0.40
0.37 Ecuador 0.34 Chile 0.39
0.35
0.32
0.28
Uruguay 0.24 Colombia 0.23

0.2
0.17 Panama 0.18
0.14
Paraguay 0.09
0.08
0.04 0.06 Guatemala 0.04
El Salvador 0.03
0.0
2006 2007 2008 2009 2010 2011 2012 2013 2014

Note: Data are unavailable for Honduras, Nicaragua, Peru and Venezuela. Data are only available for Bolivia for 2009 (0.15%).

Agricultural sciences account for two-thirds of Paraguays R&D expenditure

GERD by field of science, 2012 (%)

Argentina 22.8 35.2 9.9 12.5 13.3 5.7 0.7

Chile 19.3 35.7 10.5 15.3 14.4 4.7

Colombia 16.2 16.6 11.3 14.5 11.6 3.1 26.7

Costa Rica (2011) 14.4 16.2 5.1 13.2 9.6 1.2 40.4

Ecuador (2011) 13.8 10.5 1.5 9.4 5.8 1.0 58.1

El Salvador 6.3 38.1 11.3 4.1 32.8 7.5

Guatemala 11.7 6.3 33.8 26.2 18.1 3.8

Paraguay 1.4
5.8 7.9 12.4 66.0 6.0 0.5

Uruguay 17.3 29.7 14.7 23.4 8.0 6.1 0.8

Natural sciences Engineering & technology Medical & health sciences Agricultural sciences Social sciences Humanities Unassigned

186
Brazil and Mexico have the highest share of business-funded R&D in Latin America
GERD by source of funds, 2012 (%), countries arranged in descending order of GERD by volume (PPP$)

1.0 0.6
0.8 0.8
2.0 1.9 3.1
21.3

35.7
43.1

Brazil Mexico Argentina

54.9
60.8

74.0

5.0 2.4 5.0

15.0
17.5

16.4
34.2 2.1 34.9

Colombia 9.4 Chile Cuba

80.0
42.0
36.0

Panama has the highest share of private non-profit-funded R&D, thanks largely to the presence
of the Smithsonian Institution

7.6
0.9 15.0
20.7 18.9
23.5

Uruguay 8.7 Panama 49.0 Guatemala

2011
33.0
43.4 5.0
27.5 Chapter 7

46.7

Business enterprise 0.8

Government 7.7 9.2 2.8

2.9 2.6 11.7
Higher education 3.7

Private non-profit

Abroad Paraguay El Salvador

Note: Totals may not add up to 100% due to some

GERD not being classified by source.
Source: RICYT database and UNESCO Institute for 82.5 74.3
Statistics, July 2015; Brazilian Ministry of Science,
Technology and Innovation

187
UNESCO SCIENCE REPORT

TRENDS IN R&D OUTPUT and Colombia (169). Taking into account the full scientific
production over this period, all Latin American countries (with
Publications rising, including those with foreign partners the exception of Brazil, El Salvador and Mexico) rank better
The number of articles published by Latin American authors worldwide for their h-index than for the number of articles.
in mainstream scientific journals catalogued in the Science Panama carries this trend to extremes: it ranks 103rd for the
Citation Index Extended increased by 90% between 2005 and number of articles but 63rd in terms of its h-index.12
2014, carrying the regions global share from 4.0% to 5.2%.
Growth was fastest in Colombia (244%), Ecuador (152%), Peru Since the early 1980s, scientific co-authorship among
(134%) and Brazil (118%) and more moderate in Argentina countries has been determined by the desire of individual
and Mexico (34% and 28% respectively). The overall volume scientists to give their work greater visibility (Lemarchand,
of scientific Venezuelan publications actually declined by 28% 2012). This has led them to collaborate with bigger scientific
(Figure 7.8). networks (USA, EU, etc.). Formal co-operation agreements
among countries or regions tend to have little influence over
Between 2008 and 2014, one-quarter (25%) of the regions co-authorship behaviour.
publications focused on biological sciences, one-fifth (22%)
on medical sciences, 10% on physics, 9% on chemistry and 8% Most Latin American countries have concluded a host of bilateral
each on agricultural sciences, engineering and geosciences. agreements or treaties with other economies within and beyond
Of note is the relatively large share of Chilean articles in the region. When it comes to collaborative research, though,
astronomy: 13% (Figure 7.8). partners tend to be based in North America and Western Europe.
Co-operation with the EU has even been stepped up since 2010
Despite the rise in the volume of Latin American publications, with the signing of the Madrid Declaration (Box 7.2).
their impact on breakthrough international science remains
modest. Central American papers are cited more than those Whereas Brazil has a copublication rate (28%) that is close to
from South America but this may be because the sheer volume the G20 average and just under half of Mexican (45%) and
of output from South America stifles these hot topics. Argentinian (46%) articles have foreign collaborators, this rate
rises to more than 90% for the smaller countries (Figure 7.8);
It can be more telling to evaluate the impact of publications the latter have become so dependent on international
over decades rather than years. Hirsch (2005) has proposed copublishing that, in some cases, the most representative
the so-called h-index, which reveals the number of articles (h) institution is based abroad.
from a given country that have received at least h citations.
12. The Smithsonian Tropical Research Institute in Panama was responsible for
Between 1996 and 2014, the highest h indices were obtained 63% of Panamas scientific articles between 1970 and 2014. This may explain why
by Brazil (379), Mexico (289), Argentina (273), Chile (233) Panama ranks so highly.

Box 7.2: Towards a common knowledge area for Europe and Latin America

Biregional scientific co-operation the Madrid Declaration, which emphasized and climate change; and renewable
between Europe and Latin America and partnership in the areas of innovation and energies. A second project with joint
the Caribbean dates back to the early technology for sustainable development calls (ERANet LAC) is implementing
1980s, when the former Commission and social inclusion. projects in these four areas. There were
of the European Communities and 11 million available for the first call
the Andean Group Secretariat signed The summit defined the long-term goal for project proposals (20142015) and
an agreement for co-operation and of achieving a common knowledge a similar amount for the second call
established a joint commission to area and agreed on a Joint Initiative (20152016).
oversee its implementation. Later, for Research and Innovation. Some
Europe concluded similar agreements 17 countries are participating in a key The partners are also carrying out a
with the Central American countries project within this initiative entitled foresight exercise which is due to be
and MERCOSUR. ALCUE Net, which runs from 2013 to concluded by November 2015, to
2017; this project has established a joint build a common long-term vision for
The sixth summit between the European platform for policy-makers, research biregional co-operation.
Union (EU) and Latin America and institutions and the private sector from
Source: Carlos Aguirre-Bastos, National Secretariat
the Caribbean in 2010 identified new both regions in four thematic areas: for Science, Technology and Innovation
pathways for biregional co-operation in ICTs; the bio-economy; biodiversity (SENACYT), Panama

188
 4.0% 5.2%
Figure 7.8: Scientific publication trends
in Latin America and the Caribbean,
20052014 Latin America and the Latin America and the
Caribbeans world share of Caribbeans world share of
Strong growth in many countries publications in 2005 publications in 2014
For the evolution in the volume of publications in Brazil, see Figure 8.9

12 000

Mexico 11 147
10 000

8 000
6 899 Argentina 7 885

6 000
5 056 Chile 6 224

4 000
2 912

Colombia 2 997
2 000
871

0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
1 500

1 200
244%
Growth in Colombian publications
1 097 between 2005 and 2014, the
highest rate in the region

900
Uruguay 824
Venezuela 788
Peru 783
662 Cuba 749

600
Ecuador 511

425
Costa Rica 474
Panama 326
334
300 302
Bolivia 207
203
156
120
Chapter 7

0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
150

100
Guatemala 101

63
Paraguay 57
Nicaragua 54
50 39 Dominican Rep. 49
El Salvador 42
28 Honduras 35
25
20
20

189
 Figure 7.8 (continued)
Life sciences dominate research in Latin America and the Caribbean
Cumulative totals by field, 20082014

2 630 316
Argentina 1 020 13 732 4 849 501 3 250 5 282 1 365 7 592 75 5 138
254

4 9 5
Bolivia 65 13 500 28 28 195 194
25 34

Brazil 21 181 1 766 46 676 2 560 11 181 52 334 2 621 17 321 849
16 066 14 278 5 367 921
182
Chile 1 410 3 899 5 644 2 398 616 2 244 3 582 1 645 5 755 185 2 979 241

75
Colombia 967 53 3 064 1 365 221 1 532 885 574 2 407 150 2 488 150

13 9 29
Costa Rica 132 12 1 093 73 79 283 21 428 66 33

17
Cuba 313 21 1 342 516 130 450 290 103 931 8 565 16

1 4 6 33
Dominican Rep. 14 80 4 8 17 6 110

12 8
Ecuador 87 4 799 40 77 324 32 451 8 298 18

2
El Salvador 5 59 51 31 93 2 2

2 6
Guatemala 16 228 46 29 233 6 7

Honduras 13 3 77 34 30 102 6 3 6

3 204 424
Mexico 1 710 14 966 5 507 1 079 6 287 6 133 2 059 8 702 159 8 513 363

Nicaragua 16 1 103 4 9 58 92 8 13

52 12 1 55
Panama 4 1 112 1324 293 169
6 11
5
Paraguay 16 1 133 11 6 12 9 4 112 2 2

11 23 206 2265
Peru 218 11 1 207 76 130 526 52 1 081

49
Uruguay 459 14 1 301 394 91 179 437 160 837 9 274 21

18
Venezuela 442 114 1 640 715 67 517 414 299 944 13 524 24

Note: Unclassified Agriculture Astronomy Biological sciences Chemistry Computer science Engineering Geosciences
articles are excluded
from the totals. Mathematics Medical sciences Other life sciences Physics Psychology Social sciences

350
Chile has the highest publication intensity, followed by Uruguay
Publications per million inhabitants in 2014

350
Number of scientific publications per
million inhabitants in Chile, the top
country for this indicator

241

189 184

96 90
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 Countries with modest output have the highest average citation rate
Average citation rate for publications, 20082012

1.50
G20 average 1.02

1.16 1.15 1.17

1.00 1.05 1.01
0.95 0.97 0.98 0.99 0.96
0.93 0.88
0.87
0.75 0.78
0.70
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The majority of articles have foreign co-authors in all but Argentina, Brazil and Mexico
Share of papers with foreign co-authors, 20082014 (%)

94.8 94.4 97.6 96.5

94.0 90.2 92.0 93.2 90.9 90.3
G20 average 24.6% 81.5
72.3 70.4
61.3 60.9
56.1
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The top partner for all but Cuba is the USA; Brazil is a key partner for most
Main foreign partners, 20082014

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Argentina USA (8 000) Spain (5 246) Brazil (4 237) Germany (3 285) France (3 093)
Bolivia USA (425) Brazil (193) France (192) Spain (187) UK (144)
Brazil USA (24 964) France (8 938) UK (8 784) Germany (8 054) Spain (7 268)
Chile USA (7 850) Spain (4 475) Germany (3 879) France (3 562) UK (3 443)
Colombia USA (4 386) Spain (3 220) Brazil (2 555) UK (1 943) France (1 854)
Costa Rica USA (1 169) Spain (365) Brazil (295) Mexico (272) France (260)
Cuba Spain (1 235) Mexico (806) Brazil (771) USA (412) Germany (392)
Chapter 7

Dominican Rep. USA (168) UK (52) Mexico (49) Spain (45) Brazil (38)
Ecuador USA (1 070) Spain (492) Brazil (490) UK (475) France (468)
El Salvador USA (108) Mexico (45) Spain (38) Guatemala (34) Honduras (34)
Guatemala USA (388) Mexico (116) Brazil (74) UK (63) Costa Rica (54)
Honduras USA (179) Mexico (58) Brazil (42) Argentina (41) Colombia (40)
Mexico USA (12 873) Spain (6 793) France (3 818) UK (3 525) Germany (3 345)
Nicaragua USA (157) Sweden (86) Mexico (52) Costa Rica (51) Spain (48)
Panama USA (1 155) Germany (311) UK (241) Canada (195) Brazil (188)
Paraguay USA (142) Brazil (113) Argentina (88) Spain (62) Uruguay/Peru (36)
Peru USA (2 035) Brazil (719) UK (646) Spain (593) France (527)
Uruguay USA (854) Brazil (740) Argentina (722) Spain (630) France (365)
Venezuela USA (1 417) Spain (1 093) France (525) Mexico (519) Brazil (506)
Note: Belize, Guyana and Suriname are covered in Chapter 6 on the CARICOM countries. See also Figure 8.9 devoted solely to Brazil.

Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

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UNESCO SCIENCE REPORT

For example, 50% of the articles published by at least one Brazil (0.26), Mexico (0.26) and Argentina (0.19). The high
author from Paraguay between 2010 and 2014 and listed in ratios for Panama and Chile probably reflect the presence
the Science Citation Index Extended were co-published with of the Smithsonian Tropical Research Institute (of US origin)
the University of Buenos Aires and 31% with CONICET, both in Panama and that of European and North American
Argentinian institutions. astronomical observatories in Chile. In both cases, some of the
articles attributed to authors residing in Chile or Panama were
The most important copublication hub for most Latin actually written by foreign researchers, who are not counted
American countries is the USA, followed by Spain, Germany, as local research staff.
the UK and France for the sheer number of copublications
(Figure 7.8). Since the mid-1990s, intraregional co-authorship A growing policy interest in indigenous knowledge
has quadrupled (Lemarchand, 2010, 2012). Over the past five systems
years, all countries have published more than before with The first scientific papers exploring the relationship
Latin American partners, with Brazil and Mexico often figuring between academic science and indigenous knowledge
among the closest collaborators (Figure 7.8). systems appeared in the early 1990s, a few years before
the World Conference on Science (1999) encouraged this
In terms of publications per million inhabitants, Chile, Uruguay interaction through its Science Agenda. However, just
and Argentina have the highest ratios but, when it comes 4380 articles on indigenous knowledge were listed in the
to articles per full-time equivalent (FTE) researcher, Panama Science Citation Index Extended and Social Science Citation
(1.02) takes the lead, ahead of Chile (0.93), Uruguay (0.38), Index between 1990 and 2014. The principal contributors
were the USA, Australia, the UK and Canada (Table 7.2).
Table 7.2: Scientific articles on indigenous knowledge Globally, indigenous knowledge thus appears to be playing
systems, 19902014 a negligible role so far in the global research agenda, even
Articles catalogued in the Science Citation Index Extended though several Latin American countries have increased their
and Social Science Citation Index shares since 2010.
19902014 20102014
Bolivia has one of the highest ratios of articles on indigenous
Articles on Share of Articles on Share of
indigenous national indigenous national knowledge (1.4%) in the region and probably the world. After
knowledge production (%) knowledge production (%) the election of President Evo Morales in 2006, Bolivia
USA 1 008 0.02 482 0.03 attempted to organize its entire national innovation system
around the indigenous concept of good living. The Morales
Australia 571 0.08 397 0.17
governments Programme for the Protection, Recovery and
Canada 428 0.04 246 0.08
Systematisation of Local and Ancestral Knowledge for Social
UK 425 0.02 196 0.04 and Productive Development has drafted a Law for the
Latin America Protection of Indigenous Knowledge. Other projects within
Brazil 101 0.02 65 0.04 this programme include a national policy on intellectual
Mexico 98 0.05 42 0.06 property; mechanisms to protect strategic intellectual
Argentina 39 0.03 26 0.06 property; the recording of incremental knowledge; and the
recovery and spread of local knowledge and ethnic
Chile 33 0.05 14 0.05
knowledge through ICTs and the aforementioned law
Colombia 32 0.10 19 0.12
(UNESCO, 2010). The recovery, protection and utilization of
Bolivia 26 0.80 17 1.40 local knowledge and technical and ancestral knowledge is a
Peru 22 0.23 11 0.29 priority of the Vice-Minister of Science and Technology. In the
Venezuela 19 0.08 4 0.08 National Science and Technology Plan (2013), local and
Costa Rica 12 0.18 7 0.31 ancestral knowledge are considered to be central elements of
Ecuador 7 0.14 6 0.28 STI policy-building. Instruments have been set in motion
within this framework, including the Law on Ancestral
Guatemala 6 0.36 4 0.66
Traditional Bolivian Medicine (2013).
Panama 5 0.09 2 0.09
Cuba 5 0.03 3 0.07 In recent years, other Latin American countries have
Honduras 4 0.55 developed policy instruments to protect indigenous
Uruguay 3 0.03 2 0.05 knowledge systems and use them in STI policy-making
Nicaragua 2 0.60 (Box 7.3). UNASUR has, itself, considered the promotion of
Source: Estimations by author on the basis of raw Web of Science data
indigenous knowledge systems to be one of its priorities
since 2010.

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 Latin America

Relatively modest patenting top 10 patenting offices of destinations worldwide

Patenting is relatively modest in Latin America. Between one are located in Latin America, those of Brazil and Mexico.
and five out of every 100 firms in any given Latin American Within Latin America, Chile counts the greatest number
country hold a patent, compared to between 15 and 30 in of patent applications per million inhabitants (187), which
European countries (WIPO, 2015). Patenting by Latin Americans is consistent with the innovation policies promoted by
in the main developed country markets is also very low, the Chilean Corporation for the Promotion of Production
testifying to the absence of technology-based international (Corporacin de Fomento de la Produccin de Chile, CORFO)
competitiveness. over the past decade (Navarro, 2014). Brazil, Mexico, Chile
and Argentina have the most patent applications and grants
The best way to compare patenting rates at the international (Figure 7.9).
level is to use the data provided by the Patent Cooperation
Treaty (PCT).13 This system makes it possible to seek patent The top five categories for global patent applications filed
protection for an invention simultaneously in a wide range under the PCT are: electrical machinery, apparatus and energy;
of countries by filing a single international patent. Two of the digital communication; computer technology; measurement;
and medical technology. In 2013, the patents granted in these
13. By 2014, the PCT counted 148 contracting states. Argentina, Bolivia, Paraguay,
categories in Latin America represented around 1% of the
Uruguay and Venezuela are not contracting members (WIPO, 2015). number granted to high-income economies.

Box 7.3: A growing policy interest in indigenous knowledge in Latin America

Bolivia is not the only Latin American of Higher Education, Science and scholarships to pursue postgraduate
country to show an interest in Technology, including those on Research study overseas.
mainstreaming indigenous knowledge and Innovation in Knowledge Dialogue
in STI policies. Peru was one of (2013) and Traditional Knowledge and Although indigenous knowledge
the first to draw attention to the Climate Change. is not highlighted in Argentinas
importance of indigenous knowledge national plan for STI entitled Innovating
and to protect it by law, through its Among the general objectives of Argentina 2020 (2013), a series of
Protection Regime for Traditional Colciencias in Colombia figure the initiatives have been implemented to
Knowledge (2002). Projects have promotion and reinforcement of incorporate indigenous knowledge
since been launched to promote intercultural research, in agreement with systems into innovation processes.
technology transfer to rural and the indigenous peoples, their authorities Two examples are the projects on
native communities, such as the and elders, being directed towards Rescuing Ancestral Technologies of
Technological Transfer and Extension protecting cultural diversity, biodiversity, Water, Land and Indigenous Farming
Projects (PROTEC) in 2010 or the traditional knowledge and genetic Conservation as a Means of Adaptation
contest run by the National Council resources. Instruments have been to Climate Change (2009) and for the
for Science and Technology and developed to this end, such as A Ciencia Industrialization of Fine Camelid Fibre
Technological Innovation (CONCYTEC) Cierta (2013) and Ideas for Change (2012). for Social Inclusion (2013).
in 2012 called From Peru to the World:
Chapter 7

Quinoa, the Food of the Future. In 2013, the Mexican National Last but not least, the Brazilian Ministry
Council for Science and Technology of Science and Technology plans to
Ecuadors Constitution of 2008 gives (CONACYT) stated that, within its develop an approach to recording,
the National System of Science, strategic areas of growth, innovation protecting, promoting, diffusing and
Technology, Innovation and Ancestral will be oriented towards benefiting adding value to traditional knowledge
Knowledge the mandate to recover, the less fortunate, with indigenous that would not be centred exclusively
fortify and empower ancestral groups to receive special attention. on patents. In parallel, the Traditional
knowledge, making Ecuador the CONACYT subsequently announced a Communities Programme Science
only country in the region to codify Call for Research into Indigenous and and Technology is supplying
references to ancestral knowledge Intercultural Education and launched the indigenous villagers and communities
and STI at the highest level of Academic Strengthening Programme with technology to make their lives
the state. The incorporation and for Indigenous Peoples: Complementary easier.
promotion of ancestral knowledge Support for Scholarship-holding
are, consequently, reflected in Indigenous Women. A third programme Source: Ernesto Fernandez Polcuch and
programmes run by the Ministry provides indigenous peoples with Alessandro Bello, UNESCO

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UNESCO SCIENCE REPORT

Figure 7.9: Patent applications and grants in Latin America, 20092013

Total patent applications, direct and national phase entries through Patent Cooperation Treaty
Total count by applicant's country of origin
100 000

30 965
10 000
9 261
3 319 2 969
1 000 1 632
843
377 367 325 315
100 219
122 88 78 59
Logarithmic scale

10
25 25 20
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Total patent grants, direct and national phase entries through Patent Cooperation Treaty
Total count by applicant's country of origin
10 000

4 753
2 779
1 000
1 134 1 108
663 506
314
100 161
86 76 59
31 28
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Source: Source: WIPO (2015)

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 Latin America

There is a growing tendency among public research industry could exploit demand for innovation to strengthen
institutions to obtain patents in areas related to natural its own competitiveness. Innovation capital measures a firms
resources, such as mining and, above all, agriculture. This capacity to innovate and disseminate this innovation. In Latin
is true, for example of the Brazilian Agricultural Research American countries, capital stock represents just 13% of the
Company (Embrapa) the National Institute for Agricultural economy, on average, less than half the OECD average (30%).
Technology (INTA) in Argentina and the National Institute of More than 40% of Latin American knowledge-based capital
Agricultural Research (INIA) in Uruguay. stock comes from tertiary education (5.6% of GDP), compared
to only 10% (1.3% of GDP) from R&D, the core driver of
The top four applicants in Latin America between 1995 and innovation.
2014 all came from Brazil: Whirlpool SA, a subsidiary of the
Whirlpool Corporation in the USA (engines, pumps, turbines), According to Crespi et al. (2014), the private return on
with 304 applications; Petrobrs (basic material chemistry), innovation in Latin America depends on the type of
with 131 applications; the Federal University of Minas Gerais innovation, being larger for product innovation than for
in Brazil (pharmaceuticals), with 115 applications, and process innovation (see also Chapter2). The same is true of
Embraco (engines, pumps, turbines), with 115 applications spillovers, suggesting that the wedge between the private
(WIPO, 2015). and social return on innovation could be higher in the case
of product innovation, something that could guide policy
The quest for innovation policies that work for this type of innovation. The study also shows that the
Innovation surveys are becoming standard practice in several typical multinational firms operating in Latin America are less
Latin American countries. Since the mid-1990s, no fewer than prone to invest locally in R&D and, consequently, less likely to
60 innovations surveys have been conducted in 16 countries innovate. Crespi and Zuniga (2010) found that, in Argentina,
(Table 7.3). Argentina has conducted nine surveys, for Chile, Colombia, Costa Rica, Panama and Uruguay, firms that
instance, Chile eight, Mexico seven and Brazil and Colombia invested in knowledge were capable of introducing new
five each (see Chapter 8 on the outcome of Brazils most technologies. Firms that innovated also had greater labour
recent innovation survey). In the region, small and medium- productivity than those that did not. Crespi et al. (2014) take
sized enterprises (SMEs) account for 99% of all firms and into account the oft-observed fact that firms in developing
generate 4080% of jobs (ECLAC, 2015a). countries rarely undertake formal R&D on the edge of the
technology curve. Rather, these firms focus on the difficult
Whatever companies may say in innovation surveys, processes of acquiring and absorbing new technologies
businesses contribute little to R&D. This is a pity, since local efficiently. Other national and regional studies suggest that

Table 7.3: Percentage of manufacturing firms in Latin America engaged in innovation

Selected countries

Share of Share of
Share of manufacturing manufacturing Share of Share of
manufacturing firms that firms that manufacturing Share of manufacturing Total number
firms that engaged in acquired firms that manufacturing firms that of innovation
engaged in contracted-out machinery, acquired firms that engaged surveys
in-house R&D (external) R&D equipment and external engaged in in market conducted in
Chapter 7

Year/Period (%) (%) software (%) knowledge (%) training (%) innovation (%) country
Argentina 2007 71.9 19.3 80.4 15.1 52.3 9
Brazil 20092011 17.3 7.1 84.9 15.6 62.8 33.7 5
Colombia 20092010 22.4 5.8 68.6 34.6 11.8 21.4 5
Costa Rica 20102011 76.2 28.3 82.6 38.9 81.2 4
Cuba 20032005 9.8 41.3 90.2 36.6 22.1 83.8 2
Ecuador 20092011 34.8 10.6 74.5 27.0 33.7 10.6 1
El Salvador 20102012 41.6 6.7 82.7 1
Mexico 20102011 42.9 14.5 35.4 2.6 12.5 11.4 7
Panama 20062008 11.4 4.7 32.2 8.5 10.0 3
Uruguay 20072009 38.7 4.3 78.2 14.5 50.2 5
Note: The following countries have also conducted a series of innovation surveys in the region: Chile (8), Dominican Republic (2), Guatemala (1), Paraguay (2),
Peru (3) and Venezuela (2).
Source: UNESCO Institute for Statistics; see also Chapter 2 of the present report

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the major challenge facing the region will be to overcome in Chile, the Fishing Research Fund (FIP) and Agriculture
the institutional weakness of the organizations responsible for Research Fund (FIA).
co-ordinating research and innovation policies.14
Adopted in 2012, Innovative Argentina 2020 promotes synergy in
Brazil and, to a lesser degree, Argentina, Chile and Mexico, the national innovation system through the creation of clusters
have all made progress towards an integrated public in strategic socio-productive hubs with a high socio-economic
innovation policy by creating sectorial funds and linking and technological impact. The new cluster of biorefineries is
industrial policy to the funds objectives in terms of innovation. one example; it groups research in bio-energy, polymers and
However, in most of Latin America, STI policies are rarely chemical compounds. Four pilot plants have been created under
indexed on skills and industrial policies tend to be limited and agreements between public research and education institutions
compartmentalized (CEPAL, 2014; Crespi and Dutrnit, 2014). in the productive sector. These plants will house applied research
and be used for training experts in the field. This model builds
In Colombia, the government uses three main mechanisms on success stories from the 1970s, such as the creation of the
to support business investment in R&D. Firstly, under the Chemical Engineering Pilot Plant (PLAPIQUI) within a consortium
guidance of Colciencias and other relevant government involving the National University of the South, the National
bodies, the National Development Bank provides preferential Council for Scientific and Technical Research (CONICET) and
credits at below-market interest rates for projects involving the Petrochemical Pole Baha Blanca. PLAPIQUI now produces a
innovation. Secondly, a tax incentive scheme offers wealth of patents, scientific papers and PhDs theses.
exemptions of up to 175% on investment made in R&D during
the taxable period. Thirdly, various government agencies The private sector has become more proactive in pushing
provide firms with subsidies for their activities related to innovation up the public policy agenda. There are a number of
research and innovation. business councils, including the Competitiveness and Innovation
Council in Chile (est. 2006) and the Private Competitiveness
The Peruvian National Council for Science, Technology and Council in Colombia (est. 2007). Private firms also participate
Technological Innovation (CONCYTEC) has been directly forcefully in the preparation of Perus competitiveness agenda.
linked to the Presidency of the Council of Ministers since In addition, the private sector participates in many councils, such
2011; its budget soared from US$ 6.3 million to around as in the Scientific and Technological Advisory Forum in Mexico
US$ 43 million between 2012 and 2014. In parallel, new policy (est. 2002) or the Advisory Commission on High Technology
instruments have been launched to reduce bottlenecks in the Foundation (CAATEC) in Costa Rica.
innovation system and increase business R&D, including a
30% tax deduction on related activities since 2013 and a fund In parallel, a number of Latin American cities are introducing
to finance credit guarantees or risk-sharing mechanisms for tax incentives and other mechanisms to turn themselves
business through the financial system. into innovation hubs and are starting to invest heavily in
technology and innovation. Examples are Buenos Aires and
Mexico introduced a stimulus programme for innovation in Bariloche (Argentina), Belo Horizonte and Recife (Brazil),
2009 that has three elements: INNOVAPYME (for small and Santiago (Chile), Medellin (Colombia), Guadalajara and
medium-sized enterprises), PROINNOVA (for new and potential Monterrey (Mexico) and Montevideo (Uruguay).
technologies) and INNOVATEC (for large firms). The latter
operates as a grant scheme with matching funds; in 2014, the A conscious use of innovation for social inclusion
public budget amounted to US$ 295 million. The Fund for Research and innovation for social inclusion can be defined
Fostering Science, Technology and Innovation at Regional Level as a process and an outcome which generate benefits for
(FORDECYT) complements this stimulus programme; the fund the disenfranchised. In recent years, this field has generated
focuses on problem-solving projects in different regions by a mass of theoretical and empirical research and policy
fostering scientific research, technological development and instruments (Table 7.1, item h) [Thomas et al., 2012; Crespi
high-impact innovative solutions, as well as specialized training. and Dutrnit, 2014; Dutrnit and Sutz, 2014]. Most of these
studies have revealed the inadequacy of local STI agendas to
Other schemes target sectors in which countries have a meet the populations needs and identified the value of using
competitive edge but could still do better. Examples are the available technologies to foster social inclusion.
Agriculture Technology Fund in Peru (INCAGRO-FTA) and,
In 2010, Uruguay approved the first National Strategic Plan
14. See, for example, the OECDs Reviews of Innovation Policy in Panama (2015), for Science, Technology and Innovation (PENCTI) to recognize
Colombia (2014) and Peru (2013), as well as the OECDs regional studies of Chile and the importance of social inclusion. In Bolivia, Colombia,
Mexico (2013a, 2013b), or UNCTAD studies on El Salvador and Dominican Republic
(UNCTAD, 2011, 2012). For regional coverage, see Crespi and Dutrnit (2014) and
Ecuador and Peru, the diagnosis of pressing problems has
IDB (2014) or, for Central America as a whole, Prez et al. (2012). been aligned with national, regional and/or sectorial needs.

196
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In particular, there has been a desire to reorient STI, traditional ARSAT-1, the first communication satellite built entirely in
knowledge and know-how towards the search for solutions Latin America, was placed in a geostationary orbit around the
to national and local problems, be they related to production, Earth in October 2014. It was constructed by INVAP, a public
social or environmental ills. (See the article by Bortagaray and Argentinian company, at a cost of US$ 250 million. With
Gras in Dutrnit and Crespi, 2014.) this feat, Argentina has become one of only ten countries
to possess this technology. This is the first of a constellation
In Colombia, Ideas for Change (2012), a Colciencias of three geosynchronous satellites that will serve Argentina
programme, is turning innovative thinking into the source and other countries in the region. ARSAT-2 was launched in
of practical solutions for the poor and excluded. This offers a September 2015 from French Guyana and ARSAT-3 is due to
fresh perspective and helps spread the word that technology be launched in 2017.
and innovation are not only important for firms and research
institutions but also for society at large (IDB, 2014). Similar A new generation of scientific satellites is ready to be launched.
policy instruments have been implemented in Brazil by the The SAOCOM 1 and 2 Earth observation series will use remote-
Agency for Funding Innovation Studies and Projects (FINEP), sensing data that incorporate a synthetic aperture radar
namely the Development and Diffusion of Technologies with designed and built in Argentina. The joint ArgentinianBrazilian
a High Social Impact (Prosocial) and Housing Technologies SABIA-MAR mission will be studying ocean ecosystems, carbon
(Habitare). In Mexico, two examples are the Sectorial Fund for cycling, marine habitats mapping, coasts and coastal hazards,
Research and Development related to Water and the Sectorial inland waters and fisheries. Also under development is the new
Research Fund for Social Development. In Uruguay, the SARE series designed to expand the active remote observation
project for Educational Connectivity of Basic Computing for of Earth through the use of microwave and optical radars.
Online Learning (CEIBAL) has generated a surprisingly large Argentina is also developing new launching technologies
number of innovative technical and social solutions beyond through the TRONADOR I and II projects.
the original one learner, one notebook programme.
Time for sustainability science in Latin America
Meanwhile, Peru has subsumed technology transfer in poverty In 2009, sustainable development was recognized as a priority
alleviation programmes; these schemes have met with relative by a series of regional fora involving ministers and other high-
success in strengthening production chains and conglomerates. ranking public authorities in Latin America (UNESCO, 2010). The
Examples are the Innovation and Competitiveness Programme decision-makers acknowledged that Latin America possessed
for Peruvian Agriculture, the INCAGRO Project; and the network certain characteristics that required a specific research agenda
of Technological Innovation Centres (CITEs) run by the Ministry for regional co-operation focusing on sustainability science.
of Production. The latter two projects were implemented
independently from the national innovation system: whereas Latin America harbours many of the worlds biodiversity
INCAGRO showed impressive results, CITEs required more hotspots and the globes largest carbon sink on land. The region
funding to expand its coverage and upgrade the services it counts one-third of the worlds freshwater reserves and 12% of
offers. its arable land. Several countries have high potential for the use
and development of clean and renewable energy sources.
GROWTH AREAS FOR R&D
The subcontinent also has one the highest rates of Chapter 7

Argentina and Brazil seeking space autonomy biodiversity loss, owing to the conversion of natural
Several Latin American countries have dedicated space ecosystems; conservation and sustainable management of
agencies (Table 7.4). Taken together, they invest more than natural ecosystems is also hampered by the expansion of the
US$ 500 million per year in space programmes. In the late agricultural frontier and problems related to land tenure and
1980s and 1990s, Brazil invested almost US$ 1 billion in accreditation of rural properties. The Caribbean and Central
developing space infrastructure around the National Institute America are also highly vulnerable to tropical cyclones, in
of Space Research (INPE), leading to the launch of the first particular. Coastal and watershed ecosystems are being
scientific satellite built entirely in Brazil in 1993 (SCD-1). degraded, as urban sprawl raises pollution levels and fuels
Argentinas first scientific satellite (SAC-B) was launched in demand for resources and energy (UNESCO, 2010).
1996 to advance the study of solar physics and astrophysics.
Both countries have now achieved the critical mass of skills and Scientists are concerned about the environmental impact
infrastructure required to dominate several space technologies. of Nicaraguas plans to dig a canal linking the Atlantic and
Both exhibit a determination to master the complete chain of Pacific Oceans that would pass through Lake Nicaragua,
space technologies, from material sciences, engineering design, Central Americas key freshwater reservoir. In June 2013,
remote sensing, aperture-synthetic radars, telecommunications Nicaraguas National Assembly passed a bill granting a 50-year
and image processing to propulsion technologies. concession to a private firm based in Hong Kong (China).

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Table 7.4: National space agencies and main national space technology suppliers in Latin America

Country Institution English name Founded Specialization

Argentina Comisin Nacional de National 19601991 Propulsion systems and rocket development; projects
Investigaciones Espaciales Commission for CONDOR I & II, capacity-building
(CNIE) Space Research
Argentina Comisin Nacional de National Space 1991 Design and planning of the space programme, operation
Actividades Espaciales Activities of the Cordoba Space Centre, capacity-building. Design
(CONAE) Commission of satellites SAC-A, SAC-B, SAC-C, SAC-D/Aquarius,
SAOCOM 1 & 2, SABIA-MAR, SARE and propulsion systems
TRONADOR I & II
Argentina INVAP Public company in 1976 Technology design and construction of the satellites SAC-
nuclear and space A, SAC-B, SAC-C, SAC-D/Aquarius, SAOCOM 1 & 2, SABIA-
technologies MAR, SARE, ARSAT I, II & III
Bolivia Agencia Boliviana Espacial Bolivian Space 2012 Tupak Katari (2013), a communication satellite developed
(ABE) Agency in China
Brazil Comisso Nacional de National 19631971 Space propulsion studies, several rocket launchings,
Atividades Espaciais (CNAE) Commission of remote sensing analysis, capacity-building
Space Activities
Brazil Agncia Espacial Brasileira Brazilian Space 1994 Design and planning of the satellites CBERS (Sino-
(AEB) Agency Brazilian Earth Resources Satellite), Amaznia-1 (2015),
EQUARS, MIRAX, SCD1, SCD2
Brazil Instituto Nacional de Pesquisas National Institute of 1971 Construction and technological design of the satellites
Espaciais (INPE) Space Research SCD-1, CBERS (see AEB), Amaznia-1 (2015), EQUARS,
MIRAX, Satlite Cientifco Lattes, Satlite GPMBrasil,
SARE, SABIA-MAIS
Colombia Comisin Colombiana del Colombian Space 2006 Planning for space applications
Espacio (CCE) Commission

Costa Rica Asociacin Centroamericana Central American 2010 Planning for space applications; design of a picosat
de Aeronutica y el Espacio Association for satellite project (2016)
(ACAE) Aeronautics and
Space
Mexico* Agencia Espacial Mexicana Mexican Space 2010 Planning for space research and applications
(AEM) Agency
Peru Agencia Espacial del Per Space Agency of 1974 Planning for space research and applications
(CONIDA) Peru
Uruguay Centro de Investigacin y Aeronautics and 1975 Space research and popularization
Difusin Aeronutico-Espacial Space Research and
(CIDA-E) Diffusion Centre

Venezuela Agencia Bolivariana para Bolivarian Agency 2008 Planning for space research and popularization
Actividades Espaciales (ABAE) for Space Activities

* In 1991, the National Autonomous University of Mexico (UNAM) started building scientific satellites. The first (UNAMSAT-1) was destroyed during the launch in
1996; UNAMSAT-B operated in orbit for one year.
Note: For details of the CBERS programme, see the chapter on Brazil in the UNESCO Science Report 2010.
Source: Compiled by author

As of August 2015, construction of the controversial shipping In the past two decades, the publication of scientific articles
route had not yet commenced. on topics related to sustainable development has grown 30%
faster in Latin America than in the rest of the world. This trend
The complex nature of sustainable development, in underlines the growing interest in sustainability science in
which biogeophysical, economic and social processes Latin America. However, there is currently a lack of graduate
tend to overlap, demands a transdisciplinary approach to programmes in Latin America (and elsewhere) in sustainability
implementing the regional research agenda (Lemarchand, science. In 2015, the United Nations University in Tokyo
2010), combined with new financial schemes to support launched the worlds first PhD programme in sustainability
related R&D at the regional level and capacity-building in science. Universities in Latin America should also develop PhD
sustainability science (Komiyama et al., 2011). programmes in this new interdisciplinary field.

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 Latin America

Renewable energy could have a bright future The manufacture of green technologies such as wind turbines
By early 2014, at least 19 Latin American countries had is spreading across the region. However, differences in electricity
renewable energy policies and at least 14 had adopted market structures and regulations have so far hampered
relevant targets, mostly concerning electricity generation. efforts to integrate regional electricity markets and the lack of
Uruguay aims to generate 90% of its electricity from transmission infrastructure has delayed some projects. The main
renewable sources by 2015. Despite having an average obstacle is the impossibility of compensating for fluctuations in
electrification rate of almost 95%, one of the highest among the supply of renewable energy from one country to another.
developing regions, access to energy remains a challenge: an
estimated 24 million people living mainly in rural and remote Nevertheless, the region is demonstrating unprecedented growth,
areas still lack access to electricity in Latin America. with strong opportunities for further expansion. In 2014, Brazil
ranked second worldwide for its hydropower capacity (89 GW)
Most Latin American countries have adopted regulatory and biodiesel/ethanol fuel production, fifth for its solar water
policies and fiscal incentives (Table 7.5) to drive the heating capacity (6.7 GW) and tenth for wind power (5.9 GW).
deployment of renewable energy. The use of public Mexico is the worlds fourth-biggest producer of geothermal
competitive bidding has gained momentum in recent years, power (1 GW). Both Chile and Mexico have boosted their own
with Brazil, El Salvador, Peru and Uruguay all issuing tenders in capacity in wind and solar energy and Uruguay has raised wind
2013 for more than 6.6 GW of renewable electric capacity. The capacity per capita more than any other country. Other innovative
more clement environment for renewable sources of energy is applications are spreading, such as solar food-dryers in Mexico
attracting new national and international investors. and Peru to process fruits and coffee. Long-term incentives
for industry and technological development will be needed to
The Brazilian government has nevertheless cut back its own guarantee that these schemes are implemented fully.
commitment to energy research from 2.1% (2000) to 0.3%
(2012). Renewable energy has been the primary victim of Strong growth in ICT usage...
these cuts, including the bioethanol industry, as public The region uses about 5% of the worlds public cloud services,
investment has increasingly turned towards deep-sea oil and less than its share of global GDP (8.3% in 2013, see Table 1.1).
gas exploration off Brazils southeast coast (Chapter 8). Nevertheless, estimated annual growth of 26.4% means that

Table 7.5: Existing regulatory policies and fiscal incentives in Latin America for renewable energy, 2015

Regulatory policies Fiscal incentives and public financing

obligation/ Renewable

energy, carbon, VAT or

Capital subsidy, grant
Electric utility quota

Biofuels obligation/
portfolio standards

Public investment,
premium payment

Reduction in sales,

Energy production
production credits

Countries
Investment or tax
Heat obligation/

loans or grants
Feed-in tariff/

Net metering

other taxes
Tendering

or rebate
mandate

mandate

payment

Argentina l l l l
Brazil l l l l
Chapter 7

Chile l l l
Colombia l l
Costa Rica l l l l
Dominican Rep. l l l
Ecuador l l l
El Salvador l
Guatemala l l l
Honduras l l l
Mexico l l
Nicaragua l
Panama l l l l
Paraguay l
Peru l l l l
Uruguay l l l l l

Note: Data are unavailable for Bolivia, Cuba and Venezuela. VAT stands for value-added tax.
Source: REN21 (2015) Renewables 2015: Global Status Report, pp. 99101. Renewable Energy Policy Network for the 21st Century: Paris

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these services will be adopted more quickly than in Western in developed countries and the respective technologies are
Europe. The strong growth forecast for cloud computing in Latin not automatically transferred. This state of affairs offers broad
America is affirmed by the distribution of workloads among opportunities for local development.
cloud data centres in the region, which is expected to grow from
0.7 million to 7.2 million workloads between 2011 and 2016, with Up until now, investment in biotechnology has been
a compound annual growth rate of 60% (ECLAC, 2015c). directed more towards higher education and creating skills
in the public sector than towards R&D. This has created a
However, firms in Latin America face several obstacles in fertile terrain for private firms wishing to recruit locally. As
adopting ICT technologies. They incur high fixed costs associated shown above, agriculture and health consume the bulk of
with purchasing and maintaining hardware and software and investment in several countries. Some 25% of publications
adapting it to production processes, owing to limited ICT literacy from the region concern biological sciences and 22% medical
in the region (IDB, 2014). Another key problem affecting the sciences (Figure 7.8). One of the most prolific institutions for
dissemination of broadband service concerns the high rates patenting in pharmaceuticals is the Universidade Federal
charged for the service in relation to per-capita income. Whereas, de Minas Gerais (Brazil) and, in agribusiness, one could cite
in the EU, economy service rates are equivalent to around 0.1% Embrapa (Brazil), INTA (Argentina) and INIA (Uruguay).
of per-capita income, in Latin America, they range from 0.6% in
Chile and Mexico to nearly 21% in Bolivia (CEPAL, 2015). A relatively modest number of enterprises specialize in
technology transfer (Gutman and Lavarello, 2013; Bianchi,
Over the past two decades, Costa Ricas technology sector has 2014). Figuring among the most innovative biotechnology
grown into one of Latin Americas most dynamic industries. firms in the region are: Grupo Sidus (Biosidus and
The main focus of the sectors more than 300 companies is on Tecnoplant), Biognesis-Bag, Biobrs-Novo Nordik, Biomm,
developing software for local and international markets. Costa FK Biotecnologa, BioManguinos, Valle, Bio Innovation,
Rican industry also plays an important role in manufacturing Bios-Chile, Vecol and Orius.
and high-tech exports, as we saw earlier, although the
departure of Intel will affect this market. According to the Brazilian National Confederation of Industry,
the main areas for research within the Brazilian agricultural
Various sectorial funds and tax incentives have been designed innovation system are biotechnology, bioreactors, plant-
for the software industry to improve the productivity and and animal- assisted reproduction, forest biotechnology,
innovation capacity of SMEs. One successful example of germplasm collection and conservation, plant resistance to
competitive funds is the aforementioned FONSOFT in Argentina, biotic and abiotic stresses, genetically modified organisms
another is PROSOFT in Mexico. Both funds have a diverse set of and bioprospection. There are also a few examples of R&D
policy instruments to improve the quality of software production contracts between public and private companies. Embrapa
and foster linkages between academia and industry. These is carrying out research with all of the following, for instance:
sectorial funds emphasize collaboration between public research Monsanto (USA), BASF (Germany), DuPont (USA) and Syngenta
institutions, technology transfer, extension services, export (Switzerland). There are also R&D contracts in Brazil for seed
promotion and industrial development. production with non-profit organizations, such as Unipasto and
Sul Pasto, and with foundations (Meridional, Tringulo, Cerrado,
A study by the Inter-American Development Bank (BID, 2014) Bahia and Gois).
forecasts that, by 2025, Buenos Aires, Montevideo, San Jos,
Crdoba and Santiago will be the five most important poles The Biotech project is an interesting example of subregional
for the development of the ICT and software industries. By that co-operation designed to take better advantage of existing
time, business process outsourcing is expected to employ research skills to foster competitiveness in productive sectors
1.2 million people and generate sales of US$ 18.5 billion in within the MERCOSUR space.15 The second phase, Biotech II,
Latin America. addresses regional projects in biotechnological innovation
linked to human health (diagnosis, prevention and the
... and in biotechnology development of vaccines against infectious diseases, cancer,
The impact of research and innovation on biotechnology in type 2 diabetes and autoimmune diseases) and biomass
Latin America has been very well documented (Sorj et al. 2010, production (traditional and non-traditional crops), biofuel
Gutman and Lavarello, 2013; RICYT, 2014). Although the bulk of elaboration processes and evaluation of its by-products. New
progress in biotechnology has been circumscribed to a handful criteria have been incorporated to respond to demand from
of research centres and corporations in developed countries, participating consortia for a greater return on investment and
a number of public research institutions in Latin American the participation of more partners, such as from Europe.
countries have also contributed since the mid-1950s. However,
the networks and nodes of these institutions are usually located 15. See: www.biotecsur.org

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 Latin America

COUNTRY PROFILES competitiveness in the following sectors: biotechnology,

nanotechnology, ICTs, energy, health, agribusiness, social
UNESCOs Global Observatory of STI Policy Instruments development, environment and climate change.
(GOSPIN) provides a complete description of the national
innovation system for all 34 countries of Latin America and The establishment of the Interdisciplinary Centre for the
the Caribbean, with regular updates every six months.16 Study of Science, Technology and Innovation (CIECTI)
Given the sheer size of the region, we summarize the most in 2015 should give MINCYT an enormous boost, as the
important developments since 2010 only for those countries ministry will henceforth be able to draw upon the findings
with a population of more than 10 million. For a profile of of strategic studies and foresight exercises prepared by
Brazil, see Chapter 8. CIECTI when designing future policies.

More than one in ten FTE researchers in Argentina were

ARGENTINA involved in some form of international collaboration
between 2007 and 2013, through a total of 1137 research
Investment in STI has accelerated projects in other countries. In some cases, this collaboration
Argentina has enjoyed a decade of strong growth involved Argentine researchers working with foreigners
(circa 6% per year until 2013) that was partly underpinned by who had completed internships in Argentinian institutions
high commodity prices. With the end of the cyclical commodities as part of their postdoctoral training.
boom, however, rising subsidies and a strong currency,
combined with unresolved issues from the countrys 2001 debt
crisis, have begun to affect trade. The Argentine economy grew BOLIVIA
by just 0.5% in 2014, as healthy public consumption (+2.8%)
was offset by a 12.6% drop in imports and an 8.1% drop in A focus on communitarian and productive
exports (ECLAC, 2015a). Faced with an unemployment rate of research
7.1% in the first quarter of 2015, Congress passed a bill cutting Bolivia continues to show healthy growth: 5.4% in 2014, with
back employer contributions for micro-enterprises and payroll projections of 4.5% in 2015 (ECLAC, 2015a). The government
taxes for larger businesses that created jobs. is promoting the industrialization of the hydrocarbons sector,
as well as the extraction of natural gas and lithium, through
Between 2008 and 2013, research infrastructure expanded in the Investment Promotion Act (2014) and the Mining and
Argentina as never before. Since 2007, the government has Metallurgy Act (2014). Other projects include boosting
built more than 100 000 m2 of new laboratories, with another exports of electricity to Argentina and Brazil (ECLAC, 2015a).
50000 m2 under construction in September 2015. Spending
on R&D almost doubled between 2008 and 2013 and the The government elected in 2005 has adopted a new
number of researchers and publications progressed by 20% communitarian productive model to ensure that surplus
and 30% respectively (Figures 7.5, 7.6 and 7.8). production serves the collective need, as part of the planned
transition from capitalism to socialism. According to this
In 2012, the Ministry of Science, Technology and Productive model, the four strategic sectors capable of generating a
Innovation (MINCYT) launched the National Science, surplus for Bolivians are identified as being hydrocarbons,
Technology and Innovation Plan: Innovative Argentina 2020. mining, energy and environmental resources; rather than
Chapter 7

The plan prioritizes the most scientifically underdeveloped using this surplus to drive exports, the new model advocates
regions by assigning 25% of all new posts at the National using it to develop employment-generating sectors such as
Scientific and Technical Research Council (CONICET) to manufacturing, tourism, industry and agriculture.
these regions. The plan is organized in a matrix composed
of six strategic areas (agro-industry; energy; environment Since 2010, the design of S&T policies has fallen under
and sustainable development; health; industry; and social the supervision of the Ministry of Education. A series of
development) and three general-purpose technologies: programmes have been proposed within the Institutional
biotechnologies, nanotechnologies and ICTs. Strategic Plan 20102014, including the Bolivian System
of Scientific and Technological Information (SIBICYT) and
The creation of the Argentine Sectorial Fund (FONARSEC) the Bolivarian Innovation System. Within the plan, the
by MINCYT in 2009 accelerated the shift from horizontal Innovation, Research, Science and Technology Programme
to vertical policy instruments. Its mission is to establish lays the groundwork for the following policy instruments:
publicprivate partnerships, in order to improve
n the conduct of communitarian and productive research
at the countrys public technical institutes;
16. See: http://spin.unesco.org.uy

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UNESCO SCIENCE REPORT

n the creation of centres for research and innovation in By March 2012, the government had already modified its R&D
textiles, leather, wood and camelids Bolivia is thought to tax credit framework to make it easier for firms to innovate.
have the greatest number of llamas in the world; The reform abolished both the eligibility requirements
for collaboration with external research centres and the
n the development of research and innovation networks
requirement to invest at least 15% of the companys gross
in biodiversity, food production and land and water
annual revenue in R&D. In a move questioned by some, the
management some of these networks comprise more
revenue from royalties levied on all mining operations was
than 200 researchers from both public and private
used to finance R&D cluster development in priority sectors.
institutions distributed in various regional and national
working groups; and
In January 2015, President Michelle Bachelet established a
n the creation of a fund for STI. Presidential Commission composed of 35 experts on the
theme of Science for Chile. Their mandate is to elaborate a
proposal as to how to foster STI and a broad scientific culture.
CHILE They are considering the possibility of creating a Ministry of
Science and Technology.
A desire to embrace the knowledge economy
Chiles economy grew by 1.9% in 2014, slowing
markedly from 4.2% in 2013. An expansion of 2.5% is forecast COLOMBIA
in 2015, driven by a surge in public spending and positive
developments in the external sector (ECLAC, 2015a). Chile is the A greater focus on innovation
major recipient of FDI in the region. In 2014 alone, it received Colombias economy grew by 4.6% in 2014.
more than US$ 22 billion. Chile has a higher proportion of private Growth projections for 2015 have been revised downwards,
funding for education than any other OECD member country, although they remain between 3.0% and 3.5% (ECLAC,
with 40.1% of education spending coming from private sources 2015a). In June 2015, the government implemented a
(16.1% average for OECD countries). Chile was the highest number of countercyclical policies known collectively as
scoring Latin American country in the PISA 2012 mathematics the Productivity and Employment Stimulus Plan to encourage
test but still 71 points behind the OECD average. investment and, thereby, limit the economic slowdown.

In Chile, it is the Office of the President of the Republic which Colombia is preparing its entry into the OECD with the
leads the national innovation system, under the direct guidance intention of adopting, adapting and implementing improved
of the National Innovation Council for Competitiveness (CNIC). practices in a host of areas in relation to public governance,
The latter proposes general guidelines for the development of commerce, investment, fiscal issues, STI, environment,
a National Innovation Strategy. The Interministerial Innovation education and so on.
Committee then evaluates these criteria before establishing
short-, medium- and long-term national STI policies; it also Colombias innovation system is co-ordinated by the National
monitors the implementation of the National Innovation Strategy. Planning Department and the Colombian Institute for the
Development of Science (Colciencias). In 2009, Colciencias
The Ministries of Education and of the Economy play a was transformed into the Administrative Department for
leading role in the Interministerial Innovation Committee, Science, Technology and Innovation with responsibility for
their participation being channelled through the main formulating, co-ordinating, executing and implementing
public institutions with a focus on STI, namely, the National related public policies in line with the countrys development
Commission for Scientific and Technological Research plans and programmes.
(CONICYT) and the InnovaChile wing of the Corporation for
the Promotion of Production (CORFO). The latter17 supports In 2012, the government created iNNpulsa Colombia with
sectors with high-growth potential, through funding for SMEs the National Development Bank to support innovation and
and the nurturing of an early-stage seed capital industry. competitiveness, with a budget of US$ 138 million for the
20122013 period. Some 70% of Colciencias Innovation
The governments Agenda for Productivity, Innovation & Economic Management Programme, on the other hand, was oriented
Growth for 20142015 reflects the desire to move from an towards micro-enterprises and SMEs (with a budget of
economy based on natural resources to one based on knowledge US$ 20 million in 2013). Since 2009, Colciencias has been
by diversifying the economy and supporting sectors with strong annually allocating US$ 0.5 million to support collaborative
growth potential. CORFO is a key partner in this intiative. projects between firms and the academic sector. The General
Royalties System Fund also now has a regional development
17. See www.english.corfo.cl focus as far as STI is concerned.

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 Latin America

Between 2010 and 2014, Colciencias formulated a series of what are sometimes described as economic enclaves such as
strategies for strengthening STI policies, such as Vision 2025, package tourism, export processing zones and mining, with
which seeks to position Colombia as one of the three most little linkage to the broader economy.
innovative countries in Latin America by 2025 and a world
leader in biotechnology. The aim is for Colombia to be able Given the composition of sectors driving recent growth, it is
to offer local, regional and global solutions to problems not surprising that traditional indicators of industrial research
such as overpopulation and climate change, with a series of intensity such as high-tech exports or patenting show little
centres of excellence working on vector-transmitted diseases activity (Figures 7.3 and 7.9). Innovation surveys reported by
and the possibilities of interaction with other sectors: health, UNCTAD (2012) show that the little firms invest in research
cosmetics, energy and farming. comes mainly from their own treasury, suggesting weak
public support and linkages with non-business actors.
Vision 2025 proposes generating 3000 new PhDs, 1000 annual
patents and working with 11000 companies by 2025. The Constitutional reforms adopted in January 2010 elevated the
programme will allocate US$ 678 million during 20112014, existing State Secretariat for Higher Education, Science and
targeting researchers in the public and private sectors. In 2014, the Technology to the rank of ministry. The Ministry for Higher
government launched a Brain Repatriation Programme to woo Education, Science and Technology (MESCYT) has since been
500 doctorate-holders from the diaspora over the next four years. entrusted with developing national indicators of science and
technology and with implementing a national programme
to foster entrepreneurship. The ministrys Strategic Plan for
CUBA Science, Technology and Innovation 20082018 establishes
research priorities in the following areas:
Preparing incentives to attract investors
n Biotechnology;
The Cuban economy grew by 1.3% in 2014 and
is expected to expand by 4% in 2015. In 20142015, n Basic sciences;
11 priority sectors for attracting foreign capital were
n Energy, with emphasis on renewable sources and biofuels;
identified, including agrifood; general industry; renewable
energy; tourism; oil and mining; construction; and the n Software engineering and artificial intelligence;
pharmaceutical and biotechnology industry (ECLAC, 2015a).
n Innovation in processes, produce, goods and services;

With the normalization of relations with the USA in 2015, n Environment and natural resources; and
Cuba is in the process of establishing a more attractive legal
n Health and food technology.
regime offering substantial fiscal incentives and guarantees for
investors. Cuba is already one of the most popular destinations A number of key reforms recommended by UNCTADs review
for Latin American university students (see p. 181). of STI policy in the Dominican Republic would help coalesce
public and private efforts in these priority sectors. These
Between 2008 and 2013, the number of Cuban scientific recommendations include a substantial increase in public
papers grew by 11%, even as GERD receded from 0.50% to investment in STI, fostering demand for STI through public
0.41% of GDP. In 2014, the government created the Financial procurement and the establishment of a formal status of Chapter 7

Fund for Science and Innovation (FONCI) to enhance the researcher (UNCTAD, 2012).
socio-economic and environmental impact of science by
boosting business innovation. This is a major breakthrough
for Cuba, considering that, up until now, the bulk of R&D ECUADOR
funding has come from the public purse.
Investing in the knowledge economy of
tomorrow
DOMINICAN REPUBLIC Ecuadors economy grew by 3.8% in 2014 but projections for
2015 have been revised downwards to 1.9%. The drop in the
Growth restricted to economic enclaves average price of Ecuadorian crude from US$ 96 a barrel in
Economic growth in the Dominican Republic 2013 to US$ 84 in 2014 has meant that oil exports lost 5.7% of
has been high by regional standards, averaging 5.1% in their value in 2014 even though their volume was up by 7%
the 12 years to 2013. However, this growth has not been (ECLAC, 2015a).
accompanied by a significant reduction in poverty or
inequality, contrary to trends in some other Latin American Between 2008 and 2013, GERD tripled in PPP dollars, the
countries. Moreover, growth has been largely concentrated in number of researchers doubled (Figure 7.6) and scientific

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UNESCO SCIENCE REPORT

Box 7.4: Ikiam: a university in the heart of the Amazon

The cities of Quito and Guayaquil be mainly studying pharmacology and In December 2013, an international
group more than half of Ecuadors the sustainable management of natural workshop was organized in Misahuall
universities and polytechnics. Ikiam resources. (Napo) to analyse Ikiams future
University (ikiam means forest in academic programme, as well
Shuar) opened its doors in October The aim is to turn Ikiam into Ecuadors as the universitys organizational
2014 in the heart of the Amazon. first world-class university for teaching structure and research strategies. Ten
The first contingent of 150 students and research. All the professors hold a Ecuadorian scientists participated, as
discovered a campus surrounded by PhD and half are foreigners. The university well as 53 scientists from Australia,
93 hectares of exceptional biodiversity; offers levelling programmes to first-year Belgium, Brazil, Canada, Germany,
this protected territory will serve as an students to overcome any shortcomings France, the Netherlands, South Africa,
open-air laboratory for the students in their education up to the time of their Spain, the UK, USA and Venezuela.
and researchers from Ikiam, who will admission. Source: www.conocimiento.gob.ec

output rose by 50% (Figure 7.8). In the past decade, public In 2013, legislation was passed certifying the status of scientific
investment in education has quintupled from 0.85% (2001) researcher and creating different categories of researchers.
to 4.36% (2012), one-quarter of which is devoted to higher This normative step makes it possible to create special wages
education (1.16%). This steep rise in education funding is for researchers, according to their category of service.
part of the governments wider strategy of developing a
knowledge economy by reducing Ecuadors dependence
on banana and oil revenue. A sweeping reform of higher GUATEMALA
education has been introduced to erect two of the pillars
of any knowledge economy: quality training and research. A need to nurture its human capital
In 2010, the Law on Higher Education established four Guatemalas economy grew by 4.2% in real terms
flagship universities: Ikiam (Box 7.4), Yachay, the National in 2014, up from 3.7% in 2013. Growth was driven by a surge
University of Education and the University of the Arts. The in domestic demand among private consumers, in particular,
law also introduced free education and a system of student along with low inflation, a rise in real wages and higher levels
scholarships to give a greater number of hopefuls the of bank lending to the private sector (ECLAC, 2015a).
chance of a university education. In 2012, several private
universities had to close because they did not respect the Public spending on education has remained stable since 2006
quality criteria defined by the law. at about 3% of GDP but only one-eighth of this goes to higher
education, according to the UNESCO Institute for Statistics.
Flagship programmes put in place by the Secretariat for Moreover, between 2008 and 2013, total expenditure on
Higher Education, Science, Technology and Innovation education slipped from 3.2% to 2.8% of GDP. Over this same
(SENESCYT) include a sophisticated new system of period, GERD dropped by 40% (in PPP$) and the number of
scholarships for graduates to complete PhD programmes FTE researchers by 24%. Although scientific output increased
abroad and the construction of the City of Knowledge, by 20% (Figure 7.8), this progression is modest compared
modelled on similar cities in China, France, Japan, Republic to that of other countries in the region. If we compare
of Korea and USA. Yachay (the word for knowledge in Guatemala with Malawi, a country with almost the same
Quechua) is a planned city for technological innovation surface area and population, Guatemalas GDP is ten times
and knowledge-intensive businesses combining ideas, that of Malawi but Malawi publishes almost three times the
talent and state-of-the-art infrastructure. Together, these number of scientific articles. This suggests that Guatemala has
ingredients should be able to create a city that embodies fallen into the Sisyphus trap (see next section).
the indigenous concept of Buen Vivir (good living). The
city will be organized around five pillars of knowledge: life The National Council of Science and Technology (CONCYT) and
sciences, ICTs, nanoscience, energy and petro-chemistry. National Secretariat for Science and Technology (SENACYT) now
Yachay will host Ecuadors first University of Experimental co-ordinate STI in Guatemala and are in charge of implementing
Technological Research, which will be linked to public and policies in this area. In 2015, a National Plan for Science,
private research institutes, technology transfer centres, Technology and Innovation to 2032 was under discussion to
high-tech companies and Ecuadors agricultural and agro- replace the existing plan. Guatemala disposes of a fairly wide
industrial communities, thereby becoming the first Latin range of funding mechanisms, including the Science and
American knowledge hub. Technology Support Fund (FACYT), Science and Technology

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Development Fund (FODECYT) and the Multiple Support to the that generate knowledge to establish linkages with the private
National Plan Fund for Science and Technology (MULTICYT). sector through consulting, licensing and start-ups. In parallel,
These are complemented by the Technological Innovation Fund CONACYT has been stimulating business innovation through
(FOINTEC) and the Science and Technology Emergency Activities its Innovation Incentive Programme, which doubled its budget
Fund (AECYT). A grant from the Inter-American Development between 2009 and 2014 from US$223 million to US$ 500 million.
Bank in 20122013 has helped to operationalize these funds.
In 2013, Mexico proposed a new National Climate Change
Strategy by raising the energy efficiency target by 5% for the
MEXICO national oil company, PEMEX, increasing the efficiency of
transmission and distribution lines by 2% and the thermal
A 1% GERD/GDP target but no specific efficiency of fuel oil-fired thermoelectric plants by 2%. The aim
temporal horizon is to use endogenous research and a new sectorial fund known
Mexico, Latin Americas second-largest economy after Brazil, as CONACYT-SENER to reach these targets; the latter fund
grew by 2.1% in 2014 and is expected to do slightly better in supports problem-solving in the areas of energy efficiency,
2015 (circa 2.4%), according to ECLAC. In 20142015, Mexico renewable energy and clean and green technologies.
held intensive talks with EU countries with a view to opening
negotiations on a new free trade agreement. According to To promote regional development, the government established
the Mexican government, the aim is to update the agreement the Institutional Fund for the Regional Development of Science,
signed in 2000, in order to improve the access of Mexican Technology and Innovation (FORDECYT) in 2009 to complement
goods and services to the European market, strengthen ties the existing Mixed Funds (FOMIX). FORDECYT receives both
and create a transatlantic free trade area (ECLAC, 2015a). national (CONACYT) and state funds to promote R&D at the
state and municipal levels. The new contribution ratio scheme
Between 2008 and 2013, GERD (in PPP$) and scientific output for these two funding sources is respectively 3:1. The funds
progressed by 30% (Figure 7.8) and the number of FTE mobilized only amounted to US$ 14 million in 2013.
researchers by 20% (Figure 7.5). To improve the governance of
the national innovation system, the government created the
Office of Co-ordination of Science, Technology and Innovation PERU
in 2013 in the Office of the President. The same year, the
National Council of Science and Technology (CONACYT) was A new fund for innovation
ratified as the principal governing body for STI in Mexico. The Peruvian economy grew by 2.4% in 2014
and is expected to progress by 3.6% in 2015, driven by a surge
The National Development Plan 20132018 proposes making in mining output and, to a lesser extent, by higher public
the development of STI the pillar of sustainable socio-economic spending and the monetary stimulus created by lower interest
growth. It also proposes a new Special Programme for Science, rates and the increased availability of credit (ECLAC, 2015a).
Technology and Innovation 20142018 to transform Mexico into
a knowledge economy, with the normative target of reaching a GERD has been estimated at just 0.12% GDP (see the article
1% GERD/GDP target but without any specific temporal horizon. by J. Kuramoto in Crespi and Dutrnit, 2014). Research and
innovation policies in Peru are co-ordinated by the National Chapter 7

The number of doctoral programmes participating in the Council of Science, Technology and Technological Innovation
National Programme of Quality Postgraduate Studies (CONCYTEC). Since 2013, CONCYTEC has been functioning
increased from 427 to 527 between 2011 and 2013. In in the orbit of the Presidency of the Council of Ministries.
2015, CONACYT supported around 59000 postgraduate CONCYTECs operational budget soared between 2012 and
scholarship-holders. Mexico has been reorienting higher 2014 from US$6.3 million to US$ 110 million.
education programmes towards fostering entrepreneurial
skills and an entrepreneurial culture. In 2014, the CONACYT The National Plan for Science, Technology and Innovation
Chairs Initiative planned to create 574 new positions for 20062021 focuses on the following:
young researchers on a competitive basis and, in 2015,
n Obtaining research results focused on the needs of the
extended this programme to 225 additional new posts. Public
productive sector;
support for research infrastructure tripled between 2011 and
2013 from US$ 37 million to US$ 140 million. n Increasing the number of qualified researchers and
professionals;
As part of the drive to foster a knowledge economy, Mexico is
n Improving the quality of research centres;
creating or strengthening Technology Transfer Offices through
its Sectorial Innovation Fund (FINNOVA) to encourage institutions n Rationalizing STI networking and system information; and

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n Strengthening the governance of the national innovation In 2010, a reform of the regulatory decree for the Organic Law
system. for Science, Technology and Innovation (LOCTI) established
that industrial and business sectors with higher revenues
In 2013, the government created the Framework Fund
should pay a special tax to finance laboratories and research
for Innovation, Science and Technology (FOMITEC), allocating
centres. The government prioritized a number of thematic
circa US$ 280 million for the design and implementation
areas to which these resources should be allocated: food and
of financial and economic instruments fostering the
agriculture; energy; public safety; housing and urbanism;
development of research and innovation for competitiveness.
and public health. Plans for areas related to climate change
The National Fund for Scientific and Technological Research
and biological diversity have been developed and are being
and Technological Innovation (FONDECYT) received
directed by the Ministry of the Environment.
US$ 85 million in 2014, an increase over the previous year.

After a series of ministerial reforms in 2015, the Popular Power

The government has introduced a scholarship programme for
Ministry for University Education, Science and Technology
PhD candidates wishing to study abroad (circa US$ 20 million)
was made responsible for co-ordinating STI policy.
and those planning to study at local universities (US$10 million).

The online publication Piel-Latinoamericana reports that

VENEZUELA 1100 out of the 1800 doctors who graduated from medical
school in Venezuela in 2013 have since left the country.
Scientific output down Although precise numbers are unavailable, according to
In 2014, the Venezuelan economy contracted the President of the Venezuelan Academy of Physical,
by 4% with a double-digit inflation rate (ECLAC, 2015a). The Mathematical and Natural Sciences, many researchers have
number of FTE researchers increased by 65% between 2008 emigrated in the past decade, most of them scientists and
and 2013, the highest growth rate in the region. Scientific engineers, after becoming disillusioned with government
output has actually decreased by 28% over the past decade, policies. This is another example of the Sisyphus trap (see
however (Figure 7.8). next section).

Table 7.6: Institutions in Latin America and the Caribbean with the most scientific publications, 20102014
Spanish-speaking countries of more than 10 million inhabitants

Argentina CONICET (51.5%) University of Buenos National University of La National University of National University of
Aires (26.6%) Plata (13.1%) Cordoba (8.3%) Mar del Plata (4.3%)
Bolivia Major University of San Major University San Autonomous University Natural History Museum Bolivarian Catholic
Andres (25.2%) Simon (10.7%) Rene Moreno (2.6%) Noel Kempff Mercado University San Pablo
(2.2%) (1.5%)
Chile University of Chile Pontifical Catholic University of Conception Pontifical Catholic Austral University of
(25.4%) University of Chile (12.3%) University of Valparaiso Chile (6%)
(21.9%) (7.5%)
Colombia National University of University of Antioquia University of the Andes University Valle (7.8%) Pontifical University
Colombia (26.7%) (14.6%) (11.9%) Javeriana (4.6%)
Cuba University of Habana Central University Marta Genetic Engineering and University Oriente (4.9%) Tropical Medicine Inst.
(23.4%) Abreau las Villas (5.5%) Biotechnology Centre (5%) Pedro Kouri (4%)
Dominican National University Pedro Santo Domingo Ministry of Agriculture Pontifical Catholic General Hospital Plaza
Republic Henriquez Urea (8%) Technological Institute (4%) University Mother and Salud (3%)
(6%) Teacher (3%)
Ecuador San Francisco de Quito Pontifical Catholic Uni- Technical University of Polytechnic National University of Cuenca
University (15.0%) versity of Ecuador (11%) Loja (6.0%) School (5.4%) (3.7%)
Guatemala University of the Valle General Hospital San San Carlos University Ministry of Public Health
(24.4%) Juan de Dios (3.0%), (2.5%) and Social Assistance
(2.0%)
Mexico National Autonomous National Polytechnic Metropolitan Autonomous University Autonomous University
University of Mexico Institute of Mexico Autonomous University of Puebla (2.1%) of San Luis Potosi (2.9%)
(26.2%) (17.3%) of Mexico (5%)
Peru University Cayetano National University of Pontifical Catholic International Potato National Agrarian Univ.
Heredia (21.6%) San Marcos (10.3%) University of Peru (7.5%) Centre (3.6%) La Molina (2.5%)
Venezuela Central University of IVIC (15.1%) Simon Bolivar University University of the Andes Zulia University (11.1%)
Venezuela (23%) (14.2%) (13.3%)
Source: compiled by author from Thomson Reuters Web of Science, Science Citation Index Expanded

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CONCLUSION far lower in Latin America (13% of GDP) than in OECD countries
(30% of GDP). Furthermore, in Latin America, this stock is mainly
Escaping the Sisyphus trap comprised of tertiary education, compared to R&D expenditure
According to ancient Greek mythology, Sisyphus was the in the OECD countries (ECLAC, 2015c).
craftiest of men but his chronic deceitfulness infuriated the
gods, who ended up punishing him by compelling him to roll Secondly, the paltry investment in R&D partly reflects the
a boulder up a hill, only to watch it roll back down time and insufficient number of researchers. Although the situation has
time again forever. Francisco Sagasti (2004) made astute use improved in Argentina, Brazil, Chile, Costa Rica and Mexico,
of the Sisyphus metaphor to describe the recurrent difficulties numbers remain low in relative terms. The shortage of trained
developing countries face in creating endogenous research personnel restricts innovation, especially that done in SMEs.
and innovation. Some 36% of companies operating in the formal economy
struggle to find a properly trained workforce, compared to a
The history of STI policies in Latin America can be likened to global average of 21% per country and an OECD average of
the Sisyphus trap. Recurrent economic and political crises 15%. Latin American companies are three times more likely
since the 1960s have had a direct impact on the design and than South Asian firms and 13 times more likely than Asian
performance of STI policies for both the supply and demand Pacific firms to face serious operational problems owing to a
sides. The lack of continuity of long-term public policies shortage of human capital (ECLAC, 2015b).
and poor public governance in the majority of countries are
largely to blame for the lack of appropriate STI policies in Thirdly, the education system is not geared to addressing the
recent decades. How often has a new party or group come to shortage of S&T personnel. Although the number of tertiary
power in a Latin American country and immediately set about institutions and graduates has been rising, their numbers remain
putting a new set of rules and policies in place? Like Sisyphus, low in relative terms and insufficiently focused on science and
the national innovation system sees the original policy engineering. The shares of bachelors and PhD graduates against
roll back down the hill, as the country takes a new policy the major six fields of knowledge (Figure 7.4) show an important
direction. As the scientific and technological hills to climb will structural weakness. More than 60% of bachelors graduates
continue to proliferate making Sisyphus tasks even more and 45% of PhDs obtained their corresponding degrees in social
daunting it is also essential to devise ways of keeping the sciences and humanities. Moreover, only a small proportion of
rock on the top of the hill(Sagasti, 2004). scientific researchers work in the business sector in Latin America
(24%), compared to the OECD average (59%). In Argentina,
Since the structural adjustments of the 1990s, a new Brazil, Chile, Colombia and Mexico, there is a lack of engineering
generation of STI policy instruments has emerged that has graduates in the private sector.
profoundly transformed the institutional ecosystem, legal
framework and incentives for research and innovation. In Last but not least, patenting behaviour confirms that Latin
some countries, this has been beneficial. Why then has the American economies are not seeking technology-based
gap between Latin America and the developed world not competitiveness. The number of patents granted per million
narrowed? This is because the region has failed to overcome inhabitants between 2009 and 2013 was highest in Panama,
the following challenges. Chile, Cuba and Argentina but generally very low across the
region. Patent applications by Latin Americans over the same Chapter 7

Firstly, Latin American economies do not focus on the type of period in the top technological fields18 accounted for just 1%
manufacturing that lends itself to science-based innovation. of those filed in high-income economies in these same fields.
Manufactured goods represent less than 30% of exports from
most Latin American economies and, with the notable exception In the past decade, Argentina, Chile, Mexico and Uruguay
of Costa Rica and to a lesser extent Mexico, high-tech goods have followed Brazils example by initiating a shift from
represent less than 10% of manufactured exports. With the horizontal to vertical funding mechanisms like sectorial
exception of Brazil, GERD remains well below 1% and business funds. In so doing, they have given a strategic boost to
contributes one-third, at best. These ratios have hardly changed those economic sectors that require innovation to increase
for decades, even as many other developing countries have productivity, such as agriculture, energy and ICTs. In tandem,
moved on. On average, R&D intensity in the private enterprise they are implementing specific policies and putting incentive
sector (expressed as a percentage of sales) is less than 0.4%, well mechanisms in place to foster strategic technologies such as
below the averages for Europe (1.61%) or the OECD (1.89%) [IDB, biotechnologies, nanotechnologies, space technologies and
2014]. A recent Argentinian study showed that R&D expenditure biofuels. This strategy is beginning to pay off.
as a percentage of sales over 20102012 amounted to just
0.16% for small firms, 0.15% for medium-sized firms and 0.28% 18. namely, electrical machinery, apparatus, energy, digital communication,
for large firms (MINCYT, 2015). The stock of innovation capital is computer technology, measurement and medical technology

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Emerging Markets: Recurring Problems and Demonstrated
Solutions. Working Paper Series. Peterson Institute for Guillermo A. Lemarchand (b. 1963: Argentina) is an
International Economics: Washington, D.C. astrophysicist and science policy specialist. In 2000,
he was made a Full Academician of the International
Navarro, L. (2014) Entrepreneurship Policy and Firm Academy of Astronautics (Paris). He co-chaired the
Performance: Chiles CORFO Seed Capital Program. Inter- Advisory Board of the Commission of Science and
American Development Bank: Washington DC. Technology of the Argentinean Parliament (20022005).
NSB (2014) Science and Engineering Indicators 2014. National Since 2008, he has been working as a science policy
Science Board. National Science Foundation: Arlington VA consultant for UNESCO, for which he has designed
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ACKNOWLEDGMENTS
OECD (2013b) Territorial Reviews: Antofagasta, Chile:
Thanks go to Julia Taguea Parga, Deputy-Director for
2013. Organisation for Economic Co-operation and
Scientific Development at the National Council for Science
Development: Paris
and Technology (CONACYT) in Mexico and Alberto Maj
Prez, R. P.; Gaudin, Y. and P. Rodrguez (2012) Pineyrua, Secretary-General of the Iberoamerican Programme
SistemasNacionales de Innovacin en Centroamrica. for Science and Technology for Development (CYTED) in
Estudios y Perspectivas, 140. Comisin Econmica para Uruguay, for contributing information to the present chapter,
Amrica Latina y el Caribe: Mexico. and to their assistant Mnica Capdevielle. The author also
expresses his gratitude to Carlos Aguirre-Bastos, Ernesto
RICYT (2014) El Estado de la Ciencia: Principales Indicadores de
Fernandez Polcuch and Alessandro Bello for their contribution
Ciencia y Tecnologa 2014. Red de Indicadores de Ciencia y
to the boxes.
Tecnologa Iberoamericana e Interamericana: Buenos Aires.

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Industry must embrace innovation to

remain internationally competitive.
Renato Hyuda de Luna Pedrosa and Hernan Chaimovich

This laboratory uses desalination to

convert ocean water into drinking water.
It is situated in Bertioga, in the State of
So Paulo.
Photo: Paulo Whitaker/Reuters

210
 Brazil
8 . Brazil
Renato Hyuda de Luna Pedrosa and Hernan Chaimovich

INTRODUCTION in March 2015. To make matters worse, the giant state-

controlled oil company, Petrobrs, is currently fighting a crisis
Economic downturn could jeopardize recent gains tied to poor management and a kick-back corruption scandal.
Brazils economy has experienced a severe downturn since The latter has taken a political turn, with the implication of
2011, after almost a decade of growth and a short-lived recovery several prominent political figures. At the end of April 2015,
from the 20082009 global financial crisis in 2010 (Figure 8.1). Petrobrs finally published its annual report for 2014, in
This economic slowdown has been triggered by weaker which it acknowledged losses of over 50 billion reals (R$, circa
international commodities markets, on which Brazil is highly US$ 15.7 billion), R$6 billion of which were related to the
dependent, coupled with the perverse effects of economic corruption scandal.
policies designed to fuel consumption. The latter eventually
caused government spending to overtake revenue by a large It is against this economic and political backdrop that Brazil is
margin: in 2014, Brazil had a primary deficit of over 0.5% of GDP striving to maintain the momentum of reforms to its national
for the first time in 16 years; this deficit has helped to push innovation system, including innovation in social policies.
annual inflation rates to over 6% since 2013. Brazils economy
stagnated in 2014 (0.1% of GDP growth) and the outlook is even Social inclusion progressing more slowly
worse for 2015, with the Ministry of Finance forecasting in April The downturn in the economy is starting to rub off on
this year that the economy would contract by 0.9%. social inclusion, which had been one of Brazils success
stories, especially during the commodities boom up to
Since her re-election in November 2014, President Dilma 2010 when Brazil essentially managed to eliminate hunger
Roussef has overhauled national macro-economic policies. and extreme poverty and, thereby, narrow the income gap.
The new Minister of Finance, Joaquim Levy, has put in place, Between 2005 and 2013, unemployment rates fell from
or proposed, a series of measures to cut spending and 9.3% to 5.9% of the population.
increase tax revenue, with the aim of obtaining a primary
surplus of 1.2% in 2015.1 Interest rates have been raised More recent data suggest that this growth cycle may already be
twice since the November election (to 12.75%) to try to curb at an end. According to the Social Panorama on Latin America
inflation, which hit 8.1% for the 12-month period ending published by the United Nations Economic Commission
for Latin America and the Caribbean (ECLAC, 2014a), Brazil
1. Given the difficulties in getting support from Congress for the fiscal policies reduced poverty rates by one-third between 2003 and 2008
proposed by Minister Levy, the target for primary surplus was reduced to 0.15%
of GDP in July 2015. Recent forecasts put the contraction in GDP at 1.5% or more
but progress slowed from 2008 to 2012 and stagnated in 2013.
for 2015. Preliminary data even suggest that extreme poverty may

Figure 8.1: GDP per capita and GDP growth rate for Brazil, 20032013
15 000 7.5
8
GDP per capita in constant 2011 PPP$
GDP growth rate 7
6.1
12 000 5.7 6
5.2
5
9 000
4
4.0

3.2 2.5 3
Chapter 8

6 000
2.7
2

1
3 000 1.1 1.0
0
-0.3
0 -1
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: World Banks World Development Indicators, May 2015

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UNESCO SCIENCE REPORT

have regained some ground, since it affected 5.9% of the in 2012, coupled with a reduction in the labour tax wedge,
population in 2013, compared to 5.4% a year earlier. Despite have been designed to encourage people to work in the formal
having managed to reduce poverty rates faster than the economic sector, which is more amenable to innovation than
rest of Latin America, Brazil still trails the regions leaders for the informal sector (OECD, 2014). However, there seem to be
this indicator, namely Uruguay, Argentina and Chile (ECLAC, few, if any, substantial public policies designed specifically
2014a). to help Brazilian enterprises catch up to their competitors
on the frontier of technology. Since productivity levels are
Brazilian labour productivity stagnating an indication of the rate of absorption and generation of
Another recent study (ECLAC, 2014b) indicates that greater innovation, Brazils own low productivity levels suggest that it
social spending by governments in Latin America has failed has not managed to harness innovation to economic growth.2
to translate into better labour productivity, contrary to what
has been observed in high-income countries. The notable TRENDS IN STI GOVERNANCE
exception is Chile, which saw its labour productivity almost
double between 1980 and 2010. More flexible social organizations cutting the red tape
Brazils public research institutes and universities follow
If we compare Brazil with other emerging economies, the rigid rules that tend to make them very difficult to manage.
Brazilian experience is akin to that of Russia and South Africa, States may opt to develop their own research institutes
where labour productivity has stagnated since 1980. China and university systems but, as all laws and regulations are
and India, on the other hand, have improved their own labour adopted at federal level, they all have to follow the same rules
productivity remarkably over the past decade, in particular, and regulations. Thus, they all come up against the same
albeit from a low starting point (Heston et al., 2012). hurdles. These include extensive bureaucratic structures, an
obligation to recruit staff, academic or otherwise, from among
Even the commodities boom between 2004 and 2010 did public servants, analogous career ladders and salary systems,
not make a difference. Part of the explanation for Brazils an irregular flow of funds, overly complex procurement
poor performance even during this growth cycle lies in the procedures and powerful unions in the civil service.
fact that the bulk of economic growth over these years came
from service industries; as this sector requires less skill, the A structural alternative was developed in 1998, with the
average productivity of the employed actually dropped. creation of social organizations. These private, non-profit
entities manage public research facilities under contract to
The government has enacted a range of policies which federal agencies. They have the autonomy to hire (or fire)
seek, indirectly, to raise labour productivity. The 20112020 staff, contract services, buy equipment, choose the topics
National Education Plan provides incentives for developing and objectives of scientific or technological research and sign
basic and vocational education: new programmes established
in 2011 finance the vocational training of low-skilled workers
2. The relationship between innovation and economic development, including
and offer scholarships for tertiary education. The dual reforms productivity, has been at the centre of modern development economic theory and
of the public pension and unemployment insurance systems empirical studies. A good discussion may be found in Aghion and Howitt (1998).

Box 8.1: The Brazilian Institute for Pure and Applied Mathematics

The Institute for Pure and Applied mainly other Latin American countries. In 2014, IMPA joined the exclusive group
Mathematics (IMPA) in Rio de Janeiro The 50 faculty also include citizens of 14 of institutions with a Fields Medallist on
was set up in 1952 as part of Brazils different countries. their staff, rtur Avila, who had obtained
National Research Council (CNPq). his PhD from IMPA in 2001 and has been
From the outset, IMPAs mission was In 2000, IMPA obtained the status of social a permanent faculty member since 2009.
to carry out high-level mathematical organization to allow for a more flexible Avila is the only Fields Medallist to date
research, train young researchers and and agile management of resources and to to have had been entirely educated in a
disseminate mathematical knowledge give greater autonomy in hiring researchers developing country.
in Brazilian society. and in career development.
IMPA and the Brazilian Mathematical
Since 1962, IMPAs graduate programme IMPA has since become involved in Society are organizing the International
has awarded over 400 PhDs and twice organizing the Brazilian Mathematics Congress of Mathematicians in 2018.
as many masters degrees. About half Olympiad for public schools and in training
of its student body comes from abroad, secondary school teachers. Source: www.icm2018.org

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 Brazil

Box 8.2: The Brazilian Centre for Research in Energy and Materials

The National Centre for Research in Energy internationally competitive synchrotron the elementary process of catalysis in the
and Materials (CNPEM) is the oldest social called Sirius. It will have up to 40beamlines production of hydrogen from ethanol;
organization in Brazil. It runs national and will be one of the worlds first understanding the interaction between
laboratories in the areas of biosciences, fourth-generation synchrotrons. This plants and pathogens to control citrus
nanotechnology and bioethanol. US$585 million project will be the largest diseases; and analysing the molecular
infrastructure for science and technology process that catalyses cellulose
It also runs the only Latin American ever built in Brazil. It will be used for Latin hydrolysis in the production of second-
synchrotron light source, which has been American R&D projects stemming from generation ethanol.
operational since the late 1990s. The light academia, research institutes and private
source and beamline were designed and and public companies. This endeavour has been made
installed using technology developed at possible by CNPEMs structure as a
the centre itself. Typical industrial applications of this social organization, a status that confers
equipment will include developing ways autonomy in project management.
CNPEM is currently engaged in the to break down asphaltenes to allow the
development and construction of a new pumping of high viscosity oil; explaining Source: authors

R&D contracts with private companies. The flexibility accorded n Raise business expenditure on R&D from 0.51% to
to these social organizations and their management style have 0.65% of GDP;
made them a success story in Brazilian science. Today, there are
n Increase the number of scholarships (all levels) granted by
six such organizations:
the two federal agencies, the National Research Council
(CNPq) and the Foundation for Co-ordinating Capacity-
n the Institute for Pure and Applied Mathematics
building of Personnel in Higher Education (Capes), from
(IMPA, Box 8.1);
100 000 to 150000; and
n the Institute for the Sustainable Development of the
n Foster S&T for social development by establishing
Amazon Forest (IDSM);
400 vocational and 600 new distance-learning centres,
n the National Centre for Research in Energy and Materials by expanding the Mathematics Olympiad to 21 million
(CNPEM, Box 8.2); participants and by granting 10 000 scholarships at the
secondary level.
n the Centre for Management and Strategic Studies (CGEE);

n the National Teaching and Research Network (RNP); and By 2012, GERD stood at 1.15% of GDP and business
expenditure on R&D at 0.52% of GDP. Neither of these targets
n the most recent addition, the Brazilian Research and
has thus been reached. Concerning tertiary scholarships,
Industrial Innovation Enterprise (Embrapii), established
CNPq and Capes easily reached the target for PhDs (31 000 by
by the federal government in late 2013 to stimulate
2010 and 42 000 by 2013) but fell short of reaching the target
innovation through a system of calls for proposals; only
for tertiary scholarships as a whole (141 000 by 2010). The
institutions and enterprises deemed eligible may respond
target of the National Plan for Graduate Education 20052010
to these calls, thus speeding up the whole process and
was for 16 000 PhDs to be granted by the end of the plan
offering applicants a greater chance of success; Embrapii is
period. Since the actual number of PhDs granted stood at 11
due to be assessed in late 2015.
300 in 2010 and less than 14 000 in 2013, this target has not
been reached either, despite the fact that almost 42 000 federal
In the late 1990s, as economic reforms took hold, legislation
Chapter 8

PhD scholarships were granted in 2013.

was adopted to stimulate private R&D. Arguably the most
important milestone was the National Law on Innovation.
On the other hand, the targets related to fostering a popular
Soon after its approval in 2006, the Ministry of Science,
science culture have been partly reached. For instance, in
Technology and Innovation published a Plan of Action for
2010, over 19 million students took part in the Brazilian
Science, Technology and Innovation (MoSTI, 2007) establishing
Mathematics Olympiad for Public Schools, up from 14 million
four main targets to be attained by 2010, as described in the
in 2006. However, since then, the number of participants has
UNESCO Science Report 2010:
tended to stagnate. Up until 2011, it was looking as if the
n Raise gross domestic expenditure on R&D (GERD) from targets for distance learning and vocational education might
1.02% to 1.50% of GDP; be reached but there has been little progress since.

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UNESCO SCIENCE REPORT

The Fourth3 National Conference on Science and Technology TRENDS IN HIGHER EDUCATION
(2010) laid the groundwork for the National Plan for Graduate
Education 20102015 and established guidelines orienting R&D Private enrolment slowing after years of rapid growth
towards reducing regional and social inequalities; exploiting Higher education has experienced very fast growth rates since
the countrys natural capital in a sustainable manner; raising the launch of the economic stabilization programme in the
the added value in manufacturing and exports through second half of the 1990s. Growth has been most visible in
innovation; and strengthening the international role of Brazil. undergraduate enrolment, where the student body has swelled
by an extra 1.5 million students since 2008. About three-
The proposals put forward at the Fourth Conference on Science quarters of undergraduates (7.3 million in 2013) are enrolled
and Technology were presented in a Blue Book which served in private institutions. The latter tend to be mostly teaching
as the basis for the elaboration of targets within a four-year institutions, with a few exceptions, such as the network of
plan dubbed Brasil Maior (Larger Brazil). The launch of this Catholic universities and a handful of non-profit institutions
plan coincided with the arrival of the Roussef administration in teaching economics and administration like the Getulio
January 2011. Targets of Brasil Maior to 2014 include: Vargas Foundation. About half of the growth in private tertiary
education can be attributed to distance learning programmes,
n increasing the level of fixed capital investment from 19.5%
a new trend in Brazilian higher education.
in 2010 to 22.4% of GDP;

n raising business expenditure on R&D from 0.57% in 2010 Federal subsidies financed some two million student loans
to 0.90% of GDP; in 2014. Despite this assistance, growth in enrolment in
private tertiary institutions appears to be tailing off, perhaps
n augmenting the share of the labour force that has
as consequence of the economic slowdown and a lesser
completed secondary education from 54% to 65%;
willingness to contract debt. Only 1.2 million loans had been
n raising the share of knowledge-intensive businesses from renewed up to March 2015, a month after the start of the new
30.1% to 31.5% of the total; academic year. Whereas students took out 730 000 new loans
in 2014, the Ministry of Education expects this figure to drop
n increasing the number of innovative small and medium-
to 250 000 in 2015.
sized enterprises (SMEs) from 37000 to 58000;

n diversifying exports and increasing the countrys share in In the public sector, the Restructuring and Expansion of
world trade from 1.36% to 1.60%; and Federal Universities Programme (Reuni)4 resulted in the
number of public universities and polytechnics growing by
n expanding access to fixed broadband internet from
about 25% and student numbers by 80% (from 640 000 to
14 million to 40 million households. 1 140 000) between 2007 and 2013. Graduate education
also flourished in public universities, where the number of
The only tangible progress so far concerns the last target. PhD degrees granted between 2008 and 2012 rose by 30%
By December 2014, almost 24 million households (36.5%) (Figure 8.2).
had fixed broadband internet access. Investment in fixed
capital has actually declined to 17.2% of GDP (2014), business The quality of education matters more than the duration
expenditure has fallen back to 0.52% of GDP (2012) and the Raising labour productivity requires increasing capital
Brazilian share of world exports has receded to 1.2% (2014); in investment and/or the adoption of new technologies.
parallel, Brazil has dropped three places to 25th worldwide for Creating, developing and incorporating new technologies
the absolute amount of exports. The number of young adults requires a skilled labour force, including training in the
completing secondary education has not risen, nor has their sciences for those more closely involved in the innovation
participation in the job market. We shall be examining the process. Even in the case of the services sector, which now
reasons for these trends in the following pages. generates about 70% of Brazilian GDP, a better-educated
labour force will result in significant productivity gains.
Another programme that has nothing to do with Brasil Maior
has been attracting the most attention from the authorities and It is thus of strategic importance for Brazil to raise the
receiving a generous portion of federal funds for R&D. Science educational level of the average adult. The quality of
Without Borders was launched in 2011 with the aim of sending education seems to be very low, judging from the OECDs
100000 university students abroad by the end of 2015 (Box 8.3). Programme for International Student Assessment (PISA). In
the 2012 PISA exams, the average 15-year old Brazilian scored
3. The first was held in 1985 after the return to civilian government, in order to roughly one standard deviation (100 points) below the OECD
establish the mandate of the new Ministry of Science and Technology. The second
conference took place in 2001. The third, in 2005, laid the groundwork for the
Plan of Action for Science, Technology and Innovation (2007). 4. See: http://reuni.mec.gov.br/

214
 Brazil

Box 8.3: Science without Borders

Science without Borders is a joint abroad and postdocs, as well as small n Biotechnology;
initiative of the Ministry of Science, numbers of visiting faculty and young
n Nanotechnology and new materials;
Technology and Innovation and the faculty members. Researchers employed
Ministry of Education, through their by private companies may also apply for n Technology for the prevention and
respective funding agencies, the CNPq specialized training abroad. mitigation of natural disasters;
and Capes.
n Biodiversity and bioprospection;
The programme also seeks to attract
The programme was announced in early young researchers from abroad who n Marine sciences;
2011 and began sending its first students might wish to settle in Brazil or establish
n Minerals;
abroad in August the same year. partnerships with Brazilian researchers in
the programmes priority areas, namely: n New technologies for constructive
By the end of 2014, it had sent more engineering; and
than 70000 students abroad, mainly n Engineering;
n Training of technical personnel.
to Europe, the USA and Canada.
n Pure and natural sciences;
More than 80% of these students are
The impact of this experience on the
undergraduates who stay for up to a n Health and biomedical sciences;
Brazilian higher education and research
year at a foreign university.
n ICTs; systems has not yet been evaluated. In
September 2015, it was decided not to
Students enrolled in PhD programmes n Aerospace;
extend Science without Borders beyond
in Brazil are also entitled to spend up
n Pharmaceuticals; 2015.
to a year furthering their research at an
institution abroad. n Sustainable agricultural production;

n Oil, gas and coal;

Other target groups include students
enrolled in full PhD programmes n Renewable energy; Source: authors

Figure 8.2: PhD degrees obtained in Brazil, 20052013

20 000

15 287

15 000
13 912

12 217
11 367 11 314
10 705
9 913
10 000
Chapter 8

9 364
8 982

5 000
2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: Capes; Ministry of Education; InCites

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UNESCO SCIENCE REPORT

average in mathematics, despite Brazilian youth having TRENDS IN R&D

recorded the biggest gains in mathematics of any country
between 2003 and 2012.5 Brazilian teenagers also scored R&D expenditure targets remain elusive
relatively poorly in reading and science. Brazils economic boom between 2004 and 2012 translated
into higher government and business spending on R&D.
A recent study which used international learning outcome Gross domestic expenditure on R&D (GERD) almost doubled
assessments and economic data for a large sample of to PPP$ 35.5 billion (in 2011 dollars, Figure 8.3). Most of
countries over four decades (19602000) has concluded this growth occurred between 2004 and 2010, when GERD
that it is not the number of years of formal education that climbed from 0.97% to 1.16% of GDP. Since 2010, the
matters for economic growth but how well that education has government sector alone has been driving up R&D intensity,
developed the requisite skills (Hanusheck and Woessmann, since the non-government contribution has actually
2012). Using the PISA score as a proxy for the skills of the declined from 0.57% to 0.52% of GDP (2012). Preliminary
young adult population, the authors conclude that, for each figures for 2013 indicate slight growth in government
100 points, the average yearly rate of economic growth per spending and a constant contribution from the business
capita increases by about 2 percentage points. sector (relative to GDP). Business R&D expenditure is likely
to contract from 2015 onwards until the economy shows
Brazil has just enacted a new National Law on Education signs of recovery. Even the most optimistic analysts do not
establishing targets to 2024. One of these is to attain a expect this to happen before 2016. Fixed capital investment
PISA score of 473 points by 2024. If the recent past is any in Brazil is expected to decline further in 2015, especially in
indication, that target may remain elusive: from 2000 to 2012, the manufacturing sector. This trend will certainly affect R&D
the score of Brazilian participants rose by about two points a expenditure by industry. The Petrobrs crisis is expected to
year, on average, for mathematics, science and reading; at this have a major impact on investment in R&D, since it alone
rate, Brazil will not attain 473 points until 2050. has accounted for about 10% of the countrys annual fixed
capital investment in recent years. The recently announced
Quality is not the only aspect of basic education that should cuts to the federal budget and other austerity measures
be attracting the attention of policy-makers: the number of should also affect government spending on R&D.
secondary-school graduates has stagnated since the early
2000s at about 1.8 million a year, despite efforts to expand Brazils GERD/GDP ratio remains well below that of both
access. This means that only half of the target population is advanced economies and such dynamic emerging market
graduating from secondary school, a trend which limits the economies as China and, especially, the Republic of Korea
further expansion of higher education. Many of the 2.7 million (see Chapters 23 and 25). At the same time, it is quite
students admitted to university in 2013 were older people comparable to the more stagnant developed economies
coming back to study for a degree, a source of demand that such as Italy or Spain and other major emerging markets
is unlikely to evolve much further. Even the relatively small like the Russian Federation (see Chapter 13). It is also well
fraction of the population that is able to complete a university ahead of most other Latin American countries (Figure 8.4).
degree (currently about 15% of the young adult population)
is not developing high-level skills and content-related The gap between Brazil and advanced economies is much
knowledge, as evidenced by the results of the National greater when it comes to human resources in R&D (Figure
System of Assessment of Higher Education (Pedrosa et al, 8.5). Also striking is the sharp decline in the share of research
2013). personnel employed by the business sector in recent years
(Figure 8.6). This is contrary to the trend observed in most
One federal initiative to expand qualified labour is Pronatec, developed and major emerging countries; it partly reflects
a programme launched in 2011 for technical and vocational the expansion of R&D in higher education and partly the
secondary-level education. According to government data, anaemic growth of business sector R&D highlighted above.
over 8 million people have already benefitted from the
programme. This impressive picture is somewhat clouded by Private firms are spending less on R&D
the growing claims from independent observers that most Almost all of non-government expenditure on R&D comes
of the teenagers trained under the programme have not from private firms (private universities performing only
acquired many new skills and that much of the money might a fraction of it). Since 2010, this expenditure has been
have been better spent elsewhere. A major criticism has been declining as share of GDP (Figure 8.3); it has shrunk from
that most of the money went to private schools that had very 49% to 45% (2012) of total expenditure and even to 42% in
little experience of vocational education. 2013, according to preliminary government data. This trend
is likely to last for some time. The business sector will, thus,
5. See: www.oecd.org/pisa/keyfindings/PISA-2012-results-brazil.pdf have no chance of devoting 0.90% of GDP to R&D by 2014.

216
 Brazil

Figure 8.3: GERD in Brazil by funding sector, 20042012

In 2011 PPP$ billions and percentage share of GDP

1.40 70
Non-government share (%) Government share (%) GERD (billions of 2011 $PPP)

1.20 60
0.59 0.63
0.57 0.59 0.60
0.56
1.00 50
0.48 0.49
0.48

GERD billions of 2011 $PPP

GERD/GDP ratio (%)

0.80 40

35.5
32.5 33.9
0.60 30
28.9 28.8
0.57
25.9 0.56 053 0.54
0.52 0.52
0.49 21.7 0.52
0.40 20.5 20
18.5
0.49

0.20 10

0 0
2004 2005 2006 2007 2008 2009 2010 2011 2012

Note: The great majority of non-government funding comes from business enterprises. Private universities accounted for just 0.020.03% of GERD between 2004
and 2012. Figures 8.3 and 8.4 are based on updated GDP data for Brazil available as of September 2015 and may thus not match other indicators indexed on GDP
reported elsewhere in the present report.
Source: Brazilian Ministry of Science, Technology and Innovation

Figure 8.4: Brazilian business sectors contribution to GERD as a share of GDP, 2012 (%)
Other countries are given for comparison
4.00
0.96

Non-government share (%) Government share (%)

3.50
0.56

3.00
3.07

0.84
2.78

0.80

2.50
0.78

2.00
2.04

0.43
1.90

0.59

1.50
0.47
1.55
1.45

0.59

0.55
0.54

1.00
1.16

0.63
1.12

0.76

Chapter 8
0.58

0.30
0.79

0.40 0.33
0.73

0.72

0.50
Argentina 0.15 0.43
0.52

Mexico 0.13
Russia 0.36

India 0.30

0.00
Brazil
Korea, Rep.

Japan

Germany

USA

China

Canada

UK

Portugal

Italy

Spain
France

South Africa

Source: OECDs Main Science and Technology Indicators, January 2015; Brazilian Ministry of Science, Technology and Innovation

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UNESCO SCIENCE REPORT

Figure 8.5: Share of Brazilian FTE researchers per 1 000 labour force, 2001 and 2011 (%)
Other countries are given for comparison
11.9

2011
2001
10.2
9.8

9.2

8.8

8.2

8.0

7.8
7.3

7.0
6.8

6.7

6.3
6.3

6.1

4.7

2.9
2.0

1.7

1.5

1.4
1.2
1.0

1.0

1.0
0.6
Argentina

Brazil
Korea, Rep.

Germany

UK

Spain

Russian Fed.

China
Japan

USA

Mexico
France

South Africa
Source: OECDs Main Science and Technology Indicators, January 2015

Figure 8.6: FTE researchers in Brazil by sector, 2001 and 2011 (%)
Other countries are given for comparison

2001 11.9 36.8 49.5

Argentina
2011 8.8 44.8 45.2

2001 20.8 15.0 62.7

South Africa
2011 22.1 13.1 63.8

2001 39.5 6.0 53.8

Brazil
2010 25.9 5.5 67.8

2001 23.7 16.7 58.6

Spain
2011 34.5 17.6 47.7

2001 17.4 30.3 50.4

Mexico
2011 41.1 19.8 38.8

2001 56.1 28.6 14.8

Russian Fed.
2011 48.0 31.6 20.1

2001 52.3 25.1 22.6

China
2011 62.1 19.0 18.9

2001 60.0 4.8 35.2

USA
2011 68.1 3.3 28.6

2001 73.5 8.8 16.9

Korea, Rep.
2011 77.4 7.3 14.1

Business Government Higher education

Source: OECDs Main Science and Technology Indicators, January 2015

218
 Brazil

The main reasons for Brazils low levels of private-sector R&D lie money via taxes levied on specific industrial or service sectors,
in the general populations low level of scientific and technical such as energy utility companies.
skills and the lack of incentives for businesses to develop
new technology, new products and new processes. As we The Brazil cost is holding companies back
saw in the previous section, all available indicators show that Modern industrial development in Brazil is constrained by a
Brazils education system has not equipped the population to lack of modern infrastructure, especially in logistics and electric
function properly in a technologically advanced society, nor to power generation, along with cumbersome regulations relating
contribute effectively to technological progress. to business registration, taxation or bankruptcy, all resulting in
a high cost of doing business. This latter phenomenon has been
As for Brazils low level of innovation, this phenomenon is described as the Brazil cost (Custo Brasil).
rooted in the deeply ingrained indifference of businesses and
industry towards developing new technologies. There are The Brazil cost is affecting the ability of Brazilian businesses to
fields where technological innovation sparks interest, of course: compete internationally and hindering innovation. Brazil has a
Embraer, the Brazilian aircraft manufacturer, Petrobrs, the relatively low level of exports. Their share of GDP even dropped
state oil company and Vale, the large mining conglomerate, from 14.6% to 10.8% between 2004 and 2013, despite the
are all very competitive in their respective fields, with highly commodities boom. This trend cannot be explained solely by
trained personnel and technologies and processes and products the unfavourable exchange rate.
that are both innovative and competitive. These innovative
companies share a common characteristic: their staple products Most Brazilian exports are basic commodities. These peaked
are either commodities or used by the services industry, as in the at 50.8% of all exports in the first half of 2014, up from 29.3%
case of commercial aeroplanes. Another area where Brazil has in 2005. Soybean and other grains represented 18.3% of total
shown itself to be innovative and internationally competitive exports, iron ore, meats and coffee making up another 32.5%.
is agriculture, also a commodities sector. However, Brazil does Just one-third of goods (34.5%) were manufactured, a sharp
not have a single company that is competing at the forefront drop from 55.1% in 2005. Within manufactured exports, only
of information and communications technologies (ICTs), in 6.8% could be considered high technology, compared to 41.0%
electronics or in biotechnology. Why is that so? In our view, the with a low-tech content (up from 36.8% in 2012).
long-standing Brazilian industrial policy of protecting internal
markets for locally produced goods (in various guises) has The most recent figures paint a bleak picture. Industrial output
played a central role in this process. Only now are we coming declined by 2.8% between November and December 2014
to realize just how destructive this import substitution policy and by 3.2% over the entire year. The decline was even more
can be for the development of an innovative environment. marked for capital (-9.6%) and durable goods (-9.2%) on an
Why would a local business invest heavily in R&D, if it is only annual basis, indicating a drop in fixed capital investment.
competing with similar non-innovative companies operating
within the same protectionist system? The consequence of Most government R&D expenditure goes to universities
this policy has been a gradual decline in Brazils share of global The lions share of government expenditure on R&D goes
trade in recent decades, especially when it comes to exports of to universities, as in most countries (Figure 8.7). This level
industrial goods, a trend that has even accelerated in the past of spending increased slightly from 58% to 61% of total
few years (Pedrosa and Queiroz, 2013).6 government funding of R&D between 2008 and 2012.

The situation is likely to deteriorate in the short term, as the Among specific sectors, agriculture comes next, in a reflection
most recent data indicate that 20142015 may turn out to of the sectors relevance for Brazil, the second-largest food-
be the worst years in decades for industry, especially for the producing country in the world after the USA. Brazilian
transformation subsector of the manufacturing industry. agricultural productivity has risen constantly since the
1970s, due to the greater use of innovative technology and
Chapter 8

The current slowdown in the economy is already affecting the processes. Industrial R&D comes third, followed by health and
ability of the governments sectorial funds to collect revenue, infrastructure, other sectors having shares of 1% or lower of
since profits are down in many quarters. Created in the late government expenditure.
1990s, Brazils sectorial funds have been one of the main sources
of government funding for R&D. Each sectorial fund7 receives With some exceptions, the distribution of government
spending on R&D in 2012 is similar8 to that in 2000. After a
sharp increase in industrial technology from 1.4% to 6.8%
6. Pedrosa and Queiroz (2013) present a detailed analysis of recent Brazilian
industrial policies and their consequences in various areas, from the oil and wider
energy sector to the auto-industry and other consumer goods.
8. See the UNESCO Science Report 2010 for a comparison with the years 2000 and
7. For a detailed analysis of Brazilian sectorial funds, see the UNESCO Science Report 2010. 2008, p. 105.

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UNESCO SCIENCE REPORT

sector involving technology, such as telecommunications

Figure 8.7: Government expenditure on R&D in Brazil by
socio-economic objective, 2012 (%) and internet providers, or electric power and gas utilities.
For example, the proportion of companies undertaking
Higher education
research
61.20 innovative activities decreased from 38.1% to 35.6%
between 2008 and 2011. The drop was most noticeable in
Non-oriented
research
10.93 telecommunications, both as regards the production of goods
(-18.2%) and services (-16.9%). The larger companies seemed
Agriculture 10.06
to have reduced their innovative activities by the biggest
margin between 2008 and 2011. For example, among those
Industrial technology 5.91
with 500 or more employees, the share that were involved in
developing new products declined from 54.9% to 43.0% over
Health 5.20
this period. A comparison of IBGEs innovation surveys over the
Infrastructure 2.99 periods 20042008 and 20092011 reveals that the 2008 crisis
has had a negative impact on the innovative activities of most
Defence 1.01 Brazilian firms. Since 2011, the economic situation in Brazil has
further deteriorated, especially in the industrial sector. It can be
Non-specified 0.81 expected that the next innovation survey will show even lower
levels of innovative activity in Brazil.
Environmental
0.75
protection & control
Cutbacks in spending on renewable energy
Space (civilian) 0.54
Brazils ambitions for biodiesel may have caught the headlines
in the late 2000s when global energy and food prices spiked
Energy 0.30
but energy-related industries have always had a high profile in
Exploration of Earth Brazil. The state-controlled oil giant Petrobrs registers more
0.24
& atmosphere patents than any other individual company in Brazil. Moreover,
Social development 0.06 electricity-producing companies are directed by law to invest a
& service given percentage of their revenue in R&D (Box 8.4).
Source: Ministry of Science, Technology and Innovation

The fact that energy is a key economic sector did not prevent
between 2000 and 2008, its share of government expenditure the government from cutting back its spending on energy
declined to 5.9% in 2012. The share of space R&D (civilian) has research from 2.1% to 1.1% of the total between 2000 and 2008
been pursuing a downward spiral from a high of 2.3% in 2000. and again to 0.3% in 2012. Renewable energy sources have
Defence research spending had been curtailed from 1.6% been the primary victim of these cuts, as public investment has
to 0.6% between 2000 and 2008 but has since rebounded increasingly turned towards deep-sea oil and gas exploration
to 1.0%. Research into energy has also declined from 2.1% off Brazils southeast coast. One area that has been directly
(2000) to just 0.3% (2012). Overall, though, the allocation of affected by this is trend is the ethanol industry, which has had
government R&D spending seems to be relatively stable. to close plants and cut back its own investment in R&D. Part
of the ethanol industrys woes have resulted from Petrobrs
In May 2013, the Brazilian administrative body Redetec pricing policies. Under the influence of the government, its
contracted the Argentine company INVAP to build a major stockholder, Petrobrs artificially depressed petrol
multipurpose nuclear reactor in Brazil for research and the prices between 2011 and 2014 to control inflation. This in
production of radioisotopes employed in nuclear medicine, turn depressed ethanol prices, making ethanol uneconomic
agriculture and environmental management. INVAP has already to produce. This policy ended up eating into Petrobrs own
built a similar reactor for Australia. The multipurpose reactor revenue, forcing it to cut back its investment in oil and gas
is expected to be operational by 2018. It will be based at the exploration. As Petrobrs alone is responsible for about 10% of
Marine Technology Centre in So Paulo, with the Brazilian all fixed capital investment in Brazil, this trend, along with the
company Intertechne building some of the infrastructure. corruption scandal currently shaking the company, will certainly
have ramifications for Brazils overall investment in R&D.
Firms report a drop in innovative activity
In the latest innovation survey conducted by the Brazilian Brazil generates nearly three-quarters (73%) of its electricity from
Institute of Geography and Statistics, all firms reported a hydropower (Figure 8.8). This contribution was even as high as
drop in innovation activity since 2008 (IBGE, 2013). This four-fifths in 2010 but the share of hydropower has been eroded
survey covers all public and private firms in the extractive by a combination of declining rainfall and ageing hydroelectric
and transformative sectors, as well as firms in the services plants, many of which date back to the 1960s and 1970s.

220
 Brazil

Box 8.4: Company investment in energy efficiency a legal obligation in Brazil

By law, Brazilian electricity companies The law requires distribution companies According to the National Agency
must invest a share of their revenue to invest 0.20% of their net operating of Electrical Energy, the energy
in energy efficiency programmes and revenue (NOR) in R&D and 0.50% in energy efficiency programmes supported by
contribute to the National Science efficiency programmes; a further 0.20% this initiative helped to save 3.6 GWh
and Technology Development goes to FNDCT. For their part, generation between 2008 and 2014, a fairly modest
Fund (FNDCT).The law covers both and transmission companies must invest amount. In 2014, R$342 million was
public and private firms working in 0.40% of NOR in R&D and contribute spent on such projects, representing a
electricity generation, transmission and 0.40% to FNDCT. The investment in energy drop of more than 50% before inflation
distribution. The FNDCT funds R&D efficiency programmes is considered from the R$712 million spent in 2011.
conducted by universities, research business R&D expenditure, whereas the
institutes and industrial R&D centres. funds transferred to FNDCT are considered
government funding. The law will remain
The first such law was enacted in 2000 in force until the end of 2015, when it is Source: authors
and the most recent one in in 2010. expected to be renewed or reviewed. See also: www.aneel.gov.br

Intensive use of thermoelectric power plants operating on fossil

Figure 8.8: Electricity generation by type in Brazil, 2015
fuels has compensated for much of the loss, since the share of
Share of total electric power generation (%)
new sources of renewable energy, such as solar and wind, in
2.7
the energy mix remains small. Moreover, although Brazil has 2.9
made great strides in the use of bioethanol in transportation,
there has been little focus on research and innovation in energy
generation, be it in terms of developing new sources of energy
21.1
or improving energy efficiency. In light of the foregoing, there
is little reason to expect public investment in energy R&D to
rebound to the levels seen at the turn of the century that would
rebuild Brazils international competitiveness in this field.
2015
Technology transfer to private sector key to innovation
Despite the generally low level of innovation by Brazilian
companies, there are exceptions like Embraer. Another
example is Natura, a home-grown company dedicated to
cosmetics (Box 8.5).
73.3
Technology transfer from public research institutions to the
private sector is a major component of innovation in Brazil in
Hydroelectric Thermonuclear
fields ranging from medicine to ceramics and from agriculture to
deep-sea oil drilling. Two key centres have been set up in recent Conventional thermoelectric Wind
years to foster the development of nanotechnology, the National
Source: National System Operator data: www.ons.org.br/home/
Nanotechnology Laboratory for Agriculture (LNNA, est. 2008)
and the Brazilian Nanotechnology National Laboratory (LNNano,
est. 2011). This strategic investment, combined with federal and to develop nanoscale materials for drug delivery but also
Chapter 8

state funding of specific research projects in related fields, has observes that our domestic pharmaceutical companies dont
led to considerable growth in the number of researchers working have internal R&D capabilities, so we have to work with them to
in materials science with the corollary of high-impact research push new products and processes out to market. According to
and technology transfer. A report published by the Brazilian Statnano, which crunches Thomson Reuters data, the number of
Materials Research Society (2014)9 cites researcher Rubn articles on nanoscience in Brazil rose from 5.5 to 9.2 per million
Sinisterra from the Federal University of Minas Gerais, who has inhabitants between 2009 and 2013 (see Figure 15.5). The
been developing drugs to alleviate hypertension. Sinisterra average number of citations per article dropped, though, over
is confident that Brazilian universities now have the capacity the same period, from 11.7 to 2.6, according to the same source.
In 2013, Brazilian output in nanoscience represented 1.6% of the
9. See: http://ioppublishing.org/newsDetails/brazil-shows-that-materials-matter world total, compared to 2.9% for scientific articles, in general.

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UNESCO SCIENCE REPORT

Box 8.5: Innovation made in Brazil: the case of Natura

Founded in 1986, Natura Cosmticos is It ploughs about 3% of its revenue back knowledge and technology into new
Brazils market leader for personal hygiene into R&D; in 2013, this represented an products and processes; this has incited
products, cosmetics and perfumes. Today investment of R$180 million (circa other businesses to invest in the region.
a multinational corporation, it is present US$56 million). As a result, two-thirds
in many Latin American countries and in (63.4%) of revenue from sales in 2013 Natura also participates in innovation
France, with net revenue of R$ 7 billion in involved innovative products released in hubs abroad like the Global Hub of
2013 (circa US$ 2.2 billion). Naturas stated the previous two years. Overall growth has Innovation in New York. It has also
mission is to create and commercialize been very intense, the size of Natura having developed international partnerships
products and services that promote quadrupled in the past ten years. with the Massachusetts Institute of
well-being. It operates mainly through Technologys Media Lab (USA), the
direct sales, with about 1.7 million mainly Brazilian biodiversity is a key ingredient Massachusetts General Hospital (USA)
female consultants selling directly to in Naturas innovation process, which and Lyon University in France, among
their network of regular customers rather uses plant extracts in new products. The others.
than through stores. Two-thirds of these incorporation of active biological principles
consultants (1.2 million) are based in Brazil. derived from Brazilian flora requires Today, Natura interacts with over
interaction with Amazonian communities 300 organizations companies,
The companys philosophy is to turn and partnerships with research institutes like scientific institutions, funding agencies,
socio-environmental issues into business the Brazilian Agricultural Research Company specialists, NGOs and regulatory
opportunities through innovation and (Embrapa). One example is the Chronos agencies in implementing more than
sustainability. In 2012, the Corporate line, which uses active principles from 350 projects related to innovation. In
Knights considered Natura the second- Passiflora alata (passion fruit), developed in 2013, these partnerships accounted
most sustainable company in the world partnership with the Federal University of for more than 60% of all the projects
(according to economic criteria) and the Santa Catarina using federal funds (FINEP); undertaken by Natura. One highlight
Forbes List ranked it the eighth-most the Chronos line has generated new patents has been the inauguration of the
innovative company in the world. As a and collaborative research. Applied Research Centre in Wellbeing
result of its corporate behaviour, Natura and Human Behaviour in 2015, in
became the largest enterprise in the Natura has also developed research partnership with the So Paulo
world to obtain the B-Corp certification centres in Cajamar (So Paulo), within the Research Foundation (FAPESP). The
in 2014. Ecoparque Natura in Benevides Par. Its new centre includes research facilities
Manaus Innovation Centre in the capital based at the states public universities.
Natura employs a team of 260 people city of the State of the Amazon establishes
who are directly involved in innovation, partnerships with the regions institutions
over half of them with graduate degrees. and companies to turn locally developed Source: compiled by authors

Patents have grown at a slower pace than publications Patent applications to the Brazilian Patent Office (INPI) increased
Scientific publications by Brazil have more than doubled since from 20639 in 2000 to 33395 in 2012, progressing by 62%. This
2005, primarily as a result of the jump in the number of Brazilian rate pales in comparison with that of scientific publications over
journals being tracked by the Thomson Reuters database the same period (308%). Moreover, if one considers only patent
between 2006 and 2008. Despite this artificial boost, the pace of applications by residents, the growth rate over this period was
growth has slowed since 2011 (Figure 8.9). Moreover, in terms even lower (21%).
of publications per capita, the country trails both the more
dynamic emerging market economies and advanced economies, International comparisons using the number of patents granted
even if it is ahead of most of its neighbours (see Figure 7.8). In by the US Patent and Trademarks Office (USPTO) provide an
fact, when it comes to impact, Brazil has lost a lot of ground in indirect measure of the extent to which an economy may be
the past decade. One possible cause may be the speed with seeking international competitiveness on the basis of technology-
which enrolment in higher education has expanded since the driven innovation. Although Brazil has registered strong growth
mid-1990s, especially as concerns students passing through in this field, it trails its biggest competitors for the intensity of
the federal system of universities, some of which have resorted patenting relative to its size (Table 8.1). Compared to other
to hiring inexperienced faculty, including candidates without emerging economies, Brazil also seems to be relatively less focused
doctorates. on international patenting than on publications (Figure 8.10).

222
UNESCO
Figure 8.9: SCIENCE
Scientific REPORT 2015
publication trends in Brazil, 20052014

147
Growth in Brazilian publications has slowed slightly since 2008
Other countries are given for comparison

60 000 Publications per million

inhabitants in 2008
India 53 733

50 000

184
Rep. Korea 50 258

40 000 Publications per million

Brazil 37 228
inhabitants in 2014

30 000

0.74
Russian Fed. 29 099
25 944
24 703
24 694
Turkey 23 596
20 000 Average citation rate for
17 106 Brazilian publications,
13 830 20082012; the G20
average is 1.02
10 000
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Life sciences dominate Brazilian publications

Cumulative totals by field, 20082014

46 676
52 334
5.8%
Share of Brazilian papers
among 10% most-cited,
20082012; the G20
average is 10.2%

21 181
17 321
16 066
14 278
11 181

5 367
1 766 2 560 2 621
849 921
es

es
ics
re

ry

es

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og
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in
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nc
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nc

nc
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ch
ric

sc
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Chapter 8

Note: Unclassified articles (7 190) are excluded from the totals.

The USA is Brazils closest partner

Main foreign partners, 20082014

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Brazil USA (24 964) France (8 938) UK (8 784) Germany (8 054) Spain (7 268)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

223
UNESCO SCIENCE REPORT

Table 8.1: Invention patents granted to Brazilians by USPTO, 20042008 and 20092013

No. of patents, No. of patents, Cumulative Per 10 million inhabitants,

20042008 20092013 growth (%) 20092013
Global average 164 835 228 492 38.6 328
Japan 34 048 45 810 34.5 3 592
USA 86 360 110 683 28.2 3 553
Korea, Rep. 3 802 12 095 218.1 2 433
Sweden 1 561 1 702 9.0 1 802
Germany 11 000 12 523 13.8 1 535
Canada 3 451 5 169 49.8 1 499
Netherlands 1 312 1 760 34.1 1 055
UK 3 701 4 556 23.1 725
France 3 829 4 718 23.2 722
Italy 1 696 1 930 13.8 319
Spain 283 511 80.4 111
Chile 13 34 160.0 33
China 261 3 610 1 285.3 27
South Africa 111 127 14.2 25
Russian Fed. 198 303 53.1 21
Poland 15 60 313.7 16
Argentina 54 55 3.4 14
India 253 1 425 464.2 12
Brazil 108 189 74.6 10
Mexico 84 106 25.1 9
Turkey 14 42 200.0 6

Source: USPTO

Figure 8.10: Relative intensity of publications versus patenting in Brazil, 20092013

Other countries are given for comparison. Logarithmic axes

Japan USA
Korea, Rep.
Sweden
Germany Canada
1 000 Netherlands
France UK
Patents granted by the USPTO per million inhabitants

Italy

Spain
100

Chile
China South Africa
Russian Fed.
Argentina Poland
India
10 Brazil
Mexico
Turkey

1
10 100 1 000 10 000

Publications per million inhabitants

Source: for patents: USPTO; for publications: Thomson Reuters; for population: World Banks World Development Indicators

224
 Brazil

REGIONAL TRENDS Two key factors explain So Paulos success in scientific

output: firstly, a well-funded system of state universities,
STI still dominated by the State of So Paulo including the University of So Paulo, University of Campinas
Brazil is a country of continental dimensions, with highly (Unicamp) and the State University of So Paulo (Figure 8.12),
diverse levels of development across its 27 states. The southern all of which have been included in international university
and southeastern regions show a much higher level of rankings;10 secondly, the role played by the So Paulo
industrialization and scientific development than the northern Research Foundation (FAPESP, Box 8.6). Both the university
ones, some of which encroach on the Amazonian forest and river system and FAPESP are allocated a fixed share of the states
basin. The centre-west is Brazils agricultural and cattle-raising sales tax revenue as their annual budgets and have full
powerhouse and has been developing rapidly recently. autonomy as to the use they make of this revenue.

The starkest example of this contrast is the southeastern Between 2006 and 2014, the share of Brazilian researchers
State of So Paulo. Home to 22% (44 million) of the countrys hosted by southeastern institutions dropped steadily from
202 million inhabitants, it generates about 32% of GDP and 50% to 44%. Over the same period, the share of northeastern
a similar share of the nations industrial output. It also has a states rose from 16% to 20%. It is still too early to see the
very strong state system of public research universities that effect of these changes on scientific output, or in the number
is lacking in most other states and hosts the well-established of PhD degrees being awarded but these indicators should
So Paulo Research Foundation (Box 8.6). The State of So logically also progress.
Paulo is responsible for 46% of GERD (public and private
expenditure) and 66% of business R&D. Despite these positive trends, regional inequalities persist in
terms of R&D expenditure, the number of research institutions
All indicators paint the same picture. Some 41% of Brazilian and scientific productivity. Extending the scope of research
PhDs were granted by universities in the State of So Paulo in projects to other states and beyond Brazil would certainly
2012 and 44% of all papers with Brazilian authors have at least help scientists from these regions catch up to their southern
one author from an institution based in So Paulo. So Paulos neighbours.
scientific productivity (390 papers per million inhabitants over
20092013) is twice the national average (184), a differential
10. In the Times Higher Education 2015 ranking of universities in BRICS and other
which has been widening in recent years. The relative impact emerging economies, the University of So Paulo came 10th, Unicamp 27th and
of publications by scientists from the State of So Paulo has the Universidade Estadual Paulista (Unesp) 97th. Among the top 100, only one
other Brazilian university features, the Federal University of Rio de Janeiro (UFRJ,
also been systematically higher than for Brazil as a whole over 67th). In the 2015 QS Latin America ranking, the University of So Paulo comes first,
the past decade (Figure 8.11). Unicamp second, UFRJ fifth and Unesp eighth.

Figure 8.11: Relative impact of scientific publications from So Paulo and Brazil, 20002013

Brazil So Paulo
0.837
0.816

0.803
0.789
0.766

0.756
0.753

0.740

0.734

0.740
0.733
0.723

0.719
0.721

0.718
0.709

0.709
0.693

0.695

0.692
0.693

0.684
0.675
0.673

0.665
0.660

0.653
0.651

Chapter 8

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: InCites/Thomson Reuters, October 2014

225
 R$ 69.50
UNESCO
Figure Relative REPORT
8.12:SCIENCE shares of Brazilian states for
investment in science and technology
National average for expenditure on
science and technology per capita
RORAIMA

A M A P

AMAZONAS PA R
MARANHO CEAR
RIO GRANDE
DO NORTE
PA R A B A
PIAU
PEMAMBUCO
ACRE
ALAGOAS
TOCANTINS
SERGIPE
RONDNIA
BAHIA
MATO G R O S S O

FEDERAL
DISTRICT

The State of So Paulo concentrates GOIS

the most expenditure on science and
technology per capita MINAS GERAIS

ESPRITO SANTO
MATO G R O S S O
DO SUL

R$ 183.80
S O PAU LO
RIO DE JANEIRO

PA R A N
Expenditure on science and technology per
capita in So Paolo
S A N TA C ATA R I N A

Above national average expenditure on S&T RIO GRANDE

DO SUL
50100% of national average expenditure on S&T
2550% of national average expenditure on S&T
Below 25% of national average expenditure on S&T

Ten of Brazils research universities are found in Rio de Janeiro and So Paulo
Research universities in Brazil

Region/ Region/
Federative unit Research universities Federative unit Research universities

Cear Federal University of Cear So Paulo University of So Paulo

Pernambuco Federal University of Pernambuco University of Campinas (Unicamp)

Minas Gerais Federal University of Minas Gerais State University of So Paulo

Rio de Janeiro Federal University of Rio de Janeiro Federal University of So Paulo

Oswaldo Cruz Foundation Federal University of So Carlos

Pontifical Catholic University Rio Grande do Sul Federal University of Rio Grande do Sul

University of Rio de Janeiro Pontifical University of Rio Grande do Sul

State University of Rio de Janeiro Santa Catarina Federal University of Santa Catarina

Paran Federal University of Paran Distrito Federal University of Braslia

226
Six states account for 59%
of the population
22%
State of So Paulos
The State of So Paulo
concentrates three-quarters
of public expenditure on
R&D
73%
State of So Paulos
Brazil

share of Brazilian share of public expenditure

population on R&D
RORAIMA RORAIMA

0.2 A M A P A M A P

0.3

RIO GRANDE
RIO GRANDE AMAZONAS DO NORTE
AMAZONAS PA R CEAR
1.8 3.9
MARANHO CEAR DO NORTE
0.6 MARANHO
1.0 0.3
3.3 4.5 1.6 PA R
0.3
PA R A B A 2.0 0.7 PA R A B A 0.6
PIAU
PIAU

ACRE
1.6 P E M A M B U C O 4.6
ACRE
PEMAMBUCO 0.7
A L A G O A S 1.6 A L A G O A S 0.2
0.4
S E R G I P E 1.1 S E R G I P E 0.1
TOCANTINS TOCANTINS

RONDNIA 0.7 BAHIA

RONDNIA
BAHIA
0.8 MATO G R O S S O 7.6 MATO G R O S S O 2.0
1.6 FEDERAL 0.2 FEDERAL
DISTRICT DISTRICT
1.4 0.3
GOIS GOIS
3.1 0.6
MINAS GERAIS MINAS GERAIS
10.4 3.0
MATO G R O S S O
DO SUL
ESPRITO SANTO 1.8 MATO G R O S S O
DO SUL
ESPRITO SANTO 0.2
1.2 S O PAU LO 0.4 S O PAU LO
21.6 RIO DE JANEIRO 8.3 72.9 RIO DE JANEIRO 7.1
PA R A N PA R A N
5.6 5.5

S A N TA C ATA R I N A 3.2 S A N TA C ATA R I N A 2.1

RIO GRANDE RIO GRANDE
DO SUL DO SUL

5.6 0.9

More than 15% of total

1014.9% of total
59.9% of total
Less than 5% of total
Data unavailable
1 Number of research universities

86% 31%
So Paulo dominates Five states concentrate
higher education more than half of Brazilian
spending on R&D PhD programmes
State of So Paulos State of So Paulos share of
share of higher Brazilian PhD programmes
RORAIMA
education spending RORAIMA

0.02 A M A P
on R&D A M A P
0.1

1
RIO GRANDE RIO GRANDE
AMAZONAS PA R AMAZONAS PA R
CEAR DO NORTE MARANHO CEAR DO NORTE
0.1 0.2
MARANHO
0.1 1.1 0.2 1.1 1.7 2.5 1.9
0.4
PIAU
0.5
PA R A B A
PIAU
PA R A B A 1.9
0.01 PEMAMBUCO 0.2 ACRE
0.2 1 PEMAMBUCO 3.7
ACRE
ALAGOAS TOCANTINS ALAGOAS 0.4
0.2
TOCANTINS
SERGIPE SERGIPE 0.5
RONDNIA RONDNIA BAHIA
BAHIA
MATO G R O S S O 1.9 0.1 MATO G R O S S O 1 3.4
0.2 0.9 FEDERAL
FEDERAL DISTRICT
DISTRICT
3.8
GOIS GOIS
0.1 1.6 1

31%
MINAS GERAIS MINAS GERAIS

MATO G R O S S O 0.3 ESPRITO SANTO 1.8 MATO G R O S S O 9.8 ESPRITO SANTO 1.2 1
DO SUL DO SUL
0.1 S O PAU LO 0.5 S O PAU LO
85.5 RIO DE JANEIRO 4.8 30.9 RIO DE JANEIRO 13.5 5
PA R A N
5
Chapter 8

PA R A N
3.8 6.0

State of So Paulos S A N TA C ATA R I N A 0.8 2 S A N TA C ATA R I N A 4.0 1

share of Brazilian PhD

RIO GRANDE
RIO GRANDE DO SUL
DO SUL
9.8
programmes

Source: Instituto Brasileiro de Geografia e Estatstica (IBGE)

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UNESCO SCIENCE REPORT

Box 8.6: The So Paulo Research Foundation: a sustainable funding model

The So Paulo Research Foundation of active researchers and arranged by the Centre nationale de recherche
(FAPESP) is the State of So Paulos public research theme. Besides funding research scientifique in France, the Deutsche
research foundation. It receives sustainable across the full spectrum of science, FAPESP Forschungsgemeinschaft in Germany
funding in the form of an annual 1% share supports four large research programmes and the National Science Foundation in
of state sales taxes, under a provision covering biodiversity, bio-energy, global the USA.
inscribed in the State Constitution. The climate change and neurosciences.
Constitution also stipulates that only 5% of FAPESP also offers a wide range of
the Foundations budget may be used for In 2013, FAPESPs expenditure amounted programmes to support foreign
administrative purposes, thereby limiting to R$ 1.085 billion (circa US$ 330 million). scientists wishing to work in So Paulo.
misuse. The foundation thus enjoys stable The foundation maintains co-operation These include postdoctoral fellowships,
funding and operational autonomy. agreements with national and international young investigator awards and visiting
research funding agencies, universities, researcher grants.
FAPESP operates through a peer-review research institutes and business
system with the help of panels composed enterprises. International partners include Source: compiled by authors

CONCLUSION the secondary education system, which has been one of the
main bottlenecks to improving the education level of the
Industry must embrace innovation to remain labour force, as the PISA results so eloquently illustrated. The
internationally competititve new National Law of Education proposes some very ambitious
In recent decades, Brazil has basked in the global recognition goals to 2024, including those of broadening access to higher
of its achievement in reducing poverty and inequality by education further and raising the quality of basic education.
means of active social policies. Since economic growth began
to falter in 2011, however, progress towards social inclusion Another bottleneck is to be found in the low number of patents
has also slowed. With much of the active population holding granted by USPTO to Brazilian applicants. This trend shows
down a job these days (unemployment was down to 5.9% that Brazilian businesses are not yet internationally competitive
by 2013), the only way to kickstart economic growth once when it comes to innovation. Private expenditure on R&D
more will be to raise productivity. That will take two essential remains relatively low, in comparison with other emerging
ingredients: STI and a well-educated labour force. economies. More worryingly, there has been almost no
progress in this area since the modest growth registered during
The volume of Brazilian publications has grown considerably in the commodities boom between 2004 and 2010. Investment,
recent years. A number of individual researchers have also been in general, is declining, as is the share of industrial output in
recognized for the quality of their work, as in the case of rtur GDP and Brazils participation in foreign trade, especially as
Avila, who became the first-ever Latin American mathematician regards exports of manufactured goods. These are all indicators
to receive the prestigious Fields Medal in 2014. of an innovative economy and they are all in the red.

Nevertheless, there has been a general lack of progress in The new Minister of Finance seems to be aware of the many
the overall impact of Brazilian science. Citations of Brazilian bottlenecks and distortions that have undermined the economy
publications still fall well beneath the G20 average; to some in recent years, including misguided protectionism and
extent, this may be due to the fact that many Brazilian articles favouritism in relation to some large economic groups.11 He has
are still published in Portuguese in Brazilian journals of limited proposed a series of measures to regain fiscal control as a means
circulation, thereby passing under the international radar. of preparing the terrain for a new growth cycle. Notwithstanding
If so, this lack of visibility is a temporary price to pay for the this, Brazilian industry is in such a dire state that the countrys
surge in access to higher education in recent years. However, entire approach to industrial and trade policies needs to be
the fact remains that other emerging economies such as India, overhauled. The national industrial sector must be exposed
the Republic of Korea or Turkey have performed much better to international competition and encouraged to consider
than Brazil in the past five years or so. Raising the quality and technological innovation as an essential part of its mission.
visibility of Brazilian science will require a concerted effort to
expand and intensify international collaboration. 11. The investigation into the recent scandal involving the giant oil company,
Petrobrs, has shed light on the large amount of subsidized funds received by
some construction companies via the National Bank of Economic and Social
Education has become a central topic of national political
Development (BNDES) for some international projects implemented with little
debate. The new Minister of Education is promising to overhaul oversight from Brazilian regulatory agencies.

228
 Brazil

Heston, A.; Summers, R. and B. Aten (2012) Penn World Table

KEY TARGETS FOR BRAZIL
Version 7.1. Center for International Comparisons of
Production, Income and Prices. Penn University (USA).
n Brazilian 15-year-olds to attain a mathematics score of
July. See: https://pwt.sas.upenn.edu
473 by 2024 in the OECDs Programme for International
Student Assessment (PISA); IBGE (2013) Pesquisa de Inovao (PINTEC) 2011. Brazilian
Institute of Geography and Statistics: Rio de Janeiro.
n Raise the level of fixed capital investment from 19.5% See: www.pintec.ibge.gov.br
in 2010 to 22.4% of GDP by 2014;
MoSTI (2007) Plano de Ao 20072010, Cincia, Tecnologia
n Raise business expenditure on R&D from 0.57% in 2010 e Inovao para o Desenvolvimento Nacional. (Plan of
to 0.90% of GDP by 2014; Action 20072010: Science, Technology and Innovation for
National Development.) Ministry of Science, Technology
n Augment the share of the labour force having
and Innovation.
completed secondary education from 54% to 65%; See: www.mct.gov.br/upd_blob/0203/203406.pdf
n Raise the share of knowledge-intensive businesses OECD (2014) Going for Growth. Country Note on Brazil.
from 30.1% to 31.5% of the total by 2014; Organisation for Economic Co-operation and
Development: Paris.
n Increase the number of innovative SMEs from 37000 to
58000 by 2014; Pedrosa, R.H.L and S.R.R. Queiroz (2013) Brazil: Democracy and
the Innovation Dividend. Centre for Development and
n Diversify exports and increase the countrys share in Enterprise: South Africa; Legatum Institute: London.
world trade from 1.36% to 1.60% by 2014; and
Pedrosa, R. H. L.; Amaral, E. and M. Knobel (2013) Assessing
n Expand access to fixed broadband internet from higher education learning outcomes in Brazil. Higher
14 million to 40 million households by 2014. Education Management and Policy, 11 (24): 5571.
Organisation for Economic Co-operation and Development:
Paris.

REFERENCES PISA (2012) Results, Programme for International Student

Assessment. Organisation for Economic Co-operation and
Aghion, P. and P. Howitt (1998) Endogenous Growth Theory. Development: Paris. See: www.oecd.org/pisa/keyfindings/
Massachusetts Institute of Technology Press: Boston (USA). PISA-2012-results-brazil.pdf

Balbachevsky, E. and S. Schwartzman (2010) The graduate

foundations of Brazilian research. Higher Education Forum, Renato Hyuda de Luna Pedrosa (b. 1956: Brazil) is an
7: 85-100. Research Institute for Higher Education, Hiroshima Associate Professor in the Department of Science and
University. Hiroshima University Press: Hiroshima. Technology Policy at the University of Campinas in Brazil.
He holds a PhD in Mathematics from the University of
Brito Cruz, C.H. and R. H. L. Pedrosa (2013) Past and present trends
California in Berkeley (USA).
in the Brazilian research university. In: C.G. Amrhein and
B. Baron (eds) Building Success in a Global University. Lemmens
Hernan Chaimovich (b. 1939: Chile) is a biochemist
Medien: Bonn and Berlin.
and Special Advisor to the Scientific Directorate of the
ECLAC (2014a) Social Panorama of Latin America 2013, 2014. So Paulo Research Foundation (FAPESP). He regularly
United Nations Economic Commission for Latin America publishes scientific articles in journals, magazines and
and the Caribbean: Santiago (Chile). newspapers related to higher education, science and
technology policy.
Chapter 8

ECLAC (2014b) Compacts for Equality: Towards a Sustainable

Future. United Nations Economic Commission for Latin
America and the Caribbean, 35th Session, Lima.
ACKNOWLEDGMENTS
FAPESP (2015) Boletim de Indicadores em Cincia e Tecnologia
n. 5. Fundao de Amparo Pesquisa do Estado de So The authors wish to thank Joana Santa-Cruz from the team in
Paulo (So Paulo Research Foundation, FAPESP). charge of STI indicators at the So Paulo Research Foundation
(FAPESP) for her help in collecting and organizing the data
Hanushek, E. A. and L. Woessmann (2012) Schooling,
used in the present chapter.
educational achievement and the Latin American growth
puzzle. Journal of Development Economics, 99: 497512.

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UNESCO SCIENCE REPORT

The European Union has

adopted an energetic
programme to 2020 to
conjugate the crisis and
foster smart, inclusive
and sustainable growth,
Europe 2020.
Hugo Hollanders and Minna Kanerva

In 2004, Professors Andr Geim and

Kostya Novoselov from the University of
Manchester in the UK isolated graphene,
a material with potentially endless
applications. Ultra-light, it is 200 times
stronger than steel, yet extremely flexible.
It can retain heat, yet is fire-resistant. It
can also act as an impenetrable barrier,
as not even helium can pass through it.
This discovery earned Professors Geim
and Novoselov the Nobel Prize in Physics
in 2010.
Photo: Bonninstudio/Shutterstock.com

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 European Union
9 . European Union
Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece,
Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Poland, Portugal, Romania, Spain,
Slovakia, Slovenia, Sweden, UK

Hugo Hollanders and Minna Kanerva

INTRODUCTION and Herzegovina and Kosovo1 have the status of potential

candidates. Between 2004 and 2013, GDP increased by almost
A region in a protracted crisis 47% in the 10 countries that had joined2 the EU in 2004,
With the accession of Croatia in 2013, the European compared to close to 20% for the older EU15 countries.
Unions membership swelled to 28 countries, representing
1. Reference to Kosovo should be understood to be in the context of United Nations
a combined population of 507.2 million, or 7.1% of the Security Council resolution 1244 (1999).
global population (Table 9.1). The European Union (EU) is
2. The EU was founded in 1957 by six countries: Belgium, France, Germany, Italy,
expected to expand further: Albania Montenegro, Serbia, the Luxembourg and the Netherlands. Denmark, Ireland and the UK joined in 1973,
Former Yugoslav Republic of Macedonia and Turkey are all Greece, Portugal and Spain in 1981 and Austria, Finland and Sweden in 1995. These 15
countries are known as the EU15. In 2004, ten more countries swelled the EUs ranks:
candidate countries that are in the process of integrating EU Cyprus, Czech Republic, Estonia, Hungary, Latvia, Lithuania, Malta, Poland, Slovakia and
legislation into their national legal systems, whereas Bosnia Slovenia. They were followed by Bulgaria and Romania in 2007 and by Croatia in 2013.

Table 9.1: Population, GDP and unemployment rates in the EU, 2013

5-year change in
5-year GDP 5-year change in Unemployment rate, Unemployment rate
Population 2013 growth rate GDP per capita Unemployment rate unemployment rate persons below 25 persons below
(million) (PPP , %) 2013 (PPP ) 2013 (%) (%) years 2013 (%) 25 years (%)
EU28 507.2 4.2 26 600 10.8 3.8 23.6 7.8
Austria 8.5 8.3 34 300 4.9 1.1 9.2 1.2
Belgium 11.2 10.4 31 400 8.4 1.4 23.7 5.7
Bulgaria 7.3 4.9 12 300 13.0 7.4 28.4 16.5
Croatia 4.3 -5.2 15 800 17.3 8.7 50.0 26.3
Cyprus 0.9 -1.5 24 300 15.9 12.2 38.9 29.9
Czech Rep. 10.5 3.4 21 600 7.0 2.6 18.9 9.0
Denmark 5.6 4.9 32 800 7.0 3.6 13.0 5.0
Estonia 1.3 7.9 19 200 8.6 3.1 18.7 6.7
Finland 5.4 -1.3 30 000 8.2 1.8 19.9 3.4
France 65.6 6.4 28 600 10.3 2.9 24.8 5.8
Germany 82.0 9.5 32 800 5.2 -2.2 7.8 -2.6
Greece 11.1 -21.0 19 300 27.5 19.7 58.3 36.4
Hungary 9.9 7.4 17 600 10.2 2.4 26.6 7.1
Ireland 4.6 3.9 34 700 13.1 6.7 26.8 13.5
Italy 59.7 -1.0 26 800 12.2 5.5 40.0 18.7
Latvia 2.0 2.4 17 100 11.9 4.2 23.2 9.6
Lithuania 3.0 9.8 19 200 11.8 6.0 21.9 8.6
Luxembourg 0.5 14.1 68 700 5.9 1.0 16.9 -0.4
Malta 0.4 16.3 23 600 6.4 0.4 13.0 1.3
Netherlands 16.8 -0.8 34 800 6.7 3.6 11.0 4.7
Poland 38.5 27.4 17 800 10.3 3.2 27.3 10.1
Portugal 10.5 -2.3 20 000 16.4 7.7 38.1 16.6
Romania 20.0 10.4 14 100 7.1 1.5 23.7 6.1
Slovakia 5.4 8.5 20 000 14.2 4.6 33.7 14.4
Slovenia 2.1 -3.9 21 800 10.1 5.7 21.6 11.2
Spain 46.7 -4.7 24 700 26.1 14.8 55.5 31.0
Chapter 9

Sweden 9.6 7.9 34 000 8.0 1.8 23.6 3.4

UK 63.9 1.6 29 000 7.6 2.0 20.7 5.7
Source: Eurostat

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UNESCO SCIENCE REPORT

The first signs of the economic stagnation that has plagued the population was unemployed, on average, an increase
EU since 2008 were already visible in the UNESCO Science Report of nearly four percentage points over 2008. The youth
2010. Over the cumulative five-year period to 2013, real growth unemployment rate was even higher, at almost 24% in 2013,
in the EU only amounted to 4.2%. Real GDP even declined over having risen nearly eight percentage points since 2008. Worst
this period in Croatia, Cyprus, Finland, Italy, the Netherlands, hit were Greece and Spain, where more than one in four
Portugal, Slovenia and Spain, albeit to a modest extent, and were job-seekers. In Austria, Germany and Luxembourg, on
much more severely in Greece. Belgium, Luxembourg, Malta, the other hand, the unemployment rate was lower than 6%.
Poland and Romania, on the other hand, enjoyed real growth Germany also stands out for being the only country where
of 10% or more. In 2013, average GDP per capita amounted to the situation improved over the five-year period: from 7.4%
26600 for the EU28 as a whole but this figure masked wide in 2008 to 5.2% in 2013. A similar pattern can be observed for
differences: per capita GDP was lowest in the three newest youth unemployment, with rates of 50% or more in Croatia,
member states, Bulgaria, Croatia and Romania, at less than Greece and Spain. This compares with less than 10% in Austria
16000, close to 35000 in Austria, Ireland, the Netherlands and Germany. Germany and Luxembourg are the only two
and Sweden and as high as 68700 in Luxembourg. countries where the situation has improved since 2008.

The rising average unemployment rate in the EU is cause for In many member states, public debt soared between 2008
concern but even more unsettling are the large differences and 2013 (Figure 9.1). Hardest hit were Cyprus, Greece,
among member states. In 2013, 11% of the European active Ireland and Portugal. Public debt progressed least in Bulgaria,

Figure 9.1: Government debt to GDP ratio for selected EU countries, 20082013 (%)

180

2008 2009 2010 2011 2012 2013

160

140

120

100

80

60

40

20

0
ce

ly

nd

us

UK

nd

28

ne

s
ga

nd

rie
an

ni
c

ai

an
Ita

iu

pr
ee

an

EU

zo
la

la
Sp

e
rtu

t
m

la

nl
lg

ov

un
Ire

Po
Cy
Gr

Fr

ro
er
r

Fi
Be
Po

Ge

Sl

co
Eu
th
Ne

ro
Eu
n-
No

Source: Eurostat, April 2015; aggregate debt-to-GDP ratios for non-Eurozone countries based on authors calculations

232
 European Union

Hungary, Luxembourg, Poland and Sweden, all countries A serious debt crisis in the Eurozone
(with the notable exception of Luxembourg) which had not Nineteen member states4 have adopted the euro as their
adopted the euro as their national currency. In most cases, common currency. In 2013, the countries of the Eurozone
the increase in public debt resulted from governments accounted for two-thirds of the EU28 population and for
bailing out3 banks. Many governments have implemented more than 73.5% of its GDP. Average GDP per capita was
austerity programmes to reduce their budget deficits but higher in the Eurozone than for the EU28 as a whole. Debt to
these cuts have actually pushed up levels of public debt GDP ratios in the Eurozone are, however, significantly higher
relative to GDP, delaying the return to growth. As a result, than those of non-euro countries, even though these ratios
most member states have experienced one or more periods have risen at about the same rate. The notable exceptions are
of recession since 2008, defined as two or more consecutive Cyprus, Greece, Portugal, Ireland and Spain, where the debt
quarters where GDP declined in comparison to the previous to GDP ratio has soared.
period. Between 2008 and 2014, Greece, Croatia, Cyprus,
Italy, Portugal and Spain were all in recession for more than Greece has been particularly hard hit by the economic crisis.
40 months. The only countries to have escaped recession Between 2008 and 2013, it was in recession for 66 out of
altogether are Bulgaria, Poland and Slovakia (Figure 9.2).

4. The euro replaced national currencies on 1 January 2002 in Austria, Belgium,

Finland, France, Germany, Greece, Ireland, Italy, Luxembourg, Netherlands, Portugal
3. Spain managed to leave the bailout mechanism in 2014. and Spain. The euro was later adopted also by Slovenia (2007), Cyprus and Malta
(2008), Slovakia (2009), Estonia (2011), Latvia (2014) and Lithuania (2015).

Figure 9.2: Recession periods in the European Union, 20082014

2008 2009 2010 2011 2012 2013 2014

Austria
Belgium
Croatia
Cyprus
Czech Republic
Denmark
Estonia
Finland
France
Germany
Greece
Hungary
Ireland
Italy
Latvia
Lithuania
Luxembourg
Malta
Netherlands
Portugal
Romania
Slovenia
Spain
Sweden
UK
Chapter 9

Note: For Croatia, data are only available up to the first quarter of 2014. Bulgaria, Poland and Slovakia do not figure here, as they did not experience any recession
period. Slovakia is a member of the Eurozone. All other 18 members of the Eurozone are shown in italics.

Source: OECD and Eurostat

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UNESCO SCIENCE REPORT

72 months. Whereas the economy of most member states a 20% increase in energy efficiency (known as the
had recovered to at least 95% of its size in 2008 by 2013, 20:20:20 target);
Greece managed less than 80%. Unemployment in Greece has
n School dropout rates should be reduced to below 10%
increased from 7.8% in 2008 to 27.5% in 2013 and the debt
and at least 40% of people between 30 and 34 years of
to GDP ratio from 109 to 175. Financial markets worries as to
age should have completed tertiary education;
whether Greece will be able to repay its debt to the European
Central Bank and the International Monetary Fund have had n The number of persons at risk of poverty or social
a negative impact on the exchange rate of the euro and on exclusion should be reduced by at least 20 million.
the interest rates of not only Greece but also other Eurozone
countries such as Italy, Portugal and Spain. Despite a third The EU has launched seven flagship initiatives to support the
bailout being negotiated in July 2015, there remains a real risk Europe 2020 objectives of fostering smart, sustainable and
of a Greek exit (Grexit) from the Eurozone. inclusive growth:

Smart growth
IN SEARCH OF A GROWTH STRATEGY n The Digital Agenda for Europe sets out to exploit the
THAT WORKS potential of ICTs better by promoting a digital single
market;
Europe 2020: a strategy for smart growth
n The Innovation Union sets out to create an innovation-
Under Jos Manuel Barroso, the European Commissions5
friendly environment that makes it easier to transform
president from November 2004 to October 2014, the EU
great ideas into products and services that will generate
adopted a ten-year strategy in June 2010 to help the EU
growth and jobs; and
emerge from the financial and economic crisis in a stronger
position by embracing smart, sustainable and inclusive n Youth on the Move sets out to improve young peoples
growth (European Commission, 2010). Dubbed Europe 2020, education and employability, to reduce high youth
the strategy6 observed that the crisis has wiped out years unemployment by making education and training more
of economic and social progress and exposed structural relevant to young peoples needs, by encouraging more
weaknesses in Europes economy that have created a young people to take advantage of EU grants to study
productivity gap. These structural weaknesses include or train in another country and by encouraging member
low levels of investment in research and development states to simplify the transition from education to work.
(R&D), differences in business structures, market barriers
Sustainable growth
and insufficient use of information and communication
n A Resource-efficient Europe provides a long-term
technologies (ICTs). The strategy deals with short-term
framework supporting policy agendas for climate change,
challenges linked to the economic crisis and introduces
energy, transport, industry, raw materials, agriculture,
structural reforms needed to modernize the European
fisheries, biodiversity and regional development to
economy, at a time when the region is confronted with
promote a shift towards a resource-efficient, low-carbon
ageing societies. Five main targets are to be met by the EU
economy to achieve sustainable growth;
as a whole by 2020 in the areas of employment, innovation,
climate and energy, education and social inclusion namely: n An Industrial Policy for Globalisation aims to boost growth
and jobs by maintaining and supporting a strong,
n At least 75% of people between 20 and 64 years of age
diversified and competitive industrial base that offers
should be employed;
well-paid jobs while becoming more resource-efficient.
n On average, 3% of GDP should be invested in R&D;
Inclusive growth
n Greenhouse gas emissions should be reduced by at least n An Agenda for New Skills and Jobs aims to reach the
20% compared to emission levels in 19907, 20% of energy employment target for 2020 of 75% of the working-age
should come from renewables and there should be population by stepping up reforms that improve flexibility
and security in the labour market by equipping people
5. Headquartered in Brussels (Belgium), the European Commission is the EUs with the right skills for the jobs of today and tomorrow,
executive body. Its main roles are to propose legislation; enforce European law; set improving the quality of jobs, ensuring better working
objectives and priorities for action; manage and implement EU policies and the
budget; and to represent the EU beyond Europe. A new team of 28 commissioners conditions and by improving the conditions for job
is appointed every five years, one from each member state. creation;
6. Europe 2020 has inspired the Western Balkans own strategy to 2020. See Chapter 10.
n The European Platform against Poverty is designed to help
7. The target for 2020 would be 30%, if conditions at the global level were right.
However, the EU recently adopted an even more ambitious target, a 40% reduction
reach the target of lifting 20 million people out of poverty
in its emissions by 2030, see: http://ec.europa.eu/clima/policies/2030/index_en.htm. and social exclusion by 2020.

234
 European Union

Junckers ambitious investment plan The plan excludes thematic or geographic pre-allocations,
Shortly after succeeding the Barroso Commission in October even though it designates the following as focus areas:
2014, the Juncker Commission in reference to Jean-Claude infrastructure, notably broadband, energy networks and
Juncker, the Commissions new president proposed a three- transport; education; R&D and energy efficiency and
pronged strategy for inversing the decline in investment to renewable energy. Perhaps a more important weakness
GDP ratios since 2008 even among member states not fighting lies in the absence of concrete targets and timelines for the
banking and debt crises. The Juncker Plan for Investment in third element9 of the Juncker plan concerning reform of the
Europe involves: framework conditions for research and innovation, such as
researcher mobility or open access to scientific research.
n setting up a European Fund for Strategic Investment to
support enterprises with fewer than 3 000 employees;

n establishing a European investment project pipeline and TRENDS IN R&D

European Investment Advisory Hub at EU level to provide
Chequered progress towards Europe 2020 targets
investment projects with technical assistance; and
The EU is making progress towards some of Europe 2020s
n structural reforms to improve the framework conditions targets but not all (European Commission, 2014c). For
affecting the business environment. instance, the total employment rate of 68.4% in 2012 was
below that of 2008 (70.3%) and, extrapolating current trends,
The European Fund for Strategic Investment was approved by the employment rate is expected to reach 72% by 2020, still
the European Commission on 22 July 2015.8 It has attracted three percentage points below the target.
mixed reactions. Some consider its ambition of using 21billion
in public funds to leverage 294billion in private investment by The rate of early school-leavers dropped from 15.7% to 12.7%
2018 to be unrealistic. The fact that almost the entire 21 billion and the share of 3034 year olds who had completed tertiary
from the public purse is being diverted from existing innovation education rose from 27.9% to 35.7% between 2005 and 2012.
policy instruments delivering relatively high rates of return has On the other hand, the number of people at risk of poverty
sparked an outcry from leading representatives of the EU science and social exclusion increased between 2009 and 2012 from
establishment (Attan, 2015). The plan to allocate 5 billion of 114 million to 124 million.
the 21 billion to SMEs has also been criticized, on the grounds
that firms should be supported according to their potential for Elusive R&D targets
growth, rather than their size. In terms of research funding, the Europe 2020 strategy hopes to
succeed where the Lisbon Strategy (2003) has failed. The latter
The 21 billion includes 5billion to come from the European had called for the EUs average gross domestic expenditure
Investment Bank, 3.3 billion from the Connecting Europe on R&D (GERD) to rise to 3% of GDP by 2010. Europe 2020 sets
Facility and 2.7billion from Horizon 2020, the EUs Eighth the delivery date for this target back to 2020. Between 2009
Framework Programme for Research and Technological and 2013, the EU28 made relatively little progress towards this
Development (20142020). target, with average R&D intensity increasing only from 1.94%
to 2.02%, a feat no doubt facilitated by repeated periods of
The 2.7 billion being drawn from Horizon 2020 has already led recession. At this rate, it does not look as if the EU will make the
to cuts to several programmes. The biggest loser is the European new deadline (Table 9.2).
Institute of Innovation and Technology (EIT), headquartered in
Budapest (Hungary). It was set up in 2008 to foster innovation- Some countries are already there, of course. At one end of the
driven growth by supporting qualifications (PhD programmes) spectrum, Denmark, Finland and Sweden already spend 3% or
and projects (through awards) that enhance collaboration more of GDP on R&D and should soon be joined by Germany.
between innovation drivers in the education, research and At the other end of the spectrum, many countries still spend
business sectors. EIT is expected to lose 350million, or 13% less than 1% of GDP on R&D.
of its budget, between 2015 and 2020. Another casualty is the
European Research Council, which was set up in 2007 to fund There are also large differences in the targets set for 2020,
basic research, it is expected to lose 221million. This represents with Finland and Sweden aiming for an R&D intensity of 4%,
a fraction of its 13 billion budget over the Horizon 2020 whereas Cyprus, Greece and Malta are targeting less than 1%.
period (20142020). Other cuts to the Horizon 2020 budget Bulgaria, Latvia, Lithuania, Luxembourg, Poland, Portugal and
will affect sectorial research projects on ICTs (307 million), Romania all aim to at least double their R&D intensity by 2020.
Chapter 9

nanotechnology and advanced materials ( 170million).

9. The first two elements concerned reform of the banking union and the creation
8. See: http://europa.eu/rapid/press-release_IP-15-5420_en.htm of a single market in energy.

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UNESCO SCIENCE REPORT

Spain and the UK that are less focused than other economies
Table 9.2: GERD/GDP ratio in the EU28 in 2009 and 2013
on technology-intensive industries.
and targets to 2020 (%)

Industry- Company-level R&D intensity (as a share of net sales) tends to

GERD/GDP GERD/GDP Target financed share be strongly correlated with the productive sector. The EU R&D
ratio, 2009 ratio, 2013* for 2020 of GERD, 2013*
Scoreboard shows that EU businesses tend to be more heavily
EU28 1.94 2.02 3.00 54.9 concentrated in R&D of medium-to-low and low intensity,
Austria 2.61 2.81 3.76 44.1 in comparison to their principal competitors, the other two
Belgium 1.97 2.28 3.00 60.2 members of the Triad, the USA and Japan (Table 9.3 and
Bulgaria 0.51 0.65 1.50 19.4
Figure 9.5).
Croatia 0.84 0.81 1.40 42.8
Cyprus 0.45 0.48 0.50 10.9
Moreover, although EU-based companies accounted for
Czech Rep. 1.30 1.91 37.6
30.1% of total R&D spending by the worlds top 2500
Denmark 3.07 3.05 3.00 59.8
companies, there are only two EU-based companies in the
Estonia 1.40 1.74 3.00 41.3
top ten, both of them German and both in the automotive
Finland 3.75 3.32 4.00 60.8
France 2.21 2.23 3.00 55.4
sector (Table 9.3). Indeed, the top three R&D performers in
Germany 2.73 2.94 3.00 66.1 the EU are the German automotive companies Volkswagen,
Greece 0.63 0.78 0.67 32.1 Daimler and BMW (Tables 9.3 and 9.4). The automotive sector
Hungary 1.14 1.41 1.80 46.8 represents one-quarter of R&D spending by EU companies
Ireland 1.39 1.58 2.00** 50.3 covered in the EU R&D Scoreboard, three-quarters of which is
Italy 1.22 1.25 1.53 44.3 accounted for by German automotive companies.
Latvia 0.45 0.60 1.50 21.8
Lithuania 0.83 0.95 1.90 27.4 The EU is largely absent from the arena of internet-based
Luxembourg 1.72 1.16 2.302.60 47.8 companies active in new and emerging forms of innovation.
Malta 0.52 0.85 0.67 44.3 According to Downes (2015), none of the 15 largest public
Netherlands 1.69 1.98 2.50 47.1 internet companies today are European. Eleven are US-based
Poland 0.67 0.87 1.70 37.3 and the remainder are Chinese. Indeed, the EUs attempts
Portugal 1.58 1.36 3.00 46.0 to replicate a Silicon Valley-type experience10 have not lived
Romania 0.46 0.39 2.00 31.0 up to expectations. The principal EU giants specializing in
Slovakia 0.47 0.83 1.20 40.2
hardware within the digital economy (Siemens, Ericsson,
Slovenia 1.82 2.59 3.00 63.8
Nokia) have even lost a lot of ground in the past decade
Spain 1.35 1.24 2.00 45.6
in global R&D rankings. Nonetheless, the German-based
Sweden 3.42 3.21 4.00 57.3
software and IT services company SAP has recently joined the
UK 1.75 1.63 46.5
global top 50 R&D performers (Table 9.3).
* or latest available year
** The national target of 2.5% of GNP is estimated as being equal to 2.0% of GDP.
Source: Eurostat, January 2015 Business R&D performance in the EU has also been weighed
down by the disappointing growth of R&D in sectors such as
Less high-tech R&D than Japan and the USA pharmaceuticals and biotechnology (0.9 % R&D growth in
The Lisbon Strategy fixed the target of having business 2013) or technology hardware and equipment (-5.4%), which
contribute two-thirds of GERD (2% of GDP) by 2010. This are typically R&D-intensive. Whereas the EU is almost on a par
target has not been reached either, although the business with the USA in pharmaceuticals, it trails the USA in the area
sector funds more than half of R&D (55%), on average of biotechnology (Tables 9.5 and 9.6).
(Figure 9.3). Business is currently the largest source of R&D
funding in 20 member states, with shares of 60% or more of There are emerging concerns in Europe about the erosion of
GERD in Belgium, Denmark, Finland, Germany and Slovenia. its science base through takeover bids from competitors. One
The general pattern in the EU is that the business sector illustration of this concern is the aborted takeover bid by the
spends more money on performing research than it does on US pharmaceutical company Pfizer in 2014. Pfizer found itself
financing it. This is the case in all but Lithuania and Romania. obliged to reassure the UK government that its 63 billion
Interestingly, funding from abroad is the most important bid to buy the Anglo-Swedish pharmaceutical company
source for Lithuania, as also for Bulgaria and Latvia. As a AstraZeneca would not affect research jobs in the UK.
group, the first 15 members of the EU lag behind many Although Pfizer promised that a combined company would
advanced economies when it comes to the intensity of
business R&D (Figure 9.4). This largely reflects the economic
10. One example is the technology cluster in central and east London known as
structures of some of the larger member states such as Italy, Tech City. See: www.techcityuk.com

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 European Union

Figure 9.3: GERD by source of funds and performing sector, 2013 or latest available year (%)
By source of funds

100
4 7 5 7
9 8 10 9 10
12 13 11 13 13
14 17 16 15 16
90 20 20 18 17
21 21
27

80 29 37
27 48
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23 35
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43 43
34 36 43 48
27 31 39 40
60 27 34 47
39
51 52
35
50
35 66
40
24 32
66 64
30 61 60 60 57 55 55
50 48 47 47 47 46 46 44 44 44
20 43 41 40 38 37
32 31
27
10 22 19
11
0
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80 37
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15 30
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70 5 4 13 12
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11 18 19 26
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20 27
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77
72 69 20
69 69 69 68 68 65 65 65 64
30 61 61
58
54 54 54 53
50 48 48 46 44 14
20
35
31 28 25
10
15

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Fin

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Gr
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Cr
Cz her
Bu
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Business enterprise Government Higher education Private non-profit Abroad

Chapter 9

-n = data refer to n years before reference year

Source: Eurostat, January 2015

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UNESCO SCIENCE REPORT

Figure 9.4: BERD as a share of GDP in the EU, 2005 and 2013 (%)
Other economies are given for comparison
3.5

2005 2013

3.0

2.5

2.0

1.5

1.0

0.5

0.0
p.

ce

UK

da

ly

nd
an

in

2
pa

ai
US

Ita
Re

an

na

la
Ch

Sp
rm

EU

EU
Ja

Po
Fr
a,

Ca
Ge
re
Ko

Source: OECDs Main Science and Technology Indicators, July 2015

employ one-fifth of its research staff in the UK and complete indicators (European Commission, 2015a). Overall innovation
AstraZenecas planned 300 million hub in Cambridge, performance is measured by the Summary Innovation Index
Pfizer was forced to admit that research spending would be on a scale from 0 (the worst-performing country) to 1 (the
cut in the combined company. Ultimately, AstraZenecas best-performing country). On the basis of this index, EU
board rejected Pfizers offer, concluding that it was regions can be divided into four different groups: innovation
motivated by a desire for cost savings and tax minimization leaders, with an innovation performance well above the EU
in the USA rather than the optimization of drug delivery average, innovation followers, with an innovation performance
(Roland, 2015). close to the EU average, moderate innovators slightly below
the EU average and modest innovators well below the EU
The sanctions imposed on the Russian Federation by the average (Figure 9.6).
EU in 2014 may also have repercussions for EU companies
installed in the Russian Federation. Large European The innovation performance of most member states improved
multinationals such as Alstom, Ericsson, Nokia, Siemens and between 2007 and 2014, notable exceptions being Cyprus,
SAP have all set up R&D centres in technoparks like Sistema- Romania and Spain. Of note is that growth has been positive
Sarov, or are participating in the flagship Skolkovo research but very modest for Finland, Greece and Luxembourg. Over
facility (see Box 13.1). time, the innovative performance of countries is converging.
However, the innovation performance did weaken for
Only a handful of innovation leaders as many as 13 member states between 2013 and 2014,
The EUs innovation performance has been monitored since particularly for Cyprus, Estonia, Greece, Romania and Spain
2001 by the annual European Innovation Scoreboard, which but also for the more innovative countries of Austria, Belgium,
was restyled and renamed the Innovation Union Scoreboard Germany, Luxembourg and Sweden. The declining share
in 2010. The latest Innovation Union Scoreboard uses a of enterprises active in innovation, coupled with the drop
measurement framework distinguishing between three in publicprivate co-publications and lower venture capital
main types of indicators (enablers, firm activities and output) investment, all signal a possible (delayed) repercussion of the
and eight innovation dimensions, capturing in total 25 economic crisis on businesses.

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 European Union

Table 9.3: The global top 50 companies by R&D volume, 2014

Rank in R&D ( Change in rank R&D

2014 Company Country Field millions) for R&D 2004-2007 intensity*
1 Volkswagen Germany Automobiles & parts 11 743 +7 6.0
2 Samsung Electronics Korea, Rep. Electronics 10 155 +31 6.5
3 Microsoft USA Computer hardware & software 8 253 +10 13.1
4 Intel USA Semiconductors 7 694 +10 20.1
5 Novartis Switzerland Pharmaceuticals 7 174 +15 17.1
6 Roche Switzerland Pharmaceuticals 7 076 +12 18.6
7 Toyota Motors Japan Automobiles & parts 6 270 -2 3.5
8 Johnson & Johnson USA Medical equipment, pharmaceuticals, consumer goods 5 934 +4 11.5
9 Google USA Internet-related products & services 5 736 + 173 13.2
10 Daimler Germany Automobiles & parts 5 379 -7 4.6
11 General Motors USA Automobiles & parts 5 221 -5 4.6
12 Merck USA USA Pharmaceuticals 5 165 +17 16.2
13 BMW Germany Automobiles & parts 4 792 +15 6.3
14 Sanofi-Aventis France Pharmaceuticals 4 757 +8 14.4
15 Pfizer USA Pharmaceuticals 4 750 -13 12.7
16 Robert Bosch Germany Engineering & electronics 4 653 +10 10.1
17 Ford Motors USA Automobiles & parts 4 641 -16 4.4
18 Cisco Systems USA Networking equipment 4 564 +13 13.4
19 Siemens Germany Electronics & electrical equipment 4 556 -15 6.0
20 Honda Motors Japan Automobiles & parts 4 367 -4 5.4
21 Glaxosmithkline UK Pharmaceuticals & biotechnology 4 154 -10 13.1
22 IBM USA Computer hardware, middleware & software 4 089 -13 5.7
23 Eli Lilly USA Pharmaceuticals 4 011 +18 23.9
24 Oracle USA Computer hardware & software 3 735 +47 13.5
25 Qualcomm USA Semiconductors, telecommunications equipment 3 602 +112 20.0
26 Huawei China Telecommunications equipment & services 3 589 up > 200 25.6
27 Airbus Netherlands** Aeronautics 3 581 +8 6.0
28 Ericsson Sweden Telecommunications equipment 3 485 -11 13.6
29 Nokia Finland Technology hardware & equipment 3 456 -9 14.7
30 Nissan Motors Japan Automobiles & parts 3 447 +4 4.8
31 General Electric USA Engineering, electronics & electric equipment 3 444 +6 3.3
32 Fiat Italy Automobiles & parts 3 362 +12 3.9
33 Panasonic Japan Electronics & electrical equipment 3 297 -26 6.2
34 Bayer Germany Pharmaceuticals & biotechnology 3 259 -2 8.1
35 Apple USA Computer hardware & software 3 245 +120 2.6
36 Sony Japan Electronics & electrical equipment 3 209 -21 21.3
37 AstraZeneca UK Pharmaceuticals & biotechnology 3 203 -12 17.2
38 Amgen USA Pharmaceuticals & biotechnology 2 961 +18 21.9
39 Boehringer Ingelheim Germany Pharmaceuticals & biotechnology 2 743 +23 19.5
40 BristolMyers Squibb USA Pharmaceuticals & biotechnology 2 705 +2 22.8
41 Denso Japan Automobile parts 2 539 +12 9.0
42 Hitachi Japan Technology hardware & equipment 2 420 -18 3.7
43 AlcatelLucent France Technology hardware & equipment 2 374 +4 16.4
44 EMC USA Computer software 2 355 +48 14.0
45 Takeda Pharmceuticals Japan Pharmaceuticals & biotechnology 2 352 +28 20.2
46 SAP Germany Software & computer services 2 282 +23 13.6
47 HewlettPackard USA Technology hardware & equipment 2 273 -24 2.8
48 Toshiba Japan Computer hardware 2 269 -18 5.1
49 LG Electronics Korea, Rep. Electronics 2 209 +61 5.5
50 Volvo Sweden Automobiles & parts 2 131 +27 6.9
Chapter 9

* R&D intensity is defined as R&D expenditure divided by net sales.

** Although incorporated in the Netherlands, Airbuss principal manufacturing facilities are located in France, Germany, Spain and the UK.
Source: Hernndez et. al (2014), Table 2.2

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UNESCO SCIENCE REPORT

Table 9.4: Top 40 EU companies for R&D, 20112013

R&D intensity Sales

Company Base Activity ( 3-year growth) (3-year growth)
Volkswagen Germany Automobiles & parts 23.3 15.8
Daimler Germany Automobiles & parts 3.5 6.5
BMW Germany Automobiles & parts 20.0 7.9
Sanofi-Aventis France Pharmaceuticals & biotechnology 2.7 2.7
Robert Bosch Germany Automobiles & parts 6.8 -0.8
Siemens Germany Electronic & electrical equipment 2.4 3.2
Glaxosmithkline UK Pharmaceuticals & biotechnology -2.5 -2.3
Airbus Netherlands Aerospace & defence 5.1 9.0
Ericsson Sweden Technology hardware & equipment 0.1 3.8
Nokia Finland Technology hardware & equipment -11.2 -18.0
Fiat Italy Automobiles & parts 20.2 34.3
Bayer Germany Pharmaceuticals & biotechnology 0.5 4.6
AstraZeneca UK Pharmaceuticals & biotechnology 0.9 -8.2
Boehringer Ingelheim Germany Pharmaceuticals & biotechnology 3.8 3.8
Alcatel-Lucent France Technology hardware & equipment -3.6 -3.4
SAP Germany Software & computer services 9.7 10.5
Volvo Sweden Industrial engineering 5.2 1.0
Peugeot (PSA) France Automobiles & parts -6.5 -1.2
Continental Germany Automobiles & parts 8.0 8.6
BASF Germany Chemicals 7.1 5.0
Philips The Netherlands General industrials 2.5 3.1
Renault France Automobiles & parts 1.2 1.6
Finmeccanica Italy Aerospace & defence -3.9 -5.0
Novo Nordisk Denmark Pharmaceuticals & biotechnology 8.6 11.2
Merck DE Germany Pharmaceuticals & biotechnology 2.5 6.1
Stmicroelectronics Netherlands Technology hardware & equipment -6.4 -7.9
Banco Santander Spain Banking -2.8 -1.7
Safran France Aerospace & defence 31.2 9.5
Royal Bank of Scotland UK Banking 6.9 -9.2
Telefonica Spain Fixed line telecommunications 5.1 -2.1
Unilever The Netherlands Food, cleaning and personal hygiene products 3.9 4.0
Alstom France Industrial engineering 0.8 -1.1
Telecomitalia Italy Fixed line telecommunications 11.9 -5.3
Royal Dutch Shell UK Oil & gas producers 9.0 7.0
Total France Oil & gas producers 9.9 6.9
Delphi UK Automobiles & parts 9.1 6.0
CNH Industrial The Netherlands Industrial engineering 12.7 6.5
Servier France Pharmaceuticals & biotechnology 9.0 5.9
Seagate Technology Ireland Technology hardware & equipment 11.9 7.3
L'Oral France Personal goods (beauty products, etc) 8.8 5.6
Source: European Commission

Table 9.5: EUs relative position in the global top 2 500 R&D companies, 2013

EU USA Japan Other countries

Number of companies 633 804 387 676
R&D ( billions) 162.3 193.6 85.6 96.8
Growth in 20102013 (%) 5.8 7.0 3.0 9.8
World share in 2013 (%) 30.1 36.0 15.9 18.0
R&D as a share of net sales (%) 2.7 5.0 3.2 2.2
Net sales ( billions) 5 909.0 3 839.5 2 638.6 4 335.9
Source: Extracted from Hernndez et al. (2014), Table 1.2

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Table 9.6: EU and US companies in selected R&D-intensive sectors, 2013

Industry Number of companies R&D ( millions) R&D intensity (%)*

EU USA EU USA EU USA
Health
Pharmaceuticals 47 46 26781.9 29150.0 13.2 14.0
Biotechnology 20 98 1238.4 12287.3 16.0 27.2
Health care equipment & services 23 54 2708.2 7483.5 4.4 3.8
Software & services
Software 33 86 4797.2 22413.9 14.8 15.0
Computer services 15 46 1311.1 6904.8 5.2 6.9
Internet 2 20 97.6 8811.5 6.3 14.3
* R&D intensity is defined as R&D expenditure divided by net sales.
Source: Extracted from Hernndez et al. (2014), Table 4.5

Figure 9.5: Employment by R&D intensity, 2005 and 2013 (%)

6

5.4
5
5.0
4.8

4.3
4
Number of employees (millions)

4.0
3.7

3 3.2 3.2 3.2

2.8

2
2.0

1.5
1 1.2 1.2
0.9 0.9 1.0
0.8

0
2005 2013 2005 2013 2005 2013 2005 2013 2005 2013 2005 2013 2005 2013 2005 2013 2005 2013

EU USA Japan EU USA Japan EU USA Japan

High R&D density Medium-high Medium-low & low

Note: The data concern 476 EU companies, 525 US companies and 362 Japanese companies out of the worlds top 2 500 companies according to the EU R&D
Scoreboard.
Source: Hernndez et. al (2014), Figure S3

Making it easier for companies to innovate EU research policy has had a strong focus on innovation since
Europe has been a major producer of new knowledge but it 2010, thanks to the introduction of the Innovation Union flagship
has performed less well in turning new ideas into commercially project and the launch, in 2014, of Horizon 2020, the biggest EU
successful products and processes. Science and innovation face research and innovation framework programme ever (European
Chapter 9

a more fragmented market than large economies comprised of Commission, 2014b). The Innovation Union is one of the EUs
only one nation state, such as the USA or Japan (Figure 9.6). The seven flagship projects for reaching its Europe 2020 targets
EU thus needs a common research policy to avoid duplicating (Table 9.7). This name covers 34 commitments and related
research efforts in different member states. deliverables designed to remove the obstacles to innovation

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UNESCO SCIENCE REPORT

Figure 9.6: Innovation performance of EU regions, 2004 and 2010

2004 2010
Innovation leaders
Innovation followers
Moderate innovators
Modest innovators

Source: European commission (2014c), Regional Innovation Union Scoreboard 2014; maps created using Region Map Generator

such as expensive patenting, market fragmentation, slow standard- Commitments 14 to 18 all serve to promote the single
setting and skills shortages and revolutionize the way in which innovation market by making it easier for companies to innovate
the public and private sectors work together, notably through and to protect their intellectual property rights. European
innovation partnerships between European institutions, national companies filing for patent protection currently need to do
and regional authorities and businesses. By 2015, considerable so in all 28 member states, piling on additional administrative
progress had been made for all but one commitment (Table 9.7). requirements and translation costs. The unitary patent package
agreed upon by 25 EU member states (all but Croatia, Italy and
Commitment 5 focuses on building world-class research and Spain) between 2012 and 2013 includes regulations creating a
innovation infrastructure to attract global talent and foster unitary patent and establishing a translation regime applicable
the development of key enabling technologies. The European to the unitary patent, as well as the establishment of a single
Strategy Forum on Research Infrastructures has identified 44 and specialized patent jurisdiction, the Unified Patent Court.
key new research facilities (or major upgrades to existing ones). The costs of a unitary patent related to procedural fees and
The construction and operation of this infrastructure requires translations are expected to fall considerably for all 25 member
the pooling of resources by several member states, associated states, leading to savings of an estimated 85%. The Unified
countries and also third countries. The target is for 60% of this Patent Court is expected to start functioning in 2015 and
research infrastructure to have been completed or launched should result in annual savings of between 148 million and
by 2015. 289 million (European Commission, 2014c).

Commitment 7 stresses the key role of SMEs in driving innovation To meet its ambitions for research, the EU will need to augment
as catalysts for knowledge spillovers. Tapping the full innovation the number of researchers in the EU, a significant share of
potential of SMEs requires favourable framework conditions but whom will have to come from third countries. For the EU
also efficient support mechanisms. SME access to EU funding to be able to compete with the USA in attracting research
is hampered by the fragmentation of support instruments and talent, for instance, EU legislation will need to be applied to
administrative procedures ill-adapted to SMEs. With Horizon 2020, the letter. Member states have already reformed their higher
a new dedicated SME Instrument has been designed for highly education sectors as part of the Bologna Process11 and special
innovative SMEs with the ambition of ensuring that a significant scientific visas have been designed to help researchers obtain
share of funding is reserved for SMEs. authorization to live and work in any member state more easily.

11. On the Bologna Process, see the UNESCO Science Report 2010, p. 150.

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 European Union

Table 9.7: Progress by EU member states on Innovation Union commitments as of 2015

Commitment Deliverables Examples of implementation/remaining gaps

1 Put in place national 3 n Most countries have put strategies in place n New innovative doctoral training opportunities
strategies to train available in some member states
n T he European Commission has put tools in
a critical mass of
place to favour this process n Launch of EURAXESS, an information tool
researchers
fostering mobility and collaboration among
researchers across 40 pan-European countries,
such as by publishing job offers online

2a Test the feasibility 3 n Feasibility of the ranking tested n U-Multirank launched in 2014 to compare
of an independent universities in new ways;
university ranking
n The first U-Multirank results were published in
May 2014 for 500 institutions offering higher
education and 1 272 disciplines;
n The tool is available for students and
researchers wishing to use it

2b Create knowledge 3 n Knowledge alliances piloted and scaled n Universities and businesses took part in the
alliances between up within the Erasmus+ programme for first knowledge alliances and new ones were
business and international university student exchanges launched in 2014;
academia
Follow-up: n The results of the first knowledge alliance
pilots are available
n 150+ new knowledge alliances foreseen in the
programming period 20142020

3 Propose an integrated 3 n Grand coalition for digital jobs n E-competence framework adopted as a
framework for e-skills standard by some member states
n E-competence framework 3.0 released

n Roadmap for the promotion of ICT

n professionalism and e-leadership 20142020

released

4 Propose a European 3 n European Framework for Research Careers n European Framework for Research Careers
Framework for proposed in 2012, measures to be in place by widely used for recruitment by universities,
Research Careers and 2014; companies, etc.;
supporting measures
n European Framework for Research Careers n Joint programming initiatives
created;
Remaining gaps:
n Principles for innovative doctoral training
Some member states still have to align their
defined, disseminated, verified and supported;
systems on the principles of the European
n The Pan-European Pension fund established Framework for Research Careers;
as a consortium, with funding foreseen in
n Pan-European Pension fund expected to be
Horizon 2020
operational by late 2015

5 Construct priority 3 n So far, 56% of the infrastructure has been n 14 types of infrastructure are providing
European research implemented, the target is for 60% by 2015 services to their user
infrastructure

6 Simplify EU research 3 n Horizon 2020 launched in 2014 with a focus on n First calls for research project proposals
and innovation the Innovation Union launched within Horizon 2020
programmes and
focus future ones on
the Innovation Union

7 Ensure stronger 3 n SMEs instrument integrated in Horizon 2020 n SMEs instrument ready to be used in Horizon
involvement of SMEs 2020
in future EU research
and innovation
programmes

8 Strengthen the science 3 n Better connections with the Joint Research n Work of the Joint Research Centre and
base for policy-making Centre developed; the latter has scientific the European Forum for Forward Looking
through the Joint institutes in Belgium (2), Germany, Italy, the Activities influencing Commission policy-
Chapter 9

Research Centre and Netherlands and Spain; making and strategic programming
create European
n European Forum for Forward Looking
Forum for Forward
Activities established
Looking Activities continued overleaf...

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UNESCO SCIENCE REPORT

Table 9.7: (continued)

Commitment Deliverables Examples of implementation/remaining gaps

9 Set out a strategic 3 n Strategic Innovation Agenda implemented with n 35 masters degree courses created with the
agenda for the a budget of 2.7 billion within Horizon 2020; EIT label;
European Institute
n Existing knowledge and innovation n More than 1000 students enrolled in EIT
of Innovation and
communities (KICs) in climate, ICT labs and courses;
Technology (EIT) set
InnoEnergy to be expanded;
up in 2008 n More than 100 start-ups created;
n New KICs launched in innovation for healthy
n More than 400 ideas incubated;
living and active ageing and in the sustainable
use of raw materials; n 90 new products and services launched

n Three other KICs to be launched in 2016

(food4future and added-value manufacturing)
and 2018 (urban mobility);
n Activities of the EIT Foundation expanded

10 Put in place EU-level 3 n Access to Risk finance available under Horizon

financial instruments 2020
to attract private
finance

11 Ensure cross-border 3 n The European Venture Capital Regulation n At least two applications have been presented
operation of venture entered into force in July 2013 to member states
capital funds

12 Strengthen cross- 3 n Expert group delivered recommendations to n These recommendations have been taken
border matching of the Commission into account in the delivery of the financial
innovative firms with instruments within Horizon 2020
investors

13 Review State Aid 3 n State Aid Framework for R&D and innovation n State Aid Modernisation rules ready for use as
Framework for R&D reviewed of July 2014
and innovation

14 Deliver the EU Patent 3 n Unitary patent package agreed upon by 25 Remaining gaps:
member states (excl. Italy, Spain and Croatia);
n 13 member states still to ratify the Unitary
n Machine translations available since 2013; Patent Court agreement for it to enter into
force (six ratifications so far: Austria, Belgium,
n Implementing rules approved by the Select
Denmark, France, Malta and Sweden
Committee in December 2014
n Implementing rules for the Unitary Patent
Court are being discussed within the
Preparatory Committee, which is due to start
functioning in 2015

15 Screen the regulatory 3 n Regulatory screening methodology developed n Methodology applied to water directive and
framework in key areas and applied to regulations relating to regulation on raw materials
eco-innovation and European Innovation
Partnerships

16 Accelerate and 3 n Communication setting out a strategic vision n 37% faster standardization process
modernize standard- for European standards adopted in 2011;
setting
n Regulation implemented since 2012

17a Set aside national 5 n Commitment not taken up by the European n Some member states have introduced
procurement budgets Council measures to use public procurement as an
for innovation instrument for innovation policy, including
Finland, Italy, Spain, Sweden and Denmark

17b Set up an EU-level 3 n Financial support for transnational co- n Joint procurement under calls within the
support mechanism operation being provided by the European Seventh Framework Programme
and facilitate joint Commission;
Remaining gaps:
procurement
n Revised Public Procurement directives
n Member states yet to transpose these
facilitating the procurement of innovation
directives into national law
adopted by Parliament and Council in 2014;
n Guidance and awareness raising activities
carried out by the Commission

244
 European Union

Table 9.7: (continued)

Commitment Deliverables Examples of implementation/remaining gaps

18 Present an eco- 3 n Action Plan adopted in 2011 n Strategic Implementation Plan agreed in 2012
innovation action plan and currently under implementation;

19a Establish a European 3 n European Creative Industries Alliance n More than 45 million mobilized on top of
Creative Industries established in 2011 6.75 million in EU support for the European
Alliance Creative Industries Alliance
n More than 3500 SMEs have benefited from
the activities of the European Creative
Industries Alliance and an additional 2460
stakeholders participated in its activities

19b Set up a European 3 n European Design Leadership Board n Staff working document on Implementing an
Design Leadership established. It has delivered proposals on how Action Plan for Design-driven Innovation
Board to enhance the role of design in innovation
n European Design Innovation Platform
established
n European Design Innovation Initiative call

20 Promote open 3  ommunication diffused entitled Towards

nC n ODIN project launched, an open access
access; support smart Better Access to Scientific Information: boosting website providing lessons on web
research information the Benefits of Public Investment in Research, development
services including recommendations for member states
n Open access in Horizon 2020

n Search tools developed

21 Facilitate collaborative 3 n Clear and easy participation rules for Horizon n European Technology Transfer Offices
research and 2020 established;
knowledge transfer
n Analysis of impact on innovation of n Guidance on the use of consortium
consortium agreements carried out agreements produced and integrated into the
Horizon 2020 online grants manual
n Analysis of knowledge transfer and open
innovation

22 Develop a European 3 n Staff working document Towards Enhanced n Expert groups established on intellectual
knowledge market for Patent Valorisation for Growth and Jobs property valuation and on patent valorization;
patents and licensing published in 2012
n Results of the expert group on patent
valorization to be delivered

23 Safeguard against the 3 n Guidelines on horizontal agreements adopted n These rules now apply to national competition
use of IPRs for anti- in 2010 authorities, the European Commission,
competitive purposes companies and national courts

24 Improve the use 3 n Research and Innovation Strategies for Smart n National and regional smart specialization
25 of structural funds Specialisation introduced in the strategic strategies defined in most member states/
for research and planning of member states and country regions; regions within countries;
innovation
n Smart specialization strategies introduced as n Smart Specialisation Platform launched in 2012
an ex ante conditionality for access to finance
from the European Regional Development
Fund for research, technological development
and innovation;

26 Launch a Social 3 n Social Innovation Europe platform launched n European Social Innovation Competition
Innovation pilot in 2011; established;
and promote social
n Bigger role for social innovation incorporated n Support given to networks of incubators for
innovation through the
in the European Social Fund social innovation
European Social Fund

27 Support a research 3 n Social and public sector innovation included in n European Prize for Innovation in the Public
programme on social Horizon 2020 topics; Sector launched;
innovation in the
n European Public Sector Innovation Scoreboard n Expert group on public sector innovation
public sector and pilot
piloted set up
Chapter 9

a European Public
Sector Innovation n First European Capital of Innovation Award
Scoreboard (iCapital) awarded to Barcelona in 2014
continued overleaf...

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UNESCO SCIENCE REPORT

Table 9.7: (continued)

Commitment Deliverables Examples of implementation/remaining gaps

28 Consult social partners 3 n First consultations with EU social partners took n European Workplace Innovation Network
on interaction between place in 2013; set up
the knowledge
n Further consultations are planned beyond
economy and market
2014

29 Pilot and present 3 n European Innovation Partnerships launched, n More than 700 commitments for action
proposals for piloted and evaluated
n Reference sites for sharing lessons and
European Innovation
replicating transferable results
Partnerships
n Web-based marketplaces with well over
1 000 registered users for each
n First results emerging: collections of good
practices and toolkits for their replication,
compilations of evidence on impact, etc.

30 Put in place integrated 3 n National measures being deployed to foster n EURAXESS and EURAXESS links;
policies to attract researcher mobility, including EURAXESS,
n New scientific visa to take effect in 2016, after
global talent an information tool for researchers wishing
transposition by member states
to pursue their career in Europe or stay
connected to it;
n Scientific visa;

n Marie Skodowska Curie Actions;

n Destination Europe Events

31 Propose priorities 3 n Communication adopted in 2012 on n Strategic Forum for International Cooperation
and approaches for enhancing and focusing EU international co- initiatives targeting China, Brazil, India and
scientific co-operation operation in research and innovation the USA;
with third countries
n On-going work of the Strategic Forum for
involving the EU and
International Cooperation to identify common
member states
priorities and implement joint actions.
Roadmaps completed by end of 2014;
n Ongoing dialogue with third countries and
other regions of the world

32 Roll-out global 3 n New framework for co-operation agreed in

research infrastructure 2013 at G8 level;
n Report on list of existing infrastructure and
priorities expected in 2015

33 Self-assess national 3 n Commission support made available to n Peer review carried out for Belgium, Estonia,
research and member states; Denmark, Spain and Iceland;
innovation systems
n Four out of 28 member states have requested n Three countries have confirmed use of Self-
and identify
peer review: Belgium, Estonia, Denmark, Spain; Assessment Tool: Belgium, Estonia, Denmark;
challenges and
reforms n Progress monitored through European n New tool launched under Horizon 2020
Semester, leading to country-specific
recommendations

34a Develop an innovation 3 n Communication adopted in 2013 on n Indicator used for country-specific
headline indicator Measuring Innovation Output in Europe: recommendations in 2014
Towards a New Indicator

34b Monitor progress 3 n Innovation Union Scoreboard updated n Innovation Union Scoreboard published most
using Innovation annually since 2010 recently in 2015
Union Scoreboard

Source: adapted from European Commission (2014e)

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 European Union

MONITORING THE LATEST FRAMEWORK Horizon 2020 focuses on implementing Europe 2020, in
general, and the Innovation Union, in particular, by bringing
PROGRAMMES FOR RESEARCH
together all existing EU research and innovation funding and
Horizon 2020: the EUs biggest research programme providing support in a seamless way from idea to market,
ever through streamlined funding instruments and a simpler
The funding levels of the EUs successive framework programme architecture and rules for participation. The bulk
programmes for research and development have grown of the 80 billion will promote excellent science (32%) and
consistently over time from 4 billion for the first one from address societal challenges (39%) [Table 9.8].
1984 to 1988 to 53 billion for the Seventh Framework
Programme for Research and Technological Development Green growth main societal challenge
(20072013) and nearly 80 billion for Horizon 2020, the Many of the societal challenges covered by Horizon 2020
biggest EU research programme ever. Horizon 2020 was relate to green growth areas, such as sustainable agriculture
proposed by the European Commission in November 2011 and forestry, climate action, green transportation or resource
and adopted by the European Parliament and European efficiency. Some of Europe 2020s most positive results so far
Council in December 2013. concern reductions in greenhouse gas emissions. By 2012, the

Table 9.8: Structure and budget of Horizon 2020, 20142020

Final Estimated final

breakdown amount in millions
(%) (in current prices)
Excellent science, of which 31.7 24 441
European Research Council 17.0 13 095
Future and Emerging Technologies 3.5 2 696
Marie-Skodowska-Curie Actions 8.0 6 162
European research infrastructures (including Infrastructures) 3.2 2 488
Industrial leadership, of which 22.1 17 016
Leadership in enabling and industrial technologies 17.6 13 557
Access to risk finance 3.7 2 842
Innovation in SMEs 0.8 616
Societal challenges, of which 38.5 29 679
Health, demographic change and well-being 9.7 7 472
Food security, sustainable agriculture and forestry, marine maritime and inland water research and the bio-economy 5.0 3 851
Secure, clean and efficient energy 7.1 5 931
Smart, green and integrated transport 8.2 6 339
Climate action, environment, resource efficiency and raw materials 4.0 3 081
Europe in a changing world Inclusive innovative and reflective societies 1.7 1 309
Secure societies Protecting freedom and security of Europe and its citizens 2.2 1 695
Science with and for society 0.6 462
Spreading excellence and widening participation 1.1 816
European Institute of Innovation and Technology (EIT) 3.5 2 711
Non-nuclear direct actions of the Joint Research Centre 2.5 1 903
TOTAL EU REGULATION 100.0 77 028
Fusion indirect actions 45.4 728
Fission indirect actions 19.7 316
Nuclear direct actions of the Joint Research Centre 34.9 560
TOTAL Euratom regulation 20142018 100.0 1 603
Chapter 9

Note: Owing to Euratoms different legal base, its budgets are fixed for five years. For the years 20142018, the budget is estimated to be 1 603 million
and for the years 20192020 an amount of 770 million is foreseen.
Source: European Commission: http://ec.europa.eu/research/horizon2020/pdf/press/fact_sheet_on_horizon2020_budget.pdf

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UNESCO SCIENCE REPORT

EU had already achieved an 18% reduction in greenhouse gas The EU has partly supported its ambitions with regard to
emissions over 1990 levels and is, thus, expected to meet its energy sustainability and climate change, for example,
2020 target of a 20% reduction. by funding relevant research projects within its Seventh
Framework Programme (20072013) and, furthermore, by
Europe needs to embrace sustainable development to emphasizing responsible research and innovation across
overcome a range of challenges that include overdependence its new framework programme for research, Horizon 2020.
on fossil fuels, environmental degradation, natural resource Europe is in a historically unique position to usher in a more
depletion and the impact of climate change. The EU is also sustainable society through research and innovation. In
convinced that environmentally sustainable (green) growth order to fulfil its potential, however, a shift in focus might be
will increase its competitiveness. required to ensure that innovation is viewed more as a means
to an end, rather than as an end in itself. (See, for example,
Indeed, according to the latest State of the Environment van den Hove et al., 2012.)
Synthesis Report published by the European Environment
Agency (2015), the environment industry had been one of In the Seventh Framework Programme, the following five
the few European economic sectors to flourish in terms of themes for co-operation projects focused particularly on
revenue, trade and jobs, despite the 2008 financial crisis. sustainability and environmental protection: agriculture;
The report emphasizes the role of research and innovation energy; environment; health; and materials (Table 9.9).
in furthering sustainability goals, including social innovation. More than 75% of the topics under these themes can

Table 9.9: Number of projects within Seventh Framework Programme related to sustainable development, 20072013

Share of
sustainability
Agriculture Environment Energy Health Materials All projects projects (%)
Austria 145 157 71 191 188 2 993 25.1
Belgium 331 214 140 295 355 4 552 29.3
Bulgaria 43 45 18 23 19 590 25.1
Croatia 25 23 14 21 9 351 26.2
Cyprus 15 21 15 10 11 436 16.5
Czech Republic 85 63 22 77 111 1 216 29.4
Denmark 197 130 97 200 186 2 275 35.6
Estonia 29 21 11 54 13 502 25.5
Finland 148 83 55 166 232 2 089 32.7
France 419 275 198 551 530 8 909 22.1
Germany 519 425 285 776 970 11 404 26.1
Greece 147 140 72 117 165 2 340 27.4
Hungary 87 57 23 96 75 1 350 25.0
Ireland 108 55 35 109 117 1 740 24.4
Italy 460 296 183 509 659 8 471 24.9
Latvia 24 11 13 17 14 267 29.6
Lithuania 24 19 12 24 27 358 29.6
Luxembourg 7 10 4 19 15 233 23.6
Malta 9 9 3 4 5 177 16.9
Netherlands 467 298 169 558 343 6 191 29.6
Poland 100 76 53 96 166 1 892 26.0
Portugal 123 94 69 68 125 1 923 24.9
Romania 41 69 17 48 81 898 28.5
Slovakia 26 19 15 18 41 411 29.0
Slovenia 55 55 23 48 81 771 34.0
Spain 360 291 211 388 677 8 462 22.8
Sweden 145 135 88 255 258 3 210 27.4
UK 508 379 191 699 666 12 591 19.4

Note: The total for the Seventh Framework Programme includes non- thematic cooperation projects.
Source: CORDIS (www.cordis.europa.eu), data downloaded on 4 March 2015

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 European Union

be considered as contributing positively to the EUs had the highest number of patent applications in environment-
sustainable development targets. About one in four projects related technologies per billion PPP euro GDP; moreover, the
implemented under the Seventh Framework Programme absolute number of patent applications in this area also increased
concern these five themes. They are a priority for Denmark, most in these four countries between 2005 and 2011. Denmark
Finland and Slovenia, in particular. For Cyprus, Malta and the and Finland also figure prominently in high sustainability
UK, on the other hand, they represent fewer than one in five research projects under the Seventh Framework Programme.
projects (Table 9.9).
Greenhouse gas emissions down
The data for the Seventh Framework Programme can also be By 2012, greenhouse gas emissions had declined for 20 EU
compared to those for patent applications in environment- countries in comparison to 1990 levels but, compared to 2005,
related technologies, greenhouse gas emissions and the share of they had actually increased in four member states: Estonia,
renewable energy in gross final energy consumption Latvia, Malta and Poland. This said, many factors influence
(Table 9.10). In 2011, Denmark, Finland, Germany and Sweden greenhouse gas emissions, including changes in energy

Table 9.10: Key indicators for measuring progress towards Europe 2020 objectives for societal challenges

Environment-related technologies:
Greenhouse gas emissions:
patent applications to the EPO per billion GDP Share of renewable energy in gross final energy
in current PP 1990 = 100 consumption (%)
2005 2011 Change 2005 2012 Change (%) 2005 2012 Change (ratio)
EU28 0.31 0.46 0.15 93.2 82.1 -11.1 8.7 14.1 1.6
Austria 0.47 0.72 0.25 119.7 104.0 -15.7 24.0 32.1 1.3
Belgium 0.27 0.40 0.13 99.7 82.6 -17.1 2.3 6.8 3.0
Bulgaria 0.00 0.02 0.02 58.5 56.0 -2.5 9.5 16.3 1.7
Croatia 0.00 0.00 0.00 95.8 82.7 -13.1 12.8 16.8 1.3
Cyprus 0.00 0.02 0.02 158.1 147.7 -10.4 3.1 6.8 2.2
Czech Rep. 0.06 0.07 0.01 74.7 67.3 -7.4 6.0 11.2 1.9
Denmark 0.69 1.87 1.18 94.7 76.9 -17.8 15.6 26.0 1.7
Estonia 0.00 0.30 0.30 45.6 47.4 1.8 17.5 25.8 1.5
Finland 0.39 0.91 0.52 98.0 88.1 -9.9 28.9 34.3 1.2
France 0.33 0.43 0.10 101.5 89.5 -12.1 9.5 13.4 1.4
Germany 0.74 1.05 0.31 80.8 76.6 -4.2 6.7 12.4 1.9
Greece 0.01 0.05 0.04 128.2 105.7 -22.5 7.0 13.8 2.0
Hungary 0.11 0.12 0.01 80.7 63.7 -17.0 4.5 9.6 2.1
Ireland 0.09 0.16 0.07 128.2 107.0 -21.1 2.8 7.2 2.6
Italy 0.19 0.22 0.03 111.5 89.7 -21.8 5.9 13.5 2.3
Latvia 0.04 0.06 0.03 42.5 42.9 0.4 32.3 35.8 1.1
Lithuania 0.00 0.03 0.03 47.8 44.4 -3.3 17.0 21.7 1.3
Luxembourg 0.61 0.35 -0.26 108.3 97.5 -10.8 1.4 3.1 2.2
Malta 0.13 0.00 -0.13 147.8 156.9 9.2 0.3 2.7 9.0
Netherlands 0.33 0.50 0.17 101.8 93.3 -8.6 2.3 4.5 2.0
Poland 0.03 0.04 0.01 85.6 85.9 0.3 7.0 11.0 1.6
Portugal 0.04 0.08 0.04 144.5 114.9 -29.7 19.5 24.6 1.3
Romania 0.01 0.02 0.01 57.0 48.0 -9.1 17.6 22.9 1.3
Slovakia 0.04 0.03 -0.01 68.7 58.4 -10.3 5.5 10.4 1.9
Slovenia 0.03 0.10 0.08 110.2 102.6 -7.6 16.0 20.2 1.3
Spain 0.06 0.13 0.07 153.2 122.5 -30.8 8.4 14.3 1.7
Sweden 0.67 1.03 0.36 93.0 80.7 -12.3 40.5 51.0 1.3
UK 0.17 0.26 0.09 89.8 77.5 -12.3 1.4 4.2 3.0

Note: The term environment-related technologies refers to patent applications in the following thematic areas: general environmental management; energy
generation from renewable and non-fossil sources; combustion technologies with mitigation potential; technologies specific to climate change mitigation;
Chapter 9

technologies with a potential or indirect contribution to mitigating emissions; emissions abatement and fuel efficiency in transportation; and energy efficiency
in buildings and lighting.
Source: for greenhouse gas emissions, the share of renewable energy in gross final energy consumption and GDP in current PP: Eurostat; for the number
of patent applications in environment-related technologies: OECD

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UNESCO SCIENCE REPORT

demand and fuel use, growth in particular economic sectors to look at the changes in these shares since 2005. For the
(or the collapse of others), economic downturns or recessions, EU as a whole, the share of renewable energy in gross final
changes in the means of transport and demand, technological energy consumption has increased by a factor of 1.6. For
developments like the deployment of renewable energy Malta, starting from a very low share in 2005, this share has
technologies and demographic changes (European increased nine-fold, for Bulgaria and the UK it has tripled and,
Environment Agency, 2015). Some of these influences are the for another seven countries, it has at least doubled. Relatively
result of government policies, others intervene beyond the minor improvements can be seen in Finland and Latvia but
short-term influence of governments. As an example of the these countries are already among the best performers.
latter, the collapse of the Soviet Union had a knock-on effect
on the economies of former Soviet bloc countries such as More for countries with modest research funding
Estonia, Latvia and Poland and, thus, on their greenhouse gas The Seventh Framework Programme (20072013) identified
emissions. Most former Soviet states have managed to sustain four main objectives within programmes targeting co-
these lower emission levels. Similarly, the economic downturn operation, ideas, people and capacities:
since 2008 has impacted positively on European greenhouse
n The Specific Programme for Co-operation provided
gas emissions.
project funding for collaborative, transnational research.
This programme was broken down into several themes,
Lastly, the share of renewable energy in gross final energy
including health, energy and transportation.
consumption in 2012 was highest (30% or more) in Austria,
Finland, Latvia and Sweden. However, many of these n The Specific Programme for Ideas provided project
countries have a strong hydropower sector and the data funding for individuals and their teams engaged in frontier
do not show the contribution from newer technologies research. This programme was implemented by the
such as wind or solar power. Therefore, it is also interesting European Research Council (Box 9.1).

Box 9.1: The European Research Council: the first pan-European funding body for frontier research

The European Research Council (ERC) n ERC Starting Grants provide funding ERC grants can be seen as proxy for
was created in 2007 under the Seventh for young post-docs with 27 years of scientific excellence. Almost 600 research
Framework Programme. Through experience. Funding is available for up institutions from 29 countries both
peer-reviewed competitions, the best to five years, with a maximum amount EU member states and countries
researchers receive funding to perform of 1.5 million, and the research must associated with the Seventh Framework
their frontier research in Europe. The ERC take place in public or private research Programme have hosted at least one
is currently part of the first pillar (Excellent institutions. ERC grantee after the completed calls
science) of Horizon 2020, with a budget of 20072013. The great majority of the
of 13.1 billion representing 17% of the n ERC Consolidator Grants focus ERC grantees are hosted by institutions
overall budget for Horizon 2020. on researchers with 712 years of located in the EU (86 %). Most of the ERC
experience who are about to move grantees are nationals from the country
Since 2007, more than 5 000 projects from being supervised to being an of their host institution, with the notable
have been selected for funding from independent researcher. Funding is exception of Switzerland and Austria
more than 50 000 applications. The also for five years but with a maximum (Figure 9.7). In absolute numbers, the
ERC counts eight Nobel laureates and allocation of 2 million. UK hosts the largest group of foreign
three Fields medalists among its grant grantees (426), followed by Switzerland
holders. Over 40 000 scientific articles n ERC Advanced Grants fund excellent (237). Among EU members, the share
acknowledging ERC-funding appeared researchers of any age or nationality of foreign grant-holders is very small in
in peer-reviewed high-impact journals to pursue groundbreaking high-risk Greece (3 %), Hungary (8 %) and Italy
between 2008 and 2013 and one-third projects. Funding is for five years and (9 %). Some nationalities seem to prefer
of all ERC grantees have published in up to 2.5 million. to work abroad rather than at home:
articles listed among the top 1% most around 55 % of the Greek, Austrian
highly cited publications worldwide. n Proof of Concept Grants were and Irish grantees are based in foreign
launched in 2011 to promote the countries. The absolute numbers are
Within the ERC, there are three core innovation potential of ideas resulting particularly high for Germany and Italy,
funding schemes and one additional from ERC-funded research. Funding is with 253 and 178 nationals respectively
scheme: for 18 months and up to 150000. hosted by institutions abroad (ERC, 2014).

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 European Union

n The Specific Programme for People funded the training, 20072013, whereas the much smaller Luxembourg and
career development and mobility of researchers between Malta each had less than 200 (Table 9.11).
sectors and countries worldwide. It was implemented
through the Marie-Skodowska-Curie Actions12 and Specific When it comes to measuring the success rate, defined
Actions to Support European Research Area policies. as the number of proposals retained, a different ranking
emerges. Belgium, the Netherlands and France stand
n The Specific Programme for Capacities funded research out here, with a success rate of at least 25%. If we take
infrastructure for SMEs. It also hosted the following smaller population size into account, it is the smaller countries that
programmes: Science in Society, Regions of Knowledge, have been the most successful, with Cyprus and Belgium
Research Potential, International Co-operation and the both having more than 500 retained proposals per million
Coherent Development of Research Policies. inhabitants.

By December 2014, almost half of all research projects within In financial terms, the largest countries received the bulk
the Seventh Framework Programme had been completed. of funding in absolute terms and France, Belgium and the
More than 43000 scientific publications has been reported Netherlands the greatest shares. However, if we compare
from 7288 projects, almost half of which had appeared in Seventh Framework Programme funding with national
high-impact journals. Germany and the UK had the largest levels of research funding, it transpires that framework
number of applicants for project funding, about 17000 over funding is relatively higher for those countries with modest
levels of national funding. This is the case for Cyprus, for
12. The Marie Skodowska-Curie Actions provide researchers with grants at all instance, where framework funding amounted to almost
stages of their career and encourage transnational, intersectorial and inter-
disciplinary mobility. Between 2007 and 2014, more than 32500 EU researchers
14% of GERD, as well as for Greece (just over 9%) and
received this type of funding. Bulgaria (more than 6%).

A successful model A scheme open to researchers everywhere non-European funding agencies.

The ERC has been widely acknowledged as The ERC is open to top researchers from Agreements have been signed with the
a highly successful model for competitive anywhere in the world. To raise awareness National Science Foundation in the USA
research funding. Its existence has had a and forge closer ties with counterparts (2012), the Government of the Republic
strong impact at the national level. Since abroad, the ERC has toured all continents of Korea (2013), the National Scientific and
the ERC was created in 2007, 11 member since 2007. The ERC also offers young Technical Research Council (CONICET)
states have set up national research researchers the opportunity to come to in Argentina (2015) and with the Japan
councils, bringing the total to 23. Funding Europe to join the research teams of ERC Society for the Promotion of Science (2015).
schemes inspired by the ERC structure grantees, an initiative supported by Source: compiled by authors
have been launched by 12 member
states: Denmark, France, Germany, Greece, Figure 9.7: Grants by the European Research Council, 2013
Top 23 grantees by country of host institution and origin of grantee
Hungary, Italy, Ireland, Luxembourg,
Poland, Romania, Spain and Sweden. 1 000
Grants in country
Non-nationals in host country
The ERC calls for proposals are very 800
Nationals in host country
competitive: in 2013, the success rate Nationals away from country
was just 9% for Starting and Consolidator 600
Grants and 12% for Advanced Grants.
Consequently, 17 European countries* 400
have developed national funding schemes
to support their finalists in the ERC
200
competitions who were not awarded a
grant (ERC, 2015).
0
UK
Germany
France
Netherlands
Switzerland
Italy
Israel
Spain
Sweden
Belgium
Austria
Denmark
Finland
Norway
Greece
Hungary
Portugal
Ireland
Poland
Czech Rep.
Cyprus
Turkey
Estonia

Chapter 9

* Belgium, Cyprus, Czech Republic, Finland, France,

Greece, Hungary, Ireland, Italy, Luxembourg, Norway, -200
Poland, Romania, Slovenia, Spain, Sweden and
Switzerland Source: ERC (2014)

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UNESCO SCIENCE REPORT

Table 9.11: EU member states performance in calls for research proposals within Seventh Framework Programme,
20072013

Applicants in retained proposals European Commission contribution to retained proposals

Total Success Per million Total Success Share of

Number rate (%) Rank Inhabitants Rank ( millions) rate (%) Rank R&D (%) Rank
Austria 3 363 22.3 8 402.3 10 1114.9 20.9 6 2.0 21
Belgium 5 664 26.3 1 521.0 2 1806.3 23.8 2 3.4 9
Bulgaria 672 16.4 24 90.5 24 95.2 10.2 26 6.6 3
Croatia 388 16.9 23 90.3 25 74.2 11.1 24 3.0 14
Cyprus 443 15.0 27 542.3 1 78.9 9.7 27 13.8 1
Czech Rep. 1 377 20.3 13 132.1 22 249.3 14.8 15 1.5 25
Denmark 2 672 24.2 4 483.1 4 978.2 22.5 5 2.0 22
Estonia 495 20.6 12 371.6 12 90.2 16.3 10 4.7 5
Finland 2 620 21.3 11 489.6 3 898.1 15.9 11 1.9 23
France 11 975 25.1 3 185.2 19 4653.7 24.7 1 1.5 26
Germany 17 242 24.1 5 210.3 16 6967.4 23.3 4 1.4 27
Greece 3 535 16.4 24 317.2 13 924.0 13.2 19 9.3 2
Hungary 1 498 20.3 13 149.8 20 278.9 15.0 14 3.4 8
Ireland 1921 21.9 9 425.4 8 533.0 17.2 9 2.9 15
Italy 11 257 18.3 20 190.6 18 3457.1 15.1 13 2.5 18
Latvia 308 21.6 10 145.4 21 40.7 13.3 18 4.6 6
Lithuania 411 20.0 15 131.9 23 55.1 14.2 16 3.0 13
Luxembourg 192 18.5 18 380.8 11 39.8 13.7 17 1.0 28
Malta 183 18.9 17 442.9 7 18.6 11.0 25 5.9 4
Netherlands 7 823 25.5 2 472.1 5 3152.5 23.6 3 4.0 7
Poland 2 164 18.5 18 56.5 27 399.4 11.9 21 2.2 20
Portugal 2 188 18.1 21 207.5 17 470.9 13.1 20 2.7 16
Romania 1 005 14.6 28 49.3 28 148.7 9.0 28 3.3 10
Spain 10 591 19.0 16 229.2 15 2947.9 15.3 12 3.0 12
Slovenia 858 15.6 26 421.0 9 164.3 11.2 23 3.1 11
Slovakia 467 17.9 22 86.6 26 72.3 11.6 22 2.5 19
Sweden 4 370 23.6 6 468.1 6 1595.0 19.7 7 1.8 24
UK 16 716 22.6 7 267.4 14 5984.7 19.6 8 2.6 17

Source: European Commission (2015b)

Structural funds: narrowing the innovation gap between have benefited economically from the development of a
regions single internal market, with the less advanced member
At the regional level, the innovation divide mirrors that states receiving an additional boost from the European
of countries. Most of the regional innovation leaders and Commissions structural funds which transfer money from the
followers are located in the countries defined as innovation more advanced regions of the EU to the less advanced ones.
leaders and followers. However, some regions fall into a higher
performance group than the country as a whole. These Between 2007 and 2013, 42.6 billion in structural funds
regions tend to encircle the capital and to be endowed with was committed to narrowing the innovation gap between
a high level of services and universities. This is the case for European regions in research and innovation, almost 16.3%
the le de France region, for instance, which includes Paris of all available funds. The bulk of this amount went to regions
but also happens to be surrounded by an innovation desert. with a per-capita income that was 75% below the EU average.
Other examples are the capital cities of Lisbon (Portugal),
Bratislava (Slovakia) and Bucharest (Romania). An analysis by the European Commission (2014a) of regions
performance in the Seventh Framework Programme and
Between 2004 and 2010, about half of the regions in the EU their use of structural funds for R&D shows that those
moved into a higher performance group, nearly two-thirds regions receiving more than 20% above the average amount
of which were located in less innovative countries. Countries of framework programme funding also perform well in

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 European Union

innovation, with the majority being regional innovation sophistication of R&D in the services sector, such as financial
leaders and followers, including capitals such as the greater services.
Berlin area (Germany), Brussels (Belgium), London (UK),
Stockholm (Sweden) and Vienna (Austria). None of the Research spending up in energy, health and
regional modest innovators attract above-average shares of infrastructure
framework programme funding or structural funds, with the Spending levels are up, on the other hand, in the fields of
notable exception of the Portuguese Autonomous Region energy, health, transportation, telecommunications and other
of Madeira. More than half of the regions that attract neither infrastructure. Spending on health research has increased
type of funding are regional moderate or modest innovators, most in Latvia, Luxembourg and Poland, reflecting growing
suggesting that these regions do not consider innovation a concern about health issues and whether the EU can maintain
priority area for investment. an affordable health care system for its ageing societies.
The rise in spending on research in energy reflects growing
A drop in government spending on defence R&D concern among the public and policy-makers as to the
At this point, we shall examine the national priorities for sustainability of modern economies, a trend foreseen in the
research in 2005 with those at the end of the Seventh UNESCO Science Report 2010. Among the major economies,
Framework Programme in 2013. Government research spending shares on R&D in energy have increased in France,
spending can be broken down into 14 socio-economic Germany and the UK and remained stable in Italy. Relative
objectives by using government budget appropriations or spending on R&D in transportation, telecommunications and
outlays for R&D (GBAORD). On average, the largest share other infrastructure has increased in about half of member
of total government spending is earmarked for the general states, especially in France, Slovenia and the UK.
advancement of knowledge, a category that includes all
university R&D financed by general purpose grants from Space research a strategic investment
Ministries of Education so-called General University Space research is considered an increasingly crucial area
Funds and funds from other sources, there being a lot of of science within the EU. The governments of Belgium,
variation between countries in the way they classify research France and Italy devote a relatively large share of their
expenditure (Table 9.12). On average, 52% of GBAORD is spent budget appropriations to the exploration and exploitation
on the general advancement of knowledge but shares range of (civil) space. Greece and Italy both spend about 5% on the
from just 23% in Latvia to more than 90% in Croatia and Malta. exploration and exploitation of the Earth. Space research
is expected to generate knowledge and new products,
A comparison with the data for GBAORD in 2005 presented including new technologies for combating climate change
in the UNESCO Science Report 2010 shows that the EU as a and improving security, while contributing to the EUs
whole is spending less on defence research, including that economic and political independence (European Commission,
for military purposes13 and basic, nuclear and space-related 2011). Thanks to the European Space Agency, it is a field of
R&D financed by Ministries of Defence. This drop is apparent research in which Europeans can pursue a common purpose.
for all four major spenders on defence in 2005 (France, Spain, The European Space Agency chalked up a world first in
Sweden and the UK) and parallels the trend observed in the November 2014, with the successful landing of the small
USA regarding defence R&D (see Chapter 5). The UK was the robotic probe Philae on a comet, 11 years after the Rosetta
only EU country in 2013 to devote a two-digit share (16%) of spacecraft left Earth. Box 9.2 discusses another important
the government budget to defence R&D and, even then, it product of European space research in the past decade, the
was down from 31% in 2005. Galileo navigation system.

Less industrial research may reflect declining role of The newer member states have progressed
manufacturing There has been a marked improvement in the volume of R&D
The EU is also spending less on education and on industrial conducted by the ten countries which joined the EU in 2004.
production and technology, although Luxembourg spends Their share of total R&D spending increased from less than 2%
much more on research in education than any other member in 2004 to almost 3.8% by 2013 and their R&D intensity from
state. Relative spending on R&D in industrial production 0.76 in 2004 to 1.19 in 2013. Although their R&D intensity
and technology has declined in half of member states but remains well below that of the EU15 countries, the gap has
particularly in Greece, Luxembourg, Portugal, Slovenia been narrowing consistently since 2004 (Figure 9.8).
and Spain. This trend possibly reflects the decreasing
Chapter 9

share of manufacturing in the economy and the growing For Bulgaria, Croatia and Romania, on the other hand, which
joined the EU in 2007 and 2013 respectively, the situation
13. According to the Stockholm International Peace Research Institute, the five top
EU spenders on defence in 2014 were France, Greece and the UK (2.2% of GDP),
has deteriorated. All three contributed less to EU28 GERD in
Estonia (2.0%) and Poland (1.90%). 2013 than in 2007 and their R&D intensity has shrunk over the

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UNESCO SCIENCE REPORT

Table 9.12: EU government budget appropriation for R&D by socio-economic objective, 2013 (%)
Data for 2005 are given between brackets for comparison

Industrial production
exploitation of space

other infrastructure
communication and

Culture, recreation,
exploitation of the

religion and mass

Exploration and

Exploration and

Transport, tele-

and technology
Environment

Agriculture

Education
Energy

Health

media
Earth

EU28 2.0 (1.7) 2.5 (2.7) 5.1 (4.9) 3.0 (1.7) 4.3 (2.7) 9.2 (11.0) 9.0 (7.4) 3.3 (3.5) 1.2 (3.1) 1.1
Austria 1.7 (2.1) 2.4 (1.9) 0.7 (0.9) 1.1 (2.2) 2.6 (0.8) 13.3 (12.8) 4.9 (4.4) 1.7 (2.5) 1.7 (3.4) 0.3
Belgium 0.6 (0.6) 2.2 (2.3) 8.9 (8.4) 1.7 (0.9) 1.9 (1.9) 33.5 (33.4) 2.0 (1.9) 1.3 (1.3) 0.3 (4.0) 2.1
Bulgaria 4.3 1.5 2.0 1.1 0.2 7.8 2.0 20.0 7.3 1.1
Croatia 0.2 0.4 0.2 0.9 0.1 0.6 0.7 0.4 0.1 0.6
Cyprus 0.2 (1.9) 1.0 (1.1) 0.0 (0.0) 0.7 (1.5) 0.0 (0.4) 0.0 (1.3) 3.3 (10.4) 11.6 (23.5) 4.9 (8.2) 0.9
Czech Rep. 1.8 (2.3) 2.0 (2.9) 1.9 (0.8) 4.3 (4.1) 3.2 (2.4) 14.6 (11.9) 6.4 (6.8) 3.8 (5.0) 1.2 (2.8) 1.7
Denmark 0.4 (0.6) 1.6 (1.7) 1.3 (2.0) 0.6 (0.9) 4.0 (1.7) 7.9 (6.3) 12.6 (7.2) 3.5 (5.6) 3.9 (6.3) 1.6
Estonia 1.0 (0.3) 5.5 (5.4) 2.8 (0.0) 6.1 (8.1) 1.4 (2.2) 10.4 (5.8) 9.0 (4.3) 9.5 (13.5) 3.5 (6.4) 4.6
Finland 1.3 (1.0) 1.3 (1.8) 1.6 (1.8) 1.7 (2.0) 8.4 (4.8) 20.6 (26.1) 5.3 (5.9) 4.8 (5.9) 0.1 (6.1) 0.2
France 1.1 (0.9) 1.9 (2.7) 9.7 (9.0) 6.1 (0.6) 6.7 (4.5) 1.6 (6.2) 7.6 (6.1) 2.0 (2.3) 6.6 (0.4) 6.6
Germany 1.7 (1.8) 2.8 (3.4) 4.6 (4.9) 1.5 (1.8) 5.2 (2.8) 12.6 (12.6) 5.0 (4.3) 2.8 (1.8) 1.1 (3.9) 1.2
Greece 4.7 (3.4) 2.0 (3.6) 1.4 (1.6) 4.1 (2.2) 2.4 (2.1) 2.1 (9.0) 8.0 (7.0) 3.3 (5.4) 0.5 (5.3) 19.0
Hungary 1.8 (2.9) 2.6 (9.7) 0.5 (2.3) 6.7 (2.1) 6.8 (10.4) 14.2 (19.6) 10.3 (13.1) 8.2 (16.4) 0.6 (9.1) 2.2
Ireland 0.4 (2.4) 1.2 (0.8) 2.4 (1.5) 0.5 (0.0) 0.5 (0.0) 22.3 (14.2) 5.7 (5.3) 13.4 (8.9) 2.9 (2.4) 0.0
Italy 5.5 (2.9) 2.7 (2.7) 8.7 (8.0) 1.2 (1.0) 3.8 (4.0) 11.7 (12.9) 9.6 (9.9) 3.4 (3.4) 3.9 (5.3) 0.9
Latvia 0.5 (0.6) 10.4 (0.6) 0.8 (1.1) 4.9 (2.3) 6.7 (1.7) 16.0 (5.1) 15.4 (4.0) 16.3 (7.3) 2.2 (1.7) 1.7
Lithuania 3.0 (2.6) 0.2 (6.8) 0.0 (0.0) 0.0 (1.8) 4.6 (3.4) 5.4 (6.0) 4.7 (12.4) 5.3 (17.5) 0.6 (20.1) 2.1
Luxembourg 0.5 (0.5) 3.2 (3.1) 0.4 (0.0) 1.0 (3.4) 1.6 (0.6) 13.2 (21.0) 18.3 (7.8) 0.5 (1.8) 11.6 (16.4) 0.4
Malta 0.2 (0.0) 0.1 (0.0) 0.0 (0.0) 0.0 (0.0) 0.2 (0.1) 0.4 (0.0) 0.6 (0.0) 3.8 (5.6) 0.1 (6.9) 0.0
Netherlands 0.5 (0.3) 0.7 (1.2) 3.5 (2.5) 2.6 (3.6) 2.1 (2.2) 8.8 (11.5) 4.9 (3.8) 3.1 (6.1) 0.5 (2.1) 0.5
Poland 3.4 (1.8) 5.9 (2.4) 2.4 (0.0) 6.6 (1.2) 2.2 (0.9) 11.1 (5.9) 14.8 (1.9) 4.9 (1.3) 4.3 (0.9) 0.8
Portugal 1.9 (1.6) 3.4 (3.5) 0.7 (0.2) 4.0 (4.5) 2.2 (0.9) 6.9 (15.1) 11.5 (7.6) 3.6 (9.9) 2.9 (3.4) 3.0
Romania 3.7 (1.2) 7.4 (2.1) 1.8 (2.4) 3.7 (3.4) 3.7 (0.9) 12.9 (10.7) 2.8 (4.4) 4.9 (4.3) 4.7 (0.3) 0.4
Slovakia 1.7 (0.6) 2.7 (3.3) 0.6 (0.0) 1.6 (1.0) 1.0 (11.5) 7.4 (0.0) 7.9 (1.6) 4.2 (5.0) 2.9 (3.6) 3.1
Slovenia 1.2 (0.4) 3.1 (3.1) 0.5 (0.0) 3.3 (0.8) 2.9 (0.5) 15.2 (22.6) 7.3 (2.0) 4.0 (3.2) 1.2 (2.7) 1.8
Spain 1.7 (1.6) 3.9 (3.0) 5.0 (3.5) 3.5 (5.5) 2.3 (2.2) 6.8 (18.5) 15.5 (8.2) 6.6 (6.3) 1.0 (2.2) 0.6
Sweden 0.4 (0.7) 2.1 (2.2) 1.9 (1.2) 5.0 (3.8) 4.0 (2.3) 2.6 (5.4) 1.7 (1.0) 1.5 (2.2) 0.2 (5.0) 0.1
UK 3.1 (2.3) 2.8 (1.8) 3.3 (2.0) 3.4 (1.1) 2.5 (0.4) 3.4 (1.7) 21.1 (14.7) 4.0 (3.3) 0.4 (3.5) 1.8

Note: A direct comparison between the data for 2005 and 2013 is impossible for all objectives, as the classification was revised in 2007. Social structures and
relationships has been split into Education, Culture, recreation, religion and mass media and Political and social systems, structures and processes and Other civil
research has been distributed over all other socio-economic objectives except defence. Furthermore, for some countries, the categorization of expenditure under
General advancement of knowledge differs considerably between 2005 and 2013.

same period from 0.57 to 0.51. The economic crisis since 2008 from about 405 publications per million inhabitants in 2004 to
cannot be blamed for this weak performance, as the relative about 705 in 2014; this represents an increase of 74%, double
performance of the other ten new member states improved the 36.8% rise for the EU15 over the same period. In Bulgaria,
even during the crisis years. Croatia and Romania, scientific productivity increased by 48%
between 2007 and 2014.
All 13 new member states have increased their scientific
output, including when population is taken into account. The quality of the scientific publications produced by these
The share of EU28 publications produced by the ten countries 13 countries has also improved. For the ten which joined
which joined in 2004 increased from 8.0% in 2004 to 9.6% in 2004, their share of papers among the 10% most-cited
in 2014 (Figure 9.9) and the share of three latest newcomers rose from 6.3% in 2004 to 8.5% in 2012. This progression
from 1.9% in 2007 to 2.1% in 2014. The scientific productivity has, nevertheless, been slower than for the EU15. Bulgaria,
of the ten countries which joined the EU in 2004 increased Croatia and Romania performed about as well as the ten other

254
 European Union

By early 2015, the first 31 projects had been selected (out

of 169 proposals) for funding of 500 000. One of these
projects is developing the Wroclaw Centre of Excellence
in new materials, nanophotonics, additive laser-based
General advancement

General advancement

financed from sources

of R&D financed from
of knowledge: share
systems, structures

of knowledge: R&D
Political and social

General University

technologies and new management organization systems.

other than GUF

appropriations
and processes

Within this project, the Wroclaw University of Technology and

( millions)
Total R&D
the Polish National Centre for Research and Development

Defence
Funds

are collaborating with the German Fraunhofer Institute

2.8 34.6 (31.4) 17.3 (15.1) 4.6 (13.3) 92 094 for Material and Beam Technology and the University of
1.2 56.1 (55.0) 12.3 (13.1) 0.0 (0.0) 2 589 Wrzburg in Germany to develop this centre of excellence.
3.2 17.1 (17.8) 25.1 (24.2) 0.2 (0.3) 2 523
1.7 9.1 40.5 1.4 102 Programmes of mutual benefit to the EU and its partners
0.7 64.1 31.0 0.0 269 The EUs framework programmes invite countries beyond the
0.0 40.1 (28.7) 37.3 (22.9) 0.0 (0.0) 60 EU to participate, including developing countries. Some are
1.4 22.9 (25.4) 33.4 (27.3) 1.5 (2.5) 1 028 associated with the framework programmes through a formal
2.6 47.8 (45.3) 11.8 (20.6) 0.3 (0.7) 2 612 agreement. For Horizon 2020, this includes Iceland, Norway
2.0 0.0 (0.0) 43.8 (49.2) 0.5 (1.0) 154 and Switzerland (see Chapter 11), Israel (see Chapter 16) and
4.7 28.4 (26.1) 19.5 (15.2) 1.9 (3.3) 2 018 countries at various stages of negotiations regarding their
5.1 25.3 (24.8) 19.8 (17.8) 6.3 (22.3) 14 981 future accession to the EU, as in the case of several Southeast
1.8 40.0 (40.6) 17.1 (16.3) 3.7 (5.8) 25 371 European countries (see Chapter 10) and both Moldova and
2.6 41.3 (42.2) 8.1 (17.0) 0.4 (0.5) 859 Turkey (see Chapter 12). As part of its Association Agreement
1.4 9.3 (9.1) 35.4 (5.0) 0.2 (0.1) 663 concluded with the EU in 2014, Ukraine has also formally
1.0 17.8 (64.3) 31.9 (0.1) 0.0 (0.0) 733 become a Horizon 2020 partner (see Chapter 12). There is
5.7 39.4 (40.3) 2.6 (5.8) 0.8 (3.6) 8 444 some doubt as to Switzerlands continued participation in
0.9 0.0 (74.6) 22.9 (0.0) 1.2 (0.0) 32 Horizon 2020 after 2016, in light of the anti-immigration vote
1.4 50.9 (0.0) 21.6 (0.0) 0.1 (0.2) 126 in a popular referendum in 2014 which flies in the face of one
13.4 11.2 (16.4) 24.7 (25.6) 0.0 (0.0) 310 of the EUs key principles, the free movement of people (see
0.1 94.4 (89.9) 0.0 (0.0) 0.0 (0.0) 22 Chapter 11).
2.3 52.4 (49.0) 16.9 (10.8) 1.2 (2.2) 4 794
0.7 1.6 (5.3) 36.2 (76.9) 5.2 (1.3) 1 438 A wider list of countries, including numerous developing
2.4 40.2 (38.8) 17.2 (10.4) 0.2 (0.6) 1 579 ones, are in principle automatically eligible to submit research
2.4 0.0 (0.0) 50.0 (40.9) 1.4 (1.7) 297 proposals through Horizon 2020 programmes. Association
1.7 48.2 (25.6) 15.6 (35.9) 1.4 (8.3) 289 with the EUs framework programmes can represent a
2.2 0.3 (0.0) 56.4 (59.7) 0.7 (4.9) 175
significant contribution to the partner countrys research
1.0 29.4 (17.8) 21.3 (11.0) 1.4 (16.4) 5 682
volume and help it develop linkages with international
2.4 49.9 (46.1) 22.0 (12.7) 4.0 (17.4) 3 640
networks of excellence. In turn, the EU has derived substantial
1.5 23.6 (21.7) 13.3 (16.0) 15.9 (31.0) 11 305
benefit from the scientific talent of countries from the former
Source: Eurostat, June 2015; for 2005 data between brackets: Eurostat data Soviet bloc and elsewhere (e.g. Israel) through its framework
cited in UNESCO Science Report 2010
programmes.

Russian research centres and universities are participating in

Horizon 2020 within international consortia (see Chapter 13).
newcomers, their share of the 10% most-cited papers rising Moreover, in 2014, at the height of tensions over Ukraine, the
from 6.3% in 2007 to 8.2% in 2012. Agreement on Co-operation in Science and Technology was
renewed for another five years by the European Commission
Twinning institutions to narrow the research gap and the Russian government. A roadmap for establishing
Within Horizon 2020, the EU launched the Teaming action the EURussia Common Space for Research and Education
in 2013 to help narrow the research gap with the newest EU is also currently being implemented, involving, inter alia,
members and specific non-EU countries. Universities and the stepping up of collaboration in space research and
other research institutions from these countries can apply for technologies.
Chapter 9

competitive funding from the Research Executive Agency to

execute a project in partnership with internationally leading China has enjoyed extensive co-operation with the EU ever
institutions from all over Europe. since the signing of the EUChina Science and Technology
Agreement in 1999. Relations have deepened, in particular,

255
UNESCO SCIENCE REPORT

Box 9.2: Galileo: a future rival for GPS

The European Galileo navigation system drought in this region; satellite navigation the costs of Galileo then began to
is potentially a serious rival for the systems could thus be used around the skyrocket: from 3.3 billion initially
US Global Positioning System (GPS). world to detect changes in the amount to 5.5 billion by 2014. This inflation
Equipped with the best atomic clocks of water stored in the subsoil. Galileo put paid to the initial publicprivate
ever used for navigation, the European should be able to offer these services partnership, two-thirds funded by the
system will have the precision of one once the first ten satellites out of 22 have private sector; the partnership was
second for every three million years. Its been placed in orbit, alternately by the abandoned in 2007 when the project
more inclined orbit will give it greater Russian Soyouz and European Ariane 5 was entrusted to the European Space
coverage than GPS, particularly over launchers. Agency.
northern Europe.
On 22 August 2014, satellites five and six From this point on, the project took
Another difference between GPS were launched by Soyouz from French off. However, the German company
and Galileo is that Galileo has always Guyana. However, they ended up in an entrusted with building the 22
been a civil project, whereas GPS was elliptical orbit 17 000 km above the Earth satellites, OHB, proved incapable of
designed by the US Department of rather than in their intended circular delivering them on time. This forced
Defense and only later adapted to civil orbit 23 000 km above the Earth. An the European Space Agency to appeal
use, in recognition of the potential investigation into the mishap found that for help to OHBs competitors, Airbus
for commercial spin-offs and the the fuel had frozen in the upper section and the French company Thales.
prospect of competitive systems being of Soyouz. Ultimately, the launch of satellites five
developed. and six was delayed a year, until August
The project has been plagued with 2014. If all goes according to plan, all
Once operational, Galileo will not only problems since its inception in 1999. the remaining satellites will have been
facilitate road, maritime and air traffic Initially, European countries were divided deployed by 2017.
flows but should also help to develop as to the projects usefulness, some
services like e-ecommerce and mobile considering Galileo superfluous, given In the meantime, other countries have
phone applications. It can also be used the existence of GPS, others stressing launched their own programmes.
by scientists for atmospheric studies the advantages of an independent These include the Russian navigation
and environmental management. In navigation system for Europe. system Glonasa, the Chinese Beidou,
2014, an article published in Science the Japanese QZSS system and Indias
reported that a GPS system had The conclusion of an agreement INRSS project.
detected an elevation of land in with the USA in 2004 guaranteed the
Western USA caused by the prolonged compatibility of the dual systems but Source: adapted from Gallois (2014)

since the creation of the EUChina Comprehensive Strategic Universal Health Coverage in Asia over 20092013).14 The
Partnership in 2003. During the Seventh Framework EU and China are also co-operating within Euratom15 via its
Programme, China was the EUs third-largest partner country fission programme and construction of the International
(after the USA and the Russian Federation) for the number Thermonuclear Experimental Reactor in France to further
of participating organizations (383) and collaborative research into nuclear fusion.16 Between 2007 and 2013, nearly
research projects (274), particularly those focusing on health, 4 000 Chinese researchers received funding through the
environment, transportation, ICTs and the bio-economy Marie Curie Actions (European Commission, 2014b).
(European Commission, 2014b).
The EU intends for China to remain an important partner of
Co-operation with China is significant for qualitative reasons, Horizon 2020, even though China is no longer eligible for
as many projects focus on frontier technologies, such as funding from the European Commission, meaning that EU
clean and efficient carbon capture. In addition to facilitating
a convergence of views between researchers of different
14. See: http://ec.europa.eu/research/infocentre/all_headlines_en.cfm
backgrounds, this co-operation has had some positive
15. The European Atomic Energy Community (Euratom) was founded in 1957 with
spillovers to other regions in in complex cross-disciplinary the purpose of creating a common market for nuclear power in Europe to ensure a
areas, one example being the project for Advancing regular and equitable supply of nuclear fuel to EU users.
16. For details, see the UNESCO Science Report 2010, p. 158.

256
 European Union

Figure 9.8: Uptake of STI activities by new EU member states, 20042013

Share in EU28 R&D spending (%) R&D intensity as a share of GDP (%)
98.5 4.0 2.20 1.40
EU15 2.10 1.30
98.0 3.5 (lef t axis)
2.00 1.20
97.5 3.0
1.90 1.10
97.0 2.5 Bulgaria,
Croatia 1.80 1.00
96.5 2.0 & Romania 1.70 0.90
(right axis)
96.0 1.5 1.60 0.80
1.50 0.70
95.5 1.0 10 new
member 1.40 0.60
95.0 0.5 states 1.30 0.50
(right axis)
94.5 0.0 1.20 0.40
2005

2005
2004

2006

2007

2008

2009

2010

2011

2012

2013

2004

2006

2007

2008

2009

2010

2011

2012

2013
Note:
92.5 10.0 Shares for 1,200 800
the EU25 for
700
20042006 1,000
92.0 8.0
do not take 600
into account 800
91.5 6.0 the R&D 500
spending by 600 400
Bulgaria,
91.0 4.0 Croatia and 300
400
Romania.
200
90.5 2.0
200
100
90.0 0.0 0 0
Share in EU28 scientific publications (%) Scientific publications per million inhabitants

Source: for top two graphs: Eurostat, January 2015; for bottom two graphs: computed by ScienceMetrix using Thomson Reuters Web of Science

and Chinese participants will be expected to secure funding health, with the participation of 26 research organizations
themselves for their joint project proposals. The initial work across both continents.19
programme (20142015) under Horizon 2020 will most likely
focus on food, agriculture and biotechnology; water; energy; South Africa is the only African country to participate in
ICTs; nanotechnology; space; and polar research.17 Chinas the EUs Erawatch programme. One out of four of South
co-operation with the Euratom Work Programme on topics Africas almost 1000 applications to the Seventh Framework
related to fusion and fission is also expected to continue. Programme for research project funding was successful,
representing a total of more than 735 million, according to
Initially framed within the Cotonou Agreement (2000) covering the 2012 Erawatch report on South Africa.
sub-Saharan, Caribbean and Pacific countries but excluding
South Africa, the EUs co-operation with Africa is increasingly African countries are expected to participate in Horizon
being organized in partnership with Africas own frameworks 2020 through similar arrangements to those for the Seventh
for co-operation, in particular the African Union, as well as Framework Programme. By mid-2015, institutions from
within the Joint AfricaEU Strategy adopted by African and 16 African countries had reportedly obtained 5 million from
European Heads of State at the Lisbon Summit in 2007.18 Horizon 2020 in the form of 37 individual grants, the majority
of which are related to climate change and health research.
The ERAfrica initiative (20102014) funded by the Seventh However, African involvement in Horizon 2020 so far is below
Framework Programme has enabled European and African expectations (and lower than for the Seventh Framework
countries to launch joint calls for proposals in three thematic Programme); according to the EU, this primarily reflects
fields: Renewable Energy; Interfacing Challenges; and New the need to set up national contact points in more African
Ideas; this has resulted in 17 collaborative research projects countries and to increase their capacity through supportive
being backed by 8.3 million. Meanwhile, the Network for EU projects.20 Between 2008 and 2014, several EU countries
the Coordination and Advancement of sub-Saharan AfricaEU figured among the closest collaborators of African scientists
Science and Technology Cooperation Plus (CAAST-Net Plus, (see Figures 18.6, 19.8 and 20.6).
Chapter 9

20132016) focuses on food security, climate change and

19. http://www.caast-net-plus.org
17. See: https://ec.europa.eu/programmes/horizon2020/horizon-2020-whats-it-china
20. See Ralphs, G. (2015) African participation drops in Horizon 2020. Research, 18
18. http://ec.europa.eu/research/iscp/index.cfm?lg=en&pg=africa#policydialogue May: www.researchresearch.com

257
 ScientificREPORT
Figure 9.9:SCIENCE
UNESCO publication trends in the European Union, 20052014
Growth is generally stronger in the newer EU member states but Austria, Denmark and Portugal
have also made great strides
100 000

Germany 91 631

UK 87 948

80 000
73 573

70 201

France 65 086
60 000
52 476 Italy 57 472

Spain 49 247
40 111
40 000

Netherlands 31 823
29 667

Poland 23 498
22 225

20 000 Sweden 21 854

16 445
Belgium 18 208
13 843
12 572

0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
15 000
Denmark
14 820
Austria 13 108

Portugal 11 855
12 000

Czech Rep. 10 781

Finland 10 758
Greece 9 427

9 000 8 747

8 644
7 987

7 597
Romania 6 651

Ireland 6 576
5 799
6 000
Hungary 6 059
5 245

4 864

3 941
3 000

2 543

258
Figure 9.9 (continued) European Union
3 500 Slovenia
3 301

Slovakia 3 144
3 000
Croatia 2 932

2 500

Bulgaria
2 065
2 025
2 000
Lithuania 1 827
1 931
1 756
Estonia 1 567
1 624
1 500

1 000 885 Luxembourg 854

Cyprus 814
745

500 Latvia 586

319
258
175
61 Malta 207
0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

With a 34% share of world publications in 2014, the EU is still the largest bloc
for absolute authorship
450 000

EU28
400 000

350 000

USA
300 000

China
250 000

200 000

150 000

100 000
Japan

50 000
Chapter 9

0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

259
Figure 9.10: Publication profiles in the European Union, 20082014

Life sciences dominate but the wide research base includes chemistry, physics, engineering and
geosciences. French authors contribute to a fifth of the EUs scientific output in mathematics
British authors contribute to a third of the EUs scientific output in psychology and social sciences
Cumulative totals by field, 20082014

Austria 1 368 15 412 6 154 1 807 6 131 5 404 3 033 23 153 183 8 692 606
1 559 669

1 044
Belgium 3 082 22 939 9 709 2 105 8 779 6 525 3 213 32 846 728 11 249
979
2 324
29
Bulgaria 461 327 2 018 2 318 158 1 089 733 621 1 321 18 2 386 23

23
Croatia 775 259 2 992 1 842 230 1 816 1 612 896 3 830 95 2 074 63

Cyprus 9124 463 407 224 617 379 285 675 69 796
26
50

203
Czech Rep. 2 083952 12 839 9 457 1 423 5 333 4 345 2 925 9 117 65 8 800 393

533
Denmark 2 820
1 580 19 017 5 227
1 018
5 263 6 483 1 272 26 659 519 6 806 764

Estonia 221150 2 172 683 103 734 1 022 190 1 109 39 1 285 66
46

604
Finland 1 479
1 159 13 943 4 830 1 520 6 094 4 681 1 689 16 759 710 7 271 586

2 671
France 7 841
10 966
75 369 44 619 9 656 39 415 32 324 21 288 92 457 621 60 405 2 411

10 378 8 746 35 883 4 570

Germany 15 611 108 639 65 285 45 728 18 035 156 096 1 337 83 344
3 975

1 986 254
Greece 901
8 987 4 881 2 683 7 470 5 225 2 190 19 732 249 7 086 579

883 272
Hungary 685 7 925 4 454 696 2 202 1 838 2 427 8 055 77 5 343 163

2 260 327
Ireland 826 7 991 3 581 1 011 3 255 2 510 1 101 11 068 655 4 295 388

9 382 1 834
Italy 9 300
60 142 28 458 7 274 31 294 22 666 13 449 103 792 1 040 40 718
2 219

71 13
Latvia 41 475 444 72 624 139 77 418 4 661 10

11
Lithuania 532 135 1 092 824 361 2 311 689 502 1 061 35 1 900 54

66 27
Luxembourg 867 272 199 447 322 223 698 6 366
5 37

4
Malta 109 145 16 27 101 126 43 307 18 55 4

3 952 11 618 12 300 3 069 2 075 3 051

Netherlands 4 980 39 350 3 315 11 779 73 103 14 309 2 379

4 926 306
Poland 2 229 21 502 20 385 1 983 15 914 9 076 6 215 22 235 145 21 462 343

2 312 393
Portugal 935 12 294 8 602 1 553 8 425 6 736 2 782 9 474 234 7 398 565

529 29
Romania 239 2 754 5 240 1 002 4 780 2 291 3 976 3 613 218 6 311 361

566 45
Slovakia 392 3 414 2 594 470 1 949 1 173 840 2 160 32 3 510 109

577 64
Slovenia 152 3 075 2 184 619 2 979 1 030 1 092 3 070 106 3 042 107

13 638 2 155
Spain 7 299 56 015 35 461 9 859 28 830 22 076 11 063 62 076 1 131 30 082 2 410

1 976 9 447 974

Sweden 1 949 28 255 1 786 11 601 9 242 2 664 40 199 2 249 12 706 1 116

6 785 40 948 43 647 39 273 7 851

Note: Totals UK 14 815 117 924 10 916 14 301 168 147 7 146 53 003 7 524
exclude 286 742
Agriculture Astronomy Biological sciences Chemistry Computer science Engineering Geosciences
unclassified
papers. Mathematics Medical sciences Other life sciences Physics Psychology Social sciences

260
 Netherlands 16.8 Denmark 1.50 Denmark 2 628

Denmark 16.6 Netherlands 1.48 Sweden 2 269

Finland 1 976
Belgium 15.3 Belgium 1.39
Netherlands 1 894
UK 15.1 UK 1.36
Belgium 1 634
Ireland 14.3 Ireland 1.34
Luxembourg 1 591
Sweden 14.1 Sweden 1.34
Slovenia 1 590
Austria 14.0 Austria 1.30 Austria 1 537

Cyprus 13.5 Cyprus 1.28 Ireland 1 406

Publications per million inhabitants in 2014

Germany 13.5 Finland 1.27 UK 1 385

Estonia 1 221

Average citation rate for publications, 20082012

Luxembourg 13.3 Estonia 1.26

Share of papers among 10% most-cited, 20082012

Portugal 1 117
Estonia 13.0 Germany 1.24
Germany 1 109
France 12.7 Luxembourg 1.24
EU28 average 1 085
Finland 12.7 France 1.20 1 046
Spain
Italy 12.0 Italy 1.17 France 1 007

Czech Rep. 1 004

39%

Spain 11.8 Spain 1.16

Malta 11.8 Portugal 1.12 Italy 941

Greece 847
EU28 average 11.3 EU28 average 1.09
Cyprus 706
sciences between 2008 and 2014

Portugal 11.2 Greece 1.06

Croatia 686
Greece Slovenia
The Nordic EU members have the highest publication intensities

10.3 1.04
Poland 615
EUs share of global authorship in medical

Hungary 9.4 Hungary 1.01 Hungary 610

Slovenia 9.4 Malta 1.00 Lithuania 607

Czech Rep. 8.8 Czech Rep. 0.97 Slovakia 576

Malta 481
Romania 7.5 Bulgaria 0.91
2005 and 2014

Romania 307
Bulgaria 7.1 Croatia 0.83
Bulgaria 288
Figure 9.11: Publication performance in the European Union, 20082014

Slovakia 7.0 Slovakia 0.83

Latvia 287
OECD average 1.08

OECD average 11.1%

The Netherlands tops the EU for quality, Cyprus and Estonia lead among the newcomers
Croatia 7.0 Romania 0.81
Canada 1 538
29.6%

Latvia 6.7 Lithuania 0.75 USA 998

Lithuania 5.8 Latvia 0.74 Japan 576

Growth in EU publications between

For comparison

Among the large EU members, the UK has the highest average citation rate, followed by Germany

Poland 5.7 Poland 0.72 China 184

261
Chapter 9
Figure 9.11 (continued)

All EU members are well above the OECD average for the intensity of international co-operation

45.5% 38.2%
Share of papers with foreign co-authors, 20082014
83.0

76.1

Share of all EU papers with foreign Share of EU papers in medical sciences

co-authors in 2014 with foreign co-authors in 2014
66.3

65.6

64.8

61.7
61.7

60.8

59.1

58.3

57.9

57.5

56.9

55.9

55.8

55.0

54.8

54.3

52.6

51.1

50.3

47.8

46.1

46.0

43.8

41.4

38.0

37.9

34.0
OECD average 29.4%

Slovenia

EU28 average
Croatia
Sweden

Estonia
Luxembourg

Cyprus

Belgium

Ireland

Finland

Slovakia

Hungary

Portugal

France

Germany

Czech Rep.

Spain

Greece

Italy

Lithuania

Poland
Austria

Netherlands

Bulgaria

Romania
Malta

Latvia
Denmark

UK

The USA is the top partner for 14 EU members, including all six most-populous ones
Main foreign partners, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Austria Germany (21 483) USA (13 783) UK (8 978) Italy (7 678) France (7 425)
Belgium USA (18 047) France (17 743) UK (15 109) Germany (14 718) Netherlands (14 307)
Bulgaria Germany (2 632) USA (1 614) Italy (1 566) France (1 505) UK (1 396)
Croatia Germany (2 383) USA (2 349) Italy (1 900) UK (1 771) France (1 573)
Cyprus Greece (1 426) USA (1 170) UK (1 065) Germany (829) Italy (776)
Czech Rep. Germany (8 265) USA (7 908) France (5 884) UK (5775) Italy (4 456)
Denmark USA (15 933) UK (12 176) Germany (11 359) Sweden (8 906) France (6 978)
Estonia Finland (1 488) UK (1 390) Germany (1 368) USA (1 336) Sweden (1 065)
Finland USA (10 756) UK (8 507) Germany (8 167) Sweden (7 244) France (5 109)
France USA (62 636) Germany (42 178) UK (40 595) Italy (32 099) Spain (25 977)
Germany USA (94 322) UK (54 779) France (42 178) Switzerland (34 164) Italy (33 279)
Greece USA (10 374) UK (8 905) Germany (7 438) Italy (6 184) France (5 861)
Hungary USA (6 367) Germany (6 099) UK (4 312) France (3 740) Italy (3 588)
Ireland UK (9 735) USA (7 426) Germany (4 580) France (3 541) Italy (2 751)
Italy USA (53 913) UK (34 639) Germany (33 279) France (32 099) Spain (24 571)
Latvia Germany (500) USA (301) Lithuania (298) Russian Fed. (292) UK (289)
Lithuania Germany (1 214) USA (1 065) UK (982) France (950) Poland (927)
Luxembourg France (969) Germany (870) Belgium (495) UK (488) USA (470)
Malta UK (318) Italy (197) France (126) Germany (120) USA (109)
Netherlands USA (36 295) Germany (29 922) UK (29 606) France (17 549) Italy (15 190)
Poland USA (13 207) Germany (12 591) UK (8 872) France (8 795) Italy (6 944)
Portugal Spain (10 019) USA (8 107) UK (7 524) France (6054) Germany (5 798)
Romania France (4 424) Germany (3 876) USA (3 533) Italy (3 268) UK (2530)
Slovakia Czech Rep. (3 732) Germany (2 719) USA (2 249) UK (1750) France (1744)
Slovenia USA (2 479) Germany (2 315) Italy (2 195) UK (1889) France (1666)
Spain USA (39 380) UK (28 979) Germany (26 056) France (25 977) Italy (24571)
Sweden USA (24 023) UK (17 928) Germany (16 731) France (10 561) Italy (9371)
UK USA (100 537) Germany (54 779) France (40 595) Italy (34 639) Netherlands (29 606)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

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COUNTRY PROFILES Since 2007, the government has made an effort to reform the
national innovation system, through the National Policy for
Given the sheer size of the EU, the following country profiles Research, Development and Innovation covering 20092015
are necessarily brief and limited to those countries with a and the National Innovation Strategy (2011). These documents
population of more than 10 million. Moreover, the European focus on infrastructure development, support for innovative
Commission regularly publishes detailed country profiles firms and fostering partnerships between the public and
of EU member states via its Erawatch series. For a profile of private sectors. The EUs structural funds have also supported
Croatia and Slovenia, see Chapter 10. this reform of public research. The governance of the Czech
innovation system remains very complex but it is expected
that the new government Council for Research, Development
BELGIUM and Innovation will help improve co-ordination.

A steep rise in R&D intensity

Belgium has a high-quality research system. FRANCE
There is a general consensus on the need to foster innovation-
based competitiveness. R&D expenditure in both the public Towards the Industry of the Future
and private sectors has climbed steeply since 2005, placing France has a large science base but the level
Belgium among the EU leaders for R&D intensity (2.3% of GDP of business R&D is lower than in similar countries. The
in 2013). government estimates21 that dis-industrialization over the
past decade has cost France 750000 jobs and 6% of the GDP
In Belgium, it is the regions and communities which are earned from industry.
mostly responsible for research and innovation, the federal
governments role being circumscribed to providing tax France has substantially reformed its research and innovation
incentives and funding specific areas like space research. system in recent years. Under President Sarkozy (20072012),
the existing system of tax credits for co mpany research was
Belgium experienced a period of political instability between recalculated on the basis of the volume of research spending
2007 and 2011, with the Dutch-speaking Flemish community rather than the size of the increase in spending over the
advocating a devolution of power to the regions, whereas the previous two years. As a result, companies became entitled to
French-speaking Walloon community preferred to maintain a rebate of about 30% on their research expenditure for the
the status quo. The election of a new federal government in first 100 million and 5% thereafter. Between 2008 and 2011,
December 2011 put an end to the political stalemate, with the number of enterprises benefiting from this tax rebate
the agreed partition of the Brussels Halle Vilvoorde region doubled to 19700. By 2015, the cost of this tax rebate was ten
and the adoption of policies to tackle the countrys economic times higher (circa 6 billion) than in 2003. A report published
downturn. in 2013 by the Cour des comptes, Frances watchdog for public
finances, questioned the efficacy of an increasingly costly
In the Dutch-speaking region of Flanders, science and measure, while acknowledging that it had helped to preserve
innovation policy focuses on six thematic areas addressing innovation and research jobs during the crisis of 20082009. It
societal challenges. In the French-speaking Walloon region, the has also been suggested that larger companies ended up
focus is on a cluster approach, with the launch of transsectorial benefiting more from the tax credits than SMEs. In September
innovation platforms and new tools targeting SMEs. The 2014, President Hollande affirmed his intention of preserving
French-speaking Brussels region, which also hosts the European the tax rebate, which is thought to project a positive image of
Commission, has adopted a smart specialization approach. France abroad (Alet, 2015).

A New Deal for Innovation

CZECH REPUBLIC Since the election of President Hollande in May 2012, the
government has oriented its industrial policy towards
Reforms to develop innovation supporting economic development and job creation, in
The Czech Republic has a strong presence a context of stubbornly high unemployment (10.3% in
of R&D-performing foreign affiliates. However, there is 2013), particularly among the young (24.8% in 2013). A
insufficient co-operation and knowledge transfer between total of 34 sectorial industrial plans have been introduced
Chapter 9

science and the business world. This has led to a weak with a strong focus on innovation, as well as a New Deal for
domestic private base for R&D and explains the Czech Innovation designed to promote innovation for all, which
Republics average commitment to R&D by EU standards
(1.9% of GDP in 2013). 21.See (in French): www.gouvernement.fr/action/la-nouvelle-france-industrielle

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comprises a package of 40 measures to foster innovative GERMANY

public procurement, entrepreneurship and venture capital
availability. Digitalizing industry: a priority
Germany is the EUs most populous member
In April 2015, the government announced its Industry of the state and biggest economy. Manufacturing is one of the
Future project. This project launches the second phase of the economys strengths, particularly in medium-to-high-tech
governments New Industrial France initiative, which aims to sectors such as automotive, machinery and chemicals,
modernize industrial infrastructure and embrace the digital but its dominance of high-tech manufacturing, such as in
economy to tear down the barriers between services and pharmaceuticals and optical industries, has eroded over
industry. The Industry of the Future project focuses on nine time. The Federal Ministry for Education and Research has
priority markets: New Resources; Sustainable Cities; Ecological developed a High-tech Strategy to improve co-operation
Mobility; Transportation of Tomorrow; Medicine of the Future; between science and industry, in order to maintain
The Data Economy; Intelligent Objects; Digital Confidence; Germanys international competitiveness. Launched in 2006,
and Intelligent Food. the strategy was updated in 2010, with a focus on public
private partnerships in forward-looking projects, including
A first call for project proposals in future-oriented fields some oriented towards tackling the following societal
(3D printing, augmented reality, connected objects, etc.) is challenges: health, nutrition, climate and energy security,
due to be launched in September 2015. Companies which communication and mobility. One key focus of the High-tech
modernize will be entitled to tax cuts and advantageous Strategy since 2011 has been the digitalization of industry
loans. The Industry of the Future project has been designed (Box 9.3).
in partnership with Germanys Industry 4.0 project (Box 9.3).
Germany will thus be a key partner, with both countries In 2005, the Pact for Research and Innovation was introduced.
planning to develop joint projects. Within this pact, the federal government and the regions

Box 9.3: Germanys strategy for the fourth industrial revolution

The German government has taken a Based on a literature review, Hermann A new Industry 4.0 platform called Made
distinctly forward-looking approach et al. (2015) define six design principles in Germany was launched in April 2015.
to what Germans call Industry 4.0 or, of Industry 4.0, namely, interoperability It is operated by the federal government
in other words, the fourth industrial (between cyber-physical systems (economic affairs and research ministries),
revolution; this entails bringing the and humans), virtualization (through firms, business associations, research
internet of things and the internet which cyber-physical systems monitor institutes (in particular, the Fraunhofer
of services to industry, estimated by production), decentralization (with institutes) and trade unions.
Accenture to add 700 billion to the cyber-physical systems making
German economy by 2030. independent decisions), real-time Although some Industry 4.0 technologies
capability (to analyse production data), are already becoming a reality, with
Germanys high-tech strategy since service orientation (internally but also some smart factories like that of Siemens
2011 has had a strong focus on by offering individualized products) already in existence, a lot of research
Industry 4.0. The German government and modularity (adapting to changing remains to be done.
has a dual plan. If Germany can requirements).
manage to become a leading supplier According to the 2013 recommendations
of smart manufacturing technologies, In addition to modernizing industry, from the Industry 4.0 working group, the
such as cyber-physical systems, this customizing production and generating main research focus areas in the German
should give a huge boost to German smart products, Industry 4.0 will address strategy are (Kagermann et al., 2013):
machinery and plant manufacturing, as issues such as resource and energy
well as to the automation engineering efficiency and demographic change, n Standardization and reference
and software sectors. The hope is while promoting a better worklife architecture;
that a successful Industry 4.0 strategy balance, according to Kagermann et al.
n Managing complex systems;
will help Germanys manufacturing (2013). Some trade unions, however,
industry retain its dominant position in fear an increase in job insecurity, such n A comprehensive broadband
global markets. as via cloud workers, and job losses. infrastructure for industry;

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(Lnder) agreed to increase their joint funding of the major Key targets for the coalition government
public research institutes regularly, such as the Fraunhofer The coalition agreement signed by the Conservatives and
Society or the Max Planck Society. In 2009, it was agreed Social Democrats three months after the federal election
to increase the annual growth rate of institutional funding in September 2013 establishes the following targets, inter
from 3% to 5% for the period 20112015, in order to alia:
give the research output of Germanys public research
n raising GERD to 3% of GDP by the end of the legislature
institutes a further boost. In addition, the Central Innovation
(2.9% in 2013);
Programme for SMEs introduced in 2008 funds more than
5 000 projects annually. n raising the share of renewable energy to 5560% of the
energy mix by 2035;
FAIR: a major facility for basic research in physics
n reducing national greenhouse gas emissions by at least
Germany is to host one of the worlds largest centres for
40% by 2020 over 1990 levels;
basic research in physics, the Facility for Antiproton and
Ion Research (FAIR). The particle accelerator is being built n concluding Germanys nuclear phase-out by 2022
in the city of Darmstadt and should be completed by 2018. (decided in 2012 after the Fukushima nuclear disaster);
Some 3 000 scientists from more than 50 countries are
n introducing a nationwide minimum wage of 8.50
collaborating on the project design, in order to reduce costs
(US$ 11.55) per hour in 2015, with industry being able to
and broaden the pool of expertise. In addition to Germany,
negotiate exceptions until 2017; and
the project involves seven EU partners (Finland, France,
Poland, Romania, Sweden, Slovenia and the UK), plus India n introducing a 30% quota for women on company
and the Russian Federation. The lions share of the budget is boards of directors.
being provided by Germany and the State of Hesse and the
remainder by international partners.

n Safety and security; the necessary specialist staff or because The EU has also funded research
they are reluctant to initiate major on the topic through its Seventh
n Work organization and design;
technological change. Framework Programme, such as
n Training and ongoing professional within the publicprivate partnership
development; The German government hopes to dubbed Factories of the Future, and
overcome some barriers through is continuing to do so within Horizon
n Regulatory framework; and
pilot applications and best practice 2020.
n Resource efficiency. examples, by expanding the high speed
broadband infrastructure further and Moreover, Frances Industry of the
Since 2012, the German Ministry of by providing training. Other major Future project has been designed
Education and Research has provided challenges relate to data security and in partnership with Germanys Industry
funding of more than 120 million for the creation of a digital single market at 4.0 project with a view to developing
Industry 4.0 projects so far. Furthermore, the European level. joint projects.
the Ministry for Economic Affairs and
Energy is currently providing funds Germanys competitors have also
of nearly 100 million through two been investing in research on the
programmes, Autonomics for Industry digitalization of industry in recent
4.0 and Smart Service World. years, such as through the Advanced
Manufacturing Partnership in the USA
The Industry 4.0 strategy has a strong (see Chapter 5), the Chinese Internet
focus on SMEs. Although much of of Things Centre or the Indian Cyber-
Germanys industry is buzzing from the physical Systems Innovation Hub.
Industry 4.0 talk, many German SMEs are According to Kagermann et al. (2013), See also: plattform-i40.de: www.euractive.com/
sections/innovation-enterprise;
Chapter 9

not prepared for the structural changes this research may not be as strategically www.euractive.com/sections/industrial-policy-
that it implies, either because they lack focused as in Germany. europe

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GREECE Business innovation is being supported by the design of new

legal frameworks for innovative start-ups and by simplifying
Aligning research with societal challenges access to finance for SMEs. Innovative start-ups are:
Greece has a low R&D intensity (0.78% in n exempt from the costs of setting up their business;
2013) by EU standards, despite a modest increase in recent
years that may be tied to its economic woes, since Greece n entitled to 12 months more than other firms to recover

lost about one-quarter of its GDP in six years of recession. their losses;
The structural problems of the Greek economy, which have n allowed to raise capital using crowdfunding;
led to a series of financial and debt crises over the past five
years, have further weakened the Greek innovation system n given easier access to government funding (Central

and science base. Greece performs poorly in technological Guarantee Fund for Small and Medium-Sized Enterprises);
innovation and has few high-tech exports. There is little n entitled to benefit from special labour law provisions
exploitation of research results by the business sector, no which do not require them to justify entering into a fixed-
integrated legal framework for those which perform research term agreement; and
and a weak articulation of research policy with other policies.
n the beneficiaries of several tax incentives, such as the

Since 2010, the economic adjustment programme for possibility for personal income taxpayers who invest in
Greece has focused on structural reforms to make the Greek innovative start-ups to obtain a tax credit equal to 10% of
economy more resilient to future shocks. These reforms are the amount invested up to a maximum of 500000.22
meant to foster growth by strengthening competitiveness
and stimulating exports, for instance.
NETHERLANDS
Since 2013, the General Secretariat for Research and
Technology has embarked upon an ambitious reform of the Improving publicprivate co-ordination
Greek innovation system. Measures announced include the The Netherlands is a strong performer in both
completion of the National Strategy for Research, Technological science and innovation. In terms of both quantity and quality,
Development and Innovation 20142020. The emphasis is scientific output is among the highest in the EU, when
on developing research infrastructure and making research population is taken into account. Although R&D expenditure
centres more efficient by aligning their mandate with societal remains low (2.0% of GDP in 2013) in comparison with the
challenges facing Greece. Greece is expected to benefit from other more advanced member states, it is increasing (1.7% of
a considerable amount of EU cohesion funding for research GDP in 2009).
and innovation over the 20142020 period.
The Netherlands innovation policy aims to provide a
favourable environment for all firms and targeted support
ITALY for nine so-called top sectors; the top sectors approach was
introduced in 2011 and helps businesses, the government
A focus on partnerships and knowledge and research institutes co-ordinate their activities (OECD,
transfer 2014). The nine top sectors are: agriculture and food;
Italy devotes a smaller share of GDP to R&D than many of its horticulture and propagation materials; high-tech systems
larger neighbours (1.3% of GDP in 2013). This makes it difficult and materials; energy; logistics; creative industry; life sciences;
for Italy to move towards a more efficient research system and chemicals; and water. These nine sectors account for more
reduce its specialization in low-tech sectors. than 80% of business R&D; over the 20132016 period,
they are expected to generate more than 1 billion
In 2013, the Ministry of Education, the University and Research (OECD, 2014).
launched a strategic document, the Horizon 2020 Italia, to
boost the Italian innovation system, by aligning national
research programmes with European ones and by reforming
the governance of the research system, such as through new
competitive procedures, evaluation mechanisms and impact
assessment of public funding. A year later, the government
introduced the National Research Programme 20142020,
which proposes strengthening the Italian research system by
fostering publicprivate partnerships, knowledge transfer and 22. See Latham and Watkins (2012) Boosting Innovative Start-ups in Italy: the New
better working conditions for researchers. Framework. Client Alert no. 1442.

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POLAND PORTUGAL
A shift towards competitive research funding Technology transfer for smart specialization
For Poland, the benefit of accession to the EU was Over the past decade, Portugal has largely
most visible in 20042008 when the risk of doing business enjoyed a political consensus and continuity in its policy
dropped, Polands attractiveness for investment and for research and innovation. The focus has been on
financial credibility improved and barriers to capital flows expanding the national innovation system, increasing
were eliminated. Poland took advantage of these years to public and private investment in research and training more
modernize its economy, in part by investing in better quality researchers.
education (Polish Ministry of Economic Affairs, 2014, p.60).
The economic recession had an impact on this drive but not
During the wider economic crisis of 20092013, the flow overwhelmingly so. Despite this drive, however, Portugal
of investment to Poland and private consumption slowed remains below the EU average when it comes to public
but this only mildly affected Polands economy, for several private partnerships, knowledge transfer and employment in
reasons. For one thing, Poland had used EU structural funds knowledge-intensive industries. One of the main challenges
to develop its infrastructure. In addition, the Polish economy concerns the weak in-house technological organizational
was less open than that of most other countries, so was less and marketing capabilities of SMEs.
exposed to international turbulence. In addition, unlike in
most other countries, foreign investment had been geared In 2013, the government adopted a new Strategy for Smart
much more towards modernizing the industrial sector than Specialization and undertook an analysis of the strengths and
towards the services sector. Poland also had low levels of weaknesses of the national innovation system. This led to a
private and public debt at the start of the crisis. Last but not revision of the regulations governing the financing of research
least, Poland benefits from a flexible exchange rate (Polish institutions and a re-orientation of indirect R&D funding
Ministry of Economic Affairs, 2014, p.6162). towards international co-operation. The latter reform will
ensure that the Portuguese innovation agency remains
R&D expenditure has been rising consistently since 2007. autonomous. It has already given rise to an evaluation of the
This said, Polands R&D intensity remains well below the EU national clustering strategy (providing support to 19 identified
average, at 0.9% of GDP in 2013, and less than half of GERD is clusters), the creation of new advisory bodies and the launch of
performed by the business sector. The need to make Polish a Programme for Applied Research and Technology Transfer to
companies more innovative and strengthen scienceindustry Companies.
co-operation has been a long-standing challenge for Poland.
Among the policy responses proposed in recent years, a series
of major reforms to the science and higher education systems ROMANIA
in 20102011 have shifted the focus towards competitive
bidding for funding and a greater number of publicprivate Raising business R&D to 1% of GDP by 2020
partnerships. By 2020, half of the countrys science budget Romanias innovation system is primarily based in
should be distributed through competitive funding. the public sector: only 30% of the countrys R&D is performed
by the business sector. Romanias scientific output is among
More recently, the 2013 Strategy for Innovation and Effectiveness the lowest in the EU but it has improved significantly over
of the Economy 2020 aims to stimulate private-sector research the past five years. The National Strategy for Research and
and innovation. In parallel, the Enterprise Development Innovation 20072013 has encourged Romanian scientists
Programme foresees, among other things, the introduction to publish in international journals, increased the share of
of tax incentives for innovative firms; the Smart Growth competitive funding, promoted publicprivate co-operation
Operational Programme adopted in 2014 will be implementing by providing grants for projects involving industrial partners
the Enterprise Development Programme with a budget of and promoted business innovation by introducing innovation
8.6 million for R&D that focuses on the development of vouchers and tax incentives.
in-house innovation and funding business R&D.
The new National Strategy for Research and Innovation
The role of public procurement in supporting innovation has 20142020 is expected to introduce a shift from support for
been stressed by a project implemented since 2013 by the research and its corresponding infrastructure to support for
Chapter 9

National Centre for Research and Development. The project innovation. It should include additional measures to orient
has selected 30 brokers of innovation who will deal with the research oriented towards practical goals, by developing a
commercialization of research and the creation of spin-off partnership for innovation. This partnership is expected to
companies. boost business R&D spending to 1% of GDP by 2020.

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SPAIN Regional development agencies were dissolved in 2012, after

the government decided that all programmes and funding for
Making investment go further research and innovation should be co-ordinated henceforth
Investment in R&D has suffered in Spain from the at the national level. It is the ministerial Department for
impact of the economic crisis. Fiscal constraints caused a cut in Business, Innovation and Skills which manages science and
public R&D expenditure from 2011 onwards and business R&D innovation policies at the national level, sponsoring the seven
expenditure began declining as early as 2008. UK research councils, the Higher Education Funding Council
(HEFCE) and the Technology Strategy Board.
To minimize the impact of this financial drought, the government
has taken a number of steps to improve the effectiveness of Research funding can either be competitive and project-based
investment in R&D. The Law for Science, Technology and Innovation for researchers from universities and public research institutes,
adopted in 2011 simplifies the allocation of competitive funding through the countrys research councils, or it can be disbursed
for research and innovation. The rationale behind this scheme is through the HEFCE for England and its counterparts in
that legal reform will encourage foreign researchers to move to Northern Ireland, Scotland and Wales. HEFCE provides annual
Spain and stimulate the mobility of researchers between the public grants for research, knowledge transfer and infrastructure
and private sectors. The Spanish Strategy for Science, Technology and development. These annual grants are conditional on the
Innovation and the State Plan for Scientific and Technical Research institutions research being of a minimum quality. HEFCE does
and Innovation, adopted in 2013, follow a similar rationale. not stipulate how the grant for research should be used by
each institution.
New policies are being designed to facilitate technology
transfer from the public to the private sector to promote The Technology Strategy Board is responsible for funding
business R&D. In 2013, several programmes were launched business innovation and technological development and for
to provide risk and equity funding for innovative firms, one a range of programmes targeting innovation, such as the use
example being the European Angels Fund (Fondo Isabel La of tax credits to fund business R&D. SMEs are entitled to a
Catlica) providing equity funding to business angels. deduction of 125% in corporate tax for qualifying expenditure
and large companies to a 30% deduction. In 2013, a Patent
Box scheme was launched which offers a reduced rate of tax
UNITED KINGDOM OF GREAT to profits from patents.
BRITAIN AND NORTHERN IRELAND
A pole of attraction for students
Innovation a priority investment The UK has generally been an attractive destination for
The UK is known for having a strong science base, students and researchers. As of 2013, it not only hosted the
a rich supply of high-level skilled professionals and for being a largest number of ERC grantees of any EU country but also
pole of attraction for globally mobile talents. The business world the largest number of non-nationals conducting ERC-funded
is adept at creating intangible assets and the country counts a research (Figure 9.7). Exports of education services were
large services sector, including financial services. worth an estimated 17billion in 2013, representing a key
source of funding for the UKs university system. This system
Policies focus on strengthening the UKs ability to innovate has come under pressure in recent years. In an effort to reduce
and commercialize new technologies. In 2013, research and the public deficit, the coalition government tripled student
innovation joined the list of priority areas for investment fees in 2012 to about 9000 per year. To sweeten the pill, it
detailed in the National Infrastructure Plan. introduced student loans but there is some concern that part

Box 9.4: The Ogden Trust: philanthropy fostering physics in the UK

The Ogden Trust was set up in 1999 British university up to the completion To address the shortage of school physics
by Sir Peter Ogden with 22.5 million of their masters degree. teachers with qualifications in physics,
of his personal wealth. The Trust the Trust has launched the Scientists in
originally provided high-achievers The Trust also runs a programme which Schools programme to provide funding
from state schools with scholarships allows alumni to secure paid internships for postgraduate, PhD and postdoctoral
and bursaries to attend leading private at UK universities for the purpose of students to gain experience teaching
schools. In 2003, it broadened its scope conducting research in physics or to physics before entering teacher training.
to students wishing to study physics gain work experience in physics-related Source: Adam Smith, masters student in physics
or an associated degree at a leading companies. and Ogden Trust scholar

268
 European Union

of these loans may never be repaid. The steep rise in tuition its persistently low R&D intensity has been of concern to the
fees may also deter students from pursuing their education to countrys scientific establishment (Royal Society et al., 2015).
graduate level and discourage international students (British
physics students from a modest background can apply for a The countrys openness to international flows of knowledge
scholarship from the Ogden Trust, see Box 9.4). In July 2015, may also be at risk. The general election in May 2015 returned
the Chancellor of the Exchequer (Minister of Finance) placed the Conservative government to power with a solid majority.
the university system under renewed pressure by proposing In the run-up to the election, the prime minister had promised
cuts to government subsidies for tuition fees paid by UK and voters that the Conservatives would hold a referendum on
other EU nationals. whether or not the UK should remain a member of the EU
by the end of 2017. This referendum will thus be held within
Despite the attractiveness of the UK and its reputation for the next two years and perhaps as soon as 2016. A British exit
quality it produces 15.1% of the worlds most highly cited (Brexit) from the EU would have far-reaching repercussions for
articles for a share of just 4.1% of the global research pool , both British and European science (Box 9.5).

Box 9.5: What impact would a Brexit have on European research and innovation?

The cornerstones of the EUs single If, on the other hand, the UK opted for The EUs structural funds would also be
market are what are known as the the Swiss model, it would not remain out of reach for the UK, were it to leave
four freedoms: the free movement of a member of the European Economic the EU. A withdrawal from the EU might
people, goods, services and capital. It Area. The UK would have to pay less also incite international firms to scale
is the free movement of people which attention to EU legislation and make down their plans to invest in R&D in the
has cristallized discontent in the UK. a smaller financial contribution but UK. The country would no longer be a
The government would like to restrict it would have to negotiate separate gateway to EU markets, nor would its
this freedom and is planning to consult agreements in many different areas, probably stricter immigration laws be
the population on a possible exit from including trade in goods and services, particularly supportive of such investment.
the EU by the end of 2017, if it does not or the movement of people between Lastly, a Brexit would be likely to make
obtain satisfaction from its European the UK and the EU (see Chapter 11). the international movement of university
partners concerning its demand for a researchers between the UK and the rest
revision of relevant treaties. The impact of a Brexit on science and of Europe, or the world, more complicated
innovation in both the UK and in the and less appealing, owing to the greater
The UK is one of the largest net EU would depend heavily on the post- anti-immigration sentiment in the country.
contributors to the EU budget, so its withdrawal relationship between the
departure from the EU would have far- UK and the EU. It is likely that the UK In its public discourse, the research
reaching repercussions for both the UK would wish to remain an associated community in the UK seems to be clearly
and the EU. The negotiations over the member of the European Research against a Brexit. Within days of the May
various options for a post-withdrawal Area, like Norway and Iceland, in order 2015 parliamentary elections, a campaign
relationship would be complex. There to continue participating in the EU website entitled Scientists for the EU had
exist several model relationships for framework programmes. These are been set up. A letter signed by prominent
European countries situated outside considered increasingly important in scientists was also published by the Times
the EU. The Norwegian model or the UK for funding research, training on 22 May 2015 and articles appeared in
the Swiss model are the options PhDs and exchanging ideas and people. The Guardian newspaper on 12 May and in
currently seen as being the most However, the co-operation agreement Nature News on 8 May 2015. According to
applicable to the UK. Were the UKs for each framework programme would an article published in the Economist on
future relationship with the EU to have to be negotiated separately, 29 April, whatever the British public decides,
be modelled on Norway, which is a especially if the UK were not a member the referendum itself is likely to create
member of the European Economic of the European Economic Area. This political and economic turmoil in Britain.
Area, the UK would continue to make a could be a difficult negotiation, as
significant financial contribution to the Switzerland has discovered since the Were the Brexit to become a reality,
EU potentially even close to the level tightening of its own immigration whatever the post-withdrawal relationship,
of its current net contribution of about laws in 2014, following a popular the UK would lose its driving seat for
4.5 billion. In this case, the UK would referendum, prompted the EU to research and innovation within the EU,
Chapter 9

be subject to much of the body of EU grant Switzerland only limited rights which would be a loss for both sides.
law and policy, yet its future influence to participation in Horizon 2020 (see Source: Bttcher and Schmithausen (2014); The
on the EU would be limited. Chapter 11). Economist (2015)

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CONCLUSION trend is a consequence of the drop in the share of innovative

companies, publicprivate scientific collaboration and the
Innovation performance down for half of EU availability of risk capital. This calls for further support of
The EU, in general, and the 19 members of the Eurozone, innovation at both the EU and national levels by making
in particular, have been hard hit by the economic crisis. access to finance easier for SMEs, facilitating the inflow of
Unemployment rates have spiralled upwards, with one out researchers from beyond the EU, by promoting collaboration
of four EU citizens below the age of 25 years being without within but also between the private and public sectors and
a job in 2013. This economic hardship has created political by harmonizing national support programmes and even
instability, with some countries questioning their place in the replacing them with EU support programmes to increase
EU and the UK even contemplating a Brexit. the scale of EU research and avoid overlap between national
activities.
The Eurozone countries have had to bail out several banks
over the past five years. Today, they face additional problems, There is support for business innovation in the new Horizon
as the growing public debt burden of some members sows 2020 programme but, even more importantly, member
doubts as to their financial credibility. Eurozone countries, the states are taking the initiative in this area. Several countries
European Central Bank and the International Monetary Fund are re-emphasizing the importance of technology-intensive
have all had to lend substantial amounts of money to Ireland, manufacturing, including France and Germany, and
Italy, Portugal, Spain and, above all, Greece. Whereas the acknowledging the special role that SMEs play in this area
other countries have managed to restore their economy by by making funds more accessible to smaller companies.
implementing structural reforms, the Greek economy is still Knowledge and technology transfer are being reinforced
convalescent. Despite Greece having adopted a new austerity through the promotion of publicprivate partnerships.
package in July 2015, there is still a risk that it may have to
leave the Eurozone as a result of what increasingly appears to Only time will tell whether this intensified support for
be an unbearable public debt burden. research and innovation has had a positive, marked impact
on innovation in Europe. That analysis will have to wait for the
The EU has adopted an energetic programme to 2020 next UNESCO Science Report in five years time.
to conjugate the crisis and foster smart, inclusive and
sustainable growth, Europe 2020. One of the key strategies
is the Innovation Union, a compilation of more than KEY TARGETS FOR THE EUROPEAN UNION
30 commitments for improving the capacity of countries to
innovate. The EUs eighth framework programme for research n At least 75% of people between 20 and 64 years of age
and technological development, Horizon 2020, is endowed should be employed by 2020;
with by far the greatest budget ever, 80 billion. With almost n On average, 3% of GDP should be invested in research
one-third of this amount to be spent on promoting research and development (R&D) by 2020;
excellence, Horizon 2020 should raise the EUs scientific
output considerably. n By 2020, greenhouse gas emissions should be limited
by at least 20% compared to emission levels in 1990,
Scientific excellence is being fostered by the European 20% of energy should come from renewables and
Research Council, which is responsible for 17% of the overall there should be a 20% increase in energy efficiency
budget of Horizon 2020 in the form of grants to researchers (known as the 20:20:20 target);
at different stages of their career. The European Research n School dropout rates should be reduced to below 10%
Council has had a profound impact on scientific output and and at least 40% of people between 30 and 34 years of
on national research funding, with many member states age should have completed tertiary education by 2020;
having created similar institutions and funding schemes.
n The number of persons at risk of poverty or social
Despite the framework programmes, EU funding makes up exclusion should be reduced by at least 20 million by
only a modest share of total funding for R&D. The lions share 2020.
comes from national governments and businesses. The EU
has formulated an ambitious goal of spending 3% of GDP on
R&D by 2020 but progress has been slow in many countries.

Although the gap between the least and most innovative

countries has narrowed, the innovation performance of
almost half of member states has worsened. This worrying

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REFERENCES Gallois, D. (2014) Galileo, le futur rival du GPS, enfin sur le pas
de tir. Le Monde, 21 August.
Alet, C. (2015) Pourquoi le Snat a pass son rapport sur le
Hermann, M., T. Pentek and O. Boris (2015) Design principles
crdit impt recherche la dchiqueteuse. Altercoplus
for Industrie 4.0 scenarios: A literature review, Working
online, 17 June.
Paper No. 01/2015, Technische Universitaet Dortmund.
Attan, M. (2015) The Juncker plan risks making innovation an
Hernndez, H.; Tbke, A.; Hervas, F.; Vezzani, A.; Dosso, M.;
afterthought. Research Europe, 5 March.
Amoroso, S. and N. Grassano (2014) EU R&D Scoreboard:
Bttcher, B. and E. Schmithausen (2014) A future in the EU? the 2014 EU Industrial R&D Investment Scoreboard.
Reconciling the Brexit debate with a more modern EU, EU European Commission: Brussels.
Monitor - European Integration, Deutsche Bank Research.
Hove, S. van den, J. McGlade, P. Mottet and M.H. Depledge
Downes, L. (2015) How Europe can create its own Silicon (2012) The Innovation Union: a perfect means to confused
Valley. Harvard Business Review, 11 June. ends? Environmental Science and Policy, 16: 7380.

European Commission (2015a) Innovation Union Scoreboard Kagermann, H., W. Wahlster and J. Helbig (2013)
2015. European Commission: Brussels. Recommendations for implementing the strategic initiative
Industrie 4.0: Final report of the Industrie 4.0 Working Group.
European Commission (2015b) Seventh FP7 Monitoring Report.
European Commission: Brussels. OECD (2014) OECD Reviews of Innovation Policy: Netherlands.
Organisation for Economic Co-operation and
European Commission (2014a) Research and Innovation
Development: Paris.
performance in the EU Innovation Union progress at
country level. European Commission: Brussels. Oliver, T. (2013) Europe without Britain: assessing the Impact on
the European Union of a British withdrawal. Research Paper.
European Commission (2014b) Report on the Implementation
German Institute for International and Security Affairs: Berlin.
of the Strategy for International Co-operation in Research
and Innovation. European Commission: Brussels. MoFA (2014) Polands 10 years in the European Union. Polish
Ministry of Foreign Affairs: Warsaw.
European Commission (2014c) Research and Innovation
- Pushing boundaries and improving the quality of life. Roland, D. (2015) AstraZeneca Pfizer: timeline of an attempted
European Commission: Brussels. takeover. Daily Telegraph, 19 May.

European Commission (2014d) Regional Innovation Royal Society et al. (2015). Building a Stronger Future: Research,
Scoreboard 2014, European Commission: Brussels. Innovation and Growth. February.

European Commission (2014e) State of the Innovation Union - Technopolis (2012) Norways affiliation with European Research
Taking Stock 2010-2014. European Commission: Brussels. Programmes Options for the future. Final report, 1 March.

European Commission (2014f) Taking stock of the Europe The Economist (2015) Why, and how, Britain might leave the
2020 strategy for smart, sustainable and inclusive growth. European Union. The Economist, 29 April.
COM(2014) 120 final/2. European Commission: Brussels.

European Commission (2011) Towards a space strategy for the Hugo Hollanders (b. 1967: Netherlands) is an economist
European Union that benefits its citizens. COM (2011) 152 and researcher at UNU-MERIT (Maastricht University) in
final. European Commission: Brussels. the Netherlands. He has over 15 years of experience in
European Commission (2010) Communication from the innovation studies and innovation statistics. He is primarily
Commission - Europe 2020: A strategy for smart, sustainable involved in research projects funded by the European
and inclusive growth. COM (2010) 2020. European Commission, including as lead author of its innovation
Commission: Brussels. scoreboard report.

European Environment Agency (2015) The European Minna Kanerva (b. 1965: Finland) shares her time
environment - state and outlook 2015: Synthesis report. between the Sustainability Research Centre (artec) in
European Environment Agency: Copenhagen. Germany and UNU-MERIT in Maastricht (Netherlands).
European Research Council (2014) Annual Report on the ERC Her research interests include sustainable consumption,
Chapter 9

activities and achievements in 2013. Publications Office of climate change, eco-innovation, nanotechnologies and
the European Union: Luxembourg. measuring innovation. She is currently completing her
PhD.
European Research Council (2015) ERC in a nutshell.

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Southeast European countries are

advised to invest more and better in
research and innovation, prioritizing
investment and a smart specialization
of the region.
Djuro Kutlaca

The distinctive blue trams in Zagreb, Croatia, are equipped with

an energy recovery system. When the driver brakes, the power
generated is fed back into the electrical network.
Photo: Zvonimir Atletic / Shutterstock.com

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 Southeast Europe
10 . Southeast Europe
Albania, Bosnia and Herzegovina, Croatia, Former Yugoslav Republic of Macedonia, Montenegro, Serbia, Slovenia

Djuro Kutlaca

Chapter 10
INTRODUCTION Following the disintegration of Yugoslavia in the 1990s, all
Southeast European countries were confronted with the challenge
A heteroclitic region with a common goal of post-socialism. Unfortunately, this economic transition came at
Southeast Europe1 was home to 25.6 million inhabitants a cost; it fragmented and deteriorated countries science systems,
in 2013. The region is characterized by strong economic resulting in brain drain and obsolete infrastructure for research
disparities, with GDP per capita being three times higher in and development (R&D), as described in the UNESCO Science
the richest country (Slovenia) than in the poorest (Albania) Report 2005. Like Croatia and Slovenia, all five non-EU countries
[Table 10.1]. have since completed their transition to open market economies.
They remain burdened, however, with high unemployment rates,
Countries are also at different stages of European unacceptable levels of corruption and underdeveloped financial
integration. Slovenia has been a member of the European systems.
Union (EU) since 2004 and Croatia since 2013. Three
countries have candidate status: the Former Yugoslav Economies shaken by the global recession
Republic of Macedonia since 2005, Montenegro since 2010 Croatia, Greece and Slovenia have been more badly affected
and Serbia since 2012. Albania was proposed for candidate by the global financial crisis than their neighbours (Table 10.1),
status in June 2014. As for Bosnia and Herzegovina, it was having experienced negative average growth rates between
identified as a potential candidate for EU membership as 2009 and 2013. Across the region, recovery has been fragile and
long ago as June 2003, during the Thessaloniki European partial, with unemployment rates rising steeply in Croatia, Greece,
Council Summit, but uncertainty hangs over the procedure Serbia and Slovenia and remaining high in the other countries.
for its membership. For all five non-member countries, Like the Eurozone, the Western Balkans are experiencing what
European integration represents the only viable project for the International Monetary Fund (IMF) terms low-flation, a
ensuring social and political coherence. Their integration combination of durably poor economic growth and low inflation
would benefit Slovenia and Croatia too, as prosperous rates which raise the spectre of deflation. With a deficit of 12.7%
neighbours would offer the best guarantee of political and 14.7% respectively in 2013, according to Eurostat, Greece and
stability and economic growth. Slovenia are among the seven countries which failed to respect
the 3% deficit ceiling imposed by the Eurozones2 Stability Pact.
1. Excluding Greece; Greece is mentioned at times in the present chapter for
comparative purposes but, having been a member of the European Union since 2. The Eurozone comprises the 19 EU countries which have adopted the single
1981, it is covered in Chapter 9. currency of the euro.

Table 10.1: Key socio-economic indicators for Southeast Europe, 2008 and 2013

Inflation, Annual average GDP per capita, Unemployed (% Employment in Gross fixed Exports of FDI net inflows
consumer prices GDP growth current $PPP of labour force) industry capital goods and (% of GDP)
(annual %) rate (% total formation * services
employment) (% of GDP) % of GDP)
2008 2013 2002 2009 2008 2013 2008 2013 2008 2012 2008 2012 2008 2012 2008 2012
2008 2013
(%) (%)
Albania 3.4 1.9 5.5 2.5 8 874 10 489 13.0 16.0 13.5 20.8-2 32.4 24.7 29.5 31.3 9.6 10.0
Bosnia and 7.4 -0.1 5.6 -0.2 8 492 9 632 23.9 28.4 30.3 24.4 22.1 41.1 31.2 5.4 2.0
Herzegovina
Croatia 6.1 2.2 4.4 -2.5 20 213 20 904 8.4 17.7 30.6 27.4 27.6 18.4 42.1 43.4 8.7 2.4

Greece 4.2 -0.9 3.6 -5.2 29 738 25 651 7.7 27.3 22.3 16.7 22.6 13.2 24.1 27.3 1.7 0.7

FYR Macedonia 8.3 2.8 4.1 1.5 10 487 11 802 33.8 29.0 31.3 29.9 23.9 21.2 50.9 53.2 6.2 2.9

Montenegro 8.8 2.1 5.6 0.2 13 882 14 318 16.8 19.8 19.6 18.1 27.7 16.9 38.8 42.4 21.6 14.1

Serbia 12.4 7.7 4.9 0.0 11 531 12 374 13.6 22.2 26.2 26.5 20.4 26.3-1 31.1 38.2-1 6.3 0.9

Slovenia 5.7 1.8 4.5 -1.9 29 047 28 298 4.4 10.2 34.2 30.8 27.5 19.2-1 67.1 71.3-1 3.3 -0.5

n = data refer to n years before reference year.

Source: World Banks World Development Indicators, January 2015

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The effects of the crisis can be observed in the Western TRENDS IN STI GOVERNANCE
Balkans through the changing structure of exports
in 20092010. Some studies show that intraregional Slovenia could serve as a model for its neighbours
Western Balkan trade is relatively concentrated, with All seven countries of Southeast Europe share a common
the top six products representing 40% of total imports: desire to adopt the EUs science-oriented innovation model.
four commodity products (mineral fuels, iron, steel and They can be grouped into four categories, according to the
aluminium) and two other industrial product types: pace of transition: Albania and Bosnia and Herzegovina
beverages and electrical machinery and equipment. The show the slowest and most uncertain dynamics, despite
main export market for all Western Balkan economies is ongoing support from UNESCO for Albania and the EU for
the EU. This high level of dependence is exacerbated by Bosnia and Herzegovina. The Former Yugoslav Republic (FYR)
EU trade preferences and the prospect of EU membership of Macedonia and Montenegro fall into the second category:
for Western Balkan countries (Bjeli et al., 2013). they are still searching for an appropriate innovation system.
The third group consists of Croatia and Serbia, which both
Easing into EU integration via regional trade have fairly developed infrastructure and institutions.
All seven countries have been party to the Central Croatia is having to speed up its restructuration process
European Free Trade Agreement (CEFTA) at one time. since incorporating the EU, as it now needs to apply EU
CEFTA was launched in 1992 to help countries prepare regulations and practices in terms of smart specialization (see
for EU integration and counted Poland, Hungary, the below), regional governance, foresight exercises for priority-
Czech Republic and Slovakia among its initial members. setting and innovation policy as a governance model, among
Slovenia joined in 1996 and Croatia in 2003 but their other things.
membership automatically ended once they became EU
members (see Chapter 9). Slovenia is in a category of its own; it is not only the most
advanced country in an economic sense but also in terms
On 19 December 2006, the five remaining countries of of the dynamism of its innovation system: Slovenia
Southeast Europe joined CEFTA, as well as the United devoted 2.7% of GDP to R&D in 2013, one of the highest
Nations Interim Administration Mission in Kosovo3 on ratios in the EU. Of course, the growth and innovation
behalf of Kosovo. Despite its professed objective of capacity of a country depends not only on the supply of
helping countries integrate the EU, a certain number R&D but also on the countrys ability to absorb and
of trade barriers remain today. In construction, there diffuse technology, combined with demand for its
are limitations on cross-border supplies and on the generation and utilization (Radosevic, 2004). Aggregating
acceptance of foreign licenses. In land transport, trade these four dimensions gives the national innovation
is limited by heavy regulations, market protectionism capacity (NIC) index. According to Kutlaca and Radosevic
and the presence of state-owned monopolies. Most (2011):
restricted of all is the legal sector, where the only services
Slovenia emerges as the clear regional leader. It is the only
open to non-nationals are advisory services. By contrast,
Southeast European economy which ranks around the
information technology (IT) services are only lightly
EU average for the majority of NIC indicators. Slovenia is
regulated, with trade in this sector depending largely on
followed by Hungary, Croatia, Bulgaria and Greece. These
other factors, such as demand for such services and the
countries are above the Southeast European average. The
level of intellectual property protection. Of note is that
national innovation capacities of Serbia, Romania, the FYR
the barriers and regulations differ from one country to
of Macedonia and Turkey are least developed. If data were
another. This means that CEFTA countries with restricted
available for Bosnia and Herzegovina and for Albania, we
trade in services can learn from their neighbours with
suspect that these economies would belong to the lower
more open systems how to liberalize these services.
segment of Southeast European countries.

Since 2009, Parties to CEFTA have been systematically

Slovenia could serve as a model for other Southeast European
identifying barriers to trade and proposing solutions,
countries where universities still favour teaching over
including via the development of a database to help
research and the structure of R&D systems remains oriented
pinpoint the correlation between barriers to market
more towards scientific authorship than co-operation with
access and trade volume.
industry and the development of new technologies.

3. This designation is without prejudice to positions on status and is in line

The big challenge for Southeast European countries will
with United Nations Security Council Resolution 1244 and the International be to integrate their R&D system into the economy. The
Criminal Court Opinion on the Kosovo Declaration of Independence made in Western Balkans Regional Research and Development Strategy
February 2008.

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 Southeast Europe

for Innovation should serve as a framework for collective 2020 Strategy, the SEE strategy has been designed to favour
reforms, in order to promote the Western Balkans most regional co-operation, accelerate harmonization with the EUs
urgent priority of nurturing innovation, economic growth regulatory framework and support the accession process.

Chapter 10
and prosperity (Box 10.1). The strategy stresses the distance
still to travel. The Western Balkans economic and political The SEE 2020 Strategys main targets are to more than double
transition in the 1990s had serious, often negative consequences regional trade turnover from 94billion to 210 billion,
for the regions research and innovation sectors. With economic raise the regions GDP per capita from 36% to 44% of the EU
reforms dominating the policy agenda, science, technology average, reduce the regions trade deficit from 15.7% (on
and innovation policies became a secondary priority, research average between 2008 and 2010) to 12.3% of GDP
capacity deteriorated and links with the productive sector and open up the region to 1 million new jobs, including
disappeared (RCC, 2013). 300000 jobs for the highly qualified.

Towards smart specialization The SEE 2020 Strategy was adopted in Sarajevo on
The goal of the South East Europe (SEE) 2020 Strategy: Jobs 21 February 2013, at the Ministerial Conference of the South
and Prosperity in a European Perspective4 is to improve living East Europe Investment Committee. It had been under
conditions and bring competitiveness and development preparation by the Regional Cooperation Council since 2011,
back into focus. Inspired by its namesake, the EUs Europe in collaboration with national administrations, within
a project funded by the EU.
4. See: www.rcc.int/pages/62/south-east-europe-2020-strategy

Box 10.1: The Western Balkans first innovation strategy

The first Western Balkans Regional n A research excellence fund to promote The strategy was developed between
Research and Development Strategy for collaboration between local scientists December 2011 and October 2013
Innovation was endorsed in Zagreb, and the scientific diaspora, along with within an EU project, in collaboration
Croatia, on 25 October 2013 by the further integration of young scientists with UNESCO and the World Bank.
ministers of science from Albania, in the European Research Area; The project was co-ordinated jointly
Bosnia and Herzegovina, Croatia, by the Regional Cooperation Council,
Kosovo, FYR Macedonia, Montenegro n A programme to encourage the European Commission and government
and Serbia. development of networks of officials from the aforementioned
excellence in areas consistent with countries, who formed the Project
The proposed Action Plan for the smart specialization of the region Steering Committee.
Regional Co-operation complements, and the rationalization of resource
strengthens and builds upon use, focusing research on areas with The process was launched by the
national strategies, policies and greater economic impact; Joint Statement of Sarajevo, signed
programmes, while recognizing on 24 April 2009 by the ministers of
the different levels of development n A technology transfer programme science from the Western Balkans,
of research systems and their for public research organizations, to the EU Commissioner for Science and
contribution to development. The facilitate their collaboration with industry, Research and the Czech Republic
action plan proposes five regional including joint and contract research, Presidency of the European Council,
initiatives: technical assistance, training, technology under the auspices of the Secretary-
licensing and the creation of spin-offs General of the Regional Cooperation
n The Western Balkans Research from public research organizations; and Council.
and Innovation Strategy Exercise
(WISE) Facility provides regional n An early-stage start-up programme The European Commission and
technical assistance to support to provide pre-seed funding (proof of Regional Cooperation Council oversaw
the implementation of reforms in concept and prototype development) the implementation of the project,
Western Balkan countries, including and business incubation and mentoring which was financed through one of
via training. The WISE facility serves programmes to help bridge the valley the EUs Multi-beneficiary Instruments
as a platform for policy exchange, of death stage in bringing an idea to for Pre-accession Assistance (IPA).
public policy dialogue, capacity- the marketplace and help develop a
building and policy advocacy; pipeline for venture capital investors. Source: World Bank and RCC (2013)

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Box 10.2: Southeast Europe defines its energy future

Southeast Europes first Energy authorize the accession of Moldova and more and better dialogue with our
Strategy was adopted by the Ukraine to the Energy Community, the neighbours. New market mechanisms
Ministerial Council in October 2012 geographical concept of the Western need to be introduced that will be
and covers the period to 2020. The Balkans, with which the process was appropriate to accommodate new
aim is to provide sustainable, secure initially linked, lost its raison dtre. Today, energy sources.
and affordable energy services. The the mission of the Energy Community
countries of the region adopted this has thus evolved into importing the EU One of the SEE 2020 Strategys key
Energy Strategy in order to implement energy policy into non-EU countries. targets is to develop and implement
energy market reforms and promote measures to increase efficient use of
regional integration, as signatories to Southeast Europes Energy Strategy to energy by achieving a minimum 9%
the Energy Community Treaty, which 2020 proposed a choice of three possible energy-saving target by 2018, in line
entered into force in July 2006. scenarii for future action: current trends, with its commitments to the Energy
minimal investment costs and a low Community, through the adoption of
As the European Commission put it in emissions/sustainability scenario which the Energy Services Directive in 2009.
a report to the European Parliament presumed that the region would progress A second target is to achieve a 20%
and Council (2011), The very existence on a sustainable development path. share of renewable energy in gross
of the Energy Community, only ten years energy consumption by 2020.
after the end of the Balkan conflict, is The SEE 2020 Strategy: Jobs and Prosperity
a success in itself, as it stands as the in a European Perspective sets the region These energy targets complement
first common institutional project on the EUs sustainable growth path those for the transport, environment
undertaken by the non-European Union by making sustainable growth one and competitiveness dimensions
countries of South East Europe. of the five pillars of the regions new of the sustainable growth pillar. For
development model (see below). It instance, rail and river transportation is
The Energy Community Secretariat has states that sustainable growth requires to be developed; the volume of annual
its seat in Vienna, Austria. The Parties sustainable and accessible transport forestation is to be increased, partly in
to the treaty establishing the Energy and energy infrastructure, a competitive order to provide a larger carbon sink;
Community are the European Union economic base and a resource efficient and countries are to be encouraged
plus eight Contracting Parties, namely: economy The need to reduce our carbon to create an enabling environment for
Albania, Bosnia and Herzegovina, footprint, while at the same time meeting private sector participation in financing
Kosovo, FYR Macedonia, Moldova, the increasing level of energy consumption, water infrastructure.
Montenegro, Serbia and Ukraine. With requires new technological solutions,
the decision, in December 2009, to modernization of the energy sector and Source: www.energy-community.org

The strategy is built around five interrelated pillars of the new R&D and innovation, Southeast European countries are advised
development model: to invest more and better in research and innovation, prioritizing
investment and a smart specialization of the region. This
n Integrated growth: through regional trade and investment implies advancing institutional and policy reforms and investing
linkages and policies; strategically in four areas:

n Smart growth: through education and competencies, R&D

n Improving research excellence and productivity by
and innovation, digital society, cultural and creative sectors;
investing in human capital for research; upgrading and
n Sustainable growth: energy (Box 10.2), transport, better using available infrastructure; improving the
environment, competitiveness; incentive regime for research performance; and advancing
the Bologna Process5 and further integration into the
n Inclusive growth: employment, health;
European Research Area;
n Governance for growth: effective public services,
n Facilitating scienceindustry collaboration and technology
anti-corruption, justice.
transfer by further aligning the regulation of intellectual
The reasoning behind the smart growth pillar is that innovation property management in public research organizations;
and a knowledge economy are the main drivers of growth and
job creation in the 21st century. To support the building block of 5. See the UNESCO Science Report 2010, p. 150

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 Southeast Europe

developing technology transfer organizations (such Adhering to Horizon 2020 to accelerate EU integration
as technology transfer offices), financial support for In July 2014, the remaining five non-EU countries in
scienceindustry collaboration and for the development Southeast Europe announced their decision to join the

Chapter 10
of proof of concept and building a closer, structural EUs Horizon 2020 programme, which succeeds the
relationship with the business community; EUs Seventh Framework Programme for Research and
Technological Development (20072013), in which they
n Promoting business innovation and innovative start-
also participated. The relevant association agreements,
ups by improving the business environment, providing
which apply retroactively from 1 January 2014, allow
mentoring systems from prototype and pre-seed to
entities from these five countries to compete for R&D
growth and expansion and guaranteeing a proper
funding under the Horizon 2020 programme.
supply of technology, science parks and incubation
services that can host and nurture young firms;
Meanwhile, all seven Southeast European countries are
n Strengthening the governance of national research developing bilateral scientific co-operation with their
and innovation policies, continuing capacity-building European neighbours and participating in a number
in key institutions, reforming career development to of multilateral frameworks, including the European
better reward research excellence, scienceindustry Cooperation in Science and Technology (COST)
collaboration and technology transfer; reforming programme, which fosters co-operative networking by
research institutes to improve performance; and funding researchers participation in conferences, short-
increasing the transparency, accountability and impact term scientific exchanges and the like. Another example is
evaluation of research and innovation policies. Eureka, a pan-European intergovernmental organization
which fosters market-driven industrial R&D through
The actions proposed within the smart growth pillar are a bottom-up approach that allows industry to decide
those defined by the Western Balkans Regional R&D Strategy which projects it wishes to develop. Southeast European
for Innovation. countries also participate in the North Atlantic Treaty
Organizations Science for Peace and Security programme
A need for better statistics and are members of various United Nations bodies,
With the exception of Croatia and Slovenia, there is a including the International Atomic Energy Agency.
lack of statistical data on R&D systems in Southeast
Europe and questions as to the quality of available data.
The collection of data on R&D in the business enterprise TRENDS IN R&D
sector is particularly problematic.
Still a long way to go towards competitive business
In October 2013, the UNESCO Institute for Statistics and Most Southeast European countries are faced with
UNESCOs Regional Office for Science and Culture in stagnating or falling investment in R&D. The exception is
Europe, which is based in Venice, put the final touches Slovenia, which almost doubled its R&D effort to 2.65%
to their strategy for helping the statistical systems of the of GDP between 2007 and 2013, despite being hit by
Western Balkans adopt EU standards in monitoring national recession (Figure 10.1).
trends in research and innovation by 2018.
Differences in gross domestic expenditure on research
The strategy proposes launching a regional project and development (GERD) become clearer when
which could be funded and implemented within the population size is taken into account (Figure 10.2).
Western Balkans Regional R&D Strategy for Innovation. The For example, in 2013, Slovenian investment per capita
project would provide opportunities for training and staff in R&D was 4.4 times that of Croatia and 24 times that of
exchanges, while fostering networking among statistical Bosnia and Herzegovina.
offices. It would also provide national data to help assess
the extent to which the Western Balkans Regional R&D In all but Slovenia, the government remains the main
Strategy for Innovation succeeds in boosting R&D activity source of funding (Figure 10.3). Increasingly, the academic
by 2020. sector is funding and performing R&D, while the business
sector continues to play a modest role. This confirms that
UNESCO proposes establishing a Regional Co-ordination countries are still in the process of restructuring their R&D
Mechanism in the area of STI statistics which could be systems to make them more innovative and competitive
hosted either by UNESCOs office in Venice or its antenna (Table 10.2). Even in Slovenia, the combination of
in Sarajevo and managed in close co-operation with the negative growth and an indebted public banking sector
UNESCO Institute for Statistics and Eurostat. has shaken investor confidence (Table 10.1 and page 291).

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Figure 10.1: GERD/GDP ratio in Southeast Europe, 20032013 (%)

3.0

2.5
Slovenia 2.59

2.0

1.5

1.25 Croatia 0.81

1.0 Greece 0.80
0.95 Serbia 0.73
0.80 FYR
0.55 Macedonia 0.47
0.5 0.52 Montenegro
Albania 0.15 0.38
0.22 Bosnia &
0.09 Herzegovina 0.33
0.0 0.02

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Figure 10.2: GERD per capita in Southeast Europe, 2013 (%)

800
742
700
600
500
US $ PPP

400
300
204
200 172
100 71
54 53 31 13
0
Slovenia Greece Croatia Serbia Montenegro FYR Bosnia & Albania
Macedonia Herzegovina (2008)
Source: UNESCO Institute for Statistics, August, 2015

Figure 10.3: GERD in Southeast Europe by source of funds, 2013 (%)

100
7.4 15.5 14.0 22.5 7.8 8.9
8.6 0.3
0.3 0.9 25.1 26.9
1.7 2.6
80 80.8 39.7 52.3
3.5 53.9
31.7
60 59.5 63.8

40 42.8 42.3

30.3
25.3
20

3.3 7.5 1.8

0
Albania Croatia Greece Montenegro Serbia Slovenia Bosnia &
(2008) Herzegovina

Business enterprise Government Higher Education Private-non profit Abroad

Note: The total for Bosnia & Herzegovina does not add up to 100%, as a further 19% has not been attributed. There are no recent data for FYR Macedonia.
Source: UNESCO Institute for Statistics, August 2015

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 Southeast Europe

A region still struggling with brain drain through its Brain Gain Programme in 20082009 by opening up
During the transition to a market economy, Southeast European 550 vacancies in higher education to international recruitment
countries suffered severe brain drain. Sluggish economic growth and committing state funds to this programme for the first time

Chapter 10
in recent years has not staunched the flow, even in Slovenia. All (Republic of Albania, 2009).
countries in the region rank poorly for their capacity to retain
and attract talent, according to the Global Competitiveness More graduates means a bigger research base
Report (WEF, 2014). Only three countries rank in the top 100 out The strong growth in the number of tertiary graduates over the
of 148 countries for their ability to retain talent: Albania, Greece period 20052012 has logically translated into a greater number
and Montenegro. Of these, Greece slips to 127th place for its of researchers (Figures 10.4 and 10.5). The majority of employment
capacity to attract talent, a consequence of the debt crisis the opportunities tend to be in academia. In Bosnia and Herzegovina
country has been experiencing6 since 2008 (Table 10.3). The and Slovenia, the surge in researchers has been spectacular but
Government of Albania made a concerted effort to attract talent this rise is above all a consequence of better statistical coverage
(Table 10.4). For Slovenia, the rise can be explained by a massive
6. Government debt represented 121% of GDP in 2008. In return for an emergency injection of R&D funding in recent years. In all but Croatia and
bail-out package from the European Central Bank which swelled Greeces total
debt burden to 164% of GDP in 2012, the government has been obliged to make Slovenia, demand for business sector R&D is low. In Albania and
drastic cuts in public expenditure. Bosnia and Herzegovina, it is almost non-existent (Figure 10.3).

Table 10.2: Global competitiveness in Southeast Europe, 20122014

Ranking out of 144 countries Stage* of development

2012 2013 2014 2014

FYR Macedonia 80 73 63 Efficiency-driven

Montenegro 72 67 67 Efficiency-driven

Slovenia 56 62 70 Innovation-driven

Croatia 81 75 77 Transition from efficiency-driven to innovation-driven

Greece 91 81 Innovation-driven

Bosnia & Herzegovina 88 87 Efficiency-driven

Albania 89 95 97 Efficiency-driven

Serbia 95 101 94 Efficiency-driven

*See the glossary on page 738 Source: WEF (2012, 2013, 2014) Global Competitiveness Reports. World Economic Forum

Table 10.3: Capacity of Southeast Europe to retain and attract talent, 2014

Countrys capacity to retain talent Countrys capacity to attract talent

Country Value Rank Country Value Rank
(148 countries) (148 countries)
Albania 3.1 93 Albania 2.9 96

Bosnia & Herzegovina 1.9 143 Bosnia & Herzegovina 1.9 140

Croatia 2.1 137 Croatia 1.8 141

Greece 3.0 96 Greece 2.3 127

FYR Macedonia 2.5 127 FYR Macedonia 2.2 134

Montenegro 3.3 81 Montenegro 2.9 97

Serbia 1.8 141 Serbia 1.6 143

Slovenia 2.9 109 Slovenia 2.5 120

Source: WEF (2014) Global Competitiveness Report 20142015; for Bosnia and Herzegovina: WEF (2013) Global Competitiveness Report 20132014

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Figure 10.4: Growth in number of tertiary graduates in Southeast Europe, 20052012

Selected countries
Percentage change %
247.5
Bosnia & 319.5
Herzegovina 152.0
160.5

58.7
61.4
Croatia 120.3
82.8

54.2
63.1 doctorate: total bachelors & masters: total
FYR Macedonia 97.8
doctorate: female bachelors & masters: female
97.8

39.9
61.7
Slovenia 58.8
49.7

39.0
66.7
Greece 58.8
65.4

38.9
71.4
Serbia
9.1
9.9

Note: For Bosnia & Herzegovina and Serbia, the period covered is 20072012 and for Greece, 20072011.
Source: UNESCO Institute for Statistics, April 2015

Figure 10.5: Number of researchers in Southeast Europe, 2008 and 2013

M 467
Albania 2008 F
207
M 745
2008
Bosnia & F
Herzegovina M 829
2013
F 302
M 6 697
2008
F 3 262
Croatia
2013 M 6 688
F 3 332
M 19 593
2008
F 6 213
Greece
M 24 674
2013
F 9 602
M 968
2008 527
F
FYR Macedonia
2013 M 1402
F 716
474
Montenegro 2013 M 198
F
9 978
2008 M
F 4 728
Serbia
M 11 802
2013
F 5 900
M 7 032
2008
F 2 326
Slovenia
M 8 884
2013
F 3 020
0 5 000 10 000 15 000 20 000 25 000
Source: UNESCO Institute for Statistics, April 2015

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 Southeast Europe

The share of women researches in Southeast Europe is much engineers are women. Slovenia stands out as being the only case
higher than the EU average. Within the region, all but Greece where women represent just one in five engineers. In medical
and Slovenia have maintained or attained gender parity sciences and the humanities, there even tend to be more women

Chapter 10
since 2005, or are on the verge of attaining it, as in the case of researchers than men (Table 10.5). This also happens to be the
Albania (Table 10.4). case for agriculture in Montenegro, Serbia and Slovenia, for
natural sciences in Montenegro, Serbia and the Former Yugoslav
A region where engineering dominates research Republic of Macedonia and for social sciences in Slovenia.
The majority of researchers tend to be engineers in Croatia,
Greece, Serbia and Slovenia. In the Former Yugoslav Republic Researchers tend to gravitate towards the government or
of Macedonia, most researchers work in engineering, followed higher education sectors in all but Slovenia, where industry
by medical sciences. Researchers in Montenegro tend to is the biggest employer (Figure 10.6). Given the current
be employed in medical sciences and those in Albania in problems with collecting data on industrial R&D, this picture
agriculture. It is interesting to note that about one in three may change somewhat once the statistics improve.

Table 10.4: Researchers in Southeast Europe (HC) per million inhabitants by gender, 2005 and 2012

Total
Per million Per million Women Women
population Total Total, Women, Women,
inhabitants inhabitants (%), (%),
(000s) 2005 2012 2005 2012
2005 2012 2005 2012
2012
Albania 3162 545-4 1 721-4 763-4 44.3-4

Bosnia &
3834 293 325+1 1 135 1 245+1 484+1 38.9+1
Herzegovina

Croatia 4 307 2 362 2 647 10 367 11 402 4619 5 440 44.6 47.7

Greece 11125 3 025 4 069-1 33 396 45 239-1 12 147 16 609-1 36.4 36.7

FYR Macedonia 2106 1 167 1 361+1 2 440 2 867+1 1 197 1 409+1 49.1 49.1+1

Montenegro 621 1 028 2 419-1 633 1 546-1 252 771-1 39.8 49.9-1

Serbia 9553 1 160 1 387 11 551 13 249 5 050 6577 43.7 49.6

Slovenia 2068 3 821 5969 7 664 12 362 2 659 4 426 34.8 35.8
+n/-n = data refer to n years before or after reference year
Source: UNESCO Institute for Statistics, April 2015

Table 10.5: Researchers in Southeast Europe (HC) by field and gender, 2012
Medical and health
Engineering and
Natural sciences

Social sciences
Women (%)

Women (%)

Women (%)

Women (%)

Women (%)

Women (%)
Humanities
Agriculture
technology

sciences

Albania, 2008 149 43.0 238 30.3 156 60.3 330 37.9 236 37.7 612 52.1
Bosnia &
206 43.7 504 29.6 31 58.1 178 42.7 245 54.7 68 19.1
Herzegovina, 2013
Croatia 1 772 49.7 3 505 34.9 2 387 56.1 803 45.8 1 789 55.6 1 146 55.4
Greece, 2011 6 775 30.7 15 602 29.5 9 602 43.0 2 362 33.1 5 482 38.0 5 416 54.1
FYR Macedonia, 2011 567 46.4 438 65.1 103 49.5 322 50.0 413 64.2
Montenegro, 2011 104 56.7 335 37.0 441 58.5 66 54.5 291 46.0 309 51.8
Serbia 2 726 55.2 3 173 35.9 1 242 50.4 1 772 60.0 2 520 47.9 1 816 57.2
Slovenia 3 068 37.5 4 870 19.5 1 709 54.2 720 52.8 1 184 49.8 811 52.5

Source: UNESCO Institute for Statistics, April 2015

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UNESCO SCIENCE REPORT

Figure 10.6: Researchers (FTE) in Southeast Europe by sector of employment, 2013 (%)

Albania 58.0 42.0

Bosnia &
12.2 10.5 77.4
Herzegovina

Croatia 17.4 29.4 53.2

Greece 13.9 10.5 77.4

FYR Macedonia
15.4 24.9 59.7
(2011)
Montenegro
17.9 29.0 51.0 1.9
(2011)
Serbia
2.3 25.8 71.9
(2012)

Slovenia 53.6 21.0 25.3 0.2

Business enterprise Government Higher Education Private-non profit

Source: UNESCO Institute for Statistics, April 2015

Figure 10.7: USPTO patents granted to Southeast In terms of research output, there has been a marked
European countries, 20052008 and 20092012 improvement in Croatia and Slovenia in the number of patents
20052008 20092012
and in Slovenia for royalty payments since the UNESCO Science
Report 2010. Other countries have witnessed more modest
139 Greece 347
progress (Figure 10.7 and Table 10.6).

85 Slovenia 132
Most countries have a good publishing record, a sign of their
solid integration in the international scientific community.
74 Croatia 85
Again, Slovenia dominates with 33 times more publications
0 Serbia 26
per million inhabitants than Albania and more than twice as
many as Croatia. Of note is that output has climbed steeply in
20
FYR 18 all countries since 2005 (Figure 10.8). Serbia almost tripled its
Macedonia
output between 2005 and 2014, moving up from third to first
Bosnia & place in terms of sheer volume. There is a good balance in most
3 8
Herzegovina
countries between scientific fields, with engineering and the
0 Albania 1 physical sciences rivalling life sciences.

0 Montenegro 0

Table 10.6: Patents, publications and royalty payments in Southeast Europe, 20022010

Royalty payments and receipts Universityindustry research Patents granted by USPTO

(US$ per capita) collaboration 1 (low) 7 (high) per million inhabitants
2006 2009 2007 2010 20022013
Albania 2.39 6.39 1.70 2.20 0.3
Bosnia & Herzegovina 4.87 2.40 3.00 3.9
Croatia 50.02 55.25 3.60 3.40 45.9
Greece 52.4
FYR Macedonia 6.64 12.91 2.90 3.50 25.6
Serbia 28.27 3.10 3.50 2.8
Slovenia 85.62 159.19 3.80 4.20 135.1

Note: Data are unavailable for Greece and Montenegro.

Source: UNESCO Science Report 2010 and World Bank Knowledge for Development database, accessed October 2014

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 Slovenia
Croatia

Figure 10.8: Scientific publication trends Bosnia & Southeast Europe

Serbia
in Southeast Europe, 20052014 Herzegovina

Slovenia has by far the greatest publication density

Publications per million inhabitants in 2014 Montenegro
FYR
Macedonia
Slovenia 1 590

Chapter 10
Croatia 686 Albania

0.97 0.79
Serbia 503

Montenegro 307

FYR Macedonia 157

Average citation rate for Average citation rate for the other
Bosnia &
Herzegovina 84 Slovenia, 20082012; six Southeast European countries;
Albania 48 the OECD average is 1.08 the OECD average is 1.08

Output has grown rapidly in all countries since 2005

5 000 Serbia 4 764
4 000
Slovenia 3 301
3 000 Croatia 2 932
2 025
2 000 1 624
1 600
1 000
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
400
FYR Macedonia 330
300 Bosnia & Herz. 323

200 Montenegro 191

106 Albania 154
200 91
42
37
0

Most articles concern life sciences, physics and engineering

Totals by field, 20082014

Albania 46 2 80 24 8 33 115 31 140 1 2

13 9

Bosnia & Herz. 60 1 244 37 32 208 74 90 359 4 125 5

5
23
Croatia 775 259 2 992 1 842 230 1 816 1 612 896 3 830 95 2 074 63

FYR Macedonia 63 4 276 176 40 198 104 61 273 179 6

7

Montenegro 21 3 88 19 19 154 69 94 77 1 107 1

2

Serbia 885 237 2 837 2 140 677 3 596 1 001 1 694 3 895 45 3 067 45
72

Slovenia 577152 3 075 2 184 619 2 979 1 030 1 092 3 070 106 3 042 64
107

Agriculture Astronomy Biological sciences Chemistry Computer science Engineering

Geosciences Mathematics Medical sciences Other life sciences Physics Psychology Social sciences
Note: Totals exclude unclassified articles.

The main collaborators are in Europe and the USA

Main foreign partners,20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Albania Italy (144) Germany (68) Greece (61) France (52) Serbia (46)
Bosnia & Herz. Serbia (555) Croatia (383) Slovenia (182) Germany (165) USA (141)
Croatia Germany (2 383) US A (2 349) Italy (1 900) UK (1 771) France (1 573)
FYR Macedonia Serbia (243) Germany (215) USA (204) Bulgaria (178) Italy (151)
Montenegro Serbia (411) Italy (92) Germany (91) France (86) Russia (81)
Serbia Germany (2 240) USA (2 149) Italy (1 892) UK (1 825) France (1 518)
Slovenia USA (2479) Germany (2 315) Italy (2 195) UK (1 889) France (1 666)
Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

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COUNTRY PROFILES and the Balkan region. New programmes and funds focus on
improving research infrastructure, expanding graduate and
postgraduate programmes and creating sustainable linkages
ALBANIA between academia and the private sector. This strategy
introduces competitive-based funding criteria (for projects
Business R&D is almost non-existent and grants) into the main policy instruments. The strategy also
Before the global financial crisis, Albania was one outlines specific targets for R&D, such as raising GERD to 0.6%
of the fastest-growing economies in Europe, enjoying annual of GDP by 2015, introducing innovation into 100 companies
real growth rates of 6% on average. After 2008, this rate halved and carrying foreign co-operation funding to 40% of GERD.
and macro-economic imbalances emerged, including rising Some 12% of GERD came from abroad in 2007 and 7% in 2008.
public debt (60% of GDP in 2012). Poverty levels, which had
halved to about 12.4% of the population between 2002 and Endowed with a budget of 10.31 million, the Business
2008, climbed back to 14.3%. Unemployment rose from 13.0% Innovation and Technology Strategy 20112016 is linked to
in 2008 to 16.0% in 2013 and even 26.9% for youth. Economic the National Strategy for Science, Technology and Innovation
growth dipped to 1.3% in 2013, reflecting the deteriorating 20092015. It introduces support measures for reaching the
situation in the Eurozone and difficulties in the energy sector. targets described in the preceding paragraph. Some
The World Bank forecasts that Albanias economy will grow by 4.8 million has been set aside for an Innovation Fund
2.1% in 2014 and 3.3% in 2015. which awards grants to small and medium-sized enterprises
(SMEs) for product development and process improvement
According to the latest Erawatch report on Albania (2013), through technology adoption, among other types of support.
which cites the Ministry of Finance, foreign direct investment This strategy is to be mainly funded by foreign donors,
(FDI) flows into the country tripled between 2006 and 2012, with 76.5% expected to come from the EU and other donors
from about 250 million to 900 million. Despite this, FDI ( 7 893 million). SMEs will receive assistance in adopting new
was estimated at 7.7% of GDP in 2011, about 1.2% lower information and communication technologies (ICTs), which the
than in 2010. The presence of multinational companies in the strategy considers as being a major driver of modernization
Albanian economy is boosting revenue considerably. Foreign and innovation.
investors are obviously attracted by the lower production
costs and potentially higher profit margins than in a more The Business Innovation and Technology Strategy was launched
developed economy. However, the rapid growth of FDI in 2010 by the Ministry of the Economy, Trade and Energy.
inflows to the country is also attributable to the improved It complements the ministrys Strategic Programme for
business environment and the opportunities created by the Innovation and Technological Development of SMEs for 2011
privatization of state enterprises. FDI tends to be concentrated 2016, which was approved in February 2011. The programme
in low technology areas of manufacturing and services. is supported by a EuropeAid project, as it is recognized that
Albanian firms have a weak technological capacity to upgrade
Albania devoted 0.15% of GDP to GERD in 2008, just 3.3% of by absorbing existing advanced technologies.
which came from the business enterprise sector. The National
Strategy for Science, Technology and Innovation 20092015 states The Business Innovation and Technology Strategy and its
that GERD was close to 15 million in 2009, which corresponds Action Plan are being implemented by the Business Relay and
to less than 0.2% of GDP. The strategy foresees total cumulative Innovation Centre, which is hosted by the Albanian Investment
funding for research over 20092015 of 151.95 million, nearly Development Agency7 and has been operational since June
half of which will go to the academic sector ( 69.45 million). 2011. The four main thrusts of this strategy for 20112016 are
The only programme funding research per se is that managed the: Innovation Fund; Business Innovation Services; Business
by the Ministry of Education and Science ( 30 million). Some Incubator Programme; and Albanian Cluster Programme.
3.3million will be used to equip laboratories through the
World Bank Research Infrastructure project and a similar A need for a more targeted approach to business
amount will finance the running costs of the Agency for innovation
Research, Technology and Innovation ( 3.25 million). It is a pity that Albania is not taking a more targeted approach
to business innovation and technological development,
The National Strategy for Science, Technology and Innovation which is only implied in the National Strategy for Science,
20092015 is Albanias main strategy for research and Technology and Innovation 20092015. Albanias innovation
innovation. It was adopted in July 2009 after being developed system also faces a number of structural challenges: a lack
by the Ministry of the Economy, Trade and Energy, in of reliable and comparable statistics on R&D and innovation;
response to a UNESCO assessment of Albanias strengths and
weaknesses and, in particular, its lagging position in Europe 7. See: http://aida.gov.al/?page_id=364

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limited co-operation between the public and private sectors; The latest available data for the Federation of Bosnia
delays and inefficiencies in implementing strategies and and Herzegovina show that civil engineering, mechanical
programmes; and persistent weaknesses in human resources engineering and electrical engineering received a slightly

Chapter 10
development. The 2013 Erawatch report on Albania observes higher priority in its cantons of Sarajevo, Tuzla and
that weaknesses in human resources development are ZenicaDoboj than in the countrys other entities in 2010
exacerbated by the slow growth in brain circulation and the (Jahi, 2011).
training of new researchers and PhD-holders in S&T fields.
As for the data published by the Bureau of Statistics of the
In June 2013, Albania adopted its second National Strategy for Republic of Srpsk, these indicate a budget of 13.4 million for
Development and Integration 20132020, the purpose of which R&D in 2011, corresponding to 0.3% of the entitys GDP. This
is to move Albania closer to EU integration. This strategy breaks down into the following priority economic sectors:
defines new priority sectors for research which are deemed
n exploration and exploitation of the Earth (25%);
important for meeting societal challenges and for stimulating
growth and productivity to absorb high unemployment. n general advancement of knowledge (23%);

n environment (10%);
These sectors are:
n agriculture (9%);
n ICTs;
n industrial production and technology (9%);
n agriculture (veterinary, zoo-technical), food and
biotechnology; n culture, recreation, religion and mass media (5%).

n social sciences and Albanology;

A multiplicity of strategies and conflicting targets
n biodiversity and environment; Since 2009, Bosnia and Herzegovina has adopted no fewer
than three strategies for STI: a national strategy and two state-
n water and energy;
level strategies. These propose conflicting targets.
n health; and
Adopted in 2009, the Strategy for the Development of Science in
n materials science.
Bosnia and Herzegovina 20102015 fixes the ambitious target
of increasing GERD to 1% of GDP by 2015. This growth is
predicated on forecast economic growth of 5% per year
BOSNIA AND HERZEGOVINA by 2015. The government estimates that such growth would
be sufficient to pay the salaries of 3 000 researchers and
Low R&D spending even before the 4500 other research personnel in Bosnia and Herzegovina
recession (Council of Ministers, 2009). This strategy also envisages that
Bosnia and Herzegovina is composed of three individual the business enterprise sector will contribute one-third of
entities: the Federation of Bosnia and Herzegovina, the GERD by 2015. This sector performed about 59% of GERD in
Republic of Srpska and Brko District. The state-level Ministry 2013 but financed only about 2% although the destination
of Civil Affairs co-ordinates science policy and international of 19% of GERD was unspecified in the governments reply to
co-operation through its Department of Science and Culture. the UNESCO Institute for Statistics survey.
The co-ordination of SME policies at state level is done by
the Ministry of Foreign Trade and Economic Relations but After the disintegration of Yugoslavia in the 1990s, the
the countrys complex constitutional structure means that young republic had a high ratio of business to government
responsibility for policy implementation and funding is funding of R&D of 2:1 or even 3:1. The strategy adopted by
devolved to each individual entity. the Federation of Bosnia and Herzegovina in 2011 envisages
returning to this ratio. It also fixes a target of raising GERD to
When R&D data were first collected in 2003, they did not 1% of GDP by 2013 and to 2% by 2017.
cover the entire country. The first national figures appear
in the latest survey by the UNESCO Institute for Statistics; As for the Republic of Srpska, its strategy for STI (2012)
they show that GERD progressed from 0.27% to 0.33% of envisages raising GERD from 0.25% GDP in 2010 to a
GDP between 2012 and 2013, or from PPP$ 97.0 million to minimum of 0.5% of GDP by 2016 and to 1% by 2020, in line
PPP$ 120.5 million. These data come against a backdrop with its Europe 2020 strategic goals (Republic of Srpska, 2012).
of negative economic growth in 2012 and a rise in This strategy optimistically envisages that business spending
unemployment from 24% to 29% of the adult population on R&D will represent 60% of the entitys GERD by 2016 (0.3%
between 2008 and 2013 (Table 10.1). of GDP).

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UNESCO SCIENCE REPORT

According to Jahi (2011), the most important structural Unemployment remains one of the highest in Europe,
challenges facing Bosnia and Herzegovina are to: however, at 17.7% in late 2013 and even over 40% for youth.
Public debt is estimated to have risen above 64% of GDP in
n harmonize the long-term goals of STI strategies at national 2013 and external debt will likely be close to 103% of GDP,
and entity levels and to balance public and private sector according to the World Bank.
R&D;
There is one economic sector which has weathered the
n foster domestic demand for R&D;
storm of the past few years. Croatias natural beauty draws
n increase collaboration with the business sector; in millions of tourists each year, earning revenue which
represents about 15% of GDP. Croatia remains one of
n facilitate knowledge and technology transfer;
Europes ecological treasures, with 47% of its land and 39% of
n transform the role of predominantly teaching-oriented its marine area designated as specially protected areas.
universities into the main performers of research.
Despite the recession, GERD ratio dipped only slightly between
A desire to increase R&D spending 2009 and 2013, from 0.84% to 0.81% of GDP. An analysis of
The priorities for developing the national innovation system longer term trends reveals that Croatias GERD has dropped since
in the next five years have been identified as being to: 2004, when it represented 1.05% of GDP.

n stimulate scientific excellence and enable the transfer of Just over one-third of GERD came from the business
knowledge and results of scientific discoveries to industry enterprise sector in 2013 (42.8%) and as much as 15.5% from
and business (Council of Ministers, 2009); abroad. This means that Croatia has some way to go before
it achieves the target ensconced in the national Science and
n strengthen co-operation with the EU to fund scientific
Technology Policy 20062010 of devoting 1% of the public
research, together with funds allocated Ministry of Civil
purse to R&D. Nor is the situation likely to improve in the near
Affairs budget for co-financing of international projects
future, as the government has decided to trim the budget
(Council of Ministers, 2009);
for the Ministry of Science, Education and Sports from 9.69%
n enhance the commercialization of research results and the of the state budget in 2012 to 8.75% in 2015, according to
competitiveness of products and processes by adopting the 2012 Erawatch report on Croatia. In fact, two-thirds of
policies and funding that support industrial R&D (Republic government budget outlays for R&D are used to pay the
of Srpska, 2012); salaries of researchers in public institutions and universities.
The remaining resources fund research project grants,
n enhance the role of intermediaries to facilitate industrial
equipment and so on. Only about 5.7% of the budget outlay
research and raise the share of business spending on R&D
is allocated to competitive research grants and a further 1.4%
(Government of RS, 2012);
to technological projects.
n adhere to the 2006 UNESCO Guidelines for a Science and
Research Policy in Bosnia and Herzegovina (Papon and The Ministry of Science, Education and Sports is the main
Pejovnik, 2006) and gradually increase GERD to 2% of GDP funding body but four other mechanisms also contribute
by 2020 (Federation of Bosnia and Herzegovina, 2011). research funding (EU, 2013):

n the Croatian Science Foundation, which was established in

2001 to foster scientific excellence;
CROATIA
n the Business Innovation Agency of Croatia (BICRO), which
EU funds should be a boon for Croatian R&D supports technology transfer from academia to industry
Croatia is a relative newcomer to the EU, having and the setting-up of start-ups and spin-off companies.
obtained membership on 1 July 2013. Before the global BICRO supports the implementation of various EU
financial crisis, the Croatian economy was growing by 45% programmes in Croatia, including the Instrument for
annually. In 2009, it fell into recession (-7%) but has since Pre-Accession Assistance and the programme for the
recovered somewhat. The economy is expected to grow by Development of Knowledge-based Enterprises (RAZUM).
0.5% in 2014 and Croatias prospects for 2015 are viewed with In May 2010, BICRO launched the Croatian segment of
optimism, as exports and investment are projected to pick the EUs Proof of Concept programme, which ensures
up in the Eurozone. The privatization of large state-owned pre-commercial funding for technical and commercial
enterprises and the availability of EU funds, which represent testing of innovative concepts. The Croatian Institute of
about 2% of GDP in net terms, should also help Croatias Technology was merged with BICRO in February 2012
growth prospects in the medium term. to ensure that EU structural instruments in the areas

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 Southeast Europe

of research, development and innovation are invested on Smart Specialization, which is designed to support
effectively. innovation and business competitiveness. Such a strategy
is a prerequisite for securing support for infrastructure

Chapter 10
n the Unity through Knowledge Fund, which supports
development from the European Regional Development
co-operation between local researchers and the diaspora,
Fund, one of the EUs structural funds. The Ministry of
as well as between the public and private sectors via a
Regional Development and European Funds is expected
Research in Industry and Academia grant scheme set
to play a greater role once the first European Regional
up in 2007;
Development Funds become available.
n the Science and Innovation Investment Fund, which was
set up in 2009 to foster technology transfer and academic According to the Innovation Union Scoreboard (EU, 2014)8,
entrepreneurship via the commercialization of universities Croatia is a moderate innovator which performs below
research results. the EU average. This group of countries includes Poland,
Slovakia and Spain. The priority areas defined by the
Croatia also has two non-funding agencies: the Agency for Science and Technology Policy 20062010 were all related to
Science and Higher Education, which is responsible for setting innovation: biotechnologies, new synthetic materials and
up a national network for quality assurance; and the Croatian nanotechnologies. However, business expenditure on R&D
Agency for Mobility and the EU Programme, which organizes has stagnated at 0.36% of GDP in 2008 and 0.35% in 2013,
programmes in lifelong learning and mobility in the EU. even though this sector performed50.1% of R&D in 2013.

The Ministry of Entrepreneurship and Crafts and the Ministry Croatia has a very generous system of tax breaks for R&D
of the Economy complement the Ministry of Science, compared to countries of the Organisation for Economic
Education and Sports when it comes to funding innovation- Cooperation and Development (OECD), corresponding to a
based entrepreneurship and business infrastructure. subsidy of about 35 cents for every dollar spent on R&D. In
2012, Croatias ranking in the Innovation Union Scoreboard
A shift from project to programme financing receded slightly, however, after businesses suffered a drop
The most important change in Croatias national innovation in sales of innovative products they had recently put on the
system in recent years has been a shift from project to market.
programme financing. The Law on Science and Higher
Education provides the legal basis. Adopted by parliament in An environment that is not conducive to innovation
July 2013, it makes provision for a new model of programme Croatia tends to be more productive in scientific publishing
contracts between the Ministry of Science, Education and than in patenting, with a ratio of about 100 articles to every
Sports and research-performing organizations. The main registered patent. The higher education sector applied for
objective is to put an end to the current practice of funding 13 patents in 2010, which was around 23% of all patent
a large number of small scientific projects with a high applications for Croatia that year.
acceptance rate of more than 80% of proposed projects.
In addition, the law transfers responsibility for allocating Today, Croatia faces five main structural challenges:
competitive research grants from the ministry to the Croatian
Science Foundation, which has been charged with devising a n its R&D policy is obsolete and lacks vision, not to
new scheme for competitive projects and programmes based mention a coherent and integrated policy framework;
on the model of EU collaborative research (EU, 2013). the National Research and Innovation Strategy on Smart
Specialization due to be adopted in 2015 should go
The Second Science and Technology Project was launched in some way towards tackling this challenge;
2012 with an estimated budget of 24 million for 20122015.
n the business environment is not conducive to
This project sets out to improve the efficiency of public
innovation;
R&D institutions, bring BICRO and the Unity for Knowledge
programme in line with EU regulations and prepare n with the exception of a few big spenders, private
submissions to the EUs structural funds and cohesion funds. companies show little interest in R&D;

n reform of the research and higher education system has

No explicit policy for regional development
been sluggish so far; and
No explicit regional research policy currently exists in
Croatia, mainly due to insufficient resources which prevent n the regional research and innovation system remains
counties and municipalities from taking a more active part weak.
in developing institutional capacity. Croatia is nearing
completion of its National Research and Innovation Strategy 8. See also the glossary on page 738

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Box 10.3: A first incubator in Croatia for bioscience start-ups

The Incubation Centre for Bioscience of spin-off companies from research The University of Zagreb is one of three
and Technology Commercialisation done by public institutions and universities which serve as technology
(BIOCentar) is the first centre of its kind universities. The centre will provide small transfer offices in Croatia, the others
in Croatia and the wider region. It is and medium-sized enterprises in the field being the University of Split and the
due to open its doors in 2015 on the of bioscience and biotechnology with University of Rijeka. The technology
campus of the University of Zagreb. the infrastructure and services they need transfer office at the University of Rijeka
The centre will cover about 4500 m2 to develop their business. has recently grown into a fully fledged
for a cost of about HRK 140 million Science and Technology Park.
(circa US$ 23 million). BIOCentar is Croatias first major
infrastructural project and a greenfield
Once operational, the incubator will investment financed though the EUs
support the creation and development Instrument for Pre-Accession Assistance. Source: EU (2013)

The National Strategy for the Development of Croatian Innovation The country was granted EU candidate status in 2005 and has
20142020 has been prepared by local experts in co-operation been in a high level accession dialogue with the European
with the OECD. It defines the five strategic pillars for the future Commission since March 2012. It is one of the poorest
development of Croatias innovation system and some 40 countries in Europe, with annual GDP per capita of
guidelines for their implementation: 3 640, just 14% of the EU27 average. Unemployment peaked
at 31.4% in 2011 and was still extremely high in the first
n enhancement of business innovation potential and quarter of 2014, at 28.4% according to the State Statistical
the creation of a regulatory environment supportive of Office.
innovation;
GERD is modest but the countrys R&D effort has grown in
n greater knowledge flows and interaction between industry
recent years, from 0.22% of GDP in 2011 to 0.47% in 2013,
and academia;
according to the UNESCO Institute for Statistics. The public
n a strong S&T base and more efficient technology transfer sector funds about two-thirds of R&D, according to Erawatch,
among research institutions; see also Box 10.3; which has also observed that private R&D funding dropped
from 3.32 million to 2.77 million between 2009 and 2010,
n the development of human resources for innovation;
representing a contraction of 18.0% of GERD; in 2010, funds
n better governance of the national innovation system. from abroad covered 16.7% of total R&D spending.

In December 2012, the Ministry of Science, Education and According to the EUs Innovation Union Scoreboard of 2014,
Sports adopted a Science and Society Action Plan. It proposes the Former Yugoslav Republic of Macedonia is a modest
equalizing the gender ratio for researchers in management innovator, well below the EU average. This places it on a par
structures in particular, with a minimum of one woman with the likes of Bulgaria, Latvia and Romania. The countrys
to every three men on national councils, key committees, innovation performance did improve, however, between
scientific and political bodies, etc. (EU, 2013). 2006 and 2013.

The structural challenges facing the Macedonian research

system are as follows:
FORMER YUGOSLAV REPUBLIC
OF MACEDONIA n inefficient governance of the innovation system;

n a lack of quality human resources for R&D;

A need for better governance of innovation
The Former Yugoslav Republic of Macedonia n weak scienceindustry linkages;
has not weathered the economic crisis too badly. Initial
n a low capacity for innovation among firms; and
sluggish growth is now being driven by construction and
exports, with projected growth of 3% in 2014 and 2015. n a non-existent national roadmap for building quality
Public debt also remains moderate, at 36% of GDP in 2013. research infrastructure.

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A strategy to boost research and innovation MONTENEGRO

The government has opted for a strategy of boosting R&D
through tax incentives and subsidies. The tax incentives

Chapter 10
Greater spending on R&D but little impact
were introduced in 2008 by Scientific Subsidies and on business
followed, in 2012, by Creative Subsidies. There is no The global economic crisis exposed some pre-existing
evidence of the level of funds involved, however, or the fissures in the foundations of Montenegros economy which
impact of these measures on R&D. made it more vulnerable than anticipated to recession,
with a contraction of 5.7% of GDP in 2009. Economic
In 2012, the government adopted the countrys Innovation growth averaged 2.9% in 2010 and 2011 before slowing
Strategy for 20122020, which had been prepared by the significantly in 2012, due to a sluggish use of credit, adverse
Ministry of the Economy. The same year, the Ministry of weather conditions which reduced energy production,
Education and Science prepared and adopted the National the bankruptcy of a major steel mill company (Niki)
Strategy for Scientific R&D Activities 2020 and the National and a decline in production at a loss-making aluminium
Programme for Scientific R&D Activities 20122016. Both plant (KAP). In 2013, the economy returned to growth and
strategies clearly define national research priorities and inflation fell from 3.6% the previous year to 2.1%. Growth is
propose an action plan for their implementation. Whereas expected to rise to around 3.2% from 20142016, supported
the former takes a horizontal approach to fostering by FDI in tourism and energy, as well as public investment.
business innovation, including by proposing a more
amenable regulatory environment, the national strategy In 2013, GERD represented 0.38% of GDP, a significant
and programme are more citizen-centric. increase over previous years despite a highly restrictive
budgetary policy. One of the main reasons for this
Plans to raise R&D spending and develop increase is the implementation of a 5 million call in 2012
a low carbon society for scientific and research projects covering the period
The primary goal of both the National Strategy for Scientific 20122014. The call was announced by the Ministry of
R&D Activities 2020 and the National Programme for Science, in co-operation with the Ministries of Agriculture
Scientific R&D Activities is to create a knowledge society by and Rural Development, Health, Information Society and
raising GERD to 1.0% of GDP by 2016 and 1.8% of GDP by Telecommunications, Sustainable Development and
2020, with a 50% participation from the private sector. The Tourism, Education and Sport, and Culture. Some 104
National Strategy defines general thematic priorities which projects were selected out of 198 proposals.
are mainly influenced by Europes 2020 agenda. These
same thematic priorities are defined more precisely by the The business sector funds four-tenths of R&D
National Programme for Scientific R&D Activities: As of 2013, the business enterprise sector funded 42%
of GERD in Montenegro and three sectors concentrated
n The development of an open society and competitive the majority of R&D companies: agriculture, energy and
economy via support for socio-economic development, transportation. These three sectors accounted for 22% of
economic policies, structural reforms, education, GERD in 2011. More than a third of GERD comes from the
research, the information society and the overall public purse (35.2% in 2013) and a further 23% from abroad,
development of the national innovation system; mainly from the EU and other international bodies.
n The development of a low carbon society through
energy efficiency, renewable energy sources, In May 2012, Montenegro became a member of the
sustainable transport and the use of clean technologies; World Trade Organization as a consequence of the
governments commitment to opening the country to
n Sustainable development, including sustainable regional and international trade. In October 2011, the
management of natural resources, quality of air, water European Commission recommended opening accession
and land; negotiations with Montenegro, which were officially
n Security and crisis management; and initiated on 29 June 2012.

n Socio-economic and cultural development. A number of policy documents9 have identified the main
challenges facing the Montenegrin innovation system:

9. Including government documents such as Montenegro in the 21st Century:

In the Era of Competitiveness (2010). National Development Plan (2013) and the
Strategy for Employment and Human Resource Development 20122015, as well as
external reviews by the OECD and World Bank and the Erawatch Country Report
for Montenegro (2011).

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n a small number of researchers; ongoing fragile situation in the domestic financial sector.
More robust growth rates of around 23% are forecast over
n inadequate research infrastructure;
the medium term.
n a low level of scientific output;
Persistently high unemployment rates (22.2% in 2013 overall
n little mobility among researchers;
and about 50% for 1524 year olds) and stagnant household
n insufficient commercialization of research and incomes are ongoing political and economic headaches for
collaboration with the business sector; and the government. In June 2013, it revised the budget by raising
the 2013 government deficit target from 3.6% to 5.2% of GDP.
n a low level of company R&D expenditure and little
At the same time, the government adopted a programme of
application of research results in the economy.
public sector reform, including an action plan for completing
restructuring by the end of 2014, including the privatization of
A project devoted to strengthening higher education
502 state companies. Exports were the only driver of growth in
and research
2012, boosted by 13.5% thanks to the opening of an assembly
In late 2012, the government adopted a new version of its
line in the second half of 2012 by Italian car-maker Fiat.
Strategy for Scientific Research Activity for 20122016. The
strategy defines three strategic goals:
In 2013, Serbias R&D effort amounted to 0.73% of GDP.
The business enterprise sector contributed just 8% of the
n Develop the scientific research community;
total, leaving the funding burden to be borne essentially
n Strengthen multilateral, regional and bilateral co-operation; by the government (60%) and higher education (25%)
sectors. Foreign sources contributed 8% of GERD and private
n Foster co-operation between the scientific research
non-profit organizations virtually none of it. Non-profit
community and the business sector.
organizations are the only category which benefits from a tax
The Higher Education and Research for Innovation and incentive for R&D in Serbia; they are exempted from paying
Competitiveness (HERIC) project should help to attain these tax on R&D services they provide to clients under non-profit
goals. The aim of this project is to strengthen the quality and contracts.
relevance of higher education and research in Montenegro.
The project is being implemented from May 2012 to March According to the Innovation Union Scoreboard
2017 with 12 million in funding from a World Bank loan. (EU, 2014), Serbia is a moderate innovator, like Croatia.
There are four components: reform of higher education Serbias innovation performance has improved, however,
finance and the introduction of quality assurance norms; since 2010, according to this scoreboard, thanks to greater
human capital development through the internationalization collaboration among SMEs and the efforts of various
of training and research; establishment of a competitive categories of innovator. Serbia performs very well in terms
research environment and, lastly; a component on project of youth education at the upper secondary level and
management, monitoring and evaluation. employment opportunities in knowledge-intensive sectors.
It also rates well for non-R&D innovation expenditure. It is
One of the first initiatives taken by the Ministry of Science and relatively weak, on the other hand, in community design,
the Ministry of Education to kick-start the HERIC project has community trademarks (despite strong growth) and
been the establishment of the first pilot centre of excellence business R&D expenditure. There has been strong growth in
in late 2012. The Ministry of Science is also setting up the public R&D expenditure but this is countered by a decline in
countrys first science and technology park by 2015. The plan is exports of knowledge-intensive services and in the number
for this park to comprise three units in Niki, Bar and Pljevlja, of non-EU PhD students in Serbia.
with the core centre in Podgorica co-ordinating the network.
The key structural challenges facing Serbias national
innovation system today are:
SERBIA
n an absence of co-ordinated governance and funding;
A better performance in innovation
n a linear understanding on the part of government of
Serbia is slowly recovering from the global
the innovation process, resulting in a highly fragmented
financial crisis. After a 3.5% contraction of GDP in 2009, the
innovation system; this is the main obstacle to networking
economy has managed to maintain positive growth since
the R&D sector with the rest of economy and society at
2011. For the first time in years, GDP grew by 2.5% in 2013
large;
but should shrink to just 1% in 2014, reflecting the impact
of fiscal tightening, a lower inflow of investment and the n persistent brain drain of highly educated individuals;

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n an innovation system which is insufficiently attractive to Programme for Co-funding of Integrated and Interdisciplinary
private investment; the government needs to restructure Research for the Research Cycle, which emphasizes the
the public R&D system and integrate the private sector commercialization of research results.

Chapter 10
into the national innovation system;
Another priority of the Strategy has been the creation of a
n lack of a culture of technological entrepreneurship in
national innovation fund to increase the monetary value of
universities and the government sector;
grants awarded to selected innovation projects. The fund is
n the absence of an evaluation culture; and endowed with an initial treasury of 8.4 million through the
Innovation Serbia Project, which is financed by the EU pre-
n a system which favours the supply side of R&D over the
accession funds allocated to Serbia in 2011 and implemented
demand side.
through the World Bank.
The 1% GERD/GDP ratio goal within reach
In February 2010, Serbia adopted its Strategy for the Scientific A second programme finances the modernization of research
and Technological Development of the Republic of Serbia 2010 facilities: the Programme for Providing and Maintaining
2015. The overriding goal of this policy is to devote 1% of GDP Scientific Research Equipment and Scientific Research
to GERD by 2015, not counting investment in infrastructure, Facilities for the Research Cycle 20112014.
a goal which is currently within reach but requires additional
effort. The strategy is guided by two basic principles:
focus and partnership. Focus is to be achieved by defining SLOVENIA
a list of national research priorities; partnership is to be
achieved through the strengthening of ties with institutions, Despite recession, Slovenias R&D effort
companies and other ministries to allow Serbia to validate its has soared
ideas in the global market and enable scientists to participate With excellent infrastructure, a well-educated labour force
in infrastructural and other projects in Serbia. and a strategic location between the Balkans and Western
Europe, Slovenia has one of the highest levels of GDP per
The strategy defines seven national R&D priorities, capita in Southeast Europe. On 1 January 2007, it became the
namely: biomedicine and human health; new materials first of the EU entrants of 2004 to adopt the euro. Slovenia has
and nanoscience; environmental protection and climate experienced one of the most stable political transitions to a
change mitigation; agriculture and food; energy and energy market economy in Central and Southeast Europe. In March
efficiency; ICTs; and better decision-making processes, as well 2004, it became the first transition country to graduate from
as the affirmation of the national identity. borrower status to donor partner status at the World Bank. In
2007, Slovenia was invited to begin the process for joining the
The Strategy for the Scientific and Technological Development of OECD, which admitted it as a member in 2012.
the Republic of Serbia launched the Serbian R&D Infrastructure
Investment Initiative in January 2011 with a budget of However, long-delayed privatizations, particularly within
420million, half of which comes from an EU loan. Its Slovenias largely state-owned and increasingly indebted
priorities are to: upgrade existing capacities (circa 70 million); banking sector, have fuelled investor concerns since
adapt existing buildings and laboratories; purchase new 2012 that the country might need financial assistance
capital equipment for research; develop centres of excellence from the EU and IMF. These woes have also affected
and academic research centres (circa 60 million); develop Slovenias competitiveness (Table 10.2). In 2013, the
supercomputing via the Blue Danube initiative, as well as European Commission granted Slovenia permission to
other ICT infrastructure ( 3080million); create a campus for begin recapitalizing ailing lenders and transferring their
the technical science faculties of the University of Belgrade; non-performing assets into a bad bank established to
build science and technology parks in Belgrade, Novi Sad, restore bank balance sheets. The strong demand among
Ni and Kragujevac (circa 30 million); and implement basic yield-seeking bond investors for Slovenian debt helped
infrastructure projects, such as the construction of apartment the government to keep financing itself independently on
buildings for researchers in Belgrade, Novi Sad, Ni and international markets in 2013. The government has embarked
Kragujevac (circa 80 million). on a programme of state asset sales to bolster investor
confidence in the economy, which was poised to contract
In 2012, basic sciences accounted for 35% of all research (by 1%) for the third year in a row in 2014.
done in Serbia, applied sciences for 42% and experimental
development for the remaining 23%, according to the Slovenia has managed the feat of raising GERD from 1.63%
UNESCO Institute for Statistics. The Strategy sets out to raise to 2.59% of GDP between 2008 and 2013, one of the highest
the ratio of applied sciences. This goal is supported by a new ratios in the EU. Obviously, the fragile state of the economy

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has facilitated this rise by keeping the GDP denominator low. to a second-generation R&D system based on an interactive
However, the dynamism of R&D in the business enterprise organizational model.
sector has also been a contributing factor; the number of
researchers employed by businesses rose by nearly 50% over Slovenias National Research and Development Programme
this period: from 3 058 to 4 664 (in FTE). By 2013, the business 20062010 had focused on increasing the quality of Slovenian
enterprise sector was contributing two-thirds (64%) of GERD science through competitive grants and an emphasis on
and foreign sources just under 9%. As a share of GDP, it has linking promotion to the number of articles an academic
almost tripled, from 0.09% of GDP in 2008 to 0.23% in 2013, published. This approach resulted in a significant increase
thanks largely to the influx of EU structural funds; these in the number of published articles. The priority research
have gone largely towards funding centres of excellence fields for 20062010 were: ICTs; advanced (new and
and competency centres, which are considered part of the emerging) synthetic metallic and non-metallic materials
business enterprise sector. The structural funds have also and nanotechnologies; complex systems and innovative
made it possible to raise the number of academic researchers technologies; technologies for a sustainable economy; and
from 1 795 to 2 201 (in FTE) over the same period. health and life sciences.

Slovenias Development Strategy for 20142020 defines R&D Current public funding disbursed via the Slovenian Research
and innovation as being one of three driving forces for the Agency focuses on scientific excellence per se and allows for
countrys development, the others being the creation and a significant degree of bottom-up initiative in the selection
growth of SMEs and, thirdly, employment, education and of specific priorities. The proportions of funding for the
training for all ages. Half of the funds allocated within the various scientific fields have remained unchanged over the
Development Strategy to 2020 will be used to foster: years; for example, in 2011, 30% went to engineering and
technology, 27% to natural sciences; 11.8% to the humanities
n a competitive economy with a highly educated labour and between 9.6% and 9.8% to each of biotechnology, social
force, internationalized economy and strong investment in sciences and medical sciences. Multidisciplinary projects and
R&D; programmes received 1.5% of all funds disbursed.

n knowledge and employment;

Slovenia commissioned an OECD Review of Innovation Policy
n a green living environment through the sustainable in Slovenia (2012) to inform the preparation of its own
management of water resources, renewable energy, research and innovation strategy to 2020. The review
forests and biodiversity; recommended that Slovenia address, inter alia, the following
issues:
n an inclusive society which provides intergenerational
support and high-quality health care.
n Maintain sustainable public finances, this being one of
Slovenia has also adopted a Smart Specialization Strategy for the most important prerequisites for dynamic public and
20142020 outlining how the country plans to use research private investment in innovation;
and innovation to foster the transition to a new model of
n Pursue efforts to reduce the administrative burden on
economic growth. The strategy includes an implementation
businesses, including start-ups;
plan for restructuring the Slovenian economy and society on
the basis of R&D and innovation with the support of the EU n Consider streamlining the current large array of
funds. The strategy represents Slovenias contribution to the technology funding programmes, as a smaller number of
smart pillar of the Western Balkans Regional R&D Strategy for large programmes will be more effective;
Innovation (Box 10.2).
n Develop and improve demand-side measures, such as
innovation-oriented public procurement;
Slovenia performs above the EU average for innovation
Slovenia is considered an innovation follower by the n Continue to foster the use of non-grant financial
Innovation Union Scoreboard (EU, 2014), which means instruments such as equity, mezzanine capital, credit
that it performs above the EU average. Other countries guarantees or loans;
in this category include Austria, Belgium, Estonia, France,
n Start a full-scale university reform, making autonomy
the Netherlands and the UK. This reflects the findings
firmly tied to accountability and performance the key
of an evaluation undertaken by the EU of measures
precept underlying reforms;
implemented by Slovenia between 2007 and 2013 to
promote innovation, which revealed that strong linkages n Alleviate or remove labour legislation and policies
had formed between the academic sphere and the economy. that impede mobility between universities and among
This confirms that Slovenia has shifted from a linear model universities, research institutions and industry;

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n Increase the number of researchers in industry, including CONCLUSION

by pursuing programmes which fund the transfer of young
researchers to firms; Research systems need to be more responsive to

Chapter 10
social and market demands
n Reduce explicit and implicit barriers to working in Slovenia
It is unlikely that any of the last five countries in Southeast
for highly qualified people from all over the world; and
Europe will become EU members before at least 2020, as
n Use EU structural funds, in particular, to pool resources in the EUs current priority is to consolidate the cohesion of
its centres of excellence so that these can form the core of its 28 existing members. It is generally admitted in Europe,
Slovenias future research excellence. however, that the EU membership of these five countries
is ultimately inevitable, in order to ensure political and
The Research and Innovation Strategy of Slovenia 20112020
economic stability across the region.
defines the current policy priorities as being to achieve:

All five countries should use this time to make their research
n a better integration of research and innovation;
systems more responsive to social and market demands.
n a contribution from publicly funded science and scientists They can learn a lot from Croatia and Slovenia, which are
to economic and social restructuring; now formally part of the European Research Area. Since
becoming an EU member in 2004, Slovenia has turned its
n closer co-operation between public research organizations
national innovation system into a driving socio-economic
and the business sector; and
force. Slovenia now devotes a greater share of GDP to GERD
n greater scientific excellence, partly by improving the than the likes of France, the Netherlands or the UK, thanks
competitiveness of stakeholders and partly by providing largely to the rise of the business enterprise sector, which
the necessary human and financial resources. today funds two-thirds of Slovenian R&D and employs the
majority of researchers. Slovenias economy remains fragile,
The government has raised the R&D tax subsidy considerably,
however, and it has chronic problems in attracting and
which represented 100% in 2012. The ceiling for tax credits
retaining talent.
for investment in R&D by private enterprises has been raised
to 150million to the end of 2013. In addition, the Slovenian
Having only been an EU member since 2013, Croatia is
Enterprise Fund offers credit guarantees.
still searching for the most effective configuration for its
own innovation system; it is currently striving to follow the
Since 2012, the government has launched a programme for the
best practices of the EU and incorporate its body of law
Formation of a Creative Nucleus ( 4million) and the Research
and institutional and empirical legacy into the national
Voucher Scheme ( 8 million), both co-financed by EU structural
innovation system.
funds. The first measure makes public and private research
institutions and universities in less developed parts of Slovenia
Like Croatia, Serbia is what the EU calls a moderate
eligible for 100% government funding for the development
innovator. These two countries are poles apart, however,
of human resources, research equipment, infrastructure and
when it comes to the weight of business R&D funding; this
the like, in order to foster the decentralization of research and
accounts for 43% of GERD in Croatia but only 8% in Serbia
higher education. The second measure introduces research
(in 2013). The Serbian governments biggest challenge will
vouchers to help enterprises commission research at R&D
be to overcome a linear understanding of the innovation
institutes and/or universities (both private and public) for a
process which has resulted in a highly fragmented
period of three years. With each research voucher being worth
innovation system; this fragmentation is the biggest
30 000100000, enterprises should be able to co-finance the
obstacle to networking the R&D sector with the rest of the
industrial research needed to develop new products, processes
economy and society at large.
or services.

Albania, Bosnia and Herzegovina, the Former Yugoslav

Republic of Macedonia and Montenegro are all faced
with structural adjustments and political and economic
challenges which tend to have relegated the reform of
their respective innovation systems to a lower priority. All
are suffering from sluggish economic growth, the ageing
of researchers, severe brain drain, a lack of private sector
R&D and a system which encourages academics to focus on
teaching rather than research or entrepreneurship.

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the innovation capacities of Central and East European Djuro Kutlaca (b. 1956: Zagreb, Croatia) has been a
Countries in the enlarged EU. Journal of Common Market research associate at Mihajlo Pupin Institute in Belgrade

Chapter 10
Studies, 42 (3): 641666 (Serbia) since 1981. He currently heads the Science and
Technology Policy Research Centre and is Full Professor
Republic of Albania (2009) National Strategy of Science, at Metropolitan University in Belgrade. Dr Kutlaca is a past
Technology and Innovation 20092015. See: http:// visiting researcher at the Fraunhofer Institut fr System-
unesdoc.unesco.org/images/0018/001871/187164e.pdf und Innovationsforschung in Germany (1987; 19911992)
and at the Science Policy Research Unit of the University
Republic of Montenegro (2012) Strategy for Scientific Research of Sussex in the UK (1996; 1997; 20012002).
Activity of Montenegro 20122016. See: www.gov.me.

Republic of Montenegro (2008) Strategy for Scientific

Research Activity of Montenegro 20082016.

Republic of Serbia (2010) Strategy of Scientific and Technology

Development of the Republic of Serbia 20102015. Ministry
of Science and Technological Development.

Republic of Slovenia (2013) Smart Specialisation Strategy 2014

2020. Ministry of Economic Development and Technology.
Background Information to Peer-Review Workshop for
National Strategy, 1516 May 2014, Portoro, Slovenia.

Republic of Srpska (2012) Strategy of Scientific and

Technological Development in the Republic of Srpska
20122016: www.herdata.org/public/Strategija_NTR_
RS-L.pdf.

UIS (2013) Final Report on Quality of Science, Technology and

Innovation Data in Western Balkan Countries: a Validated
Input for a Strategy to Move the STI Statistical Systems in
the Western Balkan Countries towards the EU: International
Standards, Outlining an Action Plan for Further Actions.
UNESCO Institute for Statistics: Montreal.

WEF (2014) The Global Competitiveness Report 20132014.

World Economic Forum. Printed and bound in Switzerland
by SRO-Kundig.

World Bank and RCC (2013) Western Balkans Regional

R&D Strategy for Innovation. World Bank and Regional
Cooperation Council.

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UNESCO SCIENCE REPORT
A few adjustments and the future looks
bright for the countries of the European
Free Trade Association.
Hans Peter Hertig

Bertrand Piccard waves after the first entirely solar-powered jet,

Solar Impulse, lands at Nanjing Lukou International Airport on
22 April 2015, on its landmark journey around the globe. A Swiss
psychiatrist and balloonist, Bertrand Piccard is the person who
initiated the Solar Impulse project.
Photo: ChinaFotoPress/Getty Images

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 European Free Trade Association
11 . European Free Trade Association
Iceland, Liechtenstein, Norway, Switzerland

Hans Peter Hertig

79% of Icelands but only 57% of Switzerlands own exports,

INTRODUCTION
according to the United Nations Comtrade3 database. When
A relatively quick recovery it comes to imports of European goods, however, Switzerland
The four countries which make up the European Free Trade takes the lead (73% in 2014), ahead of Norway (67%) and

Chapter 11
Association (EFTA) are among the wealthiest in the world. Iceland (64%). EFTA began diversifying its trading partners in
Liechtenstein has a strong banking sector and successful the 1990s and has since signed free trade agreements4 with
companies in machinery and the construction business. countries on every continent. Similarly global is the EFTA
Switzerland does very well in the services sector particularly countries engagement in the field of science and technology
in banking, insurance and tourism but also specializes in (S&T), albeit with a clear focus on Europe and the activities of
high-tech fields such as microtechnology, biotechnology and the European Commission.
pharmaceuticals. Norway has built up its wealth by exploiting
North Sea oil since the 1970s and Icelands economy is dominated Part of Europe but different
by the fishing industry, which accounts for 40% of exports. In EFTA is an intergovernmental organization devoted to
order to reduce their dependency on these traditional sources promoting free trade and economic integration in Europe.
of income, the two Nordic states have developed capacities Its headquarters are based in Geneva (Switzerland) but
in a wide range of knowledge-based sectors, such as software another office in Brussels (Belgium) liaises with the
design, biotechnology and environment-related technologies. European Commission. Twelve years after EFTA was founded
in 1960, it counted nine member states: Austria, Denmark,
This solid base and the resultant high per-capita income Finland, Iceland, Norway, Portugal, Sweden, Switzerland and
didnt prevent the four EFTA countries from being buffeted the UK. All but three had joined the European Union (EU)
by the global financial crisis in 20082009; however, they by 1995: Iceland, Norway and Switzerland. Liechtensteins
suffered to varying degrees, like most countries in the western adhesion since 1991 brings EFTAs current membership
hemisphere (Figure 11.1). Iceland was particularly shaken, with to four.
three of its largest banks collapsing in late 2008; the countrys
inflation and unemployment rates more than doubled to A turning point in EFTAs development came with the
almost 13% (2008) and 7.6% (2010) respectively, while central signing of an agreement with the EU on the creation of a
government debt almost tripled from 41% (2007) to 113% single European market. The Agreement on the European
(2012) of GDP as the country struggled to conjugate the crisis. Economic Area (EEA) was signed by Iceland, Liechtenstein and
These same indicators barely budged in Liechtenstein, Norway Norway and entered into force in 1994. It provides the legal
and Switzerland, which continued to count unemployment framework for the implementation of the four cornerstones
levels of just 24% on average. Iceland has since put the crisis of the single market: the free movement of people, goods,
behind it but recovery has been slower than for its neighbours. services and capital. The agreement established common
rules for competition and state aid and promoted co-
Growth in all four countries has nevertheless stalled recently operation in key policy areas, including research and
(Figure 11.1) and there are some question marks regarding development (R&D). It is through this agreement that three
the short-term outlook. The strong, overvalued Swiss franc1 of the four EFTA members participate in the EUs main R&D
may have a negative impact on key sectors of the Swiss activities as associated states on the same footing as the EU
economy, such as the export industry and tourism, suggesting member states.
that predictions for GDP growth in 2015 will probably need to
be lowered. The same may be necessary for Norway as a result Switzerland, on the other hand, was unable to sign the EEA
of the slump in oil prices since 2014. treaty, even though it had participated actively in drawing
it up, owing to a negative vote in a Swiss referendum
Not surprisingly, Europe2 is EFTAs main trading partner. In in November 1992. A bilateral agreement with the EU
2014, it absorbed 84% of Norways merchandise exports and nevertheless allows Switzerland to take advantage of the
main EU instruments in place, including the seven-year
1. In January 2015, the Swiss franc soared by almost 30% against the euro, after the framework programmes for research and innovation, the
Swiss National Bank removed the cap it had imposed in 2011 to prevent such a
scenario. Since then, the effect has softened to a 1520% rise.
3. Liechtensteins trade is covered in Swiss statistics.
2. Here, Europe encompasses the EU, Southeast Europe and Eastern Europe but
not the Russian Federation. 4. See: www.efta.int/free-trade/fta-map

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UNESCO SCIENCE REPORT

Figure 11.1: Trends in GDP per capita in EFTA countries, 20002013

In PPP$ at current prices
150 000

Liechtenstein 134 617

120 000

Norway 100 898

90 000

75 058 Switzerland 84 748

60 000
Iceland 47 349
37 813
37 473

30 000
31 820

0
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: World Banks World Development Indicators, April 2015

Future and Emerging Technologies programme, the grants of n two countries involved in multinational regional activities
the European Research Council and the Erasmus programme in Europes north Iceland and Norway are active partners
for student exchange, but Switzerlands political ties to the in the Nordic co-operation scheme and another two,
EU are more tenuous than those of the three other EFTA Liechtenstein and Switzerland, which share a common
members. Moreover, as we shall see, Switzerlands relations language, maintain close neighbourly co-operation in
with the EU have been jeopardized recently by yet another a multitude of areas and have formed a customs and
referendum. monetary union since 1924.

The four EFTA members do not have a unified legal and The list could be a lot longer but these examples suffice to
political status vis--vis the EU and the EFTA group itself is make the point: the very heterogeneity of the EFTA countries
anything but homogeneous. It consists of: make them interesting case studies for the UNESCO Science
Report, in which they feature for the first time. There are
n two geographically remote countries with lengthy sea no R&D activities per se within EFTA as, in this area, the EEA
coasts (Iceland and Norway) and abundant natural treaty has split the small group of four into a group of three
resources, versus two inland nations (Liechtenstein and plus one. All four are nevertheless involved in most of the
Switzerland) at the heart of Europe which are entirely European Commissions activities, as well as some other pan-
dependent on the production of high-quality goods and European initiatives such as European Co-operation in Science
services; and Technology (COST) and Eureka, a co-operative scheme
providing companies, universities and research institutes
n two small countries (Norway and Switzerland) with a
with incentives for cross-border market-driven research. They
population of 5.1 million and 8.2 million respectively,
also take part in the Bologna Process, the collective effort of
versus a very small country (Iceland, 333 000 inhabitants)
European countries to harmonize and co-ordinate higher
and a mini-state (Liechtenstein, 37 000 inhabitants);
education. Norway and Switzerland are also members of the
n one country severely hurt by the 2008 financial crisis European Organization for Nuclear Research (CERN), which is
(Iceland) and another three which were able to digest it hosted by the latter on the Franco-Swiss border and attracts
relatively painlessly; and thousands of physicists from around the world.

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 European Free Trade Association

In the following pages, we shall be analysing the ways in which the EU Innovation Union Scoreboard 2014: it is ranked 17th
these countries perform individually and as a group in the in a field of 35, placing it in the modest group of moderate
European context. We shall also analyse the reasons which make innovators5 which fall below the EU average (see glossary,
Switzerland, in particular, such a high-achiever when it comes to p. 738).
innovation: it topped both the EUs Innovation Scoreboard and
the Global Innovation Index in 2014 and belongs to the top three Allthree countries, with some reservations for Norway, have a
countries for innovation among members of the Organisation for highly mobile future generation of scientists (Table 11.1) and
Economic Co-operation and Development (OECD). are strong publishers Iceland increased its output by 102%
between 2005 and 2014 with a large share of international

Chapter 11
Table 11.1 provides key indicators for Iceland, Norway and coauthors (Table 11.1 and Figure 11.3). The country with
Switzerland; it doesnt cover Liechtenstein, which is simply too the highest publication growth rate has also done especially
small to have meaningful statistics for this comparative table. well impact-wise: Icelandranks fourth for the share of
Some data are given in the country profile of Liechtenstein scientificpublications among the top most cited (Table 11.1).
(see p. 303). Switzerland belongs to the topthree countries in The clouds on Icelands horizon are to be found elsewhere;
Europe, according to all indicators for science input, science it did not manage to improve its innovation performance
output, innovationand competitiveness in the region, Iceland between 2008 and 2013. Although it remains in the category
and Norway rank in the first tier or in the midfield. Norway of innovation followers and above the EU average, Iceland has
has considerably increasedits gross domestic expenditure been overtaken by no fewer than six EU countries and it has
on research and development (GERD) but its GERD/GDP ratio lost 11 places in the World Economic Forumscompetitiveness
remains well below the EFTA and EU28 averages (Table 11.1; index. We shall discuss possible measures Iceland could adopt
see also Figure 11.2). Another weakpoint isNorways seeming in order to get back on track later in the chapter.
unattractiveness for foreign students:just 4% of those
enrolled in advanced research programmes on Norwegian Before profiling the four nations individually, we shall take
campuses are international students, against 17% in Iceland a brief look at the common activities that Iceland, Norway
and 51% in Switzerland, according to the OECDs Education at and Liechtenstein undertake related to R&D within the
a Glance (2014); nor can Norway be satisfied with its score in framework of the EEA agreement.

Common research within the EEA

Figure 11.2: GERD in EFTA countries by source of funds, The EEA agreement affords Iceland, Liechtenstein and
2007 and 2013 or closest years (%) Norway the status of fully associated partners in EU research
programmes. Iceland and Norway take full advantage of
8.2 8.5 6.0
10.0
1.6
9.5 12.1 this opportunity; they were among the most successful
1.9 3.0
0.8 1.6 countries per capita for the obtention of competitive research
1.7
grants from the Seventh Framework Programme (FP7) over
22.8
20072013. For its part, Iceland had the best success rate of
40.0 25.4
38.8 44.9
all European Research Area countries in the FP7Cooperation
45.8
programme, which set out to strengthen co-operation in R&D
between universities, industry, research centres and public
authorities across the EU and the rest of the world. Iceland
showed special strengths in environment, social sciences,
humanities and health; Norway was one of the leaders in
68.2 environmental research, as well as in energy and space
60.8
50.3 (DASTI, 2014).
49.8
45.0
43.1
Participation in EU activities is not free, of course. Besides
paying a lump sum to each framework programme, the
three EEA countries contribute to reducing socio-economic
2007 2011 2007 2013 2008 2012 disparities in Europe by promoting social cohesion, via a
Iceland Norway Switzerland special programme administered autonomously by the EEA
Secretariat: the EEA/Norway grants programme. Although
Business enterprise Government
Other national sources From abroad
5. In the opinion of Statistics Norway, the verdict in the European Commissions
Source: OECD (2015) Main Science and Technology Indicators report is too severe, for it underestimates Norways innovation potential (see
Research Council of Norway, 2013, p. 25).

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UNESCO SCIENCE REPORT

Table 11.1: International comparisons for EFTA countries in science, 2014 or closest year

Iceland Norway Switzerland

Human resources in S&T* as a share of the active population, 2013 (%) 53 57 57

Human resources Corresponding ERA** ranking (41 countries) 7 2 2

Public expenditure on higher education as a share of GDP, 2011 (%) 1.6-1 2.0-1 1.4

GERD/GDP ratio (2007) 2.9-1 1.6 2.7+1

GERD/GDP ratio (2013) 1.9 1.7 3.0-1

GERD
Corresponding EU ranking (28 countries) 8 16 3

Public expenditure on R&D in higher education as a share of GDP (2012) 0.66-1 0.53+1 0.83

Share of postdocs having spent more than 3 months abroad in past

49 43 53
10 years (%)

Corresponding EU ranking (28 countries) 3 10 1

Researcher mobility
International students as a percentage of enrolmentin advanced
17 4 51
research programmes (2012)

Corresponding OECD ranking (33 countries) 15 25 2

Publication intensity International scientific co-publications per millioninhabitants (2014) 2 594 1 978 3 102

Publication impact Share of scientific publications in top 10% most cited, 20082012 18 13 18

Number of universities in top 200, according to Shanghai Academic

0 1 7
Ranking of World Universities, 2014

Number of universities in top 200, according to QS World University

0 2 7
Research excellence Rankings 2014

Number of ERC grants per million population 20072013 3 8 42

Corresponding ERA ranking 18 12 1

Number of triadic patent families per million population (2011) 11 23 138

Patent activity
Corresponding OECD ranking (31 countries) 15 12 2

RANK IN INTERNATIONAL INDICES

Rank in EUs Innovation Union Scoreboard , 2008 (35 countries) 6 16 1

Innovation potential
Rank in EUs Innovation Union Scoreboard 2014
12 17 1
(35 countries)

Rank in WEF World Competitiveness Index, 2008 (144 countries) 20 15 2

Rank in WEF World Competitiveness Index, 2013 (144 countries) 30 11 1

Competitiveness
Rank in IMD World Competitiveness Scoreboard, 2008 (57 countries) not ranked 11 4

Rank in IMD World Competitiveness Scoreboard, 2013 (60 countries) 25 10 2

-n/+n = data are for n years before or after reference year

* individuals who have obtained a tertiary-level qualification in an S&T field and/or are employed in an occupation where such a qualification is required
** ERA comprises the 28 EU members, the four EFTA states, Israel and the EU candidates in the year of the study.
Note: Comparative data are unavailable for Liechtenstein; its patents are covered in Swiss statistics.
Source: Eurostat, 2013; European Commission (2014a) Researchers Report; WEF (2014) Global Competitiveness Report 20142015; European Commission (2014b)
ERA Progress Report; European Commission (2014c) Innovation Union Scoreboard; OECD (2015) Main Science and Technology Indicators; OECD (2014) Education at
a Glance; IMD (2014) World Competitiveness Yearbook; EU (2013) Country and Regional Scientific Production Profiles; IMF (2014) World Economic Outlook; UNESCO
Institute for Statistics, May 2015; Iceland Statistics

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 European Free Trade Association

this is not really an R&D programme, education, science It has one internationally known university, the University
and technology play a crucial role in the areas covered by of Iceland, which ranks between 275th and 300th in the
the programme, from environmental protection, renewable Times Higher Education Supplement. The countrys strong
energy and the development of green industries to human publication record is no doubt largely due the countrys
development, better working conditions and the protection highly mobile younger generation of scientists. Most spend
of cultural heritage. Between 2008 and 2014, the three EEA at least part of their career abroad; half of all doctorates are
donors invested 1.8billion in 150 programmes that had awarded in the USA. Moreover, 77% of articles have a foreign
been defined jointly with 16 beneficiary countries in central co-author. Even if it is true that this high percentage is typical
and southern Europe. In relation to climate change, for of small countries, it places Iceland in the group of the most

Chapter 11
instance, one of the programmes priority themes, a joint internationalized science systems in the world.
project enabled Portugal to draw on the Icelandic experience
to tap its geothermal potential in the Azores. Portugal has Like Norway, Iceland has a solid science base that does
also co-operated with the Norwegian Institute for Marine not translate into a high innovation potential and
Research to keep its seas healthy. Through another project, competitiveness (see p. 304). Why is this so? Norway can
Innovation Norway and the Norwegian Water Resource and blame this paradox on its economic structure, which
Energy Administration have helped Bulgaria to improve its encourages specific strengths in areas requiring low research
energy efficiency and innovate in green industries. intensity. Restructuring an economy to favour high-tech
industries takes time and, if there is steady high income
The EEA grants/Norway grants programme will continue in the falling in the governments lap from low-tech industries in the
years to come, albeit with small changes to the programme meantime, there can be little incentive to put the necessary
structure, a likely increase in spending levels and a merger measures in place.
of the two types of grant into a single funding scheme. As
in the past, Iceland and Norway will be participating as fully Unlike Norway, Iceland was well on the way to a more
associated members in the new framework programme diversified and more knowledge-based economy in the
covering the period from 2014 to 2020, Horizon 2020 (see years before the 2008 crisis. When the crisis struck, it
Chapter 9). Liechtenstein, on the other hand, has decided to had widespread repercussions. Research expenditure at
refrain from an association with Horizon 2020, in light of the universities and public research institutes slid from 1.3%
small number of scientists from this country and its resultant of GDP in 2009 to 1.1% in 2011. Efforts to complement the
low participation level in the two former programmes. foreign training of Icelandic scientists and strengthen their
active role in international networks by developing a solid
home base with a strong Icelandic research university were
COUNTRY PROFILES stopped in their tracks. This put Iceland in a double bind: it
fuelled the brain drain problem while lowering the countrys
ICELAND chances of attracting multinational companies in research-
intensive domains.
A fragmented university system
Iceland was severely hit by the global financial The European Commission produces a series of Erawatch
crisis of 2008. After its three main banks failed, the economy reports for the EU and EEA countries. Icelands Erawatch
slipped into a deep recession for the next two years (-5.1% report (2013) identified a number of key structural and
in 2009). This hindered ongoing efforts to diversify the financial challenges faced by Icelands STI system. Besides the
economy beyond traditional industries such as fisheries shortcomings mentioned above, the report cited weaknesses
and the production of aluminium, geothermal energy and in governance and planning, a low level of competitive
hydropower into high-knowledge industries and services. funding with an insufficient number of grants that were
also too small, inadequate quality control and a fragmented
Although most of the figures in Table 11.1 look good, they system, with too many players (universities and public
would have looked even better a few years ago. The country laboratories) for a country the size of Iceland. The country has
invested 2.9% of GDP in R&D in 2006, making it one of the seven universities, three of which are private; the University
biggest spenders per capita in Europe, surpassed only by of Iceland had about 14000 students in 2010, compared to
Finland and Sweden. By 2011, this ratio was down to 2.5% fewer than 1 500 at most of the other institutions.
and, by 2013, had hit 1.9%, its lowest level since the late
1990s, according to Statistics Iceland. At least some of these weaknesses are addressed in the first
policy paper published by the government-elect in 2013.
Iceland has an excellent publication record, both Its Science and Technology Policy and Action Plan 20142016
quantitatively and qualitatively (Table 11.1 and Figure 11.3). advocates:

301
Figure 11.3: Scientific publication trends in EFTA countries, 20052014

Growth has slowed in Iceland since 2010 and remained steady in Norway and Switzerland
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Iceland 427 458 490 575 623 753 716 810 866 864
Liechtenstein 33 36 37 46 41 50 41 55 48 52
Norway 6 090 6 700 7 057 7 543 8 110 8 499 9 327 9 451 9 947 10 070
Switzerland 16 397 17 809 18 341 19 131 20 336 21 361 22 894 23 205 25 051 25 308

2 594
Publications per million inhabitants
1 978
Norwegian publications per million
3 102
Swiss publications per million
in Iceland in 2014 inhabitants in 2014 inhabitants in 2014

Countries specialize in medical sciences, Switzerland stands out in physics

Cumulative totals by field, 20082014

113 144 49
Iceland 120
965
115
269 985 93 1 258 100 399
34

Liechtenstein 25 47 1 67 9 105 40

1 361 2 810 1 042 686

Norway 413
11 378
1 130
4 659 10 143 1 570 17 382
3 937 824

2 099 2 806 11 281 1 251

Switzerland 32 662 43 279 735 19 368
2 940 13 197 10 251 3 193 1 010

Agriculture Astronomy Biological sciences Chemistry Computer science Engineering Geosciences

Mathematics Medical sciences Other life sciences Physics Psychology Social sciences

Note: The totals by field do not include unclassified publications, which are quite numerous for Switzerland (13 214), Norway (5 612) and Iceland (563).
See the methodological note on p. 792.

All countries surpass the OECD average by far for key indicators
Average citation rate for publications 20082012 Share of papers among 10% most-cited 20082012 Share of papers with foreign co-authors, 20082014

Iceland 1.71 Iceland 18.3% Liechtenstein 90.7%

OECD average 29.4%
OECD average 11.1%
OECD average 1.08

Switzerland 1.56 Switzerland 18.0% Iceland 77.4%

Norway 1.29 Norway 13.4% Switzerland 68.9%

Liechtenstein 1.12 Liechtenstein 12.3% Norway 61.3%

The main partners are in Europe or the USA

Main foreign partners between 2008 and 2014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Iceland USA (1 514) UK (1 095) Sweden (1 078) Denmark (750) Germany (703)
Liechtenstein Austria (121) Germany (107) Switzerland (100) USA (68) France (19)
Norway USA (10 774) UK (8 854) Sweden (7 540) Germany (7 034) France (5 418)
Switzerland Germany (34 164) USA (33 638) UK (20 732) France (19 832) Italy (15 618)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

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 European Free Trade Association

n a higher contribution to tertiary education in order to expenditure on R&D amounts to less than the budget of
reach the level of other Nordic countries; a small university and its publication output represents a
couple of hundred citable documents per year. The EEA
n restoration of the pre-2008 target of raising the
agreement links it closely to Iceland and Norway but its
GERD/GDP ratio to 3% by 2016;
geographical location on Switzerlands eastern border,
n measures to increase Icelands participation in national language (German) and the long tradition of close
international research programmes; collaboration in many policy fields with the Swiss make
joint ventures with Switzerland a much more evident
n the definition of long-term funding projects and the
and pragmatic solution. Science and technology are no

Chapter 11
research infrastructure they call for;
exception. Liechtenstein is fully associated with the Swiss
n strengthening competitive funding at the expense of National Science Foundation, giving its researchers the
fixed contributions; right to participate in the foundations activities. Moreover,
Liechtenstein enjoys the same privilege with the Austrian
n a better use of the tax system to encourage the private
Science Fund, the Austrian equivalent of the Swiss National
sector to invest in R&D and innovation; and, lastly,
Science Foundation.
n a better system for evaluating the quality of domestic
research and innovation. Liechtenstein boasts an impressive GERD/GDP ratio of 8 %,
according to the national education authority, but this is of
Unfortunately, these recommendations hardly touch on limited meaning in international comparisons on account
the problem of fragmentation pinpointed by the Erawatch of the extremely small number of actors and nominal
country report in 2013. Iceland counts one university for figures. Nevertheless, this ratio reflects the high level of
every 50000 inhabitants! Of course, prioritizing some R&D undertaken by some of Liechtensteins internationally
institutions over others is a politically difficult manoeuvre; competitive companies in machinery, construction and
it impinges on STI but also has regional, social and medical technology, such as Hilti, Oerlikon-Balzers or
cultural dimensions. Notwithstanding this, channelling Ivoclar Vivadent AG; the latter develops products for
available resources to a single strong university likely to dentists, employs 130 people in Liechtenstein and about
impress the international scientific community and attract 3 200 people worldwide in 24 countries.
students and faculty from abroad is an absolute must. This
institution would then be able to take the lead in Icelands Liechtensteins public funding of R&D roughly 0.2% of
most promising research fields health, information and GDP goes mainly to the countrys sole public university,
communication technologies (ICTs), environment and the University of Liechtenstein. Founded in its present form
energy and perhaps develop others. The brilliant young in 2005 and formally accredited in 2011, the university
Icelanders living abroad would be more willing to return concentrates on areas of special relevance for the national
home with their new ideas. Maybe it will take this young economy: finance, management and entrepreneurship, and,
generation to heed the message from an independent to a lesser degree, architecture and planning. The school has
expert group that recently reviewed Icelands STI system got off to a good start; it is attracting a growing number of
commissioned by the European Commission. If Iceland students from beyond its German-speaking neighbours, not
wishes to put an end to institutional fragmentation, they least because of a highly attractive faculty/student ratio.
said, to improve co-ordination of the main players, foster A large proportion of the countrys youth nevertheless
co-operation and develop an efficient evaluation and quality studies abroad, mainly in Switzerland, Austria and Germany
assessment system, the way forward can be summed up in (Office of Statistics, 2014).
two words: pull together.
Whether Liechtenstein will continue to flourish and earn
the international reputation and status it covets remains
LIECHTENSTEIN to be seen. Liechtensteins development will, in any
case, determine the future of its public R&D sector. If the
Innovation drives Liechtensteins economy University of Liechtenstein lives up to expectations in
Liechtenstein is a special case in many terms of growth and quality, this may incite parliament to
respects. It is one of Europes few remaining principalities, rethink its recent decision to drop out of the EUs Horizon
a constitutional democracy combining a parliament 2020 programme. Innovation is the key element behind
with a hereditary monarchy. One-third of inhabitants Liechtensteins strong economy and supportive R&D
are foreigners, mainly Swiss, German and Austrian. Its measures by the public sector could well prove a useful
tiny size 37000 inhabitants in 2013 excludes it from complement to private R&D investment for preserving the
most comparative S&T statistics and rankings. Its public countrys advantages in the long run.

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UNESCO SCIENCE REPORT

NORWAY
Figure 11.5: Researchers (FTE) in EFTA countries by sector
of employment, 2008 and 2013 or closest years (%)
Knowledge not translating into innovation
Norway has one of the highest income levels in

2008 2011
48.4 20.8 28.1 2.7
the world (PPP$ 64 406 per capita in current prices in 2013).

Iceland
Despite this, the countrys strong science base contributes 46.9 18.2 32.5 2.4
less to national wealth than its traditional economic assets:
crude oil extraction from the North Sea (41% of GDP in 2013);

2008 2013
50.3 15.4 34.3
high productivity in manufacturing; and an efficient services

Norway
sector (Figure 11.4).
47.9 16.6 35.5

As shown in Table 11.1, the first links in the added value chain

2008 2012
41.1 1.9 57.0

Switzerland
are promising. The share of the adult population with tertiary
qualifications and/or engaged in the STI sector is one of the
46.6 1.2 52.2
highest in Europe. Norway did have a traditional weakness
in the relatively low number of PhD students and graduates Business enterprise Government
but the government has managed to remove this bottleneck; Higher education Private non-profit
since 2000, the number of PhD students has doubled to
Note: The category of other researchers includes private non-profit and not
match those of other northern European countries. Together elsewhere classified, reported only in Iceland. For Switzerland, federal and
with public R&D expenditure above the OECD median and a central government researchers only are classified as government.
large pool of researchers in the business enterprise sector, this Source: UNESCO Institute for Statistics, April, 2015
makes for solid input to the S&T system (Figure 11.5).

It is at this point that the clouds appear: output is not what Norways leading institution, the University of Oslo, ranks 63rd
the level of input would suggest. Norway ranks third in in the Shanghai Academic Ranking of World Universities, a
Europe for the number of scientific publications per capita sign of world-class research. However, if we look at rankings
but the share of Norwegian-authored articles in top-ranked that consider criteria other than research quality, an obvious
journals is only just above the ERA average (Table 11.1). problem emerges. Two Norwegian universities figure
Similarly, Norways performance in the first seven calls by the among the top 200 in the QS World University Rankings:
ERC for research proposals is good but not excellent and the the University of Oslo (101st) and the University of Bergen
same is true for the international prestige of its universities: (155th) [Table 11.1]. Both do well citation-wise but disappoint
when it comes to the internationalization count. This
Figure 11.4: GDP in EFTA countries by economic reflects a Norwegian pattern. Also disappointing is the small
sector, 2013 or closest year (%) proportion of international students enrolled in advanced
research programmes (Table 11.1); 6 Switzerland, Iceland and
other small European countries such as Austria, Belgium or
Iceland
(2012)

7.7
7.7 13.5 11.0 67.8 67.8 24.5 13.5
Denmark do much better for this indicator. Clearly, Norwegian
universities face a vicious circle: the main asset for attracting
Liechtenstein

high-performing international students and faculty members

(2012)

9.09 38.0 53 53.0 38

is a universitys reputation, the number one reputation-
maker in globalized higher education is the rankings and
a key criterion for good positions in the league tables is
Norway
(2013)

1.5
1.5 7.3 33.5
57.7 57.740.8 7.3
having adequate percentages of international students and
faculty members. Whether one likes it or not, rankings are the
signposts on the avenues of international talent circulation.7
Switzerland
(2013)

0.7 73.6 25.7 18.7

How can Norway break this circle and better brand itself as
Agriculture Services Industry Manufacturing an attractive destination for study8 and research? Norway
(subset of industry)
6. The OECD figures for Norway may have a tendency to underestimate the
Note: For Liechtenstein, manufacturing is included in other industry;
percentage because of the specificities of Norwegian statistics and/or because a large
agriculture includes households and corresponds mainly to the rental
share of foreign students have either obtained resident status or are EU citizens.
activities of real estate agencies.
7. For a discussion of the relationship between universities, rankings, regional
Source: World Banks World Development Indicators, April 2015;
context and globalized higher education, see UNESCO (2013) and Hertig (in press).
for Liechtenstein: Office of Statistics (2014)
8. Canada is asking itself the same question. See Chapter 4.

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faces two severe handicaps for the internationalization established in two separate rounds in 2007 (8) and 2013
of its science system, of course: location and language. (13). These centres receive stable public funding over a
To overcome these handicaps, it could remove legal and period of ten years to the tune of 1 million per centre per
logistical barriers to cross-border mobility, undertake campus year. This sum is rather low; similar centres in Switzerland
upgrades, reform study programmes so that they better and the USA receive two to three times more. Allocating a
suit the needs of a foreign clientele and extend PhD and higher sum to a couple of institutions that Norway is bent
postdoctoral programmes abroad, including special measures on profiling internationally may warrant further reflection.
to reintegrate students afterwards but this may not be Investing more in such centres would also lead to more
enough. Another measure is probably necessary to make a balanced support for the different types of research. Basic

Chapter 11
visible difference: the establishment of additional research research is not Norways top priority; few other European
flagship programmes that shine on the international scene countries have a portfolio more oriented towards applied
like that for arctic science (Box 11.1). science and experimental development (Figure 11.6).

One such flagship programme has recently caught the Measures like the above would help Norway to fix some
attention of the scientific community beyond the immediate of the weak spots in its generally very good public science
circle of neuroscientists, after the director of the Kavli Institute system. However, as mentioned above, Norways main
for Systems Neuroscience was awarded the Nobel Prize weakness is its performance in the later stages of the added
in Physiology or Medicine in 2014 for discovering that the value chain. Scientific knowledge is not being efficiently
human brain has its own positioning system. Edvard Moser transformed into innovative products. Norways most
shares the prize with fellow Norwegian, May-Britt Moser, negative STI indicator in the OECDs 2014 country report
Director of the Centre for Neural Computation in Trondheim, concerns the number of patents filed by universities and
and John OKeefe from University College London. The public laboratories; the lowest per capita figure within
Kavli Institute for Systems Neuroscience is hosted by the OECD. It does not suffice to blame academia for this
the Norwegian University of Science and Technology in predicament. The problem goes deeper; patents are the
Trondheim and is part of Norways centres of excellence result of an active relationship between the producers
scheme. The first 13 of these centres of excellence were of basic knowledge and the private companies using,
established in 2003. Twenty-one additional centres were transforming and applying it. If the business side is not

Box 11.1: Arctic research in Svalbard

Svalbard (Spitsbergen) is a Norwegian Bohemia in the Czech Republic. Other universities. It undertakes arctic and
archipelago situated midway between research stations have been set up by environmental research, such as
continental Norway and the North Pole. China (2003), France (1999), Germany studying the impact of climate
Its natural environment and unique (1990 and 2001), India (2008), Italy (1997), change on glaciers; it also offers
research facilities at a high latitude Japan (1991), the Republic of Korea (2002), high-quality courses at under-
make it an ideal location for arctic and the Netherlands (1995) and the UK (1992). graduate and postgraduate levels in
environmental research. arctic biology, arctic geology, arctic
Longyearbyen, the worlds most geophysics and arctic technology.
The Norwegian government actively northerly city, hosts research bodies and
supports and promotes Svalbard as infrastructure such as the: Svalbard has been linked with
a central platform for international the rest of the digital world since
research collaboration. Institutions from n European Incoherent Scatter Scientific 2004 through a fibre optic cable.
around the world have established their Association (est. 1975), which conducts Norway is committed to developing
own research stations there, most of research on the lower, middle and Svalbard further as a science spot
them in Ny-lesund. The first two polar upper atmosphere and ionosphere and to improving the access of the
institutes were established by Poland in using the incoherent scatter radar international research community to
1957 and Norway in 1968. Norway has technique; its infrastructure and scientific data.
since set up four other research stations:
n Kjell Henriksen Auroral Observatory
in 1988 (shared with Sweden), 1992,
(est. 1978); and the
1997 and 2005. The most recent addition
was the Centre for Polar Ecology in 2014, n University Centre in Svalbard (est. 1993), Source: Norwegian Ministry of Education and
which is part of the University of South a joint initiative of several Norwegian Research and Ministry of Foreign Affairs

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UNESCO SCIENCE REPORT

All this will come at a cost, of course. Quite uncharacteristically

Figure 11.6: GERD in EFTA countries by type of research, for Norway, finding sufficient public funds may present the most
2012 or nearest year (%)
important challenge of all in the years to come. With the plunge
in the Brent crude oil price to just half its value between July
Iceland
(2011)

24.8 24.5 46.6

2014 and January 2015, it looks like the long period of unbroken
high annual GDP growth has become a thing of the past.
Consequently, optimistic long-term goals like that fixed by the
Norway
(2011)

19.2 39.0 41.8 previous government in a white paper of doubling the countrys
GERD/GDP ratio to 3% by 2015 no longer seem very realistic.
Like many other European countries, Norway will have no
Switzerland

choice but to diversify into more innovative economic sectors

(2012)

30.4 40.7 28.9

by intensifying R&D. In the current times of low economic
Basic research Applied research Experimental growth, the task will be anything but easy (Charrel, 2015).
development

Note: For Iceland, the data do not add up to 100%, as 4% of research is

unclassified. For Norway, data are based on current costs only, not total
expenditure, and thus exclude both current and capital expenditure.
SWITZERLAND
Source: UNESCO Institute for Statistics, April, 2015

Can Switzerland keep its place in the sun?

well developed, publicly funded science will also falter. This For the sixth year running, Switzerland led
is what is happening in Norway. Despite having a productive, the list of 144 countries analysed in the 2014
prosperous economy, Norway only has a small proportion WEF Global Competitiveness Report. It performs particularly
of high-tech companies that conduct in-house R&D and well in higher education, training and innovation. It is also an
creaking bridges to publicly funded research. unrivalled hotspot for innovation, according to the European
Commissions 2014 Innovation Union Scoreboard, ahead of all
Moreover, it has only a handful of home-grown multinational the EU countries, its fellow EFTA members and key world players
companies implanted in top research hubs around the such as Japan, the Republic of Korea and USA. What is the secret
globe. Few other OECD countries have lower private R&D behind this striking performance and what are the chances that
expenditure per capita than Norway, despite its generous tax Switzerland will be able to keep its place in the sun?
incentives for R&D since 2002. Less than half of Norwegian
companies have reported being engaged in innovation For one thing, Switzerland has a remarkably strong science
activity in the past couple of years, compared to almost base. Seven of its 12 universities figure among the top 200
80% in Germany; Norwegian companies also score poorly in the Shanghai ranking, a league table mainly focusing
for the percentage of turnover from innovative products. on research output. Switzerland is among the top three
Some hurdles are external to the national innovation system, countries in most global rankings for the impact of its scientific
the most important among these being high tax rates and publications and is by far the most successful country per
restrictive labour regulations, according to the 2014 WEF capita in the calls for project proposals issued by the European
Global Competitiveness Report. Research Council, a grant-funding scheme that has become
the most prestigious instrument for the support of basic
Not easy to intensify R&D in a low-growth period science in Europe (see Box 9.1).
One of the goals proclaimed by Norways incoming
government in 2013 in its strategy for future co-operation Obviously, in a small country, world-class performance and
with the EU was to make Norway one of the most innovative internationalism are closely linked. More than half of all
countries in Europe (Government of Norway, 2014). The 2014 PhD-holders at the 12 Swiss universities and close to half of
budget consequently allocates more funds to instruments the R&D personnel in the private sector are non-Swiss.
that support business R&D. Although the amount and growth Two-thirds of faculty members of the two Federal Institutes of
rate may be too timid to make a real difference, it is certainly Technology (ETH), the Eidgenssische Technische Hochschule
a step in the right direction. Norway needs to do more, (ETHZ) in the German-speaking city of Zrich and the cole
though, to smooth its path to innovation paradise. It needs to polytechnique fdrale de Lausanne (EPFL) in the French-
strengthen basic science and the main actors in charge of it, speaking part of Switzerland, are non-Swiss.
research universities, through the measures proposed above.
It also needs to strengthen existing programmes and invent Complementing the excellent performance of its publicly
powerful new ones to forge alliances between enterprises funded universities and a couple of the institutes attached to
and research groups in academia. the ETH domain is a research-intensive private sector, led by

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globally active world leaders in engineering (ABB), the food only shrank marginally, from 1.9% to 1.8% of GDP. The
industry (Nestl), agriculture and biotechnology (Syngenta) universities were particularly spoiled, as, in just four years,
and pharmaceuticals (Novartis, Roche), the pharmaceutical their budgets grew by one-third.
industry accounting for one-third of all Swiss in-house R&D
n Last but not least, Switzerland has a swath of local
spending. These companies share a striking characteristic
advantages for business, in general, and high-tech
with Swiss academia: the ability to attract leading researchers
companies, in particular: excellent research infrastructure
from all over the world to engage in Swiss research efforts at
and good connectivity (87% of the population had access
home and in their laboratories around the world.
to internet9 in 2013), low taxes, a lightly regulated job

Chapter 11
market, few barriers to founding companies, high salaries
Scientific strength is one thing, turning it into innovative,
and an excellent quality of life. What an asset, too, to be
competitive products is another, as Norway knows only too
situated at the heart of Europe, unlike Iceland and Norway.
well. The following characteristics of the Swiss system are key
factors in its success:
Switzerland could become a lone(ly) wolf in Europe
n First and foremost is the combination of world-class Switzerland has built its recipe for success in STI on
universities working in high-tech fields in tandem developing a sturdy international network. It is ironic that
with research-intensive multinationals, sophisticated the fallout from the referendum of 2014 may jeopardize this
companies that themselves operate at the high end of the proud achievement.
value chain within a small geographical area.
The adoption of a popular initiative restricting immigration
n Secondly, Swiss universities and companies have essential
to Switzerland in February 2014 offends one of the guiding
research strengths for the development of competitive
principles of the EU, the free movement of persons (Box 11.2).
products for the global market; more than 50% of
Shortly after the vote, the Swiss government informed the
publications are in biological and medical sciences, other top
EU and Croatia that it was unable to sign a protocol to its
fields being engineering, physics and chemistry (Figure 11.3).
agreement with the European Commission that would
n Thirdly, more than half of the labour force is qualified to do have automatically extended this agreement to the new EU
demanding jobs in science and engineering (Table 11.1); member state. Giving Croatian citizens unrestricted access
Switzerland leads all other European countries for this to the Swiss job market would have been incompatible with
indicator. This results less from having a high percentage the yes vote of the Swiss on the stop mass immigration
of people with university degrees Switzerland doesnt initiative (Box 11.2).
particularly shine in this regard than from having a labour
force that has obtained the requisite qualifications through The EU reacted without delay. The European Commission
other means: on the one hand, there is the excellent excluded Switzerland from research programmes potentially
vocational curriculum provided through apprenticeships worth hundreds of millions of euros for its universities and
and universities specialized in applied research and suspended negotiations on Switzerlands participation as a
vocational training (Fachhhochschulen/Hautes coles full member in the worlds largest and best-funded research
spcialises); on the other, the hiring of top professionals and innovation programme, the 77 billion Horizon 2020. The
from abroad. European Commission also suspended Switzerland from the
Erasmus student exchange programme. According to the ATS
n Fourthly, there is a clear working division between
news agency, some 2 600 Swiss students took advantage of
the public and private sectors. Almost two-thirds of
Erasmus in 2011 and Switzerland played host that same year
Switzerlands R&D is funded by industry (Figure 11.2).
to about 2 900 foreign students within the same EU-funded
This not only guarantees efficient technology transfer
programme.
the shortest route from scientific breakthroughs to
competitive products are in-house channels but also
Thanks to intense diplomatic activity behind the scenes
allows the public sector to concentrate on non-oriented
and fruitful bilateral discussions, the situation was looking
basic research.
less dramatic by mid-2015. In the end, Switzerland will be
n Fifthly, there has been no break in the high levels of able to participate in Excellent Science, the central pillar of
investment in R&D, which has been managed in a stable Horizon 2020. This means that its universities will be entitled to
political system with stable policy priorities. Like most benefit from grants offered by the European Research Council
countries in the western hemisphere, Switzerland was and by the Future and Emerging Technologies programme,
hit by the 2008 financial crisis but not only was its GDP among other instruments. This is welcome news for the cole
rapidly back on track, the impact on R&D spending was
also minimal. Even in the private sector, investment in R&D 9. The ratio is even higher in Liechtenstein (94%), Norway (95%) and Iceland (97%).

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UNESCO SCIENCE REPORT

polytechnique fdrale de Lausanne (EPFL), which is leading Disappointing economic growth could affect R&D targets
one of the two flagship projects10 of the Future and Emerging Remaining part of the European Research Area is crucial but
Technologies Programme, the Human Brain Project, which it is not the only challenge Switzerland faces, if it wishes to
seeks to deepen our understanding of how the brain functions. stay in the lead. The country will also need to maintain the
current heady levels of R&D spending. In the financial plan
So far, so good, you might say, but the Sword of Damocles is for 20132016, education, research and innovation all enjoy
hanging over the Swiss government. The current agreement exceptionally high annual growth rates in the range of 4%.
is limited in time and will expire in December 2016. If However, that was before the Swiss franc gained so much
Switzerland doesnt come up with an immigration policy in value against the euro in January 2015, undermining exports
accord with the principle of the free movement of persons and tourism. Targets that looked like a piece of cake in early
by then, it will lose its status as a fully associated member 2015 have become a gamble: as in Norway, albeit for different
of Horizon 2020 and retain the status of a third party in reasons, economic growth is in trouble; since growth is a
Erasmus+. Should that happen, even though it wont affect prerequisite for higher public spending, R&D, like many other
Swiss engagement in Europe (such as CERN) beyond EU policy areas, may suffer.
projects, Switzerland will still become a very lonely wolf in
Europes S&T landscape. Overdependent on a handful of multinationals
Another bottleneck is the recruitment of highly qualified R&D
10. The other flagship project is developing the new materials of the future, such
personnel. In just three years, Switzerland dropped from 14th
as graphene. to 24th position in the WEF Global Competitiveness Report

Box 11.2: A vote on immigration ricochets on Swiss science

Assessing public attitudes to science so. In each of these four referenda, the either not understood by voters or
and technology from informal opinion great majority voted against measures judged less important than other
polls is one thing, making decisions that would have restricted or hindered considerations.
on scientific topics through legally scientific research.
binding referenda is quite another. This, of course, leads directly to the
Considering the very positive attitude second reason. The Swiss political
Popular referenda are part of the of the Swiss towards science and elite, who favoured the European
political routine in Switzerlands direct technology, why then, in 1992, did they Economic Area agreement and were
democracy. The Swiss vote on literally vote against the Agreement on the opposed to strict immigration controls,
everything, from new opening hours European Economic Area, which would missed an opportunity to put science
for retail stores and bonus ceilings for have automatically given them access to and technology on the campaign
top managers to multinational treaties. the European Research Area? Even more agenda. Would it have changed
Now and then, they also vote on critically, why did they vote in favour of the outcome? Yes, probably, since
science and technology. an initiative in February 2014 limiting the the outcome of both referenda was
number of immigrants to Switzerland extremely tight. The initiative against
If one eliminates the many votes that severely endangers the countrys massive immigration in February
in which attitudes to specific co-operation with the EU in science and 2014 was adopted by 1 463 854 votes
technologies were not necessarily the technology? One in four Swiss residents to 1 444 552. Had the heads of Swiss
main argument for a yes or a no vote, was born abroad and about 80 000 universities and other important actors
such as on issues related to nuclear immigrants move to Switzerland each of the Swiss science scene thought to
energy, there have been four referenda year, most of whom are EU citizens. pen a couple of enlightening articles in
at the federal level in the past 20 major newspapers in the weeks prior
years on legal provisions that would There were two main reasons for the to the referendum highlighting the
severely restrict research; each of these rejection. The first is evident: in both potential cost of a yes vote in terms
referenda has asked citizens to vote on cases, science and technology were just of the loss of access to EU research
a highly complex issue, questioning one part of the package and, as shown and student exchanges (Erasmus), this
vivisection, stem cells, genetic in post-voting polls, the fact that voting would most likely have turned the
modification of agricultural products against one of the four principles of the outcome around.
and reproductive technologies. Is EU the free movement of persons
there a voting pattern? Yes, clearly would also weaken Swiss science was Source: compiled by author

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2014 for its capacity to find and hire the talent it needs to parks around the two Federal Institues of Technology, ETHZ
preserve its advantages with respect to innovation. There in Zrich and EPFL in the Lake Geneva area, a region known
are also the more structural dangers, such as the economys as western Switzerlands Health Valley.11 A second initiative in
distinct dependence on the performance of a handful of R&D- the pipeline is the funding of a set of technology competence
intensive multinational companies. What if they falter? The centres as a technology complement to the highly successful
latest OECD and EU reports show that the proportion of Swiss National Centres of Competence in Research run by the Swiss
firms investing in innovation has fallen and that Swiss small National Science Foundation since 2001. A third initiative
and medium-sized enterprises are exploiting their innovation foresees the establishment of a network of energy research
potential less effectively than in the past. centres piloted by the Commission for Technology and

Chapter 11
Innovation that will be reorganized and better funded, to help
In view of this, the Swiss government may have to become them perform this and other technology-driven tasks. Also in
more interventionist (Box 11.3). It has already taken a preparation is a package of measures designed to improve
step in this direction. In 2013, the government transferred the career prospects of the up and coming generation of
responsibility for R&D from the Department for Internal scientists which include better working conditions for PhD
Affairs to the Department for Economic Affairs. Of course, students, positive discrimination to increase the share of
the transfer is not without risk but, as long as the new women in senior academic positions and, in a mid-term
political environment acknowledges the key role of basic perspective, the introduction of a nation-wide tenure track
research in the added value chain and supports science to system (Government of Switzerland, 2014).
the same extent as the former ministry, the greater proximity
to publicly funded applied research may prove beneficial.
11. on account of the presence of numerous biotech and medical-cum technical
There are a number of initiatives in the pipeline which go in companies, the excellent clinical research conducted by several hospitals and
this direction. One is the creation of two regional innovation world-class life science at top universities

Box 11.3: Swissnex: a Swiss formula for science diplomacy

Among the factors that may the classic network of science attachs private sponsors and shares a common
explain Switzerlands success in STI, maintained by most industrialized mission at all locations: to diversify
one element resurfaces regularly: countries in their key embassies around Switzerlands image from that of
Switzerlands global presence. The the world, it has begun establishing the land of chocolate, watches and
country manages to attract top people specialized hubs in specific hotspots for beautiful alpine scenery to that of a
from abroad and to be present where science and technology, the so-called leading nation in STI.
it counts. Swiss institutions of higher Swissnex. Swissnex are joint ventures
learning are extremely well connected between two ministries; although they A parallel goal is to facilitate
(Table 11.1); the same is true for Swiss are formally annexed to Swiss consulates co-operation between the public and
companies in research-intensive fields. and embassies and thus part and parcel private R&D constituency at home
They act globally and have established of the diplomatic complex, strategically and in the host country by adapting
companies and research laboratories and in terms of content, they fall under the portfolio to the local context.
close to other centres of world-class the State Secretariat for Education, Obviously, building bridges between
science, such as the Boston area or Research and Innovation. Switzerland and the USA calls for a
parts of California in the USA. Around different approach to that adopted in
39% of their patented discoveries are A first Swissnex opened midway between China. Whereas the USA has an open
joint ventures with research groups Harvard University and the Massachusetts science system and is home to a host of
from abroad, the highest percentage Institute of Technology in the USA in 2000. branches of high-tech Swiss companies,
in the world. Five others have since been established in the Swiss science scene is still little-
San Francisco (USA), Singapore, Shanghai known in China and the country has
Moreover, when it comes to helping (China), Bangalore (India) and Rio de a much more political way of doing
the Swiss seduce foreign territories, Janeiro (Brazil). things. The Swissnex approach fits the
even the anything-but-interventionist bill and it is one of the many assets
Swiss government likes to mingle: Swissnex is a unique construct: a small helping Switzerland to stay on top.
Switzerland may have the busiest enterprise located in the grounds of
and most entrepreneurial science a diplomatic mission that is financed Source: compiled by the author, including from
diplomacy in the world. In addition to jointly by the Swiss government and Schlegel (2014)

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Taken together, all these measures may enable Switzerland Last but not least, tiny Liechtenstein faces no obvious
to defend its position at the top but, importantly, none of challenges in the field of R&D, apart from ensuring a solid
them suggests ways in which Switzerland could play an active financial base for its higher education flagship, the University
role in Europe. There is some hope that this oversight may of Liechtenstein, established in its present form a decade
be remedied in the near future. At least, another referendum ago. The government will also need to maintain a political
proposing to restrict immigration even further was strongly framework that allows the countrys prosperous industries to
defeated in November 2014 and this time Swiss science continue investing in R&D at the traditionally heady levels.
made its voice heard prior to the vote.12
The future looks bright, for if there is one common feature
which characterizes the four EFTA countries and explains
their strength within Europe and beyond, it is their political
CONCLUSION stability.
A few adjustments and the future looks bright
There is no doubt about it: the four small and micro-states
KEY TARGETS FOR EFTA COUNTRIES
that make up EFTA are well positioned economically, with
GDP per capita well above the EU average and strikingly low
n Raise Icelands GERD/GDP ratio to 3% by 2016;
unemployment rates. Even if added value chains are anything
but linear, the excellent quality of higher education and R&D n Iceland to introduce tax incentives to foster investment
output are certainly key factors in their success. in innovative enterprises;

n Norway to invest US$ 250 million between 2013 and

Switzerland either tops international rankings, or figures in
2023 in funding research conducted by its 13 new
the top three, for R&D performance, innovation potential and
centres of excellence;
competitiveness. Its main challenge in the years to come will
be to defend its primacy, maintain high investment in basic n Switzerland to set up two innovation parks in the
research in order to preserve the exceptional quality of its vicinity of ETHZ and EPFL, sponsored by the host
universities and inject fresh public funds reserved for national cantons, the private sector and institutions of higher
and regional initiatives into more applied, technology- education;
oriented fields of research. Switzerland will also need to
n Switzerland has until the end of 2016 to resolve the
resolve its political problems with the EU before the end of
current political problem with the EU regarding the free
2016 in order to ensure full participation in Horizon 2020, the
movement of persons, if it is to preserve its status of
worlds most comprehensive and best-funded multinational
associated partner in Horizon 2020.
R&D programme.

For Norway, the challenge will be to reduce its strong

economic dependence on the not particularly R&D-intensive
petroleum industry by diversifying the economy with the
help of innovative high-tech companies and linking them to
the public R&D sector. Neither public nor private investment
in R&D does justice to a country with such a high level of
income; both will need a push.

Icelands prime challenge will be to heal the remaining open

wounds from the 2008 financial crisis and to recover lost
ground; less than a decade ago, it was an astonishingly strong
player in the research field, considering its size and remote
geographical location, with world-class figures for its GERD/
GDP ratio, scientific publications per capita and publication
impact.

12. See for instance the editorial by EPFL President Patrick Aebischer, in EPFLs
campus newspaper, Flash, in the days before the referendum.

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2014. Organisation for Economic Co-operation and
Charrel, M. (2015) La Norvge prpare laprs-ptrole. Development: Paris.
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DASTI (2014) Research and Innovation Indicators 2014. 2013. Organisation for Economic Co-operation and
Research and Innovation: Analysis and Evaluation 5/2014. Development: Paris.
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Chapter 11
Office of Statistics (2014) Liechtenstein in Figures 2015.
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EC (2014a) ERAC Peer Review of the Icelandic Research and
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Association: Geneva and Brussels. Statistics Office (2014) F+E der Schweiz 2012. Finanzen und
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market 20 years on. EFTA Bulletin, September. UNESCO (2013) Rankings and Accountability in Higher
Education: Uses and Misuses.
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Hans Peter Hertig (b.1945: Switzerland) is a professor
Government of Liechtenstein (2010) Konzept zur Frderung emeritus of the cole polytechnique fdrale de Lausanne
der Wissenschaft und Forschung [Concept for Furthering in Switzerland. He obtained a PhD in Political Science from
Knowledge and Research, BuA Nr.101/2010]. the University of Berne in 1978. He has held positions at
universities in Switzerland and the USA and is a former
Government of Norway (2014) Norway in Europe, The director of the Swiss National Science Foundation
Norwegian Governments Strategy for Cooperation with the (19932005). He also established the Swiss science hub
EU 20142017. (Swissnex) in Shanghai (China). Hans Peter Hertig is
an expert in cross-disciplinary programming, cultural
Government of Switzerland (2014) Mesures pour encourager la exchange and science policy.
relve scientifique en Suisse.

Government of Switzerland (2012) Message du 22 fvrier 2012

relative lencouragement de la formation, de la recherche
et de linnovation pendant les annes 2013 2016. [Message
of 22 February 2012 on encouraging training, research and
innovation from 2013 to 2015].

Hertig, H.P. (2008) La Chine devient une puissance mondiale

en matire scientifique. Horizons, March 2008, pp. 2830.

Hertig, H. P. (forthcoming) Universities, Rankings and the

Dynamics of Global Higher Education. Palgrave Macmillan:
Basingstoke, UK.

MoER (2014) Research in Norway. Ministry of Education and

Research: Oslo.

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All seven countries would

benefit from a stronger
culture of evaluation in the
area of STI policies.
Deniz Ercal and Igor Yegorov

Istanbul Technical University's experimental

solar-powered car Ariba VI negotiating heavy
traffic on a bridge over the Bosphorus on its
first long-distance test drive on 20 August
2013.
Photo: Istanbul Technical University Solar Car Team

312
 Countries in the Black Sea basin
12 . Countries in the Black Sea basin
Armenia, Azerbaijan, Belarus, Georgia, Moldova, Turkey, Ukraine

Deniz Ercal and Igor Yegorov

INTRODUCTION A great deal has changed since. Turkey is gradually catching

up to the advanced economies, whereas some of the other
Turkey is making progress, others have lost ground Black Sea countries are losing ground. Notwithstanding this,
For want of a better term, the seven countries covered in these seven countries are arguably more comparable with
the present chapter shall be referred to collectively as the one another today in economic and technological terms than
Black Sea countries. They do not constitute a world region at any other time in modern history. Certainly, all harbour an
in the traditional sense1 but they do present some structural undeniable potential for accelerated development.
similarities. For one thing, they share geographical proximity,
with all but Armenia and Azerbaijan being situated in the In the five years to 2013, the economies of Azerbaijan,
Black Sea basin. In addition, all seven are middle-income Belarus, Georgia, Moldova and Turkey grew faster than those
economies seeking to move into a higher income bracket. of high-income countries themselves beset by recession

Chapter 12
Their differences are equally instructive. If we take trade following the US subprime crisis but below the average for
in manufactured goods, for instance, we can discern middle-income economies. All but Azerbaijan and Belarus fell
three groups: countries with traditionally close economic into recession in 2009 before returning to modest positive
integration with the Russian Federation (Armenia, Belarus, growth the following year. Ukraines economy shrank most
Moldova and Ukraine), some of which are now diversifying in 2009, by 15%; it is the only Black Sea country where GDP
their trading partners (Moldova and Ukraine); countries per capita remains below 2008 levels. The current economic
which are increasingly integrated in global markets (Georgia crisis in Ukraine is associated with the ongoing conflict, which
and Turkey) and countries with a weak focus on trade in saw GDP drop by more than 6% in 2014. Macro-economic
manufactured goods (Azerbaijan) [Table 12.1]. All seven, indicators for most other countries have remained under
however, have made efforts over the past two decades to control, with the notable exception of inflation in Belarus,
strengthen their mutual economic and institutional ties. which climbed to more than 50% in 2011 and 2012 before
The best illustration of this is the Organization of the Black falling back to 18%, and unemployment, which has been
Sea Economic Cooperation (Box 12.1). cruising on a 1618% plateau in Armenia and Georgia
and at around 10% in Turkey and Ukraine, according to
Six of the seven Black Sea countries were part of the former the International Labour Organization. Over this five-year
Union of Soviet Socialist Republics (USSR) up until the early period, only Turkey showed progress in terms of human
1990s. The seventh, Turkey, was less industrialized and had development, as defined by the UNDPs index. Growth in
been beset by recurrent economic crises up until this period. Azerbaijan was largely driven by high oil prices.

1. Bulgaria and Romania also lie on the Black Sea but they are covered in Chapter 9.

Table 12.1: Socio-economic trends in the Black Sea countries

Internet
Population trends access Trends in GDP Employment Manufactured exports
Per 100 population

Share employed in
As a share of adult

As a share of total
industry, average

exports, 2012 (%)

Population (000s)

As a share of GDP

10 years in share
of GDP, 2012 (%)
Average growth

2010 2012 (%)

(current PPP$)

(current PPP$)

merchandise

Change over
20082013

population
Cumulative

20082013

per annum
Per capita

Per capita

2013 (%)

2012 (%)
growth

2013

2008

2013
2014

Armenia 2984 0.0 46.3 7 099 7 774 1.7 63 17 22.1 3.2 -8.4
Azerbaijan 9515 6.0 58.7 13 813 17 139 5.5 66 14 2.4 1.1 -0.9
Belarus 9308 -2.1 54.2 13 937 17 615 4.4 56 26 46.7 33.8 -1.0
Georgia 4323 -1.6 43.1 5 686 7 165 3.5 65 6 53.4 8.0 4.3
Moldova 3461 -4.1 48.8 3 727 4 669 4.0 40 19 37.2 11.0 -1.0
Turkey 75837 6.5 46.3 15178 18 975 3.3 49 26 77.7 15.0 2.0
Ukraine 44941 -2.6 41.8 8 439 8 788 -0.2 59 26 60.6 23.5 -5.0
Source: UNESCO Institute for Statistics; for employment and manufactured exports: World Banks World Development Indicators, accessed November 2014

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UNESCO SCIENCE REPORT

Many post-Soviet states suffer from diminished territorial integrity, TRENDS IN REGIONAL STI GOVERNANCE
which hinders their ability to focus on long-term development
issues. They bear the stigma of what have been termed frozen Black Sea scientists co-operate with East and West
conflicts, the legacy of short-lived wars which have led to part of For the Black Sea countries, the EU collectively represents the
their territory escaping their control: the mountainous Karabakh most important node for international co-operation in science
(Arcakh) region, disputed by Armenia and Azerbaijan since 1991, and technology (S&T). A glance at cross-border co-operation
the breakaway Transnistria region in Moldova (since 1992), the in scientific authorship (see p. 322) suggests that all seven
breakaway regions of Abkhazia and South Ossetia in Georgia countries do indeed have links with the principal scientific
(both since 19901992) and, most recently, Crimea and the powers of the Organisation of Economic Co-operation for
Donbass regions in Ukraine. Since 2014, the European Union (EU), Development (OECD) but that most of the former Soviet states
USA and a number of other countries have imposed sanctions on have also maintained their historic scientific ties with the
the Russian Federation, which they accuse of fostering separatism Russian Federation. The data also reveal that there is now close
in Ukraine. Tensions with the Russian Federation had emerged collaboration between Azerbaijan and Turkey. The USA is a
in 2013 after Georgia, Moldova and Ukraine announced their key partner for all seven countries, thanks partly to the active
intention of signing association agreements with the EU to foster academic diaspora from Armenia and Georgia living in the USA.
closer political ties and economic integration. Turkeys own academic diaspora is tipped to grow in coming
years, owing to the large presence of Turkish PhD students in
In addition to economic and geopolitical problems, most Black the USA.
Sea countries also face demographic challenges. The population
is declining in all but Azerbaijan and Turkey. Since the mid-2000s, The EUs Framework Programme for Research and
Turkey has been able to reverse the decline in its employment-to- Technological Development, including its current Horizon 2020
population ratio by implementing a series of pro-market economic Programme (20142020), is an important instrument for co-
reforms. High emigration rates have prevented Moldova from operation. Having signed an association agreement with the EU
stemming its own haemorrhage. Most other countries in this as long ago as 1964, Turkey has been an Associated Country of
group have managed to maintain relatively high employment the European Research Area and the EUs six-year Framework
rates, unlike many advanced economies. Programmes for some time now. It is also a member of a

Box 12.1: The Organization of the Black Sea Economic Cooperation

The Organization of the Black Sea It meets every six months. There is also a and the second 2010 2014. With
Economic Cooperation (BSEC) Parliamentary Assembly modelled on that no dedicated budget, the second
comprises 12 members: Albania, of the Council of Europe and a Permanent action plan was funded on a project
Armenia, Azerbaijan, Bulgaria, Georgia, International Secretariat, based in Istanbul, basis. Two key projects were the EU-
Greece, Moldova, Romania, the Russian which is headed by a Secretary-General. funded Scientific and Technological
Federation, Serbia, Turkey and Ukraine. International Cooperation Network
Belarus is not a member. The BSEC Business Council is made up of for Eastern European and Central
experts and representatives of Chambers Asian countries (IncoNet EECA) and
The BSEC was founded in 1992, shortly of Commerce of the member states; it the Networking on Science and
after the disintegration of the USSR, promotes co-operation between the Technology in the Black Sea Region
in order to develop prosperity and public and private sectors. Another project (BSERANet), which had
security within a region centred on structure is the Black Sea Trade and got under way in 2008 and 2009
the Black Sea Basin and straddling the Development Bank, which administers respectively. Another thrust of the
European Union. It officially became the funding allocated to regional co- action plan targeted the development
an intergovernmental organization operation projects. In this task, the bank of physical and virtual multinational
through an agreement signed in 1998. receives support from the European infrastructure by pooling the resources
Investment Bank and the European Bank of BSEC member states, the networking
One of BSECs strategic goals is to for Reconstruction and Development. of research institutes and universities
deepen ties with the European There is also an International Centre for in BSEC countries and their connection
Commission in Brussels. To some Black Sea Studies. to the European gigabit network and
extent, the institutions of BSEC mirror other EU e-networks like e-Science.
those of the EU. The Council of The BSEC has adopted two Action Plans
Ministers of Foreign Affairs is BSECs on Cooperation in Science and Technology. Source: www.internationaldemocracywatch.org;
central decision-making organ. The first covered the period 20052009 www.bsec-organization.org

314
 Countries in the Black Sea basin

research body supported by the Framework Programme, the USA. This intergovernmental organization has the
known as European Cooperation in Science and Technology status of a diplomatic mission. It was established in 1993 to
(COST). Like Ukraine, Turkey also participates in Eureka, an promote nuclear non-proliferation but its scope has since
intergovernmental organization providing pan-European been extended to fostering co-operation in a wide range of
funding and co-ordination for market-driven industrial R&D. technological fields with Azerbaijan, Georgia, Moldova and
The recent geopolitical developments in the Black Sea region Uzbekistan3.
or, for that matter, in the Middle East, do not necessarily imply
that there will be major shifts in the orientation of Turkeys The impetus to create a Eurasian Economic Union the other
co-operation in S&T. However, anecdotal evidence suggests major consequence of the recent geopolitical tensions has
that Turkeys ambitions for advanced defence-related R&D are also gained strength, with the signing of the Unions founding
growing. treaty in May 2014 by Belarus, Kazakhstan and the Russian
Federation, followed by Armenias accession to it in October
The EUs association agreements signed with Georgia, Moldova 2014 (see Chapter 14). As co-operation in S&T within the latter
and Ukraine in mid-2014 envisage enhancing these countries group of countries is already considerable and well-codified in

Chapter 12
participation in Horizon 2020. Whereas it is too early to detect legal texts, the Eurasian Economic Union is expected to have
the impact on S&T of the past two years geopolitical tensions a limited additional impact on co-operation among public
in the region, it is probable that they will accelerate Ukraines laboratories or academia but it may encourage R&D links
co-operation2 with the EU. In March 2015, Ukraine signed among businesses.
an agreement with the EU for associate membership of the
Horizon 2020 Programme (20142020) with significantly TRENDS IN HUMAN RESOURCES AND R&D
more advantageous conditions on the table than previously,
notably the possibility for Ukraine to participate in scientific High tertiary enrolment rates
co-operation at a fraction of the original cost. This should pave Education is one of the regions strengths. Belarus and
the way to more active involvement by Ukrainian scientists in Ukraine both compare well with developed countries for
Horizon 2020 but may also increase the emigration of Ukrainian the gross tertiary enrolment rate: more than nine-tenths of
scientists to the EU in the short term. A similar but milder effect 1925 year-olds in Belarus and eight-tenths in Ukraine. As for
can be expected from Moldovas own association agreement Turkey, which started from low levels, it has recently made
with the EU. Moldova has been officially associated with the great strides (Table 12.2). Of note is that Moldova and Ukraine
Framework Programme since 2012 (Sonnenburg et al., 2012). invest heavily in higher education: 1.5% and 2.2% of GDP
respectively (Figure 12.1). Two countries are experiencing
Those Black Sea countries which do not have association difficulty, however, in converging with advanced economies,
agreements with the EU are also eligible for Framework or even in maintaining their current levels of tertiary
Programme funding; moreover, projects such as ERAs attainment: Azerbaijan and Georgia.
Networking on Science and Technology in the Black Sea
(BS-ERA.NET) have sought to enhance their involvement in the Gender equality a reality in most Black Sea countries
Framework Programme. In co-operation with the BSEC, the In Georgia, Moldova and Ukraine, the majority of PhD
EUs Networking on Science and Technology in the Black Sea graduates are women. The figures are almost as high in
Region project (20092012) has been instrumental in funding Belarus and Turkey, which have achieved gender parity in
a number of cross-border co-operative projects, notably in this respect. In Armenia and Azerbaijan, women make up
clean and environmentally sound technologies (Box 12.1). The one-third of the total. In natural sciences, they make up half
absence of a formal co-operation framework may, however, be of PhD graduates in Belarus, Georgia, Turkey and Ukraine.
constraining Belarus ability to participate in the Framework
Programme, despite the countrys relatively high level of Ukraine is regressing4 from its historically high density
international collaboration in R&D. of researchers, in a context of a declining or stagnating
population, whereas Belarus has managed to preserve its
Other multilateral projects are presently striving to expand advantage. The most striking trend concerns Turkey, where
their reach. One example is the Science and Technology the researcher density has gone from being the lowest in the
Centre in Ukraine, funded by Canada, the EU, Sweden and region in 2001 to the highest (Figure 12.2). Women tend to
represent between one-third and two-thirds of researchers,
2. Ukraine and the EU signed an agreement in 2010 which determined key
3. See: www.stcu.int
thematic areas for co-operation: environmental and climate research, including
observation of the Earths surface; biomedical research; agriculture, forestry and 4. Only Moldova, Turkey and Ukraine claim to publish data on researchers in
fisheries; industrial technologies; materials science and metrology; non-nuclear full-time equivalents (FTE), in line with international best practice. However, the
power engineering; transport; information society technologies; social research; prevalence of multiple part-time jobs among R&D personnel makes head count
S&T policy studies and training and the exchange of specialists. data a more precise measure for Ukraine.

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UNESCO SCIENCE REPORT

Table 12.2: Tertiary education in the Black Sea countries

Labour force with Gross enrolment ratio PhD or equivalent graduates
tertiary education for tertiary education 2012 or closest year

(% of age cohort)
20092012 (%)
Highest score

five years (%)

Highest score
Change over

Change over

Engineering

Health and
20092013
five years

sciences

welfare
Women

Women

Women

Women
Natural
Total
(%)

(%)

(%)

(%)

(%)
Armenia 25 2.5 51 -3.0 377 28 92 23 81 11 10 30
Azerbaijan 16 -6.0 20 1.4 406-1 31-1 100-1 27-1 45-1 13-1 23-1 39-1
Belarus 24 93 19.3 1 192 55 210 50 224 37 180 52
Georgia 31 -0.3 33 7.8 406 54 63 56 65 40 33 64
Moldova 25 5.0 41 3.0 488 60 45 56 37 46 57 944
Turkey 18 4.4 69 29.5 4 506-1 47-1 1 022-1 50-1 628-1 34-1 515-1 72-1
Ukraine 36 5.0 80 1.0 8 923 57 1 273 51 1 579 35 460 59

-n = refers to n years before reference year

Note: The total PhD data cover natural sciences, engineering, health and welfare, agriculture, education, services, social sciences and humanities. Natural sciences
cover life sciences, physical sciences, mathematics and computing.

Source: UNESCO Institute for Statistics; for the labour force with tertiary education: World Banks World Development Indicators, except for Ukraine: State Statistics Service

with the notable exception of Azerbaijan (0.7%)5. By the early

Figure 12.1: Government expenditure on education,
2010s, it had dropped to a quarter of its 1989 level in Ukraine
as a percentage of GDP (%) in Black Sea countries,
2012 or closest year and to just one-tenth in Armenia. Turkey, meanwhile, went
in the opposite direction, with its GERD/GDP ratio hitting
Armenia Expenditure on higher
(2013)
0.20 2.25 education (% GDP) a high of nearly 0.95% in 2013; it has been able to use its
Total education economic growth in recent years to increase its commitment
Azerbaijan
(2011)
0.36 2.44 expenditure (% GDP) to R&D (Figures 12.3 and 12.4). Georgia has not done any
comprehensive R&D survey since 2006, so no conclusions can
Belarus
(2012)
0.92 5.12 be drawn as to its evolution.

Georgia
(2012)
0.38 1.98 One of the most striking trends since 2005 has been the
growth in business R&D in Belarus, which now represents two-
Moldova
(2012)
1.47 8.39 thirds of the national effort. Industrial R&D still plays a major
role in Ukraine but its share has actually declined in recent
Turkey
(2006)
0.91 2.86 years. Turkey differs from the other countries in that similar
shares of R&D are now performed by both universities and the
Ukraine
(2012)
2.16 6.66 business enterprise sector (Figure 12.5).

Source: UNESCO Institute for Statistics Not yet in same league as advanced economies for
innovation
The outcome of innovation is notoriously difficult to measure.
although they are less present in Turkey than in the post-
Among the seven Black Sea countries, only Turkey participates
Soviet states (Figure 12.2). Belarus appears to be the only
in the Eurostat Community Innovation Survey (CIS), where
Black Sea country that is maintaining its historically high
its performance is comparable to that of middle-ranking6 EU
density of researchers but, like its neighbours, it suffers from
members, although Ukraine does conduct surveys itself every
underinvestment in R&D.
23 years which are based on the CIS methodology.
Investment in R&D remains low
Gross domestic expenditure on R&D (GERD) has never
recovered in the post-Soviet states to the heady levels of 5. According to the Statistical Yearbook: National Economy of the Ukrainian Soviet
1989, when it represented 3% of GDP in Ukraine and well over Socialist Republic, 1990, published in Kiev in 1991
1% in most other countries covered by the present chapter, 6. See: http://ec.europa.eu/eurostat

316
 Figure 12.2: Trends in researchers from the Black Sea countries,
Countries 20012013
around the Black Sea
Turkey's researcher density has doubled in a decade
3000
Researchers per million inhabitants, by head count

2 648
2500

Turkey 2 217
Georgia 1 183
2000 Belarus* 1 961
1 929
1 776
1 662 Azerbaijan 1 677
1500 Ukraine* 1 451
Armenia* 1 300
1 237

1000 1 048
Moldova 932
* based on
702 underestimated data,
as many researchers
500 have secondary jobs
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 in R&D

Chapter 12
Gender parity is a reality in most Black Sea countries
Researchers by field of employment and gender, in head counts, 2013

Agricultural
Total Natural sciences Engineering Medical sciences sciences Social sciences Humanities
Total Women Total Women Total Women Total Women Total Women Total Women Total Women
(%) (%) (%) (%) (%) (%) (%)

Armenia* 3 870 48.1 2 194 46.4 546 33.5 384 61.7 45 66.7 217 47.0 484 60.5
Azerbaijan 15 784 53.3 5 174 53.9 2 540 46.5 1 754 58.3 1 049 38.5 2 108 48.9 3 159 63.1
Belarus 18 353 41.1 3 411 50.6 11 195 31.5 876 64.6 1 057 60.1 1 380 59.1 434 60.8
Moldova 3 250 48.0 1 168 45.7 448 29.0 457 52.5 401 45.4 411 68.4 365 52.6
Turkey 166 097 36.2 14 823 35.9 47 878 24.8 31 092 46.3 6 888 31.6 24 421 41.1 12 350 41.9
Ukraine 65 641 45.8 16 512 44.5 27 571 37.2 4 200 65.0 5 289 55.0 4 644 61.4 2 078 67.8
Note: Data for Turkey are for 2011. *Partial data

Researcher density in the business sector is up in Belarus and Turkey

1Researchers
500 employed by business enterprises per million inhabitants, by head count
Researchers in business enterprises per million inhabitants

1 200
Belarus 1 183

900
837

680
600 Turkey 609

Ukraine 511 Note: This figure

is more useful for
discerning the
300 evolution over
229 time than strict
cross-country
Azerbaijan 124 comparisons, as the
79 100
Moldova 73 latter do not all apply
0 international statistical
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 methodologies. Data
are unavailable for
Source: UNESCO Institute for Statistics, March 2015 Armenia and Georgia.

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UNESCO SCIENCE REPORT

Figure 12.3: GERD/GDP ratio for the Black Sea countries, 20012013
1.2

1.02
1.0
Turkey 0.95

0.8
Ukraine 0.77
0.71
Belarus 0.69

0.6
0.54

0.4
Moldova 0.36
0.34

0.28
0.24 Armenia 0.24
0.2 Azerbaijan 0.21
Georgia 0.18

0.0
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: UNESCO Institute for Statistics, March 2015

High-tech exports7 provide a more approximate measure; among the highest in the world in 2012, according to the
they place Belarus and Ukraine, and to a lesser extent Turkey, Global Innovation Index (2014).
at levels similar to those of some major middle-income
n Patent Cooperation Treaty applications, indicating
countries but their performance is by no means comparable
an extra effort to protect intellectual property
to that of countries pursuing global competitiveness through
internationally, have been growing moderately in
technology-intensive production, such as Israel or the
Armenia, Moldova and Ukraine and very strongly in
Republic of Korea (Table 12.3). This said, the fact that
Turkey. Applications to the two largest developed
some countries are expanding production and trade in
country offices (European Patent Office and the US
medium-tech products can also attest to STI activity, as we
Patent and Trademark Office) have grown quite strongly
shall see in some of the country profiles that follow.
for Turkish residents and, to a lesser extent, for Armenian
and Ukrainian ones.
Patents provide an even more roundabout indicator of
innovation. Moreover, most Black Sea countries do not have n None of the Black Sea countries seem to invest
patent indicators using the nowcasting method, which significant resources in Triadic patents, indicating that
provides reasonably accurate and timely estimates for OECD they are not yet at a stage of development where they
countries. With this caveat in mind, we can observe the can compete with the advanced economies for S&T-
following (Table 12.4): driven industrial competitiveness.

n Per unit of GDP, the number of patents filed by residents n The Black Sea countries appear to invest heavily in
at the national patent offices of Black Sea countries was acquiring trademarks, which give a measure of creative
effort but are less directly correlated with S&T as such,
according to the Global Innovation Index (2014).
7. including a growing number of commodities such as computers and other ICT
goods

318
 Countries in the Black Sea basin

Figure 12.4: GDP per capita and GERD/GDP ratio in the Black Sea countries, 20102013 (average)
For economies with GDP per capita between PPP$ 2 500 and PPP$ 30 000

2.50

Slovenia

Estonia

2.00

Chapter 12
China

Czech Republic

Portugal

1.50
GERD/GDP ratio (%)

Hungary
Brazil

Russian Federation

Malaysia
1.00

Lithuania
Serbia Turkey
India Ukraine Poland
South Africa Croatia
Morocco Malta
Belarus Slovakia
Greece
Latvia
Bulgaria

Romania
0.50
Moldova Mexico Cuba
Egypt Costa Rica Chile

Ghana Montenegro Uruguay

Pakistan
Armenia Mongolia
Georgia FYR Macedonia Azerbaijan
Kyrgyzstan Sri Lanka Kazakhstan
Colombia Panama
Namibia Trinidad
Cabo Verde Guatemala Iraq and Tobago
Paraguay El Salvador
0
2 500 7 500 12 500 17 500 22 500 27 500

Note: for Georgia, state budgetary expenditure on R&D only from the National Statistics Office
Source: World Bank's World Development Indicators, as of September 2014; UNESCO Institute for Statistics, March 2015

319
UNESCO SCIENCE REPORT

n On the whole, the legislative and institutional framework Publications progressing in some countries,
for intellectual property protection is in place in the stagnating in others
Black Sea countries but there is room for improvement, If we measure productivity in terms of articles published in
especially for countries which are not members of the international journals, we find that Belarus, Moldova and
World Trade Organization (WTO8), both as concerns Ukraine were at about the same level in 2014 as in 2005; this
compliance with WTOs Agreement on Trade-Related should be of concern (Figure 12.6). Armenia and Turkey have
Aspects of Intellectual Property Rights (Sonnenburg et al., made the most progress, with Armenia having almost doubled
2012) and, in the case of Turkey, a stronger commitment to the number of articles per million inhabitants from 122 to 232
fighting counterfeiting and piracy, for instance (EC, 2014). over this period and Turkeys ratio having risen from 185 to 311
per million. If we combine researcher density and output per
researcher, Turkey has clearly made the greatest progress; it also
8. Georgia joined the WTO in 2000, Moldova in 2001, Armenia in 2003 and Ukraine in
2008. Turkey has been a member of the Global Agreement on Trade and Tariffs (the has higher population growth than its neighbours. Georgian
precursor to WTO) since 1951. Neither Azerbaijan, nor Belarus is a member. scientists have not only increased their publication rate from a

Figure 12.5: GERD in the Black Sea region by sector of performance, 2005 and 2013
100
5.8 11.4 6.5 4.0 17.0 10.8 26.8 9.3 10.4 54.6 42.1 4.7 6.2

85.5 30.2
94.2 72.6 38.6
72.8 69.8
88.6 23.8

38.6
80

73.2

65.3 65.1
60
10.4
55.3

47.5
44.4 11.6
40

33.8

20
20.9 19.9
17.9

10.3

0
2005 2013 2005 2013 2005 2013 2005 2005 2013 2005 2013 2005 2013
Armenia Azerbaijan Belarus Georgia Moldova Turkey Ukraine

Business enterprise Government Higher education

Note: The data for Armenia and Georgia do not show business R&D expenditure as a separate category, since official statistics tend to use the classification system
inherited from Soviet times when all industrially oriented companies belonged to the state; although some companies have since been privatized, business
expenditure on R&D tends to be included in public sector expenditure to preserve a time series.

Source: UNESCO Institute for Statistics, March 2015

320
 Countries in the Black Sea basin

low starting point;9 they also top the region for a key measure scientists but also for their neighbours. Of note is that the
of quality, the average citation rate. only discipline in which Ukraine publishes more than Turkey is
astronomy.
All six post-Soviet states specialize in physics. Turkeys profile
is more varied. It publishes most in medical sciences but also The post-Soviet states maintain a balance between Eastern and
specializes in engineering. Next come publications spread more Western partners. Armenia, Moldova and Ukraine collaborate
or less equally across biological sciences, chemistry and physics. most with Germany but the Russian Federation figures among
Agriculture and computer sciences are a low priority for Turkish their top four collaborators, as it does for the other post-Soviet
states. Poland makes an appearance in the top five as Ukraines
9. Georgia has very few national scientific journals, whereas Ukraine counts more fourth-closest collaborator. Within the region, only Azerbaijan
than 1 000 periodicals. Between 1995 and 2012 in particular, Ukrainian scientists
were incited to publish in these national journals to further their careers; not all
counts Turkey as its closest collaborator but Turkey itself
these journals are internationally recognized, however. partners mostly with the USA and Western Europe.

Table 12.3: High-tech merchandise exports by Black Sea countries, 2008 and 2013

Chapter 12
Total in million US$* Per capita in US$
2008 2013 2008 2013
Armenia 7 9 2.3 3.1
Azerbaijan 6 42
-1
0.7 4.4 -1
Belarus 422 769 44.1 82.2
Georgia 21 23 4.7 5.3
Moldova 13 17 3.6 4.8
Turkey 1 900 2 610 27.0 34.8

Ukraine 1 554 2 232 33.5 49.3

Other countries are given for comparison

Brazil 10 823 9 022 56.4 45.0
Russian Federation 5 208 9 103 36.2 63.7
Tunisia 683 798 65.7 72.6

+n/-n = data refer to n years before or after reference year

Source: Comtrade database of the United Nations Statistics Division, July 2014

Table 12.4: Patent applications from Black Sea countries, 20012012

Patent applications Patent applications

National office applications
to EPO to USPTO
Total, Total
Ratio Ratio
Applications per billion PPP GDP, 2012 World rank 20012010 20012010
20062010 20062010
Under Under to to
Utility model Patents the PCT Utility model Patents the PCT Number 20012006 Number 20012006
Armenia 2.0 7.1 0.4 16 16 42 14 0.6 37 1.3
Azerbaijan 0.1 1.5 0.1 54 59 90
Belarus 7.6 11.6 0.1 6 6 74 70 1.1 93 0.8
Georgia 1.8 5.3 0.2 18 24 64 17 1.3 55 1.1
Moldova 14.2 7.7 0.3 3 14 62 14 0.4 12 2.5
Turkey 3.4 4.0 0.5 11 30 39 1 996 3.1 782 2.1
Ukraine 30.2 7.5 0.4 2 15 45 272 1.2 486 1.3

Source: National office applications from the Global Innovation Index (2014), Annex Tables 6.11, 6.12 and 6.1.3; EPO and USPTO applications from OECD Patent
Statistics online, based on EPOs Worldwide Statistical Patent Database (PATSTAT)

321
UNESCO
Figure Scientific
SCIENCE
12.6: publication trends in the Black Sea countries, 20052014
REPORT
Strong growth in publications in the smaller countries and Turkey
25 000
Turkey 23 596

20 000

15 000
13 830

10 000

5 000 Ukraine 4 895

4 029

0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
1 200
Belarus 1 077
1 000 978
800
Armenia 691
600
Georgia 527
381 Azerbaijan 425
400 305
237 Moldova 248
200 213
0

Georgia comes closest to the OECD average Turkey has the highest publication intensity,
for the citation rate followed by Armenia
Average citation rate, 20082012 Publications per million inhabitants in 2014

OECD average: 1.08 300 311

0.97
0.92
250
0.8
232
0.76
0.70 200

0.6 0.63
0.60
0.55
150

0.4 122
100 116
109

72
0.2
50
45

0.0 0
ne
ia

va
s

y
e
ia

va
s

ru

ke
gi
ija
ru

ke

en
gi

in
ija

do
en

i
do

or
la

ra
r
ba
or
la

ra
r
ba

Tu
m

Be
Tu
m

ol

Uk
Ge
Be

ol

Uk
Ge

er
Ar
er

M
Ar

Aj
Aj

322
 Countries
The former Soviet states publish most in physics, Turkey most insciences
in medical the Black Sea basin
Cumulative totals by field, 20082014

18 177 3
Armenia 289 420 15 304 64 307 2 440
180 2 9

30 1
Ajerbaijan 95 693 32 240 101 313 76 1 028
26 5

15 325 1
Belarus 513 1 140 35 827 118 341 2 738
5 10 8

16 2
Georgia 30 176 286 154 161 474 232 5 1 264
121 17

Moldova 22 76 497 23 122 54 61 95 5 563 6

6 380 10 987 932 178

Turkey 14 101 18 508 8 949 5 253 45 154 9 191
559 3 314 687

124 7 4
Ukraine 1 413 5 436 72 3 945 1 339 2 352 10 288
982 1 091 29

Chapter 12
Agriculture Astronomy Biological sciences Chemistry Computer science Engineering Geosciences

Mathematics Medical sciences Other life sciences Physics Psychology Social sciences

Note: : Some unclassified articles are excluded from these totals, including 28 140 for Turkey, 6 072 for Ukraine and 1 242 for Belarus.

Georgian, Armenian and Moldovan scientists The former Soviet states collaborate a lot
score best for the 10% most-cited papers internationally, Turkey less so
Share of papers among 10% most-cited, 20082012 (%) Share of papers with foreign co-authors, 20082014 (%)

9.2 Armenia 60.1

5.6 Ajerbaijan 53.0

6.6 Belarus 58.4

OECD average: 29.4%
G20 average: 24.6%

10.7 Georgia 71.9

7.9 Moldova 71.2

5.8 Turkey 18.8

OECD average: 11.1%

4.4 Ukraine 47.5

10 8 6 4 2 0 0 20 40 60

The post-Soviet states balance collaboration with Eastern and Western Europe
Main foreign partners, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator

Armenia USA (1 346) Germany (1 333) France/Rus. Fed. (1 247) Italy (1 191)

Azerbaijan Turkey (866) Russian Fed. (573) USA (476) Germany (459) UK (413)

Belarus Russian Fed. (2 059) Germany (1 419) Poland (1 204) USA (1 064) France (985)

Georgia USA (1 153) Germany (1 046) Russian Fed. (956) UK (924) Italy (909)

Moldova Germany (276) USA (235) Russian Fed. (214) Romania (197) France (153)

Turkey USA (10 591) Germany (4 580) UK (4 036) Italy (3 314) France (3 009)

Ukraine Russian Fed. (3 943) Germany (3 882) USA (3 546) Poland (3 072) France (2 451)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded, data treatment by ScienceMetrix

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UNESCO SCIENCE REPORT

COUNTRY PROFILES Over the past decade, the government has made an effort
to encourage scienceindustry linkages. The Armenian ICT
sector has been particularly active: a number of publicprivate
ARMENIA partnerships have been established between ICT companies
and universities, in order to give students marketable skills
A need to strengthen scienceindustry and generate innovative ideas at the interface of science
linkages and business. Examples are Synopsys Inc. and the Enterprise
Armenia has made a considerable effort to transform its Incubator Foundation (Box 12.2).
S&T system in recent years. Three important ingredients
for success are in place: a strategic vision, political will and Plans to become a knowledge-based economy by 2020
high-level support. Building an efficient research system is a In Armenia, regulations governing public good R&D have tended
strategic objective for the Armenian authorities (Melkumian, to be a step ahead of those related to the commercialization
2014). Armenian and foreign experts highlight other of R&D. The first legislative act was the Law on Scientific and
advantages, such as the strong science base, a large Armenian Technological Activity (2000). It defined key concepts related to
diaspora and traditional national values that emphasize the conduct of R&D and related organizations. Next came a key
education and skills. policy decision, the government resolution of 2007 establishing
the State Committee of Science (SCS). While being a committee
Nonetheless, there are still a number of hurdles to overcome within the Ministry of Education and Science, the SCS was
before the country can build a well-functioning national empowered with wide-ranging responsibilities as the leading
innovation system. The most critical among these are the public agency for the governance of science, including the
poor linkages between universities, research institutions and drafting of legislation, rules and regulations on the organization
the business sector. This is partly a legacy of its Soviet past, and funding of science. Shortly after the creation of the SCS,
when the policy focus was on developing linkages across competitive project financing was introduced to complement
the Soviet economy, not within Armenia. R&D institutes and basic funding of public R&D institutions; this funding has
industry were part of value chains within a large market that dropped over the years in relative terms. SCS is also the lead
disintegrated. Two decades on, domestic businesses have yet agency for the development and implementation of research
to become effective sources of demand for innovation. programmes in Armenia (UNECE, 2014).

Box 12.2: Two publicprivate partnerships in Armenias ICT sector

Synopsys Inc. interdepartmental chairs at Yerevan One such project is the Microsoft
Synopsys Inc. celebrated ten years State University, the RussianArmenian Innovation Center, which offers training,
in Armenia in October 2014. This (Slavonic) University and the European resources and infrastructure, as well as
multinational specializes in the Regional Academy. access to a global expert community.
provision of software and related
services to accelerate innovation in The Enterprise Incubator Foundation In parallel, the Science and Technology
chips and electronic systems. Today, The Enterprise Incubator Foundation Entrepreneurship Programme helps
it employs 650 people in Armenia. (EIF) was founded jointly in 2002 by the technical specialists bring innovative
government and the World Bank and products to market and create new
In 2004, Synopsys Inc. acquired LEDA has since become the driving force of ventures, as well as encouraging
Systems, which had established Armenias ICT sector. It acts as a one-stop partnerships with established
an Interdepartmental Chair on agency for the ICT sector, dealing with companies. Each year, EIF organizes
Microelectronic Circuits and Systems legal and business aspects, educational the Business Partnership Grant
with the State Engineering University reform, investment promotion and Competition and Venture Conference.
of Armenia. The Chair, now part of the start-up funding, services and consultancy In 2014, five winning teams received
global Synopsys University Programme, for ICT companies, talent identification grants for their projects of either
supplies Armenia with more than and workforce development. US$7 500 or US$15 000. EIF also
60 microchip and electronic design runs technology entrepreneurship
automation specialists each year. It has implemented various projects in workshops, which offer awards for
Armenia with international companies promising business ideas.
Synopsys has since expanded such as Microsoft, Cisco Systems, Sun
this initiative by opening Microsystems, Hewlett Packard and Intel. Source: compiled by authors

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 Countries in the Black Sea basin

The SCS led the preparation of three key documents which n Space, Earth sciences, sustainable use of natural resources;
were subsequently adopted by the government in 2010: the
n Basic research promoting essential applied research.
Strategy for the Development of Science 20112020, Science
and Technology Development Priorities for 20102014 and
The Law on the National Academy of Sciences (May 2011)
the Strategic Action Plan for the Development of Science for
is also expected to play a key role in shaping the Armenian
20112015. The Strategy envisages a competitive knowledge-
innovation system. It allows the academy to carry out wider
based economy drawing on basic and applied research. The
business activities concerning the commercialization of R&D
Action Plan seeks to translate this vision into operational
results and the creation of spin-offs; it also makes provision
programmes and instruments supporting R&D in the country.
for restructuring the National Academy of Sciences by
combining institutes involved in closely related research areas
The Strategy envisions that by 2020, Armenia is a country with
into a single body. Three of these new centres are particularly
a knowledge-based economy and is competitive within the
relevant: the Centre for Biotechnology, the Centre for
European Research Area with its level of basic and applied
Zoology and Hydro-ecology and the Centre for Organic and
research. The following targets have been formulated:
Pharmaceutical Chemistry.

Chapter 12
n Creation of a system capable of sustaining the
development of science and technology; In addition to horizontal innovation and science policies, the
government strategy focuses support schemes on selected
n Development of scientific potential, modernization of
sectors of industrial policy. In this context, the State Committee
scientific infrastructure;
of Science invites private sector participation on a co-financing
n Promotion of basic and applied research; basis in research projects targeting applied results. More than
20 projects have been funded in so-called targeted branches:
n Creation of a synergistic system of education, science and
pharmaceuticals, medicine and biotechnology, agricultural
innovation; and
mechanization and machine building, electronics, engineering,
n Becoming a prime location for scientific specialization in chemistry and particularly the ICT sphere.
the European Research Area.
Low R&D spending, shrinking researchers
Based on this strategy, the Action Plan was approved by the GERD is low in Armenia, averaging 0.25% of GDP over 2010
government in June 2011. It defined the following targets: 2013, with little annual variation observed in recent years. This
is only around one-third of the ratios observed in Belarus and
n Improve the S&T management system and create the
Ukraine. However, the statistical record of R&D expenditure is
requisite conditions for sustainable development;
incomplete in Armenia, as expenditure in the privately-owned
n Involve more young, talented people in education and business enterprises is not surveyed. With this proviso, we can
R&D, while upgrading research infrastructure; affirm that the share of R&D funding from the state budget has
increased since the 20082009 financial crisis and accounted
n Create the requisite conditions for the development of an
for around two-thirds (66.3%) of GERD in 2013. In parallel, the
integrated STI system; and
number of researchers in the public sector has dropped by
n Enhance international co-operation in R&D. 27% since 2008, to 3870 (2013). Female researchers accounted
for 48.1% of the total in 2013. They are underrepresented in
Although the strategy clearly pursues a science push engineering and technology (33.5%) but prevalent in medical
approach, with public research institutes as the key policy and health sciences (61.7%) and agriculture (66.7%).
target, it nevertheless mentions the goals of generating
innovation and establishing an innovation system. However, A high degree of autonomy for Armenian universities
the business sector, which is the main driver of innovation, is Armenia has a well-established system of tertiary education
not mentioned. In between the Strategy and the Action Plan, that encompasses 22 state universities, 37 private universities,
the government issued a resolution in May 2010 on Science four universities established under intergovernmental
and Technology Development Priorities for 20102014. These agreements and nine branches of foreign universities.
priorities were: Universities in Armenia have a high degree of autonomy
in formulating curricula and setting tuition fees. Armenia
n Armenian studies, humanities and social sciences;
joined the Bologna Process10 in 2005 and universities are
n Life sciences;

n Renewable energy, new energy sources; 10. The Bologna Process involves 46 European countries which have committed
to creating a Higher Education Area. Three key priorities are to generalize across
n Advanced technologies, information technologies; Europe the bachelorsmastersPhD system, quality assurance and the recognition
of qualifications. See the box in the UNESCO Science Report 2010, p. 150.

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UNESCO SCIENCE REPORT

currently working to align the standards and quality of their over the period 20112014, according to the IMFs World
qualifications. With only a few exceptions, universities tend to Economic Outlook (2014).
focus almost exclusively on teaching and do not engage in, or
encourage, research by staff (UNECE, 2014). Some observers expect Azerbaijans oil output to pursue
its decline. The European Bank for Reconstruction and
Armenia ranks 60th out of 122 countries for education Development makes this point, for instance, in its Strategy
lagging somewhat behind Belarus and Ukraine but ahead of for Azerbaijan 2014. With the world having entered a period
Azerbaijan and Georgia (WEF, 2013). Armenia ranks better of lower oil prices in 2014, devising a growth strategy that
for tertiary enrolment (44th out of 122 countries), with 25% is not dependent on commodity exports is becoming more
of the workforce possessing tertiary education (Table 12.2). of a strategic issue for Azerbaijan. One example of the
It performs poorly, though, according to the workforce and governments desire to strengthen non-oil sources of growth
employment index (113th out of 122 countries), primarily due is its decision to finance infrastructure projects through
to high unemployment and low levels of employee training. the State Oil Fund of Azerbaijan, which has received high
international recognition as a sovereign wealth fund
Next steps for Armenia (World Bank, 2010).
n Greater focus needs to be assigned to integrating
Armenian R&D institutes and businesses into global value An environment not yet conducive to innovation
and supply chains by further developing co-operation with The National Strategy for the Development of Science in
leading producers as a specialized supplier of components, the Republic of Azerbaijan in 20092015 (Government
for instance. of Azerbaijan, 2009) itself recognizes that Azerbaijans
S&T environment is ill-prepared to realize the countrys
n The poor statistical base and a limited evaluation culture
innovative potential. GERD has not kept up with the
make it difficult to obtain a clear picture of technological
phenomenal growth in GDP in the first decade of the
capabilities; this poses clear challenges for evidence-based
century. Despite a brief surge in 2009, GERD actually
policy making.
contracted by 4% in real terms between 2009 and 2013, as
n R&D institutes could be restructured to increase the the share of R&D performed by the business sector fell from
efficiency of resource allocation to R&D, such as by 22% to 10%. Over the past decade, the number of Azeri
turning some of them into technical institutes supporting researchers has stagnated, even declining in the business
knowledge-intensive SMEs. These institutes should rely sector. AzStat indicates a 37% jump in total researchers in
on a combination of public and commercial funding and 20112013 but the country does not publish data in full-
co-operate closely with technoparks. time equivalents.

n The introduction of a system of international evaluation

Apart from sheer numbers, the ageing of the research body
could serve as a basis for integrating complementary
is a key issue in Azerbaijan. Already in 2008, 60% of Azeri
university research departments and research institutes, in
PhD-holders were aged 60 years or more (Government of
order to make savings that could be used gradually to raise
Azerbaijan, 2009). AzStat data suggest that the proportion
expenditure on education; the criteria for selecting centres
of researchers under the age of 30 dropped from 17.5%
of excellence would give equal weight to the institutions
in 2008 to 13.1% in 2013. Moreover, there is no indication
international and local relevance.
of a determined educational effort to bring fresh blood to
the research establishment. Tertiary enrolment as a whole
AZERBAIJAN has been stagnant (Table 12.2) and the number of doctoral
graduates in science and engineering is dropping, as is the
Moves to reduce dependence on share of women among them; women represented 27% of the
commodity exports total in 2006 but only 23% by 2011. Finding qualified labour
Oil and gas extraction dominates the Azeri economy. From has become a serious problem for high-tech enterprises in
the early to late 2000s, its share in GDP rose from around a Azerbaijan (Hasanov, 2012).
quarter to more than half, before receding somewhat in more
recent years. Oil and gas account for around 90% of exports The weakness of Azerbaijans STI effort is also reflected in
and the bulk of fiscal revenues (Ciarreta and Nasirov, 2012). its modest publication and patent record, coupled with
During a period of high oil prices, growth led by energy very low exports in high-tech goods (Tables 12.3 and 12.4
exports enabled a sharp rise in per capita income and a and Figure 12.6). A number of qualitative issues underlie
dramatic fall in the measured poverty rate. Non-oil GDP also these quantitative shortcomings. According to a UNESCO
grew but, following the 20082009 global financial crisis, Memorandum from 2009 on the Formulation of a Science,
economic growth slowed considerably to about 2% per year Technology and Innovation (STI) Strategy and STI Institutional

326
 Countries in the Black Sea basin

Capacity Building in Azerbaijan: Plan of Action, November 2009 More recently, the government has launched a new wave of
December 2010, these issues include the following: initiatives, notably by elevating responsibility for STI policy
to cabinet level. In March 2014, the mandate of the former
n STI functions are concentrated in the Azerbaijan National
Ministry of Communications and Information Technologies
Academy of Sciences (ANAS) and universities have failed to
was also broadened to that of Ministry of Communications
develop strong R&D links with the business enterprise sector.
and High Technologies. This development is part of a series of
n Certain administrative or other hurdles constrain the executive actions since 2012, including the:
expansion of private universities.
n creation of a State Fund for the Development of
n The allocation of government funding to public universities Information Technologies (2012), which is intended to
seems to follow popular demand for certain subjects, such provide start-up funding11 for innovative and applied
as business studies or international relations, and penalize S&T projects in ICT fields through equity participation or
studies in science and engineering disciplines. low-interest loans;

n There appear to be special difficulties in expanding n announcement of the development project Azerbaijan

Chapter 12
doctoral programmes in regular university departments. 2020: Outlook for the Future by the Presidency (July 2012),
which establishes STI-related goals12 in communications
n R&D equipment is obsolete and the measured productivity
and ICTs, such as the implementation of the Trans-Eurasian
of research is very low.
Information Super Highway project or equipping the
n Financial allocations to research institutions are not country with its own telecommunications satellites;
transparent and there is insufficient independent evaluation.
n presidential order on the establishment of a High
Technologies Park (November 2012);
The entire spectrum of scienceindustry linkages, from
technology transfer offices to business incubators, technoparks n adoption of the Third National Strategy for Information Society
and early-stage financing, remain weak in Azerbaijan Development in Azerbaijan covering 20142020 (April 2014)
(Dobrinsky, 2013). The R&D system consists largely of sector- Azerbaijan had the greatest Internet penetration of any Black
based government laboratories and remains isolated from Sea country in 2013: 59% of the population (Table 12.1);
market and society (Hasanov, 2012). Innovative SMEs are rare,
n creation of a Knowledge Fund under the auspices of the
as everywhere, but even larger enterprises do not seem to
Presidency (May 2014); and the
pursue technology-intensive activities. Only 3% of Azerbaijans
industrial output is high-tech (Hasanov, 2012). The growth of n creation of a National Nuclear Research Centre under the
technologically intensive activity is constrained by problems in new Ministry of Communications and High Technologies
the general business environment, where Azerbaijan ranks near (May 2014).
the bottom for Eastern Europe and Central Asia (World Bank,
2011), despite improvements in recent years. The following constitute the current priority areas for S&T
development in Azerbaijan, according to a presentation made
More generally, according to Hasanov (2012), the governance by Bunyamin Seyidov from ANAS to a Horizon 2020 Eastern
of Azerbaijans national innovation system is characterized Partnership meeting in Chisinau in March 2014:
by limited administrative capacity for policy design and
n ICTs;
implementation; the lack of an evaluation culture; an arbitrary
policy-making process; a lack of quantitative targets in most n energy and environment;
of the adopted policy documents related to the promotion
n efficient utilization of natural resources;
of innovation and a low level of awareness of recent
international trends among government officials responsible n natural sciences;
for developing innovation policy.
n nanotechnologies and new materials;

STI has become a greater priority n safety and risk reduction technologies;
In recent years, the government has sought to develop the
n biotechnology;
contribution of STI to the economy, notably by inviting
UNESCOs assistance in 2009 in developing an Azerbaijan n space research; and
Science, Technology and Innovation Strategy. This document
n e-governance.
was intended to build on the National Strategy (Government
of Azerbaijan, 2009) adopted by Presidential Decree in 11. See: http://mincom.gov.az/ministry/structure/state-fund-for-development-of-
May 2009, with ANAS being designated co-ordinator of information-technologies-under-mcht
the Strategy. 12. See: www.president.az/files/future_en.pdf

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UNESCO SCIENCE REPORT

Next steps for Azerbaijan to improve the business environment and promote the
There is no doubt that Azerbaijan is aware of the need to step development of SMEs. However, state companies continue
up its STI effort. Nor is it surprising that the country has not yet to dominate production and exports, whereas the rate of
managed to overcome the Dutch disease associated with a new firm creation remains low (UNECE, 2011).
sudden surge in oil wealth (see glossary, p. 738). Although the
country has suddenly been propelled to the ranks of an upper Belarus is a catching-up economy that will remain
middle-income country for GDP per capita, it is still catching up dependent on imported technology for some time to come,
in terms of modernizing its economic and institutional fabric. despite having declared 20 years ago that its strategic
There is now a need to follow through on these good intentions policy objective was to develop an economy based on
with decisive reforms, including the following: science and technology. Since then, more than 25 laws and
presidential decrees have been introduced, some
n The past few years have seen a vast number of laws and
40 governmental decrees have been issued and many other
presidential decrees and decisions proclaimed on STI
legal acts have been put in place to contribute to this stated
matters but few concrete improvements; it would be useful
aim. All this has created broad awareness of the importance
to carry out a comprehensive evaluation of past measures
of science and technology for the countrys economic
to identify what is preventing regulatory initiatives from
prosperity.
being translated into action.

n The large number of STI policy documents adopted in Ministries and other governmental bodies have developed
Azerbaijan contain surprisingly few quantitative targets; it The Concept for the National Innovation System on the
would be worthwhile to consider adopting a small number basis of the National Strategy 2020, adopted in 2006,
of cautious and judiciously chosen targets, in order to the Technology forecast 20062025 and other strategic
measure progress towards the desired goals and facilitate documents. The Concept approved by the Science and
an ex post evaluation. Technology Policy Committee of the Council of Ministers
in 2006 recognizes the sectorial approach as being
n The government should take decisive steps to improve the
predominant in developing and implementing the
general business environment, such as by strengthening
countrys science and innovation policy.
the rule of law, in order to help Azerbaijan derive economic
benefits from its input into innovation.
Scientific co-operation is growing
The government was planning to increase GERD to
BELARUS 1.21.4% of GDP by 2010 but this has not been achieved.
This eliminates any likelihood of reaching the more recent
A specialization in engineering and oil target of raising GERD to 2.52.9% of GDP by 2015, a target
refining ensconced in the Programme of Social and Economic
Belarus is not well-endowed with natural resources and relies Development for the Republic of Belarus covering
largely on imported energy and raw materials. Historically, 20112015 (Tatalovic, 2014).
the country has always specialized in processing; the main
activities of its large industrial sector (42% of GDP in 2013) are The Belarusian R&D system is strongly dominated by
engineering (agricultural technology and specialized heavy technical sciences, which represent approximately 70%
vehicles such as tractors) and the refining of oil supplied of GERD, whatever the source of funding (including the
mainly by Russia. These sectors are heavily dependent on states goal-oriented programmes). Sectorial ministries in
external demand, which is why foreign trade contributes a Belarus each have their own established funds to finance
bigger share of GDP for this upper middle-income economy innovation in key economic sectors, such as construction,
than for any other in this group (Table 12.1). With 50% of trade industry, housing and so on. Arguably the most successful
involving the Russian Federation, the Belarusian economy has of these funds is that targeting ICT companies.
been vulnerable to the crisis currently affecting its biggest
commercial partner; for example, after the Russian ruble lost Only 3.6% of R&D funding was spent on international co-
nearly 30% of its value in just a few days in December 2014, operation in 2012 , according to the Belarusian journal
the value of the Belarus ruble fell by half. Nauka i innovatsii (2013). There is no specific national policy
document on international collaboration in the various
The Belarusian authorities have followed a path of gradual scientific fields. The share of GERD funded from abroad,
transition towards a market economy. The state retains which oscillated around 58% between 2003 and 2008,
significant levers of influence over the economy and there climbed to 9.7% on average in 20092013. The number of
has only been limited privatization of large enterprises. research projects with international partners has also more
The authorities have developed initiatives in recent years than doubled in the past seven years.

328
 Countries in the Black Sea basin

A skilled labour force but ageing researchers n Facilitating and encouraging access by innovative SMEs
The Belarusian R&D system reflects the legacy of its Soviet to state science and technology programmes; in addition
past, as privately owned business enterprises are not a major to the development of science and technology parks,
performer of R&D, in contrast to what you find in market innovation-related tax incentives could be applied across
economies. This said, the R&D system is, in principle, largely all sectors and industries and incentives could be offered
oriented towards enterprises, which buy S&T services from to foreign firms to encourage them to set up R&D centres
branch research institutes. In Belarus, the latter play a bigger in Belarus;
role in providing S&T services than the university sector. This
n Granting targeted tax relief for early-stage innovation by
feature has remained a strong characteristic of the Belarusian
SMEs, in particular, such as subsidized loans, innovation
system, despite the gradual transformation taking place.
grants or vouchers and credit guarantee schemes, which
take on some of the risk borne by the innovative SME of
Belarus has preserved engineering competencies in large
defaulting on a loan;
enterprises and has a skilled labour force. Although its R&D
potential remains high, the deteriorating age structure, n Conducting an ex post evaluation (which combines

Chapter 12
coupled with brain drain, has negatively affected actual quantitative and qualitative assessments) of the degree
performance. In the past ten years, the share of R&D staff aged to which programmes, projects and policy instruments
between 30 and 39 years has halved from more than 30% meet policy objectives and targets; incorporating elements
to about 15% of the total. The number of those aged 60 and that facilitate subsequent ex post evaluation at the early
above has grown six-fold. The reputation of scientists and stages of designing programmes, policies and related
their status remain high in Belarus but the professions appeal instruments; and
has waned.
n Expanding the scope and outreach of regional
programmes promoting science and technology
The distribution of R&D staff within the country is irregular.
to encompass regional innovative development,
Three-quarters of researchers are still concentrated in the
accompanied by the requisite additional resources.
capital, followed by the Minsk and Gomel regions. Relocating
research personnel is costly and strongly dependent both
on the availability of research infrastructure and the overall GEORGIA
economic situation, which has not been conducive in recent
years to relocation programmes. Ahead on market reforms but STI could
do more to drive development
Owing to changes in statistical methodology which now Compared with other economies at a similar stage of
consider state enterprises operating like commercial entities development, Georgia is one of the most advanced in
as being part of the business enterprise sector, in line with the implementing market-oriented reforms but also one of the least
OECDs approach, business spending on R&D has risen to the focused on nurturing STI for socio-economic development.
detriment of government funding (down to roughly 0.45%
of GDP in 2013). The role of the higher education sector With few natural resources to speak of and hardly any legacy
remains negligible. of heavy industry, Georgias economy has been dominated
by the agro-industry since Soviet times. As late as 2009, food
The number of articles published in internationally tracked and beverages represented 39% of manufacturing output
journals has stagnated in recent years (Figure 12.6). Belarus is and the share of agriculture in employment stood at 53%
performing much better in terms of national patents. Domestic (FAO, 2012). Exports of transport services (including oil and
patent applications are up from fewer than 700 per year in the gas via pipelines) have become important sources of revenue,
early 1990s to more than 1200 in 20072012. For this indicator, representing 56% of GDP in the last five years, according to
Belarus is doing better than some of the new EU members, the World Bank. Broad-based growth is presently reducing the
such as Bulgaria or Lithuania. relative importance of these sectors, however. The Georgian
economy grew by an average of 6% per year between 2004
Next steps for Belarus and 2013, driven by a noteworthy push on structural reforms
From the foregoing, it would seem advisable to consider and liberalisation starting in 2004 (World Bank, 2014).
taking the following steps:
Indeed, Georgia has been one of the most resolute reformers of
n Complementing existing vertical instruments in high-level modern times when it comes to advancing economic freedoms
policy documents with horizontal ones cutting across and improving the business environment. The country rose
firms, industries and sectors to improve linkages among 101 places in the World Banks Doing Business Indicator
the various stakeholders in innovation; between 2005 and 2011. Meanwhile, its extensive anti-

329
UNESCO SCIENCE REPORT

corruption and administrative simplification campaign helped in 2009 (Walker, 2011). Georgia also ranks below comparable
lower the share of the informal economy in Georgias fast- countries in the Trends in International Mathematics and
growing GDP from 32% to 22% from 2004 to 2010 (OECD et al., Science Study survey of 2007. At the tertiary level, Georgias
2012). inbound mobility is virtually zero, indicating serious
attractiveness problems. As outbound mobility is high, brain
Against the backdrop of this economic success story, Georgia drain is also a potential problem, according to a 2010 study
currently presents a much more ambivalent picture when it by the Technopolis Group of the way in which doctoral
comes to STI: programmes are run in EU neighbouring programmes.

n Government funding for R&D is low and unstable state

Time for a strategic vision
budgetary expenditure on R&D tripled between 2009
The present STI institutional structure in Georgia began to
and 2011, only to contract by two-thirds again by 2013,
emerge after what is known as the Revolution of Roses13
according to the National Statistics Office. The budget is
in 2003. Cabinet-level responsibility for science policy rests
allocated in a haphazard way as a result of institutional
within the Ministry of Education and Science (MoES), within
inertia and much of it is spent on non-scientific needs
the framework of the Law on Higher Education (2005) and
(State Audit Office, 2014).
the Law on Science, Technologies and their Development
n R&D in the business sector is not measured and there is a (2004, modified in 2006). The National Academy of Sciences
general lack of comparable data on STI for recent years. was formed by merging older academies in 2007; it fulfils
an advisory role in STI matters. The principal government
n Georgia occupies a median position among the
instrument for funding public research is the Shota Rustaveli
seven Black Sea countries in terms of scientific output
National Science Foundation, which was formed in 2010 by
(Figure 12.6).
merging the National Science Foundation with the Foundation
The governments recent audit of the science sector (State for Georgian Studies, Humanities and Social Sciences.
Audit Office, 2014) makes a critical assessment of the situation,
arguing that, science does not significantly participate in the The governments own audit acknowledges that a strategic
process of economic and social development (in Georgia). vision and priorities of scientific activities are not defined.
The assessment underlines the disconnect between applied Moreover, in the absence of top-down sectorial priorities,
research and concrete innovation and the private sectors the Rustaveli Foundation is believed to allocate project
lack of interest in research. It also deplores the absence of any funding across fields based on the merits of each proposal in
evaluation of publicly funded research. isolation. There are no data to assess the outcome of recent
reforms designed to integrate public research institutions
In addition to its own half-hearted efforts to generate new and universities and knowledge transfer offices are yet to be
knowledge and technology, Georgia is making little use of created on university campuses (State Audit Office, 2014).
the technology that is globally available; despite the countrys
relative openness to trade, its imports of high-tech goods International development partners from advanced Western
have stagnated at low levels, with just 6% growth over economies have been active in Georgia in the past ten years
20082013, according to the UN's Comtrade database. and have contributed studies on the strengths, weaknesses,
opportunities and threats facing STI in Georgia. One such
Urgent challenges in education Constraints Analysis was undertaken by the Government of
The countrys neglect of education is likely to constrain future Georgia in co-operation with the Millennium Development
growth prospects. Although the educational attainment of Challenge Corporation in 2011. These partners have also
the adult population has been historically high in Georgia, analysed specific science sectors and trends in overseas
the tertiary enrolment rate in 2013 remained 13.5 percentage development assistance. One example is the study by
points below the peak in 2005. Doctorates awarded in science Georgias Reforms Associates in 2014 on Analyzing Ways
and engineering slid by 44% (to a total of 92) in the five years to Promote Research in Social Sciences in Georgias Higher
to 2012 and enrolment at this level in these fields also fell Education Institutions, funded by USAID.
sharply, although there has been a surge in recent years,
according to the UNESCO Institute for Statistics. Next steps for Georgia
The governments liberal, hands-off approach to economic
Georgia also faces challenges with regard to the quality development has brought considerable benefits but Georgia
of secondary education. The performance of the countrys
15 year-olds in reading, mathematics and science was
13. The Revolution of Roses was characterized by widespread protests over
comparable to that of some of the lowest-ranking countries in disputed parliamentary elections which led to President Eduard Shevardnadzes
the OECDs Programme for International Student Assessment forced resignation in November 2003.

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 Countries in the Black Sea basin

would now gain from additional policies that harness STI to president is a member of the government. It is also the
development. It should act upon the recommendations made main policy implementation body. Nearly all public R&D
by the State Audit Office (2014) and consider the following: and innovation funding programmes are managed by
the Academy through its executive body, the Supreme
n There is a need to improve the availability of timely and
Council for Science and Technological Development, and its
internationally comparable data on STI input and output.
subordinated management bodies and agencies, the Centre
n On the education front, Georgia has key advantages on for Fundamental and Applied Research Funding, the Centre
which it can capitalize, including the greatly reduced level for International Projects and the Agency for Innovation and
of corruption and the absence of demographic pressure; Technology Transfer. The Consultative Council for Expertise
it now needs to reverse the declining tertiary enrolment assures the evaluation of these three funding agencies. With
rates and address quality issues in secondary education. its 19 research institutes, the Academy is also the countrys
main research organization. Sectorial research institutes
n There is a need to reflect on an advisory structure on
under certain ministries also carry out research.
STI matters which would incorporate the perspectives
of stakeholders outside government and academic

Chapter 12
The countrys 32 universities also perform scientific research
circles, especially the enterprise sector, in the design and
but not necessarily technological development. The business
implementation of STI policies.
enterprise sector also performs R&D but only four entities14
n The development of a national innovation strategy would are accredited by the Academy of Sciences, thereby giving
improve the coherence and co-ordination of policies them access to public competitive R&D funding.
in different governmental spheres: education, industry,
international trade, taxation, etc. Given the trend in Moldova towards emigration and brain
drain, the number of researchers per million inhabitants
has stagnated at a level well below those of other Black Sea
MOLDOVA countries (Figure 12.2). The share of the population with tertiary
education is relatively high but the number of new doctorate
An alternative growth engine to replace graduates per 1 000 population aged 2534 years is less than a
remittances fifth of the EU average. Moldova has difficulty in attracting and
Moldova has one of the lowest levels of GDP per capita in Europe retaining foreign students and researchers, as the education
and the lowest in the Black Sea region (Table 12.1). Moldovas offered by local universities does not meet market expectations
emigrant population is among the largest in the world, in relative and generally offers unattractive conditions (Cuciureanu, 2014).
terms; it accounts for about 30% of the labour force. Workers
remittances are high (23% of GDP in 2011) but their contribution The Innovation Strategy: Innovation for Competitiveness
is expected to stagnate (World Bank, 2013), so the country needs developed by the Ministry of the Economy for the period
an alternative growth engine based on exports and investment. 20132020 outlines five general objectives: adoption of
an open governance model for research and innovation;
Moldovas economy recovered strongly from the global strengthening entrepreneurship and innovation skills;
financial crisis, growing by more than 7% in 20102011, but encouraging innovation in enterprises; applying knowledge
growth has been unstable since, with GDP contracting by 0.7% to solve societal and global problems; and stimulating
in 2012 only to rebound by 8.9% in 2013, according to the IMF. demand for innovative products and services. In parallel,
This underlines Moldovas vulnerability to the Eurozone crisis the Strategy for Research and Development of the Republic
and climatic events such as droughts (World Bank, 2013). of Moldova until 2020 prepared under the guidance of the
Academy of Sciences and approved in December 2013
After peaking at 0.55% of GDP in 2005, GERD dropped establishes an R&D investment target of 1% of GDP by 2020.
to 0.36% in 2013, according to the UNESCO Institute Neither strategy identifies clear thematic priorities.
for Statistics. The share of GERD performed by business
enterprises has been very erratic, dropping from 18% in 2005 The governments main funding instruments are the so-called
to 10% in 2010 before bouncing back to 20% in 2013. The low institutional projects, which allocate more than 70% of public
level of R&D investment means that research infrastructure funds in a semi-competitive mode. These competitive funding
remains undeveloped, although ICT networks and databases
are available to researchers to some extent.
14. Three state enterprises have been accredited, the Institute of Agricultural
Engineering (Mecagro), the Research and Production Enterprise of Aquatic
A centralized national innovation system Biological Resources (Aquaculture Moldova) and the Research Institute for
Construction (INCERCOM) and have access to public competitive R&D funding. A
The Academy of Sciences is the main policy-making body fourth, the Institute for Development of an Information Society, is in the process of
in Moldova; it fulfils the role of ministry of science, as its obtaining accreditation. Source: http://erawatch.jrc.ec.europa.eu

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UNESCO SCIENCE REPORT

schemes include state programmes for R&D, international n Updating research equipment and the countrys technical
projects and projects for the transfer of new technologies base;
and processes, grants for young researchers, including
n Designing targeted incentive schemes to encourage
PhD fellowships, as well as grants for the procurement of
the young to embark on a research career, including
equipment, the editing of monographs or for organizing
stipends, grants and awards for young scientists,
scientific conferences.
programmes for training abroad and so on;

The rest is allocated through other funding modes, such as n Greater participation in the European Research Area
block grants to the administration, research facilities or to and other international networks;
subordinated agencies of the Academy of Sciences and to
n Accelerating technology transfer and encouraging
pay for infrastructure. In recent years, there has been a trend
partnerships between research institutions and the
towards increasing the share of institutional funding at the
business enterprise sector.
expense of the other funding instruments.

Only the state programmes for R&D have a thematic focus

(Figure 12.7). The procedure for funding policy instruments, TURKEY
evaluation, monitoring and reporting is identical for
each thematic priority. The topics tend to be broad and Ambitious development targets to 2023
government funding modest. Moreover, programme-based In the past decade, Turkey has experienced
R&D financing has dropped by two-thirds in the past five an economic boom that was only briefly curtailed by
years to an insignificant 0.35 million in 2012. the global financial crisis. This has carried GDP per capita
from one-third (32%) that of high-income economies
Next steps for Moldova in 2003 to almost half (47%) in 2013, according to the
Since the 2004 Law on Science and Innovation, the World Banks World Development Indicators, and reduced
combination of reforms and closer ties with the EU in research economic inequalities (OECD, 2014, Box 12.1.) Growth has
and innovation have helped to prop up the national science been driven by the emergence of new, first-generation
system but have not been enough to stop its decline. A recent enterprises in previously non-industrial, low-income
paper by a consultant to the Academy of Sciences recommends parts of the country and accompanied by an expanding
prioritizing the following reforms (Dumitrashko, 2014): employment rate (OECD, 2012, Figure 2.2).

Figure 12.7: Budget breakdown of Moldovas state programmes for R&D, by thematic priority, 2012 (%)

Biomedicine, pharmaceuticals 16.7 Efficient utilization of human,

and human health natural and information resources
for sustainable development

28.1

Agricultural biotechnology, Consolidation of the rule of

soil fertility and food 26.9 2012 law and utilization of cultural
security heritage in the perspective of
European integration

12.8
Nanotechnology, industrial 13.0 Efficient growth of the energy
engineering, new materials and products 2.5 sector, energy security, including
renewable resources

Source: Cuciureanu (2014)

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 Countries in the Black Sea basin

Table 12.5: Key development targets for Turkey to 2018 and 2023

Situation in 2012 Targets to 2018 Targets to 2023

GDP per capita at market prices (US$) 10 666 16 000 25 000

Merchandise exports (US$ billions) 152 227 500

Share of world trade (%) 1.0 _ 1.5

GERD/GDP ratio 0.86 1.80 3.0

Share of GERD performed by business enterprise sector (%) 43.2 60.0 _

Researchers (FTE) 72109 176000 _

Source: MoDev (2013); World Banks World Development Indicators, accessed November 2014; UNESCO Institute for Statistics, March 2015

Chapter 12
Formulated in 2008, the governments Strategic Vision 2023 approaching levels found in advanced economies such as
includes ambitious15 development targets, such as achieving Spain or Italy, but is well below that found in fast-growing
a GERD/GDP ratio of 3% by the time the republic celebrates its emerging market economies such as China, where the
centenary in 2023 and turning Turkey into a Eurasian hub for business enterprise sector contributes more than 70% of
medium- and high-tech exports (Table 12.5). It also puts GERD. At the same time:
the countrys STI policy goals in context. To the same end,
n Turkey has pursued its efforts to improve the quantity
the Tenth Development Plan (20142018) establishes
and quality of schooling available to the average person.
operational targets to 2018 such as that of raising the share
For instance, there has been a significant improvement in
of business expenditure to 60% of GERD (MoDev, 2013,
the scores of 15 year-olds in mathematics in the OECDs
Table 23), which would imply doubling the number of FTE
Programme for International Student Assessment; this feat
researchers in five years.
is attributed both to the growing wealth of the general
population, which can afford better tutoring, and to the
External factors could frustrate Turkeys ambitions
impact of education sector reforms (Rivera-Batiz and
Turkeys ambitions could yet be frustrated by external
Durmaz, 2014).
factors. The countrys economic growth remains dependent
on foreign capital flows. As much of these flows are non- n Internationally comparable opinion surveys of managers
FDI, growth is subject to changing perceptions of Turkeys generally place Turkey below levels found in the more
country risk, or to swings in monetary policy in the USA or advanced emerging market economies, although there has
Eurozone. With many of Turkeys principal export markets been some improvement in the past five years, according
appearing to be trapped in an extended period of modest to the Global Innovation Index (2014) and successive
growth, at best, Turkeys official development targets seem Global Competitiveness Reports since 2008.
very difficult to reach. Apart from a period between 2002 and
n More generally, Turkeys rankings in qualitative
2007 when total factor productivity growth was the main
international comparisons tend not to match its ambitions.
driver, it is the increases in capital and labour input which
One international survey of business executives in
still primarily drive growth in Turkey (Serdarolu, 2013).
25 of the principal innovative economies suggests that
Historically, growth in manufacturing has been driven mainly
the gap between in-country executives opinion of the
by greater use of technology, rather than by the generation of
quality of the innovation environment in Turkey and that
new technologies (enturk, 2010). All these reasons justify a
of outsiders is one of the widest of any country (Edelman
renewed focus and re-examination of STI policies in Turkey, in
Berland, 2012).
order to learn from recent experience.
n Whereas the percentage of women with a PhD in science
Some universityindustry collaboration but quality and engineering fields has been improving in recent years,
is an issue the gender balance between researchers has been going
Since the release of the UNESCO Science Report 2010, Turkey the other way, especially in the private sector, and remains
has been pursuing the vigorous expansion of R&D which quite low in decision-making circles. As of 2014, none of
began around 2004. The R&D intensity of the economy is the 20 permanent members of the Supreme Council for
Science and Technology was a woman.
15. See: www.tubitak.gov.tr/en/about-us/policies/content-vision-2023

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UNESCO SCIENCE REPORT

A highly centralized national innovation system Framework Programme (20072013). Efforts are now being
The institutional structure of the Turkish STI system made to seize the opportunities available under the Horizon
remains highly centralized (TBITAK, 2013, Figure 1.1). 2020 programme (20142020) more fully. Despite this, the
Key recent developments include: Turkish innovation system's international linkages remain
limited, in terms of outcome:
n The mandate of the former Ministry of Industry and
Commerce was broadened in 2011 to that of a Ministry n In innovation surveys, Turkey ranks lowest among OECD
of Science, Technology and Industry, which now countries for both national and international collaboration
oversees the Scientific and Technological Research involving firms, according to the OECD STI Scoreboard
Council of Turkey (TBITAK). of 2013.

n The former State Planning Agency was transformed n The share of GERD funded from abroad is one of the lowest
into the Ministry of Development in 2011 and is now in the Black Sea grouping and has not kept pace with the
responsible for preparing the Technological Research expansion of the countrys STI effort in recent years: at
Sector Investment Budget, amounting to PPP$1.7 just 0.8% in 2013, according to the UNESCO Institute for
billion in 2012 (TBITAK, 2013), and for co-ordinating Statistics, it accounted for 0.01% of GDP.
regional development agencies.
n Although patenting has grown in recent years, Turkey
n In August 2011, the government changed the statutes has one of the lowest rates for cross-border ownership of
of the Turkish Academy of Sciences (TUBA) by decree patents among OECD countries and the share of business
and increased the share of members it can appoint R&D funded by foreign enterprises is negligible, according
directly to its Science Council, fuelling concerns in the to the OECDs STI Scoreboard (2013). Moreover, unlike
press about TUBAs future scientific independence. many emerging market economies, Turkey does not take
part in international trade in R&D services in any
n Chaired by the prime minister, the Supreme Council
significant way.
for Science and Technology has met five times since
2010 to review progress and foster co-ordination in STI
This said, other aspects of Turkeys international linkages in STI
matters. Its recent meetings have tended to focus on a
offer promise:
single specific technology sector: energy in 2013, health
in 2014. n Turks are the sixth-largest national contingent for PhDs in
science and engineering fields awarded to foreigners in
n Current activities are governed by the National Science,
the USA; they earned a total of 1935 degrees in 20082011
Technology and Innovation Strategy (20112016), which
(about 3.5% of all foreigners in the USA), compared to the
sets the following sectorial priorities:
5905 similar degrees awarded inside Turkey over the same
Target-based approaches in three areas with a period (NSB, 2014).
strong R&D and innovation capacity: automotive,
n Generally, Turkish international co-operation in science per
machinery manufacturing and ICTs;
se is much stronger than that in innovation. For instance,
Needs-based approaches in areas where acceleration the USATurkey bilateral link is one of the more important
is required: defence, space, health, energy, water and examples of co-authorship of scientific articles, according
food. to the OECDs STI Scoreboard (2013).

On the whole, the dynamic Turkish private sector has not

Businesses have not grasped the governments grasped the governments helping hand when it comes to
helping hand STI. The Turkish economy has rebounded well from the tight
Turkey participates in various European research co- contraction of 20082009 but its export performance is not
operation networks and is one of the founding members keeping up with competitors in developed country markets
of the OECD. In 2014, Turkey became an Associate Member (OECD, 2014). Whereas the technologically more advanced
of the European Organization for Nuclear Research (CERN), regions in the northwest of the country have continued to
where it had been an Observer since 1961. Turkey has long grow and deepen their integration with the EU, thanks to the
had close ties to Europe: it was one of the first countries to customs union, the Turkish economys overall shift to higher-
conclude an Association Agreement with the EU in 1964; tech patenting and exports has been slow, owing partly
it has enjoyed a customs union with the EU since 1996 to the rapid expansion of a middle ground of enterprises
and opened accession negotiations in 2005. Despite this, specializing in relatively low-tech manufactured goods such
science diplomacy got off to a slow start with the EUs as textiles, food, plastic and metal products in much of the
Sixth Framework Programme for Research and Innovation country for export to developing countries (OECD, 2012). With
(20022006), before accelerating under the Seventh the boom in Turkish trade with developing countries, the

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 Countries in the Black Sea basin

EUs share of Turkish exports has been declining, particularly different players participating in the Turkish innovation
since 2007; this decline can also be interpreted as slower system to make the whole more coherent: scientists,
integration into EU value chains and the technological universities, public laboratories, large or small enterprises,
upgrading that this entails (Iik, 2012). NGOs and so on.

This said, export performance may not fully capture the Measures could include:
ongoing technological transformation:
n making a systematic effort to involve representatives
n The share of manufacturing employment in medium- of industry in the design and implementation of
tech sectors has been growing (OECD, 2012). Anecdotal government-driven schemes, from technology parks to
evidence points to technology-intensive service sectors the regional development agencies that have been set
with growing excellence but few exports to speak of, up since the late 2000s;
one example being in-house professional software
n reversing the declining gender balance in human
development in banking, telecommunications and so on.
resources in STI, in general, and improving it at the
The share of services within business expenditure on R&D

Chapter 12
highest decision-making levels, such as within the
has grown strongly from around 20% in the mid-2000s to
Supreme Council on Science and Technology;
47% in 2013, according to the latest OECD statistics.
n moderating the tendency to pursue top-down priorities
n There is strong growth in medium-tech exports such
and sector-specific incentives by taking better account
as in automotive or machinery production, a trend
of the very diversified and broad-based dynamism of the
that is echoed in the field of intellectual property, where
Turkish private sector;
the strong recent growth in patenting has been mostly in
low or medium technology (Soybilgen, 2013). n publishing consolidated and timely data on total public
support for STI, including the amount of tax incentives;
n Within a considerably open economy characterized by a
customs union with the EU, many Turkish enterprises can n surveying barriers to FDI in R&D, as well as the R&D
afford to import the highest-tech machinery available activities of Turkish multinationals abroad;
in their sector, develop production in keeping with
n strengthening the culture of evaluation regarding public-
global best practice and seek excellence in high-end
sector initiatives in the area of STI and their outcomes,
manufacturing within seemingly low-tech sectors, such as
both as concerns the system as a whole and key
textiles, foodstuffs or logistics.
government initiatives such as technoparks (Box 12.3)
or participation in international research networks like
Next steps for Turkey Horizon 2020. The government should seize upon the
Having made great strides in the level of public support for available expertise in internationally comparable
STI in the past decade, the public authorities now need to evaluations, such as the innovation reviews conducted
consider additional measures to interconnect better the by the OECD.

Box 12.3: Time to assess the impact of Turkish technoparks

Technoparks created in association host some 2500 firms, 91 of which have parks and the lack of published data
with universities have been one of foreign capital. In 2013, they employed on the cost of tax breaks and other
the Turkish governments flagship 23000 R&D personnel and generated forms of public support extended to
schemes to foster business incubation US$1.5 billion in exports (1% of the total). them. A 2009 report by the State Audit
in recent years. The first technoparks Committee underlined the need for an
were set up in 2001 in Ankara and Although this feat is impressive, independent evaluation and impact
Kocaeli in Turkeys traditional industrial recent reports have been critical of assessment of existing technoparks
heartland. the trend towards a certain inertia, a judgement confirmed by a more
with a growing number of universities recent report by a Ministry of Science,
By 2011, there were a total of establishing technology parks only Technology and Industry inspector
43 technoparks, 32 of which were to struggle to provide them with (Morgl, 2012).
operational. Their number may have professional management and adequate
even climbed to 52 by 2014, according funding. Reports deplore the scarcity Source: authors; see the Association of Turkish
to press reports. Turkeys technoparks of performance evaluations of existing Technology Parks: www.tgbd.org.tr/en

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UKRAINE in 20132015, the Euromaidan Revolution followed by

armed conflict. In 2009, Ukrainian exports fell by 49%
Co-operation with the EU in S&T is a over the previous year and the economy contracted by
priority 15%. The crisis resulted from a combination of factors,
All Ukrainian governments in the past decade have including the slump in international prices for steel, which
announced plans to restructure the economy to make it more forced the metallurgy and machine-building industries
innovative and competitive. This modernization, combined to reduce wages and lay off workers, and the suspension
with higher living standards, is a prerequisite for adhesion to of gas supplies by Russia in January 2009 in a dispute
the EU, the countrys long-term ambition. over Ukraines natural gas debt. The crisis in turn affected
GERD, which represented UAH 8025 million (796 million)
The countrys crucial problems, such as energy wastage, in 2007 but had declined (in euro terms) to UAH 8236
poor environmental protection and an obsolete industrial million (680 million) by 2009. In 2010, Ukraine returned
sector and infrastructure, are not going to be solved without to positive growth (4.2%) and GERD had recovered to UAH
international co-operation and the acquisition of new 9591 million (865 million) by 2011 but R&D intensity
knowledge. Moreover, national priorities in S&T tend to have a shrank over the same period from 0.85% (2007) to 0.77%
lot in common with those of the EU. (2013) measured in PPPs. GERD is expected to decline
once more in euros in 2014 (HSE, 2014).
The following priorities figured in the State Law of
Ukraine on Priorities for the Development of Science and State funding of R&D has itself fluctuated over the past
Technology (2010): decade; it accounted for 36% of GERD in 2002, 55% in 2008
and 47% in 2013. The bulk of state funding goes towards
n Basic research into key scientific problems in different supporting the state-sponsored academies of sciences,
disciplines; including the National Academy of Sciences. The state has
tried to involve the private sector in research projects but
n Environmental studies;
this has met with limited success, largely because the state
n ICTs; itself has repeatedly failed to meet its own obligations
when it comes to financing research projects.
n Energy generation and energy-saving technologies;

n New materials; Low-tech heavy industries form the core of the

economy
n Life sciences and methods for combating the main
The share of business funding of R&D has dropped since
diseases.
2003 (36%). It hit a low of 26% in 2009 and has stagnated
The share of foreign sources in R&D funding is relatively high since (29% in 2013). The generally low level of private
in Ukraine, accounting for about 25% of GERD in 20102013. sector expenditure on R&D is a consequence of the
Ukrainian state statistics do not provide information about specific structure of the Ukrainian economy: two-thirds of
the distribution of funding by country of origin. However, it is business spending on R&D is concentrated in machine-
known that a substantial share is associated with the Russian building, an industry which has seen its contribution to the
Federation, the USA, EU and China. national economy contract since independence in 1991,
with an acceleration in its decline during the economic
Ukraine concluded a new agreement with the EU on S&T crisis of 20082009 and again during the political crisis of
co-operation in 2010 that was implemented a year later. It has 20132015, Russia being the machine-building sectors
opened up new opportunities for co-operation and creates main customer up until now. Heavy industries with low
framework conditions for a number of joint initiatives, such R&D intensity form the core of the national economy:
as joint research projects with EU funding, joint expeditions, ferrous metallurgy, production of basic chemicals and
the exchange of information and so on. In July 2015, the coal-mining.
Ukrainian parliament ratified the agreement for the country's
associate membership of the EU's Horizon 2020 programme Technoparks in decline since abolition of tax breaks
(20142020). The most successful experiments in commercializing
research projects were those associated with
Successive crises have eroded R&D spending technoparks in 19992005. In fact, these technoparks
Successive crises have had a negative impact on the economy, were more evocative of clusters of high-tech companies
in general, and R&D funding, in particular: first, there was and groups of scientists and engineers who enjoyed
the economic crisis of the late 2000s then depreciation of a favourable regime for realizing their research and
the national currency, the Ukrainian hryvnia (UAH), and, innovation projects. The best technoparks were those

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 Countries in the Black Sea basin

established by institutes of the National Academy of related programmes, as well as for fixing S&T priorities
Sciences which had a strong technological orientation, such and the provision of scientific advice. Their situation has
as the Paton Institute of Electric Welding and the Institute been complicated by the de facto absorption of numerous
of Monocrystals. Both the institutes themselves and their Ukrainian research institutions in Crimea by the Russian
registered innovation projects were entitled to tax breaks. Federation since 2014, including the A.O. Kovalevsky
However, since the abolition of these tax breaks in 2005, the Institute of Biology of the Southern Seas in Sebastopol and
number of innovation projects has stagnated and the Crimean Astrophysical Observatory in Nauchny.
the role played by technoparks in national innovation
has declined. The public research system currently lags behind the world
average for the quantity of research articles and their impact.
Most research bodies focus on industrial development The number of Ukrainian publications has not yet recovered
Research policy in Ukraine is overseen mainly by the central to 2008 levels and the citation rate is one of the lowest among
ministries but local bodies also have some tools at their disposal Black Sea countries. The share of Ukrainian publications in the
with which they can exert influence over local universities and Web of Science declined from 0.5% in 19962000 to about

Chapter 12
research institutions, in particular. Local bodies can introduce 0.2% in 2012. Ukraine has an especially poor record in social
tax incentives, for example, provide financial support from local sciences, computer sciences, life sciences and agricultural
budgets and allocate public land for technoparks and business science, despite being the worlds third-biggest grain exporter
incubators. Traditionally, the university sector has played a in 2011, with higher than average yields (Figure 12.6). The
subordinate role in the national research system, as it focuses shares of Ukrainian publications in some areas of technical
mainly on teaching. The share of GERD performed by the higher sciences, such as welding and electric machines, are much
education sector has hovered between 5% and 7% since the higher (Zinchenko, 2013).
turn of the century. There are more than 340 universities but
only 163 of them performed R&D in 2013. Approximately 40 of No long-term human resource policy for R&D
these universities are privately owned. The governments long-term human resource policy in R&D
could be defined as inertial rather than targeted, despite
The Ministry of Science and Education plays the key role the different types of special stipend16 for scientists, the most
in determining science policy, along with the Ministry of recent of which was introduced in 2012 to finance studies
Economic Development and Trade, although a number of abroad. Although Ukraine joined the Bologna Process, which
other ministries and agencies distribute state funds to specific aims to harmonize higher education across Europe, in 2005,
research programmes, projects and research bodies. The total it still preserves a mixed17 system. In 2014, the new Minister
number of ministries and agencies with science budgets for Education and Science announced plans to harmonize
varied from 31 to 44 in the 2000s (UNECE, 2013). Ukrainian degrees with the three-tiered degree system:
bachelors mastersPhD. Many scientists are of pensionable
The State Committee for Science and Technology has changed age in Ukraine. The average age of Doctors of Science is more
its name and functions several times since its creation in than 61 years and that of Candidates of Science more than 53.
1991, most recently in December 2010 when the majority The average age of researchers has been growing by one year
of its departments were incorporated into the Ministry of every three years (Yegorov, 2013).
Science and Education and other ministries or state agencies.
The former special State Committee on Science, Education Concern about the relevance of higher education
and Informatization became an agency in 2011 and was fully Ukraine inherited a relatively well-developed education system
incorporated into the Ministry of Science and Education in from the Soviet era. It still preserves some positive features
mid-2014; this committee is directly responsible for S&T policy of this system with its emphasis on mathematics and natural
formulation under the ministrys supervision (UNECE, 2013). sciences at school level. However, serious concerns have been
raised as to the quality of S&T education since independence.
The majority of research institutions are associated with
specific economic areas and focus on industrial R&D. Formally,
16. Young scientists may also apply for parliamentary stipends and stipends from
these organizations are subordinated to the different the National Academy of Sciences. Hundreds of distinguished older scientists
ministries and state agencies but, in recent years, ties with receive lifelong stipends from the President of Ukraine. Special monthly salaries for
the members and corresponding members of the state-sponsored academies of
the ministries have weakened. The National Academy of sciences could also be considered specific stipends for scientists.
Sciences and five other state-sponsored academies have
17. Bachelors and masters degrees have been introduced but the Soviet
traditionally been key actors in the national research system, qualification of specialist has been preserved. The Soviet Candidate of Science
as they receive three-quarters of the state budget devoted must not only hold a masters degree but also count no fewer than five
publications to his or her name. The Soviet Doctor of Science must be a Candidate
to R&D. Academies are responsible for basic research but of Science with substantial scientific experience and at least 20 international
also for the co-ordination of many research- and innovation- publications.

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UNESCO SCIENCE REPORT

For one thing, as universities have limited interaction with Next steps for Ukraine
industry, programmes do not follow the latest advances The government formed in 2014 has developed a series of
in the business world. Some high-tech sectors no longer measures to address the following key issues in Ukrainian
exist, including electronics and a number of military-related research policy:
enterprises in the machine-building industry. Demand for
n Establishment of research priorities which correspond to
degrees in some technical disciplines has declined, especially
the goals of national development;
in industry, after graduates were unable to find a job suited to
their qualifications. n A clear orientation of R&D towards respecting the best
EU standards, with the intention of joining the European
With the exception of agriculture, health care and services, Research Area; and
the share of graduates in natural sciences has shrunk by one-
n Administrative changes to improve the governance of the
quarter and in technical sciences by more than one-fifth since
R&D system.
the mid-2000s. The share of students studying humanities and
the arts, on the other hand, has grown by 5% and, in social However, policy measures outlined in different strategic
sciences, business and law by as much as 45%, according to documents are much less concerned with identifying specific
the State Statistical Office. demands for knowledge and especially with providing strategic
intelligence on structural changes in the economy. Moreover,
Between 2001 and 2012, the number of students climbed rather limited measures have been envisaged to improve
from 1.5 million to 2.5 million. This expansion will be knowledge circulation, to meet business knowledge demands
short-lived, however. With the countrys overall population and to increase resource mobilization in the private sector.
declining, the number of students will likewise decline in the
coming years. Nor are there many foreign students in Ukraine, Ukrainian research and innovation policy with respect to
although several foreign universities have established industry is almost exclusively focused on direct state support
campuses in Ukraine, including Moscow State Lomonosov for the six national academies of sciences, state-owned
University, while some foreign universities have established companies and state universities. There is a noteworthy lack of
joint programmes with their Ukrainian counterparts. co-ordination between research policy (focusing on the quality
Graduates receive a dual diploma from both universities. of academic research and the provision of skilled researchers)
Arguably the best-known twinning programmes concern and economic development policies, owing to a fragmentation
the Kiev Polytechnic Institute and several German technical of the responsibilities of both the state ministries and agencies
universities. and the central and regional authorities.

Box 12.4: A first for Ukraine: the Key Laboratory

In April 2011, the State Agency to minimize any external influence on teams were entitled to receive extra
for Science, Innovation and the decision-making process and was funding via the regular budgets
Informatization created the first relatively new to Ukraine. of their own institutes, as long as
so-called State Key Laboratory for these were attached to the National
Molecular and Cell Biology. The idea The institutional members of the Academy of Sciences.
was to provide extra funding for Key Laboratory were the Institute of
research in molecular and cell biology Physiology and the Institute of Molecular Two projects were selected for funding
in priority areas which required Biology and Genetics, both attached in 2011 2012 and another two in
collaboration among researchers from to the National Academy of Sciences. It 2013.A total of UAH 2 million (circa
different institutions. fell to the Scientific Council of the Key 190 000) was disbursed for the latter
Laboratory, however, to select research two projects in 2013.
Research projects were selected on projects on a competitive basis from
the basis of the evaluation by an among the research proposals it received Funding for the laboratory dried up in
expert group, headed by the German from scholars, irrespective of their 2014, as a result of the economic crisis.
Nobel Prize laureate Erwin Neher. institutional affiliation.
Projects were then approved by the
Scientific Council, which included Project funding was provided by the
several prominent scholars and state State Fund for Basic Research. In addition
officials. This procedure was designed to these standard block grants, project Source: compiled by authors

338
 Countries in the Black Sea basin

For all countries, making the various components of the national

CONCLUSION innovation landscape work as a system, rather than as disjointed
Countries can learn from one another and from parts, while maintaining sufficient flexibility remains a challenge.
emerging economies It is evident that Azerbaijan and Georgia, in particular, would
Most Black Sea countries still have a long way to go to benefit from a clearer focus on a national innovation strategy
catch up to dynamic middle-income countries when it comes at the highest political level. As for Armenia, Belarus, Moldova
to the STI policy environment and levels of investment in and Ukraine, they would get more mileage out of their existing
human resources, R&D and ICT infrastructure. In global STI strategies by making a more determined effort to address
comparisons, they tend to fare better for output than for shortcomings in the business environment.
input, with the notable exception of Azerbaijan and Georgia,
which seem to have particular difficulties in translating All seven countries would benefit from a stronger culture of
their modest R&D effort into economic gains. Georgia, for evaluation in the area of STI policies, not least Turkey, which
instance, has a relatively strong standing in some branches of has raised its level of investment in R&D by so much in recent
humanities but these publications do not fuel R&D and years. This would also help countries to establish and pursue
technology-driven innovation. more realistic goals and targets in this area.

Chapter 12
Most countries can look back on a strong orientation All countries should also make a bigger effort to converge
towards science and technology in their education systems with global best practice for STI data availability, quality and
and economic structures of the not too distant past. Some timeliness; this is especially critical for Georgia and, to a lesser
vestiges of this period still survive in the post-Soviet states, extent, for Armenia and Azerbaijan.
such as the high prevalence of graduates with technical
qualifications or of publications in physical sciences and The countries around the Black Sea have an understandable
engineering. With the right sort of policies and incentives, the tendency to look more or less exclusively to the European
reorientation of these countries towards technology-intensive Union or the Russian Federation, or to both, for partnerships in
development would be a much less challenging prospect science and technology and international comparisons. It would
than for those developing countries which are still in be helpful for them to look beyond this geographical sphere,
the process of shedding their traditional agrarian in order to get a better grasp of how S&T-related policies and
socio-economic structures. performance are evolving in other emerging market economies
and developing countries, some of which are becoming key
In order to make the transition to an innovation-driven international players or policy innovators. Countries around
economy, all the post-Soviet states situated in the Black Sea the Black Sea should also look closer to home when it comes to
region will have no choice but to engage in fundamental seizing opportunities for scientific co-operation and learning
reforms, including a steep increase in R&D funding. Moreover, from one anothers successes and failures. The present chapter
if they are to intensify their R&D effort to any significant has striven to point them in that direction.
extent, the business sector will need stronger incentives to
invest in R&D. These incentives will need to create a business-
KEY TARGETS FOR BLACK SEA COUNTRIES
friendly environment that is conducive to a thriving market
economy, not least by fighting corruption and eliminating
n Azerbaijan is to double GDP per capita to US$13 000
oligarchic ownership and control structures. No traditional
by 2020;
STI policy initiative can expect to have a decisive impact
on private sector R&D if the business environment remains n All educational institutions in Azerbaijan are to have
largely hostile to the emergence of new enterprises and internet access and free open education resources are
market-based challenges to existing power relations. to be developed by 2020;

n Belarus is to increase its GERD/GDP ratio to 2.52.9% of

In the case of Turkey, which has already accomplished
GDP by 2015, up from 0.7% in 2011;
substantial progress in the past decade for a wide range of STI
indicators be they educational attainment, researcher and n Turkey is to increase its GERD/GDP ratio to 3.0% of GDP
R&D intensity or the number of patents priority issues have by 2023, up from 0.9% in 2011;
more to do with improving co-ordination and collaboration
n Industrial GERD in Turkey is to rise from 43.2% of total
among the various actors of the national innovation system,
spending on R&D in 2011 to 60.0% by 2018;
in addition to strengthening accountability and improving
efficiency. In parallel, the targets fixed by the government for n The number of Turkish FTE researchers is to more than
further quantitative growth translate a worthy ambition, even double from 72 000 (2012) to 176 000 (2018).
if some targets may be overoptimistic.

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UNESCO SCIENCE REPORT

REFERENCES Morgl, M. B. (2012) Problems and proposed solutions for

technoparks and R&D centres (in Turkish). Anahtar. Journal
Ciarreta, A. and S. Nasirov (2012) Development trends in of the Ministry of Science, Technology and Industry, no.
the Azerbaijan oil and gas sector: Achievements and 286, October.
challenges, Energy Policy, Vol. 40(C).
NSB (2014) Science and Engineering Indicators 2014. National
Cuciureanu, G. (2014) Erawatch Country Reports 2013: Moldova. Science Board. National Science Foundation: Arlington VA
(USA).
Dobrinsky, R. (2013) The National Innovation System of
Azerbaijan in the Context of the Effective Development OECD (2014) OECD Economic Surveys: Turkey 2014.
and Diffusion of Green Technologies. Presentation to the Organisation for Economic Co-operation and
Joint National Seminar on Ways to Green Industry. Astana, Development: Paris.
23-25 October 2013.
OECD (2012) OECD Economic Surveys: Turkey 2012.
Dumitrashko, M. (2014) Key moments in the development and Organisation for Economic Co-operation and
problems of the scientific sphere of Republic of Moldova Development: Paris.
(in Russian), Innovatsii, 6.
OECD et al. (2012) SME Policy Index: Eastern Partner
EC (2014) Turkey Progress Report 2014. European Commission: Countries 2012. Organisation for Economic Co-
Brussels. operation and Development, European Commission,
European Training Foundation, European Bank for
Edelman Berland (2012): GE Global Innovation Barometer 2013 Reconstruction and Development. See: http://dx.doi.
Focus on Turkey. See: http://files.publicaffairs.geblogs.com. org/10.1787/9789264178847-en.

FAO (2012) Eastern Europe and Central Asia Agroindustry Rivera-Batiz, F. L. and M.Durmaz (2014) Why did Turkeys PISA
Development Country Brief: Georgia. United Nations Food Score Rise? Bahesehir University Economic and Social
and Agriculture Organization. Research Centre (BETAM), Research Note 14/174, 22
October.
Government of Azerbaijan (2009) Azrbaycan
Respublikasnda 20092015-ci illrd elmin inkiaf zr enturk, S. S. (2010) Total Factor Productivity Growth in Turkish
Milli Strategiya (National Strategy for the Development of Manufacturing Industries: a Malmquist Productivity Index
Science in the Republic of Azerbaijan for 2009). Azerbaijan Approach. Master of Science Thesis, Royal Institute of
Presidential Decree No. 255 of 4 May 2009. Technology: Stockholm.

Hasanov, A. (2012) Review of the Innovation System in Serdarolu, T. (2013) Financial Openness and Total Factor
Azerbaijan. Presentation to IncoNET EECA Conference Productivity in Turkey (in Turkish), Planning Expert Thesis,
on Innovating Innovation Systems, 14 May, Vienna. Ministry of Development: Ankara.
Technology Transfer Center, Azerbaijan National Academy
of Sciences. Sonnenburg, J., Bonas, G. and K. Schuch (eds) [2012] White
Paper on Opportunities and Challenges in View of Enhancing
HSE (2014) Science Indicators: Statistical Data Book (in Russian). the EU Cooperation with Eastern Europe, Central Asia
Higher School of Economics: Moscow. and South Caucasus in Science, Research and Innovation.
Prepared under the EUs Seventh Framework Programme,
Iik, Y. (2012) Economic developments in the EU and INCO-NET EECA Project. International Centre for Black Sea
Turkey. Online op-ed in reflectionsTurkey. See: www. Studies: Athens
reflectionsturkey.com, December.
Soybilgen, B. (2013) Innovation in Turkey: Strong in Quantity,
Melkumian, M. (2014) Ways of enhancing the effectiveness of Weak in Quality (in Turkish). Research note 13/148,
Armenias social and economic development of Armenia Bahesehir University Centre for Economic and Social
(in Russian), Mir Peremen, 3: 2840. Research, 6 December. See: http://betam.bahcesehir.edu.tr

MoDev (2013) Tenth Development Plan 20142018 (in Turkish,

summary in English). Ministry of Development of Turkey:
Ankara. See: www.mod.gov.tr.

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State Audit Office (2014) Effectiveness of Government Measures

for Management of Science. Performance Audit. Report Deniz Ercal (b.1962: Turkey) is an independent
N7/100, 24 March. Tbilisi (Georgia). consultant and researcher based in Paris (France), who
works on policy and economics in the sphere of science,
State Statistics Service (2014) Science, Technology and technology, innovation and sustainable development.
Innovation Activities in Ukraine in 2013 (in Ukrainian). Kiev. Previously, he held several positions at the Organisation
for Economic Cooperation and Development for 20
Tatalovic, M. (2014) Report: Belarus Science Funding Goals years, including Counsellor to the Director for Science,
Remain Elusive. See: www.scilogs.com. Technology and Industry. Mr Ercal holds a Master's in
International Relations from the School of Advanced
TBITAK (2013) Science, Technology and Innovation in Turkey International Studies at Johns Hopkins University (USA).
2012. Scientific and Technological Research Council:
Ankara. Igor Yegorov (b.1958: Ukraine) is Deputy Director of the
Institute of Economy and Forecasting that forms part of
the National Academy of Sciences in Kiev, from which

Chapter 12
UNECE (2014) Review of Innovation Development in Armenia.
United Nations Economic Commission for Europe: Geneva he received his PhD in the Economics of Science and
and New York. Technology in 2006. Dr Yegorov has been involved in
many European Union sponsored projects concerning
UNECE (2013) Review of Innovation Development in Ukraine economics, science, technology and innovation in
(in Russian), United Nations Economic Commission for Ukraine. He has also been a consultant for the UNESCO
Europe: Geneva and New York. Institute of Statistics for several years.

UNECE (2011) Review of Innovation Development in Belarus

(in Russian). United Nations Economic Commission for
Europe: Geneva and New York.

Walker, M. (2011) PISA 2009 Plus Results: Performance of

15-year-olds in Reading, Mathematics and Science for 10
Additional Participants. ACER Press: Melbourne.

WEF (2013) The Human Capital Report. World Economic Forum:

Geneva.

World Bank (2014) Country Partnership Strategy for Georgia,

FY2014 FY2017.

World Bank (2013) Country Partnership Strategy for the Republic

of Moldova, FY 20112014.

World Bank (2011) Running a Business in Azerbaijan. Enterprise

Surveys Country Note, no.8.

World Bank (2010) Country Partnership Strategy for

Azerbaijan for the Period FY 20112014.

Yegorov, I. (2013) Erawatch Country Reports 2012: Ukraine.

See: http://erawatch.jrc.ec.europa.eu.

Zinchenko, N. S. (2013) Ukraine in the EU Framework

Programmes: experience and perspectives (in
Ukrainian). Problemy Nauki, 2: 1318.

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Boosting support for university
research has become one of the most
important strategic orientations of STI
and education policies in the Russian
Federation.
Leonid Gokhberg and Tatiana Kuznetsova

A Soyuz rocket taking off in Kazakhstan and heading for the

International Space Station
Photo: Vasily Smirnov / Shutterstock.com

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 Russian Federation
13 . Russian Federation
Leonid Gokhberg and Tatiana Kuznetsova

The government has been obliged to cut back on spending

INTRODUCTION
and to use accumulated reserves to prop up the economy, in
The end of long-term resource-led growth accordance with its anti-crisis plan adopted in January 2015.1
The Russian Federation faces a variety of challenges in The difficult economic and geopolitical situation has also
securing adequate investment in new knowledge and prompted the government to implement vital structural and
technologies and deriving socio-economic benefit from institutional reforms to revitalize and diversify the economy.
them. The UNESCO Science Report 2010 had observed As early as September 2014, Prime Minister Dmitry Medvedev
that the global financial crisis of 2008 and the ensuing cautioned against the risk of reacting to the sanctions
stagnation were exacerbating domestic weaknesses, such with measures that would reduce competition or stoke
as the limited market competition and persistent barriers protectionism (Tass, 2014).
to entrepreneurship which were hampering the growth of
the Russian economy. Despite some reforms since, these The growing urgency of innovation-led growth
challenges have intensified since mid-2014. Paradoxically, the rapid economic growth fuelled by the
commodities boom between 2000 and 2008 actually
The rapid growth of the Russian economy since the turn of weakened the motivation of enterprises to modernize
the century had been largely fuelled by oil, natural gas and and innovate. In the sphere of science, technology and
other primary products. Oil and gas alone account for more innovation (STI), this manifested itself in a boom in imports
than two-thirds of exports and 16% of GDP. High oil prices of advanced technologies and a growing technological

Chapter 13
have helped to improve the standard of living and accumulate dependence on developed countries in certain areas, such as
large financial reserves. The growth rate slowed, however, in pharmaceuticals and high-tech medical equipment.
in the aftermath of the global crisis in 2008, particularly after
2012 (Table 13.1). It has deteriorated further since mid-2014, In the past few years, the government has sought to reverse this
driven by a vertiginous drop in global oil prices between June trend by encouraging companies, public research institutes and
and December 2014, combined with the economic, financial universities to innovate. Some 60 state-owned companies were
and political sanctions imposed on the Russian Federation obliged to implement special programmes to boost innovation.
by the European Union (EU), USA and several other countries As a result, their investment in R&D doubled between 2010
in response to events in Ukraine. This has fostered inflation and 2014, rising from 1.59% to 2.02% of sales, on average. The
and currency depreciation while curbing consumer spending. share of innovative products in the total sales of state-owned
Capital outflows have become a major concern: the latest companies consequently rose from 15.4% to 27.1%. Exports of
estimates are for outflows of US$110 billion in 2015. Growth innovative products also progressed, particularly in the aircraft
stalled altogether in 2014 and the government predicts that industry, shipbuilding and chemicals, according to the Ministry
GDP will contract by 2.5% in 2015 before a return to positive
growth of 2.8% in 2016. 1. See: http://www.rg.ru/2015/01/28/plan-antikrizis-site.html

Table 13.1: Economic indicators for the Russian Federation, 20082013

Percentage change over previous year, unless otherwise stated

20002007* 2008 2009 2010 2011 2012 2013

GDP 7.2 5.2 -7.8 4.5 4.3 3.4 1.3

Consumer price index 14.0 13.3 8.8 8.8 6.1 6.6 6.5

Industrial production index 6.2 0.6 -10.7 7.3 5.0 3.4 0.4

Capital investment 14.0 9.5 -13.5 6.3 10.8 6.8 0.8

Exports 21.0 34.6 -36.3 32.1 31.3 2.3 -0.8

Imports 24.2 29.4 -36.3 33.6 29.7 5.4 1.7

Consolidated public sector balance
4.8 -6.3 -3.4 1.5 0.4 1.3
(% of GDP)
Public external debt (% of GDP) 2.1 2.9 2.6 2.1 2.5 2.7

*annual average growth rate

Source: Rosstat (2014); Ministry of Finance (2014) Execution of the federal budget and budget system of the Russian Federation. Moscow.

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UNESCO SCIENCE REPORT

of Economic Development and Trade. Central to the national The reforms implemented include a serious rationale for
strategy was the decision to enlarge the governments arsenal partnerships with foreign countries, such as with the fellow BRICS
of competitive research funding for leading federal and countries Brazil, India, China and South Africa as well as other
national research universities. Public institutes and universities rapidly developing nations. At the sixth BRICS summit in Brazil
also received grants to commercialize new technologies in 2014, the five partners established a New Development Bank,
and create small innovative firms (start-ups). In parallel, the to be hosted by China, and a Contingency Reserve Agreement
government introduced schemes to foster academic mobility (CRA) to provide them with alternatives to the World Bank and
and expose scientists and engineers to the best training that International Monetary Fund in times of economic hardship, protect
money could buy. For instance, public research institutes their national economies and strengthen their global position. The
and universities received grants to enable them to invite top Russian Federation is contributing US$18 billion to the CRA, which
Russian and foreign professionals to work on their campuses. will be credited by the five partners with a total of over US$100
billion. The CRA is already operational. Currently, work is under way
A need for a new economy to develop financing mechanisms for innovative projects with the
The present conjuncture makes it difficult to tackle the new banks resources.
domestic weaknesses outlined in the UNESCO Science
Report 2010. These include inadequate intellectual property The Russian Federation is also developing co-operation with Asian
protection, the obsolete institutional structure of the partners within the Shanghai Cooperation Organisation and the
R&D sector, the lack of autonomy of universities and the Eurasian Economic Union; the latter was launched on 1January
relatively weak infrastructure for research and innovation. 2015 with Belarus and Kazakhstan and has since been extended to
These chronic weaknesses augment the risk of the Russian Armenia and Kyrgyzstan. Just a day after hosting a BRICS summit in
Federation falling further behind the leading countries the eastern city of Ufa in July 2015, the Russian Federation hosted a
in global development. It is this concern which has made summit of the Shanghai Cooperation Organisation in the same city,
national policy-makers particularly keen to galvanize STI- at which the admission of India and Pakistan was announced.2
led recovery and development. Since 2010, the Russian
authorities have adopted no fewer than 40 documents to A new framework for innovation policy
regulate STI, including in the form of presidential decrees. In May 2012, the president approved several decrees proposing
directives for STI development. These decrees fix qualitative
As early as 2012, President Putin acknowledged the need objectives that are to be measured against quantitative targets
for a new economy. It is not acceptable for Russia to have an to 2018 (Table 13.2). Although the potential for developing STI is
economy that guarantees neither stability, nor sovereignty, relatively high, this potential is held back by weaknesses in private
nor decent welfare, he said. We need to create an effective investment, low scientific productivity and incomplete institutional
mechanism to rebuild the economy and find and attract reforms. A fundamental lack of receptiveness to innovation and
the necessary...material and human resources (Putin, 2012). poor demand from many firms and organizations for scientific
More recently, he called for a widening of import-substitution achievements and new technologies still hampers progress in this
programmes in May 2014, during a presentation to the area. All stakeholders in the Russian innovation system, including
St Petersburg International Economic Forum. Russia needs a economic actors, feel an urgent need for institutional change and
real technological revolution, he said, serious technological more effective implementation of government policies. There are
renewal, the most extensive in the last half-century, massive other bottlenecks too, which, if not overcome, could condemn
re-equipping of our enterprises. state initiatives to being no more than a flash in the pan.

In 2014 and 2015, action plans were launched in various Since 2011, a number of policy documents2 have identified
industrial sectors, in order to produce cutting-edge the principal orientations of national policies for science and
technologies and reduce dependence on imports. Target technology, as well as related implementation mechanisms.
products include high-tech machine tools, equipment for the A wider format for promoting STI in Russia was provided by the
oil and gas sectors, power engineering machinery, electronics, report entitled Strategy 2020: a New Framework for Innovation
pharmaceuticals, chemicals and medical instruments. The Policy. It was drafted by leading Russian and international experts.
federal Law on Industrial Policy adopted in 2014 provides Some of the ideas put forward in the report have since been
a comprehensive package of supportive measures for transformed into official documents and are outlined below
companies, including investment contracts, R&D subsidies, (Gokhberg and Kuznetsova, 2011a).
preferential public procurement of the technologies
produced, standardization, the creation of industrial parks 2. including the Presidential Decree on the Approval of the Priority Areas for the Development
and clusters and so on. A Fund for Industrial Development of Science and Technology and the List of Critical Technologies (2011), the Strategy for
Innovative Development to 2020 (2012), the State Programme for Development of Science
was established the same year to support highly promising and Technology, 20132020 and the Federal Goal-oriented Programme on Research and
investment projects initiated by companies. Development in Priority Areas of Russias Science and Technology Complex (2012)

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 Russian Federation

Table 13.2: Objectives and quantitative targets to 2018 of the May 2012 presidential decrees in the Russian Federation
Decree Objectives Quantitative targets to 2018
On long-term economic policy (No. 596) To increase the pace and sustainability of Labour productivity to grow by 150%
economic growth and raise the real income
of citizens

To achieve technological leadership Increase the share of high-tech industries in

GDP by 130%

On measures to implement state social policy To improve the conditions of employees in Increase the average salary of researchers
(No. 597) social sectors and science to double that of the average salary in the
region

On measures to implement state policy in To improve state policy in education and Increase total funding of public scientific
the field of education and science (No. 599) science and the training of qualified foundations to 25 billion rubles
professionals to meet the requirements of
the innovation economy Raise the GERD/GDP ratio to 1.77% (by 2015).

To improve the efficiency and performance Increase the share of GERD performed by
of the R&D sector universities to 11.4%.

Boost Russias world share of publications in

the Web of Science to 2.44% (by 2015).

Chapter 13
TRENDS IN R&D expenditure on innovation: 20.4% overall in industry;
35.7% in high-tech sectors. On average, significantly less
R&D effort is primarily government-funded is spent on R&D than on the acquisition of machinery
Gross domestic expenditure on research and development and equipment (59.1%). In EU countries, the situation is
(GERD) rose by about one-third at constant prices between diametrically the opposite; in Sweden, the ratio is even
2003 and 2013. Federal budget allocations for civil R&D even 5:1 and, in Austria and France, about 4:1. In Russian
tripled.3 Nevertheless, R&D intensity remained relatively industry, a low proportion of investment goes on acquiring
stable; in 2013, GERD accounted for 1.12% of GDP, compared new technologies (0.7%), including patent rights and
to 1.15% in 2004 and 1.25% in 2009 (Figure 13.1). After rising licenses (0.3%). This phenomenon is characteristic of all
steadily for years, state expenditure on R&D dropped slightly types of economic activity and limits both the countrys
in 2010 as a consequence of the global financial crisis in 2008 technological potential and its capacity to produce
2009 but has since recovered (Figure 13.1). The government groundbreaking inventions (HSE, 2014b, 2015b). Normally,
fixed a target in 2012 of raising GERD to 1.77% of GDP by the the generation of new knowledge and technologies would
end of 2015 (Table 3.2), which would bring it closer to the be expected to be driven by technology-based start-ups
EU average: 1.92% in 2012. In absolute terms, government and fast-growing innovative companies, including small
funding of R&D amounted to PPP$ 34.3 billion in 2013, on a and medium-sized enterprises (SMEs). However, this type of
par with that of Germany (PPP$ 32.1 billion) and Japan company is still uncommon in the Russian Federation.
(PPP$ 35.0 billion) [HSE, 2015a].
Lesser priorities: basic research and green growth
The low share of industry-financed R&D is a perennial Figure 13.1 depicts a growing orientation of R&D towards
concern. Despite government efforts, the contribution of the needs of industry since 2008 and a drop in non-targeted
industry to GERD actually fell from 32.9% to 28.2% between (basic) research, referred to in official statistics as the general
2000 and 2013 (Figure 13.1). This sector, which encompasses advancement of research. The share of R&D allocated to
privately and publicly owned companies and large-scale societal issues has risen somewhat but remains modest. The
industrial R&D institutes, nevertheless performs the bulk of thin slice of the pie directly devoted to environmental issues
R&D: 60% in 2013, compared to 32% for the government has shrunk further and that for energy-related research has
sector, 9% for higher education and just 0.1% for the private stagnated; this is disappointing, given the growing interest
non-profit sector (HSE, 2015a). globally in environmentally sustainable technologies. It also
comes somewhat as a surprise, since the government has
The low propensity of companies to finance research is adopted a number of policies in recent years as part of an
reflected in the modest place occupied by R&D in total action plan for sustainable green growth that is aligned with
the Green Growth Strategy of the Organisation for Economic
3. The relative figures in current prices are 4.4 and 10 times. Co-operation and Development (OECD, 2011).

345
Figure 13.1: Trends in GERD
in the Russian Federation,
20032013
1.29%
Russian GERD/GDP ratio in 2003
1.12%
Russian GERD/GDP ratio in 2013

The Russian Federations R&D intensity has not progressed over the past decade
Other countries are given for comparison
3.0
Germany
2.94
USA 2.81

2.55
2.5 2.46

China 2.02
2.0
EU Average
1.92
1.70
1.67
UK 1.63
1.5

1.29 Brazil 1.21

Russian Fed. 1.12
1.13

1.0 0.96
Turkey 0.95
0.79
0.71 India 0.81 South
Africa 0.76
0.5 0.48

0.0
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Federal budget allocations for civil-purpose R&D tripled between 2003 and 2013
150

141.8 143.5
140.1
132.2 133.0
120 128.8 126.8

114.1
110.9
106.4 105.0
90
GERD in billions of rubles at constant 2000 prices
Federal budget appropriations for civil-purpose R&D in billions of rubles at constant 2000 prices 81.4
72.1
60 68.4
63.2
60.0

46.1 47.7

30 38.5
35.0
27.2 25.8

0
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

346
The low share of industry-financed R&D is a perennial concern
Share of GDP, other countries are given for comparison
2.0

Germany 1.90

1.72
1.70

USA 1.66

1.5
China 1.51

1.0 0.98

0.80

UK 0.76

Turkey 0.46
0.5

0.35
0.33
Russian Fed. 0.32

Chapter 13
0.0
2007 2008 2009 2010 2011 2012 2013

2.4 4.4
A greater orientation of R&D towards the needs of industry
to the detriment of basic research 25.6
GERD in the Russian Federation by socio-economic objective, 2008 and 2013 (%)

Agriculture 28.2

Energy
2013
Industry

6.9
Other economic objectives

Human health 2.6 4.3

4.4
Control and care of
5.4
the environment
27.6 3.0
Social development
17.4 1.5
0.8
General advancement of research* 25.1
Earth and exploration and
exploitation of the atmosphere

Civil space 2008

Other fields
3.2

2.9
4.4

0.8 2.3
1.0
25.7
*refers to basic research
Source: HSE (2015a); OECDs Main Science and Technology Indicators, May 2015; for Brazil and India: UNESCO Institute for Statistics

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UNESCO SCIENCE REPORT

In 2009, the government adopted State Policy Priorities to submitted by domestic applicants contain only minor
Raise Energy Efficiency in the Electric Power Engineering Sector improvements to existing technologies. This suggests that the
based on the Use of Renewable Energy Sources, covering the R&D sector is generally not yet ready to supply the business
period to 2020. In 2012, it adopted Principles of the State sector with competitive and cost-effective technologies for
Policy on the Ecological Development of the Russian Federation, practical applications, or to guarantee support during the
which is valid to 2030. The problem of green growth and development stages of technology.
social progress is addressed by four Russian technology
platforms: Environmentally Clean Efficient Fuel; Technologies Innovation largely confined to domestic market
for Ecological Development; Biotech 2030; and Bio-energy. In the course of its transition to a market economy, the
These platforms co-ordinate the activities of industrial Russian Federation has become an attractive destination for
companies, research centres and universities to promote R&D foreign technologies. Between 2009 and 2013, the number of
and technology in related areas. Collectively, these measures patent applications submitted in Russia by foreign applicants
represent only the first leg of the journey towards sustainable increased by 17% to 16149 (HSE, 2015a; HSE, 2014b). Patent
growth, of course. activity by Russian applicants grew more slowly. As a result,
the coefficient of technological dependence increased: the
The modest investment so far in sustainable technologies ratio of foreign to domestic patent applications submitted
can largely be explained by the business sectors tepid in the Russian Federation went from 0.23 in 2000 to 0.56 in
interest in green growth. Empirical data show that 6090% 2013. If we take into consideration the low patenting activity
of Russian companies do not use advanced general-purpose by Russian applicants abroad, this sends a negative signal to
and resource-saving technologies, or alternative energy- national policy-makers as to the competitiveness of domestic
generating technologies and have no plans to do so in the technologies in the global market.
near future. Only one in four (26%) innovative enterprises
are producing inventions in the environmental field. Even Less than 3% of technology transfer occurs through exports.
when companies do have recourse to environmentally Intellectual property titles represent only roughly 3.8% of
friendly inventions like energy-saving technologies, this technology exports4 and just 1.4% of companies engaged
gives them virtually no competitive advantage in the in R&D earn revenue from exports of technology. The latter
domestic market. Most companies are focusing their efforts generated just US$0.8 billion in 2013, virtually the same as in
on reducing environmental pollution, in order to comply previous years, compared to US$2.6 billion for Canada,
with government standards. Very few are engaged in waste US$5.3 billion for the Republic of Korea and US$120.4 billion for
recycling or in substituting raw and other materials for more the USA (HSE, 2015a). The Russian Federations membership of
environmentally friendly ones. For instance, only 17% of the World Trade Organization since 2012 should help to boost
companies use environmental pollution control systems (HSE technology transfer through exports and related revenue.
estimates; HSE, 2015b). This state of affairs prompted the
government to adopt a series of regulations in 20122014 TRENDS IN HUMAN RESOURCES
which encourage usage of the best available technologies for
reducing environmental waste, saving energy and upgrading Four in ten research personnel are support staff
technologies through a series of positive incentives (such Although the Russian Federation ranks 49th in the latest
as tax exemptions, certification and standardization) and Global Innovation Index and 30th in the sub-index for
negative ones, such as fines for environmental damage or human capital development (Cornell University et al., 2014),
higher energy tariffs. international competition for talent is intensifying. The issue
of developing skills and behavioural patterns in line with
Scientific productivity is stagnating the countrys development strategy has never been more
Scientific output has stagnated in recent years (Figure 13.2). pressing in the Russian Federation. Policies introduced in
Moreover, the average citation rate for articles (0.51) is just half recent years have addressed this urgent question.
the G20 average. Russian scientists publish most in physics
and chemistry, reflecting traditional strengths and a certain In 2013, there were 727029 people engaged in R&D, a group
dependence on domestic research, even though one in three encompassing researchers, technicians and support staff.
articles had a foreign co-author between 2008 and 2014. Research personnel represented 1% of the labour force, or
0.5% of the total population. In absolute numbers, the Russian
Although patenting activity is relatively high and has grown Federation figures among the world leaders for R&D personnel,
by 12% since 2009 residents filed 28756 applications in coming only after the USA, Japan and China. However, there is
2013, ranking it sixth worldwide the Russian Federation an imbalance in the dynamics and structure of R&D personnel.
only ranks 20th worldwide for the number of applications per
million inhabitants: 201. Moreover, 70% of patent applications 4. These official statistics are based on the balance of payments for technology.

348
Figure 13.2: Scientific publication trends in the Russian Federation, 20052014
Russian publications have grown fairly slowly since 2005 Publications are making
Selected large emerging market economies are given for comparison a small impact

0.51
60 000

India 53 733
Average citation rate for Russian
50 000 Korea, Rep. 50 258 scientific publications, 20082012;
the G20 average is 1.02

3.8%
40 000
Brazil 37 228

Share of Russian papers among

30 000 10% most cited papers, 2008
Russian Fed. 29 099
2012; the G20 average is 10.2%
25 944
24 703
24 694

33.0%
20 000
17 106

Chapter 13
Share of Russian papers with
10 000 foreign co-authors, 20082014;
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
the G20 average is 24.6%

Russian scientists specialize in

physics and chemistry
Cumulative totals, 20082014
191 204
Number of Russian Number of Russian
55 818

publications per publications per

38 005 million inhabitants million inhabitants
in 2008 in 2014

18 800
17 173 16 121
10 733 11 820

4 604
1 237 951 35 140 179
es

ics

ics
g
re

ry

es

es

es

es
y

gy
m

nc

in
tu

ist
nc

nc
nc
nc

nc

lo
ys
at
no

er
ie
ul

em

ho
m
cie

cie
cie

ie
cie

Ph
ne
sc
tro
ric

sc
he

yc
ls

ls
ls
os
Ch

gi
er
Ag

As

ife
at

Ps
ica

cia
ica
En

Ge
t
pu

rl
og

ed

So
he
m

M
ol

Co

Ot
Bi

Note A further 18 748 publications are unclassified.

Germany and the USA are the Russian Federations principal partners
Main foreign partners, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Russian Fed. Germany (17 797) USA (17 189) France (10 475) UK (8 575) Italy (6 888)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

349
UNESCO SCIENCE REPORT

Researchers (by head count) account for little more than half distribution of R&D potential across the country. Reaching
of R&D personnel (369015) and support staff 41%, compared the aforementioned target in these research hubs may turn
to just 8.4% for technicians. The large share of support out to be problematic, as raising salaries that are already fairly
staff can be explained by the dominance of R&D institutes, generous will mean allocating substantial additional funding
which have traditionally tended to function in isolation to R&D. Whatever their status, all regions may find it hard
from both universities and enterprises and required labour- to reach the 200% target, on account of budget shortfalls
intensive services to maintain the premises and manage and the slowdown in the pace at which institutional reform
the institutions finances. The Russian Federation ranks 21st is being implemented in the R&D sector. Of note is that
globally for the number of people engaged in R&D per 10000 (Gerschman and Kuznetsova, 2013):
employees but 29th for the number of researchers. Over
In order to prevent the rise in researchers salaries from
two-thirds of R&D personnel are employed by state-owned
becoming a goal in itself without any strong connection to
organizations (HSE, 2015a).
their performance and the socio-economic impact of their
work, the action plan also introduces performance-related
In the UNESCO Science Report 2010, we observed a worrying
pay mechanisms, implying that researchers will be regularly
inversion of the age pyramid in the research population.5
evaluated on their productivity.
Between 2010 and 2013, there were some signs of
improvement. The proportion of researchers under the age
of 40 rose to more than 40% and has since stabilized at this One in four adults holds a university degree
level. This trend reflects absolute growth in two age groups: Russia has long had a relatively high level of education. In
scientists under the age of 30 and those aged between 30 recent years, interest in pursuing higher education has not
and 39 years. After a long period of growth, the share of waned. On the contrary, a Russian could expect to spend 15.7
researchers over the age of 60 has at last stabilized in recent years in the education system in 2013, up from 13.9 years in
years at roughly 25% of the total (HSE, 2015a). 2000. According to the 2010 population census, more than
27 million people over the age of 15 years hold university
A hike in researchers salaries to spur productivity degrees, up from 19 million in 2002. This represents about
In 20122013, several roadmaps were adopted to improve 23% of the adult population, compared to 16% in 2002. In
the attractiveness of careers in research, in order to stimulate the 2029-year age group, the percentage is as high as 28%,
productivity, redress the age pyramid and give research a although this is down from 32% in 2002. At 55%, the overall
greater economic impact. These documents introduced a new proportion of the population with some form of tertiary
remuneration system primarily for researchers employed by education including those with non-degree qualifications
public research institutes and universities. The corresponding is well above that of any member of the Organisation for
target indicators were established by the Presidential Decree Economic Co-operation and Development (OECD). Moreover,
on Measures to Implement State Social Policy (2012). As for the the number of people enrolled in higher education per 1 000
implementation schedule, it is controlled by the government. inhabitants has risen sharply in the past decade from 162 in
2002 to 234 in 2010.
The action plan fixes the target of raising researchers
salaries to at least 200% of the average wage in the region The rise in student rolls can partly be attributed to the hike in
where the researcher is based by 2018. There are also similar government spending on education in recent years (Figure
plans to raise the salaries of teachers in universities and 13.3). Federal expenditure on higher education has remained
other institutions offering higher education programmes. stable at about 0.7% of GDP and 3.7% of overall federal
Currently, research institutes and universities receive annual budget appropriations but public expenditure on education
subsidies from the federal budget to enable them to increase as a whole has climbed to 4.3% of GDP, or 11.4% of the
salaries, as happens also for secondary schools, hospitals consolidated budget (federal and regional levels). This has
and agencies managing social security. The average salary of enabled spending per tertiary student to double since 2005
researchers tends to be rather high in Russian research hubs (HSE, 2014a, 2014d).
like the Moscow region,6 thereby contributing to the unequal
Training scientists becoming a core mission of research
universities
5. Between 2002 and 2008, there was absolute growth in the number of
researchers aged 70 years and above. Simultaneously, the ranks thinned for such
As of the 2013/2014 academic year, 5.6 million students
creative age groups as 4049 year-olds (down by nearly 58%) and 5059 year-olds were enrolled in the countrys tertiary institutions, 84% of
(down by 13%). In 2008, researchers were 49 years old, on average, compared to which were state-owned: 2.8% of students were studying
40 years old for those working in the national economy as a whole.
natural sciences, physics and mathematics; more than 20%
6. Roughly 60% of Russian researchers work in Moscow, the Moscow Region and
St Petersburg. Six other regions together account for a further 20% of researchers:
engineering; 31% economics and management; and a further
Nizhny Novgorod, Ekaterinburg, Novosibirsk, Rostov, Tyumen and Krasnodar. 20% humanities.

350
 Russian Federation

Although this is up from 7% in 2009 and on a par with China

Figure 13.3: Public expenditure on education in the
(8%), it remains less than in either the USA (14%) or Germany
Russian Federation 2005, 2008 and 2013
(18%). Although university staff are still insufficiently engaged in
R&D, the situation has improved in recent years: the proportion
Public expenditure on education as a share of GDP (%)
of professors and teaching staff conducting research rose from
Public expenditure on higher education as a share of GDP (%)
19% to 23% between 2010 and 2013 (HSE, 2014a, 2015a).
4.3
4.0
Boosting support for university research has become one of
the most important strategic orientations of STI and education
3.7
policies in the Russian Federation. This process has been
under way for almost a decade. One of the first steps was the
National Priority Project for Education, initiated in 2006. Over
the next two years, 57 higher education institutions received
competitive grants from the federal budget for the purposes of
implementing innovative educational programmes and high-
quality research projects, or acquiring research equipment.

Between 2008 and 2010, 29 institutions received the coveted

0.7 0.7
label of national research university. The aim is to turn these
0.6
29 national research universities into centres of excellence.

Chapter 13
In parallel, eight federal universities are being turned into
2005 2008 2013 umbrella institutions for regional education systems. This
status entitles them to large-scale government support but
Source: HSE (2014a, 2014d)
there are strings attached in return, they are expected to
produce high-quality research, education and innovation.
Postgraduate programmes that confer a Candidate of
Science degree (equivalent to a PhD) lead to the highest Currently, the magnitude of support given to higher
scientific degree, the Doctor of Science. In 2013, some 1 557 education and its main orientations are determined by the
institutions offered postgraduate programmes in science Presidential Decree on Measures to Implement State Policy
and engineering, almost half of which (724) were universities in the Field of Education and Science (2012) and the State
and other tertiary institutions and the remainder research Programme for the Development of Education7 (20132020).
institutes. Some 38% of these institutions (585) also hosted The presidential decree anticipates that universities will be
doctoral courses, including 398 universities. Women made performing 11.4% of GERD by 2015 and 13.5% by 2018
up just under half (48%) of the 132002 postgraduate and (Table 13.2). Moreover, the level of engagement of university
4572 doctoral students in science and engineering. Most of staff in R&D has become a major criterion for proficiency
the postgraduates (89%) and Doctor of Science candidates testing and professional advancement.
(94%) specializing in scientific disciplines are on the university
payroll. The dominance of universities in postgraduate
TRENDS IN STI GOVERNANCE
training is nothing new but the share of postgraduate
students trained by research institutes was nearly three Higher education must adapt to economic needs
times higher in the early 1990s (36.4% in 1991) than today. Despite undeniable success in boosting university research
This means that the education of highly qualified scientists is in recent years, one urgent problem remains: the discrepancy
increasingly becoming a core mission of Russian universities. between the structure and quality of professional training,
Engineering, economics, law, medicine and pedagogy are the on the one hand, and current economic needs, on the other
preferred broad disciplines for postgraduate study. (Gokhberg et al., 2011; Kuznetsova, 2013). This is reflected
not only in the composition of educational programmes,
Boosting university research a top priority graduate specializations and diplomas but also in the
The higher education sector has a long-standing research relatively small scale and low level of applied research,
tradition that dates back to the Soviet Union. About seven experimental development and innovation performed by
out of ten universities perform R&D today, compared to half universities.
in 1995 and four out of ten in 2000, as noted in the UNESCO
Science Report 2010. However, universities still occupy a
7. This programme provides schools, colleges and universities with full-scale
fairly lowly position when it comes to the generation of financing for equipment procurement, offers subsidies to the best secondary
new knowledge: in 2013, they performed just 9% of GERD. schools and technical colleges, finances advanced teachers training, etc.

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UNESCO SCIENCE REPORT

In recent years, one of the most important steps towards strategic industries. Between 2012 and 2014, the programme
modernizing higher education has been the adoption of the enabled 16600 engineers to obtain higher qualifications and
Federal Law on Education in 2012; it outlined the contours 2 100 to train abroad; the programme involved 96 tertiary
of a modern system respectful of international practices and institutions located in 47 regions. The customers of this
standards, new developments in educational programmes and programme were 1361 industrial companies which seized
technologies, as well as new teaching methods and approaches this opportunity to develop their long-term partnerships with
to conducting experimental development and innovation. tertiary institutions.10

Aligning degrees with the Bologna Process The Russian Science Foundation11 is a non-profit organization
In accordance with the Bologna Declaration (1999), which set up in 2013 to expand the spectrum of competitive funding
launched the process of developing a European Higher mechanisms for research in Russia. The foundation received
Education Area, the various echelons of the Russian higher RUB 48 billion in state funding for 20132016. R&D-performing
education system have been aligned with the International institutions may apply for grants to fund their large-scale
Standard Classification of Education to give: projects in basic or applied research. To obtain a regular grant,
applicants must include young scientists in their project team
n at the undergraduate level, the bachelors degree;
and guarantee that at least 25% of the grant will be spent on
n at the postgraduate level, specialist training leading to a the salaries of young researchers. In 2015, the Russian Science
diploma or a masters degree; Foundation launched a special grants programme to support
postdocs and introduced short- to medium-term internships
n postgraduate study for academic staff leading to a
to increase academic mobility (Schiermeier, 2015). A total of
Candidate of Science degree, equivalent to a PhD.
1 100 projects received funding in 2014, one-third of which
New legislation has raised the standards for a PhD and made were in life sciences. Among the thematic priorities announced
the process more transparent. University consortia and for the next call for proposals in 2015 are: new approaches
networking have been introduced into educational curricula to identifying the mechanisms behind infectious diseases,
and universities have been given the right to set up small advanced industrial biotechnologies, neurotechnologies and
innovative firms to commercialize their intellectual property. neurocognitive research.
Students may also apply for scholarships or earmarked loans
to cover the costs of their education. In recent years, the government has augmented its arsenal
for stimulating research funding. A special government
New funding mechanisms to boost training and research programme has been offering megagrants to universities
The 5/100 Programme was adopted8 in 2013 to raise the and research centres since 2010 to help them attract leading
global competitiveness of Russian universities to the scientists. So far, the programme has seduced 144 world-class
point where five of them figure in the top 100 (hence the researchers, half of them foreigners, including several Nobel
programmes name) and the remainder in the top 200 laureates. All the invitees have been selected to lead new
of global university rankings. In 20132015, 15 leading laboratories with a total staff of more than 4000 scientists
universities9 were selected on a competitive basis to at 50 top Russian universities; this has led to the publication
receive earmarked subsidies to help raise their global of 1825 scientific papers, more than 800 of which have
competitiveness in both science and education. To this end, a appeared in scientific journals indexed by the Web of Science.
total of over 10 billion rubles (RUB, circa US$ 175million) were Just 5% of applications were submitted by women, which
earmarked for 20132014 and RUB 40 billion for 20142016. explains why only 4 of the 144 megagrants went to principal
The selection criteria included the universitys publication investigators who were women (Schiermeier, 2015). A total
output, international research collaboration, academic of RUB 27 billion in public funding has been allocated to
mobility and the quality of strategic programmes. These 15 the megagrants programme over 20102016, with recipient
universities are subject to a performance evaluation each year. universities contributing about 20% of the budget.

The Presidential Programme for Advanced Training In parallel, the government has increased funding for old state
of Engineers was launched in 2012. It offers training foundations12 which focus on basic research and humanities,
programmes and internships in leading research and as well as for innovative SMEs (Gokhberg et al., 2011). It has
engineering centres at home and abroad, with a focus on
10. See: http://engineer-cadry.ru
8. as one means of realizing the goals in the Presidential Decree on Measures to 11. not to be confused with the Russian Foundation for Basic Research, set up in
Implement State Policy in the Field of Education and Science (no. 599) 1993 to issue grants for basic research
9. including St Petersburg Polytechnic, the Far-East Federal University and three 12. The Russian Foundation for Basic Research, the Russian Foundation for
national research universities: the Higher School of Economics; Moscow Institute of Humanities and the Foundation for Assistance to Small Innovative Enterprises were
Physics and Technology; and Moscow Institute of Engineering and Physics all set up in the early 1990s.

352
 Russian Federation

also introduced grants to develop research networks and co- Technology Initiative; it introduces a new long-term
operation between universities and the national academies model for achieving technological leadership by creating
of science and industry, within the framework of the State novel technology-based markets, such as in non-piloted
Programme for the Development of Science and Technology drones and automobiles for the industrial and services
for 20132020. Leading universities participating in this sectors, neurotechnological products, network-based
programme are expected to raise the share of their budget solutions for customized food delivery and so on;
devoted to technology transfer from 18% to 25% between technological projects will be coupled with support for
2012 and 2020. the training of schoolchildren and students in these
promising areas. The second scheme targets major
A Basic Research Programme has been designed for traditional sectors and consists in funding a series of
20132020 to co-ordinate national efforts. It is part of the national technological projects with a high innovation
overarching State Programme for the Development of component through publicprivate partnerships, with a
Science and Technology and contains specific provisions for focus on smart power engineering, agriculture, transport
selecting priorities in basic research and for an open public systems and health services, among other areas.
evaluation of scientific achievements. These provisions
include the presentation of the programmes results in a A key issue for businesses concerns how to demonstrate
freely accessible database and the mandatory publication of tangible results from their research. One possible
open-access articles on the internet. mechanism would be for the state to allocate budgetary
funds to businesses on the condition that expenses be
Funding mechanisms to stimulate business R&D cofinanced by interested companies and that effective

Chapter 13
Since 2010, the government has also introduced a number of partnerships be established between research institutes,
schemes to stimulate innovation in the business sector. These universities and business enterprises (Gokhberg and
include: Kuznetsova, 2011a; Kuznetsova et al., 2014). It is also
important to ensure co-ordination between government
n programmes that make it mandatory for state-owned
programmes targeting STI and programmes implemented
enterprises to develop innovation strategies and co-operate
by institutions oriented towards development, in order
with universities, research institutes and small innovative
to build the so-called innovation lift needed to carry
businesses; to qualify for this programme, state-owned
novel technologies, products and services along the
enterprises must raise their spending on R&D and actively
entire innovation chain from the initial idea to the market.
produce innovative products, processes or services;
It goes without saying that it would be vital to monitor
n a Federal Law on Public Procurement (2013) providing the performance of these programmes in order to make
for the purchase of high-tech and innovative products by timely adjustments.
the state and promoting state procurement of goods and
services from SMEs; Tackling the insufficient carry-over of patents into
the economy
n state technology-oriented programmes supporting
The national intellectual property market is still at the
particular industrial sectors (aircraft, shipbuilding,
developmental stage, with research output taking
electronics, pharmaceuticals, etc.) and overarching areas,
years to impact the economy: only 23% of all current
such as biotechnology, composite materials, photonics,
patents are in use and patenting tends to be done more
industrial design and engineering; and the
intensively than licensing of intellectual property. This
n Small and Medium-sized Enterprise Development is a pity, as it is precisely during commercialization
Programme covering 20132020, which includes the that the real competitive advantages emerge, such as
distribution of federal budget subsidies to cofinance income from the use of protected inventions and the
regional SME development, support local clusters of accumulation of know-how. In the Russian Federation,
engineering and prototyping centres and provide credit however, the development of intellectual property is
guarantees through the national system of guarantor often disconnected from specific consumer needs and
institutions, the core of which is the new Credit Guarantee industrial demand.
Agency (est. 2014).13
Hence the need to improve the legislative framework
In 2015, two schemes were announced to drive for intellectual property. The main regulation in this
technological development. The first is the National area comes from Section VI of the Civil Code, which
is specifically devoted to issues related to intellectual
13. In 2015, it was renamed the Federal Corporation for the Development of Small property and the enactment of legislation. New norms
and Medium Enterprises, a public company with 100% state ownership. developed in this area over the period 20092014 include:

353
UNESCO SCIENCE REPORT

n assigning intellectual property rights generated by public New tax incentives to foster innovation
research to the Russian Federation and establishing the All fiscal affairs have been governed by a single document since
principle of the free transfer of intellectual property from 2008, the Russian Tax Code. The most important amendments
the public sector to industry and society, making it easier in recent years concern new rules for calculating R&D
for research centres and universities to deal with licenses or expenditure and classifying certain specific types of spending by
other forms of commercialization of intellectual property; organizations as R&D expenditure, along with new regulations
concerning the creation of reserves for forthcoming expenditure.
n regulating the conditions, amount and procedures
relative to the payment of fees to authors for the creation
New tax incentives have been introduced since 2011 in favour of
and commercialization of in-service research results and
innovative SMEs, start-ups and spin-off companies, in particular:
technologies; and
n Zero tax (for three years) on profits channelled into
n establishing an exhaustive list of the conditions under
developing intellectual property; in parallel, taxes on
which the state may obtain exclusive rights to the fruit of
transactions involving intellectual property have been
intellectual creativity.
removed;

An action plan adopted by the government in 2014 contains n Benefits and extensions to patent duty payment deadlines
additional measures for protecting intellectual property rights are offered to SMEs, as well as to individual inventors
at the pre-patent stage and on the internet and introduces (enterprises);
specialized patent courts, as well as better professional
n Residents of the Skolkovo Innovation Centre have been given
training in this area. Steps are also being taken gradually
a tax holiday for up to ten years (Box 13.1).
to improve the conditions under which R&D is capitalized
upon, including by placing intellectual property on company In the near future, there are plans to introduce tax incentives for
balance sheets. This is particularly important for SMEs, as individuals, such as business agents, inventors or entrepreneurs,
it allows them to increase their balance sheet value, for who invest in projects developing innovation (or innovative
example, or to attract investment and use their exclusive companies) and for companies desirous to expand their
rights as a pledge to obtain credits. intangible assets.

Box 13.1: Skolkovo Innovation Centre: a temporary tax haven near Moscow

The Skolkovo Innovation Centre is The law granted residents substantial The Skolkovo Innovation Centre is
currently under construction in the benefits for up to ten years, including financed primarily from the Russian
city of Skolkovo, near Moscow. This exemption from income tax, value-added federal budget. Its budget has
high-tech business complex has tax and property taxes, as well as reduced increased steadily since 2010 and
been designed to attract innovative insurance premiums of 14% rather than amounted to RUB 17.3 billion in 2013.
companies and nurture start- the going rate of 34%. A brand new motorway has been built
ups in five priority areas: energy linking Skolkovo to Moscow.
efficiency and energy saving; nuclear The law also made provision for the
technologies; space technologies; establishment of the Skolkovo Fund to Today, more than 1 000 companies
biomedicine; and strategic computer support development of the university from 40 Russian regions have set
technologies and software. and thereby give personnel the skills that up shop in Skolkovo. In 2013,
companies need. One of the centres 35 agreements were signed with major
The complex was announced by biggest partners is the Massachusetts global and domestic companies,
the president in November 2009. It Institute of Technology in the USA. including Cisco, Lukoil, Microsoft,
consists mainly of a technological Nokia, Rosatom and Siemens. Industrial
university and a technopark and is Once corporations and individuals partners plan to open 30 R&D centres
headed by Russian oligarch Viktor become residents of the city, they are in Skolkovo, which would create more
Vekselberg and co-chaired by former entitled to apply for grants from the fund. than 3 000 jobs.
Intel head Craig Barrett. In order Residents also have access to the centres
to woo potential residents, a bill legal and financial infrastructure. In 2010, Source: compiled by authors
according the residents of Skolkovo the government published a decree
special legal, administrative and fiscal granting highly skilled foreign nationals See also: http://economy.gov.ru/minec/press/
interview/20141224
privileges was adopted by the State who secured employment at Skolkovo a
Duma (parliament) in September 2010. three-year work visa.

354
 Russian Federation

Restructuring to reinvigorate research account for just 7.4% of all R&D units, compared to 18%
The institutional structure of the Russian R&D sector is not for institutions offering higher education (HSE, 2015a). The
yet fully adapted to the market economy. As described governments desire to optimize the institutional structure
in The UNESCO Science Report 2010, in the Soviet era, of research triggered a long-awaited reform of the state
basic research was conducted predominantly by the academies of science14 in 2013 that will have far-reaching
research institutes of the state academies of science consequences for Russian science (Box 13.2).
and major universities, whereas applied research and
experimental development were concentrated mostly In parallel, the government is pursuing its plans to expand the
in branch institutions, design bureaux and specialized network of state research centres (they now number 48) and to
units of industrial enterprises. All R&D organizations were create a new network of large-scale national research centres.
state-owned. Nowadays, most of the so-called industrial The first of these national research centres resulted, in 2009,
R&D in Russia is performed by large companies or legally from the subordination of three R&D institutes to the Kurchatov
independent research institutes. Industrial enterprises and Research Centre, which specializes in nuclear energy and a
design bureaux are mostly privately owned or semi-private broader spectrum of convergent15 technologies. The second
organizations. This said, seven out of ten R&D-performing centre on a similar scale was established in the aircraft sector
institutions are still state-owned, including universities and in 2014 by attaching several R&D institutes to the Central Aero-
enterprises in which the government has a share of the hydrodynamic Institute, renowned for aeronautic research.
capital. As already noted, small companies in the R&D sector The Krylov Research Centre for Shipbuilding and the Research
are underrepresented, especially in comparison with other Institute for Aviation Materials are the next candidates on the
industrial nations (HSE, 2015a). list. To monitor the efficiency of national research infrastructure

Chapter 13
and identify avenues for targeted support, new arrangements
Unaffiliated research institutes and design bureaux tend to were introduced in 2014 to assess the performance of public
dominate institutions of higher education and enterprises research institutions in the civil sector regularly.
when it comes to R&D: they represented 48% and 9% of all
R&D units respectively and employed three-quarters of all Eight priority areas and critical technologies identified
R&D personnel in 2013 (Figure 13.4). Industrial enterprises The Russian Federation has an established system for
identifying priorities so that resources can be distributed
Figure 13.4: Breakdown of R&D units in the Russian effectively to a limited number of fields, taking into account
Federation by type and personnel, 2013 (%) national objectives and both internal and external challenges.
The current list encompasses eight priority areas and 27 critical
technologies based on the results of a foresight exercise
17.1 conducted in 20072010. This list was approved by the
president in 2011. These research priorities have been chosen
Other
to address global challenges, ensure national competitiveness
Type of and promote innovation in key areas; they are being used to
47.7 R&D unit 18.6
design governmental programmes for R&D and to streamline
funding for other policy initiatives. Two of the eight priority
7.4 areas concern defence and national security. The remaining six
Universities
9.2 focus on civil-purpose science and technology; their share of
total funding is broken down as follows:
Industrial
enterprises
Design n Transport systems and space (37.7%);
bureaux
n Safe and efficient energy systems (15.6%);
7.2 7.4
6.8
n ICTs (12.2%);

18.9 n Environmental management (6.8%);

Breakdown
of R&D
n Life sciences (6.0%); and
personnel
n Nanotechnology (3.8%).

Research
59.7
institutes 14. Prior to the reform of 2013, there were six Russian academies: the Academies
of Sciences; Medical Sciences; Agricultural Sciences; Education; the Arts; and
Architecture and Construction Services.
Source: HSE (2015a)
15. such as bionanotechnology, neurobiology, bioinformatics, etc.

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Box 13.2: Reform of the Academy of Sciences

The reform of the Russian Academy also happened to head these same These two laws served the immediate
of Sciences had been debated for institutes. Critics also reproached the objective of establishing a system with
over a decade. Since the late 1990s, academies for a lack of prioritization and two nodes of power divided between
the academy had functioned as a weak ties to universities and industry. the Russian Academy of Sciences, on
quasi-ministry, managing federal the one hand, and the Federal Agency
property and overseeing the network of The Russian Academies of Sciences, for Research Organizations, on the
institutions which carried out the bulk Agricultural Sciences and Medical other. The functions of co-ordinating
of basic research in Russia. In 2013, the Sciences attracted the most criticism, as basic research, evaluating research
six academies comprising this sector they grouped about 96% of the research results across the entire public
accounted for 24% of the Russian institutes placed under the academies, research sector and providing expert
Federations research institutions,about 99% of the academies funding and 98% of advice remain the preserve of the
one-fifth of R&D personnel, 36% of their researchers in 2013. A series of soft Russian Academy of Sciences, whereas
researchers and 43% of all researchers reforms in recent years had ironed out the management of the academys
with Candidate andDoctor of Science some problems, such as the introduction finances, property and infrastructure
degrees. They thus grouped a highly of rotation for managerial posts, greater now falls to the Federal Agency for
qualified labour force. internal mobility, a mandatory retirement Research Organizations.
age and teaching requirements and the
However, many of the institutions expansion of competitive grants. The more than 800 institutes that used
attached to the academy had to belong to the three academies
developed a top-heavy age pyramid, In September 2013, the governments of sciences are now formally the
with about one-third of researchers long-awaited reform got under way property of the Federal Agency for
being over the age of 60 (34% in 2013), with the adoption of a law stipulating Research Organizations, even though
including about 14% over 70. The the merger of the Russian Academy of they may still bear the label of one
academies were also accused of low Sciences with the two smaller academies of the academies. This network
productivity they received 2025% for medical and agricultural sciences. remains extensive: the 800 institutes
of government research funding The Russian Academy of Sciences was employ about 17% of researchers and
and a lack of transparency. There entitled to keep its name. A month produce nearly half of the countrys
was certainly a conflict of interest, in later, the government passed a law international scientific publications.
so far as some of those in charge of establishing the Federal Agency for
the academy and the distribution of Research Organizations, with direct Source: Gokhberg et al. (2011), HSE (2015a),
resources among subsidiary institutes reporting lines to the government. Stone (2014)

In 2014, work began on updating this list, once the engaged in manufacturing nanotech products, the sales from
government had approved the findings of the most recent which exceeded RUB 416 billion (more than US$15 billion).
foresight exercise, Foresight 2030, conducted between 2012 This is 11% over the target fixed in 2007 and means that the
and 2014 (HSE, 2014c). The reports recommendations are industry has grown 2.6 times since 2011. Almost one-quarter
intended to serve as early-warning signals for the strategic of nanotech products are exported. Moreover, export earnings
planning of enterprises, universities, research institutes and doubled between 2011 and 2014 to RUB 130 billion.
government agencies.
By the end of 2013, Rusnano was supporting 98 projects and
Growing exports of nanoproducts had established 11 centres for technological development
The UNESCO Science Report 2010 underscored the significance and transfer (nanocentres) and four engineering companies
of the Russian Strategy for Nano-industry Development (2007) in different regions. These specialize in composite materials,
and predicted that by 2015, all the necessary conditions will be power engineering, radiation technologies, nano-electronics,
in place for large-scale manufacturing of new nanotechnology- biotechnology, optics and plasma technologies, ICTs and so
related products and for Russian nanotech companies to on. Substantial achievements have been made in such areas
enter global markets. It also predicted that the sales of as nanoceramics, nanotubes, composites and both hybrid and
nanotechnology-related products would grow by seven or medical materials. Since its inception in 2011, the Centre for
eight times between 2009 and 2015. According to the state Nanotechnology and Nanomaterials in Saransk (Republic of
corporation Rusnano, as of 2013, over 500 companies were Mordovia) has begun manufacturing unique nanopincers for

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microscopes that allow particles on a scale of 30 nanometers

Figure 13.5: Nanotechnology patents in the
to be captured; this is a real breakthrough, with a multitude of Russian Federation, 20112015
potential applications in electronics and medicine (Rusnano, Number of patents per 100 nano-articles
2013, 2014). The centre has also patented special anticorrosion
USA 120.80
coatings, among other inventions. 120

Although the production of nanomaterials has grown

considerably, Russian scientific output in nanotechnologies 110
does not seem to be progressing as quickly as in a number of
other economies (see Figure 15.5); nor does Russian scientific
activity seem to have translated, as yet, into a significant
amount of patented inventions (Figure 13.5). 100

The advent of the State Roscosmos Corporation Japan 94.43

The space industry has traditionally been considered a
90
national priority. In terms of funding, the Russian space 87.48

industry is the third-biggest after those of the USA and EU.

The Russian Federation retains technological advantages in
cosmonautics, rocket engines and carrier rockets. Prospective 80
areas for R&D identified by Foresight 2030 include: carrier

Chapter 13
rocket technologies and acceleration block structural
components, such as composite nanomaterials; spacecraft
onboard engines, drives and energy storage systems; digital 70

electronics and satellite navigation systems; new-generation

environmentally friendly engines and safe fuels; clusters of
small-format spacecraft for remote exploration of the Earth; 60
and the deployment of broadband telecommunication systems
(HSE, 2014). These orientations are being taken into account
51.98
in the design of a new Federal Space Programme covering the
period to 2025; the new programmes priorities refer to social 50
space (the space industry as an engine of socio-economic
development), basic space research and piloted cosmonautics
(a new generation of space stations). It is also envisaged to
40
complete the deployment of the International Space Station.
World
average 34.91
In recent years, the Russian space industry has faced growing
29.91
global competition. At the same time, the industrys structure 30
and organization have become outdated and inefficient, a Germany 26.59
verdict confirmed by several failed launches. This state of affairs
UK 22.97
led the government to launch a reform in 2013 to integrate
20 17.96
more than 90 state-owned industrial enterprises and R&D
centres into a single United Rocket and Space Corporation.
The next stage of this ongoing reform got under way in 2015 14.22
with the merger of this corporation with the Federal Space 10
Agency. The aim is to concentrate R&D, manufacturing and
4.56 Italy 6.01
land infrastructure in the newly established State Roscosmos
Corporation, which is to become a hub for the strategic 1.18 Russian Fed. 1.12
planning and decision-making needed to overcome existing 0
problems. There are strong hopes that this move will enhance 2010 2011 2012 2013 2014 2015
horizontal linkages to avoid a dispersion of the procurement,
performance and regulatory functions and reinforce Note: Data concern the ratio of nanotechnology patents to nano-articles
(USPTO patents per 100 articles). The data for 2015 cover the period to the
competition. A similar approach was successfully tried earlier end of March.
by the nuclear energy corporation Rosatom.
Source: Thomson Reuters Web of Science; USPTO

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Along with this reform of the public space sector, new players ensuring the safety and durability of ships and vessels,
are gradually changing the traditional centralized landscape. including modern radio-electronic equipment based on
These are several private start-up companies based at Skolkovo nanotechnologies; and the design of highly automated smart
(Box 13.1), including Dauria Aerospace, Lepton Company adjustable systems for industrial production.
(St Petersburg) and Sputniks. These start-ups are targeting
the production of microsatellites and space instruments, as A stronger focus on alternative energy and energy
well as the commercialization of remote sensing technologies efficiency
for weather forecasting, environmental monitoring and Given the energy sectors key contribution to GDP and
exploration of natural resources. exports, any changes have an immediate impact on national
competitiveness. You could say that, when the energy
Developing technologies to shrink distances sector sneezes, the Russian economy catches a cold. In
The development of transport systems has two key 2014, the government launched the Energy Efficiency and
motivations: to strengthen the global reach of domestic Development programme to tackle the challenges facing the
technologies and ensure continuity across the Russian sector, including low energy efficiency, high extraction costs
Federations vast territory through the development of for fuel and the predominant orientation towards traditional
regional aviation hubs and high-speed railways. sources of energy. Within this programme, funds have been
earmarked for the development of electric power engineering
Foresight 2030 suggests some orientations for specific and the oil, gas and coal industries but also alternative
transport sectors. It recommends that the aircraft industry energy sources. Since 2010, four technological platforms have
focus its technological portfolio on reducing the weight of been put in place for an Intellectual Energy System (smart
planes, on the use of alternative fuels (biofuel, condensed and system), Environmentally Neutral and Efficient Heat and
cryogenic fuel), the development of smart cabins for pilots Power Engineering, Advanced Technologies for Renewable
with front windshield-based information panels and new Energy and Small Distributed Generation Systems.
composite (non-metal) materials, coatings and constructions
(HSE, 2014c). The Sukhoi Superjet 100 (SSJ) is one example of There have been some noteworthy achievements in the
recent technological progress; this new-generation regional field of alternative energy in recent years. High-performance
aircraft is equipped with advanced technologies and meets separators, turbines and allied equipment are being used
the demand of both domestic and global civil aviation in the construction of new geothermal power stations in
markets. A novel integrated power system for regional and Kamchatka and Kurils, for instance. Mini-power plants using
long-haul aircraft is also being developed by Snecma (the biogas generated from waste have also been built in many
French Safran Group) and Saturn (Russian Federation). regions. Engines are also being produced for wind farms and
small hydropower plants. In 2013, a complex engineering
The state programme for the shipbuilding industry was project got under way to develop the Prirazlomnaya ice-
adopted in 2013. This sector is experiencing a renaissance. strengthened platform, offering a strong impetus for the
More than 200 enterprises are engaged in manufacturing exploitation of the Arctic shelf.
vehicles for maritime and inland cargo shipping, equipment
for exploiting oil and gas reserves on the continental shelf, A cluster of projects are developing energy-efficient
commercial and scientific shipping. The United Shipbuilding technologies at Skolkovo (Box 13.2). These focus on reducing
Corporation (est. 2007) is the largest company in this sector; energy consumption in industry, housing and municipal
this fully state-owned company encompasses 60 enterprises infrastructure. For example, the New Energy Technologies
and accounts for about 80% of the domestic shipbuilding company is developing efficient thermos-electric generators for
industrys turnover, with exports to 20 countries. the direct conversion of thermal energy into electricity, based on
nanostructured membranes and highly efficient solar converters
According to Foresight 2030 and a special report on derived from organic polymers. Meanwhile, the Wormholes
Foresight for Shipbuilding (Dekhtyaruk et al., 2014), research Implementation company is creating intelligent systems for the
objectives for this industry principally concern the following monitoring and optimal exploitation of wells, in order to increase
areas: the development of composite materials based on the efficiency of oil extraction and oil field development.
nanotechnologies, organic and non-organic synthesis,
metallurgy and thermal treatment; construction using Foresight 2030 identifies 14 thematic areas for highly-
novel materials and coatings; techniques to maximize the promising applied R&D related to energy. These include
economic performance of vehicles; the construction of specific technologies for the efficient prospecting and
high-performance propulsion systems for small vessels extraction of fossil fuels, effective energy consumption, bio-
based on the novel principles of energy generation, storage energy, storage of electric and thermal energy, hydrogen-
and conversion; high-performance tools and systems for based power generation, deep processing of organic fuels,

358
 Russian Federation

smart energy systems, high-power fourth-generation water- Power Engineering; Advanced Technologies for Renewable
cooled nuclear reactors and optimizing energy and fuel Energy; Technologies for Hydrocarbon Extraction and Use;
transportation (HSE, 2014c). Hydrocarbon Deep Processing; Photonics; and Aviation Mobility.

A series of pilot innovative territorial clusters All 34 platforms will be evaluated to assess their level of
In the past five years, the government has taken support for industry; the list of platforms will then be adjusted
steps to strengthen institutional infrastructure for the accordingly. State support will only be renewed for those
commercialization and transfer of technology. In 2012, it platforms that have demonstrated a high potential and
launched a series of pilot innovative territorial clusters to tangible results.
promote value-added production chains and drive growth
in the regions. Initially, 25 clusters were selected on a Engineering centres being created at leading
competitive basis out of nearly a hundred applications. universities
The applicants were cluster consortia grouping industry, Research and federal universities, state research centres and
research institutes and universities supported by local academic institutes form the core of the countrys federal
administrations. The clusters represent a variety of regions centres for collaborative use of scientific equipment, the
stretching from Moscow to the Far East; they specialize in first of which appeared in the mid-1990s. Since 2013, these
areas ranging from high-tech (ICTs, biotechnology, nuclear centres have been brought together in a network of 357
energy, etc.) to the more traditional manufacturing sectors entities to improve their effectiveness. Their funding comes
of the automotive, shipbuilding, aircraft and chemical from the Federal Goal-oriented Programme for Research and
industries. Development in Priority Areas. Centres can obtain annual

Chapter 13
subsidies of up to RUB 100 million (circa US$ 1.8 million) for a
In 2013, the 14 best-prepared clusters received funding from maximum of three years for a specific project.
federal and regional authorities on a 50:50 basis (matching
principle); in 2014, a further 11 clusters were earmarked for Since 2013, a related pilot project to create engineering centres
support. The next stage of the national cluster policy will at leading technological universities has got under way. Its
involve creating broader regional cluster programmes and objective is to advance university-led development and the
cluster development centres to ensure co-ordination and provision of engineering and training services. Support comes
networking. from budgetary subsidies that offset some of the expenses
incurred in carrying out projects in engineering and industrial
Technology platforms to support industry design: in 2013, each centre received RUB 4050 million, for a
The first technology platforms were set up in Russia in 2010. total of RUB 500 million in subsidies.
They serve as a communication tool to unite the efforts
by the state, businesses and the scientific communities to Red tape holding back technopark development
identify challenges, develop strategic research programmes There are currently 88 technoparks. The main tools of public
and implementation mechanisms and encourage promising support for these are the programme for The Creation of High-
commercial technologies, new goods and services in Tech Technoparks in the Russian Federation (2006) and, since
specific economic sectors. There are currently 34 technology 2009, an annual competitive programme for SMEs. Technoparks
platforms across the country involving over 3000 mostly specialize in ICTs, medicine, biotechnology, instrument-
organizations: 38% concern businesses, 18% universities, making and mechanical engineering but one-third (36%)
21% research institutes and the remainder NGOs, business exhibit a cross-sectorial specialization.
associations and so on. In many cases, the platforms
strategic research programmes have been inspired by the Technopark policies are fraught with problems, owing
recommendations of Foresight 2030 (HSE, 2014c). to some grey areas in legislation and organizational
procedures. According to the Russian Association of
Two key tools used to regulate the activity of these Technoparks in High-Tech Sectors, only 15 technoparks
platforms are the co-ordination with government are actually effective.16 The remainder are in the planning,
technology-oriented programmes and the provision of construction or winding-up stages. The main reason for this is
interest-free loans for innovative projects from the Russian the excessive length of time taken by regional authorities to
Technology Development Fund, which was renamed the establish the titles to plots of land and to give town-planning
Foundation for Industrial Development in 2014. permission, or to render decisions on funding.

Among the best-performing platforms are Medicine of

16. Some technoparks have failed to achieve prescribed objectives related to the
the Future; Bio-industry and Bioresources BioTech2030; creation of highly skilled jobs, turnover in goods manufacturing, services rendered
Bio-energy; Environmentally Neutral and Efficient Heat and to resident businesses, etc. See: http://nptechnopark.ru/upload/spravka.pdf

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UNESCO SCIENCE REPORT

More bridges needed between special zones and the ongoing construction of both the International Thermonuclear
exterior Experimental Reactor in France and the Facility for Antiproton
Special economic zones date back to 2005, when the and Ion Research in Germany. The Russian Federation also
government decided to instigate a favourable regime for hosts the Joint Institute for Nuclear Research in Dubna, which
innovative entrepreneurship at the local level. Certain locations employs over 1000 researchers from the Russian Federation
were identified specifically to encourage the development of and further afield and receives nearly the same number of
new high-tech businesses and high-tech exports. temporary foreign visitors each year.

By 2014, five such zones were in operation in St Petersburg, Following fairly active participation in the EU framework
Dubna, Zelenograd, Tomsk and the Republic of Tatarstan. programmes for research and innovation in the past, Russian
These five zones host a total of 214 organizations. Each one research centres and universities are liable to participate
benefits from a preferential regulatory environment, such in the EUs current Horizon 2020 programme (20142020),
as a zero property tax for the first ten years or other tax as members of international consortia. This co-operation is
benefits, free customs regimes, preferential leasing terms, being co-ordinated by a joint committee; in parallel, joint
the opportunity to buy plots of land and state investment working groups have been set up to manage field-specific
in the development of innovation, engineering, transport joint research calls that are cofinanced by the allied EU and
and social infrastructure. In order to increase the efficiency Russian programmes.
of these policy instruments, particular attention should be
paid to arriving at a critical mass of organizations and to The Russian Federation is also developing bilateral ties with
strengthening linkages between residents and the external European countries through international organizations and
environment. projects, such as the UK Science and Innovation Network or
the RussianFrench collaboration on climate change.
TRENDS IN INTERNATIONAL SCIENTIFIC
CO-OPERATION In 2014, a wide array of activities were set in motion as part
of the RussianEU Year of Science. These include the launch
Towards a Common Space for Research and Education of joint projects such as Interact (Arctic research), Supra
with the EU (next-generation pilot simulators), Diabimmune (diabetic
In recent years, the Russian Federation has made a concerted and auto-immune illness prophylactics) and Hopsa/Apos
effort to integrate the international scientific community (efficient supercomputing for science and industry) [Ministry
and develop international co-operation in science and of Education and Science, 2014].
technology. A crucial aspect of this co-operation lies in its
ties with the EU, international organizations and regional Political tensions are affecting some areas of co-operation
economic associations. Economic sanctions imposed on the Russian Federation by
the EU in 2014 are limiting co-operation in certain areas, such
There has been fruitful scientific collaboration with the EU over as dual-use military technologies, energy-related equipment
the past decade, as confirmed by the extension for another and technologies, services related to deep-water exploration
five years of the Agreement on Co-operation in Science and and Arctic or shale oil exploration. The sanctions may
Technology between the European Community and the ultimately affect broader scientific co-operation.17
Russian government in 2014. A roadmap for establishing
a Common Space for Reasearch and Education is currently Over the past 2025 years, there has also been significant co-
being implemented, involving, inter alia, the stepping up operation with the USA in key areas such as space research,
of collaboration in space research and technologies. The nuclear energy, ICTs, controlled thermonuclear fusion,
Agreement for Co-operation between the European Atomic plasma physics and the fundamental properties of matter.
Energy Community and the Russian government in the field This co-operation has involved leading universities and
of controlled nuclear safety (2001) is currently in force. A joint research organizations on both sides, including Moscow State
declaration on the Partnership for Modernization was signed University and Saint Petersburg University, Brookhaven and
at the Russian FederationEU summit in 2010. Fermi national laboratories and Stanford University. The level
of mutual trust was such that the USA even relied on Russian
The Russian Federation also participates in a number spacecraft to transport its astronauts to the International
of European research centres, including the European Space Station after its own space shuttle programme was
Organization for Nuclear Research (CERN) in Switzerland, the wound up in 2011.
European Synchrotron Radiation Facility in France and European
X-ray Free Electron Laser in Germany. It is a major stakeholder 17. See: http://europa.eu/newsroom/highlights/special-coverage/eu_sanctions/
in several international megascience projects, including the index_en.htm#5

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 Russian Federation

However, these contacts with the USA are now being Co-operation signed by the two countries in 2001, which has
affected by the recent political tensions over Ukraine. For given rise to regular four-year plans for its implementation.
example, joint efforts to secure nuclear materials actually The treaty provides the basis for about 40 collaborative
ceased when the US Department of Energy announced projects, as well as student exchanges at the secondary and
the termination of co-operation in April 2014. For the tertiary levels and the joint organization of conferences and
time being, co-operation between the Russian Federation symposia, among other forms of co-operation. Dozens of
and the USA is being maintained at the level of particular joint large-scale projects are being carried out. They concern
research centres and universities. This approach was the construction of the first super-high-voltage electricity
approved, for example, by a meeting of the Skolkovo transmission line in China; the development of an
Scientific Advisory Council in November 2014 in Stanford experimental fast neutron reactor; geological prospecting in
(USA). At this meeting, several areas were selected for joint the Russian Federation and China; and joint research in
activities, namely brain and other bioscience research, optics, metal processing, hydraulics, aerodynamics and solid
molecular diagnostics, environmental monitoring and the fuel cells. Other priority areas for co-operation include
forecasting of natural and technogenic emergencies. industrial and medical lasers, computer technology, energy,
the environment and chemistry, geochemistry, catalytic
Growing collaboration with Asia processes, new materials, including polymers, pigments, etc.
Collaboration with the Association of Southeast Asian One new priority theme for high-tech co-operation concerns
Nations currently targets joint activities in such high-tech the joint development of a new long-range civil aircraft. To
sectors as the commercial development of space (space date, the aircrafts basic parameters have been elaborated, as
tourism), prospecting and extraction of minerals (including well as a list of key technologies and a business plan which

Chapter 13
the use of space technology), materials engineering, has been submitted for approval.
medicine, computing and telecommunications. Collaborative
projects are also being carried out in the field of renewable The Russian Federation and China are also co-operating in
energy, biotechnology, atomic energy and education. In the field of satellite navigation, through a project involving
2014, Viet Nam hosted a large-scale presentation of export- Glonass (the Russian equivalent of GPS) and Beidou (the
oriented Russian technologies. This resulted in a series regional Chinese satellite navigation system). They have
of concrete agreements to initiate projects in the field of also embarked on a joint study of the planets of our
navigation technologies, agricultural biotechnology, energy Solar System. A resident company of Skolkovo, Optogard
and pharmaceuticals. An agreement was also reached in Nanotech (Russian) and the Chinese Shandong Trustpipe
2011 for the development of nuclear energy in Viet Nam Industry Group signed a long-term deal in 2014 to promote
using Russian technologies and equipment. Russian technologies in China. In 2014, Moscow State
University, the Russian Venture Company and the China
The Republic of Korea is co-operating with the Russian Construction Investment Corporation (Chzhoda) also
Federation in Antarctic exploration. This joint activity signed an agreement to upscale co-operation in developing
got under way in 2012; it includes the construction of a technologies for smart homes and smart cities (see also
second Korean science station, assistance with the training Box 23.1).
of professionals in ice navigation, accompanying the
Korean ice-breaker Araon, information exchange and joint We are seeing a shift in RussoChinese collaboration from
research on living organisms found in low-temperature knowledge and project exchanges to joint work. Since 2003,
environments. The two countries have also been deepening joint technoparks have been operating in the Chinese cities
their co-operation in the pharmaceutical sector since of Harbin, Changchun and Yantai, among others. Within
2013; Russias Chemical Diversity Research Institute and these technoparks, there are plans to manufacture civilian
SK Biopharmaceuticals, on the one hand, and the Korean and military aircraft, space vehicles, gas turbines and other
Pasteur Institute, on the other, have been collaborating large equipment using cutting-edge innovation, as well as
on pre-clinical research, clinical trials, new drugs to treat to mass-produce Russian technologies developed by the
tuberculosis, etc. Moreover, the Russian High-tech Centre Siberian Branch of the Russian Academy of Sciences.
ChimRar is currently setting up a joint biotechnology
business to engage in research and develop innovative In the past few years, the government has removed a
preparations to treat diseases which attack the central number of administrative barriers to closer international
nervous system, together with the Korean firm Dong-A co-operation with its partners. For example, the visa
Pharmaceutical Co. Ltd. application process has been simplified, along with labour
and customs regulations, to promote academic mobility
Dynamic bilateral collaboration with China stems from and flows of research equipment and materials related to
the Treaty on Good Neighbourliness, Friendship and collaborative projects.

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CONCLUSION STI will obviously develop most intensively in those sectors

where resources are concentrated, such as in fuel and
A need for longer-term horizons in policy-making energy, traditional high-tech manufacturing and so on.
Despite the current complex economic and geopolitical At the same time, we expect to see future STI intensity
situation, the Russian Federation has the firm intention of around newly emerging competitive industries where the
consolidating its national innovation system and pursuing conditions for global competition have already been met,
international co-operation. In January 2015, the Minister of such as in advanced manufacturing, nanotechnology,
Education and Science, Dmitry Livanov, told Nature magazine software engineering and neurotechnology.
as much. There will be no substantial reductions in the level of
science funding caused by the current economic situation, he In order to strengthen domestic STI in a globally
said. I strongly believe that scientific co-operation should not competitive environment, Russia needs to establish
depend on temporary changes in the economic and political a climate conducive to investment, innovation, trade
situation. After all, the generation of new knowledge and and business, including through the introduction of tax
technologies is a mutually beneficial process (Schiermeier, 2015). incentives and lighter customs regulations. The National
Technology Initiative adopted in 2015 has been devised to
The rapidly changing landscape of science and technology ensure that Russian companies capture their share of future
with supply and demand for innovation shifting incessantly emerging markets.
is obliging policy-makers to address longer-term horizons and
tackle emerging challenges. In a context of rapidly evolving It is of vital importance that administrative barriers blocking
global economic and geopolitical climates, coupled with the entry to markets and the development of start-ups be
growing international competition, both the government removed; the intellectual property market must also be
and public and private companies need to adopt more active further liberalized by gradually reducing the role of the
investment strategies. To this end, future policy reforms in the state in managing intellectual property and enlarging the
Russian Federation should incorporate: class of owners, with the introduction of support measures
to raise demand for innovation. Some of these issues have
n preferential support for competitive centres of excellence,
been addressed in the action plan adopted in 2015 to
taking into account international quality standards for
implement The Russian Federations Strategy for Innovative
research and the centres potential for involvement in global
Development to 2020 the impact of which will be
networks; research priorities should be influenced by the
discussed in the next edition of the UNESCO Science Report.
recommendations of Foresight 2030;

n better strategic planning and long-term technology

foresight exercises; an important task for the near future will
KEY TARGETS FOR THE RUSSIAN FEDERATION
be to ensure the consistency of foresight studies, strategic
planning and policy-making at the national, regional and
n Raise labour productivity by 150% by 2018;
sectorial levels and that national priorities are translated into
targeted action plans; n Increase the share of high-tech industries in GDP by
130% between 2011 and 2018;
n greater financial support for the research of leading universities
and research institutes, together with incentives for them to n Raise export revenue from nanotech products to
collaborate with businesses and investment bodies; RUB 300 billion by 2020;

n further development of competitive research funding, n Raise GERD from 1.12% of GDP in 2012 to 1.77% by
coupled with a regular assessment of the effectiveness of 2018;
budget spending in this area;
n Raise the average salary of researchers to 200% of the
n stimuli for technological and organizational innovation average salary in the region where the researcher is
in industry and the services sector, including subsidies based by 2018;
for innovative companies particularly those engaged
n Raise the share of GERD performed by universities from
in import substitution tax deductions for companies
9% in 2013 to 11.4% by 2015 and 13.5% by 2018;
investing in high-tech companies, a wider range of
incentives for companies to invest in R&D, such as tax n Increase total funding of public scientific foundations to
rebates and corporate venture funds; and RUB 25 billion by 2018;

n regular appraisals of specific institutional mechanisms to n Boost Russias world share of publications in the Web of
support innovation, such as the technology platforms, and Science from 1.92% in 2013 to 2.44% by 2015.
monitoring of their funding levels and performance.

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 Russian Federation

REFERENCES Kuznetsova, T.; Roud, V. and S. Zaichenko (2014) Interaction

between Russian enterprises and scientific organizations
Cornell University; INSEAD and WIPO (2014) Global Innovation in the field of innovation. Foresight Russia, 8(1): 217.
Index 2014: The Human Factor in Innovation. Cornell
University and World Intellectual Property Organization. Meissner, D.; Gokhberg, L. and A. Sokolov (eds) [2013] Science,
Ithaca (USA), Fontainebleau (France) and Geneva Technology and Innovation Policy for the Future: Potential
(Switzerland). and Limits of Foresight Studies. Springer.

Dekhtyaruk, Y.; Karyshev I.; Korableva, M.; Velikanova N.; Ministry of Education and Science (2014) EURussia Year of
Edelkina, A.; Karasev, O.; Klubova, M.; Bogomolova, A. and Science. Moscow.
N. Dyshkant (2014) Foresight in civil shipbuilding 2030.
Foresight Russia, 8(2): 3045. OECD (2011) Towards Green Growth. Organisation for
Economic Co-operation and Development: Paris.
Gershman, M. and T. Kuznetsova (2014) Performance-related
pay in the Russian R&D sector. Foresight Russia, 8(3): 5869. Rusnano (2014) The Nanoindustry in Russia: Statistical Data
Book, 20112014. Moscow.
Gershman, M. and T. Kuznetsova (2013) The effective
contract in science: the models parameters. Foresight Rusnano (2013) Annual Report 2013. Moscow.
Russia, 7(3): 2636.
Schiermeier, Q. (2015) Russian science minister explains

Chapter 13
Gokhberg, L. and T. Kuznetsova (2011a) Strategy 2020: a new radical restructure. Nature, 26 January.
framework for innovation policy. Foresight Russia,
5(4): 4046. Stone R. (2014) Embattled President Seeks New Path for
Russian Academy. Science, 11 February.
Gokhberg, L. and T. Kuznetsova (2011b) S&T and innovation in See: http://news.sciencemag.org
Russia: Key Challenges of the Post-Crisis Period. Journal of
EastWest Business, 17(23): 7389. Tass (2014) Sanctions likely to pose risks for Russia to fall
behind in technology Medvedev. TASS News Agency,
Gokhberg, L.; Kitova, G.; Kuznetsova, T. and S. Zaichenko 19 September.
(2011) Science Policy: a Global Context and Russian Practice.
Higher School of Economics: Moscow.
Leonid Gokhberg (b. 1961: Russian Federation) is First
HSE (2015a) Science Indicators: 2015. Data book. Uses OECD Vice-Rector of the Higher School of Economics and
data. Higher School of Economics: Moscow. Director of the same schools Institute for Statistical
Studies and Economics of Knowledge in Moscow. He
HSE (2015b) Indicators of Innovation Activities: 2015. Data book. holds a PhD in Economics and a Doctor of Science Degree
Uses OECD data. Higher School of Economics: Moscow. in Economics.Prof. Gokhberg has published over 400
articles and participated in more than 20 international
HSE (2014a) Education in Figures: 2014. Brief data book. Higher projects.
School of Economics: Moscow.
Tatiana Kuznetsova (b.1952: Russian Federation) is
HSE (2014b) Science. Innovation. Information Society: 2014. Brief Director of the Centre for Science, Technology and
data book. Higher School of Economics: Moscow. Innovation and Information Policies at the Institute for
Statistical Studies and the Economics of Knowledge of
HSE (2014c) Foresight for Science and Technology Development the Higher School of Economics in Moscow. She holds
in the Russian Federation until 2030. Higher School of a PhD in Economics from Moscow State University.
Economics: Moscow. See: www.prognoz2030.hse.ru Dr Kuznetsova has published over 300 articles and
participated in more than 10 international projects.
HSE (2014d) Education in the Russian Federation: 2014. Data
book. Higher School of Economics: Moscow.

Kuznetsova, T. (2013) Russia. In: BRICS National System of

Innovation. The Role of the State. V. Scerri and H.M.M.
Lastres (eds). Routledge.

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UNESCO SCIENCE REPORT
Progress in Central Asia is being hampered
by the low level of investment in research
and development.
Nasibakhon Mukhitidinova

A flying machine on display at the

Tashkent Innovation Fair in 2014
Photo: Nasibakhon Mkhitidinova

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 Central Asia
14 . Central Asia
Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan, Uzbekistan

Nasibakhon Mukhitdinova

INTRODUCTION Kazakhstan has the worlds largest uranium reserves.

Fluctuating global demand for cotton, aluminium and other
A quick recovery from the global financial crisis metals (except gold) in recent years has hit Tajikistan hardest,
The Central Asian economies have emerged relatively since aluminium and raw cotton are its chief exports the
unscathed from the global financial crisis of 20082009. Tajik Aluminium Company is the countrys primary industrial
Uzbekistan has recorded consistently strong growth over asset. In January 2014, the Minister of Agriculture announced
the past decade (over 7%) and Turkmenistan1 even flirted the governments intention to reduce the land cultivated
with growth of 15% (14.7%) in 2011. Although Kyrgyzstans by cotton to make way for other crops. Uzbekistan and
performance has been more erratic, this phenomenon was Turkmenistan are major cotton exporters themselves, ranking
visible well before 2008 (Figure 14.1). fifth and ninth respectively worldwide for volume.

The republics which have fared best have surfed on the wave Although both exports and imports have grown impressively
of the commodities boom. Kazakhstan and Turkmenistan over the past decade, the countries remain vulnerable to
have abundant oil and natural gas reserves and Uzbekistans economic shocks, owing to their reliance on exports of
own reserves make it more or less self-sufficient. Kyrgyzstan, raw materials, a restricted circle of trading partners and a
Tajikistan and Uzbekistan all have gold reserves and negligible manufacturing capacity. Kyrgyzstan has the added
disadvantage of being considered resource poor, although it
does have ample water. Most of its electricity is generated by
1. Turkmenistan had reduced its external debt to just 1.6% of GDP by 2012
(down from 35% in 2002) and Uzbekistans external debt is just 18.5% of GDP hydropower.
(2012). Kazakhstans external debt has remained relatively stable at 66% (2012),
whereas Tajikistans external debt has climbed to 51% (up from 36% in 2008) and
Kyrgyzstans remains high at 89%, after dropping to 71% in 2009. Source: SESRIC
The Kyrgyz economy was shaken by a series of shocks
database, accessed July 2014. between 2010 and 2012. In April 2010, President Kurmanbek

Chapter 14
Figure 14.1: GDP growth trends in Central Asia, 20002013 (%)
15

12

Kyrgyzstan 10.5
Turkmenistan 10.2
9.8

9
8.3
Uzbekistan 8.0
Tajikistan 7.4

6 Kazakhstan 6.0
5.5
5.4

3.8

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Source: World Bank (2014) Global Economic Prospects, Table A1.1, p. 100

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UNESCO SCIENCE REPORT

Bakiyev was deposed by a popular uprising, with former Customs Union had removed trade barriers between the
minister of foreign affairs Roza Otunbayeva assuring the three founding countries. Although the agreement focuses
interim presidency until the election of Almazbek Atambayev on economic co-operation, it includes provision for the free
in November 2011. Food prices rose two years in a row and, circulation of labour and unified patent regulations, two
in 2012, production at the major Kumtor gold mine fell by dispositions which may benefit scientists.4
60% after the site was perturbed by geological movements.
According to the World Bank, 33.7% of the population was Central Asian snow leopards not for tomorrow
living in absolute poverty in 2010 and 36.8% a year later. Since gaining independence two decades ago, the republics
have gradually been moving from a state-controlled economy
A region of growing strategic importance to a market economy. The ultimate aim is to emulate the
Former Soviet states, the Central Asian republics share a Asian Tigers by becoming the local equivalent, Central Asian
common history and culture. Situated at the crossroads snow leopards. However, reform has been deliberately
of Europe and Asia, rich in mineral resources, they are of gradual and selective, as governments strive to limit the
growing strategic importance. All five are members of several social cost and ameliorate living standards in a region with a
international bodies, including the Organization for Security population growing by 1.4% per year on average.
and Co-operation in Europe, the Economic Cooperation
Organization and the Shanghai Cooperation Organisation.2 All five countries are implementing structural reforms
to improve competitiveness. In particular, they have
Moreover, all five republics are members of the Central Asia been modernizing the industrial sector and fostering the
Regional Economic Cooperation (CAREC) Program, which development of service industries through business-friendly
also includes Afghanistan, Azerbaijan, China, Mongolia and fiscal policies and other measures, to reduce the share of
Pakistan. In November 2011, the 10 member countries adopted agriculture in GDP (Figure 14.2). Between 2005 and 2013,
the CAREC 2020 Strategy, a blueprint for furthering regional the share of agriculture dropped in all but Tajikistan, where it
co-operation. Over the next decade, US$ 50 billion is being progressed to the detriment of industry. The fastest growth in
invested in priority projects in transport, trade and energy to industry was observed in Turkmenistan, whereas the services
improve members competitiveness.3 The landlocked Central sector progressed most in the other four countries.
Asian republics are conscious of the need to co-operate in order
to maintain and develop their transport networks and energy, Public policies pursued by Central Asian governments focus
communication and irrigation systems. Only Kazakhstan and on buffering the political and economic spheres from external
Turkmenistan border the Caspian Sea and none of the republics shocks. This includes maintaining a trade balance, minimizing
has direct access to an ocean, complicating the transport of public debt and accumulating national reserves. They cannot
hydrocarbons, in particular, to world markets. totally insulate themselves from negative exterior forces,
however, such as the persistently weak recovery of global
Kyrgyzstan and Tajikistan have been members of the World industrial production and international trade since 2008.
Trade Organization since 1998 and 2013 respectively, which
Kazakhstan is also keen to join. Uzbekistan and Turkmenistan, According to Spechler (2008), privatization has proceeded
on the other hand, have adopted a policy of self-reliance. fastest in Kazakhstan, with two-thirds of all firms being
Symptomatic of this policy is the lesser role played by foreign privately owned by 2006. Prices are almost completely
direct investment. In Uzbekistan, the state controls virtually market-based and banking and other financial institutions are
all strategic sectors of the economy, including agriculture, much better established than elsewhere in the region. The
manufacturing and finance, foreign investors being relegated government can dialogue with private enterprises through
to less vital sectors like tourism (Stark and Ahrens, 2012). Atameken, an association of more than 1 000 enterprises
from different sectors, and with foreign investors through
On 29 May 2014, Kazakhstan signed an agreement with the Foreign Investors Council, set up in 1998. Kazakhstan
Belarus and the Russian Federation creating the Eurasian nevertheless remains attached to state-led capitalism, with
Economic Union. They were joined by Armenia in October state-owned companies remaining dominant in strategic
2014 and by Kyrgyzstan in December 2014. The Union came industries. When the global financial crisis hit in 2008, the
into effect on 1 January 2015, four years after the initial Kazakh government reacted by stepping up its involvement
in the economy, even though it had created a wealth fund,
2. See Annex 1 for the membership of international bodies mentioned here, p. 736. SamrukKazyna, the same year to further the privatization of
3. CAREC was founded in 1997. It partnered with six multilateral institutions in 2003 state-controlled businesses (Stark and Ahrens, 2012).
to help mainstream regional co-operation in transport, trade and energy, including
infrastructure development: the Asian Development Bank (providing the secretariat
since 2001); European Bank for Reconstruction and Development; International 4. When the Eurasian Economic Union came into effect on 1 January 2015, the
Monetary Fund; Islamic Development Bank; UNDP and; World Bank. Eurasian Economic Community ceased to exist.

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 Central Asia

High literacy and medium development All adult Central Asians are literate and a person born
Despite high rates of economic growth in recent years, GDP today can expect to live 67.8 years on average. UNDP
per capita in Central Asia was higher than the average for considers Central Asia as having a medium level of
developing countries only in Kazakhstan in 2013 (PPP$ 23 206) human development. Kazakhstans ranking in the Human
and Turkmenistan (PPP$ 14 201). It dropped to PPP$ 5 167 Development Index improved by as much as 13 points
for Uzbekistan, home to 45% of the regions population, and between 2009 and 2013, compared to 7 points for
was even lower for Kyrgyzstan and Tajikistan. Turkmenistan and 5 for Uzbekistan. Kyrgyzstans ranking
actually dropped 5 points.

Figure 14.2: GDP in Central Asia by economic sector,

In 2013, the Earth Institute made an effort to measure the
2005 and 2013 (%)
extent of happiness in 156 countries. Kazakhs (57th), Turkmens
Agriculture Industry Manufacturing Services
2005 2013 2005 2013 2005 2013 2005 2013 (59th) and Uzbeks (60th) were found to be happier than most,
unlike the Kyrgyz (89th) and, above all, Tajiks (125th).

6.8
4.9 TRENDS IN EDUCATION AND RESEARCH
Kazakhstan

12.8 40.1
11.5 37.8
Persistently low investment in R&D
Common among the Central Asian republics is the persistently
53.1
low investment in R&D. In the past decade, Kazakhstan
58.2
and Kyrgyzstan have struggled to maintain gross domestic
expenditure on R&D (GERD) at 0.2% of GDP. Uzbekistans
31.9
17.7
R&D effort intensified in 2013 to 0.4% of GDP (Figure 14.3).
Kazakhstan has announced plans to hoist its own GERD/GDP
Kyrgyzstan

14.4 22.4
ratio to 1% by 2015 (see p. 373), a target that will be hard to
15.6 45.7
attain as long as annual economic growth remains strong.

Chapter 14
45.7
55.6
Figure 14.3: Trends in GERD/GDP ratio in Central Asia,
24.0 20012013
27.4
Uzbekistan
Tajikistan

23.7 31.3 0.41

0.4
11.2 21.7

44.8
50.8
0.30
0.3
18.8
14.5
Turkmenistan

37.6
48.4 0.22
0.2 Kazakhstan
0.18
43.6
37.0 0.17
7
Tajikistan
Kyrgyzstan 0.16 0.12
28.0
0.1 0.09
19.1
Uzbekistan

9.1 23.2
10.5 26.3

48.9 0.0
54.6 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

% 0 10 20 30 40 50 60
Note: Data are unavailable for Turkmenistan.
Note: For Turkmenistan, the most recent data are for 2012.
Source: UNESCO Institute for Statistics database, July 2014; for Uzbekistan,
Source: World Banks World Development Indicators, September 2014 Committee for Co-ordination of Science and Technology Development

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UNESCO SCIENCE REPORT

A focus on university and research infrastructure nurturing new high-tech industries, pooling resources and
The governments of Central Asia have adopted the same orienting the economy towards export markets.
policy of gradual, selective reforms when it comes to science
and technology (S&T). Only two research institutions opened Three universities have been set up in Central Asia in recent
in the region between 2009 and 2014, bringing the total to years to foster competence in strategic economic areas:
838. Both are situated in Uzbekistan (see p. 386). Nazarbayev University in Kazakhstan (first student intake
in 2011), Inha University in Uzbekistan, specializing in ICTs,
The other countries actually halved the number of their and the International Oil and Gas University in Turkmenistan
research institutions between 2009 and 2013. This is because (2014 for both). Countries are not only bent on increasing the
centres set up during the Soviet period to solve national efficiency of traditional extractive sectors; they also wish to
problems have become obsolete with the development make greater use of ICTs and other modern technologies to
of new technologies and changing national priorities. develop the business sector, education and research. Internet
Kazakhstan and Turkmenistan are both building technology access varies widely from one country to another. Whereas
parks and grouping existing institutions to create research every second Kazakh (54%) and one in three Uzbeks (38%)
hubs. Bolstered by strong economic growth in all but were connected in 2013, this proportion is as low as 23% in
Kyrgyzstan, national development strategies are focusing on Kyrgyzstan, 16% in Tajikistan and just 10% in Turkmenistan.

Box 14.1: Three neighbourhood schemes

The following three programmes illustrate applications from twinned institutions Centre for Innovative Technologies
how the European Union (EU) and universities, companies and research The Centre for Innovative Technologies
Eurasian Economic Community have institutes for funding of up to 10000 to is another project of the Eurasian
been encouraging Central Asian scientists enable them to visit one anothers facilities Economic Community. It came into
to collaborate with their neighbours. to discuss project ideas or prepare joint being on 4 April 2013, with the signing
events like workshops. The total budget of an agreement between the Russian
STI International Cooperation Network within IncoNet CA amounts to 85000. Venture Company (a government
for Central Asia (IncoNet CA) fund of funds), the Kazakh JSC National
IncoNet CA was launched by the EU in Innovative Biotechnologies Programme Agency and the Belarusian Innovative
September 2013 to encourage Central The Innovative Biotechnologies Foundation. Each of the selected
Asian countries to participate in research Programme (20112015) involves Belarus, projects is entitled to funding of
projects within Horizon 2020, the EUs Kazakhstan, the Russian Federation US$ 390million and is implemented
eighth research and innovation funding and Tajikistan. Within this programme within a publicprivate partnership.
programme (see Chapter 9). The focus established by the Eurasian Economic The first few approved projects
of the research projects is on three Community, prizes are awarded at focused on supercomputers, space
societal challenges considered as being an annual bio-industry exhibition technologies, medicine, petroleum
of mutual interest to both the EU and and conference. In 2012, 86 Russian recycling, nanotechnologies and the
Central Asia, namely: climate change, organizations participated, plus three from ecological use of natural resources.
energy and health. IncoNet CA builds Belarus, one from Kazakhstan and three Once these initial projects have
on the experience of earlier EU projects from Tajikistan, as well as two scientific spawned viable commercial products,
which involved other regions, such as research groups from Germany. the venture company plans to reinvest
Eastern Europe, the South Caucasus and the profits in new projects.
the Western Balkans (see Chapter 12). Vladimir Debabov, Scientific Director of
the Genetika State Research Institute for The venture company is not a purely
IncoNet CA focuses on twinning Genetics and the Selection of Industrial economic structure; it has also been
research facilities in Central Asia and Micro-organisms in Russia, stressed the designed to promote a common
Europe. It involves a consortium of paramount importance of developing economic space among the three
partner institutions from Austria, the bio-industry. In the world today, there participating countries.
Czech Republic, Estonia, Germany, is a strong tendency to switch from
Hungary, Kazakhstan, Kyrgyzstan, petrochemicals to renewable biological
Poland, Portugal, Tajikistan, Turkey sources, he said. Biotechnology is
and Uzbekistan. In May 2014, the developing two to three times faster than Source: www.inco-ca.net; www.expoforum.ru/en/
EU launched a 24-month call for chemicals. presscentre/2012/10/546; www.gknt.gov.by

368
 Central Asia

All three new universities teach in English and work with 2012) but the needs are greater in the latter two countries,
partner universities in the USA, Europe or Asia on academic which have lower standards of living. Both Kyrgyzstan and
programme design, quality assurance, faculty recruitment and Tajikistan have introduced national strategies to correct such
student admissions. structural weaknesses as ill-equipped schools and universities,
inadequate curricula and poorly trained teaching staff.
International co-operation is also a strong focus of the research
institutes and hubs set up in recent years (Boxes 14.114.5). Kazakhstan has made great strides in improving the
The mandate of these centres reflects a will to adopt a more quality of education over the past decade. It now plans to
sustainable approach to environmental management. Centres generalize quality education by raising the standard of all
plan to combine R&D in traditional extractive industries, for secondary schools to the level of its Nazarabayev Intellectual
instance, with a greater use of renewable energy, particularly Schools by 2020, which foster critical thinking, autonomous
solar. research and proficiency in Kazakh, English and Russian. The
Kazakh government has also pledged to increase university
In June 2014, the headquarters of the International scholarships by 25% by 2016. The higher education sector
Science and Technology Center (ISTC) were moved to performed 31% of GERD in 2013 and employed more than
Nazarbayev University in Kazakhstan, three years after the half (54%) of researchers (Figure 14.5). The new Nazarbayev
Russian Federation announced its withdrawal from the University has been designed as an international research
centre. Permanent facilities within the new Science Park at university (see p. 378).
Nazarbayev University should be completed by 2016. ISTC
was established in 1992 by the European Union (EU), Japan, Kazakhstan and Uzbekistan are both generalizing the
the Russian Federation and the USA to engage weapons teaching of foreign languages at school, in order to facilitate
scientists in civilian R&D projects5 and to foster technology international ties. Kazakhstan and Uzbekistan have both
transfer. ISTC branches have been set up in the following adopted the three-tier bachelors, masters and PhD degree
countries party to the agreement: Armenia, Belarus, Georgia, system, in 2007 and 2012 respectively, which is gradually
Kazakhstan, Kyrgyzstan and Tajikistan (Ospanova, 2014). replacing the Soviet system of Candidates and Doctors of
Science (Table 14.1). In 2010, Kazakhstan became the only

Chapter 14
Countries at different stages of education reform Central Asian member of the Bologna Process, which seeks
Kazakhstan devotes less to education (3.1% of GDP in 2009) to harmonize higher education systems in order to create a
than either Kyrgyzstan (6.8% in 2011) or Tajikistan (4.0% in European Higher Education Area.6 Several higher education
institutions in Kazakhstan (90 of which are private) are
5. In the past 20 years, ISTC has provided competitive funding for about 3 000
members of the European University Association.
projects in basic and applied research in energy, agriculture, medicine, materials
science, aerospace, physics, etc. Scientists from member countries interact with one
another, as well as with international centres such as the European Organization 6. Other non-European Union members of the Bologna Process include the Russian
for Nuclear Research (CERN) and with multinationals that include Airbus, Boeing, Federation (since 2003), Georgia and Ukraine (since 2005). The applications for
Hitachi, Samsung, Philips, Shell and General Electric (Ospanova, 2014). membership by Belarus and Kyrgyzstan have not been accepted.

Table 14.1: PhDs obtained in science and engineering in Central Asia, 2013 or closest year

PhDs PhDs in science PhDs in engineering

Total per Women PhDs Total per Women PhDs
Women Women million per million Women million per million
Total % Total % population population Total % population population
Kazakhstan
(2013) 247 51 73 60 4.4 2.7 37 38 2.3 0.9

Kyrgyzstan
(2012) 499 63 91 63 16.6 10.4 54 63
Tajikistan 31
(2012) 331 11
3.9 14
Uzbekistan
(2011) 838 42 152 30 5.4 1.6 118 27
Note: PhD graduates in science cover life sciences, physical sciences, mathematics and statistics, and computing; PhDs in engineering also cover manufacturing
and construction. For Central Asia, the generic term of PhD also encompasses Candidate of Science and Doctor of Science degrees. Data are unavailable for
Turkmenistan.

Source: UNESCO Institute for Statistics, January 2015

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UNESCO SCIENCE REPORT

Table 14.2: Central Asian researchers by field of science and gender, 2013 or closest year

Researchers by field of science (HC)

Engineering Medical
Total researchers Natural and and health Agricultural
(HC) Sciences technology sciences sciences Social sciences Humanities
Per
Total million Number Women Women Women Women Women Women Women
researchers pop. of women (%) Total (%) Total (%) Total (%) Total (%) Total (%) Total (%)
Kazakhstan 17195 1046 8849 51.5 5091 51.9 4996 44.7 1068 69.5 2150 43.4 1776 61.0 2114 57.5
(2013)
Kyrgyzstan 2224 412 961 43.2 593 46.5 567 30.0 393 44.0 212 50.0 154 42.9 259 52.1
(2011)
Tajikistan 2 152 262 728 33.8 509 30.3 206 18.0 374 67.6 472 23.5 335 25.7 256 34.0
(2013)
Uzbekistan 30890 1 097 12 639 40.9 6910 35.3 4982 30.1 3659 53.6 1872 24.8 6817 41.2 6650 52.0
(2011)

Note: Data are unavailable for Turkmenistan. The sum of the breakdowns by field of science may not correspond to the total because of the fields not elsewhere classified.

Source: UNESCO Institute for Statistics, February 2015

Kazakhstan is the only Central Asian country where the Soviet Union. Kazakhstan has even achieved gender parity,
business enterprise and private non-profit sectors make any with Kazakh women dominating medical and health research
significant contribution to R&D (Figure 14.5). Uzbekistan is in and representing some 4555% of engineering and technology
a particularly vulnerable position, with its heavy reliance on researchers in 2013 (Table 14.2). In Tajikistan, however, only
higher education: three-quarters of researchers are employed one in three scientists (34%) was a woman in 2013, down from
by the university sector, at a time when many are approaching 40% in 2002. Although policies are in place to give Tajik women
retirement age and 30% of the younger generation hold no equal rights and opportunities, these are underfunded and
degree qualification at all. poorly understood (see p. 381). Turkmenistan has offered a
state guarantee of equality for women since a law adopted in
Kazakhstan, Kyrgyzstan and Uzbekistan have all maintained 2007 but the lack of available data makes it impossible to draw
a share of women researchers above 40% since the fall of the any conclusions as to the laws impact on research.

Figure 14.4: Central Asian researchers by field of science, 2013 (%)

12.3 11.6 11.9

26.7 23.7
29.6 6.9
10.3
15.6
Kazakhstan 9.5 Kyrgyzstan Tajikistan
(2013) (2011) (2013) 9.6
12.5

17.7 21.9
6.2 25.5 17.4
29.1

21.5 22.4
Natural sciences Agricultural sciences

Engineering & technology Social sciences

Uzbekistan
Medical & health sciences Humanities
(2011)
16.1
22.1

Note: Data are unavailable for Turkmenistan. The sum of the breakdowns by field of
science may not correspond to the total because of the fields not elsewhere classified. 6.1 11.8
Source: UNESCO Institute for Statistics, February 2015

370
 Central Asia

Figure 14.5: Central Asian researchers by sector of employment (HC), 2013 (%)

5.7 13.4
18.3 Business enterprise

33.9
Government
Kazakhstan Kyrgyzstan
53.6 22.4 Higher education

Private non-profit 52.7

0.2 6.3

30.1 15.9

Tajikistan Uzbekistan

69.9

77.6

Chapter 14
Note: For Kyrgyzstan and Uzbekistan, the most recent data are for 2011. Data are unavailable for Turkmenistan.

Source: UNESCO Institute for Statistics, February 2015

Kazakhstan leads the region for scientific productivity Expanded since 2008. The three main partners of Central
Despite persistently low investment in R&D among the Asian scientists are based in the Russian Federation, Germany
Central Asian republics, national development strategies are and the USA, in that order. Kyrgyz scientists are the only ones
nonetheless focusing on developing knowledge economies who publish a sizeable share of their articles with their peers
and new high-tech industries. Trends in scientific productivity from another Central Asian country, namely Kazakhstan.
are useful indicators of whether these strategies are having an
impact or not. As Figure 14.6 shows, the number of scientific The number of patents registered at the US Patent and
papers published in Central Asia grew by almost 50% between Trademark Office is minimal. Kazakh inventors were granted
2005 and 2013, driven by Kazakhstan, which overtook just five patents by this office between 2008 and 2013 and
Uzbekistan over this period. Kazakhstan and Uzbekistan Uzbek inventors three. No patents at all were recorded for the
both specialize in physics, followed by chemistry, which also other three Central Asian republics.
happens to be Tajikistans speciality. Kyrgyzstan, on the other
hand, publishes most in geosciences and Turkmenistan most Kazakhstan is Central Asias main trader in high-tech products.
in mathematics. Articles related to agriculture trail far behind Kazakh imports nearly doubled between 2008 and 2013, from
and are almost non-existent in computer sciences. US$ 2.7 billion to US$ 5.1 billion. There has been a surge in
imports of computers, electronics and telecommunications;
Of note are the strong international ties of Central Asian these products represented an investment of US$ 744 million in
scientists but not with each other. At least two out of every 2008 and US$ 2.6billion five years later. The growth in exports
three articles were co-authored by foreign partners in 2013. was more gradual from US$ 2.3 billion to US$ 3.1 billion and
The biggest change has occurred in Kazakhstan, suggesting dominated by chemical products (other than pharmaceuticals),
that international partnerships have driven the steep rise in which represented two-thirds of exports in 2008 (US$ 1.5 billion)
Kazakh publications recorded in the Science Citation Index and 83% (US$ 2.6 billion) five years later.

371
 RUSSIAN FEDERATION

UNESCO
Figure SCIENCE REPORT
14.6:
Scientific publication Astana

trends in Central
Asia, 20052014 KAZAKHSTAN
Lake Balkash
h
36

Kazakhstan publishes Aral

A
Aktau
most but output remains Sea

modest Caspian Bishke

kek
ke
Almaty

Publications per million inhabitants, Sea UZBEKISTAN KYRGYZSTAN

Avaz
2014
Tashkent
hkent
5 11 15 CHINA
TURKMENISTAN 5
Turkmenabat
TAJIKISTAN
Ashgabat
Dussshanbe

34.5% 55.8%
Kazakh share of Central Asian Kazakh share of Central Asian
AFGHANISTAN PAKISTAN

publications in 2005 publications in 2014 INDIA

Growth in scientific output has accelerated in Kazakhstan since 2012

Kazakhstan 600
600

500

400

Uzbekistan 323

296
300

200
200

100 Kyrgyzstan 82

46 Tajikistan 46
4
32
5
Turkmenistan 24
0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

372
 The most prolific countries Kazakhstan and Uzbekistan specialize in physics andCentral
chemistryAsia
Cumulative totals by field, 20082014

38 5
Kazakhstan 212 435 13 255 174 204 144 3 554
37 14

Kyrgyzstan 14 1 54 36 1 22 133 11 61 2 67 3

Tajikistan 2 17 34 72 18 40 46 23 57

Turkmenistan 7 3 3 13 37 3 6

3
Uzbekistan 67 84 168 442 4 163 108 204 93 725
6

Agriculture Astronomy Biological sciences Chemistry Computer science Engineering Geosciences

Mathematics Medical sciences Other life sciences Physics Psychology Social sciences

Note: Totals exclude unclassified articles.

The average citation rate is low

Average citation rate for publications, 20082012 Share of publications among 10% most cited, 20082012 (%)

G20 average
G20 average
1.02 1.02 G20 average
G20 average
10.2%10.2%

0.77 0.77
7.4 7.4

Chapter 14
0.67 0.67
6.2 6.2

0.51 0.51
0.48 0.48
4.5 4.5

0.39 0.39

3.0 3.0
2.9 2.9

Kazakhstan
KazakhstanKyrgyzstan
Kyrgyzstan Tajikistan
TajikistanTurkmenistan
Turkmenistan
Uzbekistan
Uzbekistan Kazakhstan
KazakhstanKyrgyzstan
Kyrgyzstan Tajikistan
TajikistanTurkmenistan
Turkmenistan
Uzbekistan
Uzbekistan

The Russian Federation, Germany and the USA are the regions top partners
Main foreign partners, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Kazakhstan Russian Fed. (565) USA (329) Germany (240) UK (182) Japan (150)
Kyrgyzstan Russian Fed. (99) Turkey/Germany (74) USA (56) Kazakhstan (43)
Tajikistan Pakistan (68) Russian Fed. (58) USA (46) Germany (26) UK (20)
Turkmenistan Turkey (50) Russian Fed. (11) USA/Italy (6) China/Germany (4)
Uzbekistan Russian Fed. (326) Germany (258) USA (198) Italy (131) Spain (101)
Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

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UNESCO SCIENCE REPORT

COUNTRY PROFILES collaboration with private investors. According to the United

Nations Commission for Europe (UNECE, 2012), about 80%
of the funds disbursed go to research institutes. The fund
KAZAKHSTAN
provides grants and loans for projects in applied research in
priority areas for investment, as identified by the governments
Little industrial R&D
High Scientific Technology Committee, which is headed by the
Kazakhstan devoted 0.18% of GDP to research
prime minister. For the period 20072012, these were:
and development (R&D) in 2013, down from 0.23% in 2009
and a decadal high of 0.28% in 2005. The economy has grown n hydrocarbons, mining and smelting sectors and correlated
faster (Figure 14.1) than gross domestic expenditure on R&D service areas (37%);
(GERD), which only progressed from PPP$ 598 million to
n biotechnologies (17%);
PPP$ 714 million between 2005 and 2013.
n information and space technologies (11%);
In 2011, the business enterprise sector financed half of all
n nuclear and renewable energy technologies (8%);
research (52%), the government one-quarter (25%) and
higher education one-sixth (16.3%). Since 2007, the share of n nanotechnologies and new materials (5%);
the business sector in research has progressed from 45%, to
n other (22%).
the detriment of the government share, down from 37%.
The share of the private non-profit sector has climbed from
The State Programme for Scientific Development 20072012
barely 1% in 2007 to 7% four years later.
stipulated that the Science Fund should channel 25% of all
science funding by 2010 (UNECE, 2012). However, after the
Research remains largely concentrated in the countrys
global financial crisis hit in 2008, the governments contribution
largest city and former capital, Almaty, home to 52% of R&D
to the fund dropped. The fund adapted by offering more
personnel (UNECE, 2012). As we have seen, public research is
flexible terms, such as interest- and tax-free loans, and by
largely confined to institutes, with universities making only a
extending the loan period up to 15 years. In parallel, Kazakh
token contribution. Research institutes receive their funding
scientists were encouraged to reach out to Western partners.
from national research councils under the umbrella of the
Ministry of Education and Science. Their output, however,
A law which could transform Kazakh science
tends to be disconnected from market needs.
In February 2011, Kazakhstan adopted the Law on Science.
Encompassing education, science and industry, the law
Few industrial enterprises in Kazakhstan conduct R&D
propelled leading researchers to the highest echelons of the
themselves. Investment in R&D by the business enterprise
decision-making process. It established national research
sector represented just 0.05% of GDP in 2013. Even those
councils in priority areas, comprised of both Kazakh and
engaged in modernizing their production lines feel
foreign scientists. The decisions adopted by national research
disinclined to invest in the purchase of products resulting
councils are executed by the Ministry of Education and
from R&D. Only one in eight (12.5%) manufacturing firms was
Science and line ministries.
active in innovation7 in 2012, according to a survey by the
UNESCO Institute for Statistics.
The law prioritized the following areas: energy research;
innovative technologies in the processing of raw materials;
Paradoxically, enterprises spent 4.5 times more on scientific
ICTs; life sciences; and basic research (Sharman, 2012).
and technological services in 2008 than in 1997, suggesting
a growing demand for R&D products. Most enterprises prefer
It introduced three streams of research funding:
to invest in turnkey projects which embody technological
solutions in imported machinery and equipment. Just 4% of
n basic funding to support scientific infrastructure, property
firms purchase the license and patents that come with this
and salaries;
technology (Government of Kazakhstan, 2010).
n grant funding to support research programmes; and
A fund for science to accelerate industrialization
n programme-targeted funding to resolve strategic challenges.
In 2006, the government set up the Science Fund within the
State Programme for Scientific Development 20072012, in
The originality of this funding framework is that public
order to encourage market-oriented research by fostering
research institutions and universities may use the funding to
invest in scientific infrastructure and utilities, information and
7. Firms qualify as active in innovation if their activity has led to the
implementation of a product or process innovation, or if the firm is performing
communication tools and to cover staffing costs. Funding is
ongoing innovation or has recently abandoned innovation. disbursed via calls for proposals and tenders.

374
 Central Asia

The Law on Science established a system of peer review for sector, oil and gas, engineering, information and communication
research grant applications from universities and research technologies (ICTs), chemicals and petrochemicals. One of the
institutes. These competitive grants are examined by the most ambitious targets of the State Programme for Accelerated
national research councils. The government also plans to Industrial and Innovative Development is to raise the countrys
increase the share of funding for applied research to 30% GERD/GDP ratio to 1% by 2015 (Table 14.3).
and that for experimental development to 50%, leaving
20% for basic research. The law introduced a change to the UNECE (2012) observes that innovation expenditure more than
tax code which reduces corporate income tax by 150% to doubled in Kazakhstan between 2010 and 2011, representing
compensate for businesses R&D expenditure. In parallel, KZT 235 billion (circa US$ 1.6 billion), or around 1.1% of GDP.
the law extends intellectual property protection. In addition, Some 11% of the total was spent on R&D. This compares
public and private enterprises are eligible for state loans, so as to about 4070% of innovation expenditure in developed
to encourage the commercialization of research results and countries. UNECE (2012) attributes this augmentation to a sharp
attract investment. rise in product design and the introduction of new services and
production methods over this period, to the detriment of the
In order to ensure coherence, independence and acquisition of machinery and equipment which has traditionally
transparency in the management of STI projects and made up the bulk of Kazakhstans innovation expenditure.
programmes, the government created the National Centre for Training costs represented just 2% of innovation expenditure, a
State Scientific and Technical Expertise in July 2011. A joint much lower share than in developed countries.
stock company, the centre runs the national research councils,
monitors ongoing projects and programmes and evaluates Using innovation to modernize the economy
their impact, while maintaining a project database. Within the State Programme for Accelerated Industrial and
Innovative Development, a law was adopted in January
Long-term planning for coherent development 2012 to provide state support for industrial innovation; it
The Kazakhstan 2030 Strategy was adopted by presidential establishes the legal, economic and institutional bases for
decree in 1997. Apart from national security and political industrial innovation in priority sectors of the economy and
stability, it focuses on growth based on an open-market identifies means of state support.

Chapter 14
economy with a high level of foreign investment, as well
as on health, education, energy, transport communication Within the same programme, the Ministry of Industry and
infrastructure and professional training. New Technologies has developed an Inter-industry Plan
to stimulate innovation through the provision of grants,
After the first medium-term implementation plan expired engineering, services, business incubators and so on.
in 2010, Kazakhstan rolled out a second plan to 2020. It
focuses on accelerating diversification of the economy The Council on Technology Policy, established in 2010
through industrialization and infrastructure development; within the same programme, is responsible for formulating
the development of human capital; better social services, and implementing the state policy on industrial innovation.
including housing; stable international relations; and stable The National Agency for Technological Development
interethnic relations.8 established in 2011 co-ordinates technology programmes
and government support. It carries out foresight exercises
Two programmes underpin the Strategic Plan to 2020, the and planning, monitors programmes, maintains a database
State Programme for Accelerated Industrial and Innovative on innovation projects and their commercialization, manages
Development and the State Programme for Educational relevant infrastructure and co-operates with international
Development, both adopted by decree in 2010. The latter is bodies to obtain information, education and funding.
designed to ensure access to quality education and fixes a
number of targets (Table 14.3). The former focuses on the twin The main focus of innovation policy for the first three years
goals of diversifying the economy and improving Kazakhstans (20112013) is to make enterprises more efficient through
competitiveness by creating an environment more conducive to technology transfer, technological modernization, the
industrial development and developing priority economic sectors, development of business acumen and the introduction
including via effective interaction between the government and of relevant technologies. The following two years will be
business sectors. Kazakhstans economic priorities to 2020 are devoted to developing new competitive products and
agriculture, mining and metallurgical complexes, the energy processes for manufacture. The focus will be on developing
project finance, including through joint ventures. In parallel,
efforts will be made to organize public events, such as
8. According to the 2009 census, Kazakhs make up 63% of the population and
ethnic Russians 24%. Small minorities (less than 3%) make up the remainder,
seminars and exhibitions, to expose the public to innovation
including Uzbeks, Ukrainians, Belarusians and Tatars. and to innovators.

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UNESCO SCIENCE REPORT

Table 14.3: Kazakhstans development targets to 2050

KAZAKHSTAN 2030 STRATEGY KAZAKHSTAN 2050 STRATEGY

Targets to 2020 Targets to 2050

State Programme for Educational State Programme for Accelerated

Development, 20112020 Industrial and Innovative Development,
20112014

n Kazakhstan to possess the requisite n Kazakhstan to figure among the n Kazakhstan to figure among the top
human resources for the development 50 most competitive countries in 30 developed nations;
of a diversified economy and the world with a business climate
infrastructure; conducive to foreign investment in n Kazakhstan to increase per capita GDP
non-primary economic sectors; from US$ 13 000 in 2012 to US$ 60 000;
n Completion of transition to a 12-year
education model; n The economy to grow in real terms by n With the urban population due to
more than one-third in relation to 2009; rise from 55% to 70% of the total,
n 100% of 36 year olds to be provided annual GDP growth to attain no less towns and cities are to be linked by
with pre-school education; than 15% (KZT 7 trillion in real terms); high-quality roads and high-speed
transport (trains);
n 52%of teachers to hold a bachelors n The population living beneath the
or masters degree (or equivalent); poverty line to drop to 8%; n Small and medium-sized businesses
are to produce up to 50% of GDP,
n 90% of secondary schools to usean n Contribution of manufacturing sector compared to 20% at present;
e-learning system; to increase to at least to 12.5% of GDP;
n Kazakhstan to be a leading Eurasian
n Secondary schools to be of the same n Share of non-primary exports to centre of medical tourism (possible
quality as the Nazarbayev Intellectual increase to at least 40% of total exports introduction of universal medical
Schools, teaching Kazakh, Russian and [by 2014]; insurance);
English, and fostering critical thinking,
autonomous research and a deep n Labour productivity in manufacturing n Annual GDP growth to reach at least
analysis of information; to grow by a factor of no less than 1.5; 4%, with the volume of investment
rising from 18% to 30%;
n 80% of university graduates n GERD to represent 1% of GDP [by 2015];
who complete education under n Non-resource goods to represent 70%
the government grant scheme n 200 new technologies to be in use; of exports and the share of energy in
to be employed in their field of GDP to be halved;
specialization in their first year after n Two centres with industrial expertise,
graduation; three design bureaux and four n GERD to rise to 3% of GDP to allow for
technology parks to open; the development of new high-tech
n The leading universities to enjoy sectors;
academic and managerial autonomy; n Share of innovative activity in
two of them to rank among the enterprises to increase to 10% by 2015 n As part of the shift to a green
worlds 100 best (Shanghai list); and 20% by 2020; economy, 15% of acreage to
be cultivated with water-saving
n 65% of universities to pass n Basic research to represent 20% of all technologies; agrarian science to be
independent national accreditation research; applied research 30%; and developed; experimental agrarian and
in accordance with international technological development 50%, in innovation clusters to be established;
standards; order to favour the introduction of drought-resistant GM crops to be
innovative technologies; developed [by 2030];
n Government scholarships for
university students to increase by n Number of internationally recognized n Launch of a research centre on future
25% [by 2016]. patents to increase to 30. energy and the green economy [by
2017];

n Launch of a Geological Cluster of

Schools at Nazarbayev University
[by 2015], see Box 14.3.

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 Central Asia

Box 14.2: The Caspian Energy Hub

The Caspian Energy Hub is under plan to set up campuses there: Colorado development and strengthening inter-
construction on a site of 500600ha University and the University of Texas at industry and inter-regional links.
in the Kazakh city of Aktau; it will form Austin in the USA and Delft University in
part of a cluster planned for Asia and the Netherlands. Oil and gas represent 6070% of
the Middle East, with a similar hub Kazakh exports. A 2% reduction in
already existing in Qatar. The project was launched in May 2008 oil revenue in 2013, subsequent to
by two joint stock companies, the a drop in prices, cost the Kazakh
The projects main objectives are to Kazakhstan Holding for the Management economy US$ 1.2 billion, according to
improve staff training and develop of State Assets (Samruk) and the Ruslan Sultanov, Director-General of
the energy sectors scientific potential, Sustainable Development Fund (Kazyna), the Centre for Development of Trade
while modernizing infrastructure to which were subsequently merged in Policy, a joint stock company of the
serve the oil and gas industries better. October 2008. Other partners include Ministry of the Economy and Budget
The hub will comprise a specialized the PFC Energy international consulting Planning. More than half (54%) of
laboratory, a Centre for Geophysical company, the Gulf Finance House processed products were exported to
Data Analysis, a Centre for Oil and Gas investment company and the Mangystau Belarus and the Russian Federation in
Technologies and an administrative investment company. SamrukKazyna 2013, compared to 44% prior to the
pole responsible for state security and is charged with modernizing and adoption of the Customs Union in
environmental protection. The site will diversifying the Kazakh economy 2010.
also host an international technical by attracting investment to priority
university. Three foreign universities economic sectors, fostering regional Source: www.petroleumjournal.kz

Between 2010 and 2012, technological parks were set up in deep modernization. They also demonstrate high levels of
the east, south and north Kazakhstan oblasts (administrative investment, research and development, labour efficiency,

Chapter 14
units) and in the capital, Astana. A Centre for Metallurgy was business opportunities and standards of living. These are
also established in the east Kazakhstan oblast, as well as a the standards for our entrance into the ranks of the 30 most
Centre for Oil and Gas Technologies within the new Caspian developed nations. Promising to explain the strategys
Energy Hub (Box 14.2). goals to the population in order to ensure public support, he
stressed that the well-being of ordinary citizens should serve
The Centre for Technology Commercialization has been set as the most important indicator of our progress.
up as part of the Parasat National Scientific and Technological
Holding, a joint stock company established in 2008 that is At the institutional level, he pledged to create an atmosphere
100% state-owned. The centre supports research projects of fair competition, justice and rule of law and to shape and
in technology marketing, intellectual property protection, implement new counter-corruption strategies. Promising
technology licensing contracts and start-ups. The centre plans local governments more autonomy, he recalled that they
to conduct a technology audit in Kazakhstan and to review must be accountable to the public. He pledged to introduce
the legal framework regulating the commercialization of principles of meritocracy into human resources policy for
research results and technology. state-owned enterprises and companies.

Strong business, strong state The president recognized the need to update relationships
In December 2012, the Kazakh president announced the between the state and NGOs and the private sector and
Kazakhstan 2050 Strategy with the slogan Strong Business, announced a privatization programme. A list of state
Strong State. This pragmatic strategy proposes sweeping enterprises to be privatized was to be drawn up by the
socio-economic and political reforms to hoist Kazakhstan government and the SamrukKazyna sovereign wealth fund
among the top 30 economies by 2050. in the first half of 2014.

In his January 2014 state of the nation address, the president The first stage of the 2050 Strategy focuses on making
observed9 that OECD members have covered a journey of a modernization leap by 2030. The aim is to develop
traditional industries and create a processing industrial
sector. Singapore and the Republic of Korea are cited as
9. The information here on the 2050 Strategy is taken from the presidents address:
www.kazakhembus.com/in_the_news/president-nursultan-nazarbayevs-2014-the-
models. The second stage to 2050 will focus on achieving
state-of-the-nation-address sustainable development via a shift to a knowledge economy

377
UNESCO SCIENCE REPORT

reliant on engineering services. High value-added goods and innovation and commercialization of scientific results.
are to be produced in traditional sectors during this second Knowledge and technology transfer will be a key focus, with
stage. In order to smooth the transition to a knowledge the establishment of R&D and engineering centres, in co-
economy, there will be a reform of laws related to venture operation with foreign companies. Multinational companies
capital, intellectual property protection, support for research working in major oil and gas, mining and smelting sectors

Box 14.3: An international research university for Kazakhstan

Nazarbayev University is a public 4 000 and the number of graduates to Nazarbayev University hosts several
research university founded in Astana 2000 by 2020, 15% of whom should be research centres, in addition to the
in 2009 by the President of Kazakhstan, pursuing a doctoral degree by this time. research conducted by faculty and
who chairs the Supreme Board of The university has adopted the three-tier students: the Centre for Education
Trustees. The first intake of students degree system (bachelors, masters and Policy, the Centre for Life Sciences
dates from 2011. PhD) in line with the European Unions and the Centre for Energy Research.
Bologna Process to harmonize national The research priorities of the latter
By law, the Supreme Board oversees not education systems. for 20132020 include renewable
only the university but also Kazakhstans energy and energy efficiency and
first endowment fund, the Nazarbayev A particularity of the university is that energy sector modelling and analysis.
Fund, which ensures sustainable funding each school twins with one or more Established in 2010, the Centre for
for the university, and the 20 or so partner institutions on curriculum and Energy Research was renamed the
Nazarbayev Intellectual Schools which programme design, quality assurance, Nazarbayev University Research and
supply most of the universitys students. faculty recruitment and student Innovation System two years later.
Pupils are selected for these elite admissions. The School of Science and In line with Kazakhstans 2030 and
English-language secondary schools Technology partners with the Carnegie 2050 strategies, the university is also
and later for admission to Nazarbayev Mellon University (USA), the School of establishing a Centre for Growth and
University by University College Engineering with University College Competitiveness with an initial focus
London. Although students may apply London, and the School of Humanities on developing research excellence in
directly for undergraduate programmes, and Social Sciences with the University of global value chain analysis.
most students choose first to complete WisconsinMadison (USA).
a one-year programme at the Centre for One hindrance to innovation in
Preparatory Studies run by University The three graduate schools welcomed Kazakhstan has been the lack of
College London. All undergraduate their first cohort of students in 2013: the geographical proximity between
courses are free to students, some of Graduate School of Education partners innovation hubs and the countrys
whom receive a stipend. The university with Cambridge University (UK) and the main universities. In January 2012,
also offers scholarships to selected University of Pennsylvania (USA); the the president announced the
international students. Graduate School of Business with Fuqua construction of the Innovation
School of Business at Duke University (USA) Intellectual Cluster, which aims to
The university faculty and other staff and the Graduate School of Public Policy surround the university gradually with
are recruited internationally and the with Lee Kuan Yew School of Public Policy a belt of high-tech companies. The
language of instruction is English. at the National University of Singapore. hub encircling the university consists
In 2012, the three undergraduate of a business incubator, technopark,
schools counted a cumulative roll According to the Strategy for 20132020, research park, prototyping centre and
of 506 students, 40% of whom were a School of Medicine will open in 2015, commercialization office.
women: the School of Science and in partnership with the University of
Technology (43% of admissions in Pittsburgh (USA). A School of Mining and In 2012, the university published the
2012), School of Engineering (46%) Geosciences is also on the cards. Together first issue of The Central Asian Journal
and the School of Humanities and with a Centre for Geological Research, it of Global Health, a peer-reviewed
Social Sciences (11%). The universitys will form a Geological Cluster of Schools at scientific journal developed in
Strategy for 20132020 aims to offer Nazarbayev University, in partnership with partnership with the University of
a full complement of graduate the Colorado School of Mines in the USA. Pittsburgh.
programmes by 2014 and to increase This cluster is part of the governments
the undergraduate student roll to Kazakhstan 2050 Strategy. Source: www.nu.edu.kz

378
 Central Asia

will be encouraged to create industries to source required and west of the country, providing access to the Caspian
products and services. Technology parks will be reinforced, and Caucasus regions in the west and to the Chinese port of
such as the new Innovative Intellectual Cluster at Nazarbayev Lianyungang on the Pacific coast in the east.
University in Astana (Box 14.3) and the Alatau Information
Technology Park in Almaty. The traditional energy sector is also to be developed. Existing
thermal power stations, many of which already use energy-
Fifteen years to become a knowledge economy saving technologies, will be equipped with clean energy
In its 2050 Strategy, Kazakhstan gives itself 15 years to evolve technologies. A research centre on future energy and the
into a knowledge economy. New sectors are to be created green economy is to be established by the time Expo 2017
during each five-year plan. The first of these, covering the takes place. Environmentally friendly fuel and electric vehicles
years 20102014, focused on developing industrial capacity are to be introduced in public transportation. A new refinery
in car manufacturing, aircraft engineering and the production will also be established to produce gas, diesel and aviation
of locomotives, passenger and cargo railroad cars. During the fuels. Endowed with the worlds biggest uranium reserves,
second five-year plan to 2019, the goal is to develop export Kazakhstan also plans to set up nuclear power plants10 to
markets for these products. satisfy the countrys growing energy needs.

To enable Kazakhstan to enter the world market of geological In February 2014, the National Agency for Technological
exploration, the country intends to increase the efficiency Development11 signed an agreement with the Islamic
of traditional extractive sectors such as oil and gas. It also Corporation for the Development of the Private Sector and
intends to develop rare earth metals, given their importance a private investor for the establishment of the Central Asia
for electronics, laser technology, communication and medical Renewable Energy Fund. Over the next 810 years, the fund will
equipment. invest in Kazakh projects for renewable and alternative energy
sources, with an initial endowment of US$ 50100 million,
The second five-year plan coincides with the development two-thirds of which is to come from private and foreign
of the Business 2020 roadmap for small and medium-sized investment (Oilnews, 2014).
enterprises (SMEs), which will make provision for the

Chapter 14
allocation of grants to SMEs in the regions and for micro-
credit. The government and the National Chamber of KYRGYZSTAN
Entrepreneurs also plan to develop an effective mechanism
for helping start-ups. A technologically dependent country
The Kyrgyz economy is oriented primarily
During subsequent five-year plans to 2050, new industries towards agricultural production, mineral extraction, textiles
will be established in fields such as mobile, multi-media, and the service industry. There is little incentive to create
nano- and space technologies, robotics, genetic engineering knowledge- and technology-based industries. The insufficient
and alternative energy. Food processing enterprises will rate of capital accumulation also hampers structural changes
be developed with an eye to turning the country into a designed to boost innovation and technology-intensive
major regional exporter of beef, dairy and other agricultural industries. Every key economic sector is technologically
products. Low-return, water-intensive crop varieties will be dependent on other countries. In the energy sector, for
replaced with vegetable, oil and fodder products. As part of instance, all technological equipment is imported from
the shift to a green economy by 2030, 15% of acreage will abroad and many of its assets are in foreign12 hands.
be cultivated with water-saving technologies. Experimental
agrarian and innovational clusters will be established and
10. Kazakhstans sole nuclear power plant was decommissioned in 1999 after 26 years
drought-resistant genetically modified crops developed. of service. According to the IAEA, a joint venture with the Russian Atomstroyexport
envisages developing and marketing innovative small and medium-sized reactors,
starting with a 300 MWe Russian design as a baseline for Kazakh units.
In his speech of January 2014, the president said that
highways were currently under construction to link Kazakh 11. This agency is a joint stock company, like many state bodies.

cities and turn Kazakhstan into a logistics hub linking Europe 12. If we take the example of the Russian Federation, three partly state-owned
companies have recently invested in Kyrgzystans hydropower, oil and gas industries.
and Asia. The Western EuropeWestern China corridor In 2013, RusHydro began building the first of a series of hydroelectric dams that it will
is nearly completed and a railway line is being built to manage. In February 2014, Rosneft signed a framework agreement to buy 100% of
Bishkek Oil and a 50% stake in the sole aviation fuel provider at the countrys second-
Turkmenistan and Iran to gain access for goods to ports
biggest airport, Osh International. The same year, Gazprom came closer to acquiring
in the Gulf, the president said. We should increase the 100% of Kyrgyzgaz, which operates the countrys natural gas network. In return for
capacity of Kazakhstans port in Aktau and simplify export- a symbolic investment of US$ 1, Gazprom will assume US$ 40 million in debt and
invest 20 billion rubles (circa US$ 551 million) in modernizing Kyrgyz gas pipelines
import procedures. Upon completion, the 1200 km-long over the next five years. Gazprom already provides most of the countrys aviation fuel
ZhezkazganShalkarBeineu railway will connect the east and has a 70% share in the retail gasoline market (Satke, 2014).

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UNESCO SCIENCE REPORT

Kyrgyzstan needs to invest heavily in priority sectors like energy specialists were trained in intellectual property rights
to improve its competitiveness and drive socio-economic and relevant laws were adopted. The government is also
development. However, the low level of investment in R&D, introducing measures to increase the number of bachelors
both in terms of finance (Figure 14.3) and human resources, and masters degrees in S&T fields.
is a major handicap. In the 1990s, Kyrgyzstan lost many of
the scientists it had trained during the Soviet era. Brain drain Improving the quality of education
remains an acute problem and, to compound matters, Kyrgyzstan spends more on education than most of its
many of those who remain are approaching retirement age. neighbours: 6.8% of GDP in 2011. Higher education accounts for
Although the number of researchers has remained relatively about 15% of the total. According to the governments Review of
stable over the past decade (Table 14.2), research makes little the Cost-Effectiveness of the Education system of Kyrgyzstan, there
impact and tends to have little application in the economy. were 52 institutions offering higher education in 2011.
R&D is concentrated in the Academy of Sciences, suggesting
that universities urgently need to recover their status as Many universities are more interested in chasing revenue
research bodies. Moreover, society does not consider science than providing quality education; they multiply the so-called
a crucial driver of economic development or a prestigious contract student groups who are admitted not on merit
career choice. but rather for their ability to afford tuition fees, thereby
saturating the labour market with skills it does not want. The
A need to remove controls on industry professionalism of faculty is also low. In 2011, six out of ten
The governments National Strategy for Sustainable faculty held only a bachelors degree, 15% a masters, 20% a
Development (20132017)13 recognizes the need to remove Candidate of Science degree, 1% a PhD and 5% a Doctor of
controls on industry in order to create jobs, increase exports Science (the highest degree level).
and turn the country into a hub for finance, business,
tourism and culture within Central Asia. With the exception The National Education Development Strategy (20122020)
of hazardous industries where government intervention is prioritizes improving the quality of higher education. By
considered justified, restrictions on entrepreneurship and 2020, the target is for all faculty to have a minimum masters
licensing will be lifted and the number of permits required qualification and for 40% to hold a Candidate of Science and
will be halved. Inspections will be reduced to a minimum 10% either a PhD or Doctor of Science degree. The quality
and the government will strive to interact more with the assurance system is also to be revamped. In addition, the
business community. The state reserves the right, however, curriculum will be revised to align it with national priorities
to regulate matters relating to environmental protection and strategies for the regions economic development. A
and conservation of ecosystem services. By 2017, Kyrgyzstan teacher evaluation system will be introduced and there will be
hopes to figure in the Top 30 of the World Banks Doing a review of existing funding mechanisms for higher education.
Business ranking and no lower than 40th in the global ranking
for economic freedom or 60th for global enabling trade. By
combining a systematic fight against corruption with legalizing TAJIKISTAN
the informal economy, Kyrgyzstan hopes to figure among the
Top 50 least corrupt countries in Transparency Internationals Strong economic growth without greater
Corruption Perceptions Index by 2017. R&D intensity
Tajikistan has recorded strong growth in recent years,
Better intellectual property protection thanks to various economic reforms, including the
In 2011, the government devoted just 10% of GDP to development of new sectors such as hydropower and tourism
applied research, the bulk of funding going to experimental and effective measures to promote macro-economic
development (71%). The State Programme for the stability. GERD increased by 157% between 2007 and 2013
Development of Intellectual Property and Innovation (to PPP$ 20.9 million, in constant 2005 PPP$) but the
(20122016) sets out to foster advanced technologies, in GERD/GDP ratio barely improved, rising from 0.07% to 0.12%
order to modernize the economy. This programme will be over the same period (Figure 14.3).
accompanied by measures to improve intellectual property
protection and thereby enhance the countrys reputation The country has considerable assets: in addition to
as concerns the rule of law. A system will be put in place to freshwater and diverse mineral resources, it has relatively
counter trafficking in counterfeit goods and efforts will be large expanses of undeveloped land suitable for agriculture
made to raise public awareness of the role and importance and environmentally friendly crops, a relatively inexpensive
of intellectual property. During the first stage (20122013), labour force and a strategic geographical position thanks
to its border with China, making it a place of transit for
13. See http://gov.kg; www.nas.aknet.kg merchandise and transportation networks.

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Conditions not yet in place for a market economy Only time will tell whether Tajikistan can reach other key
The country also faces several challenges, including targets for 2015. These include providing all pupils with
widespread poverty; the need to develop the rule of law; adequate textbooks, involving local communities more in
the high cost of combating drug trafficking and terrorism problem-solving, decentralizing education funding, retraining
on its border; low Internet access (16% in 2013) and a small 25% of teachers annually and founding at least 450 new
domestic market. The government sector is not structured to schools, all of which are to be equipped with heating, water
meet the demands of a market economy and development and sanitation, along with the renovated schools. At least 50%
plans and strategies are neither interconnected nor vertically of schools are also to be given access to the internet.
integrated. Potential partners in the private sector and civil
society are insufficiently implicated in the development Plans to modernize the research environment
process. To compound matters, the modest allocation of Tajikistan can still count on a fairly strong core of human
financial resources is frequently inadequate to reach the resources in science but the meagre resources available
goals set forth in national strategic documents. The country for R&D are spread too thinly across a wide range of areas.
is also plagued by inadequate statistics. Research is disconnected from problem-solving and market
needs. Moreover, research institutions have weak linkages to
These factors affect the implementation of the National educational institutions, making it hard to share facilities such
Development Strategy for 20052015, which was designed as laboratories. The poor distribution of ICTs also hampers
by President Emomalii Rahmon to help the country meet the international scientific co-operation and information-sharing.
Millennium Development Goals. In education, the National
Development Strategy focuses on an institutional and economic Conscious of these problems, the government intends to reform
reform of the education system and on boosting the education the science sector. There are plans to conduct an inventory and
sectors potential to provide services. Key problems to overcome analysis of research topics at scientific institutions in order to
include widespread malnutrition and illness among children, enhance their relevance. Targeted programmes will be adopted
leading to absenteeism; poorly qualified teaching staff; lowly for basic and applied research in critical areas for scientific and
paid teachers, which affects morale and encourages corruption; economic development; at least 50% of scientific projects will
a shortage of up-to-date textbooks; ineffective evaluation have some practical application. Scientists will be encouraged

Chapter 14
methods; and inadequate curricula at all levels of education to apply for competitive grants proposed by the government
for meeting the demands of the modern world, including an and international organizations and foundations, and contract
absence of science-based curricula at some levels. research will be gradually introduced for high-priority R&D in
all the sciences. Related scientific facilities will be renovated
Education increasingly dependent on aid and equipped, including with internet access. A scientific
According to projections, the number of secondary school information database is also being set up.
pupils could rise by 40% between 2005 and 2015. A recent
survey revealed a lack of 600000 places for schoolchildren, Tajikistan hosted its first forum of inventors in October 2014 in
no heating or running water in one-quarter of schools and Dushanbe, entitled From Invention to Innovation. Run by the
no toilets in 35%. Internet access is rare, even in schools National Centre for Patents and Information of the Ministry
equipped with computers, owing to frequent electricity cuts of Economic Development and Trade, in partnership with
and a shortage of trained staff. In recent years, the gender gap international organizations, the forum discussed the private
in school attendance has increased for pupils in grades 911 sectors needs and fostered international ties.
particularly, in favour of boys.
Equal on paper but not in practice
Although state spending on education rose from 3.4% to 4.0% If Kazakhstan, Kyrgyzstan and Uzbekistan have all maintained
of GDP between 2007 and 2012, it remains well beneath 1991 a share of women researchers above 40% (even gender parity
levels (8.9%). Only 11% of this expenditure went to higher in Kazakhstans case) since the fall of the Soviet Union, only
education in 2012, after peaking at 14% in 2008. one in three Tajik scientists (33.8%) was a woman in 2013,
down from 40% in 2002. Although policies are in place14
The education system is thus becoming increasingly dependent to give women equal rights and opportunities, these are
on unofficial payments and international aid. Administrative underfunded and poorly understood by public employees
barriers hamper the establishment of effective publicprivate at all levels of government. There is also little co-operation
partnerships, limiting private sector participation at pre-school among the state, civil society and the business world when
and vocational and university levels, in particular. It seems
unlikely that Tajikistan will reach the target ensconced in its
14. A government programme identified basic directions for state policy in
National Development Strategy of privatizing 30% of these maintaining equal rights and opportunities for men and women over the period
institutions by 2015. 20012010, and a March 2005 law guarantees these rights and opportunities.

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UNESCO SCIENCE REPORT

it comes to implementing the national gender policy. As a 7 cultural centres and 1.6 million m2 of housing15 in 2012 alone.
result, women often find themselves excluded from public Across the country, roads, shopping centres and industrial
life and decision-making processes, even though they are enterprises are all under construction. Turkmenistans railway
increasingly a household breadwinner. transport and metropolitan trains have been fully upgraded
and the country is buying state-of-the-art aircraft.
As part of current administrative reform within the National
Development Strategy, gender considerations are to be At the same time, schools around the country are being
taken into account in the drafting of future budgets. Existing renovated, 20-year old textbooks replaced and modern
legislation will be amended to support gender equality multimedia teaching methods introduced. All schools,
objectives and ensure equal access for men and women universities and research institutes are being equipped with
to secondary and higher education, loans, information, computers, broadband and digital libraries. Internet has only
consulting services and, in the case of entrepreneurs, to been available to the public since 2007, which explains why
venture capital and other resources. The policy will also focus just 9.6% of the population had access to it in 2013, the lowest
on eliminating gender stereotypes in the public consciousness proportion in Central Asia.
and preventing violence against women.
A better respect for the rule of law
In the political arena, President Berdimuhammadov has
TURKMENISTAN restored the legislative powers of the Mejlis, the Turkmen
parliament, and made it obligatory for parliament to approve
Social safety nets to cushion market transition certain ministerial appointments, such as those of the
Turkmenistan has been undergoing rapid change ministers of justice and the interior. The first multi-party
with little social upheaval since the election of President parliamentary elections took place in 2013, allowing a second
Gurbanguly Berdimuhammadov in 2007 (re-elected in 2012), party, the Party of Industrialists and Entrepreneurs, to enter
following the death of president for life Sparamurat Niyazov. the Mejlis for the first time.
Turkmenistan has been moving towards a market economy since
this policy was enshrined in the Constitution in 2008; in parallel, Laws have been introduced giving greater freedom to
however, the government offers a minimum wage and continues the media and punishing torture and other criminal acts
to subsidize a wide range of commodities and services, including committed by state officials. Movement within the country
gas and electricity, water, wastewater disposal, telephone has also become easier with the removal of identity
subscriptions, public transportation (bus, rail and local flights) checkpoints at one time there were no fewer than 10
and some building materials (bricks, cement, slate). Economic between Ashgabat and Turkmenabat. Nowadays, someone
liberalization policies are being implemented gradually. Thus, travelling abroad need only present their passport once, a
as the standard of living has risen, some subsidies have been development which should facilitate the mobility of scientists.
removed, such as those for flour and bread in 2012.
A president keen to revive Turkmen science
Today, Turkmenistan has one of the fastest-growing The current president is far more committed to science than
economies in the world. By introducing a fixed exchange rate his predecessor. In 2009, he restored the Turkmen Academy
of US$ 1 to 2.85 Turkmen manat in 2009, the president caused of Sciences and its reputed Sun Institute, both dating from the
the black foreign exchange market to disappear, making the Soviet era (Box 14.4). In 2010, he also determined 12 priority
economy more attractive to foreign investment. A fledgling areas for R&D (UNESCO Science Report 2010, p. 245):
private sector is emerging with the opening of the countrys
first iron and steel works and the development of a chemical n Extraction and refining of oil and gas and mining of other
industry and other light industries in construction, agro-food minerals;
and petroleum products. Turkmen gas is now exported to
n Development of the electric power industry, with
China and the country is developing one of the largest gas
exploration of the potential use of alternative sources of
fields in the world, Galkinish, with estimated reserves of
energy: sun, wind, geothermal and biogas;
26 trillion m3 of gas. Avaz on the Caspian Sea has been turned
into a holiday resort, with the construction of dozens of hotels n Seismology;
which can accommodate more than 7 000 tourists. In 2014,
n Transportation;
some 30 hotels and holiday homes were under construction.
n The development of ICTs;
The country has embarked on a veritable building boom, with
the construction of 48 kindergartens, 36 secondary schools,
25 sports academies, 16 stadiums, 17 health centres, 8 hospitals, 15. See: www.science.gov.tm/organisations/classifier/high_schools

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n Automation of production; responsible for monitoring the Earths orbit, launching satellite
communication services, conducting space research and
n Conservation of the environment and, accordingly,
operating an artificial satellite over Turkmenistans territory.
introduction of non-polluting technologies that do not
produce waste;
International co-operation with major scientific and
n Development of breeding techniques in the agricultural educational centres abroad is being encouraged, including
sector; long-term scientific collaboration. International scientific
meetings have been held in Turkmenistan regularly since
n Medicine and pharmaceuticals;
2009 to foster joint research and the sharing of information
n Natural sciences; and and experience.

n Humanities, including the study of the countrys history,

The Turkmen State Institute of Oil and Gas was founded in
culture and folklore.
2012 before being transformed into the International Oil
and Gas University a year later. Built on a 30-hectare site
Several of the academys institutes were merged in 2014: the
which includes a Centre for Information Technology, it can
Institute of Botany was merged with the Institute of Medicinal
accommodate 3000 students. This brings the number of
Plants to become the Institute of Biology and Medicinal
training institutes and universities in the country to 16,
Plants; the Sun Institute was merged with the Institute of
including one private institution.
Physics and Mathematics to become the Institute of Solar
Energy; and the Institute of Seismology merged with the State
The government has also introduced a series of measures
Service for Seismology to become the Institute of Seismology
to encourage young people to pursue a career in science or
and Atmospheric Physics.16
engineering. These include a monthly allowance throughout
their degree course for students enrolled in S&T fields and
In 2011, construction began of a technopark in the
a special fund targeting the research of young scientists in
village of Bikrova near Ashgabat. It will combine research,
priority areas for the government, namely: the introduction of
education, industrial facilities, business incubators and
innovative technologies in agriculture; ecology and the rational
exhibition centres. The technopark will house research on

Chapter 14
use of natural resources; energy and fuel savings; chemical
alternative energy sources (sun, wind) and the assimilation
technology and the creation of new competitive products;
of nanotechnologies. The same year, the president signed a
construction; architecture; seismology; medicine and drug
decree creating the National Space Agency,17 which will be
production; ICTs; economics; and the humanities. It is hard to
gauge the impact of government measures in favour of R&D,
16. See: www.turkmenistan.ru/en/articles/17733.html though, since Turkmenistan does not make data available on
17. See: http://en.trend.az/news/society/1913089.html higher education, R&D expenditure or researchers.

Box 14.4: Turkmenistans Sun Institute

Although Turkmenistan is blessed with units. These units will be used to develop unit has been installed on Gyzylsu Island
abundant oil and gas reserves and arid areas and the territory around the in the Caspian Sea to supply water to the
produces enough electric power for its Turkmen Lake, as well as to foster tourism in local school.
own needs, it is difficult to lay power Avaz on the Caspian seashore.
lines in the Kopet Dag mountains or Within the Tempus project, sun
arid parts of the country: about 86% of In isolated parts of the country, sun scientists have been trained (or retrained)
Turkmenistan is desert. Local generation scientists are working on schemes to pump since 2009 at the Technical University
of wind and solar energy gets around this water from wells and boreholes, recycle Mountain Academy of Freiberg
problem and creates jobs. household and industrial wastes, produce (Germany). Sun scientists are also
biodiesel and organic fertilizers and raise studying the possibility of producing
Scientists at the Sun Institute are waste-free cattle. Their achievements silicon from the Karakum sands for
implementing a number of long-term include solar drying and desalination photovoltaic converters, thanks to a grant
projects, such as the design of mini- units, the cultivation of algae in solar from the Islamic Development Bank.
solar accumulators, solar batteries, photobioreactors, a solar furnace for high-
wind and solar photovoltaic plants and temperature tests, solar greenhouses and a Source: www.science.gov.tm/en/news/
autonomous industrial mini-biodiesel biogas production unit. A wind and energy 20091223news_alt_ener/

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UNESCO SCIENCE REPORT

One of the first laws adopted under Berdimuhammadovs n Constructing an innovative economy by strengthening the
presidency offered a state guarantee of equality for women, rule of law;
in December 2007. Some 16% of parliamentarians are women
n Energyand resource savings;
but there are no data on women researchers. A group of
women scientists have formed a club to encourage women n Development ofrenewable energy use;
to choose a career in science and increase the participation
n Development of ICTs;
of women in state S&T programmes and in decision-making
circles. The current chair is Edzhegul Hodzhamadova, Senior n Agriculture, biotechnology, ecology and environmental
Researcher at the Institute of History of the Academy of protection;
Sciences. Club members meet with students, deliver lectures
n Medicine and pharmacology;
and give interviews to the media. The club is endorsed by the
Womens Union of Turkmenistan, which has organized an n Chemical technologies and nanotechnologies; and
annual meeting of more than 100 women scientists on National
n Earth sciences: geology, geophysics, seismology and raw
Science Day (12 June) ever since the day was instituted in 2009.
mineral processing.

The first of the eight R&D priorities merits greater explanation.

UZBEKISTAN
The ultimate goal of the ongoing legal reform in Uzbekistan
is to harness innovation to solving socio-economic problems
A fledgling innovation system
and enhancing economic competitiveness. Innovation is
The anti-crisis package covering 20092012
perceived as a means of democratizing society. The contours
helped Uzbekistan weather the financial crisis by injecting
of the draft law on innovation and innovative activity were
funds into strategic economic sectors. As specified by
first outlined in the presidential decree of January 2011
presidential decree in December 2010, these sectors
devoted to deepening democratic reforms, including by
were, for 20112015: energy,oil and gas; the chemical,
strengthening the status of local representatives. This
textile and automobileindustries; non-ferrous metals;
draft bill also sets out to create an effective mechanism for
engineering;pharmaceuticals; high-qualityprocessing
the testing, deployment and commercial development of
ofagricultural products ; and construction materials. These
promising scientific work. It outlines additional incentives
sectors tend to involve large companies equipped with
and rewards for enterprises developing innovative projects,
design bureaux and laboratories. There are, however,
especially in high-tech industries. In 2014, the draft law was
also specialized state institutions which actively promote
subjected to public scrutiny to encourage debate.
innovation. These include the: the Agency for Technology
Transfer (since 2008), focusing on technology transfer to the
In Uzbekistan, state support (financial, material and
regions; the Scientific and Technical Information State Unitary
technical) for innovation is provided directly to specific
Enterprise, placed under the Committee for the Co-ordination
programmes and projects, rather than to the individual
ofScience and Technology Development (since 2009); and
research institutions and hierarchical structures. One of the
the Intellectual Property Agency of Uzbekistan (since 2011).
most effective elements of this scheme is the principle of
equity financing, which allows for a flexible combination
The government has also decreed free industrial zones (FIZ)
of budgetary funds with funding from industry and the
to foster the modernization of all economic sectors. The Navoi
regions. This ensures that there is a demand for the research
region became the first FIZ in December 2008. It was followed
being undertaken and that the results will lead to products
by Angren in the Tashkent region in April 2012 and Djizak in
and processes. It also creates bridges between the public
the Sirdary region in March 2013. The enterprises established
research sector and industrial enterprises.Researchers and
in these FIZ have already produced some inventions and
industrialists can also discuss ideas at the countrys annual
are involved in publicprivate partnerships through which
innovation fairs (see photo, p. 364). Between 2008 and 2014:
they co-finance projects in innovation with the Fundfor the
Reconstruction and Development of Uzbekistan, set up in n 26% of the proposals vetted concerned biotechnologies,
May 2006. The national innovation system in Uzbekistan is 19% new materials, 16% medicine, 15% oil and gas, 12%
still in its formative years, however. There is at best a tenuous chemical technologies and 13% energy and metallurgy;
relationship between science and industry and almost no
n more than 2 300 agreements were signed for experimental
commercialization of research results.
development for more than 85billion Uzbek soms (UZS),
equivalent to US$ 37 million;
In 2012, the Committee for the Co-ordination of Science and
Technology Development formulated eightpriorities for R&D n based on these contracts, 60 new technologies were
to 2020, based on the needs of industry (CCSTD, 2013): introduced and 22 product types went into production;

384
 Central Asia

Table 14.4: Uzbekistans most active research organizations, 2014

Physics and Astronomy Energy

Institute of Nuclear Physics Institute of Energy and Automation
RT-70 Observatory Tashkent State Technical University
SPU PhysicalTechnical Institute (PhysicsSun) Fergana Polytechnic Institute
Institute of Polymers, Chemistry and Physics Karshi Engineering Economic Institute
Institute of Applied Physics, National University of Uzbekistan Biochemistry, genetics and molecular biology
Chemical Sciences Biochemistry, Genetics and Molecular Biology
Institute of Bio-organic Chemistry (named after Academician Centre of Genomics and Bioinformatics
Sadykov) Institute of Plant and Animal Genofund
Institute of General and Inorganic Chemistry Institute of Genetics and Plant Experimental Biology
Institute of Chemistry and Plant Substances Institute of Microbiology
Institute of Polymers, Chemistry and Physics Source: compiled by author

n the new products generated UZS 680 billion (almost and teenagers foreign languages will be broadcast widely.
US$ 300 million), providing US$ 7.8 million in import Universities will be given greater access to international
substitution. multimedia resources, specialized literature, newspapers and
magazines.
Securing a new generation of researchers
In 2011, three-quarters of Uzbek researchers were employed Inha University in Tashkent opened its doors to students in
in higher education and just 6% in the business enterprise October 2014. Specializing in ICTs, this new university is the
sector (Figure 14.5). With most university researchers nearing result of collaboration with Inha University in the Republic
retirement, this imbalance imperils Uzbekistans research of Korea and will adopt similar academic programmes.
future. Almost all holders of a Candidate of Science, Doctor Initially, 70 students are being selected for the Department of
of Science or PhD are more than 40 years old and half are Information and Communication Engineering and a further

Chapter 14
aged over 60; more than one in three researchers (38.4%) 80 for the Department of Computer Science and Engineering.
holds a PhD degree, or its equivalent, the remainder holding a All lectures are given in English.
bachelors or masters degree.
In order to improve training, the first cross-sectorial youth
In July 2012, a presidential decree abolished the system laboratories were created by the Academy of Sciences in
of Candidate of Science and Doctor of Science degrees 2010, in promising fields such as genetics and biotechnology;
inherited from the Soviet system,18 replacing it with the advanced materials; alternative energy and sustainable
three-tier degree system comprised of bachelors, masters energy; modern information technology; drug design; and
and PhD degrees. Whereas those with a bachelors degree technology, equipment and product design for the oil and
used to be barred from postgraduate studies in the old gas and chemical industries. These fields were chosen by the
system, they will now be able to apply for a course leading academy to reflect the strengths of Uzbek science (Figure 14.6
to a masters degree. This should incite young people to and Tables 14.2 and 14.4). The Academy of Sciences has also
study science. revived the Council of Young Scientists.

In December 2012, a second presidential decree focused More problem-solving research

on improving proficiency in foreign languages, beginning In order to re-orient academic research towards problem-
with the 2013/2014 academic year. English teaching, in solving and ensure continuity between basic and applied
particular, will be introduced into secondary schools and research, the Cabinet of Ministers issued a decree in February
certain university courses will be taught in English, especially 2012 re-organizing more than 10 institutions of the Academy
engineering and specialized areas, such as law and finance, of Sciences. For example, the Mathematics and Information
in order to foster international information exchange and Technology Research Institute was subsumed under the
scientific co-operation. Students from remote rural areas National University of Uzbekistan and the Institute for
will be able to specialize in foreign language teaching at Comprehensive Research on Regional Problems of Samarkand
university on the recommendation of local public authorities. was transformed into a problem-solving laboratory on
Television and radio programmes designed to teach children environmental issues within Samarkand State University.
Some have remained attached to the Academy of Sciences,
18. For an explanation of the Soviet system of higher education, see Figure 14.3 on such as the Centre of Genomics and Bioinformatics
p. 220 of the UNESCO Science Report 2010. (Table 14.4 and Box 14.5).

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UNESCO SCIENCE REPORT

Box 14.5: Uzbek and US scientists add economic value to cotton fibre

A recent study could potentially have a strength but it is late-maturing, low- species. We are just taking the genes
multibillion-dollar impact on the global yielding and more difficult to grow because that are there and we are knocking
cotton industry and help cotton farmers it requires a dry climate and is less resistant down the effect of one of those genes
fend off increasing competition from to pathogens and pests. that is already in the plant.
synthetic fibres.
For a long time, cotton breeders have been The increased value of longer and
Published in January 2014 in Nature trying to develop upland cotton with the stronger lint would be at least
Communications, the study is the result fibre qualities of G. barbadense cotton, says US$ 100 per acre more income, says
of collaboration between biologists Alan Pepper, an associate professor in the Abdurakhmonov. Our anticipation of
at the Uzbek Centre of Genomics Texas A&M Department of Biology and a possible improvement of resistance to
and Bioinformatics, the Texas A&M co-author of the paper. Globally, everybody abiotic stresses [such as high winds or
University (USA) and the US Department is trying to do it. Economically, it is a huge drought] further adds to its
of Agricultures Office of International deal because every millimetre you add to commercial potential.
Research Programs, which provided fibre length adds that much to the price of
most of the funding. cotton when the farmer sells it. In December 2013, Prof.
Abdurakhmonov was named
Sustainability and biosecurity of The researchers method increased the researcher of the year by the
cotton production are pivotal for the length of the fibre by at least 5 mm, or 17%, International Cotton Advisory
Uzbek economy because agriculture compared to the control plants in their Committee for this gene knockout
accounts for [19%] of the countrys experiment. This was pure basic science technology, which is being patented
GDP, says lead author Prof. Ibrokhim kind of a shot-in-the-dark experiment, says in Uzbekistan, the USA and elsewhere.
Abdurakhmonov, who received his Pepper. Research is being conducted in order
masters degree in plant breeding from to apply this technology to other
Texas A&M University in 2001 and is He acknowledges that the results of crops.
now director of the Centre of Genomics the research are, technically, genetically
and Bioinformatics at the Academy of modified organisms (GMOs). But he Uzbekistan accounts for about 10%
Sciences in his native Uzbekistan. makes a key distinction. A major criticism of global cotton fibre exports, behind
of GMOs, Pepper notes, focuses on cases the USA, India, China and Brazil. It is
The overwhelming majority of cotton where genes from other species even currently using revenue from cotton-
harvested worldwide is upland cotton bacterial ones have been added to an growing to diversify its economy.
(Gossypium hirsutum). A cotton called organism to achieve a desired trait. What
Gossypium barbadense is more desirable we are doing is a little different. We are Source: www.bio.tamu.edu (press release);
because of its longer fibres and greater not actually adding a gene from another see also http://genomics.uz

In March 2013, two research institutes were created by The republics are all adopting structural and administrative
presidential decree to foster the development of alternative reforms to reinforce the rule of law, modernize traditional sectors
energy sources, with funding from the Asian Development Bank of the economy, introduce new technologies, strengthen related
and other institutions: the SPU PhysicalTechnical Institute skills and create an environment more conducive to innovation,
(Physics Sun Institute) and the International Solar Energy Institute. such as by strengthening intellectual property protection and
providing incentives for innovative enterprises. Increasingly,
government policies are opting for a more sustainable
CONCLUSION development path, including for extractive industries.

Progress hampered by low investment in R&D

In order to attain the objectives outlined in their respective
Most of the Central Asian republics have managed to maintain
development plans, governments in Central Asia need to:
stable economic growth throughout the global financial crisis
and even some of the highest annual growth rates in the world. n strengthen co-operation which is vital for sharing R&D
They are still in the process of transition to a market economy, results by developing a common regional network
however. Progress is being hampered by the low level of for scientific and technical information, and creating a
investment in R&D and, in Kyrgyzstan and Turkmenistan in database in priority research areas: renewable energy,
particular, by very low levels of internet access. biotechnology, new materials, etc.;

386
 Central Asia

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and technology parks, special industrial zones, business Accelerated Industrial and Innovative Development.
incubators for start-ups and spin-offs, etc.; and Approved by presidential decree no. 958, 19 March.
See: www.baiterek.gov.kz/en/programs/gpfiir-program
n co-operate in training highly qualified specialists for
the knowledge economy: managers and engineers Oilnews (2014) Kazakhstan creates investment fund for
for innovative projects; intellectual property lawyers, projects in the field of renewable energy sources. Oilnews.
including as concerns international law, patent marketers See: http://oilnews.kz/en/home/news
and so on.
Ospanova, R. (2014) Nazarbayev University to host International
Science and Technology Centre. Astana Times, 9 June.

President of Kazakhstan (2014) The Kazakhstan Way 2050:

One Goal, One Interest and One Future. State of the Nation
Address by President Nursultan Nazarbayev.
See: www.kazakhembus.com

KEY TARGETS FOR CENTRAL ASIA Satke, R. (2014) Russia tightens hold on Kyrgyzstan. Nikkei Asia

Chapter 14
Review, 27 March.
n Raise Kazahkstans GERD/GDP ratio to 1% by 2015; Sharman, A. (2012) Modernization and growth in Kazakhstan.
n Raise the share of innovative activity in Kazakh Central Asian Journal of Global Health, 1 (1).
enterprises to 10% by 2015 and 20% by 2020; Spechler, M. C. (2008) The Economies of Central Asia: a Survey.
n Carry the weight of the Kazakh manufacturing sector Comparative Economic Studies, 50: 3052.
to 12.5% of GDP by 2020; Stark, M. and J. Ahrens (2012) Economic Reform and
n Reduce the share of the Kazakh population living Institutional Change in Central Asia: towards a New Model of
below the poverty line to 8% by 2020; the Developmental State? Research Papers 2012/05. Private
Hochschule: Gttingen.
n Cultivate 15% of the acreage in Kazakhstan with water-
saving technologies and develop drought-resistant UNECE (2012) Innovation Performance Review: Kazakhstan.
genetically modified crops by 2030; United Nations Economic Commission for Europe: New
York and Geneva.
n Place Kyrgyzstan among the top 30 countries for doing
business by 2017 and the 50 least corrupt by 2017; Uzstat (2012) Statistical Yearbook. Uzbek Statistical Office:
Tashkent.
n Ensure that all Kyrgyz faculty members hold at least a
masters degree and 10% a PhD or Doctor of Science
degree by 2020;
Nasiba Mukhitdinova (b: 1972: Uzbekistan) is a graduate
n Privatize 30% of Tajik pre-schools, vocational schools of Tashkent State Technical University and today heads
and universities by 2015; the Department for Innovation Development and
Technology Transfer at the Scientific and Technical
n Equip 50% of Tajik schools with internet access by
Information State Unitary Enterprise in Tashkent. She
2015;
has published over 35 scientific articles and contributed
n Ensure that 50% of Tajik scientific projects are in to the government report on Strengthening Uzbekistans
applied fields by 2015. National Innovation System (2012).

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UNESCO SCIENCE REPORT
Indirectly, international sanctions have
had some benefits for science, technology
and innovation in Iran.
Kioomars Ashtarian

Professor Maryam Mirzakhani speaking at the International Congress

of Mathematicians in Seoul (Republic of Korea) in 2014, where she
was awarded the Fields Medal, the Nobel equivalent for mathematics
Photo: International Mathematical Union

388
 Iran
15 . Iran
Kioomars Ashtarian

INTRODUCTION Iran trades with the East

Between 2010 and 2012, non-oil exports rose by 12%, as
Sanctions have reshaped public policy in Iran Iran sought to cushion the economic impact of sanctions
In the UNESCO Science Report 2010, we discussed how high oil by limiting cash sales. Iran was able to import gold, for
receipts had stimulated consumerism but divorced science instance, in exchange for exporting goods to other countries.
from socio-economic needs, favouring a science push rather China is one of Irans biggest customers but owes an
than a technology pull. In more recent years, Iran has been estimated US$ 22billion for oil and gas supplies which cannot
less able to rely on oil receipts, as the embargo has tightened be paid due to banking sanctions. In late 2014, China was
its grip: oil exports shrank by 42% between 2010 and 2012, planning to invest an equivalent sum in electricity and water
dropping from 79% to 68% of total exports. projects as a way of circumventing the restrictions.

This predicament has reshaped Iranian public policy. The Like China, the Russian Federation is one of Irans main
transition from a resource-based economy to a knowledge trading partners. In October 2014, the Iranian agriculture
economy was already programmed in the Vision 2025 minister met with his Russian counterpart on the sidelines of
document adopted in 2005. However, it has taken the a Shanghai Cooperation Organization meeting in Moscow
hardening of sanctions and a change of government to discuss a new trade deal, whereby Iran would export
for policy-makers to make this transition a priority. vegetables, protein and horticultural products to the Russian
Federation, in exchange for imports of some engineering
Four of the resolutions adopted by the United Nations and technical services, cooking oil and grain products. In
Security Council since 2006 include progressively tough September 2014, the Iranian Mehr news agency reported that
sanctions. Since 2012, the USA and European Union (EU) Iran had signed a US$ 10 billion agreement with Russia for the
have imposed additional restrictions on Iranian oil exports design and construction of four new thermal2 power plants,
and on enterprises and banks accused of circumventing the as well as facilities for the transfer of electricity.
sanctions. The embargo is designed to persuade Iran to stop
enriching uranium, which can be used for both civilian and The sanctions have caused a distinct shift in Irans trading
military purposes. partners from West to East. Since 2001, Chinas exports to
Iran have increased almost sixfold. The EU, on the other
Iran has always insisted on the civil nature of its nuclear hand, accounted for almost 50% of Iranian trade in 1990
programme1 and its compliance with the Nuclear but, today, represents just 21% of Iranian imports and less
Non-Proliferation Treaty. Civil nuclear science is a source of than 5% of its exports.

Chapter 15
national pride, in much the same way that Iranians are proud
of their prowess in nanotechnology, stem cell technology but conducts science with East and West
and satellite technology. There was extensive coverage in the Scientific collaboration, on the other hand, has remained largely
national press when Maryam Mirzakhani (see photo) became oriented towards the West. Between 2008 and 2014, the top
the first woman and the first Iranian in 2014 to be awarded four partners for scientific co-authorship were, in descending
the Fields Medal, the Nobel equivalent for mathematics. order, the USA, Canada, the UK and Germany (Figure 15.1). In
2012, researchers from Iran began participating in the project to
President Hassan Rouhani took office in 2013 with the intention build an International Thermonuclear Experimental Reactor3 in
of dialoguing with the West. He rapidly initiated a new round France by 2018, which is developing nuclear fusion technology.
of negotiations with the contact group, made up of the five In parallel, Iran is stepping up its collaboration with developing
permanent members of the United Nations Security Council plus countries. Malaysia is Irans fifth-closest collaborator in science
Germany (known as the P5+1). The first concrete sign of a drop and India ranks tenth, after Australia, France, Italy and Japan.
in tensions came in November 2013 with the conclusion of an
interim arrangement with the P5+1. Shortly thereafter, the EU This said, just one-quarter of Iranian articles have a foreign co-
General Court announced that it would be annulling sanctions author. There is a lot of scope for the development of twinning
against the Central Bank of Iran. Another interim agreement between universities for teaching and research, as well as
in mid-2014 has allowed oil exports to climb back gradually to student exchanges (Hariri and Riahi, 2014). Ties with Malaysia
1.65 million barrels per day. A final agreement was signed on
14 July 2015 and rapidly endorsed by the United Nations Security 2. There are different types of thermal power plant: nuclear, geothermal,
Council, paving the way to the lifting of sanctions. coal-driven, biomass-burning, etc.
3. This project is funded by the European Union (circa 45% of the budget), China,
1. Iran currently has a single nuclear reactor, located in Bouchehr. India, Japan, the Republic of Korea and the USA.

389
Figure 15.1: Scientific publication trends in Iran,
20052014 7.4%
Average share of Iranian papers
Strong growth in Iranian publications among 10% most cited papers,
Countries with a similar population are given for comparison 20082012; the G20 average is 10.2%

100 000

Germany 91 631

80 000

0.81%
73 573

60 000 Average citation rate for Iranian

scientific publications, 20082012;
the G20 average is 1.02

40 000

Iran 25 588
Turkey 23 596
20 000

13 830

Egypt 8 428
4 676
2 919
0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Iranians now publish most in engineering, followed by chemistry

Cumulative totals, 20082014
27 042
22.3%
Average share of Iranian papers with
19 934 foreign co-authors, 20082014;
the G20 average is 24.6%

14 661
12 751 12 322

5 731 6 322
5 460
3 993

528 432 153 324

es

ics

ics
g
re

ry

es

es

es

es
y

gy
m

nc

in
tu

ist
nc

nc
nc
nc

nc

lo
ys
at
no

er
cie
ul

em

ho
m
cie

cie
cie

ie
cie

Ph
ne
tro
ric

sc
rs

he

yc
ls

ls
ls
os
Ch

gi
Ag

As

te

ife
at

Ps
ica

cia
ica
En

Ge
pu

rl
og

ed

So
he
m

M
ol

Co

Ot
Bi

Note: Totals exclude unclassified articles

The USA is Irans top collaborator

Main foreign partners between 2008 and 2014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Iran USA (6 377) Canada (3 433) UK (3 318) Germany (2 761) Malaysia (2 402)
Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

390
 Iran

are already strong. In 2012, one in seven international students did more harm to the economy than the sanctions and
in Malaysia was of Iranian origin (see Figure 26.9). In addition global financial crisis put together (see, for example, Habibi,
to being one of the rare countries which do not impose visas 2013). They posit that populist policies created an anti-expert
on Iranians, Malaysia is a Muslim country with a similar level of discourse, citing President Mahmoud Ahmadinejads decision
income. There were about 14 000 foreign students at Iranian to place the Management and Planning Organization under
universities in 2013, most of whom came from Afghanistan, his direct control7 in 2007. This venerable institution
Iraq, Pakistan, Syria and Turkey. The Fifth Five-Year Economic dated from 1948 and was responsible for preparing Irans
Development Plan has fixed the target of attracting 25 000 medium- and long-term development plans and policies,
foreign students by 2015 (Tehran Times, 2013). In a speech4 along with evaluating their implementation.
delivered at the University of Tehran in October 2014,
President Rouhani recommended establishing an English- In January 2010, parliament introduced a reform to remove
language university to attract more foreigners. the energy subsidies which dated from the IranIraq war of
the 1980s. These subsidies were costing about 20% of
Iran is collaborating on international projects via the GDP each year and had made Iran one of the most
Organization of Islamic States Standing Committee on energy-intensive countries in the world. The International
Scientific and Technological Cooperation (COMSTECH). Monetary Fund (IMF) has described the reform as one of
Moreover, in 2008, Irans Nanotechnology Initiative Council the most courageous moves to reform subsidies in an
established an Econano network5 to promote the scientific and energy-exporting country (IMF, 2014).
industrial development of nanotechnology among members
of the Economic Cooperation Organization (see Annex I, p. 736). To cushion the impact on households, the subsidies were
replaced by targeted social assistance of the equivalent of
Iran hosts several international research centres, including about US$ 15 per month that was extended to more than 95%
the following established within the past five years under of Iranians. Enterprises were also promised subsidized loans
the auspices of the United Nations: the Regional Centre to help them adopt new, energy-saving technologies and
for Science Park and Technology Incubator Development credit lines to mitigate the impact of higher energy prices on
(UNESCO, est. 2010), the International Centre on their production (IMF, 2014). Ultimately, most of these loans
Nanotechnology (UNIDO, est. 2012) and the Regional have not materialized.8
Educational and Research Centre for Oceanography for
Western Asia (UNESCO, est. 2014). Between 2010 and 2013, inflation climbed from 10.1% to
39.3%, according to the Iranian Statistical Centre. By 2013, the
An economy under pressure economy had slipped into recession (-5.8%), after growing
According to Mousavian (2012), the sanctions have slowed by 3% in 2011 and 2012. Unemployment remained high but

Chapter 15
Irans industrial and economic growth, considerably limited stable, at 13.2% of the the labour force in 2013.
foreign investment and triggered national currency devaluation,
hyperinflation, declining GDP and, last but not least, a dip in A new team at the economys bedside
oil and gas production and exports. The sanctions have hit President Rouhani is considered a moderate. Shortly after
the private sector particularly hard, increasing the costs of his election in June 2013, he stated in parliament that there
finance companies and the credit risk of banks, eroding foreign- must be equal opportunities for women, before going on
exchange reserves and restricting companies access to to appoint two women vice-presidents and the first woman
foreign assets and export markets. Knowledge-based enterprises spokesperson in the Ministry of Foreign Affairs. He has also
have also had limited access to high-quality equipment, research pledged to expand internet access (26% in 2012). In an
tools, raw materials and technology transfer (Fakhari et al., 2013). interview with NBC News9 in September 2013, he said that
we want the people, in their private lives, to be completely
Two other variables have affected Irans economy: populist free. In todays world, having access to information and the
policies, which fuelled inflation, and the reform of energy and right of free dialogue and the right to think freely is a right
food subsidies. Some analysts argue6 that this combination of all peoples, including Iranians. The people must have full
access to all information worldwide. In November 2014, he
4. President Rouhani said that scientific evolution will be achieved by criticism [] and reinstated the Management and Planning Organization.
the expression of different ideas. [] Scientific progress is achieved, if we are related to
the world. [] We have to have a relationship with the world, not only in foreign policy
but also with regard to the economy, science and technology. [] I think it is necessary 7. The Management and Planning Organization was renamed the Presidential
to invite foreign professors to come to Iran and our professors to go abroad and even Deputy for Strategic Monitoring.
to create an English university to be able to attract foreign students.
8. The Hi-Tech Development Fund has meanwhile been helping some enterprises
5. See: http://econano.ir to adopt energy-saving technologies. See(in Persian): www.hitechfund.ir
6. See, for example: http://fararu.com/fa/news/213322 9. See: http://english.al-akhbar.com/node/17069

391
UNESCO SCIENCE REPORT

President Rouhanis domestic priorities are to create an TRENDS IN STI GOVERNANCE

environment more conducive to business and to tackle the
acute problems of high unemployment, hyperinflation and Sanctions precipitating shift to a knowledge economy
inadequate purchasing power: GDP per capita amounted They say that every cloud has a silver lining. Indirectly,
to PPP$ 15 586 (in current prices) in 2012, less than the international sanctions have had some benefits for science,
previous year (PPP$ 16 517). technology and innovation (STI):

n Firstly, they have accelerated the shift from a resource-based

In 2014, the president instituted two major projects. The first
economy to a knowledge economy. There tends to be a
was the Second Phase of the Subsidy Reform Plan initiated by
weak link between the oil industry and other
his predecessor, which entailed a 30% price rise on petrol.
socio-economic sectors. Companies deprived of oil and gas
His second major project has been the Health Overhaul
revenue have shown a propensity to export technical and
Plan. This plan reduces the cost of treatment for patients
engineering services to neighbouring countries. According
in state-run hospitals from 70% to 5% in rural areas and
to a report by the Mehr news agency in November 2014
10% in urban areas. About 1.4million patients have been
which cited the deputy energy minister for international
admitted to state-run hospitals since the plans inception.
affairs, Iran currently exports water and technological
Some 3000 specialists have been employed by the ministry
power services worth over US$ 4 billion to more than
to work in vulnerable regions, 1 400 of whom had taken up
20 countries.10
their positions by the end of 2014. According to Irans health
minister, the plan is not facing any financial problems in its n Secondly, the sanctions have helped to reconcile R&D
first two years of operation but some health policy experts with problem-solving and public interest research, after
worry that the government may not be able to pursue years of high oil receipts had divorced science from
this policy for long, owing to the high cost. Six million socio-economic preoccupations.
people have received health insurance since the plans
n Thirdly, the sanctions have helped small and
implementation, according to the health minister, most of
medium-sized enterprises (SMEs) develop their businesses
them from the poorer echelons of society.
by erecting barriers to foreign imports and encouraging
knowledge-based enterprises to localize production.
According to the Iranian economic journalist Saeed Leylaz,
With unemployment high and Iranians well-educated, they
the countrys economic condition was not predictable
have had no difficulty recruiting trained staff.
in the past government but the current government has
managed to stabilize the economy. This helped make n Fourthly, by isolating Iranian companies from the outside
people reluctant to buy dollars for the purpose of saving. world, the sanctions have forced them to innovate.
The government has also reduced political tensions and
n Last but not least, the sanctions have persuaded policy-
refrained from impulsive acts in the economy (Leylaz, 2014).
makers of the need to embrace the knowledge economy.

Irans economic outlook is brighter, thanks partly to the The governments policy of developing a knowledge
resumption of negotiations with the P5+1. The Iranian economy is reflected in its Vision 2025 document adopted in
Central Bank announced growth of 3.7% in 2014, inflation 2005, which offers a recipe for turning Iran into the number
was down to 14.8% and the unemployment rate down one economy in the region11 and one of the top 12 economies
to 10.5%. Non-oil exports are growing. Iran nevertheless in the world by 2025.
remains highly dependent on oil. The Wall Street Journal
estimated that Iran needed a crude oil brent of US$ 140 in Vision 2025 foresees an investment of US$ 3.7 trillion by 2025 to
2014 to balance its budget, the year world oil prices tumbled achieve this goal, just over one-third of which (US$ 1.3 trillion)
from US$ 115 to US$ 55 between June and December (see is to come from foreign sources. Much of this amount is to go
Figure 17.2). towards supporting investment in R&D by knowledge-based
firms and the commercialization of research results. A law was
Fluctuating global oil prices have spawned fresh passed in 2010 to provide an appropriate funding mechanism,
challenges. Iran has recently been using new technologies the Innovation and Prosperity Fund, which became effective in
like hydroconversion in its terminals to diversify its oil 2012 (see p. 394).
products. The sharp decline in the price of crude oil since
2014 may prevent the government from investing as much 10. including Afghanistan, Azerbaijan, Ethiopia, Iraq, Kenya, Oman, Pakistan,
as it would like in research and development (R&D) into Sri Lanka, Syria, Tajikistan and Turkmenistan

advanced oil extraction technologies. An alternative would 11. Vision 2025 defines this region as encompassing: Afghanistan, Armenia,
Azerbaijan, Bahrain, Egypt, Georgia, Iran, Iraq, Israel, Jordan, Kazakhstan, Kuwait,
be for Iran to develop these technologies jointly with Asian Kyrgyzstan, Lebanon, Oman, Pakistan, Palestine, Qatar, Saudi Arabia, Syria, Tajikistan,
oil companies. Turkey, Turkmenistan, United Arab Emirates, Uzbekistan and Yemen.

392
 Iran

Given the persistently low level of foreign direct investment Under the section on social affairs, the Fifth Five-Year Economic
(FDI) just 0.8% of GDP in 2013 coupled with Irans Development Plan speaks of developing indicators to measure
economic woes, several of Vision 2025s goals seem unrealistic. the quality of the air, food and the environment in general,
A classic example is the target of raising gross domestic and undertakes to reduce health-threatening pollution. It also
expenditure on R&D (GERD) to 4% of GDP by 2025. Other vows to reduce the populations share of health costs to 30%
goals seem within reach, such as that of tripling the number by 2015.
of scientific articles to 800 per million population (Table 15.1).
The Fifth Development Plan has two main thrusts relative to STI
In 2009, the government adopted a National Master Plan for policy. The first is the islamization of universities, which has
Science and Education to 2025 which reiterates the goals of become a political topic in Iran. The second thrust is to secure
Vision 2025. It lays particular stress on developing university second place for Iran in the region in science and technology
research and fostering universityindustry ties to promote the (S&T) by 2015, which would place it behind Turkey.
commercialization of research results.
The notion of the islamization of universities is open to
A focus on fostering innovation and excellence broad interpretation. The aim seems to be to nationalize
The countrys successive five-year development plans set out scientific knowledge in the humanities and bring it into line
to realize collectively the goals of Vision 2025. Adopted by with Islamic values, while developing student morals and
law, these plans also provide the most important institutional spirituality. According to Article 15 of the Plan, university
basis for STI policy in Iran. The current Fifth Five-Year Economic programmes in the humanities are to be modified as part
Development Plan covers the period from 2010 to 2015. of this strategy and students are to be taught the virtues of
The chapters relative to higher education and STI policy critical thinking, theorization and multidisciplinary studies.
complement those of the National Master Plan for Science A number of research centres are also to be developed in
and Education. the humanities.

Table 15.1: Key targets for education and research in Iran to 2025
Situation in 2013 Vision 2025 targets
Share of adults with at least a bachelors degree 30%
Share of PhD holders among total students 1.1%-1 3.5%
Researchers (FTE) per million population 736-3 3000
Government researchers (share of total researchers) 33.6%-5 10%

CanadaChapter 15
Researchers in business enterprise sector (share of total researchers) 15.0% -5
40%
Share of researchers employed by universities* 51.5% -5
50%
Full-time university professors per million population 1171 2000
Scientific articles per million population 239 800
Average citations per publication ** 0.61-2 15
Number of Iranian journals with an impact factor of more than 3 160
Number of national patents 50000
Number of international patents 10000
Public expenditure on education as a share of GDP 3.7% 7.0%
Public expenditure on higher education as a share of GDP 1.0% -1

GERD/GDP ratio 0.31%-3 4.0%
Share of GERD financed by business enterprise sector 30.9%-5 50%
Share of articles among 10% most cited worldwide 7.7% -2

Number of articles among 10% most cited worldwide 1 270-2 2250
Number of Iranian universities in top 10% worldwide 0 5

*includes religious centres

**average relative citations; the OECD average in 2011 was 1.16

-n/+n refers to n years before reference year

Source: for 2025 targets: Government of Iran (2005) Vision 2025; for current situation, Statistical Centre of Iran and UNESCO Institute for Statistics

393
UNESCO SCIENCE REPORT

The following strategies have been devised to secure second and technology and turn them into export products;
place for Iran in S&T in the region: the government is to encourage the private sector to
set up business incubators and science and technology
n a comprehensive system is to be put in place for
parks and to encourage foreign parties to invest in
monitoring, evaluating and ranking institutions of higher
technology transfer and R&D, in partnership with
education and research institutes. The Ministry of Science,
domestic companies; foreign investors are also to
Research and Technology and the Ministry of Health and
be encouraged to finance patents; the government
Medical Education have been entrusted with this task.
is to support the establishment of totally private
Researchers will be evaluated on the basis of criteria
knowledge-based companies by universities; innovators
such as their scientific productivity, their involvement in
and leaders in science are to receive targeted financial
applied R&D or the problem-solving nature of their work;
and intellectual support from the government to
n in order to ensure that 50% of academic research support the commercialization of their inventions; the
is oriented towards socio-economic needs and government is to make provisions for the payment
problem-solving, promotion is to be tied to the of patent application costs at both national and
orientation of research projects. In addition, mechanisms international levels and, lastly, to make arrangements
are to be put in place to enable academics to enrol in for the commercial release of their product or service
further education, take sabbaticals and explore new (Articles 17 and 18);
research opportunities. Research and technology centres
n The Ministry of Communications and Information
are also to be set up on campus and universities are to be
Technology is to develop the necessary infrastructure,
encouraged to develop linkages with industry;
such as the installation of fibre optics, to ensure
n The number of university graduate programmes in broadband internet access, to enable universities,
applied disciplines is to increase; research bodies and technological institutions to
network and share information and data on their
n Each university is to be endowed with an academic
respective research projects, intellectual property issues
board that oversees implementation of the academic
and so on (Article 46);
programme;
n A National Development Fund (Articles 8084) is
n Laboratories in applied science are to be set up and
established to finance efforts to diversify the economy;
equipped at universities, other educational institutions, in
preserve part of oil and gas rents for future generations;
science and technology parks and business incubators by
and increase the return on income from accumulated
public research institutions and their subsidiaries;
savings; by 2013, the Fund was receiving 26% of oil and
n The GERD/GDP ratio is to increase by 0.5% each year to gas revenue the ultimate goal is to reserve 32% of this
attain 3% by 2015; revenue for the Fund (IMF, 2014);

n FDI is to account for 3% of GDP by 2015; n New campuses are to be launched in special economic
zones by public and private Iranian universities and
n Scientific ties are to be developed with prestigious
international leading universities (Article 112);
international educational and research institutions;
n Closer ties are to be forged between small,
n An integrated monitoring and evaluation system is to be
medium-sized and large businesses and, in parallel,
put in place for S&T;
industrial clusters are to be set up. Private sector
n Major indicators of S&T are to be incorporated in investment is to be encouraged to develop the value
government planning, including the volume of revenue chain of downstream industries (petrochemicals,
generated by exports of medium-tech and high-tech basic metals and non-metallic mineral products), with
goods, the share of GDP per capita derived from S&T, an emphasis on the establishment of professional
the number of patents, the share of FDI in scientific and industrial estates and the development of closer
technological activities, the cost of R&D and the number linkages between industry and science and technology
of knowledge-based companies. parks to develop capacity for industrial design,
procurement, innovation and so on (Article 150).
The following priorities focus on technology diffusion and
support for knowledge-based companies:
The pivotal role of the Innovation and Prosperity Fund
n Priority is to be given in the annual R&D budget of The Innovation and Prosperity Fund functions under the
ministries to financing demand-driven research and Deputy for Science and Technology. It was established
to supporting the development of private and in 2012 to support investment in R&D by knowledge-
co-operative SMEs which commercialize knowledge based firms and the commercialization of research results.

394
 Iran

According to the Funds president, Behzad Soltani, professors teaching in the worlds top universities; Iranian
4600billion Iranian rials (circa US$ 171.4million) had been experts and managers heading the worlds top scientific
allocated to 100 knowledge-based companies by late 2014. centres and companies in technological fields and, lastly,
Sorena Sattari, Vice-President for Science and Technology, non-resident Iranian investors and entrepreneurs who have
declared12 on 13 December 2014 that, in spite of the difficulties succeeded in technological fields. The eligibility criteria
the country is confronting, 8000 billion rials have been were revised in 2014 to include groups as well as individuals
attributed to the Innovation and Prosperity Fund for 2015. and research expertise and experience as well as academic
performance. The selection of elites has also been delegated
The Innovation and Prosperity Fund is the primary policy to the universities. Additional incentive measures have been
instrument for ensuring the implementation of Articles 17 and introduced, such as grants for research visits to top universities
18 of the Fifth Five-Year Economic Development Plan: abroad and research grants from day one of a faculty
members career.
n National organizations wishing to conduct problem-
solving research may apply for the allocation of facilities
Enter the economy of resistance
and partnering to the Secretariat of the Working Group for
On 19 February 2014, the Supreme Leader Ayatollah Ali
the Assessment and Identification of Knowledge-based
Khamenei introduced, by decree, what he termed Irans
Companies and Institutions and Supervision of Project
economy of resistance. This economic plan outlines strategies
Implementation.
for making Iran more resilient to sanctions and other external
n Universities wishing to set up fully private companies may shocks. It essentially reasserts the goals of Vision 2025, which is
also apply to the fund; as of December 2014, public and why some key provisions will sound familiar.
private universities from four Iranian provinces had applied to
establish knowledge-based companies in special economic Coming when it did, some analysts see the economy of
zones (Article 112): Tehran, Isfahan, Yazd and Mashhad. These resistance as an endorsement of the new governments
applications are still under review, according to the Supreme comprehensive economic reform, after the previous
Council of Science, Research and Technology. administrations relative indifference towards Vision 2025
caused it to veer off course. For Khajehpour (2014a), a
n The fund also supports SMEs by offering tax incentives and
managing partner at Atieh, a group of strategic consulting
paying partial costs of commercializing knowledge and
firms based in Tehran, Iran has all the resources that an
technology; it also covers part of the interest on bank loans
economy would need to play a much more significant
contracted for the purchase of equipment, the setting up
role on the international stage.The missing links are in the
of production lines, testing and marketing, etc.;
areas of responsible and accountable policy-making, legal
n The fund also offers financial support to private companies transparency and modern institutions.

Chapter 15
wishing to set up business incubators and science and
technology parks then facilitates the establishment of Key provisions of the economy of resistance include
these centres through such measures as the provision of (Khajehpour (2014a)):
rent-free premises and tax incentives.
n promoting a knowledge-based economy through
The fund is also intended to encourage foreign parties to
the drafting and implementation of a comprehensive
invest in technology transfer and R&D but this ambition has
scientific plan for the country and the promotion of
been somewhat thwarted by the international sanctions;
innovation, the ultimate goal being to become the top
foreign companies may still invest in patents, however.
knowledge-based economy in the region;

Innovators and leaders in science receive intellectual and n utilizing the reform of subsidies to optimize energy
financial support from the National Elites Foundation, which consumption in the country, increase employment and
was set up13 in 1984. In December 2013, a new department domestic production and promote social justice;
was created within the foundation, called the Deputy of
n promoting domestic production and consumption,
International affairs. It aims to harness the talent of
especially in strategic products and services, to reduce
non-resident Iranians to improve domestic capacity in S&T
dependence on imports, while improving the quality of
and take advantage of the experience of the diaspora. The
domestic production;
foundation tailors its services to four different groups: Iranian
PhD graduates from the worlds top universities; Iranian n providing food and medicine security;

n promoting exportablegoods and services through legal

12. See (in Persian): www.nsfund.ir/news and administrative reform, while promoting FDI for
13. See: http://en.bmn.ir export purposes;

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UNESCO SCIENCE REPORT

Medicine
Medicine Medicine
Figure 15.2: Students enrolled in Iranian universities, 2007 and 2013
Social Science
BothSocial Science
public Social Science
and private universities 2007 Men 2014 Men
2007 Men2007 Men 2014 Men2014 Men
Basic Sciences
Basic Sciences
Basic Sciences 44 452 87 488
85 118 38 188 114 693 70 954
Engineering
Engineering
Engineering

Agriculture and
Agriculture Veterinary
Agriculture
and andScience
VeterinaryVeterinary
Science Science 517 651 804 119
Social sciences
Arts
Arts Arts

Basic sciences Male Male

Total 1 346 274 Total 2 299 858
Engineering

Agriculture &
veterinary science
567 557 1 131 621
Arts 90 983
93 308
Medicine 2007 2013
2007 Women
2007 Women
2007 Women 2014 Women
2014 Women
63 622 1482014
142Women
73 286 103 677 137 311 148 376

208 086

373 415
Female Female
Total 1 482 237 Total 2 136 022
209 929

823 637 204 245 1 124 533

Source: Iranian Statistical Centre (2014) Statistical Yearbook

Figure 15.3: PhD graduates in Iran by field of study and gender, 2007 and 2012

21 33 51 48
154 204

136 1 018 205

1 036

Health 164
Male Male
Total 1 887 341 Total 2 690
Natural sciences

Engineering
162

Social sciences
199 427
Agriculture
378
2007 2012
Humanities and arts
60 6 3 92 14 15
Education 5
48 100
Services 14 690

76 83
Female Female
Total 824 82 Total 1 322

612 246
Source: UNESCO Institute for Statistics

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 Iran

n increasing the economys resistance through regional research suffers from inadequate funding. A study by Jowkar
and international economic collaboration, especially with et al. (2011) analysed the impact of 80 300 Iranian articles
neighboursbut also through diplomacy; published between 2000 and 2009 in Thomson Reuters
Science Citation Index Expanded; it found that about 12.5%
n increasing oil and gas value-added exports;
of these publications were funded and that the citation
n implementing reforms to rationalize government costs, rate of funded publications was higher in almost all subject
increase tax revenues and reduce dependency on oil and fields. The greatest share of funded publications came from
gasexport revenue; universities subordinate to the Ministry of Science, Research
and Technology.
n increasing the share of the National Development Fund
from oil and gas export revenues;
Even though one-third of GERD came from the business
n increasing transparency in financial matters and avoiding sector14 in 2008, this contribution remains too small to nurture
activities that pave the way for corruption. innovation effectively it represents just 0.08% of GDP.
GERD even dropped between 2008 and 2010 from 0.75% to
0.31% of GDP. In this context, the target identified in the Fifth
TRENDS IN HUMAN RESOURCES AND R&D Five-Year Development Plan (20102015) of devoting 3% of
GDP to R&D by 2015 looks elusive, to say the least.
Strong growth in students but no rise in R&D intensity
Between 2005 and 2010, policy-makers focused on increasing According to the UNESCO Institute for Statistics, the number
the number of academic researchers, in line with Vision 2025. of full-time equivalent (FTE) researchers rose from 711 to
To this end, the government raised its commitment to higher 736 per million inhabitants between 2009 and 2010. This
education to 1% of GDP in 2006 and has since maintained this corresponds to an increase of more than 2 000 researchers,
level, even as public expenditure on education overall has from 52 256 to 54 813.
slipped from 5.1% (2006) to 3.7% (2013) of GDP.
Businesses are performing more R&D than before
The result has been a steep rise in tertiary enrolment. In 2008, half of researchers were employed in academia
Between 2007 and 2013, student rolls swelled from 2.8 million (51.5%), one-third in the government sector (33.6%) and just
to 4.4 million in the countrys public and private universities under one in seven in the business enterprise sector (15.0%).
(Figure 15.2). There were more women students than men
in 2007 but their proportion has since dropped back slightly Between 2006 and 2011, the number of firms declaring
to 48%. Some 45% of students were enrolled in private R&D activities more than doubled, however, from 30935 to
universities in 2011 (UIS, 2014). 64642. Once more recent data become available, we may

Chapter 15
find that the business enterprise sector has been hiring more
Enrolment has progressed in most fields, with the exception researchers than before. So far, there has been little change in
of natural sciences where it has remained stable. The most the focus of industrial R&D, with firms still conducting mainly
popular fields are social sciences (1.9 million students) and applied research (Figure 15.4).
engineering (1.5 million). There are more than 1 million
men studying engineering and more than 1 million women More articles but few technological spin-offs
studying social sciences. Women also make up two-thirds of One priority of STI policy in recent years has been to
medical students. encourage scientists to publish in international journals.
Again, this is in line with Vision 2025. As we have seen, the
The number of PhD graduates has progressed at a similar share of internationally co-authored articles has remained
pace (Figure 15.3). Natural sciences and engineering have relatively stable since 2002. The volume of scientific articles
proved increasingly popular among both sexes, even if has augmented considerably, on the other hand, even
engineering remains a male-dominated field. In 2012, women quadrupling by 2013 (Figure 15.1). Iranian scientists now
made up one-third of PhD graduates, being drawn primarily publish widely in international journals in engineering and
to health (40% of PhD students), natural sciences (39%), chemistry, as well as in life sciences and physics. Contributing
agriculture (33%) and humanities and arts (31%). According to to this trend is the fact that PhD programmes in Iran now
the UNESCO Institute for Statistics, 38% of masters and PhD require students to have publications in the Web of Science.
students were studying S&T fields in 2011 (UIS, 2014). Women contribute only about 13% of articles, with a focus on
chemistry, medical sciences and social sciences, according to
Although data are not readily available on the number of Davarpanah and Moghadam (2012).
PhD graduates choosing to stay on as faculty, the relatively
modest level of GERD would suggest that academic 14. Data are unavailable for a more recent breakdown by sector.

397
UNESCO SCIENCE REPORT

The past few years have witnessed persistent inattention

Figure 15.4: Focus of Iranian firms by type of
to problem-solving in decision-making and little effort to
research, 2006 and 2011 (%)
improve the countrys inadequate system of intellectual
property protection. These two shortcomings do more to
weaken the national innovation system than either the lack
of available venture capital or the international sanctions.

Basic Why the persistent inattention to problem-solving, despite a

59.73 2006 24.73 research plethora of documents? This is because public policy in Iran
combines strategic planning with poetic idealism. Official
policy documents are a mixture of declarations of intent and
copious recommendations even though, when everything is
15.53
a priority, nothing is. A more complex and detailed alternative
is required, a planning model that does not elaborate
Experimental recommendations until the issues and related policy
development
questions have first been clearly defined and the legal context
analysed, a model which comprises an implementation plan
16.97 and a rigorous monitoring and evaluation system.
25.08

Applied 2011 PRIORITY AREAS FOR R&D

research
Most high-tech companies are state-owned
Some 37 industries trade shares on the Tehran Stock Market.
57.94 These industries include the petrochemical, automotive,
mining, steel, iron, copper, agriculture and telecommunications
industries, a unique situation in the Middle East.
Source: Iranian Statistical Centre

Most of the companies developing high technology in Iran

This productivity gain has had little effect on the production are state-owned. The Industrial Development and Renovation
of technology, however. In nanotechnology, for instance, Organization (IDRO) controls about 290 of them. IDRO has also
Iranian scientists and engineers were only granted four set up special purpose companies in each high-tech sector16
patents by the European Patent Office between 2008 and to co-ordinate investment and business development. In 2010,
2012. The lack of technological output results mainly from IDRO set up a capital fund to finance the intermediary stages
three shortcomings in the innovation cycle. The first among of product- and technology-based business development.
these shortcomings is the failure to co-ordinate executive and
legal power structures to strengthen intellectual property Some 80% of state-owned firms are due to be privatized over
protection and the wider national innovation system, the ten years to 2014, further to an amendment to Article 44
despite this being a key policy objective for over a decade of the Constitution in 2004. In May 2014, Tasnim News
now. In the Third Five-Year Development Plan, 20002004, Agency quoted Abdollah Pouri Hosseini, the head of the
the co-ordination of all scientific activities was entrusted to Iran Privatization Organization, as saying that Iran would be
the Ministry of Science, Research and Technology, to avoid privatizing 186 state-run companies in the new year (beginning
overlap with other ministries (health, energy, agriculture, etc.). 21 March 2014 in Iran). Twenty-seven of these companies
The post of Presidential Deputy for Science and Technology15 have a market value each in excess of US$ 400 million, he said.
was likewise created in 2005 to centralize the budget and Several key industries remain largely state-owned, however,
planning of all S&T activities. Little has been done since, including the automotive and pharmaceutical industries
however, to improve co-ordination between administrative (Boxes 15.1 and 15.2).
bodies in the executive branch and judiciary.
Irans R&D priorities are reflected in their share of government
outlay (Table 15.2). In basic and applied science, the priority fields

15. In Iran, each vice-president has several deputies. Under the Vice-President
for Science and Technology, for instance, there is a Deputy for Science and 16. These entities are the Life Science Development Company, Information
Technology, a Deputy for Management Development and Resources and a Deputy Technology Development Centre, Iran InfoTech Development Company and the
for International Affairs and Technological Exchange. Emad Semiconductor Company.

398
 Iran

are dense matter, stem cells and molecular medicine, energy A growing role in biotechnology and stem cell research
recycling and conversion, renewable energies, cryptography and Research in biotechnology has been overseen by the
coding. The priority technological industries are aerospace, ICTs, Iranian Biotechnology Society since 1997. Iran maintains
nuclear technology, nanotechnology and microtechnologies, oil three important health research18 facilities. Two of these,
and gas, biotechnology and environmental technologies. the Pasteur Instituteand theNational Research Centre
for Genetic Engineering and Biotechnology, study human
In aerospace, Iran manufactures aeroplanes, helicopters and pathologies. The third, theRazi Institute for Serum and
drones. It is currently developing its first wide-body plane17 to Vaccines, studies both human and animal diseases. The
improve seating capacity, as the country only has about nine Razi and Pasteur Institutes have been developing and
aircraft per million population. The industry plans to shift its producing vaccines for humans and livestock since the
focus from 59-seaters to planes that can seat 90120passengers, 1920s. In agricultural biotechnology, researchers are hoping
as long as it can import the relevant technical knowledge. to improve crop resistance to pests and disease. The Persian
Type Culture Collection is a subordinate of the Biotechnology
Meanwhile, the Iranian Space Agency has built a number of Research Centre in Tehran, which falls under the umbrella of
small satellites that are launched into low-Earth orbit using a the Iranian Research Organization for Science and Technology
locally produced carrier rocket called Safir. In February 2012, (IROST); it provides services to both private industry and
Safir transported its biggest satellite yet, weighing 50 kg academia.
(Mistry and Gopalaswamy, 2012).

17. After purchasing the production license for the An-140 from Ukraine in 2000,
Iran built its first Iran-140 commercial passenger plane in 2003. 18. See: www.nti.org/country-profiles/iran/biological

Box 15.1: Automobiles dominate Iranian industry

After oil and gas, the automotive infrastructure to enable vehicles to run a series of home-made nano-based
industry is Irans biggest, accounting on compressed natural gas. The aim was engine oils manufactured by the
for about 10% of GDP and employing to reduce costly petrol imports due to an PishgamanNano-Aria Company
about 4% of the labour force. There insufficient refining capacity in Iran. With (PNACO); these nano-based oils reduce
was a boom in local car manufacturing the worlds biggest natural gas reserves engine erosion, fuel consumption
between 2000 and 2013, driven by high after the Russian Federation, Iran rapidly and engine temperature. In 2009,
import duties and a growing middle became the world leader for the number researchers at Isfahan University of
class. In July 2013, sanctions imposed by of vehicles running on natural gas: by 2014, Technology developed a strong but

Chapter 15
the USA prevented Iranian companies there were over 3.7 million on the road. light nanosteel as resistant to corrosion
from importing the vehicle parts upon as stainless steel for use in road vehicles
which domestic cars rely; this caused In 2010, the government reduced its but also potentially in aircraft, solar
Iran to cede its place to Turkey as the participation in both companies to about panels and other products.
regions top vehicle manufacturer. 20% but the deals were annulled the
same year by the Iranian Privatization The sanctions imposed in 2013 hit
The Iranian car market is dominated by Organization. exports particularly hard, which had
Iran Khodro (IKCO) and SAIPA, which doubled to about 50000 cars between
are subsidiaries of the state-owned IKCO is the biggest car manufacturer in 2011 and 2012. This prompted IKCO
Industrial Development and Renovation the Middle East. In 2012, it announced that to announce plans in October 2013 to
Organization. SAIPA (standing for it would henceforth be reinvesting at least begin selling 10000 cars a year to the
Socit anonyme iranienne de production 3% of company sales revenue in R&D. Russian Federation. Traditional export
automobile) was founded in 1966 to markets include Syria, Iraq, Algeria,
assemble French Citron cars under For years, Iranian carmakers have Egypt, Sudan, Venezuela, Pakistan,
license for the Iranian market. IKCO used nanotechnology to increase Cameroon, Ghana, Senegal and
was founded in 1962 and, like SAIPA, customer satisfaction and safety by Azerbaijan. In 2014, French car-makers
assembles European and Asian cars providing such comforts as anti-stain Peugeot and Renault resumed their
under license, as well as its own brands. dashboards, hydrophobic glass planes traditional business with Iran.
and anti-scratch paint. In 2011, the
In 2008 and 2009, the government Nanotechnology Initiative Council
Source: http://irannano.org; Rezaian (2013);
spent over US$ 3 billion on developing announced plans to export to Lebanon Press TV (2012)

399
UNESCO SCIENCE REPORT

Table 15.2: Government outlay for R&D in Iran by major agency, 2011
R&D centre Budget (million rials)
Deputy for Science and Technology 1 484 125
Nanotechnology Initiative Council 482 459
Centre for the Development of Knowledge-Based Companies 110 000
Biotechnology Research Centre 100686
Centre for the Development of Drugs and Traditional Medicine 90 000

Supports the following Centre for Stem Cell Research 75 000

R&D centres Centre for New Energy Development 65 000
Centre for ICT Development and Microelectronics 60 000
Centre for Cognitive Science 56 274
Centre for Water, Drought, Erosion and Environmental Management 50 000
Centre for Software Technologies 10 000
Ministry of Science, Research and Technology 1356166
Iranian Space Agency 85346
Iranian Research Organization for Science and Technology 357 617
Ministry of Defence 683 157
Ministry of Health and Medical Training 656152
Ministry of Industry
Industrial Development and Renovation Organization 536980
Iranian Fisheries Research Organization 280 069
Iran Aviation Industries Organization 156 620
Ministry of Energy 38950
Atomic Energy Organization 169 564
Research Institute of the Petroleum Industry 480 000
Renewable Energy Organization (SUNA) 12 000
Ministry of Information and Communication Technology 440 000
Ministry of Agriculture 86104
Other 33 147 411
95 universities and 72 institutions affiliated to the Ministry of Science, Research
and Technology
84 universities and 16 institutions affiliated to the Ministry of Health and Medical
Training
22 universities and institutions affiliated to the Ministry of Defence
32 science and technology parks
184 institutions affiliated to the Ministries of Industry and Agriculture
23 institutions affiliated to the Presidency

63 other organizations

Total 41 069 680

Note: The three following centres were established in 2014 under the Deputy for Science and Technology: the Centre for Oil, Gas and Coal Research; Centre for the
Optimization of Energy and the Environment; and the Centre for Knowledge-based Marine Companies. The budget for each ministry does not cover the universities
and other institutions associated with it.

Source: www.isti.ir; compiled by author with input from the National Research Institute for Science Policy

400
 Iran

Box 15.2: The ups and downs of Irans pharmaceutical industry

There are currently 96 local In Iran, per capita expenditure on US Treasurys Office of Foreign Assets
manufacturers in Iran which produce medicine stood at US$ 46 in 2011. Control to export goods to Iran it is
some 30 billion units of medicine The pharmaceutical industry has a severely undermined by the blanket
worth about US$ 2 billion per year. profit margin of about 14%. This is banking sanctions. Iranian importers
Local production covers about 92% three times the profit margin of the complain that Western banks
of the Iranian market but does not Iranian automotive industry. Most have been declining to enter into
include high-quality drugs needed pharmaceutical companies are state- transactions related to pharmaceutical
for the specific treatment of diabetes, owned or quasi-governmental entities, imports into Iran. In fact, it is the
cancer, etc. These drugs need to although some are listed on the Tehran banking and insurance sanctions
be imported, at a cost of about Stock Exchange. The private sectors which have been the main irritant for
US$ 1.5 billion. As the market volume share of the market only amounts to all Iranian businesses.
represents US$ 3.5 billion, this means about 30%. Pharmaceutical companies
that 43% of demand is met through export drugs to about 30 countries, for a Some Western companies have also
imports. market value of US$ 100 million per year. reduced their business dealings with
Iranian pharmaceutical companies
Of the 96 local companies, about Under the Ministry of Health and Medical out of fear of contravening the
30 control 85% of the market. The Education, it is the Department of Foods sanctions.This is limiting imports of
biggest four players are Daroupakhsh, and Drugs which is directly responsible high-tech machinery, equipment and
Jaberebne Hayyan, Tehran Shimi and for supervising pharmaceutical medicine, including essential drugs for
Farabi, in descending order. These companies. The government tends to diseases such as cancer, diabetes and
four companies alone account for make all strategic decisions and monitors multiple
Source: Statistics Bureau (2014); UNCTADsclerosis.Imports from USReport
(2009, 2014) World Investment and
more than 20% of the market. Local standards, quality and the payment of European drug-makers were down by
manufacturers still rely on outdated subsidies to recipient companies. 30% in 2012, forcing Iranian companies
production lines, making the cost to import drugs of a lower standard
of pharmaceutical manufacturing In recent years, there has been a growing from Asia. The shortage has also
relatively high in Iran and thus emphasis on local production and exports pushed up prices, as substitution is not
expensive for consumers. to regional markets. Export destinations an option in the highly patented world
include Afghanistan, Iraq, Yemen, the of pharmaceuticals, putting many
Foreign pharmaceutical companies United Arab Emirates and Ukraine. drugs beyond the reach of the average
in Iran usually operate either directly Iranian. The sanctions also leave Iran
through their branch offices or Although the pharmaceutical sector is short of the hard currency needed to

Chapter 15
through dealerships with Iranian not included in the sanctions regime pay for Western drugs.
pharmaceutical companies authorized even US pharmaceutical companies
to sell their products. can easily apply for licenses from the Source: Khajehpour (2014b); Namazi (2013)

Iranian scientists publish less in agricultural sciences than NIC is tasked with determining the general policies for
in medical sciences, although the number of articles has the development of nanotechnology in Iran and with
progressed considerably in both fields since 2005. Iran is a co-ordinating their implementation. It provides facilities,
growing destination for medical tourism in the Middle East. creates markets and strives to help the private sector develop
The Royan Institute, for instance, is a beacon for infertile relevant R&D activities.
couples (Box 15.3).
There are several nanotechnology research centres in Iran:
Iran has become a hub for nanotech
n the Nanotechnology Research Centre at Sharif University
Nanotech research has taken off in Iran since the
(est. 2005), which established Irans first doctoral
Nanotechnology Initiative Council (NIC)19 was founded in
programme in nanoscience and nanotechnology;
2002 (Figure 15.5). NICs budget increased considerably
between 2008 and 2011, from 138million to 361 million rials; n the Nanotechnology Research Centre at Mashhad
NIC received a lesser endowment in 2012 (251 million rials) University of Medical Sciences within the Mashhad Bu Ali
but this has since rebounded to 350million rials (2013). Research Institute (est. 2009);

19. See: www.irannano.org

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UNESCO SCIENCE REPORT

Box 15.3: The Royan Institute: from infertility treatments to stem cell research

The Royan Institute was founded by Biology and Technology; the Royan for haemoglobin disorders but these
Dr Saeid Kazemi Ashtiani in 1991 as Institute for Reproductive Biomedicine; are most common in Asia, the Middle
a public non-profit research institute and the Royan Institute for Animal East and the Mediterranean Basin.
for reproductive biomedicine and Biotechnology.
infertility treatments. It publishes the Among other achievements, one could
Cell Journal and the Iranian Journal of One of the institutes first achievements cite the birth of the first cloned sheep
Fertility and Sterility, both of which are was the birth of a child conceived using in Iran in 2006 and that of the first
indexed in Thomson Reuters Web in vitro fertilization techniques in 1993. A cloned goat in 2009.
of Science. The institute has its own decade later, the institute set up a stem
annual prize, the Royan International cell research department. In 2003, it The Royan Institute established the Cord
Research Award. developed human embryonic cell lines Blood Bank in Iran in 2005. In November
for the first time. In 2004, researchers 2008, the Bank announced that
The Royan Institute is administered succeeded in obtaining insulin- US$ 2.5 billion would be invested in
by the Jihad Daneshgahi (jihad here producing cells from human embryonic stem cell research over the next five
means sacred effort in a scientific stem cells. Adult stem cells have been years and that stem cell research centres
domain), which itself comes under used to treat corneal injuries (to the eye) would be opened in all major cities.
the supervision of the Council of the and myocardial infarctions (heart attacks)
Cultural Revolution. The institute is in humans.
officially non-governmental but is,
in fact, part of the higher education In 2011, the Royan Institute set up a Stem
system and thus government-funded. Cell Bank and a cell-therapy pre-hospital.
Source: A (2014); UNCTAD (2009, 2014) World Investment Report
Statistics Bureau
year later, the first healthy child was born
In 1998, the institute was approved by after being treated for beta-thalassemia,
the Ministry of Health as a cell-based a disease caused by a defect in the gene
research centre. Today, it employs responsible for producing haemoglobin,
46 scientists and 186 laboratory an iron-rich protein contained in red
technicians in three separate institutes: blood cells. About 5% of the worlds
the Royan Institute for Stem Cell population are healthy carriers of a gene Source: www.royaninstitute.org; PressTV (2008)

n the Medical Nanotechnology and Tissue Engineering n it places emphasis on making all the links in the value chain;
Research Centre at the Shahid Beheshti University of
n it makes wide usage of financial support as an incentive;
Medical Sciences;
n it is supply-based, as opposed to needs-based, and relies
n the Nanotechnology Research Centre at Jondi Sapoor
on Irans domestic capabilities.
University (est. 2010); and

n the Zanjan Pharmaceutical Nanotechnology Research In nanotech, quantity still outstrips quality
Centre at Zanjan University of Medical Sciences (est. 2012). One of NICs missions has been to hoist Iran among the
top 15 countries in this field. It has succeeded admirably,
Irans nanotechnology programme is characterized by the as Iran ranked seventh worldwide by 2014 for the volume
following features (Ghazinoory et al., 2012): of papers related to nanotechnology (Figure 15.5). Iran has
also progressed rapidly for the number of papers per million
n policy-making is a top-down process led by the government;
inhabitants. In the past decade, 143 nanotech companies
n the programme is futuristic (forward-looking); have been established in eight industries.

n it relies heavily on promotional efforts to stimulate

Despite this feat, the average citation rate has dropped since
an interest in nanotechnology among policy-makers,
2009 and few patents are being granted to inventors, as yet.
experts and the general public, including an annual
Moreover, the number registered with the European Patent
Nanotechnology Festival in Tehran; the NIC has created a
Office and US Patents and Trademark Office dropped from 27
Nano Club20 for school students and a Nano Olympiad;
to 12 between 2012 and 2013 after steady growth since 2008.

20. See: nanoclub.ir

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 Iran

Table 15.3: Growth in Irans science and technology parks, 20102013

2010 2011 2012 2013

Number of science and technology parks 28 31 33 33

Number of business incubators 98 113 131 146

Patents generated by science

310 321 340 360
and technology parks
Knowledge-based companies established in
2 169 2 518 3 000 3 400
science and technology parks

Research personnel working in science and

16 139 16 542 19 000 22 000
technology parks

Source: author, based on communication with Ministry of Science, Research and Technology, 2014

A growing network of parks and incubators economic policy and STI policy. Policy-makers are being
Since 2010, five science and technology parks have been set challenged to look beyond extractive industries to the
up, along with 48 business incubators (Table 15.3). Whereas countrys human capital for wealth creation, now that they
some parks specialize, others group a wide spectrum of have come to realize that Irans future lies in the transition
companies. For instance, the Persian Gulf Science and to a knowledge economy.
Technology Park (also known as the Knowledge Village) was
set up in 2008; it nurtures companies in all of the following Iranian education policy used to focus on Irans strength
fields: information, communication and electronic technology; in basic sciences. This focus, together with other factors
nanotechnology; biotechnology; oil, gas and petrochemical; like the petrodollars windfall, had divorced science from
maritime industry; agriculture and the date palm industry; socio-economic needs, as we saw in the UNESCO Science
fishing industry and aquatic species; and the food industry. Report 2010. The deteriorating economic situation, coupled
with a surge in the number of graduate students and the
A survey of about 40 firms established in science and difficulties they encounter in finding work, has created a
technology parks in Irans East Azarbaijan Province in 2010 fertile terrain for a greater focus on applied sciences and
found a correlation between the level of investment in R&D technology. In this context, the governments limited
and the extent of innovation; it also revealed that, the longer budget is being directed towards supporting small

Chapter 15
SMEs had been established in the park, the more innovative innovative businesses, business incubators and science and
they were. On the other hand, the most dynamic firms were technology parks, the type of enterprises which employ
not necessarily those with the greatest number of researchers graduates. In parallel, the Ministry of Science, Research
(Fazlzadeh and Moshiri, 2010). and Technology plans to develop more interdisciplinary
university courses and a Master of Business Administration
degree, in order to make university curricula more
responsive to socio-economic needs.
CONCLUSION
The sanctions have had one unanticipated, yet welcome
Science can grow under an embargo
effect. With the state no longer able to rely on petrodollars
We claimed in the UNESCO Science Report 2010 that Iranian
to oil the wheels of a sprawling administration, the
STI policy was characterized by a science push rather than
government has embarked upon reform to reduce
a technology pull. Today, we could say that STI policy is
institutional costs, introduce a more disciplined budgeting
characterized by a sanctions push rather than a science pull. The
system and improve science governance.
increasingly tough sanctions regime since 2011 has oriented
the Iranian economy towards the domestic market. By erecting
Irans experience offers a unique perspective. More than any
barriers to foreign imports, the sanctions have encouraged
other factor, the growing importance of STI policy in Iran
knowledge-based enterprises to localize production.
is a consequence of the tougher international sanctions.
Science can grow under an embargo. This realization offers
Iran reacted to the sanctions in 2014 by adopting an
hope for a brighter future in Iran.
economy of resistance a term encompassing both

403
 Ard
rdabi

UNESCO
Figure Trends REPORT
SCIENCE
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Fr
a,

al
Ca

iA

Sw

er
Au
ia

itz
re

th
ss
Ko

Si

Ne
Ru

Sa
Note: The total for China does not include Taiwan, China , which recorded 3 139 papers in this database in 2014.

Iran performs well for the number of nanoarticles per million inhabitants
Other countries are given for comparison

Germany 92.95

80
France 78.81

69.60 USA 68.76

62.08
60 Iran 59.37
Japan 56.26

50.81
48.79

Malaysia 41.05
40

China 25.44
19.29 Russian Fed. 22.57
17.76
20 Turkey 18.55
13.26
10.63
8.31 Egypt 10.33
5.95 South Africa 9.21
5.50 Brazil 9.15
4.03
Mexico 7.81
3.83
3.00 India 6.17
0
2009 2010 2011 2012 2013

404
 The 143 Iranian nanotech companies Iran
are active in eight industries 3 3
Percentage share 5
27
8
Health care Agriculture and packaging Health care Agriculture and packaging

Suppliers of nanomaterials Textiles Suppliers of nanomaterials Textiles

Equipment/Manufacturers Energy
12 and petroleum Equipment/Manufacturers Energy and petroleum

Construction Automotive Construction Automotive

568
Iranian researchers worked in the field
19
23

20 966
Iranian researchers worked in the field
of nanotechnology in 2003 of nanotechnology in 2013

Patents are not keeping pace with growth in publications

Number of nanotech patents from Iran registered by EPO and USPTO per 100 scientific articles
0.025

0.02

0.015

0.01

0.005

0
2007 2008 2009 2010 2011 2012 2013

and quality does not yet match quantity in Iran

Average citations of Iranian nanotech articles, in comparison with those of other leading countries, 2013
8 000
India

Chapter 15
Korea, Rep. Germany
7 000
Japan

6 000
Number of nano-articles

France
5 000
Iran
UK
4 000
Italy Spain
Russian Fed.

3 000
Canada
Australia Singapore
Brazil
2 000
Poland Malaysia Sweden Switzerland
Saudi Arabia
Turkey Netherlands
Belgium
1 000 Mexico
Romania Egypt Czech Rep. Portugal

0
0.5 0.7 0.9 1.10 1.30 1.50 1.70 1.90 2.10 2.30 2.50
Average citation per article
Source: statnano.com (January 2015), based on data from Thomson Reuters Web of Science, Science Citation Index Expanded, and records from European Patent
Office and US Patents and Trademark Office

405
UNESCO SCIENCE REPORT

Ghazinoory, S.; Divsalar, A. and A. Soofi (2009) A new

KEY TARGETS FOR IRAN
definition and framework for the development of a
national technology strategy: the case of nanotechnology
n Raise the GERD/GDP ratio to 3% by 2015 and to 4%
for Iran. Technological Forecasting and Social Change 76(6):
by 2025;
835848.
n Carry business expenditure on R&D to 50% of
GERD by 2025; Ghorashi, A. H. and A. Rahimi (2011) Renewable and non-
renewable energy status in Iran: art of know-how and
n Raise the share of researchers employed by the
technology gaps. Renewable and Sustainable Energy
business enterprise sector to 40% by 2025;
Reviews, 15(1): 729736.
n Increase the number of full-time university
professors per million population from 1171 in Habibi, N. (2013) The Economic Legacy of Mahmoud
2013 to 2000 in 2025; Ahmadinejad. Middle East Brief, Crown Center for Middle
East Studies, June, no.74. See: www.brandeis.edu/crown/
n Raise FDI to 3% of GDP by 2015;
publications/meb/MEB74.pdf
n Privatize 80% of state-owned firms between 2004
and 2014; Hariri N. and A. Riahi (2014) Scientific Cooperation of Iran
and Developing Countries. Journal of Science and
n Publish 800 scientific articles in international
Technology Policy 3(3).
journals per million population by 2025, compared
to 239 in 2013.
IMF (2014) Islamic Republic of Iran: Selected Issues Paper.
Country Report 14/94. International Monetary Fund. April.

Jowkar, A.; Didegah, F. and A. Gazni (2011) The effect of

REFERENCES
funding on academic research impact: a case study of
Davarpanah, M. R. and H. M. Moghadam (2012) The Iranian publications. Aslib Proceedings, 63 (6) 593602.
contribution of women in Iranian scholarly publication.
Library Review, 61(4): 261271. Khajehpour, B. (2014a) Decoding Irans resistance economy.
Al Monitor, 24 February. See: www.al-monitor.com
Dehghan, S. K. (2014) Iranian students blocked from UK STEM
courses due to US sanctions. The Guardian Online, 26 June. Khajehpour, B. (2014b) Impact of External Sanctions on the
Iranian Pharmaceutical Sector. Editorial. Hand Research
Fakhari H.; Soleimani D. and F. Darabi (2013) The impact of Foundation. See: www.handresearch.org
sanctions on knowledge-based companies. Journal of
Science and Technology Policy 5(3). Leylaz, S. (2014) Iran govt economic achievements outlined.
Iranian Republic News Agency 2 November.
Fazlzadeh, A. and M. Moshiri (2010) An investigation of See: www.irna.ir/en/News/2783131
innovation in small scale industries located in science
parks of Iran. International Journal of Business and Manteghi, M.; Hasani, A. and A.N. Boushehri (2010) Identifying
Management, 5(10): 148. the policy challenges in the national innovation system of
Iran. Journal of Science and Technology Policy 2 (3).
Ghaneirad, M. A.; Toloo, A. and F. Khosrokhavar (2008), Factors
Motives and Challenges of Knowledge Production among Mistry, D. and B. Gopalaswamy (2012) Ballistic missiles and
Scientific Elites. Journal of Science and Technology Policy space launch vehicles in regional powers. Astropolitics,
1(2): 7186. 10(2): 126151.

Ghazimi R. (2012) Irans Economic Crisis: a Failure of Planning. Mousavian, S. H. (2012) The Iranian Nuclear Crisis: a
See: www.muftah.org MemoirPaperback. Carnegie Endowment for International
Peace: USA.
Ghazinoory, S.; Yazdi, F. S. and A.M. Soltani (2012) Iran and
nanotechnology: a new experience of on-time entry. Namazi, S. (2013) Sanctions and medical supply shortages in
In: N. Aydogan-Duda (ed.) Making It to the Forefront: Iran. Viewpoints, 20.
Nanotechnology a Developing Country Perspective.
Springer: New York.

406
 Iran

PressTV (2012) IKCO to allocate 3% of sales to research,

29 January. See: http://edition.presstv.ir/detail/223755.html Kioomars Ashtarian (b. 1963: Iran) holds a PhD in
Technological and Public Policy from Laval University
PressTV (2008) Iran invests $2.5b in stem cell research. in Canada and is an Associate Professor at the Faculty
7 November. See: www.presstv.ir of Law and Political Science of the University of Tehran.
He is former Director-General of the Public Sector at the
Rezaian, J. (2013) Irans automakers stalled by sanctions. Management and Planning Organization of the Islamic
Washington Post, 14 October 2013. Republic of Iran (20032004) and former Dean of News
Faculty, the Iranian News Agency (20022003). Currently,
Riahi, A; Ghaneei, R.M.A. and E. Ahmadi (2013) Irans Scientific he occupies the post of Secretary in the Cabinet Office for
Interaction and Commutations with the G8 Countries. Social Affairs and E-Government.
Skype Presentation. Proceedings of 9th International
Conference on Webometrics Informetrics and
Scientometrics and 14th COLLNET Meeting. Tartu, Estonia. ACKNOWLEDGMENTS
The author wishes to thank the following people from the
Tehran Times (2013) 14 000 foreign students studying in Iran.
National Research Institute for Science Policy in Iran for
Tehran Times, 10 July, vol. 122237.
their assistance in compiling information and data for the
present chapter: Akram Ghadimi, Faculty Member, Fariba
UIS (2014) Higher Education in Asia: Expanding Out, Expanding
Niksiar, Responsible for International Relations and Azita
Up. UNESCO Institute for Statistics: Montreal (Canada).
Manuchehri Qashqaie, Researcher. Thanks go also to Ali
Khajeh Naiini for his assistance in compiling tables.
Williams, A. (2008) Iran opens its first solar power plant.
Clean Technica. See: www.cleantechnica.com.

Chapter 15

407
UNESCO SCIENCE REPORT

Israel needs to prepare for tomorrows science-based industries.

Daphne Getz and Zehev Tadmor

A miniaturized device developed in

Professor Moshe Shohams robotics
laboratory at the Technion Institute of
Technology in Haifa. Based on micro-
electro-mechanical systems technology,
the tiny robot can theoretically be guided
inside the body via an external controller to
perform a variety of medical tasks in a much
less invasive way than currently possible.
Photo: Technion Institute of Technology

408
 Israel
16 . Israel
Daphne Getz and Zehev Tadmor

INTRODUCTION 120 seats in the new Knesset, making it the third-largest bloc in
Israels political landscape after the Likud and the Zionist Camp
A geopolitical landscape in rapid mutation (Labour) party led by Isaac Herzog (24 seats). Arab Israelis are
Since the Arab Spring of 2011, the political, social, religious thus in a unique position to influence the legislative process,
and military realities of the Middle East have been profoundly including as concerns issues related to STI.
remodelled through regime change, civil war and the
emergence of opportunistic politico-military sects like No lasting impact of global financial crisis
Daesh (see Chapter 17). In Israels wider neighbourhood, The Israeli economy grew by 28% between 2009 and 2013
relations between the Western powers and Iran could be at to PPP$261.9 billion and GDP per capita progressed by
a turning point (see p. 387). In the past five years, there has 19% (Figure 16.1). This impressive performance reflects the
been no tangible progress towards a peaceful solution to the dominance of the medium- and high-techsector, which
IsraeliPalestinian conflict, a state of affairs which may have constitutes the countrys maingrowth engine and contributes
negative repercussions for Israels international and regional 46% of Israeli exports (2012). This sector is dominated by
collaboration, as well as its progress in STI. Despite the information and communication technologies (ICTs) and high-
tensions, there are instances of academic collaboration with tech services. Given its reliance on international markets and
neighbouring Arab countries (see p. 427). venture capital, the Israeli business enterprise sector was fairly
exposed to the global financial crisis of 20082009. The Israeli
At home, the political leadership was renewed in the economy has sailed through the crisis mainly due to a balanced
March 2015 elections. In order to obtain a ruling majority fiscal policy and conservative measures in the real-estate
in the Knesset the Israeli parliament , the re-elected market. On the R&D front, government subsidies1 introduced in
Prime Minister Binyamin Netanyahu has formed a coalition 2009 have helped high-tech firms to weather the storm, leaving
government with Kulanu (10 seats), United Torah Judaism them relatively unscathed.
(6 seats), Shas (7 seats) and Bayit Yehudi (8 seats), which,
together with his own Likud party (30 seats), gives him a
ruling majority of 61 seats in the Knesset. For the first time,
1. There was a 12% increase in funding from government sources and international
a coalition of ArabIsraeli parties has obtained 14 out of the funds.

Figure 16.1: GDP per capita in Israel, 20092013

In thousands of current PPP$, other countries are given for comparison

Italy 35 281
35.0
34 170

Spain 33 094 Chapter 16

32 807 Korea, Rep. 33 062
32.5 Israel 32 491
GDP per capita (current PPP$)

30 429
30.0

28 393
Portugal 27 804
27.5 27 356

26 217
Greece 25 667
25.0
2009 2010 2011 2012 2013

Source: World Banks World Development Indicators, May 2015

409
UNESCO SCIENCE REPORT

Data released by the Central Bureau of Statistics in 2011 market openness, including as concerns efficient regulation and
reveal that the manufacturing sector cut back its R&D intellectual property. Israels regulatory reforms have already led
expenditure by 5% and the services sector by 6% between to significant growth in the influx of foreign direct investment
2008 and 2009. Each of these sectors performed about 30% (FDI) [OECD, 2014]. This inflow of FDI (Table 16.1) has given the
of R&D in 2008 (UNESCO, 2012). As the business enterprise Israeli high-tech sector greater access to much-needed capital
sector performs 8384% of gross domestic expenditure on which, in turn, has had a positive effect on Israeli GDP, which
R&D (GERD), the cutbacks in the business enterprise sector rose from PPP$ 204 849 million to PPP$ 261 858 million (in
caused the GERD/GDP ratio to falter in 2010 (3.96% of GDP). current prices) between 2009 and 2013.
Israel has nevertheless managed to hold on to its place as
world leader for R&D intensity, even if it is now being trailed
Table 16.1: FDI inflows to Israel and outflows, 20092013
by the Republic of Korea (Figure 16.2).
FDI inflow FDI outflow FDI inflow FDI outflow
OECD membership has boosted investor confidence In current US$ millions Share of GDP (%)
Israels admission to the Organisation for Economic
Co-operation and Development (OECD) in 2010 has 2009 4 438 1 695 2.2 0.8
strengthened investors confidence in the Israeli economy. 2010 5 510 9 088 2.5 4.1
Since its admission to this exclusive club, Israel has further
2011 9 095 9 165 3.9 3.9
opened up its economy to international trade and investment
by lowering tariffs, adopting international standards 2012 8 055 3 257 3.2 1.3
and improving the domestic regulatory environment for
2013 11 804 4 670 4.5 1.8
business2. Israel now meets the OECDs policy framework for
Source: Central Bureau of Statistics
2. See: www.oecd.org/israel/48262991.pdf

Figure 16.2: Trends in Israels GERD/GDP ratio, 20062013

Other countries and regions are given for comparison
5

4.19 Israel 4.21

Korea, Rep. 4.15
4

3.50 Japan 3.49

3.41 Finland 3.32
3.34
GERD/GDP ratio

Sweden 3.30

3 Denmark 3.06
Germany 2.94
2.83

2.46 OECD
2.40 average 2.40
Belgium 2.28
2.19
2 1.96
1.81
1.65 UK 1.63
Canada 1.62

2006 2007 2008 2009 2010 2011 2012 2013

Note: The data for Israel exclude defence R&D.

Source: Getz et al. (2013), updated

410
 Israel

Israels binary economy threatens social equity and The latter phenomenon is attributable to the insufficient
lasting growth integration of Arab citizens into wider Israeli society, partly owing
Israels binary economy consists of a relatively small, to their geographic remoteness and inadequate infrastructure; a
yet world-class high-tech sector which serves as the lack of the social networks needed to find suitable employment;
locomotive of the economy, on the one hand, and and discriminatory practices in certain segments of the economy.
the much larger but less efficient traditional industrial
and services sectors, on the other hand. The economic To drive sustainable and long-lasting economic growth, it will
contribution of the flourishing high-tech sector does not be crucial for Israel to integrate its minority populations into the
always spill over into other sectors of the economy. labour market. This realization prompted the government to fix
a series of targets in December 2014 for raising the participation
Over time, this binary economic structure has led to a well- rate of minorities (Figure 16.3).
paid labour force living at the core of the country, namely
the Tel Aviv metropolitan area, and a poorly paid labour The countrys transition from a semi-socialist economy in the
force living primarily on the periphery. The growing socio- 1980s to a free market economy has been accompanied by a rise
economic gap that has resulted from the structure of the in inequality, as illustrated by the steady rise in the Gini index
economy and the concentration of wealth among the upper (see the glossary, p. 738). As of 2011, nearly 42% of gross monthly
1% is having a destabilizing effect on society (Brodet, 2008). income in Israel was concentrated in households which made up
20% of the population (the 2 top deciles). The Israeli middle class,
This duality is underpinned by a low rate of labour force occupying deciles 47, accounted for only 33% of gross income.
participation, compared to other OECD economies, Inequality after taxes and transfer payments has increased even
although the rate did rise from 59.8% to 63.7% between more sharply, as the government has steadily reduced welfare
2003 and 2013, thanks to improvements in the level of benefits since 2003 (UNESCO, forthcoming).
education (Fatal, 2013): as of 2014, 55% of the Israeli labour
force had 13 or more years of schooling and 30% had The duality of the Israeli economy is also reflected in the low
studied for 16 years or more (CBS, 2014). The low rate of labour productivity, calculated as GDP per working hour. Israel
labour force participation in the general population stems
mainly from low levels of participation by ultra-orthodox
Figure 16.3: Employment targets to 2020
men and Arab women. The unemployment rate is also
for Israeli minorities
higher among Arabs than Jews, particularly among Arab
women (Table 16.2).
78.0
Men

Table 16.2: Characteristics of Israels civilian 75.1

Arabs

labour force, 2013

41.0
Women
Civilian labour

Civilian labour

unemployed
force (000s)
population*

32.6
Total adult

force (%)

Share of

Chapter 16
(%)

63.0
Men

Total 5 775.1 3 677.8 64 6.2

Ultra-orthodox

45.7
Jewish 4 549.5 3 061.8 67 5.8

Arabs 1 057.2 482.8 46 9.4

63.0
Women

Males 2 818.3 1 955.9 69 6.2

71.4
Jewish 2 211.9 1 549.8 70 5.8

Arab 530.8 344.4 65 8.2 Employment target to 2020 (%)

Employment rate (%), 2014
Females 2 956.7 1 722.0 58 6.2
Note: The employment targets were fixed in 2010 by a special committee
Jewish 2 337.6 1 512.0 65 5.8 charged with examining Israels Employment Policy. The target for the
employment rate for ultra-orthodox women was reached before 2014.
Arab 526.4 138.4 26 12.4
Source: General Accountant (2014) Managing the Fiscal Policy Goals.
Source: Central Bureau of Statistics Ministry of Finance (in Hebrew)

411
UNESCO SCIENCE REPORT

ranks 26th out of 34 OECD countries for this indicator and The government hopes to raise industrial-level productivity
has been gradually slipping in the ranking since the 1970s the value added by each employee from PPP$ 63 996 in
(Ben David, 2014), even though it boasts some of the worlds 2014 to PPP$ 82 247 by 2020.
leading universities and cutting-edge high-tech firms.
TRENDS IN R&D
Labour productivity in Israel varies strongly in technological
intensity. In medium- and high-tech industries, labour productivity Still the world leader for R&D intensity
is significantly higher than in other manufacturing industries. Israel tops the world for R&D intensity, reflecting the importance
In the services sector, the highest levels of production per of research and innovation for the economy. Since 2008,
employee are to be found in knowledge- and technology- however, Israels R&D intensity has weakened somewhat (4.2%
intensive industries, such as the computer industry, R&D in 2014), even as this ratio has experienced impressive growth in
services and communications. The medium- and high-tech the Republic of Korea, Denmark, Germany and Belgium (Figure
manufacturing sectors account for about 13% of GDP and 7% of 16.2) [Getz et al., 2013]. Business expenditure on R&D (BERD)3
total employment, even though their output contributes 46% of continues to account for ~84% of GERD, or 3.49% of GDP. The
industrial exports, as mentioned earlier. The main industries in the share of higher education in GERD has decreased since 2003
manufacturing sector are chemical and pharmaceutical products, from 0.69% of GDP to 0.59% of GDP (2013). Despite this drop,
computers, electronics and optical products (Getz et al., 2013). Israel ranks 8th among OECD countries for this indicator.

Those industrial and services sectors that are classified The lions share of GERD (45.6%) in Israel is financed by
as using low technologies or mediumlow technologies foreign companies (Figure 16.5), reflecting the large scale of
account for the greater part of production and employment activity by foreign multinational companies and R&D centres
in the business sector, yet they suffer from low productivity in the country.
per employee (Figure 16.4). The key to sustainable, long-
term economic growth will lie in improving productivity in The share of foreign funding in university-performed R&D is also
traditional industries and in the services sector (Flug, 2015). quite significant (21.8%). By the end of 2014, Israel had received
This can be achieved by giving firms incentives to innovate, 875.6 million from the European Unions (EUs) Seventh
assimilate advanced technologies, implement the requisite Framework Programme for Research and Innovation (20072013),
organizational changes and adopt new business models to
raise the share of exports in their output (Brodet, 2008). 3. refers to GERD performed by the business enterprise sector

Figure 16.4: Annual output per employee in Israel, 20002010

In thousands of NIS, breakdown by technological intensity
2 000
High tech Mediumhigh Total
1 753
Mediumlow Low tech

1 500
Annual output per employee (NIS 000s)

1 057
1 000
881 890

821 688
577

500 452 582

412

0
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

Source: Central Bureau of Statistics

412
 Israel

Figure 16.5: GERD in Israel by funding and performing Figure 16.6: Israeli government outlay for R&D by major
sectors, 2007 and 2011 (%) socio-economic objective, 2007, 2010 and 2013 (%)
The OECD is given for comparison
2007 2011

2.0
56.0 14.0 27.0
Funding

2.0
48.0
General
2.2 50.7
39.2 11.4 1.8 45.5 University
51.5
Funds
30.9
Performing
2007 2011

84.9 1.8 12.0

1.3
Advancement 32.6
2.3 13.5 of industrial 32.6
83.0
1.2 29.7
technology
11.1
Business enterprise Government Higher education
Private non-profit Abroad 7.9
Agriculture,
6.2
forestry and
Note: Excluding defence R&D. 6.6
fisheries
5.5
Source: Central Bureau of Statistics

4.5
3.9
70% of which had gone to universities. Its successor, Horizon Social services
3.4
2020 (20142020), has been endowed with nearly 80 billion 5.7
in funding, making it the EUs most ambitious research and
3.2
innovation programme ever. As of February 2015, Israel had Non-oriented 3.3
received 119.8 million from the Horizon 2020 programme. (basic) research 4.4
22.0

In 2013, more than half (51.8%) of government spending was 1.1

allocated to university research and an additional 29.9% to Infrastructure 0.8
the development of industrial technologies. R&D expenditure development 1.2
2.7
on health and the environment has doubled in absolute
terms in the past decade but still accounts for less than 1% of 1.0
total government GERD (Figure 16.6). Israel is unique among Environmental 0.9
protection 0.9
OECD countries in its distribution of government support 2.7
by objective. Israel ranks at the bottom in government
support of research in health care, environmental quality and 0.9
0.6
infrastructure development. Health
0.5
10.2
University research in Israel is largely grounded in basic research,
0.4
even though it also engages in applied research and partnerships Exploration and
0.2
exploitation of
with industry. The increase in General University Funds and non- 0.3
the Earth
oriented research should thus provide a significant boost to basic 2.0 Chapter 16

research in Israel, which only accounted for 13% of research in 0.3

2013, compared to 16% in 2006 (Figure 16.7). Exploration and 0.1
exploitation of 0.3
space 3.0
In 2012, there were 77 282 full-time equivalent (FTE) researchers,
Israel 2007
82% of whom had acquired an academic education, 10% of 0.1
Production and Israel 2010
whom were practical engineers and technicians and 8% of whom utilization of
0.7
1.2 Israel 2013
held other qualifications. Eight out of ten (83.8%) were employed energy
4.1 OECD countries (average 2013)
in the business sector, 1.1% in the government sector, 14.4 % in
the higher education sector and 0.7% in non-profit institutions.
Note: The data for Israel do not include defence R&D. The data for Israel
diverge strongly from those for the OECD in two categories: health and non-
In 2011, 28% of senior academic staff were women, up by 5%
oriented research. The low percentage for health can be explained by the fact
over the previous decade (from 25% in 2005) [Figure 16.8]. that, in Israel, R&D in hospitals is assigned to the business sector and not to
Although the representation of women has increased, it the government sector. The high percentage for non-oriented research for
the OECD (22%) and the low percentage for Israel (4.4%) can be explained by
remains very low in engineering (14%), physical sciences (11%), the fact that the OECD indicator encompasses a variety of subjects.
mathematics and computer sciences (10%) relative to education
Source: adapted from Getz et al. (2013)
(52%) and paramedical occupations (63%).

413
UNESCO SCIENCE REPORT

In the 2012/2013 academic year, there were 4066 faculty

Figure 16.7: GERD in Israel by type of research,
2006 and 2013 (%) members. The targets fixed by the PBC for faculty recruitment
are ambitious: universities are to recruit another 1600 senior
faculty within the six-year period about half of whom will
occupy new positions and half will replace faculty expected
to retire. This will constitute a net increase of more than 15%

2006 Figure 16.8: Share of women among Israeli university

80.3 students (2013) and senior academic staff (2011) (%)
3.7
Senior academic staff Bachelors degree Masters degree PhD
15.9
Applied 61
research 39 Humanities 61
Basic 55
research
Education 80
11.4 52 and teacher 84
13.2 training 75

68
Social
36 69
sciences
63
Experimental 2013
development
52
Business and
26 management 48
50

75.5
50
24 Law 53
Note: The data do not include defence R&D. 51

Source: UNESCO Institute for Statistics, June 2015 54

34 Medicine 55
69

TRENDS IN STI GOVERNANCE 82

Paramedical
63 86
studies
A six-year plan to revamp higher education 76
Israels higher education system is regulated by the Council Mathematics, 29
for Higher Education and its Planning and Budgeting statistics
10 and computer 28
Committee. The Israeli higher education system operates sciences 24
under a multi-year plan agreed upon by the Planning and
37
Budgeting Committee (PBC) and the Ministry of Finance. Physical
11 36
sciences
Each plan determines policy objectives and, accordingly, the 39
budgets to be allocated in order to achieve these objectives.
64
The annual government allocation to universities totalled Biological
27 65
about US$ 1750 million in 2015, providing 5075% of their sciences
58
operating budgets. Much of the remainder of their operating
budget (1520%) comes from annual student tuition fees, 52
27 Agriculture 56
which are uniform at about US$ 2750 per year. 50

The Sixth Higher Education Plan (20112016) makes provision Engineering 27

14 and 24
for a 30% rise in the Council for Higher Educations budget. architecture 32
The Sixth Plan changes the budgeting model of the PBC by
placing greater emphasis on excellence in research, along 56
28 Total 61
with quantitative measures for the number of students. Under
53
this model, 75% of the committees budget (NIS 7billion over
six years) is being allocated to institutions offering higher Source: Central Bureau of Statistics
education.

414
 Israel

in university faculty. In colleges, another 400 new positions for universities up until now but it is expected to diminish
are to be created, entailing a 25% net increase. The new significantly in the years to come. Unless the government
faculty will be hired via the institutions regular recruitment invests more in research infrastructure, Israels universities
channels, some in specific research areas, through will be ill-equipped and insufficiently funded to meet the
the Israeli Centres of Research Excellence programme challenges of the 21st century. This is very worrying.
described below (Box 16.1).
Renewed interest in academic R&D
The increase in faculty numbers will also reduce the The Sixth Higher Education Plan launched the Israeli Centres
student-to-faculty ratio, the target being to achieve a of Research Excellence (I-CORE) programme in 2011 (Box 16.1).
ratio of 21.5 university students to every faculty member, This is perhaps the strongest indication of a reversal in
compared to 24.3 at present, and 35 students for every government policy, as it reflects a renewed interest in funding
faculty member in colleges, compared to 38 at present. academic R&D. This novel programme envisions the estab-
lishment of cross-institutional clusters of top researchers in
This massive increase in the number of faculty positions, specific fields and returning young Israeli scientists from
alongside the upgrading of research and teaching abroad, with each centre being endowed with state-of-the-art
infrastructure and the increase in competitive research research infrastructure. The Sixth Plan invests NIS 300 million
funds, should help Israel to staunch brain drain by enabling over six years in upgrading and renovating academic
the best Israeli researchers at home and abroad to conduct infrastructure and research facilities.
their academic work in Israel, if they so wish, at institutions
offering the highest academic standards. Although Israel does not have an umbrella type STI policy
for optimizing priorities and allocating resources, it does
The new budgeting scheme described above is mainly implement, de facto, an undeclared set of best practices
concerned with the human and research infrastructure in combining bottom-up and top-down processes via
universities. Most of the physical development (e.g. buildings) government offices, such as those of the Chief Scientist
and scientific infrastructure (e.g. laboratories and expensive or the Minister of Science, Technology and Space, as well
equipment) of universities comes from philanthropic as ad hoc organizations like the Telem forum (see p. 420).
donations, primarily from the American Jewish community The procedure for selecting research projects for the
(CHE, 2014). This latter source of funding has greatly Israeli centres of research excellence is one example of this
compensated for the lack of sufficient government funding bottom-up process (Box 16.1).

Box 16.1: Israeli Centres of Research Excellence

The Israeli Centres of Research The research topics of each centre are entire I-CORE programme amounted to
Excellence (I-CORE) programme selected through a broad bottom-up NIS 87.9 million, equivalent to about
was launched in October 2011. It is process comprising of consultations with 1% of the total for higher education
run jointly by the Council for Higher the Israeli academic community, in order that year. This budget appears to be
Educations Planning and Budgeting to ensure that they reflect the genuine insufficient to create the critical mass of
Committee and the Israel Science priorities and scientific interests of Israeli researchers in various academic fields Chapter 16

Foundation. researchers. and thus falls short of the programmes

objective. The level of government
So far, 16 centres have been established I-CORE is funded by the Council for Higher support for the centres of excellence
in two waves across a wide spectrum Education, the host institutions and has grown each year since 2011 as new
of research areas: six specialize in life strategic business partners, with a total centres have been established and
sciences and medicine, five in the budget of NIS 1.35 billion (US$365million). is expected to reach NIS 93.6 million
exact sciences and engineering, three by 20152016 before dropping to
in social sciences and law and two in The original goal was to set up 30 centres 33.7 million in 20172018. According
humanities. Each centre of excellence of research excellence in Israel by 2016. to the funding model, government
has been selected via a peer review However, the establishment of the support should represent one-third of
process conducted by the Israel Science remaining 14 centres has provisionally been all funding, another third being funded
Foundation. By May 2014, around 60 shelved, for lack of sufficient external capital. by the participating universities and the
young researchers had been absorbed remaining third by donors or investors.
into these centres, many of whom had In 20132014, the Planning and
previously worked abroad. Budgeting Committees budget for the Source: CHE (2014)

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UNESCO SCIENCE REPORT

A shortage of professionals looms new programmes for ultra-orthodox students have since
During the 2012/2013 academic year, 34% of bachelors been established, three of them on university campuses.
degrees were obtained in S&T fields in Israel. This compares Meanwhile, the Pluralism and Equal Opportunity in Higher
well with the proportion in the Republic of Korea (40%) Education programme addresses the barriers to integration
and most Western countries (about 30% on average). The of the Arab minority in the higher education system. Its
proportion of Israeli graduates in S&T fields was slightly lower scope ranges from providing secondary-school guidance
at the masters level (27%) but dominated at PhD level (56%). through preparation for academic studies to offering
students comprehensive support in their first year of study,
There is a visible ageing of scientists and engineers in some a stage normally characterized by a high drop-out rate. The
fields. For instance, about three-quarters of researchers programme renews the Maof fund supporting outstanding
in the physical sciences are over the age of 50 and the young Arab faculty members. Since the introduction of this
proportion is even higher for practical engineers and programme in 1995, the Maof fund has opened tenure track
technicians. The shortage of professional staff will be a opportunities for nearly 100 Arab lecturers, who act as role
major handicap for the national innovation system in the models for younger Arab students embarking on their own
coming years, as the growing demand for engineers and academic careers.
technical professionals begins to outpace supply.
Living on the fruits of the past?
Israel has offered virtually universal access to its universities One of the main criticisms of the current state of the higher
and academic colleges since the wave of Jewish immigration education system is that Israel is living on the fruits of the
from the former Soviet Union in the 1990s prompted the past, that is to say, on the heavy investment made in primary,
establishment of numerous tertiary institutions to absorb secondary and tertiary education during the 1950s, 1960s and
the additional demand (CHE, 2014). However, the Arab 1970s (Frenkel and Leck, 2006). Between 2007 and 2013, the
and ultra-orthodox minorities still attend university in number of graduates in physical sciences, biological sciences and
insufficient numbers. The Sixth Higher Education Plan places agriculture dropped, even though the total number of university
emphasis on encouraging minority groups to enrol in graduates progressed by 19% (to 39 654) [Figure 16.9].
higher education. Two years after the Mahar programme
was implemented in late 2012 for the ultra-orthodox Recent data reveal that Israeli educational achievements
population, student enrolment had grown by 1400. Twelve in the core curricular subjects of mathematics and science

Figure 16.9: University graduates in Israel, by field of study, 2006/2007 and 2012/2013
20 000

Change
40% 2006/2007 Total 33 380
2012/2013 Total 39 654
16 917

15 000

12 044

10 000
Change
6%

7 566
7 169

Change Change
5 000 20% 12%
Change Change
3 827 Change 4 018
1% Change -7% 3 602
3 200 9% Change
-1% -13%
2 090 2 119 2 038 1 886
1 599 1 747
1 208 1 199 430 375
0
Humanities Social Law Medicine Maths, stats & Physical Biological Agriculture Engineering
sciences comp. sciences sciences sciences & architecture
Source: Central Bureau of Statistics

416
 Figure 16.10: Education spending in Israel as a share of GDP, 20022011 (%) Israel
8
Expenditure on education Expenditure on tertiary education
6.93 6.79
7
6.36
6.13
5.88
6 5.63 5.61 5.54 5.59 5.64

2
1.16 1.25
1.05 1.02 0.97 0.99 0.90 0.96 0.94 0.91
1

0
% 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011

Source: UNESCO Institute for Statistics, April 2015

are low in comparison to other OECD countries, as revealed recorded a success rate of 17.6% for 142 funded projects,
by the exam results of Israeli 15-year olds in the OECDs placing Israel second after Switzerland. During the years
Programme for International Student Assessment. Public 20082013, Israel ranked ninth for the European Research
spending on primary education has also fallen below the Councils Advanced Grants (85 funded projects), reflecting
OECD average. The public education budget accounted for a 13.6% success rate. Since 2009, two Israeli academics have
6.9% of GDP in 2002 but only 5.6% in 2011. The share of this won the Nobel Prize: Professor Ada E. Yonath in 2009 for
budget going to tertiary education has remained stable at her studies on the structure and function of the ribosome
1618% but, as a share of GDP, has passed under the bar and Professor Dan Shechtman in 2011 for his discovery of
of 1% (Figure 16.10). There is concern at the deteriorating quasicrystals in 1984. This brings the total number of Israelis
quality of teachers at all levels of education and the lack of who have won the Nobel Prize in one of the sciences to eight.
stringent demands on students to strive for excellence.
The volume of publications is stagnating
Research universities: the backbone of higher education The number of Israeli publications has stagnated over the past
Seven research universities around the country form the decade. Consequently, the number of Israeli publications per
backbone of Israels higher education system: the Hebrew million inhabitants has also declined: between 2008 and 2013,
University of Jerusalem, Technion Israel Institute of it dropped from 1488 to 1431; this trend reflects a relative
Technology, Tel- Aviv University, Weizmann Institute of constancy in scholarly output in the face of relatively high
Science, Bar-Ilan University,University of Haifa and Ben population growth (1.1% in 2014) for a developed country and Chapter 16

Gurion University of the Negev. near-zero growth in the number of FTE researchers in universities.

The first six ranked among the worlds top 500 universities4 in 2014 Israeli publications have a high citation rate and a high
in the Shanghai Ranking5. These six also ranked in the top 200 share of papers count among the 10% most-cited (Figure 16.11).
World Universities in Computer Science6 for the same year. Three Also of note is that the share of papers with foreign co-authors
Israeli research universities rank among the top 75 in mathematics is almost twice the OECD average, which is typical of small
and four among the top 200 in physics and chemistry. countries with developed science systems. Israeli scientists
collaborate mostly with the USA and EU but there has been
Over the 20072014 period, Israeli projects benefiting from strong growth in recent years in collaboration with China, India,
the European Research Councils Starting Grants (see Box 9.1) the Republic of Korea and Singapore.

Between 2005 and 2014, Israeli scientific output was

4. The Hebrew University of Jerusalem and the Technion figured among the top
100, Tel Aviv University and the Weizmann Institute among the top 200. particularly high in life sciences (Figure 16.11). Israeli
5. Shanghai Academic Ranking of World Universities, 2014 universities do particularly well in computer science but
6. The Technion and Tel Aviv University ranked among the top 20, the Hebrew publications in this field tend to appear mostly in conference
University and Weizmann Institute among the top 75. proceedings, which are not included in the Web of Science.

417
Figure
UNESCO 16.11: Scientific
SCIENCE publication
REPORT 2015 trends in Israel, 20052014

Israeli publications have grown slowly since 2005

Countries of a similar economic size are given for comparison

30 000
1.15
Average citation rate for Israeli
Switzerland Austria Norway scientific publications 20082012;
Sweden Israel Chile the OECD average is 1.08
25 000
25 308

20 000

16 445

16 397
21 854

11.9%
Share of Israeli papers among 10%
15 000
13 108 most cited papers 20082012;
11 196 OECD average is 11.1%
9 884
10 000

49.3%
10 070
8 664

5 000 6 090 6 224

2 912 Share of Israeli papers with

0 foreign co-authors 20082014;
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 the OECD average is 29.4%

Israel specializes in life sciences and physics

Cumulative totals by field, 20082014

19 635
1.84
1.78
1.66
1.52
14 613
Number of Israeli 1.28
publications
Israels world 1.06 1.09
1.04 10 332
share (%)

0.72
0.58 0.62
0.51 0.52
4 252
5 115 2 937 4 435 2 882
1 076 1 382
451 834 579
ics
es

gy
es
g
re

ry

ics
es

es

es
m

nc

in
tu

ist
nc

nc

nc
nc

nc
lo
ys
at
no

er
cie
ul

em

ho
cie

m
cie

ie
cie

cie
Ph
ne
tro
ric

sc
rs

he

yc
ls

os

ls

ls
Ch

gi
Ag

As

te

ife
at

Ps
ica

ica

cia
En

Ge
pu

rl
og

ed

So
he
m

M
ol

Co

Ot
Bi

Note: A further 6 745 papers are unclassified. Israel accounts for 0.1% of the global population.

Israeli scientists collaborate mostly with the USA and EU countries

Main foreign partners, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Israel USA (19 506) Germany (7 219) UK (4 895) France (4 422) Italy (4 082)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded, data treatment by ScienceMetrix

418
 Israel

Four priority research areas which will impact daily life revamping scientific infrastructure by upgrading existing
The Israeli Science Foundation is the main source of research research facilities and establishing new ones.
funding in Israel and receives administrative support from the
Academy of Sciences and Humanities. The foundation provides In 2012, the ministry resolved to invest NIS 120 million over
competitive grants in three areas: exact sciences and technology; three years in four designated priority areas for research:
life sciences and medicine; and humanities and social sciences. brain science; supercomputing and cybersecurity (Box 16.2);
Complementary funding is provided by binational foundations, oceanography; and alternative transportation fuels. An expert
such as the USAIsrael Binational Science Foundation (est. 1972) panel headed by the Chief Scientist in the Ministry of Science,
and the GermanIsraeli Foundation for Scientific Research and Technology and Space chose these four broad disciplines
Development (est. 1986). in the belief that they would would be likely to exert the
greatest practical impact on Israeli life in the near future.
The Ministry of Science, Technology and Space funds thematic
research centres and is responsible for international scientific A rise in funding for space research
co-operation. The Ministrys National Infrastructure Programme In 2012, the Ministry of Science, Technology and Space
aims to create a critical mass of knowledge in national priority substantially increased its investment in the civil space
fields and to nurture the younger generation of scientists. programme administered by the Israel Space Agency (ISA).
Investment in the programme mainly takes the form of ISAs planned budget came to NIS 180 million for three years:
research grants, scholarships and knowledge centres. Over NIS 65 million was allocated to fostering universityindustry
80% of the ministrys budget is channelled towards research in co-operation and NIS 90 million to joint international
academic institutions and research institutes, as well as towards projects. In 2013, ISA signed contracts for a cumulative value

Box 16.2: Israel launches cyber security initiative

In 2013, hackers presumably used In January 2014, the prime minister and Cyvera, purchased by Palo Alto
a cyber virus to shut down a major launched CyberSpark, Israels cyber Networks.
tunnel system in Israel for eight hours, innovation park, as part of plans to turn
causing massive traffic jams. Cyber Israel into a global cyber hub. Located in The National Cyber Bureau recently
attacks are a growing threat in Israel the city of Beer-Sheva to foster economic estimated that the number of Israeli
and worldwide. development in southern Israel, cyber defence companies had doubled
CyberSpark is a geographical cluster of in the past five years to about 300 by
In November 2010, the Israeli prime leading cyber companies, multinational 2014. Israeli companies account for
minister entrusted a task force with corporations and universities, involving an estimated 10% of global sales,
responsibility for formulating national Ben Gurion University of the Negev, which currently total an estimated
plans to place Israel among the top five technology defence units, specialized US$ 60 billion.
countries in the world for cyber security. educational platforms and the national
Cyber Event Readiness Team. Total R&D spending on cyber defence
Less than a year later, on 7 August in Israel quadrupled between 2010 Chapter 16

2011, the government approved About half of the firms in CyberSpark are and 2014 from US$50 million to
the establishment of the National Israeli, mostly small to medium-sized. US$ 200 million, bringing Israels
Cyber Bureau to promote the Israeli Multinational companies operating in spending to about 15% of global R&D
cyber defence industry. The bureau is CyberSpark include EMC2, IBM, Lockheed spending on cyber defence in 2014.
based in the Prime Ministers Office. Martin and Deutsche Telekom. PayPal
The National Cyber Bureau allocated recently acquired the Israeli start-up Cyber security technologies are
NIS 180 million (circa US$ 50 million) CyActive and has since announced plans exported by Israel in accordance
over 20122014 to encourage cyber to set up its second Israeli R&D centre with the Wassenaar Arrangement,
research and dual militarycivilian in CyberSpark, with a focus on cyber a multilateral agreement on Export
R&D; the funding is also being used security. This acquisition is just one of Controls for Conventional Arms and
to develop human capital, including the many Israeli cybersecurity start-ups Dual-Use Goods and Technologies.
through the creation of cyber security acquired by multinational companies in
centres at Israeli universities that are the past few years. Major acquisitions of
Source: National Cyber Bureau; CyberSpark;
funded jointly by the National Cyber Israeli start-ups in 2014 include Intellinx, Ministry of the Economy; Ziv (2015)
Bureau and the universities themselves. purchased by Bottomline Technologies, See: www.cyberspark.org.il

419
UNESCO SCIENCE REPORT

of NIS 88 million. The rest of the budget will be utilized in the n R&D in the field of space technology (2012): encourages R&D
coming years. to find technological solutions in various fields.

n Technological Entrepreneurship Incubators (2014):

The aim of the national space programme is to enhance Israels
encourages entrepreneurial technology and supports
comparative advantage and place it among the worlds top five
start-up technology companies.
countries in the field of space research and exploration. Israel
plans to use its expertise in miniaturization and digitization to n Magnet Kamin programme (2014) provides direct support
capture 35% of the US $250 billion global space market and for applied research in academia that has potential for
generate US$5 billion in sales within ten years. commercial application.

Over the next five years, ISA will be focusing on: n Cyber Kidma programme (2014): promotes Israels
cybersecurity industry.
n joining the European Space Agency as a full or associate
member; n Cleantech Renewable Energy Technology Centre (2012):
supports R&D through projects involving privatepublic
n initiating and promoting two micro-research satellites;
partnerships in the field of renewable energy.
n developing in-house knowledge, in order to increase
n Life Sciences Fund (2010): finances the projects of Israeli
the manufacturing capabilities of space systems and
companies, with emphasis on biopharmaceuticals;
subsystems in Israel.
established together with the Ministry of Finance and the
The ministry is also promoting collaboration with other private sector.
leading countries in the field of space, including the USA,
n Biotechnology Tzatam programme (2011): provides
France, India, Italy, Japan and the Russian Federation, through
equipment to support R&D in life sciences. The Chief
co-operative ventures with the business sector.
Scientist supports industrial organizations and the PBC
provides research institutions with assistance.
Making science more approachable
Another objective of the ministry has been to bring the n Investment in high-tech industries (2011): encourages
general public closer to science, particularly those living on financial institutions to invest in knowledge-based
Israels periphery and the younger generation, by making industries, through a collaboration between the Office of
science more approachable. This is done via science museums the Chief Scientist and the Ministry of Finance.
and annual events run by universities and science institutions,
Another source of public research funding is the Forum for
such as Researchers Night.
National Research and Development Infrastructure (Telem).
This voluntary partnership involves the Office of the Chief
Another tool used by the ministry has been the establishment of
Scientist of the Ministry of the Economy and the Ministry of
eight R&D centres since the 1980s on the countrys geographical
Science, Technology and Space, the Planning and Budgeting
and social peripheries to spur local development and deepen
Committee and the Ministry of Finance. Telem projects focus
community engagement in S&T. These centres have been
on establishing infrastructure for R&D in areas that are of
established with the specific aim of drawing young, leading
common interest to most Telem partners. These projects are
scientists to these parts of the country, along with raising the
financed by the Telem members own resources.
level of local education and fostering economic development.
These R&D centres focus on finding solutions to local challenges.
Regular evaluations of policy instruments
The countrys various policy instruments are evaluated by the
A wealth of new funding programmes
Council for Higher Education, the National Council for Research
The main ongoing programmes managed by the Office of the
and Development, the Office of the Chief Scientist, the Academy
Chief Scientist within the Ministry of the Economy are: the
of Sciences and Humanities and the Ministry of Finance.
Research and Development Fund; Magnet Tracks (est. 1994,
Table 16.3); Tnufa (est. 2001) and the Incubator Programme
In recent years, the Magnet7 administration in the Office of
(est.1991). Since 2010, the Office has initiated several new
the Chief Scientist has initiated several evaluations of its own
programmes (OCS, 2015):
policy instruments, most of which have been carried out
n Grand Challenges Israel (since 2014): an Israeli contribution by independent research institutions. One such evaluation
to the Grand Challenges in Global Health programme, was carried out in 2010 by the Samuel Neaman Institute;
which is dedicated to tackling global health and food it concerned the Nofar programme within the Magnet
security challenges in developing countries; Grand directorate.
Challenges Israel is offering grants of up to NIS 500000 at
the proof of concept/feasibility study stage. 7. Magnet is the acronym, in Hebrew, for Generic Pre-Competitive R&D.

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 Israel

Table 16.3: Grants by the Israeli Office of the Chief Scientist, by R&D programme, 20082013, NIS

Programme (year of creation) 2008 2009 2010 2011 2012 2013

Research and Development Fund (1984) 1 009.0 1 245.0 1 134.0 1 027.0 1 070.0 1 021.0
Magnet (1994) 159.0 199.0 159.0 187.0 134.0 138.0
Users Association (1995) 3.2 2.7 0.8 3.2 0.7 1.6
Magneton (2000) 31.1 30.8 32.9 26.8 28.0 23.8
R&D in Large Companies (2001) 71.0 82.0 75.0 63.0 55.0 59.0
Nofar (2002) 5.0 7.8 6.9 7.6 6.9 6.2
Traditional Industries Support (2005) 44.9 79.5 198.3 150.0 131.0 80.8
R&D Centres (2010) 4.6 14.8 10.9 7.6 8.6 8.2
Cleantech (2012) 65.4 95.4 100.7 81.9 84.4 105.6
Source: Office of the Chief Scientist, 2015

Nofar tries to bridge basic and applied research, before There were attempts in 2004 and 2005 to introduce bills
the commercial potential of a project has caught the eye encouraging the transfer of knowledge and technology
of industry. The main recommendation was for Nofar to for the public benefit but, as these attempts failed, each
extend programme funding to emerging technological university has since defined its own policy (Elkin-Koren, 2007).
domains beyond biotechnology and nanotechnology (Getz
et al., 2010). The Office of the Chief Scientist accepted this All Israeli research universities have technology transfer
recommendation and, consequently, decided to fund projects offices. Recent research conducted by the Samuel
in the fields of medical devices, water and energy technology Neaman Institute has revealed that, in the past decade,
and multidisciplinary research. the universities share of patent applications constituted
1012% of the total inventive activity of Israeli applicants
An additional evaluation was carried out in 2008 by Applied (Getz et al., 2013). This is one of the highest shares in the
Economics, an economic and management research-based world and is largely due to the intensive activity of the
consultancy, on the contribution of the high-tech sector to universities technology transfer offices.
economic productivity in Israel. It found that the output per
worker in companies that received support from the Office of The Weizmann Institutes technology transfer office, Yeda,
the Chief Scientist was 19% higher than in twin companies has been ranked the third-most profitable8 in the world
that had not received this support (Lach et al., 2008). The (Weinreb, 2013). Through exemplary universityindustry
same year, a committee headed by Israel Makov examined collaboration, the Weizmann Institute of Science and Teva
the Office of the Chief Scientists support for R&D in large Pharmaceutical Industries have discovered and developed
companies. The committee found economic justification for the Copaxone drug for the treatment of multiple sclerosis.
providing incentives for these companies (Makov, 2014). Copaxone is Tevas biggest-selling drug, with US$ 1.68 billion Chapter 16

in sales in the first half of 2011 (Habib-Valdhorn, 2011). Since

Universities apply for 10% of Israeli patents the drugs approval by the US Food and Drug Administration
Since the 1990s, the traditional dual mission of universities (FDA) in 1996, it is estimated that the Weizmann Institute of
of teaching and research has broadened to include a Science has earned nearly US$ 2 billion in royalties from the
third mission: engagement with society and industry. This commercialization of its intellectual property. An additional
evolution has been a corollary of the rise of the electronics revolutionary drug for the treatment of Parkinsons disease,
industry and information technology services, along with a Azilect, was developed by scientists from the Technion
surge in the number of R&D personnel following the wave of Israel Institute of Technology. The drug was commercialized
immigration from the former Soviet Union. by the Technion Technology Transfer Office and the
manufacturing license was given to Teva Pharmaceutical
Israel has no specific legislation regulating the transfer of Industries. In 2014, the US Food and Drug Administration
knowledge from the academic sector to the general public and approved the Azilect label for treatment at all stages of
industry. Nevertheless, the Israeli government influences policy
formulation by universities and technology transfer by providing 8. About 1020% of the Weizmann Institutes annual budget of US$ 470 million
comes from its commercialization company Yeda, which has a number of
incentives and subsidies through programmes such as Magnet bestseller products. Yedas annual income has been estimated at
and Magneton (Table 16.3), as well as through regulation. US$ 50100 million (Weinreb, 2013).

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UNESCO SCIENCE REPORT

Parkinsons disease. This means that the drug may be used such fields as renewable energy or water treatment. A scheme
alone, or in combination with other drugs, to treat Parkinsons has been initiated jointly by the Water Authority and the
disease. Ministry of Economics to match the investment cost of applying
innovative water technologies; the government contributes
Sustainability more visible in STI policy 70%, the entrepreneur 15% and the local water utility a further
In recent years, sustainability and environmental 15%. Israel has one of the worlds greatest capacities for
considerations have been increasingly taken into account desalination and the highest rate of water recycling. It has also
in the formulation of general STI policies. Both internal developed a wide range of water-efficient technologies for
and external forces are responsible for this trend. Among agriculture. Some 85% of Israeli households use solar energy
key internal drivers are the shortage of available land for to heat water, equal to 4% of Israels energy capacity. In 2014,
development and the need for problem-solving to cope Israel topped the rankings of the Global Cleantech Innovation
with population9 growth. Among the external drivers are Index, with 300 domestic companies active in this sector. In
international and regional environmental agreements signed parallel, Israel is developing a non-renewable source of energy,
by Israel, such as the Kyoto Protocol to rein in climate change natural gas, to ensure greater energy independence (Box 16.3).
(1997) and the Barcelona Convention for Protection against
Pollution in the Mediterranean Sea (1976), which set new Targets for more sustainable development
environmental standards and benchmarks (Golovaty, 2006; Since 2008, the government has fixed a number of quantifiable
UNESCO, forthcoming). It is the Ministry of Environmental targets for the countrys sustainable development:
Protection which is responsible for formulating an integrated
n a 20% reduction in electricity consumption by 2020
nationwide policy to protect the environment.
(government decision of September 2008);

Sustainability and environmental policies are being promoted n 10% of electricity to be generated from renewable sources
through various legislative tools, including the Green Growth by 2020, including a 5% milestone in 2014, which has not
Act (2009) and Greenhouse Gas Emissions Reduction Act been met (government decision of January 2009);
(2010), as well as through economic and R&D incentives.
n a 20% reduction in greenhouse gas emissions by 2020 over
The government is targeting both the public and private
and above the target to 2020 for the business as usual
sectors, with a focus on mitigating environmental hazards and
scenario (government decision of November 2010);
maximizing efficiency by developing novel technologies in
n A national plan for green growth is to be established

9. Since peaking at 2.5% in 2007 after a wave of immigration, the annual

covering the period 20122020 (government decision of
population growth rate has dropped to a more sustainable rate of 1.1% (2014). October 2011).

Box 16.3: Natural gas: a chance to develop technologies and markets

Since 1999, large reserves of natural gas Since early 2013, almost the entire natural gas engineers and focusing research efforts
have been discovered off Israels coast. consumption of Israel has been supplied by on the impact of gas production on the
This fossil fuel has become the primary the Tamar field, an IsraeliAmerican private Mediterranean Seas ecosystem. The
fuel for electricity generation in Israel partnership. The estimated reserves amount Mediterranean Sea Research Centre of
and is gradually replacing oil and coal. to about 1000 BCM, securing Israels energy Israel was established in 2012 with an
In 2010, 37% of electricity in Israel was needs for many decades to come and initial budget of NIS 70 million; new study
generated from natural gas, leading making Israel a potentially major regional programmes have since been launched
to savings of US$1.4 billion for the exporter of natural gas. In 2014, initial export at the centre to train engineers and other
economy. In 2015, this rate is expected agreements were signed with the Palestinian professionals for the oil and gas industry.
to surpass 55%. Authority, Jordan and Egypt; there are also
plans to export natural gas to Turkey and the Meanwhile, the Office of the Chief
In addition, the usage of natural gas in EU via Greece. Scientist, among others, plans to use
industry both as a source of energy Israels fledgling natural gas industry as
and as a raw material is rapidly In 2011, the government asked the Academy a stepping stone to building capacity
expanding, alongside the requisite of Sciences and Humanities to convene a in advanced technology and opening
infrastructure. This is giving companies panel of experts to consider the full range of up opportunities for Israeli innovation
a competitive advantage by reducing implications of the most recent discoveries targeting the global oil and gas markets.
their energy costs and lowering of natural gas. The panel recommended
national emissions. encouraging research into fossil fuels, training Source: IEC (2014); EIA (2013)

422
 Israel

In order to reach these targets, the government has introduced unique high-tech industries in medical devices, electronics,
a national programme to reduce greenhouse gas emissions. telecommunications, computer software and hardware etc.
Its total budget for the period 20112020 amounts to (Trajtenberg, 2005). The massive Russian immigration of the
NIS 2.2 billion (US$ 0.55 billion); in 20112012, NIS 539 million 1990s reinforced this phenomenon, doubling the number of
(US$ 135 million) was allocated to the following measures: engineers and scientists in Israel overnight.

n Reduction of residential consumption of electricity;

Today, Israel has the worlds most R&D-intensive business
n Support for emissions reduction projects in the industrial, sector; in 2013, it alone performed 3.49% of GDP. Competitive
commercial and public sectors; grants and tax incentives are the two main policy instruments
supporting business R&D. Thanks to government incentives
n Support for innovative, environment-friendly Israeli
and the availability of highly trained human capital, Israel has
technologies (NIS 40million);
become an attractive location for the R&D centres of leading
n Promotion of green construction, green building codes multinationals. The countrys STI ecosystem relies on both
and related training; foreign multinationals and large corporate R&D investors, as
well as on start-ups (OECD, 2014).
n Introduction of educational programmes on energy
efficiency and emissions reduction; and
According to the Israel Venture Capital Database, 264 foreign
n Promotion of energy efficiency regulation and energy surveys. R&D centres are currently active in Israel. Many of these centres
are owned by large multinational firms that have acquired
In May 2013, the programme became a casualty of national Israeli companies, technology and know-how and transformed
budget cuts and was suspended for three years. It is scheduled them through mergers and acquisitions into their own local
to resume in 2016 for a period of eight years. In its first three research facilities. The activity of some R&D centres even
years of operation, the project generated NIS 830 million spans more than three decades, such as those of Intel, Applied
(US$207 million) in economic benefits: Materials, Motorola and IBM.

n A reduction of 442000 tons of greenhouse gases per year,

In 2011, foreign R&D centres employed 33700 workers through
with an annualized economic benefit of NIS 70 million;
local subsidiaries, two-thirds of whom (23700) worked in R&D
n A reduction in electricity generation of 235 million kWh (CBS, 2014). The same year, these R&D centres spent a total of
per year, with an annualized economic benefit of NIS 14.17 billion on R&D across the full spectrum of industry,
NIS 515 million; and up from 17% over the previous year.

n A reduction in pollutant emissions and consequential

A vibrant venture capital market
health problems valued at NIS 244 million.
Israels thriving start-up industry is complemented by a vibrant
venture capital market, which attracted US$ 2346 million in
In 2010, the government launched a voluntary greenhouse
2013 (IVC Research Centre, 2014). Over the past decade, the
gas emissions registry. As of 2014, the registry contained over
venture capital industry has played a fundamental role in
50 reporting organizations, which account for about 68%
the development of Israels high-tech sector. By 2013, Israeli
of Israels greenhouse gas emissions. The registry respects
companies had raised more venture capital as a share of GDP
international guidelines.
Chapter 16

than companies in any other country (Figure 16.12). Today,

Israel is considered one of the biggest centres for venture
capital in the world outside the USA.
TRENDS IN PRIVATE SECTOR R&D
An attractive destination for multinational companies Several factors have contributed to this growth. These include
Israels high-tech industries are a spin-off of the explosive tax exemptions on Israeli venture capital, funds established
development of computer science and technology in the 1980s in conjunction with large international banks and financial
in such places as Silicon Valley and Massachusetts Route 128 companies and the involvement of major organizations
in the USA, which ushered in the current high-tech era. Up desirous to capitalize on the strengths of Israeli high-tech
until that point, Israels economy had been essentially based companies (BDO Israel, 2014). These organizations include
on agriculture, mining and secondary sectors such as diamond some of the worlds largest multinational companies, including
polishing and manufacturing in textiles, fertilizers and plastics. Apple, Cisco, Google, IBM, Intel, Microsoft, Oracle Siemens
The key factor which enabled ICT-based high-tech industries and Samsung (Breznitz and Zehavi, 2007; IVC Research Centre,
to take root and flourish in Israel was the massive investment 2014). In recent years, the share of venture capital invested in
by the defence and aerospace industries, which spawned new the growth stages of enterprises has flourished at the expense
technologies and know-how. This formed the basis for Israels of early stage investments.

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UNESCO SCIENCE REPORT

Figure 16.12: Venture capital raised by Israeli funds, 2013

Per thousand units of GDP

9.08
8.42

5.85

3.68
2.97 2.89 2.75
2.40 2.30 2.16
1.76 1.64 1.54
l

m
UK

en

ce

nd

ay

l
s
ae

ga
nd
an
ar

-1

US
u

rw
an
ed

la
Isr

tu
nm

EU

gi

rm

rla
Fin
Fr

No
Sw

r
Be

Po
e
Ge
De

th
Ne
In US$ millions
2 500
2 076 2 135
1 944 2 296
2 000

1 500
1 122
1 250
1 000
2008 2009 2010 2011 2012 2013

Source: Eurostat, OECD (2014); Israeli Venture Capital Research Centre

Foreigners: nearly 80% of applications to Israel Patent Israel ranks tenth for the number of patent applications filed
Office with the United States Patent and Trademark Office (USPTO) by
Intellectual property rights in Israel protect copyright and country of residence of the first-named inventor (Figure 16.14).
performers rights, trademarks, geographical indicators, patents, Israeli inventors file far more applications with USPTO (5 436 in
industrial designs, topographies of integrated circuits, plant 2011) than with the European Patent Office (EPO). Moreover, the
breeds and undisclosed business secrets. Both contemporary number of Israeli filings with EPO dropped from 1400 to 1063
Israeli legislation and case law are influenced by laws and between 2006 and 2011.
practices in modern countries, particularly Anglo-American law,
the emerging body of EU law and proposals by international This preference for USPTO is largely due to the fact that foreign
organizations (OECD, 2011). R&D centres implanted in Israel are primarily owned by US
firms such as IBM, Intel, Sandisk, Microsoft, Applied Materials,
Israel has made a concerted effort to improve the economys Qualcomm, Motorola, Google or HewlettPackard. The inventions
ability to benefit from an enhanced system of intellectual of these companies are attributed to Israel as the inventor of the
property rights. This includes increasing the resources of patent but not as the owner (applicant or assignee).
the Israel Patent Office, upgrading enforcement activities
and implementing programmes to bring ideas funded by The loss of intellectual property into the hands of multinationals
government research to the market (OECD, 2011). occurs mainly through the recruitment of the best Israeli talent
by the local R&D centres of multinational firms. Although the
Foreigners account for nearly 80% of the patent applications Israeli economy benefits from the activity of the multinationals
filed with the Israel Patent Office since 2002 (Figure 16.13). subsidiaries through job creation and other means, the
A sizeable share of foreign applicants seeking protection from advantages are relatively small compared to the potential
the Israel Patent Office are pharmaceutical companies such as economic gains that might have been achieved, had this
F. Hoffmann-La Roche, Janssen, Novartis, Merck, Bayer-Schering, intellectual property been utilized to support and foster the
Sanofi-Aventis and Pfizer, which happen to be the main business expansion of mature Israeli companies of a considerable size
competitors of Israels own Teva Pharmaceutical Industries. (Getz et al., 2014; UNESCO, 2012).

424
 Israel

10 000

Figure 16.13: Domestic and foreign patent applications to the Israel Patent Office, 19962012

8 020
8 000 7 745
7 515
Foreign 7 249
Domestic 6 740 6 762 6 801 6 886 6 793
6 769
Total 6 487
6 265

6 000 5 895

4 811
4 571 6 347
4 485 6 207
5 948
5 800
5 250 5 381 5 272 5 390 5 523
4 000 5 008
4 883 6 019
4 463
3 121
3 381 3 134
3 256

1 804
2 000

1 437 1 490 1 432 1 479 1 529 1 567 1 673 1 539 1 449

1 229 1 430 1 317 1 381 1 382 1 379 1 363
774
0
1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

Source: Israel Patent Office

Figure 16.14: Israeli patent applications filed with USPTO, 20022012

By inventors country of residence, other countries with a similar population size are given for comparison
7 000
Israel 6 455

6 000

5 000
Switzerland 4 394
Chapter 16

4 000 Sweden 4 390

Netherlands 4 303

3 000 Finland 2 760

2 645
2 602
2 410 Belgium 2 211
2 338
2 000
1 811 Denmark 2 059
Austria 2 008
1 293
1 115
1 000 1 065

0
2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Note: The top two countries registered 268 782 (USA) and 88 686 (Japan) patents respectively in 2012. Israel ranked tenth worldwide.
Source: USPTO

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UNESCO SCIENCE REPORT

TRENDS IN SCIENTIFIC CO-OPERATION Science and Technology Foundation and the USIsrael Binational
Science foundation. The Israeli Industry Centre for R&D, which
Broad collaboration around the world falls under the Ministry of the Economy, implements bilateral
Israel collaborates in STI with a wide range of countries, co-operation agreements with various US federated states. The
regions and international organizations. The Israel Academy most recent agreements were concluded in 2011 with the State
of Sciences and Humanities has official agreements with of Massachusetts in life sciences and clean technology and with
38 institutions (mostly national academies) in 35 European the State of New York in energy, ICTs and nanotechnology.
countries, as well as with countries in North and South
America, the Indian subcontinent and Southeast Asia. Israels long-lasting collaboration with Germany continues to
grow. For example, the annual budget of the GermanIsrael
Israel has been associated with the EUs framework Foundation for R&D (GIF) increased by 4.8 million per year
programmes on research and innovation since 1996. between 2010 and 2012 and by 5 million per year from 2014
Between 2007 and 2013, Israeli public and private institutions to 2016. In the past two years, GIF has distributed about
contributed their scientific expertise to over 1500 projects. 12 million per year through the grants it provides to the
regular programme and the young scientists programme.
Israel also participates in other EU programmes, such as
those of the European Research Council or European Biology The Israeli Industry Centre for R&D supports co-operative
Laboratory. Israel joined the European Organization for projects through other binational funds, such as the
Nuclear Research (CERN) in 2014, after having participated in CanadaIsrael Industrial Research and Development
its activities since 1991 and becoming an associated member Foundation, the KoreanIsrael Industrial Research and
in 2011. Israel has been a Scientific Associate of the European Development Foundation and the SingaporeIsrael Industrial
Synchrotron Radiation Facility since 1999; the agreement was Research and Development Foundation.
renewed in 2013 for a fourth term of five years and notably
raised Israels contribution from 0.5% to 1.5% of ESRFs budget. In 2006, the Israeli and Indian ministers of agriculture signed a
Israel is also one of the ten founding members of the European long-term agreement for co-operation and training. This was
Molecular Biology Laboratory, which dates from 1974. followed two years later by a US$50 million shared agricultural
fund, focusing on dairy, farming technology and micro-irrigation.
In 2012, the Weizmann Institute of Science, together with Tel In 2011, Israel and India signed a co-operation agreement on
Aviv University, was chosen as one of the seven core centres urban water systems. In May 2013, the two countries signed an
of the new Integrated Structural Biology Infrastructure agreement for the establishment of 28 centres of excellence
(Instruct), joining prestigious institutions in France and in agriculture. The first 10 centres of excellence specialize in
Germany, Italy and the UK. Israel has been selected as one of mangoes, pomegranates and citrus fruits. They have been
the seven nodes of the European Strategy Forum of Research operational since March 2014 and are already offering farmers
Infrastructure, which is establishing about 40 such nodes free training sessions in efficient agricultural techniques such as
in total, seven of them in biomedical sciences. The aim of vertical farming, drip irrigation and soil solarization.
the biomedical Instruct is to provide pan-European users
with access to state-of-the-art equipment, technologies and In 2010, the Israeli Industry Centre for R&D established the
personnel in cellular structural biology, to enable Europe to ChinaIsrael Industrial Research and Development Cooperation
maintain a competitive edge in this vital research area. Programme. Industrial co-operation agreements have also
been signed with the provinces or municipalities of Jiangsu
Israel is also one of the nodes of Elixir, which orchestrates the (2008), Shanghai (2011) and Shenzhen (2011). The IndiaIsrael
collection, quality control and archiving of large amounts Industrial Research and Development co-operation framework
of biological data produced by life science experiments in (i4RD) was signed in 2005.
Europe. Some of these datasets are highly specialized and
were previously only available to researchers within the In 2012, the Israel Science foundation and the Natural Science
country in which they were generated. Foundation of China signed an agreement establishing a fund
for joint research co-operation. Current schemes involving
The USA is one of Israels closest partners in STI. Some Israeli academic institutions include the Tel Aviv University
collaborative projects are funded through binational funds such Tsinghua University initiative for the establishment of a joint
as the Binational Industrial Research and Development (BIRD) technological research centre in Beijing and the Technions
foundation, which awarded US$37 million in grant payments planned branch in Guangdong Province for studies in
for binational R&D projects from 2010 to 2014, according to the field of science and engineering. Within trilateral
its 2014 annual report. Other examples are the Binational co-operation, Israel, Canada and China established a joint hub
Agricultural Research and Development fund, the USIsrael in agricultural technologies in China in 2013 (see Box 4.1).

426
 Israel

Another example of trilateral co-operation is the Africa Sowwan from Al-Quds University. Their joint research project
Initiative signed by Israel, Germany and Ghana in 2012. The enabled Prof. Sowwan to establish the first nanotechnology
three implementing partners are the Israeli and German laboratory at Al-Quds University. IPSO had planned to issue
agencies for international development co-operation, Mashav a call for research proposals in late 2014, having raised about
and GIZ, and Ghanas Ministry of Food and Agriculture. The half of the requisite funding, but this call appears to have
aim is to develop a thriving citrus value chain in Ghana, in been delayed.
line with the ministrys policy of enhancing productivity to
improve the livelihoods of farmers.
CONCLUSION
In October 2013, the Israeli Minister of Agriculture signed
an agreement establishing a joint IsraeliVietnamese fund A need to prepare for tomorrows science-based
for agricultural R&D, together with a free-trade agreement industries
between the two countries. The Israeli economy is driven by industries based on
electronics, computers and communication technologies, the
Projects in the Middle East result of over 50 years of investment in the countrys defence
Israel participates in the intergovernmental project for a infrastructure. Israeli defence industries have traditionally
Synchrotron Light Source for Experimental Science and focused on electronics, avionics and related systems. The
Applications in the Middle East (SESAME), a third-generation development of these systems has given Israeli high-tech
synchrotron light source in Allan (Jordan) which functions industries a qualitative edge in civilian spin-offs in the
under the auspices of UNESCO. The current members of software, communications and Internet sectors.
SESAME are Bahrain, Cyprus, Egypt, Iran, Israel, Jordan, Pakistan,
the Palestinian Authority and Turkey. The SESAME facility is However, the next waves of high technologies are
expected to be fully operational by 2017 (see Box 17.3). expected to emanate from other disciplines, including
molecular biology, biotechnology and pharmaceuticals,
The Israeli Academic Centre in Cairo was initiated in 1982 nanotechnology, material sciences and chemistry, in intimate
by the Israel Academy of Sciences and Humanities. Funded synergy with ICTs. These disciplines are rooted in the basic
by the Council for Higher Education, it is entrusted with the research laboratories of universities rather than the defence
task of strengthening research ties between universities industries. This poses a dilemma. In the absence of a national
and researchers in Israel and Egypt. The centre operated policy for universities, let alone for the higher education
successfully until 2011 when the political climate in Egypt system as a whole, it is not clear how these institutions will
cooled towards Israel. Since that time, the centre has manage to supply the knowledge, skills and human resources
operated on a smaller scale. needed for these new science-based industries.

The Israel Academy of Sciences and Humanities and the There is no single umbrella-type organization that
International Continental Drilling Programme initiated a co-ordinates all of STI and formulates STI policy in Israel.
deep-drilling expedition to the Dead Sea in 2010. Researchers In order to safeguard the long-term relevance of Israeli
from six countries participated in this scientific project, which R&D and the countrys innovation capabilities, a holistic
was implemented jointly by Israel, Jordan and the Palestinian R&D framework and strategy should be implemented. This Chapter 16

Authority. framework should involve the various actors of the STI system:
the Office of the Chief Scientist in the Ministry of the Economy
The IsraeliPalestinian Medical and Veterinary Research and other government ministries, Israels research universities
Collaboration is one recent example of inter-university and research centres of excellence, its hospitals and academic
collaboration between Israel and the Palestinian Authority. medical centres and its corporate R&D laboratories.
This collaborative public health project between the Hebrew
University of Jerusalems School of Veterinary Medicine and The Sixth Higher Education Plan (20112015) sets out to
the Al Quds Public Health Society was launched in 2014 with improve the quality and competitiveness of the higher
funding from the Dutch Ministry of Foreign Affairs. education system. It contains important recommendations,
such as that of raising the number of academic staff by about
Also of note is the IsraeliPalestinian Scientific Organization 850 over the next six years and encouraging minorities to
(IPSO), a non-political, non-profit organization founded over study at university in anticipation of the looming shortage
a decade ago and based in Jerusalem. Among joint research of professionals in Israel. Enhancing the integration of ultra-
projects, one in nanotechnology stands out. It involved Israeli orthodox men and Arab women in the labour force and their
chemist Danny Porath at the Hebrew University of Jerusalem educational level will be vital to safeguard Israels growth
and one of his doctoral students, Palestinian chemist Mukhles potential in the years to come.

427
UNESCO SCIENCE REPORT

The Sixth Higher Education Plan sidesteps one key issue, however. REFERENCES
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Breznitz, D. and A. Zehavi (2007) The Limits of Capital:
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Globalization presents both tremendous challenges and Science and Technology Foundation.
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on delivering innovation and added value could give companies CBS (2014) Business Research and Development 2011,
a huge competitive advantage in the global market in the years Publication No. 1564. Israeli Central Bureau of Statistics.
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computational biology, tissue biology, biomaterials, system EIA (2013) Overview of Oil and Natural Gas in the Eastern
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These new interdisciplinary and converging fields are likely to DC.
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Regulatory and targeted policy measures should be formulated Elkin-Koren, N. (2007) The Ramifications of Technology
by the Israeli authorities to create the necessary infrastructure Transfer Based on Intellectual Property Licensing (in
to absorb the fruits of academic research in these fields and Hebrew). Samuel Neaman Institute: Haifa.
integrate, convert and adapt the fruits of this research to wider
economic and practical use. Fatal, V. (2013) Description and analysis of wage differentials
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KEY TARGETS FOR ISRAEL
Flug, K. (2015) Productivity in Israel - the Key to Increasing
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by each employee from PPP$ 63 996 in 2014 to Speech by the Governor of the Bank of Israel , Israel
PPP$ 82 247 by 2020; Economic Association Conference. Bank of Israel.
n Increase the number of university faculty by 15% and
Frenkel, A. and E. Leck (2006) Investments in Higher
the teaching staff of colleges by 25% by 2018;
Education and the Economic Performance of OECD
n Capture a 35% share of the US $250 billion global Countries: Israel in a Comparative Perspective (in Hebrew,
space market with a sales volume of US$5 billion by English abstract). Samuel Neaman Institute, Technion
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n Reduce electricity consumption by 20% between
Getz, D.; Leck, E. and A. Hefetz (2013a). R&D Output in Israel:
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a Comparative Analysis of PCT Applications and Distinct
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Getz, D.; Leck, E. and V. Segal (2014). Innovation of Foreign R&D UNESCO (forthcoming) Mapping Research and Innovation
Centres in Israel: Evidence from Patent and Firm-level data. in Israel. UNESCOs Global Observatory of STI Policy
Samuel Neaman Institute: Haifa. Instruments: Country Profiles in Science, Technology and
Innovation Policy, volume 5.
Getz,D.; Segal,V.; Leck,E. and I. Eyal (2010) Evaluation of the
Nofar Programme (in Hebrew). Samuel Neaman Institute: UNESCO (2012) The high level of basic research and innovation
Haifa. promotes Israeli science-based industries. Interview of
Professor Ruth Arnon. A World of Science, 10 (3) March.
Golovaty, J. (2006) Identifying Complementary Measures to Ensure
the Maximum Realisation of benefits from the Liberalisation Weinreb, G. (2013) Yeda earns $50100m annually. Retrieved
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IEC (2014) 2013 Annual Report. Tel-Aviv Stock Exchange. Israel fellow at the Samuel Neaman Institute for National
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Capital Raising. Israeli Venture Capital Research Centre. Chemistry from the Technion. She has represented the
See: www.ivc-online.com Technion and academia in the Magnet Consortia and
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economy. Final report by Applied Economics. The English Zehev Tadmor (b. 1937: Israel) is a distinguished
translation from Hebrew was published in 2014. Professor Emeritus and former Technion president.
Currently, he serves as the Chairman for the Board of the
Makov, I. (2014) Report of the Committee Examining Samuel Neaman Institute for National Policy Research
Government Support for Research and Development in Large at the Technion. Prof. Tadmor holds a PhD in Chemical
Companies (in Hebrew). See: www.moital.gov.il Engineering. He is a member of the Israel National
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Trajtenberg, M. (2005) Innovation Policy for Development: an

Overview STE-WP-34. Samuel Neaman Institute: Haifa.

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The Arab world needs more champions of

science and technology, including in the
political arena, to bring about the positive
change to which the region aspires.
Moneef R. Zoubi, Samia Mohamed-Nour,
Jauad El-Kharraz and Nazar Hassan

A computer image of office buildings to be constructed in Dubai

layer by layer using three-dimensional (3D) printing technology.
The furniture will also be printed. See Box 17.7 for details.
Image: courtesy of the Dubai Future Foundation

430
 The Arab States
17 . The Arab States
Algeria, Bahrain, Egypt, Iraq, Jordan, Kuwait, Lebanon, Libya, Mauritania, Morocco, Oman, Palestine, Qatar,
Saudi Arabia, Syria, Sudan, Tunisia, United Arab Emirates, Yemen

Moneef R. Zoubi, Samia Mohamed-Nour, Jauad El-Kharraz and Nazar Hassan

INTRODUCTION The Arab region: from hope to turmoil

The so-called Arab Spring was triggered by demonstrations
The global financial crisis has ricocheted on the region in Tunisia in December 2010. Popular unrest quickly spread
The Arab world1 is of strategic importance, owing to its location across the region, revealing a common aspiration towards
and wealth of oil and natural gas: 57% of the worlds proven oil freedom, dignity and justice (ESCWA, 2014a).
reserves and 28% of those for gas (AFESD et al, 2013).
Since December 2010, Arab countries have undergone
The tremors of the global financial crises of 2008 and 2009 and extraordinary transformations, including regime change in
the subsequent recession in most developed countries affected Egypt, Libya, Tunisia and Yemen and the descent of Syria into
Arab states in a variety of ways. The oil-exporting countries of civil war after what began as peaceful protests in the spring
the Gulf Cooperation Council felt such tremors, most being of 2011. Despite having elected parliaments, Jordan and
characterized by open financial and commercial systems with Bahrain also witnessed a series of demonstrations in favour
high exposure to global financial markets and close association of reform in 2011. In Jordan, the protests were essentially
with the global commodity markets (AFESD et al, 2010). Not directed against the failure of successive governments to
so countries such as Algeria, Libya, Sudan and Yemen, where address serious economic issues and combat unemployment.
local capital markets are not directly linked to global markets. In Bahrain, demonstrations were more political in nature and,
However, as their economies also rely on oil revenue, the Brent to some extent, sectarian.
crude price significantly affects their fiscal policy.
In part, the upheaval in the Arab world was a reaction by
In, Egypt, Jordan, Lebanon, Mauritania, Morocco, Syria and technology-savvy young Arabs to decades of political
Tunisia, where the banking sector is dependent on national stagnation and the failure of some Arab governments
borrowing sources, the economy was not directly affected to afford people adequate levels of socio-economic
by fluctuations in global capital markets. Such countries development. Within a couple of years, however, the failure
nevertheless felt these external economic shocks through their of the Arab Spring to deliver on its promises had left many
close association with the markets of developed countries disillusioned. One of the great beneficiaries of the Arab
and other major trading partners in the European Union (EU) Spring was the Muslim Brotherhood movement, which
and USA. Needless to say, their exports depend primarily on won the election in Egypt in mid-2012; barely a year later,
demand from the developed countries, in addition to income President Mohamed Morsi was deposed, following mass
from tourism, remittances from expatriate workers and foreign popular protests at the Muslim Brotherhoods failure to build
direct investment (FDI) flows (AFESD et al, 2010). a national consensus to address the countrys problems.
Since 2015, there have been repeated clashes between the
The inability of most Arab countries since 2008 to address government of President Abdel Fattah al-Sissi and the Muslim
socio-economic needs effectively and ensure that their Brotherhood, which is now considered a terrorist organization
economies have kept pace with population growth has created by the governments of several Arab and non-Arab countries,
widespread frustration. Even before the economic crisis of including Bahrain, Egypt, the Russian Federation, Saudi
2008, unemployment in the Arab world was high,2 at around Arabia, Syria and the United Arab Emirates. The Egyptian
12%. Young job seekers constitute over 40% of the regions government has, meanwhile, forged ahead with its ambitious
unemployed. Today, over 30% of the population of Arab states expansion of the Suez Canal (Box 17.1) and, in March 2015,
is aged less than 15 years. As of 2013, most Arab states had organized a major conference in Sharm El-Sheikh on the
Chapter 17

achieved a gross tertiary enrolment rate of more than 30% theme of economic development (see p. 435).
and even above 40% for Jordan, Lebanon, Palestine and Saudi
Arabia but they have failed to create the appropriate value Military spending is eating up resources for
chain of job openings required to absorb the spreading pool of development
graduates. Military spending in the Middle East increased by 4% in 2013
to an estimated US$ 150 billion. Saudi Arabias own budget
shot up by 14% to US$67billion, allowing it to leapfrog over
1. Although members of the League of Arab States, Djibouti and Somalia are profiled the UK, Japan and France to become the worlds fourth-
in Chapter 19 on East and Central Africa. largest military spender behind the USA, China and the
2. with a few exceptions, such as Kuwait, Qatar and the United Arab Emirates Russian Federation, according to the Stockholm International

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UNESCO SCIENCE REPORT

Box 17.1: Upgrading the Suez Canal

The Suez Canal provides a vital shipping and thereby cut the waiting time for ships (US$ 8.4 billion) had been raised,
link between Europe and Asia. On from 11 to 3 hours. The area around the according to the Egyptian central bank,
5 August 2014, Egyptian President canal (76000km) is being turned into an through the issuance of 500 million
Abdel Fattah Al-Sissi announced plans international industrial and logistics hub. shares reserved for Egyptians. The
for a new Suez Canal that would run in Officials expect the new development to government inaugurated the new canal
parallel to the current waterway. This was boost annual revenue from the canal, which on 6 August 2015.
to be the first major expansion of this vital is operated by the state-owned Suez Canal
trading route in its 145-year history. Authority, from US$ 5 billion at present Despite widespread acknowledgment
to US$ 13.5 billion. In October 2014, work that the project is an economic
The Egyptian plan to upgrade the Suez began on deepening the Suez Canal. necessity, some scientists fear that that it
Canal could raise its capacity from 49 could damage the marine ecosystem. A
to 97 passing ships a day by 2023. The Some shipping industry executives had group of 18 scientists from 12 countries
current Suez Canal, which connects the expressed doubts as to whether Egypt could published a letter in 2014 in the journal
Mediterranean with the Red Sea, can obtain sufficient funding to finish the project of Biological Invasions calling on the
mostly only facilitate one-way traffic on schedule. The Egyptian government Egyptian government to take steps to
and is too narrow at some points for was adamant that the project would not minimize any ecological damage.
vessels to pass one another. The new be dependent on foreign funding. By
canal is expected to solve this problem September 2014, the total amount needed Source: compiled by authors

Peace Research Institute3 (see also Figure 17.1) However, the The voice and accountability indicator over the past ten
largest increase in the region (27%) came from Iraq, which is years has been disappointing, according to Kaufmann et al.
reconstituting its armed forces. (2011; 2013). In 2013, the scores for the top five Arab states
(Tunisia, Lebanon, Morocco, Kuwait and Jordan) were low
The escalating pressures on Arab states, particularly those by international standards (between the 45th and 25th
related to security and counterterrorism including military percentiles). Algeria, Iraq, Libya and Palestine show some
confrontations with radical groups such as Al Qaida and improvement but, overall, 12 Arab states registered a decline
Daesh , have spurred the governments of these countries to in voice and accountability between 2003 and 2013, namely:
increase their own military spending. Algeria, Bahrain, Djibouti, Egypt, Jordan, Kuwait, Oman, Qatar,
Saudi Arabia, Sudan, Syria and the United Arab Emirates.
Still a long way to go to improve governance
There is little doubt that corruption has played a pivotal role An economic downturn in most Mashreq countries
in the outbreak of turmoil since 2010. Available estimates The countries of the Mashreq have a population of about
suggest that the smuggling of funds amounted annually to 196 million, or 53.4% of the Arab population. With the
US$ 2 billion in Egypt and US$ 1 billion in Tunisia, according exception of Iraq, they have few oil reserves. Thanks to
to the institution charged with monitoring the soundness of high commodity prices for oil, Iraq was able to weather
the global financial sector (Global Financial Integrity, 2013). the global financial crisis better than its neighbours. The
This amount represented 3.5% of Tunisias GDP and 2% of slump in Sudans economy in 2012, however, was more
Egypts in 2005. a consequence of the birth of South Sudan in 2011 and
subsequent skirmishes between the two Sudans than the
Government effectiveness has deteriorated in several Arab impact of global shocks.
countries. Kaufmann et al. (2013) found that, in the Arab
world, only the United Arab Emirates (UAE) and Qatar ranked In 2013, GDP per capita in the Mashreq countries, Egypt and
above the 80th percentile in 2013. Bahrain and Oman ranked Sudan was highest in Lebanon and lowest in Sudan. From
between the 60th and 70th percentiles and five countries 2008 to 2013, annual growth slowed in all the countries of this
between the 50th and 60th percentiles, namely, Jordan, group, even though it was less noticeable in Palestine in 2013.
Kuwait, Morocco, Saudi Arabia and Tunisia. Over the same period, unemployment rates changed little in
all but Egypt, where the slump in tourism and FDI following
the revolution in 2011 pushed up unemployment (Table 17.1).
3. See: www.sipri.org/media/pressreleases/2014/Milex_April_2014 (accessed With the return to stability, GDP growth recovered to 2.9% in
16 January 2015) 2014 and is expected to hit 3.6% in 2015. Economic growth

432
 The Arab States

Figure 17.1: Military expenditure in selected Arab states as a % of GDP, 20062013

15

Oman 11.3
11.0

10
Saudi Arabia 9.3

7.7

Algeria 4.8
UAE 4.7* Lebanon 4.4*
4.7 Mauritania 4.0
5 4.5*
4.4 Syria 4.1 Bahrain 3.9
3.6 Morocco 3.8
3.5
3.3 Iraq 3.6
3.2* Jordan 3.5
2.9
2.7 Libya 3.3 Kuwait 3.2
2.7 Yemen 2.9
2.6 4.5
1.8 Tunisia 2.0*
1.4 Egypt 1.7
1.0 Qatar 1.5

0
2006 2007 2008 2009 2010 2011 2012 2013

*SIPRI estimate

Note: The low figure for Egypt (1.7%) in 2013 only tells half the story, as it excludes the economic activities of the Egyptian armed forces and American aid, which cover
80% of military procurement (Gaub, 2014).

Source: Stockholm International Peace Research Institute database, accessed January 2015

in Jordan and Lebanon, in particular, has been affected by the slowed to 2.2% in Tunisia and even contracted by 11.6% in Libya
massive influx of Syrian refugees since 2011. (Table 17.1). However, unemployment rates have remained
unchanged, with variations from one country to another. Despite
Together with Egypt and Sudan, the Mashreq countries average growth of 5.9% between 2011 and 2013, Mauritanias
are considered reservoirs of human talent which supply unemployment rate was as high as 31% in 2013, indicating that
neighbouring states with teaching faculty, researchers growth had not been sufficient to provide much-needed jobs.
and both skilled and unskilled workers. Egypt, Iraq, Jordan,
Lebanon, Palestine,4 Sudan and Syria all boast relatively mature The Gulf States contribute nearly half of the Arab
higher education infrastructure that includes some of the worlds GDP
oldest universities in the Arab world, including the American The six Gulf States, which contribute about 47% of total Arab
University of Beirut (1866) and Cairo University (1908). GDP, are all economically dependent on oil. Some 75million
Chapter 17

people (including a sizeable foreign labour force) belong

The Arab Spring has left a big imprint on the Libyan to this group, representing around 20.4% of the Arab world
economy population in 2014 (Table 17.1).
Since 2008, the Maghreb countries have experienced mixed
fortunes. Whereas the economies of Algeria and Mauritania have In 2014, the economy slowed in Oman and Qatar, primarily as
maintained healthy growth rates, countries directly affected by a consequence of weaker exports and the drop in both private
the Arab Spring have witnessed a more negative trend. Growth consumption and investment. At the same time, Kuwait and
Saudi Arabia emerged from a period of economic contraction,
4. On 29 November 2012, the United Nations General Assembly voted to grant
Palestine non-member observer status at the United Nations. Palestine has been a
with several sectors showing signs of recovery, including
member of UNESCO since 31 October 2011. housing in Kuwait and banking in Saudi Arabia.

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UNESCO SCIENCE REPORT

Table 17.1: Socio-economic indicators for the Arab States, 2008 and 2013

GDP per GDP average Employment Unemployment

Population
capita annual rate (% of adult rate (% of labour
(000s) (current PPP$) growth ( %) population) force)
2008 2011
2008 2013 2008 2013 2010 2013* 2008 2013 2008 2013
Gulf States plus Yemen

Bahrain 1 116 1 332 40 872 43 824 4.4 3.7 63.9 65.0 7.8 7.4

Kuwait 2 702 3 369 95 094 85 660 -1

-2.4 6.1 66.0 66.3 1.8 3.1

Oman 2 594 3 632 46 677 44 052 6.4 2.2 52.1 59.9 8.4 7.9

Qatar 1 359 2 169 120 527 131 758 15.4 7.5 85.1 86.2 0.3 0.5

Saudi Arabia 26 366 28 829 41 966 53 780 5.9 6.0 48.6 51.8 5.1 5.7

United Arab Emirates 6 799 9 346 70 785 58 042 -1

0.0 2.7 74.0 76.9 4.0 3.8

Yemen 21 704 24 407 4 250 3 958 3.8 -3.2 40.6 40.3 15.0 17.4

Mashreq plus Egypt and Sudan

Egypt 75 492 82 056 9 596 11 085 5.7 2.0 43.9 42.9 8.7 12.7

Iraq 29 430 33 417 11 405 15 188 6.0 8.2 35.3 35.5 15.3 16.0

Jordan 5 786 6 460 10 478 11 782 5.0 2.7 36.6 36.3 12.7 12.6

Lebanon 4 186 4 467 13 614 17 170 9.1 1.7 43.2 44.4 7.2 6.5

Sudan 34 040 37 964 3 164 3 372 3.2 -6.5 45.3 45.4 14.8 15.2

Syria 20 346 40.1 10.9

West Bank & Gaza 3 597 4 170 3 422 4 921 -1 4.2 5.6 31.7 31.6 26.0 23.4

Maghreb

Algeria 35 725 39 208 11 842 13 304 2.4 3.0 37.9 39.6 11.3 9.8

Libya 5 877 6 202 27 900 21 397 3.6 -11.6 43.2 42.6 19.1 19.6

Mauritania 3 423 3 890 2 631 3 042 2.2 5.9 36.3 37.2 31.2 31.0

Morocco 30 955 33 008 5 857 7 200 4.7 4.0 46.2 45.9 9.6 9.2

Tunisia 10 329 10 887 9 497 11 092 3.9 2.2 40.9 41.3 12.4 13.3

+n/-n = data refer to n years before or after reference year.  * For Kuwait, Oman and United Arab Emirates, the years are 20112012.

Note: Palestine is designated as the West Bank and Gaza here, owing to data coverage issues.

Source: World Banks World Development Indicators, May 2015

The slump is hitting oil-rent economies hard As early as 1986, the Gulf Cooperation Council identified
The slump in global oil prices from US$115 in June 2014 economic diversification as a key strategic goal for its
to US$47 in January 2015 has been mending holes in the members. Whereas Saudi Arabia, the United Arab Emirates
budgets of Arab oil-importing countries such as Egypt, Jordan, and Qatar have since developed their non-oil sectors, Bahrain
Morocco and Tunisia. By contrast, it has punched holes in the and Kuwait are finding it harder to make the transition
budgets of oil-producing countries, including members of the (Al-Soomi, 2012). Some voices from within the subregion have
Organization of Petroleum Exporting Countries (OPEC) [Figure suggested transforming the Gulf Cooperation Council into a
17.2]. The slump has not affected the export growth of Bahrain regional socio-economic and political bloc modelled on the
and the United Arab Emirates as much as that of other Gulf European Union (OReilly, 2012).
states, thanks to their diversification of exports. In order to
diversify their own sources of income, other Arab governments The slump in oil prices comes at a particularly bad time for
will need to create a socio-economic environment in which all Iraq, which needs high oil revenue to revive its economy
active stakeholders can thrive, including the private sector. and combat terrorism, and for Libya which is facing internal

434
 The Arab States

instability and battling an insurgency by militia groups. primarily for projects related to crude oil and natural gas
Algeria raised its welfare spending in 2011 and now needs exploration and drilling.
oil prices at US$ 121 a barrel to avoid a budget deficit, the
International Monetary Fund estimates; it could slip into the In Egypt, FDI increased by 7% to US$4.1 billion between
red in 2015 for the first time in 15 years (Wall Street Journal, 2013 and 2014. The Sharm El-Sheikh Economic Development
2014). Oil and gas exports still represent two-thirds Conference organized by the government in 2015 attracted
of national income for Algeria (see Figure 18.1), which has a more than 1700 investors, as well as former British prime
tiny manufacturing sector (Figure 17.3). This said, Algeria minister Tony Blair, US Secretary of State John Kerry and the
may be less vulnerable the next time Brent crude prices International Monetary Funds managing director Christine
tumble. It is developing solar and wind energy for domestic Lagarde. By the conferences end, Egypt had attracted
consumption and export (see p.447). Global investment in US$36.2 billion in investment, plus US$ 18.6 billion in
renewable energy technologies increased by 16% in 2014, infrastructure contracts and US$ 5.2 billion in loans from
triggered by an 80% decrease in the manufacturing costs of international financial institutions.
solar energy systems.

FDI flows to the Arab world have slowed STI GOVERNANCE ISSUES
The economic fallout of the current upheaval has negatively
affected the flow of FDI into Arab states, not to mention their Bringing the business community in from the cold
tourism sector and real estate markets. Interestingly, the In March 2014, the Council of Ministers of Higher Education
drop in FDI appears to have begun before 2011 (Figure 17.4). and Scientific Research in the Arab World endorsed the draft
This can be traced back essentially to the global financial crisis Arab Strategy for Science, Technology and Innovation at its 14th
of 20072008, thought to have been the worst since congress in Riyadh (Saudi Arabia). The strategy has three main
the Great Depression of the 1930s. Countries less affected thrusts: academic training in science and engineering, scientific
by this turbulence, such as Algeria and Morocco, have seen research and regional and international scientific co-operation.
greater stability in FDI inflows but they also enjoyed modest One of the strategys key objectives is to involve the private
levels of foreign investment to begin with. There has been sector more in regional and interdisciplinary collaboration, in
a surge in the flow of FDI to Morocco for new projects to order to add economic and development value to research and
expand the railways and deploy renewable energy on make better use of available expertise. Up to now, STI policies
a massive scale. In Mauritania, FDI tends to be destined in Arab states have failed to catalyse knowledge production
effectively or add value to products and services because they
Figure 17.2: Estimated oil price needed to balance the focus on developing R&D without taking the business community
government budget in OPEC member states, 2014 on board. There has also been a lot of talk about re-orienting the
education system towards innovation and entrepreneurship
Iran 140
but little action thus far (Box 17.2). Of note are the recent higher
Venezuela 121 education reforms launched by Egypt and Tunisia.

Algeria 121
Tunisia and Saudi Arabia currently lead the Arab world in
Nigeria 119 electronics and the United Arab Emirates is investing heavily in
space technologies. In the field of renewable energy, Morocco
Ecuador 117 is a leader in hydropower. Algeria, Jordan, Morocco and Tunisia
Brent crude
Iraq 106 price on
are all developing solar energy. Egypt, Morocco and Tunisia
16 January 2015: have experience of wind energy that could benefit other
Angola 98 US$ 50 per barrel
countries keen to invest in this area, including Jordan, Libya,
Saudi Arabia, Sudan and the United Arab Emirates. Morocco
Saudi Arabia 93
Chapter 17

and Sudan are currently the main users of biomass.

Libya 90
The strategy proposes the following areas for co-operation:
Kuwait 75

UAE 70 n Development and management of water resources;

Qatar 65 n Nuclear energy, with applications in the health sector,

industry, agriculture, materials science, environment and
Source: adapted from Wall Street Journal (2014), based on data from the
nuclear energy production;
Government of Libya, Angolan Ministry of Finance, International Monetary
Fund, Arab Petroleum Investments Corp., Deutsche Bank
n Renewable energy: hydropower, solar, wind and biomass;

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UNESCO SCIENCE REPORT

Figure 17.3: GDP per economic sector in theFigure

Arab world,
27.6: Women
2013 orresearchers
closest year
(HC) in Southeast Asia,
Selected economies 2012 or closest year (%)
Head counts
Algeria 10.5 41.9 47.6

Egypt 14.5 46.3 15.6 39.2

Jordan 3.4 66.9 19.4 29.7

Lebanon 7.2 73.1 8.6 19.8

Mauritania 15.5 43.0 4.1 41.5

Morocco 16.6 54.9 15.4 28.5

West Bank and Gaza 5.3 69.6 16.2 25.1

Saudi Arabia 1.8 37.6 10.1 60.6

Sudan 28.1 50.2 8.2 21.7

Tunisia 8.6 61.4 17.0 30.0

United Arab Emirates 0.7 40.3 8.5 59.0

Agriculture Services Manufacturing as a subset of industry Industry

Note: For the West Bank and Gaza, data are for 2012. Palestine is designated as the West Bank and Gaza here, due to data coverage issues.

Source: World Banks World Development Indicators, January 2015

Figure 17.4: FDI inflow to selected Arab economies as a share of GDP, 20062013 (%)

15.75 15.32
15

12.27

10
9.42
9.34

Lebanon 6.83
5.87
5.77
5.75 Jordan 5.34
5 5.14
4.97 Sudan 3.27
4.86 Morocco 3.24
4.29 Bahrain 3.01
3.75 UAE 2.61
Tunisia 2.25
Syria 3.07 Egypt 2.04
1.98 Oman 2.04
1.57
Arab world 1.70
Saudi Arabia 1.24
0.59
0.38 Iraq 1.24
0 0.12 Kuwait 1.05
West Bank Algeria 0.80
& Gaza 1.59 Qatar -0.41
Yemen -0.37
2006 2007 2008 2009 2010 2011 2012 2013

Source: World Banks World Development Indicators, January 2015

436
 The Arab States

n Oil, gas and petrochemicals industries; The strategy also emphasizes public outreach by scientists5 and
greater investment in higher education and training to build a
n New materials;
critical mass of experts and staunch brain drain. It also advocates
n Electronics; involving scientists from the diaspora. It was originally due to be
adopted by ministers in 2011 but the timetable was perturbed
n Information technologies;
by the events of 2011.
n Space sciences: applications in navigation systems,
meteorology, irrigation, environmental monitoring, forest
Priorities: problem-solving research, scientific mobility
management, disaster risk management, urban planning,
and education
etc.;
In September 2013, ministers of research met in Morocco to
n Nanotechnology: applications in health and lay the foundations for a common research policy between
pharmaceuticsal fields, food industry, environment, the five countries of the Maghreb and five countries of the
desalination, energy production, etc.; Western Mediterranean: France, Italy, Malta, Portugal and
Spain. These ten countries have met regularly since 1990 to
n Agriculture, livestock and fisheries;
discuss a wide range of issues, from security and economic
n Industry and production; co-operation to defence, migration, education and renewable
energy but this was the first time that the 5+5 Dialogue, as
n Desertification, climate change and its impact on agriculture;

n Health sciences and biotechnology;

5. Tunisias first dinosaur exhibition opened at Tunis Science City in mid-2011,
with a focus on Saharan dinosaurs. The exhibition, which had taken two years to
n Future convergent technologies: bioinformatics,
prepare, was originally scheduled to run until August 2012. It proved so popular
nanobiotechnology, etc. that it was extended to mid-2013.

Box 17.2: Matching university curricula to market needs

The Network for the Expansion of colleges, as technicians are the group in nanosciences at each university.
Convergent Technologies in the which gives convergent technologies their The tuition fees have been greatly
Arab Region (NECTAR) was launched manufacturing edge. reduced to encompass only PSUs costs
by the UNESCO Cairo Office in June in administering the programme. The
2011 to help correct the mismatch The original plan was for professors from diploma certificate will be accredited by
between the skills companies seek and the USA to travel to Cairo to teach intensive PSU, whereas the masters programme
the programmes provided by most courses (3-4 weeks maximum) every year. will be accredited through participating
universities. After the Arab Spring, Cairo and other key universities in the Arab world.
cities came to be considered a security risk,
Biotechnology, nanotechnology, so the programme morphed into a virtual There should be strong demand for
ICTs and cognitive sciences are all education programme. The e-content NECTAR graduates from industries
convergent technologies which overlap has been developed by Pennsylvania such as pharmaceuticals, chemicals,
considerably. By developing linkages State University (PSU) and should be petrochemicals, oil production, opto-
between academia and industry in ready by August 2015. The courses will be electronics, electronics, information
these fields, NECTAR plans to reorient permanently accessible via PSUs portal, technology, fertilizers, surface coating,
academia towards problem-solving and with tutoring support on hand from the building technology, foodstuffs and
remove the barriers between disciplines professors who own the courses. This automotive.
that currently hinder innovation in the approach will guarantee continuity and
Arab world. greater equity for Arab universities in terms NECTAR organized a regional forum in
of access to the coursework. Cairo in November 2014 on the theme
Chapter 17

A top priority for NECTAR has been to of Galvanizing Science Education and
modernize the curricula of the Arab NECTAR has developed a virtual Higher Higher Education towards a Knowledge-
regions universities, in collaboration Industrial Diploma Certificate and a masters based Economy. Since the forum,
with renowned Arab scientists based degree in Applications of Nano-sciences. UNESCO has submitted a proposal to
at universities in the USA and in Egypt, Initially, both programmes will be used to the Egyptian government for a pilot
where the majority of specialists in train university teaching staff (mainly PhD- education programme which would
convergent technologies can be holders). These staff members will then stretch from the first year of primary
found in the Arab region. NECTAR serve as the core team for the development school to postgraduate levels.
targets both universities and technical of an undergraduate minor programme Source: Nazar Hassan, UNESCO

437
UNESCO SCIENCE REPORT

the regional forum is known, had focused on research and sweeping Jordanian universities, rectors are no longer certain
innovation. In the Rabat Declaration, ministers undertake to whether their institutions should aim to generate knowledge
facilitate training, technology transfer and scientific mobility (i.e. scientific publications) or transmit knowledge (i.e. teach).
by creating a specific visa for researchers; in parallel, the
Maghreb countries are encouraged to join European research Scientists under pressure to target international
programmes as a first step towards harmonizing national journals
policies and launching joint research projects. The pressure to publish in internationally recognized journals
discourages publication in local journals. Moreover, Arab
The declaration adopted by ministers meeting in Rabat a scientific journals suffer from fundamental problems, such as
year later at the Second6 Forum on Science, Technology and irregular periodicity and a lack of objective peer review. Many
Innovation in Africa reflects many of the concerns of the local periodicals are not regarded as credible vehicles for
Rabat Declaration: the need for a greater focus on applied obtaining an academic promotion even within the countries
research to solve practical problems related to sanitation, where they are published thus reinforcing the desire of
health, agriculture, energy and climate change; the catalytic many academics to publish in international peer-reviewed
role of public investment in fostering a strong private sector; journals whenever possible (ESCWA, 2014b).
the need to improve the teaching of science, technology,
engineering and mathematics and to facilitate the mobility of In 2010, the Egyptian Academy of Scientific Research
researchers. and Technology contacted a number of internationally
renowned journals to establish a checklist of the criteria an
Research takes a back seat in most universities article needed to meet to be accepted for publication. Five
A growing number of Arab governments are setting up years on, there has been a 200% increase in peer-reviewed
observatories to monitor their science systems, including publications, according to the academy.
in Egypt, Jordan, Lebanon, Palestine and Tunisia. When
studying the data collected, however, analysts often see In 2014, UNESCO and the Arab League Educational, Cultural
a direct correlation between the number of graduates or and Scientific Organization (ALECSO) decided to establish
faculty and the number of researchers. This is misleading, as an online Arab observatory of science and technology. The
many students and faculty members do not conduct research observatory will host a portal for research projects and an
and only a few actually publish in refereed journals listed inventory of Arab universities and scientific research centres,
by the Web of Science or Scopus and have international as well as patents, publications and masters and PhD theses
contacts. Many Arab universities are simply not research in digital format; scientists will be able to use the forum
universities. Moreover, until recently, the terms of reference to organize virtual conferences. The observatory will also
for a university professor in the Arab region did not include host national observatories for Arab states to facilitate an
research. interactive, semi-automated database of STI indicators.

The real test comes from counting the time spent effectively Lessons can be learned from the Tunisian experience
by an individual on research, as opposed to teaching or other Arab countries face a host of hurdles, including a lack of focus
tasks. It is rare for the actual research activity of teaching in research priorities and strategies, insufficient funding to
staff in government and most private universities to exceed meet research goals, little awareness of the importance of
510% of their total academic duties, compared to 3550% good scientific research, inadequate networking, limited
in European and American universities. A recent survey by collaborative efforts and brain drain. It is clear from available
the American University of Beirut shows that around 40% statistics that countries will need more sustained government
of academics time is spent on research; this translates into support in future, if they are to strengthen university research,
an average of two publications per year for each full-time overcome weak universityindustry linkages and give
equivalent (FTE) researcher (ESCWA, 2014a). university graduates the professional and entrepreneurial
skills to create viable national innovation systems.
In Jordan and many other Arab states, the bulk of scientific
research is carried out within a higher education system that There are lessons to be learned from the experience of Tunisia
is faced with its own problems, including scarce resources prior to December 2010 where, despite clear government
and burgeoning student numbers. With the ranking craze support for research and higher education, socio-economic
progress across the various strata of society had stalled and
6. The first took place in Nairobi in March 2012. It focused on STI for youth was failing to create jobs. This situation was at least in part a
employment, human capital development and inclusive growth. Both were consequence of the lack of academic freedom and the fact
organized by UNESCO, the Afrian Development Bank, United Nations Economic
Commission for Africa and African Union in association with the Association for the that allegiance to the regime was considered more important
Development of Education in Africa. than competence.

438
 The Arab States

TRENDS IN R&D Figure 17.5: GERD/GDP ratio in the Arab world, 2009
and 2013 or closest years (%)
Investment remains low but change is in the air
Gross domestic expenditure on research and development 2009 0.04
(GERD) as a percentage of GDP remains low in the Arab world. Bahrain
It is, of course, hard for wealthy oil-rent economies like the Gulf 2013 0.04

States to have a substantial GERD/GDP ratio, as GDP is so high.

The countries with the greatest R&D intensity are Libya and 2009 0.43
Morocco (Figure 17.5). Tunisia used to have the Arab worlds Egypt
2013 0.68
highest ratio but, after revising its national data, it published a
GERD/GDP ratio of 0.71% in 2009 and 0.68% in 2012. The R&D
2009 0.05
intensity of Egypt, Jordan and Sudan has been low for decades,
Iraq
despite a growing number of public and private universities. 2011 0.03
That appears to be changing in Egypt, the only country for
which there are recent data for this indicator: GERD reached
2008 0.43
an all-time high of 0.68% of GDP in 2013. Iraq, meanwhile, has Jordan
failed to use the windfall of high oil prices in recent years to
raise its own GERD/GDP ratio, which stood at about 0.03% in
2011. Most Arab States are still trailing fellow members of the
Organization of Islamic Cooperation for this indicator, including Libya
Malaysia (1.07% in 2011) and Turkey (0.86% in 2011). 2014 0.86

Although data on the type of R&D performed are only available 2009 0.11
Kuwait*
for a handful of countries, they suggest a heavy focus on applied
2013 0.30
research in the Arab world. In 2011, Kuwait invested the entirety
of GERD in applied research, compared to about two-thirds for
2006 0.64
Iraq and half for Qatar, according to the UNESCO Institute for
Morocco
Statistics. The remainder in Qatar was equally divided between 2010 0.73
basic research and experimental development. One-quarter of
investment (26.6% in 2011) in Qatar went to medical and health
2009 0.13
sciences. Oman
2013 0.17
The greatest researcher density: Jordan, Morocco and Tunisia
In a context of rapid population growth, the number of
researchers per million population is a more telling indicator of Qatar
progress than sheer numbers. With 1394 full-time equivalent 2012 0.47
(FTE) researchers per million inhabitants in 2012, Tunisia leads the
Arab world for this category, followed by Morocco (Figure 17.6). 2009 0.07
Jordan has a density of researchers similar to that of Tunisia Saudi Arabia*
(1 913 in head counts) but this figure dates from 2008.

Egypt and Bahrain close to gender parity 2009 0.71

Tunisia**
Egypt (43% women) and Bahrain (41%) are relatively close to
2012 0.68
gender parity (Figure 17.7). In the majority of other countries
Chapter 17

for which data are available, women make up between one

in three and one in five researchers. The notable exception is UAE
Saudi Arabia, where just 1.4% of researchers were women in 2011 0.49*
2009, although only the King Abdulaziz City for Science and
Technology was surveyed. A number of countries have been *estimation **based on national estimation

building up their researcher intensity in recent years, albeit Note: Data are partial for Bahrain (higher education only), Kuwait
from low levels. Palestine is remarkable, in this respect. Thanks (government sector only in 2009) and Saudi Arabia.

to the efforts of Palestinian universities, the government and Source: UNESCO Institute for Statistics, January 2015; for Sudan: Noor
(2012); for Oman: Al-Hiddabi (2014); for Libya: National Planning Council
the Palestine Academy of Science and Technology, 23% of
(2014) National Strategy for Science, Technology and Innovation
researchers were women by 2013.

439
UNESCO SCIENCE REPORT

In several countries, women represent more than four out of ten

Figure 17.7: Share of women Arab researchers, 2013 (%)
researchers employed in natural sciences (Kuwait, Egypt and Iraq)
Selected countries, in head counts
and medical and health sciences (Kuwait, Egypt, Iraq, Jordan and
Morocco). In Egypt, they have attained parity in social sciences Egypt (2013) 42.8
and humanities. Most of the small group of Saudi women
Bahrain* (2013) 41.2
researchers works in medical and health sciences (Table 17.2).
Kuwait* (2013) 37.3
The share of students graduating in S&T fields ranges from a
Iraq (2011) 34.2
low of 11% in Jordan to a high of 44% in Tunisia (Table 17.3).
Recent data available for ten countries reveal that women Morocco (2011) 30.2
represent between 34% and 56.8% of tertiary graduates in
science, engineering and agriculture, a relatively high ratio Oman (2013) 21.1

(Table 17.4). In science and agriculture, women have achieved Palestine (2013) 22.6
parity and even dominate these fields in most countries. They
remain a minority in engineering, with the notable exception Jordan (2008) 22.5
of Oman (Table 17.4). Qatar (2012) 21.9

Government expenditure on education represents a sizeable Saudi Arabia* (2009) 1.4

share of GDP in much of the Arab world. Moreover, most of *partial data
the countries for which data are available devote more than Note: For Bahrain, data only cover the higher education sector; for Kuwait
1% of GDP to higher education (Figure 17.8). and Saudi Arabia, data only cover the government sector.
Source: UNESCO Institute for Statistics, January 2015
Little business R&D
In many Arab states, the bulk of GERD is performed by one-third of GERD in Jordan, 30% in Morocco (2010), 29% in the
the government sector, followed by the higher education United Arab Emirates (2011), 26% in Qatar (2012) and 24% in
sector; the private sector assumes little or even no role in the Oman (2011). The figure is closer to 20% in Tunisia, according
research enterprise. In Egypt, for instance, the Academy of to the UNESCO Institute for Statistics. Business enterprises also
Scientific Research and Technology estimates that the private finance about 24% of GERD in Qatar and 20% in Tunisia.
sector contributes only around 5% of the countrys research
expenditure (Bond et al., 2012). Jordan, Morocco, Oman, The data for FTE researchers by sector of employment and
Qatar, Tunisia and the United Arab Emirates are exceptions to gender are scant for most Arab states. Available data for Egypt
the rule. Erawatch estimates that the private sector performs indicate that the majority of researchers were employed by

Figure 17.6: Arab researchers and technicians (FTE) per million inhabitants, 2013 or closest year
The total number of researchers is given in brackets
Technicians per million inhabitants Researchers per million inhabitants

Tunisia * (15 159)

-1 1 394

53 Morocco (27 714)

-2 864

192 Qatar (1 203)

-1
587

294 Egypt (47 652) 581

179 Palestine (2 492) 576

61 Iraq-2** (13 559) 426

20 Kuwait-1* (439) 135

397 Libya (1 140) 172

54 Oman (497) 137

10 Bahrain (67) 50
-n = n years before reference year
* based on national estimation Sudan (597) 19
** based on overestimated data
Note: For Bahrain, data only cover the higher education sector; for Kuwait, data only cover the government sector. Data are also partial for Moroccan technicians.
Source: UNESCO Institute for Statistics, January 2015; for Libya: Libyan Authority for Research, Science and Technology; for Sudan: National Research Centre

440
 The Arab States

Table 17.2: Arab researchers (HC) by field of employment, 2013 or closest year (%)
Selected economies

Engineering and Medical and Agricultural

Natural sciences Social sciences Humanities Unclassified
Year technology health sciences sciences
Total Women Total Women Total Women Total Female Total Women Total Women Total Women
Gulf States plus Yemen
Kuwait 2013 14.3 41.8 13.4 29.9 11.9 44.9 5.2 43.8 8.8 33.4 13.3 35.6 33.2 36.5
Oman 2013 15.5 13.0 13.0 6.2 6.5 30.0 25.3 27.6 24.3 23.7 13.2 22.1 2.2 33.3
Qatar 2012 9.3 21.7 42.7 12.5 26.0 27.8 1.6 17.9 14.3 34.6 4.8 33.7 1.3 31.8
Saudi Arabia* 2009 16.8 2.3 43.0 2.0 0.7 22.2 2.6 0.0 0.5 36.4
Mashreq and Egypt
Egypt 2013 8.1 40.7 7.2 17.7 31.8 45.9 4.1 27.9 16.8 51.2 11.4 47.5 20.6 41.0
Iraq 2011 17.7 43.6 18.9 25.7 12.4 41.4 9.4 26.1 32.3 35.7 9.3 26.7 0.0 28.6
Jordan 2008 8.2 25.7 18.8 18.4 12.6 44.1 2.9 18.7 4.0 29.0 18.1 32.3 35.3 10.9
Palestine 2013 16.5 10.9 5.8 4.8 27.7 34.2 0
Maghreb
Libya 2013 14.3 15.0 17.0 18 24.4 0.1 11.5 0.1 2.0 20.0 12.4 20.0 32.4 20.0
Morocco 2011 33.7 31.5 7.6 26.3 10.4 44.1 1.8 20.5 26.1 26.6 20.4 27.8 0 0

* government researchers only

Note: For Bahrain, data only cover the higher education sector. For Egypt, the distribution of researchers is only available for the higher education sector; data related
to the government sector are unclassified.

Source: UNESCO Institute for Statistics (UIS), June, 2015; for Libya: Libyan Authority for Research, Science and Technology

Table 17.3: Arab tertiary graduates in science, engineering and agriculture, 2012 or closest year

Science, engineering Engineering, manufacturing

Science Agriculture
and agriculture and construction
Share of total (%)

Share of total (%)

Share of total (%)

Share of total (%)

Total (all fields)

Share of science,

Share of science,

Share of science,
engineering and

engineering and

engineering and
agriculture (%)

agriculture (%)

agriculture (%)
Number

Number

Number

Number
Year

Algeria 2013 255 435 62 356 24.4 25 581 41.0 10.0 32 861 52.7 12.9 3 914 6.3 1.5

Egypt 2013 510 363 71 753 14.1 21 446 29.9 4.2 38 730 54.0 7.6 11 577 16.1 2.3

Jordan 2011 60 686 7 225 11.9 3 258 45.1 5.4 2 145 29.7 3.5 1 822 25.2 3.0

Lebanon 2011 34 007 8 108 23.8 3 739 46.1 11.0 4 201 51.8 12.4 168 2.1 0.5

Morocco 2010 75 744 27 524 36.3 17 046 61.9 22.5 9 393 34.1 12.4 1 085 3.9 1.4

Palestine 2013 35 279 5 568 15.8 2 832 50.9 8.0 2 566 46.1 7.3 170 3.1 0.5

Qatar 2013 2 284 671 29.4 119 17.7 5.2 552 82.3 24.2 0 0.0 0.0
Chapter 17

Saudi Arabia 2013 141 196 39 312 27.8 25 672 65.3 18.2 13 187 33.5 9.3 453 1.2 0.3

Sudan 2013 124 494 23 287 18.7 12 353 53.0 9.9 7 891 33.9 6.3 3 043 13.1 2.4

Syria 2013 58 694 12 239 20.9 4 430 36.2 7.5 6 064 49.5 10.3 1 745 14.3 3.0

Tunisia 2013 65 421 29 272 44.7 17 225 58.8 26.3 11 141 38.1 17.0 906 3.1 1.4

UAE 2013 25 682 5 866 22.8 2 087 35.6 8.1 3 742 63.8 14.6 37 0.6 0.1

Source: UNESCO Institute for Statistics, July 2015

441
UNESCO SCIENCE REPORT

Table 17.4: Share of Arab female graduates in science, Figure 17.8: Arab government expenditure on education
engineering and agriculture, 2014 or closest year (%) as a share of GDP (%)
Sudan (2009) 2.2

Science, engineering
Qatar (2008) 2.4

and agriculture
Bahrain (2012) 2.6
Engineering

Agriculture
Country

Science

Lebanon (2013) 0.74 2.6

Year

Egypt (2008) 3.8

Bahrain 2014 66.3 27.6 0.0 42.6 Mauritania (2013) 0.46 4.0

Jordan 2011 65.2 13.4 73.4 51.9 Oman (2009) 1.13 4.2

Algeria (2008) 1.17 4.3

Lebanon 2011 61.5 26.9 58.9 43.5
Yemen (2008) 4.6
Oman 2013 75.1 52.7 6.0 56.8
Jordan (2008) 4.9
Palestine 2013 58.5 31.3 37.1 45.3
Iraq (2008) 5.1

Qatar 2013 64.7 27.4 0.0 34.0

Saudi Arabia (2008) 5.1

Saudi Arabia 2013 57.2 3.4 29.6 38.8 Syria (2009) 1.24 5.1

Sudan 2013 41.8 31.8 64.3 41.4 Tunisia (2012) 1.75 6.2

Morocco (2013) 1.11 6.3

Tunisia 2013 63.8 41.1 69.9 55.4
Expenditure on higher education Expenditure on education
UAE 2013 60.2 31.1 54.1 41.6 as a share of GDP (%) as a share of GDP (%)

Source: UNESCO Institute for Statistics, July 2015; for Iraq and Jordan:
Source: UNESCO Institute for Statistics, July 2015 UNDP (2009) Arab Knowledge Report, Table 5-4, p. 193.

the higher education sector (54%) in 2013 and the remainder Interestingly, two oil-rent economies published the most
by government (46%), although the business sector was not scientific articles per million inhabitants in 2014. Along with
surveyed (ASRT, 2014). In Iraq, as many as eight out of ten Egypt, their output has also grown faster than that of any
(83%) researchers are working in academia. other country in recent years. Qatar and Saudi Arabia also
have the regions highest citation rate (Figure 17.10).
In Egypt, medical and health sciences occupy the greatest
number of researchers, a reflection of the countrys priorities. Two-thirds of articles produced by scientists in the Arab world
In Kuwait and Morocco, the majority of researchers are between 2008 and 2014 were co-authored with international
working in the natural sciences (Table 17.2). In Oman in 2011, partners. Egypt, Saudi Arabia and the USA tend to be the
the majority of researchers were social scientists, whereas closest collaborators but Chinese scientists have also become
Qatari researchers tend to be most numerous in engineering a key partner for Iraq, Qatar and Saudi Arabia (Figure 17.10). It
and technology. Interestingly, one-third of Palestinian is worth noting that the Thomson Reuters selection of Highly
researchers worked in the humanities in 2011, the highest Cited Researchers of 20147 lists only three Arab scientists
ratio among Arab states. whose first affiliation is with a university in the Arab world.
They are Prof. Ali H. Nayfeh (University of Jordan and Virginia
Morocco leads for high-tech exports, Qatar and Saudi Tech), Prof. Shaher El-Momani (University of Jordan and
Arabia for publications King Abdulaziz University in Saudi Arabia) and Prof. Salim
Given the modest role played by the private sector in the Arab Messaoudi (Algeria), a faculty member of King Fahd University
world, it is hardly surprising that the share of high-tech products of Petroleum and Minerals in Saudi Arabia.
in manufactured exports is low, particularly for Gulf states
(Figure 17.9). Morocco tops the region for high-tech exports and
comes second only to Egypt for patents (Table 17.5). 7. http://highlycited.com/archive_june.htm

442
 The Arab States

Table 17.5: Patent applications in Arab states, 20102012

Patent applications residents Patent applications non-residents Total patent applications

2010 2011 2012 2010 2011 2012 2010 2011 2012
Egypt 605 618 683 1 625 1 591 1 528 2 230 2 209 2 211
Morocco 152 169 197 882 880 843 1034 1 049 1 040
Saudi Arabia 288 347 643 643 931 990
Algeria 76 94 119 730 803 781 806 897 900
Tunisia 113 137 150 508 543 476 621 680 626
Jordan 45 40 48 429 360 346 474 400 394
Yemen 20 7 36 55 37 49 75 44 85
Lebanon 0 0 0 13 2 2 13 2 2
Sudan 0 0 0 0 1 0 0 0 0
Syria 0 0 0 1 0 0 1 0 0

Source: WIPO statistics database, December 2014; Thomson Reuters Web of Science, data treatment by Science-Metrix

Figure 17.9: High-tech exports from the Arab world, 2006, 2008, 2010 and 2012
As a share of manufactured exports (%)

9.79

Morocco 7.69

6.68

Tunisia 4.89

UAE 3.20 Oman 3.39

3
2.76
Lebanon 2.01 Jordan 2.50
1.87
Chapter 17

1.62
1.23
0.94
0.80 Syria 1.3
0.61 Sudan 0.70
0.55 Kuwait 0.52 Egypt 0.58
0.51 Saudi Arabia 0.56
0.34 Algeria 0.50
0.31 Yemen 0.22
0.06 Bahrain 0.15
0 0.01 Qatar 0.04
2006 2008 2010 2012

Source: United Nations Statistics Division, July 2014

443
Figure 17.10: Scientific publication trends in the Arab States, 20052014
The Arab States
Strong growth in Saudi Arabia, Egypt and Qatar
Saudi Arabia
10 898

10 000

Egypt 8 428
8 000

6 000

4 000

2 919 Tunisia 3 068

2 000
1 362

1 214

0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
2 500

Algeria 2 302

2 000

Morocco 1 574
1 500
UAE 1 450

Qatar 1 242
Jordan 1 093
Lebanon 1 009
1 000 990

Iraq 841
795

641
530 Kuwait 604
526 Oman 591
500 462
283
168
120 Sudan 309
109 Syria 229
93 Yemen 202
89 Libya 181
72
70 Bahrain 155
41 Mauritania 23
0 27 Palestine 14

444
Qatar, Saudi Arabia and Tunisia have the highest
publication intensity
Publications per million inhabitants in 2014
548
67.2%
Average share of papers with
foreign co-authors in the Arab States,
20082014; the G20 average is 24.6%

371

276

203
174
154 151 146
115
101
58 47
29 24 10 8 8 6 3
Qatar

Saudi Arabia

Tunisia

Lebanon

Kuwait

UAE

Oman

Jordan

Bahrain

Egypt

Algeria

Morocco

Libya

Iraq

Syria

Sudan

Yemen

Mauritania

Palestine
The Arab States publish most in life sciences, followed by engineering and chemistry
Cumulative totals by field, 20082014

Algeria 26895 945 1 586 393 3 177 708 974 451 2 194 7
29

Bahrain 63 124 29 19 136 50 17 244 8 121 6

7

1 338 36
Egypt 185 6 653 7 036 608 5 918 2 141 1 126 8 346 72 3 968 96

96 9 236 317 57 502 213 61 438 5 343 2

Iraq 6

14
Jordan 387 14 770 693 339 1 029 448 385 1 255 235 559 51

Kuwait 465 566 281 175 717 215 208 873 23 155 11
21
127 795 302 214 593 290 162 1 905 70 301 951
Lebanon 20

21 162 124 12 115 93 19 153 1 53 2

Libya 1 3

Mauritania 8 35 18 5 28 4 21 1

243 1 049 1 382 133 923 836 800 1 870 6 1 436 13

Morocco 26 36

2
Oman 106 15 432 254 73 488 354 127 526 20 229 10

6
Palestine 3 31 80 13 56 23 9 32 2 81 1

20 588 266 147 689 92 125 786 25 433 4

Qatar 48 26

705 5 376 5 656 1 105 5 491 1 731 2 805 5 490 80 3 484 38

Saudi Arabia 226 83

258 406 117 14 165 123 14 339 4 167 2

Syria 18

Sudan 141 27 389 131 17 70 72 10 427 6 60 2

Chapter 17

10

18
Tunisia 1 081 40 3 808 1 706 442 2 436 1 516 1 184 2 573 6 1 485 117

97 960 547 380 1 743 433 260 1 390 30 433 16

UAE 28 41

Yemen 23 2 130 82 24 83 63 38 172 3 106 4

Agriculture Astronomy Biological sciences Chemistry Computer science Engineering Geosciences

Mathematics Medical sciences Other life sciences Physics Psychology Social sciences

Note: The totals do not include unclassified publications, which make up a sizeable share in some cases: Saudi Arabia (8 264), Egypt (6 716), Tunisia (2 275),
Algeria (1 747), Jordan (1 047), Kuwait (1 034) and Palestine (77).

445
UNESCO SCIENCE
Figure 17.10 (continued)REPORT

Qatar and Saudi Arabia have the highest citation rate

Average citation rate for publications, 20082012 Share of papers among 10% most-cited, 20082012 (%)

Qatar 1.01 Qatar 11.5

Saudi Arabia 0.96 Saudi Arabia 10.8
Sudan 0.85 Lebanon 7.9
Lebanon 0.78 UAE 7.7
UAE 0.78 Yemen 7.7
Yemen 0.78 Mauritania 7.5
Syria 0.75 Egypt 6.5

G20 average: 1.02%

G20 average: 10.2%

Jordan 0.74 Oman 6.3
Egypt 0.73 Syria 6.2
Mauritania 0.73 Kuwait 6.1
Oman 0.73 Morocco 5.9
Kuwait 0.68 Sudan 5.9
Algeria 0.66 Jordan 5.9
Morocco 0.64 Algeria 5.2
Tunisia 0.63 Libya 4.7
Libya 0.58 Tunisia 4.5
Palestine 0.56 Bahrain 3.8
Iraq 0.53 Palestine 3.8
Bahrain 0.50 Iraq 3.7
0.0 0.2 0.4 0.6 0.8 1.0 0 2 4 6 8 10 12

China has become a key collaborator for Iraq, Qatar and Saudi Arabia
Main foreign partners, 20082014

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Algeria France (4 883) Saudi Arabia (524) Spain (440) USA (383) Italy (347)
Bahrain Saudi Arabia (137) Egypt (101) UK (93) USA (89) Tunisia (75)
Egypt Saudi Arabia (7 803) USA (4 725) Germany (2 762) UK (2 162) Japan (1 755)
Iraq Malaysia (595) UK (281) USA (279) China (133) Germany (128)
Jordan USA (1 153) Germany (586) Saudi Arabia (490) UK (450) Canada (259)
Kuwait USA (566) Egypt (332) UK (271) Canada (198) Saudi Arabia (185)
Lebanon USA (1 307) France (1277) Italy (412) UK (337) Canada (336)
Libya UK (184) Egypt (166) India (99) Malaysia (79) France (78)
Mauritania France (62) Senegal (40) USA (18) Spain (16) Tunisia (15)
Morocco France (3 465) Spain (1 338) USA (833) Italy (777) Germany (752)
Oman USA (333) UK (326) India (309) Germany (212) Malaysia (200)
Palestine Egypt (50) Germany (48) USA (35) Malaysia (26) UK (23)

Qatar USA (1 168) UK (586) China (457) France (397) Germany (373)
Saudi Arabia Egypt (7 803) USA (5 794) UK (2 568) China (2 469) India (2 455)
Sudan Saudi Arabia (213) Germany (193) UK (191) USA (185) Malaysia (146)
Syria France (193) UK (179) Germany (175) USA (170) Italy (92)
Tunisia France (5 951) Spain (833) Italy (727) Saudi Arabia (600) USA (544)
United Arab
USA (1 505) UK (697) Canada (641) Germany (389) Egypt (370)
Emirates
Yemen Malaysia (255) Egypt (183) Saudi Arabia (158) USA (106) Germany (72)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

446
 The Arab States

COUNTRY PROFILES BAHRAIN

A need to reduce dependency on oil

ALGERIA Bahrain has the smallest hydrocarbon reserves
of any Gulf state, producing just 48000 barrels per day
Diversifying the national energy mix from its one onshore field (Salacanin, 2015). The bulk of the
In 2008, Algeria adopted a plan to optimize countrys revenue comes from its share of the offshore field
its national innovation system. Piloted by the Ministry of administered by Saudi Arabia. The gas reserve in Bahrain is
Higher Education and Scientific Research (MoHESR), the expected to last for less than 27 years, leaving the country
plan proposed a reorganization of science, coupled with with few sources of capital to pursue the development of new
the development of infrastructure, human resources and industries.
research, as well as greater scientific co-operation and
funding. Algeria devoted just 0.07% of GDP to GERD in 2005; The Bahraini Economic Vision 2030 does not indicate how the
although these data are partial, they suggest an extremely stated goal of shifting from an economy built on oil wealth to
low R&D intensity in the years prior to the plans adoption. a productive, globally competitive economy will be attained.

The National Commission for the Evaluation of Permanent Apart from the Ministry of Education and the Higher
Researchers was launched in 2000 to give scientists a Education Council, the two main hives of activity in STI are
boost by allocating more financial resources to research the University of Bahrain and the Bahrain Centre for Strategic,
and introducing incentives for them to make better use of International and Energy Studies. The latter was founded in
the results of their research. The aim was also to enhance 2009 to undertake research with a focus on strategic security
collaboration with the Algerian diaspora. The commission and energy issues to encourage new thinking and influence
met for the 12th time in February 2012. More recently, policy-making.
MoHESR has announced plans to establish a national
academy of sciences in 2015. The University of Bahrain was established in 1986. It has
over 20000 students, 65% of whom are women, and around
Algerian scientists published most in engineering and 900 faculty members, 40% of whom are women. From 1986 to
physics between 2008 and 2014. Their output has 2014, university staff published 5500 papers and books. The
progressed steadily, doubling between 2005 and 2009 then university spends about US$ 11 million per year on research,
again between 2010 and 2014 (Figure 17.10). Over the seven which is conducted by a contingent of 172 men and
years to 2014, 59% of Algerian scientific papers had foreign 128 women.
co-authors.
New infrastructure for science and education
Although Algeria is Africas third-biggest oil producer In November 2008, an agreement was signed by the Bahraini
(see Figure 19.1) and the worlds tenth-biggest producer government and UNESCO to establish a Regional Centre for
of natural gas, the countrys known gas reserves could Information and Communication Technology in Manama
be exhausted within half a century, according to British under the auspices of UNESCO. The aim is to establish
Petroleums Statistical Review of World Energy in 2009 a knowledge hub for the six member states of the Gulf
(Salacanin, 2015). Like its neighbours Morocco and Tunisia, Cooperation Council. In March 2012, the centre hosted two
Algeria is diversifying its energy mix. Sixty solar and wind high-level workshops on ICTs and education.
projects have been approved within the countrys Renewable
Energy and Energy Efficiency Programme, which was In 2013, the Bahrain Science Centre was launched as an
adopted in March 2011 and revised in 2015. The aim is for interactive educational facility targeting 618-year olds.
40% of electricity for national consumption to be produced The topics covered by current exhibitions include junior
Chapter 17

using renewable energy sources by 2030. Up to 22000 MW engineering, human health, the five senses, Earth sciences
of power-generating capacity from renewable sources will and biodiversity.
be installed between 2011 and 2030, 12000 MW to meet
domestic demand and 10000 MW destined for export. In In April 2014, Bahrain launched its National Space Science
July 2013, Algeria signed a memorandum of understanding Agency. The agency is working to ratify international space-
with the EU in the field of energy which includes provisions related agreements such as the Outer Space Treaty, the
for the transfer of technology to Algeria for both fossil fuels Rescue Agreement, the Space Liability Convention, the
and renewable energy. Registration Convention and the Moon Agreement. The
agency will be establishing sound infrastructure for the
observation of outer space and the Earth. It also hopes to

447
UNESCO SCIENCE REPORT

Figure 17.11: Internet access and mobile phone subscriptions in Arab states, 2013
Per 100 inhabitants
200

190.3 Internet access

Mobile phone subscriptions

176.5
171.9
165.9

165.0
150
154.6
152.6

141.8
128.5

121.5

115.6
100

102.5
102.0

96.1
90.0

88 .0

80.6
85.3

73.7

72.9
75.5

69.0
70.5

66.5

56.0
50
60.5

56.0

49.6

46.6

44.2

43.8

26.2

22.7

20.0

16.5

16.5

6.2
9.2
0
Bahrain

UAE

Qatar

Kuwait

Lebanon

Oman

Saudi Arabia

Morocco

Egypt

Palestine

Jordan

Tunisia

Syria

Sudan

Yemen

Algeria

Libya

Iraq

Mauritania
Source: International Telecommunications Union, February 2015

build a science culture within the kingdom and encourage national sovereignty and building a knowledge economy
technological innovation, among other goals. that supports researchers and inventors (Article 23).8

Bahrain tops the Arab world for internet penetration, trailed For decades, science and technology in Egypt were highly
by the United Arab Emirates and Qatar (Figure 17.11). Internet centralized and dominated by the public sector. R&D was
access has gone up tremendously in all Gulf States. Just half carried out mostly by state-run universities and research centres
of Bahrainis and Qataris (53%) and two-thirds of those in the supervised by the Ministry of Higher Education and Scientific
United Arab Emirates (64%) had access in 2009, compared Research, which split into the Ministry of Higher Education
to more than 85% in 2013. At the other end of the scale, and the Ministry of Scientific Research (MoSR) in 2014. Egypts
fewer than one person in ten had internet access in Iraq and research centres used to be scattered across different ministries
Mauritania in 2013. but they are currently being reorganized under the umbrella
of the Supreme Council of Scientific Research Centres and
Institutes, in order to improve co-ordination.
EGYPT
The UNESCO Science Report 2010 had recommended that
Revolutionary fervour has spilled over into Arab states establish national STI observatories. The Egyptian
science Science, Technology and Innovation Observatory was
Current national policy documents in Egypt all consider launched in February 2014 to provide advice on policy-
science and technology to be vital for the countrys making strategies and resource allocation through data
future. The Constitution adopted in 2014 mandates the collection and reporting on the development of national S&T
state to allocate 1% of GDP to R&D and stipulates that the capacities. The observatory is hosted by Egypts Academy
state guarantees the freedom of scientific research and
encourages its institutions as a means towards achieving 8. See: http://stiiraqdev.wordpress.com/2014/03/15/sti-constitutions-arab-countries/

448
 The Arab States

of Scientific Research and Technology. It published its

first data collection in 2014 (ASRT, 2014). The observatory Figure 17.12: Egyptian student enrolment in public
did not collect data for the business enterprise sector but universities, 2013 (%)
By field of education
nevertheless reported a rise in GERD from 0.43% to 0.68% of Engineering
Natural sciences sciences
GDP between 2009 and 2013. The observatory also reports
22 000 FTE researchers in government research institutes
and 26 000 at public universities. Just over half of Egypts Medical
Humanities 6 and health
42 universities (24) are public institutions but these also 9 sciences
account for three-quarters of university enrolment. 20

12
A reform to produce market-ready graduates
Public expenditure on higher education stands at the
acceptable level of 1% of GDP, compared to an average 2013 2
of 1.4% for OECD countries. This corresponds to 26% of
the total public spending on education, close to the OECD
average of 24%. Nonetheless, most of these resources cover
administrative costs, in particular the salaries of academic
and non-academic staff, rather than going on educational 51

programmes. This practice has created a legacy of outdated

Agricultural
equipment, infrastructure and learning materials. The Social sciences sciences
amount spent on each student averages just US$ 902 (23% of
GDP per capita), just one-tenth of the US$ 9984 (37% of GDP Source: ASRT (2014)
per capita) spent on each student in OECD countries.

Universities offer a minimum degree course of four years and A stronger focus on technical and vocational education
there tends to be a high ratio of students to staff, especially The plan aims to improve access to technical education
in humanities and social sciences which attract seven out within universities, ensure quality assurance, raise the
of ten Egyptian students (Figure 17.12). The proportion of level of educational services, link the output of the higher
female university graduates in tertiary education has inched education system with labour market requirements and make
closer to gender parity in recent years but only in urban universities more international. Recently, the government
areas. The urbanrural gender divide is still alive and well. has begun preparing for the introduction of preferential
admission criteria for promising students. This should
Technical colleges offer a two-year programme of study improve the flexibility of their academic pathways.
in a number of specializations, including manufacturing,
agriculture, commerce and tourism. A few technical colleges Zewail City of Science and Technology revived
provide five-year courses leading to advanced diplomas but The Nile University is Egypts first research university.
these technical diplomas lack the social status of university Founded in 2006 by the non-profit Egyptian Foundation for
degrees. Whereas 60% of secondary school pupils are Technology Education, this private institution was built on
channelled towards technical and vocational secondary the outskirts of Cairo on land gifted by the government. In
schools, almost 95% of enrolment in post-secondary May 2011, the caretaker government reassigned the land
technical colleges comes from general secondary schools; and buildings to the Zewail City of Science and Technology
this leaves many pupils from technical and vocational and declared the complex a National Project of Scientific
secondary schools with no prospects for further education. Renaissance (Sanderson, 2012).
Chapter 17

The government has announced a US$ 5.87 billion reform The Zewail City of Science and Technology project had been
plan for higher education to produce market-ready lying dormant ever since its mentor, Nobel Prize laureate
graduates able to contribute to a knowledge economy. The Ahmed Zewail, presented the concept to President Mubarak
plan runs from 2014 to 2022 and will be implemented in in 1999. The project was later revived, in recognition of the
two phases. The plan is financed by the new constitutional fact that Egypt would only be able to develop a knowledge
entitlements that require the state to allocate at least 4% of economy if it could foster a technopreneurship culture led
the budget to education, 2% to higher education and 1% to by projects such as Zewails. In April 2014, President Al-Sissi
scientific research (Articles 1921 of the 2014 Constitution); decided to allot 200 acres to the Zewail City of Science and
it will also entail legislative reform to improve governance Technology for its permanent campus in the Sixth of October
mechanisms. city, situated about 32 km from central Cairo. Once completed,

449
UNESCO SCIENCE REPORT

Zewail City for Science and Technology9 will havefive n A national innovation funding agency should be set up
constituents: a university, research institutes, a technology to support private sector research and publicprivate
park, an academy and a centre for strategic studies. co-operation, with the provision of competitive funding
being its core task;
The Academy of Scientific Research and Technology (ASRT)
n The Egyptian Science, Technology and Innovation
was founded in 1972. This non-profit organization is affiliated
Observatory should consider it a priority to obtain
with the Ministry of Higher Education and Scientific Research
information on both public and private sector investment
(MoHSR), born of the merger with the Ministry of Higher
in R&D; current data on GERD and researchers need to be
Education in September 2015. It is not an academy of sciences
subjected to critical analysis to ensure their reliability; the
in the conventional sense of the word as, until 2007, it
establishment of a panel of independent international
controlled the budget for R&D in universities and research
experts could help with this critical analysis; and
centres. Today, it acts as a think-tank and policy advisor to the
ministry and co-ordinates the countrys research programmes. n The Ministry of Scientific Research should develop
close ties to the Ministry of Higher Education. The
In early 2015, the Ministry of Scientific Research (MoSR) began shortfall in scientific research is also reflected in the non-
putting the final touches to Egypts Strategy for Science, contextualization of learning materials in tertiary curricula.
Technology and Innovation. In February 2015, UNESCO
provided the ministry with technical assistance in organizing a
Policy Dialogue on STI in the presence of international experts. IRAQ
A report commissioned subsequently by UNESCO proposed a
series of recommendations for nurturing scientific research in Scientific research inscribed in the
Egypt (Tindemans, 2015). These include: Constitution
Once a regional powerhouse of R&D, Iraq has lost its
n A platform should be established at cabinet level with institutional and human capital to successive wars since 1980
stakeholders from the economy and society to devise a and the subsequent exodus of its scientists. Since 2005, the
vision and strategy for enhancing the role played by STI in Iraqi government has been seeking to restore the countrys
socio-economic development; proud heritage. Iraqs Constitution of 2005 stipulates that the
State shall encourage scientific research for peaceful purposes
n In order to improve the monitoring and co-ordination of
that serve humanity and shall support excellence, creativity,
policy implementation and facilitate evaluation, MoSR
innovation and different aspects of ingenuity (Article 34).
should play a decisive role in the budgetary cycle for the
institutes under its supervision and should publish each
In 2005, UNESCO began helping Iraq to develop a Master Plan
year a comprehensive overview of public and private sector
for Science, Technology and Innovation that would ultimately
expenditure on R&D; the ministry should also head a high-
cover the period 20112015, in order to revive the economy
level permanent committee of civil servants from ministries
in the aftermath of the US-led invasion in 2003 and to address
entrusted with responsibility for collecting and validating
pressing social needs such as poverty and environmental
basic information on the national innovation system;
degradation. Following an analysis of the strengths and
n The Ministry of Scientific Research should develop close ties weaknesses of different sectors, UNESCO accompanied
to the Ministry of Industry of Trade; Iraq in preparing a Framework and Agenda for Action (2013)
to complement the countrys National Development Plan
n Parliament should adopt a legal framework for scientific
for the years 20132017 and to set the stage for a more
research comprised of both generic and more specialized laws;
comprehensive STI policy.
n Patent law should be less rigid to favour innovation;
In 2010, the Universities of Baghdad, Basra and Salahaddin
n Government departments need to be much more
province joined the Avicenna Virtual Campus for Science and
knowledgeable about the needs and aspirations of
Technology. This gives them access to the teaching materials
the private sector; they need to engage in much closer
produced by other members of the UNESCO network,10 which
collaboration with the Industrial Modernization Centre,
the Iraqi universities can then enrich with their own content.
the Federation of Egyptian Industries;
Further expansion of the Avicenna network within Iraq has
n ASRT and MoSR should set up a framework to promote been perturbed by the occupation of swaths of Iraqi territory
industrial innovation and co-operation by firms with by the Daesh terrorist group.
universities and government research institutes;
10. Avicenna also involves universities from Algeria, Cyprus, Egypt, France, Italy,
9. see: www.zewailcity.edu.eg Jordan, Lebanon, Malta, Morocco, Palestine, Spain, Syria, Tunisia, Turkey and the UK.

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On 20 June 2014, Iraq launched its first satellite for For over six years, the Higher Council for Science and
environmental monitoring. TigrisSat was launched from a Technology has been involved in a project that is setting up
base in the Russian Federation. The satellite is being used an Observatory of Science, Technology and Innovation, in
to monitor sand and dust storms in Iraq, as well as potential collaboration with the United Nations Economic and Social
precipitation, vegetative land cover and surface evaporation. Commission for Western Asia (ESCWA). The observatory
will maintain the countrys first comprehensive database of
domestic R&D and is to be hosted by the council.
JORDAN
In 2013, the Higher Council for Science and Technology
Plans for an observatory of STI published the National Innovation Strategy, 20132017, which
Jordans Higher Council for Science and had been prepared11 in collaboration with the Ministry of
Technology (est. 1987) is an independent public body that Planning and International Co-operation with the support of
acts as a national umbrella organization forscientific research. the World Bank. Targeted fields include energy, environment,
It is the Higher Council for Science and Technology which health, ICTs, nanotechnology, education, engineering
drew up the first national policy for science and technology in services, banking and clean technologies.
1995. In 2013, it completed the national Science, Technology
and Innovation Policy and Strategy (20132017), which has Revival of two research funds
seven broad objectives. These are to: Jordans Scientific Research Support Fund12 was revived in
2010 after being instituted in 2006. Administered by the
n incite the government and the scientific community to Ministry of Higher Education and Scientific Research, it finances
adopt the R&D priorities for developing a knowledge investment in human resources and infrastructure through
economy identified by the council and the Scientific competitive research grants related to ecological water
Research Support Fund in 2010 in Defining Scientific management and technological applications. The fund backs
Research Priorities in Jordan for the Years 20112020; entrepreneurial ventures and helps Jordanian companies to
solve technical problems; it also encourages private bodies to
n generalize a science culture in the education system;
allocate resources for R&D and provides university students
n harness R&D to development; with scholarships based on merit. So far, the fund has provided
13million Jordanian dinars (circa US$18.3 million) to finance
n build knowledge networks in science, technology and
R&D projects in Jordan, 70% of which has been used to fund
research;
projects in energy, water and health care.
n adopt innovation as a key stimulus for investment
opportunities; The revamped Scientific Research Support Fund is also
intended to streamline the activities supported by the Fund
n translate the results of R&D into commercial ventures; and
for Scientific Research and Vocational Training (est. 1997).
n contribute to excellence in training and skills acquisition. This fund was launched partly to ensure that all public share-
holding Jordanian companies either spent 1% of their net
The Higher Council for Science and Technology has identified profits on research or vocational training within their own
five domains in which projects are to be implemented to structure or paid an equivalent amount into the fund for
operationalize the policy: the institutional framework; policies redistribution for the same purpose. The problem was that
and legislation; STI infrastructure; human resources; and the the definition of what constituted research and vocational
STI environment. An analysis of the national innovation system training was too broad. As a result, new regulations were
revealed that research was making an insufficient contribution adopted in 2010 to clarify the terms and provide for the
to economic growth and to solving chronic problems, such as collection of the 1% to be spent on R&D.
those related to water, energy and food. For the 20132017
Chapter 17

period, some 24 projects have been proposed at a projected Jordan is home to the King Abdullah II Design and
cost of around US$14 million that is still to be allocated by Development Bureau (KADDB), an independent government
the government. These include a review of the national STI entity within the Jordanian Armed Forces that develops
policy, institutionalizing innovation, developing incentive defence products and security solutions for the region.
schemes for researchers and innovators, founding technology KADDB works with Jordanian universities to help students
incubators and setting up a research database. A unit is to be tailor their research projects to KADDBs needs.
created within the Higher Council for Science and Technology
specifically for expatriate Jordanian scientists. The council is 11. Despite the similarity in name, this document differs from the Science,
responsible for implementing, following up and evaluating all Technology and Innovation Policy and Strategy (20132017).
24 projects, along with relevant ministries. 12. See: www.srf.gov.jo

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Box 17.3: SESAME project soon to light up the region

Jordan is home to the regions Synchrotrons have become an aegis of UNESCO as a co-operative
first major interdisciplinary science indispensable tool for modern science. intergovernmental venture by the
centre, the Synchrotron-light There are some 50 such storage-ring- scientists and governments of the region
for Experimental Science and based synchrotron light sources in use in which it is located. Its governance is
Applications in the Middle East around the world. The majority are found assured by the SESAME Council.
(SESAME), which houses the highest in high-income countries but Brazil (see
energy accelerator in the Middle East. Box 8.2) and China also have them. The SESAME members are Bahrain,
Cyprus, Egypt, Iran, Israel, Jordan,
Synchrotrons work by accelerating By early 2017, construction of the storage Pakistan, the Palestinian Authorityand
electrons around a circular tube ring will have been completed and the Turkey. There are also observers: Brazil,
at high speed, during which time SESAME laboratory and its two beamlines China, the European Union, France,
excess energy is given off in the will be fully operational, making it the first Germany, Greece, Italy, Japan, Kuwait,
form of light. By focusing this intense synchrotron light source in the region. Portugal, the Russian Federation, Spain,
light, the tiniest structures can be Already, scientists are visiting SESAME for Sweden, Switzerland, the UK and USA.
mapped in great detail. The light their work, thanks to the Fourier Transform
source acts like a super X-ray machine Infrared microscope that has been in Alongside its scientific aims, SESAME
and can be used by researchers to operation there since August 2014. promotes solidarity and peace in the
study everything from viruses and region through scientific co-operation.
new drugs to novel materials and Construction of the centre began in 2003. Source: Susan Schneegans, UNESCO
archaeological artefacts. SESAME has been established under the See: www.sesame.org.jo/sesame

Jordan has hosted the ESCWA Technology Centre since its significant economic value; in parallel, Kuwaits dependence
inception in 2011. The centres mission is to assist member on oil revenue has grown. Kuwait was a regional leader in
countries and their public and private organizations to science and technology and higher education in the 1980s
acquire the necessary tools and capabilities to accelerate but has been losing ground ever since. The World Economic
socio-economic development. Forums 2014 Global Competitiveness Report reveals a
significant deterioration in many STI-related indicators.
Jordan also hosts the the Synchrotron-light for Experimental
Science and Applications in the Middle East (SESAME), which Besides the Ministry of Education and the Ministry of Higher
should be fully operational by 2017 (Box 17.3). Education, the three major players in science in Kuwait are
the Kuwait Foundation for the Advancement of Sciences,
Kuwait Institute of Scientific Research and Kuwait University.
KUWAIT The Kuwait Foundation for the Advancement of Sciences
developed a new plan in 20102011 to mobilize financial
A difficult transition and human resources, in order to reinvigorate both the
The contribution of most non-oil economic government and private sectors, with a concomitant desire
sectors in Kuwait declined after the Iraqi invasion in to improve public understanding of science.
1990, especially after hundreds of companies and foreign
institutions, including banking and investment brokers, The Kuwait Institute of Scientific Research (est. 1967)
moved their operations elsewhere in the region. The carries out applied research in three broad fields: oil,
economic slowdown was mainly due to the flight of capital water, energy and construction; environment and life
and the cancellation of important development projects sciences; and techno-economics. It also advises the
like the petrochemical project with the Dow Chemical government on research policy. In recent years, the
Company, which filed a lawsuit against Kuwait demanding institute has emphasized scientific excellence, a client
compensation of US$ 2.1 billion. In May 2012, Dow Chemical focus, achieving international technological leadership, the
won the case, thus increasing Kuwaits financial losses commercialization of research results and the establishment
(Al-Soomi, 2012). of new centres. The current eighth strategic plan covering
20152020 focuses on technology roadmapping to develop
In the past few years, there have been some missed system solutions for selected technologies in oil, energy,
opportunities to implement development projects of water and life sciences.

452
 The Arab States

The Kuwait University Research Sector supports faculty themes. It also introduced new programmes to boost
initiatives in basic and applied research and in humanities. innovation and capacity-building, joint PhD programmes
It offers research grants within a number of funding schemes and established the basis for Lebanese participation in key
and finances a joint research programme in the area of Euro-Mediterranean projects.
natural resources development with the Massachusetts
Institute of Technology in the USA. For its part, the Kuwait The policy also identified a series of national priority
University Research Park has a more commercial focus. research programmes inspired by the work of specialized
It aims to lay the foundations for innovation and spin-off task forces:
technologies with scope for industryresearch linkages and
n Information technology (IT) deployment in the enterprise
potential for patenting and marketing. Faculty researchers
sector;
have made headway; they announced the acquisition of six
US patents during the 2010/2011 academic year, two new n Web and Arabized software technologies;
patent awardees the following year and four in 2012/2013.
n Mathematical modelling, including financial/economic
applications;

LEBANON n Renewable energy sources: hydro-electric, solar, wind;

n Material/Basic sciences for innovative applications;

Three instituitions dominate research
Despite the existence of over 50 private n Sustainable management of coastal areas;
universities and one public one, most research13 in Lebanon is
n Integrated water management;
carried out by just three institutions: the Lebanese University,
Saint-Joseph University and the American University of Beirut. n Technologies for new agricultural opportunities,
On occasion, these three institutions collaborate with one of including the medicinal, agricultural and industrial use of
the four research centres managed by the National Council local plant biodiversity;
for Scientific Research (CNRS, est. 1962) and/or the Lebanese
n Nutritional food quality;
Agricultural Research Institute.
n Research in subfields of molecular and cellular biology;
Lebanon counts several NGOs active in science, including
n Research in clinical sciences;
the Arab Academy of Sciences (est. 2002) and the Lebanese
Association for the Advancement of Science (est. 1968). The n Forging links between practitioners of medical and health
Lebanese Academy of Sciences was created by government sciences, social sciences and paramedical professions.
decree in 2007.
An observatory of STI
As there is no ministry in charge of national policy-making The CNRS has incorporated these R&D priorities into its
in science and technology, the CNRS is considered as the own research grant programme (Figure 7.13). Moreover, as
main umbrella organization for science and the government follow-up to the Science, Technology and Innovation Policy,
advisor in this field, under the authority of the prime minister. it embarked on establishing the Lebanese Observatory
The CNRS fulfils an advisory function, drawing up the general for Research, Development and Innovation (LORDI) in
outline of Lebanons national science policy. It also initiates, 2014 with support from ESCWA, in order to monitor key
encourages and co-ordinates research projects. It is also indicators of R&D input and output. Lebanon participates
responsible for managing the Centre for Geophysics, the in a platform linking Mediterranean observatories of STI.
Centre for Marine Sciences, the Centre for Remote Sensing This co-operative platform was set up by the Mediterranean
and the Lebanese Atomic Energy Commission. Science, Policy, Research and Innovation Gateway (Med-
Spring project) within the EUs Seventh Framework
Chapter 17

In 2006, the CNRS finished drafting the national Science, Programme for Research and Innovation (20072013).
Technology and Innovation Policy with support from
UNESCO and ESCWA.14 The policy introduced new funding Lebanons first comprehensive energy strategy
mechanisms for research and encouraged researchers from In November 2011, the Lebanese Council of Ministers officially
various institutions to work together under the umbrella adopted the National Energy Efficiency Action Plan for the years
of an associated research unit on major multidisciplinary 20112015. This plan had been developed by the Lebanese
Centre for Energy Conservation, the technical arm of the Ministry
13. http://portal.unesco.org/education/en/files/55535/11998897175Lebanon.pdf/ of Energy and Water in the areas of energy efficiency, renewable
Lebanon.pdf energy and green buildings. This is the first comprehensive
14. UNESCO has an office in Beirut and ESCWA is hosted by Lebanon. strategy in energy efficiency and renewable energy for a country

453
UNESCO SCIENCE REPORT

Despite immigrant labour, the Libyan economy was also

Figure 17.13: Distribution of research grants by the characterized by a relatively low economic participation
Lebanese National Council for Scientific Research,
rate of around 43% of the adult population between 2008
20062010 (%)
and 2013 (Table 17.1). Moreover, in its Rapid Assessment of
Basic & the Libyan Labour Market in 2012, the World Bank estimated
Human and social engineering
sciences sciences
that 83% of employees were working in government or
and ICTs government-owned enterprises.
Agricultural
sciences 9
The extreme degree of state control was also reflected in
38 Libyas STI environment. Between 2009 and 2013, every
9 single researcher in Libya was employed by the government
sector, according to the Libyan Authority for Research,
Science and Technology, although it does not survey the
20062010
business enterprise sector. According to the same source, the
number of FTE researchers rose over this period from 764 to
17
1 140, representing a leap from 128 to 172 FTE researchers
per million inhabitants, even if this remains a low ratio for a
high-income country like Libya. Despite the turmoil, Libyan
Environment 27
researchers managed to increase their annual output from
& natural
resources 125 to 181 papers between 2009 and 2014, according to the
Medical & biological sciences Web of Science. There are no available data but the Libyan oil
industry is known to conduct research on its own behalf.
Source: presentation by the Lebanese National Council for Scientific
Research (CNRS) to a meeting of the Mediterranean network of
observatories of STI, December 2013 Political fragmentation delaying recovery
Libyas first post-revolution national elections in July 2012
that depends on imports for 95% of its energy requirements. formally transferred power from the National Transitional
The plan is a Lebanese version of the Arab Energy Efficiency Council to the General National Congress in August 2012.
Guidelines developed by the League of Arab States and Soon afterwards, the country descended into armed conflict.
comprises 14 national initiatives designed to help Lebanon The Council of Deputies (parliament) was formed after the
reach its target of 12% renewable energy by 2020. June 2014 elections and is recognized as the legitimate
government of Libya by the international community.
Currently, it meets in virtual exile in Tobruk, near the
LIBYA Egyptian border. Meanwhile, the countrys constitutional
capital, Tripoli, is held by supporters of a New General
The legacy of extreme state control still National Congress composed of Islamists who fared poorly
visible in the low-turnout elections. In Benghazi and elsewhere, the
In the four decades preceding the 2011 uprising, the Libyan climate of insecurity has delayed the start of the school and
economy had drifted towards near-complete state control. academic years.
Private property ownership and private enterprise in sectors
such as retail and wholesale trading were severely curtailed Initially, disruptions to oil production caused a 60%
by law, while uncertainty over tax and regulatory regimes contraction in GDP in 2011 but the economy recovered
prevented the development of economic activity beyond remarkably quickly, rebounding by 104% in 2012. The
the oil sector; today, this sector is still officially controlled deteriorating security situation since, coupled with protests
by the National Oil Corporation, which mimics a ministry, at oil terminal cities since the second half of 2013, have
in addition to being a regulatory agency and state-owned augmented macro-economic instability, causing GDP to
company. Mining and quarrying represented 66% of GDP contract by 12% in 2013 and the fiscal balance to plummet
in 2012 and 94% of government revenue a year later (AfDB, from a surplus of 13.8% in 2012 to a deficit of 9.3% in 2013
2014). (AfDB, 2014). Private sector activity remains subdued,
given the current political uncertainty, exacerbating weak
This economic and intellectual suffocation led to large- regulatory and institutional conditions and restrictive
scale brain drain, making Libya dependent on a sizeable regulations that limit job creation. Libyas development
immigrant population to drive highly skilled sectors, among potential has been further weakened by new laws passed in
others. There are currently an estimated 2 million foreign 2013 limiting foreign ownership of companies to 49% (down
workers in Libya, most of whom are illegal (ETF, 2014). from 65% under earlier legislation).

454
 The Arab States

Returning Libyans could help to rebuild higher A national strategy for STI
education In October 2009, the Libyan Ministry of Higher Education and
Once security returns, Libya can hope to tap into its large Scientific Research launched the first programme to provide
oil wealth to begin building its national innovation system. Libyan researchers with direct funding. The aim of this
Priority areas should include strengthening the higher ongoing programme is to disseminate a research culture in
education system and wooing talented Libyans living abroad. Libyan society, including both the government and business
enterprise sectors. The programme disbursed more than
According to the Libyan Authority for Research, Science US$ 46 million between 2009 and 2014.
and Technology, there were an estimated 340 000 tertiary
students in 2013/2014 (54% female), down from 375 000 in In December 2012, the ministry established a national
2003. This compares with an 1825-year cohort in excess of committee to lay the foundations of a national innovation
600 000, according to the UNESCO Institute for Statistics. A system, under the stewardship of the Libyan Authority for
development plan for 20082012 with a budget of US$2 billion Research, Science and Technology and in collaboration
had envisaged the creation of 13 new universities, on top of the with all economic sectors. The committee prepared a draft
existing 12. While much of the physical infrastructure has since National Strategy for Science, Technology and Innovation
been built, the upheavals since 2011 have prevented these new and instigated several prizes: students from the countrys
universities from opening their doors. main universities competed in the first round of the
entrepreneurship prize supported by the British Council
Returning Libyan brains could potentially play a major role in in the 2012/2013 academic year and in the first round of the
rebuilding the Libyan higher education system, with the right innovation prize in the 2013/2014 academic year.
incentives. Currently, an estimated 17 500 Libyans are pursuing
postgraduate studies abroad, compared to 22 000 within the The National Strategy for Science, Technology and Innovation
country. According to the Libyan higher education authorities, was approved by the Libyan National Planning Council in
there were approximately 3000 Libyan students enrolled in June 2014. The strategy fixes some long-term targets, such
postgraduate studies at British universities alone and almost as that of raising GERD to 2.5% of GDP by 2040 (Table 17.6).
1500 in North America in 2009. Anecdotal evidence suggests It also foresees the establishment of centres of excellence,
that the security situation has since triggered a fresh exodus smart cities, business incubators, special economic zones
of talent: the number of Libyan students enrolled in Malaysian and technology parks, as well as the creation of an STI
universities, for instance, grew by 87% between 2007 and 2012 information database. Science and technology are to be
from 621 to 1 163 (see Figure 26.9). harnessed to ensure sustainable development and security.

Table 17.6: Libyan targets for STI to 2040

2014 2020 2025 2030 2040

FTE researchers per million inhabitants 172 -1

5 000 6 000 7 500 10 000

GERD/GDP ratio (%) 0.86 1.0 1.5 2.0 2.5

Number of patents 0 20 50 100 200

Number of published journals 25 100 200 500 1 000

Number of research proposals 188 350 650 1 250 2 250

Number of SMEs specializing in STI 0 10 50 100 200

Share of private sector expenditure on R&D in GERD (%) 0 10 15 20 30

Chapter 17

Private sector income from R&D (% of GDP) 0 1 5 10 30

Share of technological products in exports (%) 0 5 10 15 40

Number of PhD students 6 000 8 000 10 000 8 000 8 000

Innovation score ( Global Innovation Index ) 135 90 70 50 30

Global Competitiveness Index (World Economic Forum) 3.5 3.7 3.9 4.0 4.5

-n = n years before reference year

Source: Libyan National Planning Council (2014) National strategy for Science, Technology and Innovation

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UNESCO SCIENCE REPORT

R&D priorities have yet to be identified but, according to the physical infrastructure, as well as on improving the
strategy, should focus on problem-solving research, Libyas co-ordination of private sector development policies,
contribution to international knowledge production and education reform and trade and foreign investment
on diversifying Libyas technological capabilities through policies. Reforms will also need to build strong productive
investment in such areas as solar energy and organic capacities in agriculture and fisheries, the mining industry
agriculture. and services sector, in order to take advantage of any
improvement in macro-economic conditions.

MAURITANIA New institutions and a plan for higher education

Mauritanias first tertiary institution, the National School
Towards a national strategy for STI of Administration, dates back to 1966; it was followed by
The main finding of the Science Technology and the National School of Higher Studies (cole nationale
Innovation Policy Review of Mauritania15 undertaken by the suprieure) in 1974 and the University of Nouakchott in
United Nations Conference on Trade and Development 1981. Between 2008 and 2014, the government licensed
and UNESCO in 2010 was that current capabilities were three private tertiary colleges and founded the Institute
inadequate to address the challenges faced by the of Higher Technological Studies (Institut suprieur des
country. Most public and private enterprises lack the tudes technologiques, 2009) in Rosso and the University
capacity to innovate that would make them internationally of Science, Technology and Medicine (2012). The new
competitive. The skills base needs developing, particularly university has about 3500 students and 227 teaching staff,
in scientific and technical disciplines, as well as in including researchers. It is comprised of a Faculty of Science
entrepreneurship and management. Also needed are and Technology, a Faculty of Medicine and a professional
more rapid technology diffusion and a greater absorptive training institute.
capacity of technology. Some of the main shortcomings
identified were: These developments reflect the governments will to
improve access to higher education for the growing
n Limited and uncertain public financing for public R&D
population. In accordance with the ten-year Strategy for
and lack of private sector investment in R&D or training;
Science, Technology and Innovation adopted by the African
n No active promotion of domestic quality standards as a Union in 2014 (see Chapter 19), the government intends to
means of improving the quality of domestic production use higher education as a lever for economic growth.
and encouraging private investment in training and
improved technologies; In April 2015, the Ministry of Higher Education and
Scientific Research adopted an ambitious Three-Year Plan
n An excessively theoretical (as opposed to applied) focus
for Higher Education covering 20142017. This plan has four
of research at the University of Nouakchott and a lack of
main objectives:
co-ordination between the university, public research
institutes and ministries for training and R&D; n Strengthen institutional management and governance
of tertiary institutions;
n A need to reduce bureaucratic obstacles to starting and
operating a business; n Improve the relevance of the curricula, the quality of
training and the employability of graduates;
n A weak entrepreneurial base sustained by the lack of
business development services and by a culture of n Broaden access to tertiary study programmes; and
trading rather than investment in production;
n Promote scientific research on major national
n Lack of access by domestic enterprises to information development issues.
on available technologies and the transfer and
absorption of foreign technologies; and For the first time, the current administration has managed
to collect relatively comprehensive data on higher
n A lack of policies to leverage the significant reserve
education and scientific research data across the country.
represented by the diaspora for domestic benefit.
These data should enable the Ministry of Higher Education
and Scientific Research and line ministries to identify the
With the technical assistance of UNESCO, Mauritania is main obstacles to research.
currently drafting the national STI strategy recommended
by the review. The focus is on developing skills and

15. See: http://unctad.org/en/Docs/dtlstict20096_en.pdf

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MOROCCO domestic demand for innovation; foster publicprivate

linkages; and introduce innovative funding mechanisms.
Added value a must to maintain Today, the latter include Intilak for innovative start-ups and
competitiveness Tatwir for industrial enterprises or consortia. The ministry
Morocco has managed to navigate the fallout from the global is supporting research in advanced technologies and the
financial crisis relatively well, with average growth of over 4% development of innovative cities in Fez, Rabat and Marrakesh.
between 2008 and 2013. As Europe is the main destination
for Moroccan exports, these have nevertheless been affected The Moroccan Innovation Strategy fixed the target of
by the slowdown in the European economy since 2008. producing 1 000 Moroccan patents and creating 200
The economy is diversifying but remains focused on low innovative start-ups by 2014. In parallel, the Ministry of
value-added products; the latter still represent about 70% Industry, Commerce and New Technologies (as it had since
of manufactured goods and 80% of exports. Unemployment become) created a Moroccan Club of Innovation in 2011,
remains high, at over 9% (Table 17.1), and about 41% of in partnership with the Moroccan Office of Industrial and
the labour force lacks any qualification. There are also signs Commercial Property. The idea is to create a network of
of waning competitiveness in some areas: in recent years, players in innovation, including researchers, entrepreneurs,
Morocco has conceded market shares for clothing and students and academics,to help them develop innovative
shoes in the face of tough international competition from projects.
Asia, in particular, but managed to expand its market share
for fertilizers, passenger vehicles and equipment for the Moroccos third technopark is scheduled to welcome its
distribution of electricity (Agnor and El-Aynaoaui, 2015). first start-ups and SMEs in September 2015. Like its two
predecessors in Casablanca and Rabat, the new technopark
Moroccos S&T system is essentially centred around the in Tangers will be hosting companies specializing in ICTs,
Ministry of Higher Education and Scientific Research green technologies and cultural industries. Through a public
(MoHESR) and the Inter-Ministerial Permanent Committee private partnership, offices in an existing building have been
on Scientific Research and Technological Development (est. converted for an estimated cost of 20 million dirhams (MAD,
2002), together with the Hassan II Academy of Science and circa US$ 2 million). They should be able to accommodate up
Technology (est. 2006). The National Centre for Scientific to 100 enterprises, which will be sharing the premises with
and Technical Research (CNRST) is another key player; it runs some of the projects key partners, such as the Moroccan
the National Support Programme for Sectorial Research, for Entrepreneurial Network and the Association of Women CEOs
instance, which issues calls for research proposals to public of Morocco (Faissal, 2015).
institutions.
The National Fund for Scientific Research and Technological
Less than a year after its inception, the Higher Council for Development was adopted by law in 2001. At the time,
Education, Training and Scientific Research16 presented domestic enterprises funded just 22% of GERD. The
a report to the king on 20 May 2015 offering a Vision for government encouraged companies to contribute to the
Education in Morocco 20152030. The report advocates fund to support research in their sector. Moroccan telecom
making education egalitarian and, thus, accessible to the operators were persuaded to cede 0.25% of their turnover;
greatest17 number. Since improving the quality of education today, they finance about 80% of all public research projects
goes hand in hand with promoting R&D, the report in telecommunications supported through this fund. The
recommends developing an integrated national innovation financial contribution of the business enterprise sector to
system which would be financed by gradually increasing the GERD has meanwhile risen to 30% (2010).
share of GDP devoted to R&D to 1% in the short term, 1.5%
by 2025 and 2% by 2030. The government is also encouraging citizen engagement in
innovation on the part of public institutions. For instance,
Chapter 17

The Moroccan Innovation Strategy was launched at the the Moroccan Phosphate Office (Office chrifien des
countrys first National Innovation Summit in June 2009 by phosphates) is investing in a project to develop a smart
the Ministry of Industry, Commerce, Investment and the city, King Mohammed VI Green City, around Mohammed VI
Digital Economy. It has three main thrusts: to develop University located between Casablanca and Marrakesh, at a
cost of MAD 4.7 billion (circa US$ 479 million).

16. The council was founded in accordance with the provisions of Article 168 of the Universitybusiness partnerships remain very limited in
Moroccan Constitution of 2011.
Morocco. Nevertheless, a number of competitive funds
17. The National Strategy for the Development of Scientific Research to 2025 (2009)
recommended raising the secondary enrolment rate from 44% to at least 80% and
fostering this type of collaboration have been renewed in
the tertiary enrolment rate for 1923 year-olds from 12% to over 50% by 2025. recent years. These include the following:

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n The third InnovAct programme was launched by the incubation, in general, and technology transfer through
Moroccan Research Association in 2011, according to university spin-offs, in particular. It provides start-ups
Erawatch. Whereas the programmes two predecessors with pre-seed capital to help them develop a solid
(launched in 1998 and 2005) had targeted SMEs, the business plan. The network is co-ordinated by the CNRST
new programme has extended the beneficiary groups and currently groups 14 incubators at some of the top
to include consortia of enterprises. SMEs are expected to Moroccan universities.
pay 5060% and consortia 80% of the project costs. The
scheme encourages universityindustry collaboration;
One in five graduates moves abroad
companies receive logistical support and the financial
Each year, 18% of Moroccan graduates head mainly for
means to recruit university graduates to work on their
Europe and North America; this trend has led to calls for
research project. The programme aims to support up to
foreign universities to be established in Morocco and for the
30 enterprises each year operating mainly in the following
development of prestigious campuses.
industries: metallurgical, mechanical, electronic and
electrical; chemical and parachemical; agro-food; textiles;
The Hassan II Academy of Science and Technology has
technologies for water and environment; aeronautics;
international scientific outreach. In addition to recommending
biotechnology; nanotechnology; off-shoring; and
research priorities and evaluating research programmes, it
automotive;
helps Moroccan scientists to network with their national and
n The Hassan II Academy of Science and Technology funded international peers. The academy has identified a number
15 research projects in 2008 and 2009. Calls for research of sectors where Morocco has a comparative advantage
proposals encourage privatepublic collaboration and take and skilled human capital, including mining, fisheries, food
into consideration the projects potential socio-economic chemistry and new technologies. It has also identified a
impact or spillovers; number of strategic sectors, such as energy, with an emphasis
on renewable energies such as photovoltaic, thermal solar
n MoHESR places a number of poles of competence
energy, wind and biomass; as well as the water, nutrition
under contract for four years to bring together public
and health sectors, the environment and geosciences (HAST,
and private research establishments together on a joint
2012).
project through its accredited laboratories. There were
18 poles of competence up until 2010 but these have since
A growing investment in renewable energy
been whittled down to 11 after several did not meet the
Morocco is expanding its investment in renewable energies
ministrys new criteria for funding. The networks include
(Box 17.4). A total of MAD 19 million (circa US$ 2 million)
one on medicinal and aromatic plants, another on higher
has been earmarked for six R&D projects in the field of solar
energy physics, a third on condensed matter and systems
thermal energy, under agreements signed by the Institute for
modelling and a fourth on neurogenetics;
Research in Solar and New Energy (IRESEN) with scientific and
n The Moroccan Spin-off and Incubation Network (Rseau industrial partners. Moreover, IRESEN is currently financing
Maroc incubation et essaimage)18 supports business research in the field of renewable energy that is being
conducted by more than 200 engineers and PhD students
18. See: www.rmie.ma and some 47 university teachers-cum-researchers.

Box 17.4: Morocco plans to lead Africa in renewables by 2020

Morocco has decided to compensate for A consortium led by the Saudi Arabian bank Kreditanstalt fr Wiederaufbau
its lack of hydrocarbons by becoming company Acwa Power and its Spanish ( 650 million) and the World Bank
the leader in Africa for renewable energy partner Sener won the call for tenders ( 400 million).
by 2020. In 2014, it inaugurated the for the first phase and Acwa Power
continents biggest wind farm at Tarfaya has just won the same for the second Ultimately, the Ouarzazate solar farm
in the southwest of the country. phase. It is estimated that it will cost the will have a capacity of 560 MW but the
consortium nearly 2billion to build government doesnt intend to stop
The governments latest project is to and run Noor II (200 MW) and Noor III there. It plans to produce 2 000 MW of
create the worlds biggest solar farm at (150 MW). solar power by 2020.
Ouarzazate. The first phase, known as
Noor I, should be completed by The project is also being funded by
October 2015. donors such as the German public Source: Le Monde (2015)

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 The Arab States

OMAN PALESTINE
An incentive scheme to bolster research More research links needed with the market
According to the country report by the US Although Palestine does not have a national
Energy Information Administration, hydrocarbons STI policy, a recent innovation survey by Khatib et al. (2012)
accounted for about 86% of government revenue and of the two industrial sectors of stone quarrying and food
half of GDP in 2013. Oman has an ambitious plan to and beverages yielded encouraging findings. The survey
reduce the oil sectors contribution to GDP to 9% by found that both sectors were innovative and having a
2020. The aim is to diversify the economy, such as by positive impact on employment and exports. The survey
developing the tourism sector, as part of the governments recommended directing academic programmes towards
Economic Vision 2020. There is little latitude for expanding local economic development to help establish the necessary
agricultural production but Oman hopes to exploit its co-operative links between the public and private sectors.
long coastlines potential for the development of fisheries
and gas-based industries to achieve the goals of Economic The Palestine Academy of Sciences and Technology
Vision 2020 (Salacanin, 2015). (PALAST) acts as an advisory board to the government,
parliament, universities and research institutes, as well as
Omans S&T system is centred around the Ministries of to private donors and international organizations. One of
Education and Higher Education and Sultan Qaboos PALASTs special features is the presence of a powerful
University. The Research Council is Omans sole research standing committee made up of a number of government
funding body and thus spearheads R&D in the country. ministers; the standing committee operates alongside a
Established in 2005, it has an extensive mandate. scientific council of elected members from PALAST
The Research Council has identified the hurdles facing (PALAST 2014).
Oman, such as complex administrative processes, little
funding, research of poor quality and the lack of relevance An observatory of STI
of R&D to socio-economic needs (Al-Hiddabi, 2014). In 2014, PALAST launched its Science, Technology and
Innovation Observatory, which had been developed with
To address these difficulties, the Research Council the support of ESCWA. The observatorys main purpose
developed a National Research Plan for Oman in 2010 is to collect data on STI on a regular basis and promote
which is linked to Omans overall development plans. The networking.
plan outlines three stages: the first priority is to improve
the status of research and boost productivity; at the Hundreds of entrepreneurial web sites have been created by
second stage, the priority will be to build national research young Palestinians in the past few years to showcase new
capacity in priority areas determined by the availability of digital products that include games and software for specific
appropriately qualified personnel and the establishment professions. Although internet connection costs have fallen
of the requisite infrastructure; at the last stage, the focus by almost 30% in recent years, the lack of connectivity
will be on strengthening the countrys niche areas. to a 3G network in the West Bank and Gaza Strip hinders
the use of mobile applications for education, health and
The Research Council has also developed an incentive entertainment.
scheme to foster research excellence. The programme
rewards researchers through an open research grant
scheme tied to their output. Besides stimulating QATAR
productivity, the idea is to increase the number of active
researchers, motivate them to mentor postgraduate Incentives for entrepreneurship
students and encourage them to publish in international, Besides its oil and gas industry, Qatar relies on
Chapter 17

refereed journals and to apply for patents. the petrochemical, steel and fertilizer industries to drive
the economy. In 2010, Qatar showed the worlds fastest
In October 2014, Oman hosted the General Meeting of the growth rate for industrial production: 27.1% over the
World Academy of Sciences (TWAS). Two months later, the previous year. Qataris enjoy the worlds highest GDP
Research Council co-organized the second ArabAmerican per capita (PPP$131 758) and one of the worlds lowest
Frontiers Symposium with the US National Academy of unemployment rates: 0.5% (Table 17.1).
Sciences to facilitate research collaboration between
outstanding young scientists, engineers and medical The Qatar National Vision 2030 (2008) advocates finding an
professionals from the USA and a number of Arab states. optimum balance between the current oil-based economy
and a knowledge economy characterized by innovation and

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UNESCO SCIENCE REPORT

entrepreneurship, excellence in education and the efficient In parallel, the government is investing in professional training
delivery of public services. To support this shift towards a and education as a way of reducing the number of foreign
knowledge economy, the government budget for education workers in technical and vocational jobs. In November 2014, it
to 2019 has been raised by about 15%. signed an agreement with Finland to utilize Finnish excellence
to strengthen its own education sector (Rasooldeen, 2014).
The government has also begun offering investors tax By 2017, the Technical and Vocational Training Corporation of
breaks and other incentives to support entrepreneurship Saudi Arabia is to have constructed 50 technical colleges,
and promote SMEs. Its efforts to diversify the economy 50 girls higher technical institutes and 180 industrial
appear to be paying off. Industries and services derived from secondary institutes. The plan is the first step in creating
hydrocarbons have been expanding, fuelling private-sector training placements for about 500 000 students, half of them
growth. Although the manufacturing sector is still in its girls. Boys and girls will be trained in vocational professions
infancy, there has been a boom in the construction sector, such as IT, medical equipment handling, plumbing, electricity,
thanks largely to heavy investment in infrastructure; this in mechanics, beauty care and hairdressing.
turn has boosted the finance and real estate sectors (Bq, 2014).
Much of construction is occurring in the non-hydrocarbon Two universities among the top 500
sector: in transportation, health, education, tourism and Saudi Arabia has now entered the third phase of implement-
sport Qatar is hosting the World Football Cup in 2022. The ation of its first national S&T policy (2003). The policy called
government is also promoting Qatar as a tourist destination for the establishment of centres of excellence and for
among its neighbours, in particular. Consequently, non- upgrading the skills and qualifications of human resources.
hydrocarbon sectors grew by 14.5% in 2013. The country is keen to co-operate with the outside world,
invest more in information technologies and harness S&T
Qatars new park is countrys primary technology to preserving its natural resources and protecting the
incubator environment.
The Qatar National Research Strategy (2012) identified four
priority areas: energy, environment, health sciences and The Five-Year Development Plan adopted in 2010 proposed
ICTs. When the Qatar Foundation subsequently established allocating US$ 240 million in research grants each year,
the Qatar Science and Technology Park, it focused on these together with the creation of a number of research centres
four areas. The park has become Qatars primary incubator and technology incubators at different universities.
for technological development, the commercialization of
research and support for entrepreneurship. Located within According to the 2014 Academic Ranking of World
the Qatar Foundations Education City, the park has access Universities, both King Abdulaziz University and King Saud
to the resources of a cluster of leading research universities University rank among the worlds top 500. The former has
with antennae in the park, including five US institutions: succeeded in attracting over 150 highly cited19 researchers
Virginia Commonwealth University School of the Arts, from around the world as adjunct professors and the latter 15.
Weill Cornell Medical College, Texas A&M University at Qatar, Internationally recruited faculty are expected to undertake
Carnegie Mellon University and Georgetown University. research in Saudi Arabia and collaborate with Saudi faculty
members. This policy has allowed both universities to move
up the field in international rankings, while boosting overall
SAUDI ARABIA research output and building endogenous capacity in R&D.

Policies to reduce dependence on foreign King Abdulaziz City for Science and Technology (KACST)
labour serves as both the national science agency and as a hub for
As part of its agenda for embracing the knowledge national laboratories. It is involved in policy-making, data
economy, the government has launched a multibillion dollar collection and funding of external research. It also acts as
development scheme to build six greenfield cities and the national patent office. KACSTs planning directorate
industrial zones. By 2020, these industrial cities are expected is responsible for developing national databases with STI
to generate US$150 billion in GDP and create 1.3 million indicators. KACST conducts applied research in a wide range
jobs. This strategy has been endorsed by the record number of areas, including petrochemicals, nanotechnologies, space
of non-oil exports in 2013. However, Saudi Arabia remains and aeronautics, advanced materials, mathematics, health,
overdependent on foreign labour: there are only 1.4 million agriculture and construction technologies. It also acts as a
Saudis employed in the private sector, compared with technology incubator by fostering ties between research
8.2 million foreigners, according to the Ministry of Labour universities and between the public and private sectors to
(Rasooldeen, 2014). The government is trying to recruit
citizens through a drive dubbed Saudization. 19. http://highlycited.com/archive_june.htm

460
 The Arab States

Box 17.5: Fellowships for budding inventors from the Gulf

The Institute for Imagination and Ingenuity from the region at the incubation stage of Massachusetts Institute of Technology
(i2 Institute) is the brainchild of Hayat their project. Her NGO helps them package (MIT) in the USA for a period of six weeks.
Sindi, co-founder of Diagnostics for All, a their idea and attract venture capital through
non-profit company designated one of a three-stage fellowship programme, the The second stage of their induction was
the worlds ten most innovative biotech only one of its kind in the Arab world. the social science programme. Here, they
companies in 2012 by FastCompany met other fellows who had specialized in
magazine in the USA. Originally from Saudi The first call for applications took place social innovation, such in as the provision
Arabia, DrSindi was the first woman from in November 2012. Masters and PhD of clean energy or water. All 12 fellows
the Gulf to obtain a PhD in biotechnology, students were invited to apply for a grant were asked to come up with a solution to
while she was studying at Cambridge in one of four areas: water, energy, health a specific social problem. The aim of this
University (UK). or environment. Some 50 candidates who exercise was to give them confidence in
already held a local and international patent their ability to take on new challenges.
For Dr Sindi, the Middle East has for their idea were selected. They were then
to overcome huge barriers to invited to pitch their idea to an international The third programme developed the
entrepreneurship. Chief among these jury made up of scientists and business i2 fellows communication skills at MITs
are a lack of formal business skills among leaders in February 2013. Ultimately, just Media Lab, teaching them how to sell
scientists and engineers; a culturally 12 fellows were singled out to share a grant their project to different audiences and
intrinsic fear of failure; a lack of potential of US$ 34 million; each was then assigned how to speak in public.
investors willing to provide the necessary a regional and global mentor to help him or
venture capital; and the fact that investors her develop a business plan. In 2014, potential investors were invited
in the region do not focus on science- to a conference hosted by King Abdullah
based ventures. The fellows were able to develop their Economic City in Riyadh (Saudi Arabia)
business plan during the first stage of to hear the fellows present their projects.
Dr Sindi founded the Institute for their eight-month fellowship, through The deadline for the second round of
Imagination and Ingenuity in 2011 to the entrepreneur programme run jointly applications was end April 2014.
accompany budding young inventors with Harvard Business School and the Source: www.i2institute.org; UNESCO (2013)

encourage innovation and the transfer and adaptation of The late King Abdullah was a keen proponent of education
technology with commercial potential. and research. In 2007, he called for the establishment of an
independent centre to conduct objective research in the
One interesting initiative is the Institute for Imagination and field of energy. This gave rise to the King Abdullah Petroleum
Ingenuity founded by Makkah-born Dr Hayat Sindi in 2011; it is Studies and Research Centre, which opened in Riyadh in 2013;
striving to develop an entrepreneurial culture in the Arab world a Board of Trustees ensures the centres independence and
through mentorship (Box 17.5). oversees its endowment. In 2009, Saudi Arabia launched the
King Abdullah University of Science and Technology.
Research to curb energy consumption
Saudi Arabia needs to engage in a serious deliberation about
its domestic energy consumption, which is expected to SUDAN
increase by 250% by 2028. One-third of oil production was
being used domestically in 2012 and demand is growing Conflict and brain drain undermining
Chapter 17

by about 7% per year, driven by increasing wealth, rapid development

population growth and low domestic energy prices. The Sudan has been plagued by armed conflict in the past decade:
OECDs International Energy Agency recorded about the conflict in Darfur, which lasted from 2003 until the signing
US$ 40 billion in domestic energy subsidies in 2011.The of a ceasefire agreement with rebel groups in 2010; and a long-
government is cognizant of the problem. In 2010, it upgraded standing conflict in the south of the country, which resulted in the
the National Energy Efficiency Programme (launched in 2003) establishment of South Sudan as an independent state in 2011.
to a permanent facility, the Saudi Energy Efficiency Centre.
In May 2015, the government announced a programme to Sudan has had its own academy of sciences since 2006 but
develop solar energy which should allow the country to otherwise has struggled to consolidate its science system over
export gigawatts of electric power instead of fossil fuels. the past decade. One impediment is the loss of young talent

461
UNESCO SCIENCE REPORT

to brain drain: between 2002 and 2014, Sudan lost more than n Agricultural Research Corporation;
3000 junior and senior researchers to migration, according to
n Animal Resources Research Corporation;
the National Research Centre and Jalal (2014). Researchers are
drawn to neighbouring countries such as Eritrea and Ethiopia n National Research Centre;
by the better pay, which is more than double that offered to
n Industrial Research and Consultancy Centre;
university staff in Sudan. More recently, Sudan has become a
refuge for students from the Arab world, particularly since the n Sudan Atomic Energy Corporation;
turmoil of the Arab Spring. Sudan is also attracting a growing
n Sudanese Metrology Authority;
number of students from Africa.
n Central Laboratories; and the
In 2010, the privately run Future University in Khartoum was
n Social and Economic Research Bureau.
upgraded from a college to a university. Established in 1991, it
was the first college in the region to introduce an IT programme,
Unfortunately, Sudan does not yet possess the human
offering degrees in a wide range of fields, including computer
or financial resources necessary to promote science and
science, artificial intelligence, bio-informatics, electronics
technology effectively. Were it to encourage more private
engineering, geo-informatics and remote sensing, telecomm-
sector involvement and regional co-operation, restructure its
unication and satellite engineering, biomedical engineering,
essentially agriculture-based economic system and pool its
laser and mechatronics engineering and architecture. The
resources, it would be in a position to develop its S&T capacity
Future University is participating in NECTAR (Box 17.2).
(Nour, 2012). The bilateral co-operation agreement signed by
the Ministry of Science and Communication with the South
A fresh policy impetus
African Department of Science and Technology in November
In 2013, the Ministry of Science and Communication
2014 is a step in the right direction. During the ministers visit
embarked on a revision of its Science and Technology Policy
to South Africa in March 2015, the Sudanese government
(2003) with the technical assistance of UNESCO. A number
identified space science and agriculture as priority areas for
of consultation meetings were organized with high-level
collaboration (see Table 20.6).
experts from around the world; these produced a series of
recommendations, including those advocating:
SYRIA
n the re-establishment of a higher council for science and
technology, to be headed by the First Deputy President
An exodus of scientific talent
of the Republic, which would co-ordinate and oversee
Despite hosting prestigious international
relevant institutions and research centres attached
research institutes such as the International Centre for
to various ministries, with the Ministry of Science and
Agricultural Research in Dry Areas and the Arab Centre for the
Communication acting as rapporteur of the council;
Study of Arid Zones and Dry Lands, Syrias S&T system was
n the establishment of a fund to finance government in a dire state even before the outbreak of civil war in 2011.
research, with a focus on employing the proceeds of Syrian parliamentarian Imad Ghalioun estimated in 2012
Awqaf and Zakat;20 this should be combined with the that, even before the uprising, the government had allocated
adoption of legislation increasing financial allocations to just 0.1% (US$ 57million) of GDP to R&D and, afterwards, as
scientific research, such as exemptions from some or all of little as 0.04% of GDP (Al-Droubi, 2012). The civil war has led
customs duties on imported goods and equipment that to an exodus of scientific talent. In 2015, the United Nations
support research; these measures should enable GERD to estimated that four million Syrians had sought refuge in
rise to 1% of GDP by 2021; and neighbouring countries since 2011, mainly Jordan, Lebanon
and Turkey.
n the establishment of an observatory of STI indicators, with
the technical support of UNESCO.

TUNISIA
Sudan has a fairly diverse institutional framework. The
following research centres, among others, fall under the
Greater academic freedom
umbrella of the Ministry of Science and Communication:
During the difficult transition to democracy
over the past four years, science and technology have often
20. Within Islam, Awqaf is a voluntary donation of money or assets which are held taken a back seat to more pressing problems. This has led to
in trust for charitable purposes. Zakat is an obligatory religious tax paid by every frustration in the scientific community at the speed of reform.
Muslim that is considered one of the five pillars of Islam. There are established
categories of beneficiary of this tax, which is used to maintain a socio-economic
The situation has improved for scientists in terms of academic
equilibrium by helping the poor. freedom but other concerns persist.

462
 The Arab States

The first reform was introduced within weeks of the revolution. The economy has proved relatively resilient over the past four
During her brief stint as Secretary of State for Higher Education years, thanks partly to its broad base, with well-developed
from January to March 2011 in the caretaker government, agricultural, mining, petroleum and manufacturing sectors. This
Faouzia Charfi changed the procedure for filling top university helped to cushion the drop in tourism, which accounted for
posts. For the first time in Tunisia, elections were held in June 18% of GDP in 2009 but only 14% four years later. Tourism was
2011 for faculty directors and university presidents (Yahia, beginning to recover when terrorist acts against a museum and
2012). This is a step forward, even if corruption continues to hotel complex in March and June 2015 once more destabilized
plague the Tunisian university system, according to a study the industry. Tunisias relative stability and reputed health
published in June 201421 by the Tunisian University Forum, an clinics have also made it a beacon for medical tourism.
NGO formed after 14 January 2011.
High-level support for science
That this NGO could even publish such a study without fear Compared to most African and Arab states, the STI system in
of retribution is a sign, in itself, of greater academic freedom Tunisia is fairly advanced and enjoys strong government support.
in Tunisia since President Zine El-Abidine Ben Ali fled the The Higher Council of Scientific Research and Technology is
country on 14 January 2011. According to Faouzia Charfi, chaired by none other than the prime minister himself. The
under the former president, universities and researchers body responsible for formulating policy and implementation
had little freedom to develop their own strategies or even strategies, the Ministry of Higher Education, Scientific Research
to choose who they worked with. Other scientists have said and Information and Communication Technologies, can count
that regime bureaucrats thwarted their attempts to establish upon the expertise of both the National Consultative Council of
independent links with industry (Butler, 2011). Scientists Scientific Research and Technology and the National Evaluation
were also discouraged from maintaining international ties. Committee of Scientific Research Activities. The latter is an
Organizers of scientific meetings, for instance, were obliged independent body in charge of evaluating both public scientific
to submit the topics and research on the agenda to regime research and private sector research programmes benefiting
bureaucrats, in order to obtain prior authorization. Ten from the public purse. The National Observatory of Science
months after the revolution, a group of PhD holders and and Technology is another vital component of the Tunisian STI
students formed the Tunisian Association of Doctors and PhD system. It was established in 2006, two years before being placed
Students in Science to help Tunisian scientists network with under the Ministry of Higher Education and Scientific Research.
one another other and with scientists abroad (Yahia, 2012).
A strategy to build bridges between universities and
Despite restrictions, 48% of scientific articles published by industry
Tunisian researchers had foreign co-authors in 2009. This The University Council is presided by the Minister of
share had risen to 58% by 2014. In 2009, the government Higher Education, Scientific Research and Information and
began negotiating an agreement for a joint research Communication Technologies. In January 2015, the University
programme with the European Union (EU). The three-year Council approved a broad reform of scientific research and
programme was ultimately launched on 12 October 2011, higher education that is to be implemented over the period
with 12 million in EU funding. The Tunisian Agency for the 20152025. The reform will focus on modernizing university
Promotion of Scientific Research was given responsibility curricula, in order to give graduates the skills employers need,
for distributing the programme funds in accordance with and on giving universities greater administrative and financial
the countrys priority research areas: renewable energy, autonomy. In 2012, the ministry had already taken a step in
biotechnology, water, the environment, desertification, this direction by placing its relations with universities on a
micro-electronics, nanotechnology, health and ICTs. contractual basis22 for the first time.
The programme also sought to forge links between academic
research and the Tunisian industrial sector. The German The reform will also strengthen universityindustry ties
Society for International Cooperation, for instance, conducted and revise the university map to ensure greater equity
Chapter 17

a study of market needs to help simplify co-ordination between regions. Central to this strategy is the ongoing
between the academic and industrial sectors. At the launch development of technoparks, as they foster research and
of the programme, the Tunisian Minister for Industry and job creation in the regions.
Technology, Abd El-Aziz Rasaa, announced plans to raise
Tunisias technological exports from 30% of the total in 2011 Tunisia is investing heavily in technoparks. Elgazala Technopark
to 50% by 2016 (Boumedjout, 2011). in the Tunis region was the first, both for Tunisia and the

22. The two parties concluded a framework contract which authorizes universities
and institutions to devise their own teaching and research strategies for a period
21. See: www.businessflood.com/forum-universitaire-tunisien-etude-sur-le- of four years within the framework of specific projects and programmes; these
diagnostic-et-la-prevention-de-la-corruption-dans-le-milieu-universitaire-tunisien strategies are accompanied by implementation plans.

463
UNESCO SCIENCE REPORT

Maghreb. Established in 1997, it specializes in communication president to his successor, Beji Caid Essebsi, in late 2014,
technologies and now hosts about 80 companies, including suggest that the country is well on the way to political
13 multinationals (Microsoft, Ericsson, Alcatel Lucent, etc). stability. Moreover, science has not been forgotten in the
Several other technoparks have been established since, new Constitution. Article 33 expressly states that the state
including those in Sidi Thabet (2002, for biotechnology and provides the means necessary to the development of
pharmaceuticals), Borj Cedria (2005, for environment, renewable technological and scientific research.
energy, biotechnology and materials science), Monastir (2006,
for textiles) and Bizerte (2006, for the agro-industry). In 2012,
the government announced the creation of a new technopark UNITED ARAB EMIRATES
in Remada specializing in ICTs. Meanwhile, the Ecosolar Village
of ZarzisJerba should soon be operational. It will create jobs A good business climate
in renewable energy production, seawater desalination and The United Arab Emirates has been reducing its
organic farming; this technopark also plans to position itself as a dependence on oil exports by developing other economic
training platform for the entire African region. Tunisia intends to sectors, including the business, tourism, transportation and
raise the share of renewables in the energy mix to 16% construction sectors and, more recently, space technologies.
(1 000 MW) by 2016 and to 40% (4 700 MW) by 2030, within its Abu Dhabi has become the worlds seventh-biggest port.
Solar Plan23 adopted in 2009. The global financial crisis of 20082009 affected Dubais real
estate market, in particular. Companies like Dubai World,
The longer term goal is to develop an internationally which supervised a government investment portfolio in urban
competitive research system. In November 2013, the development, ran up substantial external debt.
government signed an agreement with France Clusters, which
groups French technoparks, for the provision of training With the slump in oil prices since mid-2014, current economic
and advice on the creation of new technoparks in Tunisia. growth is being buoyed mainly by the sustained recovery of
Elgazala and Sidi Thabet Technoparks are both members Dubais construction and real estate sectors, together with
of the International Association of Science Parks. Gafsa significant investments in transportation, trade and tourism.
Technopark, which specializes in useful chemical substances, Dubai has launched a megaproject for the construction of the
has been designed in partnership with the Korean International worlds biggest shopping centre and no fewer than 100 hotels.
Cooperation Agency; it is being funded by the government, the It is also erecting a greenprint for sustainable cities (Box 17.6)
park management companies and the tandem formed by the and investing in a fully functional 3D building (Box 17.7). A
Chemical Group and the Compagnie des phosphates de Gafsa. project to develop a national railway is also back on track
after being brought to a halt by the global financial crisis.
The adoption of a new Constitution by parliament in June
2014, followed by the smooth handover of power, first in The United Arab Emirates has a reputation for having one
the October parliamentary elections then by the incumbent of the best business climates in the region. In mid-2013, the
United Arab Emirates Federation adopted a new Companies
23. See: www.senat.fr/rap/r13-108/r13-108.pdf Law that comes closer to respecting international standards.

Box 17.6: Masdar City: a greenprint for the city of the future

Masdar City is located about half an winds. Masdar City has one of the largest By 2020, it is estimated that Masdar
hour from Abu Dhabi. This artificial city installations of photovoltaic panels on City will be home to 40 000 people,
is being constructed between 2008 and rooftops in the Middle East. plus businesses, schools, restaurants
2020 as a greenprint for the city of the and other infrastructure.
future. The aim is to build the worlds The city is sprouting around the Masdar
most sustainable city, one capable of Institute of Science and Technology, an There are some who argue that the
combining rapid urbanization with low independent research-driven, graduate- money might have been better
consumption of energy, water and waste. level university set up in 2007 with a focus spent on greening the countrys
on advanced energy and sustainable existing cities rather than on
The city blends traditional Arabic technologies. Companies are being creating an artificial one.
architectural techniques with modern encouraged to foster close ties with the
technology to cope with high summer university to accelerate the commer-
temperatures and capture prevailing cialization of breakthrough technologies. Source: adapted from: www.masdar.ac.ae

464
 The Arab States

Box 17.7: Dubai to print its first 3D building

Dubai is planning to erect the The office building will be printed layer by efficiency and creativity of 3D printing
worlds first fully functional three- layer using a 3D printer then assembled technology, which we believe will
dimensional (3D) printed building. on site in Dubai. All the furniture and play a major role in reshaping the
The building will temporarily house structural components will also be built construction and design sectors.
the staff of the Museum of the using 3D printing technology, combining
Future, pending completion of a mixture of special reinforced concrete, Dubai is partnering with the Chinese
permanent facilities in 2018. glass fibre reinforced gypsum and fibre- firm WinSun Global on this project,
reinforced plastic. along with leading architecture firms
Experts estimate that 3D printing Gensler, Thornton Thomasetti and
technology could reduce The scheme is backed by the National Syska Hennessy, the China State
construction time of buildings by Innovation Committee. Its chairman, Construction Company and the firms
5070%, labour costs by 5080% and Mohammad Al Gergawi, considers that eConstruct and Killa Design.
construction waste by 3060%. this building will be a testimony to the Source: Gulf News ( 2015)

It does not soften the rule, however, that prevents a majority in 2013. These satellites were designed and developed by
foreign participation in local companies. It also introduces the Korean company Satrec Initiative, along with a team of
an Emirization jobs programme advocating recruitment EIAST engineers; they are intended for urban planning and
based on nationality, a measure which could curtail foreign environmental monitoring, among other applications. EIAST
investment, according to the Coface credit insurance24 group. engineers are now working with their partner on a third
satellite, Khalifa Sat, due to be launched in 2017. In 2014,
No knowledge economy without science the government announced plans to send the first Arab
The Government Strategy (20112013) lays the foundations for spaceship to Mars in 2021. The United Arab Emirates has been
realizing Vision 2021, adopted in 2010. One of the strategys advocating the creation of a pan-Arab space agency for years.
seven priorities is to develop a competitive knowledge
economy. Under this priority figures the objective of A National Research Foundation
promoting and enhancing innovation and R&D, among others. The National Research Foundation was launched in March
2008 by the Ministry of Higher Education and Scientific
In May 2015, the Ministry of the Economy announced the Research. Individuals or teams of researchers from public and
launch of the Mohammed Bin Rashid Al Maktoum Business private universities, research institutes and firms may apply
Innovation Award, in partnership with the Dubai Chamber of for competitive grants. To be approved, research proposals
Commerce and Industry. This initiative crowns the United Arab must survive international peer review and prove that they
Emirates Year of Innovation and is coherent with the countrys offer socio-economic benefits. 25
strategy of developing the pillars of a knowledge economy.
The United Arab Emirates University is the countrys premier
The Dubai Private Sector Innovation Index source of scientific research. Through its research centres,26 it has
The Dubai Chamber of Commerce and Industry is also contributed significantly to the countrys development of water
launching two novel initiatives to nurture innovation. The and petroleum resources, solar and other renewable energies
first is the Dubai Private Sector Innovation Index, the first of and medical sciences. Since 2010, the university has filed at least
its kind, to measure Dubais progress towards becoming the 55 invention patents. As of June 2014, about 20 patents had
worlds most innovative city. The second initiative is the Dubai been granted to the university.27
Chamber Innovation Strategy Framework, the first outside
Chapter 17

the USA; it will provide a benchmarking tool against other The United Arab Emirates University has established strong
countries and a road map for future implementation. research partnerships in areas such as oil and gas, water, health
care, agricultural productivity, environmental protection, traffic
Two satellites in place for Earth monitoring
The Emirates Institution for Advanced Science and 25. See www.nrf.ae/aboutus.aspx
Technology (EIAST, est. 2006) placed its first Earth-observation
26. These include the Zayed bin Sultan Al Nahyan Centre for Health Sciences;
satellite in orbit in 2009, Dubai Sat 1, followed by Dubai Sat2 National Water Centre; Roadway Transportation and Traffic Safety Research Centre;
Centre for Public Policy and Leadership; Khalifa Center for Genetic Engineering and
Biotechnology and the Centre for Energy and Environmental Research
24. See: www.coface.com/Economic-Studies-and-Country-Risks/United-Arab-
Emirates 27. See: www.uaeu.ac.ae/en/dvcrgs/research

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UNESCO SCIENCE REPORT

safety and the rehabilitation of concrete structures. It has countries contribute to the platform? What mechanisms
established an active research network of partners in countries should be put in place to combat poverty and offer greater
that include Australia, France, Germany, Japan, Republic of equity of access to knowledge and wealth at national levels?
Korea, Oman, Qatar, Singapore, Sudan, the UK and USA. Without pondered answers to these questions, coupled with
innovative out-of-the-box solutions, no strategy will be able
to exploit the regions capabilities effectively.
YEMEN
For the Strategy to fly, the regions scientific community needs
No scope for science in current political a coherent agenda containing a portfolio of solution-oriented
quagmire scientific projects and programmes that expressly serve the
Yemen boasts several universities of repute, including the regions needs, along with clearly identified sources of funding.
University of Sanaa (est. 1970). Yemen has never adopted a
national S&T policy, though, nor allocated adequate resources The events of the past few years may have stirred the cooking
to R&D. pot but real progress will only be measured against collective
structural change at the economic, social and political levels.
Over the past decade, the Ministry of Higher Education and From the preceding country profiles, we can see that some
Scientific Research has organized a number of conferences countries are losing their winning ticket to development and
to assess the reality of scientific research in the country and progress; the motives may be economic or political but the
identify barriers to public-sector research. The ministry also result is the same: an exodus of experts and researchers from
launched a task force in 2007 to establish a science museum countries which have spent millions of dollars educating
and instituted a presidential science prize in 2008. In 2014, them. In many of these countries, there is a lack of a well-
ESCWA received a request from the ministry for assistance in functioning innovation system with a clear governance and
establishing an STI observatory in Yemen; this endeavour has policy framework, compounded by poor ICT infrastructure
since come to a standstill in the face of the escalating conflict. that hampers access to information and opportunities to
create knowledge and wealth. Governments can leverage
Yemen has not held parliamentary elections since 2003. The social innovation to tackle some of these problems.
tremors of the Arab Spring led to President Saleh ceding power
to his deputy, Abd Rabbuh Mansur Hadi, in February 2012, and The poor state of Arab innovation systems can be attributed
to the establishment of a National Dialogue Conference at the to many factors. The present report has highlighted, for
initiative of the Gulf Cooperation Council. In 2015, tensions instance, the regions low spending levels on R&D, the
deteriorated into war between forces of the former regime and relatively small pool of qualified experts and research
those of President Abd Rabbuh Mansur Hadi, who is backed by scientists and engineers, the small number of tertiary students
several Arab countries. enrolling in scientific disciplines, poor institutional support
and the effects of the inimical political and social perspectives
on the promotion of science.
CONCLUSION
Despite Heads of State having committed to raising GERD to
A need for a coherent agenda and sustainable funding 1% of GDP more than 25 years ago, not a single Arab country
The draft Arab Strategy for Science, Technology and Innovation has yet reached that target. In most countries, the education
endorsed by the Council of Ministers of Higher Education and system is still not turning out graduates who are motivated
Scientific Research in the Arab World in 2014 proposes an to contribute to a healthier economy. Why not? Governments
ambitious agenda. Countries are urged to engage in greater should ask themselves whether the fault lies solely with the
international co-operation in 14 scientific disciplines and education system, or whether other impediments are stifling
strategic economic sectors, including nuclear energy, space innovation and an entrepreneurial culture, such as a poor
sciences and convergent technologies such as bio-informatics business climate.
and nanobiotechnology. The Strategy advocates involving
scientists from the diaspora and urges scientists to engage in How will countries of the Gulf embrace economic
public outreach; it also calls for greater investment in higher diversification without building a critical mass of experts,
education and training to build a critical mass of experts and technicians and entrepreneurs? Higher education curricula
staunch brain drain. are mostly fact-heavy and lecture-based, with a limited use of
ICT tools and hands-on learning and little contextualization.
The Strategy nevertheless eludes some core issues, including This environment favours passive learning and examination-
the delicate question of who will foot the hefty bill of based assessments that measure students ability to memorize
implementing the strategy. How can heavily indebted knowledge and curriculum content rather than their ability

466
 The Arab States

to develop the necessary analytical skills and creativity to continue to plague the region. The countries with the highest
innovate. Teachers need to adopt novel approaches that share of military spending in GDP come from the Middle
transform them from a teleprompter into a facilitator. East. The resolution of political problems and the creation of
collective security arrangements for the region would free up
There is a clear mismatch between the skills graduates are public resources that could be devoted to finding solutions
being given and labour market demand. The oversupply of to pressing problems through scientific research. Such a
university graduates and the channelling of students who re-orientation would accelerate the process of economic
perform poorly into vocational education rather than diversification and socio-economic development.
acknowledging the key role qualified technicians play in the
knowledge economy is fuelling unemployment among The private sector could be encouraged to contribute to the
tertiary graduates and leaving the market without skilled R&D effort. We have seen how Moroccan telecom operators
labour. The Saudi experiment since 2010 in technical and support public research projects in telecommunications
vocational education is worth noting, in this regard. by ceding 0.25% of their turnover to a dedicated fund. One
could imagine a token amount being collected from large
Morocco has announced its intention of making education companies to finance R&D in their own sectors, especially
more egalitarian. Other Arab countries could do likewise. in water, agriculture and energy. For the Arab States,
Governments should institute scholarship schemes to give it is imperative to accelerate the transfer of innovative
rural and poor tertiary students the same opportunities as their technologies by developing educational large-scale pilot
peers from wealthier and urban backgrounds. Recent statistics projects in priority areas, including renewable energy systems.
show that a fresh university graduate remains unemployed for This will also help to build up a critical mass of technicians in
23 years on average before landing his or her first job. This the region.
situation could be turned to advantage. A national programme
could be launched to recruit and train young university A value chain is comprised of a series of interdependent
graduates from all academic disciplines to teach for one or two components, each of which influences and is influenced by
years after graduation in rural areas where there is a chronic the other. Top-down approaches cannot bring about the
lack of primary and secondary school teachers. required change. Rather, decision-makers need to create an
environment that liberates the nations dynamic forces, be
Several Arab governments are setting up observatories to they academic or economic forces like Hayat Sindi, who is
improve the monitoring of their science systems through using mentors to develop an entrepreneurial culture in the
data collection and analysis. Others should follow suit, in region. The Arab world needs more champions of science and
order to monitor the effectiveness of national policies and technology, including in the political arena, to bring about
form a network of observatories to ensure information- the positive change to which it aspires.
sharing and the development of common indicators.
Some are already taking this course of action; Lebanon, for KEY TARGETS FOR ARAB COUNTRIES
instance, is participating in a platform linking Mediterranean
observatories of STI. n Raise GERD to at least 1% of GDP in all Arab countries;

There is more to developing a national innovation system n Raise GERD in Libya to 1% of GDP by 2020;
than putting in place material institutions. Intangible n Raise GERD in Morocco to 1.5% of GDP by 2025;
considerations and values are vital, too. These include
transparency, rule of law, intolerance of corruption, reward n RaiseTunisias technological exports from 30% (2011)
for initiative and drive, a healthy climate for business, respect to 50% of the total by 2016;
for the environment and the dissemination of the benefits of n Produce 1 000 patents and create 200 innovative start-
modern science and technology to the general population, ups in Morocco by 2014;
Chapter 17

including the underprivileged. Employability and placement

in public institutions should depend solely on the expertise n Ensure that renewable energy accounts for 12% of
and seniority of the individual, rather than on political Lebanons energy mix by 2020
considerations.

Lingering political conflicts in the Arab region have created

a tendency to define national security in military terms. As
a result, resources are allocated to defence and military
budgets rather than to R&D that could help address the
poverty, unemployment and erosion of human welfare that

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Nour, S. (2013a) Science, technology and innovation policies

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April. UNESCO: Cairo. Jauad El Kharraz (b. 1977; Morocco) holds a PhD in
Remote Sensing Sciences from the University of Valencia
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Science, Technology and Innovation in Sudan (in Arabic). Unit. He is co-founder and General Secretary of the Arab
UNESCO and Ministry of Science and Communication: World Association of Young Scientists and a member of
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Academy of Young Scientists. Since 2004, Dr El Kharraz
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WEF (2014) Rethinking Arab Employment: a Systemic Approach Nazar M. Hassan (b. 1964; Sudan) has been Senior
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27 January. technopreneurship culture. Previously, he worked in
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Development Division of the United Nations Economic
Commission for Western Asia. Dr Hassan received his
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Massachusetts Amherst (USA).

ACKNOWLEDGMENTS
Chapter 17

The authors wish to thank Professor Mohamed Alwasad from

the Libyan Authority for Research, Science and Technology for
supplying background information and data on Libya.

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Countries have made a

big effort in recent years
to expand their university
and research networks;
these must be nurtured.
George Essegbey, Nouhou Diaby
and Almamy Konte

Children washing their hands before eating

a prepared meal at the Hope Kindergarten
Elementary School in Buchanan City, Liberia,
in June 2015, following the Ebola epidemic.
Photo: Dominic Chavez/World Bank

470
 West Africa
18 . West Africa
Benin, Burkina Faso, Cabo Verde, Cte dIvoire, Gambia, Ghana, Guinea, Guinea-Bissau,
Liberia, Mali, Niger, Nigeria, Senegal, Sierra Leone, Togo

George Essegbey, Nouhou Diaby and Almamy Konte

INTRODUCTION practices, creating a more business-friendly climate, stronger

health and agricultural systems, modern infrastructure and a
A drive to achieve middle-income status by 2030 skilled labour force. These plans reflect a desire to exploit the
Most West African countries are striving to achieve lower resources which form the backbone of their economies in a
or upper middle-income status1 within the next 15 years. more sustainable manner and a determination to diversify
This goal is enshrined in the current development plans and and modernize the economy. None of this will be possible
economic policies of Cte dIvoire, Gambia, Ghana, Liberia, without a skilled labour force and recourse to science,
Mali, Senegal and Togo, for instance. Nigeria even plans to technology and innovation (STI).
join the worlds top 20 economies by 2020. Yet, for two-thirds
of West African countries, middle-income status remains an Strong growth in recent years, despite a series of crises
elusive goal: annual GDP per capita remains below US$ 1 045 The Economic Community of West African States (ECOWAS)
in all of Benin, Burkina Faso, Gambia, Guinea, Guinea-Bissau, has experienced strong economic growth in recent years,
Liberia, Mali, Niger, Sierra Leone and Togo. despite a series of crises.

Countries development plans tend to have three main In Mali, a Tuareg rebellion in January 2012 attempted to
thrusts: wealth creation, greater social equity and more establish an independent homeland in the north through an
sustainable development. In their quest for middle-income alliance with jihadist groups. The situation has stabilized since
status, they are giving priority to improving governance the government appealed for French intervention in January
2013 but remains fragile. The conflict caused Malis economy
1. Five countries have already achieved lower middle-income status, namely: to shrink by 0.4% in 2012, after six years of sustained growth
Cabo Verde, Cte dIvoire, Ghana, Nigeria and Senegal. The next step will be upper
middle-income status. of 5% on average (Figure 18.1).

Figure 18.1: Economic growth in West Africa, 20052013 (%)

20 Sierra Leone 20.1

15

Liberia 11.3

10 9.5
8.7 Cte dIvoire 8.7
6.9 Ghana 7.1
6.1 Burkina Faso 6.5
5.9 Gambia 5.6
5.6 Benin 5.6
4.9 Nigeria 5.4
5 4.5 Togo 5.1
4.3 Senegal 4.0
3.4
Niger 3.9
3.0
Guinea 2.5
2.9
Mali 2.1
1.3
1.2 Cabo Verde 0.5
0 -0.9 Guinea-Bissau 0.3

-5
Chapter 18

% 2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: World Banks World Development Indicators, September 2014.

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UNESCO SCIENCE REPORT

Guinea-Bissau suffered a military coup dtat in April 2012, 53% of Ghanas exports and nearly three-quarters of Malis
prompting the African Union to impose sanctions which were export earnings come from cotton (Figure 18.2). When raw
lifted two years later following the election of President Jos materials are extracted or grown in West Africa but processed
Mario Vaz. on other continents, this deprives the subregion of industries
and jobs. Despite this axiom, West African countries have
Cte dIvoire is still picking up the pieces after its civil war so far failed to diversify their economies and to tap export
ended with the arrest of the ex-president for war crimes in earnings from value-added and manufactured products.
April 2011. After stagnating for years, Cte dIvoires economy
rebounded by 9% in 2013. It is true that some countries have made a start. Cte dIvoire,
Ghana, Guinea, Nigeria and Senegal, for instance, have
Meanwhile, in the north of Africas most populous country, industries producing value-added goods. To enhance value
the Boko Haram sect (literally books are forbidden) pursues addition and strengthen the raw material base of industries,
its reign of terror against the Nigerian population, with these countries have all set up research institutes to transform
growing incursions across the border into Cameroon and raw products into semi-processed or processed goods. Both
Niger. Nigerians can at least rejoice at the smooth handover Ghana and Nigeria have also set up institutes specializing in
of power from incumbent president Goodluck Jonathan to his aeronautics, nuclear energy, chemistry and metallurgy. The
successor Muhammadu Buhari after the election results were first technology parks and cybervillages are emerging in these
announced on 31 March 2015. countries (ECOWAS, 2011a).

Farther north, in Burkina Faso, a popular revolt put an end to Could Ghana fall prey to the oil curse? A recent study by the
the 27-year rule of President Blaise Compaor on 30 October Institute of Statistical, Social and Economic Research at the
2014, after he tried to modify the Constitution in order to run University of Ghana ponders whether the increased importance
for a fifth term. Former diplomat Michel Kafando has been of oil in GDP [since petroleum exports began in 2011] signals
designated interim president by consensus and charged with the risk of Ghana becoming oil-dependent. [...] The advent of oil
organizing a general election in November 2015. production seems to be changing the pattern of the countrys
exports, the study observes (see Figure 19.1). Is Ghana teetering
In Guinea, Liberia and Sierra Leone, the Ebola epidemic has toward an oil-dominant country, or might the proceeds be
been a tragic reminder of the chronic underinvestment in employed wisely to diversify the economy? (ISSER, 2014)
West African health systems. Between March and December
2014, 8000 people died, a mortality rate of about 40%. There Economic diversification hampered by a skills shortage
has been a growing tide of solidarity. In September, Cuba One handicap to diversifying the economy is the shortage
dispatched hundreds of doctors and nurses to the afflicted of skilled personnel, including technicians, in fast-growing
countries. A month later, the East African Community sent sectors such as mining, energy, water, manufacturing,
its own contingent of 600 health professionals, including infrastructure and telecommunications. The lack of skilled
41 doctors, to combat the epidemic. They were joined in early personnel also impinges on the efficiency of national health
December by 150 volunteer health professionals from Benin, systems and agriculture.
Cte dIvoire, Ghana, Mali, Niger and Nigeria, as part of a joint
initiative by ECOWAS and its specialized agency, the West In this context, the launch of the African Centres of Excellence
African Health Organisation. The European Union, African project in April 2014 by the World Bank comes as a welcome
Union, USA and others have also pitched in with funding and addition to the education matrix. Eight governments2 are to
other forms of support. The year before Ebola struck, Liberia receive almost US$ 150 million in loans to fund research and
and Sierra Leone had experienced remarkable growth of 11% training at 19 of the subregions best universities (Table 18.1).
and 20% respectively. Ebola could set these fragile economies The Association of African Universities will be responsible for
back years (Figure 18.1). co-ordination and knowledge-sharing among all 19 universities
and has received World Bank funding for the purpose.
Structural weaknesses masked by strong growth
Despite these crises, the ECOWAS Commission is optimistic For all its virtues, the African Centres of Excellence project
about the subregions prospects for growth. It projects an cannot be a substitute for national investment. Currently,
even better performance in 2014 (7.1% growth) than in 2013 just three3 West African countries devote more than 1% of
(6.3%). This high growth rate nevertheless conceals serious
structural weaknesses. For decades, West African economies
2. Nigeria (US$ 70 million), Ghana (US$ 24 million), Senegal (US$ 16 million), Benin,
have relied almost entirely on revenue from raw commodities: Burkina Faso, Cameroon and Togo (US$ 8 million each). Gambia will also receive a
about 95% of Nigerias export revenue is derived from crude US$ 2 million loan and a US$ 1 million grant for short-term training.
oil and natural gas; gold and cocoa alone account for about 3. Data are unavailable for Nigeria.

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 West Africa

Figure 18.2: Top three export products in Africa, 2012

Algeria Petroleum & other oils, crude (45.0%), natural gas in gaseous state (20.0%), light oils Mauritania Iron ores and concentrates (46.7%), copper ores and concentrates (15.6%),
and preparations (8.7%) octopus (10.5%)
Angola Petroleum & other oils, crude (96.8%) Mauritius Tunas, skipjack & bonito (15.3%), solid cane or beet sugar (10.5%), cotton t-shirts
& the like (7.4%)
Benin Cotton (19.0%), petroleum oils or bituminous minerals (13.7%), gold (13.4%)
Morocco Phosphoric acid and polyphosphoric (8.2%), ignition wiring sets and other wiring sets
Botswana Unworked diamonds (74.3%), other non-industrial diamonds (7.2%), of a type used for vehicles, aircrafts, ships (6.1%), diammonium hydrogenorthosphosphate (4.5%)
gold in semi-manufactured forms (5.4%)
Mozambique Aluminium, not alloyed (28.8%), light oils & preparations (12.1%), liquefied
Burkina Faso Cotton (44.9%), gold in unwrought forms natural gas (5.4%)
(29.4%), gold in semi-manufactured forms (5.4%)
Namibia Unworked diamonds (30.1%), unrefined copper (13.4%),
Burundi Unroasted coffee (58.0%), natural uranium & its compounds (13.2%)
black tea (12.2%), niobium, tantalum,
vanadium ores & concentrates (9.0%) Niger Natural uranium & its compounds (62.2%), light oils
& preparations (12.1%), live animals (6.0%)
Cabo Verde Mackerel
(16.5%), skipjack or stripe- Nigeria Petroleum & other oils, crude (84.0%), liquefied
bellied bonito (15.4%), natural gas (10.8%)
yellowfin tunas (14.2%)
Rwanda Niobium, tantalum, vanadium ores &
Cameroon Petroleum & concentrates (23.7%), unroasted coffee (23.5%),
other oils, crude (48.1%), cocoa tin ores & concentrates (19.2%)
beans (9.0%), tropical
woods (7.7%) Sao Tome & Principe
Cocoa beans (47.6%),
Central African Rep. wristwatches (9.2%),
Unsorted diamonds (32.3%), jewellery (6.4%)
tropical wood (26.6%), cotton (14.0%)
Senegal Petroleum
Chad Petroleum & other oils, crude and & other oils (20.8%),
preparations (97.0%) inorganic chemical elements,
oxides & halogen salts (12.0%), fresh &
Comoros Cloves (56.1%), floating vessels for breaking up frozen fish (9.0%)
(21.2%), essential oils (9.8%)
Seychelles Tunas, skipjack & bonito
Congo. Rep. Petroleum & other oils, crude (87.1%) (52.5%), bigeye tunas (13.2%), yellowfin tunas
Congo. Dem. Rep. Cathodes (43.9%), unrefined copper (13.2%), petroleum (7.1%)
& other oils, crude (13.2%) Sierra Leone Iron ores
Cte dIvoire Cocoa beans (31.8%), petroleum & other oils, crude (12.3%),
COMOROS
& concentrates (45.2%),
natural rubber (7.2%) titanium ores & concentrates
(16.4%), unworked
Djibouti Live animals (23.0%), sheep (18.1%), goats (15.6%) diamonds (12.1%)
Egypt Petroleum & other oils, crude (24.0%), liquefied natural gas (11.1%), Somalia Sheep (29.4%),
Equatorial Guinea Petroleum & other oils, crude (73.6%), liquefied natural gas (19.8%) goats (28.2%), live bovine animals
(17.3%)
Eritrea Gold (88.0%), silver (4.9%)
South Africa Gold (11.6%), iron ores & concentrates
Ethiopia Unroasted coffee (39.5%), sesamum seeds (19.7%), fresh cut flowers (10.2%) (7.6%), platinum (6.6%)
Gabon Petroleum & other oils, crude (85.4%), manganese ores & concentrates (6.7%) South Sudan Petroleum & other oils, crude (99.6%)
Gambia Wood (48.6%), cashew nuts (16.2%), petroleum & other oils (6.5%) Sudan Petroleum & other oils, crude (65.6%), Sheep (10.6%), sesamum
seeds (4.2%)
Ghana Gold (36.0%), cocoa beans and paste (16.5%), petroleum & other oils, crude (22.0%)
Swaziland Raw sugar cane (17.4%), odoriferous substances used in food & beverages (14.8%),
Guinea Gold (40.5%), bauxite (34.0%), alumine (9.0%) iron ores & concentrates (10.9%)
Guinea-Bissau Cashew nuts (83.9%) Tanzania Precious metal ores & concentrates (11.7%), tobacco (11.5%), unroasted, not
Kenya Black tea (20.0%), fresh cut flowers (12.1%), unroasted coffee (5.9%) decaffeinated coffee (6.6)

Lesotho Diamonds (45.5%), mens/boys cotton trousers & shorts (13.4%), womens/girls Togo Gold (12.1%), natural calcium phosphates, phosphatic chalk (11.7%), light oils
synthetic trousers & shorts (6.1%) & preparations (10.3%)

Liberia Iron ores & concentrates (21.1%), natural rubber (19.3%), tankers (12.3%) Tunisia Petroleum & other oils, crude (11.2%), ignition wiring sets and other wiring sets of a
type used for vehicles, aircrafts, ships (6.2%); mens/boys cotton trousers and shorts (4.3%)
Libya Petroleum & other oils, crude (88.4%), natural gas in gaseous state (5.6%)
Uganda Unroasted, not decaffeinated coffee (30.6%), cotton (5.6%), tobacco (5.5%)
Madagascar Cloves (15.8%), shrimps & prawns (7.2%), titanium ores & concentrates (5.5%)
Zambia Cathodes (47.6%), unrefined copper (26.1%), maize, excl. seed (5.0%)
Malawi Tobacco (50.1%), natural uranium & its compounds (10.4%), raw sugar cane (8.0%)
Zimbabwe Tobacco (30.8%), ferro-chromium (11.6%), cotton (9.6%)
Chapter 18

Mali Cotton (72.7%), sesamum seeds (8.8%)

Note: Data for Ghana are for 2013.

Source: ADB et al. (2014), Table 18.7; for Ghana: calculated for 2013 from ISSER (2014)

473
UNESCO SCIENCE REPORT

GDP to higher education: Ghana and Senegal (1.4%) and Mali Centres of excellence: a problem shared
(1.0%). In Liberia, the proportion is even lower than 0.3% (see is a problem halved
Table 19.2). Up to now, the priority has been to achieve the Most West African scientists currently work in isolation from
Millennium Development Goal of universal primary education their peers even within the same country. The World Bank
by 2015. Low investment in higher education has led to a scheme is coherent with Africas Science and Technology
surge in private universities over the past decade, which now Consolidated Plan of Action, 20052014, which called for the
represent more than half of all universities in some countries establishment of regional networks of centres of excellence
(ECOWAS, 2011a). and for a greater mobility of scientists across the continent.

West Africa is participating in several of these networks.

Table 18.1: The African Centres of Excellence Project, Ouagadougou (Burkina Faso) hosts the African Biosafety
2014 Network of Expertise (Box 18.1) and the Senegalese Institute
for Agricultural Research in Dakar is one of the four nodes
Centre of excellence Lead institution
of the pan-African biosciences network (see Box 19.1). In
Benin Applied Mathematics University of addition, Senegal and Ghana host two of the five African
Abomey-Calavi Institutes of Mathematical Sciences (see Box 20.4).
Burkina Water, Energy, Environmental Sciences International Institute of
Faso and Technologies Water and Environmental In 2012, the West African Economic and Monetary Union
Engineering (2iE) (WAEMU) designated 14 centres of excellence in the region
(Table 18.2). This label entitles these institutions to financial
Cameroon Information and Communication University of Yaound
Technologies support from WAEMU for a two-year period. Within the
framework of its Policy on Science and Technology (see p. 476),
Ghana Training Plant Breeders, Seed Scientists University of Ghana
ECOWAS intends to establish several centres of excellence of
and Technologists
its own on a competitive basis.
Cell Biology of Infectious Pathogens University of Ghana

Water and Environmental Sanitation Kwame Nkrumah

University of Science and
Technology Table 18.2: The WAEMU Centres of Excellence, 2012
Nigeria Agricultural Development and Federal University of Centre of excellence City
Sustainable Environment Agriculture
Burkina Faso Centre for Research in Biological and Food Science Ouagadougou
Dryland Agriculture Bayero University and Nutrition
Oil Field Chemicals University of Port Higher Institute of Population Sciences Ouagadougou
Harcourt
International Centre for Research and Development Bobo-Diou-
Science, Technology and Knowledge Obafemi Awolowo into Animal Husbandry in Subtropical Zones lasso
University
International Institute of Water and Environmental Ouagadougou
Food Technology and Research Benue State University Engineering
Genomics of Infectious Diseases Redeemers University Cte dIvoire National School of Statistics and Applied Economics Abidjan
Neglected Tropical Diseases and Forensic Ahmadu Bello University Mali West African Network of Education Research Bamako
Biotechnology
Niger Regional Centre for Training and Applications in Niamey
Phytomedicine Research and University of Jos Agro-meteorology and Operational Hydrology
Development
Regional Specialized Teaching Centre in Agriculture Niamey
Reproductive Health and Innovation University of Benin,
Nigeria Senegal African Centre for Higher Management Studies Dakar

Materials African University of Multinational Higher School of Telecommunications Dakar

Science and Technology
School of Veterinary Science and Medicine Dakar
Senegal Maternal and Infant Health Cheikh Anta Diop
University Africa Rice Centre Saint-Louis

Mathematics, Informatics and Information University of Gaston Higher Institute of Management Dakar
and Communication Technologies Berger, St Louis
Togo African School of Architecture and Urban Planning Lom
Togo Poultry Sciences University of Lom
Source: WAEMU
Source: World Bank

474
 West Africa

Box 18.1: The African Biosafety Network of Expertise

The African Biosafety Network consultative workshop to validate Mozambique and Zimbabwe. The
of Expertise was established in Togos revised biosafety law. Around main objective was to allow them
Ouagadougou on 23 February 2010 60 participants took part, including to interact directly with their peers
with the signing of a host agreement government officials, researchers, and industrial practitioners in South
between NEPAD and the Government lawyers, biosafety regulators and civil Africa. The study tour was organized
of Burkina Faso. The network serves society representatives; the workshop under the auspices of the NEPAD
as a resource for regulators dealing was chaired by a member of the National Planning and Coordinating Agency, in
with safety issues related to the Biosafety Committee. The aim of the partnership with the Southern Africa
introduction and development of draft bill was to align Togos biosafety Network for Biosciences (SANBio), see
genetically modified organisms. In law signed in January 2009 with Box 19.1).
addition to providing regulators with international biosafety regulations and
access to policy briefs and other best practices, especially the Nagoya The African Biosafety Network of
relevant information online in English Kuala Lumpur Supplementary Protocol Expertise was conceptualized in
and French, the network organizes on Liability and Redress that Togo had Africas Science and Technology
national and subregional workshops signed in September 2011. The validation Consolidated Plan of Action (2005) and
on specific topics. workshop was a critical step before the fulfils the recommendation of the
new bill could be tabled at the National High-Level African Panel on Modern
For instance, one-week biosafety Assembly for adoption later that year. Biotechnology, entitled Freedom to
courses for African regulators were Innovate (Juma and Serageldin, 2007).
run by the network in Burkina Faso In June 2014, the network organized a The network is funded by the Bill and
in November 2013 and in Uganda four-day study tour to South Africa for Melinda Gates Foundation.
in July 2014, in partnership with the ten regulators and policy-makers from
University of Michigan (USA). Twenty- Burkina Faso, Ethiopia, Kenya, Malawi, Source: www. nepadbiosafety.net
two regulators from Ethiopia, Kenya,
Malawi, Mozambique, Tanzania,
Uganda and Zimbabwe took part in
the latter course.

In April 2014, the network ran a training

workshop in Nigeria at the request of
the Federal Ministry of Environment
for 44 participants drawn from
government ministries, regulatory
agencies, universities and research
institutions. The aim was to strengthen
the regulatory capacity of institutional
biosafety committees. This training
was considered important to ensure
continued regulatory compliance
for ongoing confined field trials and
multilocation trials for Maruca-resistant
cowpea and biofortified sorghum.
COMOROS
The workshop was run in partnership
GM commercialized crops
with the International Food Policy
Confined field trials and biosafety laws
Research Institutes Program for
Biosafety Systems. Confined field trials without biosafety laws

Biosafety laws without confined field trials

Chapter 18

From 28 April to 2 May 2014, Togos

No biosafety laws or confined field trials
Ministry of Environment and Forest
Resources organized a stakeholders Source of map: 2013 African Biosafety Network of Expertise

475
UNESCO SCIENCE REPORT

A REGIONAL VISION FOR SCIENCE A framework for co-ordinating the regions STI policies
Why has the research sector had so little impact on
AND TECHNOLOGY
technological progress in West Africa? Apart from obvious
A roadmap for more effective development factors like underinvestment, this situation has resulted from
Regional integration can help accelerate development in the relatively low political commitment to STI on the part of
West Africa. The Vision 2020 document4 adopted by ECOWAS individual countries. There is a lack of:
member states in 2011 is consistent with the continents long-
n national research and innovation strategies or policies
term objective of creating an African Economic Community
with a clear definition of measurable targets and the role
(Box 18.2). Vision 2020 aspires to create a borderless,
to be played by each stakeholder;
prosperous and cohesive region built on good governance
and where people have the capacity to access and harness its n involvement by private companies in the process
enormous resources through the creation of opportunities for of defining national research needs, priorities and
sustainable development and environmental preservation programmes; and
We envision, by 2020, an environment in which the private
n institutions devoted to innovation that can make the link
sector will be the primary engine of growth and development
between research and development (R&D).
(ECOWAS, 2011b).
The low impact of science and technology (S&T) in
Vision 2020 proposes a road map for improving governance, West Africa has also resulted from the differences in
accelerating economic and monetary integration and education systems, the lack of convergence among
fostering publicprivate partnerships. It endorses the planned research programmes and the low level of exchanges and
harmonization of investment laws in West Africa and suggests collaboration between universities and research institutions.
pursuing with vigour the creation of a regional investment The centres of excellence cited earlier should help to foster
promotion agency. Countries are urged to promote efficient, collaboration and the dissemination of research results, as
viable small and medium-sized enterprises (SMEs) and to expose well as a greater convergence among research programmes.
traditional agriculture to modern technology, entrepreneurship In education, the three-tiered degree system (bachelors
and innovation, in order to improve productivity. mastersPhD) has now been generalized to most West
African countries. In the case of WAEMU countries, this is
The agriculture sector suffers from chronic underinvestment largely thanks to the Support to Higher Education, Science
in West Africa. Only Burkina Faso, Mali, Niger and Senegal and Technology Project, funded by a grant from the African
have so far raised public expenditure to 10% of GDP, the Development Bank. Between 2008 and 2014, WAEMU
target fixed by the Maputo Declaration (2003). Gambia, Ghana invested US$ 36 million in this reform.
and Togo are on the threshold of reaching this target. Nigeria
devotes 6% of GDP to agriculture and the remaining West The ECOWAS Policy on Science and Technology (ECOPOST)
African countries less than 5% (see Table 19.2). is the logical next step. Adopted in 2011, it is an integral
part of Vision 2020. ECOPOST provides a framework for
Other underdeveloped areas are the water, sanitation and member states wishing to improve or elaborate for the
electricity sectors, which hold potential for publicprivate first time their own national policies and action plans
partnerships. The situation is most urgent in Benin, Ghana, for STI. Importantly, ECOPOST includes a mechanism for
Guinea and Niger, where less than 10% of the population monitoring and evaluating the policys implementation,
enjoys improved sanitation. Although people have greater an aspect often overlooked. Nor does it neglect funding.
access to clean water than to sanitation, this basic commodity It proposes creating a solidarity fund which would be
still eludes more than half of the population in most countries. managed by a directorate within ECOWAS to help countries
Access to electricity varies widely, from 13% in Burkina Faso to fund investment in key institutions and improve education
72% in Ghana (see Table 19.1). and training; the fund would also be used to attract foreign
direct investment (FDI). As of early 2015, the fund had not
Internet penetration has been excruciatingly slow in West yet been established.
Africa, contrary to mobile phone subscriptions. As of 2013,
5% of the population or less had access to internet in Benin, The regional policy advocates the development of a science
Burkina Faso, Cte dIvoire, Guinea-Bissau, Liberia, Mali, Niger, culture in all sectors of society, including through science
Sierra Leone and Togo. Only Cabo Verde and Nigeria could popularization, the dissemination of research results in
provide one in three citizens with internet connections (see local and international journals, the commercialization of
Table 19.1). research results, greater technology transfer, intellectual
property protection, stronger universityindustry ties and
4. See the ECOWAS Community Development Programme: www.cdp-pcd.ecowas.int the enhancement of traditional knowledge.

476
 West Africa

Box 18.2: An African Economic Community by 2028

The Abuja Treaty (1991) established n Common Market for Eastern and Trade Agreement was signed on
a calendar for creating an African Southern Africa (COMESA), 20 states, 10 June 2015 in Sharm-El-Sheikh
Economic Community by 2028. The population of circa 406 million; (Egypt).
first step was to establish regional
n Intergovernmental Authority on
economic communities in parts of On 1 July 2010, the five EAC members
Development (IGAD), 8 states,
Africa where these were still lacking. formed a common market grouping
population of circa 188 million.
The next target is to establish a free Burundi, Kenya, Rwanda, Tanzania and
trade area and customs union in each Some countries belong to more than Uganda. In 2014, Rwanda, Uganda and
regional economic community by one economic community, creating Kenya agreed to adopt a single tourist
2017 then across the entire continent overlap (see Annex 1 for the membership visa. Kenya, Tanzania and Uganda have
by 2019. A continent-wide African of these regional blocs). Kenya, for also launched the East African Payment
Common Market is to become instance, is a member of COMESA, System. The region is also investing in
operational in 2023. The last stage will EAC and IGAD. There are also smaller a standard gauge regional rail, roads,
consist in establishing a continent- regional blocs. One example is the energy and port infrastructure to
wide economic and monetary union West African Economic and Monetary strengthen links to Mombasa and Dar
and parliament by 2028, with a single Union grouping Benin, Burkina Faso, es Salaam. Intra-EAC trade grew by
currency to be managed by the African Cte dIvoire, Guinea-Bissau, Mali, Niger, 22% in 2012 over the previous year. On
Central Bank. Senegal and Togo. 30 November 2013, the EAC countries
signed a Monetary Union Protocol
The six regional pillars of the future ECOWAS has launched a common with the aim of establishing a common
African Economic Community are the passport to facilitate travel and finance currency within 10 years.
following regional communities: ministers agreed in 2013 to launch
a Common External Tariff in 2015 to Pending the single African currency,
n Economic Community of West
discourage wide price differentials and 14 countries currently use the West
African States (ECOWAS): 15 states,
smuggling across the region. African CFA and Central African CFA
population of circa 300 million;
currency (in place since 1945), which
n Economic Community of Central In 2000, nine COMESA members formed is indexed on the euro managed
African States (ECCAS), 11 states, a free trade area: Djibouti, Egypt, Kenya, by the European Central Bank. The
population of circa 121 million; Madagascar, Malawi, Mauritius, Sudan, indexation of the CFA on a strong
Zambia and Zimbabwe. They were later currency favours imports over exports.
n SouthernAfrican Development
joined by Burundi and Rwanda (2004), Five countries currently use the South
Community (SADC), 15 states,
Comoros and Libya (2006) and by the African Rand: Lesotho, Namibia, South
population of circa 233 million;
Seychelles in 2009. In 2008, COMESA Africa, Swaziland and Zimbabwe.
n EastAfrican Community (EAC), agreed to expand its free-trade zone to
5 states, population of circa include EAC and SADC members. The Source: AfDB et al. (2014); other information
125 million; COMESAEACSADC Tripartite Free compiled by authors

ECOPOST encourages countries inter alia to:

n define a harmonized regional status for researchers;
n raise gross domestic expenditure on R&D (GERD) to 1% of
GDP, as recommended by the African Union a decade ago; n put in place a national fund for local innovators which
currently, it averages 0.3% in West Africa; would also help them protect their intellectual property
rights;
n define their own research priorities, so that researchers are
working on topics of national interest rather than those n adapt university curricula to local industrial needs;
proposed by donors;
n develop small research and training units in key industrial
Chapter 18

n create a national S&T fund which would allocate funds to fields, such as lasers, fibre optics, biotechnology,
research projects on a competitive basis; composite materials and pharmaceuticals;

n establish science and innovation prizes; n equip research laboratories, including with ICTs;

477
UNESCO SCIENCE REPORT

n establish science and technology parks and business ECOWAS was barely more visible in the second African
incubators; Innovation Outlook, with just six countries contributing R&D
data, out of 19 across the continent: Burkina Faso, Cabo
n help companies specializing in electronics to set
Verde, Ghana, Mali, Senegal and Togo (NPCA, 2014). Nigeria
up business in their country and develop the use of
was totally absent and only Ghana and Senegal provided a
satellites and remote sensing for telecommunications,
full set of data for all four performance sectors, which is why
environmental monitoring, climatology, meteorology, etc.;
they alone feature in Figure 18.5.
n develop a national capacity to manufacture computer
hardware and design software; Subregional training workshops were organized for countries
by ECOWAS in 2013 and 2014 on STI indicators and how to
n facilitate the spread of modern IT infrastructure to foster
draft research proposals.
teaching, training and research;

n incite the private sector to finance research and ECOWAS has taken other steps recently to tackle the lack of
technology through tax incentives and related measures; technological impact of the research sector:

n create networks between universities, research institutions n In 2012, the ministers in charge of research adopted
and industry to promote collaboration; the ECOWAS Research Policy (ECORP) while meeting in
Cotonou;
n foster clean, sustainable sources of energy and the
development of local construction materials; n In 2011, ECOWAS created the West Africa Institute within a
publicprivate partnership (Box 18.3).
n establish national and regional databases on R&D
activities.

Countries are also encouraged to work with the ECOWAS

TRENDS IN EDUCATION
Commission to improve data collection. Of the 13 countries Efforts to generalize primary education are paying off
which participated in the first phase5 of the African Science, One of West Africas toughest challenges will be to educate
Technology and Innovation Indicators Initiative (ASTII), just and train young people and develop a highly skilled labour
four from ECOWAS contributed to ASTIIs first collection of force, particularly in science and engineering. Illiteracy
R&D data for publication in the African Innovation Outlook remains a major hurdle to expanding science education: only
(2011): Ghana, Mali, Nigeria and Senegal (NPCA, 2011). two out of three young people (62.7%) between the ages of
15 and 24 are literate, with the notable exception of Cabo
Verde (98.1%). The proportion of literates is as low as one
5. ASTII was launched in 2007 by the African Unions New Partnership for Africas
Development (NEPAD), in order to improve data collection and analysis on R&D. person in four in Niger (23.5%).

Box 18.3: The West Africa Institute

The West Africa Institute was established to market integration in West Africa; new In 2009, UNESCOs General
in Praia (Cabo Verde) in 2010 to provide ICTs; education; the problem of shared Conference established the
the missing link between policy and resources (land, water, minerals, coastal West Africa Institute as one of its
research in the regional integration and maritime security); funding of NGOs in category 2 institutes, which means
process. The institute is a service West Africa; and migration. that it functions under the auspices
provider, conducting research for of UNESCO. A year later, the
regional and national public institutions, The idea for the West Africa Institute Government of Cabo Verde passed
the private sector, civil society and the emerged from 15 research workshops a law establishing the institute in
media. The think tank also organizes on the theme of regional integration the capital.
political and scientific dialogues organized in the ECOWAS member states
between policy-makers, regional by UNESCOs Management of Social The institute is the fruit of a public
institutions and members of civil society. Transformations programme. private partnership involving
ECOWAS, WAEMU, UNESCO, the
There are ten research themes: the In 2008, the Summit of Heads of State and pan-African Ecobank and the
historical and cultural bases of regional Government of ECOWAS in Ouagadougou Government of Cabo Verde.
integration; citizenship; governance; (Burkina Faso) unanimously endorsed the
regional security; economic challenges idea to create the West Africa Institute. Source: westafricainstitute.org

478
 West Africa

The considerable efforts made at the primary level are paying The challenge now will be to raise the enrolment rate at
off, with the average enrolment rate having risen from 87.6% secondary level from 45.7% in 2011, albeit with marked
to 92.9% between 2004 and 2012 (Table 18.3). According to differences from one country to another: just one in four
the ECOWAS Annual Report (2012), enrolment has increased by children from Niger and Burkina Faso attend secondary
as much as 20% since 2004 in four countries: Benin, Burkina school, whereas, in Cabo Verde, enrolment has shot up to
Faso, Cte dIvoire and Niger. 92.7% (2012).

However, in most West African countries, one in three To promote girls education, ECOWAS established the
children do not complete the primary cycle. The share is ECOWAS Gender Development Centre in Dakar in 2003.
even higher than 50% in Burkina Faso and Niger. In 2012, Moreover, ECOWAS provides scholarships for girls from
there were an estimated 17million children out of school disadvantaged families to enable them to pursue their
in ECOWAS countries. Although this represents a 3% technical or vocational education. The ECOWAS Annual Report
improvement over the previous decade, this figure pales in for 2012 states that the number of girls receiving scholarships
comparison to that for sub-Saharan Africa as a whole, where in each country had doubled from five to ten or more by 2012
the drop-out rate has fallen by 13%. Cabo Verde and Ghana in some countries.
are the exceptions to the rule, both having a high completion
rate (over 90%). Ghana has achieved almost 100% enrolment Growing student rolls but universities remain elitist
at primary level, largely thanks to the governments free On average, the gross enrolment rate for tertiary education
school meals programme. Five out of six ECOWAS countries in West Africa was 9.2% in 2012. Some countries have made
reported a higher percentage of qualified primary teachers impressive progress, such as Cabo Verde between 2009
in 2012 than eight years earlier; especially notable are (15.1%) and 2012 (20.6%). In others, a university education
improvements in Senegal (+15%) and Cabo Verde (+13%). remains elusive: the figures for Niger and Burkina Faso have
stagnated at 1.7% and 4.6% of school leavers respectively.

Table 18.3: Gross enrolment in ECOWAS countries, University rolls are rising but this needs placing in a context
2009 and 2012 (%) of strong population6 growth. The notable exception is Cte
Share of population at all levels of education dIvoire, where student numbers have been a casualty of the
violence and political uncertainty arising from the disputed
Primary (%) Secondary (%) Tertiary (%) 2010 election, which prompted the closure of universities
2009 2012 2009 2012 2009 2012 and eventually unseated President Gbagbo.

Benin 114.87 122.77 54.16+1 9.87 12.37-1

It is difficult to draw conclusions for West Africa as a whole,
Burkina Faso 77.68 84.96 20.30 25.92 3.53 4.56 given the patchy data. The available data nevertheless
Cabo Verde 111.06 111.95 85.27 92.74 15.11 20.61 reveal some interesting trends. For instance, student rolls
have surged in recent years in Burkina Faso and Ghana
Cte dIvoire 79.57 94.22 39.08+1 9.03 4.46
(Table 18.4). Burkina Faso shows the particularity, moreover,
Gambia 85.15 +1
85.21 58.84 of having one of the subregions highest ratios of PhD
students: one in 20 graduates goes on to enroll in a PhD.
Ghana 105.53 109.92 58.29 58.19 8.79 12.20
The number of PhDs in engineering fields remains low:
Guinea 84.60 90.83 34.29-1 38.13 9.04 9.93 58 in Burkina Faso and 57 in Ghana in 2012, compared to
Guinea-Bissau 116.22 +1
36 in Mali and just one in Niger in 2011. Of note is that
Ghana is the only country with a critical mass of PhD
Liberia 99.64 102.38 -1
45.16 -1
9.30 +1
11.64
students in agriculture (132 in 2012), a situation which
Mali 89.25 88.48 39.61 44.95+1 6.30 7.47 bodes ill for agricultural development in the subregion.
Niger 60.94 71.13 12.12 15.92 1.45 1.75
Likewise, Burkina Faso trains a much greater number of
PhDs in the field of health than its neighbours; women tend
Nigeria 85.04* 38.90* to be most attracted to health sciences: they represent one
Senegal 84.56 83.79 36.41+1 41.00-1 8.04 in three of these PhD candidates in Burkina Faso and Ghana,
compared to about one in five in science and engineering
Togo 128.23 132.80 43.99 -1
54.94 -1
9.12 +1
10.31
(Figure 18.3).
Chapter 18

*estimation by UNESCO Institute for Statistics

-n/+n = data refer to n years before or after reference year
Source: UNESCO Institute for Statistics, May 2015 6. The population is growing by more than 3% each year in the Sahelian
countries of Mali and Niger and by more than 2.3% in all but Sierra Leone (1.8%)
and Cabo Verde (0.95%). See Table 19.1

479
UNESCO SCIENCE REPORT

Table 18.4: Tertiary enrolment in West Africa, 2007 and 2012 or nearest available year
By level and field of study, selected countries

Engineering, manufacturing
Total Science and construction Agriculture Health
secondary

secondary

secondary

secondary

secondary
1st & 2nd

1st & 2nd

1st & 2nd

1st & 2nd

1st & 2nd

degree

degree

degree

degree

degree
Post-

Post-

Post-

Post-

Post-
PhD

PhD

PhD

PhD

PhD

Burkina Faso, 2007 7 964 24 259 1 236 735 3 693 128 284 0 100 219 2 203 1 892 928

Burkina Faso, 2012 16 801 49 688 2 405 1 307 8 730 296 2 119 303 58 50 67 17 0 2 147 1 554

Cte dIvoire, 2012 57 541 23 008 269 12 946 7 817 1 039 1724

Ghana, 2008 64 993 124 999 281 6 534 18 356 52 7 290 9 091 29 263 6 794 32 946 4 744 6

Ghana, 2012 89 734 204 743 867 3 281 24 072 176 8 306 14 183 57 1 001 7 424 132 3 830 10 144 69

Mali, 2009 10 937 65 603 127 88 6 512 69 0 950 9 602 408 2 1 214 5 202 4

Mali, 2011 10 541 76 769 343 25 1 458 82 137 1 550 36 662 0 23 2 024 3 956 0

Niger, 2009 3 252 12 429 311 258 1 327 30 315 4 871 1 814

Niger, 2011 3 365 14 678 285 139 1 825 21 240 56 1 0 479 6 1 330 2 072 213

Source: UNESCO Institute for Statistics, January 2015

Figure 18.3: West African PhD students enrolled in S&T fields by gender, 2007 and 2012 or closest year
Selected countries
1 314

MEN WOMEN

800 800

700 700

600 600

500 500

400 400

300 300

200 200

100 100

0 0
07

12

07

12

1
00

01

00

01

00

01

00

01

01
20

20

20

20

20
a2

a2

i2

i2

a2

a2

i2

i2

r2
o

o
r
al

al

al

al
ge

ge
an

an

an

an
as

as

as

as
M

M
aF

aF

aF

aF
Ni

Ni
Gh

Gh

Gh

Gh
in

in

in

in
rk

rk

rk

rk
Bu

Bu

Bu

Bu

Science Engineering, manufacturing & construction Agriculture Health

Source: UNESCO Institute for Statistics, January 2015

480
 West Africa

TRENDS IN R&D Figure 18.4: GERD/GDP ratio in West Africa,

Most countries still far from 1% target 2011 or closest year (%)
Selected countries
ECOWAS countries still have a long way to go to reach the AUs
target of devoting 1% of GDP to GERD. Mali comes closest (0.66%),
Burkina Faso (2009) 0.20
followed by Senegal (Figure 18.4). The strong economic growth
experienced by the subregion in recent years does, of course, make Cabo Verde (2011) 0.07
it harder to improve the GERD/GDP ratio, since GDP keeps rising.
Gambia (2011) 0.13
Although the government is the main source of GERD, foreign
sources contribute a sizeable chunk in Ghana (31%), Senegal (41%) Ghana (2010) 0.38
and Burkina Faso (60%). Gambia receives nearly half of its GERD
Mali (2010) 0.66
from private non-profit sources (see Table 19.5). 0.66

Nigeria (2007) 0.22

GERD tends to be spent mainly in either the government or
Senegal (2010) 0.54
university sectors, depending on the country, although only
Ghana and Senegal have provided data for all four performing Togo (2012) 0.22
sectors. These data reveal that the share of GERD performed
by the business enterprise sector in these two countries is Source: UNESCO Institute for Statistics, January 2015

negligible (Figure 18.5). This will need to change if the region is

to raise its investment in R&D.
Figure 18.5: GERD in Ghana and Senegal by sector
A lack of researchers, in general, and women, in particular of performance, 2010
It would be hazardous to extrapolate to the entire subregion
without recent data for more than seven countries but the Ghana 0.2 96.0 3.8

available data do suggest a shortage of qualified personnel.

Only Senegal stands out, with 361 full-time equivalent (FTE) Senegal 0.3 52.0 31.4 16.2
researchers per million population in 2010 (Table 18.5). Despite
policies promoting gender equality, womens participation in Business enterprise sector Government

R&D remains low. Cabo Verde, Senegal and Nigeria have some of Higher education Private non-profit

the best ratios: around one in three (Cabo Verde) and one in four
Note: Complete data for each sector are unavailable for other West African
researchers. Concerning the sector of employment, the surprise countries.
comes from Mali, where half (49%) of researchers were working in Source: UNESCO Institute for Statistics, January 2015
the business enterprise sector in 2010 (Table 18.5).

Table 18.5: Researchers (FTE) in West Africa, 2012 or closest year

By sector of employment
Total By field of science and share of women
(% of total)
Business sector

Med. & Health

education (%)
Government

Engineering
Women (%)

Women (%)

Women (%)

Women (%)

Women (%)

Women (%)

Women (%)
Agricultural

Humanities
population
Per million
Numbers

Sciences

Sciences

Sciences

Sciences
Natural
Higher

Social
(%)

(%)

Burkina Faso, 2010 742 48 21.6 98 12.2 121 12.8 344 27.4 64 13.7 26 15.5 49 30.4

Cabo Verde, 2011 25 51 36.0 0.0 100.0 0.0 5 60.0 8 12.5 0.0 0.0 6 50.0 6 33.3

Ghana, 2010 941 39 17.3 1.0 38.3 59.9 164 17.5 120 7.7 135 19.3 183 14.1 197 18.6 118 26.8

Mali, 2010 443 32 14.1 49.0 34.0 16.9

Nigeria, 2007 5 677 39 23.4 0.0 19.6 80.4

Senegal, 2010 4 679 361 24.8 0.1 4.1 95.0 841 16.9 99 14.1 898 31.7 110 27.9 2 326 27.2 296 17.1
Chapter 18

Togo, 2012 242 36 9.4 22.1 77.9 32 7.1 13 7.8 40 8.3 63 3.8 5 14.1 88 14.1

Note: The sum of the breakdown by field of science may not correspond to the total because of fields not elsewhere classified.
Source: UNESCO Institute for Statistics, January 2015

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UNESCO SCIENCE REPORT

A modest publication record, little intraregional COUNTRY PROFILES

collaboration
When it comes to scientific publications, West Africa has BENIN
not progressed as quickly as the rest of the continent since
2005 (Figure 18.6). Output remains low, with only Gambia A need to match R&D with development
and Cabo Verde publishing more than 30 articles per million needs
population. In the coming years, the country to watch may In Benin, the Ministry of Higher Education and Scientific Research
be Ghana, where the number of articles almost tripled to 579 is responsible for implementing science policy. The National
between 2005 and 2014. Directorate of Scientific and Technological Research handles
planning and co-ordination, whereas the National Council for
From 2008 to 2014, the top three partners for ECOWAS Scientific and Technical Research and National Academy of
authors came from the USA, France and the UK, in that order. Sciences, Arts and Letters each play an advisory role.
South Africa, Burkina Faso and Senegal are the main African
partners of ECOWAS countries. South Africa has established Financial support comes from Benins National Fund for
bilateral agreements with Ghana, Mali and Nigeria to boost Scientific Research and Technological Innovation. The
co-operation in science and technology (see Table 20.6). Benin Agency for the Promotion of Research Results and
Technological Innovation carries out technology transfer
A report by the African Observatory of Science, Technology through the development and dissemination of research results.
and Innovation on scientific production in the African Union
between 2005 and 2010 indicates that only 4.1% of scientific The regulatory framework has evolved since 2006 when the
papers published by Africans involved co-authors from the countrys first science policy was prepared. This has since
same continent in 20052007 and 4.3% in 20082010 (AOSTI, been updated and complemented by new texts on science
2014). and innovation (the year of adoption is between brackets):

n A manual for monitoring and evaluating research

Judging from the publication record, ECOWAS research
structures and organizations (2013);
focuses on medical and biological sciences, even if Nigeria
did publish 1 250 research articles on agriculture between n A manual on how to select research programmes and
2008 and 2014. Agricultural research takes a back seat in most projects and apply to the National Fund for Scientific
ECOWAS countries, despite being a priority. This is hardly Research and Technological Innovation (2013) for
surprising, given the small number of PhDs in agriculture competitive grants;
emerging from the universities of most West African countries
n A draft act for funding scientific research and innovation
and the generally low level of investment in agriculture.
and a draft code of ethics for scientific research and
Research in mathematics, astronomy and computer science is
innovation were both submitted to the Supreme Court in
negligible, even among the subregions leaders, Nigeria and
2014;
Ghana (Figure 18.6).
n A strategic plan for scientific research and innovation
In the great majority of ECOWAS countries, more than eight (under development in 2015).
out of ten scientific articles catalogued in the Web of Science
between 2008 and 2014 had foreign partners. In the case of Equally important are Benins efforts to integrate science into
Cabo Verde, Guinea-Bissau and Liberia, this was even the case existing policy documents:
for the totality of articles, although it must be said that these
n Benin Development Strategies 2025: Benin 2025 Alafia (2000);
three countries have a low output. There are two exceptions
to the rule: in Cte dIvoire, three-quarters of articles (73%) n Growth Strategy for Poverty Reduction 20112016 (2011);
had foreign co-authors between 2008 and 2014 and, in
n Phase 3 of the Ten-year Development Plan for the Education
Nigeria, just over one-third (37%). In comparison, the average
Sector, covering 20132015;
for members of the Organisation for Economic Co-operation
and Development (OECD) is 29%. As for G20 countries, they n Development Plan for Higher Education and Scientific
publish just under 25% of articles with foreign partners on Research 20132017 (2014).
average. The average for sub-Saharan Africa is 63%.
The priority areas for scientific research are health, education,
construction and building materials, transportation and trade,
culture, tourism and handicrafts, cotton/textiles, food, energy
and climate change.

482
 West Africa

The main research structures are the Centre for Scientific and in parallel, applied sciences and technology and social and
Technical Research, National Institute of Agricultural Research, human sciences. To complement the national research
National Institute for Training and Research in Education, policy, the government has prepared a National Strategy to
Office of Geological and Mining Research and the Centre for Popularize Technologies, Inventions and Innovations (2012) and
Entomological Research. The University of Abomey-Calavi also a National Innovation Strategy (2014).
deserves mention for having been selected by the World Bank
as a centre of excellence in applied mathematics (Table 18.1). Other policies also incorporate science and technology, such as
that on Secondary and Higher Education and Scientific Research
The main challenges facing R&D in Benin are the: (2010), the National Policy on Food and Nutrition Security (2014)
and the National Programme for the Rural Sector (2011).
n unfavourable organizational framework for R&D: weak
governance, a lack of co-operation between research
In 2013, Burkina Faso passed the Science, Technology and
structures and the absence of an official document on the
Innovation Act establishing three mechanisms for financing
status of researchers;
research and innovation, a clear indication of high-level
n inadequate use of human resources and the lack of any commitment. These mechanisms are the National Fund for
motivational policy for researchers; and the Education and Research, the National Fund for Research and
Innovation for Development and the Forum of Scientific
n mismatch between R&D and development needs.
Research and Technological Innovation7. The creation of national
funds for R&D is one of the recommendations of ECOPOST.

BURKINA FASO The other most important actors are the National Centre
for Scientific and Technological Research, Institute for
S&T have become a development priority Environment and Agricultural Research, National Agency for
Since 2011, Burkina Faso has clearly made S&T Biodiversity, National Council for Phytogenetic Resources
a development priority. The first sign was the creation of Management and the Technical Secretariat for Atomic Energy.
the Ministry of Scientific Research and Innovation in January Responsibility for technology transfer and the popularization
2011. Up until then, management of STI had fallen under the of research results falls to the National Agency for the
Department of Secondary and Higher Education and Scientific Promotion of Research Results and the National Centre for
Research. Within this ministry, the Directorate General for Scientific and Technological Research.
Research and Sector Statistics is responsible for planning. A
separate body, the Directorate General of Scientific Research, Burkina Faso faces a number of challenges in developing R&D:
Technology and Innovation, co-ordinates research. This is
n a small pool of researchers: 48 per million population in 2010;
a departure from the pattern in many other West African
countries where a single body fulfils both functions. n a lack of research funding,

n outdated research facilities,

In 2012, Burkina Faso adopted a National Policy for Scientific
and Technical Research, the strategic objectives of which are n poor access to information and internet: 4.4% of the
to develop R&D and the application and commercialization population in 2013;
of research results. The policy also makes provisions for
n an insufficient utilization of research results; and
strengthening the ministrys strategic and operational capacities.
n brain drain.
One of the key priorities is to improve food security and
self-sufficiency by boosting capacity in agricultural and Before he passed away in December 2013, Nelson Mandela,
environmental sciences. The creation of a centre of excellence a champion of education, lent his name to two graduate
at the International Institute of Water and Environmental universities entrusted with the mission of producing a
Engineering (2iE) in Ouagadougou within a World Bank new generation of Africa-focused researchers, the African
project (Table 18.1) provides essential funding for capacity- Institutes of Science and Technology in Tanzania and Nigeria.
building in these priority areas. Burkina Faso also hosts the A third is planned for Burkina Faso.
African Biosafety Network of Expertise (Box 18.1).
Chapter 18

A dual priority is to promote innovative, effective and 7. Funding comes from the national budget and various annual subsidies: 0.2% of
accessible health systems; the growing number of doctoral tax revenue, 1% of mining revenue and 1% of the revenue from operating mobile
phone licenses. The funds also benefit from royalties on sales from the results of
candidates in medicine and related fields is a step in the right research and the patent license agreement concerning inventions funded by the
direction (Figure 18.3). The government wishes to develop, public purse.

483
UNESCO
Figure Scientific
SCIENCE
18.6: publication trends in West Africa, 20052014
REPORT
Scientists from Gambia and Cabo Verde publish most in international journals
Per million inhabitants, 2014

65.0

49.6
0.93Average citation rate for
0.57
Average citation rate for
Ghana, 2008-2012; the G20 Nigeria, 2008-2012; the G20
average is 1.02 average is 1.02

25.5
23.2
21.9 21.2
15.6
11.0 10.0 8.9 8.7 7.3 5.8 2.5
4.1
Gambia Cabo Benin Senegal Ghana Guinea- Burkina Nigeria Cte Mali Togo Sierrra Niger Guinea Liberia
Verde Bissau Faso dIvoire Leone

Ghana now has the second-biggest volume of output after Nigeria

2 500

2 000 Nigeria 1 961

1 500

1 000 1 001
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
600
Ghana 579

500

400

Senegal 338

300
Burkina Faso 272
Benin 270

210
208 Cte dIvoire 208
200

Mali 141
116 Gambia 124
110 Niger 108
100 86
71 Togo 61
68
68 Guinea 49
34 Sierra Leone 45
19 Guinea-Bissau 37
12
5 Cabo Verde 25
4 Liberia 11
0 1

484
West African scientists publish much more in health than in agriculture West Africa
Cumulative totals by field, 20082014
6 3
Benin 207 471 95 22 259 3 99
6 22

2 5 1
Burkina Faso 94 7 532
39
49 90 35 394 22 26

Cabo Verde 3 23 2 3 33 5 7 2

10
Cte d'Ivoire 78 2 427 78 27 114 50 302 21
5

16 1
Gambia 6 286 204 38
11 1

26
Ghana 255 648 70 5 160 336 13 782 32 4 85

Guinea 6 67 6 3 8 2 58 22

Guinea-Bissau 1 76 4 54 1

Liberia 1 13 1 3 23 4 1

1 51
Mali 75 292 78 45 6 261 2
8

1 2 2
Niger 66 1 160 10
6
91 9 103
7 7

30
Nigeria 1 250 116 2261 495 37 750 862 163 2 747 266
87 109

4
Senegal 118 559 87 7 46 189 78 478 4 71
33

1
Sierra Leone 10 41 1 7 68 3 5
1

1
Togo 37 111 5 21 15 7 89 2 12
2

Agriculture Astronomy Biological sciences Chemistry Computer science Engineering

Geosciences Mathematics Medical sciences Other life sciences Physics Psychology Social sciences

Note: Totals exclude unclassified articles.

A wide range of scientific partners, including in Africa

Main foreign partners, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Benin France (529) Belgium (206) USA (155) UK (133) Netherlands (125)
Burkina Faso France (676) USA (261) UK (254) Belgium (198) Germany (156)
Cabo Verde Portugal (42) Spain (23) UK (15) USA (11) Germany (8)
Cte dIvoire France (610) USA (183) Switzerland (162) UK (109) Burkina Faso (93)
Gambia UK (473) USA (216) Belgium (92) Netherlands (69) Kenya (67)
Ghana USA (830) UK (636) Germany (291) South Africa (260) Netherlands (256)
Guinea France (71) UK (38) USA (31) China (27) Senegal (26)
Guinea-Bissau Denmark (112) Sweden (50) Gambia /UK (40) USA (24)
Liberia USA (36) UK (12) France (11) Ghana (6) Canada (5)
Mali USA (358) France (281) UK (155) Burkina Faso (120) Senegal (97)
Niger France (238) USA (145) Nigeria (82) UK (77) Senegal (71)
Nigeria USA (1309) South Africa (953) UK (914) Germany (434) China (329)
Senegal France (1009) USA (403) UK (186) Burkina Faso (154) Belgium (139)
Chapter 18

Sierra Leone USA (87) UK (41) Nigeria (20) China/Germany (16)

Togo France (146) Benin (57) USA (50) Burkina Faso (47) Cte d'Ivoire (31)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded, data treatment by ScienceMetrix, November 2014

485
UNESCO SCIENCE REPORT

CABO VERDE mainstreaming informatics into curricula at different levels.

Some 150 000 computers are being distributed9 to public
A model for civil rights and development schools. By early 2015, the Mundu Novu education plan
Cabo Verde remains a model for political rights had equipped 18 schools and training centres with internet
and civil liberties in Africa, according to a country study by the access, installed the Wimax antenna network across the
African Development Bank in 2014. Thanks to its sustained country, produced teaching kits on ICTs for 433 classrooms
economic performance, this isolated and fragmented territory in 29 pilot schools (94% of all classrooms), given university
with a dry Sahelian climate and scarce natural resources students access to digital libraries and introduced courses
acceded to the World Banks middle-income category in 2011. in information technology, in addition to implementing an
In order to maintain the momentum, the government has Integrated Management and Monitoring System for university
devised its third Growth and Poverty Strategy Paper covering students.
the period 20122016. Expanding the coverage of health
service delivery and human capital development have been
designated priority areas, in order to ensure inclusive growth, CTE DIVOIRE
with an emphasis on technical and vocational training.
In recent years, Cabo Verde has invested more than 5% of A plan to consolidate peace and promote
GDP in education. This strategy has paid off. The literacy rate inclusive growth
is now the highest in West Africa (98%), with 93% of young With the political crisis now over, the incoming government
people being enrolled in secondary school and one in five in of President Alassane Ouattara has vowed to restore the
tertiary education (Table 18.3). country to its former leading role in sub-Saharan Africa. The
National Development Plan for 20122015 has two primary
Plans to strengthen research objectives: to achieve double-digit growth by 2014 and to
Research spending, on the other hand, remains among the turn Cte dIvoire into an upper middle-income country
lowest in West Africa, at 0.07% of GDP in 2011. The Ministry by 2020. A second national development plan is under
of Higher Education, Science and Culture plans to strengthen preparation for 20162020.
the research and academic sectors by placing emphasis
on greater mobility, through exchange programmes and The budget for the National Development Plan is broken down
international co-operation agreements. As part of this into five strategic areas: greater wealth creation and social equity
strategy, Cabo Verde is participating in the Ibero-American (63.8%, see Figure 18.7), provision of quality social services for
academic mobility programme that expects to mobilize vulnerable populations, particularly women and children (14.6%),
200000 academics between 2015 and 2020. good governance and the restoration of peace and security
(9.6%), a healthy environment (9.4%) and the repositioning of
ICTs at the heart of development plans Cte dIvoire on the regional and international scenes (1.8%).
Cabo Verde Telecom linked all the islands by fibre optic cable
in 2000. In December 2010, it joined the West African Cable Key targets of the Plan requiring recourse to S&T include:
System project8 to provide residents with an alternative n rehabilitation of the railway linking Abidjan to Burkina
access route to high-speed internet. Thanks to this, internet Fasos border, rehabilitation and extension of the ports of
penetration more than doubled between 2008 and 2013 Abidjan and San Pdro, creation of a new airline company
to 37.5% of the population. As the cost remains high, the (infrastructure and transport);
government provides centres where people can surf the
internet free of charge. n increasing the productivity of yam, banana plantain and
manioc by at least 15% (agriculture);
The government now plans to build a cyber-island which n creation of two transformation units for iron and
would develop and offer ICT services, including software manganese and one for gold refining (mining);
development, computer maintenance and back office
operations. Approved in 2013, the Praia Technology Park is a n construction of the Soubr dam, electrification of 200 rural
step in this direction; financed by the African Development communities each year (energy);
Bank, it is expected to be operational by 2018. n establishment and equipping of three technopoles
to promote innovation, transformation of 50% of raw
The government launched the Mundu Novu project in materials into value-added goods (industry and SMEs);
2009 to modernize education. The project is introducing
the concept of interactive education into teaching and
9. Microsoft has given the official government agency working on Mundu Novu,
Operational Information Society Nucleus, a 90% discount on the operating systems
8. See: http://legacy.fosigrid.org/africa/cape-verde being installed in schools, through an agreement signed in August 2010.

486
 West Africa

n expansion of the countrys fibre optic10 network, Apart from low investment, other challenges include
introduction of an e-education programme, establishment inadequate scientific equipment, the fragmentation of
of cybercentres in every municipality (post and ICTs); research organizations and a failure to exploit and protect
research results.
n construction and equipping of 25000 classrooms,
construction of four universities and a university village,
Cte dIvoire does not yet have a dedicated STI policy.
rehabilitation of several existing universities (education);
Related policies are implemented by the Ministry of Higher
n rehabilitation of hospitals and clinics, free health care for Education and Scientific Research. The main planning
children under the age of five, free childbirth care and free body is the Directorate General of Scientific Research and
emergency care (health); Technological Innovation and its technical directorate.
For its part, the Higher Council for Scientific Research
n construction of latrines in rural areas, rehabilitation of
and Technological Development serves as a forum for
sewage systems in Abidjan and Yamoussoukro (sanitation);
consultation and dialogue with stakeholders and research
n connection of 30000 low-income families each year to partners.
subsidized piped water (drinking water);
Research and innovation are promoted and funded by the
n rehabilitation of the lagoon and Cocody Bay in Abidjan and
National Agricultural Investment Programme (est. 2010),
construction of a technopole to treat and recycle industrial
the Policy Support Programme for Scientific Research (est.
and dangerous waste (environment).
2007), the Interprofessional Fund for Agricultural Research
and Advice (est. 2002), the National Fund for Scientific and
Figure 18.7: Priority sectors of Cte dIvoires Technological Research (yet to be established) and the
National Development Plan to 2015 Ivorian Fund for the Development of National Enterprises
Within budget devoted to greater wealth creation and social equity (%) (est. 1999).
Agriculture Industry and SMEs

Hydrocarbons
The following structures foster innovation and technology
transfer: the Department for the Promotion of Research
9.53
8.81 and Technological Innovation, the Ivorian Organization for
13.30 Intellectual Property and the Centre for the Demonstration
8.63 Energy
and Promotion of Technologies. To this list should be added
the Ivorian Society of Tropical Technology. Set up in 1979,
8.61 Mining this government centre promotes agro-industrial innovation
Economy and provides training in the preservation and transformation
4.02
Commerce: 2.63 of crops (manioc, banana plantain, cashew nut, coconut, etc.)
Post and ICTs: 2.28 into value-added goods such as soap and cocoa butter.
38.9 Scientific research: 1.20
Tourism: 0.42
Other key structures include the Pasteur Institute, Centre
Handicrafts: 0.67
for Oceanological Research, National Centre for Agronomic
Infrastructure and transportation
Research, National Institute of Public Health, Centre for
Source: Ministry of Planning and Development (2012) National Development
Plan, 20122015
Ecological Research and the Centre for Economic and Social
Research.

Infrastructure is a top priority

The share of the Plan devoted to scientific research remains GAMBIA
modest (Figure 18.7). Twenty-four national research
programmes group public and private research and A desire to link training with STI
training institutions around a common research theme. development
These programmes correspond to eight priority sectors for Gambias Programme for Accelerated Growth and
20122015, namely: health, raw materials, agriculture, culture, Employment, covering the period 20122015, drives its own
environment, governance, mining and energy; and technology. vision of attaining middle-income status. One of the smallest
countries in West Africa, with a per capita GDP of PPP$ 1666,
According to the Ministry of Higher Education and Scientific
Chapter 18

Gambia is conscious of the need for a robust STI capacity to

Research, Cte dIvoire devotes about 0.13% of GDP to GERD. address its pressing development challenges. Just 14% of
the population has access to internet, for instance, and only
10. Just 2.4% of Ivoirians had internet access in 2012. three in four Gambians have access to a clean water supply.

487
UNESCO SCIENCE REPORT

The establishment of the Ministry of Higher Education, GHANA

Research, Science and Technology in 2007 signals the
countrys desire to link the training of skilled personnel A desire to create a science culture
with STI development. Other encouraging signs are the The Ghana Shared Growth and Development
presidents decision to make 2012 the Year of Science, Agenda 20142017 contextualizes the sector-specific policies
Technology and Innovation, the efforts to establish the for agriculture, industry, health and education defined by
first-ever national academy of sciences in Gambia and the the National Science, Technology and Innovation Policy12
adoption of the National Science, Technology and Innovation (2010). The main objectives of this policy are to use STI to
Policy 20132022, prepared with UNESCOs assistance. reduce poverty, increase the international competitiveness
of enterprises and promote sustainable environmental
This policy aims specifically to foster entrepreneurship management and industrial growth. The long-term goals
among youth and women, in order to enhance their of the policy are to create a science and technology culture
employability. It also aims to modernize both agriculture oriented towards problem-solving.
(peanuts and derivatives, fish, cotton lint, palm kernels)
and national industries (tourism, beverages, agricultural Ghana has one of West Africas most developed national
machinery assembly, woodworking, metalworking, clothing) innovation systems. There is a Council for Scientific and
to create quality products and services. Industrial Research, established in 1958, with 13 specialized
institutes for research on crops, animals, food, water and
A number of institutions provide research and training, industry. The export of cocoa contributed over 40% of the
the main ones being the University of Gambia, the countrys foreign exchange earnings up until the 1980s and
National Agricultural Research Institute, the Centre for still contributes about 20%. The Cocoa Research Institute
Innovation against Malaria, the Public Health Research and of Ghana plays an important role in developing the cocoa
Development Centre, the Medical Research Council and the industry, through research into crop breeding, agronomy,
International Trypanotolerance Centre. pest management and extension services, among others.
Other scientific institutions include the Ghana Atomic Energy
Low tertiary enrolment, little R&D Commission, the Centre for Scientific Research into Plant
Development indicators for Gambia are fairly encouraging Medicine and the Noguchi Memorial Institute for Medical
for a small country with limited resources. Public Research at the University of Ghana.
expenditure on education has quadrupled since 2004 to
4.1% of GDP. Of this, just 7% (0.3% of GDP) is invested in Ghana has only a small pool of researchers (39 per million
tertiary education. Although nine out of ten children attend population in 2010) but they are increasingly publishing
primary school, enrolment rates have not progressed in international journals. Ghanas scientific publication
at either the primary or secondary levels since 2009, record almost tripled between 2005 and 2014 (Figure 18.6).
suggesting that the government may be focusing on This performance is all the more noteworthy in that Ghana
improving the quality of primary and secondary education devoted just 0.38% of GDP to GERD in 2010 (see Table 19.5).
(Table 18.3). Tertiary enrolment remains extremely low, at
just 3% of the 1825 age cohort, even though it has risen in Greater investment needed to stimulate R&D
recent years. Between 2004 and 2011, Ghana invested 6.3% of GDP in
education, on average, and between one-fifth and one-quarter
Just 0.13% of GDP is spent on R&D (2011). Gambia does have of this in higher education. The number of students enrolled
the particularity, though, of having an active private non- in degree courses shot up from 82000 to 205000 (12% of the
profit sector, which performs nearly half of R&D11 according age cohort) between 2006 and 2012 and the number of PhD
to available data although it should be noted that the candidates from 123 to 867 (see Table 19.4).
business enterprise sector has not been surveyed. On the
whole, however, STI in Gambia is characterized by The investment in education has not lived up to expectations,
inadequate infrastructure and insufficient skills and as it has not acted as a stimulus for R&D. This is because science
institutional capacity to realize its science and innovation and engineering are accorded insufficient status in Ghana.
goals, combined with a lack of funding. The National Science, Government scientists and academics (who perform 96%
Technology and Innovation Policy is intended to address of GERD) receive an inadequate budget and private sector
these constraints. opportunities are rare. In the 2000s, successive governments
made efforts to enhance the infrastructure for modern business
11. This may be at least partly due to the fact that the Medical Research Council
in Gambia, a unit of the UKs council of the same name, is classified as a private 12. This policy followed a review of Ghanas national innovation system by UNCTAD,
non-profit institution. the World Bank and Ghanas Science and Technology Policy Research Institute.

488
 West Africa

development. They fostered business incubators for ICTs, economic environments and to identify opportunities for
industrial parks for textiles and garments and smaller access to new markets through innovation and creativity.
experimental incubators within research institutes like the Over the period 20132015, economic intelligence poles
Food Research Institute. These are all located in the Accra- are being established for the administration (public
Tema metropolis where they are too inaccessible for the services) and private sector (employers);
thousands of entrepreneurs living outside the capital who
n clean industries;
need these facilities to develop their businesses.
n security of intellectual and economic property;
Despite insufficient investment, some universities maintain
n management and exploitation of knowledge and
high standards, such as the University of Ghana (1948),
information, in the priority areas of science and industrial,
the countrys oldest, and Kwame Nkrumah University
technological and medical production processes.
of Science and Technology (KNUST, 1951). Both have
been selected for the World Banks African Centres of
Key reforms in higher education and research
Excellence project (Table 18.1). KNUST has developed
The government has made it a priority to achieve universal
a reputation for excellence in engineering, medicine,
primary education by 2015, in line with the Millennium
pharmacy, basic sciences and applied sciences. In 2014,
Development Goals. The roadmap for achieving this ambition
the government established a centre of excellence in
is the governments Programme for the Education Sector
petroleum engineering at KNUST with the World Bank
20082015, adopted in 2007. By 2009, 85% of children were
which will serve as a hub for developing Africas capacity in
attending primary school but this share had barely progressed
the oil and gas value chain. In all, seven public universities
by 2012, no doubt owing to the political unrest in 2008 and
conduct extensive R&D.13
2009. The share of secondary pupils rose from 34% to 38%
between 2008 and 2012 (Table 18.3). Guineas education
Within the World Bank project, the West Africa Centre for
effort accounted for 2.5% of GDP in 2012, one of the lowest
Crop Improvement at the University of Ghana is receiving
proportions in West Africa.
US$ 8 million for research and the training of crop breeders
at PhD and MSc levels over 20142019, as well as for the
One-third of education expenditure goes on higher education.
provision of other services. The West Africa Centre on the
One in 10 Guineans aged between 18 and 25 years is enrolled
Cell Biology of Infectious Pathogens within the University
at university, one of the highest rates in West Africa. Important
of Ghana and KNUSTs Regional Water and Environmental
reforms are under way in Guinea to improve university
Sanitation Centre are receiving similar support (Table 18.1).
governance and the financing of institutions of higher learning
and scientific research, to create an advanced (doctoral)
graduate school, implement a system of quality assurance and
GUINEA
develop relevant professional networks in higher education.

Middle-income status by 2035

The government is also promoting access to ICTs and their
Following the death of President Lansana
use in teaching, scientific research and administration. Guinea
Conte in 2008, Guinea experienced a severe political crisis
currently has one of the lowest rates of internet penetration in
until the election of the current President Alpha Conde
Africa, at just 1.5% (2012).
in November 2010. This challenging political transition
plunged the country into an economic recession in 2009
A need to review the legal framework for R&D
(-0.3% growth), prompting the government to extend its
The development of R&D is governed by the Guidance Law
Poverty Reduction Strategy to 2012.
for Scientific and Technical Research. This law has not been
updated since its adoption on 4 July 2005, nor implemented
The ambition of the new authorities is to transform Guinea
or reviewed.
into a middle-income economy within 25 years. This
ambition will be articulated in Guinea 2035, which was under
The Ministry of Higher Education and Scientific Research is the
preparation in 2015. The government intends to promote:
main body responsible for policies related to higher education
n the collection of economic intelligence, in order to and scientific research. Within the ministry, the National
anticipate changes in the national and international Directorate for Scientific and Technical Research (DNRST) is
responsible for the implementation of the policy and research
Chapter 18

13. In addition, there are ten polytechnics, one in each of Ghanas ten
institutions that constitute the executive component. The
administrative regions and 23 institutes for vocational and technical training. DNRST is also responsible for designing, developing and co-
The evolving policy on polytechnics is to transform these into technical ordinating the monitoring and evaluation of national policy.
universities.

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In addition to the Ministry of Higher Education and Scientific Thus, like other WAEMU countries, Guinea-Bissau has held
Research, there is a Higher Council of Scientific and Technical national consultations on the future of higher education and
Research. This consultative body on matters related to scientific research. In March 2014, the Ministry of Education
national S&T policy consists of representatives of ministries, organized a national dialogue on this topic on the theme of
the scientific community and users of the products of What Future for Higher Education and Scientific Research
research. in Guinea-Bissau in the Short, Medium and Long Term? The
consultation brought together a wide range of national and
R&D funding comes from two sources: the state, through the foreign stakeholders. The recommendations emanating from
national development budget, allocates grants to research this consultation, combined with the election of President
institutions, documentation centres and universities; and Jos Mario Vaz in May 2014 and the consequential removal
international co-operation. In recent years, R&D in Guinea has of the sanctions imposed by the African Union after the
received financial assistance from France, via its Aid Fund for coup dtat in 2012, should enable Guinea-Bissau to take this
Co-operation and the Priority Solidarity Fund, as well as from reform agenda forward.
Japan, Belgium, Canada, the World Bank, UNDP, UNESCO, the
Islamic Educational, Scientific and Cultural Organization and
others. LIBERIA

Strong economic growth has not spilled

GUINEA-BISSAU over into the STI sector
Liberia is a country recovering from a quarter of a century of
Political troubles have undermined the civil war. Although it has turned the page of strife since the
economy election of President Ellen Johnson Sirleaf in 2005, the economy
Once hailed as a model for African development, Guinea- remains in ruins and, since early 2014, has been struggling with
Bissau has suffered a civil war (19981999), followed by the crippling effects of the Ebola epidemic. With GDP per capita
several coups dtat, the latest in April 2012. Political of just PPP$ 878 in 2013, Liberia remains one of the poorest
instability has undermined the economy, making it one of the countries in Africa.
poorest countries in the world.
The country does have considerable natural assets, including
Guinea-Bissau is dependent on primary crops mainly the largest rainforest in West Africa. Its economy is based on
cashew nuts for its foreign exchange and subsistence rubber, timber, cocoa, coffee, iron ore, gold, diamonds, oil and
agriculture. There are other resources that could be exploited gas. Between 2007 and 2013, the economy grew by 11% on
and processed, such as fish, timber, phosphates, bauxite, clay, average. Even though this economic recovery is commendable,
granite, limestone and petroleum deposits. it has not spilled over into the STI sector.

Guinea-Bissaus long-term vision is encapsulated in Guinea- Low public spending on agriculture and education
Bissau 2025 Djitu ten (1996). The governments vision is Nor has public spending risen in such key sectors as
articulated in the first National Strategy for Poverty Reduction agriculture (less than 5% of GDP) and education (2.38% of
covering the period 20082010 and its successor covering GDP), where just 0.10% of GDP goes to higher education.
20112015. The title of the latter reflects the strategys Although Liberia has achieved universal primary education,
overarching goals, Reducing Poverty by Strengthening the less than half of pupils attend secondary school. In addition,
State, Accelerating Growth and Achieving the Millennium university enrolment has stagnated: almost the exact same
Development Goals. number of students (33000) were enrolled in degree courses
in both 2000 and 2012. At the other extreme, Liberia shares
Higher education policy currently under review the distinction with Sierra Leone of devoting more of GDP to
Like most WAEMU countries which share a common currency health (15%) than any other country in sub-Saharan Africa.
(the CFA), Guinea-Bissau has made considerable efforts in the
past five years to improve its higher education system. These An emphasis on better governance
efforts have been supported by Guinea-Bissaus partners Liberia has set its sights on becoming a middle-income country
and especially by WAEMU through its Support to Higher by 2030, in its National Vision: Liberia Rising 203014 (Republic of
Education, Science and Technology Project and its assistance Liberia, 2012). The first priority will be to create the conditions
in developing Guinea-Bissaus higher education policy in 2011. for socio-economic growth, through better governance
This policy is currently under review, in consultation with key
stakeholders, particularly private-sector employers, socio- 14. Liberia Rising 2030 follows on the heels of Lifting Liberia, the countrys poverty
professional organizations, policy-makers and civil society. reduction strategy for 20082011.

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 West Africa

practices such as respect for the rule of law, infrastructure MALI

development, a more business-friendly environment, free
basic education and more trained teachers, investment in A policy but no long-term plan for research
technical and vocational education and higher education. In 2009, the Ministry of Secondary and Higher
Liberia Rising cites a World Bank Doing Business survey (2012) Education and Scientific Research developed a National Policy
in which 59% of Liberian firms identified lack of electricity for Higher Education and Scientific Research (MoSHESR, 2009). It
and 39% lack of transportation as a major constraint. has three main objectives:

n to strengthen the social and economic utility of higher

With the entire infrastructure for energy generation and
education and research;
distribution having been destroyed by the war, it is planned
to make greater use of renewable energy and to install n to regulate the flow of students enrolled in higher
affordable power services, with more access to fuel that education, in order to establish the best possible
does not contribute to deforestation. Being able to supply compromise between the needs of the labour market,
electricity to most of the economy is considered essential social demand and the available means; and
for achieving middle-income status. Emphasis is being
n to optimize available resources by directing the lions share
placed on ensuring greater inclusiveness, as instability and
towards teaching and research, while making better use
conflict remain the primary risk to long-term wealth creation
of the private sectors potential role, in order to limit social
in LiberiaThe challenge will be to turn away from the
spending.
traditional practice of concentrating wealth and power in the
elite and in Monrovia (the capital). Despite the guidance offered by this science policy, no
strategic plan for developing long-term scientific research has
It is expected that financing for the National Vision will come yet been formally adopted, nor any document defining the
essentially from large mining companies including those human, material and financial resources needed to mobilize
currently prospecting offshore for oil and gas and from and implement such a policy. The United Nations Economic
development partners. In 2012, FDI contributed 78% of GDP, Commission for Africa did support a study in 20092011
by far the largest share in sub-Saharan Africa (Republic of on developing a national STI policy and an accompanying
Liberia, 2012). implementation plan but this process was perturbed by the
military coup in 2011 which preceded the Touareg rebellion
Liberia has not yet published an STI policy but it does have a in the north. In the absence of these elements, departments
national industrial policy, Industry for Liberias Future (2011), or individuals within education and research structures
a National Environmental Protection Policy (2003), a National continue to initiate research projects themselves or, in some
Biosafety Framework (2004) and a National Health Policy cases, the initiative is taken by donors, an only too familiar
(2007). pattern in Africa.

An S&T college for the University of Liberia From one university to five
In higher education, the main development has been the Until 2011, Mali had a single university, established in 1996.
commissioning of the T.J.R. Faulkner College of Science and Nearly 80000 students enrolled in the 20102011 academic
Technology in 2012 at the University of Liberia. The latter was year, 343 of whom were PhD candidates (Table 18.4). In
founded in 1862 and already had two colleges, the College of order to accommodate the burgeoning student numbers,
Agriculture and Forestry and the College of Medicine. Other the government decided to divide the University of Bamako
universities also have science and engineering faculties. into four separate entities in 2011, each with its own institute
Liberia also has specialized institutions such as the Liberia of technology: the University of Science, Techniques and
Institute for Biomedical Research and the Central Agriculture Technologies in Bamako; University of Arts and Humanities
Research Institute. in Bamako; University of Social Sciences and Management in
Bamako; and the University of Law and Political Sciences in
The National Commission on Higher Education is responsible Bamako.
for developing STI. There is also a Renewable Energy Agency,
a Forestry Development Authority and an Environmental In parallel, the University of Segou was approved by decree in
Protection Agency. Currently, the Ministry of Education holds 2009 and welcomed its first cohort of 368 students in January
responsibility for science education and research, through 2012, according to the Malian journal LEssor. The Faculty of
Chapter 18

its Division for Science and Technology Education. There Agriculture and Veterinary Medicine was the first to open,
are calls, however, for the establishment of a Ministry of followed by the Faculty of Social Sciences, the Faculty of
Research, Science and Technology. Health Sciences and the Faculty of Science and Engineering. It
is planned to set up a vocational training centre on campus.

491
UNESCO SCIENCE REPORT

Since 2009, the UNESCO Office in Bamako has been long-term planning document for education as a whole, from
implementing a project to help university professors adopt the the pre-primary to tertiary levels. The previous plan in 2001
three-tier degree cycle (bachelors masters PhD). UNESCO focused solely on basic education, encompassing pre-school,
collaborated with the University of Bamako and the National primary school, adult literacy and non-formal education.
Directorate of Higher Education in organizing a mission to
Dakar in April 2013 for about 20 university professors, so
that they could study doctoral schools and quality assurance NIGERIA
mechanisms in Senegal with a view to emulating these in
Mali. UNESCO also ran a number of national and international The National Fund for STI approved
workshops, including one on the use of ICTs to improve Nigeria plans to use its Vision 20:2020: Economic
education and research. The University of Bamako has since Transformation Blueprint (2009) to place it among the top
joined the African Network of Scientific and Technological 20 economies16 in the world by 2020, with annual per capita
Institutions, hosted by the UNESCO Nairobi office. income of at least US$ 4000. Vision 20:2020 integrates STI
into the development of key economic sectors and is built on
three pillars, namely: optimizing the nations key sources of
NIGER economic growth; guaranteeing the productivity and well-
being of Nigerians; and fostering sustainable development.
The countrys first STI policy
In Niger, several ministries are involved in One of the nine strategic targets of Vision 20:2020 was initially
designing S&T policy but the Ministry of Higher Education, to set up a US$ 5 billion endowment fund to finance the
Scientific Research and Innovation is the principal player. establishment of a National Science Foundation. This fund was
The National Policy on Science, Technology and Innovation was pledged by former President Olusegun Obasanjo (19992007)
approved in 2013 and was awaiting adoption by parliament in towards the end of his mandate and has not materialized.
2015. In parallel, UNESCO is helping Niger develop a strategic Progress towards other targets is hard to evaluate for lack of
implementation plan. data, examples being the target of investing a share of GDP in
R&D comparable to that of the 20 leading economies or that of
In March 2013, Niger participated in a subregional workshop15 in increasing numbers of R&D personnel.
Dakar co-organized by UNESCOs Global Observatory of STI Policy
Instruments (GOSPIN) programme and AOSTI. The workshop In 2011, the Federal Executive Council approved the
was the first step in mapping research and innovation in Niger. allocation of 1% of GDP to set up a National Science,
Technology and Innovation Fund. This strategy features in
In 2010, Niger created a Support Fund for Scientific Research the Science, Technology and Innovation Policy approved by
and Technological Innovation (FARSIT). With an annual the Federal Executive Council in 2011, which recommends
budget of CFA 360 million ( 548 000), FARSIT aims to support putting in place reliable funding arrangements to ensure that
research projects of socio-economic relevance; strengthen R&D focuses on national priorities. Four years later, this fund
the capacity of institutions, teams and laboratories to conduct has not yet materialized.
R&D; encourage creativity and technological innovation; and
improve research training. A policy shift towards innovation
The policy also recommended a shift in research focus from
A first long-term plan for all levels of education basic research to innovation. In his foreword, the Federal
University enrolment rates in Niger are among the lowest in Minister of Science and Technology17 observed that one
Africa, at just 175 students per 10000 population (Table 18.3). notable feature of this policy is the emphasis on innovation,
Developing a viable higher education system of quality thus which has become a tool for fast-tracking sustainable
remains a major challenge for a country where half the population development. President Goodluck Jonathan put it this way:
is less than 15 years of age. In 2010, three new universities were we are going to run our economy based on S&T because
founded: the University of Maradi, the University of Zinder nowhere in this world can you move the economy without
and the University of Tahoua. S&Tfor the next four years, we will emphasize S&T so much

In 2014, the government adopted a Programme for the 16. For details of Nigeria 20:2020, see the UNESCO Science Report 2010: the Current
Education and Training Sector, 20142024.This is Nigers first Status of Science around the World, p. 309.
17. The Federal Ministry of Science and Technology is supported by the National
Council on Science and Technology, the National Assembly Committees on
15. The workshop was attended by high-level experts, government officials, Science and Technology and the National Centre for Technology Management.
researchers, statisticians and parliamentary commission staff from Burkina Faso, Nigeria being a federal republic, there are also relays in the state ministries and
Burundi, Cte dIvoire, Gabon, Niger and Senegal. assemblies.

492
 West Africa

Box 18.4: Taxing business to upgrade tertiary education in Nigeria

One of the strategies outlined in Nigerias for managing and disbursing tax funds universities, 25% to polytechnics and
Science, Technology and Innovation to public tertiary institutions. It is also 25% to teachers colleges. Grants are
Policy (2011) is for funding frameworks responsible for monitoring the utilization provided for the purchase of essential
to be set up with various partners. of funds. physical infrastructure for teaching
and learning, research and publication
One such framework is the TETFund. Under the fund, a 2% education tax is and academic staff training and
It was established under the Tertiary imposed on the assessable profits of all development.
Education Trust Fund Act of 2011 registered companies in Nigeria. TETFund
to serve as the agency responsible then disburses 50% of the money to Source: www.tetfund.gov.ng

because we have no choice. The aim is to transform Nigerians n establish or develop technology transfer offices to improve
into science and technology thinking entities. intellectual property protection and thereby encourage
industrial R&D;
The policy also recommended founding a National Research
n build the Sheda Science and Technology Complex
and Innovation Council. This was effectively established in
(SHESTCO) in Abuja within the Silicon Valley Project,
February 2014. Membership includes the federal ministers
which is developing a high-tech capability in ICTs,
of science and technology; education; information and
materials science, solar and new technologies, along with
communications technology; and environment.
skills in engineering and maintenance. In a visit to the
complex in October 2014, the Federal Minister of Science
The emphasis in STI is on space science and technology,
and Technology, Dr Abdu Bulama, pledged to do everything
biotechnology and renewable energy technologies. Although
under our mandate to ensure Silicon Valley becomes a
Nigeria has had a National Biotechnology Development
reality. Hence, we are partnering with UNESCO, Poland
Agency since 2001, the National Biosafety Management
and other international bodies to fast-track the
Agency Bill lingered in parliament for years; the bill was finally
process.
passed in 2011 but was still awaiting presidential consent in
early 2015.
The success of Nigerias ambitious programme will rest on its
strategy for developing human resources (Box 18.4). Nigeria
In 2012, an International Centre for Biotechnology was
currently has 40 federal universities, 39 state universities and
established under the auspices of UNESCO at the University
50 private universities, according to the Nigeria Universities
of Nigeria in Nsukka. The institute provides high-level training
Commission. There are also 66 polytechnics, 52 monotechnics
(including at subregional level), education and research,
and about 75 research institutes.
particularly in areas related to food security, conservation of
harvested crops, gene banking and tropical diseases.
Despite this, federal spending on R&D in 2007 represented
only about 0.22% of GDP, according to the UNESCO
Some key goals of the Science, Technology and Innovation
Institute for Statistics, and over 96% of this was provided
Policy are to:
by the government. These statistics should improve as
n develop an endogenous capability in launching and implementation of the Science, Technology and Innovation
exploiting Nigerias own satellites (it already has three) for Policy progresses.
telecommunications and research;
Economic diversification an urgent necessity
n run advanced field trials of genetically modified crops
The president has implemented two schemes to support
designed to increase agricultural productivity and food
the economy since 2010:
security (see also Box 18.1);
n With power outages costing the Nigerian economy
n promote solar technology systems as dependable
billions of dollars each year, the president launched a
back-ups to the national grid and to address energy
Roadmap for Power Sector Reform in 2010. Central to
needs in marginalized communities;
Chapter 18

this scheme has been the privatization of the state

n promote the design and use of local construction electricity provider, the Power Holding Company of
materials and a green construction culture through the Nigeria, which has been broken up into 15 different
development of green homes and green cement; companies.

493
UNESCO SCIENCE REPORT

n In October 2011, the president launched the Youth equipment, a low status for researchers and a lack of
Enterprise with Innovation in Nigeria (You Win)18 grant universityindustry linkages. Research results are also
scheme to generate jobs. By 2015, some 3 600 aspiring insufficiently applied, owing to weak oversight and relatively
entrepreneurs between 18 and 45 years had received up low scientific output (Figure 18.6).
to 10 million naira each (US$ 56000) to help them launch
or expand their business, mitigate start-up risks or set up New governing bodies and an astronomical observatory
spin-offs from existing businesses. A fledgling ICT business The creation of a National Council of Higher Education,
and dental clinic figure among the recipients. Research, Innovation, Science and Technology in 2015
should allow Senegal to meet some of these challenges.
One of the goals of Vision 20:2020 is to diversify the economy, It will act as a consultative committee to the Minister of
yet, by 2015, oil and gas still accounted for 35% of Nigerias Higher Education and Research and as a monitoring body.
economic output and 90% of its exports, according to OPEC. The ongoing construction of Senegals first planetarium and
With the Brent crude price having more than halved to about mini-astronomical observatory could also be a sign of a
US$ 50 since mid-2014, Nigeria has devalued the naira and growing science culture.
announced plans to cut public spending by 6% in 2015. More
than ever, economic diversification is an urgent necessity. A law passed in December 2014 should also help to galvanize
research. The law creates a governing board for universities.
Half of board members must be external to the university,
SENEGAL such as from the private sector.

A focus on higher education reform Another new development has been the creation of the
In 2012, Senegal adopted a National Strategy Directorate-General for Research in 2014. Placed under the
for Economic and Social Development for Ministry of Higher Education and Research, it is responsible
20132017, based on the vision of its Senegal Emerging Plan, for planning and co-ordinating research at the national level,
Senegals development plan for becoming an upper middle- especially that conducted by universities and academic
income country by 2035. Both documents consider higher research institutes. The ministry relies on the National Agency
education and research as a springboard to socio-economic for Applied Scientific Research, the National Academy of
development and thus a priority for reform. Science and Technology of Senegal and the Senegalese
Agency for Intellectual Property and Technological Innovation
In early 2013, a national dialogue was held on the future of to promote Senegalese research.
higher education. It produced 78 recommendations that the
Ministry of Higher Education and Research has since translated Some national research institutions fall under the authority
into an action plan entitled Priority Programme Reform and of other ministries, such as the Institute for Food Technology
the Development Plan for Higher Education and Research, (Ministry of Mines and Industry), the Senegalese Institute
20132017 (PDESR). This action plan was adopted in stages by for Agricultural Research and the National Institute for Soil
the Presidential Council on Higher Education and Research Science (Ministry of Agriculture).
through 11 presidential decisions taken by the Head of State,
including a funding commitment of US$ 600 million over five The Ministry of Higher Education and Research runs an
years. extension programme called Centres for Research and
Experimentation to promote technology transfer. These
In its first year of implementation, PDESR created three centres popularize innovative research that improves social
new public universities: the University of Sine Saloum of welfare.
Kaolack in central Senegal, specializing in agriculture, the
Second University of Dakar, situated 30 km from Dakar and Several research funds, including one targeting women
specializing in basic sciences, and the Virtual University of The public sector uses a variety of instruments to fund
Senegal. Within the plan, a network of vocational training research:
institutes and upgraded laboratories has been developed
n the Impulse Fund for Scientific and Technical Research, set
with the introduction of high bandwidth to connect public
up in 1973 and transformed in 2015 into the National Fund
universities with one another.
for Research and Innovation;

A lot remains to be done, however. There is little synergy n the Project for Supporting and Promoting Female Teachers
in R&D, which suffers from a low budget and inadequate and Researchers in Senegal (2013), which only funds
women applicants;
18. See: www.youwin.org.ng

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 West Africa

n the National Fund for Agricultural and Food Research, Fourah Bay College, founded in 1827, is the oldest
set up in 1999, which funds research and the Western-type university in West Africa. Currently, it is part
commercialization of results for users; and of the University of Sierra Leone, the countrys only university
boasting a Faculty of Engineering and a Faculty of Pure and
n the Fund for Scientific and Technical Publications, set up in
Applied Sciences.
the 1980s.

TOGO
SIERRA LEONE
A first STI policy
Inclusive, green and middle-income by 2035
In July 2014, Togo took a major step by
Sierra Leone also aspires to become an inclusive,
developing its first National Policy for Science, Technology
green middle-income country by 2035, in the words of the
and Innovation and the action plan for its implementation.
countrys Agenda for Prosperity: the Road to Middle Income
In addition, a Presidential Council on the Future of Higher
Status, 20132018.19 Current GDP per capita may be only US$
Education and Research was established, following a national
809 per year but the fact that GDP progressed by 20.1% in
consultation. Togo has identified such a wide range of priority
2013 gives cause for hope of realizing this goal. Sierra Leone
research areas that they encompass almost all scientific fields:
has, of course, been struggling with the Ebola epidemic. Some
agriculture, medicine, natural sciences, humanities, social
95 health workers have died, a sad reminder of the countrys
sciences and engineering and technology.
inadequate health facilities: there is just one doctor for 50000
people.
The Ministry of Higher Education and Research is responsible
for implementing science policy, in tandem with the
Among the Agenda for Prosperitys objectives to 2035, those
Directorate for Scientific and Technical Research, which is in
which will depend upon science and technology include:
charge of co-ordination and planning.
n a health care and delivery system within a 10-km radius of
every village; Togo does not have a biotechnology policy but it does have
a framework for biosafety. In April 2014, the Ministry of
n modern infrastructure with reliable energy supplies;
Environment and Forest Resources organized a consultative
n world-standard ICTs (just 1.7% of the population had workshop to align Togos revised biosafety law with
internet access in 2013); international biosafety regulations and best practices (Box 18.1).

n private-sector led growth creating value-added products;

Togos main research centres are the Universities of Lom
n an effective environmental management system in place and Kara, together with the Institute for Agronomic Research,
that protects biodiversity and is capable of pre-empting which manages an extension service. To date, though, the
environmental disasters; country has neither a structure for promoting research and
technology transfer, nor any funding to drive it.
n becoming a model in responsible and efficient natural
resource exploitation.
The country faces a host of other challenges, including poorly
equipped or even totally unequipped laboratories, an
In 2006, the Ministry of Education, Science and Technology
unattractive working environment for scientists and a lack of
engaged a participatory process for the drafting of the
information.
Sierra Leone Education Sector Plan: a Road to a Better Future
(20072015). The Plan emphasizes human resource
development, starting with the bottom of the pyramid. Despite
this laudable intention, public expenditure on education only CONCLUSION
increased from 2.6% to 2.9% of GDP between 2007 and 2012.
Research networks need sustainable funding
The share devoted to tertiary education likewise rose little:
The overall development goal for ECOWAS countries is to attain
from 19% to 22% of total expenditure on education (0.7% of
lower or upper middle-income status. This ambition permeates
GDP in 2012). In the Plan, the ministry projected that student
their respective development plans and policies. Even for those
enrolment in public universities would rise to about 15000 by
countries which have moved into the middle-income bracket,
2015 and to 9750 in private and distance institutions offering
Chapter 18

there is the fundamental challenge of diversifying the economy

vocational training, including for teachers (MoEdST, 2007).
and ensuring that wealth creation impacts positively on the
lives of all citizens. Development entails building roads and
19. This document follows on from Agenda for Change, 20072012. hospitals, expanding railways, installing telecommunications,

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UNESCO SCIENCE REPORT

developing a reliable, responsible energy network, improving making provision for representatives of the private sector
agricultural productivity, producing value-added goods, to sit on the governing boards of universities and research
improving sanitation systems and so on. Any one of these areas institutes, as Senegal has done (see p. 494), tax incentives
needs science or engineering, or both. to support business innovation, the creation of science and
technology parks and business incubators to encourage
Countries have made a big effort in recent years to expand start-ups and publicprivate partnerships and research
their university and research networks. These institutions must grants to support collaborative research between the
not remain empty shells. They must be nurtured, staffed with government, industry and academia in priority areas;
competent people who have the means to dispense quality
n foster exchanges and intraregional collaboration among
education and conduct creative research that is responsive
West African researchers, while maintaining partnerships
to socio-economic problems and market needs. That
beyond the subregion, in order to ensure the quality and
necessitates sustainable investment. In this regard, Nigerias
impact of scientific production; the African Centres of
tax on businesses for use in upgrading universities serves as
Excellence project and the WAEMU centres of excellence
an interesting funding model that could be replicated in other
offer a golden opportunity for researchers across the
West African countries which host multinationals.
region to put their heads together to solve common
development problems and respond to market needs.
ECOWAS countries are formulating beautifully crafted policies
and programmes but these must also be implemented, funded
and monitored, so that progress can be measured and future KEY TARGETS FOR SUB-SAHARAN AFRICA
plans adapted to the shifting reality. New scientific programmes
are emerging that are well-designed and well-funded, like the n Raise GERD to 1% of GDP in all ECOWAS countries;
African Centres of Excellence (Table 18.1). Hopefully, these n Raise the share of public expenditure on agriculture to
programmes will create a momentum that will have a lasting 10% of GDP in all ECOWAS countries;
impact on these countries and the wider subregion.
n Establish a national fund in each ECOWAS country to
In our view, there are five main challenges for the years to help local innovators protect their intellectual property;
come. West African governments need to: n Establish a free trade area and customs union in each
n invest more in science and engineering education, in order regional economic community by 2017 and across the
to develop the skilled labour force necessary to become entire continent by 2019;
a middle-income country within 20 years; the number of n A continent-wide African Common Market to be
engineers and agricultural researchers is particularly low in operational by 2023;
most countries;
n Put in place a continent-wide economic and monetary
n establish viable national S&T policies, in other words, union by 2028, with a parliament and single currency to
policies that are accompanied by an implementation be managed by the African Central Bank.
plan that foresees an evaluation of implementation
and a relevant funding mechanism for research and the
commercialization of results; REFERENCES
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AfDB, OECD and UNDP (2014) African Economic Outlook 2014.
devoting 1% of GDP to R&D, if they are serious about
African Development Bank, Organisation of Economic
becoming middle-income countries within 20 years;
Cooperation and Development and United Nations
greater government investment would have the
Development Programme.
advantage of allowing researchers to work on topics of
national interest rather than those proposed by donors;
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n encourage the business sector to participate more actively Union, 20052010. African Observatory of Science,
in R&D, in order to stimulate demand for knowledge Technology and Innovation: Malabo, 84 pp.
production and technological development, while
reducing budgetary pressure on governments, which tend ECOWAS (2011a) ECOWAS Policy for Science and Technology:
to bear the greatest funding burden for R&D, along with ECOPOST. Economic Community for West African States.
donors; in this context, governments which have not yet
done so should put in place national funds to help local ECOWAS (2011b) ECOWAS Vision 2020: Towards a Democratic
innovators protect their intellectual property rights, as and Prosperous Society. Economic Community for West
recommended by ECOPOST; other measures could include African States.

496
 West Africa

Essayie, F. and B. Buclet (2013) Synthse: Atelier-rencontre sur NairBedouelle, S; Schaaper, M. and J. Shabani (2012)
lefficacit de la R&D au niveau des politiques et pratiques Challenges, Constraints and the State of Science, Technology
institutionnelles en Afrique francophone, 89 octobre and Innovation Policy in African Countries. UNESCO: Paris.
2013, Dakar. Organisation of Economic Cooperation and
Development. NPCA (2014) African Innovation Outlook 2014. Planning and
Coordinating Agency of the New Partnership for Africas
Gaillard, J. (2010) Etat des lieux du systme national de Development: Pretoria, 208 pp.
recherche scientifique et technique du Bnin. Science Policy
Studies Series. UNESCO: Trieste, 73pp. NPCA (2011) African Innovation Outlook 2011. Planning and
Coordinating Agency of the New Partnership for Africas
ISSER (2014) The State of the Ghanaian Economy in 2013. Development: Pretoria.
Institute of Statistical, Social and Economic Research.
University of Ghana: Legon. Oye Ibidapo, O. (2012) Review of the Nigerian National System
of Innovation. Federal Ministry of Science and Technology
Juma, C. and I. Serageldin (2007) Freedom to Innovate: of Nigeria: Abuja.
Biotechnology in Africas Development. Report of High-level
Panel on Modern Biotechnology. Republic of Liberia (2012) Agenda for Transformation: Steps
Towards Liberia Rising 2030. Monrovia.
MoEdST (2007) Education Sector Plan A Road Map to a Better
Future, 20072015. Ministry of Education, Science and University World News (2014) Effective research funding
Technology of Sierra Leone: Freetown. could accelerate growth. Journal of Global News on Higher
Education. February, Issue no. 306.
MoEnST (2010) National Science, Technology and Innovation
Policy. Ministry of Environment, Science and Technology Van Lill, M. and J. Gaillard (2014) Science-granting Councils in
of Ghana: Accra. sub-Saharan Africa. Country report: Cte dIvoire. University
of Stellenbosch (South Africa).
MoESC (2007) Description du programme sectoriel de
lducation 20082015. Ministry of Education and Scientific
Research of Guinea: Conakry. George Owusu Essegbey (b. 1959: Ghana) holds olds a
See: http://planipolis.iiep.unesco.org PhD in Development Studies from the University of Cape
Coast in Ghana. Since 2007, he has been Director of the
MoHER (2013a) Dcisions prsidentielles relatives Science and Technology Policy Research Institute of the
lenseignement suprieur et la recherche. Ministry of Council for Scientific and Industrial Research Institute
Higher Education and Research of Senegal: Dakar, 7 pp. in Ghana. His research focus encompasses technology
development and transfer, new technologies, agriculture,
MoHER (2013b) Plan de dveloppement de lenseignement industry and environment.
suprieur et de la recherche, 20132017. Ministry of Higher
Nouhou Diaby (b. 1974: Senegal) received his PhD in
Education and Research of Senegal: Dakar, 31 pp.
Geoscience and Environment from the University of
Lausanne (Switzerland). He is currently working in Dakar
MoHERST (2013) National Science, Technology and Innovation
as technical advisor to the Ministry of Higher Education
Policy. Ministry of Higher Education, Research, Science and
and Research. In parallel, he teaches at Ziguinchor
Technology of Gambia: Banjul.
University and at the Institute of Environmental Science
at Cheikh Anta Diop University. Since 2013, he has
MoSHESR (2009) Document de politique nationale de
been the focal point in Senegal for UNESCOs Global
lenseignement suprieur et de la recherche scientifique.
Observatory of Science, Technology and Innovation
Ministry of Secondary and Higher Education and Scientific
Policy Instruments (GOSPIN).
Research of Mali: Bamako.
See http://planipolis.iiep.unesco.org Almamy Konte (b. 1959: Senegal) received his PhD in
Physics from Cheikh Anta Diop University in Dakar. He
MRSI (2012) Politique nationale de recherche scientifique et works on innovation policy at the African Observatory
Chapter 18

technique. Ministry of Research, Science and Innovation of of Science, Technology and Innovation in Malabo
Burkina Faso: Ouagadougou. (Equatorial Guinea). He has over ten years of research and
teaching experience in his field of expertise.

497
Most countries have based their long-term planning
(vision) documents on harnessing science, technology
and innovation to development.
Kevin Urama, Mammo Muchie and Remy Twingiyimana

A schoolboy studies at home using a book illuminated by a single electric LED lightbulb in
July 2015. Customers pay for the solar panel that powers their LED lighting through regular
instalments to M-Kopa, a Nairobi-based provider of solar-lighting systems. Payment is made
using a mobile-phone money-transfer service.
Photo: Waldo Swiegers/Bloomberg via Getty Images

498
 East and Central Africa
19 . East and Central Africa
Burundi, Cameroon, Central African Republic, Chad, Comoros, Congo (Republic of), Djibouti,
Equatorial Guinea, Eritrea, Ethiopia, Gabon, Kenya, Rwanda, Somalia, South Sudan, Uganda

Kevin Urama, Mammo Muchie and Remy Twiringiyimana

Chapter 19
INTRODUCTION which invest in these technologies to take a growing share of
the global oil market. This highlights the need for oil-producing
Mixed economic fortunes African countries to invest in science and technology (S&T) to
Most of the 16 East and Central African countries covered maintain their own competitiveness in the global market.
in the present chapter are classified by the World Bank
as being low-income economies. The exceptions are Half the region is fragile and conflict-affected
Cameroon, the Republic of Congo, Djibouti and the newest Other development challenges for the region include civil strife,
member, South Sudan, which joined its three neighbours religious militancy and the persistence of killer diseases such
in the lower middle-income category after being promoted as malaria and HIV, which sorely tax national health systems
from low-income status in 2014. Equatorial Guinea is the and economic productivity. Poor governance and corruption
regions only high-income country but this classification undermine economic activity and foreign investment in
masks great variations in income levels; poverty is several countries. Those which score poorly in Transparency
widespread and life expectancy at birth is among the Internationals Corruption Perceptions Index also tend to rank
regions lowest, at 53 years (Table 19.1). poorly in the Ibrahim Index of African Governance (Table 19.1):
Burundi, Central African Republic, Chad, Republic of Congo,
All but four nations are classified as heavily indebted poor Eritrea, Somalia and South Sudan. Interestingly, both indices
countries, the exceptions being Djibouti, Equatorial Guinea, consider Rwanda as having the best governance record in East
Kenya and South Sudan. Poverty and high unemployment and Central Africa.
are endemic in the region. Life expectancy varies between
50 and 64 years, a strong indicator of the developmental Seven countries are classified as fragile and conflict-affected
challenges facing the region. by the World Bank, namely Burundi, Central African Republic,
Chad, Comoros, Eritrea, Somalia and South Sudan. In particular,
The regions economic fortunes have been a mixed bag the Central African Republic and South Sudan have experienced
since 2010. Several countries have managed to raise their civil war in recent years. These conflicts tend to affect their
GDP growth rates, or at least maintain them at 20042009 neighbours as well, such as by disrupting trade flows, creating
levels: Burundi, Chad, Comoros, Eritrea and Kenya. streams of cross-border refugees, or giving rise to cross-border
Two have sustained some of the highest growth rates in attacks. For instance, South Sudanese have been seeking asylum
Africa Cameroon and Ethiopia and one recorded 24% in Uganda and the Boko Haram (literally, books are forbidden)
growth in its first year of existence: South Sudan. Of note sect in Nigeria has made violent incursions into neighbouring
is that only two of these countries are oil-exporters: Chad Cameroon and Niger and could threaten the trade route
and South Sudan. between Cameroon and Chad.

Five of the continents top 12 oil-producing countries are Meanwhile, Kenyas economy has suffered from terrorist attacks
found in East and Central Africa (Figure 19.1). Economic by the Somalian Al-Shabaab group which have undermined
growth is expected to slow down in Africas oil-exporting the countrys important tourist industry, in particular. In April
countries, following a slump in Brent crude prices since 2015, Al-Shabaab massacred 148 students and staff at Garissa
mid-2014, as African exporters have fewer reserves than University, the only such institution in the north of the country,
the Gulf States to tide them over until prices recover. which had only opened in 2011. Across the border, Somalia is
Analysts suggest several explanations for the current drop engaged in a fragile process of state- and peacebuilding, its
in value of conventional sources of oil. On the one hand, economy in ruins after two decades of political instability and
clean energy policies have fostered the development of insecurity.
more fuel-efficient technology, including in the automotive
industry. In parallel, technological developments in In the Central African Republic, the economy has suffered
hydraulic fracturing (fracking) and horizontal drilling have considerably since late 2012 when rebel groups took control
made it profitable to extract oil from unconventional of towns in the centre and north of the country. Despite the
sources, such as tight rock formations [shale oil in the USA deployment of peacekeepers from the African Union, United
and oil (tar) sands in Canada], deep-sea oil (most countries Nations and France and the signing of a ceasefire in July 2014,
are now finding deposits) and biofuels (Brazil and others); the situation remains volatile. For the first decade of the century,
high global oil prices until recently have allowed countries the country had experienced positive, albeit erratic, growth.

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Table 19.1: Socio-economic indicators for sub-Saharan Africa, 2014 or closest year

accounting for more than

governance Index, 2014

Access to electricity (%),

Life expectancy at birth

Internet access per 100

growth rate (%), 2014

subscriptions per 100

GDP growth rate (%),

75% of exports, 2012

(current PPP$), 2013

sanitation (%), 2011

Access to improve d

Access to improved
Population (000s),

Annual population

population, 2013

population, 2013
water, (%), 2011
Ibrahim African
GDP per capita

No of products

Mobile phone
(years), 2013
2014

2013

2011
Angola 22 137 3.05 51.9 7 736 6.80 1 44 88.6 93.9 99.4 19.10 61.87
Benin 10 600 2.64 59.3 1 791 5.64 9 18 5.0 57.1 28.2 4.90 93.26
Botswana 2 039 0.86 47.4 15 752 5.83 2 3 38.6 91.9 45.7 15.00 160.64
Burkina Faso 17 420 2.82 56.3 1 684 6.65 3 21 7.7 43.6 13.1 4.40 66.38
Burundi 10 483 3.10 54.1 772 4.59 3 38 41.7 68.8 1.30 24.96
Cabo Verde 504 0.95 74.9 6 416 0.54 8 2 37.50 100.11
Cameroon 22 819 2.51 55.0 2 830 5.56 6 34 39.9 51.3 53.7 6.40 70.39
Central African Republic 4 709 1.99 50.1 604 -36.00 4 51 14.6 58.8 3.50 29.47
Chad 13 211 2.96 51.2 2 089 3.97 1 49 7.8 39.8 2.30 35.56
Comoros 752 2.36 60.9 1 446 3.50 2 30 17.7 87.0 6.50 47.28
Congo, Rep. 4 559 2.46 58.8 5 868 3.44 1 41 37.8 6.60 104.77
Congo, Dem. Rep. 69 360 2.70 49.9 809 8.48 4 40 17.0 43.2 9.0 2.20 41.82
Cte d'Ivoire 20 805 2.38 50.8 3 210 8.70 10 47 14.9 76.0 59.3 2.60 95.45
Djibouti 886 1.52 61.8 2 999 5.00 7 35 61.4+1 92.1+1 9.50 27.97
Equatorial Guinea 778 2.74 53.1 33 768 -4.84 2 45 16.40 67.47
Eritrea 6 536 3.16 62.8 1 196 1.33 1 50 9.2 42.6 31.9 0.90 5.60
Ethiopia 96 506 2.52 63.6 1 380 10.49 6 32 2.4 13.2 23.2 1.90 27.25
Gabon 1 711 2.34 63.4 19 264 5.89 1 27 60.0 9.20 214.75
Gambia 1 909 3.18 58.8 1 661 4.80 4 23 75.8 14.00 99.98
Ghana 26 442 2.05 61.1 3 992 7.59 6 7 7.0 54.4 72.0 12.30 108.19
Guinea 12 044 2.51 56.1 1 253 2.30 2 42 8.3 52.4 1.60 63.32
Guinea-Bissau 1 746 2.41 54.3 1 407 0.33 1 48 35.8 3.10 74.09
Kenya 45 546 2.65 61.7 2 795 5.74 56 17 24.6 42.7 19.2 39.00 71.76
Lesotho 2 098 1.10 49.3 2 576 5.49 6 10 19.0 5.00 86.30
Liberia 4 397 2.37 60.5 878 11.31 8 31 4.60 59.40
Madagascar 23 572 2.78 64.7 1 414 2.41 30 33 7.9 28.6 14.3 2.20 36.91
Malawi 16 829 2.81 55.2 780 4.97 5 16 9.6 42.1 7.0 5.40 32.33
Mali 15 768 3.00 55.0 1 642 2.15 2 28 15.3 28.1 2.30 129.07
Mauritius 1 249 0.38 74.5 17 714 3.20 35 1 88.9 99.2 99.4 39.00 123.24
Mozambique 26 473 2.44 50.2 1 105 7.44 9 22 8.5 33.6 20.2 5.40 48.00
Namibia 2 348 1.92 64.3 9 583 5.12 8 6 23.6 67.2 60.0 13.90 118.43
Niger 18 535 3.87 58.4 916 4.10 3 29 4.8 34.3 1.70 39.29
Nigeria 178 517 2.78 52.5 5 602 5.39 1 37 36.9 45.6 48.0 38.00 73.29
Rwanda 12 100 2.71 64.0 1 474 4.68 5 11 30.2 60.3 8.70 56.80
Sao Tome & Principe 198 2.50 66.3 2 971 4.00 6 12 23.00 64.94
Senegal 14 548 2.89 63.4 2 242 2.80 25 9 35.1 59.9 56.5 20.90 92.93
Seychelles 93 0.50 74.2 24 587 5.28 4 5 97.1 96.3 50.40 147.34
Sierra Leone 6 205 1.84 45.6 1 544 5.52 4 25 10.9 36.7 1.70 65.66
Somalia 10 806 2.91 55.0 4 52 1.50 49.38
South Africa 53 140 0.69 56.7 12 867 2.21 83 4 58.0 81.3 84.7 48.90 145.64
South Sudan 11 739 3.84 55.2 2 030 13.13 1 25.26
Swaziland 1 268 1.45 48.9 6 685 2.78 21 24 48.5 38.9 24.70 71.47
Tanzania 50 757 3.01 61.5 2 443 7.28 27 19 6.6 55.0 15.0 4.40 55.72
Togo 6 993 2.55 56.5 1 391 5.12 11 15 13.2 48.4 26.5 4.50 62.53
Uganda 38 845 3.31 59.2 1 674 3.27 17 36 26.2 41.6 14.6 16.20 44.09
Zambia 15 021 3.26 58.1 3 925 6.71 3 13 41.3 49.1 22.0 15.40 71.50
Zimbabwe 14 599 3.13 59.8 1 832 4.48 9 46 40.6 79.2 37.2 18.50 96.35
+n = n years after reference year
Note: Not included in the African Governance column of this table are Algeria (20th), Egypt (26th), Libya (43rd), Mauritania (39th), Morocco (14th) or Tunisia (8th).
Source: World Banks World Development Indicators, April 2015; for exports: AfDB, OECD & UNDP (2014) African Economic Outlook 2014; for African Governance Index:
Mo Ibrahim Foundation (2014) Ibrahim Index of African Governance Country Profiles: www.moibrahimfoundation.org; for water, sanitation and electricity: WHO,
World Banks World Development Indicators; UNICEF, UNDP and International Energy Agency, compiled by UNESCO

500
 East and Central Africa

Public spending on agriculture tends to be fairly low, at

Figure 19.1: Top 12 crude oil-producing countries
less than 5% of GDP for most countries (Table 19.2). This
in Africa, 2014
has obvious implications for expenditure on agricultural

Chapter 19
Estimated barrels per day (000s)
R&D as a subset of the total. So far, only three countries
Nigeria 2 427
have reached the target in the Maputo Declaration (2003) of
Angola 1 756 devoting 10% of GDP to agriculture: Burundi (10%), Niger
(13%) and Ethiopia (21%). The large proportion of the working
Algeria 1 721
population employed in agriculture is another indicator of
Egypt 661 these countries levels of development. The lack of economic
diversification handicaps both agrarian and fossil-fuel based
Libya 516
economies, as they tend to be heavily dependent on natural
Equatorial Guinea 269 resources for foreign exchange, in particular.

Congo, Rep 267

Public expenditure on health is low in most countries, the
Sudan 262 exceptions being Burundi (4.4% of GDP), Djibouti (5.3%)
and Rwanda (6.5%) in 2013. These same three countries also
South Sudan 262 accord a high priority to education (more than 5% of GDP), as
Gabon 240
do Comoros (7.6% in 2008), the Republic of Congo (6.2% in
2010) and Kenya (6.7% in 2010).
Ghana 106
Military expenditure tends to account for less than 2% of GDP
Chad 103
in the region, with the notable exception of Chad (2.0% in
Source: www.eia.gov 2011), Burundi (2.2% in 2013), Central African Republic
(2.6% in 2010), Djibouti (3.6% in 2008), Equatorial Guinea (4.0%
South Sudans economic fortunes have been largely tied in 2009) and, above all, South Sudan (9.3% in 2012) [Table 19.2].
to its oil exports, which in turn have fluctuated wildly due
to internal unrest and according to the state of political The credibility of political institutions and election outcomes
relations with neighbouring Sudan, through which its export remains a major challenge. Owing to instability and
pipeline runs. Over the past year, Equatorial Guinea has had governance challenges in East Africa, the region was the
to contend with stagnant world oil prices which have held continents lowest recipient of foreign direct investment (FDI)
its own GDP in check. in 2008 and 2009. In 2013, FDI flowed most abundantly into
the economies of Djibouti (19.6% of GDP), the Republic of
Ethiopia has been the shining star in the region, maintaining Congo (14.5%) and Equatorial Guinea (12.3%). Whereas the
its double-digit growth rate over the past few years. Uganda oil industry was the main pole of attraction in the latter two
has been another strong performer, although its growth countries, FDI flowed mostly into Djiboutis port area, which
seems to have been somewhat stunted by the slow global is strategically located on trade routes to the Middle East.
recovery from the 20082009 financial crisis. Eritrea has The regions resource potential is expected to attract greater
made some of the biggest gains, having managed to turn FDI flows in future. Potential areas for investment include
negative growth prior to 2010 into a 4.8% average ever oil and mineral exploration in Chad, Ethiopia, Sudan and
since. On the whole, it does not appear as if the global crisis Uganda, intensified economic and business reforms led by
has had a major lasting impact on economies in the region, Rwanda and large infrastructure projects, such as the ongoing
although the slowing-down of the Chinese economy since construction of the Ethiopian Grand Renaissance Dam and the
2014 is a potential cause for concern for resource-exporting development of geothermal energy in Kenya (see p. 524).
countries.
Intraregional trade is important for many small or landlocked
Regional integration can favour development East and Central African economies but it is severely hindered
Most countries in East and Central Africa are still in the early by the poor state of transport infrastructure. A major
stages of transition from traditional agrarian to modern challenge will be to develop railway and road linkages to
industrial economies, as evidenced by the generally large ports, so as to better connect countries with one another and
contribution of agriculture to GDP (Figure 19.2). Agriculture the global economy.
even contributes more than half of GDP in Central African
Republic, Chad and Sierra Leone. Notable exceptions to the Regional integration offers one means of addressing the
rule are the Republic of Congo and Gabon, where the oil challenges outlined above. Political co-operation is just as
industry dwarfs all other economic activities. essential as economic co-operation, however, in order to

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Figure 19.2: Composition of GDP in sub-Saharan Africa by economic sector, 2013 (%)
Angola 10.1 32.1 57.8 7.2
Benin 36.5 49.5 14.0 8.2

Botswana 2.5 60.5 36.9 5.7

Burkina Faso 22.9 47.8 29.4 6.4

Burundi 39.8 42.4 17.7 9.5

Cabo Verde-1 8.1 74.9 17.0

Cameroon 22.9 47.2 29.9 14.4

Central African Republic-1 54.3 32.0 13.7 6.5

Chad 51.5 33.1 15.4 2.7

Comoros 37.1 50.4 12.5 7.0

Congo, Dem. Rep. 20.8 41.0 38.2 16.6

Congo, Rep. 4.4 23.6 72.0 4.3

Cote d'Ivoire 22.3 55.5 22.3 12.7

Djibouti-6 3.9 79.3 16.9 2.5

Eritrea -4 14.5 63.0 22.4 5.7

Ethiopia 45.0 43.0 11.9 4.0

Gabon -1 4.0 32.0 64.0

Ghana 21.9 49.6 28.5 5.8

Guinea 20.2 42.1 37.7 6.5

Guinea-Bissau 43.7 42.7 13.7

Kenya 29.5 50.7 19.8 11.7

Lesotho -1 8.3 59.9 31.8 11.7

Liberia-1 38.8 44.7 16.4 3.3

Madagascar 26.4 57.5 16.1

Malawi 27.0 54.2 18.8 10.7

Mali-1 42.3 35.0 22.7

Mauritius 3.2 72.5 24.3 17.0

Mozambique 29.0 50.2 20.8 10.9

Namibia 6.1 60.5 33.4 13.2

Niger 37.2 43.4 19.4 6.1

Nigeria 21.0 57.0 22.0 9.0
Rwanda 33.4 51.7 14.9 5.2

Sao Tome and Principe-2 19.8 64.3 15.9 6.4

Senegal 17.5 58.4 24.0 13.6

Seychelles 2.4 86.3 11.3 6.3
Sierra Leone 59.5 32.6 8.0 2.0
South Africa 2.3 67.8 29.9 13.2

Swaziland-2 7.5 44.8 47.7 43.8

Tanzania 33.8 43.0 23.2 7.4
Togo -2
30.8 53.7 15.5 8.1

Uganda 25.3 54.0 20.8 10.0

Zambia 9.6 56.5 33.9 8.2

Zimbabwe 12.0 56.9 31.1 12.8

n = data refer to n years before reference year Agriculture Services Industry Manufacturing as a subset of industry

Note: Data are unavailable for Equatorial Guinea, Gambia, Somalia and South Sudan.

Source: World Banks World Development Indicators, April 2015

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 East and Central Africa

deal with civil, ethnic and cross-border conflicts, as well as The Inter-University Council for East Africa (IUCEA) was
to manage access to, and possible disputes over, natural formally integrated into the operational framework of
resources that straddle national boundaries, including the EAC by the East African Legislative Assembly in 2009

Chapter 19
river catchments. The construction of the Ethiopian through the IUCEA Act. IUCEA has been entrusted with
Grand Renaissance Dam on the Blue Nile illustrates the the mission of developing a Common Higher Education
importance of intraregional dialogue. Once completed, Area by 2015. In order to harmonize higher education
it will be the largest hydroelectric power plant in Africa systems in EAC countries, IUCEA established the East
(6000 MW) and the eighth-largest in the world. After Egypt African Quality Assurance Network in 2011, which is in the
expressed reservations, a Tripartite National Committee process of developing a regional policy and an East African
was set up with Sudan which met for the first time in qualifications framework for higher education. IUCEA also
September 2014. This led to the signing of a tripartite established a partnership with the East African Business
co-operation agreement in the Sudanese capital on Council in 2011 to foster joint research and innovation by
23 March 2015 which established the principle of energy- the private sector and universities and identify areas for
sharing by both upstream and downstream countries once curricular reform. The two partners organized the regions
the dam is completed. The ten points of the agreement first forum for academia and private firms under the
were being debated in Egypt and Ethiopia in mid-2015. auspices of the EAC in Arusha in 2012 and a second with
the East African Development Bank in Nairobi in 2013.
Regional integration also offers an opportunity for greater
solidarity in an emergency situation. One illustration of On 1 July 2010, the five EAC members Burundi, Kenya,
this new paradigm is the decision by the East African Rwanda, Tanzania and Uganda formed a common
Community in October 2014 to send a contingent of market; the agreement provides for the free movement
600 health professionals to West Africa, including of goods, labour, services and capital. In 2014, Rwanda,
41 doctors, to combat the Ebola epidemic (see p. 472). Uganda and Kenya agreed to adopt a single tourist visa.
Kenya, Tanzania and Uganda have also launched the East
A step closer to regional integration African Payment System. On 30 November 2013, the EAC
There are three main regional economic communities in countries signed a Monetary Union Protocol with the aim
East Africa: the Common Market for Eastern and Southern of establishing a common currency within 10 years.
Africa (COMESA1), the East African Community (EAC) and
the Intergovernmental Authority on Development (IGAD). The EAC Common Market Protocol (2010) makes provisions
There is quite a lot of overlap, with many member states for market-led research, technological development
belonging to more than one regional trade bloc. Djibouti, and the adaptation of technologies in the community,
Eritrea, Ethiopia and Sudan belong to both COMESA and in order to support the sustainable production of goods
IGAD, for instance, Burundi and Rwanda to both COMESA and services and enhance international competitiveness.
and EAC and Kenya and Uganda to all three. Some States are to collaborate with the East African Science
countries also belong to the Southern African Development and Technology Commission and other institutions to
Community (SADC), such as Tanzania, which is a member develop mechanisms for commercializing indigenous
of the EAC. This overlap can potentially strengthen regional knowledge and ensuring intellectual property protection.
co-operation, as long as the various blocs co-ordinate their Member states also undertake to establish a research
policies. The ultimate goal for the African Union is and technological development fund for the purpose of
to develop an African Economic Community by 2023 implementing the provisions in the protocol. Other clauses
(see Box 18.2). include:

n promoting linkages among industries and other

The EAC was established in 1967 but collapsed in 1977
economic sectors within the EAC community;
before being resuscitated in 2000. COMESA was founded
in 1993 as the successor to the Preferential Trade Area for n promoting industrial R&D and the transfer, acquisition,
Eastern and Southern Africa. Both founding treaties make adaptation and development of modern technology;
provisions for co-operation to develop STI. A number of
n promoting sustainable and balanced industrialization to
East and Central African countries have also entered into
cater for the least industrialized members;
bilateral co-operation agreements with South Africa in
science and technology, most recently Ethiopia and Sudan n facilitating the development of micro-, small and
in 2014 (see Table 20.6). medium-sized (SME) enterprises and promoting
indigenous entrepreneurs; and
1. For the members of these regional communities, see Annex 1. Tanzania is n promoting knowledge-based industries.
profiled in Chapter 20 on the SADC countries, see p. 559

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Table 19.2: Investment priorities in sub-Saharan Africa, 2013 or closest year

Government Expenditure
Public Public expenditure on tertiary
Military Public health expenditure expenditure on tertiary education
expenditure expenditure on agriculture on education education (% total public FDI inflows
(% of GDP), (% of GDP), (% of GDP), (% of GDP), (% of GDP), expenditure on (% of GDP),
2013 2013 2010 2012 2012 education), 2012 2013
Angola 4.9 2.5 <5 3.5-2 0.2-6 8.7-6 -5.7
Benin 1.0 2.5 <5 5.3-2 0.8-2 15.6-2 3.9
Botswana 2.0 3.1 <5 9.5-3 3.9-3 41.5-3 1.3
Burkina Faso 1.3 3.7 11 3.4-1 0.8 20.2-1 2.9
Burundi 2.2 4.4 10 5.8 1.2 20.6 0.3
Cabo Verde 0.5 3.2 <5 5.0-1 0.8-1 16.6-1 2.2
Cameroon 1.3 1.8 <5 3.0 0.2 7.8 1.1
Central African Republic 2.6-3 2.0 <5 1.2-1 0.3-1 27.3-1 0.1
Chad 2.0-2 1.3 6 2.3-1 0.4-1 16.3-1 4.0
Comoros 1.9 7.6-4 1.1-4 14.6-4 2.3
Congo, Rep. 1.1-3 3.2 6.2-2 0.7+1 10.9-2 14.5
Congo, Dem. Rep. 1.3 1.9 1.6-2 0.4-2 24.0-2 5.2
Cte d'Ivoire 1.5-1 1.9 <5 4.6-4 0.9-5 21.0-5 1.2
Djibouti 3.6-5 5.3 4.5-2 0.7-2 16.5-2 19.6
Equatorial Guinea 4.0-4 2.7 <5 12.3
Eritrea 1.4 2.1-6 1.3
Ethiopia 0.8 3.1 21 4.7-2 0.2-2 3.5-2 2.0
Gabon 1.3 2.1 4.4
Gambia 0.6-6 3.6 8 4.1 0.3 7.4 2.8
Ghana 0.5 3.3 9 8.1-1 1.1-1 13.1-1 6.7
Guinea 1.7 2.5 0.8 33.4 2.2
Guinea-Bissau 1.7-1 1.1 <5 1.5
Kenya 1.6 1.9 <5 6.6-2 1.1-6 15.4-6 0.9
Lesotho 2.1 9.1 <5 13.0-4 4.7-4 36.4-4 1.9
Liberia 0.7 3.6 <5 2.8 0.1 3.6 35.9
Madagascar 0.5 2.6 8 2.7 0.4 15.2 7.9
Malawi 1.4 4.2 28 5.4-1 1.4-1 26.6-1 3.2
Mali 1.4 2.8 11 4.8-1 1.0-1 21.3-1 3.7
Mauritius 0.2 2.4 <5 3.5 0.3 7.9 2.2
Mozambique 0.8-3 3.1 6 5.0-6 0.6-6 12.1-6 42.8
Namibia 3.0 4.7 <5 8.5-2 2.0-2 23.1-2 6.9
Niger 1.1-1 2.4 13 4.4 0.8 17.6 8.5
Nigeria 0.5 1.1 6 1.1
Rwanda 1.1 6.5 7 4.8 0.6 13.3 1.5
Sao Tome & Principe 2.0 7 9.5-2 3.4
Senegal 0.002 2.2 14 5.6-2 1.4-2 24.6-2 2.0
Seychelles 0.9 3.7 <5 3.6-1 1.2-1 32.5-1 12.3
Sierra Leone 0.001 1.7 <5 2.9 0.7 23.2 3.5
South Africa 1.1 4.3 <5 6.6 0.8 11.9 2.2
South Sudan 9.3-1 0.8 0.7-1 0.2-1 25.3-1
Swaziland 3.0 6.3 5 7.8-1 1.0-1 12.8-1 0.6
Tanzania 0.9 2.7 7 6.2-2 1.7-2 28.3-2 4.3
Togo 1.6-2 4.5 9 4.0 1.0 26.1 1.9
Uganda 1.9 4.3 <5 3.3 0.4 11.5 4.8
Zambia 1.4 2.9 10 1.3-4 0.5-7 25.8-7 6.8
Zimbabwe 2.6 2.0-2 0.4-2 22.8-2 3.0
-n/+n: data refer to n years before or after reference year
Source: for education: UNESCO Institute for Statistics; for agriculture: ONE.org (2013) The Maputo Commitments and the 2014 African Union Year of Agriculture;
for all other variables: World Banks World Development Indicators, April 2015

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 East and Central Africa

Fourteen out of 20 COMESA members have formed a free-trade recommendation of the Fourth African Ministerial Conference
zone since 2000 (see Box 18.2). This agreement has facilitated on Science and Technology in Egypt (AMCOST, 2013)2, the
trade in the tea, sugar and tobacco sectors, in particular. Intra- reviewers noted that the COMESA region has developed an

Chapter 19
industry linkages have also evolved considerably, with trade innovation strategy which calls for a strong collaboration
in semi-manufactured goods among member states having between COMESA and the NEPAD Agency and the African
overtaken trade in similar products with the rest of the world. Union Commission in implementing the strategy. They went
In 2008, COMESA agreed to expand its free-trade zone to on to say that the CPA has also been used as a template for
include EAC and SADC members. Negotiations are currently formulating the science and technology policy for IGAD. In the
under way for a COMESAEACSADC Tripartite Free Trade East African Community, a programme from the CPA has been
Agreement by 2016. embedded into the health sector, leading to the launch of the
African Medicines Regulatory Harmonization programme in
The Intergovernmental Authority onDevelopment (IGAD) March 2012.
was created in 1996 to supersede the Intergovernmental
Authority on Drought and Development, which had been The SADC and the Economic Community of West Africa
founded by Djibouti, Ethiopia, Kenya, Somalia, Sudan and (ECOWAS) have also domesticated the Plan of Action:
Uganda in 1986, after a severe famine. Eritrea and South the SADC adopted a Protocol on Science, Technology and
Sudan joined IGAD after gaining independence in 1993 Innovation in 2008 (see p. 537) and the CPA has informed the
and 2011 respectively. The IGAD Climate Prediction and formulation of the ECOWAS Policy on Science and Technology
Applications Centre, based in Nairobi, Kenya, began life as (see p. 476).
the Drought Monitoring Centre in 1989, before being fully
integrated into IGAD through a related protocol in 2007. The review of the CPA revealed significant achievements in
In addition to the eight IGAD countries, the centre counts the following areas:
Burundi, Rwanda and Tanzania among its members. More
recently, the Regional Centre on Groundwater Resources n Establishment of four networks of centres of excellence
Education, Training and Research in East Africa was set up within the African Biosciences Initiative (Box 19.1), as well as
at the Kenya Water Institute in Nairobi in 2011, under the two complementary networks, Bio-Innovate (Box 19. 1) and
auspices of UNESCO. the African Biosafety Network of Expertise (see Box 18.1);

n Establishment of a virtual African Laser Centre, which

IGADs current flagship programme (20132027) sets out
counted 31 member institutions in 2012;
to develop drought-resilient communities, institutions and
ecosystems in the IGAD region by 2027. The seven thrusts of n Establishment of the African Institutes of Mathematical
IGADs Drought Resilience programme are: Sciences (see Box 20.4);

n Establishment of the Southern Africa and West Africa

n Natural resources and environment;
Networks of Water Centres of Excellence;
n Market access, trade and financial services;
n Launch of the African Science, Technology and Innovation
n Livelihoods support and basic social services; Indicators Initiative;

n Research, knowledge management and technology n Establishment of the African Observatory for Science,
transfer; Technology and Innovation in Equatorial Guinea;

n Conflict prevention, resolution and peace-building; and n Launch of the African Medicines Regulatory Harmonization
programme in the EAC in 2012;
n Co-ordination, institutional development and
partnership. n Introduction of African Union Competitive Research Grants
administered by the African Union Commission the
first and second calls for research proposals took place
in December 2010 and January 2012 for projects in post-
TRENDS IN STI POLICY AND harvest technologies and agriculture; renewable and
GOVERNANCE sustainable energy; water and sanitation; fisheries and
climate change;
An alignment with the continents long-term vision
The programmes of COMESA, EAC and IGAD have been
aligned with those of Africas Science and Technology 2. This review was conducted by a high-level panel of eminent scientists
supported by a group of experts from the African Academy of Sciences, AUC,
Consolidated Plan of Action (CPA, 20052014). When NEPAD Agency, AfDB, UNECA, UNESCO and the International Council for Science,
implementation of the CPA was reviewed in 2012, on the among others.

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UNESCO SCIENCE REPORT

Box 19.1: Networks of centres of excellence in biosciences

In 2002, the Biosciences Eastern and of partnerships, including with African remained financially vulnerable, with a
Central Africa Network (BecA) became Women in Agricultural Research and small number of primary donors and no
the first of four subregional hubs to be Development and the Association for evidence to suggest that alumni would
established by NEPAD, with support Strengthening Agricultural Research in return in large numbers as fee-paying
from the Canadian government. The Eastern and Central Africa. In 2012 and users of the hubs modern facilities.
hubs were set up within the African 2013, UNESCO funded the participation Up until now, the programme has been
Biosciences Initiative, a cluster of three of 20 women scientists in the hubs supported primarily by the Australian
programmes for biodiversity science Advanced Genomics and Bioinformatics and Swedish governments, the
and technology, biotechnology and workshops. Syngenta Foundation for Sustainable
indigenous knowledge systems. Agriculture and the Bill and Melinda
The Bio-Innovate network was set up in Gates Foundation.
BecA manages the African Biosciences 2010 under BecA as a successor of BioEARN.
Challenge Fund, established in 2010. The It promotes the use of biosciences to One of four African bioscience networks
fund has the dual function of capacity- improve crop productivity, smallholder From 2005 onwards, NEPAD established
building and R&D project-funding on farmers resilience to climate change three other networks within the African
a competitive basis. BecA runs training and to add value to local bio-resources Biosciences Initiative. These are the
workshops and provides fellowships to by increasing the efficiency of the agro- Southern African Network for Biosciences
scientists and graduate students from processing industry. Funded by Sweden, (SANbio), with its hub at the Council
African national agricultural research the network covers Burundi, Ethiopia, for Scientific and Industrial Research in
organizations and universities.* Kenya, Rwanda, Tanzania and Uganda. Pretoria (South Africa); the West African
Biosciences Network (WABNet), with
BecA regularly launches calls for An encouraging evaluation its hub at the Institut sngalais de
researchers interested in implementing An evaluation of the fund by Dalbert recherches agricoles in Dakar (Senegal),
their projects over a maximum Global Development Advisors published and; the Northern Africa Biosciences
12-month period at the networks hub, in April 2014 observed that the fund Network (NABNet), based at the National
the International Livestock Research had achieved considerable growth and Research Centre in Cairo (Egypt).
Institute in Nairobi. Priority research areas impact, reaching circa 500 individual
include improving control of priority scientists and researchers across the Each network has several nodes
livestock diseases; harnessing genetic region over the past three years. Some which co-ordinate R&D in a particular
diversity for conservation, resistance 30 FTE scientists were due to receive area. Those for SANBio, for instance,
to disease and improved productivity; fellowships in 2014, the same number are Northwest University in South
molecular breeding of important as the previous year. Among the Africa (indigenous knowledge), the
food security crops; plantmicrobe 250 respondents to the evaluators survey, University of Mauritius (bioinformatics),
interactions; orphan crops; the biological 90% gave the hub a high score of Mauritius National Livestock Research
control of crop pests, pathogens and 4.2 out of five for the quality of the Centre (livestock production),
weeds; genomics and metagenomics; facilities and training. One in three University of Namibia (mushroom
climate-smart forage grasses; mixed researchers (33%) and 43% of workshop production and commercialization
livestockcrop systems; and soil health. participants between 2010 and 2013 were for rural communities), University of
women, noted the report, a proportion MalawiBunda College (fisheries and
A number of institutes have offered the hub wished to raise to 50%. This offers aquaculture); and the SADC Plant
their facilities to the hub for regional the hub a unique opportunity to provide Genetics Resources Centre in Zambia
use. These nodes are the University of mentoring opportunities for women, the (gene banking). Research programmes
Buea (Cameroon), Ethiopian Institute report states, recalling that the majority of have also been strengthened at other
of Agricultural Research, National those who produce, process and market partner institutions within each network.
Agricultural Research Organization Africas food are women. Source: http://hub.africabiosciences.org;
(Uganda); Kigali Institute of Science www.nepad.org/humancapitaldevelopment/abi
and Technology (Rwanda) and the Of some concern was that one in four *from Burundi, Cameroon, Central Africa Republic,
University of Nairobi (Kenya). research staff indicated spending more Democratic Republic of Congo, Equatorial Guinea,
Eritrea, Ethiopia, Gabon, Kenya, Madagascar,
than 50% of their time on administrative Rwanda, So Tom & Prncipe, Somalia, South
BecA has established a wide range tasks. The report also noted that the hub Sudan, Sudan, Tanzania and Uganda

506
 East and Central Africa

n institutionalization of a biennial ministerial forum on STI, in n Living together building society; and
partnership with UNESCO, the African Development Bank
n Wealth creation.
(AfDB), African Union Commission and United Nations

Chapter 19
Economic Commission for Africa (UNECA). The first forum
In order to achieve the objectives within these six priority areas,
took place in Nairobi in April 2012, the second in Rabat in
the following four pillars have been defined:
October 2014.
n Upgrading and/or building research infrastructure;
The review also identified the following shortfalls in CPA
n Enhancing technical and professional competences;
implementation, among others:
n Innovation and entrepreneurship; and
n The failure to set up the African Science and Technology
Fund was one of the landmark and visible weaknesses in n Providing an enabling environment for STI development in
implementation of the CPA; the modest achievements Africa.
recorded should be viewed in this context. With hardly
STISA-2024 can learn from the review of the CPA. For instance,
any governments having raised GERD to the target level
the reviewers considered a pan-African fund as being vital to
of 1% of GDP, more than 90% of funding mobilized for
sustain the networks of centres of excellence, encourage creative
implementation of the CPA came from bilateral and
individuals and institutions to generate and apply science and
multilateral donors.
technology and to promote technology-based entrepreneurship.
n STI priorities ought to have been linked to priorities of Although STISA-2024 states that it is urgent to set up an African
other development sectors to enhance impact. Science and Technology Innovation Fund, it identifies no
specific funding mechanism. Notwithstanding this, the African
n There should have been a differentiated approach to
Union Commission has already heeded another of the reviews
enable countries with limited human and infrastructural
recommendations by encouraging member countries to align
capacity (such as in post-conflict countries) to participate
their national and regional strategies on STISA-2024.
fully in CPA programmes.

n The lack of targets and a robust monitoring and evaluation Gender equality on the development agenda
strategy to track progress in implementation has led to The 2012 review observed that, although the CPA did not have
minimal demonstration of the CPAs achievements. There specific programmes in this area, implementing institutions had
should have been a strong, operational accountability put initiatives in place to promote the role of women in STI. One
framework for implementing partners. initiative they cited were the regional scientific awards for women
(US$ 20 000), which recompensed 21 recipients between 2009 and
n There was a limited focus on assessing how research
2012. The EAC, ECOWAS, SADC and the Economic Community of
efforts are contributing to solving needs in agriculture,
Central African States have all participated in these awards.
food security, infrastructure, health, human capacity
development and poverty reduction.
A number of governments in East and Central Africa are also
n Recent research on indigenous knowledge has mainly promoting gender equality in their policies and development
focused on documentation rather than sustainable plans. Examples are:
exploitation.
n Burundis Vision 2025 promises an energetic policy to
n There has been inadequate linkage of the CPA to other promote gender equality and greater participation by
continental frameworks and strategies. women in education, politics and economic development.
In 2011, 14.5% of researchers were women (Figure 19.3).
Adopted by the African Union in 2014, the Science, Technology
n Chad adopted a National Policy on Gender in 2011 which is
and Innovation Strategy for Africa (STISA-2024) is the first
being implemented by the Ministry of Social Action, Family
of five ten-year plans which intend to accelerate Africas
and National Solidarity.
transition to an innovation-led, knowledge-driven economy
by the year 2063 (Agenda 2063). STISA-2024 focuses on the n In the Republic of Congo, a Ministry for the Promotion of
following six priority areas: Women and Integration of Women in National Development
was established in September 2012.
n Eradication of hunger and achieving food security;
n Ethiopias Growth and Transformation Plan 20112015 plans
n Prevention and control of diseases; to raise the proportion of women university students to
40%. In 2013, 13.3% of researchers were women (Figure
n Communication (physical and intellectual mobility);
19.3). The Ethiopian Minister of Science and Technology
n Protecting our space; happens to be a woman, Demitu Hambisa.

507
UNESCO SCIENCE REPORT

n The Government of Kenya produced a policy brief in 2014

Figure 19.3: Women researchers in sub-Saharan Africa,
on Mainstreaming Gender in the National STI Policy of Kenya,
2013 or closest year (%)
in partnership with UNESCO and the African Technology
Namibia (2010) 43.7 Policy Studies network; the policy brief served as an
South Africa (2012) 43.7
addendum to the draft National Science, Technology and
Innovation Policy of 2012.
Mauritius (2012) 41.9
Cabo Verde (2011) 39.8
The emergence of technology and innovation hubs
Madagascar (2011) 35.4
In his blog for the World Bank, Tim Kelly observed in April 2014
Mozambique (2010) 32.2 that one of the key features of the African digital renaissance
Lesotho (2011) 31.0 is that it is increasingly home-grown. In other sectors of the
Zambia (2008) 30.7 African economy, such as mining or agribusiness, much of
Botswana (2012) 27.2 the know-how is imported and the wealth extracted but
Angola (2011) 27.1
Africas 700 million or so mobile subscribers use services that
are provided locally and they are also downloading more
Kenya (2010) 25.7
applications that are developed locally.3
Tanzania (2010) 25.4
Zimbabwe (2012) 25.3
One of the main sources of locally developed applications are the
Senegal (2010) 24.9 technology hubs springing up across Africa (Figure 19.4). There
Uganda (2010) 24.3 are now over 90 such hubs across the continent, which vary in
Nigeria (2007) 23.3 size and composition. Some have served as models, such as iHub
Burkina Faso (2010) 23.1 in Kenya, BongoHive in Zambia, MEST in Ghana, the Co-creation
Gabon (2009) 22.4 hub in Nigeria and SmartXchange in South Africa. One of the more
Cameroon (2008)
recent additions is the Botswana Innovation Hub (see p. 547).
21.8
Rwanda (2009) 21.8
Spiralling from the MPesa, Kenyas money transfer service
Gambia (2011) 20.0
via a mobile phone, many applications have now been
Malawi (2010) 19.5 developed for different sectors ranging from agriculture and
Ghana (2010) 18.3 health to crowd-sourcing weather information for disaster risk
Mali (2011) 16.0 reduction. While the impact of these technology hubs is yet to
Burundi (2011) 14.5 be systematically documented, an early prognosis is that this
Ethiopia (2013) 13.3 type of social innovation is already creating more prosperous
Togo (2012) 10.2
societies in Africa (Urama and Acheampong, 2013).

Note: Recent data are unavailable for some countries. Some of the start-ups graduating from incubators are tapping
Source: UNESCO Institute for Statistics, April 2015 into the mobile phone app and banking revolution that is
sweeping across East Africa. One example is MyOrder, an app
which effectively enables street vendors to launch mobile web
n Gabon adopted a National Gender Equality and Equity
shops, with clients placing orders and making payments by
Policy in 2010. In 2009, 22.4% of researchers were
mobile phone. Another app is Tusqee, which makes it possible
women (Figure 19.3) and, in 2013, 16% of parliamentary
for school administrators to send pupils grades to their
seats were held by women (World Bank, 2013).
parents phones (Nsehe, 2013).
n In Rwanda, the Ministry of Gender and Family Promotion
is situated in the Office of the Prime Minister. Rwandas If the start-ups cannot do it alone, neither can the technology
2003 Constitution made provisions for a Gender incubators. Conscious of the economic impact of innovation,
Monitoring Office, which was established in 2007. The some governments are investing in the development of
Constitution stipulates that both sexes should occupy technology hubs. Kenya even plans to establish hubs in all
no less than 30% of all decision-making bodies, thereby 47 of its counties (see p.523). This is coherent with the adoption
encouraging Rwandan women to compete for senior of policies in recent years which encompass innovation by
positions. Women won 51 out of the 80 seats (64%) Burundi in 2011, Ethiopia in 2010, Uganda in 2009 and Rwanda
in Rwandas 2013 parliamentary elections, confirming in 2005, among others.
Rwanda as world leader for this indicator. In research,
however, women remain a minority (21.8% in 2009, 3. See: http://blogs.worldbank.org/ic4d/tech-hubs-across-africa-which-will-be-
Figure 19.3). legacy-makers

508
 East and Central Africa

Figure 19.4: Technology hubs in East and Central Africa, 2014

Chapter 19
IceAddis
Mekelle ICT
Business Incubator

ActivSpaces (Box 19.3)

CiHub (Box 19.3)
Digitising Cameroon @TheHub
CURAD (see p. 529)
Outbox ETHIOPIA
Somaliland BITS
Hive Colab (see p. 529) (see p. 527)
SOUTH
Grameen Foundation
SUDANAppLab
CAMEROON Bantul@b SOMALIA

Bantul@b
UGANDA iHUB (see p. 524)
Aro Fab
REP. OF mLab East Africa
CONGO KENYA
DEMOCRATIC Start-up Garage
REPUBLIC GrowthHub
RWANDA
OF CONGO NokiaHub
@iLabAfrica (see p. 524)
NaiLab (see p. 524)
kLab (see p. 526) TANZANIA
The Office
iHills Network Kinu
CosTech
Dar es Salaam Innovation Space
TANZICT Innovation Space
Dar Tekinohama Business Incubator
COMOROS

Source: Adapted from iHB Research, World Bank and Bongohive

Persistently low internet penetration One example is the Olusegun Obasanjo Prize for Science
Low internet penetration nevertheless prevents many East and and Innovation, named after the former president of Nigeria
Central African countries from seizing fully the opportunities and implemented by the African Academy of Sciences.
offered by ICTs for socio-economic development. Penetration Also of note are the Annual Innovation Awards run by
rates of less than 7% are found in Burundi, Cameroon, Central COMESA since February 2014 to celebrate individuals
African Republic, Chad, Comoros, Congo, Eritrea, Ethiopia and and institutions that have used STI to further the regional
Somalia (Table 19.1). Kenya leads the region for this indicator, integration agenda.
having realized the feat of raising internet penetration from
14% to 39% of the population between 2010 and 2013, a Other actors are establishing prizes. In November 2014, the
compound annual growth rate of 41%. BMCE Bank of Africa announced the creation of the African
Entrepreneurship Award, with an endowment of US $1 million.
Mobile phone subscriptions are far more widespread, This private bank operates in 18 African countries and around
reaching from one-quarter (Burundi) to more than 200% the world. In 2009, the annual Innovation Prize for Africa was
(Gabon) of the population. Their ubiquity has inspired countless established by the African Innovation Foundation, a Zurich-
applications for mobile phones. based, non-profit organization; the Innovation Prize is open to
all Africans, with prize money valued at US$ 150000. Now in
Prizes for science and innovation its fourth year, the prize has been held in Ethiopia, South Africa
A growing number of national and regional prizes have been and Nigeria. So far, it has attracted around 2000 applications
introduced recently to encourage research and innovation. from 48 African countries.

509
UNESCO SCIENCE REPORT

TRENDS IN EDUCATION AND R&D in S&T in Cameroon (Figure 19.5), a state of affairs also
observed in West and Southern Africa (see Chapters 18 and
Generally low public spending on higher education 20). The CPA review lamented the fact that young African
Public spending on education as a share of GDP varies researchers were reluctant to train in fields such as
considerably across the region (Table 19.2). The share of public agricultural science which lacked popular appeal and was
education spending earmarked for tertiary education ranges of the view that the shortage of qualified personnel in such
from over 25% in some countries to just 3.5% in Ethiopia. fields was a big challenge for the continent.

Primary school enrolment rates have grown in recent years in A greater R&D effort by some countries
all countries for which data are available (Table 19.3). There is In Kenya, gross domestic expenditure on research and
much greater variability in enrolment rates at secondary and development (GERD) is approaching the CPA target of 1% of
tertiary levels; more than half of countries record secondary GDP; it has also risen in recent years in Ethiopia (0.61%), Gabon
enrolment rates of less than 30% and, in the others, the (0.58%) and Uganda (0.48%) [Figure 19.6 and Table 19.5].
enrolment of girls trails that of boys. Female secondary
school enrolment rates remain below those of males in all but
Figure 19.5: Science and engineering students
Rwanda and Comoros. At tertiary level, Cameroon, Comoros
in Cameroon and Ethiopia, 2010
and Congo have recorded enrolment rates of over 10% in
recent years, whereas Kenyas rate was a disappointing 4% at Cameroon Ethiopia
Bachelors and Masters
last count in 2009; Cameroon has recorded particularly rapid
32 761 66 007
progress, raising its enrolment rate from 5.8% in 2005 to 11.9%
in 2011. The gender disparity is also evident at tertiary level 2 047 39 139

and is particularly pronounced in the Central African Republic, 874 32 880

Chad, Eritrea and Ethiopia, where the male participation rate is 2 863 35 811
more than 2.5 times higher than that for females (Table 19.3).
PhD
241 149
Data are only available by field of study for Cameroon and
Ethiopia but these offer an interesting contrast. In both 236 48

countries, most of those studying S&T at university were 47 127

enrolled in scientific disciplines in 2010. The ratio of 467 42
engineering to science students was much higher in Ethiopia
Science Engineering Agriculture Health
(59%) than in Cameroon (6%). In Ethiopia, enrolment in
agriculture was almost as high as in engineering or health Source: UNESCO Institute for Statistics, May 2015
sciences, whereas it was by far the least popular field of study

Table 19.3: Gross enrolment ratio for education in East and Central Africa, 2012 or closest year
Primary Secondary Tertiary
Male Female Total Male Female Total Male Female Total
Burundi 138.0 136.9 137.4 33.0 24.2 28.5 4.2-2 2.2-2 3.2-2
Cameroon 117.9 103.2 110.6 54.3 46.4 50.4 13.7-1 10.1-1 11.9-1
Central African R. 109.3 81.3 95.2 3.6 12.1 17.8 4.2 1.5 2.8
Chad 108.2 82.4 95.4 31.2 14.3 22.8 3.6-1 0.9-1 2.3-1
Comoros 105.9+1 99.9+1 103.0+1 62.8+1 65.0+1 63.9+1 10.6 9.1 9.9
Congo, Rep. 105.5 113.4 109.4 57.5 49.8 53.7 12.7 8.0 10.4
Djibouti 73.1 65.9 69.5 49.4 38.1 43.8 5.9-1 4.0-1 4.9-1
Equatorial Guinea 91.8 89.6 90.7 32.8-7 23.6-7 28.2-7
Eritrea 3.0-2 1.1-2 2.0-2
Ethiopia 93.4-6 80.5-6 87.0-6 35.5-6 22.3-6 28.9-6 4.2-7 1.3-7 2.8-7
Kenya 114.1 114.6 114.4 69.5 64.5 67.0 4.8-3 3.3-3 4.0-3
Rwanda 132.3 135.1 133.7 30.8 32.8 31.8 7.8 6.0 6.9
Somalia 37.6-5 20.8-5 29.2-5 10.1-5 4.6-5 7.4-5
South Sudan 102.9-1 68.1-1 85.7-1
Uganda 106.5+1 108.2+1 107.3+1 28.7+1 25.0+1 26.9+1 4.9-1 3.8-1 4.4-1
-n/+n: data refer to n years before or after reference year
Note: Gross enrolment includes pupils of all ages, including those below or above the official age for the given level of education. See also glossary, p. 738.
Source: UNESCO Institute for Statistics, May 2015

510
 East and Central Africa

Table 19.4: Tertiary enrolment by level of programme in sub-Saharan Africa, 2006 and 2012 or closest years

Chapter 19
Post- Bachelors Post- Bachelors
secondary and PhD or Total secondary and PhD or Total
Year non-degree masters equivalent tertiary Year non-degree masters equivalent tertiary
Angola 2006 0 48 694 0 48 694 2011 142 798
Benin 2006 50 225 2011 110 181
Botswana 2006 22 257 2011 39 894
Burkina Faso 2006 9 270 21 202 0 30 472 2012 16 801 49 688 2 405 68 894
Burundi 2006 17 953 2010 29 269
Cabo Verde 2006 4 567 2012 580 11 210 10 11 800
Cameroon 2006 14 044 104 085 2 169 120 298 2011 244 233
Central African Rep. 2006 1 047 3 415 0 4 462 2012 3 390 9 132 0 12 522
Chad 2005 12 373 2011 0 24 349
Comoros 2007 2 598 2012 0 6 087
Congo, Dem. Rep. 2006 229 443 2012 511 251
Congo, Rep. 2012 18 116 20 974 213 39 303
Cte d'Ivoire 2007 60 808 156 772 2012 57 541 23 008 269 80 818
Eritrea 2010 4 679 7 360 0 12 039
Ethiopia 2005 0 191 165 47 191 212 2012 173 517 517 921 1 849 693 287
Ghana 2006 27 707 82 354 123 110 184 2012 89 734 204 743 867 295 344
Guinea 2006 42 711 2012 11 614 89 559 0 101 173
Guinea-Bissau 2006 3 689
Kenya 2005 36 326 69 635 7 571 113 532
Lesotho 2006 1 809 6 691 0 8 500 2012 15 697 9 805 5 25 507
Liberia 2012 10 794 33 089 0 43 883
Madagascar 2006 9 368 37 961 2 351 49 680 2012 33 782 54 428 2 025 90 235
Malawi 2006 0 6 298 0 6 298 2011 12 203
Mali 2012 8 504 88 514 260 97 278
Mauritius 2006 9 464 12 497 260 22 221 2012 8 052 32 035 78 40 165
Mozambique 2005 0 28 298 0 28 298 2012 0 123 771 8 123 779
Namibia 2006 5 151 8 012 22 13 185
Niger 2006 2 283 8 925 0 11 208 2012 6 222 15 278 264 21 764
1 391
Nigeria 2005 658 543 724 599 8 385
527
Rwanda 2006 37 149 2012 0 71 638
Sao Tome & Principe 2006 0 0 0 0 2012 0 1 421 0 1 421
Senegal 2006 62 539 2010 92 106
Seychelles 2006 0 0 0 0 2012 100
South Africa 2012 336 514 655 187 14 020 1 005 721
Swaziland 2006 0 5 692 0 5 692 2013 0 7 823 234 8 057
Tanzania 2005 8 610 39 626 3 318 51 554 2012 142 920 386 166 014
Togo 2006 3 379 24 697 0 28 076 2012 10 002 55 158 457 65 617
Uganda 2006 92 605 2011 140 087
Zimbabwe 2012 26 175 94 012

Note: Data are unavailable for Equatorial Guinea, Gabon, Gambia, Sierra Leone, Somalia, South Sudan and Zambia.
Source: UNESCO Institute for Statistics, May 2015

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UNESCO SCIENCE REPORT

The government tends to be the main source of R&D in terms of volume; Ethiopias output remains modest,
spending but the business enterprise sector contributes more however, at just nine publications per million inhabitants.
than 10% of GERD in Gabon and Uganda (Table 19.5). Foreign
sources contribute a sizeable share of GERD in Burundi (40%), The lions share of articles focus on life sciences but research
Kenya (47%), Tanzania (42%) and Uganda (57%). is growing in geosciences in Cameroon, Ethiopia, Kenya and
Uganda. Of note is that Cameroon has a diverse research
Although two R&D surveys have been published4 since 2011 portfolio, leading the region for the number of Web of
within Africas Science, Technology and Innovation Indicators Science articles in chemistry, engineering, mathematics and
Initiative, there is a paucity of data on researchers in most of physics in 2014. Overall, the growth in scientific publications
East and Central Africa. According to available data, Gabon in most countries reflects greater political support for S&T.
and Kenya have the highest density of researchers by head
count (Figure 19.7). Very few patents since 2010
Only two ECA countries have obtained patents from the
Distinct progress for the six most prolific countries United States Patent and Trademark Office in the past five
Four countries dominate scientific publishing (Cameroon, years. Cameroon registered four utility patents (for new
Ethiopia, Kenya and Uganda) but productivity is also rising in inventions) in 2010, followed by three in 2012 and four in
Gabon, the Republic of Congo and Rwanda, albeit from low 2013. This is a dramatic improvement on the two patents
levels (Figure 19.8). Gabon, Cameroon and Kenya count the generated by Cameroon in the period 20052009. The other
most articles per million inhabitants but it is Ethiopia which country is Kenya; it registered seven utility patents between
has shown the most rapid progress, more than doubling its 2010 and 2013, which is nevertheless a marked decline from
production since 2005 to take second place behind Kenya the 25 patents it received in the previous five-year period.
No other types of patent (design, plant or reissue) have been
4. The first surveys were published in the African Innovation Outlook in 2011 and 2014.
granted since 2010, indicating that ECA countries continue
Funds have been secured from Sweden to 2017 for the third edition of the Outlook. to struggle to generate and register new inventions.

Figure 19.6: GERD in sub-Saharan Africa by field of science, 2012 or closest year (%)
Available countries

Botswana (2012) 30.0 7.9 30.0 27.3 2.91.7

Burundi (2010) 95.2 4.8

Ethiopia* (2010) 6.5 4.7 15.5 47.4 7.2 3.0

Kenya (2010) 4.2 13.3 27.5 44.8 6.2 3.9

Madagascar* (2011) 34.5 16.3 7.1 17.3 4.1 8.0

Mauritius (2012) 14.0 5.3 4.4 64.4 8.0 3.9

Mozambique (2010) 7.4 14.8 23.1 28.8 19.3 6.6

Nigeria (2007) 33.0 24.3 10.3 18.1 10.9 3.2

South Africa (2011) 33.0 27.3 17.2 7.7 12.6 2.2

Togo (2012) 13.2 3.9 10.3 48.9 1.6 21.9

Uganda (2010) 9.0 12.2 18.1 16.7 29.8 14.1

Natural Sciences Engineering Medical & health sciences Agricultural sciences Social sciences Humanities

*Whenever data do not add up to 100% for this indicator, it is because part of the data remain unattributed.

Source: UNESCO Institute for Statistics, April 2015

512
 East and Central Africa

Figure 19.7: Researchers in sub-Saharan Africa per million inhabitants (HC), 2013 or closest year

818

Chapter 19
631
350
344
343
318
285
261
233
206
200
123
120
115
54

109
49

105
40
35

96
31

87
83
21

74
73
69
66
66
Lesotho (2011)

Central African Rep. (2009)

Gambia (2011)

Burundi (2011)

Zambia (2008)

Rwanda (2009)

Mozambique (2010)

Mali (2010)

Tanzania (2010)

Angola (2011)

Burkina Faso (2010)

Uganda (2010)

Ethiopia (2013)

Togo (2012)

Ghana (2010)

Madagascar (2011)

Benin (2007)

Nigeria (2007)

Malawi (2010)

Zimbabwe (2012)

Congo, Dem. Rep. (2009)

Cameroon (2008)

Cabo Verde (2011)

Mauritius (2012)

Kenya (2010)

Namibia (2010)

Botswana (2012)

Gabon (2009)

Senegal (2010)

South Africa (2012)

Source: UNESCO Institute for Statistics, April 2015

Table 19.5: GERD in sub-Saharan Africa, 2011

GERD by source of funds (%), 2011*

GERD (% of GDP)

GERD per capita

in current PPP$
researcher (HC)
(current PPP$)

Government
thousands

non-profit
education
GERD per

Business

Private

Abroad
Higher

Botswana 0.26+2 37.8+2 109.6+2 5.8+2 73.9+2 12.6+2 0.7+2 6.8+2

Burkina Faso 0.20-2 2.6-2 11.9-2 9.1-2 12.2-2 1.3-2 59.6-2
Burundi 0.12 0.8 22.3 59.9-3 0.2-3 39.9-3
Cabo Verde 0.07 4.5 17.3 100
Congo, Dem. Rep. 0.08-2 0.5-2 2.3-2 100
Ethiopia 0.61+2 8.3+2 95.3+2 0.7+2 79.1+2 1.8+2 0.2+2 2.1+2
Gabon 0.58-2 90.4-2 258.6-2 29.3-2 58.1-2 9.5-2 - 3.1-2
Gambia 0.13 2.0 59.1 38.5 45.6 15.9
Ghana 0.38-1 11.3-1 108.0-1 0.1-1 68.3-1 0.3-1 0.1-1 31.2-1
Kenya 0.79-1 19.8-1 62.1-1 4.3-1 26.0-1 19.0-1 3.5-1 47.1 -1
Lesotho 0.01 0.3 14.3 44.7 3.4
Madagascar 0.11 1.5 13.3 100.0
Malawi 1.06-1 7.8-1
Mali 0.66-1 10.8-1 168.1-1 91.2-2 8.8-1
Mauritius 0.18+1 31.1+1 109.3+1 0.3+1 72.4+1 20.7+1 0.1+1 6.4+1
Mozambique 0.42-1 4.0-1 60.6-1 - 18.8-1 3.0-1 78.1-1
Namibia 0.14-1 11.8-1 34.4-1 19.8-1 78.6-1 1.5-1
Nigeria 0.22-4 9.4-4 78.1-4 0.2-4 96.4-4 0.1-4 1.7-4 1.0-4
Senegal 0.54-1 11.6-1 18.3-1 4.1-1 47.6-1 0.0-1 3.2-1 40.5-1
Seychelles 0.30-6 46.7-6 290.8-6
South Africa 0.73+1 93.0+1 113.7+1 38.3+1 45.4+1 0.8+1 2.5+1 13.1+1
Tanzania 0.38-1 7.7-1 110.0-1 0.1-1 57.5-1 0.3-1 0.1-1 42.0-1
Togo 0.22+1 3.0+1 30.7+1 - 84.9+1 0.0+1 3.1+1 12.1+1
Uganda 0.48-1 7.1-1 85.2-1 13.7-1 21.9-1 1.0-1 6.0-1 57.3-1
Zambia 0.28-3 8.5-3 172.1-3
Note: Data are missing for some countries.
-n/+n: data refer to n years before or after reference year
*Whenever data do not add up to 100% for this indicator, it is because part Source: UNESCO Institute for Statistics, April 2015; for Malawi: UNESCO
of the data remain unattributed. (2014) Mapping Research and Innovation in the Republic of Malawi (p. 57)

513
 ERITREA
Figure 19.8:
UNESCO Scientific
SCIENCE publication
REPORT
trends in East and Central Africa, CHAD
DJIBOUTI

20052014 SOMALIA

11.3%
CENTRAL ETHIOPIA
SOUTH
AFRICAN REPUBLIC SUDAN
CAMEROON

Share of Kenyan papers among EQUATORIAL GUINEA UGANDA

KENYA
10% most cited, 20082012; REPUBLIC
GABON OF CONGO
the G20
200average is 10.2% RWANDA

6.3%
BURUNDI

Share of Ethiopian papers among

COMOROS
10% most cited, 20082012;
the G20 average is 10.2%

Kenya, Ethiopia, Uganda and Cameroon produce the most publications

1 500

12.9%
Kenya 1 374

Share of Ugandan papers among

10% most cited, 20082012;
the G20 average is 10.2%

900
Ethiopia 865

Uganda 757
Cameroon 706

600
571

300 303
281
244

Rwanda 143
Gabon 137
70 Congo,
56 Rep.111

0 13
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
35
Central African
Rep. 32
30
26 Chad 26
25
21 Eritrea 22
20 20
Burundi 18
15 Djibouti 15

10
8 Somalia 7
5 3
2 Eq. Guinea 4
1 Sth. Sudan 0
0 1
0 Comoros 0

514
Life sciences dominate research in Central and East Africa East and Central Africa
Cumulative totals by field, 20082014, for countries which recorded 15 articles or more in the Web of Science in 2014

Burundi 4 23 12 20 1 16 1 5 5

3
Cameroon 203 7 1 132 189 15 179 326 134 577 11 369
45
Central 81 2 13 3 31 2 3
African Rep.

Chapter 19
Chad 1 3 27 23 1 27 11 3

4
Congo, Rep. 19 210 10 8 44 7 176 3 19
11

Djibouti 6 6 1 12 11 1

Eritrea 5 17 5 2 23 3 20 3 4

24 8
Ethiopia 414 14 866 120 51 451 38 1 000
6 101 117

6 1 10
Gabon 6 323 3 37 12 153
14 3
90 74 49
Kenya 587 6 2 626 91 505 16 1 773
7 68 205
3 4
Rwanda 31 2 144 3 10 33 2 195 6 16
11
10 71 36
Uganda 157 5 1 310 36 192 13 1 229
12 13 82

Agriculture Astronomy Biological sciences Chemistry Computer science Engineering Geosciences

Mathematics Medical sciences Other life sciences Physics Psychology Social sciences

Gabon was the most productive in 2014

Articles per million inhabitants for the most productive countries

Gabon 80.1

Cameroon 30.9

Kenya 30.2

Congo, Rep.

Uganda

Rwanda 11.8
19.5
24.3

71.0% 95.3%
Lowest (Ethiopia) and highest (Rwanda) share of foreign
co-authors among 7 most prolific countries, 20082014;
Ethiopia 9.0 the G20 average is 24.6%

Scientists co-author most with partners outside Africa, some also with Kenya and South Africa
Main foreign partners of the 12 countries with the most publications, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Burundi Belgium (38) China (32) USA (18) Kenya (16) UK (13)
Cameroon France (1 153) USA (528) Germany (429) South Africa (340) UK (339)
Cent. African Rep. France (103) USA (32) Cameroon (30) Gabon (29) Senegal (23)
Chad France (66) Switzerland (28) Cameroon (20) UK/USA (14)
Congo, Rep. France (191) USA (152) Belgium (132) UK (75) Switzerland (68)
Djibouti France (31) USA/UK (6) Canada (5) Spain (4)
Eritrea USA (24) India (20) Italy (18) Netherlands (13) UK (11)
Ethiopia USA (776) UK (538) Germany (314) India (306) Belgium (280)
Gabon France (334) Germany (231) USA (142) UK (113) Netherlands (98)
Kenya USA (2 856) UK (1 821) South Africa (750) Germany (665) Netherlands (540)
Rwanda USA (244) Belgium (107) Netherlands (86) Kenya (83) UK (82)
Uganda USA (1 709) UK (1 031) Kenya (477) South Africa (409) Sweden (311)
Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

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UNESCO SCIENCE REPORT

COUNTRY PROFILES n curb population growth from 2.5% to 2% per year to

preserve gains in agricultural productivity and arable land,
90% of the population currently living off the land and
BURUNDI more than half the population being under 17 years5
of age;
An STI policy and the launch of R&D surveys
n halve the current level of poverty (67% of the population)
Burundi is a landlocked country with an economy
and ensure food security;
dominated by subsistence agriculture. It has enjoyed a period
of political stability and rapid economic development since n improve the countrys capacity to absorb the latest
the end of the civil war a decade ago. The World Banks Doing technology, in order to foster growth and competitivity;
Businessreport even named Burundi one of the worlds top
n raise GDP per capita from US$ 137 in 2008 to US$ 720 and
economic reformers in 20112013 for its efforts to streamline
ensure annual economic growth of 10%;
business, attract foreign investment and climb out of the league
of the worlds poorest countries (World Bank, 2013). n expand the urbanized population from 10% to 40% to
preserve land;
In 2010, the Department of Science, Technology and Research
n make environmental protection and the rational use of
was created within the Ministry of Higher Education and Scientific
natural resources a priority.
Research to co-ordinate STI across the economy. Burundi then
adopted a National Policy on Science, Research and Technological
The EAC Secretariat commissioned an assessment in 2011,
Innovation in 2011 (Tumushabe and Mugabe, 2012).
in order to designate five centres of excellence in the
community for EAC funding. The National Institute of Public
In 2011, Burundi published its Vision 2025 document.
Health in Burundi was one of the five; it provides training,
The main targets to 2025 are to:
diagnosis and research (Box 19.2).
n achieve universal primary education;

n instigate good governance in a state of law, with regular 5. The annual population growth rate in Burundi had accelerated to 3.1% by 2014,
elections; see Table 19.1.

Box 19.2: African centres of excellence in biomedical sciences

The EAC commissioned a study in The AfDB project will contribute to at the University of Rwandas College
2011 which designated 19 centres of developing a highly skilled labour force of Medicine and Health Sciences,
excellence from five EAC partner states. in biomedical sciences to meet the EACs the Uganda Cancer Institute and, in
In October 2014, the 10th ordinary immediate labour market needs and Tanzania, at Muhimbili University of
meeting of the EAC Sectoral Council of support implementation of EACs free Health and Allied Sciences. Some
Ministers responsible for Health selected labour market protocols. One potential 140 masters and 10 PhD students will
five of these centres for first-phase EAC area for growth is medical tourism. benefit from the programme, as well as
funding, namely: the National Institute 300 interns.
of Public Health (Burundi), Rift Valley The first phase of the AfDB project will
Technical Training Institute (Kenya), support the creation of specialized The centres of excellence will be
University of Rwanda,* Uganda Industrial centres of excellence in nephrology expected to collaborate with
Research Institute and Taasisi ya Sanaa and urology in Kenya, cardiovascular internationally renowned
na Utamaduni Bagamoyo (Tanzania). medicine in Tanzania, biomedical establishments to develop quality
engineering and e-health in Rwanda and curricula, joint research, promote inter-
Complementing the EAC project, the oncology in Uganda. During the projects university exchanges and mentoring
African Development Bank (AfDB) second phase, a centre of excellence programmes and to give access to
approved bilateral loans in October will open in Burundi in nutritional documentary resources.
2014 amounting to US$ 98 million to sciences. The East Africa Kidney Institute
finance the first phase of its own East will operate as part of the University *formerly the Kigali Institute of Science and
Africas Centres of Excellence for Skills of Nairobi and its teaching hospital, Technology

and Tertiary Education in Biomedical Kenyatta National Hospital. The other Source: AfDB press release and personal
Sciences programme. centres of excellence will be established communication; authors

516
 East and Central Africa

Since joining the African Science, Technology and Innovation n mandatory ICT-related programmes have been introduced
Indicators Initiative in August 2013, Burundi has been in primary and secondary schools; and
conducting national surveys of research and innovation to

Chapter 19
n the Prime Ministers Office has implemented a National
inform policy-making.
Governance Programme.

The policys implementation has nevertheless been hampered

CAMEROON
by a lack of financial resources, the inadequate synergy
between the government and external partners and the weak
Developing ICTs to catch up
state capacity for project management. Between 2007 and
In September 2007, the National Agency for
2013, internet penetration spread only from 2.9% to 6.4% of
Information and Communication Technologies published
the population. Despite this, two innovation hubs have been
the National Policy for the Development of Information and
set up in recent years (Box 19.3).
Communication Technologies. Several programmes and
projects were established under this policy for the post-2010
The government is also supporting companies and fostering
period, including (IST-Africa, 2012):
linkages between research and professional communities,
in order to develop an indigenous ICT sector to realize
n a training programme for state personnel working in ICTs;
the countrys Vision 2035. Adopted in 2009, this planning
n measures to enhance the legal, regulatory and institutional document aims to turn Cameroon into a newly industrialized
framework governing ICTs, in order to provide a country by 2035. Vision 2035 estimates that the informal
competitive environment for companies offering electronic sector represents 8090% of the economy. Targets include:
communications services, catalyse innovation and promote
service diversification and cost reduction; and n raising the share of manufacturing from 10% to 23% of
GDP (it had almost reached 14% by 2013, see Figure 19.2);
n an upgrade of the telecommunications network, such as
fibre-optic cables. n reducing the share of products from forestry, agriculture
and aquaculture from 20.5% to 10% of exports by
The policy has spawned the following initiatives to promote developing manufacturing;
the deployment of ICTs, among others (IST-Africa, 2012):
n raising investment from 17.4% to 30.3% of GDP to drive
n the Ministry of Scientific Research and Innovation has technological development;
issued an action plan for an information and knowledge
n expanding the number of tractors from 0.84 per 100
society;
hectares to 1.2 per hectare;
n the Ministry of Higher Education has implemented an ICT
n raising the proportion of doctors from 7 to 70 per
development programme in tertiary institutions;
100 000 inhabitants; similar progress is to be realized
n the Ministry of Secondary Education has built multimedia among teachers, including in engineering fields: ICTs, civil
resource centres at secondary schools; engineering, agronomists, etc.;

Box 19.3: ActivSpaces and CiHub: giving start-ups a head-start in Cameroon

One important complementary Since 2015, ActivSpaces has been Another innovation hub and
scheme to government initiatives offering a six-month incubator incubator, the Cameroon Innovation
has been the creation of community or accelerator programme called Hub (CiHub), provides a launchpad for
technology and innovation hubs. A Activation Bootcamp, which provides young tech entrepreneurs to develop
pioneer in this field is ActivSpaces; it entrepreneurs with legal advice, start-ups based on internet and
provides facilities for web and mobile mentorship, assistance in registering mobile technology to help address
programmers, designers, researchers a start-up company and financial the countrys social challenges.
and entrepreneurs at co-working seeding, in return for a 5% share of CiHub facilitates interactions among
spaces in two Cameroonian cities, equity in the venture. ActivSpaces developers, entrepreneurs, companies
Douala and Buea. The hub aims to also hosts various events, including a and universities.
promote African-made technology, Demonstration Day to allow bootcamp
innovation and entrepreneurship, participants to showcase their
especially among youth and women. products and services. Source: compiled by authors

517
UNESCO SCIENCE REPORT

n raising the share of secondary and tertiary students Badila fields, which are operated by the mining company
specializing in S&T subjects from 5% to 30%; Glencore Xstrata, and a new field managed by a subsidiary of
the China National Petroleum Corporation (CNPC). According
n reducing the annual population growth rate from
to the Minister of Finance, Kordje Bedoumra, Chad has
2.8% to 2.0% through economic development and the
commissioned consultancy firms from France and the Russian
emancipation of women, which will in turn encourage
Federation to inventory potential mineral deposits of gold,
family planning;
nickel and uranium, in an effort to diversify the economy
n increasing access to drinking water from 50% to 75% of the (Irish, 2014).
population; and
Chad is one of the worlds least developed countries, ranking
n doubling energy consumption, mainly through the
183rd in the 2012 Human Development Index. Despite
development of hydropower and gas.
improvements in school attendance and access to clean
drinking water (Tables 19.3 and 19.1), many Chadians still face
severe deprivation and most Millennium Development Goals
CENTRAL AFRICAN REPUBLIC will not be met, according to the World Bank.

The priority: getting child refugees back to Chad has no specific STI policy. However, the law of 2006
school mandates the Ministry of Higher Education and Scientific
The civil war since 2012 has severely disrupted the countrys Research to co-ordinate STI.
social fabric, generating an estimated 200 000 displaced
persons. Since President Boziz fled the country in 2013, first
Michael Djotodia then Catherine Samba-Panza have served as COMOROS
interim president, Ms Samba-Panza since January 2014.
Mobile phone technology fairly developed
With a fragile ceasefire agreement in place since July The three small islands which make up
2014 and international peacekeepers on the ground, the Comoros group a population of 752000, half of whom are
country has begun rehabilitating infrastructure. The current under the age of 15. The economy is agrarian (37.1% of
transitional government and the Ministry of National GDP), with manufacturing accounting for just 7% of national
Education and Higher Education and Scientific Research have income. Although less than 7% of the population had access
been given the mandate of promoting STI for the recovery to internet in 2013, nearly one in two inhabitants (47%)
and sustainable development of the country. The ministrys subscribed to a mobile phone. Improved sanitation reaches
top priority, however, is to resuscitate the education system only 17% of the population but 87% have access to clean
from primary to university levels. The greatest challenge water (Table 19.1).
facing the education sector are the many school-age children
living in refugee camps, compounded by the exodus of In 2008, Comoros devoted a relatively large share of GDP
educated people, including teachers and professors. to education (7.6%), one-sixth of which went to higher
education (Table 19.2). One in ten (11%) young people
attend the countrys single public university, the University
CHAD of Comoros, founded in 2003. By 2012, the university had a
student roll of over 6000, double that in 2007, but no PhD
Plans to diversify mining students (Table 19.4).
In recent years, Chad has suffered from flooding
and drought, as well as conflicton its borders. Relations
with Sudan improved after the signing of a non-aggression REPUBLIC OF CONGO
pact in 2010 but instability in Libya, Nigeria and Central
African Republic since 2012 has forced it to raise its defence A push to modernize and industrialize
budget to handle a flood of refugees and counter growing The Republic of Congo was the worlds fourth
cross-border threats, including that posed by the Boko fastest-growing economy in 2010, according to the World
Haram sect. Bank. The government plans to turn Congo into an emerging
economy by 2025, through Vision 2025. Adopted in 2011, this
The economy has become dependent on oil over the past document foresees the diversification and modernization
decade. This has produced erratic growth patterns as oil of the economy, which is heavily dependent on oil, and
production has fluctuated. Chad hopes to double production the development of secondary and tertiary education to
in 2016, thanks to increased output from its Mangara and provide the necessary skills base. To promote the rule of

518
 East and Central Africa

law, emphasis is being laid on strengthening participatory the Minister of Higher Education and Research. The university
and inclusive democracy. There are programmes to develop plans to organize an international seminar on geohazards
physical (transportation) and virtual (ICTs) connections to in early 2016. It is currently establishing an observatory to

Chapter 19
domestic and foreign markets. Two key infrastructure projects monitor climate change in East Africa, in collaboration with
are under way, the construction of a dam at Imboulou (120 MW) Yale University and the Massachusetts Institute of Technology
and the rehabilitation of the Congo Ocean railway. in the USA.

Within a three-year agreement signed in December Eight out of ten citizens work in the services sector, with
2014, UNESCO is helping Congo to reinforce research manufacturing accounting for just 2.5% of GDP in 2007
and innovation by mapping Congos STI ecosystem (Figure 19.2). Djiboutis transformation into a modern
and developing instruments to ensure better policy hub is increasingly dependent on how well it can acquire
implementation and a better status for researchers. One technology from the global economy and adapt this to its
obstacle to innovation has been the lack of awareness of level of development. FDI comes mainly from the Middle East
intellectual property rights, which has led to new knowledge and is high (19.6% of GDP in 2013) but tends to flow to the
being patented by better-informed competitors (Ezeanya, countrys strategic port on the Red Sea. Investment projects
2013). In 2004, Congo had requested UNESCOs support with the potential for technology transfer and local capacity-
for the development of a national science and technology6 building need strengthening. Greater statistical capability in
policy. This led to the adoption of an action plan for 2010 STI indicators would also help the government to monitor
2016. The new agreement reinforces existing programmes by improvements in this area.
focusing on modernization and industrialization.
Since joining the World Intellectual Property Organisation
To reflect the importance accorded to STI, the Ministry of in 2002, Djibouti has enacted a law on the Protection of
Scientific Research and Technological Innovation has been Copyright and Neighbouring Rights (2006) and a second law
separated from the Ministry of Higher Education, the Ministry on the Protection of Industrial Property (2009).
of Primary and Secondary Education and the Ministry of
Technical and Vocational Education. In January 2012, the
Ministry of Scientific Research and Technological Innovation EQUATORIAL GUINEA
entered into a partnership with the Congolese company
ISF Technologies to develop and integrate ICT solutions International commitment, little domestic
with business intelligence to optimize the performance of output
enterprises. Founded in 1995, the National University of Equatorial Guinea
is the countrys main tertiary institution. It has faculties of
In Congo, universityindustry ties tend to spring from agriculture, business, education, engineering, fisheries and
initiatives by individual universities to support small medicine.
enterprises. For example, the private non-profit ICAM School
of Engineering in Pointe-Noire and Douala established a In 2012, President Obiang Nguema Mbasogo made funds
programme in November 2013 offering SMEs technical available for the UNESCOEquatorial Guinea International
support. Prize for Research in the Life Sciences. In addition to
rewarding research undertaken by individuals, institutions
or other entities, the prize promotes the establishment and
DJIBOUTI development of centres of excellence in the life sciences. The
fact that the prize is international in character rather than
Education a priority aimed at citizens of Equatorial Guinea has attracted criticism
Expenditure on public education accounted within the country, which has high levels of poverty, despite
for 4.5% of GDP in 2010. Schooling is free and seven out being classified as a high-income country thanks to its oil-rent
of ten children now attend primary school, although the economy.
ratio is higher for boys than for girls (Table 19.3). Until the
founding of the University of Djibouti in 2006, students had In February 2013, Equatorial Guinea applied to the African
to go abroad to study and could apply for a government Union to host the African Observatory for Science, Technology
sponsorship, a situation which fostered brain drain. In May and Innovation, the mandate of which is to collect data on
2014, the university launched an e-campus in the presence of the continents STI capabilities. Having offered US$ 3.6 million
and being the only applicant, Equatorial Guinea won the bid.
6. For details of UNESCOs work with the Republic of Congo since 2004, see the
Progress in establishing the facility has since been hampered
UNESCO Science Report 2010. by various administrative and political obstacles.

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Despite these two high-profile international commitments, ETHIOPIA

there is little information available on STI policy and
implementation in Equatorial Guinea and, somewhat An ambitious plan for growth and
ironically, the country does not participate in STI data transformation
surveys. The Web of Science catalogued just 27 scientific For the past decade, Ethiopia has enjoyed
articles from Equatorial Guinea between 2008 and 2014, some of the fastest economic growth in Africa among
placing Equatorial Guinea on a par with Comoros and agrarian economies. The government is now focusing on
Somalia for this indicator (Figure 19.8). modernization and industrialization to realize its ambition
of turning Ethiopia into a middle-income economy by 2025.

ERITREA The government recognizes that STI will be a prerequisite for

realizing its Growth and Transformation Plan for 20112015.
Urgent development challenges A government report has since mapped progress over the
Eritrea faces numerous development challenges. first two years of implementation (MoFED, 2013):
Just 0.9% of the population had access to internet in 2013
and 5.6% a mobile phone subscription (Table 19.1). There n improved crop and livestock productivity and soil and
is also little access to improved sanitation (9%) and clean water preservation through research;
water (43%). To compound matters, the population is
n greater generation and dissemination of geoscience
growing at one of the fastest rates in sub-Saharan Africa:
data and more problem-solving research related to
3.16% in 2014 (Table 19.1).
mining;

Two-thirds of the population worked in the services sector n the development of alternative construction
in 2009. With gold accounting for 88% of exports in 2012 technologies for road-building;
(see Figure 18.1), there is an urgent need to diversify the
n the start of construction of a national railway network;
economy to ensure sustainability and attract FDI, which
contributed just 1.3% of GDP in 2013. Economic growth n sustainable technology transfer in medium and large-
has been erratic, attaining 7.0% in 2012 but only 1.3% in scale manufacturing industries to improve their export
2013. capacity, fostered through privatization and measures
to attract foreign investors: by 2012, this sub-sector
The Eritrea Institute of Technology is the main institution for had registered growth of 18.6%, close to the target of
higher studies in science, engineering and education. The 19.2%; there was 13.6% growth in value-added industrial
facilities and capacity of the institute are continually being products by 2012 but export earnings from textiles, leather
upgraded, thanks to largely external funding, although goods, pharmaceuticals and agroprocessing have been
the Ministry of Education also contributes. The number of disappointing, owing to low productivity and inadequate
students graduating each year is rising steadily but from a technological capability, a lack of inputs and other
low starting point. In 2010, just 2% of the 1823 year-old structural problems;
cohort was enrolled in university and there were not as yet
n the development of renewable energy, including
any PhD students (Tables 19.3 and 19.4). The number of
through the Ashegoda and Adama-2 wind energy
Eritrean publications in the Web of Science dropped from
projects, the Great Ethiopian Renaissance Dam on the
29 in 2006 to 22 in 2014 (Figure 19.8).
Blue Nile and the ongoing development of biofuel plants
(jatropha, caster, etc.) on 2.53 million hectares of land;
The National Science and Technology Council (NSTC),
Eritrean Science and Technology Development Agency n the development of a Climate Resilient Green Economy
(ESTDA) and National Science and Technology Advisory Vision and Strategy, as well as the enforcement of
Board were all established in 2002. The NSTC is responsible compliance with environmental laws and capacity-
for the formulation, review and approval of policies but building in the mitigation of greenhouse gases;
no specific S&T policy has been published since 2002,
n the number of tertiary-level students rose from 401 900
as far as can be ascertained. ESTDA is an autonomous
to 693 300 between 2009 and 2011; the target is for 40%
corporate body with two main objectives: to promote and
of students to be women by 2015;
co-ordinate the application of S&T for development under
the guidance of NSTC and to build the national capability n a national survey of research and innovation in 20112012
for R&D. found that 0.24% of GDP was being devoted to GERD,
the same level as in 2009. The survey also inventoried
91 researchers per million population;

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In parallel, the National Science and Technology Policy (2007)

has been revised with UNESCO support, in order to take the Figure 19.9: GERD/GDP ratio in East and Central Africa,
2013, or closest year (%)
following considerations into account:

Chapter 19
Selected countries
n the transformation of the Ethiopian economy from a
centralized to an open market economy, with concomitant Kenya (2010) 0.79

political power decentralization;

Ethiopia (2013) 0.61
n global advances in the understanding and application of
STI and rapid socio-economic changes at national level; Gabon (2009) 0.58
n the imperative of developing a national STI capability, in
order to seize the opportunities offered by global progress Uganda (2010) 0.48
in scientific knowledge and technology; and
Tanzania (2010) 0.38
n the fragmented, unco-ordinated and uneconomic use of
limited resources which characterized STI at the time.
Burundi (2011) 0.12

The revised National Science, Technology and Innovation

Source: UNESCO Institute for Statistics
Policy has been operational since 2010. It seeks to build
competitiveness through innovation. Its strengths include
upgrading the Science and Technology Commission to
ministerial level with a consequential name change to GABON
Ministry of Science and Technology, advocating an annual
government allocation of at least 1.5% of GDP for STI in all A plan to green Gabon by 2025
sectors and the creation of a centralized innovation fund for Gabon is one of the most stable countries
R&D resourced from a contribution of 1% of the annual profits in Africa. Despite being one of the continents rare upper
realized in all productive and service sectors. As of mid-2015, middle-income economies, it is characterized by considerable
neither the annual government allocation, nor the innovation inequality in income distribution. There is also limited
fund were yet operational. The GERD/GDP ratio has risen, infrastructure, including in the transport, health, education
though, to 0.61% of GDP in 2013 (Figure 19.9), according and research sectors (World Bank, 2013).
to the UNESCO Institute for Statistics, which also reported a
steep increase in the proportion of women researchers from The economy is dominated by oil but, with production
7.6% to 13.3% between 2010 and 2013. starting to decline, the government has been implementing
political and economic reforms since 2009 to transform
Two programmes stand out: Gabon into a developed country by 2025. This ambition is
encapsulated in the government strategy, Emerging Gabon:
n the National Priority Technology Capability Programmes Strategic Plan to 2025, which aims to set the country on the
launched in 2010 in the areas of agricultural productivity path to sustainable development, which is at the heart of
improvement, industrial productivity and quality the new executives policy,7 according to the Strategic Plan.
programmes, biotechnology, energy, construction and Adopted in 2012, it identifies two parallel challenges: the
material technologies, electronics and microelectronics, need to diversify an economy dominated by oil exports
ICTs, telecommunications and water technology; and (84% in 2012, see Figure 18.2) and the imperative of reducing
poverty and fostering equal opportunity.
n the ongoing Engineering Capacity-Building Programme
launched in 2005, which is jointly financed and
The three pillars of the plan are:
implemented by the governments of Ethiopia and Germany
within EthiopianGerman Development Co-operation.
n Green Gabon: to develop the countrys natural resources
Priority sectors include textiles, construction, leather,
in a sustainable manner, beginning with an inventory of
agro-processing, pharmaceuticals/chemicals and metal.
22 million ha of forest (85% of the land cover), 1 million ha
In 2014, it was decided to place universities specializing in of arable land, 13 national parks and 800 km of coastline;
science and technology which have ties with industry under the
n Industry Gabon: to develop local processing of raw
new Ministry of Science and Technology to promote innovation
materials and the export of high value-added products;
in academia and stimulate technology-driven enterprises.
The first two universities in Addis Ababa and Adama were
transferred from the Ministry of Higher Education in 2014. 7. Gabons President Ali Bongo Ondimba took office in October 2009.

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UNESCO SCIENCE REPORT

n Services Gabon: to foster quality education and training, education, including the Council for Education, Training
in order to turn Gabon into a regional leader in financial and Research, which will be responsible for evaluating the
services, ICTs, green growth, tertiary education and health. implementation of the governments education policy.

The plan foresees the adoption of a National Climate Plan Steps taken to implement the Strategic Plan
to limit Gabons greenhouse gas emissions and forge an Since 2011, the government has taken a number of steps to
adaptation strategy. The share of hydropower in Gabons implement Emerging Gabon: Strategic Plan to 2025, including:
electricity matrix is to progress from 40% in 2010 to 80%
n the creation of a Research Unit on Tuberculosis at the
by 2020. In parallel, inefficient thermal power stations are
Albert Schweitzer Hospital in Lambarn in February 2011,
to be replaced with clean ones to bring the share of clean
in response to the growing prevalence of tuberculosis;
energy to 100%. By 2030, Gabon plans to export 3000 MW
of hydropower to its neighbours. Efforts will also be made to n the creation of a joint Centre for Environmental Research
improve energy efficiency and reduce pollution in such areas by Gabon and the University of Oregon (USA) in June
as construction and transportation. 2011, with a focus on the mitigation of, and adaptation to,
climate change and environmental governance, including
This new paradigm is to be ensconced in a law on sustainable the development of ecotourism;
development which will create a fund compensating the
n the construction of a School of Mining and Metallurgy in
negative effects of development. Moreover, in conformity
Moanda in October 2012 to produce more scientists and
with the Gaborone Declaration (see Box 20.1), natural capital is
engineers in these areas;
to be integrated into the national accounting system.
n the opening of a digital campus at the School of Water
Quality education a priority Affairs and Forestry in February 2013 to produce more
Quality education is another priority of the Strategic Plan to engineers;
2025. Four technical secondary schools offering 1000 places
n the creation of three new vocational training centres in
are to be established to raise the proportion of pupils
June 2013;
benefiting from this education from 8% to 20% and thereby
provide key economic sectors such as the wood, forestry, n the official presentation of the National Climate Plan to the
mining,8 metallurgy and tourism industries with skilled president in November 2013 by the National Council on
personnel. Climate Change, a body created by presidential decree in
April 2010;
In order to adapt university curricula to market needs, existing
n the establishment of a Ministry of Higher Education and
universities will be modernized and a Cit verte de lducation
Scientific Research in April 2014; and
et du savoir (Green City of Education and Knowledge) will be
created in the heart of the country in Boou. Constructed n the adoption of the law on sustainable development in
using green materials and running on green energy, this August 2014; this law has raised some concerns in civil
complex will group a campus, research centres and modern society as to whether it will protect the territorial rights
housing. Foreign universities will be encouraged to set of third parties, particularly those of local and indigenous
up campuses on site. A research fund will be created for communities (Malouna, 2015).
academic projects selected on a competitive basis and an
information technology park will be set up in partnership The government has recently entered into two publicprivate
with the National Agency for Digital Infrastructure and partnerships. In December 2012, it established a fun approach
Frequencies. to learning about HIV which targets youth, called Gaming for
HIV Prevention, in partnership with Shell Gabon. In February
All primary and secondary schools are to be equipped with 2013, the government also partnered with Ireland Blyth
a multimedia room and a mechanism will be put in place Limited to develop the Gabonese seafood and maritime
to enable all teachers and university students to acquire a industries.
computer.

In parallel, the plan foresees a broad administrative and legal

reform to improve efficiency and foster the rule of law. A
number of new bodies will be established to foster quality

8. In 2010, Gabon attracted over US$4 billion for the wood, agriculture and
infrastructure sectors, according to the government.

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KENYA n Construction of Africas largest wind farm began in 2014,

within the Lake Turkana Wind Power Project;

Chapter 19
A game-changing act? n In recognition of the economic potential of ICTs, the
STI policy in Kenya has been given a major government announced in December 2013 that it would be
boost by the Science, Technology and Innovation Act passed establishing technology incubation hubs in all 47 counties.
in 2013. The act contributes to the realization of Kenya Vision
2030, which foresees the countrys transformation into a Under the Science, Technology and Innovation Act of
middle-income economy with a skilled labour force between 2013, the Ministry of Education, Science and Technology
2008 and 2030. Kenya already hosts9 several hubs for training is attributed responsibility for formulating, promoting and
and research in life sciences, including the Biosciences Eastern implementing policies and strategies in higher education,
and Central Africa Network (Box 19.1) and the International STI in general and R&D in particular, as well as technical,
Centre for Insect Physiology and Ecology. In line with Vision industrial, vocational and entrepreneurship training.
2030, Kenya is participating in the AfDBs East Africas Centres
of Excellence for Skills and Tertiary Education in Biomedical The act established a National Commission for Science,
Sciences programme (Box 19.2). Technology and Innovation, a regulatory and advisory body
that is also responsible for quality assurance. Its specific
Flagship projects within Vision 2030 include the following: functions include:

n Five industrial parks are being established for SMEs in key n developing priority areas for STI; co-ordinating the
urban centres, the majority in agro-processing. implementation and financing of policies with other
institutional bodies, including local governments, the
n The Nairobi Industrial and Technology Park is being
new National Innovation Agency and the new National
developed within a joint venture with Jomo Kenyatta Research Fund (see overleaf);
University of Agriculture and Technology.
n providing accreditation for research institutes;
n Konza Technology City is under construction in Nairobi
(Box 19.4). n fostering private-sector involvement in R&D; and

n Geothermal energy is being developed in the Rift Valley, n undertaking annual reviews of scientific research systems.
within a programme to increase energy generation The act further empowered the National Commission for
to 23 000 MW that is mobilizing private capital for the Science, Technology and Innovation to establish advisory
development of renewable energy (Box 19.5). research committees to counsel the commission on specific
programmes and projects and maintain a database of these
9. Nairobi is also home to the African Network of Scientific and Technological and to foster R&D and education in relevant areas, in particular.
Institutions (ANSTI), an NGO hosted by UNESCO since its inception in 1980. ANSTI
awards PhD and masters scholarships and travel grants. Since 2010, ANSTI has awarded
The act also establishes a requirement for any person wishing
45 LOral-UNESCO Fellowships for Women in Science to foster research and innovation. to engage in R&D to obtain a government license.

Box 19.4: Konza Technology City, Kenyas Silicon Savannah

Konza Technology City was A 5 000-acre site located some 60 km Development of the techno-city is being
originally designed as a technology from Nairobi was procured in 2009 directed by the Konza Technopolis
park centred on business process and the new greenfield investment Development Authority, which has
outsourcing and information (see glossary, p. 738) commenced. The authority over marketing, the subleasing
technology-enabled services. The financing arrangement is based on of land, guiding real estate development,
Kenyan government contracted the a publicprivate partnership model, managing funding from public and
International Finance Corporation to whereby the government provides basic private sources and liaising with local
conduct an initial feasibility study in infrastructure and supporting policy authorities to ensure quality services.
2009. However, while the study was and regulatory frameworks, leaving Construction of Konza Technology City
being conducted, the consulting private investors to build and operate began in early 2013 and is expected to
design partners recommended the industrial development. Ultimately, take 20 years. It is hoped to create
that the project be expanded into Konza should include a university 20 000 jobs in information technology
a technology city. The Kenyan campus, residential accommodation, by 2015 and 200 000 by 2030.
government agreed and has branded hotels, schools, hospitals and research
Konza the Silicon Savannah. facilities. Source: www.konzacity.go.ke; BBC (2013)

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The Kenya National Innovation Agency was established under across government; and the promotion of ICT literacy,
the act to develop and manage the national innovation capacity, innovation and enterprise, in accordance with the
system. It has been tasked inter alia with the following: Kenya National ICT Master Plan: Towards a Digital Kenya, which
runs from 2014 to 2018.
n institutionalizing linkages between relevant stakeholders,
including universities, research institutions, the private In the past few years, there has been an explosion in ICT activity
sector and government; in Kenya, often centred on innovation hubs. One pioneer is
iHub, set up in Nairobi in 2010 by an independent technologist
n setting up science and innovation parks;
named Erik Hersman to provide an open space for the
n promoting a culture of innovation; technology community, including young tech entrepreneurs,
programmers, investors and technology companies. iHub has
n maintaining relevant standards and databases; and
forged relationships with several multinational corporations,
n disseminating scientific knowledge. including Google, Nokia and Samsung, as well as with the
Kenyan governments ICT Board (Hersman, 2012).
The act also created the National Research Fund and made
provisions for the fund to receive 2% of Kenyas GDP each Another innovation hub is @iLabAfrica, established in January
financial year. This substantial commitment of funds should 2011 as a research centre within the Faculty of Information
enable Kenya to reach its target of raising GERD from 0.79% of Technology at Strathmore University, a private establishment
GDP in 2010 to 2% by 2014. based in Nairobi. It stimulates research, innovation and
entrepreneurship in ICTs.
Kenya reviewed its Science, Technology and Innovation Policy
in 2012 but the revised policy is still before parliament. The A related development in Kenya is the formation of
draft is nonetheless serving as a reference document for the innovation incubation programmes. A prominent example
Ministry of Education, Science and Technology. is NaiLab, an incubator for start-up ICT businesses which
offers a three-to-six-month programme in entrepreneurship
Towards a digital Kenya training. NaiLab started out as a private company in 2011,
In August 2013, the Ministry of Information, Communication in collaboration with the crowdfunding platform 1%CLUB
and Technology established a state-owned corporation and consultancy firm Accenture. In January 2013, the Kenyan
named the Information and Communication Technology government formed a partnership with NaiLab to launch a
Authority. Its functions include centralized management of US$ 1.6 million, three-year technology incubation programme
all government ICT functions; maintenance of ICT standards to support the countrys burgeoning technology start-up

Box 19.5: Geothermal energy for Kenyas development

Just one in five Kenyans has access to plans. It sets an ambitious goal of National Energy Policy. The GDC is a
electricity and demand is rising (Table increasing the capacity of the national government body which cushions
19.1). Almost half of electricity comes power supply from 1500 MW at present investors from the high capital
from hydropower but the growing to about 21000 MW by 2030. investment risks associated with
frequency of drought is causing water drilling geothermal wells. The GDC is
and power shortages which affect all To address the energy challenge while expected to drill as many as 1400 wells
sectors of the Kenyan economy. As a maintaining a low carbon footprint, Kenya to explore steam prospects and make
stop-gap measure, the government plans to develop its geothermal fields productive wells available to successful
has engaged private energy companies in the Rift Valley. These fields have been bidding investors from both public and
which import fossil fuels such as coal inadequately tapped until now, despite private power companies.
and diesel, a costly option which also their potential to produce an estimated
causes considerable air pollution. 14000 MW. Current installed geothermal In the fiscal year budget for 20122013,
capacity corresponds to just 1.5% of this the Kenyan government allocated
Vision 2030 (2008) has identified energy potential. US$340 million to the exploration and
as being a pillar of the countrys development of geothermal energy
development strategy. Vision 2030 The Geothermal Development Company and coal. Of this amount, just
is being implemented through (GDC) was formed in 2009 under the US$20 million went to the GDC.
successive five-year medium-term Energy Act (2006) to implement the Source: WWAP (2014)

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 East and Central Africa

sector (Nsehe, 2013). These funds will enable NaiLab to n invest in hard and soft infrastructure to meet the energy
broaden its geographical scope to other Kenyan cities and demand of the private sector; in line with the Energy
towns, helping start-ups to obtain information, capital and Policy (2012), the procurement process will be made more

Chapter 19
business contacts. transparent and competitive; public finance will be used
to de-risk electricity generation projects for the private
Nairobi is also home to m:Lab East Africa, which provides a sector, in order to attract a wider range of investors
platform for mobile entrepreneurship, business incubation, on better terms; an energy development fund will be
developer-training and application-testing. established with donor support to finance feasibility
studies on geothermal, peat and methane resources and
hydropower; in addition, the Kigali Economic Zone will
RWANDA also be finalized with an associated technopole;

n increase access to public goods and resources in priority

Infrastructure, energy and green
innovation a priority economic sectors by building a new international airport,
In a context of rapid economic and demographic growth, STI expanding the national airline, Rwandair, and finalizing
holds one of the keys to Rwandas sustainable development. plans for the establishment of a railway connection; a
This conviction is embodied in Rwandas Vision 2020 (2000) strategic focus on exports and re-exports to Burundi and
for becoming a middle-income country by 2020 and in its eastern Democratic Republic of Congo; investment in
National Policy on Science, Technology and Innovation, published hard and soft infrastructure to accelerate growth in the
in October 2005 with support from UNESCO and the United tourism and commodity sectors and expand exports in
Nations University. The priority given to STI is also reflected manufacturing and agro-processing;
in Rwandas First Economic Development for Poverty Reduction n strengthen the investment process by targeting large
Strategy, 20072012. If STI is not an explicit priority in the foreign investors in priority economic sectors, increasing
Second Economic Development for Poverty Reduction Strategy, long-term savings and thereby raising the amount of credit
20132018, it is implicit in the priority given in the document available to the private sector to 30% of GDP by 2018, as
to ICTs, energy and green innovation (Figure 19.10), as well as well as by strengthening the private sector through tax
in the proposal to create a Climate Change and Environment and regulatory reform;
Innovation Centre. The five priorities are to:
n facilitate and manage urbanization, including the
promotion of affordable housing;
Figure 19.10: Breakdown of priority areas for Rwandas n pursue a green economy approach to economic
Economic Transformation to 2018 transformation, with a focus on green urbanization and
Energy: 36.3 Private sector green innovation in public and private industry; a pilot
development and green city is being launched by 2018 to test and promote
youth: 17.3
a new approach to urbanization that employs various
technologies to create sustainable cities; in parallel, a
green accounting framework is being put in place to assess
ICTs: 11.9 the economic benefits of environmental protection.

Share of There is no dedicated ministry for science and technology

expenditure
20132018
in Rwanda but, in 2009, the Directorate-General of Science,
(%) Technology and Research was established under the Ministry
of Education to implement the National Policy on Science,
Finance:
0.8 Technology and Innovation. In 2012, the government officially
launched the National Commission for Science and Technology
Decentralization: (NCST). The NCST has been strategically positioned in the Prime
0.8 Transport: 11.7
Ministers Office to serve as an advisory body on matters related
Environment and natural Agriculture: 10.5
to STI across all economic sectors. It became operational in 2014.
resources: 1.1

Urbanization & rural The National Industrial Research and Development Agency
settlements: 9.5 (NIRDA) was established in June 2013, in line with the National
Industrial Policy of April 2011. The main mission of this research
Source: Government of Rwanda (2013) Second Economic Development for
body is to produce home-grown technological and industrial
Poverty Reduction Strategy, 20132018
solutions to meet national and regional market needs.

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Plans to become an African ICT hub Towards more scientists and engineers with better skills
In the past five years, Rwanda has put infrastructure in In 2012, Carnegie Mellon University in Rwanda was
place to enable it to become an ICT hub in Africa. This established as a regional centre of excellence in ICTs. It is the
infrastructure includes the Kigali Metropolitan Network, a first US research institution to offer degrees in Africa through
fibre optic network linking all government institutions with an in-country presence. The government decided to partner
a high-capacity national backbone connecting the whole with this leading private research university in the USA, in
country. The national backbone also links Rwanda with order to produce ICT engineers and leaders who understand
neighbouring countries, including Uganda and Tanzania, the balance between technology, business and innovation to
and through them to the submarine cables SEACOM and meet the needs of industry.
EASSy.
Rwanda had only 11.8 articles per million inhabitants indexed
The Information Technology Innovation Centre (kLab) was in the Web of Science in 2014 (Figure 19.8). In September
established in 2012. It has been conceived as a place where 2013, parliament passed a law establishing the University of
young software developers and recent university graduates Rwanda as an autonomous academic research institution.
from computer science and engineering programmes This large university is the product of the merger of seven
can come to work on their entrepreneurial projects. This public institutions of higher learning into a single university.
technology incubator partners with universities, research The philosophy behind creating the University of Rwanda was
centres and private companies to provide mentoring for to produce better-trained graduates and to strengthen the
innovative start-ups, helping them to acquire business skills research capacity of Rwandas higher education system. The
and transfer technology. Since its inception, kLab has been University of Rwanda has already entered into an agreement
supported by the Rwanda Development Board. with the Swedish International Development Agency to
produce 1 500 PhDs between 2012 and 2022.
In 2012, Rwanda constructed a state-of-the-art data-hosting
facility for public and private institutions, the National In October 2013, UNESCOs Abdus Salam International Centre
Data Centre. A Health Management Information System for Theoretical Physics (ICTP) in Trieste (Italy) established a
(TRACnet)has also been deployed since 2005 to increase branch in Rwanda. Hosted by the College of Science and
the efficiency of Rwandas HIV and AIDS programme and Technology at the University of Rwanda, ICTP Rwanda aims to
enhance the quality of patient care country-wide. increase the number of scientists graduating at masters and
PhD levels in strategic areas of science, technology, engineering
The government is currently developing an ICT park in and mathematics. In 2012, the government adopted a policy of
Kigali, in partnership with Carnegie Mellon University and allocating 70% of university scholarships to students enrolled
the AfDB, for a total investment of US$150 million. The in S&T fields to increase the number of graduates. Moreover,
park will support growth of the following clusters: energy; through the Presidential Scholarship Programme established in
internet, multimedia and mobile telecommunications; 2006, pupils from science streams who excel in their secondary
knowledge; e-government; finance; and ICT services and schooling get the chance to study in the USA in science or
exports. engineering. In 2013, two-thirds of graduates at bachelor level

Table 19.6: University graduates in Rwanda, 2012/2013

Bachelors Masters PhD

Male Female Male Female Male Female
Education 763 409 3 3 0 0
Humanities and arts 187 60 0 0 1 0
Social sciences, business and law 3 339 3 590 261 204 0 0
Science 364 204 1 6 0 0
Engineering, manufacturing and construction 462 205 39 11 0 0
Agriculture 369 196 0 0 0 0
Health and welfare 125 211 5 4 0 0
Services 171 292 0 0 0 0
TOTAL 5 780 5 167 309 228 1 0
Source: Government of Rwanda

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 East and Central Africa

obtained their degree in social sciences, business and law, SOMALIA

compared to 19% in S&T fields: 6% in engineering, 5% each
in science and agriculture and 3% in health and welfare.

Chapter 19
A first innovation hub
Among graduates in S&T fields, engineering students Somalia is in the process of state- and
were the most likely to enrol in a masters programme peacebuilding. In the run-up to elections in 2016, it is
(Table 19.6). developing a constitution with key provisions on power-
and resource-sharing. The government is also pursuing the
Schemes to boost innovation and a green economy development of federalism by building the capacity of interim
The Rwanda Innovation Endowment Fund was established regional administrations and establishing such bodies where
in 2012 by the Ministry of Education, in partnership with none exists. The government has also recently applied to
UNECA. The fund supports R&D to develop innovative become a member of the EAC.
market-oriented products and processes in three priority
sectors of the economy: manufacturing, agriculture and The Al-Shabaab group continues to terrorize the population
ICTs. For the initial phase, seed funding of US$650 000 in parts of the country under its control. About 730000
was provided: US$500000 by the government and the Somalis face acute food insecurity, the vast majority of them
remainder by UNECA. The first call for project proposals internally displaced people. Some 203 000 children require
drew 370 applications, leading to the selection of just eight emergency nutrition, mainly due to lack of access to clean
projects, which each received about US$50 000 in May water, sanitation infrastructure and better hygiene, according
2013. After this proof of concept, it was decided to conduct to the United Nations Humanitarian Co-ordinator for Somalia,
a second round which is expected to fund ten inventions by Philippe Lazzarini, in January 2015.
March 2015.
Agriculture is the mainstay of Somalias largely informal
In January 2013, the Ministry of Education established economy, accounting for about 60% of GDP and employing
the Knowledge Transfer Partnership programme, two-thirds of the labour force. The country continues to rely
in collaboration with the AfDB to foster industrial heavily on international aid and remittances, as well as imports
development. So far, the programme has sponsored five of food, fuel, construction materials and manufactured goods.
partnerships between private companies and the University The more stable parts of the country can nevertheless boast of
of Rwandas two Colleges of Science and Technology a vibrant private sector, including as concerns the provision of
and Agriculture and Veterinary Medicine. The company such vital services as finance, water and electricity.
contributes its idea for product or service development and
the university provides the appropriate expertise. Somalias first innovation hub was established in 2012.
Somaliland provides mobile and internet services and
In September 2008, Rwanda banned plastic bags. The law fosters social enterprise incubation and social and disruptive
prohibits the manufacture, usage, importation and sale of innovation (see glossary, p. 738), accompanied by training. The
polythene bags in Rwanda. These have been replaced by hub was set up by Reconstructed Living Lab, a registered social
biodegradable bags made from materials such as cotton, enterprise based in South Africa, with its partner Extended Bits
banana and papyrus. and funding from the Indigo Trust, a UK-based foundation.

In parallel, the government introduced a National Fund for

Environment and Climate Change in Rwanda (FONERWA), SOUTH SUDAN
which acts as a cross-sectorial financing mechanism to
further Rwandas objectives of green and resilient growth Priorities: raising education and R&D
within the National Green Growth and Climate Resilience spending
Strategy. For instance, FONERWA is involved in identifying The worlds youngest nation and Africas 55th country, South
funding for the pilot green city to be launched by 2018. Sudan gained independence after seceding from Sudan in
July 2011. Its economy is highly dependent on oil, which
FONERWAs most recent (sixth) call for proposals resulted in generates about 98% of government revenue. Part of this
14 projects receiving funding; these had been put forward revenue goes towards paying Sudan for the right to use its
by private companies, NGOs, Rwandan districts and the pipelines to transport oil to the sea for export.
Ministry of Infrastructure. The projects include the provision
of solar power to off-the-grid communities, the construction With the economy suffering from a dearth of skilled human
of microhydropower plants, rainwater harvesting and re-use resources in all the key sectors, education is a government
and gardening for urban poor in developed marshlands of priority. The Education Act (2012) states that primary
Kigali. education shall be free and compulsory to all citizens in South

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UNESCO SCIENCE REPORT

Sudan without discrimination. The governments education A Millennium Science Initiative and innovation fund
plan is placing emphasis on teachers and on raising public The National Council for Science and Technology (NCST)
expenditure on education to improve access and learning falls under the Ministry of Finance, Planning and Economic
outcomes. South Sudan has the second-highest rate of Development. The councils strategic objectives include:
population growth in sub-Saharan Africa after Niger (3.84%, see the rationalization of S&T policy to boost technological
Table 19.1) and there is a big discrepancy in access to primary innovation; enhancing the national system of research,
education: whereas there is universal primary education for intellectual property, product development and technology
boys, the gross enrolment ratio for girls was just 68% in 2011. transfer; strengthening public acceptance of science and
technology; and upgrading institutional research capacity.
Tertiary education in South Sudan is provided by five
government-sponsored universities and more than 35 private In 2007, the NCST launched the Millennium Science Initiative
tertiary institutions. An estimated 20 000 students were (20072013), which was co-financed by the World Bank. At a
enrolled in the countrys universities in 2011, according to time when the economys formal sector was expanding rapidly
data from various universities; these data also indicate that and real investment was rising sharply, the NCST considered
enrolment is higher in social sciences and humanities than in that continued economic progress would require more and
S&T fields. The S&T-based faculties are particularly affected by better use of knowledge and more and better qualified human
a shortage of teaching staff. resources for science and technology.10 The NCST identified
the following shortcomings in higher education:
The Ministry of Higher Education, Science and Technology
n Very few science degree programmes exist; enrolment
has six directorates, including the Directorate of Technical and
in basic sciences is negligible. Laboratories are generally
Technological Innovation (DTTI). The latter is a programme
scarce, under-equipped and obsolete.
unit supporting the modernization of South Sudan through
investment in technical education and the generation and n Very limited funding exists for capital or recurrent
transfer of technology. DTTI is composed of two departments expenses for S&T training; almost all research funding
covering technology and entrepreneurship. Whereas the comes from external (donor) sources, making it
former is responsible for developing technology policies and unsustainable and difficult to ensure a national research
managing S&T-based institutions and programmes, the latter is for development-driven agenda.
responsible for establishing and managing institutions offering
n Despite the burgeoning enrolment, very little systematic
technical, vocational and entrepreneurial training and for laying
attention is being paid to the development of domestic
the foundations for cottage industries. There are no official
graduate education. Fewer than 500 professors in the
government statistics available on R&D but the government has
entire country have PhDs and fewer than 10 new PhDs are
expressed the intention of raising spending on research, with
awarded annually in sciences and engineering.
emphasis on applied sciences to improve living standards.
n Fee policies and lack of adequate S&T infrastructure
encourage the expansion of undergraduate programmes
UGANDA in arts and humanities, resulting in a dwindling intake for
S&T courses and a general lack of interest in, and focus on,
Sustainability at the heart of STI policy S&T.
The overarching arm of the National Science,
n The universities and the general tertiary system, be it
Technology and Innovation Policy (2009) is to strengthen
public or private, lack strategies to improve conditions for
national capability to generate, transfer and apply scientific
research.
knowledge, skills and technologies that ensure sustainable
utilisation of natural resources for the realisation of Ugandas
To correct these shortcomings, the Millennium Science
development objectives.
Initiative incorporated the following components:

The policy precedes Uganda Vision 2040, which was launched n A funding facility provided competitive grants through
in April 2013 to transform Ugandan society from a peasant three windows: top-end research involving both
to a modern and prosperous country within 30 years, in the senior researchers and graduate students; the creation
words of the Cabinet. Uganda Vision 2040 vows to strengthen of undergraduate programmes in basic science and
the private sector, improve education and training, modernize engineering; and, thirdly, support for co-operation with
infrastructure and the underdeveloped services and the private sector, which consisted in company internships
agriculture sectors, foster industrialization and promote good for students and grants for technology platforms through
governance, among other goals. Potential areas for economic
development include oil and gas, tourism, minerals and ICTs. 10. see: www.uncst.go.ug/epublications/msi_pip/intro.htm

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 East and Central Africa

which firms and researchers could collaborate on solving web and mobile app developers, designers, investors, venture
problems of direct interest to industry. capitalists and donors. Hive Colab provides facilities, support
and advice to members to help them launch successful

Chapter 19
n An Outreach Programme proposed a series of school
start-up enterprises. The hub offers a virtual incubation
visits by top scientists and researchers to change negative
platform that is intended to assist entrepreneurial activity,
perceptions that deterred Ugandans from pursuing careers
particularly in rural areas. Its three programme focus areas
in science. A National Science Week was also established. In
are ICTs and mobile technologies, climate technologies and
parallel, this second component sought to strengthen the
agribusiness innovation.
institutional capacity of the NCST and Uganda Industrial
Research Institute and, more generally, to improve policy
Another incubator, the Consortium for enhancing University
implementation, evaluation and monitoring.
Responsiveness to Agribusiness Development Limited
In July 2010, the Presidential Initiative on Science and (CURAD), is a publicprivate partnership which targets
Technology offered a further boost by creating a fund to young innovators in the agribusiness sector with the goal of
foster innovation at Makerere University over the next five generating new enterprises and employment. This non-profit
years (Box 19.6). company was launched in May 2014 and is based at Makerere
University.
Thriving innovation hubs
The Uganda Investment Authority is a parastatal agency that In September 2013, the government launched a Business
works in conjunction with the government to facilitate private Process Outsourcing Incubation Centre at the Uganda
sector investment. One of the authoritys most flourishing Bureau of Statistics House (Biztech Africa, 2013). The facility
sectors is ICTs. This sector has seen major investment in can accommodate 250 agents and is run by three private
recent years to develop Ugandas backbone infrastructure companies. The Government of Uganda has targeted this
network, which is comprised of fibre-optic cables and related industry to address youth unemployment and stimulate
equipment, as well as mobile broadband infrastructure. investment in information-technology-enabled services.
Business incubation and STI research are also promoted by
Uganda has a thriving innovation hub named Hive Colab, the Uganda Industrial Research Institute.
which was launched in 2010 by AfriLabs and is headed
by Barbara Birungi. It serves as a collaborative space to Two annual prizes have also incentivized innovation in
facilitate interaction among technology entrepreneurs, Uganda. Each year since 2012, Orange Uganda, a division

Box 19.6: The Presidential Innovations Fund in Uganda

When President Museveni visited The fund became operational in July n 

a Centre for Renewable Energy and
Makerere University in December 2009, 2010. It covered the cost of modernizing Energy Conservation;
he noticed that many undergraduate laboratories and the implementation of ten
n 
more than 30 innovation clusters for
students had produced interesting projects at the university. It also financed
metal, salt, coffee, milk, pineapple, etc.;
prototypes of machines and undergraduate science and engineering
implements and that PhD students programmes, academiaprivate sector n appropriate irrigation;
and senior researchers were working partnerships, student internships,
n 
a vehicle design project (the Kiira EV
on inventions with potential for science policy formulation and science
car), which evolved into the Centre
transforming rural Ugandan society popularization in schools and communities.
for Research in Transportation
but that innovation was being held
Technologies;
back by the lack of modern research By 2014, the projects had developed:
and teaching laboratories. n 
makapads, the only sanitary wear
n 
an academic records management for women in Africa made from
After the visit, he decided to create a system; natural materials (papyrus and paper),
Presidential Innovations Fund endowed including for maternity use;
n 
more than 30 internet laboratories
with UGX 25 billion (circa US$8.5 million)
(ilabs) in the Department of Electrical n 
a Community Wireless Resource
over five years to support innovation-
and Computer Engineering; Centre.
related projects at the universitys
College of Engineering, Art, Design and n 
a business incubator, the Centre for Source: https://cedat.mak.ac.ug/research/
Technology. Technology Design and Development; presidential-initiative-project

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UNESCO SCIENCE REPORT

of France Telecom, has sponsored the Community CONCLUSION

Innovations Awards, a competition for mobile apps that
encourages university students to innovate in the areas of Social and environmental innovation emerging priorities
agriculture, health and education. Since 2010, the Uganda The period since 2009 has witnessed a considerable gain
Communications Commission has also organized the in interest for STI in East and Central Africa. Most countries
Annual Communications Innovation Awards, which reward have based their long-term planning (vision) documents
excellence in ICT innovation that contributes to national on harnessing STI to development. Most governments are
development goals. The prizes are awarded in several perfectly cognizant of the need to seize the opportunity of
categories, including digital content, ICT for development, sustained growth to modernize and industrialize, in order to
service excellence, business excellence and young ICT participate effectively in a rapidly evolving world economy
innovators. and ensure sustainability. They know that infrastructure
development, better health care, food, water and energy
A rise in researchers and R&D spending security and economic diversification will require a critical
Uganda provides quite detailed data on research, making it mass of scientists, engineers and medical staff who are
possible to monitor progress. R&D funding climbed between currently in short supply. These planning documents tend
2008 and 2010 from 0.33% to 0.48% of GDP. The business to reflect a common vision for the future: a prosperous
enterprise sectors share of R&D funding progressed from 4.3% middle-income country (or higher) characterized by good
to 13.7% over this period and spending on engineering from governance, inclusive growth and sustainable development.
9.8% to 12.2%, to the detriment of agricultural R&D, which
appears to have shrunk from 53.6% to 16.7% of total spending, Governments are increasingly looking for investors rather
according to the UNESCO Institute for Statistics. than donors. Conscious of the importance of a strong
private sector to drive investment and innovation for socio-
The number of researchers has climbed steadily over the economic development, governments are devising schemes
past decade, even doubling between 2008 and 2010 in head to support local businesses. As we have seen, the fund
counts from 1 387 to 2823, according to the UNESCO Institute developed by Rwanda to foster a green economy provides
for Statistics. This represents a leap from 44 to 83 researchers competitive funds to successful public and private applicants.
per million inhabitants. One in four researchers is a woman In Kenya, the Nairobi Industrial and Technology Park is being
(Figure 19.3). developed within a joint venture with a public institution,
Jomo Kenyatta University of Agriculture and Technology.
Enrolment in higher education rose from 93000 to 140 000
between 2006 and 2011, in a context of strong population In the past few years, governments have witnessed the
growth of 3.3% per year. In 2011, 4.4% of young Ugandans economic spin-offs from the first technology incubators in
were enrolled at university (Tables 19.1, 19.3 and 19.4). Kenya, which have been incredibly successful in helping start-
ups capture markets in information technology, in particular.
The number of scientific publications tripled between 2005 Many governments are now investing in this dynamic sector,
and 2014 but research remains focused on life sciences including those of Rwanda and Uganda. Spending on R&D is
(Figure 19.8). In 2014, the Uganda Industrial Research Institute on the rise in most countries with innovation hubs, driven by
was selected for a programme which is developing centres greater investment by both the public and private sectors.
of excellence in biomedical sciences (Box 19.2). Interestingly,
Kenya and South Africa count among Ugandas top five Most of the social innovation observed in East and Central
research partners (Figure 19.8). Africa since 2009 tackles pressing development issues:
overcoming food insecurity, mitigating climate change,
the transition to renewable energy, reducing disaster risk
and extending medical services. The leading technological
breakthrough in the region (the MPesa payment service via a
mobile phone) had been designed to bridge the ruralurban
divide in access to banking services, addressing the financial
needs of the poor masses at the bottom of the pyramid. This
technology has since permeated virtually all sectors of the
East African economy, mobile payments having become a
common feature of banking services.

We have seen that both pan-African and regional bodies

are themselves now convinced that STI is one of the keys to

530
 East and Central Africa

the continents development. This is illustrated by the prizes KEY

TARGETS FOR CENTRAL AND EAST AFRICA
for science and innovation offered by the African Union
Commission and COMESA, for instance, and by the programme

Chapter 19
n Raise GERD to 1% of GDP in countries of the region;
launched in 2014 by the African Development Bank to develop
five centres of excellence in biomedical sciences. n Raise GERD in Kenya from 0.79% (2010) to 2% of
GDP by 2014;
The sources of East and Central Africas heightened interest
n Countries that signed the Maputo Declaration are to
in STI are multiple but the global financial crisis of 20082009
devote at least 10% of GDP to agriculture;
certainly played a role. It boosted commodity prices and
focused attention on beneficiation policies in Africa. The n Raise the proportion of Ethiopian women university
global crisis also provoked a reversal in brain drain, as visions students to 40%;
of Europe and North America struggling with low growth
n Establish four technical secondary schools to raise the
rates and high unemployment discouraged emigration and
share of Gabonese pupils benefiting from this type of
encouraged some to return home. Returnees are today playing
education from 8% to 20% by 2025;
a key role in STI policy formulation, economic development and
innovation. Even those who remain abroad are contributing: n Raise the share of hydropower in Gabons electricity
remittances are now overtaking FDI inflows to Africa. matrix from 40% in 2010 to 80% by 2020;

n Establish a Green City of Education and Knowledge

The focus on sustainable development is a fairly new trend.
in Gabon by 2030, as well as a research fund and
The commodities boom in recent years has brought home to
information technology park;
governments that they are sitting on a gold mine literally,
in some cases. Growing foreign interest in the natural n Raise the amount of credit available to the private
endowments of countries such as Burundi, Cameroon, Gabon sector in Rwanda to 30% of GDP by 2018;
and Rwanda has made them increasingly conscious of the
n Launch a pilot green city in Rwanda by 2018.
need to preserve their rare and valuable ecosystems to ensure
their own sustainable development.

With 1 billion potential consumers across the continent, one

key challenge will be to remove the barriers to intraregional
and pan-African trade. An important step forward in this
regard would be an overhaul of immigration laws within
Africa. Currently, it is much easier for an average British or
American citizen, for instance, to travel across Africa than for
the average African. Reducing immigration requirements
for Africans within Africa would considerably enhance the
mobility of skilled personnel and knowledge spillovers.

By modernizing infrastructure, developing manufacturing and

value addition, improving the business climate and removing
barriers to pan-African trade, countries should be in a position
to develop the local industries and jobs they will need to
employ their rapidly growing populations. Greater regional
integration will not only foster socio-economic development
but also better governance and political stability, such as
by favouring the multilateral resolution of disputes through
dialogue, whenever possible, and through military means
whenever unavoidable. The current co-operation between
Cameroon, Chad, Niger and Nigeria to combat the Boko
Haram terrorist sect illustrates this new paradigm of intra-
regional co-operation. Another example is the EACs decision
to send a contingent of medical personnel to West Africa in
October 2014 to help combat the Ebola epidemic.

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UNESCO SCIENCE REPORT

REFERENCES IST-Africa (2012) Guide to ICT Policy in IST-Africa Partner

Countries. Version 2.2, 20 April. Information Society
AfDB (2012) Interim Country Strategy Paper for Eritrea 20092011. Technologies Africa project.
African Development Bank Group.
Kulish, N. (2014) Rwanda reaches for new economic model.
AfDB (2011) Djibouti Country Strategy Paper 20112015. African New York Times, 23 March.
Development Bank Group. August.
Malouna, B. (2015) Dveloppement durable : les inquitudes
AfDB (2010) Eastern Africa Regional Integration Strategy de la socit civile sur la nouvelle loi dorientation.
Paper 2011 2015. Revised Draft for Regional Team (Sustainable development: the concerns of civil society
Meeting. African Development Bank. October. concerning the framework law). Gabon Review, 26 January.
See www.gabonreview.com
AfDB,OECD and UNDP (2014) African Economic Outlook
2014. Regional Edition East Africa. African Development MoFED (2013) Growth and Transformation Plan. Annual
Bank, Organisation for Economic Co-operation and Progress Report. Ministry of Finance and Economic
Development and United Nations Development Development: Addis Ababa.
Programme.
Muchie, M. and A. Baskaran (2012) Challenges of African
AMCOST (2013) Review of Africas Science and Technology Transformation. Exploring through Innovation Approach.
Consolidated Plan of Action (20052012). Final Draft. Africa Institute of South Africa.
Study by panel of experts commissioned by African
Ministerial Conference on Science and Technology. Muchie, M.; Gammeltoft, P. and B. A. Lundvall (2003) Putting
Africa First: the Making of the African Innovation System.
AUNEPAD (2010) African Action Plan 20102015: Advancing Aalborg University Press: Copenhagen.
Regional and Continental Integration in Africa. African
Union and New Partnership for Africas Development. Nsehe, M. (2013) $1.6 million tech incubation program
launched In Kenya. Forbes Magazine, 24 January.
BBC (2013) Kenya begins construction of silicon city Konza.
BBC News, 23 January. Tumushabe, G.W. and J.O. Mugabe. (2012) Governance of
Science, Technology and Innovation in the East African
Biztech Africa (2013) Uganda opens BPO incubation centre. Community. The Inaugural Biennial Report 2012.
Biztech Africa, 22 September. Advocates Coalition for Development and Environment
(ACODE) Policy Research Series No 51.
UNESCO (2013) Education for All Global Monitoring Report.
Regional Fact Sheet, Education in Eastern Africa. January. Urama, K. C. and E. Acheampong (2013) Social innovation
See: www.efareport.unesco.org. creates prosperous societies. Stanford Social Innovation
Review, 11 (2).
Ezeanya, C. (2013) Contending Issues of Intellectual Property
Rights, Protection and Indigenous Knowledge of Urama, K., Ogbu, O.; Bijker, W.; Alfonsi, A.; Gomez, N. and
Pharmacology in Africa of the Sahara. The Journal of Pan N. Ozor (2010) The African Manifesto for Science,
African Studies, 6 (5). Technology and Innovation. Prepared by African
Technology Policy Studies Network: Nairobi.
Flaherty, K., Kelemework, F. and K. Kelemu (2010) Ethiopia:
Recent Developments in Agricultural Research. Ethiopian World Bank (2013) Doing Business 2013. Smarter Regulations for
Institute of Agricultural Research. Country Note, Small and Medium-Size Enterprises. World Bank Group.
November.
WWAP (2014) Water and Energy. World Water Development
Hersman, E. (2012) From Kenya to Madagascar: the African Report. United Nations World Water Assessment
tech-hub boom. BBC News. Programme. UNWater. Published by UNESCO: Paris.
See: www.bbc.com/news/business-18878585

Irish, J. (2014) Chad to double oil output by 2016, develop

minerals minister. Reuters press release. Daily Mail,
7 October.

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 East and Central Africa

Kevin Chika Urama (b.1969: Nigeria) is the Inaugural

Managing Director and Head of Research at the

Chapter 19
Quantum Global Research Lab in Switzerland. He is
former Executive Director of the African Technology
Policy Studies Network, based in Nairobi (Kenya) and
Inaugural President of the African Society for Ecological
Economics. He holds a PhD in Land Economy from the
University of Cambridge in the UK. He is also an Extra-
Ordinary Professor at the School of Public Leadership of
Stellenbosch University (South Africa) and a Fellow of the
African Academy of Sciences.

Mammo Muchie (b. 1950: Ethiopia) is the holder of the

Department of Science and Technology and National
Research Foundations joint South African Research Chair
at Tshwane University of Technology in Pretoria (South
Africa). Prof. Muchie is also Senior Research Associate at
Oxford University (UK). He is founding chief editor of the
journal on African Science, Technology, Innovation and
Development and of the Ethiopian open access Journal
on Research and Innovation Foresight. He holds a DPhil in
Science, Technology and Innovation from the University
of Sussex (UK).

Remy Twiringiyimana (b.1982: Rwanda) is Advisor

to the Minister of Education. He is former Director
of Research and Development at the Directorate
of Science, Technology and Research within the
Ministry of Education and has worked, in the past,
for the Higher Education Council as an Institutional
Auditor and Programme Reviewer. He holds an MSc in
Communications, Control and Digital Signal Processing
from the University of Strathclyde (UK). Since 2012, he
has been the national contact person at the NEPAD
agency for the African Science, Technology and
Innovation Initiative.

ACKNOWLEDGMENTS
The authors wish to thank Jeremy Wakeford from the
Quantum Global Research Laboratory in Switzerland
for contributing information for the country profiles of
Cameroon, Comoros, Equatorial Guinea, Kenya and Uganda.
Thanks go also to Dr Abiodun Egbetokun from Tshwane
University of Technology (South Africa) for his assistance in
collecting data for the present chapter.

533
 An important aspect of economic integration
would be the transition from national innovation
systems to a single regional innovation system.
Erika Kraemer-Mbula and Mario Scerri

A humanoid robot directs traffic at

a busy intersection in Kinshasa, in
the Democratic Republic of Congo.
This solar-powered prototype
is equipped with four cameras that
allow it to record traffic. The information
is then transmitted to a centre which
analyses traffic infractions. This robot and its
twin were designed by a group of Congolese
engineers based at the Kinshasa Higher
Institute of Applied Techniques (ISTA).
Photo: Junior D. Kannah/AFP/Getty Images)

534
 Southern Africa
20 . Southern Africa
Angola, Botswana, Democratic Republic of Congo, Lesotho, Madagascar, Malawi, Mauritius,
Mozambique, Namibia, Seychelles, South Africa, Swaziland, Tanzania, Zambia, Zimbabwe

Erika KraemerMbula and Mario Scerri

INTRODUCTION with the exception of Madagascar, which was suspended in 2009

following a coup dtat then reintegrated in January 2014 after
Lifting trade barriers to foster regional integration its return to constitutional government. If Madagascar is now
The Southern Africa Development Community (SADC) is home

Chapter 20
emerging from five years of political turmoil and international
to 33% of sub-Saharan Africas population and contributes sanctions, the Democratic Republic of Congo is still recovering
about 43% of its GDP (US$684 billion in 2013). The region from the violence inflicted by armed groups who were
combines middle-income countries with some of the fastest- neutralized by a United Nations peacekeeping force in 2013.
growing economies in Africa1 and some of the poorest. Political tensions remain in Lesotho, Swaziland and Zimbabwe.
Nothing underscores the regions diversity more than the fact
that one country alone generates about 60% of GDP within the The SADC is striving to maintain peace and security within
SADC and one-quarter of the continents GDP: South Africa. its member states, including through the SADC tribunal,
which was established in Gaborone (Botswana) in 2005 then
Despite this heterogeneity, there is considerable potential for dismantled in 2010 before being revived by a new protocol in
regional integration, which is being increasingly driven by the 2014, albeit with a diminished mandate. The SADCRegional
Southern African Development Community (SADC). A Protocol on Early Warning Centre is also based in Gaborone.This centre
Trade in Services signed in 2012 seeks to negotiate progressively was established in 2010 to prevent, manage and resolve
the removal of barriers to the free movement of services within conflict, in conjunction with national early warning centres.
the SADC.
In 2014, five SADC countries held presidential elections
Intra-SADC trade is relatively modest and has not grown to any Botswana, Malawi, Mozambique, Namibia and South Africa
significant degree in the past five years, owing partly to the Namibia being the first African country to cast presidential
similarity of the resource-based economies across the region, ballots electronically through an e-voting system. The SADC
a cumbersome regulatory framework and inadequate border aims to attain equal representation of men and women in
infrastructure (AfDB, 2013).2 Nevertheless, compared to other key decision-making positions by 2015, through the SADC
African regional economic communities (see Box 18.2), the SADC Protocol on Gender and Development, which entered into
bloc still displays the most dynamic intraregional trade of the force in early 2013 after being signed in 2008. However,
continent, albeit mostly directed towards South Africa. The SADC only five SADC countries are anywhere near reaching parity
trades very little with the rest of Africa, the regions trade being in parliament, having gone above the 30% threshold set
mostly oriented towards the rest of the world. previously by regional leaders for the representation of
women: Angola, Mozambique, Seychelles, South Africa and
On 10 June 2015, the 26 countries which make up the three Tanzania. Of note is that President Joyce Banda of Malawi
regional communities of SADC, the Common Market for became the SADCs first woman president in 2012. Three
Southern and Eastern Africa (COMESA) and the East African years later, renowned biologist Ameenah Gurib-Fakim made
Community (EAC) formally launched a Free Trade Area. This history by becoming Mauritius first woman president.
should accelerate regional integration.3
Widespread poverty in two-thirds of countries
Relative political stability The population is growing fast, at 2.5% per year on average
The SADC region enjoys relative political stability and democratic between 2009 and 2013. By 2013, the region counted
political processes, although internal fragmentation continues to a combined population of over 294 million. Human
characterize the ruling political parties in most countries. For the development varies widely, from a high of 0.771 on the
past six years, SADC membership has remained relatively stable, UNDPs index in Mauritius to a low of 0.337 in the Democratic
Republic of Congo. A promising trend is that ten countries
1. The Democratic Republic of Congo, Mozambique, Tanzania, Zambia and
Zimbabwe experienced annual average GDP growth of about 7% from 2009 to advanced in the overall world ranking from 2008 to 2013.
2013 but these five countries, along with Angola, Lesotho and Malawi, are also Madagascar, Seychelles and Swaziland, on the other hand,
currently listed by the United Nations as being least developed countries.
have slipped a few places (Table 20.1).
2. In 2008, intra-SADC imports constituted only 9.8% of the regions total imports and
intra-SADC exports 9.9% of SADCs total exports. Being the most diversified economy,
South Africa is also the dominant exporter (68.1% of all intra-SADC exports) but only The SADCs aggregate economy still displays features of
accounted for 14.8% of intra-SADC imports in 2009. a developing region, with worrying unemployment levels
3. For the composition of these regions, see Annex I. in some countries. Poverty and inequality persist, despite

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UNESCO SCIENCE REPORT

Table 20.1: Social landscape of Southern Africa

Unemployment
Population HDI ranking, rate, 2013 Poverty rate*, Gini, 2010
(millions), Change since 2013 (change (% of total 2010 (change (change since
2013 2009 (%) since 2008) labour force) since 2000) 2000)
Angola 21.5 13 149(2) 6.8 67.42(-) 42.60(-)
Botswana 2.0 4 108 (2)
18.4 27.83 (-)
60.46(-)
Congo, Dem. Rep. 67.5 12 187 (1)
8.0 95.15 44.43
Lesotho 2.1 4 163 (0)
24.7 73.39 (-)
54.17(+)
Madagascar 22.9 12 155 (-3)
3.6 95.1 (+3)
40.63(+)
Malawi 16.4 12 174(0) 7.6 88.14(-) 46.18(+)
Mauritius 1.2 1 63 (9)
8.3 1.85 (+)
35.90(+)
Mozambique 25.8 11 179(1) 8.3 82.49(-) 45.66(-)
Namibia 2.3 7 127 (3)
16.9 43.15 (-)
61.32(-)
Seychelles 0.1 2 70(-12) 1.84 65.77
South Africa 52.8 4 119 (2)
24.9 26.19 (-)
65.02(-)
Swaziland 1.2 6 148 (-5)
22.5 59.11 (-)
51.49(-)
Tanzania 49.3 13 160(5) 3.5 73.00(-) 37.82(+)
Zambia 14.5 13 143 (7)
13.3 86.56 (+)
57.49(+)
Zimbabwe 14.1 10 160(16) 5.4
TOTAL SADC 293.8 10

* calculated as the share of the population living on less than US $2 per day.
Note: The reference year for the poverty rate and Gini index is 2010 or the closest year; see glossary, p.738.
Source: World Banks World Development indicators, April 2015; for HDI: UNDPs Human Development Reports

the fact that health and education remain top priorities

Figure 20.1: Public expenditure on education in for most countries, accumulating substantial portions of
Southern Africa as a share of GDP, 2012 or closest public expenditure (see Figure 20.1 and Table 19.2). The
year (%) proportion of the population living on less than US$2 a day
Lesotho (2008) 4.7 13.0 remains extremely high in ten SADC countries for which data
Botswana (2009) 3.9 9.5
are available (Table 20.1). Moreover, even the Seychelles
and South Africa, where a fraction of the population lives
Namibia (2010) 2.0 8.5
beneath the poverty line, report high levels of inequality,
Swaziland (2011) 1.0 7.8 which even increased over the period 20002010.
South Africa (2013) 0.8 6.2

Tanzania (2010) 1.7 6.2 Foreign investment has doubled since 2007
Foreign direct investment (FDI) in Southern Africa almost
Malawi (2011) 1.4 5.4
doubled from 2007 to 2013 to US$13billion. This was
Mozambique (2006) 0.6 5.0
mainly due to record high inflows to South Africa and
Mauritius (2013) 0.3 3.7 2.0 Mozambique, mostly for infrastructure development and
Seychelles (2011) 1.2 3.6 the gas sector in Mozambique (Table 20.2). The proportion
of national investment financed by donors is a good proxy
Angola (2010) 3.5
indicator of the degree of economic self-sustainability.
Madagascar (2012) 0.4 2.7
Once again, the region shows a high level of disparity in
Zimbabwe (2010) 0.4 2.0 the degree of self-sustainability, with a clear distinction
Congo, between countries that exhibit virtually no reliance on
Dem. Rep. (2010) 0.4 1.6
overseas development assistance (ODA) for national
Zambia (2008) 1.3
investment requirements and those where ODA is a
Tertiary education All levels of education
significant contributor. Lesotho, Malawi and Swaziland show
a growing reliance on ODA over the period under study. In
Source: UNESCO Institute for Statistics, May 2015
other countries, such as Mozambique, Tanzania, Zambia and

536
 Southern Africa

Table 20.2: Economic landscape of Southern Africa

GDP per capita in PPP$ millions Overseas development Patents,

GDP growth
(2011 constant prices) assistance/GFCF* 20082013
5-year FDI inflow,
2009 2013 change 2009 2013 2009 2013 2013
(%) (%) (%) (%) (%) (% of GDP)
Angola 7 039 7 488 6.4 2.4 6.8 2.1 1.6 -5.7 7

Chapter 20
Botswana 12 404 15 247 22.9 -7.8 5.8 7.8 2.2 1.3 0
Congo, Dem. Rep. 657 783 19.1 2.9 8.5 87.2 38.3 5.2 0
Lesotho 2 101 2 494 18.7 3.4 5.5 26.5 33.0 -1
1.9 0
Madagascar 1 426 1 369 -4.0 -4.0 2.4 14.9 30.0 7.9 0
Malawi 713 755 5.9 9.0 5.0 64.3 153.9 3.2 0
Mauritius 15 018 17 146 14.2 3.0 3.2 6.7 5.9 2.2 0
Mozambique 893 1 070 19.7 6.5 7.4 130.8 85.0 42.8 0
Namibia 8 089 9 276 14.7 0.3 5.1 13.1 7.8 6.9 2
Seychelles 19 646 23 799 21.1 -1.1 5.3 9.8 5.2 12.3 2
South Africa 11 903 12 454 4.6 -1.5 2.2 1.7 1.8 2.2 663
Swaziland 6 498 6 471 -0.4 1.3 2.8 17.2 31.9 0.6 6
Tanzania 2 061 2 365 14.7 5.4 7.3 35.6 26.2 4.3 4
Zambia 3 224 3 800 17.8 9.2 6.7 17.4-3 6.8 0
Zimbabwe 1 352 1 773 31.2 6.0 4.5 76.7 46.3 3.0 4

-n = data refer to n years before reference year

*Gross fixed capital formation, see the glossary, p. 738
Source: World Banks World Development Indicators, April 2015; patent data from USPTO database

Zimbabwe, this reliance has dropped significantly in recent The regions strong dependence on natural resources has led
years, even if it remains high. to wild economic fluctuations and rendered it vulnerable to
global economic crises, such as that which led to an economic
The SADC economy is highly dependent on natural resources, slowdown in 2009. Since 2010, the region has enjoyed
with mining and agriculture constituting substantial persistent growth, with prospects for a return to pre-2009
segments of economic activity. From Figure 20.2, we can see growth rates of 56% in 2015 (AfDB et al., 2014).
that the production structure of most SADC economies tends
to be resource-based, with a relatively small manufacturing Four ratifications of SADC protocol on STI
sector, except in Swaziland. The region is vulnerable to The Southern African Development Community Treaty of 1992
extreme weather events such as cyclical drought and provides the legal framework for co-operation among SADC
flooding. Angola, Malawi and Namibia have all experienced member states. It has since been enriched by the adoption
below-normal rainfall in recent years, affecting food4 security. of 27 protocols in priority areas.5 In its Protocol on Science,
In 2014, Madagascar embarked on a nation-wide campaign Technology and Innovation (2008), the SADC stresses the
to contain a locust outbreak which threatened staple crops. importance of S&T for achieving sustainable and equitable
There has been a worrying drop in government funding socio-economic growth and poverty eradication. It provides
for agricultural R&D by SADC countries and development the basis for the development of institutional mechanisms for
agents, despite the continents commitment, in the Maputo regional co-operation and co-ordination in the following areas:
Declaration (2003), to devoting at least 10% of GDP to
n policy training;
agriculture. By 2010, only a handful of SADC countries
devoted more than 5% of GDP to agriculture, notably n the role of women in science;
Madagascar, Malawi, Tanzania and Zambia (see Table 19.2).
n strategic planning;

4. The Regional Early Warning System, Famine Early Warning System and Climate
Services Centre are all based at the SADC centre in Gaborone (Botswana). The 5. The SADC Treaty calls for the harmonization of political and socio-economic
SADC Plant Genetic Resource Centre is located in Lusaka (Zambia). All were policies for the region to attain the objective of sustainable development, whereas
established about two decades ago. See www.sadc.int the protocols promote legal and political co-operation.

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UNESCO SCIENCE REPORT

Figure 20.2: GDP in SADC countries by economic sector, 2013 or closest year

Angola 10.1 32.1 57.8 7.2

Botswana 2.5 60.5 36.9 5.7

Congo, Dem. Rep. 20.8 41.0 38.2 16.6

Lesotho -1
8.3 59.9 31.8 11.7
Madagascar-4 26.4 57.5 16.1

Malawi 27.0 54.2 18.8 10.7

Mauritius 3.2 72.5 24.3 17.0

Mozambique 29.0 50.2 20.8 10.9

Namibia 6.1 60.5 33.4 13.2

Seychelles 2.4 86.3 11.3 6.3

South Africa 2.3 67.8 29.9 13.2

Swaziland-2 7.5 44.8 47.7 43.8

Tanzania 33.8 43.0 23.2 7.4

Zambia 9.6 56.5 33.9 8.2

Zimbabwe 12.0 56.9 31.1 12.8

Agriculture Services Industry Manufacturing as a subset of industry

-n = data refer to n years before reference year

Source: World Banks World Development Indicators, April 2015

n intellectual property rights; Two primary policy documents operationalize the SADC Treaty,
the Regional Indicative Strategic Development Plan for 20052020
n indigenous knowledge systems;
(RISDP, 2003) and the Strategic Indicative Plan for the Organ
n climate change; and (SIPO, 2004). The RISDP identifies the regions 12 priority areas
for both sectorial and cross-cutting intervention, mapping out
n high-performance computing, as exemplified by the Blue
goals and setting up concrete targets for each. The four sectorial
Gene project launched by IBM in 1999, which spent the
areas are: trade and economic liberalization, infrastructure,
next decade developing supercomputers with low power
sustainable food security and human and social development.
consumption.
The eight cross-cutting areas are:

The protocol is based on a broad definition that extends

n poverty;
considerably beyond science and technology.6 A portfolio
committee briefing by the South African Department of n combating the HIV/AIDS pandemic;
Science and Technology (RSA, 2011) notes that the protocol
n gender equality;
is an essential first step towards regional integration, with
steady growth in self-financed bilateral co-operation. n science and technology;
It considers that the SADC has become Africas leading
n information and communication technologies (ICTs);
regional economic community. However, the briefing also
points out that the regional STI desk remains under-resourced n environment and sustainable development;
and mostly ineffectual. As a result, member states are
n private sector development; and
still reluctant to support it. To date, the protocol has only
been ratified by four countries: Botswana, Mauritius, n statistics.
Mozambique and South Africa. For the protocol to enter into
force, it must be ratified by two-thirds of member states Targets include:
(10 countries).
n ensuring that 50% of decision-making positions in the
public sector are held by women by 2015;
6. The term national innovation system refers to a set of functioning institutions,
n raising gross domestic expenditure on research and
organisations and policies which intervene constructively in pursuit of a common
set of social and economic objectives, as defined by the SADC Secretariat in 2008. development (GERD) to at least 1% of GDP by 2015;

538
 Southern Africa

n increasing intra-regional trade to at least 35% of total Action, several networks of centres of excellence have been set
SADC trade by 2008 (10% in 2008); up. Within the African Biosciences Initiative, four subregional
hubs have been established, including the Southern African
n increasing the share of manufacturing to 25% of GDP by
Network for Biosciences (SANbio), based at the Council for
2015 (Figure 20.2); and
Scientific and Industrial Research in Pretoria since 2005
n achieving100% connectivity to the regional power grid for (see Box 19.1). SADC countries also participate in the African
all member states by 2012 (see Table 19.1). Biosafety Network of Expertise (see Box 19.1).

A 2013 mid-term review of RISDP noted that limited progress However, the CPA implementation raised a number of

Chapter 20
had been made towards STI targets, owing to the lack of human concerns related to:
and financial resources at the SADC Secretariat to co-ordinate
n its narrow focus on generating R&D, with less concern for
STI programmes. In Maputo in June 2014, SADC ministers of STI,
the use of scientific output;
education and training adopted the SADC Regional Strategic
Plan on Science, Technology and Innovation for 20152020 to n insufficient funding to allow full implementation of
guide implementation of regional programmes. programmes;

n excessive reliance on external financial support targeting

A vulnerable environment despite legal frameworks
short-term activities and solutions; and
The regions commitment to sustainable development is
reflected in the SADC Treaty and countries active participation n the failure to link it with other pan-African policies such as
in major multilateral environmental7 agreements. Although continent-wide agriculture and environmental protection
there has been some progress in environmental management projects.
in recent years, Southern Africa remains very vulnerable to
climate change; it also suffers from high levels of pollution, STISA emerged in 2014, following a high-level review of the
biodiversity loss, inadequate access to clean water and CPA (see p. 505). This strategic framework is the next decadal
sanitation services (see Table 19.1), land degradation and stepping stone towards the goals of the African Unions Agenda
deforestation. It has been estimated that over 75% of land is 2063, also known as the Africa we want. In Agenda 2063, the
partially degraded and 14% severely degraded. Soil erosion has African Union provides a broad vision and action plan for
been identified as the primary cause of declining agricultural building a more prosperous and united Africa over the next
production. For the past 16 years, the SADC has had a protocol 50 years. STISA displays a stronger focus on innovation and
governing wildlife, forestry, shared water courses and the science for development than its predecessor. It foresees the
environment, including climate change, the SADC Protocol on establishment of an African Science, Technology and Innovation
Wildlife Conservation and Law Enforcement (1999). Fund (ASTIF) but the financial sources needed to operate the
fund remain undetermined. The lack of committed funds
More recently, SADC has initiated a number of regional and from member states and the broadness of STISAs objectives
national initiatives to mitigate the impact of climate change. have raised multiple questions as to the feasibility of its
In 2013, ministers responsible for the environment and natural implementation. It will take more than a commitment from
resources approved the development of the SADC Regional member states to devoting 1% of GDP to R&D the target
Climate Change programme. In addition, COMESA, EAC and enshrined in the African Unions Khartoum Declaration of 2007
SADC have been implementing a joint five-year initiative since to make ASTIF operational.
2010 known as the Tripartite Programme on Climate Change
Adaptation and Mitigation, or The African Solution to Address In adopting STISA in 2014, the heads of state and government
Climate Change. Five SADC countries have also signed the called upon member states, regional economic communities
Gaborone Declaration for Sustainability in Africa (Box 20.1). and development partners to align, connect and use STISA as
a reference framework in designing and co-ordinating their
Regional policy frameworks, a continental strategy own development agendas for STI.
In 2014, the Science, Technology and Innovation Strategy
for Africa (STISA2024) replaced Africas previous decadal Concerning intellectual property, the proposal to create a
framework, Africas Science and Technology Consolidated Plan Pan-African Intellectual Property Organization (PAIPO) has
of Action (CPA, 20052014). The CPA had been the continents regained momentum since the idea was first put forward in
first consolidated attempt to accelerate Africas transition to 2007 at the African Union Summit in Khartoum. However, the
an innovation-led knowledge economy. As part of the Plan of development and publication in 2012 of the draft statutes
creating PAIPO have been the object of substantial criticism,
7. such as the UN Framework Convention on Climate Change, UN Convention to
Combat Desertification, the UN Convention on Biological Diversity and the Ramsar
from questioning the impact of stronger intellectual property
Convention on Wetlands protection in Africa to concerns about how PAIPO would

539
UNESCO SCIENCE REPORT

Box 20.1 The Gaborone Declaration for Sustainability in Africa

In May 2012, the heads of state of practices that promote sustainable Environmental Affairs within the
UNESCO SCIENCE REPORT 2015
Botswana, Gabon, Ghana, Kenya, employment, food security, Botswanan Ministry of Environment
Liberia, Mozambique, Namibia, sustainable energy and the protection Wildlife and Tourism, with technical
Rwanda, South Africa and Tanzania of natural capital through protected support from Conservation
gathered in Gaborone for a two-day areas and other mechanisms; International, a non-governmental
summit, in the company of several organization. Conservation
public and private partners. n 
build knowledge, data, capacity and International has pledged funding
policy networks to promote leadership for a situational analysis which will
By adopting the Gaborone Declaration and a new model of sustainable provide baseline information on
for Sustainability in Africa, the ten development and to increase where the ten countries stand with
countries engaged themselves in a momentum for positive change. respect to the agreed actions outlined
multi-year process. They recommitted above and set priorities for moving
to implementing all conventions and The overall objective of the Declaration forward.
declarations promoting sustainable was to ensure that the contributions of
development and undertook to: natural capital to sustainable economic Since the 2012 summit, an
growth, maintenance and improvement implementation framework has
n 
integrate the value of natural of social capital and human well-being been drafted to track progress. In
capital into national accounting are quantified and integrated into 2012, for instance, Gabon adopted a
and corporate planning and development and business practice. strategic plan to 2025 which foresees
reporting processes, policies and This statement was propelled by the integrating natural capital into the
programmes; signatories realization that GDP has its national accounting system and
limitations as a measure of well-being the adoption of a national climate
n 
build social capital and reduce and sustainable growth. plan, among other moves to foster
poverty by transitioning agriculture, sustainable development (see p. 521).
extractive industries, fisheries The interim secretariat of this initiative
and other natural capital uses to is being hosted by the Department of Source: www.gaboronedeclaration.com

align its mandate with those of the two existing regional is guided at pan-African level by the African Model Law
organizations, the African Regional Intellectual Property for the Protection of the Rights of Local Communities,
Organisation (ARIPO)8 and the African Intellectual Property Farmers and Breeders and for the Regulation of Access to
Organisation for French-speaking Africa, which already Biological Resources (2001). The prioritization of biodiversity
operate under separate regimes themselves. conservation in pan-African programmes and policies was
again manifest in 2011 when the African Union encouraged
The Swakopmund Protocol on the Protection of Traditional all member states to adhere to international agreements
Knowledge and Expressions of Folklore was adopted in Namibia on biodiversity, including the Nagoya Protocol on Access to
in April 2010 by nine ARIPO member States: Botswana, Ghana, Genetic Resources and Sharing of Benefits Arising from their
Kenya, Lesotho, Liberia, Mozambique, Namibia, Zambia Utilization and the Convention on Biological Diversity (2010).
and Zimbabwe. The protocol will only enter into force once
six ARIPO member states have deposited instruments of
ratification (for signatories) or accession (for non-signatories),
TRENDS IN STI GOVERNANCE
which was not the case in 2014. Any state that is a member of
the African Union or the United Nations Economic Commission Two-thirds of SADC countries have STI policies
for Africa (UNECA) may also sign up to it. Despite the different stages of development in terms of STI
governance in Southern Africa, there is a shared and common
The AUNEPAD African Action Plan for 20102015 expressly interest in achieving sustainable development through the
underscores the important role that harmonized regional promotion of STI. This has engendered a plethora of
policies could play in adapting to climate change. Africas institutional arrangements and bodies mandated with
commitment to protecting its unique natural resources co-ordinating and supporting STI, as well as widespread
formulation of related policies and strategies. Innovation,
8. The current members of ARIPO are Botswana,Gambia,Ghana, Kenya,
Lesotho,Malawi,Mozambique,Namibia,Sierra Leone,Liberia, Rwanda,So Tom
however, remains a secondary objective of policy formulation
&Prncipe,Somalia,Sudan,Swaziland,Tanzania,Uganda,ZambiaandZimbabwe. and, although policies are intended to support the STI ecosystem,

540
 Southern Africa

they remain firmly linked to the state apparatus for S&T, with little
participation by the private sector in policy design. In 2014, 11 Table 20.3: STI planning in SADC countries
out of the 15 SADC countries had STI policies in place (Table 20.3).
STI policy Date of adoption/
However, STI policy documents are rarely accompanied by document period of validity
implementation plans and allocated budgets for implementation.
Some SADC countries without dedicated policies for STI Angola Yes 2011
nevertheless appear to be relatively active in developing Botswana Yes 1998; 2011
programmes to promote universityindustry collaboration and Congo, Dem. Rep. No
innovation. Mauritius is one such example (see p. 551).

Chapter 20
Lesotho Yes 20062011

A study conducted by UNESCO within its Global Observatory Madagascar Yes 2013
of STI Policy Instruments (GOSPIN) found a high correlation Malawi Yes 20112015
between scientific productivity and effective governance.
Mauritius No
Only seven African countries shared positive values for both
government effectiveness and political stability: Botswana, Cabo Mozambique Yes 2003; 20062016

Verde, Ghana, Mauritius, Namibia, the Seychelles and South Namibia Yes 1999
Africa. The great majority of African countries had negative Seychelles No
values for both indicators, including Angola, the Democratic
South Africa Yes 2010
Republic of Congo, Swaziland and Zimbabwe (UNESCO, 2013).
Swaziland (draft)
Disparities in research and development (R&D) are evident Tanzania Yes 1996; 2010
across the region. This phenomenon is illustrated by the
Zambia Yes 1996
GERD/GDP ratio, which ranges from a low of 0.01% in Lesotho
to a high of 1.06% in Malawi (Figure 20.3). South Africas own Zimbabwe Yes 2002; 2012

ratio (0.73%) is down from 0.89% in 2008. South Africa filed Source: compiled by authors
96% of SADC patents between 2008 and 2013 and, together
with Botswana, counts by far the greatest density of researchers
(Figure 20.4). South Africa also stands out for the fairly equal
Figure 20.3: GERD/GDP ratio in Southern Africa,
division between the government (45%) and business
2012 or closest year
enterprise (38%) sectors in terms of R&D funding and thus the GERD/GDP (%)
maturity of industrial R&D in this country (see Table 19.5).
Malawi (2010) 1.06

SADC economies have receded in the KEI

South Africa (2012) 0.73
Only four SADC countries have conducted national
innovation surveys under the African Science, Technology
Mozambique (2010) 0.42
and Innovation Indicators (ASTII) programme, making
comparisons subject to caution. What does emerge from the Tanzania (2010) 0.38
ASTII report published in 2014 is that the percentage of firms
describing themselves as being innovation active is quite Zambia (2008) 0.28
high, with 58.5% in Lesotho, 65.4% in South Africa, 61.3% in
Tanzania and 51% in Zambia. Botswana (2012) 0.26

Table 20.4 presents SADC rankings in the World Banks Mauritius (2012) 0.18
Knowledge Economy Index (KEI) and Knowledge Index (KI).
Although these indices are largely based on the perceptions Namibia (2010) 0.14
of the business sector and offer an inevitably biased view
of the national innovation system, they do offer a basis for Madagascar (2011) 0.11
comparison. It is evident from this table that most SADC
economies have receded in these international rankings since Congo, Dem. Rep (2009) 0.08
2000, with Botswana, South Africa and Lesotho sliding the
most. The four countries showing the highest KEI values are Lesotho (2011) 0.01
Mauritius, South Africa, Botswana and Namibia. South Africa
Source: UNESCO Institute for Statistics, August 2015;
is seen as having the most developed innovation system,
for Malawi: UNESCO (2014a)
whereas Mauritius offers the strongest incentive regime.

541
UNESCO SCIENCE REPORT

Gender equity to be enshrined in national constitutions

Gender inequality is still a major social issue in Southern Figure 20.4: Researchers (HC) in Southern Africa per
Africa. Women make up more than four out of ten researchers million inhabitants, 2013 or closest year
in just three countries: Mauritius, Namibia and South Africa Per million inhabitants

(Figure 20.5). Only three countries report female participation South Africa (2012) 818

in research across the public and private sectors: Botswana,

Botswana (2012) 344
South Africa and Zambia.
Namibia (2010) 343
The SADC Protocol on Gender and Development (2008)9 set
ambitious targets in this respect. One target stipulates that Mauritius (2012) 285
States Parties are to endeavour to ensure that by 2015, at
Congo, Dem. Rep (2009) 206
least 50% of decision-making positions in the public and
private sectors are held by women, including [through] Zimbabwe (2012) 200
the use of affirmative action. Currently, South Africa (42%),
Angola (37%), Mozambique (35%) and Namibia (31%) have Malawi (2010) 123
achieved a participation rate of 30% and above for women
Madagascar (2011) 109
in political representation but other countries lag far behind,
including Botswana (11%). In Malawi, the proportion of
Angola (2011) 73
parliamentary seats held by women increased from 14% to
22% between 2004 and 2009. Tanzania (2010) 69

The protocol recommends that gender equity be enshrined Mozambique (2010) 66

in national constitutions by 2015. State Parties are also to

Zambia (2008) 49
enact laws by this date which promote equal access to, and
retention at, all levels of education, including tertiary. By Lesotho (2011) 21
2014, only seven countries had achieved parity in primary
Source: UNESCO Institute for Statistics, April 2015
education,10 nine countries11 had passed the threshold of a
minimum of 50% female enrolment in secondary schools
and seven counted more young women at university than agreement in the protocol that countries cease charging higher
young men12 in 2014 (Morna et al., 2014). It is clear that most fees for SADC students than for national students, a practice
Southern African countries will not achieve either the targets considered a potential barrier to student mobility (UIS, 2012).
of the SADC Protocol on Gender and Development or the
Millennium Development Goal on gender equality by 2015. Students who travel abroad from Botswana, Lesotho,
Madagascar, Namibia, Swaziland and Zimbabwe tend to be
SADC students among worlds most mobile concentrated in a single destination: South Africa.13 The latter
SADC students are among the most mobile in the world, hosted about 61 000 international students in 2009, two-thirds
with six out of every 100 tertiary students studying abroad of whom came from other SADC nations. South Africa is not
(UIS, 2012). In 2009, 89 000 SADC students studied outside only the leading host country in Africa but also ranks 11th
their home country, representing 5.8% of tertiary enrolment among host countries worldwide. Its higher education sector is
in the region. This ratio is higher than the regional average well developed, with strong infrastructure and several respected
for sub-Saharan Africa (4.9%) and three times the world research institutions that appeal to international students.
average (2.0%). Students from Angola, Malawi, Mozambique, the Seychelles,
South Africa, Tanzania and Zambia tend to be dispersed across a
One explanation can be found in the SADC Protocol on wide range of host countries (UIS, 2012).
Education and Training (1997), which sets out to facilitate
mobility. Only three signatory countries (South Africa, A growing number of publications
Swaziland and Zimbabwe), however, have respected the South Africa stands out for having the greatest number of
researchers per million inhabitants (Figure 20.4) and by far the
9. This protocol was signed by all but three SADC countries: Botswana, Malawi and
greatest output in terms of publications and patents
Mauritius. (Figure 20.6 and Table 20.2). When population is taken into
10. Botswana, Malawi, Seychelles, South Africa, Swaziland, Tanzania and Zimbabwe account, it comes second only to Seychelles for the number
11. Botswana, Lesotho, Madagascar, Mauritius, Namibia, Seychelles, South Africa, of articles.
Swaziland and Zimbabwe
12. Botswana, Lesotho, Mauritius, Namibia, South Africa, Swaziland and Zambia 13. with the exception of students from Madagascar, who prefer France

542
 Southern Africa

Table 20.4: KEI and KI rankings for 13 SADC countries, 2012

Change in Knowledge Economic

rank since Economy Knowledge Incentive
Rank 2000 Country Index Index Regime Innovation Education ICTs

62 1 Mauritius 5.5 4.6 8.22 4.41 4.33 5.1

67 -15 South Africa 5.2 5.1 5.49 6.89 4.87 3.6

Chapter 20
85 -18 Botswana 4.3 3.8 5.82 4.26 3.92 3.2

89 -9 Namibia 4.1 3.4 6.26 3.72 2.71 3.7

106 -9 Swaziland 3.1 3.0 3.55 4.36 2.27 2.3

115 -4 Zambia 2.6 2.0 4.15 2.09 2.08 1.9

119 -6 Zimbabwe 2.2 2.9 0.12 3.99 1.99 2.6

120 -12 Lesotho 2.0 1.7 2.72 1.82 1.71 1.5

122 -6 Malawi 1.9 1.5 3.33 2.65 0.54 1.2

127 -2 Tanzania 1.8 1.4 3.07 1.98 0.83 1.3

128 -2 Madagascar 1.8 1.4 2.79 2.37 0.84 1.1

129 5 Mozambique 1.8 1.0 4.05 1.76 0.17 1.1

142 -1 Angola 1.1 1.0 1.48 1.17 0.32 1.4

Note: Rankings are for a total of 145 countries.

Source: World Bank

South Africa increased the number of its publications by

Figure 20.5: Women researchers (HC) in Southern Africa,
23% from 2009 to 2014 but the strongest growth rate was
2012 or closest year
recorded by Angola and the Democratic Republic of Congo, Women (%)

albeit from a low base. The most prolific countries can Namibia (2010) 43.7
boast of an average citation rate above the G20 average
(Figure 20.6). South Africa (2012) 43.7

Mauritius (2012) 41.9

With nearly one-third of their publications concentrated in
chemistry, engineering, mathematics and physics over the Madagascar (2011) 35.4
20082014 period, Mauritius and South Africa are more
akin to developed countries than other SADC countries Mozambique (2010) 32.2

where research tends to favour health-related sciences.

Lesotho (2011) 31.0
Almost all countries share an inclination for geosciences,
however (Figure 20.6). Zambia (2008) 30.7

When it comes to international collaboration, South African Botswana (2012) 27.2

and Mauritian scientists stand out once more. Whereas just
Angola (2011) 27.1
over half of South African articles (57%) and two-thirds of
Mauritian articles (69%) had a foreign author over 20082014,
Tanzania (2010) 25.4
the ratio among their SADC neighbours varied from 80% in
Botswana to 96% in Mozambique and Zambia. Zimbabwe (2012) 25.3

Malawi (2010) 19.5

Note: Data are unavailable for some countries.

Source: UNESCO Institute for Statistics, April 2015

543
Figure 20.6:
UNESCO Scientific
SCIENCE publication
REPORT SEYCHELLES
trends in SADC countries,
20052014

1.20
Average citation rate, 20082012, for the four countries
with the most output: South Africa, Tanzania, Malawi
and Zimbabwe; the G20 average is 1.02

SWAZILAND
Output from Malawi and Mozambique has
almost tripled since 2005 LESOTHO

10 000
10 000
South Africa 9 309
South Africa 9 309

8 000
8 000

6 000
6 000

4 235
4 000
4 2352005 2006 2007 2008 2009 2010 2011 2012 2013 2014
4 000
800
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014Tanzania 770
800
700 Tanzania 770

700
600
600
500
500
400
Malawi 322
400 323
300 Malawi 322310
Zimbabwe
323 Zambia 245310
Zimbabwe
300 Botswana 210
200 Zambia 245
173 Madagascar 188
116 Botswana 210
200 Mozambique158
100 173
114 Madagascar 188
116
112
114
96 Mozambique158
100 112
55
0 96
55
0

Strong
150 growth in Angola and the Democratic Republic of Congo
150 Namibia 139
Namibia 139
120
Congo,
120 Dem. Rep 114
Congo,
Dem. Rep 114
90 Mauritius 89
90 80 Mauritius 89
80
60
60 49
Angola 45
49
30 Angola 45 34
Seychelles
22
21 Seychelles 25
Swaziland 34
30 17
22 Lesotho 1625
Swaziland
12
21
5
17 Lesotho 16
0 12
52005 2006 2007 2008 2009 2010 2011 2012 2013 2014
0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

544
 Life sciences and geosciences dominate Southern Africa
Cumulative totals by field, 20082014
2 1
Angola 2 48 8 8 38 1 61 11
9
Botswana 58 1 298 76 7 41 140 62 162 24 23 25
5 4
Congo, Dem. Rep. 17 192 16 6 50 1 216 5 9
Lesotho 15 23 7 1 11 7 4 22 9 7 1
18
Madagascar 58 524 29 17 102 13 171 1 188
3 23 39 5
Malawi 76 470 1 80 3 601
7 34
2
Mauritius 24 2 131 59 6 29 58 22 43 7 18
6
7
Mozambique 31 232 97 104 3 256 9
20
7 9 3
Namibia 13 77 194 3 16 125 6 69 16 3

Chapter 20
Seychelles 2 72 44 30 4 3
1 398 272
South Africa 1 863 13 696 4 329 386 3 655 5 022 1 714 8 758 470 3 424
749
1
Swaziland 17 69 10 1 10 17 9 26 9 9
3
41 5115
Tanzania 17 1 1 045
8
80 336 4 1 278 23 94
1 22 3
Zambia 29 423 3 14 61 478
12 37
2 12 5
Zimbabwe 173 534 9 21 161 13 318 19 34
Agriculture Astronomy Biological sciences Chemistry Computer science Engineering Geosciences

Mathematics Medical sciences Other life sciences Physics Psychology Social sciences

Seychelles and South Africa have the most publications per million inhabitants 364
Publications per million inhabitants, 2014

175

103
71
59
15 16 19 20 21
2 2 6 8 8
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ad

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South Africa is a key research partner for most SADC countries

Main foreign partners, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Angola Portugal (73) USA (34) Brazil (32) UK (31) Spain/France (26)
Botswana USA (367) South Africa (241) UK(139) Canada (58) Germany (51)
Congo, Dem. Rep. Belgium (286) USA (189) France (125) UK (77) Switzerland (65)
Lesotho South Africa (56) USA (34) UK (13) Switzerland (10) Australia (8)
Madagascar France (530) USA (401) UK (180) Germany (143) South Africa (78)
Malawi USA (739) UK (731) South Africa (314) Kenya /N.lands (129)
Mauritius UK (101) USA (80) France (44) India (43) South Africa (40)
Mozambique USA (239) Spain (193) South Africa (155) UK (138) Portugal (113)
Namibia South Africa (304) USA (184) Germany (177) UK (161) Australia (115)
Seychelles UK (69) USA (64) Switzerland (52) France (41) Australia (31)
South Africa USA (9 920) UK (7 160) Germany (4 089) Australia (3 448) France (3 445)
Swaziland South Africa (104) USA (59) UK (45) Switz./ Tanzania (12)
Tanzania USA (1 212) UK (1 129) Kenya (398) Switzerland (359) South Africa (350)
Zambia USA (673) UK (326) South Africa (243) Switzerland (101) Kenya (100)
Zimbabwe South Africa (526) USA (395) UK (371) Netherlands (132) Uganda (124)
Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

545
UNESCO SCIENCE REPORT

COUNTRY PROFILES There have been concerns over the environmental impact
of oil exploration and extraction, particularly the effect of
The following section will be analysing the viability of offshore drilling on the fishing industry. Combined with the
national innovation systems, in terms of their potential to uncertain sustainability of global oil prices and domestic
survive, grow and evolve. We shall be employing a broad stocks, not to mention the fact that the oil industry does not
national innovation systems approach to examining the generate significant local employment, this concern led the
interconnectedness of STI and development (Table 20.5). government to create a Sovereign Wealth Fund in 2012 to
invest profits from oil sales in the development of a number of
local industries, in an effort to diversify the countrys economy
ANGOLA and spread prosperity (AfDB, 2013).

Progress in higher education, despite Full data on R&D expenditure are unavailable but there are
governance issues few institutions performing research and the number of
Angola is considered as having a viable national innovation researchers is low. The countrys KEI and KI values are the
system (Table 20.5). The biggest obstacle to the countrys lowest among SADC countries. In 2011, the Ministry of Science
development prospects lies in governance. Angola ranks and Technology published the National Policy for Science,
poorly on the Corruption Perceptions Index (161st out of Technology and Innovation. The policy sets out to organize and
175) and Ibrahim Index of African Governance (44th out of develop the national STI system, identify funding mechanisms
52, see Table 19.1). A recent UNESCO study has identified a and to harness STI to sustainable development.
correlation between low scientific productivity and ineffective
governance (UNESCO, 2013). The prolonged civil war (19752002) not only left higher
education in a time warp but also caused many academics to
Angola has the advantage of being minimally reliant on donor emigrate. Since the end of the war, the number of universities
funding for its investment needs, being the second-largest has mushroomed from two (1998) to over 60 today with a
oil producer in Africa after Nigeria and one of SADCs fastest- student roll of more than 200000. In 2013, the government
growing economies (see Figure 19.1). It ranks in the top half launched a National Plan for Training Professionals. Moreover,
of SADC countries for GDP per capita and saw average annual in a bid to anchor higher education in its development efforts,
growth of almost 3% over the period 20082013. Angolas Angola is hosting the Centre of Excellence for Science Applied
income inequality is relatively low among SADC countries but to Sustainability, which was established in 2011 and received
it has a high poverty rate. It is deemed to have medium human its first intake of students in 2013. The centre plans to produce
development. 100 PhDs within a decade. The first of its kind in Africa, it
provides research and training on sustainable development
that is open to all Africans. The centre is located within the
Table 20.5: Status of national innovation systems in the
University of Agostinho Neto in Luanda (SARUA, 2012).
SADC region

Category
BOTSWANA
Fragile Democratic Republic of Congo, Lesotho,
Madagascar, Swaziland, Zimbabwe
Good governance
Viable Angola, Malawi, Mozambique, Namibia,
Along with Tanzania, Botswana has one of the
Seychelles, Tanzania, Zambia longest post-independence histories of political stability in
Africa. A multiparty democracy, it is deemed the continents
Evolving Botswana, Mauritius, South Africa best-performing country by the Corruption Perceptions Index
(31st out of 175) and ranks third in Africa in the Ibrahim Index
Note: National innovation systems can be analysed and categorized in terms
of African Governance (see Table 19.1). Real GDP per capita
of their potential to survive, grow and evolve. The assessment of viability is relatively high and growing but the country nevertheless
thresholds is a complex exercise beyond the scope of the present chapter. ranks second in the SADC for inequality and there is
The authors nevertheless propose the present set of three categories for a
preliminary classification of national innovation systems in the SADC region. widespread poverty (Table 20.1). Botswanas incidence of HIV
Fragile systems tend to be characterized by political instability, whether (18.5% of the population) is also among the highest in the
from external threats or internal political schisms. Viable systems encompass
thriving systems but also faltering ones, albeit in a context of political stability.
world, according to the Botswana AIDS Impact Survey of 2013.
In evolving systems, countries are mutating through the effects of policy and
their mutation may also affect the emerging regional system of innovation. Botswana is the worlds top producer of diamonds, in terms
Source: elaborated by authors of value. Despite being heavily reliant on the mining sector,
Botswana has escaped the resource curse to a large extent

546
 Southern Africa

by delinking public expenditure and revenue from the mining In addition, an education hub has been approved by the
sector. This revenue is invested in a savings fund to enable an Government Implementation Co-ordinating Office, with
anti-cyclical fiscal policy. Revenue from diamonds has been the objective of developing quality education and research
invested in public goods and infrastructure and the government training to make Botswana a regional centre of excellence and
has long established universal scholarship schemes which fully promote economic diversification and sustainable growth.
subsidize education at all levels (AfDB, 2013). High unemployment (18.4% in 2013, see Table 20.1) has been
linked to the mismatch between skills development and market
Even before the slump in international demand during the needs, together with slow private-sector growth. The Botswana

Chapter 20
global financial crisis of 20082009, diamond mining had Education Hub will be co-ordinating its activities with those
been contributing less to economic growth with each plan of the other five hubs in agriculture, innovation, transport,
period. This led the government to make diversifying the diamonds and health (UNESCO, 2013).
economy a priority of the Tenth National Development Plan
for 20092016. The government considers private-sector Botswana has two public and seven private universities. The
participation as being critical to the Tenth Plans success University of Botswana is primarily a teaching institution,
and enhancing the role of R&D as being the most effective whereas the newly established Botswana International
way of fuelling entrepreneurship and private-sector growth University of Science and Technology, which welcomed its first
(UNESCO, 2013). 267 students in September 2012, is R&D-based and determined
to raise the academic qualifications of staff. There has been
In 2010, the government published its Economic considerable progress in education over the past decade
Diversification Drive. A year later, it revised the Companies (SARUA, 2012). Scientific publications also increased from 133 to
Act to allow applicants to register their company without 210 between 2009 and 2014 (Figure 20.6).
the involvement of company secretaries, thereby reducing
business start-up costs. The government has also introduced The National Policy on Research, Science, Technology and
a points-based system to allow skilled expatriates to work in Innovation (2011) is accompanied by an implementation plan
Botswana (UNESCO, 2013). (2012). The policy sets the target of raising the GERD/GDP ratio
from 0.26% in 2012 to over 2% by 2016 (Republic of Botswana,
The centrepiece of the governments strategy is the 2011, p. 6). This target can only be reached within the specified
development of six innovation hubs. The first of these time frame by raising public spending on R&D. The policy has
was established in 2008 to foster the commercialization four main thrusts:
and diversification of agriculture. The second to be set up
was the Botswana Diamond Hub. Untilrecently, rough n Development of a co-ordinated and integrated approach to
diamondsaccounted for 70% of Botswanas exports.After STI planning and implementation;
these exports contracted during the global financial crisis
n Development of STI indicators, in accordance with the
of 20082009, the government decided to derive greater
guidelines of the OECDs Frascati and Oslo Manuals;
benefits from its diamond industry by renegotiating
agreements with multinational companies like De Beers in n The launch of regular participatory foresight exercises; and
2011 and setting up a Diamond Technology Park in Gaborone
n The strengthening of institutional structures responsible for
in 2009 as a hub for the local cutting and polishing of
policy monitoring and implementation.
diamonds, as well as the manufacture of diamond jewellery.
By 2012, the government had licensed 16 diamond polishing The 2011 policy is a revision of the countrys first Science and
and cutting companies (UNESCO, 2013). Technology Policy (1998). The 2011 policy has been consolidated
with the 2005 Botswana Research, Science and Technology Plan
Hubs are also being put in place for innovation and the (2005), following the recommendations of a review conducted
transport and health sectors. As of 2012, the Botswana by UNESCO in 2009. The main reason for the review was to align
Innovation Hubs governing bodies had approved and Botswanas policy with Vision 2016 outlined in the Tenth National
registered 17 entities that will operate in the park. These Development Plan. The review concluded that the same obstacles
include academic institutions like the University of Botswana to R&D persisted in 2009, implying that the 1998 policy had
and companies active in such diverse areas as custom design made little impact on job and wealth creation (UNESCO, 2013).
and the manufacture of drilling rigs, specialized mining
exploration technologies, diamond jewellery design and In 2013, Botswana initiated the development of a National
manufacturing, as well as ICT applications and software. By Climate Change Strategy and Action Plan. A climate change
2013, basic services had been installed on the 57-acre plot in policy will be developed first, followed by the strategy. The
Gaborone, such as water mains and electricity, and the site process will reportedly be highly consultative, with the
was ready for intensive development (UNESCO, 2013). participation of rural inhabitants.

547
UNESCO SCIENCE REPORT

DEMOCRATIC REPUBLIC LESOTHO

OF CONGO
A compact to develop the private sector
A new academy of science and technology and social services
The ongoing armed conflict in the Democratic In mid-2014, this mountainous kingdom with a population
Republic of Congo remains a major obstacle to the of two million experienced a political crisis after parliament
development of a national innovation system. The country was suspended, prompting an attempted military coup.
shows the lowest HDI and GDP per capita and the highest The SADC brokered a solution to the crisis which resulted in
poverty rate of any SADC member. The countrys dependence parliamentary elections being brought forward by two years
on donor funding is high and climbed steeply between 2007 to March 2015. The party of the outgoing prime minister was
and 2009. The country also scores poorly (40th) in the Ibrahim returned to power in what the SADC described as a free, fair
Index of African Governance (see Table 19.1). and credible election.

The Democratic Republic of Congo does not have a national According to national figures, 62.3 % of the population
STI policy. Scientific research capacity exists mainly in public lives below the national poverty line and unemployment is
universities and government-owned research institutes. high, at 25.4% With 23% of 1549 year-olds infected with
The Ministry of Scientific Research and Technology supports HIV,14 average life expectancy stands at less than 49 years.
five research organizations active in the fields of agriculture, Human development is low, with Lesotho ranking 158th out
nuclear energy, geology and mining, biomedicine, of 187 countries in 2012, despite having registered some
environment and conservation, as well as a geographical improvement since 2010 (Government of Lesotho and UNDP,
institute. 2014). GDP per capita grew by 18.7% over the period
20092013 (Table 20.2).
In 2012, the Academy for the Advancement of Science and
Technology for Innovation was established in Kinshasa, driven Three in four inhabitants live in rural areas and are dependent
by the community of researchers and financed by members on subsistence agriculture. Since agricultural productivity is
contributions, donations and legacies, with support from the low and only 10% of the land is arable, Lesotho relies heavily
Ministry of Scientific Research and Technology. Another sign on imports from South Africa. It also depends on its South
of the scientific communitys dynamism is the near-tripling of African neighbour for employment and for the purchase of its
its research output between 2008 and 2014 (Figure 20.6). main natural resource: water.

The Democratic Republic of Congo has a relatively large Within the country, the government remains the main
higher education sector, with a total of 36 publicly funded employer and greatest consumer, accounting for 39% of GDP
universities, 32 of which were established between 2009 in 2013. Lesothos largest private employer is the textile and
and 2012 (SARUA, 2012). There seems to be little interaction garment industry; approximately 36000 Basotho, mainly
between universities and industry and, to date, a single women, work in factories which produce garments for export
business incubator has been established in the country. to South Africa and the USA (see Figure 18.2). Diamond
mining has grown in recent years and may contribute 8.5% to
The Academic Instruction Act (2011) has replaced the GDP by 2015, according to current forecasts. Lesotho remains
former policy framework for higher education dating from extremely dependent on donor funding.
1982. Another influential document is Vision 2020, which
aims to develop a university curriculum attuned to national In 2007, Lesotho signed a six-year US$362.5 million
development priorities through three key strategies: the Millennium Challenge Account Compact to strengthen the
promotion of entrepreneurship, the development of health care system, develop the private sector and broaden
technical and vocational skills and the provision of the access to improved water supplies and sanitation. Thanks to
relevant human capital through improved teacher training. Lesothos strong performance and continued commitment
The Poverty Reduction Strategic Paper of 2005 had articulated to democratic principles and good governance, the country
the need for teacher training and better vocational and became eligible in December 2013 to apply for a second
technical skills and identified higher education as being compact15 funded by the Millennium Challenge Account. The
a central player in meeting national development needs process of compact development takes two years, so, if the
(AfDB et al., 2014). application is successful, the second compact will become
effective in 2017.

14. See: www.unaids.org/en/regionscountries/countries/lesotho

15. See: www.lmda.org.ls

548
 Southern Africa

Major obstacles to economic growth, private sector-led Anti-Corruption Day each year on 9 December. The theme in
entrepreneurship and poverty alleviation in Lesotho relate 2013 was Zero Corruption, 100% Development.
to the fact that the government has not managed to use its
resources efficiently to provide public services that encourage Madagascar has a low GERD/GDP ratio (0.11% in 2011).
high levels of private investment and entrepreneurship. R&D is spread across several research institutes which cover
agriculture, pharmaceuticals, oceanography, environment,
Much of STI policy still to be implemented veterinary sciences, nuclear energy, botany and zoology,
Lesothos basic R&D indicators depict a poorly developed STI among other areas. The country counts six public universities

Chapter 20
sub-sector with the lowest GERD/GDP ratio (0.01% in 2011) and three technical universities, eight national centres of
of any SADC country (Figure 20.3). The country has a single research and 55 privately funded universities and colleges.
public university, the National University of Lesotho (est. Enrolment has increased dramatically since 2005 and doctoral
1945) and a number of other public and private tertiary-level programmes are offered by 29 discipline-based schools or
institutions. The private establishments partly compensate for departments within both public and private universities.
the limited capacity of the public sector to satisfy enrolment
needs. Clearly, public resources need to be better utilized at The government has identified higher education as a major
all levels, if STI is to be harnessed to meeting the countrys agent of national development. For example, Challenge 5 of
development needs. the Madagascar Action Plan 20072012 identifies the need to
transform higher education. Its specific goals are to:
The National Science and Technology Policy for 20062011
envisioned raising government funding of R&D to 1% of the n ensure competitiveness, creativity and the employability
annual national budget and recommended establishing new of graduates;
institutions, including the Lesotho Advisory Commission
n foster research and innovation;
on Science and Technology to manage S&T policy
implementation and the Lesotho Innovation Trust Fund to n offer diversified courses to meet national socio-economic
mobilize funding for STI. The Department of Science and needs;
Technology located in the Ministry of Communications,
n improve the governance of public universities; and
Science and Technology is responsible for promoting
and co-ordinating STI policy, according to the detailed n develop high-quality private universities and technical
implementation plan developed in 2010. The plan required institutes.
that measures be taken to ensure that all segments of society
benefit from STI, in keeping with the Basotho spirit of letsema. Between 2000 and 2011, the number of students enrolled in
However, to date, the policy remains largely unimplemented Madagascars public universities more than doubled from
and has not been revised. 22 166 to 49 395, according to the Ministry of Education
and Scientific Research. Nearly half attended the University
of Antananarivo. The great majority of PhD students were
MADAGASCAR enrolled in science and engineering disciplines (SARUA, 2012).
The student population at both public and private universities
A research policy oriented towards almost doubled between 2006 and 2012 to 90 235 but the
development number of PhD candidates actually shrank (Table 19.4).
In Madagascar, the coup dtat of 2009 resulted in international
sanctions which have curtailed donor funding. Today, the Madagascar does not have a national STI policy but it did
economy is faltering: GDP per capita dropped by 10.5% over adopt a national research policy in December 2013 to
the period 20082013. Madagascar has the second-highest promote innovation and the commercialization of research
reported poverty rate within the SADC after the Democratic results for socio-economic development. This policy is
Republic of Congo, even though it has a median ranking accompanied by five Master Plans of Research related to
within the community for human development. renewable energies, health and biodiversity, agriculture and
food security, environment and climate change. These plans
In terms of governance, Madagascar actually dropped from have been identified as priorities for R&D; other plans are
118th to 127th place out of 175 countries between 2013 and being elaborated in 20152016.
2014 in the Corruption Perceptions Index. All governance
indices identify political instability as an aggravating factor for Moreover, a Competitive Fund for Research and Innovation
corruption and vice versa and as being the main obstacle to is currently being set up. It is intended to strengthen the
creating an enabling and healthy business environment (IFC, relationship between research and socio-economic benefits
2013). Like many countries, Madagascar observes International and to throw bridges between public researchers and the

549
UNESCO SCIENCE REPORT

private sector, as outlined by the national research policy. The government has introduced a series of fiscal incentives
This fund is financed by the government, as well as by to attract foreign investors, including tax breaks. In 2013,
bilateral and multilateral partners. the Malawi Investment and Trade Centre put together an
investment portfolio spanning 20 companies in the countrys
In 2012, the Ministry of Higher Education and Scientific six major economic growth sectors, namely agriculture,
Research advocated a radical reform, emphasizing the manufacturing, energy (bio-energy, mobile electricity),
importance of improving the interface between scientific tourism (ecolodges) and infrastructure (wastewater services,
research and the countrys development goals. fibre optic cables, etc.) and mining (UNESCO, 2014a).

In 2013, the government adopted a National Export Strategy

MALAWI to diversify the countrys exports (Government of Malawi,
2013). Production facilities are to be established for a wide
Wooing investors to diversify the economy range of products16 within the three selected clusters: oil
Malawi has been a multiparty parliamentary seed products, sugar cane products and manufacturing. The
democracy since 1994. For the past 10 years, the economy government estimates that these three clusters have the
has grown annually by 5.6% on average, making it the sixth- potential to represent more than 50% of Malawis exports
fastest growing economy in the SADC. It is projected that, by 2027 (see Figure 18.2). In order to help companies adopt
between 2015 and 2019, annual growth in real GDP will innovative practices and technologies, the strategy makes
range from 6% to 5% (IMF, 2014). Malawis ratio of donor provision for greater access to the outcome of international
funding to capital formation rose considerably over the research and better information about available technologies;
period 20072012. At the same time, its attempts to diversify it also helps companies to obtain grants to invest in such
the agriculture sector and move up the global value chain technologies from sources such as the countrys Export
have been seriously constrained by poor infrastructure, an Development Fund and the Malawian Innovation Challenge
inadequately trained work force and a weak business climate Fund (Box 20.2) [UNESCO, 2014a].
(AfDB et al., 2014).
Productive scientists, few university places
Malawi has one of the lowest levels of human development Despite being one of the poorest countries in the world,
in the SADC (see Tables 19.1 and 20.2) but it is also one of Malawi devoted 1.06% of GDP to GERD in 2010, according to a
three African countries that are making especially impressive survey by the Department of Science and Technology, one of
progress for several Millennium Development Goals, along the highest ratios in Africa. Also noteworthy is that Malawian
with Gambia and Rwanda, including with regard to primary scientists publish more in mainstream journals relative to
school net enrolment (83% in 2009) and gender parity, which GDP than any other country of a similar population size
has been achieved at primary school level (UNESCO, 2014a). (UNESCO, 2014a).

The economy is heavily dependent on agriculture, which Enrolment in higher education struggles to keep up with
accounts for 27% of GDP (Figure 20.2) and 90% of export rapid population growth. Despite a slight improvement, only
revenue. The three most important export crops are tobacco, 0.81% of the age cohort was enrolled in university by 2011.
tea and sugar with the tobacco sector alone accounting Moreover, although the number of students choosing to
for half of exports (see Figure 18.2). Malawi spends more on study abroad increased by 56% between 1999 and 2012, their
agriculture (as a share of GDP) than any other African country proportion decreased from 26% to 18% over the same period
(see Table 19.2). Over 80% of the population is engaged in (UNESCO, 2014a).
subsistence farming, with manufacturing earning just 10.7%
of GDP (Figure 20.2). Moreover, most products are exported in Malawis first science and technology policy from 1991 was
a raw or semi-processed state. revised in 2002. Despite being approved, the 2002 policy
has not been fully implemented, largely due to the lack of
Malawi is conscious of the need to attract more FDI to foster an implementation plan and an unco-ordinated approach to
technology transfer, develop human capital and empower STI. This policy has been under revision in recent years, with
the private sector to drive economic growth. FDI has been UNESCO assistance, to re-align its focus and approaches with
growing since 2011, thanks to a government reform of the second Malawi Growth and Development Strategy (2013)
the financial management system and the adoption of an and with international instruments to which Malawi is a party
Economic Recovery Plan. In 2012, the majority of investors (UNESCO, 2014a).
came from China (46%) and the UK (46%), with most FDI
inflows going to infrastructure (62%) and the energy sector 16. including cooking oil, soaps, lubricants, paints, animal feed, fertilizers, snacks
(33%) [UNESCO, 2014a]. and cosmetics

550
 Southern Africa

The National Science and Technology Policy of 2002 envisaged n launch of the ICT Policy for Malawi in December 2013,
the establishment of a National Commission for Science and to drive the deployment of ICTs in all economic and
Technology to advise the government and other stakeholders productive sectors and improve ICT infrastructure in rural
on science and technology-led development. Although the areas, especially via the establishment of telecentres; and
Science and Technology Act of 200317 made provision for
n a review of secondary school curricula in 2013.
the creation of this commission, it only became operational
in 2011, with a secretariat resulting from the merger of the
Department of Science and Technology and the National
MAURITIUS
Research Council. The Secretariat of the National Commission

Chapter 20
for Science and Technology reviewed the current Strategic
Competing with South Africa as an
Plan for Science, Technology and Innovation (20112015) but,
investment hub
as of early 2015, the revised STI policy had not yet met with
Mauritius is a small island nation with 1.3 million inhabitants.
Cabinet approval (UNESCO, 2014a).
Unemployment is low and the country counts the second-
highest GDP per capita in the SADC; it grew by more than
Among the notable achievements stemming from the
17% over the period 20082013. Mauritius also ranks
implementation of national STI policies in recent years are the:
second-highest in the SADC region for human development
n establishment, in 2012, of the Malawi University of Science and has the third-best score in the Corruption Perceptions
and Technology and the Lilongwe University of Agriculture Index (47th out of 175), behind Botswana (31st) and
and Natural Resources (LUANAR18) to build STI capacity. Seychelles (43rd). In 2012, there were almost twice as
This brings the number of public universities to four, with many students enrolled in higher education as in 2006
the University of Malawi and Mzuzu University; (Table 19.4).

n improvement in biomedical research capacity through the

The economy is driven by tourism, textile manufacturing,
five-year Health Research Capacity Strengthening Initiative
sugar and financial services. There has been a rapid
(20082013) awarding research grants and competitive
diversification of the economic base towards ICTs,
scholarships at PhD, masters and first degree levels,
seafood, hospitality, property development, health care,
supported by the UK Wellcome Trust and DfID;
renewable energy, education and training, which have
n strides made in conducting cotton confined field trials, attracted both local and foreign investors. Mauritius
with support from the US Program for Biosafety Systems, status as an investment hub for new businesses has also
Monsanto and LUANAR (see Box 18.2). provided significant opportunities for offshore companies.
This diversification is largely due to the governments
n introduction of ethanol fuel as an alternative fuel to petrol
determination to move the economy up the value chain
and the adoption of ethanol technology;
towards an economy based on high skills and technology.
The strategy has worked: in 2013, Mauritius overtook
17. A Science and Technology Fund was also established by the Science and South Africa to become the most competitive economy in
Technology Act of 2003 to finance research and studies through government sub-Saharan Africa.
grants and loans; it was not yet operational by 2014 (UNESCO, 2014b).
18. LUANAR was delinked from the University of Malawi in 2012.

Box 20.2: The Malawi Innovation Challenge Fund

The Malawi Innovation Challenge Fund National Export Strategy: oil seed The first round of competitive bidding
(MICF) is a new competitive facility, products, sugar cane products and opened in April 2014.
through which businesses in Malawis manufacturing.
agricultural and manufacturing The fund is endowed with US$ 8
sectors can apply for grant funding The MICF provides a matching grant million from the United Nations
for innovative projects with potential of up to 50% to innovative business Development Programme and the
for making a strong social impact and projects to help absorb some of UK Department for International
helping the country to diversify its the commercial risk in triggering Development.
narrow range of exports. innovation. This support should
speed up the implementation of new
The fund is aligned on the three business models and/or the adoption Source: AfDB press release and personal
clusters selected within the countrys of technologies. communication; authors

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UNESCO SCIENCE REPORT

To a large extent, the radical transformation of the Mauritian n instituting fiscal measures to attract private investment
economy has been informed by a policy document entitled in R&D.
Maurice Ile Durable (Mauritius: Sustainable Island), adopted in
In response to these recommendations, the government took
2011. This document anchors economic development firmly
a series of measures to boost R&D, including the:
in sustainability and has five interlinking foci: energy, the
environment, education, employment and equity. Mauritius n provision, in 2014, of Rs 100 million (circa US$3 million)
passed an Energy Efficiency Act in 2011 and has adopted to fund R&D, including through the Public Sector
an Energy Strategy for 2011 2025 which stresses sustainable Collaborative Research Scheme and the Small Business
building design and transportation, together with the Innovation Scheme, operated by the Mauritius Research
development of renewable energy sources such as solar, Council; the main project areas are: biomedicine;
geothermal and hydropower. biotechnology; energy and energy efficiency; ICTs; land
and land use; manufacturing technology; science and
Mauritius has been a central player in the implementation technology education; social and economic research; and
of the Programme of Action for the Sustainable Development water resources;
of Small Island Developing States, having hosted one of the
n amendment, in 2014, to the Mauritius Research Council Act
three landmark meetings19 which are driving this programme,
to provide for a National Research and Innovation Fund;
in 2005. Mauritius led a call, in 2014, for the establishment
of a UNESCO centre of excellence on ocean science n establishment of the International Institute of Technology
and innovation for capacity-building and research, as a Research Academy, which moved to its main campus
contribution to the 2030 Agenda for Sustainable Development. in 2015, through a memorandum of understanding
The call was endorsed by the Mauritius Ministerial Declaration between the Indian Institute of Technology in India and
adopted by Mauritius, Comoros, Madagascar and the the Mauritius Research Council, in collaboration with the
Seychelles at the conclusion of a high-level meeting on University of Mauritius; and, lastly,
strengthening STI policy and governance for the sustainable
n provision, in 2013, for the recruitment of 30 experienced
development of small island developing states and their
international lecturers for the countrys two universities
resilience to climate change.
the University of Mauritius and the University of Technology20
to foster greater research and improve teaching standards.
A series of moves to boost R&D
In 2012, Mauritius devoted 0.18% of GDP to GERD
The Mauritius Research Council is the main co-ordinating
(Figure 20.3). About 85% of public R&D expenditure is
agency of the Ministry of Tertiary Education, Science, Research
invested in S&T-related fields. The sectors with the highest
and Technology. The ministry is currently overseeing the
expenditure (together accounting for about 20% of total
formulation of the countrys first National Policy and Strategy
spending on S&T) are agriculture, environment and ocean/
on Science, Technology and Innovation covering the period
marine sciences, followed by health and ICTs, which account
from 2014 to 2025. The main foci of the draft policy are:
for about 47% of total spending. Mauritius has set itself the
target of increasing public expenditure on R&D to 1% of GDP
n human competencies in the STI sector;
by 2025 and expects the private sector to contribute at least
50% of national expenditure on R&D by this date. n the role of the public research sector;

n the link between science and society;

In 2009, the Mauritius Research Council held a series of
consultations. In addition to its advisory role, this government n technology absorption and innovation;
agency co-ordinates and funds research to give industries
n investment in research and innovation;
the edge in innovation. The consultations produced the
following proposals for: n meeting challenges through enhanced research;

n promotion of African STI initiatives; and

n raising private spending on R&D;
n governance and sustainability.
n strengthening intellectual property laws;
Some challenges remain for policy formation; there is a need
n promoting market-driven research;
to bring coherence and a long-term vision to the forefront
n consolidating the linkages between researchers in the of STI governance and to bridge the gap between public
public sector and industry; and research institutions and private businesses.

19. First adopted in Barbados in 1994, this programme was updated in Mauritius in 20. Three other institutions offer higher education: the Mauritius Institute of
2005 then again in Samoa in 2014. Education, the Mahatma Gandhi Institute and the Mauritius College of the Air.

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 Southern Africa

MOZAMBIQUE The ultimate aim is to use this mapping exercise as the basis
for drawing up a revised STI policy that could be applied to
An opportunity to accelerate development such critical areas as mitigating the consequences of climate
Mozambiques high growth rate over the past change; exploring new energy sources; generating innovation
decade (6.08.8% per year) dates from the start to foster social inclusion; promoting the sustainable
of aluminium and natural gas production in the 2000s, which management and conservation of freshwater, terrestrial
brought in substantial FDI. The countrys reliance on donor resources and biodiversity; and disaster resilience.
funding, while still high, decreased dramatically between 2007
and 2012. However, economic growth has not yet translated With its newfound political stability and income from

Chapter 20
into human development. Mozambique still ranks 179th out aluminium, gas and coal, Mozambique has an unprecedented
of 185 countries. Poverty is widespread. This situation is a opportunity to accelerate development and improve social
major obstacle to economic diversification, especially when welfare. To generate income in a sustainable way, however,
combined with high financial costs, poor infrastructure and wealth must be managed and transformed into assets that
an inhibitive regulatory framework (AfDB, 2013). Mozambique can continue to serve the countrys long-term interests.
also scores poorly on the Corruption Perceptions Index (119th
out of 175) and the Ibrahim Index of African Governance (see
Table 19.1). NAMIBIA

Neither the countrys Science and Technology Policy (2003), nor A need to diversify the economy
the Mozambique Science, Technology and Innovation Strategy, While Namibia is classified as a middle-income
approved in 2006 with a horizon of 10 years, has yet delivered country on the basis of its GDP per capita, its Gini coefficient
on its promises. The Strategy establishes a set of priorities to (see the glossary, p. 738) reveals one of the worlds highest
eradicate extreme poverty, harness economic growth and levels of inequality, despite a modest improvement since 2004.
improve the social well-being of all Mozambicans. It is being Namibia also suffers from an unemployment rate of 16.9 %
implemented in conjunction with international partners. (Table 20.1) and widespread poverty, with the majority of the
The GERD/GDP ratio (0.42% in 2010) for Mozambique places population surviving on subsistence agriculture. To this must
it in the middle range of SADC countries but the density of be added the impact of long periods of severe drought and
researchers is low: just 66 per million inhabitants in 2010 a high prevalence of HIV and AIDS. Namibia also ranks 128th
(head count), excluding the business sector. out of 186 countries for human development. These indicators
point to the formidable obstacles that Namibia must overcome,
To foster implementation of the Science and Technology Policy, if it is to shake off its over-reliance on mining (see Figure 18.2),
Mozambique created a National Research Fund in 2006 that is which only employs about 3% of the population.
operated by the Ministry of Science and Technology. Funding
goes to numerous projects for scientific research, innovation Namibias long-term development strategy is guided by
and technology transfer in the following areas: agriculture, Vision 2030, a planning document adopted in 2004 to reduce
education, energy, health, water, mineral resources, inequalities and move the nation significantly up the scale
environmental sustainability, fisheries and marine sciences of human development, to be ranked high among the
and botanical sciences. developed countries21 in the world. Five driving forces were
identified to realize the objectives of Vision 2030: education,
The country has 16 research institutions, in addition to several science and technology; health and development; sustainable
national research councils active in the fields of water, energy, agriculture; peace and social justice; and gender equality.
agriculture, medicine and ethno-botany, among others. The
National Academy of Science dates from 2009. In 2010, Namibia still had a low GERD/GDP ratio (0.14%) but it
did count 343 researchers (head count) per million inhabitants,
Mozambique has 26 institutions of higher education, half of one of the regions better ratios. The countrys KEI and KI
which are privately run. However, public institutions account values are also quite high, even though Namibia dropped nine
for the majority of students, particularly Eduardo Mondlane places between 2000 and 2012. Two factors no doubt explain
University and Universidade Pedagogica. Demand for higher this relatively good performance: Namibias market-friendly
education is growing rapidly: there were four times more environment, which benefits from its proximity to South
students enrolled in 2012 (124 000) than in 2005 (see Table 19.4). Africa; and its two reputable universities which have produced
a critical mass of skilled workers over the past two decades, as
Like several of its neighbours, Mozambique is currently well as a small, well-trained professional and managerial class.
mapping its science system, in partnership with UNESCOs
Global Observatory of STI Policy Instruments (GOSPIN). 21. See: www.gov.na/vision-2030

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UNESCO SCIENCE REPORT

Two reputable universities of policy, human resource development and the related
Taken together, the Namibia University of Science and institutional framework.
Technology (formerly the Polytechnic of Namibia) and the
University of Namibia account for 93% of student enrolment, In 2013, UNESCO helped Namibia to develop a manual
the remainder being assured by two private institutions. for operationalizing the National Research, Science and
Technology Fund. The first disbursement from the fund was
The University of Namibia boasts a student population of made jointly with South Africa in March 2014 (30 projects for
about 19000 and a network of 12 satellite campuses and a value of N$ 3 million, circa US$ 253000). This was followed
9 regional centres nationwide. It has Faculties of: Agriculture by a first national disbursement in May 2014 (27 projects for
and Natural Resources; Economics and Management Science; N$ 4 million). The funds from the second and third national
Education; Engineering; Health Sciences; Humanities and calls for research proposals are due to be disbursed in May
Social Sciences; Law; and Natural Sciences. The university 2015. The grant recipients thus far are the University of
offers 12 PhD programmes and has so far awarded 122 PhDs. Namibia, Polytechnic of Namibia, Ministry of Fisheries and
It has put incentives in place to encourage researchers to Marine Resources, Ministry of Education and an NGO, the
publish their findings. Desert Research Foundation of Namibia.

The Namibia University of Science and Technology strives to Namibia is also participating in UNESCOs GOSPIN
enhance innovation, entrepreneurship and competitiveness programme, in order to put a reliable information system in
in Namibia and the SADC region. It counts seven schools/ place to monitor STI policy implementation.
faculties and 10 centres of excellence, which served a student
body of over 12000 in 2014. A Cooperative Education Unit
(CEU) was established in 2010, in order to give graduates the SEYCHELLES
skills required by industry. The CEU collaborates with industry
in the design of its curricula and co-ordinates a programme A first university and national STI institute
through which students compete for an internship or Having recovered from virtual economic
industrial placement to put what they have learned into collapse in 20072008, Seychelles is now a rising star (AfDB
practice. et al., 2014). It comes out on top in the SADC region for
GDP per capita, human development and unemployment
A three-year programme to boast STI and poverty levels. It is also one of the top-scorers for good
Within the Ministry of Education, it is the Directorate for governance, low corruption and general security. Despite
Research, Science and Technology under the Department of these achievements, not everyone in this small island state
Tertiary Education, Science and Technology which ensures is seeing the benefits. The economy is primarily based on
co-ordination of science. In 2013, Namibia established a tourism, agriculture and fisheries but economic growth has
National Commission on Research, Science and Technology, been led almost exclusively by the tourism sector. As a result,
pursuant to the Research, Science and Technology Act (2004). Seychelles has the greatest level of inequality of any SADC
The commission is mandated to implement the Biosafety Act country.
of 2006. It has also been entrusted with developing a three-
year National Research, Science, Technology and Innovation There are no recent R&D data for Seychelles. In 2005, the
Programme, with UNESCOs22 assistance. The programme country had a low GERD/GDP ratio (0.30%) and, given its
stems from the directives of the National Policy on Research, population of 93000, only a handful of researchers: 14. The
Science and Technology, adopted in 1999. main research institute is the Seychelles Centre for Marine
Research and Technology (est. 1996).
A national consultative workshop was held in March 2014
to pave the way towards an implementation strategy for Seychelles first university dates only from 2009; it welcomed
the National Research, Science, Technology and Innovation its first 100 students in 2012 (see Table 19.4). Though still in
Programme. Participating researchers, innovators and its infancy, the University of Seychelles is developing rapidly.
entrepreneurs assisted in identifying national priority fields, It has already established strong collaboration with other
taking into consideration Namibias Industrial Policy (2013), universities in the SADC region (SARUA, 2012).
its current economic blueprint, the Fourth National
Development Plan (20122017) and Vision 2030. The Parliament passed a bill creating the countrys first National
programme will seek to create an environment more Institute of Science, Technology and Innovation in 2014. In
conducive to research and innovation in the essential areas January 2015, the government upgraded the Department of
Entrepreneurship Development and Business Innovation to
22. See: http://tinyurl.com/unesco-org-policy-namibia ministry status, adding the portfolio of investment.

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 Southern Africa

SOUTH AFRICA (formerly pharmaceuticals); space; energy security; global

change; and understanding of social dynamics. Among the
Outward FDI flows have doubled achievements so far, we could cite:
South Africa is currently Africas second-largest
n the decision in 2012 to host the 1.5 billion project to
economy after Nigeria. Despite having a population of only
build the worlds largest radio telescope in South Africa
53 million, it generates about one-quarter of African GDP. It
and Australasia; this is bringing significant opportunities
is classified as a middle-income country and has a relatively
for research collaboration (see Box 20.3), attracting leading
solid national innovation system. With its regional political
astronomers and researchers at all stages of their careers
influence and growing economic presence in Africa, the

Chapter 20
to work in Africa; it is worth noting that South African
country has the potential to drive economic growth across
astronomers co-authored 89% of their publications with
the continent. For the moment, its weight is felt most by its
foreign collaborators during 20082014;
immediate SADC neighbours, through the development of
trading partnerships, political agreements, business linkages n the National Bio-economy Strategy, approved in 2013, which
and movements of people. positions bio-innovation as an essential tool for reaching the
countrys industrial and social development goals;
South Africa is the main destination for FDI inflows to the SADC
n within the DST, a reorganization of some programmes in
region, attracting about 45% of the regions FDI in 2013, a slight
the past five years to give greater emphasis to innovation
decrease from 48% in 2008. South Africa is also establishing itself
that addresses social challenges; the Socio-Economic
as a main investor in the region: over the same six-year period, its
Innovation Partnerships programme within DST is
outward flows of FDI almost doubled to US$5.6 billion, powered
responsible for the downstream innovation chain, through
by investment in telecommunications, mining and retail in
sub-programmes on innovation for inclusive development
mostly neighbouring countries. In 2012, South Africa invested
and the green economy, among others;
in more new FDI projects in Africa than any other country in
the world. Moreover, among emerging economies, it is the n the launch of the DST Technology Top 100 internship
second-biggest investor in least developed countries after programme in 2012, which places unemployed science,
India, according to the United Nations Conference on Trade technology and engineering graduates in high-tech
and Development. companies; in 2013 and 2014, one in four of the 105 interns
were offered permanent employment with their host
Through the Department of Science and Technology, South companies at the end of the one-year programme; in 2015,
Africa has entered into 21 formal bilateral agreements with a further 65 candidates were placed with companies in the
other African countries in science and technology since 1997, Gauteng and Western Cape Provinces; it is planned to expand
most recently with Ethiopia and Sudan in 2014 (Table 20.6). the network of private firms involved in the programme.
Within three-year joint implementation plans which define
spheres of common interest, co-operation tends to take the A fund to boost sagging private sector R&D
form of joint research calls and capacity-building through South Africas GERD/GDP ratio (0.73% in 2012) has dropped from
information- and infrastructure-sharing, workshops, student a high of 0.89% in 2008. This has been mostly due to a sharp drop
exchanges, development assistance and so on. in private sector R&D, in spite of rising public spending on R&D.
However, South Africas research output
A negative trade balance in high-tech still comprises about 85% of Southern Africas total output
South Africa trades mainly with Botswana (21%), Swaziland, (Lan et al., 2014).
Zambia and Zimbabwe (12% each) and Angola (10%). This
contrasts with the main destinations for South African FDI, To help reach the target of a GERD/GDP ratio of at least 1%,
which are Mauritius (44 %), Tanzania (12%) and Mozambique the Sector-Specific Innovation Fund was launched in 2013.
(7%). Table 20.7 shows that South Africa has a consistently This fund targets specific industrial sectors, which partner
high negative trade balance in high-tech products, along with the government through the DST to support the
with the rest of the SADC economies, making it a peripheral industrys specific research, development and innovation
national innovation system in the global arena. needs, through a co-funding arrangement. This funding
instrument also addresses one of the recommendations from
STI to help diversify the economy by 2030 the 2012 Ministerial Review Report, which called for greater
The vision of the National Development Plan (2012) is for interaction between DST and the private sector.
South Africa to become a diversified economy firmly
grounded in STI by 2030. This transition is guided by the The R&D tax incentive programme introduced in 2007 and
Ten-Year Innovation Plan (20082018) and its five amended in 2012 gives a 150% tax deduction for expenditure
grand challenges: biotechnology and the bio-economy on eligible scientific or technological R&D undertaken by

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UNESCO SCIENCE REPORT

Table 20.6: South Africas bilateral scientific co-operation in Africa, 2015

Nuclear medical technology

Human and social sciences

Agriculture /Agro-processing

Indigenous knowledge

Material sciences and

Water management
Human development

Intellectual property

Environment and
Laser technology

Mining / Geology

nanotechnology
climatechange

Basic sciences
Mathematics
Biotechnology

Aeronautics
Biosciences
STI policy

Energy
Joint co-operation

Space

ICTs
agreement (signed)
Algeria (1998) l l l l

Angola (2008) l

Botswana (2005)* l l l l l l l l

Egypt (1997) l l l l

Ethiopia (2014)
Ghana (2012)* l l l

Kenya (2004)* l l l

Lesotho (2005) l

Malawi (2007) l l l l l

Mali (2006)
Mozambique (2006)* l l l l

Namibia (2005)* l l l l l

Nigeria (2001) l l l l

Rwanda (2009) l l l l l

Senegal (2009)
Sudan (2014)
Tanzania (2011) l l l l l

Tunisia (2010) l l l

Uganda (2009) l l l l l l

Zambia (2007)* l l l l

Zimbabwe (2007) l l l l l

*partner of the African Very Long Baseline Interferometry Network and of the Square Kilometre Array
Source: compiled by authors via the DST

enterprises or individuals. The 2012 amendment requires vouchers enabling them to access services and/or resources
companies to apply for pre-approval of their R&D projects that they could not otherwise afford, and a Seed Fund (2012)
in order to qualify. The programme has grown over the to assist universities in bridging financing requirements, in
past eight years and has provided tax reductions to nearly order for them to translate university research output into
400 claimants, nearly half of which are small and medium- ideas that can be commercialized.
sized enterprises. The programme has managed to leverage
more than ten times the value in R&D from a R 3.2 billion The Technology and Human Resources for Industry (THRIP)
government contribution to this incentive. scheme matches investment by industry in projects where
researchers from public institutions, including universities,
The earlier DST Innovation Fund (1999) has been transformed serve as project leaders and students are trained through
into a range of funding instruments grouped under the projects in industry. THRIP was established in 1994 and was
Technology Innovation programme administered by the the object of an external evaluation in 2013; this was followed
Technology Innovation Agency, which has been operative by a review of some THRIP processes that has been dubbed
since 2010. Some of the most recently launched funds include the re-invigoration of THRIP. This review led to a series of new
the Youth Technology Innovation Fund (2012) targeting measures, including the provision of student bursaries for the
innovators between the ages of 18 and 30 who receive first time and the introduction of a first-come-first-served rule

556
 Southern Africa

to accelerate the uptake of awarded funds. From 2010 most recent is the Centre of Excellence in Scientometrics and
to 2014, THRIP supported an average of 1594 students and Science, Technology and Innovation Policy, the work of which
954 researchers per year, showing steady growth in the is expected to lead to better decision-making in STI policy and
numbers of black and female researchers over the years. consolidate related national information systems.

An older scheme which has helped to increase the number The National Development Plan (2012) has fixed a target of
of black and female researchers is the South African Research producing 100 000 PhDs by 2030 to improve the countrys
Chairs Initiative (SARChI) established in 2006. SARChI was capacity for research and innovation. The DST has significantly
externally reviewed in 2012 and, by 2014, had awarded a increased its funding for postgraduate students. By 2014,

Chapter 20
total of 157 chairs. The Centres of Excellence funding scheme 34 PhDs were being produced per million inhabitants but this
launched in 2004 currently has a network of 15 research is still below the target of 100 PhDs per million inhabitants
centres, five of which were established in 2014. One of the fixed by the Plan.

Table 20.7: International trade by the SADC in high-tech products, 20082013, in US$ millions

TOTAL
Import Export
2008 2009 2010 2011 2012 2013 2008 2009 2010 2011 2012 2013
Botswana 251.7 352.9 248.0 274.1 303.7 21.1 24.4 15.1 44.6 62.7
Lesotho 16.6 28.4 0.4 1.6
Madagascar 254.1 151.8 177.0 141.6 140.2 7.4 10.7 5.5 52.6 2.0 ...
Malawi 112.5 148.9 208.3 285.4 152.4 1.7 3.4 2.0 22.7 11.0
Mauritius 284.3 327.8 256.6 255.2 344.8 343.5 101.1 21.9 6.2 9.8 10.6 6.3
Mozambique 167.3 148.6 125.4 134.1 189.2 1 409.2 6.1 23.8 0.5 71.2 104.7 82.1
Namibia 199.5 403.8 334.9 401.9 354.6 378.9 22.0 42.8 49.3 46.6 108.0 71.7
Seychelles 32.1 0.2
South Africa 10 480.4 7 890.5 10 190.3 11 898.9 10 602.2 11 170.9 2 056.3 1 453.3 1 515.6 2 027.3 2 089.1 2 568.6
Tanzania 509.1 532.2 517.4 901.7 698.4 741.6 11.8 18.1 27.4 43.0 98.9 50.0
Zambia 209.7 181.9 236.4 354.9 426.7 371.2 8.8 5.9 4.6 222.0 55.2 40.0
Zimbabwe 116.8 201.1 393.3 343.1 354.2 447.3 80.0 7.3 9.2 9.7 20.4 18.5
Source: World Bank

Box 20.3: South Africa wins bid to host radio telescope

In 2012, South Africa and Australia about 400 grants for studies in astronomy The development of qualified
won a bid to build the worlds largest and engineering from undergraduate to personnel and researchers is a
radio telescope, the Square Kilometre postdoctoral level, while also investing critical prerequisite for the successful
Array (SKA), at a cost of 1.5 billion. in training programmes for technicians. implementation of the SKA project
As a result, South Africa will work with Astronomy courses are being taught as a in South Africa and the construction
eight African partners, six of them result of the SKA Africa project in Kenya, of new satellites under the ARMC
from within the SADC: Botswana, Madagascar, Mauritius and Mozambique. agreement. These initiatives will
Madagascar, Mauritius, Mozambique, develop Africas technological and
Namibia and Zambia. The other two This work is complemented by an human capacities in Earth observation,
are Ghana and Kenya. agreement signed in 2009 between for use in urban planning, land cover
Algeria, Kenya, Nigeria and South Africa mapping, disaster prediction and
South Africa is also co-operating with for the construction of three low-Earth- monitoring, water management, oil
other SADC countries in skills training, orbiting satellites within the African and gas pipeline monitoring and so on.
through the African SKA Human Resource Management Constellation
Capital Development Programme, (ARMC). South Africa will build at least
which has been operating since 2005. one out of the three, construction of
In 2012, the programme awarded which (ZA-ARMC1) began in 2013. Source: compiled by the authors

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UNESCO SCIENCE REPORT

A popular destination for scientists and students SWAZILAND

Within the SADC, South Africa hosts the largest number
of leading scientists, consistent with its leading role in STI development undermined by social
African science. Southern Africa is known for its unhindered problems
circulation of scientific personnel and research mobility, The Kingdom of Swaziland is the second-smallest country in
with South Africa playing an important role as a hub for Southern Africa after the Seychelles, with a population of less
higher education and research in the region. Nearly half than 1.3 million. In spite of being classified as a lower middle-
of the researchers in South Africa (49%) are transitory, income country, Swaziland shares characteristics with Africas
spending fewer than two years in the countrys research low-income countries. About 78% of the population derives
centres (Lan et al., 2014). its livelihood from subsistence agriculture and 63% lives
in poverty that is exacerbated by regular food shortages.
South African universities attracted 61 000 foreign African Unemployment has remained high over the past decade, at
students in 2009, providing potential human capital for about 23% (Figure 20.1). There is also a high prevalence of
South Africa and facilitating a greater integration with HIV and AIDS: 26% among the adult population.
the rest of the continent (UIS, 2012). Students from SADC
countries pay the same fees as local students. This is in The ratio of donor funding to capital formation is high
accordance with the SADC Protocol on Education and but fell considerably over 20072009. Economic growth
Training and effectively means that the South African has been sluggish for over a decade, hovering between
taxpayer subsidizes their studies. Other initiatives, such 1.3% and a high of 3.5% in 2007. In 2011, the country even
as the African Institute for Mathematical Sciences (AIMS), slipped into recession (-0.7%). GDP per capita is nevertheless
further encourage the circulation of students, scientists and situated at the higher end of the SADC scale (Table 20.1).
researchers in the region and beyond (Box 20.4). The economy is closely tied to that of neighbouring South

Box 20.4: A network of African Institutes for Mathematical Sciences

The African Institute for Mathematical Cape Town, Stellenbosch and Western AIMS is the brainchild of South African
Sciences (AIMS) is a pan-African network Cape (South Africa). cosmologist Neil Turok, whose family
of centres of excellence for postgraduate had been exiled for supporting
education, research and outreach in In addition to its academic programmes, Nelson Mandela during the Apartheid
mathematical sciences. The first AIMS AIMS South Africa has a research centre years. Knowing Mandelas passion
institute was founded in Cape Town in interdisciplinary areas like cosmology, for education, Turok had no difficulty
(South Africa) in 2003. computing and finance. The institute also persuading him to endorse the project.
directs the AIMS Schools Enrichment Centre
Four other institutes have since been for primary and secondary school teachers, After AIMS South Africa won the TED
set up in Senegal (2011), Ghana (2012), which also organizes public lectures, Prize in 2008, Turok and his partners
Cameroon (2013) and Tanzania (2014). workshops and master classes and supports developed the AIMS Next Einstein
That in Senegal proposes courses in both maths clubs in schools across the country. Initiative, the goal of which is to build
French and English. So far, these five 15 centres of excellence across Africa by
institutes have produced 731 graduates, The other AIMS institutes also provide 2023. The Government of Canada made
one-third of whom are women. community services. AIMS Senegal has a US$20 million investment in 2010,
developed an innovative teaching module through its International Development
The institutes teach both basic and for secondary school maths teachers and Research Centre, and numerous
applied mathematics, covering a large has partnered with local businesses to governments in Africa and Europe have
range of mathematical applications raise funds for the creation of a national followed suit.
in physics (including astrophysics and contest on computer applications and
cosmology), quantitative biology, mathematical modelling, with a focus on The plan for a vast network is gathering
bioinformatics, scientific computing, finding development-oriented solutions. momentum. In October 2015, a forum is
finance, agriculture modelling and so on. Scholars and lecturers from AIMS Ghana taking place in Dakar under the auspices
have equipped teachers at Biriwa Junior of UNESCOs International Basic Sciences
The institute in Cape Town was set High School with an innovative teaching Programme to take the project to the
up with the support of six universities module. AIMS Cameroon is planning to next stage.
which continue to contribute to the launch its own research centre to host
academic programme: Cambridge and resident and visiting researchers from Source: www.nexteinstein.org; Juste Jean-Paul Ngome
Oxford (UK), Paris Sud XI (France) and universities in Cameroon and beyond. Abiaga, UNESCO

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 Southern Africa

Africa for trade and its currency is pegged on the South is responsible for finalizing the National Science, Technology
African rand. and Innovation Policy. A National Commission for Research,
Science and Technology is also being established to replace
Nine out of ten adults are literate, one of the continents the existing National Research Council.
highest ratios. By 2010, the Orphaned and Vulnerable
Childrens Initiative launched in 2002 and the State Funded Funding instruments such as venture capital and tax relief for
Primary Education Programme (20092013) had together R&D are non-existent in Swaziland, as donors have tended to
contributed to a 10% increase in primary school enrolment, focus on providing aid. The draft STI policy acknowledges the
which stood at 86%. need to develop a diverse range of financial instruments and

Chapter 20
funding bodies to stimulate innovation.
Swaziland has four universities and five colleges. However, only
the University of Swaziland can claim to have research centres
and institutes, such as the Swaziland Institute for Research in UNITED REPUBLIC OF TANZANIA
Traditional Medicine, Medicinal and Indigenous Food Plants.
Consistently high economic growth
In 2012, public expenditure on education accounted for 7.8% Tanzania has been a multiparty parliamentary
of GDP. Although only 13% of this went to higher education, democracy since the early 1990s. In common with much
this still represents a healthy investment of 1% of GDP (see of Africa, growing indebtedness and falling commodity
Table 19.2). Although education remains the top priority, prices forced the country to adopt a series of IMF structural
government spending on education has since become a adjustment programmes from 1986 until the early 2000s.
casualty of the poor economic situation. The countrys poor economic performance over this period
prompted a progressive abandonment of neoliberalism.
Enrolment in higher education remains low but is progressing: Economic indicators have since picked up, with growth
there were 8 057 tertiary students in 2013, up from 5 692 seven averaging 6.07.8% per year since 2001. Though still high,
years earlier (see Table 19.4). One key development has been donor funding dropped substantially between 2007 and
the introduction of PhD programmes in recent years, including 2012. As the economy becomes less reliant on donor funding,
one in agriculture at the University of Swaziland since 2012. it may gradually diversify.
Some 234 students were enrolled in PhD programmes in 2013.
So far, impressive growth has not significantly altered
A survey conducted by the UNESCO Windhoek Office in the countrys economic structure, which is still based on
2008 found that the University of Swaziland had the highest agriculture. The latter accounted for 34% of GDP in 2013,
concentration of researchers, followed by the Energy compared to 7% for manufacturing. GDP per capita remains
Department of the Ministry of Natural Resources and Energy low by SADC standards but nevertheless progressed between
and the Agricultural Research Division of the Ministry of 2009 and 2013 (Table 20.2). Tanzania is also a member of the
Agriculture. Some industries and public enterprises also East African Community (see Chapter 19), with which its trade
engage in sporadic research (SARUA, 2009). Swaziland scores more than doubled between 2008 and 2012 (AfDB et al., 2014).
highly on the KEI and KI index, despite having dropped nine
places between 2000 and 2012. Tanzanias low level of human development has improved
somewhat in recent years. The country has the lowest level of
STI is acknowledged as being a top national priority in the income inequality within the SADC and little unemployment
National Science, Technology and Innovation Policy, which was (just 3.5%) but its poverty rate is the highest among SADC
drawn up in 2011 but has yet to be approved by parliament. countries with viable national innovation systems.
UNESCO has been accompanying this process since 2008,
when it prepared a status report of STI in Swaziland at the Policies to harness STI to development
Ministry of Educations behest. The process has spawned The Vision 2025 document adopted in 1998 aspires to
the development of a National Science, Mathematics and transform the economy into a strong, resilient and
Technology Education Policy, implemented by the Ministry of competitive one, buttressed by science and technology.
Education and Training. A Royal Science and Technology Park Tanzanias first National Science and Technology Policy (1996)
is also currently under construction, funded jointly by the was revised in 2010 and renamed the National Research
Government of Swaziland and Taiwan, China. and Development Policy. The policy recognizes the need to
improve the process of prioritization of research capacities,
In November 2014, a Directorate for Science, Technology international co-operation in strategic R&D areas and
and Innovation was established within the Ministry of planning for human resources; it also makes provisions for the
Information, Communication and Technology. The directorate establishment of a National Research Fund. This policy was, in

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UNESCO SCIENCE REPORT

turn, reviewed in 2012 and 2013. Tanzania also published a UN Programme) since 2008. As part of this programme,
policy on biotechnology in December 2010. It is a member UNESCO commissioneda series of studies, including one
of the African Biosafety Network of Expertise (see Box 18.1). on biotechnology and bio-entrepreneurship (Box 20.5) and
another on the participation of women in industries based
The main body in charge of STI policy in Tanzania is the on science, engineering and technology, which spawned a
Ministry of Communication, Science and Technology and its project to improve Maasai homes (Box 20.6).
main co-ordinating agency, the Commission for Science and
Technology (COSTECH). COSTECH co-ordinates a number Even though Tanzania has eight public institutions of higher
of research institutes engaged with industry, health care, education and a plethora of private institutions, fewer than half
agriculture, natural resources, energy and the environment. of secondary school-leavers who qualify for entry obtain a place
at university. The establishment of the Nelson Mandela African
Tanzania occupies the second-lowest rank for the KEI and Institute of Science and Technology in Arusha in 2011 should
KI among the viable national innovation systems in the augment Tanzanias academic capacity considerably. This
SADC region. Basic R&D indicators send conflicting signals. university has been designed as a research-intensive institution
Despite a GERD/GDP ratio of 0.38% of GDP, there were just with postgraduate programmes in science, engineering and
69 researchers (head count) per million population in 2010. technology. Life sciences and bio-engineering are some of the
One in four researchers is a woman (see Figure 19.3). The initial niche areas, taking advantage of the immense biodiversity
UNESCO Dar es Salaam office has been leading the reform in the region. Together with its sister institution set up in Abuja
of STI in Tanzania within the United Nations Development (Nigeria) in 2007, it forms the vanguard of a planned pan-African
Assistance Programme for 20112015 (formerly the One network of such institutes.

Box 20.5: Challenges facing Tanzanias bio-industry

A report commissioned by UNESCO product does not affect an academics Business Environment Strengthening
has identified a number of remuneration and researchers are for Tanzania in 2009. However, no
challenges for Biotechnology and evaluated solely on the basis of their specific fiscal incentives have been
Bio-entrepreneurship in Tanzania (2011). academic credentials and publications. envisioned to promote business in
the biotechnology sector, resource
It observes, for instance, that, although The current lack of universityindustry limitations being given as the principal
the first academic degree courses collaboration leaves academic research cause. Private entrepreneurs have
in biotechnology and industrial disconnected from market needs appealed for tax regimes to support
microbiology were introduced at and private funding. The University ideas developed domestically and for
Sokoine University of Agriculture in of Dar es Salaam has made an effort the provision of loans and incubation
2004 and at the University of Dar es to expose students to the business structures to allow them to compete
Salaam in 2005, Tanzania still lacks world by creating a Business Centre against foreign products.
a critical mass of researchers with and setting up the Tanzania Gatsby
skills in biotech-related fields like Foundations project to fund student The report also observes that
bioinformatics. Even when scientists research proposals of relevance to communication and co-ordination
have been sent abroad for critical SMEs. However, both of these schemes between the relevant ministries may
training, poor infrastructure prevents are of limited geographical scope and also need optimizing, in order to
them from putting their newly gained uncertain sustainability. provide the necessary resources for
knowledge into practice upon their policy implementation. For example,
return. Most research in Tanzania is largely lack of co-ordination between
donor-funded via bilateral agreements, COSTECH, the Ministry of Health
Problems encountered in diagnostics with donor funds varying from 52% and Social Welfare and the Ministry
and vaccination stem from the reliance to 70 % of the total. Research has of Industry, Trade and Marketing
upon biologicals produced elsewhere. benefited greatly from these funds but appears to be hindering potential
Biosafety regulations dating from it does mean that research topics are implementation and exploitation
2005 prevent confined field trials with preselected by donors. of patent exemptions related to the
genetically modified organisms. agreement on Trade-related Aspects of
The conditions for export and business Intellectual Property Rights.
Incentives are lacking for academics incubation have improved in recent
to collaborate with the private sector. years, thanks to the adoption of an
Obtaining a patent or developing a export policy and a Programme for Source: Pahlavan (2011)

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 Southern Africa

ZAMBIA 32 private universities and colleges and 48 public technical

institutes and colleges. Demand nevertheless far outstrips
Impediments to economic transformation supply, as there are only enough places for one-third of
Zambias economic growth has been derived qualifying school-leavers. The low remuneration of academic
mainly from the commodities boom (especially copper), staff relative to other SADC countries has also resulted in an
fuelled by demand from China. However, growth has not exodus of qualified academics (SARUA, 2012).
resulted in job creation and poverty reduction, as Zambia has
not yet managed to diversify its resource-based economy by Zambias GERD/GDP ratio is modest (0.28% in 2008) and it
counts just 49 researchers per million inhabitants. When

Chapter 20
developing manufacturing and adding value to commodities.
Copper exports constitute about 80% of foreign exchange indicators for unemployment (13% in 2013), education and
earnings but only 6% of total revenue. Although agriculture poverty (Table 20.1) are taken into account, Zambias national
employs about 85% of the labour force, it contributes only 10% innovation system is clearly struggling but viable.
of GDP (see Figure 19.2). Productivity is low, with agriculture
representing only about 5% of exports, mostly due to its A fund to spur research
weak linkages with manufacturing. The combination of poor Zambias National Science and Technology Policy dates
infrastructure, an inappropriate regulatory and tax regime, from 1996 and the Science and Technology Act from 1997.
limited access to finance, a low level of skills and the generally These milestones have given rise to three key science and
high cost of doing business are all major impediments to technology institutions, the National Science and Technology
economic transformation in Zambia (AfDB et al., 2014). Council (NSTC), National Technology Business Centre (est.
2002) and National Institute for Scientific and Industrial
The higher education sector consists of three public Research (a research body which replaced the National
universities, the University of Zambia, Copperbelt University Council for Scientific Research dating from 1967). The NSTC
and, since 2008, Mulungushi University. There are also provides grants through the Strategic Research Fund, Youth

Box 20.6: Simple technology brings Maasai better homes

The concept of innovation is often architects designed roofs with eaves Solar panels were introduced to
associated with high technology and overhangs. Sloping aprons were provide lighting. The SunLite Solar Kit
and thus perceived by many African introduced at the foot of the walls (circa US$ 50) consists of a solar panel,
communities as being beyond the to protect them from splashing rain. control-box with charger and battery
reach of the poor. Affordable solutions Troughs made of ferro-cement were and a bright LED light; the kit comes
exist, however, for making life more fitted round the roof overhangs to with a long cable and wiring that can
comfortable. catch rainwater and channel it into be connected to most mobile phones,
drums at the base of the structure. enabling owners to charge their own
In 2012, the UNESCO Dar es Salaam mobile phones and earn extra income
office worked with the advocacy group To ensure the mud plaster would not from providing the service to others.
Tanzanian Women in Science and the erode over time, the Maasai women
NGO Tanzanian Women Architects were shown how to add bitumen and The two Maasai showhomes were
for Humanity to design a series of kerosene oil to the adobe mixture of completed in August 2012. Nearby
improvements to the adobe (mud) clay and sand. The adobe was then villages sent emissaries, many of whom
dwellings of Maasai women in the blended with cow dung to produce a were so impressed that they offered
village of Ololoskwan, at the request of hard cement. This lengthened the time to pay the women to build model
a group of Maasai women. before the structures would need any homes for them. The women are now
maintenance from two to 510 years. contemplating setting up a small
Home-building tends to fall to the construction business.
womenfolk in Maasai communities. The stove in the centre of the room
The architects taught the women a was relocated to a corner and This project was funded by the United
number of techniques for improving surrounded on two sides by a clay Nations Development Assistance
the comfort, safety and durability brick wall, in order to help direct Plan for 20112015, within a wider
of their homes (bomas). In order to smoke upward. A hood or chimney drive to give women a bigger
raise the ceiling and strengthen the channelled the smoke outside. role in harnessing STI to national
structure, existing poles were replaced development.
with sturdier, longer ones. To protect The windows were enlarged to let in
the bomas from water leakage, the more light and improve ventilation. Source: Anthony Maduekwe, UNESCO

561
UNESCO SCIENCE REPORT

Innovation Fund and Joint Research Fund. It also administers crops such as wheat and maize. In parallel, FDI shrank after
the Science and Technology Development Fund instituted by the imposition of Western sanctions and the suspension of
the Science and Technology Act (1997). This fund encourages IMF technical assistance due to the non-payment of arrears.
research that contributes to the goals of the Fifth (20062010) Hyperinflation was only brought under control in 2009
and Sixth National Development Plans and Vision 2030 (2006) after the adoption of a multicurrency payment system and
for a prosperous middle-income nation by 2030, especially economic recovery programme. Once stabilized, the economy
projects targeting a better standard of living, innovation, grew by 6% in 2009 and FDI increased slightly; by 2012, it
value addition to natural resources and the integration of amounted to US$392 million (UNESCO, 2014b).
locally produced technologies in the Zambian industrial
sector, not to mention the purchase, maintenance or repair Zimbabwe continues to score poorly for governance indicators.
of equipment. For its part, the National Technology Business In 2014, it ranked 156th (out of 175) in the Corruption Perceptions
Centre (est. 2002) administers a Business Development Fund. Index and 46th (out of 52) in the Ibrahim Index of African
Governance (see Table 19.1). The economy remains fragile,
A strong commitment to agriculture plagued by high external debt, degraded infrastructure and an
A Biosafety Act was adopted in 2007 (see map in Box 18.1). uncertain policy environment (AfDB et al., 2014). The lack of
Zambia is surpassed only by Malawi within the SADC region co-ordination and coherence among governance structures
for the level of public expenditure on agriculture: 10% of GDP has led to poor implementation of existing policies and the
in 2010. However, the countrys main centre for agricultural multiplication of research priorities (UNESCO, 2014b).
research, the Zambian Agricultural Research Institute, is in a
dire situation, having suffered a 30% decline in the staffing An uncertain policy environment
table, which counted 120 professional staff, 120 technicians The Second Science and Technology Policy was launched in June
and 340 support staff in 2010. The institute plays an essential 2012, after being elaborated with UNESCO assistance. It replaces
role in maintaining laboratories for specialized research, the earlier policy dating from 2002 and has six main objectives:
while managing the countrys seed bank. Very little donor
n Strengthen capacity development in STI;
funding has been forthcoming, leaving the government to
shoulder 9095% of the burden. The private non-profit Golden n Learn and utilize emerging technologies to accelerate
Valley Agricultural Research Trust23 is trying to compensate development;
for the staff cuts at its sister institute but it, too, is reliant on
n Accelerate commercialization of research results;
government and international donor funding only 40%
of its income comes from commercial farming and contract n Search for scientific solutions to global environmental
research (UNESCO, 2014b). challenges;

n Mobilize resources and popularize science and technology;

and
ZIMBABWE
n Foster international collaboration in STI.
A country emerging from a long crisis
Between 1998 and 2008, the Zimbabwean The Second Science and Technology Policy cites sectorial
economy contracted by a cumulative 50.3%, sending GDP policies with a focus on biotechnology, ICTs, space sciences,
per capita plummeting to less than US $400. In July 2008, nanotechnology, indigenous knowledge systems, technologies
inflation peaked at 231 000 000%. By this time, 90% of the yet to emerge and scientific solutions to emergent
population was unemployed and 80% were living in poverty. environmental challenges. The policy makes provisions for
Infrastructure had deteriorated, the economy had become establishing a National Nanotechnology Programme. There
more informal and there were severe food and foreign is also a National Biotechnology Policy which dates from
currency shortages. The economic crisis was accompanied 2005. Despite poor infrastructure and a lack of both human
by a series of political crises, including a contested election and financial resources, biotechnology research is better
in 2008 which resulted in the formation of a government of established in Zimbabwe than in most sub-Saharan countries,
national unity in February 2009 (UNESCO, 2014b). even if it tends to use primarily traditional techniques.

The economic crisis coincided with the implementation of The Second Science and Technology Policy asserts the
the Fast-track Land Reform Programme from 2000 onwards government commitment to allocating at least 1% of GDP
which compounded the decline in agricultural production by to GERD, focusing at least 60% of university education on
reducing the cropping area of traditionally large commercial developing skills in science and technology and ensuring that
school pupils devote at least 30% of their time to studying
23. The Agricultural Research Trust has also been active in Zimbabwe since 1981. science subjects (UNESCO, 2014b).

562
 Southern Africa

Following the elections of 2013, the incoming government The past decade has seen an extraordinary rise in the number
replaced the Medium Term Plan 20112015 elaborated by its of copublications with foreign partners, which now represent
predecessor with a new development plan, the Zimbabwe 7580% of all Zimbabwean publications in the Web of Science
Agenda for Sustainable Economic Transformation (ZimAsset, (UNESCO, 2014b).
20132018). One objective of ZimAsset is to rehabilitate and
upgrade national infrastructure, including the national power Poor linkages with industry
grid, road and railway network, water storage and sanitation, Publicprivate linkages remain weak. With the exception
buildings and ICT-related infrastructure (UNESCO, 2014b). of the long-standing tobacco industry and others oriented

Chapter 20
towards agriculture, there has traditionally been little
In 2013, the Ministry of Science and Technology Development collaboration between industry and academia in Zimbabwe.
(dating from 2005) was disbanded and its portfolio The current regulatory framework hampers the transfer of
relegated to the newly established Department of Science technology to the business sector and the development of
and Technology within the Ministry of Higher and Tertiary industrial R&D, despite the commercialization of research
Education, Science and Technology Development. results being one of the major goals of the Second Science,
Technology and Innovation Policy (UNESCO, 2014b).
The same year, the government approved four national research
priorities proposed by the Research Council of Zimbabwe: The government is currently analysing new legislation that
would promote local cutting and polishing of diamonds to
n The social sciences and humanities;
create an estimated 1 700 new jobs. It has already slashed
n Sustainable environmental and resource management; license fees for local cutting and polishing firms. Mining
accounts for 15% of GDP and generates about US$1.7 billion
n Promoting and maintaining good health; and
in exports annually; despite this, the government receives
n The national security of Zimbabwe. royalties of only US$200 million. Currently, the entire stock
of diamonds is exported in raw form. The new legislation will
A worrying exodus of skills require companies to pay a 15% value-added tax but they will
Zimbabwe has a long research tradition that dates back a incur a 50% discount if they decide to sell their diamonds to the
century. However, the economic crisis has precipitated an Minerals Marketing Corporation of Zimbabwe (UNESCO, 2014b).
exodus of university students and professionals in key areas
of expertise (medicine, engineering, etc.) that is of growing
concern. More than 22% of Zimbabwean tertiary students are CONCLUSION
completing their degrees abroad. In 2012, there were just 200
researchers (head count)24 employed in the public sector, one- From economic integration to a regional innovation
quarter of whom were women. The government has created system?
the Zimbabwe Human Capital Website to provide information To date, intra-African trade remains dismally low, at
for the diaspora on job and investment opportunities in approximately 12% of total African trade,25 in spite of the
Zimbabwe. Of note is that ZimAsset contains no specific formation of numerous regional economic communities. Both
targets for increasing the number of scientists and engineers prominent pan-African organizations, such as the African
(UNESCO, 2014b). Union (AU) and the New Partnership for Africas Development
(NEPAD), and regional bodies such as SADC have clear visions
Despite the turbulence of recent years, Zimbabwes education of the criteria for integration and the rationale behind it. The
sector remains sound. In 2012, 91% of youth aged 1524 years development of regional STI programmes is high on the list of
were literate, 53% of the population aged 25 years or more priorities. However, several factors are hampering economic
had completed secondary education and 3% of adults held a integration, including the similar economic structure of
tertiary qualification. The government is planning to establish countries based on mineral resources and agriculture , poor
two new universities with a focus on agricultural science and economic diversification and low levels of intraregional trade.
technology: Marondera and Monicaland State Universities Nevertheless, the most formidable obstacle of all to regional
(UNESCO, 2014b). integration is probably the resistance of individual governments
to relinquishing any national sovereignty.
The long-standing University of Zimbabwe is particularly
active in research, producing more than 44% of Zimbabwes Some argue that the only feasible route to the sustainable
scientific publications in 2013. Productivity is fairly low but the socio-economic development that has eluded most African
number of publications has grown since 2005 (Figure 20.6). countries is to pursue regional integration.

24. or 95 full-time equivalents 25. compared to about 55% in Asia and 70% in Europe

563
UNESCO SCIENCE REPORT

This counter-argument agitates the promise of a huge

KEY TARGETS FOR SOUTHERN AFRICA
internal market and the opportunities that it would offer for
the development of economies of scale and scope. Another
n Raise GERD in SADC countries to at least 1% of GDP by
convincing argument arises from the increasingly urgent
2015;
requirement for Africa to engage in a unified manner with a
world that is increasingly characterized by economic blocs n Ensure that 50% of decision-making positions in the
and large emerging economic powers. public sector in SADC countries are held by women by
2015;
An important aspect of economic integration would be
n Increase trade among SADC countries to at least 35% of
the transition from national innovation systems to a single
total SADC trade, compared to 10% in 2008;
regional innovation system. Along with the establishment
of free trade areas in order to construct the planned n Increase the share of manufacturing in SADC countries
common market with full mobility of goods and services, to 25% of GDP by 2015;
capital and people, this would require the convergence
n Achieve 100% connectivity to the regional power grid
of formal institutions, including labour market legislation,
for all SADC member states by 2012;
environmental regulation and policies governing
competition. The opening up of borders to the free n Raise the share of public expenditure on agriculture to
movement of people and services would also enable informal 10% of GDP in all SADC countries;
cross-border pools of tacit knowledge and social capital to
n Raise the GERD/GDP ratio in Botswana from 0.26% in
emerge. The ultimate goal would be the emergence of a
2012 to over 2% by 2016;
regional innovation system on the back of the development
of an increasingly diversified economic system. n Raise public expenditure on R&D in Mauritius to 1% of
GDP by 2025, with a further 0.5% of GDP to come from
The AU-NEPAD African Action Plan for 20102015 has the private sector;
identified a number of obstacles to the evolution of national
n Focus at least 60% of university education in Zimbabwe
innovation systems across the region which resonate with
on developing skills in science and technology;
those identified by the SADC Regional Indicative Strategic
Development Plan back in 2003, namely: n Generate 100 000 PhDs in South Africa by 2030;

n SADC economies are dominated by agriculture and mining n Generate 100 PhDs by 2024 from Angolas new Centre of
with a poorly developed manufacturing sector; Excellence for Science Applied to Sustainability.

n The GERD/GDP ratio is significantly lower in most SADC

countries than the 1% benchmark set by the African Union
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investment in R&D;
African Development Bank.
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skills at all levels (from artisans and technicians to AfDB (2011) Republic of Mozambique: Country Strategy Paper
engineers and scientists); this shortage is exacerbated by 20112015. African Development Bank.
the ongoing brain drain;
AfDB, OECD and UNDP (2014) African Economic Outlook.
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Country notes. African Development Bank, Organisation
primarily due to a lack of qualified teachers and
for Economic Co-operation and Development and United
inappropriate curricula; this type of education is also
Nations Development Programme.
heavily biased against girls and women;

n There is generally poor protection of intellectual property Cassiolato, J. E. and H. Lastres (2008) Discussing innovation
rights in legislation; and and development: Converging points between the Latin
American school and the Innovation Systems perspective?
n There is little co-operation in science and technology
Working Paper Series (08-02). Global Network for
across the region.
Economics of Learning, Innovation and Competence
Building System (Globelics).

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 Southern Africa

Government of Lesotho and UNDP (2014) Lesotho Millennium UIS (2012) New Patterns in Mobility in the Southern African
Development Goals Status Report 2013. Development Community. Information Bulletin no. 7.
UNESCO Institute for Statistics: Montreal.
IERI (2014) Revisiting some of the Theoretical and Policy Aspects
of Innovation and Development. IERI Working Paper 2014-1. UNESCO (2014a) Mapping Research and Innovation in the
Institute for Economic Research on Innovation: Pretoria. Republic of Malawi. G. A. Lemarchand and S. Schneegans,
eds. GOSPIN Country Profiles in Science, Technology
IFC (2013) Madagascar Country Profile 2013. International and Innovation Policy, 3. UNESCO: Paris.
Finance Corporation. World Bank: Washington, D.C.

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UNESCO (2014b) Mapping Research and Innovation in the
IMF (2014) World Economic Outlook, World Economic and Republic of Zimbabwe. G. A. Lemarchand and
Financial Surveys. International Monetary Fund. S. Schneegans, eds. GOSPIN Country Profiles in Science,
Technology and Innovation Policy, 2. UNESCO: Paris.
Lan, G; Blom A; Kamalski J; Lau, G; Baas J and M. Adil (2014)
A Decade of Development in Sub-Saharan African Science, UNESCO (2013) Mapping Research and Innovation in the
Technology, Engineering and Mathematics Research. World Republic of Botswana. G. A. Lemarchand and
Bank: Washington DC. S. Schneegans, eds. GOSPIN Country Profiles in Science,
Technology and Innovation Policy, 1. UNESCO: Paris.
Morna, C. L.; Dube, S.; Makamure, L. and K. V. Robinson (2014)
SADC Gender Protocol Baseline Barometer. Allied Print:
Johannesburg. Erika KraemerMbula (b.1977: Equatorial Guinea) is a
Research Fellow at the Institute for Economic Research
OECD (2007) OECD Reviews of Innovation Policy: South Africa. on Innovation at Tshwane University of Technology in
Organisation for Economic Co-operation and Development. South Africa, which co-hosts the Centre of Excellence in
Scientometrics and Science, Technology and Innovation
Pahlavan, G. (2011) Biotechnology and Bioentrepreneurship Policy run jointly by the South African Department
in Tanzania. UNESCO and Ifakara Health Institute: Dar es of Science and Technology and National Research
Salaam. See: http://tinyurl.com/9kgg2br. Foundation. She holds a PhD in Development Studies
from the University of Oxford and, in her work, has
Ravetz, J. (2013) Mauritius National Research Foresight Exercise: adopted a cross-disciplinary approach to exploring
Prospectus and Summary Report. Manchester Institute of alternative development paths for African countries.
Innovation Research and Centre for Urban and Regional
Ecology: University of Manchester (UK). Mario Scerri (b.1953: Republic of Malta) is a Senior
Research Fellow at the Institute for Economic Research
Republic of Botswana (2011) National Policy on Research, on Innovation and Professor of Economics at Tshwane
Science, Technology and Innovation, 2011. Ministry of University of Technology in South Africa. He is also a
Infrastructure, Science and Technology: Gaborone. member of the Centre of Excellence in Scientometrics
and Science, Technology and Innovation Policy run
Republic of Mozambique (2001) Action Plan for the Reduction jointly by the South African Department of Science and
of Absolute Poverty: 20012005. Technology and National Research Foundation. He is
the author of The Evolution of the South African System of
Republic of South Africa (2012) Report of the Ministerial Review Innovation since 1916 (Cambridge Scholars Publishing).
Committee on the National System of Innovation. South
African Department of Science and Technology: Pretoria.
ACKNOWLEDGMENTS
SARUA (2012) A Profile of Higher Education in Southern Africa
The present chapter has been informed by the valuable input
Volume 2: National Perspectives. Southern African Regional
of experts and practitioners from various SADC countries and
Universities Association: Johannesburg.
the SADC Secretariat. Special thanks go to Anneline Morgan,
Special Technical Advisor for STI at the SADC Secretariat,
SARUA (2009) Towards a Common Future: Higher Education
for supplying reference materials and for her constructive
in the SADC Region: Regional Country Profiles Swaziland.
suggestions.
Southern African Regional Universities Association.

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UNESCO SCIENCE REPORT
Without adequate resources, it is unlikely that [research
and education] policies will bring about effective change.
Dilupa Nakandala and Ammar Malik

Mahfuza answers farmer Nojrul Islams Ladies service brings internet services to
question about using fertilizer on his crops men and women who need information but
by showing him a video on her laptop lack the means to access the web.
offering advice. In rural Bangladesh, the Info Photo GMB Akash/Panos Pictures

566
 South Asia
21 . South Asia
Afghanistan, Bangladesh, Bhutan, Maldives, Nepal, Pakistan, Sri Lanka

Dilupa Nakandala and Ammar Malik

INTRODUCTION present essay will focus on the other seven members of the
South Asian Association for Regional Cooperation (SAARC).
Healthy economic growth Excluding India, GDP grew by a healthy 6.5% in the region
To the outsider, the seven economies of South Asia covered in 2013. Sri Lanka reported the fastest progression (7.25%)
in the present chapter may appear to possess similar and the Maldives (3.71%) and Nepal (3.78%) the slowest.
characteristics and dynamics. In reality, however, they are GDP per capita, on the other hand, has risen fastest in the
quite diverse. Afghanistan, Bangladesh and Nepal are low- Maldives, followed by Sri Lanka (Figure 21.1).
income economies, Bhutan, Pakistan and Sri Lanka are lower
middle-income economies and the Maldives is an upper FDI insufficient but trade growing
middle-income economy. The rise in export and import trade volumes in recent
years confirms the growing integration of South Asia in

Chapter 21
According to the 2013 UNDP human development index, only the global economy. Bangladesh has even managed to
Sri Lanka has achieved a high level of human development. outperform its neighbours, with its exports progressing
Bangladesh, Bhutan and Maldives enjoy medium levels from 16% to 19.5% of GDP between 2010 and 2013.
and the remainder are still at a stage of low development. Moreover, Bangladesh managed to maintain a stable
Between 2008 and 2013, human development progressed in level of exports and foreign direct investment (FDI) at
Bangladesh, the Maldives, Nepal and Sri Lanka but receded the height of the global financial crisis in 20082009.
slightly in Pakistan, mainly due to the unstable security Amjad and Din (2010) have identified the insufficient
situation in parts of the country. diversification of exports and low domestic consumption
as shock amplifiers during the global crisis; for them,
Three out of four South Asians are Indian. This single country sound economic management helped maintain macro-
accounts for 80% of the regions GDP of US$ 2 368 trillion. As economic stability in Bangladesh, despite global food and
India is the object of a separate chapter (see Chapter 22), the fuel price hikes over this period.

Figure 21.1: GDP per capita in South Asia, 20052013

In current PPP$
12 000
Maldives 11 657

10 000
Sri Lanka 9 738

8 000

Bhutan7 405
6 801

6 000
India 5 418
5 202

Pakistan 4 602
4 000 4 065
3 481
Bangladesh 2 948
2 904
Nepal 2 245

2 000 1 723
1 520 Afghanistan 1 946
1 020

0
2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: World Banks World Development Indicators, April 2015

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UNESCO SCIENCE REPORT

Figure 21.2: FDI inflows to South Asia as a share of GDP, 20052013 (%)
20
Maldives 15.7
15

10

5 5.3

2005 2006 2007 2008 2009 2010 2011 2012 2013

4.3
4

Bhutan 2.8
3

2 2.0
India 1.5
1.3 Sri Lanka 1.4
1.1 Bangladesh 1.0
1 0.9
0.8 Pakistan 0.6
Nepal 0.4
0.0 Afghanistan 0.3
0
Source: World Banks World Development Indicators, accessed April 2015

Afghanistan and Pakistan, in particular, were less fortunate. election of April 2014 reflect the fragility of the ongoing
The Maldives, on the other hand, sailed through the transition to democracy; this process will need to be
global financial crisis to become an increasingly attractive consolidated by the time the forces of the North Atlantic
destination for FDI (Figure 21.2). It is the exception which Treaty Organization (NATO) withdraw from Afghanistan
confirms the rule. With inflows not exceeding 5% of GDP in 2016.
over the past decade in all but Bhutan and the Maldives,
South Asia is hardly a pole of attraction for FDI. The total Barriers remain to intra-regional trade
amount of announced greenfield investments (see the South Asia remains one of the worlds least economically
glossary, p. 738) in South Asia dropped to US$24 million in integrated regions, with intraregional trade accounting for
2013, down from US$87 million in 2008. India hosted 72% merely 5% of total trade (World Bank, 2014). It has been
of the regions greenfield FDI in 2013. nine years since the South Asian Free Trade Area (SAFTA)
agreement entered into force on 1January 2006, committing
Political instability has long been a barrier to development the eight1 signatories (with India) to reducing customs duties
in South Asia. Although Sri Lanka emerged from three on all traded goods to zero by 2016.
decades of civil war in 2009 and the Nepalese civil war has
been over since 2006, the rehabilitation and reconstruction Nine years on, regional trade and investment remain limited,
of these nations will be long-term enterprises. There despite countries having embraced global trade liberalization.
was a smooth political transition in Sri Lanka in January This is due to a host of logistical and institutional barriers,
2015, when Maithripala Sirisena was elected president such as visa restrictions and the lack of regional chambers
in an election called two years ahead of schedule by the of commerce. Even though various studies have argued
incumbent president Mahinda Rajapaksa. Two months that greater trade would produce net gains in social welfare,
later, in the Maldives, former president Mohamed Nasheed businesses are unable to take advantage of potential synergies,
was jailed for 13 years following a trial which the United owing to non-tariff barriers such as cumbersome processes for
Nations High Commissioner for Human Rights described as obtaining customs clearance (Gopalan et al., 2013).
a rushed process. In Afghanistan, civil society has
developed considerably since 2001 but the protracted
negotiations to form a government after the presidential 1. Afghanistan ratified the agreement in May 2011.

568
 South Asia

Since its inception in 1985, SAARC has failed to emulate In the past decade, India has assumed responsibility for
the success of the neighbouring Association of Southeast hosting two regional bodies, the South Asian University
Asian Nations in fostering regional integration in trade and (Box 21.1) and the Regional Biotechnology Centre for training
other areas, including in science, technology and innovation and research (see p. 612). These success stories illustrate the
(STI). Tangible results largely elude SAARC, beyond a potential of STI for fostering regional integration. There are
series of agreements and regular summits involving also instances of bilateral co-operation in STI. For instance, an
heads of government (Saez, 2012). Several explanations Indo-Sri Lankan Joint Committee on Science and Technology
have been put forward but the most prominent of these was set up in 2011, along with an Indo-Sri Lankan Joint
remains the persistently tense relations between India Research Programme. The first call for proposals in 2012
and Pakistan, traditional security concerns having been covered research topics in food science and technology;
fuelled by the threat of terrorism in recent years. At the applications of nuclear technology; oceanography and Earth
November 2014 SAARC summit, Indian Prime Minister science; biotechnology and pharmaceuticals; materials
Narendra Modi nevertheless invited SAARC members to science; medical research, including traditional medical
offer Indian companies greater investment opportunities systems; and spatial data infrastructure and space science.

Chapter 21
in their countries, assuring them of greater access to Indias Two bilateral workshops were held in 2013 to discuss
large consumer market in return. After a tragic earthquake potential research collaboration on transdermal drug delivery
struck Nepal on 25 April 2015, killing more than 8 000 systems and clinical, diagnostic, chemotherapeutic and
and flattening or damaging more than 450 000 buildings, entomological aspects of Leishmaniasis, a disease prevalent
all SAARC members were quick to show their solidarity in both India and Sri Lanka that is transmitted to humans
through the provision of emergency aid. through the bite of infected sandflies.

Box 21.1: The South Asian University: shared investment, shared benefits

The South Asian University opened double the number in 2012. There were Degrees and certificates awarded by
its doors to students in August 500 applications alone for the 10 places the university are recognized by Indias
2010. It plans to become a centre of on offer for the doctoral programme in University Grants Commission and by
excellence with world-class facilities biotechnology. other SAARC countries.
and staff. It currently offers seven
PhD and masters programmes in The university is being temporarily Attractive salary packages and benefits
applied mathematics, biotechnology, hosted by the Akbar Bhawan Campus have been designed to attract the best
computer science, development in Chanakyapuri, New Delhi, before teachers. Although they tend to come
economics, international relations, moving to its 100-acre campus in Maidan from the eight SAARC countries, up to
law and sociology. Garhi in South Delhi by 2017. The task 20% may come from other countries.
of designing the campus has been
Students come predominantly from entrusted to a Nepalese firm of architects The idea of a South Asian University
the eight SAARC countries and enjoy through a competitive bidding process. was mooted by the Prime Minister of
heavily subsidized tuition fees. Some India at the 13th SAARC Summit in
students from non-SAARC countries The capital cost of establishing the Dhaka in 2005. Prof. Gowher Rizvi, a
may also be admitted on a full cost- university is being covered by the Indian well-known historian from Bangladesh,
recovery basis. Admission is governed government, whereas all eight SAARC was then entrusted with the task
by a quota system, whereby each member countries share the operational of preparing the concept paper, in
member country is entitled to a costs in mutually agreed proportions. consultation with SAARC countries.
specific number of seats in each An interministerial Agreement for
programme of study. Every year, the The university focuses on research and the Establishment of the South Asian
university conducts a SAARC-wide postgraduate level programmes. It will University clinched the deal on 4April
entrance test in all the major cities ultimately have 12 postgraduate faculties, 2007 during the following SAARC
of South Asia. PhD aspirants also have as well as a Faculty of Undergraduate Summit in New Delhi.
to present their thesis proposal and Studies. At full strength, the university will
undergo a personal interview. count 7000 students and 700teachers.
In 2013, the university received There are also plans to establish an
4133 applications for its programmes Institute of South Asian Studies on
from all eight South Asian countries, campus. Source: www.sau.ac.in

569
UNESCO SCIENCE REPORT

TRENDS IN EDUCATION GDP, compared to 1.3% of GDP in India in 2012. Now that
countries are on the verge of achieving universal primary
Underfunded reforms of higher education education, there are growing calls for them to spend more
Over the past decade, South Asian countries have embarked on higher education, particularly since modernization and
on an energetic drive to achieve the Millennium Development diversification of the economy are at the heart of their current
Goal (MDG) of universal primary education by 2015. development strategies. However, in all but Nepal, spending
Despite having rapidly achieved this target, the Maldives on education has actually been curtailed in recent years and,
has consistently devoted between 5% and 7% of GDP to even in Nepal, the share allocated to higher education has
education over this period, more than any of its neighbours stagnated (Figure 21.3).
(Figure 21.3).
Afghanistan is pursuing an ambitious reform of its higher
In all countries, higher education has had to take a back seat education system that is yielding some impressive results,
during this drive; the most recent data available reveal that despite dependence on uncertain donor funding. Between
spending on higher education amounts to just 0.30.6% of 2010 and 2015, student enrolment doubled, for instance, as

Figure 21.3: Public expenditure on education in South Asia, 2008 and 2013 or closest years

6.82

5.89

4.80 4.65 4.72

3.81
3.21 3.35

2.56 2.75
2.23
1.90 2.06
1.72
1.17 1.26
0.93
0.51 0.45 0.55 0.51 0.50 0.37
0.29 0.30 0.21 0.32

2007 2009 2008 2011 2009 2012 2011 2012 2008 2010 2008 2013 2009 2012
Bangladesh Bhutan India Maldives Nepal Pakistan Sri Lanka

37.55
36.45
Public spending on education
as a share of GDP (%)

Public spending on higher education

as a share of GDP (%)

Higher education spending as a share

of total spending on education (%)

19.40
18.73
18.19

13.50 13.46
11.47 11.04 10.65
9.35

6.63

2007 2009 2008 2011 2009 2012 2011 2012 2008 2010 2008 2013 2009 2012
Bangladesh Bhutan India Maldives Nepal Pakistan Sri Lanka

Note: Data are unavailable for Afghanistan.

Source: UNESCO Institute for Statistics, April 2015; for Pakistan in 2013: Ministry of Finance (2013) Federal Budget 20142015: Budget in Brief.
See: http://finance.gov.pk/budget/Budget_in_Brief_2014_15.pdf

570
 South Asia

did the number of faculty members in public universities. Nowhere is this drive more visible than in education. In 2013,
The government adopted a gender strategy in 2013 to raise Bangladesh and Nepal published national plans to mainstream
the ratio of women among students and faculty (see p. 579). ICTs in education. Sri Lanka has adopted a similar plan and
Bhutan is currently developing its own but work still needs to be
Available data for Bangladesh on tertiary enrolment show done in the Maldives to develop a policy on ICTs in education
a steep rise in PhD students in engineering between 2009 (UIS, 2014b). The realities of a patchy, unreliable electricity
and 2011 (from 178 to 521), despite a modest government supply are often fundamental obstacles to the diffusion of
investment. In Sri Lanka, the number of PhD students has ICTs in rural and remote areas. In Pakistan, just 31% of rural
climbed equally rapidly in engineering but also in science primary schools have a reliable electricity supply, compared
and agriculture. There is no breakdown by field of study for to 53% in urban centres, and power surges and brownouts
Pakistan but the number of PhD students also shows rapid are common in both. In Nepal, only 6% of primary schools and
growth (Tables 21.1 and 21.2). Pakistan and Sri Lanka now 24% of secondary schools had electricity in 2012 (UIS, 2014b).
have the same share of university students enrolled in PhD Another factor is the poor provision of telecommunication
programmes (1.3%) as Iran (see Figure 27.5). services through a fixed telephone line, cable connection and

Chapter 21
mobile phone technology, making it difficult to connect school
ICT policies but infrastructure needs to catch up computer systems with the wider network. With the exception
In recent years, South Asian governments have developed of the Maldives, these critical pieces of ICT infrastructure are not
policies and programmes to foster the development and use universally available in the region. In Sri Lanka, for instance, only
of information and communication technologies (ICTs). For 32% of secondary schools have telephones.
instance, the Digital Bangladesh programme is central to
realizing the countrys vision of becoming a middle-income As shown in Figure 21.4, the number of mobile phone
economy by 2021 (see p. 581). The World Bank and others are subscribers is much higher in South Asia than the
partnering with governments to accelerate the movement. number of internet users. Mobile phone technology
Examples are the Youth Solutions! Competition for budding is increasingly being used by teachers in developing
entrepreneurs (Box 21.2) and Bhutans first information economies for both educational and administrative
technology (IT) park (see p. 584). purposes (Valk et al., 2010).

Table 21.1: Tertiary enrolment in Bangladesh, Pakistan and Sri Lanka, 2009 and 2012 or closest years
Bachelors and
Total Post-secondary diploma masters degrees PhD
Bangladesh (2009) 1 582 175 124 737 1 450 701 6 737
Bangladesh (2012) 2 008 337 164 588 1 836 659 7 090
Pakistan (2009) 1 226 004 62 227 1 148 251 15 526
Pakistan (2012) 1 816 949 92 221 1 701 726 23 002
Sri Lanka (2010) 261 647 12 551 246 352 2 744
Sri Lanka (2012) 271 389 23 046 244 621 3 722

Source: UNESCO Institute for Statistics, April 2015

Table 21.2: University enrolment in Bangladesh and Sri Lanka by field of study, 2010 and 2012 or closest years

Science Engineering Agriculture Health

Bachelors Bachelors Bachelors Bachelors
and and and and
masters masters masters masters
degrees PhD degrees PhD degrees PhD degrees PhD
Bangladesh (2009) 223 817 766 37 179 178 14 134 435 23 745 1 618
Bangladesh (2012) 267 884 766 62 359 521 21 074 445 28 106 1 618
Sri Lanka (2010) 24 396 250 8 989 16 4 407 56 8 261 1 891
Sri Lanka (2012) 28 688 455 14 179 147 3 259 683 8 638 1 891

Source: UNESCO Institute for Statistics, April 2015

571
UNESCO SCIENCE REPORT

Box 21.2: South Asia Regional Youth Grant competitions

A competition launched in 2013 in years of operation are eligible to apply, Fusion of Sri Lanka, the latter being the
Bangladesh, the Maldives, Nepal and each proposal needing to have a strong implementing partner. Microsoft and
Sri Lanka offers young people from focus on sustainability. The ultimate goal the World Bank, meanwhile, shortlist the
each country the opportunity to is to augment and diversify employment innovative proposals with the support
win a grant of US$ 10 00020 000 to opportunities for the young. of an external evaluation panel, based
implement an innovative project of on criteria that include the use of ICTs as
one years duration in the field of IT. The theme of the first grant competition a tool; skills development; the provision
was Youth Solutions! Technology for of employment opportunities; novelty;
The aim is to identify innovative Skills and Employment (2013) and that sustainability; the participatory nature;
ideas that are ripe for the picking and of the second Coding Your Way to and the measurability of the outcome.
allow their young creators to develop Opportunity (2014).
these. The competition targets
rural youth-led social enterprises. The scheme is the fruit of a partnership
Youth-led organizations and non- formed in March 2013 by the World Bank,
governmental organizations with two Microsoft Corporation and Sarvodaya Source: World Bank

Figure 21.4: Internet users and mobile phone subscribers per 100 inhabitants in South Asia, 2013

181.2

Internet users
Mobile phone subscribers

95.5

76.8
74.4
70.7 72.2 70.8 70.1

44.1

29.9

21.9
15.1 13.3
10.9
5.9 6.5

Afghanistan Bangladesh Bhutan India Maldives Nepal Pakistan Sri Lanka

Source: International Telecommunications Union

572
 South Asia

TRENDS IN R&D 3.34 in 2014, with Sri Lanka recording the best performance.
Since 2010, only Nepal has shown a marginal improvement
A modest R&D effort in private-sector spending on R&D. With the exception of
By international standards, countries in South Asia spend Bangladesh and Nepal, South Asias private sector is more
modest amounts on research and development (R&D). implicated in R&D than in sub-Saharan Africa (average of
Gross domestic expenditure on R&D (GERD) even dropped 2.66) but less so than in emerging and developing countries,
in Pakistan between 2007 and 2013 from 0.63% to 0.29% in general (3.06 on average), the notable exception being
of GDP, although the government did not survey the Sri Lanka. Above all, the countries of the Organisation for
business enterprise sector (Figure 21.5); this trend has been Economic Co-operation and Development (OECD) are streets
accompanied by an attempt in Pakistan to decentralize ahead of South Asia, with an average score of 4.06, reflecting
higher education and research spending, devolving it the higher level of market development in industrialized
to the provincial level. In Sri Lanka, investment remains economies.
stable but low, at 0.16% of GDP in 2010, less than the R&D
intensity of Nepal (0.30%), which has improved markedly Overall, R&D spending in South Asia has not kept pace with
since 2008, and far below that of India (0.82%). This lack economic growth over the past five years. The fact that

Chapter 21
of investment correlates with low researcher intensity and both the public and private sectors exhibit similar trends
limited integration in global research networks. is indicative of the broader lack of capacity and failure to
prioritize research. This is also attributable to the relatively
As shown in Figure 21.6, the majority of countries in the low levels of disposable income and commercial market
region lie within a narrow range in terms of their ranking for development, as well as the limited margin for manoeuvre in
private-sector expenditure on R&D in the World Economic government budgets when it comes to allocating funds
Forums Global Competitiveness Index, at between 2.28 and to R&D.

Figure 21.5: GERD/GDP ratio in South Asia, 20062013

1.0

0.84
0.82 India 0.82
0.80
0.8
0.79 0.80

0.63

0.6

0.45

0.4

Nepal 0.30 Pakistan 0.29

0.26 0.33

0.2

0.17 0.11
Sri Lanka 0.16

0.05
0.0
2006 2007 2008 2009 2010 2011 2012 2013

Note: Data are unavailable for Bhutan, Bangladesh and the Maldives. The data for Nepal are partial and relate to Government R&D budget instead of R&D
expenditure; those for Pakistan exclude the business enterprise sector.
Source: UNESCO Institute for Statistics, June 2015

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UNESCO SCIENCE REPORT

Figure 21.6: South Asian ranking for private-sector expenditure on R&D, 20102014
4.0

3.82

3.49
3.5
Sri Lanka
3.33 3.34
3.31
3.25
3.19

Bhutan
3.0 3.07 2.92
3.00 3.00
2.96
2.79 Pakistan
2.91
Nepal
2.61 2.61
2.57 2.69

2.5 2.43
2.40
2.47 2.36
Bangladesh
2.41 2.28
2.38
2.35

2.0
2006 2010 2011 2012 2013 2014

Source: World Economic Forum Global Competitiveness Index, accessed December 2014

Nepal catching up to Sri Lanka for researcher density High-tech exports remain insignificant, with only India,
With recent data on researchers being available only for Nepal, Nepal, Pakistan and Sri Lanka reporting measureable figures:
Pakistan and Sri Lanka, it would be hazardous to draw any 8.1%, 0.3%, 1.9% and 1.0% respectively of their manufactured
conclusions for the region as a whole. However, the available exports in 2013. However, in recent years, communications-
data do reveal some interesting trends. Nepal is catching up and computer-related exports, including international
to Sri Lanka in terms of researcher density but the share of telecommunications and computer data services, have
women in the Nepalese research pool is low and, in 2010, was dominated service exports by Afghanistan, Bangladesh and
almost half that in 2002 (Figure 21.7). Sri Lanka has the greatest Pakistan; as for Nepal, it has shown impressive growth in this
share of women researchers but their participation rate is lower area of 36% in 2009 and 58% in 2012 as a share of service
than before. Pakistan has the greatest researcher density of exports. Whereas Afghanistan and Nepal trade mostly with
the three but also the lowest density of technicians; moreover, their South Asian neighbours, the other countries profiled in
neither indicator has progressed much since 2007. the present chapter limit their level of imports and exports
within the region to about 25% of the total. This is essentially
R&D output up, despite low investment due to the narrow range of exports, weak consumer
In terms of patent applications, all countries appear to have purchasing power within the region and insufficient regional
made progress in the past five years (Table 21.3). India continues efforts to foster the innovation needed to meet the unserved
to dominate, thanks in part to the dynamism of foreign demand.
multinationals specializing in ICTs (see Chapter 22), but Pakistan
and Sri Lanka have also made confident strides. Interestingly, The number of scientific papers from South Asia (including
statistics from the World Intellectual Property Organization (WIPO) India) registered in the Web of Science rose by 41.8% between
for 2013 reveal that more non-resident Bangladeshis, Indians and 2009 and 2014 (Figure 21.8). The most spectacular progress
Pakistanis are filing patent applications than before. This suggests was observed in Pakistan (87.5%), Bangladesh (58.2%) and
the presence of strong diaspora communities in developed Nepal (54.2%). In comparison, Indian publications rose by
countries and/or of foreign multinationals in these countries. 37.9% over the same period.

574
 South Asia

Despite the stagnation in spending on higher education Despite this progress, South Asias research output remains
in Pakistan since 2008 (as a share of GDP), the momentum modest relative to other parts of the world, be it in terms of
generated by reforms during the first decade of the century international patents or publications in peer-reviewed journals.
has not slowed. Meanwhile, in Nepal, the rapid increase This lower scale of research activity is directly attributable to
in R&D spending between 2008 and 2010 appears to be the lack of measureable R&D input, both from the public and
reflected in the rise in research output, which accelerated private sectors. The regions academic capacity for teaching
after 2009. and research is also among the lowest in the world.

Figure 21.7: Researchers (HC) and technicians in South Asia per million inhabitants and by gender, 2007 and 2013
or closest years

27.3 29.8
328 82 2007
Pakistan 2007 2013
328 82
2013

Chapter 21
333 93
328 82 72.7 71.2
333 93

333 93
% Men % Women

224 123
Researchers
224 123 2006 36.9
Technicians
Researchers 41.5
249 188 Sri Lanka 2006 2010
Technicians 224 123
Researchers 249 188 2010 58.5 63.1
Technicians
249 188

124 249

124 249 15.0 7.8

191* 449*
124 249 2002
191* 449* Nepal 2002 2010
191* 449* 2010
85.0 92.2
* partial data

Note: Data for Pakistan exclude the business enterprise sector.

Source: UNESCO Institute for Statistics, June 2015

Table 21.3: Patent applications in South Asia, 2008 and 2013

2008 2013

Resident Resident
applications applications
Total per million Total Total per million Total
resident inhabitants non-resident resident inhabitants non-resident

Bangladesh 29 0.19 270 60 0.39 243

Bhutan 0 0 0 3 3.00 1

India 5 314 4.53 23 626 10 669 8.62 32 362

Nepal 3 0.12 5 18 0.67 12

Pakistan 91 0.55 1 647 151 0.84 783

Sri Lanka 201 10.0 264 328 16.4 188

Source: WIPO Statistics Database, accessed April 2015

575
Figure
UNESCO 21.8: Scientific
SCIENCE publication trends in South Asia, 20052014
REPORT
Strong growth in Bangladesh, Nepal and Pakistan since 2009
7 000
Pakistan
6 778
6 000

5 000

4 000

3 000

2 000 Bangladesh
1 394
1 142
1 000 Sri Lanka 599
511
283
158 Nepal 455
0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
50 Afghanistan 44

Bhutan 36
25 Maldives 16
8
7
0 1

Pakistan produces the most articles related to nanotechnology per million inhabitants
Countries world rank is shown between brackets
3.0

2.5 Pakistan (74)

2.66
2.0

1.5 Sri Lanka (83)

1.12
1.0
Nepal (85)
0.70 1.01
0.5 0.49
0.24 Bangladesh (90)
0.14 0.42
0.0
2009 2010 2011 2012 2013

Among high-population countries, Pakistan has the greatest publication intensity

Average citation rate, 20082012 Publications per million inhabitants, 2014

Nepal 1.02 Bhutan 47.0

Maldives 45.5
Sri Lanka 0.96
Pakistan 36.6
G20 average: 1.02

Pakistan 0.81
Sri Lanka 27.9
Bangladesh 0.79
Nepal 16.2
Bhutan 0.76
Bangladesh 8.8
Afghanistan 0.74
Afghanistan 1.4
0 0.2 0.4 0.6 0.8 1.0 1.2 0 10 20 30 40 50

576
Life sciences dominate in South Asia, Pakistan also specializes in chemistry South Asia
Cumulative totals by field, 20082014

Afghanistan 10 33 5 2 6 1 114 11 1 10

4
Bangladesh 438 53 1 688 554 131 810 642 75 1 059 26 629
98

Bhutan 14 57 22 27 40 121

Maldives 11 1 19 11 1 1

Nepal 92 10 511 76 93 268 7 587 18 65 2 55

1 341 12
Pakistan 6 721 4 101 741 2 863 1 183 1 289 2 799 52 3 571
193 112

Chapter 21
12
Sri Lanka 249 3 612 180 14 151 320 17 725 23 204
44

Agriculture Astronomy Biological sciences Chemistry Computer science Engineering Geosciences

Mathematics Medical sciences Other life sciences Physics Psychology Social sciences

Note: Unclassified articles are excluded from the totals.

Fellow Asians figure among South Asians main foreign partners

Top five collaborators, 20082014 (number of articles)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator

Afghanistan USA (97) UK (52) Pakistan (29) Egypt/Japan (26)

Bangladesh USA (1394) Japan (1218) UK (676) Malaysia (626) Rep. of Korea (468)

Bhutan USA (44) Australia (40) Thailand (37) Japan (26) India (18)

Maldives India (14) Italy (11) USA (8) Australia (6) Sweden/Japan/UK (5)

Nepal USA (486) India (411) UK (272) Japan (256) Rep. of Korea (181)

Pakistan USA (3 074) China (2 463) UK (2 460) Saudi Arabia (1 887) Germany (1 684)

Sri Lanka UK (548) USA (516) Australia (458) India (332) Japan (285)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded, data treatment by ScienceMetrix

The majority of articles have foreign partners in all but Pakistan

Share of South Asian papers among 10% most-cited, 20082012 (%) Share of papers with foreign co-authors, 20082014 (%)

Afghanistan 9.7 Maldives 97.9

Afghanistan 96.5
Bangladesh 6.8
G20 average: 24.6%

Bhutan 90.8
G20 average: 10.2%

Bhutan 7.6
Nepal 76.5
Nepal 8.3
Bangladesh 71.0
Pakistan 7.2
Sri Lanka 65.8

Sri Lanka 6.0 Pakistan 42.3

0 2 4 6 8 10 0 20 40 60 80 100

Source: Thomson Reuters Web of Science, Science Citation Index Expanded, data treatment by ScienceMetrix; for nano-articles: statnano.com, see Figure 15.5

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UNESCO SCIENCE REPORT

COUNTRY PROFILES Part of the growth in university student rolls can be attributed
to night school, which extends access to workers and young
AFGHANISTAN mothers. Having a night shift also makes use of limited space
that would otherwise be vacant in the evenings. The night
Rapid gains in girls education shift is proving increasingly popular, with 16198 students
Afghanistan has one of the lowest literacy rates enrolling in 2014, compared to just 6 616 two years earlier.
in the world: about 31% of the adult population. Women represented 12% (1 952) of those attending evening
Some 45% of men and 17% of women are literate, with wide classes in 2014.
variations from one province to another. In 2005, the country
committed to achieving universal primary education by New masters programmes offer more choices
2020. Energetic efforts to achieve gender parity have been By 2014, the Curriculum Commission had approved the
rewarded by a steep increase in the net enrolment ratio for curricular reviews and upgrades for one-third of Afghanistans
girls from just 4% in 1999 to an estimated 87% in 2012. By public and private faculties. Progress in meeting recruitment
2012, there was a net intake of 66% of girls and 89% of boys goals has also been steady, since staffing is covered by the
in primary education; boys could expect to complete 11 years regular budget allocations (Figure 21.9).
of schooling and girls seven years, according to UNESCOs
Education for All Monitoring Report (2015). One of the ministrys priorities has been to increase the
number of masters programmes (Figure 21.9). This will
Infrastructure not keeping pace with student rolls broaden opportunities for women, in particular, given the
The two key goals of the National Higher Education Strategic difficulties they face in going abroad for masters and PhD
Plan: 20102014 devised by the Afghan Ministry of Higher training: in the two new masters programmes in education
Education were to improve quality and broaden access and public administration, half of the students are women.
to higher education, with an emphasis on gender equity. Five of the eight masters degrees granted by Kabul University
According to a progress report by the same ministry, the between 2007 and 2012 were also obtained by women
number of women students tripled between 2008 and 2014, (MoHE, 2013).
yet women still represent just one in five students (Figure
21.9). Girls still encounter more difficulties than boys in Another priority is to increase the share of faculty with a
completing their schooling and are penalized by the lack of masters degree or PhD. The wider choice of programmes
university dormitories for women (MoHE, 2013). has enabled more faculty to obtain a masters degree but
doctoral students still need to study abroad, in order to
The Ministry of Higher Education has largely surpassed increase the small pool of PhDs in Afghanistan. The share of
its target for raising university enrolment, which doubled masters and PhD-holders has dropped in recent years, as
between 2011 and 2014 (Figure 21.9). A shortfall in funding the number of faculty members at Afghan universities has
has prevented the construction of facilities from keeping risen; the drop in the share of PhD-holders from 5.2% to 3.8%
pace with the rapid rise in student rolls, however. Many between 2008 and 2014 was also due to a wave of retirement
facilities also still need upgrading; there were no functioning (Figure 21.9).
laboratories for physics students at Kabul University in 2013,
for instance (MoHE, 2013). Only 15% of the US$564 million in Two schemes enable faculty to study abroad. Between 2005
funding requested of donors by the ministry has materialized and 2013, 235 faculty members completed their masters
since 2010.2 degree abroad, thanks to the World Banks Strengthening
Higher Education Programme. In 2013 and 2014, the Ministry
Within its Higher Education Gender Strategy (2013), the ministry of Higher Educations development budget funded the study
has developed an action plan to augment the number of abroad of 884faculty working towards their masters degree
women students and faculty (Figure 21.9). A pillar of this plan and 37 faculty enrolled in doctoral programmes.
is the construction of womens dormitories. With help from
the US State Department, one was completed in Herat in 2014 Grants to revive the research culture
and another two are planned for Balkh and Kabul. They should In order to revive Afghanistans research culture, research
house about 1200 women in total. The ministry also requested units have been installed at 12 universities3 as part of the
funds from the National Priority Programme budget for the World Banks Higher Education Systems Improvement
construction of ten additional dormitories for 4000 women Project. In parallel, the Ministry of Higher Education
students; six of these were completed in 2013. developed a digital library in 2011 and 2012 which provides

3. Kabul University, Kabul Polytechnic University, Herat University, Nangarhar University,

2. The main donors are the World Bank, USAID, US State Department, NATO, India, Balkh University, Kandahar University, Kabul Education University, Albiruni University,
France and Germany. Khost University, Takhar University, Bamyan University and Jawzjan University.

578
Figure 21.9: Afghanistans ambitious university reform

Enrolment in public universities doubled between 2011 and 2014

63 837
Afghan university student population
in 2010
153 314

153 314
150 000
Men
Women
122 847
Total
Afghan university student population
in 2014
100 000

50 000
20.5%
Share of women university students in
2010

19.9%
30 467

Chapter 21
7 870
4 462
0
0 Share of women university students in
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2003 2014
2014

Afghanistan is making headway towards its higher education targets

Target Current situation
US$ 564 million to be obtained in funding to implement 15% (US$ 84.13 million) received from donors as of 2014
the plan
The number of students at public universities to double 153 314 students were enrolled in 2014 (target reached)
to 115 000 by 2015
Higher education to represent 20% of the education The approved budget for 2012 for higher education was
budget by 2015, equivalent to US$ 800 per student in US$ 47.1 million, equivalent to US$ 471 per student
2014 (corresponding to a budget of US$ 80 million for
2012) and US$ 1 000 by 2015.
The number of faculty members in public universities By October 2014, there were 5006 faculty members;
National Higher to increase by 84% by 2015 to 4372 and the number of by 2012, there were 4810 other university staff (target
Education Strategic staff by 25% to 4375 reached)
Plan: 20102014
The number of masters programmes in Afghanistan A total of 8 masters programmes were available in 2013
(published 2010)
to rise and 25 in 2014 (target reached)
The share of faculty with a masters degree (31% in The share of masters degrees and PhDs has dropped
2008) or PhD (5.2% in 2008) to rise slightly, owing to the steep increase in the number of
faculty and a wave of retirement among PhD-holders:
by October 2014, 1480 faculty held a masters degree
(29.6%) and 192 a PhD (3.8%); 625 faculty members
were studying for a masters degree and were expected
to graduate by December 2015
The Ministry of Higher Education to establish Commission established (target reached); by 2014, it
Commission on Curriculum had helped 36% of public faculties (66 out of 182) and
38% of private faculties (110 out of 288) to review and
upgrade their curricula
Women to represent 25% of students by 2014 and 30% In 2014, women represented 19.9% of students
by 2015
13 womens dormitories to be built By 2014, seven had been completed
The number of Afghan women with a masters degree As of October 2014, 117 women (23% of the total) were
Higher Education
to rise pursuing a masters degree in Afghan universities,
Gender Strategy
compared to 508 men
(published 2013)
The proportion of women faculty members to rise to By October 2014, 690 faculty members were women
20% by 2015 (14%), out of a total of 5 006
The number of women faculty with a masters and PhD By October 2014, 203 women faculty held a masters
degree to rise degree (compared to 1277 men) and 10 women a PhD
Source: MoHE (2013); MoHE communication in October 2014

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UNESCO SCIENCE REPORT

all faculty, students and staff with access to about BANGLADESH

9000 academic journals and 7000 e-books (MoHE, 2013).
Participation in research is now a requirement for the Great strides in education
promotion of faculty at every level. In the first round The Bangladesh Education Sector Review 2013
of competitive bidding in 2012, research grants were commissioned by the World Bank recognizes significant
approved for projects proposed by faculty members from achievements in primary education since 2010. Net enrolment
Kabul University, Bamyan University and Kabul Education rates have risen steadily, attaining 97.3% in 2013. Over the
University. Projects concerned the use of IT in learning and same period, the completion rate at primary level rose from
research; challenges of the new middle school mathematics 60.2% to 78.6%. Gender parity at both primary and secondary
curriculum; the effect of automobile pollution on levels has been achieved well ahead of the MDG target set
grapevines; integrated management of nutrients in wheat for 2015. The percentage of girls attending school has even
varieties; traditional ways of blending concrete; and the surpassed that of boys in recent years.
effect of different methods of collecting sperm from bulls
(MoHE, 2013). The quality of education has also improved: according to the
Bangladesh Bureau of Educational Information and Statistics,
The research committee established at each of the class sizes in secondary schools reportedly shrank from 72 to
12 universities approved 9 research proposals in 2013 and a 44 pupils per class between 2010 and 2013. Repetition rates at
further 12 in 2014. The ministry is currently working with the primary school level dropped from 12.6% to 6.9% over the same
Asian Institute of Technology in Thailand to develop joint period, with a parallel improvement in the pass rate for
educational programmes. As part of this collaboration, the Secondary School Certificate examination and the closing
12 university faculty members were seconded to the of the gender gap for this indicator. By mid-2014, over
institute in 2014. Work began on drafting a national research 9 000 primary school classrooms had been built or rehabilitated,
policy the same year (MoHE, 2013). with the installation of water and sanitary facilities.

Financial autonomy for universities? Among the drivers of this positive change, the Education for All
A major goal of the Ministry of Higher Education is to 2015 National Review identifies the conditional cash transfer to
grant some financial autonomy to universities, which are children from poor families at primary level and to rural girls at
currently not entitled to charge tuition fees or keep any secondary level; the use of ICTs in education; and the distribution
income. The ministry cites a World Bank study from 2005 of of free textbooks to schools, which can also be downloaded free
Pakistan, which repealed similar restrictive legislation about of charge from the governments e-book website.4
a decade ago. Now, Pakistani universities, on average, earn
49% of their budget (with some as high as 60%) Among the remaining challenges identified by the Education
from income they raise and gifts, observes the Sector Review (2013), about five million children are still not
ministry (MoHE, 2013). attending school and the rate of progression from primary
to secondary school (60.6% in 2013) has not improved. The
The aim of the reform is to foster entrepreneurship, review estimates that education plans should target the
universityindustry ties and the universities capacity to hardest-to-reach populations. It also pinpoints the need for
provide services. The ministry has prepared a proposal a substantial rise in budgetary allocations to secondary and
which would allow higher education institutions to keep higher education. In 2009, the last year for which data are
funds that they earn from entrepreneurial activities, such available, just 13.5% of the education budget went to higher
as drugs analysis done by the Faculty of Pharmacy at Kabul education, representing 0.3% of GDP (Figure 21.3).
University for the Ministry of Public Health. They would also
be able to keep income from night courses and donations Despite low levels of funding, enrolment in bachelors and
from benefactors and alumni. In addition, they would be masters degrees rose from 1.45 million to 1.84 million between
entitled to set up foundations which could accumulate 2009 and 2012, with particularly strong growth in S&T fields.
funds for major projects (MoHE, 2013). Growth was most impressive in engineering (+68%), where
enrolment in PhD programmes almost tripled between 2009
The ministrys position was vindicated by the outcome of a and 2012 (Table 21.2). This augurs well for the governments
pilot project implemented in 2012 which gave universities in strategy of fostering industrialization and economic
Kabul greater authority over procurement and expenditure diversification. Some 20% of university students are enrolled
below a certain financial threshold. The ministrys plans have in a masters programme, one of the highest ratios in Asia, but
been put on hold, however, by the failure of parliament to only 0.4% enrol in a PhD programme (see Figure 27.5).
pass the Higher Education Law, which was approved by the
Education Committee in 2012. 4. See: www.ebook.gov.bd

580
 South Asia

ICTs at heart of education policies be the backbone of the envisioned society in 2021, observes
After several unsuccessful attempts, the first formal National the Plan, thanks to a strong learning system from pre-primary
Education Policy was adopted in 2010. Key strategies include to university levels and the application of research and STI.
providing one year of pre-primary schooling for all children; Innovation is to be promoted in education and at work. Vast
extending compulsory primary education from Grade 5 to efforts will be made to develop IT through the Digital Bangladesh
Grade 8 by 2018; expanding vocational/technical training programme, one of the pillars of Vision 2021, in order to foster a
and curricula; making all pupils ICT-literate by the completion creative population (Planning Commission, 2012).
of primary school; and updating the syllabuses of higher
education to meet international standards. In order to provide the necessary impetus to achieve a Digital
Bangladesh by 2021, the Ministry of Science and Information and
Both the National Education Policy and National Information Communication Technology has been divided into two separate
and Communication Policy (2009) underscore the importance ministries. In its medium-term strategy for 20132017, the
of using ICTs in education. For instance, the National Education new Ministry of Information and Communication Technology
Policy makes ICTs a compulsory subject of vocational and evokes the development of a high-tech park, an IT village and a

Chapter 21
technical education curricula; universities are to be equipped software technology park. To this end, the Bangladesh High-tech
with computers and relevant curricula; and training facilities Authority was created in 2010 by act of parliament. The ministry
specializing in ICTs are to be developed for teachers. is currently revising the National Information and Communication
Policy (2009) and the Copyright Act (2000) to ensure that the
The Master Plan for ICT in Education for 2012 2021 sets out to rights of local software designers are protected.
generalize the use of ICTs in education. ICTs were introduced in
2013 as a compulsory subject for higher secondary school pupils The countrys first Science and Technology Policy was adopted
intending to sit public examinations in 2015. According to the in 1986. It was revised between 2009 and 2011 and is
Bangladesh Bureau of Educational Information and Statistics, the currently under revision once more, in order to ensure that
share of secondary schools with computer facilities rose from it contributes effectively to realizing the goals of Vision 2021
59% to 79% between 2010 and 2013 and the percentage of (Hossain et al., 2012). Some key targets of Vision 2021 are to
secondary schools with internet shot up from 18% to 63%. (Planning Commission, 2012):

n establish more institutes of higher learning in science and

Science and ICTs for middle-income status by 2021
technology;
The Perspective Plan of Bangladesh to 2021 was finalized in
2012 to operationalize the countrys blueprint for becoming n raise GERD significantly from the current level of 0.6% of GDP;
a middle-income economy by 2021, Vision 2021; one thrust
n increase productivity in all spheres of the economy, including
of the Perspective Plan is to improve the quality of education,
micro-enterprises and small and medium-sized enterprises
with an emphasis on science and technology. Curricula are to
(SMEs);
be upgraded and the teaching of mathematics, science and
information technology encouraged. An innovative people will n establish a National Technology Transfer Office (Box 21.3);

Box 21.3: Quality higher education for Bangladesh

The Higher Education Quality in 2014. This included connecting four competitive funding streams:
Enhancement Project (20092018) 30 public and private universities improvement of teaching and
funded by the World Bank aims to to the Bangladesh Research and learning and enhancement of research
improve the quality and relevance Education Network and continuous capabilities; university-wide innovation,
of the teaching and research funding allocated on the basis of the including the establishment of a
environment in Bangladesh by performance of academic research National Technology Transfer Office;
encouraging both innovation and projects which had already received and collaborative research with
accountability within universities funding. industry. In 2014, 135 sub-projects
and by enhancing the technical and were awarded AIF grants. Earlier
institutional capacity of the higher This project is supported by a projects have also reported satisfactory
education sector. competitive funding mechanism progress.
known as the Academic Innovation
The mid-term project review Fund (AIF). AIF has clear selection
reported satisfactory progress criteria and allocates resources through Source: World Bank

581
UNESCO SCIENCE REPORT

n attain self-sufficiency in food production;

Figure 21.10: GDP per economic sector in South Asia,
n reduce the proportion of people employed in agriculture 2013
from 48% to 30% of the labour force;

Afghanistan
24.0 54.8 21.2 12.1
n raise the contribution of manufacturing to about 27% of GDP
and that of industry to about 37% of GDP (Figure 21.10);

Bangladesh
n make ICT education compulsory at secondary level by 2013 16.3 56.1 27.6 17.3
and at primary level by 2021;

n increase teledensity to 70% by 2015 and 90% by 2021.

Bhutan
17.1 38.3 44.6 9.0

The Ministry of Science and Technology describes its current

mission as being to:

India
18.2 57.0 24.8 12.9
n expand peaceful use of nuclear energy through the
establishment of an atomic power plant and centres of
nuclear medicine; Maldives
4.2 73.3 22.5 7.1
n foster research on biotechnology and develop related
human resources;
Nepal

35.1 49.2 15.7 6.6

n develop environment-friendly, sustainable technology for
the poor through R&D, such as arsenic-free water, renewable
energy and energy-saving cookers;
Pakistan

25.1 53.8 21.1 14.0

n develop infrastructure for conducting oceanographic research
to enable use of the vast resources of the Bay of Bengal;
Sri Lanka

10.8 56.8 32.5 17.7

n enable the Scientific Documentation Centre to furnish
relevant S&T and industrial data to policy-makers and
decision-makers; and Agriculture Services Industry Manufacturing
(subset of industry)
n inculcate a scientific attitude in the general public and create
Source: World Banks World Development Indicators, April 2015
interest in astronomy through entertainment.

Box 21.4: Agricultural technology to boost productivity in Bangladesh

The Perspective Plan of Bangladesh to Gobeshana Foundation (Agricultural n Scholarships had been awarded to
2021 observes that flood-resistant crops Research Foundation), which had been 108 male and female scientists to
are a must for the country with chronic set up in 2007. Some of these research pursue higher studies in agriculture;
floods, little arable land and a rapidly projects developed the genotypes
n 732 farmers information and
growing population (1.2% annual of spices, rice and tomato for release
advisory centres had been
growth in 2014). It also acknowledges by the National Seed Board. Research
established;
that, for Bangladesh to become a focused on promoting climate-smart
middle-income country by 2021, agriculture and agro-ecological n 400 000 farmers had been mobilized
industrial expansion must go hand-in- approaches to farming in demanding into over 20 000 common interest
hand with more productive agriculture. ecosystems, such as floodplains and groups linked to markets; and
saline soils. By 2014, the project had
n 34 improved post-harvest
The National Agricultural Technology clocked up the following achievements:
technologies and management
Project funded by the World Bank
n 47 demonstrated new technologies practices had been adopted by
(20082014) set out to improve
had been adopted by 1.31 million over 16 000 farmers.
yields through research and
farmers;
technology transfer. The World Bank
funded the research grants awarded n 200 applied research projects had
by the government-sponsored Krishi been funded; Source: World Bank; Planning Commission (2012)

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 South Asia

Revamping industry However, UNCTADs Investment Policy Review of Bangladesh

Although Bangladeshs economy is based predominantly on (2013) observed that, when FDI inflows were analysed relative
agriculture (16% of GDP in 2013), industry contributes more to population and as a share of GDP, they were consistently
to the economy (28% of GDP), largely through manufacturing lower in Bangladesh than in some more populous countries
(Figure 21.10). The National Industrial Policy (2010) sets out to such as India and China. The FDI stock of Bangladesh was even
develop labour-intensive industries. By 2021, the proportion lower in 2012 than that of smaller countries such as Cambodia
of workers employed in industry is expected to double to 25%. and Uganda. The Investment Policy Review found that FDI
The policy identifies 32 sectors with high-growth potential. was instrumental in mobile telephony, substantial in power
These include established export industries such as the ready- generation and catalytic but not predominant in garments. The
made garment sector, emerging export industries such as study also found that the poor quality of infrastructure was a
pharmaceutical products and SMEs. major deterrent for potential investors. It suggested that better
infrastructure and an improved regulatory framework would
The National Industrial Policy also recommends establishing foster sustainable investment through FDI.
additional economic zones, industrial and high-tech parks

Chapter 21
and private export processing zones to drive rapid industrial
development. Between 2010 and 2013, industrial output already BHUTAN
grew from 7.6% to 9.0%. Exports remain largely dependent
on the ready-made garment sector, which contributed 68% Happiness in times of social change
of all exports in 20112012, but other emerging sectors are The Kingdom of Bhutans approach to all
growing, including shipbuilding and the life sciences. This aspects of national development is guided by its focus
industrialization policy is in line with the current Sixth Five-year on the overarching concept of gross national happiness.
Plan (20112015), which sees industrialization as a means of This concept is encapsulated in Bhutan 2020: A Vision for
reducing poverty and accelerating economic growth. Peace, Prosperity and Happiness, the countrys development
blueprint since 1999. Bhutan 2020 identifies five principal
Three months after the Rana Plaza tragedy in April 2013, in development objectives: human development; culture and
which more than 1100 mainly female workers in the garment heritage; balanced and equitable development; governance;
industry perished when a multi-storey factory collapsed, the and environmental conservation.
International Labour Organization, European Commission
and the Governments of Bangladesh and the USA signed the The Bhutanese have the third-highest level of income in
Sustainability Compact agreement. This agreement set out South Asia after the Maldives and Sri Lanka. Per-capita GDP
to improve labour, health and safety conditions for workers rose steadily between 2010 and 2013 (Figure 21.1). Over the
and to encourage responsible behaviour by businesses in the past decade, the traditional, mainly agricultural economy has
Bangladeshi ready-made garment industry. become more industrialized (Figure 21.10). As the contribution
from other sectors has risen, the role of agriculture has
The government has since amended the Labour Act. The declined.
amendments include the adoption of a national occupational
safety and health policy and standards for safety inspections Traditionally, Bhutanese women have held a relatively elevated
and the strengthening of laws in support of freedom of position in society; they tend to have greater property rights
association, collective bargaining and occupational safety and than elsewhere in South Asia, with women rather than men
health. Safety inspections have been performed in export- inheriting property in some areas. Industrial development over
oriented garment factories and public factory inspection the past decade appears to have had a negative impact on the
services have been given more resources. The findings of their traditional place of women in society and their participation
ongoing inspections are being made public. For its part, the in the labour force. The employment gap had been narrowing
private sector has put in place an Accord on Factory and Building since 2010 but started widening again in 2013, by which time
Safety in Bangladesh and an Alliance for Bangladesh Worker Safety 72% of men were in gainful employment, compared to 59% of
to facilitate factory inspections and improve working conditions. women, according to the National Labour Force Survey Report
(2013). The unemployment rate nevertheless remains low, at
Poor infrastructure a deterrent for investors just 2.1% of the population in 2012.
According to the World Investment Report 2014, Bangladesh was
one of the top five host countries for FDI in South Asia in 2012 A focus on the green economy and IT
and 2013. FDI net inflows nearly doubled from US$ 861 million Bhutans private sector has thus far played a limited role in the
in 2010 to US$1501 million in 2013. Although FDI outflows were economy. The government plans to change this by improving
low, they did increase from US$ 98 million in US$ 130 million the investment climate through policy and institutional
over the same period. reform and by developing the IT sector, in particular. In 2010,

583
UNESCO SCIENCE REPORT

the government revised its Foreign Direct Investment Policy infrastructure development in Bhutan. The Bhutan Innovation
(dating from 2002) to bring it into line with its Economic and Technology Centre, which houses Bhutans first business
Development Policy adopted the same year. incubator, has since been established at Thimpu Tech Park.5

The Foreign Direct Investment Policy (2010) identifies the Industrialization highlights skills mismatch
following priority areas for FDI: Illiteracy has long been an issue in Bhutan. In 2010, 53.6% of
the labour force was illiterate, 55% of whom were women.
n Development of a green and sustainable economy;
Overall illiteracy had declined to 46% by 2013 but remains
n Promotion of socially responsible and ecologically sound extremely high. Adding to this picture, only 3% of employees
industries; hold a university degree.

n Promotion of cultural and spiritually sensitive industries;

In 2012, skilled agricultural and fisheries workers represented
n Investment in services which promote Brand Bhutan; and 62% of the labour force, compared to only 5% in manufacturing
and 2% in mining and quarrying. The agricultural sector, with
n Creation of a knowledge society.
its inherent bias towards entrepreneurial self-employment,
offers untapped potential for developing more value-added
The policy identifies the following sectors and sub-sectors products and economic diversification. Appropriate skills
as being priority areas for investment that merit fast-track training and vocational education will be necessary to nurture
approval, among others: the countrys industrial development.

n Agro-based production: organic farming; biotechnology,

The Bhutanese governments eleventh Five-year Plan (2013
agro-processing, health food, etc.; 2018) acknowledges the current shortage of skills in highly
n Energy: hydropower, solar and wind energy; specialized professions and the mismatch between curricula
and the skills required by industry. It also highlights the
n Manufacturing: electronics, electrical, computer hardware
challenge posed by the limited resources for developing school
and building materials. infrastructure and the low interest in teaching as a profession:
nearly one in ten (9%) teachers was an expatriate in 2010,
In 2010, the government published its Telecommunications although this share had dropped to 5% by 2014.
and Broadband Policy. The policy announces the adoption of
a Human Resource Development Plan to help the ICT sector Unlike in other South Asian countries, there are no major
grow. It also foresees collaboration with the university sector gender inequality issues in the Bhutanese education system;
to bridge the gap between curricula and the needs of the IT primary school enrolment of girls is even higher than that
sector. A revised version of the policy was published in 2014 of boys in many urban areas. Net primary school enrolment
to reflect the dynamism of this rapidly evolving sector. had reached 95% by 2014, thanks to the development of the
secular school system, which has provided pupils living in
Bhutans first IT park remote areas with access to education. The government also
The Private Sector Development Project (20072013) funded aims to use ICTs to improve the quality of education (Box 21.5).
by the World Bank is also helping to develop the IT industry. It
has three thrusts: fostering the development of enterprises in Although 99% of children acceded to secondary level
the IT services sector; enhancing related skills; and improving education in 2014, three out of four later dropped out (73%).
access to finance. The project has spawned the first IT park in The Annual Education Statistics Report (2014) suggests that
Bhutan, Thimphu TechPark, which was commissioned in May
2012. This is an unprecedented publicprivate partnership for 5. See:www.thimphutechpark.com/bitc

Box 21.5: Using ICTs to foster collaborative learning in Bhutan

Launched in March 2014, the of mobile broadband, cloud computing Six schools are participating in the first
i-school project in Bhutan is a joint and the like. The collaborative learning 12-month pilot phase of the project.
initiative of the Ministry of Education, and teaching made possible through Two are located in Thimphu, one in
Bhutan Telecom Limited, Ericsson this project is based on connectivity to Punakha, one in Wangduephodrang,
and the Indian government. The other schools across the country and one in P/Ling and another in Samtse.
project strives to give children around the world.
quality education through the use Source: compiled by authors

584
 South Asia

many may be opting for vocational training at this stage of is fast expanding in the islands due to tourism (Republic of
their education. The National Human Resource Development Maldives, 2007b), or the sustainability of the capital, Mal,
Policy (2010) announced that vocational education would be considered one of the worlds most crowded metropolises.
introduced in schools from Grades 6 to 10 and that public
private partnerships would be put in place to improve the Signs of a greater focus on science
quality of training at vocational and technical institutes. The Maldives has had a tertiary learning institution since
1973 in the form of an Allied Health Services Training
A national council proposed to frame research Centre. First transformed into the Maldives College of
The Tertiary Education Policy (2010) fixed the target of raising Higher Education in 1999 then into the Maldives National
university enrolment from 19% to 33% of 19 year-olds by University in February 2011, it remains the countrys only
2017. The policy observed that mechanisms needed putting tertiary public degree-granting institution. In 2014, the
in place to measure the level of research activity in Bhutan university inaugurated its Faculty of Science, with the
and recommended an initial scoping exercise. The policy introduction of degree programmes in general sciences,
identified the following challenges for research: environmental science, mathematics and information

Chapter 21
technology. In addition, postgraduate programmes on offer
n National priorities for research need to be established and include a Master of Science in Computing and a Master
a system for determining such a strategy needs to be put of Science in Environmental Management. The university
in place. Different organizations undertake research but also has its own journal, the Maldives National Journal of
it is not based on an agreed understanding of national Research, but the focus appears to be on pedagogy rather
priorities. than the universitys own research.

n Research needs to be encouraged through funding,

Research output remains modest, with fewer than five
direction, career structures and access to networks of other
articles being published each year (Figure 21.8). The fact
researchers. It is also crucial to establish easy connections
that nearly all publications in the past decade involved
between research centres with government and industry.
international collaboration nevertheless bodes well for the
Funding could be of two types: seed funds to develop a
development of endogenous science.
research culture and more substantial funds to encourage
research that attempts to address national problems.
A commitment to education spending
n Facilities, including laboratories and libraries with up-to- The Maldives devoted 5.9% of GDP to education in
date information are needed for research. Currently, there 2012, the highest ratio in the region. It faces a number
is no government organization responsible for overseeing of challenges in developing its human capital that have
the interaction between all of the actors within the been compounded by the political turmoil since 2012.
research and innovation system. Other challenges include the large share of expatriate
teachers and the mismatch between curricula and the skills
To overcome these shortcomings, the policy stated that employers need.
a National Council for Research and Innovation would be
established. As of 2015, this was not the case. Although the Maldives had achieved universal net primary
enrolment by the early 2000s, this had fallen back to 94%
by 2013. Nine out of ten pupils went on to secondary
REPUBLIC OF MALDIVES school (92.3%) in 2014 but only 24% stayed on at the higher
secondary level. There are more girls than boys at the
Special circumstances call for sustainable primary and lower secondary levels but boys overtake girls
solutions at the higher secondary level.
The Republic of Maldives remains heavily reliant on fossil
fuels, despite the obvious advantages of local energy The Ministry of Education is eager to improve the quality of
generation for the archipelago. A number of initiatives have education. Between 2011 and 2014, UNESCO implemented
been taken to promote the uptake of solar and winddiesel a project in the Maldives for Capacity-building in Science
hybrid systems for electricity generation, which are financially Education, with financial support from Japan and the
feasible (Van Alphen et al., 2008). A study by the Republic of involvement of the Centre for Environment Education in
Maldives (2007a) identified a number of constraints, including India. The project developed teaching guides and prepared
deficient regulatory frameworks which weaken public modules and hands-on activity kits to foster creative
private partnerships and limited technical and managerial thinking and the scientific method. In-service teacher
capacities in energy transmission and distribution. Similar training was also organized for students at the Maldives
conclusions can be drawn for the transportation sector, which National University.

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UNESCO SCIENCE REPORT

The Ministry of Education and Ministry of Human Resources, climate-related risks. The current Three-Year Plan (20142016)
Youth and Sport began implementing a one-year Hunaru includes a number of priority areas that are relevant to S&T
(skills) Project for vocational and technical training in 2013. policies and outcomes (ADB, 2013, Box 1):
The aim is to train 8500 young people in 56 occupational fields,
with the government paying a fixed amount per student. Both n Increasing access to energy, especially a rural
public and private institutions can apply to run these courses. electrification programme based on renewable sources
(solar, wind, and hybrids) and miniature run-of the river
The government is intensifying publicprivate partnerships hydropower plants;
by offering land and other incentives to private companies
n Increasing agricultural productivity; and
to set up institutions offering higher education in selected
locations. One such partnership was under way on Lamu Atoll n Climate change adaptation and mitigation.
in 2014, where the Indian company Tata has agreed to set up
Realizing these goals, while addressing Nepals competitiveness
a medical college and to develop a regional hospital.
and growth challenges more broadly, will depend heavily on
the uptake of clean and environmentally sound technologies.
Successful technology absorption will, in turn, be conditional
NEPAL
on the adequate development of local S&T capacities and
human resources.
Moderate growth, falling poverty
Despite its prolonged political transition since
Three new universities since 2010
the end of the civil war in 2006, Nepal has registered a
The UNESCO Science Report 2010 attributed the lack of
moderate rate of growth averaging 4.5% over 20082013, as
development in S&T capabilities to the low priority given to
compared to the low-income country average of 5.8%. Nepal
education in basic sciences, at the expense of applied fields
was hardly affected by the global financial crisis of 20082009,
such as engineering, medicine, agriculture and forestry.
as it remains poorly integrated in global markets. Exports of
Nepals oldest university, Tribhuvan University (1959) has
goods and services as a share of GDP nevertheless fell from
since been joined by eight other institutions of higher
23% to 11% between 2000 and 2013. Contrary to what one
learning, the last three of which were established in 2010:
would expect from a country at Nepals stage of development,
the Mid-western University in Birendranagar, the Far-western
the share of manufacturing has also gone down slightly in the
University in Kanchanpur and Nepal Agriculture and Forestry
five years to 2013, to just 6.6% of GDP (Figure 21.10).
University in Rampur, Chitwan.

The country is on track to reach a number of MDGs,

Despite this development, official statistics suggest that
particularly those in relation to the eradication of extreme
enrolment in S&T fields is not progressing as fast as tertiary
poverty and hunger, health, water and sanitation (ADB, 2013).
enrolment overall. Science and engineering students
Nepal will need to do much more, though, to reach the MDGs
accounted for 7.1% of the student body in 2011 but only 6.0%
relating to employment, adult literacy, tertiary education
two years later (Figure 21.11).
or gender parity in employment, which are more germane
to science and technology. The country has some key
Striking a balance between basic and applied sciences
advantages, notably high remittances from abroad 20.2%
It is justifiable for a low-income country like Nepal to focus
of GDP between 2005 and 2012 and the countrys proximity
on applied research, provided it has sufficient connectivity
to high-growth emerging market economies such as China
to be able to tap into basic scientific knowledge generated
and India. Nepal lacks an effective growth strategy, though, to
elsewhere. At the same time, a greater capability in basic
harness these advantages to accelerated development. The
Asian Development Banks Macroeconomic Update of Nepal
underlined in February 2015 the deficient investment in R&D Figure 21.11: Students enrolled in higher education in
and innovation by the private sector as being key constraints Nepal, 2011 and 2013
to supply capacity and competitiveness. 27 473
2011

The government is cognizant of the problem. Nepal has had 385 454

a specific ministry in charge of science and technology since

28 570
1996. The responsibilities of this ministry have been combined
2013

with those of the environment since 2005. Partly as a result, the 477 077
countrys modest efforts in science and technology are heavily Science, technology and engineering All fields
focused on environmental issues, which is broadly defensible,
Source: UNESCO Institute for Statistics, June 2015
given Nepals high vulnerability to natural disasters and

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sciences would help the country to absorb and apply Ambitious plans to 2016
knowledge and inventions produced abroad. The exact The Nepalese government is confident that the period of
balance of policy focus in this area is a difficult call to make the Twelfth Three-Year Plan covering 20102013 has made a
in the absence of a more in-depth review of Nepals difference. This period has been marked by the start of DNA
innovation constraints and options. Moreover, whereas testing in Nepal, the establishment of a science museum, the
the UNESCO Science Report 2010 and national studies (such expansion of forensic science services, the consolidation of
as NAST, 2010) have advocated a greater focus on basic research laboratories and the inception of three-cycle studies
research in Nepal, some of the countrys more recent policy (Government of Nepal, 2013b). The government also claims to
pronouncements establish the priority of learning in applied have minimized brain drain.
science and technology over pure science; this is the case,
for example, of the declared objectives of the planned In the field of disaster risk reduction, two projects were
Nanotechnology Research Centre (Government of Nepal, implemented within the Regional Integrated Multi-Hazard
2013a). Early Warning System for Africa and Asia. The first sought to
develop a flood forecasting system for Nepal (20092011)
A leap forward in Nepals R&D effort

Chapter 21
and the second to expand climate risk management through
The UNESCO Science Report 2010 had also underlined the low technical assistance. As events so cruelly recalled in April
level of private sector investment in R&D. Half a decade on, 2015, Nepal does not have an earthquake early warning
Nepal still does not measure the business sectors R&D effort. system which would have given citizens forewarning of about
However, official statistics suggest a leap in the government 20 seconds of the impending disaster. Moreover, the number
budget for R&D since 2008, from 0.05% to 0.30% of GDP of lives lost in recent floods, despite the existence of a flood
in 2010, a greater effort than that of the relatively richer warning system, indicates the need for a more integrated
economies of Pakistan and Sri Lanka. Considering that 25% solution.
of researchers (by head count) worked in the business sector,
higher education or non-profit sector in 2010, total GERD in The Thirteenth Three-Year Plan covering 20132016 goes a
Nepal is likely to be closer to 0.5% of GDP. Indeed, the data step farther by articulating specific objectives to enhance
also suggest a 71% increase6 in the number of researchers the contribution of science and technology to economic
between 2002 and 2010 to 5 123 (or 191 per million development, including by:
population), as well as a doubling of technicians over the
same period (Figure 21.7). n checking and reversing the brain drain of scientists and
technicians;
Potential to attract the diaspora
n encouraging the formation of research and development
The UNESCO Science Report 2010 had noted the low number
units within industries;
of PhD students in Nepal and the modest level of scientific
production. In 2013, there were still only 14 PhD degrees n harnessing atomic, space, biological and other
awarded in Nepal. technologies, as required, for development;

n developing capacities in biological sciences, chemistry and

At the same time, Nepal has a relatively large tertiary student
nanotechnologies, in particular to benefit from Nepals rich
population abroad, numbering 29 184 in 2012. That year,
biodiversity; and
the Nepalese represented the eighth-largest foreign student
population in natural and social sciences and engineering n mitigating the effects of natural disasters and climate
disciplines in the USA7 and the sixth-largest in Japan, change, through early warning systems and other
according to the National Science Foundations Science mechanisms, in part through the use of space technology.
& Engineering Indicators, 2014. Between 2007 and 2013,
569 Nepalese nationals earned PhDs in the USA. Likewise, In this context, the Ministry of Science, Technology and
there are sizeable Nepalese tertiary student communities in Environment plans to set up four technology centres in the
Australia, India, the UK and Finland8. There is a potential to near future, namely a National Nuclear Technology Centre, a
harness this expatriate talent for the development of Nepals National Biotechnology Centre, a National Space Technology
future S&T potential, provided the right circumstances and Centre and a National Nanotechnology Centre. Some of these
momentum can be provided to woo them back home. research areas have obvious relevance for Nepals sustainable
development, such as the use of space-related technologies for
6. although there was a break in the data series between 2002 and 2010 environmental surveying and disaster monitoring or weather
7. after China, the Republic of Korea, Saudi Arabia, India, Canada, Viet Nam and forecasting. The Nepalese government needs to elaborate
Malaysia further the rationale and context behind other initiatives, such
8. www.uis.unesco.org/Education/Pages/international-student-flow-viz.aspx as its plans for nuclear technology development.

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UNESCO SCIENCE REPORT

PAKISTAN Within this vision, the first and sixth pillars are directly relevant
to the STI sector, whereas the overall global competitiveness
Plans to boost higher education spending of the country will depend on innovation in certain
Since 2010, Pakistans economy has remained competitive sectors. Moreover, government-led infrastructure
relatively depressed, owing to the uncertain security situation projects being planned as part of this vision include the
and ongoing political power crisis. More than 55000 civilians construction of a highway linking Lahore and Karachi, the
and military personnel have perished in hundreds of major Peshawar Northern Bypass, Gawadar Airport and the Gawadar
and minor terrorist attacks across major urban centres since Free Economic Zone.
2003.9 Between 2010 and 2013, Pakistans annual growth
rate averaged 3.1%, compared to 7.2% in India and 6.1% in The government plans to reconfigure the current energy mix to
Bangladesh. The economic impact of the security situation overcome power shortages. About 70% of energy is generated
manifests itself in consistently falling investment levels: FDI using furnace oil, which is costly and has to be imported. The
inflows accounted for 2.0% of GDP in 2005 but only 0.6% in government plans to convert furnace oil plants to coal and is
2013. In addition, tax revenue stood at 11.1% of GDP in 2013, investing in several renewable energy projects, which are one
according to the World Bank, one of the lowest rates in the of the priorities of Vision 2025.
region, limiting the governments ability to invest in human
development. Energy is one focus of the new PakistanChina Economic
Corridor Programme. During the Chinese presidents April 2015
During the 20132014 fiscal year, government spending on visit to Pakistan, 51 memoranda of understanding were signed
education stood at merely 1.9% of GDP, just 0.21% of which between the two governments for a total of
was earmarked for higher education. Education spending US$ 28 billion, much of it in the form of loans. Key projects
has shrunk each year since peaking at 2.75% of GDP in 2008. within this programme include developing clean coal-based
As part of Pakistans effort to create a knowledge economy, power plants, hydropower and wind power, a joint cotton
Vision 2025 (2014) has fixed the target of achieving universal biotech laboratory to be run by the two ministries of science
primary school enrolment and raising university enrolment and technology, mass urban transportation and a wide-ranging
from 7% to 12% of the age cohort and the number of new partnership between the National University of Modern
PhDs per year from 7000 to 25000 over the next decade. In Languages in Islamabad and Xinjiang Normal University in
order to reach these targets, the government has proposed Urumqi. The programme takes its name from the planned
devoting at least 1% of GDP to higher education alone by corridor that is to link the Pakistani port of Gwadar on the Sea
2018 (Planning Commission, 2014). of Oman to Kashgar in western China near the Pakistani border,
through the construction of roads, railway lines and pipelines.
Vision 2025 was developed by the Ministry of Planning,
Development and Reform and approved by the National In January 2015, the government announced two policies to
Economic Council in May 2014. It identifies seven pillars for facilitate the deployment of solar panels across the country,
accelerating the pace of economic growth, including through including the removal of taxes on imports and sales of solar
the creation of a knowledge economy: panels. After these taxes were introduced in 2013, the volume
of solar panel imports had shrunk from 350 MW to 128 MW.
n Putting people first: developing human and social capital; Through the second policy, the State Bank of Pakistan and the
Alternative Energy Development Board will allow home-owners
n Achieving sustained, indigenous and inclusive growth;
to leverage their mortgage to pay for the installation of solar
n Governance, institutional reform and modernization of the panels for a value of up to five million rupees (circa US$50000),
public sector; with comparatively low interest rates (Clover, 2015).

n Energy, water and food security;

Pakistans first STI policy
n Private sector-led growth and entrepreneurship; Among the most critical determinants for the success of any
countrys STI sector are the institutional and policy systems
n Developing a competitive knowledge economy through
responsible for managing relevant public policies. The
value addition; and Federal Ministry of Science and Technology has overseen the
n Modernization of transportation infrastructure and greater S&T sector since 1972. However, it was not until 2012 that
regional connectivity. Pakistans first National Science, Technology and Innovation
Policy was formulated: this was also the first time that the
government had formally recognized innovation as being
9. according to the Institute for Conflict Management, South Asia Terrorism Portal;
a long-term strategy for driving economic growth. The
see: www.satp.org/satporgtp/icm/index.html. policy principally emphasizes the need for human resource

588
 South Asia

development, endogenous technology development, Little change in the R&D sector

technology transfer and greater international co-operation in In Pakistan, the government is very present in the R&D sector,
R&D. However, it is not clear whether any part of the policy has both through public investment in defence and civilian
been implemented since its release. technologies and through state-operated bodies. According
to the R&D survey undertaken by the Pakistan Council for
The policy was informed by the technology foresight exercise Science and Technology in 2013, the governments R&D
undertaken by the Pakistan Council for Science and Technology organizations receive nearly 75.3% of national R&D spending.
from 2009 onwards. By 2014, studies had been completed
in 11 areas: agriculture, energy, ICTs, education, industry, The share of the population engaged in R&D dropped
environment, health, biotechnology, water, nanotechnology between 2007 and 2011, be they researchers or technicians.
and electronics. Further foresight studies are planned on However, growth then picked up between 2011 and 2013;
pharmaceuticals, microbiology, space technology, public these trends correlate with the relatively static levels of
health (see a related story in Box 21.6), sewage and sanitation, government spending in the R&D sector through its various
as well as higher education. organizations, which has not kept pace with economic

Chapter 21
growth.
R&D intensity to triple by 2018
Following the change of government in Islamabad after the In the public sector, about one in four researchers are
May 2013 general election, the new Ministry of Science and engaged in the natural sciences, followed by the agricultural
Technology issued the draft National Science, Technology sciences and engineering and technology. Almost one in
and Innovation Strategy 20142018, along with a request three researchers were female in 2013. Women made up half
for comments from the public. This strategy has been of researchers in medical sciences, about four out of ten in
mainstreamed into the governments long-term development natural sciences but only one in six engineers and one in ten
plan, Vision 2025, a first for Pakistan. The central pillar of the draft agricultural scientists. The great majority of state researchers
National Science, Technology and Innovation Strategy is human work in the higher education sector, a trend that has become
development. Although the pathway to implementation is not more pronounced since 2011 (Table 21.4).
detailed, the new strategy fixes a target of raising Pakistans
R&D spending from 0.29% (2013) to 0.5% of GDP by 2015 then The fact that the business enterprise sector is not surveyed
to 1% of GDP by the end of the current governments five-year does not augur well for monitoring progress towards a
term in 2018. The ambitious target of tripling the GERD/GDP knowledge economy. Moreover, neither Vision 2025, nor the
ratio in just seven years is a commendable expression of the draft National Science, Technology and Innovation Strategy
governments resolve but ambitious reforms will need to be 2014 2018 proposes strong incentives and clear roadmaps
implemented concurrently to achieve the desired outcome, as for fostering the development of industrial R&D and
greater spending alone will not translate into results. universityindustry ties.

Box 21.6: An app tracks a dengue outbreak in Pakistan

In 2011, Pakistans largest province, of Cambridge (UK) and Massachusetts district, the provincial capital with
Punjab, experienced an Institute of Technology (USA), designed the most dengue cases, to geo-code
unprecedented dengue epidemic a smartphone application to track the high-risk locations with dengue larvae,
which infected over 21000 citizens epidemic. particularly around the homes of
and resulted in 325 deaths. With dengue-infected patients. The steady
the provincial health system in crisis The application was pre-installed on stream of geospatial data was then
mode, the authorities were rapidly 15000 low-cost Android phones for as entered into a predictive algorithm to
overwhelmed, unable to track many government officials, who were become an epidemic early warning
simultaneous interventions being required to upload before and after system accessible to policy-makers at
undertaken by multiple departments, photographs of all their anti-dengue the highest level of government.
let alone predict locations where interventions. The entire data set was
dengue larvae might appear. then geo-coded and displayed on a The project enabled the authorities
Google Maps-based dashboard, freely to control the spread of the disease.
At this point, the Punjab Information accessible to the public via internet and The number of confirmed cases fell to
Technology Board stepped in. A to senior government officials through 234 in 2012, none of which were fatal.
team led by Professor Umar Saif, a smartphones. Teams of surveyors were
former academic from the University despatched throughout the Lahore Source: High (2014); Rojahn (2012)

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UNESCO SCIENCE REPORT

Table 21.4: Researchers (FTE) in Pakistans public sector by employer, 2011 and 2013

Share of total Share of total

researchers working researchers working
Government Women (%) Higher education Women (%) in government (%) in higher education (%)

2011 9 046 12.2 17 177 29.6 34.5 65.5

2013 8 183 9.0 22 061 39.5 27.1 72.9

Note: Data for Pakistan exclude the business enterprise sector. FTE refers to full-time equivalents.

Source: UNESCO Institute for Statistics, June 2015

Decentralization of higher education governance Despite these dramatic quantitative improvements across a
In 2002, the University Grants Commission was replaced variety of indicators, critics argue that this so-called numbers
with the Higher Education Commission (HEC), which has an game has compromised quality, a claim supported by the
independent chairperson. The HEC has been charged with stagnation of Pakistani universities in global education
reforming Pakistans higher education system by introducing rankings (Hoodbhoy, 2009).
better financial incentives, increasing university enrolment
and the number of PhD graduates, boosting foreign Irrespective of this disagreement, the HEC found itself on
scholarships and research collaboration and providing all the the brink of dissolution in 20112012 in the face of the
major universities with state-of-the-art ICT facilities. 18th amendment to the Constitution, which devolved several
governance functions to provincial governments, including
Between 2002 and 2009, the HEC succeeded in increasing the that of higher education. It was only after the Supreme Court
number of PhD graduates to 6000 per year and in providing intervened in April 2011, in response to a petition from the
up to 11000 scholarships for study abroad. It also introduced former Chair of the HEC, that the commission was spared from
an e-library and videoconferencing facilities, according to being divided up among the four Provinces of Baluchistan,
the UNESCO Science Report 2010. The number of Pakistani KhyberPakhtunkhwa, Punjab and Sindh.
publications recorded in the Web of Science leapt from 714
to 3 614 over the same period. The range of achievements Notwithstanding this, the HECs developmental budget
during the reform period remains unprecedented in the that spent on scholarships and faculty training, etc. was
history of Pakistans higher education and R&D sectors. slashed by 37.8% in 20112012, from a peak of R. 22.5 billion
Moreover, publications in the Web of Science have since (circa US$ 0.22 billion) in 20092010 to Rs 14 billion
pursued their progression (Figure 21.8). This progress in (circa US$ 0.14 billion). The higher education sector continues
scientific productivity appears to be due to the momentum to face an uncertain future, despite the marginal increase in
generated by the larger numbers of faculty (Table 21.4) and developmental spending wrought by the new administration
student scholarships for study abroad, as well as the swelling in Islamabad: Rs. 18.5 billion (circa US$0.18 billion) in the
ranks of PhD graduates. 20132014 budget.

In defiance of the Supreme Court ruling of April 2011, the

Figure 21.12: Pakistani Higher Education Commissions provincial assembly of Sindh Province passed the unprece-
budgetary allocations, 20092014 dented Sindh Higher Commission Act in 2013 creating
Pakistans first provincial higher education commission. In
Recurrent
2009 Development
October 2014, Punjab Province followed suit as part of a
massive restructuring of its own higher education system.
2010
In sum, Pakistans higher education sector is in transition,
2011
albeit with legal complications, towards a devolved
2012 system of governance undertaken at the provincial level.
Although is too early to assess the potential impact of these
2013 developments, it is clear that the momentum of growth
0 10 20 30 40 50 60
in spending and graduates in the higher education sector
Billions of Pakistani rupees during the first decade of the century has now been lost.
According to HEC statistics, the organizations budget as
Source: Higher Education Commission of Pakistan
a percentage of national GDP has consistently fallen from

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 South Asia

the 2006-2007 peak of 0.33% to 0.19% in 20112012. In the sector continues to play a dominant role in the STI market,
interests of Vision 2025s stated goal of building a knowledge whereas the private sector appears to be lagging (Auerswald
economy, Pakistans public policy apparatus will need to et al., 2012). This is also indicative of the non-existence of
undertake a fundamental reprioritization of development an appropriate entrepreneurial avenue (or culture), which is
spending, such as by giving itself the means to reach the affecting Pakistans global economic competitiveness.
target of devoting 1% of GDP to higher education.
Despite the mainstreaming of the national STI policy within
Despite the turbulence caused by the legal battle being national development policy, its potential impact on
waged since the 2011 constitutional amendment discussed programmatic interventions remains far from clear. In order to
earlier, the number of degree-awarding institutions continues achieve its goal of becoming a knowledge economy, Pakistan
to grow throughout the country, both in the private and still requires a bolder vision from decision-makers at all levels
public sectors. Student rolls has been rising in tandem, from of government.
only 0.28 million in 2001 to 0.47 million in 2005, before
crossing the 1.2 million mark in 2014. Just under half of

Chapter 21
universities are privately owned (Figure 21.13).
SRI LANKA
STI mainstreamed into development Strong growth since conflicts end
The overall picture of the STI sector in Pakistan is at best Mahinda Chintana: Vision for the Future
a mixed one. While the higher education sector faces an 2020 (2010) is the overarching policy setting Sri Lankas
uncertain future, the governments mainstreaming of STI development goals to 2020; it aims to turn Sri Lanka into a
thinking into the national development narrative could signal knowledge economy and one of South Asias knowledge
a turnaround. Although indicators clearly show growth in hubs. The newfound political stability since the end of the
higher education, they do not necessarily imply that the prolonged civil war in 2009 has spawned a building boom
quality of education and research has also improved. since 2010, with the government investing in strategic
development projects to build or expand motorways, airports,
Moreover, the growth in PhD graduates and scientific seaports, clean coal plants and hydropower. These projects
publications does not appear to be having a discernible impact are designed to turn Sri Lanka into a commercial hub, naval/
on innovation, as measured by patent activity. According to maritime hub, aviation hub, energy hub and tourism hub. The
the World Intellectual Property Rights Organization (WIPO), Strategic Investment Projects Act of 2008 (amended in 2011
patent applications10 from Pakistan increased from 58 to 96 and 2013) was introduced to provide a tax-free period for the
between 2001 and 2012 but the proportion of successful implementation of strategic development projects.
applications over the same period fell from 20.7% to 13.5%.
This poor performance indicates a lack of a meaningful In order to attract FDI and technology transfer, the
relationship between the university reforms and their impact government has signed a series of agreements with foreign
on industry (Lundvall, 2009). As discussed above, the public governments, including those of China, Thailand and the
Russian Federation. Within an agreement signed in 2013,
10. These statistics are based on data collected from IP offices or extracted from the
for instance, the Russian State Atomic Energy Corporation
PATSTAT database. Source: www.wipo.int
(ROSATOM) is assisting Sri Lankas Atomic Energy Authority
in developing nuclear energy infrastructure and a nuclear
Figure 21.13: Growth in number of Pakistani universities, research centre, as well as providing training for workers. In
20012014 2014, the government signed an agreement with China for
the expansion of the Port of Colombo and the development
Private of infrastructure (port, airport and motorway) in Hambantota,
2001 22 37 Public
which the government plans to turn into Sri Lankas second
2005 53 57 urban hub after the capital. The agreement with China also
covers technical co-operation on the Norochcholai Coal
2009 57 70
Power Project.
2013 66 87
Between 2010 and 2013, GDP increased by 7.5% per year on
2014 69 87 average, up from 3.5% in 2009. In parallel, GDP per capita
0 50 100 150 200
grew by 60% from US$2 057 to US$ 3 280 between 2009 and
Number of degree awarding instituitions 2013. Although Sri Lankas rank in the knowledge economy
index dropped from 4.25 to 3.63 between 1999 and 2012, it
Source: Higher Education Commission of Pakistan
remains higher than for all other South Asian countries.

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UNESCO SCIENCE REPORT

Sri Lanka has made the transition from an agricultural economy

Figure 21.14: Sri Lankan researchers (FTE) by sector of
to one based on services and industry (Figure 21.10) but the
employment, 2008 and 2010
proportionate supply of science and engineering graduates
from local universities is lower than for other disciplines.
Business
enterprise
Higher education reforms seek to expand capacity 19.5
sector
Sri Lanka is likely to achieve universal primary education and
gender parity by 2015, according to UNESCOs Education for 49.2
2008
Private
All Global Monitoring Report (2015). One concern is the low
non-profit
level of public spending on education, which even dropped
between 2009 and 2012 from 2.1% to 1.7% of GDP, the lowest 31.3

level in South Asia (Figure 21.3). 0.2

27.1
Sri Lanka counts 15 state-controlled universities which Higher 31.7
operate under the University Grants Commission (UGC) education
and a further three under the Ministries of Defence, Higher 2010
Education and Vocational and Technical Training. These
18 state universities are complemented by 16 registered
Government
private universities offering bachelors or masters degrees.
41.0

At 0.3% of GDP, Sri Lankas public spending on higher education

Source: UNESCO Institute for Statistics, June 2015
is one of the lowest in South Asia, on a par with that of
Bangladesh. According to the UGC, only 16.7% of the students
who qualified for university could be admitted for the year n implementation of University Development Grants to
20122013. These factors explain the relatively low proportion improve the skills of students at all universities in relation
of researchers in Sri Lanka a head count of just 249 per million to information technology (IT), English and soft skills, such
inhabitants in 2010 , and the modest progress in recent years as conscientiousness or leadership qualities, which are
(Figure 21.7). Of note is that the share of researchers working in valued by employers at all target 17 universities;
the business enterprise sector (32% in full-time equivalents for n implementation of Innovatory Development Grants for
2010) is approaching that of India (39% in 2010), a trend which university students enrolled in the arts, humanities and
augurs well for the development of a dynamic private sector social sciences at all target 17 universities;
in Sri Lanka (Figure 21.14). In 2012, the Sri Lankan government
announced tax incentives for private companies undertaking n award of Quality and Innovation Grants (QIG), which
R&D and for the use of public research facilities. enhance the quality of academic teaching, research and
innovation, to 58 study programmes, exceeding the
The government has spent the past few years addressing project target of 51; nearly all QIGs are performing well;
the insufficient number of university places. This is one of n enrolment of over 15000 students in advanced
the objectives of the Higher Education for the Twenty-first technological institutions, surpassing the current project
Century Project (20102016), which aims to ensure that target of 11000;
universities are in a position to deliver quality services aligned
with the countrys socio-economic needs. The mid-term n commencement of masters or PhD degree programmes
review in 2014 identified the following achievements: by over 200 academics from universities and the Sri Lanka
Institute of Advanced Technological Education, exceeding
n progressive implementation of the Sri Lanka Qualification the project target of 100 masters/PhD degrees; and
Framework (SLQF, est 2012) by national institutes and n about 3560 beneficiaries of short-term professional
universities; it regulates the ten levels of qualification development activities targeting university administrators
offered by public and private post-secondary institutions and managers, academics and technical and support staff.
to enhance equity in higher education, training and job
opportunities and facilitate lateral and vertical mobility Greater mobility for Sri Lankan engineers
in the university system; the SLQF integrates the National In June 2014, the premier body for engineers in Sri Lanka,
Vocational Qualification Framework (2005) and identifies the Institution of Engineers, became a signatory of the
pathways for ensuring mobility between vocational and Washington Accord, along with its Indian counterpart. The
higher education by providing a nationally consistent basis Washington Accord is an international agreement by which
for recognizing prior learning and the transfer of credits; bodies responsible for accrediting engineering degree

592
 South Asia

programmes recognize the graduates of other signatory n Establish an effective framework to prepare the population
bodies as having met the academic requirements for entry of Sri Lanka for a knowledge society; and
into the engineering profession. This recognition offers future
n Ensure that the sustainability principle is entrenched in all
Sri Lankan and Indian engineers easy mobility throughout the
spheres of scientific activity to ensure socio-economic and
signatory countries.11
environmental sustainability.

Sri Lankas first STI policy

A better quality of life through R&D
Sri Lankas first comprehensive National Science and
Adopted in July 2014, the National Investment Framework for
Technology Policy was adopted in June 2009, following
Research and Development for 20152020 identifies ten focus
a thorough consultative process with all stakeholders,
areas for investment in R&D to improve the quality of life.
as outlined in the UNESCO Science Report 2010. These
Relevant government ministries and other public and private
consultations identified the need to develop a science and
institutions were asked to take part in the study, in order to
innovation culture, build human resource capabilities and
recommend national R&D priorities.
promote R&D and technology transfer. Participants also felt

Chapter 21
that the policy should foster sustainability and indigenous
The ten focus areas are:
knowledge, propose a defined system of intellectual property
rights and promote the application of science and technology n Water;
for human welfare, disaster management, adaptation to
n Food, nutrition and agriculture;
climate change, law enforcement and defence.
n Health;
Under the objective of Enhancing Science and Technology
n Shelter;
Capability for National Development, the policy identifies
strategies for increasing the state sector investment in science n Energy;
and technology to 1% of GDP by 2016 and facilitating the
n Textile industry;
non-state sector investment in R&D to at least 0.5% of the GDP
by 2016. This is an ambitious target, since the government n Environment;
devoted just 0.09% of GDP to GERD in 2010 and the business
n Mineral resources;
enterprise sector (public and private) a further 0.07%.
n Software industry and knowledge services;
Approved by the Cabinet in 2010, the National Science,
n Basic sciences, emerging technologies and indigenous
Technology and Innovation Strategy (20112015) serves
knowledge.
as the roadmap for implementing the National Science
and Technology Policy. The body responsible for piloting
Nanotechnology a priority
the strategy, the Co-ordinating Secretariat for Science,
Development of the industrial sector has accelerated since
Technology and Innovation (COSTI), was set up for this
the Cabinet approved12 the National Biotechnology Policy in
purpose in 2013. COSTI is currently preparing an evaluation of
2010 and the National Nanotechnology Policy in 2012.
the national research and innovation ecosystem.

Nanotechnology got its first institutional boost in 2006

The National Science, Technology and Innovation Strategy
with the launch of the National Nanotechnology Initiative.
(20112015) identifies four broad goals:
Two years later, the government established the Sri Lanka
n Harness innovation and technology to economic Institute of Nanotechnology (SLINTEC) in an unprecedented
development through focused R&D and dynamic joint venture with the private sector (Box 21.7). In 2013, the
technology transfer to increase the share of high-tech Nanotechnology and SciencePark opened, along with the
products for export and the domestic market; the main Nanotechnology Centre of Excellence, which provides high
target of the Advanced Technology Initiative is to raise the quality infrastructure for nanotechnology research. In 2013,
share of high-tech products among exports from 1.5% in Sri Lanka ranked 83rd for the number of nano-articles in the
2010 to 10% by 2015; Web of Science per million inhabitants (Figure 21.8). It trails
Pakistan (74th), India (65th) and Iran (27th) for this indicator
n Develop a world-class national research and innovation
(for India and Iran, see Figure 15.5).
ecosystem;

11. Among the other signatories are Australia, Canada, Ireland, Japan, Rep. Korea,
Malaysia, New Zealand, Russia, Singapore, South Africa, Turkey, the UK and USA. 12. A third sectorial policy on human genetic material and data was still in draft
See: www.iesl.lk form at the time of writing in mid-2015.

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UNESCO SCIENCE REPORT

Box 21.7: Developing smart industry through the Sri Lanka Institute of Nanotechnology

The Sri Lanka Institute of n bring nanotechnologyresearch and Gunawardena (2012) identified the
Nanotechnology (SLINTEC) was businessenterprises together; and focus areas of SLINTEC as:
established in 2008 as in a joint
n attract expatriate Sri Lankan n Smart agriculture: nanotechnology-
venture between the National
scientists by creating asustainable based slow release fertilizer;
Science Foundation and Sri Lankan
ecosystem. potential expansion to sensors and
corporate giants that include
next generation fertilizers;
Brandix, Dialog, Hayleys and
Less than one year after its inception,
Loadstar. Its aims are to: n Rubber nano-composites: high-
SLINTEC filed five international
performance tyres;
n build anational innovation patents with the United States Patent
platformfor technology-based and Trademark Office, a remarkable n Apparel and textile: high-end fabrics,
economic development by achievement. Two additional patent smart yarns and other technologies;
helping to raise the proportion of applications were filed in 2011 and
n Consumer products: a
high-tech exports from 1.5% to 2012. These inventions include a
nanotechnology-based external
10% of total exports by 2015 and process for the preparation of carbon
medical sensor with a view to
through the commercialization nanotubes from vein graphite;
enabling remote health monitoring,
ofnanotechnology; compositions for sustained release of
detergents, cosmetics, etc.;
agricultural macronutrients and related
n deepen collaboration between
processes; a cellulose-based sustained n Nano-materials: ilmenite, clay,
research institutes and
release macronutrient composition magnetite, vein quartz and vein
universities;
for fertilizer application; a process graphite to develop titanium
n introducenano-aspects of for reinforcing elastomer-clay nano- dioxide, montmorillonite,
leading technologies and composites; a process for preparing nanomagnetite, nanosilica and
industries to make Sri Lankan nanoparticles from magnetite ore; a graphite nanoplatelets.
products more competitive nanotechnology-based sensor unit;
globally and add value to Sri a composition for stain and odour
Lankas natural resources; removal from bio-polymeric fabrics, etc. Source: http://slintec.lk

Schemes to foster innovation disbursed just LKR 2.94 million (circa US$22 000) in grants
The National Science Foundation has instituted two through its own Inventors Fund the same year.
technology grant schemes to encourage innovation. The
first (Tech D) helps universities, research institutes, private Smart people, smart island
firms and individuals develop their ideas, whereas the second The first framework for generalizing ICTs was the e-Sri Lanka
focuses on start-ups based on novel technologies. In 2011, roadmap launched in 2002, which spawned the Information
five Tech D grants and one start-up grant were awarded. and Communication Technology Act and the founding of
the government-owned Information and Communication
In 2013, the Ministry of Technology and Research organized Technology Agency (ICTA) in 2003. ICTA implemented the
its third Technology Marketplace exhibition to provide a governments e-Sri Lanka Development Project, which sought
forum where scientific research and industry could meet. to bring ICTs to every village, until the projects end in 2013.
The ministry has directed its five research bodies to focus on By 2013, 22% of the population had access to internet,
demand-driven research: the Industrial Technology Institute, compared to just 6% in 2008, and 96% had a mobile phone
National Engineering Research and Development Centre, subscription.
Atomic Energy Board, SLINTEC and the Arthur C. Clarke
Institute for Modern Technologies. Phase 2 of the e-Sri Lanka Development Project was
launched by ICTA in 2014, in order to spur economic
In 2010, the USA-based Blue Ocean Ventures launched the development through innovation in ICTs. Known as Smart
Lankan Angels Network. By 2014, the investors operating within Sri Lanka, the project is expected to run for about six years.
this network had injected US$1.5 million into 12 innovative Its slogan is smart people, smart island. Its goals could be
Sri Lankan companies, within a partnership with the Sri Lankan summed up as: smart leadership, smart government, smart
Inventors Commission (est. 1979). The Ministry of Technology cities, smart jobs, smart industries and a smart information
and Research reported in 2013 that the Commission had society.

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 South Asia

Smart Sri Lanka reposes on six programmatic strategies to In order to exploit a broad spectrum of opportunities, national
achieve its goal: innovation systems should be designed to enable both the
development of local capacity in research and innovation and
n ICT policy, leadership and institutional development; the acquisition of external knowledge and technologies which
can generally be found in locally operated, technologically
n Information infrastructure;
advanced firms. Whereas the majority of industries in South Asia
n Re-engineering government; are not yet technologically advanced, there are nevertheless a
few local firms that have become internationally competitive,
n ICT human resource development;
particularly in Pakistan and Sri Lanka. Given the heterogeneity
n ICT investment and private sector development; and among firms in terms of their technological innovativeness, the
national innovation system will need to be sufficiently flexible to
n The e-society.
support their different technological requirements. Whereas local
In parallel, ICTA has set up telecentres (nenasalas) across the innovation systems are usually designed to support R&D-led
country, in order to connect communities of farmers, students innovation, countries that are able to capitalize systemically on

Chapter 21
and small entrepreneurs to information, learning and trading the accumulated capabilities of high-performing local firms and
facilities. These telecentres provide people with access to implanted multinationals to nurture their industries are likely to
computers, internet and training in IT skills. The nenasalas also generate broader innovative capabilities.
provide access to local radio broadcasts of market prices and
agricultural information for farmers; e-health and telemedecine Economic development through FDI requires a high level of
facilities for rural patients; and digital talking books (audio local responsiveness and absorptive capacity, in particular with
books) for the visually impaired. Three types of nenasala have regard to technology diffusion. The FDI inflows to the South
been implemented: rural knowledge centres; e-libraries; and Asian economies reviewed in the present chapter have not
distance and e-learning centres. As of August 2014, there were significantly contributed to their growth, in comparison with
800 nenasalas across the country.13 countries in East Asia. Technologically advanced economic
sectors where value chain activities are able to utilize existing
local knowledge, skills and capabilities have an opportunity to
upgrade their local industries.
CONCLUSION
A need to blend local and external capacity Governments need to ensure that sufficient funds are available
There have been some significant improvements in education for the implementation of national research and education
since 2010 in South Asia, along with more modest progress policies. Without adequate resources, it is unlikely that these
in developing national innovation systems. In both areas, low policies will bring about effective change. Governments are
levels of public funding have been an obstacle to development aware of this. Pakistan has set targets to increase its investment
but, in the case of education, government efforts have been in R&D to 1% of GDP by 2018 and Sri Lanka plans to increase its
supplemented by projects funded by international donor own investment to 1.5% of GDP by 2016, with a public sector
agencies. Despite gains in net primary school enrolment, contribution of at least 1%. These targets look good on paper but
uptake to secondary-level education enrolment nevertheless have governments put in place the mechanisms to reach them?
remains relatively low: the most populous countries, Spending on R&D also has to be prioritized, if limited financial and
Bangladesh and Pakistan, have reported levels of only 61% human resources are to make the desired impact.
(2013) and 36% (2012) respectively.
Publicprivate partnerships can be an important ally in policy
Universal primary and secondary education is only the first step implementation as long as the private sector is sufficiently
towards developing the requisite professional and technical skills robust to shoulder part of the burden. If not, tax incentives and
that countries will need to realize their ambition of becoming other business-friendly measures can give the private sector the
a knowledge economy (Pakistan and Sri Lanka) or middle- boost it needs to become an engine of economic development.
income country (Bangladesh, Bhutan and Nepal) within the next Publicprivate partnerships can create synergies between firms,
decade. Building an educated labour force will be a prerequisite public R&D institutes and universities for industry-led innovation,
for developing the high-value-added industries needed to one obvious example in this respect being SLINTEC (Box 21.7).
undertake the desired industrial diversification. Education
planning will need to include investment in infrastructure, The lack of infrastructural capacity to support the use of internet
programmes to improve teaching skills and the development of remains a challenge for many South Asian countries. This leaves
curricula that match skills with employment opportunities. them unable to connect their own internal urban and rural
economies or with the rest of the world. All countries have made
13. See: www.nenasala.lk efforts to include ICTs in education but the availability and quality

595
UNESCO SCIENCE REPORT

of the electricity supply in rural areas and the deployment ADB (2012) Completion Report Maldives: Employment Skills
of ICTs are still major concerns. Mobile phone technology is Training Project. Asian Development Bank: Manila.
widespread, being used by farmers, school children, teachers
and businesses; this almost ubiquitous, easily accessible Auerswald, P.; Bayrasli, E. and S. Shroff (2012) Creating a
and affordable technology represents an enormous but still place for the future: strategies for entrepreneurship-
underutilized opportunity for information- and knowledge- led development in Pakistan. Innovations: Technology,
sharing, as well as for the development of commercial and Governance, Globalization, 7 (2): 10734.
financial services across urban and rural economies.
Clover, Ian (2015) Pakistan overhauls its solar industry for the
better. PV Magazine. See: www.pv-magazine.com
KEY TARGETS FOR SOUTH ASIAN COUNTRIES

Gopalan, S.; Malik, A. A. and K. A. Reinert (2013) The imperfect

n Raise the share of higher education to 20% of the Afghan
substitutes model in South Asia: PakistanIndia trade
education budget by 2015;
liberalization in the negative list. South Asia Economic
n Ensure that women represent 30% of Afghan students Journal, 14(2): 211230.
and 20% of faculty by 2015;
Government of Nepal (2013a) Briefing on the Establishment
n Raise the contribution of industry to 40% of GDP in
of a Technology Research Centre in Nepal. Singha Durbar,
Bangladesh and increase the share of workers employed
Kathmandu. See: http://moste.gov.np.
by industry to 25% of the labour force by 2021;

n Reduce the share of workers employed in agriculture Government of Nepal (2013b) An Approach Paper to the
in Bangladesh from 48% of the labour force in 2010 to Thirteenth Plan (FY 2013/14 2015/16). National Planning
30% in 2021; Commission, Singha Durbar, Kathmandu, July.

n Create a National Council for Research and Innovation

Gunawardena, A. (2012) Investing in Nanotechnology in Sri Lanka.
in Bhutan;
Sri Lanka Institute of Nanotechnology (SLINTEC): Colombo.
n Broaden access to higher education in Pakistan from
7% to 12% of the age cohort and increase the number High, P. (2014) A professor with a Western past remakes
of new PhDs per year from 7000 to 25000 by 2025; Pakistans entrepreneurial Future. Forbes.

n Raise Pakistans GERD to 0.5% of GDP by 2015 and to

Hoodbhoy, P. (2009) Pakistans Higher Education System
1% of GDP by 2018;
What Went Wrong and How to Fix It. The Pakistan
n Increase expenditure on higher education to at least Development Review, pp. 581594.
1% of GDP in Pakistan by 2018;
Hossain, M. D. et al. (2012) Mapping the dynamics of the
n Raise Sri Lankas GERD from 0.16% of GDP in 2010 to
knowledge base of innovations of R&D in Bangladesh: a
1.5% of GDP by 2016, to which the private sector should
triple helix perspective.Scientometrics90.1 (2012): 5783.
contribute 0.5% of GDP, compared to 0.07% in 2010;

n Augment the share of Sri Lankan high-tech products Khan, S. R.; Shaheen, F. H., Yusuf, M. and A. Tanveer (2007)
from 1.5% (2010) to 10% of exports by 2015. Regional Integration, Trade and Conflict in South Asia.
Working Paper. Sustainable Development Policy Institute:
Islamabad.
REFERENCES
Lundvall, B.-A (2009) Innovation as an Interactive Process: User
ADB (2014) Innovative Strategies in Technical and Vocational Producer Interaction in the National System of Innovation.
Education and Training. Asian Development Bank. Research Paper. See: http://reference.sabinet.co.za

ADB (2013) Nepal Partnership Strategy 20132017. Asian MoE (2014) Annual Education Statistics 2014. Ministry of
Development Bank. Education of Bhutan: Thimphu.

Amjad, R. and Musleh U. Din (2010) Economic and Social MoHE (2013) Higher Education Review for 2012: an Update on
impact of the Global Financial Crisis: Implications for the Current State of Implementation of the National Higher
Macroeconomic and Development Policies in South Asia. Education Strategic Plan: 20102014. Government of
Munich Personal RePEc Archive Paper. Afghanistan: Kabul.

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 South Asia

MoHE (2012) Sri Lanka Qualifications Framework. Ministry of Valk, J.-H.; Rashid, A. T. and L. Elder (2010). Using Mobile
Higher Education of Sri Lanka: Colombo. Phones to Improve Educational Outcomes: an Analysis of
Evidence from Asia. The International Review of Research in
MoTR (2011) Science, Technology and Innovation Strategy. Open and Distance Learning, 11: 117140.
Ministry of Technology and Research of Sri Lanka: Colombo.
Van Alphen, K. et al. (2008) Renewable energy technologies
MoLHR (2013) 11th National Labour Force Survey Report 2013. in the Maldives: realizing the potential. Renewable and
Department of Employment, Ministry of Labour and Human Sustainable Energy Reviews 12, 162180.
Resources of Bhutan: Thimpu.
World Bank (2014) Regional Integration in South Asia. Brief.
NAST (2010) Capacity Building and Management of Science, World Bank: Washington, D.C.
Technology and Innovation Policies in Nepal. Final Report.
Prepared for UNESCO by Nepal Academy of Science and
Technology. Dilupa Nakandala (b. 1972: Sri Lanka) holds a PhD

Chapter 21
in Innovation Studies from the University of Western
Planning Commission (2014) Pakistan Vision 2025. Ministry Sydney in Australia where she is currently a research
of Planning, Development and Reform of Bangladesh: fellow and research liaison officer for the School of
Islamabad. See: http://pakistan2025.org. Business. She has over seven years experience in
research and teaching in the areas of management of
Planning Commission (2012) Perspective Plan of Bangladesh, innovation, technology, entrepreneurship, supply chain
2010 2021. Final Draft, April. Government of Bangladesh: and international business.
Dhaka.
Ammar A. Malik(b.1984: Pakistan) received his PhD in
Republic of Maldives (2007a) Maldives Climate Change In- Public Policy from the School of Policy, Government and
Depth Technology Needs Assessment Energy Sector. International Affairs at George Mason University in the
Study conducted by the Commerce Development and USA in 2014. He is currently a Research Associate at the
Environment Pvt Ltd for the Ministry of Environment, Center on International Development and Governance at
Energy and Water, July. the Urban Institute in Washington, D.C., USA.

Republic of Maldives (2007b) In-Depth Technology Needs

Assessment Transport Sector. Study conducted by Ahmed
ACKNOWLEDGMENTS
Adham Abdulla, Commerce Development and Environment
Pvt Ltd for the Ministry of Environment, Energy and Water, The authors wish to thank Prof. Hari Sharma, Director of the
September. Alliance for Social Dialogue in Nepal, for his insights into STI
development of Nepal, and Prof. Sirimali Fernando, CEO of the
Saez, Lawrence (2012) The South Asian Association for Coordinating Secretariat for Science, Technology and Innovation
Regional Cooperation (SAARC): An Emerging Collaboration in Sri Lanka, for sharing information on current dynamics related
Architecture. Routledge Publishers. to the implementation STI strategies in Sri Lanka.

Rojahn, S.Y. (2012) Tracking dengue fever by smartphone They would also like to thank Drs Atta ur Rahman and
and predicting outbreaks online. MIT Technology Review: Mukhtar Ahmed, respectively former and current Chairs of
Massachusetts, USA. the Higher Education Commission of Pakistan, for providing
valuable insights into the reform of higher education in
UNDP (2014) Human Development Report 2014 Sustaining Human Pakistan. Thanks go also to Mr Mustafa Naseem at the
Progress: Reducing Vulnerabilities and Building Resilience. United Information Technology University Punjab for his assistance in
Nations Development Programme: New York. preparing the case study on dengue fever.

UIS (2014a) Higher Education in Asia: Expanding Out, Expanding The authors also take this opportunity to thank the Afghan
Up. The Rise of Graduate Education and University Research. Ministry of Higher Education and Ahmad Zia Ahmadi from
UNESCO Institute for Statistics: Montreal. the UNESCO Kabul office for supplying the information and
data on the status of higher education reform in Afghanistan.
UIS (2014b) Information and Communication Technology in Thanks go also to the editor of the present report, Susan
Education in Asia - a Comparative Analysis of ICT Integration Schneegans, for her role in developing the country profile of
and E-readiness in Schools across Asia. UNESCO Institute for Afghanistan.
Statistics: Montreal.
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UNESCO SCIENCE REPORT

The government needs to support the

emergence of technology-based start-ups The majority of pharmaceutical patents are
owned by Indian firms, whereas foreign
to broaden the innovation culture in India. firms established in India tend to own the
majority of patents in computer software.
Sunil Mani Photo A and N photography/Shutterstock.com

598
 India
22 . India
Sunil Mani

INTRODUCTION the support of other parties. Prime Minister Narendra Modi

will thus have considerable freedom in implementing his
Jobless growth: an emerging concern programme between now and the next general elections
For the first time in its history, Indias economy grew at around in 2019.
9% per annum between 2005 and 2007. Ever since, GDP has
been progressing at a much slower pace of around 5%, primarily In his speech delivered on Independence Day on 15 August
as a corollary of the global financial crisis in 2008, even though it 2014, the prime minister argued for a new economic model
did bounce back briefly between 2009 and 2011 (Table 22.1). based on export-oriented manufacturing. He encouraged
both domestic and foreign companies to manufacture
India has experienced mixed fortunes in recent years. On the goods for export in India, proclaiming several times, Come
positive side, one could cite the systematic reduction in poverty manufacture in India! Today, Indias economy is dominated
rates, improvements in the macro-economic fundamentals by the services sector, which represents 57% of GDP,
that nurture economic growth, a greater flow of both inward compared to 25% for industry, half of which comes from
and outward foreign direct investment (FDI), the emergence manufacturing1 (13% of GDP in 2013).
of India since 2005 as the world leader for exports of computer
and information services and the countrys evolution into a hub The new governments shift towards an East Asian growth2
for what are known as frugal innovations, some of which have model with a focus on the development of manufacturing
been exported to the West. On the down side, there is evidence and heavy infrastructure is also driven by demographic

Chapter 22
of growing inequality in income distribution, a high inflation trends: 10 million young Indians are joining the job market
rate and current deficit, as well as sluggish job creation despite each year and many rural Indians are migrating to urban
economic growth, a phenomenon that goes by the euphemism areas. The services sector may have fuelled growth in recent
of jobless growth. As we shall see, public policy has strived
to reduce the deleterious effects of these negative features
1. The National Manufacturing Policy (2011) advocated raising the share of
without imperilling the positive ones. manufacturing from 15% to about 25% of GDP by 2022. The policy also proposed
raising the share of high-tech products (aerospace, pharmaceuticals, chemicals,
Come manufacture in India! electronics and telecommunications) among manufactured products from 1% to
at least 5% by 2022 and augmenting the current share of high-tech goods (7%)
In May 2014, the Bharatiya Janata Party became the first among manufactured exports by 2022.
party in 30 years to win a majority of parliamentary seats 2. The East Asian growth model implies a strong role for the state in raising the
(52%) in the general elections, allowing it to govern without domestic investment rate as a whole and specifically in manufacturing industries.

Table 22.1: Positive and disquieting features of Indias socio-economic performance, 20062013

2006 2008 2010 2012 2013

Rate of real GDP growth (%) 9.3 3.9 10.3 4.7 4.7
Savings rate (% of GDP) 33.5 36.8 33.7 31.3 30.1
Investment rate (% of GDP) 34.7 38.1 36.5 35.5 34.8
Population living below poverty line (%) 37.20-1 21.9
Population without access to improved sanitation (%) 64.9 -1

Population without access to electricity (%) 24.7-1
Inward net FDI inflow (US$ billions) 8.90 34.72 33.11 32.96 30.76+1
Outward net FDI outflow (US$ billions) 5.87 18.84 15.14 11.10 9.20+1
Indias world share of exports of computer software
15.4 17.1 17.5 18.1
services (%)
Inflation, consumer prices (%) 6.15 8.35 11.99 9.31 10.91
Income inequality (Gini index) 33.4 35.7
Jobless growth (growth ratio of employees in
0.20 0.12 0.22
organized sector)
+n/-n: data refer to n years before or after reference year
Source: Central Statistical Organization; Reserve Bank of India; UNDP (2014); World Water Assessment Programme (2014) World Water Development Report: Water and Energy

599
UNESCO SCIENCE REPORT

years but it has not created mass employment: only about Indias foreign policy will not break with the past
one-quarter of Indians work3 in this sector. One challenge The Modi governments foreign policy is unlikely to depart
will be for the government to create a more business-friendly from that of previous governments which have considered,
fiscal and regulatory environment. India will also need to raise in the words of Indias first prime minister, Jawaharlal Nehru,
its fixed investment ratio well above the current 30%, if it is to that ultimately, foreign policy is the outcome of economic
emulate the success of the East Asian model (Sanyal, 2014). policy. In 20122013, Indias three biggest export markets were
the United Arab Emirates, USA and China. It is noteworthy,
In his speech, Modi also announced the disbanding of the however, that Narendra Modi is the first Indian prime minister
nations Planning Commission. This represents one of the to have invited all the heads of government of the South
most significant policy shifts in India since the release of the Asian Association for Regional Cooperation (SAARC)4 to his
UNESCO Science Report 2010. This decision has effectively swearing-in ceremony on 26 May 2014. All accepted the
sounded a death knell to the planned form of development invitation. Moreover, at the November 2014 SAARC summit,
pursued by India over the past six and a half decades, which Prime Minister Modi appealed to SAARC members to give Indian
has resulted in a long series of medium-term development companies greater investment opportunities in their countries,
plans with explicit targets. On 1 January 2015, the government in return for better access to Indias large consumer market
announced that the Planning Commission would be replaced (see p. 569).
by the National Institution for Transforming India (NITI Ayog).
The role of this new think tank on development issues will When it comes to innovation, Western nations will no doubt
be to produce reports on strategic issues for discussion by remain Indias primary trading partners, despite Indias ties
the National Development Council, in which all the chief to the other BRICS countries (Brazil, Russia, China and South
ministers participate. In a departure from past practice, NITI Africa), which resulted in the signing of an agreement in
Ayog will accord Indias 29 states a much greater role in policy July 2014 to set up the New Development Bank (or BRICS
formulation and implementation than the erstwhile Planning Development Bank), with a primary focus on lending for
Commission.The new think tank will also play an active role in infrastructure projects.5
implementing schemes sponsored by the central government.
Three factors explain Indias continued reliance on Western
Despite this development, the Twelfth Five-Year Plan science and technology (S&T). First among them is the
(20122017) will still run its course. Up until now, the Planning growing presence of Western multinationals in Indias
Commission has co-ordinated Indias wide spectrum of industrial landscape. Secondly, a large number of Indian
institutions supporting technological change, essentially firms have acquired companies abroad; these tend to be in
through these five-year plans. These institutions include the developed market economies. Thirdly, the flow of Indian
Scientific Advisory Council to the Prime Minister, the National students enrolling in science and engineering disciplines in
Innovation Council and the Ministry of Science and Technology. Western universities has increased manifold in recent years
The new think tank will take over this co-ordination role. and, as a result, academic exchanges between Indian and
Western nations are very much on the rise.
In 2014, the new government made two proposals
with regard to science. The first was for India to adopt a Economic growth has driven dynamic output in R&D
comprehensive policy on patents. The second was for senior All indicators of output from research and development (R&D)
researchers from government laboratories to work as science have progressed rapidly in the past five years, be they for
teachers in schools, colleges and universities as a way of patents granted nationally or abroad, Indias share of high-tech
improving the quality of science education. A committee of exports in total exports or the number of scientific publications
experts was subsequently appointed to draw up the policy (Figure 22.1). India has continued building its capability in such
on patents. However, the draft report submitted by the high-tech industries as space technology, pharmaceuticals and
committee in December 2014 does not call for an overhaul computer and information technology (IT) services.
of the existing policy. Rather, it encourages the government
to popularize a patent culture among potential inventors Two recent achievements illustrate the distance India has
from both the formal and informal economicsectors. travelled in recent years: its position as world leader since
It also recommends that India adopt utility models in its 2005 for exports of computer and information services and
patentregime, in order toincitesmall and medium-sized
enterprises (SMEs) to be more innovative.
4. See Box 21.1 for details of the South Asian University, a SAARC project.
3. The low level of job creation may be explained by the fact that the services 5. Each of the five BRICS contributes an equal financial share to the bank, which is
sector is dominated by retail and wholesale trade (23%), followed by real estate, to be endowed with initial capital of US$ 100 billion. The bank is headquartered
public administration and defence (about 12% each) and construction services in Shanghai (China), with India holding the presidency and a regional antenna in
(about 11%). See Mukherjee (2013). South Africa.

600
Figure 22.1: Scientific publication trends in India, 20052014

0.76
Strong growth in publications resumed in 2012

53 733
50 691
Average citation rate for Indian

45 961

46 106
scientific publications, 20092012;

41 983
the G20 average is 1.02
38 967
37 228
32 610

6.4%
27 785
24 703

Share of Indian papers among 10%

most cited papers, 20092012;
the G20 average is 10.2%

21.3%
2006
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Share of Indian papers with

Chapter 22
Indian scientific output is fairly diversified
Cumulative totals by field 20082014 foreign co-authors, 20082014;
the G20 average is 24.6%
56 679

48 979

42 955
38 429
36 263

16 296
11 207
6 764
4 996
3 037
246 241 697
es

ics

ics
g
re

ry

es

es

es

es
y

gy
m

nc

in
tu

ist
nc

nc
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nc

nc

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ul

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ho
m
cie

cie
cie

ie
cie

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sc
tro
ric

sc
he

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at

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ica

cia
ica
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t
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he
m

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ol

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Bi

The USA remains Indias main scientific collaborator

Main foreign partners 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
India USA (21 684) Germany (8 540) UK (7 847) Korea, Rep. of (6 477) France (5 859)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded, data treatment by ScienceMetrix

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UNESCO SCIENCE REPORT

the success of its maiden voyage to Mars6 in September the urbanrural divide and setting up centres of excellence in
2014, which carried frugal innovation to new heights: agricultural sciences to reverse the worrying drop in yields of
India had developed its Mangalyaan probe at a cost of just some staple food crops.
US$ 74 million, a fraction of the cost of the US$ 671 million
Maven probe developed by the US National Aeronautics and In recent years, industry has complained of severe shortages of
Space Administration (NASA), which arrived in Mars orbit skilled personnel, as we saw in the UNESCO Science Report 2010.
just three days ahead of Mangalyaan. Until this feat, only the University research has also been in decline. Today, universities
European Space Agency, USA and former Soviet Union had perform just 4% of Indian R&D. The government has instigated
got as far as Mars atmosphere; out of 41 previous attempts, a variety of schemes over the past decade to correct these
23 had failed, including missions by China and Japan. imbalances. The latter part of this essay will be devoted to
analysing how effective these schemes have been.
India is also collaborating on some of the most sophisticated
scientific projects in the world. Indias Atomic Energy
Commission participated in the construction of the worlds TRENDS IN INDUSTRIAL RESEARCH
largest and most powerful particle accelerator, the Large Hadron
Collider (LHC), which came on stream in 2009 at the European Business R&D is growing but not R&D intensity overall
Organization for Nuclear Research (CERN) in Switzerland; The only key indicator which has stagnated in recent years
several Indian institutions are involved in a multiyear is the measure of Indias R&D effort. Sustained economic
experiment7 which uses the LHC. India is now participating growth pushed gross domestic expenditure on research
in the construction of another particle accelerator in Germany, and development (GERD) up from PPP$ 27 billion to
the Facility for Antiproton and Ion Research (FAIR), which PPP$ 48 billion between 2005 and 2011 but this growth of
willhostscientists from about 50 countries from 2018 onwards. 8% per annum (in constant PPP$) was only sufficient to
India is also contributing to the construction of the International maintain the countrys GERD/GDP ratio at the same level in
Thermonuclear Experimental Reactor in France by 2018. 2011 as six years earlier: 0.81% of GDP.

Indian science has nonetheless had its ups and downs and the Indias Science and Technology Policy of 2003 has thus failed to
country has historically given more importance to producing realize its objective of carrying GERD to 2.0% of GDP by 2007.
science than technology. As a result, Indian companies have This has forced the government to set back its target date to
had less success in manufacturing products which require 2018 in the latest Science, Technology and Innovation Policy
engineering skills than in science-based industries like (2013). China, on the other hand, is on track to meet its own
pharmaceuticals. target of raising GERD from 1.39% of GDP in 2006 to 2.50% by
2020. By 2013, Chinas GERD/GDP ratio stood at 2.08%.
In recent years, the business enterprise sector has become
increasingly dynamic. We shall begin by analysing this The Science and Technology Policies of both 2003 and 20138
trend, which is rapidly reshaping the Indian landscape. The have emphasized the importance of private investment to
three biggest industries pharmaceuticals, automotive and develop Indias technological capability. The government
computer software are all business-oriented. Even frugal has used tax incentives to encourage domestic enterprises to
innovation tends to be oriented towards products and services. commit more resources to R&D. This policy has evolved over
Among government agencies, it is the defence industry which time and is now one of the most generous incentive regimes
dominates R&D but, up until now, there has been little transfer for R&D in the world: in 2012, one-quarter of industrial R&D
of technology to civil society. That is about to change. performed in India was subsidized (Mani, 2014). The question
is, have these subsidies boosted investment in R&D by the
In order to sustain Indias high-tech capacity, the government is business enterprise sector?
investing in new areas such as aircraft design, nanotechnology
and green energy sources. It is also using Indias capabilities in Public and private enterprises are certainly playing a greater
information and communication technologies (ICTs) to narrow role than before; they performed nearly 36% of all R&D in
2011, compared to 29% in 2005. Approximately 80% of all
6. Launched from Sriharikota spaceport on Indias east coast, the Mangalyaan foreign and domestic patents granted to Indian inventors
probe is studying the red planets atmosphere in the hope of detecting methane,
a potential sign of life. It will keep sending the data back to Earth until the
8. Achieving [a GERD/GDP ratio of 2.0%] in the next five years is realizable if the
spacecrafts fuel runs out.
private sector raises its R&D investment to at least match the public sector R&D
7. In November 2014, the Indian Institute of Technology in Madras was accepted by investment from the current ratio of around 1:3. This seems attainable, as industrial
CERN as a full member of its Compact Muon Selenoid (CMS) experiment, famous for R&D investment grew by 250% and sales by 200% between 2005 and 2010...
its discovery of the Higgs Boson in 2013. The Tata Institute of Fundamental Research While maintaining current rates of growth in public R&D investments, a conducive
in Mumbai, Bhabha Atomic Research Centre and the Delhi and Panjab Universities environment will be created for enhancing private sector investment in R&D
have been full CMS members for years. (DST, 2013).

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 India

(excluding individuals) went to private enterprises in 2013. Within these six industries, R&D is concentrated in a handful
As a corollary of this trend, research councils are playing a of large firms. For instance, five firms account for over 80% of
smaller role than before in industrial R&D. the R&D reported by the pharmaceutical industry: Dr Reddys,
Lupin, Ranbaxy, Cadila and Matrix Laboratories. In the
Innovation is dominated by just nine industries automotive industry, two firms dominate: Tata Motors and
More than half of business R&D expenditure is distributed Mahindra. In IT, there are three dominant firms: Infosys, Tata
across just three industries: pharmaceuticals, automotive and Consultancy Services and Wipro.
IT (Figure 22.3) [DST, 2013]. This implies that the subsidies
have not really helped to spread an innovation9 culture across The government needs to support the emergence of
a wider spectrum of manufacturing industries. The subsidies technology-based start-ups to broaden the innovation culture
simply seem to have enabled R&D-intensive industries like in India. Technological progress has brought down traditional
pharmaceuticals to commit even more resources than before barriers which prevented SMEs from accessing technology. What
to R&D. The government would do well to commission a SMEs need is access to venture capital. In order to encourage the
serious study into the effectiveness of these tax incentives. It growth of venture capital, the union government in its budget
should also envisage the idea of providing the business sector for 20142015 proposes setting up a fund of Rs 100 billion (circa
with grants to encourage it to develop specific technologies. US$ 1.3 billion) to attract private capital that could provide
equity, quasi-equity, soft loans and other risk capital for start-ups.
Six industries concentrate about 85% R&D. Pharmaceuticals
continue to dominate, followed by the automotive industry Innovation is concentrated in just six states
and IT (read computer software). It is interesting to note that We have seen that innovation is concentrated in just

Chapter 22
computer software has come to occupy an important place in nine industries. Manufacturing and innovation are also
the performance of R&D. Leading firms have adopted a conscious concentrated in geographical terms. Just six Indian states out
policy of using R&D to keep them moving up the technology of 29 account for half of R&D, four-fifths of patents and three-
ladder, in order to remain competitive and generate fresh patents. quarters of FDI. Moreover, even within each state, only one or
two cities are research hubs (Table 22.2), despite a vigorous
9. The consultations evoked in the UNESCO Science Report 2010 (p. 366) did not give regional development policy in the decades leading up to the
rise to a national innovation act, as the draft bill was never presented to parliament. adoption by India of an economic liberalization policy in 1991.

Figure 22.2: R&D trends in Indian public and private Figure 22.3: Indias main industrial performers, 2010 (%)
enterprises, 20052011 (%) In terms of R&D expenditure
40
37.5 Pharmaceuticals: 27.72 Automotive: 13.98

35 35.5 35.5
34.2 34.8
32.78
30 30.9 30.63 30.34
29.2 28.86 29.54
28.3
25
25.04

20

15
Information
technology:
10 9.53
6.87 Defence industries:
8.63
5 Electrical and
5.94 5.96
electronics: Chemicals: Agriculture and
4.16 3.86
2.6 2.72 3.66 5.00 agricultural
machinery: 8.61
0
Biotechnology: Industrial
3.80 machinery: 5.07
2005 2006 2007 2008 2009 2010 2011

Total business expenditure on R&D Private Public Note: Percentages may not add up to 100 on account of rounding.
Source: UNESCO Institute of Statistics; DST (2013) Source: DST (2013)

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UNESCO SCIENCE REPORT

the market in software engineering and applications. The

Table 22.2: Distribution of innovative and manufacturing
growing importance of software-related patents among total
activity within India, 2010
patents indicates that foreign ownership of Indian patents
has increased significantly. This is part of the trend towards a

R&D expenditure

Patents granted

manufacturing
globalization of innovation, in which India and, indeed, China

FDI (% of total)
Value-added
(% of total)

(% of total)

(% of total)
have become important players. We shall be discussing this
important trend in more detail below.
State Major cities
Maharashtra Mumbai, Pune 11 31 20 39 The surge in the creation of knowledge assets at home
Gujarat Ahmedabad, Vadodara, 12 5 13 2 has not reduced Indias dependence on foreign knowledge
Surat
assets. This is best indicated by observing Indias trade
Tamil Nadu Chennai, Coimbatore, 7 13 10 13 in technology, as exemplified by the charges that India
Madurai
receives and pays for technology transactions. The difference
Andhra Pradesh* Hyderabad, Vijayawada, 7 9 8 5 between the technology receipts and payments gives us the
Visakhapatnam
technology trade balance (Figure 22.5).
Karnataka Bangalore, Mysore 9 11 6 5
Delhi Delhi 11 1 14 India is surfing the globalization wave to develop
Total for the above 46 80 58 78 innovation
Thanks to a surge in FDI in both manufacturing and R&D over
Note: Andhra Pradesh was divided into two states, Telangana and Andhra
Pradesh, on 2 June 2014. Located entirely within the borders of Telangana, the past five years, foreign multinational companies have
Hyderabad is to serve as the joint capital for both states for up to 10 years. been playing a growing role in innovation and patenting
Source: Central Statistical Organization; DST (2013); Department of Industrial in India. In 2013, foreign companies represented 81.7% of
Policy and Performance domestic patents obtained from the USPTO; in 1995, they had
accounted for just 22.7% of the total (Mani, 2014).
Pharma companies are home-grown, IT companies
are foreign The main policy challenge will be to effect positive
An interesting picture emerges when we analyse the output spillovers from these foreign companies to the local
of firms in terms of the number and type of patents granted economy, something that neither the Science, Technology
to Indians by the United States Patent and Trademark Office and Innovation Policy (2013), nor current FDI policies have
(USPTO). The data reveal a steep increase both in overall explicitly factored into the equation.
patenting by Indian inventors and in the share of high-tech
patents; there has also been a discernible shift in technological At the same time, Indian companies have acquired
specialization, with pharma receding in importance and knowledge assets from abroad through a wave of
IT-related patents filling the gap (Figure 22.4). cross-border mergers and acquisitions. In the first wave,
there was Tatas acquisition of the Corus Group plc
The important point here is whether these patents are owned (today Tata Steel Europe Ltd) in 2007, giving Tata access
by domestic or foreign enterprises. Almost all of the USPTO to car-grade steel technology; this was followed by the
patents secured by Indian inventors do indeed belong to acquisition of German wind turbine manufacturer Senvion
domestic pharmaceutical companies. As noted in the UNESCO (formerly REpower Systems) by Suzlon Energy Ltd in
Science Report 2010, domestic pharmaceutical companies December 2009. More recent examples are:
increased their patent portfolio even after the international
agreement on Trade-related Aspects of Intellectual Property n Glenmark Pharmaceuticals opening of a new monoclonal
Rights (TRIPS) was translated into Indian law in 2005. In fact, antibody manufacturing facility in La Chaux-de-Fonds,
for every single indicator10 of innovative activity, Indian Switzerland, in June 2014, which supplements Glenmarks
pharmaceutical firms have done exceedingly well (Mani and existing in-house discovery and development capabilities
Nelson, 2013). However, the same cannot be said for computer and supplies material for clinical development;
software or IT-related patents; as can be seen from Figure
n Ciplas announcement in 2014 of its fifth global
22.4, almost all these patents are secured by multinational
acquisition deal within a year, by picking up a 51% stake
companies which have established dedicated R&D centres
for US$ 21 million in a pharmaceuticals manufacturing
in India to take advantage of the skilled, yet cheap labour on
and distribution business in Yemen;
10. Be it the indicator for exports, net trade balance, R&D expenditure, patents n The acquisition by Motherson Sumi Systems Ltd of
granted within and without India or the number of Abbreviated New Drug
Applications approved by the US Food and Drug Administration (implying
Ohio-based Stoneridge Inc.s wiring harness business for
technological capability in generic drug capability) US$ 65.7 million in 2014;

604
 Figure 22.4: Trends in Indian patents, 19972013
Most patents granted to Indian inventors are in high-tech
Utility patents granted by USPTO

2 424
2 500
Total patents

High technology patents

2 000

1 691
1 365
1 500

1 234
1 098

1 033
1 000

866
679
634
546

516
481

476
500
384

380
363
342

316
235
205

187
178
125

98
47

53
26

0
1997 1999 2001 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: USPTO; NSB (2014)

Chapter 22
IT firms in India tend to be foreign-owned The number of biotech patents has doubled
in a decade
IT-related patents (number) Share (%) Utility patents granted by USPTO, 19972012

Multi- Multi-
national national 67
Domestic companies Total Domestic companies 60

2008 17 97 114 14.91 85.09 50

44 44 44 57
2009 21 129 150 14.00 86.00
2010 51 245 296 17.23 82.77 35 35
28
2011 38 352 390 9.74 90.26 21
7 8
2012 54 461 515 10.49 89.51
2013 100 1 268 1368 7.30 92.71 1997 1999 2001 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

Source: Computed from USPTO, 2014 Source: based on data provided in Appendix Table 6-48, NSB (2014)

Six out of 10 patents are now in IT, one in ten in pharma

Utility patents granted by USPTO (%)

Pharmaceuticals 61.10

IT
Share %

31.91

11.54
8.99

1997 1999 2001 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

Source: Computed from USPTO, 2014

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UNESCO SCIENCE REPORT

Figure 22.5: Receipts, payments and net trade balance in the use of IPRs in India, 20002014
3 500
3 208
3 000

2 500

2 000

1 500

1 000

500 311
US$ millions

281
0 54

-500 -257

-1 000

-1 500

-2 000
Payments
-2 500
Receipts
-3 000
Net trade balance -3 400
-3 500

-4 000
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Source: Computed from Reserve Bank of India (various issues)

n Mahindra Two Wheelers made a binding offer in October high-value products at an extremely low cost for the masses,
2014 to buy a 51% stake in Peugeot Motocycles, the such as a passenger car or a CAT scanner. Firms of all shapes
worlds oldest manufacturer of motorized two-wheelers, and sizes employ frugal methods: start-ups, established Indian
from French car-maker Peugeot S.A. Group, for 28 million companies and even multinationals. Some multinationals
(about Rs 217 crore). have even established foreign R&D centres in India, in order
to incorporate frugal innovation into their business model.
This trend is very pronounced in manufacturing industries
such as steel, pharmaceuticals, automotive, aerospace and Table 22.3: Exports of R&D and testing services from
wind turbines. It is also very visible in service industries such as India and China to the USA, 20062011
computer software development and management consulting.
In fact, these mergers and acquisitions allow late-comer firms Exports (millions of US$)
Share of national exports
to acquire knowledge assets overnight. The government (%)

encourages firms to seize this window of opportunity through From From Total US
its liberal policy on FDI in R&D, its removal of restrictions on India to the China to the exports from
outward flows of FDI and its tax incentives for R&D. The growing USA USA India & China India China
globalization of innovation in India is a great opportunity, for it 2006 427 92 9 276 4.60 0.99
is turning the country into a key location for the R&D activities
of foreign multinationals (Figure 22.6). In fact, India has now 2007 923 473 13 032 7.08 3.63
become a major exporter of R&D and testing services to one of
2008 1 494 585 16 322 9.15 3.58
the worlds largest markets for these, the USA (Table 22.3).
2009 1 356 765 16 641 8.15 4.60
India has become a hub for frugal innovation
2010 1 625 955 18 927 8.59 5.05
Meanwhile, India has become a hub for what is known as
frugal innovation. These products and processes have more 2011 2 109 1 287 22 360 9.43 5.76
or less the same features and capabilities as any other original
Note: This table lists only those R&D services exported from India and China by
product but cost significantly less to produce. They are most
the affiliates of US multinational companies to their parent company in the USA
common in the health sector, particularly in the form of
Source: National Science Board (2014)
medical devices. Frugal innovation or engineering creates

606
 India

There are seven characteristics which typify frugal

Figure 22.6: Share of foreign companies performing innovation:
R&D in India (%), 20012011
n Most products and services have emanated from large,
2011 28.92
organized firms in manufacturing and the service sector,
2010 29.4 some of which are multinationals;

n Manufactured items tend to involve a fair amount of

2009 28.24
formal R&D;
2008 16.24
n Their diffusion rate has varied quite significantly,
2007 15.92 although relevant data are hard to come by; some of
the most celebrated examples of frugal innovation, like
2006 11.39
Tatas micro-car, the Nano, do not seem to have been
2005 12.99 accepted by the market;

8.51 n Whenever frugal engineering implies the removal of

2004
key features, it is unlikely to succeed; it is this which may
2003 10.27 explain the poor sales of the first Nano car; the latest
model, the Nano Twist, comes with a number of features
2002 7.64
found in more expensive models, such as an electric
2001 8.93 power-assisted steering system;

Chapter 22
Share of foreign companies (%) n Frugal services tend not to involve any R&D, or not of a
Source: Mani (2014) sophisticated nature at least, nor any new investments
or technology; they may simply be an innovation in the
India has not only become a hub for frugal creations; it is also way the supply chain is organized;
codifying them then exporting them to the West.
n Services or processes may be very location-specific and
as such not replicable elsewhere; for instance, the
Despite the overwhelming popularity of frugal innovation,
celebrated Mumbai Dabbawalas (lunch box delivery service
innovation policies in India do not explicitly encourage
in Mumbai) has never spread to other Indian cities, despite
frugal innovation. This oversight needs addressing. Nor is the
being considered an efficient process for managing the
phenomenon sufficiently documented. Radjou et al. (2012)
supply chain; and
have nevertheless managed to identify a series of goods
and services which qualify as frugal innovation. These are n Among the known products transferred to the West
summarized in Box 22.1 and Table 22.4. from India, most concern medical devices.

Box 22.1: Frugal innovation in India

Making do with less in goods To serve the mass of consumers at medical devices have low production
manufacturing and services has long the bottom of the pyramid, Indias costs (Brinton et al., 2013), qualifying
been an accepted and inescapable quality goods and services need to be them as frugal innovations. In its eight
reality in India. Following the affordable. This has given rise to what years of existence, SIBDP has produced
proverbial idiom, necessity is the is increasingly being termed frugal four particularly interesting start-ups
mother of invention, improvisation innovation or frugal engineering. in medical devices in India. These have
better known by its Hindi equivalent developed a novel integrated neonatal
of jugaad has always been a way of Although frugal innovations are spread resuscitation solution, a non-invasive
getting things done. across a range of manufacturing and safe device for screening newborns for
service industries, they most often take the a hearing impairment, low-cost limb
Although poverty rates in India form of medical devices. This phenomenon immobilization devices for treating road
have come down, one in five Indians has received a fillip from the StanfordIndia traffic accident injuries and an alternative
still lives below the poverty line Biodesign Project (SIBDP) involving the to difficult intravenous access in medical
(Table 22.1). India remains the country University of Stanford in the USA. Initiated emergencies.
with the largest number of poor in 2007, this programme has spawned a
citizens: more than 270 million in 2012. number of entrepreneurs whose innovative Source: compiled by author

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UNESCO SCIENCE REPORT

Table 22.4: Examples of frugal innovation in India

COMPANY
INVOLVED IN
INNOVATION DEVELOPMENT DIFFUSION

GOODS

MICRO-PASSENGER CAR, THE TATA NANO Tata Very low acceptance rate, as indicated by the declining
This product has a virtual monopoly in its niche market. The sales. The car was marketed from 2009 onwards. Sales
original Nano cost about US$ 2 000. peaked at 74521 in 20112012. The following year, they
fell to 53 847 then to just 21130 in 20132014.

SOLAR-POWERED GSM BASE STATION VNL Limited No data on its deployment

This system enables people in rural areas to use
mobile phones. The World Global System for Mobile
Communications (WorldGSM) is the first commercially
viable GSM system that is independent of the power grid.
It runs exclusively on solar power and requires no backup
from a diesel generator. It is also designed for simple
delivery and deployment by local, untrained workers.

PORTABLE ELECTROCARDIOGRAM (ECG) MACHINE General Electric There are no data on its diffusion. However, the product is
This machine (GE MAC 400) costs about US$ 1 500 and Healthcare very well accepted by the market and General Electric has
weighs about 1.3 kg, compared to US$ 10 000 and about exported this technology to its parent firm in the USA.
6.8 kg for a regular ECG machine.

PORTABLE TOP LOADING REFRIGERATOR Godrej, an Indian In order to diffuse the technology, Godrej has joined
It has a capacity of 35 litres, runs on batteries and is priced company forces with India Post. There are unconfirmed reports of
at about US$ 70. It can be used in villages for storing fruit, 100000 pieces having been sold in the first two years of
vegetables and milk. It is known as Chotukool. production.

LOWEST POWER-CONSUMING AUTOMATIC TELLER Vortex, an Indian Leading banks such as the State Bank of India, HDFC
MACHINE (ATMS) company, and the and Axis Bank have adopted Vortex-designed and
This machine is solar-powered and goes by the name of Indian Institute manufactured ATMs to service their rural customers.
Gramateller. of Technology
Madras

ALTERNATIVE HOME-COOKING FUEL AND STOVE First Energy, an According to the companys website, it has about
Oorja combines a micro-gasification device or stove with a Indian company 5000 customers.
biomass-based pellet fuel.

SERVICES

LARGE-SCALE, CHEAP EYE SURGERY Arvind Eye Care During 20122013, the hospital performed
System 371893 surgical acts.

LOW-COST MATERNITY HOSPITALS Life Spring Life Spring currently operates 12 hospitals in the city of
These hospitals provide quality maternity health care at Hyderabad, with plans to expand to other cities.
3040% of the market price.

LOW-COST FINANCIAL SERVICES Eko Detailed number of Eko counters opened and
Eko leverages existing retail shops, telecom connectivity functioning unavailable
and banking infrastructure to extend branchless banking
services to the person in the street. Eko also partners with
institutions to offer payment, cash collection and disbursal
services. Customers can walk up to any Eko counter (retail
outlet) to open a savings account, deposit and withdraw
cash from the account, send money to any part of the
country, receive money from any part of the world, buy
mobile talk-time or pay for a host of services. A low-cost
mobile phone acts as the transaction device for retailers
and customers.

Source: compiled by author

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 India

TRENDS IN GOVERNMENT RESEARCH Figure 22.7: Government outlay for Indias major science
agencies, 2010 (%)
The government sector is the main employer of scientists
If you take a group of 100 researchers in India, 46 will work Defence Research and Development
Organisation: 31.63
for the government, 39 for industry, 11 for academia and Department of Space: 15.54
4 for the private non-profit sector. This makes the government
Department of Atomic
the main employer. The government sector also spends the Energy:14.40
majority of the R&D budget (60%), compared to 35% for
industry and just 4% for universities.
Indian Council
The government organizes its R&D through 12 scientific of Agricultural
Research: 10.75
agencies and ministries. These have performed about half
of GERD since 1991 but much of their output has little
connection with business enterprises in either the public or Council of Scientific
private sectors. One-quarter of research in the government and Industrial
Research: 9.95
sector is devoted to basic research (23.9% in 2010).
Ministry of Department of Science
New and and Technology: 8.30
The Defence Research and Development Organisation (DRDO) 11
Renewable
Energy: 0.10 Department of
alone accounts for about 17% of GERD and just under 32% of the Biotechnology: 2.71
government outlay in 2010, twice as much as the next biggest Ministry of
Indian Council of Medical Research: 2.18

Chapter 22
agency, the Department of Atomic Energy, which nevertheless Communication
and Ministry of Earth Sciences: 1.67
increased its share from 11% to 14% between 200612 and 2010, Technology:
at the expense of DRDO and the Department of Space. The 1.22 Ministry of Environment and Forests: 1.55
government has raised funding levels for the Council of Scientific Source: DST (2013)
and Industrial Research (CSIR) slightly (9.3% in 2006), at the
expense of the Indian Council of Agricultural Research (11.4% in participating in the programme in 2014, while FICCI assessed
2006). The smallest slice of the pie continues to go to the Ministry over 200 technologies from sectors as diverse as electronics,
of New and Renewable Energy (Figure 22.7). robotics, advanced computing and simulation, avionics,
optronics, precision engineering, special materials, engineering
A first: defence technologies will be adapted to civilian use systems, instrumentation, acoustic technologies, life sciences,
Almost the entire output of defence R&D goes to the military for disaster management technologies and information systems.
the development of new forms of weaponry, like missiles. There
are very few recorded instances of defence research results being A new Academy of Scientific and Innovative Research
transferred to civilian industry, unlike in the USA where such The CSIR has a network of 37 national laboratories which
transfers are legendary. One example of this wasted technological undertake cutting-edge research across a vast spectrum of
capability is the loss to Indias aeronautical industry, where a fields, including radio and space physics, oceanography,
considerable amount of technological capability has been built drugs, genomics, biotechnology, nanotechnology,
around military aircraft without any transfer to civilian craft. environmental engineering and IT. CSIRs 4200 scientists
(3.5% of the countrys total) bat above their weight, authoring
This state of affairs is about to change with the launch of a 9.4% of Indias articles in the Science Citation Index. The
joint initiative in 2013 by DRDO and the Federation of Indian rate of commercialization of patents emanating from CSIR
Chambers of Commerce and Industry (FICCI) for Accelerated laboratories is also above 9%, compared to a global average
Technology Assessment and Commercialization13. The aim of 34%.14 Despite this, CSIR scientists interact little with
is to create a commercial channel for orienting technologies industry, according to the Comptroller and Auditor General.
developed by DRDO towards national and international
commercial markets for civilian use. This programme is the first In order to improve its profile, the CSIR has put in place three
of its kind for DRDO. As many as 26 DRDO labs across India were broad strategies since 2010. The first consists in combining the
skill sets in a range of its laboratories to create networks for the
11. India has the worlds 3rd-biggest armed forces and is the 10th-biggest spender
execution of a specific project. The second strategy consists in
on defence. The defence budget represented 2.4% of GDP in 2013, compared to
2.9% in 2009, according to the World Bank. setting up a series of innovation complexes to foster interaction
12. See the UNESCO Science Report 2010 for the complete 2006 data (p. 371). with micro-enterprises and SMEs, in particular. So far, three
13. This programme is one of four executed by the Centre for Technology
Commercialization, which was set up by FICCI in 2006. For details, see: 14. These figures are based on an answer to question no. 998 in the upper house of
https://thecenterforinnovation.org/techcomm-goes-global Indias parliament, the Rajya Sabha, on 17 July 2014.

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UNESCO SCIENCE REPORT

innovation complexes have been established in Chennai, Kolkatta Growing private investment in agricultural R&D
and Mumbai. The third strategy consists in offering postgraduate Another interesting aspect is the rising share of private R&D
and doctoral degrees in highly specialized fields where such in agriculture, primarily in seeds, agricultural machinery and
training is not easily available in traditional universities; this pesticides. This trend does not have the same implications
led to the establishment of the Academy of Scientific and as an increase in public-sector investment in agricultural
Innovative Research in 2010, which recently awarded its first R&D would have, as the products generated by private R&D
masters degrees and PhDs in science and engineering. are likely to be protected by various mechanisms governing
intellectual property rights, thereby increasing the cost of their
Indias scientific councils can call upon the services of the diffusion to farmers.
National Research and Development Corporation (NRDC).
It functions as a link between scientific organizations and The diffusion of genetically modified organisms (GMOs)
industries eager to transfer the fruits of endogenous R&D to among food crops has been curtailed for health and safety
industry. The NRDC has a number of intellectual property reasons by the Genetic Engineering Appraisal Committee of
and technology facilitation centres and, on campuses around the Ministry of Environment and Forests. The only GM crop
the country in major Indian cities, university innovation approved in India is Bt cotton, which was authorized in 2002.
facilitation centres. The NRDC has transferred approximately The area cultivated with Btcotton had progressed to saturation
2 500 technologies and approximately 4 800 licensing level by 2013 (Figure 22.8). India has become the worlds top
agreements since its inception in 1953. The number of exporter of cotton and its second-biggest producer; cotton is a
technologies licenced by NRDC increased from 172 during thirsty crop, however, and water a scarce commodity in India.
the Eleventh Five-year Plan period (20022007) to 283 by 2012. Moreover, despite the increase in the average yield of cotton,
Despite these apparent instances of technology transfer, there have been sharp fluctuations from one year to the next.
NRDC is not generally considered as having been successful in The use of fertilizer and the spread of hybrid seeds may also
commercializing technologies generated by the CSIR system. have contributed to the rise in yield since 2002. More recently,
the Indian Council of Agricultural Research has developed a Bt
Funding not an issue in falling food crop yields cotton variety cheaper than Monsantos with re-usable seeds.
Since the turn of the century, wheat yields have dropped and
rice yields have stagnated (Figure 22.8). This worrying trend The proposed extension of GMOs to food crops like brinjals
does not seem to be tied to any cutbacks in funding. On the (aubergine) has met with stiff resistance from NGOs and
contrary, agricultural funding has increased, whatever the elicited words of caution from the parliamentary Committee
point of comparison: in nominal and real terms, aggregate on Agriculture in 2012. Indias own GMO research has been
and per capita terms and against public funding of industrial focusing on a range of food crops but with an emphasis on
research. Even the percentage share of agricultural research in vegetables: potato, tomato, papaya, watermelon, castor,
agricultural GDP shows an increase over time. So funding per sorghum, sugar cane, groundnut, mustard, rice, etc. As of early
se does not appear to be an issue.15 An alternative explanation 2015, no GM food crops had been released for cultivation
for this drop in yield may well be the observed decline in the pending clearance from the regulatory agencies.
numbers of agricultural scientists in India, including lower
enrolment ratios in graduate degree programmes in agriculture. A sustainable farming method challenges modern
This state of affairs has prompted the government to propose technologies
two key measures in the union budget for 20142015 for the Sustainable forms of agriculture have been reported from
training of agricultural scientists and engineers: isolated parts of the country. The worlds most productive
rice paddy farmer even comes from the state of Bihar in
n The establishment of two more centres of excellence,
northeastern India. The farmer in question broke the world
modelled on the lines of the Indian Agricultural Research
record not through modern scientific technologies but
Institute, one in the city of Assam and a second in
rather by adopting a sustainable method pioneered by NGOs
Jharkhand, with an initial budget of Rs 100 crores (circa
known as the System of Rice Intensification. Despite this feat,
US$ 16million) for 20142015; an additional amount of Rs
diffusion of this method has been very limited (Box 22.2).
100 crores is being set aside for the establishment of an
AgriTech Infrastructure Fund;
The biotech strategy is beginning to pay off
n The establishment of two universities of agriculture in Biotechnology is the eighth of Indias nine high-tech
Andhra Pradesh and Rajasthan and a further two universities industries (Figure 22.3) and receives 2.7% of the governments
of horticulture in Telangana and Haryana; an initial sum of outlay for the 12 science agencies (Figure 22.7). Consistent
Rs 200 crores has been allocated for this purpose. policy support over the past two decades has allowed India
to develop sophisticated R&D and a production capability to
15. This statement is corroborated by Pal and Byerlee (2006) and Jishnu (2014). match. The Department of Biotechnologys strategy has three

610
 India

Box 22.2: The worlds most productive paddy farmer is Indian

Sumant Kumar, an illiterate young The application of these five elements recorded the highest yield increase
farmer from the village of Darveshpura promises numerous advantages, (3%) but all adopters had yields higher
in the State of Bihar, is now including higher yield and a lesser than conventional farmers. They also
acknowledged as being the most requirement for both seeds and water. had higher gross margins and lower
productive paddy farmer in the world. production costs than non-SRI fields.
He managed to grow 22 tonnes of rice SRI is thus ideally suited for countries like
from a single hectare, compared to a India where farmers are poor and water is Although Indias rice yield could
world average of 4 tonnes, by adopting extremely scarce. significantly increase under SRI and
the System of Rice Intensification (SRI). modified SRI practices, a number of
The previous record of 19 tonnes was SRIs origins date back to the early 1980s hurdles will first have to be overcome,
held by a Chinese farmer. when Henri de Laulani, a French Jesuit according to the authors, namely a
priest and agronomist, developed the lack of skilled farmers available in time
SRI allows farmers to produce more method after observing how villagers for planting operations, poor water
from less. In other words, it is an grew rice in the uplands of Madagascar. control in the fields and unsuitable soils.
example of frugal innovation. Five key Moreover, farmers also feel that the
characteristics differentiate it from According to a study by Palanisami et al. transaction (managerial) cost, although
conventional practices: (2013) of 13 major rice-growing states in insignificant, still limits full adoption
India, fields which have adopted SRI have of SRI. Government intervention will

Chapter 22
n 
the use of a single seedling instead
a higher average productivity than those thus be necessary to overcome these
of clumps;
which have not. constraints.
n 
the transplanting of seedlings at a
young age of less than 15 days; Out of the four core SRI components
n wider spacing in square planting; typically recommended, 41% of SRI
farmers have adopted one component,
n rotary weeding; and Source: SRI International Network Resource Center
39% two or three components and only (USA); Palanisami et al. (2013);
n a greater use of organic manures. 20% all the components. Full adopters www.agriculturesnetwork.org

Figure 22.8: Changes in agricultural yields in India, 19802014

Average annual growth in yield for key food crops in India, 19802014 (%) Diffusion rate of Bt cotton and growth in cotton yield, 20012013
100
9.99

19801981 to 19891990 Diffusion rate of Bt cotton

19901991 to 19992000 Growth rate in yield 93
20002001 to 20132014 80

60
Growth rate %

Rate %
4.1

40
3.19

3.1

2.31
2.43

20
1.82

1.83
1.34

1.29

1.24

1.15
1.05

0.61
0.75

0
-0.41

-15.5
-20
Rice Wheat Sugar Nine Cotton
2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

2011

2012

2013

cane oilseeds

Note: The diffusion rate for Bt cotton resembles the familiar S-shaped pattern
noted by many observers of the rate of diffusion of new technologies.

Source: Based on Table 8.3, Ministry of Finance (2014) Economic Survey 20132014 Source: VIB (2013)

611
UNESCO SCIENCE REPORT

thrusts: improving the quantity and quality of human resources auspices of UNESCO, offering specialized training and research
in biotechnology; establishing a network of laboratories and programmes in new opportunity areas such as cell and
research centres to work on relevant R&D projects; and creating tissue engineering, nanobiotechnology and bioinformatics.
enterprises and clusters to produce biotechnology products The emphasis is on interdisciplinarity, with future physicians
and services. Apart from the central government, several state taking courses in biomedical engineering, nanotechnology
governments have explicit policies for developing this sector. and bio-entrepreneurship.
This has led to a surge in biotech-related publications and
patents (Figure 22.4). India is making a foray into aircraft manufacturing
Exports of high-tech manufactured products are increasing
The biotechnology industry has five subsectors: and now account for about 7% of manufactured exports
biopharmaceutical (63% of total revenue in 20132014), (World Bank, 2014). Pharmaceuticals and aircraft parts
bioservices (19%), agricultural biotech (13%), industrial biotech account for almost two-thirds of the total (Figure 22.10).
(3%) and bioinformatics (1%). The biotechnology industry Indias technological capability in pharmaceuticals is fairly
grew by an average rate of 22% per annum between 2003 and well known but her recent forays into the manufacturing of
2014, although year-on-year growth rates show a declining aircraft parts are a step into the unknown.
trend (Figure 22.9).16 Approximately 50% of output is exported.
The Department of Biotechnology is building a Biotech Recent elaborations of the Defence Purchase Policy17
Science Cluster in Faridabad on the outskirts of the capital. The and the policy on offsets seem to have encouraged local
cluster includes the Translational Health Science Technology manufacturing. For instance, India is developing a regional
Institute and the Regional Centre for Biotechnology, the first of transport aircraft through a mission-mode National Civil
its kind in South Asia. The regional centre functions under the Aircraft Development project. Although largely initiated
by the public sector, the project envisages participation by
16. These rates are computed using sales revenue in Indian rupees at current domestic private sector enterprises as well.
prices. However, if one were to convert these to US dollars and recompute the
growth rates, the industry would have been near-stagnant since 2010. There are,
however, no official surveys or data on the size of Indias biotechnology industry. India is also continuing to improve its capability in the design,
manufacture and launch of satellites18 and has ambitious
plans for sending people to the Moon and exploring Mars.
Figure 22.9: Growth of the Indian biotechnology
industry, 20042014
Based on sales revenue at current prices India is deploying more high-tech services
Considerable improvements have been made in both
40
the astronautic and even in the aeronautical segments of
the IT industry. Leveraging capabilities in communication
35
technologies and remote sensing, the country has made
34.15
big strides in diffusing distance education and public health
30
Annual percentage change in revenue

interventions. Over the years, the Indian Space Research

Organisations telemedicine network has expanded to connect
25 45 remote and rural hospitals and 15 highly specialized
hospitals. The remote/rural nodes include the offshore islands
20 of Andaman and Nicobar and Lakshadweep, the mountainous
and hilly regions of Jammu and Kashmir, including Kargil
15 and Leh, Medical College hospitals in Orissa and some of
the rural / district hospitals in the mainland states.
10
Big strides have been made in telecommunications services
5
7.25 as well, especially in rural areas. India has shown by
example that the best way of diffusing telecommunications
in rural areas is to foster competition between telecom
0
service providers, which react by lowering their tariffs.
20042005

20052006

20062007

20072008

20082009

20092010

20102011

20112012

20122013

20132014

17. India procures about 70% of its equipment needs abroad. The government
adopted a defence procurement policy in 2013 which gives preference to
indigenous production by Indian firms or within joint ventures.
Source: Computed from the Association of Biotech Led Enterprises (ABLE),
Biospectrum Survey changes in sales revenue at current prices 18. For more on Indias space programme, see the box entitled A Space Odyssey in
the UNESCO Science Report 2010, p. 367.

612
 India

Figure 22.10: Exports of high-tech manufactured products from India, 20002013

12 000
10 844.67

Pharmaceuticals
Aircraft

9 000
US $ millions

6 000

4 151.32

3 000

Chapter 22
805.15

53.29
0
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: Compiled from UN Comtrade database and World Banks World Development Indicators

The consequence has been a dramatic improvement in centred on individual scientists: for 20132014, about 23
teledensities, even in rural areas. This is best indicated by the such projects were sanctioned for a three-year period; this
rising ratio of rural to urban teledensities, which grew from brings the total number of projects funded since the Nano
0.20 to 0.30 between 2010 and 2014. Missions inception to about 240.

Plans to become a nanotech hub by 2017 The Consumer Products Inventory maintains a live register
In recent years, the government has paid growing attention of consumer products that are based on nanotechnology
to nanotechnology.19 ANano Mission Project was launched and available on the market (Project on Emerging Nano
in India by the Eleventh Five-Year Plan (20072012), with the Technologies, 2014). This inventory lists only two personal
Department of Science and Technology serving as a nodal care products that have originated from India and the firm
agency. A sum of Rs 100 billion was sanctioned over the first which developed these products is a foreign multinational.
five-year period to build R&D capabilities and infrastructure However, the same database lists a total of 1628 products
in nanotechnology. around the world, 59 of which come from China.

The Twelfth Five-Year Plan (20122017) aims to take this In 2014, the government set up a nanomanufacturing
initiative forward, in order to make India a global knowledge technology centre within the existing Central Manufacturing
hub in nanotechnology. To this end, a dedicated institute Technology Institute. In its union budget for 20142015, the
of nanoscience and technology is being set up and government then announced its intention to strengthen the
postgraduate programmes in 16 universities and institutions centres activities through a publicprivate partnership.
across the country are due to be launched. The Nano Mission
Project is also funding a number of basic research projects20 In short, nanotechnology development in India is
currently oriented more towards building human capacity
and physical infrastructure than the commercialization
19. See Ramani et al. (2014) for a survey of nanotechnology development in India.
of products, which remain minimal. As of 2013, India ranked
20. The Nano Mission has so far produced 4476 papers published in SCI journals,
about 800 PhDs, 546 M.Tech and 92 MSc degrees (DST, 2014, p. 211). See also: 65th worldwide for the number of nano-articles
http://nanomission.gov.in and, for the top 30 worldwide for the volume of per million inhabitants (see Figure 15.5).
nano-related articles in 2014, Figure 15.5

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UNESCO SCIENCE REPORT

Eight states out of 29 have explicit green energy policies an installed capacity of 18500 MW, is the fifth-largest wind
Indias innovation policy seems to be independent from energy producer in the world, with considerable research and
other important economic development strategies like the manufacturing capabilities. In 2013, three-quarters of Indias
National Action Plan on Climate Change (2008). The level of installations were based on wind technology, the remainder
public investment in green energy sources is also modest, with being in small hydropower and biomass (10% each) and solar
the budget for the Ministry of New and Renewable Energy energy (4%). Since 2010, the number of patents granted in
representing just 0.1% of the total government outlay in 2010 green technologies has risen sharply (Figure 22.11).
(Figure 22.7). The government is nevertheless encouraging
power generation through various renewable energy A first green bond to enrich the domestic energy mix
programmes, such as wind, biomass, solar and small In February 2014, the Indian Renewable Energy Development
hydropower. It has also designed a mix of fiscal and financial Agency (IREDA)22 issued its first green bond, with terms of
incentives and other policy/regulatory measures to attract 10, 15 and 20 years and interest rates of just over 8%. The
private investment. However, all this is confined to the central tax-free bond is open to both public and private investors. The
government level; only eight states21 out of 29 have explicit Modi administration is targeting an investment of US$ 100 billion
green energy policies. to help reach its goal of installing 100gigawatts of solar
energy across India by 2022. It has announced plans to train
Some Indian enterprises have acquired considerable a 50 000-strong solar army to staff new solar projects. In
technological capability in the design and manufacture of addition, a new National Wind Mission was announced in
wind turbines, which is by far the most important source 2014 which is likely to be modelled on the National Solar
of grid-connected green technologies (76%). India, with Mission implemented by IREDA since 2010 (Heller et al., 2015).

21. Andhra Pradesh, Chattisgarh,, Gujarat, Karnataka, Madhya Pradesh, Rajasthan, 22. Established in 1987, IREDA is a government enterprise administered by the
Tamil Nadu and Uttar Pradesh Ministry of New and Renewable Energy. See: www.ireda.gov.in

Figure 22.11: Green energy technology patents granted to Indian inventors, 19972012

50

Total green technology patents

Alternative sources of energy 46

Wind
40
Solar

30

28

20

13
10

5
0
0

1997 1999 2001 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

Source: Based on appendix tables 6-58, 6.64 and 66 in NSB (2014)

614
 India

TRENDS IN HUMAN RESOURCES This translates into a rise in the number of R&D personnel
per 10 000 labour force from 8.42 in 2005 to 9.46 in 2010.
The private sector is hiring more researchers This means that India still has a long way to go to reach the
If the number of R&D personnel23 in India increased annually density achieved by developed countries and China.
by 2.43% between 2005 and 2010, this was entirely due to
the 7.83 % increase each year in R&D personnel working for Spectacular growth in the number of engineering students
private companies. Over the same period, the number of The shortage of R&D personnel could hold India back on
government employees engaged in R&D actually declined, its climb up the technology ladder. Policy-makers are fully
even though the government remains the largest employer of cognisant of this problem24 and have been putting in place a
R&D personnel (Figure 22.12). This trend further substantiates host of policies to boost university student rolls in science and
the claim that Indias national innovation system is becoming
increasingly business-oriented. 24. Two of the key elements of the Science, Technology and Innovation Policy of
2013 are: enhancing skills for applications of science among the young from all
social strata; and making careers in science, research and innovation attractive for
23. The term R&D personnel encompasses researchers, technicians and support staff. talented and bright minds.

Figure 22.12: Indian FTE researchers by sector of employment and gender, 2005 and 2010

Men 226 218

269 198
Women 42 980

Chapter 22
Men 19 227
22 100
Women 2 873
2010

Men 129 379

149 828
Women 20 449

Men 374 824

Women 66 302
441 126

0 50 100 150 200 250 300 350

Men 233 917

281 800
Women 47 883

Men The breakdown of data

by gender for researchers
22 100 in higher education in 2005
Women is unavailable.
2005

Men 74 082
87 249
Women 13 167

Men 330 099

Women 61 050
391 149

Government Higher education Business enterprise and private non-profit Totals

Source: DST (2009; 2013)

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UNESCO SCIENCE REPORT

engineering programmes. One of these schemes, INSPIRE, the Science and Engineering Research Board in 2010 has
focuses in particular on developing a vocation for science further fluidified the availability of research grants in the
among the young (Box 22.3). public science system.

Historically, India has tended to produce eight scientists for The government is also experimenting ways of fostering
every engineer. This is partly a consequence of the uneven universityindustry ties. In 2012, for example, it partnered
distribution of engineering colleges across different states, a with the Confederation of Indian Industry to incite doctoral
situation which has prompted the government to double the students to team up with industry for their doctoral thesis.
number of Indian Institutes of Technology to 16 and to set up Successful applicants are awarded twice the usual amount
five Indian Institutes for Science Education and Research.25 for doctoral fellowships for their thesis, as long as the
Whereas there were 1.94 scientists for every engineer in 2006, project is initiated by their industrial partner.
this ratio had dropped to 1.20 by 2013.
The diaspora is being wooed for technology-based
In 2012, there were 1.37 million graduates in science, projects
engineering and technology (Figure 22.13). Men made Another age-old issue concerns the migration of highly
up about 58% of the total. Female students tend to be skilled workers. Although this phenomenon has been
more concentrated in science streams, where they even around since India gained independence in the 1940s,
outnumbered their male counterparts in 2012. There is already globalization has accentuated this trend over the past two
a sizeable share of engineering and technology students but decades or so. Mani (2012) has shown that, although high
it will be important for the country to raise the number of skilled migration may diminish the supply of scientists and
graduates in these fields, if it wishes to forge ahead with the engineers, it does generate a fair amount of remittances. In
desired expansion in manufacturing. fact, India has become the largest receiver of remittances
in the world. Skilled Indians living abroad have also
A need to give employers the skills they want helped Indias high-tech industries to grow, particularly its
The employability of scientists and engineers has been a computer software services industry. A number of schemes
nagging worry for policy-makers for years and, indeed, for have been put in place to encourage the diaspora to
prospective employers. The government has put in place participate in technology-based projects. One of the most
a number of remedial measures to improve the quality of long-running of theseis the Ramalingaswami Re-Entry
higher education (Box 22.3). These include a stricter control Fellowship in biotechnology, set up in 2006. In 2013,
over universities, regular audits of the curriculum and facilities 50 researchers from the diaspora were offered a place in
and faculty improvement programmes. The establishment of Indian institutions as part of this scheme.

25. In all, 172 universities were established between March 2010 and March 2013,
bringing the total to 665 (DHE, 2012; 2014). None of the new institutions is a
designated innovation university, despite the governments intention of setting
up 14 such universities. See the UNESCO Science Report 2010, p. 369.

Figure 22.13: Indian science, engineering and technology graduates, 2011/2012

Men 378 414

767 845
Women 389 431
2011/2012

Men 414 201

602 921
Women 188 720
1 370 766
Men 792 615

Women 578 151

0 50 100 150 200 250 300 350 400 450 500 550 600 650 700 750 800
Science Engineering and technology Total

Note: Graduates include undergraduates, postgraduates, MPhil and PhD holders

Source: Compiled from Department of Higher Education (2012) All India Survey of Higher Education 2011/2012, Tables 36 and 37

616
 India

Box 22.3: Schemes to improve higher education in India

Indian universities are absent from the Maintenance of Standards in Higher Innovation and Excellence (CURIE)
top places in international rankings. Education. Two years later, it issued programme. The second phase of the
There is also a general feeling in regulations for the Mandatory Assessment programme got under way in 2012.
India that the quality of the higher and Accreditation of Higher Educational
education system leaves much to be Institutions. The DST introduced the Innovation in
desired. Prospective employers have Science Pursuit for Inspired Research
been complaining recently about The UGC implements the Universities (INSPIRE) programme in 2009 to
the employability of the graduates with Potential for Excellence scheme, stimulate a vocation for science.
churned out by local universities and which dates from the Ninth Five-Year INSPIRE runs science camps and
colleges. In addition, just 4% of R&D Plan; by 2014, 15 universities were presents awards to 1015 year-olds
in India is performed by the university receiving funding under this scheme and internships to 1617 year-olds.
sector. The government has put and the UGC was making a fresh call for By 2013, it had also awarded 28 000
various schemes in place in the past proposals to extend this opportunity scholarships for undergraduate studies
decade to improve the quality of both to 10 more hopefuls, including private in the sciences, 3 300 fellowships
university teaching and research. The universities. to complete a PhD and 378 faculty
following are some examples: awards to researchers under the age of
The UGC runs the Faculty Research 32, 30% of which went to the diaspora
Rashtriya Uchchatar Shiksha Abhiyan Promotion Programme to reinvigorate returning home to India to take up

Chapter 22
(RUSA) was launched by the Ministry basic research in the university sector, research positions.
of Human Resource Development including in medical and engineering
in October 2013. It aims to ensure sciences. This programme provides three The DST programme for Intensification
that public universities and colleges types of support: a research grant for of Research in High Priority Areas
conform to prescribed norms and entry-level faculty and for mid-career (IRHPA) was launched during the
standards and that they adopt faculty and a fellowship for senior faculty Sixth Five-Year Plan. It has set up
accreditation as a mandatory quality nearing retirement whose proven track core groups, centres of excellence
assurance framework. Certain record argues in favour of keeping them and national facilities in frontline
academic, administrative and on staff to mentor younger faculty. and emerging fields of science and
governance reforms are a precondition engineering, such as neurobiology,
for receiving funding under RUSA. The Department of Science and solid state chemistry, nanomaterials,
All funding disbursed under RUSA is Technology (DST) contributes to materials science, surface science,
norm-based and outcome-dependent; the cost of research, staffing costs, plasma physics or macromolecular
equipment purchase and so on, through crystallography.
Further to the recommendations its programme for the Promotion of
of the Eleventh Five-Year Plan University Research and Scientific Institutions receiving funding from
(20072012), the University Grants Excellence (PURSE), which has provided the Department of Biotechnology
Commission (UGC) introduced the 44 universities with research grants over and the Department of Science and
semester system and a Choice-based the past decade on the basis of their Technology are obliged to set up an
Credit System at undergraduate level publication record. institutional repository for articles
to give students a wider range of written by their staff; in turn, the
choices beyond their study discipline, The DST administers the Fund for the Ministry of Science and Technology
offer them exposure to the world Improvement of Science and Technology has undertaken to set up a central
of work through internships and Infrastructure in Higher Educational harvester linking each institutional
vocational training and enable them to Institutions (FIST), which dates from 2001 repository.
transfer credits to another university. and supported 1 800 departments and
institutions between 2010 and 2013.
In 2010, UGC issued regulations
on Minimum Qualifications for Since 2009, the DST has improved
the Appointment of Teachers and research infrastructure at six of Indias Source: Lok Sabha (parliament), answer by
Minister of Human Resource Development to
other Academic Staff in Universities universities for women, via the question number 159, 7 July 2014; DST (2014);
and Colleges and Measures for the Consolidation of University Research for government website

617
UNESCO SCIENCE REPORT

CONCLUSION n link technological capabilities in pharmaceutical and

satellite technologies to the provision of services in health
Incentives have failed to create a broad innovation culture and education to the average Indian citizen: up until
From the foregoing, we can see that Indias national innovation now, there has been little research on neglected tropical
system faces several challenges. In particular, there is a need to: diseases and there has been a somewhat stultified use
of satellite technologies to bring educational services to
n spread responsibility for attaining a GERD/GDP ratio of 2% remote areas.
by 2018 between the government and business enterprise
The biggest challenge of all for Indian policy-makers will be
sectors: the government should use this opportunity
to tackle each of the aforementioned imperatives within a
to raise its own share of GERD to about 1% of GDP by
reasonable period of time.
investing more heavily in university research, in particular,
which currently performs just 4% of R&D, in order to
enable universities to fulfil their role better as generators KEY TARGETS FOR INDIA
of new knowledge and providers of quality education;
n Raise GERD from 0.8% (2011) to 2.0% of GDP by 2018,
n improve the training and density of scientists and
half of which is to come from the private sector;
engineers engaged in R&D: in recent years, the government
has multiplied the number of institutions of higher n Turn India into a global hub for nanotechnology by 2017;
education and developed a vast array of programmes to
n Raise the share of manufacturing from 15% (2011) to
improve the quality of academic research; this is already
about 25% of GDP by 2022;
producing results but more needs to be done to adapt
curricula to market needs and to create a research culture n Raise the share of high-tech products (aerospace,
at universities; none of the new universities established pharmaceuticals, chemicals, electronics and
since 2010 is a designated innovation university, for telecommunications) among manufactured products
instance, despite the declared intention of creating 14 such from 1% to at least 5% by 2022;
universities in the Eleventh Five-Year Plan (20072012);
n Raise the share of high-tech goods among manufactured
n initiate a government assessment of the effectiveness of exports (currently 7%) by 2022;
tax incentives for R&D: despite India having one of the
n Install 100gigawatts of solar energy across India by 2022.
most generous tax regimes for R&D in the world, this has
not resulted in the spread of an innovation culture across
firms and industries;

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DST (2009) Research and Development Statistics 20072008. DC, USA, pp. 155193.
National Science and Technology Information
Management System. Department of Science and Palanisami, K. et al.(2013) Doing different things or doing it
Technology: New Delhi. differently? Rice intensification practices in 13 states of
India. Economic and Political Weekly, 46(8): pp. 5158.
Gruere, G. and Y. Sun (2012) Measuring the Contribution of Bt
Cotton Adoption to Indias Cotton Yields Leap. International Project on Emerging Nanotechnologies(2014) Consumer
Food Policy Research Institute Discussion Paper 01170. Products Inventory: www.nanotechproject.org/cpi

Heller, K. Emont, J. and L. Swamy (2015) Indias green bond: Radjou, N.; Jaideep, P. and S. Ahuja (2012) Jugaad Innovation:
a bright example of innovative clean energy financing. Think Frugal, Be Flexible, Generate Breakthrough Growth.
US Natural Resources Defense Council. Switchboard, staff JosseyBass: London.
blog of Ansali Jaiswal, 8 January.
Ramani, S. V.; Chowdhury, N.; Coronini, R. and S. E.Reid (2014)
Jishnu, M. J. (2014) Agricultural research in India: an analysis On Indias plunge into nanotechnology: what are good

Chapter 22
of its performance. Unpublished MA project report. Centre ways to catch-up? In: S. V. Ramani (ed) Nanotechnology
for Development Studies: Trivandrum. and Development: Whats in it for Emerging Countries?
Cambridge University Press: New Delhi.
Mani, S. (2014) Innovation: the worlds most generous tax
regime. In: B. Jalan and P. Balakrishnan (eds) Politics Sanyal, S. (2014) A New Beginning for Indias Economy. Blog of
Trumps Economics: the Interface of Economics and Politics in 20 August. World Economic Forum.
Contemporary India. Rupa: New Delhi, pp. 155169.
Science Advisory Council to the Prime Minister (2013) Science
Mani, S. (2002) Government, Innovation and Technology Policy, in India, a decade of Achievements and Rising Aspirations.
an International Comparative Analysis. Edward Elgar: Department of Science and Technology: New Delhi.
Cheltenham (UK) and Northampton, Mass. (USA).
UNDP (2014) Humanity Divided, Confronting Inequality in
Mani, S. (2012) High skilled migration and remittances: Developing Countries. United Nations Development
Indias experience since economic liberalization. In: Programme.
K. Pushpangadan and V. N. Balasubramanyam (eds)
Growth, Development and Diversity, Indias Record since VIB (2013) Bt Cotton in India: a Success Story for the Environment
liberalization. Oxford University Press: New Delhi, and Local Welfare. Flemish Institute for Biotechnology
pp. 181209. (VIB): Belgium.

Mani, S. and R. R. Nelson (eds) (2013) TRIPS compliance,

National Patent Regimes and Innovation, Evidence and
Experience from Developing Countries. Edward Elgar:
Cheltenham (UK) and Northampton, Mass. (USA). Sunil Mani (b. 1959: India) holds a PhD in Economics.
He is Professor at the Planning Commission Chair in
Mukherjee, A. (2013) The Service Sector in India. Asian Development within the Centre for Development Studies
Development Bank Economic Working Paper Series no. 352. in Trivandrum in the State of Kerala (India), where
he is currently working on several projects related to
NSB (2014) Science and Engineering Indicators 2014. National innovation policy instruments and the development
Science Board, National Science Foundation (NSB 14-01): of new indicators. Over the years, Dr Mani has been
Arlington Virginia, USA. an honorary Visiting Professor at several institutes and
universities in Asia (India and Japan) and Europe (Italy,
Finland, France, The Netherlands, Portugal, Slovenia and
the UK).

619
UNESCO SCIENCE REPORT
The new normal [of
slower but steadier
economic growth]
highlights the urgency
for China to transform its
economic development
model from one that is
labour-, investment-,
energy- and resource-
intensive to one that is
increasingly dependent
upon technology and
innovation.
Cong Cao

A high-speed train in Shanghai station in

June 2013; the latest trains can clock a speed
of up to 487 km/h in test conditions.
Photo Anil Bolukbas/iStockPhoto

620
 China
23 . China
Cong Cao

INTRODUCTION n the creation of the Asian Infrastructure Investment Bank to

finance infrastructure projects, which will be based in Beijing
The new normal and should be operational by the end of 2015; more than 50
Chinas socio-economic situation has evolved since 20091 in countries have already expressed interest in joining, including
a climate of uncertainty caused first by the global financial France, Germany, the Republic of Korea and the UK;
crisis of 20082009 then by the domestic transition in political
n the approval by Brazil, the Russian Federation, India,
leadership in 2012. In the immediate aftermath of the US
China and South Africa (BRICS) in July 2014 of the New
subprime mortgage crisis in 2008, the Chinese government took
Development Bank (or BRICS Development Bank), with a
swift action to limit the shockwaves by injecting RMB4 trillion
primary focus on lending for infrastructure projects; it will
(US$576 billion) into the economy. Much of this investment
be based in Shanghai; and
targeted infrustructure projects such as airports, motorways
and railroads. Combined with rapid urbanization, this spending n the creation of an AsiaPacific Free Trade Area, which,
spree on infrastructure drove up the production of steel, according to Chinas vision, would override existing bilateral
cement, glass and other building-block industries, prompting and multilateral free trade agreements in the region; in
concern at the potential for a hard landing. The construction November 2014, the APEC summit endorsed the Beijing
boom further damaged Chinas environment. For example, Roadmap for completing a feasibility study by late 2016.
outdoor air pollution alone contributed to 1.2 million premature
deaths in China in 2010, nearly 40% of the world total (Lozano Meanwhile, China initiated a change in its political leadership in
et al., 2012). When China hosted the AsiaPacific Economic November 2012, when Xi Jinping acceded to the post of General
Cooperation (APEC) summit in mid-November 2014, factories, Secretary of the Central Committee of the Chinese Communist
offices and schools in Beijing and surrounding areas were all Party (CCP) at the 18th CCP National Congress. At the first
closed for several days to ensure blue skies over the capital for session of the 12th National Peoples Congress, held in March
the duration of the summit. 2013, Xi Jinping and Li Keqiang took over the state presidency
and premiership respectively. The XiLi administration inherited

Chapter 23
The post-2008 economic stimulus package was also the legacy of an economy which had been growing at almost
compromised by the failure of the governments policy to 10% on average for the past decade, as China vigorously
support the development of so-called strategic emerging pursued its open-door policy initiated by reformist leader
industries. Some of these industries were export-oriented, Deng Xiaoping back in 1978. Today, Chinas economy seems
including manufacturers of wind turbines and photovoltaic to have reached a plateau, or a new normal (xin changtai),
panels. They were hard hit by the slump in global demand characterized by steadier, albeit slower growth: GDP progressed
during the global financial crisis but also by the anti-dumping by just 7.4% in 2014, the lowest rate in 24 years (Figure 23.1).
and anti-subsidy measures introduced by some Western China is gradually losing its status as the worlds factory, as
countries. The manufacturing glut that ensued bankrupted rising costs and stringent environmental regulations make its
some of the global leaders in solar panel manufacturing, such manufacturing sector less competitive than in countries paying
as Suntech Power and LDK Solar, which were already ailing lower wages and offering less environmental protection. The
by the time the Chinese government cut back on its own new normal therefore also highlights the urgency for China to
subsidies in order to rationalize the market. transform its economic development model from one that is
labour-, investment-, energy-, and resource-intensive into one
Despite these hiccups, China emerged triumphantly from that is increasingly dependent upon technology and innovation.
the crisis, maintaining average annual growth of about 9% The smart cities initiative is one example of how the Chinese
between 2008 and 2013. In terms of GDP, China overtook leadership is tackling this challenge (Box 23.1).
Japan in 2010 to become the worlds second-largest economy
and is now catching up with the USA. When it comes to GDP
China faces other challenges which range from inclusive,
per capita, however, China remains an upper middle-income
harmonious and green development to an ageing society and
country. In a reflection of its growing role as an economic
the middle income trap. All these call for the acceleration of
superpower, China is currently spearheading three major
the reform, which seems to have been delayed up until now
multilateral initiatives:
by Chinas response to the global financial crisis. That may
be about to change. The new leadership has put forward an
1. Total debt in China stood at about 210% of GDP by the end of 2014: household ambitious and comprehensive reform agenda, in addition
debt accounted for 34% of GDP, government debt 57% and corporate debt,
including both loans and bonds, for 119%, according to the UNESCO Institute for
to launching an unprecedented anti-corruption campaign
Statistics. targeting some high-ranking government officials.

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UNESCO SCIENCE REPORT

Figure 23.1: Trends in GDP per capita and GDP growth in China, 20032014

12 609
12 000 16.0
GDP per capita in constant 2011 PPP $
GDP growth rate 14.2

11 000 11 290 14.0

12.7
10 550
10 000 12.0
GDP per capita in constant 2011 PPP $

9 862
11.3 10.5
10.0 10.1

GDP growth rate (%)

9 000 10.0
9.2 9 080
9.6
9.3
8 274 8.0
8 000

7 624 7.7 7.7

7.4
7 000 6.0
6 997

6 000 6 167 4.0

5 506
5 000 2.0
4 976

4 547
4 000 0.0
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Source: World Banks World Development Indicators, March 2015

Box 23.1: Chinas smart cities

The smart city takes its origin from China is embracing the idea of n Smart City Development Alliance,
the concept of smart planet created smart cities to tackle challenges in managed by the National
by IBM. Today, the term smart cities government services, transportation, Development and Reform
refers to futuristic urban centres where energy, environment, health care, public Commission (NDRC) since 2014.
the use of information technology and safety, food safety and logistics.
data analysis improves infrastructure The most far-reaching effort has been
and public services so as to engage The TwelfthFive-Year Plan (20112015) led by the Ministry of Housing and Urban
more effectively and actively with specifically calls for the development and Rural Development (MoHURD). By
citizens. The development of smart of smart city technologies to be 2013, it had selected 193 cities and
cities takes advantage of synergic encouraged, thus stimulating the economic development zones to be
innovation around existing technologies initiation of programmes and industrial official smart city pilot sites. The pilot cities
cutting across many industries alliances, such as the: are eligible for funding from a RMB 1 billion
transportation and utility infrastructure, (US$ 16 billion) investment fund
telecommunications and wireless n China Strategic Alliance of Smart City sponsored by the China Development
networks, electronic equipment Industrial Technology Innovation, Bank. In 2014, MoIIT also announced a
and software applications, as well managed by the Ministry of Science RMB50 billion fund to invest in smart city
as emerging technologies such as and Technology (MoST) since 2012; research and projects. Investment from
ubiquitous computing (or the internet of local government and private sources
things), cloud computing and big data n China Smart City Industry Alliance, has also been growing fast. It is
analytics. In a word, smart cities represent managed by the Ministry of Industry estimated that total investment over the
a new trend of industrialization, and Information Technology (MoIIT) Twelfth Five-Year Plan period will reach
urbanization and informatization. since 2013; and the some RMB1.6 trillion (US$256 billion).

622
 China

TRENDS IN R&D The number of researchers in China is unequivocally the

worlds highest: 1.48 million full-time equivalents (FTE) in 2013.
The worlds biggest R&D spender by 2019?
Over the past decade, China has been following a sharp Chinas State Intellectual Property Office received more than
uphill trajectory in science, technology and innovation half a million applications for invention patents in 2011, making
(STI), at least in quantitative terms (Figures 23.2 and 23.3). it the worlds largest patent office (Figure 23.5). There has also
The country has been spending a growing share of its been a steady increase in the number of international papers by
burgeoning GDP on research and development (R&D). Gross Chinese scientists in journals catalogued in the Science Citation
domestic expenditure on R&D (GERD) stood at 2.08% in Index. By 2014, China ranked second in the world after the USA,
2013, surpassing that of the 28-member European Union in terms of volume (Figure 23.6).
(EU), which managed an average intensity of 2.02% in 2013
(see Chapter 9). Chinas indicator nudged farther ahead to Some outstanding achievements
2.09% of GDP in 2014. According to the biennial Science, Chinese scientists and engineers have chalked up some
Technology and Industry Outlook 2014 (OECD, 2014), China outstanding achievements since 2011. In basic research, frontier
will outpace the USA as the worlds leading R&D spender by discoveries include the quantum anomalous Hall effect, high-
around 2019, reaching another important milestone in its temperature superconductivity in iron-based materials, a new
endeavour to become an innovation-oriented nation by 2020. kind of neutrino oscillation, a method of inducing pluripotent
The policy focus on experimental development over the past stem cells and the crystal structure of the human glucose
20 years, to the detriment of applied research and, above transporter GLUT1. In the area of strategic high technology,
all, basic research, has resulted in enterprises contributing the Shenzhou space programme has pursued inhabited space
more than three-quarters of GERD. Since 2004, the bias in flights. The first Chinese spacewalk dates from 2008. In 2012,
favour of experimental development has become even more the Tiangong-1 space module docked in space for the first time,
pronounced (Figure 23.4). allowing the first woman taikongnaut to go for a spacewalk.
In December 2013, Change 3 became the first spacecraft to
Chinas S&T talent has been growing, with institutions of land on the Moon since the Soviet Unions craft in 1976. China
higher education turning out an increasing number of well- has also made breakthroughs in deep-ground drilling and

Chapter 23
prepared graduates, especially in science and engineering. supercomputing. Chinas first large passenger aircraft, the
In 2013, the number of postgraduate students reached 1.85 ARJ21-700 with a capacity for 95 passengers, was certified by the
million, on top of the 25.5 million undergraduates (Table 23.1). national Civil Aviation Administration on 30 December 2014.

Given such an attraction, a growing with distinctive characteristics by 2020 the company, as well as its partners,
number of Chinese citizens will be to lead the development of smart clients, universities and other research
clamouring for their city to climb on the cities across the country. The eight institutions to work on joint projects
smart city bandwagon. government agencies were the NDRC related to smart water resources,
and seven ministries: MoIIT, MoST, smart transportation, smart energy
In early 2014, the ministries involved Public Security, Finance, Land Resources, and smart new cities.
in the smart city initiative joined forces MoHURD and Transportation.
with the Standardization Administration Chinese firms that have also been
of China to create working groups Companies such as IBM have not only adept at mastering technologies and
entrusted with managing and used the smart city concept as their shaking up markets include Huawei
standardizing smart city development. marketing strategy but also seized and ZTE, both telecommunications
upon the opportunity to develop their equipment manufacturers, as well as
Apparently, it is the smart city boom businesses in China. As early as 2009, Chinas two electric grid companies,
which drove eight government agencies IBM launched a smart city programme State Grid and Southern Grid.
to issue a joint guide in August 2014, in the northeastern city of Shenyang in
in order to improve co-ordination and Liaoning province, hoping to showcase
communication between industrial its strengths. It has also worked with
participants and between industry and Shanghai, Guangzhou, Wuhan, Nanjing,
government agencies, entitled Guidance Wuxi and other cities on their own
on Promoting the Healthy Development smart city initiatives. In 2013, IBM set up
of Smart Cities. The document proposed its first Smart Cities Institute in Beijing
establishing a number of smart cities as an open platform for experts from Source: www.chinabusinessreview.com

623
UNESCO SCIENCE REPORT

Figure 23.2: Chinese GERD/GDP ratio and BERD/GDP ratio, 20032014 (%)
2.5

GERD/GDP
BERD/GDP ratio
2.08 2.09
2.0 1.98
1.84
1.76
1.70
1.59
1.5 1.47 1.47
GERD/GDP (%)

1.39 1.40
1.36
1.32
1.26
1.23 1.22
1.13
1.05
1.0 0.98
0.96
0.89
0.81
0.68

0.5

0.0
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Source: National Bureau of Statistics and Ministry of Science and Technology (various years) China Statistical Yearbook on Science and Technology

Figure 23.3: Growth in Chinese GERD, 2003 2013

In RMB 10 billions
120
118.47

100
102.98

86.87
80

70.63
60

58.02

46.16
40

37.10

30.03
20 24.50
19.66
15.40

0
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: National Bureau of Statistics and Ministry of Science and Technology (various years) China Statistical Yearbook on Science and Technology

624
 China

Figure 23.4: GERD in China by type of research, 2004, 2008 and 2013 (%)

6.0 4.8 4.7

12.5 10.7
20.4

2004 2008 2013

73.7 82.8 84.6

Basic research Applied research Experimental development

Source: National Bureau of Statistics and Ministry of Science and Technology (various years) China Statistical Yearbook on Science and Technology

Table 23.1: Trends in Chinese human resources in S&T, 20032013

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

FTE research personnel (000s) 1 095 1 153 1 365 1 503 1 736 1 965 2 291 2 554 2 883 3 247 3 533

FTE research personnel per million inhabitants 847 887 1 044 1 143 1 314 1 480 1 717 1 905 2 140 2 398 2 596

Graduate student enrolment (000s) 651 820 979 1 105 1 195 1 283 1 405 1 538 1 646 1 720 1 794

Graduate student enrolment per million inhabitants 504 631 749 841 904 966 1 053 1 147 1 222 1 270 1 318

Undergraduate student enrolment (millions) 11.09 13.33 15.62 17.39 18.85 20.21 21.45 22.32 23.08 23.91 24.68

Chapter 23
Undergraduate student enrolment per million inhabitants 8 582 10 255 11 946 13 230 14 266 15 218 16 073 16 645 17 130 17 658 18 137

Source: National Bureau of Statistics and Ministry of Science and Technology (various years) China Statistical Yearbook on Science and Technology

A number of major gaps in technology and equipment have than in Chinas traditional strengths of materials science,
been filled in recent years, especially in information and chemistry and physics. According to the Institute of Scientific
communication technologies (ICTs),2 energy, environmental and Technical Information of China, which is affiliated with the
protection, advanced manufacturing, biotechnology and other Ministry of Science and Technology (MoST), China contributed
strategic emerging industries for China.3 Large facilities such about one-quarter of all articles published in materials science
as the Beijing Electron-Positron Collider (est. 1991), Shanghai and chemistry and 17% of those published in physics between
Synchrotron Radiation Facility (est. 2009) and Daya Bay 2004 and 2014 but just 8.7% of those in molecular biology
neutrino oscillation facility have not only yielded significant and genetics. This nevertheless represents a steep rise from
findings in basic science but also provided opportunities just 1.4% of the world share of publications in molecular
for international collaboration. The Daya Bay Neutrino biology and genetics over 19992003. In the early 1950s,
Experiment, for example, which began collecting data in Chinese research in genetics came to a standstill after the
2011, is being led by Chinese and American scientists, with country officially adopted Lysenkoism, a doctrine developed
participants from the Russian Federation and other countries. by Russian peasant plant-breeder Trofim Denisovich Lysenko
(18981976) which had already stalled genetic research in
A leap forward in medical sciences the Soviet Union. Essentially, Lysenkoism dictated that we are
China has made leaps and bounds in medical sciences in what we learn. This environmentalism denied the role played
the past decade. Publications in this field more than tripled by genetic inheritance in evolution. Although Lysenkoism was
between 2008 and 2014 from 8 700 to 29 295, according to discarded in the late 1950s, it has taken Chinese geneticists
the Web of Science. This progression has been much faster decades to catch up (UNESCO, 2012). Chinas participation
in the Human Genome Project at the turn of the century
was a turning point. More recently, China has thrown its
2. 649 million Chinese inhabitants had access to internet by the end of 2014.
support behind the Human Variome Project, an international
3. China defines strategic emerging industries as: energy-saving and environment-
friendly technologies, new generation ICTs, biotechnology, advanced
endeavour to catalogue human genetic variation worldwide,
manufacturing, new energy, new materials and automobiles powered by new in order to improve diagnosis and treatment, with support
energy sources.

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UNESCO SCIENCE REPORT

Figure 23.5: Applications and patents granted to Chinese and foreign inventors, 20022013
Applications
Thousands
1 000

Domestic Foreign Total

825 136
800

704 936

600

400

200

80 232 120 200

40 426
39 806
0
2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Granted patents
Thousands
250

Domestic Foreign Total

207 688
200

150
143 535

100

64 153
50

27 473
15 605
5 868
0
2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Source: National Bureau of Statistics and Ministry of Science and Technology (various years) China Statistical Yearbook on Science and Technology

from UNESCOs International Basic Sciences Programme. In in Qingdao City. It is hosted by the First Institute of
2015, the Beijing China Health Huayang Institute of Gene Oceanography, part of the State Oceanic Administration,
Technology committed circa US$300 million to the Human and trains young scientists from Asian developing
Variome Project; the funds will be used over the next ten years countries, in particular, at no cost to the beneficiary;
to build 5000 new gene- and disease-specific databases and
n the International Research and Training Centre for
to establish the Chinese node of the Human Variome Project.
Science and Technology Strategy was inaugurated in
Beijing in September 2012. It designs and conducts
Two new regional centres for training and research
international co-operative research and training
Other opportunities for international collaboration have
programmes in such areas as S&T indicators and
arisen from the establishment of two regional centres for
statistical analysis, technology foresight and road-
research and training since 2011, which function under the
mapping, financing policies for innovation, the
auspices of UNESCO:
development of small and medium-sized enterprises,
n the Regional Training and Research Centre on Ocean strategies for addressing climate change and sustainable
Dynamics and Climate was launched on 9 June 2011 development, etc.

626
Figure 23.6: Scientific publication trends in China, 20052014

0.98
China could become worlds largest scientific
publisher by 2016
350 000
USA 321 846 Average citation rate for Chinese
China scientific publications, 20082012;
300 000 the OECD average is 1.08; the G20
267 521 average is 1.02
256 834

250 000

200 000

150 000
10.0%
Share of Chinese papers among
10% most cited, 20082012; the
OECD average is 11.1%; the G20
100 000 average is 10.2%
66 151

24.4%
50 000
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Share of Chinese papers with

Chemistry, engineering and physics dominate Chinese science foreign co-authors, 20082014;
Cumulative totals by field 20082014 the OECD average is 29.4%; the
G20 average is 24.6%

Chapter 23
195 780
176 500

152 306
144 913

117 016

63 414
44 757
30 066
21 735
5 956 2 712
1 138 1 318
es

ics

ics
g
re

ry

es

es

es

es
y

gy
m

nc

in
tu

ist
nc

nc
nc
nc

nc

lo
ys
at
no

er
cie
ul

em

ho
m
cie

cie
cie

ie
cie

Ph
ne
tro
ric

sc
rs

he

yc
ls

ls
ls
os
Ch

gi
Ag

As

te

ife
at

Ps
ica

cia
ica
En

Ge
pu

rl
og

ed

So
he
m

M
ol

Co

Ot
Bi

Note: The totals exclude 180 271 unclassified publications.

The USA outstrips all others as Chinas main partner

Main foreign partners 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
China USA (119 594) Japan (26 053) UK (25 151) Australia (21 058) Canada (19 522)

Note: The statistics for China do not include Hong Kong SAR or Macao SAR.

Source: Thomson Reuters Web of Science, Science Citation Index Expanded, data treatment by ScienceMetrix

627
UNESCO SCIENCE REPORT

TRENDS IN STI GOVERNANCE Chinas political leadership is also enthusiastic about broadening
its knowledge. This is illustrated by the fact that, since 2002, the
Reform driven by engineers turned politicians Politburo of the CCPs Central Committee has held frequent
Chinas astonishing progress in STI can be attributed to a group study sessions, to which leading Chinese scholars have
series of policies adopted during the reformist open-door been invited to lecture on subjects related to Chinas socio-
era since 1978, from rejuvenating the nation with science, economic development, including STI. The XiLi duo has
technology and education (kejiao xingguo), in 1995, pursued this tradition. In September 2013, the Politburo held a
empowering the nation with talent (rencai qiangguo), group study at Beijings Zhongguancun Science Park, also known
in 2001, and building up an endogenous innovation as Chinas Silicon Valley. During this ninth group study session
capability (zizhu chuangxin nengli) to turning China into run by the new leadership the first ever held outside the
an innovation-oriented nation (chuangxin guojia) in 2006, Communist Partys Zhongnanhai headquarters members of the
a strategy ensconced in the National Medium and Long- Politburo showed particular interest in new technologies such
term Plan for the Development of Science and Technology as three-dimensional printing, big data and cloud computing,
(20062020). The Chinese power structure in the 1980s and nano-materials, biochips and quantum communications. While
1990s could be described as an alliance between career stressing the importance of science and technology in enhancing
bureaucrats and technocrats; the bureaucrats needed the nations strength, in the speech he gave for the occasion,
the technocrats to modernize and develop the economy, Xi Jinping indicated that China should focus on integrating
whereas the technocrats needed the bureaucrats to innovation with socio-economic development, enhancing
advance their political careers. Following Dengs death in the capability for endogenous innovation, nurturing talent,
1997, Jiang Zemin became Chinas top technocrat and constructing a favourable policy environment for innovation and
instigated a fully-fledged technocracy (Yoon, 2007). Given continuing to open up and engage in international co-operation
their training at the nations top science and engineering in science and technology. Calls from the leadership since 2013
schools, Chinas governing political elite was naturally for positive energy (zheng nengliang) to prevail in all spheres
inclined to favour policies that promoted advances in of society, including the university sector, have raised concerns,
science and technology (Suttmeier, 2007). Only in its however, that this new doctrine may inhibit the critical thinking
current top leadership did China start to see the rise which nurtures creativity and problem-solving research, if the
of social scientists: Xi Jinping holds a PhD in Law from evocation of problems comes to be assimilated with negative
Tsinghua University and Li Keqiang obtained his PhD in energy.
Economics from Beijing University. However, the change in
educational background of the current leadership does not The new leadership is focusing on weaving together the so-
mean that attitudes towards science and technology have called two layers of skin (liang zhang pi) of research and the
changed among these top leaders. economy, a long-lasting challenge for Chinas S&T system. The
main topic of discussion at the seventh meeting of the Central
In July 2013, soon after being made General Secretary Leading Group for Financial and Economic Affairs on 18 August
of the Chinese Communist Partys (CCPs) Central 2014, chaired by Xi Jinping, was a draft innovation-driven
Committee and State President, Xi Jinping paid a visit development strategy which was formally released by the CCP
to the Chinese Academy of Sciences (CAS), the nations Central Committee and State Council on 13 March 2015. This,
leading institution for science and research. His articulation in itself, reflects the importance that the leadership attaches to
of the problems facing the development of science and innovation for restructuring Chinas economic development
technology in China was distilled into four mismatches model.
(sige buxiang shiying): mismatches between the level of
technological development and the requirements of Enterprises still dependent on foreign core technologies
socio-economic development; between the S&T system In fact, the attention being paid to STI at the moment by the
and the requirements of science and technology for the political leadership stems from its dissatisfaction with the
system to develop rapidly; between the distribution of S&T current performance of the domestic innovation system. There
disciplines and the requirements of science and technology exists a mismatch between input and output (Simon, 2010).
for these disciplines to develop; and between existing S&T Despite a massive injection of funds (Figure 23.3), better-trained
personnel and the requirements of the nation in terms of researchers and sophisticated equipment, Chinese scientists
talent. Xi then urged CAS to be a pioneer in four areas have yet to produce cutting-edge breakthroughs worthy of
(sige shuaixian): in leapfrogging to the frontier of scientific a Nobel Prize, including the returnees who are now firmly
research, in enhancing the nations innovative talent pool, embedded in domestic research and innovation (Box 23.2).
in establishing the nations high-level think tank in science Few research results have been turned into innovative and
and technology and in becoming a world-class research competitive technology and products. The commercialization
institution. of public research results has been rendered difficult, if not

628
 China

impossible, by the fact that these results are considered guidelines, so as to ensure that the reform is comprehensive,
public goods, thus disincentivizing researchers engaged in co-ordinated and sustainable; a balanced and focused
technology transfer. With few exceptions, Chinese enterprises approach towards reform which takes into consideration
still depend on foreign sources for core technologies. the interests of the CCP and country; and a focus on
According to a World Bank study, China had a US$ 10billion overcoming institutional and structural barriers, not to
deficit in 2009 in its intellectual property balance of payments, mention deep-seated contradictions, while promoting co-
based on royalties and license fees (Ghafele and Gibert, 2012). ordinated innovation in economic, political, cultural, social
and other institutions. Of course, the top-level design has
These problems have forced China to put its ambition on been more broadly exercised in the reforms under the XiLi
hold of embarking on a truly innovation-driven development administration. In particular, the reform of the S&T system has
trajectory. Indeed, Chinas drive to become a global leader in strong political backing, with Xi Jinpings aforementioned visit
STI is tied to its capacity to evolve towards a more efficient, to CAS and the Politburos Zhongguancun group study setting
effective and robust national innovation system. Upon closer the course. On several occasions, Xi has taken time off from his
examination, there is a lack of co-ordination between the busy schedule to preside over the presentation of reports by
various actors at the macro level, an unfair distribution of the relevant government agencies on progress with the reform
funding at the meso level and an inappropriate performance and the innovation-driven development strategy. He has also
evaluation of research projects and programmes, individual been very hands-on when it comes to the reform of Chinas
scientists and institutions at the micro level. It would seem to elite academician (yuanshi) system at CAS and the Chinese
be both urgent and inevitable to institute reforms across all Academy of Engineering (CAE), the broader reform of CAS and
three levels of the national innovation system (Cao et al., 2013). that of funding mechanisms for the centrally financed national
science and technology programmes (see p. 633).
Reform has accelerated under the new leadership
The current reform of the countrys science and technology A mid-term review of the Medium- and Long-Term Plan
system was initiated against such a backdrop. It got under way In addition to the political leaderships concerns about the
in early July 2012, when a National Conference on Science, mismatch between the soar in R&D input and the relatively
Technology and Innovation was convened shortly before the modest output in science and technology, coupled with the

Chapter 23
transition in leadership. One key outcome of the conference necessity of harnessing science and technology to restructuring
was an official document, Opinions on Deepening the Reform Chinas economy, the desire for reform may have been spurred
of the Science and Technology System and Accelerating the by the mid-term review of the National Medium and Long-term
Construction of the National Innovation System, released in Plan for the Development of Science and Technology (20062020).
September. Produced by the CCPs Central Committee and As we saw in the UNESCO Science Report 2010, the Medium-
State Council, this document furthered implementation of and Long-term Plan set several quantitative goals for China to
the National Medium- and Long-Term Plan for the Development achieve by 2020, including (Cao et al., 2006):
of Science and Technology (20062020), which was released in
2006. n raising investment in R&D to 2.5% of GDP;

n raising the contribution of technological advances to

It was also in September 2012 that a new State Leading Group
economic growth to more than 60%;
of Science and Technology System Reform and Innovation
System Construction convened its first meeting. Made up of n limiting Chinas dependence on imported technology to no
representatives from 26 government agencies and headed by more than 30%;
Liu Yandong, a member of the Central Committee Politburo
n becoming one of the top five countries in the world for the
and state councillor, the leading group is mandated to guide
number of invention patents granted to its own citizens;
and co-ordinate the reform and the construction of Chinas
and
national innovation system, in addition to discussing and
approving key regulations. When the countrys top leadership n ensuring that Chinese-authored scientific papers figure
changed a few months later, Liu not only kept her party among the worlds most cited.
position but was also promoted to vice premier in the state
apparatus, thereby ensuring continuity and confirming the China is well on the way to reaching these quantitative
importance attached to scientific affairs. goals. As we have seen, by 2014, GERD had reached 2.09%
of GDP. Moreover, technological advances are already
The reform of the S&T system has accelerated since the change contributing more than 50% to economic growth: in 2013,
in political leadership. In general, the reform conducted by the Chinese inventors were granted some 143 000 invention
XiLi tandem is characterized by so-called top-level design patents and China had risen to fourth place worldwide
(dingceng sheji), or strategic considerations in formulating the for the number of citations of Chinese-authored scientific

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papers. Chinas dependence on foreign technology should conjunction with 22 government agencies, the Chinese
drop to about 35% by 2015. Meanwhile, various government Academy of Engineering having been commissioned to
ministries have worked together to initiate policies designed organize the review. The same 20 thematic groups which
to facilitate implementation of the Medium- and Long-Term had conducted strategic research at the stage of drafting
Plan. These policies include providing innovative enterprises the Medium- and Long-Term Plan now consulted experts
with tax incentives and other forms of financial support, from CAS, CAE and the Chinese Academy of Social Sciences.
prioritizing domestic high-tech enterprises for government Consultations at CAS alone involved more than 200 experts.
procurement, encouraging assimilation and re-innovation Focus groups were constituted with personnel from
based on imported technology, strengthening the protection innovative enterprises, multinational companies operating in
of intellectual property rights, nurturing talent, enhancing China, R&D institutes, universities and other sectors. Attention
education and science popularization and establishing the was paid to measuring the progress made by the 16 mega-
basic platform of S&T innovation (Liu, et al., 2011). engineering programmes (Table 23.2), as well as cutting-edge
basic research conducted in a number of key areas through
This begs the question: if we look beyond the statistics, what mega-science programmes, the reform of the S&T system, the
impact has the Medium- and Long-Term Plan had on realizing construction of an enterprise-centered national innovation
Chinas ambition of becoming an innovation-oriented nation system, the policies formulated to support implementation of
by 2020? The mid-term review of the Medium- and Long-Term the Medium- and Long-Term Plan and so on. Through expert
Plans implementation was approved by the State Council interviews and consultations, as well as questionnaires,
in November 2013. The Ministry of Science and Technology the review team also solicited the views of international
led this effort, assisted by a steering committee set up in experts and scholars on Chinas evolving capability for

Box 23.2: Wooing the Chinese elite back home

Since the introduction of the open- worlds. However, these programmes have has agreed to give each recruit
door policy, China has sent more failed to persuade expatriate Chinese RMB 1 million as a start-up subsidy.
than 3 million students overseas. Of occupying the top jobs to return home. In parallel, the host institution or
these, about 1.5 million have returned enterprise will provide housing of
(Figure 23.7). Among the returnees Unhappy about the overall progress 150200 m2 and a salary to match that
figure a growing number of seasoned in STI and higher education despite earned overseas, or almost; a national
entrepreneurs and professionals who an avalanche of funds, Chinas political title is also bestowed upon the recruit.
have taken advantage of the vast leadership has attributed the problem
opportunities created by Chinas rapid to the lack of talent of the calibre of the In late 2010, a new component was
economic growth and the preferential father of Chinas space technology, Qian added to the Thousand Talents
policies implemented by the Chinese Xuesen, or the founder of geomechanics, Programme, targeting aspiring young
government to woo them. Li Siguang, or of nuclear physicist Deng scientists and engineers aged 40 years
Jiaxian. In late 2008, the Department and under who hold a doctorate
Since the mid-1990s, high-profile of Organization of the CCPs Central from a well-known foreign university,
programmes have been rolled out Committee, which appoints and have at least three years of overseas
by the Ministry of Education (Cheung evaluates senior officials at the provincial research experience and hold a formal
Kong Scholar Programme), the Chinese and ministerial levels, added the title appointment at a well-known foreign
Academy of Sciences (One Hundred of headhunter to its curriculum vitae university, research institute or company.
Talents Programme) and other central by initiating the Thousand Talents The recruit is required to work full-time at
and local government agencies. Programme (qianren jihua). a Chinese institution for an initial period
These talent-focused programmes of five years. In return, he or she receives
have dangled extremely generous In essence, the Thousand Talents a subsidy of RMB 500000 and a research
incentives, resources and honours Programme aims to spend 510 years grant worth RMB13 million.
before potential recruits. They have wooing some 2000 expatriate Chinese
targeted scientific pioneers, leaders under the age of 55 who hold a foreign By 2015, the programme had signed
in key technologies and corporate doctoral degree and are full professors up some 4100 Chinese expatriates
managers from high-tech industries at well-known institutions of learning, and foreign experts with impeccable
but also especially during the global experienced corporate executives and credentials. Wang Xiaodong, a
financial crisis professionals from entrepreneurs with patents for core prestigious Howard Hughes Medical
consulting and the financial and legal technologies under their belt. The state Institute investigator who was elected

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Table 23.2: Chinas mega-engineering programmes to 2020

The 16 mega- Advanced manufacturing Extra large-scale integrated circuit manufacturing technology and associated technology
engineering technology
Advanced computerized numerical control machinery and basic manufacturing technology
programmes
correspond to Transportation Large aircraft
about 167 smaller Agriculture Cultivation of new varieties of genetically modified organisms (Box 23.3)
projects. Thirteen Environment Water pollution control and governance (Box 23.4)
have been made
Energy Large-scale oil and gas fields and coal-bed methane development
public.
Advanced large-scale pressurized water reactors and nuclear power plants with high-
temperature, gas-cooled reactors (Box 23.5)
Health Development of significant new drugs
Prevention and treatment of AIDS, viral hepatitis and other major infectious diseases
ICTs Core electronic devices, high-end generic chips and basic software
Next-generation broadband wireless mobile communication
Space technologies High-resolution Earth observation system
Human space flight and the Moon exploration programme

Source: National Medium- and Long-term Plan for the Development of Science and Technology (20062020)

to the US National Academy of Sciences from the programmes original goal who were treated less generously
in 2004 at the tender age of 41, and Shi but also casts doubt as to whether than more recent recruits. In order to
Yigong, a chair professor of structural the programme will encourage the correct these failings, the Department

Chapter 23
biology at Princeton University, figure permanent return of outstanding of Organization launched a Ten
among the prize catches. expatriates. This setback suggests that Thousand Talents Programme, in
high-flying expatriate Chinese still August 2012 which offers similar perks
The Thousand Talents Programme dont feel the environment is ready for to a wider range of hopefuls.
is not flawless, be it in design or making their move permanent, despite
implementation. For one thing, the criteria a generous pay package. Among the
Figure 23.7: Cumulative number of
have changed over time. The programme reasons for this reluctance: personal Chinese students going abroad and
originally targeted full professors at relationships (guanxi) often override returnees, 19862013
well-known foreign universities or their considerations of merit in China when
equivalents; in practice, the threshold has it comes to reviewing grant proposals, 1986 40 000 17 000
been lowered to full professors from any promotion and awards; rampant
1989 80 000 33 000
institution or even associate professors. misconduct has also tainted the
Preferential treatment that was originally Chinese scientific community; and, in 1992 190 000 60 000
reserved for new recruits has been social sciences, some research areas
extended to qualified earlier returnees remain taboo. 1995 250 000 81 000

with retrospective effect. The evaluation

1998 300 000 100 000
of candidates has paid most attention to The Department of Organization
academic publications and the required has never published the formal list 2001 420 000 140 000
length of full-time employment has of beneficiaries, for fear that recruits
2004 815 000 198 000
been reduced to six months. Given that might be frowned upon by their
many, if not most, of the recruits only foreign employers or even lose their 2007 1 211 700 319 700
spend a couple of months in China, position through a conflict of interest.
2010 1 905 400 632 200
even though their contract usually
specifies otherwise, the Department The programme has also alienated 2013 3 058 600 1 444 800
of Organization has had to introduce domestically trained talent, whose
Students going abroad Returnees
a short-term two-month employment training has been perceived as being
scheme. This not only significantly departs of inferior quality, and early returnees, Source: Authors research

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endogenous innovation in a constantly mutating international accordingly. The outcome of the review will also feed into the
environment. The mid-term review also included an exercise formulation of the Thirteenth Five-Year Plan (20162020) and
in which more than 8000 domestic and foreign experts were the launch of the S&T systemic reform.
invited to assess Chinas mega-engineering programmes,
including through technology foresight studies, to determine It would nevertheless appear that the review of the Medium-
where China stood in these technological areas (Table 23.2). and Long-Term Plan will re-affirm the so-called whole
Beijing, Jiangsu, Hubei, Sichuan, Liaoning and Qingdao were nation system (juguo tizhi) approach, by which the nations
all selected as sites for the mid-term review at the provincial resources are channelled towards select prioritized areas.4
and municipal levels. This approach is reminiscent of the state-led development of
Chinas strategic weapons programmes (liangdan yixing) from
The review was originally due for completion by March 2014 the mid-1960s onwards through resource concentration and
and its preliminary findings were scheduled for distribution mobilization. Along with the introduction of top-level design
to the public by the end of June the same year. However, the into the formulation of reform initiatives, it may become a
second meeting of the steering committee was only held on hallmark of innovation in China in the years to come.
11 July 2014. Once the assessment has been completed, the
review team will summarize the information collected on the 4. This approach originated from Chinas state-run sports system, or whole nation
system where it was the practice to concentrate the entire nations resources
Medium- and Long-Term Plans implementation thus far and on the training of athletes who showed promise for winning China medals at
the role that science and technology have played since 2006 the Olympic Games. The success of Chinas strategic weapons programmes in
the 1960s and 1970s and subsequent national defence programmes has been
in driving socio-economic development. Recommendations attributed to such a metaphor, which is also used to describe the 16 mega-
will then be made for adjusting the implementation plan engineering programmes launched under the Medium- and Long-Term Plan to 2020.

Box 23.3: Cultivating a new variety of GMOs: a mega-engineering programme

This programme was officially Current work includes developing GM state, proceeding steadily to ensure
launched on 9July 2008 when the crops with resistance to viruses, diseases, no mishap and taking safety into
State Council gave it the go-ahead insects, bacteria and fungi, as well as account. He also indicated that China
after debating whether China should tolerance to weed-killing herbicides. GM should boldly carry out research and
commercialize particular genetically crops such as wheat, maize, soybean, innovation, take the commanding
modified organisms (GMOs) and, if so, potato, canola, peanut and others are heights of transgenic technology
when, as well as how to establish a at different stages of laboratory studies, and not allow foreign companies to
stringent biosafety and risk assessment field trials or environmental release occupy Chinas market for agricultural
mechanism. This is arguably the but have not yet reached the stage GM products.
most controversial of the 16 mega- of biosafety certification permitting
engineering programmes. commercialization. Soon after the programmes inception,
the long-delayed biosafety certification
Run by the Ministry of Agriculture, In the past couple of years, China has process for GM crops was accelerated
the programme aims to obtain genes witnessed a change in policy towards to allow biosafety certificates to be
with far-reaching applicability and transgenic technology and especially issued for two strains of GM rice and
indigenous intellectual property GM crops, which coincided with the phytase maize in 2009. These biosafety
rights and to cultivate major new change in the political leadership in late certificates expired in August 2014,
GMO varieties with traits for disease 2012 and early 2013. Chinas position amid rising contestation from anti-
and insect resistance, stress tolerance on the issue of transgenic plants was GMO activists. The certificates were
and high yields, to promote efficient elaborated in Xi Jinpings speech at nevertheless renewed on 11 December
agricultural production, raise the the central conference on rural work 2014. It remains to be seen whether the
overall level of agricultural transgenic on 23 December 2013. He said that it GMO mega-engineering programme
technology and commercialization is quite normal for there to be doubts will proceed smoothly over the next
and underpin the sustainable and debate, as transgenic plants use five years.
development of Chinese agriculture a novel technology but that it has
with strong scientific support. broad prospects for development.
Between 2009 and 2013, the central Xi emphasized the importance of
governments appropriation to the strictly following technical regulations
programme totalled RMB5.8 billion. and specifications formulated by the Source: www.agrogene.cn; authors research

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Reform of the Chinese Academy of Sciences CAS: full of promise but overstretched
The latest reform of CAS once again raises the question of the Today, CAS employs a staff of 60000 and counts 104 research
academys place in Chinas national S&T system, a question institutes. It operates on a budget of roughly RMB42billion
which first came up at the academys inception immediately (circa US$6.8billion), just under half of which comes from
after the founding of the Peoples Republic of China in 1949. the government. The academy is struggling with a number
At the time, research and training were separated at of challenges. For one thing, it is in direct competition with
universities and industrial R&D institutes focused on specific other Chinese institutions of learning for funding and talent.
problems in their particular sectors. These were the glory Underpaid CAS scientists also have to apply constantly for
days of the academy, when it contributed, in particular, to grants to supplement their income, a widespread phenomenon
the success of the strategic weapons programmes through a in the entire research and higher education sector, which may
mission-oriented disciplinary development strategy. have resulted in underperformance. CAS has also seen its work
duplicated on a large scale by its own institutes, which tend not
CAS would quickly become a victim of its own success, after to collaborate with each other. There is also a lack of interest
its high visibility attracted keen attention from the political among CAS scientists in seeking opportunities to apply their
leadership and other actors in the S&T system. In the mid-1980s research to the economy, although this should not be its core
when China began reforming its S&T system, CAS was forced mission. Last but not least, the academy is encumbered by the
to adopt a one academy, two systems approach. This strategy breadth of its mandate, which ranges from research, talent
consisted in concentrating a small number of scientists on basic training, strategic high-tech development, commercialization
research and following the global trend in high technology, of research results and local engagement to the provision of
while encouraging the majority of its staff to engage in the policy advice as a think tank and through its elite academicians;
commercialization of research results and projects of direct this makes it extremely difficult for CAS to manage and
relevance to the economy. The overall quality of research evaluate institutes and individual scientists. In a word, the
suffered, as did the academys ability to tackle fundamental academy is big and full of promise, yet so cumbersome,
research questions. weighed down by the legacy of the past (Cyranoski, 2014a).

In 1998, the president of CAS, Lu Yongxiang, initiated the Reform or be reformed!

Chapter 23
Knowledge Innovation Programme to improve the academys In the past couple of years, CAS has come under enormous
vitality (Suttmeier et al., 2006a; 2006b). Initially, CAS hoped pressure from the political leadership to produce visible
to satisfy the Chinese leadership by making the staff of its achievements. The loss of independence of the Russian
institutes more nimble and mobile. The academys very Academy of Sciences, the successor to the Soviet Academy
existence was threatened, however, after it was downsized to of Sciences on which CAS was modelled, in a top-down
compensate for the governments efforts to strengthen the reform in 2013 (see Box 13.2), has sent a chilling signal: if CAS
research capability of universities and the national defence does not reform itself, others will. This realization prompted
sector ironically, the very sector that had historically absorbed current CAS President Bai Chunli to take advantage of Xis
CAS personnel or depended upon CAS to take on major call for CAS to become a pioneer in four areas (see p. 628) to
research projects. In reaction, CAS not only reversed its early propose a sweeping reform of the academy through a new
approach but even went to the other extreme by significantly Pioneering Action Initiative (shuaixian xingdong jihua). The
expanding its reach. It established application-focused research aim of this initiative is to orient the academy towards the
institutes in new scientific disciplines and new cities and international frontier of science, major national demands and
formed alliances with provincial and local governments and the battleground for the national economy by re-organizing
industries. The Suzhou Institute of Nanotech and Nanobionics existing institutes into four categories:
is one such establishment; it was created jointly by CAS and
n centres of excellence (zhuoyue chuangxin zhongxin) focused
the Jiangsu provincial and Suzhou municipal governments in
on basic science, especially in those areas where China has a
2008. Apparently, some of these new institutes are not fully
strong advantage;
supported by the public purse; in order to survive, they have to
compete with existing institutes and engage in activities that n innovation academies (chuangxin yanjiuyuan) targeting
bear little relation to CASs mission as the national academy. areas with underdeveloped commercial potential;
Although CAS hosts the worlds largest graduate school in
n centres of big science (dakexue yanjiu zhongxin) built around
terms of the number of postgraduate degrees awarded each
large-scale facilities to promote domestic and international
year, which include 5 000 PhDs, CAS has been finding it difficult
collaboration; and
in recent years to attract the best and brightest students. This
has spurred CAS to found two affiliated universities in Beijing n institutes with special characteristics (tese yanjiusuo)
and Shanghai, both of which opened their doors to a couple of devoted to initiatives that foster local development and
hundred undergraduates in 2014. sustainability (Cyranoski, 2014a).

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Box 23.4: Water body pollution control and treatment: a mega-engineering programme

The mega-engineering programme of of monitoring and early warning, city for heavily polluted rivers and lakes
water body pollution control and water environment, lakes, rivers, drinking suffering from eutrophication,
treatment has been designed to water and policies. non-point source pollution control
address the technology bottleneck in technology, water quality purification
Chinas efforts to control and treat The Ministry of Environmental Protection technologies, water-related
pollution of water bodies. In particular, and the Ministry of Housing and Urban environmental risk assessment
the programme aims to achieve a and Rural Construction are in charge of and early warning, as well as key
breakthrough in key and generic the programme, which got under way on remote monitoring technology.
technologies related to water pollution 9 February 2009 with a budget of more Comprehensive demonstration
control and treatment, such as than RMB30 billion. The first stage of projects were carried out in the Tai
industrial pollution source control and the programme to early 2014 targeted Lake basin to improve water quality
treatment, agricultural non-point breakthroughs in key technologies to and eliminate water from rivers
source pollution control and treatment, control source pollution and reduce running through cities that is of Class-V
urban sewage treatment and recycling, wastewater discharge. The second stage quality, which means it is only suitable
purification and the ecological is currently targeting breakthroughs in for irrigation and landscaping. The first-
restoration of water bodies, drinking key technologies to fix the water bodies. stage projects also targeted problems
water safety and water pollution The main goal of the third stage will be related to drinking water. There
monitoring and early warning. to make technological breakthroughs have also been some achievements
in comprehensive control of the water in water resources protection,
The programme focuses on four rivers environment. water purification, safe distribution,
(Huai, Hai, Liao and Songhua), three monitoring, early warning, emergency
lakes (Tai, Chao and Dianchi) and the The first stage focused on the entire treatment and safety management.
Three Gorges Reservoir, the largest process wastewater treatment
dam in the world. Projects have been technology for heavily polluting
carried out within the six major themes industries, comprehensive treatments Source: http://nwpcp.mep.gov.cn

The reclassification of the CAS institutes and their scientists external to CAS. The danger is that CAS may actually become
was still under way in 2015. It must be said that the initiative even more hermetic and isolated than before.
itself is self-congratulatory, as the academy is still resting on
its past achievements, with little consideration for whether The timing of the reform may also complicate matters. The
this new initiative may be good for the nation as well as for reform at CAS coincides with the nationwide reform of public
the academy. This explains why some are sceptical about institutions (shiye danwei) launched in 2011. In general, the
the necessity of maintaining such a gigantic organization, a countrys 1.26 million public institutions of education, research,
model not found anywhere else in the world. culture and health care, which have more than 40 million
employees, fall into two types. CAS institutes that fall into
The initiative offers the academy a bright future, as long as it Type 1 are to be fully financed from the public purse and will
can count on sizable government funding but that is nothing be expected to fulfil only the tasks set by the state. Type II CAS
new. Many of the goals that President Bai Chunli proposed institutes, on the other hand, will be allowed to supplement
for the Pioneering Action Initiative are identical to those of partial public funding with income earned through other
his predecessor, Lu Yongxiang, through his own Knowledge activities, including through government procurement of their
Innovation Programme. Nor is there any guarantee that these research projects, technology transfer and entrepreneurship.
goals will be fulfilled through the reform. The reform will thus have implications both for the institutes
and for individual scientists, in terms of the amount of stable
The Pioneering Action Initiative is pivoting institutions into a funding they receive and the level of salaries, as well as the
new matrix so as to boost collaboration within the academy scope and importance of the executed projects. It is also likely
and concentrate on tackling key research questions, which that some CAS institutes will be corporatized, as this is what
has a certain logic. Implementation will be tough, though, has happened to Chinas application-oriented R&D institutes
since many institutes do not fit easily into any of the four since 1999. Consequently, CAS will need to become a leaner
defined categories. Another worry is that the initiative may institution, as the state may not always be willing or able to
not necessarily encourage collaboration with scientists finance such a costly academy.

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Box 23.5: Large-scale advanced nuclear power stations: a mega-engineering programme

In 2015, China had 23 operable nuclear The programme was launched on Meanwhile, also in Shidaowan, a HTR-
reactors and a further 26 were under 15 February 2008. The construction of the 20 demonstration project is already up
construction. The countrys large-scale AP1000 units in Sanmen in Zhejiang and running. The project will develop
nuclear power station programme province and Haiyang in Shandong the worlds first fourth-generation
has three components: advanced province got under way in 2009. demonstration reactor, on the basis of
pressurized water reactors (PWR), Construction was put on hold, however, the 100 MW HTR-10 prototypepebble-
special high-temperature reactors after the earthquake-induced nuclear bed reactordeveloped byTsinghua
(HTR) and used fuel reprocessing. disaster in Japan in March 2011 (see University.
The central government is expected Chapter 24). Construction resumed in
to invest RMB11.9billion and RMB3 October 2012 and four AP1000 units are Tsinghua University began building
billion respectively in the two nuclear now expected to be online by late 2016. the HTR-10reactor back in 1995. This
reactor sub-programmes. fourth-generation nuclear energy
SNPTC has been co-ordinating domestic technology is modelled on the
The PWR sub-programme is being nuclear power equipment manufacturers, GermanHTR-MODUL. The reactor
implemented by the State Nuclear research institutes and universities, was fully operational by January 2003.
Power Technology Corporation which are in the process of assimilating HTR-10 is claimed to be fundamentally
(SNPTC). It aims to digest and absorb imported equipment design and safer,potentially cheaper and
imported third-generation nuclear manufacturing technology and localizing more efficient than other nuclear
power technology, which will then key equipment used in the AP1000. reactor designs. Operated at high
serve as the basis for developing Some key equipment has already been temperatures, it generateshydrogenas
more powerful large-scale advanced shipped to the Sanmen and Haiyang sites. a by-product, thus supplying an
PWR technology, and to generate In 2014,the first reactor pressure vessel inexpensive and non-polluting fuel for
indigenous intellectual property for the second AP1000 unit inSanmen fuel cell-powered vehicles.
rights. was manufactured domestically.

Chapter 23
Huaneng, the China Nuclear
The programme has three stages. In December 2009, SNPTC and the China Energy Construction Company
Initially, the Westinghouse Electric Huaneng Group formed a joint venture and Tsinghua University have
Company, now a unit of Japanese to start a CAP1400 demonstration established a joint venture to scale
engineering and electronics giant project in Shidaowan in Shandong up the HTR experimental design and
Toshiba, is helping SNPTC to build four province. The conceptual design passed engineering technology, as well as
advanced, passive units with an the states evaluation test at the end high-performance fuel cell batch
installed capacity of about 1000 MW of 2010 and a preliminary design was preparation techniques. Postponed
each (AP1000 units), through which completed in 2011. In January 2014, after the Fukushima nuclear disaster
SNPTC masters the basic design the National Energy Administration in March 2011, the project finally got
capability for third-generation nuclear organized the expert review of under way in late 2012. When it comes
power technology. At the second the project and, in September, the online in 2017, the Shidaowan project
stage, SNPTC will develop a National Nuclear Safety Administration will have its first two 250MW units,
standardized design capability of approved the design safety analysis which together will drive asteam
AP 1 000 units, as well as the ability to following a 17-month review. Key turbinegenerating 200MW.
build AP 1000 units in both coastal equipment for CAP1400 is currently
and inland areas, with support from being manufactured and the related The third component of this mega-
Westinghouse. By the third stage, demonstration project, which is due engineering programme concerns the
SNPTC should be capable of designing to start soon, is expected to localize construction of a large commercial
advanced, passive third-generation 80% of the nuclear island equipment. spent fuel reprocessing demonstration
nuclear reactors units of 1400 MW Safety tests for key components used in project to achieve a closed fuel cycle.
(Chinese AP1 400); it should also be CAP1400 unit have also gone ahead.
ready to build a CAP 1 400 The demonstration and standardized
demonstration unit and undertake a units of the CAP1400 demonstration
pre-research programme for the larger project should be operational by 2018
CAP1700 units. and 2019 respectively. Source: www.nmp.gov.cn

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Rethinking government funding of research n A special fund to guide technological innovation; and
Another major reform is this time shaking up the way in which
n Special programmes to develop human resources and
the Chinese government funds research. China has seen rising
infrastructure (Cyranoski, 2014b).
central government expenditure on science and technology
over the past decade. With RMB236 billion (US$38.3 billion) These five categories translate into some RMB100 billion
in 2013, spending on science and technology accounted for (US$16.36 billion), or 60% of the central governments funding
11.6% of the central governments direct public expenditure. for research in 2013, which will be handled by professional
Of this, R&D expenditure has been estimated at about organizations specializing in research management by 2017.
RMB167 billion (US$27 billion) by the National Bureau of MoST, which distributed RMB22 billion (US$ 3.6 billion) in
Statistics (2014). As new national science and technology public R&D funding in 2013, will gradually concede its role
programmes had been added over the years, especially of administering the funding for programmes under its
the mega-engineering programmes introduced under the jurisdiction, most noticeably the 863 and 973 Programmes
Medium- and Long-Term Plan after 2006, funding had become (Figure 23.8). Some other ministries with a portfolio for
decentralized and fragmented, resulting in widespread science and technology will likewise relinquish their power to
overlap and an inefficient use of funds. For example, about distribute public research funds. In return, MoST will survive
30 different agencies administered the central government the reform intact, rather than being dissolved as had been
R&D funding through some 100 competitive programmes up debated for quite some time. The ministry will henceforth
until the launch of the new reform. To compound matters, be in charge of formulating policy and monitoring the use of
pervasivecorruptionand misaligned incentives were seen funding. In line with the reform, the ministry is restructuring
as weakening the vitality of Chinas research enterprise to reorganize relevant departments. For example, its Planning
(Cyranoski, 2014b). Change seemed inevitable. and Development Bureau and Scientific Research Conditions
and Finance Bureau have been merged to form the new
Once again, the reform was instigated under the pressure of Resource Allocation and Management Bureau to strengthen
the political leadership. Initially, the measures proposed by the operational oversight of the future interministerial conference
Ministry of Science and Technology (MoST) and the Ministry of mechanism. Officials at bureau chief level have also been
Finance only made small adjustments to the existing system. reshuffled within the ministry.
All the major programmes were to be maintained and linked
to one another, with the integration of small programmes, and The interministerial conference mechanism is led by MoST
new procedures for supporting research were to be introduced, with the participation of the Ministry of Finance, National
along with other measures to avoid repetition and strengthen Development and Reform Commission (NDRC) and others.
co-ordination between ministries. The Central Leading Group The interministerial conference is responsible for planning
for Financial and Economic Affairs turned down several and reviewing strategies for S&T development, determining
drafts of the reform proposal. It was only after the Central national S&T programmes and their key tasks and guidelines
Leading Group for Financial and Economic Affairs contributed and overseeing the professional research management
substantial input of its own that the measure was finally organizations that will be formed to review and approve
approved by the Central Leading Group for the Deepening funding for national science and technology programmes. The
of Comprehensive Reform, the Politburo of the CCPs Central interministerial conference will be supported by a committee
Committee and the State Council. The reform re-organizes the responsible for strategic consulting and comprehensive review,
nations R&D programmes into five categories: which will be convened by MoST and composed of leading
experts from the scientific community, industry and various
n Basic research through the National Natural Science
economic sectors.
Foundation of China, which currently distributes many of
the small-scale competitive grants;
At the operational level, professional research management
n Major national science and technology programmes, which organizations will be established. Through a unified platform
are presumably the mega-science and mega-engineering or a national S&T information management system, they
programmes under the Medium- and Long-Term Plan to 2020; will organize project submission, evaluation, management
and assessment. MoST and the Ministry of Finance will be
n Key national research and development programmes,
responsible for reviewing and supervising the performance
which presumably succeed the State High-Technology R&D
evaluation of the funding for national science and technology
Programme, also known as the 863 Programme, and the
programmes, evaluating the performance of members of the
State Basic Research and Development Programme, also
strategic consulting and comprehensive review committee and
known as the 973 Programme;5
the performance of the professional research management
organizations. The procedures of programmes and projects
5. For details of these programmes, see the UNESCO Science Report 2010. will be adjusted as part of the dynamic evaluation and

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 China

Figure 23.8: Priorities of Chinas national research programmes, 2012

PRIORITIES OF CHINAS NATIONAL PROGRAMME FOR HIGH-TECH R&D (863 PROGRAMME)

Distribution of new projects by field (%) Distribution of budget for new projects by field (%)

5.8 4.3
6.4 7.8 17.1
19.1
6.5
8.2

8.4
2012 12.3 8.3 2012 15.5

9.1 8.6
12.2 10.9
9.6 9.6
10.6 9.7

Biotechnology
Biotechnology Transportation
Transportation Biotechnology
Biotechnology Agriculture
Agriculture

Environment
Environment Agriculture
Agriculture Information
Information
technology
technology Transportation
Transportation

Energy
Energy Remote
Remote
sensing
sensing Materials
Materials Energy
Energy

Information
Information
technology
technology Ocean
Ocean Environment
Environment Ocean
Ocean

Manufacturing
Manufacturing Materials
Materials Manufacturing
Manufacturing Remote
Remote
sensing
sensing

Chapter 23
PRIORITIES OF CHINAS NATIONAL PROGRAMME FOR KEY BASIC R&D (973 PROGRAMME)
Distribution of new projects by field (%) Distribution of budget by field (%)

7.3 0.9 4.1

16.4 7.1 18.4
7.3
7.4

8.1
8.0
13.6
2012 2012
8.2 18.3

10.6
10.0
9.1

9.1 10.0 11.7 14.4

Health
Health
sciences
sciences Materials
Materials
science
science Megascientific
Megascientific
frontier
frontier Information
Information

Megascientific
Megascientific
frontier
frontier Young
Young
scientist
scientist
project
project Health
Health Materials
Materials

Manufacturing
Manufacturingandand
Energy
Energy
science
science Synthesis
Synthesis
science
science Energy
Energy
engineering
engineering
sciences
sciences
Resource
Resource
andand Manufacturing
Manufacturing
andand
Synthesis
Synthesis
science
science Agriculture
Agriculture
environmental sciences
environmental sciences engineering
engineering
Megascientific
Megascientific
goal-
goal- Resource
Resource
andand
Agricultural
Agricultural
science
science
orientated
orientated
research
research environmental
environmental
Information
Information
science
science

Source: Planning Bureau of Ministry of Science and Technology (2013) Annual Report of the National Programmes of Science and Technology Development.

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UNESCO SCIENCE REPORT

monitoring process. The unified platform will also collect and Climate Change Programme, which proposed reducing unit
report information on national S&T programmes, including GDP energy consumption by 20% by 2010 from 2005 levels, in
budget, personnel, progress, outcomes and evaluation and order to reduce Chinas carbon dioxide (CO2) emissions. Two
assessment, thus subjecting the entire process of research years later, the government went a step further, establishing a
management to public scrutiny. target of reducing unit GDP CO2 emissions by 4045% by 2020
from 2005 levels. The reduction in energy consumption became
As yet, it is unclear how the professional research a binding target in the Eleventh Five-Year Plan (20062010). The
management organizations will be established and, above Twelfth Five-Year Plan (20112015) set the targets of reducing
all, how they will operate. One possibility would be to unit GDP energy consumption by 16% and CO2 emissions by
transform the existing research management organizations, 17% by 2015. However, China did not meet the energy target
including those under MoST and other government ministries in the Eleventh Five-Year Plan (20052010) and the Twelfth Five-
handling similar tasks. The question then becomes how to Year Plan was also behind schedule in the first three years for
avoid putting new wine into an old bottle, as opposed to reaching its targets, despite the enormous pressure brought to
changing fundamentally the way in which the government bear on local officials by the central leadership.
funds national science and technology programmes. The idea
of professional research management organizations has been On 19 September 2014, Chinas State Council unveiled an
inspired by the UK model; in the UK, public funds destined Energy Development Strategy Action Plan (20142020) which
for research are distributed through seven research councils promised more efficient, self-sufficient, green and innovative
for the arts and humanities, biotechnology and biological energy production and consumption. With the cap of
sciences, engineering and physical sciences, economic and annual primary energy consumption set at 4.8 billion tons
social sciences, medical sciences, the natural environment of standard coal equivalent until 2020, the plans long list of
and science and technology. This begs the question of how to targets for building a modern energy structure includes:
integrate the existing programmes under different ministries
according to the logic of scientific research rather than n reducing unit GDP CO2 emissions by 4050% over 2005
arbitrarily assigning them to the various professional research levels;
management organizations. Meanwhile, some government
n increasing the share of non-fossil fuels in the primary
ministries may be reluctant to relinquish their control over
energy mix from 9.8% (2013) to 15%;
funding.
n capping total annual coal consumption at roughly
An environmental action plan 4.2 billion tons;
China, along with India and other emerging economies, has
n lowering the share of coal in the national energy mix from
long insisted on the principle of common but differentiated
the current 66% to less than 62%;
responsibilities in dealing with global climate change.
However, as the worlds largest greenhouse gas (GHG) n raising the share of natural gas to above 10%;
emitter, China is most susceptible to the adverse effects
n producing 30 billion m3 of both shale gas and coalbed
of climate change, mainly in agriculture, forestry, natural
methane;
ecosystems, water resources (Box 23.4) and coastal areas.
Irreversible climate change could throttle Chinas rise as n having an installed nuclear power capacity of 58 Gigawatts
a great power and cause environmental damage, GHG (GW) and installations with a capacity of more than 30 GW
emissions and rising temperatures could derail Chinas path under construction;
to modernity. Indeed, China has been facing the challenge
n increasing the capacity of hydropower, wind and solar
of balancing its multiple development goals, which range
power to 350 GW, 200 GW and 100 GW respectively; and
from industrialization, urbanization, employment and
exports to sustainability and include the target of doubling n boosting energy self-sufficiency to around 85%.
GDP by 2020. By reducing its GHG emissions and cleaning
up the environment, the political leadership is also likely to As China burned 3.6 billion tons of coal in 2013, capping total
gain further support from the emerging middle class; this coal consumption at roughly 4.2 billion tons means that China
support will be necessary to maintain the legitimacy of the can only increase its coal usage by roughly 17% by 2020 from
Chinese Communist Party and help overcome other domestic 2013 levels. The cap also means that annual coal consumption
challenges. may only grow by 3.5% or less between 2013 and 2020. To
compensate for the drop in coal consumption, China plans to
These concerns have prompted the Chinese government expand its nuclear energy production with the construction of
to come up with policies for energy conservation and GHG new nuclear power stations (Box 23.5) and the development
emissions reduction. In 2007, NDRC released the National of hydropower, wind and solar energy (Tiezzi, 2014).

638
 China

There are several reasons for Chinas emphasis on CONCLUSION

diversifying its energy mix. In addition to environmental
considerations, China is eager to reduce its reliance on Realizing the China Dream will not be unconditional
foreign energy suppliers. Currently, China receives nearly Chinas new political leadership has placed STI at the core of
60% of its oil and over 30% of its natural gas from foreign the reform of its economic system, as innovation can help
sources. For domestic production to make up 85% of total not only with restructuring and transforming the economy
energy consumption by 2020, China will need to increase its but also with solving other challenges that China faces from
production of natural gas, shale gas and coalbed methane. inclusive, harmonious and green development to an ageing
The new energy action plan also calls for deepwater drilling, society and the middle income trap. The period from now to
as well as for the development of oil and gas extraction in 2020 seems to be critical for the comprehensive deepening
its neighbouring seas by undertaking both independent of reform, including the reform of the S&T system. As we
extraction projects and co-operative projects with foreign have seen, new initiatives have been launched to reform
countries (Tiezzi, 2014). the Chinese Academy of Sciences and the centrally financed
national S&T programmes, in order to increase Chinas chances
A week before the announcement of the new energy of becoming an innovation-oriented, modern nation by 2020.
action plan, President Xi Jinping signed a joint climate
change agreement with US President Barack Obama, in The reform is necessary but it is still too early to predict
which China undertook to raise the share of non-fossil fuel whether it will lead China in the right direction and, if so,
sources to 20% of its energy mix by 2030. China alsoagreed how quickly it will contribute to Chinas ambition of
to slow down then stop the increase in its GHG emissions becoming an innovation-oriented nation. Particular concerns
by 2030; in turn, the USA pledged to reduce its own GHG are the extent to which the reform reflects a top-level design,
emissions by up to 28% by 2025 relative to 2005 levels. at the expense of the consultations with stakeholders and the
Both presidents also agreed to co-operate in the fields of public, coupled with the integration of bottom-up initiatives
clean energy and environmental protection. Whereas China that proved crucial for the formulation and implementation
and the USA had blamed one another for the failure of the of S&T policy in the earlier reform and open-door era. The
2009 summit on climate change in Copenhagen to reach merit of the whole nation system also needs to be carefully

Chapter 23
an agreement on setting emissions reduction targets, now assessed against the trend of globalization, which not only
there is strong hope that the negotiations might culminate served as the backdrop to Chinas rise in economic and
in an agreement at the climate change conference in Paris technological terms during the reform and open-door era but
in late 2015. also brought China enormous benefits.

Amid all these positive developments, the Standing As we have seen, the level of dependence of Chinese
Committee of the National Peoples Congress Chinas enterprises on foreign core technologies is of some concern.
legislature passed the Amendment to Environmental The current political leadership has reacted by setting up an
Protection Law on 24 April 2014, marking the end of a expert group under Vice-Premier Ma Kai to identify industrial
three-year revision of Chinas environmental protection champions capable of concluding strategic partnerships with
law. The new law, which took effect on 1 January 2015, foreign multinationals. This resulted in Intel acquiring 20% of
stipulates harmonizing socio-economic development with the shares in Tsinghua Unigroup, a state company emanating
environmental protection and, for the first time, establishes from one of the countrys most prestigious universities, in
clear requirements for building an ecological civilization. September 2014. At the time of writing in July 2015, the Wall
Perceived to be the most stringent in Chinas environmental Street Journal had just revealed an offer by Tsinghua Unigroup
protection history, the law toughens the penalties to purchase Micron, a US manufacturer of semiconductors, for
for environmental offences with specific articles and 20.8 billion. Should the deal go ahead, it will be the biggest
provisions for tackling pollution, raising public awareness foreign takeover concluded by a Chinese firm since the China
and protecting whistle-blowers. It also places greater National Offshore Oil Corporation purchased the Canadian oil
responsibility and accountability on local governments and and gas company Nexen Inc. in 2012 for US$ 15 billion.
law enforcement bodies for environmental protection, sets
higher environmental protection standards for enterprises Knowledge transfer is evidently embedded in Chinas foreign
and imposes harsher penalties for such acts as tampering direct investment and the efforts of the returnees, who are
with and falsifying data, discharging pollutants deceptively, now active at the forefront of technology and innovation
not operating pollution prevention and control facilities in China. Although the political leadership still calls for
normally and evading supervision, among others (Zhang globalization to be embraced, recent cases of bribery and
and Cao, 2015). anti-monopoly moves targeting multinational companies
operating in China, coupled with the restrictions on access to

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UNESCO SCIENCE REPORT

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conducive to creativity and the cross-pollenization of ideas, nature.com.
if it is to contribute effectively to achieving the China Dream
envisaged by the countrys political leadership. Ghafele, R. and B. Gibert (2012) Promoting Intellectual Property
Monetization in Developing Countries: a Review of Issues
and Strategies to Support Knowledge-Driven Growth.
KEY TARGETS FOR CHINA Policy Research Working Series 6143. Economic Policy
and Debt Department, Poverty Reduction and Economic
n Raise GERD to 2.50% of GDP by 2020; Management Network, World Bank.
n Raise the contribution of technological advances to
economic growth to more than 60% by 2020; Gough, N. (2015) Default signals growing maturity of Chinas
corporate bond market. New York Times, 7 March.
n Limit Chinas dependence on imported technology
to no more than 30% by 2020; Liu, F.-C.; Simon, D. F.; Sun, Y.-T. and C. Cao (2011) Chinas
n Become, by 2020, one of the top five countries in the innovation policies: evolution, institutional structure and
world for the number of invention patents granted trajectory. Research Policy, 40 (7): 91731.
to its own citizens and ensure that Chinese-authored
scientific papers figure among the worlds most cited; Lozano, R. et al. (2012) Global and regional mortality from
235 causes of death for 20 age groups in 1990 and 2010: a
n Reduce (unit GDP) CO2 emissions by 4050% by systematic analysis for the global burden of disease study
2020 from 2005 levels; 2010. The Lancet, 380: 2095128.
n Increase the share of non-fossil fuels in the primary
energy mix from 9.8% (2013) to 15% by 2020; National Bureau of Statistics (2014) China Statistical Yearbook
2014. China Statistical Press. Main Items of Public
n Cap annual coal consumption at roughly 4.2 billion Expenditure of Central and Local Governments.
tons by 2020, compared to 3.6 billion tons in 2013,
and lower the share of coal in the national energy OECD (2014) Science, Technology and Industry Outlook 2014.
mix from 66% at present to less than 62% by 2020; November. Organisation for Economic Co-operation and
n Raise the share of natural gas to above 10% by 2020; Development: Paris.

n Produce 30 billion m3 of both shale gas and coalbed Simon, D. F. (2010) Chinas new S&T reforms and their
methane by 2020; implications for innovative performance. Testimony
n Achieve an installed nuclear power capacity of 58 before the USChina Economic and Security Review
Gigawatts (GW) and installations with a capacity of Commission, 10 May 2010: Washington, DC.
more than 30 GW under construction by 2020; See www.uscc.gov/sites/default/files/5.10.12Simon.pdf.

n Increase the capacity of hydropower, wind and solar Suttmeier, R.P. (2007) Engineers rule, OK? New Scientist,
power to 350 GW, 200 GW and 100 GW respectively 10November, pp. 7173.
by 2020;

n Boost energy self-sufficiency to around 85%.

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Suttmeier, R.P.; Cao, C. and D. F. Simon (2006a) Knowledge

innovation and the Chinese Academy of Sciences. Science, Cong Cao (b. 1959: China) is Professor and Head of
312 (7 April):5859. the School of Contemporary Chinese Studies at the
University of Nottinghams antenna in Ningbo (China).
Suttmeier, R.P.; Cao, C. and D. F. Simon (2006b) Chinas Until September 2015, he was Associate Professor and
innovation challenge and the remaking of the Chinese Reader at the University of Nottinghams School of
Academy of Sciences. Innovations: Technology, Governance, Contemporary Chinese Studies in the UK. Prof. Cao holds
Globalization, 1 (3):7897. a PhD in Sociology from Columbia University (USA). He
has held positions in the past at the University of Oregon
Tiezzi, S. (2014) In new plan, China Eyes 2020 energy cap. The and the State University of New York (USA), as well as at
Diplomat. See: http://thediplomat.com. the National University of Singapore.

UNESCO (2012) All for one and one for all: genetic solidarity in
the making. A World of Science, 10 (4). October. ACKNOWLEDGMENTS
Van Noorden, R. (2014) China tops Europe in R&D intensity? The author wishes to thank Prof. Richard P. Suttmeier for
Nature 505 (14 January):14445. his comments on the draft chapter and Dr Yutao Sun for
providing information on some of the statistics used in the
Yoon, J. (2007) The technocratic trend and its implication present chapter.
in China. Paper presented at a graduate conference on
Science and Technology in Society, 31 March1 April,
Washington D.C.

Zhang, B. and C. Cao (2015) Four gaps in Chinas new

environmental law. Nature, 517:43334.

Chapter 23

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UNESCO SCIENCE REPORT
Japan needs to adopt forward-looking
policies ... and to pursue the necessary
reforms to adapt to the changing global
landscape.
Yasushi Sato and Tateo Arimoto

ASIMO is the culmination of two decades of humanoid robotics

research by Honda engineers. Pictured here in 2007, ASIMO can run,
walk on uneven slopes and surfaces, turn smoothly, climb stairs and
reach for and grasp objects. ASIMO can also comprehend and respond
to simple voice commands. ASIMO has the ability to recognize the face
of a select group of individuals. Using its camera eyes, ASIMO can map
its environment and register stationary objects. ASIMO can also avoid
moving obstacles as it moves through its environment.
Photo: http://asimo.honda.com

642
 Japan
24 . Japan
Yasushi Sato and Tateo Arimoto

INTRODUCTION consumption from 5% to 8% in April 2014. The Abe cabinet

then decided to postpone raising this tax further to 10% until
Two turning points in Japanese politics April 2017, citing Japans weak economic performance.
Twice, Japan has experienced a political turning point in
the past decade. The first came in August 2009, with the The current fiscal situation is clearly unsustainable. Whereas
electoral defeat of the Liberal Democratic Party (LDP), which government expenditure on social security rose steadily from
had dominated Japanese politics for over half a century. 2008 to 2013 at an average annual rate of 6.0%, total national
Frustrated by the LDPs failure to shake Japan out of a two revenue barely progressed. In May 2014, the International
decade-long economic slump, Japanese voters placed their Monetary Fund (IMF) recommended that Japan raise its
hopes in the Democratic Party of Japan (DPJ). Three prime consumption tax rate to at least 15%. This figure is still much
ministers followed in quick succession, none of whom lower than in most European nations but it would be very
succeeded in rebooting the economy. Twenty-one months difficult to implement the IMFs recommendation in Japan,
after the Great East Japan Earthquake triggered a tsunami and as most people, especially seniors, would overwhelmingly
the Fukushima nuclear disaster in March 2011, disillusioned vote against any party responsible for such a decision. At the
voters returned the LDP to power in the December 2012 same time, the Japanese would also resist any drop in the
general election. current level of public service, which is characterized by cost-
efficient, hospitable and universal health care, fair and reliable
The new prime minister, Shinzo Abe, put in place a set of public education and trusted police and judicial systems.
extraordinarily active fiscal and economic policies which have Politicians have thus been able to do little to contrary the
been dubbed Abenomics. After news emerged that Japan rapidly widening gap between revenue and expenditure.
had officially slipped into recession following an increase in
taxation on consumption, the prime minister called a snap Under such extraordinary fiscal pressure, the government
election in December 2014 to consult the public on whether has indeed tried hard to streamline public expenditure.
or not to pursue Abenomics. His party won a landslide victory. The defence budget remained roughly constant from 2008
to 2013, although it was then moderately augmented as
Long-term challenges: an ageing society and economic attention focused on changing geopolitical circumstances in
stagnation Asia. Spending on public works was radically cut back by the
Although Abenomics has helped Japan to recover from DPJ administration but increased again after the Great East
recession in the wake of the global financial crisis of 2008, Japan Earthquake, especially under the Abe administration.
the nations underlying problems remain. Japans population The budget for education shrank constantly from 2008 to

Chapter 24
peaked in 2008 before embarking on a gradual decline. As the 2013, with the notable exception of DPJs flagship policy of
proportion of seniors in the nations population has surged, making secondary school education free of charge, introduced
Japan has become the worlds most aged society, even if in 2010. After expanding constantly for years, the budget for
the fertility rate did rise somewhat between 2005 and 2013, the promotion of science and technology (S&T) went into
from 1.26 to 1.43 children per woman. The combination of reverse. Although the government still sees S&T as a key driver
a sluggish economy and ageing society has necessitated of innovation and economic growth, the combination of
the mobilization of increasingly massive government limited revenue and rising expenditure for social security does
expenditure, especially for social security. The share of not bode well for public support of S&T in Japan.
accumulated total government debt in GDP exceeded 200%
in 2011 and has since continued to climb (Table 24.1). To help In the private sector, too, investment in research and
service this debt, the Japanese government raised the tax on development (R&D) has dropped since the global financial

Table 24.1: Socio-economic indicators for Japan, 2008 and 2013

Share of population aged Government debt

Year GDP growth, volume (%) Population (millions) 65 years and above (%) as a share of GDP (%)*
2008 -1.0 127.3 21.6 171.1

2013 1.5 127.1 25.1 224.2

*General government gross financial liabilities

Source: OECD (2014) Economic Outlook No.96; IMF World Economic Outlook database, October 2014; for population data: UN Department of Economic and Social Affairs

643
UNESCO SCIENCE REPORT

crisis of 2008, along with capital investment. Instead of TRENDS IN STI GOVERNANCE
investing their resources, firms have been accumulating
profits to constitute an internal reserve which now amounts A radical departure from the past
to roughly 70% of Japans GDP. This is because they It was the Basic Law on Science and Technology (1995) which
increasingly feel the need to be prepared for momentous first mandated the Japanese government to formulate the
socio-economic changes, even though these are hardly Basic Plan for Science and Technology, the most fundamental
predictable. A 4.5% reduction in the corporate tax rate in document in this policy area. The Basic Plan has since been
2012, in response to similar global trends, helped Japanese revised every five years. The First Basic Plan (1996) called
firms amass their internal reserve, albeit at the expense of for a drastic increase in government expenditure on R&D, a
raising their employees salaries. In fact, Japanese firms have wider range of competitive research funds and proper care
consistently cut operational costs over the past 20 years by for research infrastructure. The Second and Third Basic Plans
replacing permanent employees with contractors, in order specified life sciences, information and communication
to compete in the global market. After peaking in 1997, the technologies (ICTs), environment and nanotechnology/
average salary in the private sector had dropped by 8% by materials science as being the four priority areas for resource
2008 and by 11.5% by 2013, enlarging income disparities. allocation, while also emphasizing the importance of
Moreover, as in many advanced nations, young people basic science. Whereas fostering a competitive research
increasingly find themselves occupying temporary jobs or environment and universityindustry collaboration continued
working as contractors. This makes it difficult for them to to be a major policy agenda, communicating science to
acquire skills and gives them little say in their career paths. society gained greater importance. Innovation became a
keyword for the first time in the Third Basic Plan, published in
Japan is back! 2006. A review of implementation of the Third Basic Plan by
It was in the midst of such fiscal and economic distress that the Council for Science and Technology Policy found growing
Prime Minister Abe came to office in December 2012. He support for young researchers, a higher proportion of female
vowed to make Japans economic recovery his top priority researchers and greater universityindustry collaboration
by overcoming deflation, which had afflicted the Japanese but noted that further efforts were necessary in these areas.
economy for nearly two decades. Soon after his inauguration, The review also emphasized the importance of effective
he made a speech in February 2013 entitled Japan is Back, PlanDoCheckAct mechanisms.
during a visit to the USA. Abenomics consists of three
arrows, namely monetary easing, fiscal stimulus and a Just as the Council for Science and Technology Policy was
growth strategy. Investors the world over were intrigued and putting the final touches to the Fourth Basic Plan, the Great
began paying special attention to Japan in 2013, resulting East Japan Earthquake struck on 11 March 2011. The triple
in a rise of stock prices by 57% in a year. At the same time, catastrophe the earthquake having triggered a tsunami
overappeciation of the yen, a phenomenon which had and the Fukushima nuclear disaster made a tremendous
tormented Japanese manufacturers, came to an end. impact on Japanese society. About 20 000 people died or
The prime minister even urged the private sector to raise were reported missing, 400 000 houses and buildings were
employees salaries, which it did. damaged and properties amounting to hundreds of billions
of dollars were destroyed. A wide area encompassing towns
The full effects of Abenomics on the Japanese economy are and farms had to be evacuated after being contaminated
yet to be seen, however. Although the depreciation of the by radioactive materials and six nuclear reactors had to be
yen has helped Japans export industry, the extent to which abandoned; all the remaining reactors were halted across the
Japanese firms will bring their factories and R&D centres nation, although a few did temporarily resume operations
abroad back to Japan remains unclear. A weaker yen has later. A large-scale plan to save electricity was implemented
also raised the price of imported goods and materials, nationwide over the summer of 2011.
including oil and other natural resources, worsening
Japans trade balance. The release of the Fourth Basic Plan was postponed until August
2011, in order to take these developments into account.
It appears that, in the end, Japans long-term economic The new Plan was a radical departure from its predecessors.
health will depend on the third arrow of Abenomics, It no longer identified priority areas for R&D but rather put
namely, its growth strategy, the key elements of which forward three key issue areas to be addressed: recovery and
include enhancing the social and economic participation reconstruction from the disaster, green innovation and life
of women, fostering medical and other growing industries innovation. The Plan also specified other priority issues, such
and promoting science, technology and innovation (STI). as a safe, affluent and better quality of life for the public, strong
Whether these goals are achieved will fundamentally affect industrial competitiveness, Japans contribution to solving
the future of Japanese society. global problems and sustaining the national foundations.

644
 Japan

Thus, the Fourth Basic Plan made a radical transition from 2007. Meanwhile, the Intellectual Property Basic Act had
discipline-based to issue-driven STI policy. come into effect in 2003, the year that an ambitious reform
of tax exemptions for private firms R&D expenses was
In June 2013, just months after the Abe governments pledge introduced, in particular those expenses relating to their
to revive the economy rapidly, the government introduced collaboration with universities and national R&D institutes.
a new type of policy document, the Comprehensive Strategy In 2006, the Basic Act on Education was officially amended
on STI, a combination of a longer-term vision and actions of a to expand the mission of universities beyond education and
one-year duration. The Comprehensive Strategy enumerated research to making a contribution to society, which implicitly
concrete R&D themes in such fields as energy systems, health, encompassed industrial and regional development.
next-generation infrastructure and regional development,
while at the same time proposing ways of improving the Numerous programmes were launched within these legal
national innovation system. The plan also identified three frameworks to foster universityindustry collaboration.
key directions for STI policy: smartization,1 systemization Some aimed at creating large centres for universityindustry
and globalization. In June 2014, the government revised research collaboration on varied themes, whereas others
the Comprehensive Strategy, specifying the following areas supported the creation of university start-ups. There were also
as being important cross-cutting technological fields for programmes to strengthen existing intra-university centres
realizing the strategys vision: ICTs, nanotechnology and for liaising with industry, supporting university research that
environmental technology. responded to specific industrial demands and fostering and
deploying co-ordinators at universities. The government also
Getting universities to play a more active role in created a series of regional clusters in 2000, although many
innovation of these were abolished between 2009 and 2012 after the
Any general document related to STI policy in Japan in government decided to terminate innumerable programmes
the past decade has consistently laid heavy emphasis on in a hasty effort to cut public spending.
innovation and universityindustry collaboration. A rationale
often put forward is that Japan is doing fairly well in scientific Such a broad range of government support has led to
research and technological development but is losing persistent growth in universityindustry collaboration in
ground in terms of value creation and competing on the Japan in the past five years. Compared with the preceding five
world stage. Politicians, government officials and industrial years, however, growth has slowed. In particular, the number
leaders all believe that innovation is the key to recovery from of new university start-ups has dropped sharply from a peak
Japans chronic economic stagnation. They also agree that of 252 in 2004 to just 52 in 2013 (Table 24.2). In part, this trend
universities should play a more active role in this endeavour. reflects the maturation of universityindustry relationships
in Japan but it may also imply a loss of momentum in public

Chapter 24
By 2010, there were already major laws in place to foster policy initiatives in recent years.
universityindustry collaboration. The Japanese version of the
Bayh-Dole provision2, which accorded intellectual property Support for high-risk, high-impact R&D
rights resulting from publicly funded R&D to research Nonetheless, the Japanese government remains convinced
institutes rather than the government, was first codified that promoting innovation through universityindustry
in a specific act passed in 1999 then made permanent by collaboration is vital for the nations growth strategy. It has
the Industrial Technology Enhancement Act, amended in thus recently launched a series of new schemes. In 2012,
the government decided to invest in four major universities
which would then establish their own funds to invest in new
1. Smartization is a term underlying such concepts as smart grid and smart city.
university start-ups jointly with financial institutions, private
2. The Bayh-Dole Act (officially The Patent and Trademark Law Amendments Act)
of 1980 authorized US universities and businesses to commercialize their federally firms or other partners. When such endeavours yield a profit,
funded inventions. part of the profit is returned to the national treasury.

Table 24.2: Collaboration between universities and industry in Japan, 2008 and 2013
Number of Amount of money received by Number of Amount of money received by Number of
joint research universities in joint research contract research universities via contract research new university
Year projects projects ( millions) projects projects ( millions) start-ups
2008 17 638 43 824 19 201 170 019 90
2013 21 336 51 666 22 212 169 071 52

Note: Here, universities include technical colleges and inter-university research institutes.
Source: UNESCO Institute for Statistics, April 2015

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UNESCO SCIENCE REPORT

In 2014, a new large programme was launched to support Japanese industry has been a slow-starter in aeronautics but,
high-risk, high-impact R&D, entitled Impulsing Paradigm since 2003, the Ministry of the Economy, Trade and Industry
Change through disruptive Technologies (ImPACT). This has been subsidizing an undertaking by Mitsubishi Heavy
scheme is in many ways similar to that of the US Defense Industries to develop a jet airliner which it hopes will conquer
Advanced Research Project Agency. Programme managers the global market, thanks to its high fuel efficiency, low
have been given considerable discretion and flexibility in environmental impact and minimal noise (Box 24.1).
assembling teams and directing their efforts.
A disaffection for academic careers
Another major scheme that got under way in 2014 is the As in many other nations, young Japanese PhD-holders
Cross-ministerial Strategic Innovation Promotion (SIP) have been finding it difficult to obtain permanent positions
programme. In order to overcome interministerial barriers, in universities or research institutes. The number of doctoral
the Council for Science, Technology and Innovation3 directly students is on the decline, with many masters students
administers this programme, promoting all stages of R&D not daring to embark on a seemingly unrewarding career
which address key socio-economic challenges for Japan, such in research.
as infrastructure management, resilient disaster prevention
and agriculture. In response, the Japanese government has taken a series
of measures since 2006 to diversify the career paths of
These new funding schemes reflect the growing recognition young researchers. There have been schemes to promote
among Japanese policy-makers of the need to finance the universityindustry exchanges, subsidize internships and
entire value chain. The Japanese government is hoping develop training programmes to give PhD candidates broader
that these new schemes will give rise to groundbreaking prospects and skills. The government has also promoted
innovation that will solve social problems and, at the same curricular reform of doctoral programmes to produce
time, boost the Japanese economy in the way envisioned by graduates who can more readily adapt to the non-academic
the Abe cabinet. environment. In 2011, the Ministry of Education, Culture,
Sports, Science and Technology (MEXT) initiated a large-scale
A boost for renewable energy and clean technology Programme for Leading Graduate Schools; this programme
Historically, Japan has made heavy investments in energy has funded the ambitious reform of graduate programmes
and environmental technology. With few natural resources engaged by universities to stimulate creativity and provide
to speak of, it has launched many national projects since broad-based skills, in order to incubate global leaders in
the 1970s to develop both renewable and nuclear energy. industry, academia and government.
Japan had the largest share of solar power generation in the
world until the mid-2000s, when it was rapidly overtaken by At the same time, the government has taken steps to reform
Germany and China. universities personnel systems. In 2006, the government
began subsidizing the introduction of a tenuretrack system
After the Great East Japan Earthquake of March 2011, Japan at university, which had traditionally been absent from
decided to place renewed emphasis on the development Japanese academia. The subsidy was expanded in 2011.
and use of renewable energy, particularly since the countrys The concept of university research administrator (URA) was
entire network of nuclear reactors was at a standstill by also officially introduced in 2011. URAs perform a wide range
May 2012, with no clear prospect of their starting up again. of duties, such as analysing their own institutions strengths,
In July 2012, the government introduced a feed-in tariff, formulating strategies to acquire R&D funding, managing
a system which mandates utilities to purchase electricity R&D funding, handling issues related to intellectual property
from renewable energy producers at fixed prices. Relevant rights and maintaining external relations. However, in
deregulation, tax reductions and financial assistance have also some universities, URAs are still regarded as being no
encouraged private investment in renewable energy. As a more than support staff for researchers. It may take some
result, the market for solar power has quickly expanded, while time for the specificity of URAs to be duly recognized in
the cost of solar electricity has steadily dropped. The share of Japanese universities.
renewable energy (excluding hydroelectric power) in Japans
total electricity generation rose from 1.0% in 2008 to 2.2% Falling student rolls may prompt radical reform
in 2013. It is expected that existing government policies will A powerful trend in higher education in recent years has
further enlarge the market for renewable energy. been the emphasis on global human resources, or in
other words, people who have no difficulty in working
transnationally. Traditionally, the Japanese have been
3. Formerly the Council for Science and Technology Policy, it was strengthened conscious that international interaction is not their strong
and renamed in 2014. point, largely due to their poor English. At the turn of the

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 Japan

Box 24.1: The Mitsubishi Regional Jet

The Mitsubishi Regional Jet is the group of researchers at the University of aircraft. For a long time, they remained
first jet airliner to be designed and Tokyo and other academic, industrial and subcontractors to American and
produced in Japan. Its official rollout government institutions. European firms. It was only in 2003
took place on 18 October 2014 and its that Mitsubishi Heavy Industries began
maiden flight is scheduled for 2015. Over the following decades, plans to developing a medium-sized jet airliner,
The first deliveries should follow in develop and produce aeroplanes were a year after the ministry announced that
2017. Hundreds of orders have already repeatedly thwarted. A semi-public it would subsidize such an undertaking.
been received from domestic and corporation created in 1959 began The original plan was to make a maiden
foreign airlines. developing a medium-sized turboprop flight by 2007 but this proved overly
airliner YS-11 and actually produced optimistic.
The jets main manufacturers are 182 airframes before being disbanded
Mitsubishi Heavy Industries and and absorbed into Mitsubishi Heavy The initial budget of 50 billion has
its subsidiary Mitsubishi Aircraft Industries in 1982 after accumulating since grown to around 200 billion
Corporation, established in 2008. losses. Heavily subsidized and controlled but, thanks to the tenacious efforts of
Different models of the jet will carry by the Ministry of International Trade and Mitsubishi and other manufacturers, the
7090 passengers with flight ranges of Industry (renamed the Ministry of the Mitsubish Regional Jet boasts high fuel
1 5003400 km. Economy, Trade and Industry in 2001), efficiency, a low environmental impact
the corporation lacked the requisite and little noise. Japans traditional
The Japanese aerospace industry has flexibility to adapt to the changing strength in carbon fibre, which has
been a slow-starter in aeronautics. international market. been widely adopted in aeroplanes
Aircraft production was banned in all over the world, has also been fully
Japan for seven years after the end Although the ministry consistently strived incorporated in the jet. Hopefully, these
of the Second World War. After the to promote the Japanese aerospace technological merits will have strong
ban was lifted, research on aerospace industry from the 1970s onwards, it was consumer appeal in the global market.
technology gradually took off, thanks not easy for Japanese manufacturers
to the entrepreneurial efforts of a to realize their plans to develop new Source: compiled by authors

century, however, virtually all businesses were finding it entrants has nevertheless risen, owing to the surge in the

Chapter 24
increasingly difficult to operate within Japans closed market. proportion of young Japanese attending university: 26.4%
In response, MEXT initiated a major project in 2012 for the in 1992 and 51.5% in 2014 (Figure 24.1). However, most
Promotion of Global Human Resource Development, which stakeholders see signs of saturation; they share the view that
was expanded in 2014 into the Top Global University Project. a radical reform of the nations university system is imminent.
These projects provided universities with generous subsidies
to produce specialists who would feel comfortable working The number of universities in Japan had climbed steadily
transnationally. Such government projects aside, Japanese until recently. As of 2014, there were 86 national universities,
universities are themselves making it a priority to educate 92 other public universities and 603 private universities. This
students in todays global context and to enrol international total (781) is quite large by international standards. About
students. By 2013, 15.5% of all graduate students (255 386) half of private universities are now unable to fill their quota,
were of foreign origin (39641). The great majority (88%) of suggesting that a massive consolidation and merger may take
international graduates4 were Asian (34840), including place in the near future.
22 701 from China and 2 853 from the Republic of Korea.
An historic reform which stratifies universities
Arguably the most fundamental challenge facing Japanese A government-led structural reform of national universities
universities is the shrinking 18 year-old population. Since is already under way. Ever since these were semi-privatized
peaking at 2 049 471 in 1992, the number of 18 year-olds has in 2004 and renamed national university corporations,
almost halved to 1 180 838 (2014). The number of university their regular government funding has been cut by roughly
1% each year. National universities were expected to help
themselves by obtaining more research grants, more private-
4. Others came from Viet Nam (1333) and Malaysia (685). Among non-Asian
students, 1 959 were European, 872 African, 747 from the Middle East, 649 from
sector funding and more donations. Not all of them have
Latin America (649) and 424 from North America. managed to adapt well to this new environment, however;

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UNESCO SCIENCE REPORT

Figure 24.1: Number of universities and university students in Japan, 2008, 2011 and 2014
781

1 237 294
2 893 489

1 201 934
2 855 529

1 180 838
2 836 127
780
765

51.0

51.5
49.1
2008 2011 2014 2008 2011 2014 2008 2011 2014 2008 2011 2014

Number of universities Number of university 18-year-old population New university entrants

students as a % of 18-year-old
population
Note: The number of university students here includes all undergraduate and graduate students.
Source: MEXT (2014b, 2014c)

only a handful have remained healthy, the others having Although the Institute of Physical and Chemical
suffered from shrinking funding. In light of this situation, Research (RIKEN) and the National Institute of Advanced
the government has been urging universities since 2012 to Industrial Science and Technology (AIST) are currently
initiate reforms and to redefine their own missions to make catalogued as independent administrative agencies, the
the most of their unique strengths. As an incentive, the government was intending to make them special national
government is providing universities willing to engage in R&D agencies, a status which would have given them
reform with a range of subsidies. considerable latitude in introducing unique evaluation
systems and entitled them to pay exceptionally high
The universities efforts alone have not sufficed, however. salaries to outstanding researchers. The plan has been put
In November 2013, MEXT announced the National on hold, however, following a highly publicized case of
University Reform Plan, in which the ministry suggested that misconduct by a RIKEN researcher which shall be evoked
each national university choose one of three directions; again below.
it could become a world-class centre for education and
research, a national centre for education and research or a Creating spaces where scientists and the public
core centre for regional revitalization. In July 2014, MEXT can meet
made it clear that funding for national universities would In 2001, the second Basic Plan for Science and Technology
also be reformed; under the new scheme, three types of recognized the increasing interdependence between
universities would be evaluated according to different science and society. It underlined the need to strengthen
criteria and funding options. This is an epoch-making bidirectional communication between science and
decision because all national universities in Japan have had society, urging researchers in social sciences and
the same institutional status up until now. From now on, humanities to play their part. Since then, a great variety
they will be officially stratified. of programmes related to science communication,
science cafs, science outreach, science literacy and
Publicly funded R&D institutions are also under reform. risk communication have been launched. Graduate
Previously, institutions such as the Japan Aerospace programmes in science communication and science
Exploration Agency, Japan International Cooperation journalism have been introduced in several universities
Agency and Urban Renaissance Agency fell under the same and the number of science communicators has clearly
category of independent administrative agencies. In June increased. Since 2006, the Japan Science and Technology
2014, a bill was passed which attributes a separate status Agency has been holding an annual festival called
of national R&D agency to 31 out of 98 agencies. National Science Agora to provide a place for scientists and the
R&D agencies will be evaluated on a relatively long-term general public to meet. Science Agoras mandate was
basis (every 57 years), compared to other agencies expanded in 2014 to include debate on critical social
(mostly 35 years), to maximize their R&D performance. issues related to science and technology.

648
 Japan

Scientific advice has come to the fore since the triple biased ways. The question of scientific advice has thus
catastrophe become an important topic for discussion in many Western
The importance of maintaining a dialogue between scientists nations and international bodies like the OECD.
and policy-makers has been recognized more recently.
The issue of scientific advice came to the fore after the Research misconduct has undermined public trust
Great East Japan Earthquake of March 2011. There was a Research integrity is at the heart of public trust in science.
widespread perception that the government was unable In Japan, the number of publicized cases of research
to mobilize scientific knowledge to cope with the triple misconduct increased markedly during the 2000s, in parallel
catastrophe. A series of symposia were held to discuss the with shrinking regular funding for universities and the
role of scientific advice in policy-making and the idea was growth in competitive grants. In 2006, the government
tabled of appointing science advisors to the prime minister and the Science Council of Japan respectively established
and other ministers, although this idea has not materialized guidelines on research misconduct but these have not
yet. Meanwhile, the Science Council of Japan (the Japanese reversed the trend. Since 2010, there has been a spate of
Academy of Sciences) revised its Code of Conduct for reported cases of large-scale research misconduct and
Scientists in January 2013, adding a new section on scientific misuse of research funds.
advice. A stronger commitment to this issue on the part
of policy-makers will be necessary for Japan to participate In 2014, an extremely serious and highly conspicuous
actively in the rapidly evolving international discussion on case of research misconduct was exposed in Japan.
this topic. On 28 January, a 30-year old female researcher and her
senior colleagues held a sensational press conference at
In 2011, the government launched a programme called which they announced that their papers on the creation
Science for RE-designing Science, Technology and Innovation of Stimulus-Triggered Acquisition of Pluripotent (STAP) cells
Policy (SciREX). The purpose is to establish a system which were being published in Nature the next day. This stunning
reflects scientific evidence5 more robustly in STI policy. The scientific breakthrough received extensive media coverage
SciREX programme supports several research and education and the young researcher became a star overnight. Soon
centres within universities, issues grants to researchers in after, however, questions were raised in cyberspace about
relevant fields, and promote the construction of the relevant indications of manipulated figures and plagiarized texts in
evidence base. The many researchers in social sciences and the papers. Her employer, RIKEN, subsequently confirmed
humanities involved in this programme are training specialists her misconduct on 1 April. Although she resisted for a
in this new field and publishing their findings on such themes long time and never publicly admitted her misdeeds, she
as science-based innovation, STI and economic growth, did resign from RIKEN after the institutes investigative
policy-making processes, the social implication of S&T and the committee conclusively rejected the validity of the papers

Chapter 24
evaluation of R&D. on 26 December, asserting that the STAP cells were in fact
another well-known type of pluripotent cell known as
While SciREX is mainly concerned with evidence-based embryonic stem cells.
STI policy, science and technology can also inform other
policy fields, such as environmental policy and health policy The saga was closely followed by the Japanese population;
(science for policy, as opposed to policy for science). it seriously undermined public perception of the validity
In these fields, policy-makers rely heavily on advice put of science in Japan. The case also spurred a wider round of
forward by scientists in various formats because solid public debate on S&T policy in general. For example, after
policy-making is impossible without specialized knowledge questions were raised about the young researchers doctoral
of relevant phenomena. thesis, her alma mater, Waseda University, carried out an
investigation and decided to cancel her degree with a
Despite the obvious virtues of scientific advice for policy-making, one-year suspension to give her time to make the necessary
the relationship between the two is not always straightforward. corrections. In parallel, the university began investigating
Scientific advice can reflect uncertainties and scientists may other theses originating from her former department.
express divergent opinions. Scientific advisors may be Aside from the problem of quality assurance of degrees,
affected by a conflict of interest, or subject to pressure from many other issues came to the fore, such as the intense
policy-makers. For their part, policy-makers may select competition among researchers and institutions and the
scientific advisors arbitrarily or interpret scientific advice in inadequate training of young researchers. In response
to this serious, highly publicized case, MEXT revised
its guidelines on research misconduct in 2014. These
5. understood as encompassing not only information and knowledge from natural
sciences but also from economics, political science and other social sciences, as
guidelines alone will not suffice, however, to solve the
well as humanities underlying problems.

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UNESCO SCIENCE REPORT

TRENDS IN R&D As many universities are now in serious want of funding, they
spend an extraordinary amount of time and effort applying for
Low government spending on R&D these large institutional grants. There is growing recognition,
Japans gross domestic expenditure on R&D (GERD) had however, of the side-effects of spending so much time on
grown consistently until 2007, before plunging suddenly applications, administration and project evaluation: a heavy
by nearly 10% in the aftermath of the US subprime crisis. burden on both academic and administrative staff; short-cycle
Only in 2013 did GERD rebound, mainly due to the recovery evaluations can discourage research and education from
of the global economy (Table 24.3). Japans GERD is closely longer-term viewpoints and; it is often hard to maintain project
linked to the nations GDP, so the drop in GDP in recent activities, teams and infrastructure once the projects end. How
years has allowed Japans GERD/GDP ratio to remain high by to strike the best balance between regular and project funding
international standards. is thus becoming an important policy issue in Japan.

Government expenditure on R&D increased over the same The most remarkable trend in industrial spending on R&D has
period but appearances can be deceptive. Japans R&D been the substantial cutback in ICTs (Figure 24.2). Even the
budget fluctuates each year owing to the irregular, yet Nippon Telegraph and Telephone Corporation, which had
frequent approval of supplementary budgets, especially in historically played a key role as a formerly public organization,
the wake of the Great East Japan Earthquake. If we look at was forced to trim its R&D spending. Most other industries
the long-term trend, Japans stagnating government R&D maintained more or less the same level of R&D expenditure
expenditure reflects the extremely tight fiscal situation. By between 2008 and 2013. Car manufacturers coped relatively
any measurement, though, the ratio of government spending well, for instance, Toyota even coming out on top for global
on R&D to GDP has remained low by international standards; car sales between 2012 and 2014. Hardest hit after the global
the Fourth Basic Plan (2011) fixes the target of raising this ratio recession of 20082009 were Japanese electric manufacturers,
to 1% or more of GDP by 2015. The Plan contains a second including major players such as Panasonic, Sony and NEC,
ambitious target, that of raising GERD to 4% of GDP by 2020. which cut back their R&D spending drastically in the face of
severe financial difficulties; compared with manufacturers
The overall structure of Japans government R&D expenditure in other fields, their recovery has been slow and unsteady. It
has gradually changed. As we said earlier, regular funding remains to be seen whether the economic stimuli introduced
of national universities has declined consistently for more through Abenomics since 2013 will reverse this trend.
than a decade by roughly 1% a year. In parallel, the amount
of competitive grants and project funding have increased. Cutbacks in industry have affected research staff
In particular, there has been a proliferation recently of multi- The number of researchers in Japan grew steadily until 2009,
purpose, large-scale grants that do not target individual when private enterprises began cutting back their research6
researchers but rather the universities themselves; these spending. By 2013, there were 892 406 researchers in Japan
grants are not destined purely to fund university research (by head count), according to the OECD, which translated
and/or education per se; they also mandate universities to into 660 489 full-time equivalents (FTE). Despite the drop
conduct systemic reforms, such as the revision of curricula, since 2009, the number of researchers per 10 000 inhabitants
introduction of tenuretrack systems, diversification of remains among the highest in the world (Figure 24.3).
researchers career paths, promotion of female researchers,
internationalization of educational and research activities and 6. Some enterprises stopped hiring, others laid off staff or re-assigned them to
moves to improve university governance. non-research positions.

Table 24.3: Trends in Japanese GERD, 20082013

Government expenditure GOVERD plus higher
GERD GERD/GDP on R&D (GOVERD) GOVERD/GDP education expenditure on
Year ( billion) ratio (%) ( billion) ratio (%) R&D/ GDP ratio (%)
2008 17 377 3.47 1 447 0.29 0.69
2009 15 818 3.36 1 458 0.31 0.76
2010 15 696 3.25 1 417 0.29 0.71
2011 15 945 3.38 1 335 0.28 0.73
2012 15 884 3.35 1 369 0.29 0.74
2013 16 680 3.49 1 529 0.32 0.79
Source: UNESCO Institute for Statistics, April 2015

650
 Japan

Figure 24.2: R&D expenditure in Japan by field, 2008 and 2013

In billions

Industrial
Life sciencessector*
Life sciences Industry
Industry
6 653 1 501 6 226 1 646

ICTs ICTs Life sciences

Life sciences
Life sciences Industry
Industry
2 793
ICTs S&T S&T
Environmental
Environmental
ICTs ICTs
Life sciences
Life sciences Industry
Industry
Environmental S&T
Materials
Materials
Environmental
Environmental
S&T S&T 2 119
ICTs ICTs Materials
Nanotechnology
Nanotechnology 2008 2013
Materials
Materials Total 13 262 Total 12 343
Environmental S&T S&T
Environmental
Nanotechnology
EnergyEnergy
Nanotechnology
Nanotechnology
Materials
Materials
Energy 903
SpaceSpace
exploration
exploration
EnergyEnergySpace exploration
Nanotechnology
Nanotechnology 899
OceanOcean
development
development 646
SpaceSpace
exploration
exploration
Ocean development
EnergyEnergy 577
111
OtherOther
fieldsfields
Non field-specific 7 653 155 5 18 669
OceanOcean
development
development 24
SpaceSpace expenditure
exploration
exploration University
University
Other Other
fields fields
University
Ocean development
Ocean sector
development
2 084 900 University
University 2 124 1 057
OtherOther
fieldsfields
University
University

2008 2013
Total 3 445 Total 3 700
144
88 145
108
96
44

Chapter 24
125
56
8 55
13
Private
Private
& Public
& Public 9 72
17

PrivatePrivate
& Public
& Public
Non-profit and public sector

491 342 Private & Public

Private & Public 482 331

* business enterprises
with capital of
88 114
100 million or more 2008 2013
Note: The automotive Total 1 721 Total 1 742
industry falls under
74 118 99
the non field-specific
expenditure and
electronics and electric
133 52
components are partly 82 16
covered by ICTs. 190
24
Source: Statistics 203
Bureau (2009, 2014) 312
312
Survey of Research and
Development

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UNESCO SCIENCE REPORT

Figure 24.3: Number of researchers (HC) in Japan, Figure 24.4: Trends in masters and PhD programmes
2008 and 2013 in Japan, 20082013

Businesses Non-profit
86 864

892 406
890 669

% female % female
81 915

2008
Universities Total 16 271
% female % female 16 281
Public institutions
% female 87 366
82 103

2009
15 901
16 463

91 241
81 889

2010
16 471
539 591

531 423

15 842
Total researchers per 10 000 population 70.0

Total researchers per 10 000 population 70.2

87 458
83 492

2011
15 685
15 892

82 530
317 658
305 847

87 273
2012

15 557
16 260

80 561
84 512
2013
35 084

34 287

15 491
10 147

16 445
9 038

7.1% 23.3% 13.0% 8.1% 25.4% 14.6% Masters degree* entrants PhD entrants
14.1% 13.0% 16.2% 14.3%
Masters degree* graduates PhD graduates
2008 2013
* includes professional degree courses
Source: Statistics Bureau (2009, 2014) Survey of Research and Development Source: MEXT (2013, 2014c) Statistical Abstract of Education, Science and Culture

The number of masters students grew steadily until 2010 and pharmaceutical research (Figure 24.5). These percentages
when the curve inversed (Figure 24.4). The rise can largely are based on the current share of doctoral students in these
be attributed to the financial crisis from 2008 onwards, when fields. In 2006, a fellowship scheme was launched for women
graduates fresh out of university enrolled in graduate schools researchers returning to work after maternity leave. Moreover,
after giving up hope of finding a job. The drop in enrolment given that the ratio of female researchers has been embedded
in a masters degree can be partly explained by the growing in the assessment criteria of various institutional reviews,
disappointment in law schools, which were first instituted in many universities now explicitly favour the recruitment of
2004 to train a mass of lawyers with diverse backgrounds but women researchers. As the Abe cabinet strongly advocates
have actually produced a mass of jobless lawyers. It might also a greater social participation by women, it is quite likely that
reflect university students general scepticism as to the utility the rise in female researchers will accelerate.
of the masters degree. Many masters students also appear to
be discouraged from postgraduate study by the prospect of an The number of foreign researchers is also gradually rising. In the
uncertain career path. The number of new PhD students has university sector, there were 5875 foreign full-time teaching
also been dropping since peaking at 18 232 in 2003. staff (or 3.5% of the total) in 2008, compared to 7075 (4.0%) in
2013. Since this ratio remains fairly low, the government has
Research: more feminine and more international been taking measures to internationalize Japanese universities.
One in seven Japanese researchers was a woman in 2013 The selection criteria for most large university grants now take
(14.6%). Although this is an improvement on 2008 (13.0%), into account the proportion of foreigners and women among
Japan still has the lowest proportion of women researchers of teaching staff and researchers.
any member of the Organisation for Economic Co-operation
and Development (OECD). The Japanese government is Scientific productivity a casualty of multitasking
determined to improve this ratio. The Third (2006) and Fourth Japans world share of scientific publications peaked in the
(2011) Basic Plans for Science and Technology both fixed a goal late 1990s and has been sliding ever since. The nation was
of a 25% ratio of women: 20% of all researchers in science, still producing 7.9% of the worlds scientific papers in 2007,
15% in engineering and 30% in agriculture, medicine, dental according to the Web of Science, but its share had receded to

652
 Japan

5.8% by 2014. Although this is partly due to Chinas continuing

Figure 24.5: Share of female researchers in Japan by
growth, Japans poor performance is extraordinary: the world sector and employer, 2013 (%)
produced 31.6% more papers in 2014 than in 2007 but Japans
production declined by 3.5% over the same period.

28.9
Science
One explanation may lie in the meagre growth in Japanese Engineering
university spending on R&D over the same period, just 1.3%

24.7
Agriculture, medicine, dental
in constant prices, according to the UNESCO Institute for and pharmaceutical sectors
Statistics. The shrinking amount of university researchers time
reserved for research may also be to blame. As we have seen,

20.0

20.0
there has been a modest increase in the number of university
researchers in Japan in recent years but the use of their time
has changed considerably: each researcher spent an average

16.5

15.8
of 1142 hours on research in 2008 but only 900 hours in 2013
(Figure 24.6). This worrying 21% drop can be partly accounted
for by the decrease in the average number of hours worked
by university researchers, which were cut back from 2920 to

10.8

9.5
2573 over the same period. What is certain is that the time
allocated to research has been curtailed far more sharply than

7.1
the time devoted to teaching and other activities; researchers
face an array of unavoidable tasks these days: preparing classes
in English as well as in Japanese, writing syllabi for all their
classes, mentoring students beyond the academic setting,
recruiting prospective students, setting up highly diversified
Universities Public Private non-profit
and complicated enrollment processes, adapting to increasingly institutions organizations
stringent environmental, safety and security requirements, etc.. Note: Data are unavailable for the business enterprise sector.
Source: Statistics Bureau (2014) Survey of Research and Development.

The decline in publications by Japanese researchers might also

be related to changes in the nature of public R&D funding. More
Figure 24.6: Breakdown of working hours of Japanese
and more grants to individual researchers as well as universities
university researchers, 2008 and 2013
are becoming innovation-oriented, and just writing academic
papers is no longer regarded as adequate. Whereas innovation-

Chapter 24
oriented R&D activities also lead to academic papers, Japanese Time spent
784
researchers effort is now possibly less concentrated on (26.9%) on teaching

producing papers per se. At the same time, there are indications 995
(34.1%) 2008
that decrease in private R&D funding has brought about a drop Total working
of publications by researchers in the private sector. hours
2 920
The downward trend in Japans publication record is visible in
all fields of science (Figure 24.7). Even in chemistry, materials 1 142
(39.1%)
science and physics, fields where Japan used to have a certain
presence, its world share has dropped considerably. This 731
(28.4%)
is somewhat ironic, considering that a growing number of Time spent
on other
Japanese scientists have been internationally recognized activities*
942
(36.6%)
2013
in recent years for their truly outstanding work. Since the Total working
hours
beginning of the century, 15 Japanese scientists (two of 2 573
whom have become US citizens) have received Nobel prizes
(Box 24.2). In point of fact, most of their achievements were Time spent
900
on research
made decades ago. This begs the question of whether Japan (35.0%)
still retains the institutional and cultural environment that
gives rise to such creative work. In the current climate, it will * Time spent on university administration, services to society such as clinical
activities, etc
be a real challenge to realize the Fourth Basic Plans target of
Source: MEXT (2009, 2014d) Survey on FTE data for Researchers in Higher
positioning 100 institutions among the worlds top 50 for the
Education Institutions
citation of research papers in specific fields by 2015.

653
Figure 24.7: Scientific publication trends in Japan, 20052014
The number of Japanese publications has declined since 2005

606
Publications per million
80 000

78 000 76 950 77 083

76 244
75 606
75 924 75 870
inhabitants in 2005 76 000

576
75 801
74 000
74 203
73 128
72 000 72 769

Publications per million 70 000

inhabitants in 2014 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Japans world share of scientific publications has shrunk since 2005

World share of Japanese articles by field (%)
Tokyo
20022007 20082014 12.8

10.9

0.88
10.2
9.5
8.7
8.2
7.6
6.8 6.6
6.3
Average citation rate for Japanese
publications, 20082012;
the OECD average is 1.08
Biological Chemistry Engineering Medical Physics

7.8%
sciences sciences

Japan publishes most in life sciences 121 907

Cumulative totals by field, 20082014 Share of Japanese papers among

10% most-cited, 20082012;
95 630
the OECD average is 11.2%

76 693
66 655

53 819

24 473

11 834 11 356
5 918 6 081
822 1 547 1 362
es

ics

es
re

ry

es

es

ics

gy

es
m

nc

in
tu

ist
nc

nc
nc

nc

nc
lo
at

ys
no

er
ie
ul

o
m
cie

cie
cie

cie

cie
Ph
ne
sc

ch
tro
ric

he
ls

ls

s
os

ls
Ch

gi
r

y
Ag

As

te

ife
at

Ps
ica

ica

cia
En

Ge
pu

rl
og

ed

So
he
m

27.1%
M
ol

Co

Ot
Bi

Note: Excludes 45 647 unclassified articles

Japans top partners are the USA and China Share of Japanese papers with foreign co-
Main foreign partners, 20082014 (number of papers) authors, 20082014; the OECD average is 29.0%

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Japan USA (50 506) China (26 053) Germany (15 943) UK (14 796) Korea, Rep. (12 108)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix, November 2014; for Japans world share of
publications: NISTEP (2009, 2014) Indicators of Science and Technology

654
 Japan

Box 24.2: Why the increase in Japanese Nobel laureates since 2000?

Every year, Japanese people excitedly for the Promotion of Science and the the prize in 2008 for their purely
await the announcement from Sweden Japan Science and Technology Agency. theoretical work in particle physics.
of the years Nobel laureates. If Japanese Yamanaka was recompensed (Nobel Prize
scientists are named, great celebration for Physiology or Medicine, 2012) for his If the Nobel Prize Committee is indeed
by the media and the public follows. discovery of induced pluripotent stem giving greater recognition to the
cells. As for Shuji Nakamura (Nobel Prize social impact of research, this could
Between 1901 and 1999, the public for Physics, 2014), he invented efficient well be a reflection of the changing
would have had to be extremely blue light-emitting diodes (LED) in the mindset of the global academic
patient: just five Japanese scientists 1990s, thanks to the generous support of community. The Declaration on Science
received the prestigious award over this his company, Nichia Corporation. and the Use of Scientific Knowledge
entire period. Since 2000, on the other and Science Agenda: Framework for
hand, 16 Japanese scientists have been What other factors could explain the Action from the World Conference
distinguished, including two who have increase in Japanese Nobel laureates? It on Science in 1999 may well be the
become US citizens. would appear that the focus of the prize harbinger of this change. Organized in
has changed. Although the selection Budapest (Hungary) by UNESCO and
This does not necessarily mean that process is not disclosed, the social the International Council for Science,
the research environment in Japan has impact of research seems to have been the World Conference on Science
improved overnight, since much of the carrying more weight in recent years. All produced documents which explicitly
laureates work was done before the eight Nobel prizes awarded to Japanese stressed the importance of science in
1980s. However, public and private R&D scientists since 2010 are for discoveries society and science for society, as well
funding did make a difference in some which have had a demonstrable impact as science for knowledge.
cases. The work of Shinya Yamanaka, on society, even though three Japanese
for example, received ample funding physicists (Yoichiro Nambu, Toshihide
in the 2000s from the Japan Society Maskawa and Makoto Kobayashi) received Source: compiled by authors

Patents: aiming for quality over quantity particular, Japanese firms could no longer afford to spend
The number of patent applications to the Japan Patent Office as much as before on patent applications. They have also
(JPO) has been declining since 2001. Many factors seem to come to lay more emphasis on applying to foreign patent
have contributed to this phenomenon. In the past decade, offices, reducing the relative importance of domestic patents.

Chapter 24
many firms have refrained from applying for large quantities of In addition, years of an overappreciated yen and a shrinking
patents, instead focusing their efforts on obtaining high-quality Japanese market have spurred many firms to move their R&D
patents. This is partly because of the steep rise in examination and manufacturing centres abroad; as a result, they now feel
fees charged by the JPO since 2004. After the global crisis in less inclined to file many of their patents in Japan (Figure 24.8).

Figure 24.8: Overseas production by Japanese manufacturers, 2000-2012

69.8
67.6

67.7
67.3

67.1

67.1
65.9
63.2
63.0
62.1
60.4

59.6
59.4

20.6
17.9
17.3

17.3

17.4

17.1

17.2
15.2
14.0
13.7

13.2

13.1
11.1

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

Ratio of manufacturers engaged in overseas Ratio of overseas production by Japanese manufacturers

production to total manufacturers (%) to total production by Japanese manufacturers (%)
Source: Cabinet Office (20082013) Annual Survey of Corporate Behaviour

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UNESCO SCIENCE REPORT

Table 24.4: Patent activities in Japan, 2008 and 2013 Figure 24.9: Japans technology trade and FDI stock,
2008 and 2013
Patent Granted Examination PCT international
applications patents time (months) applications

992 901
2008 391002 159961 29 28027

3 395
2013 328436 260046 11 43075
PCT = Patent Cooperation Treaty
Source: Japan Patent Office (2013, 2014) Annual Report of Patent Administration

680 331
The JPO had actually intended for the number of patent

2 225

US$ millions
applications in Japan to drop, in order to solve the chronic

millions
problem of long waiting times for patent applications to be
examined. The first Intellectual Property Promotion Programme
had been established in 2004 to reduce the waiting time from
26 months to 11 months by 2013. JPO encouraged private firms
to select only their best candidates for patent application; it also
raised the number of patent examiners by 50%, mainly through

203 372
massive hiring of fixed-term officials, and at the same time

600

170 929
578
improved their productivity. In the end, JPO achieved its goal
just in time (Table 24.4).
2008 2013 2008 2013
Technology exports FDI outward stock
There may be another explanation for the decrease in patent
Technology imports FDI inward stock
applications: this could be a symptom of Japans weakening
innovative capabilities. Since patent statistics reflect so many Source: Statistics Bureau (2014); UNCTAD (2009, 2014) World Investment Report

different factors, their validity as an indicator of R&D seems less

evident than it once did. In todays ever-more globalized world, become a source of concern, however, for it means that Japan
the very meaning of the national patent system is changing. is failing to attract foreign investors and introduce foreign
business resources. The Japanese government regards FDI
inflows as being generally beneficial because they create jobs
TRENDS IN GLOBAL ENGAGEMENT and boost productivity, while at the same time promoting
open innovation and revitalizing the regional economy, which
Strong on technology but less competitive than before has long suffered from depopulation and ageing.
In recent years, Japans economic relationship with the world
has fundamentally changed. In 2011, the country recorded Incentives to attract FDI
a trade deficit for the first time since 1980. This was partly The Japanese government has recently taken steps to
due to a decrease in exports, combined with a rise in oil and stimulate FDI inflows (Figure 24.9). A law enacted in November
natural gas imports following the 2011 triple catastrophe in 2012 provides incentives for global corporations to relocate
the Tohoku area and the subsequent halting of nuclear power their R&D centres and Asian branches to Japan, such as a
plants. The trade deficit did not turn out to be a temporary reduction in corporate tax and other privileges. Just months
phenomenon, however. It has become chronic, fuelled by later, in June 2013, the Abe Cabinets Japan Revitalization
the weak competitiveness of Japanese manufacturers in the Strategy: Japan is Back, fixed the target of doubling FDI
global market, the transfer of their factories overseas and high inflows by 2020. To this end, the government designated six
prices for oil and other natural commodities. Even though National Strategic Special Zones that are expected to become
Japans current account is still in the black, its industrial fabric is international centres for business and innovation through
definitely less competitive than it used to be. deregulation. Behind these measures is a sense of crisis
that Japan might be losing its attractiveness as a business
That is not to say that Japans technological strength has destination relative to other Asian nations.
waned. For example, technology exports grew by more than
53% between 2008 and 2013, whereas technology imports Fortunately, there is currently a fertile environment for business.
remained roughly constant over the same period. Japans A drastic depreciation of the yen in recent few years has induced
outward FDI stocks swelled by 46%, even as inward FDI stocks many Japanese manufacturers to bring their factories back to
shrank by 16%. Japan has thus been increasingly active in Japan, thereby steadily generating jobs. Lower oil prices and
transferring technology and investing abroad. The fact that corporate tax rates have also fostered this re-shoring trend
FDI inflows remain low in comparison with other nations has among Japanese firms. Although it is uncertain how long these

656
 Japan

Figure 24.10: Japans progress towards targets under the Kyoto Protocol, 2012
Other countries are given for comparison

Emissions reduction target in Kyoto Actual emissions, not taking into account Actual emissions, taking into account
% Protocol, 20082012 relative to 1990 (%) emissions trading and related mechanisms (%) emissions trading and related mechanisms (%)
25

20
20.4
15

10

5 8
1.4 3.3
0 0
0
-1
-5 -6
-8 -8.4
-10 -11.8 -12.5

-15
-20.3
-20

-25

-30 -32.7
-34.5
-35
Australia EU-15 Japan New Zealand Russian Federation

Source: Greenhouse Gas Inventory Office of Japan, National Institute for Environmental Studies

favourable conditions will last, there are signs that Japanese changes, ever since its inception in 2009. It has also been
corporations are also re-evaluating the unique strengths of the one of the drivers behind an ambitious scheme beginning in
business environment in Japan, which include social stability, 2015, Future Earth. This scheme incorporates several global
reliable production infrastructure and a capable labour force. research frameworks for global environmental change and
is expected to last for ten years. Japan also hosted the 10th
A commitment to international targets Conference of the Parties to the Convention on Biological
While aiming for competitiveness, Japan has also been Diversity in October 2010. The Nagoya Protocol adopted by this

Chapter 24
deeply committed to the international agenda for sustainable conference provides a legal framework for the fair, equitable
development. Under the Kyoto Protocol of 1997, Japan sharing of benefits arising from the utilization of genetic
agreed to reduce its greenhouse gas emissions by 6% over resources. The conference also adopted 20 Aichi Biodiversity
20082012 relative to 1990. Taking into account emissions Targets for the global community to 2015 and 2020. In
trading and related mechanisms, Japan has reached this accordance with these international agreements, the Japanese
target (Figure 24.10). Ironically, the economic damage caused government revised its own National Strategy for Biodiversity in
by the global financial crisis helped Japan to attain this feat. 2012, specifying detailed targets, action plans and indicators
Japan has been reluctant to participate in any new scheme, for evaluation8.
however, as long as major emitters such as China, the USA
and India do not have any substantial duty7. In fact, Japanese Japans proactive stance on global engagement is founded
firms were dissatisfied with the Kyoto Protocol because they on its vision of science diplomacy. Japan considers that its
perceived Japan as already being a low-emitter by the 1990s participation in co-operative programmes in science and
and felt it would be more difficult for the country to achieve a technology strengthens its diplomatic relations and is therefore
similar goal than for other countries. in the national interest. In 2008, MEXT and the Ministry of
Foreign Affairs launched a joint programme for a Science and
More recently, Japan has eagerly taken part in emerging Technology Research Partnership for Sustainable Development
global frameworks for sustainability. Japan has been an active (SATREPS) with developing countries; collaborative research
participant of the Belmont Forum, an association of funding projects tackle problems in such areas as environment, energy,
agencies supporting research on earths environmental natural disasters and infectious diseases.

7. China and India did not have specific targets under the Kyoto Protocol and the 8. Japans legal framework in this field consists of the Basic Act on Biodiversity
USA was not a signatory. (2008) and the Act on Promotion of Regional Co-operation for Biodiversity (2010).

657
UNESCO SCIENCE REPORT

CONCLUSION The academic community and the government should not

content themselves with taking steps to prevent misconduct in
A need for forward-looking policies and a new mindset research; they should also re-examine systemic aspects of the
Japan has experienced some stark trends since 2010: public problem, such as the excessive concentration of R&D funds in
and private funding of R&D have barely evolved, fewer a handful of institutions or laboratories, the vertiginous drop
students are entering doctoral programmes and the number in regular funding and permanent research positions and
of scientific publications is declining. These trends have been evaluations of researchers based on short-term performance.
shaped by the current macro-socioeconomic context: an
ageing population, demographic decline, sluggish economic The academic community in Japan will also have to live up to
growth and a burgeoning national debt burden. the growing expectations of society. In addition to producing
excellent research output, universities will be required to turn
Over the same period, science and technology in Japan out high-quality graduates who can exercise leadership in
have also been deeply affected by a national tragedy, the todays speedy, globalized world fraught with uncertainty.
Great East Japan Earthquake of 2011. Other milestones will Japanese universities will also be expected to collaborate
also go down in history: LDPs return to power in December keenly with industry to create social and economic benefits at
2012, heralding the launch of Abenomics, and the STAP the local, national, regional and global levels. In this respect,
cells controversy in 2014, which has shaken the scientific the role of public R&D institutes such as RIKEN and AIST will
establishment and public trust in science. be particularly important because they can serve as arenas
where academic, industrial and other stakeholders can
Recent events and macro-trends have spawned fundamental readily interact. Also offering potential for innovation is the
challenges for the academic, government and industrial new Japan Agency for Medical Research and Development,
sectors. For the academic sector, university reform has established in April 2015 on the model of the US National
clearly been a central challenge for some time. The ongoing Institutes of Health to realize Prime Minister Abes vision of a
reform is a multifaceted exercise involving the consolidation vehicle to promote the Japanese medical industry.
and merger of universities in the face of a declining young
population, greater internationalization and the promotion The industrial sector in Japan has its own share of challenges.
of female researchers, enhanced collaboration with industry, By 2014, Abenomics and other factors, including the recovery
development of a healthy research environment and better of foreign economies, had helped major Japanese firms
career prospects for young researchers. An overarching recover from the global crisis but their financial health remains
goal will be to improve the mediocre visibility of Japanese heavily dependent on relatively strong share prices. The effects
universities in the global landscape. Perhaps hardest of all, of the past few years on investor confidence are still visible
Japanese universities will be expected to carry out this array in the reluctance of Japanese firms to raise R&D spending or
of reforms on a shrinking regular budget. This will demand staff salaries and in their aversion to the necessary risk-taking
a highly cost-effective use of public funding for universities; to launch a new cycle of growth. Such a stance will not ensure
it will be important for the government to work in concert the long-term health of the Japanese economy, since the
with the academic and industrial sectors to devise the most positive effects of Abenomics cannot last forever.
efficient use of the public purse in funding universities.
One possible direction for Japanese industry would be
In April 2016, the Fifth Basic Plan for Science and Technology for it to devise macrostrategies around a set of basic
will become operational simultaneously with the start of the concepts suggested by the Japanese government in its
third six-year planning period for national universities. On Comprehensive Strategy for STI: smartization, systemization
this occasion, the ongoing reform of the university sector and globalization. It has become difficult for Japanese
and its funding systems will need to move into higher manufacturers to compete in the global market as far as
gear, if it is to improve research productivity and diversify the production of stand-alone commodities is concerned.
and internationalize university education. The academic However, Japanese industry can use its technological
community, in turn, will need to share its vision of the university strength to satisfy global demand with system-oriented,
of the future and strengthen internal governance mechanisms. network-based innovation supported by ICTs. In such fields as
health care, urban development, mobility, energy, agriculture
A major additional challenge for the academic community and disaster prevention, there are great opportunities
and the government will be to restore public confidence. worldwide for innovative firms to supply highly integrated,
Official statistics show that the triple catastrophe of 2011 has service-oriented systems. What Japanese industry needs is
shaken the publics trust not only in nuclear technology but to combine its traditional strengths with a future-oriented
also in science and technology, in general. Moreover, just as vision. Such an approach could be applied to preparing for
public confidence was recovering, the STAP cells scandal broke. the 2020 Olympic/Paralympic Games in Tokyo; to that end,

658
 Japan

the Japanese government is now promoting STI via grants REFERENCES

and other programmes in a broad range of fields, including
environment, infrastructure, mobility, ICTs and robotics, using Govt of Japan (2014) Comprehensive Strategy on STI. Tokyo.
such keywords as sustainable, safe and secure, friendly to
Govt of Japan (2011) Fourth Basic Plan for Science and
senior and challenged people, hospitable and exciting.
Technology. Tokyo.

Another possibility for Japan will be to promote creative Japan Patent Office (2014) Annual Report of Patent
industries in such areas as digital contents, online services, Administration 2014. Tokyo.
tourism and Japanese cuisine. The Ministry of Economy,
MEXT (2014a) The Status of UniversityIndustry Collaboration
Trade and Industry (METI) has been promoting the Cool
in Universities in Financial Year 2013. Ministry of Education,
Japan Initiative for several years now, which culminated
Culture, Sports, Science and Technology: Tokyo.
in the establishment of the Cool Japan Fund Inc. by law in
November 2013 to help Japans creative industries spread MEXT (2014b) School Basic Survey. Ministry of Education,
their wings abroad. Such endeavours could be more tightly Culture, Sports, Science and Technology: Tokyo.
integrated into Japans overall STI policy.
MEXT (2014c) Statistical Abstract of Education, Science and
Culture. Ministry of Education, Culture, Sports, Science and
Almost a quarter of a century has passed since the Japanese
Technology: Tokyo.
economy entered the doldrums in the early 1990s. During
this prolonged economic slump, each of the industrial, MEXT (2014d) White Paper on Science and Technology. Ministry
academic and governmental sectors in Japan has undergone of Education, Culture, Sports, Science and Technology: Tokyo.
reforms. Many electric, steel and pharmaceutical firms were
MEXT (2014e) Survey on FTE Data for Researchers in Higher
merged and restructured, as were financial institutions;
Education Institutions. Ministry of Education, Culture, Sports,
national universities and national research institutes were
Science and Technology: Tokyo.
semi-privatized; and government ministries went through
a comprehensive reorganization. These reforms have surely METI (2014f) White Paper on Manufacturing. Ministry of
strengthened the foundation for R&D in Japans industrial, Economics, Trade and Industry: Tokyo.
academic and government sectors. What is needed now is for
NISTEP (2014) Indicators of Science and Technology. Ministry of
Japan to have confidence in its national innovation system.
Education, Culture, Sports, Science and Technology: Tokyo.
It needs to adopt forward-looking policies and arm itself with
the courage to pursue the necessary reforms to adapt to the Science Council of Japan (2013) Statement: Code of Conduct
changing global landscape. for Scientists. Revised Edition. Tokyo.

Statistics Bureau (2014) Survey of Research and Development.

Chapter 24
Ministry of Internal Affairs and Communication: Tokyo.
KEY TARGETS FOR JAPAN

n Raise the GERD/GDP ratio to 4% or more by 2020;

Yasushi Sato (b. 1972: Japan) is a Fellow at the Centre for
n Raise government expenditure on R&D to 1% of GDP or Research and Development Strategy of the Japan Science
more by 2015; and Technology Agency. He was previously Assistant
Professor at the National Graduate Institute for Policy
n Position 100 institutions among the worlds top 50 in
Studies in Tokyo. Dr Sato obtained his PhD in History and
specific fields for the citation of research papers by
the Sociology of Science in 2005 from the University of
2015;
Pennsylvania (USA).
n Raise the share of women occupying high-level posts in
Tateo Arimoto (b. 1948: Japan) is Director of the
both the public and private sectors to 30% by 2020;
Science, Technology and Innovation Policy Programme
n Raise the proportion of women researchers by 2015 at the National Graduate Institute for Policy Studies
to 20% in science, 15% in engineering and 30% in in Tokyo, where he has been a professor since 2012.
agriculture, medicine, dental and pharmaceutical He is also Principal Fellow of the Centre for Research
research; and Development Strategy at the Japan Science and
Technology Agency. Former Director-General of Science
n Attract 300 000 international students to Japan by 2020;
and Technology Policy Bureau of the Ministry of Education
n Double the amount of FDI inflows (US$ 171 billion in and Science, he obtained his masters degree in Physical
2013) by 2020. Chemistry from the University of Kyoto in 1974.

659
UNESCO SCIENCE REPORT
The government has decided to respond to [the]
increasingly competitive [global] environment by
raising its investment in research and development,
strengthening the manufacturing sector and developing
new creative industries.
Deok Soon Yim and Jaewon Lee

Songdo International Business District International Airport by a 12 km-long

is a new smart city erected on 600 ha of bridge and forms part of the Incheon Free
reclaimed land on Incheons waterfront, Economic Zone.
65 km from Seoul. It is connected to Incheon Photo CJ Nattanai/Shutterstock.com

660
 Republic of Korea
25 . Republic of Korea
Deok Soon Yim and Jaewon Lee

UNESCO Science Report 2010. Lees government targeted

INTRODUCTION
a 5% investment in research and development (R&D) as a
Time for a new development model percentage of GDP by 2012 and strengthened the ministry
The Republic of Korea1 has become a benchmark for responsible for science and technology by transferring
successful economic development. Between 1970 and 2013, responsibility for the budget and co-ordination to the
GDP per capita grew from US$ 255 to US$ 25976, driven by National Science and Technology Council (NSTC).
the strong manufacturing and industrial capabilities that
turned it into one of Asias economic tigers. Among the The current Park Geun-hye administration is emphasizing the
many factors contributing to this success story is the countrys creative economy, in an effort to revitalize the manufacturing
commitment to technological progress and to developing an sector through the emergence of new creative industries.
educated, skilled labour force. Today, the Republic of Korea
is the only nation to have transformed itself from a major
TRENDS IN STI GOVERNANCE
recipient of foreign aid into a major donor.
Science to converge with culture, culture to fuse with
However, the government recognizes that this remarkable industry
economic growth is no longer sustainable. Global In her inaugural address in February 2013, President Park
competition with China and Japan is intense, exports are Geun-hye spoke of a new era of hope and happiness. She
slipping and the global demand for green growth has altered identified five administrative goals for her government: a
the balance. In addition, a rapidly ageing population and creative economy centred on jobs, tailored employment
declining birthrates threaten Koreas long-term economic and welfare, creativity-oriented education and cultural
development (Table 25.1). Middle-income households are enrichment, a safe and united society and strong security
straining to make ends meet in the face of stagnating wages measures for sustainable peace on the Korean Peninsula.
and there are signs of evident social distress; the Organisation She offered a new vision for national development, defining
for Economic Co-operation and Development (OECD) reports it as the convergence of science and technology (S&T)
that the Korean divorce rate has doubled in recent years and with industry, the fusion of culture with industry and the
that its suicide rate is the highest of any OECD member. The blossoming of creativity in the very border areas that were
time has come for an alternative development model. once permeated by barriers.

The new priority: a creative economy This new vision seeks to transform the countrys economic
Against this backdrop, the government has been trying to set model by deepening its reliance on science, technology and
a new path by developing more competitive technologies. innovation (STI), which have served the country so well in the
Under the Lee Myung-bak administration (20082013), past. President Parks vision builds on that of her predecessor,
the government embarked on a major campaign for low who had managed to raise gross domestic expenditure on
carbon technology and green growth, as we saw in the R&D (GERD) to 4.15% of GDP by 2013, the second-highest
level of commitment in the world after Israel (Figure 25.1).
1. The present chapter covers only the Republic of Korea, so references to the
This meteoric rise was made possible thanks largely to the
Chapter 25

abbreviation of Korea designate solely the Republic of Korea. strong progression in industrial R&D.

Table 25.1. Socio-economic trends in the Republic of Korea, 20082013

2008 2009 2010 2011 2012 2013

Population (thousands) 48948 49182 49410 49 779 50 004 50 219
Population growth rate (%) 0.62 0.62 0.60 0.57 0.55 0.53
GDP (current US$ millions) 1 002 216 901 934 1 094 499 1 202 463 1 222 807 1 304 553
GDP per capita (current US$) 20 474 18338 22151 24155 24453 25976
GDP growth rate (%) 2.82 0.70 6.49 3.68 2.29 2.97
Life expectancy at birth (years) 79.8 80.3 80.6 81.0 81.4
Inflation, consumer prices (%) 4.67 2.76 2.96 4.00 2.20 1.31
Unemployment rate (% labour force) 3.20 3.60 3.70 3.40 3.20 3.1

Source: World Banks World Development Indicators, accessed March 2015

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UNESCO SCIENCE REPORT

Figure 25.1: Progression in GERD/GDP ratio in Republic of Korea, 20022013 (%)

Other countries and regions are given for comparison
5

Israel 4.21
4.17 Korea, Rep 4.15
4

Japan 3.49

3.26 Finland 3.32

3.12
3
USA 2.81

2.55
OECD
2.27 average 2.40
2.15
2 China 2.02

1.07
1
2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Source: OECD (2015) Main Science and Technology Indicators

At the time of fixing the 5% target for the GERD/GDP ratio n Knowledge-based service industries (KRW 0.64 trillion);
in 2008, there had been some discordant opinions about
n State-driven technology, such as space, defence and
the governments strong focus on industrial research and
nuclear power (KRW 9.08 trillion);
innovation. Some analysts underscored the need to lay greater
emphasis on basic research and on upgrading the quality and n Issue-driven areas such as new diseases and nanodevices
performance of scientific research, in order to obtain greater (KRW 3.53 trillion);
global recognition. The previous Lee Myung-bak administration
n Global issues such as renewable energy and climate
had taken various measures to address these issues, including
change (KRW 3.78 trillion);
its Second Basic Plan for Science and Technology over 20082013
and its Low Carbon, Green Growth policy. n Basic and convergent technology, such as intelligent
robots and biochips (KRW 1.16 trillion).
High spending for low carbon, green growth
The Second Basic Plan for Science and Technology over The seven policy areas are:
20082013 came to be known as the 577 Initiative, in reference to
n Nurturing talented students and researchers;
the targets it proposed: the number 5 refers to a 5% GERD/GDP
ratio by 2012, the first 7 refers to the governments seven priority n Promotion of basic research;
areas and the second 7 to the associated policy areas (MEST,
n Support for SMEs to foster technological innovation;
2011). The first target had not quite been achieved by 2012.
n Stronger international co-operation in developing
Between 2008 and 2011, the government invested strategic technologies;
KRW 23.72 trillion (US$28.1 billion) in the following seven
n Regional technological innovation;
priority areas:
n A stronger national base for S&T2; and
n Advancement of key industries, such as the automobile,
n Dissemination of a science culture.
shipping and semi-conductor industries (KRW 2.06 trillion);
2. This refers to increasing the number of national R&D facilities and developing a
n Core technology for the development of new industries system of co-ordination to operate these facilities efficiently, which includes an online
(KRW 3.47 trillion); database on S&T, along with efforts to facilitate universityindustry co-operation.

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 Republic of Korea

The 577 Initiative chalked up some impressive achievements Global Green Growth Institute3 in 2010, which works with
(MEST, 2011): public and private partners in developing countries and
emerging economies to put green growth at the heart of
n An increase in the number of publications recorded in
economic planning. The Green Climate Fund is based in the
international journals from 33000 in 2009 to 40000 in
city of Incheon. The fund originated at the global climate
2012, beyond the target of 35000;
talks in Copenhagen (Denmark) in 2009, where it was decided
n An increase in the number of students on scholarships to create a fund endowed with US$100 billion per year by
from 46000 in 2007 to 110000 in 2011; 2020 to help developing countries adapt to climate change.
In November 2014, 30 countries meeting in Berlin (Germany)
n An increase in the number of researchers from 236000
pledged4 the first US$ 9.6 billion.
in 2008 to 289000 by 2011, equivalent to 59 researchers
per 10000 population this nevertheless supposes that
The government also launched the Green Technology
the target of 100 researchers per 10000 population will
Center Korea in 2013. This government-funded think tank
not be reached by 2012;
co-ordinates and supports national R&D policies related to
n A meteoric rise in the World Bank ranking of domestic green technology, in collaboration with Korean ministries
environments for business creation, from 126th place in and agencies. The centre also serves as the Republic of
2008 to 24th in 2012; Koreas gateway to international co-operation in the design
and diffusion of green technology, with a focus on creating
n An increase in GERD from 3.0% to 4.0% of GDP between
a new growth engine for developing countries. The Republic
2007 and 2012 (Figure 25.1), driven largely by the
of Koreas partners in this endeavour are the United Nations
business enterprise sector;
Development Programme, United Nations Economic and
n A steep progression in the number of subscribers to the Social Commission for Western Asia and the World Bank.
National Science and Technology Information Service, an
internet-based platform for S&T statistics, from 17000 in A blueprint for a creative economy
2008 to 107000 in 2010 the government also introduced The Third Basic Plan for Science and Technology, 20132017
more transparent ways of evaluating S&T, including better came into effect in 2013, the year President Park Geun-hye
indicators with more focus on quality control. took office. It serves as a blueprint for Koreas 18 ministries
for the years to come. The major feature of this third plan
Within its Low Carbon, Green Growth policy (2008), the is that it suggests, for the first time, that the government
government established the Composite Measure for R&D should allocate US$ 109 billion (KRW 92.4 trillion) to R&D
in Green Technology in 2009. This measure proposes a over five years as seed money to foster the emergence of a
series of development strategies and investment targets, creative economy (MSIP, 2014). This is expected to increase
including that of doubling government investment in thecontribution of R&D toeconomic growth from 35% to
green technology to KRW 2 trillion between 2008 and 2012. 40%. In addition, this third plan undertakes to raise gross
This target had been surpassed by 2011, when investment national income per capita to US$ 30000 and to create
reached KRW 2.5 trillion. In all, the government invested 640 000 jobs in science and engineering by 2017 (Table 25.2).
KRW 9 trillion (circa US$ 10.5 billion) in green technology These figures demonstrate how the current government
between 2009 and 2012. plans to use science and technology to foster national Chapter 25

growth, although some have questioned whether all of these

The green growth policy has been institutionalized in the targets can be reached by 2017.
new Five-Year Plans for Green Growth, the first of which
covered 20092013. In order to support both basic research The Third Basic Plan outlines five strategies for reaching
and technological development in green technology, the these targets (NSTC, 2013) :
government introduced its Plan for National Carbon Dioxide
n Increase government investment in R&D, support
Capture Sequestration (CCS) in 2010. CCS is a technology for
capturing carbon emissions on a large scale, such as those private-sector R&D through tax relief and improve the
from power plants, and storing the carbon underground planning of new research projects;
in disused mines and the like. The government plans to
commercialize CCS technology by 2020. Total investment in 3. The Global Green Growth Institute was originally conceived by the Lee
green technology by the top 30 private companies amounted government as an NGO. It became an international body in 2012 after the signing
to KRW 22.4 trillion (US$ 26.2 billion) between 2011 and 2013. of agreements with 18 governments. See: http://gggi.org
4. The biggest contributions to the Green Climate Fund were pledged by the
USA (US $3 billion), Japan (US$ 1.5billion), Germany, France and the UK
The government also decided to host the Green Climate (US$ 1 billion each). Some developing countries made pledges of a more modest
Fund in 2012 and supported the establishment of the nature, including Indonesia, Mexico and Mongolia.

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UNESCO SCIENCE REPORT

Table 25.2: The Republic of Koreas R&D targets to 2012 and 2017

Target Target
to 2012 to 2017 of
Situation Situation of Second Third Basic
Unit of measure as of 2007 as of 2012 Basic Plan Plan
In KRW trillions 31.3 59.30+1

GERD In current PPP$ billions 40.7 68.9 +1

Percentage of GDP 3.00 4.15 +1

5.00 5.00

92.4
Government-financed R&D In KRW trillions 7.8 13.2
(total over 20122017)
expenditure
Percentage of GDP 0.74 0.95+1 1.0
Financial
investment Share of basic research in
Percentage share 25.3 35.2 35.0 40.0
government R&D budget

Share of support for SMEs in

Percentage share 12.0-2 18.0
government R&D budget

Government investment in
In KRW trillions 1 2 2
green technology

Government investment in Percentage of government

15.0 20.0
quality of life expenditure on R&D

Total number 222 000 315 589 490 000-1

Researchers (FTE)
Human Per 10000 population 47 64 100
capital PhD-holders in science and
investment Percentage of total population 0.4 0.6
engineering

COSTII score Ranking among 30 OECD countries 9th 7th

Articles published in Science

Total number 29 565 49 374 35 000
Citation Index

Number of patents with

Per 1 000 researchers 0.39-1 0.50
international co-applications
Technology competitiveness
Percentage of total potential 74.8-1 85.0
of SMEs

Early-stage entrepreneurial Percentage of enterprises total

7.8 10.0
activity activity

Jobs in science and

Total 6050 000 6690 000
Output engineering

Gross national income per

US$ 23527 25 210 30 000
capita

Contribution of R&D to
Percentage of GDP 30.4-1* 35.4** 40.0*** 40.0****
economic growth

Industrial value added per

US dollars 19000 25 000
capita

Value of technology exports US dollars millions 2178 4032 8000

Ratio of technology revenue to

Technology trading 0.43 0.48 0.70
expenditure

-n/+n = n years before or after reference year.

* average contribution over 19902004
** average contribution over 19812010
*** average contribution over 20002012
**** average contribution over 20132017
Note: The Composite Science and Technology Innovation Index (COSTII) was developed by the Korean National Science and Technology Council in 2005.
It compares the innovation capacity of 30 OECD countries.
Source: MEST (2008); MSIP (2014b); UNESCO Institute for Statistics; MSIP (2013c)

664
 Republic of Korea

n Identify five strategic areas for national technological A reshuffle of the countrys administrative cards
development (Figure 25.2); Several government bodies were restructured between 2009
and 2013. In particular, the Park Geun-hye administration
n Nurture creative talent by, for example, providing more
established a new Ministry of Science, ICTs and Future
funding for basic research and inviting 300 eminent
Planning (MSIP). MSIP took over responsibility for S&T from
foreign scientists to visit and work with national
the Ministry of Education, Science and Technology (MEST) and
laboratories, etc.;
recovered some parts of broadcasting and communications
n Increase support for small and medium-sized enterprises from the Korea Communications Commission and some
(SMEs) to help them market their research output and tasks from the Ministry of Knowledge Economy, which was
technology; renamed the Ministry of Trade, Industry and Energy.

n Create more jobs by enabling ecosystems to support

The National Science and Technology Council (NSTC) was
start-ups in science and technology, through funding,
given greater authority in 2011 to meet the demand for
consultation services, etc.
greater convergence between science and technology. Its
co-ordination function has been reinforced to enable it
Within the five strategic areas mentioned above, a total of
to prepare the Basic Plans for Science and Technology and
120 strategic technologies have been designated by the
the Basic Plans for the Promotion of Regional Science and
government, 30 of which are considered investment priorities
Technology, among other documents. The council has also
over the five years to 2017, by which time the government
assumed deliberative and legislative power over major
expects some of these to be technologically feasible. As of
plans related to S&T that are suggested by each ministry.
mid-2015, the government had not yet announced budgetary
It has also recovered responsibility for evaluating national
targets to 2017. The Ministry of Science, ICTs and Future
R&D programmes and for fixing the national R&D budget.
Planning (MSIP) is in the process of designing a strategic
Moreover, in an effort to streamline co-operation between the
roadmap which will include an implementation plan.
government and the private sector, the NSTC is now jointly
chaired by the Prime Minister and a person designated by the
Figure 25.2: The Republic of Koreas strategic President from the private sector (NSTC, 2012).
technologies for 20132017
Budget share (%)

Information technology Future growth engine:

TRENDS IN R&D
convergence and new industry:
n Solar energy
The 5% target within reach for 2017
n Next-generation (5G)
n Space launch vehicle, etc.
communication technology R&D financed by the Government and other national
n Advanced materials sources has risen almost continually since 1993. By 2008,
n Environment-friendly it was rising by 13.3%5 per year. The global financial crisis
automobiles, etc.
slowed the growth rate somewhat to 11.4% in 2010 and it
28 35
slipped farther in 2014 to 5.3%. This decline in government
funding has been offset by the industrial sector, which funds
Health and longevity: Total investment
three-quarters of GERD and managed to increase its own
n Personalized drug
(KRW 6.2 trillion)
investment in R&D between 2009 and 2013 by an average
Chapter 25

treatment
n Biochips for disease
of 12.4% each year (Figures 25.325.5). As a consequence,
diagnosis 20
8
the GERD/GDP ratio pursued its progression, albeit at a
n Stem cell technology
9 slower pace than that anticipated by the Second Basic Plan
n Robot technology for for Science and Technology. The Republic of Korea may have
health services, etc.
missed its target of devoting 5% of GDP to GERD by 2012
but the government is determined to see that this target is
Clean and comfortable Safe society: reached by 2017 (Kim, 2014).
environment:
n Social disaster prediction and
n High energy-efficient response: More resources for basic research
buildings, etc. nuclear safety
environmental disaster risk Government investment in basic research has changed
reduction, etc. focus since 2008 by placing greater emphasis on quality.
n Food safety evaluation and This has also entailed improving the quantity of allocated
enhancement, etc.

5. If other national sources are excluded, government-funded R&D expenditure

Source: NSTC (2013) grew by 12.9% in 2009 and 2010 but only by 2.4% in 2013, according to the
UNESCO Institute for Statistics.

665
UNESCO SCIENCE REPORT

Figure 25.3: GERD in the Republic of Korea by source Figure 25.5: GERD in the Republic of Korea by type
of funds and as a share of GDP, 20062013 (%) of research, 20032013
In KRW trillions
2006 0.69 2.14
2.76
2007 0.78 2.21 3.97 Basic research

2003
12.34
2008 0.84 2.28 Applied research
19.07
Experimental
2009 0.95 2.34 3.40 development
4.71

2004
2010 0.97 2.49 Total R&D
14.07

2011 22.18
0.98 2.76
3.71
2012 1.00 3.01
5.03

2005
2013 1.00 3.14 15.41
24.15
Government share Share of industry
4.14
Note: The government share refers to R&D financed by the government, 5.43
2006

the higher education sector and other national sources but the
contribution of all but the government share is negligible. 17.77
27.34
Source: MSIP (2014b)

4.92
6.21
2007

Figure 25.4: GERD in the Republic of Korea by

20.17
source of funds, 2010 and 2013 (%)
31.30

5.54
6.77
2008

22.19
34.50

71.80 6.85
2010
7.57
2009

23.51
37.93
27.98
7.99
0.22
8.74
2010

27.12
Business Government
enterprise Foreign sources and other 43.85
sector national sources
9.01
10.12
2011

0.30
30.76
24.02 49.89

10.15
10.57
2012

2013
75.68 34.72
55.44

10.67
11.32
2013

37.32
59.31
Source: MSIP (2014b) Source: MSIP (2014b)

666
 Republic of Korea

funds. The share of GERD devoted to basic research rose from the regions was multiplied by 15 between 2008 and 2013,
15.2% in 2006 to 18.1% in 2009, a share maintained ever since. soaring from KRW 4689 billion (circa US$ 5.9 billion) to
This was largely thanks to the Second Basic Research Promotion KRW 76194 billion (circa US$ 89.2 billion). This budget
Plan, which raised the basic research budget from 25.6% excludes Seoul and the city of Daejeon, where Daedeok
of government spending on R&D (2008) to 35.2% (2012). In Innopolis is located, the heart of the countrys high-tech
parallel, funding allocated to individual basic scientists tripled research community. Much of the funding went on building
over the same period from KRW 264 billion to KRW 800 billion R&D infrastructure (MSIP, 2013a). This rise should be qualified,
(circa US$ 936 million) [MSIP, 2014a]. however; the share of regional R&D investment in relation to
GERD actually remained constant at about 45% of the total
The current government is pursuing this policy. This can be over this period. Despite the massive injection of funds, a
seen in the budget allocated to the International Science government evaluation of the third plans implementation
Business Belt, currently under construction in the city of concluded that regional governments remained excessively
Daejeon. This ambitious project was enshrined in the Basic reliant on central government funding for R&D and that
Plan for an International Science Business Belt, adopted by the regional R&D remained highly inefficient (MSIP, 2014a).
Lee government in 2011. The aim is to correct the impression Consequently, the fourth National Plan for the Regional
that the Republic of Korea made the transition from a poor Development of Science and Technology 20132017 has
agricultural country to an industrial giant through imitation fixed the objective of strengthening regional autonomy
alone, without developing an endogenous capacity in basic and responsibility for R&D. It is reviewing the feasibility of
sciences. A National Institute for Basic Science opened on the decentralizing inclusive R&D budgets to regional authorities
site in 2011 and a heavy ion accelerator is currently under and of improving R&D planning and management capabilities
construction to support basic research and provide linkages at regional level (MSIP, 2014a).
to the business world (Box 25.1). Between 2013 and 2014,
the Park government doubled the business belts budget to Industrial production and technology still dominate R&D
KRW210 billion (circa US$246 million) [Kim, 2014]. Despite the new focus on basic research, industrial
production and technology still represented two-thirds of
The heavy ion accelerator should enable Korean scientists to GERD in 2013 (Figure 25.7). Of note is that R&D investment
improve their productivity in physics, which has evolved little in health and environment rose by more than 40% between
since 2008, contrary to biological sciences (Figure 25.6). 2009 and 2012.

Efforts to develop regional autonomy in R&D The number of private R&D centres increased by 50%
The third National Plan for the Regional Development of Science between 2010 and 2012, from 20863 to 30589. Since 2004,
and Technology 20082012 was awarded a much greater share more than 90% of corporate research institutes have been
of investment than its two predecessors. The R&D budget for operated by SMEs and venture companies, although large

Box 25.1: The Republic of Koreas Silicon Valley

Moving away from its earlier focus on 2021. It will form part of the multi- In order to foster synergies and Chapter 25

catch-up technology, the Republic functional research facility now called convergence between basic science
of Korea has invested in a dedicated RAON. Here, researchers will be able to and business, high-tech companies and
world-class science and business carry out groundbreaking research in leading enterprises are being invited to
cluster in and around the city of basic science and look forward to group themselves around hubs such as
Daejeon, less than an hours journey discovering rare isotopes. RAON will be the Korea Basic Science Institute.
from Seoul in a high-speed train. The hosted by the Institute for Basic Science,
International Science Business Belt which is itself under construction. It The ultimate aim is to build a global
dates from 2011. It is the countrys should open its doors in 2016. The city combining science, education,
biggest research complex, home to institute plans to attract world-renowned culture and art, where creativity,
18 universities, several science parks scientists and to cultivate an environment research and innovation can flourish, as
and dozens of research centres, both that maximizes the researchers they do in Silicon Valley in the USA or in
private and public. autonomy; it intends to make its mark the cities of Boston (USA), Cambridge
among the top 10 world-class research (UK) or Munich (Germany).
The jewel in the crown will be a heavy institutes in basic science with a Source: NTSC (2013),
ion accelerator, due for completion by measurable impact on society by 2030. www.isbb.or.kr/index_en.jsp, http://ibs.re.k

667
UNESCO
Figure Scientific
SCIENCE
25.6: publication trends
REPORT
in the Republic of Korea, 20052014 Seou
ou
oul

0.89
Average citation rate for Korean publications, 20082012; Sejong

the OECD average is 1.08; the G20 average is 1.02

Korean publications have nearly doubled since 2005,

overtaking those of similarly populated Spain
50 258
50 000
Spain 49 247
Republic of Korea

40 000

7.9%
Share of Korean papers among 10%
30 000
29 667 most-cited, 20082012; the OECD average
is 11.1%; the G20 average is 10.2%
25 944

20 000
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 27.6%
Share of Korean papers with foreign
co-authors, 20082014; the OECD average
Korean scientists publish most in engineering, physics, is 29.4%; the G20 average is 24.6%.
chemistry and life sciences
Cumulative totals by field, 20082014 57 604 55 846

42 282
38 979
35 005

8 676 9 458
7 525 7 015
1 896 1 714 495 734
es

ics

ics
g
re

ry

es

es

es

es
y

gy
m

nc

in
tu

ist
nc

nc
nc
nc

nc

lo
ys
at
no

er
cie
ul

em

ho
m
cie

cie
cie

ie
cie

Ph
ne
tro
ric

sc
rs

he

yc
ls

ls
ls
os
Ch

gi
Ag

As

te

ife
at

Ps
ica

cia
ica
En

Ge
pu

rl
og

ed

So
he
m

M
ol

Co

Ot
Bi

The USA remains the Republic of Koreas main partner, followed by Japan and China
Main foreign partners, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Rep. of Korea USA (42 004) Japan (12 108) China (11 993) India (6 477) Germany (6 341)

Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

668
 Republic of Korea

conglomerates accounted for 71 % of all private investment in

Figure 25.7: GERD in the Republic of Korea
R&D in 2009 and 74% in 2012. This shows that just a handful
by socio-economic objective, 2013 (%)
of major companies are the principal investors in Korean R&D,
even though SMEs and venture companies play a key role by Health Industrial production
establishing and operating R&D centres. and technology

Strong growth in domestic and international patents Transport,

The number of domestic patents registered more than telecommunications
and other 63.45
doubled between 2009 and 2013 from 56732 to 127330 infrastructure
6.56

(KIPO, 2013). This is quite a feat, especially coming as it does

6.41
in the wake of the global financial crisis. In 2013, Koreans took
third place (14548) for the number of patents registered in
Energy Socio-economic
the USA, behind Japan (51919) and Germany (15498). 6.13
objectives
(%)
4.32
The country also recorded a rise within triadic patent families Defence
3.29
an aggregate of registrations with patent offices in Europe,
Japan and the USA even though the ratio per billion KRW Environment
of research budget slipped (Figure 25.8). This didnt prevent General progress
in knowledge 2.33
Korean inventors from ranking fourth in 2012.
Agriculture 2.15
Technology trade has doubled Exploration and
Culture, recreation, exploitation of space 0.82
The volume of technology trade doubled between 2008 and religion and mass
media 1.32
2012 from US$8.2 billion to US$16.4 billion. The trade balance, Exploration and exploitation
of the Earth 1.01
which can be calculated as a ratio of technology exports to Education 1.16
technology imports, improved from 0.45 in 2008 to 0.48 in 2012 Political and social systems,
(MSIP, 2013b). Although this increasing volume of technology structures and processes 1.06

trade implies that the country is actively engaging in global

innovation, it continues to record a large deficit in the global
Source: MSIP (2014b)
technology marketplace that it is striving to remedy.

Figure 25.8: Triadic patent family registrations in the Republic of Korea, 19992012
3 500 0.14
Number of triadic patent families (priority years) Triadic patent families per billion KRW of GERD

3 000 0.12
2 877.76
2 749.26

2 659.94

2 500 0.10
2 569.52

Chapter 25
2 453.17
2 194.27

2 348.12

2 000 0.08
2 104.31
1 981.66

1 828.06

1 500 0.06
1 569.98

0.05 0.05
1 157.70

1 000 0.04
908.63

500 0.02
600.68

0 0
1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

Source: MSIP (2014b)

669
UNESCO SCIENCE REPORT

The volume of Korean high-tech exports (US$143 billion) TRENDS IN HUMAN RESOURCES
is comparable to that of Singapore (US$141 billion) and
higher than that of Japan (US$110 billion). Six out of ten Korea now ranks sixth for the number of researchers
high-tech exports fall into the category of electronics and The number of full-time equivalent (FTE) researchers grew
telecommunications; exports in this sector even increased steeply between 2008 and 2013 from 236137 to 321842
from US$66.8 billion in 2008 to US$87.6 billion by 2013. (Figure 25.10). As a result, the Republic of Korea now ranks
sixth for this indicator after China, the USA, Japan, the Russian
Most countries experienced a dip in high-tech exports in 2009 Federation and Germany. More importantly, the Republic
after the global financial crisis hit but, whereas the Republic of of Korea has more researchers per million population than
Korea and Singapore rapidly recovered, the volume of high-tech any of these countries: 6 533 in 2013. In terms of researcher
exports stagnated in Japan and has not yet recovered in the density, it is surpassed only by Israel and some Scandinavian
USA, where high-tech exports earned US$ 237 billion in 2008 countries. Moreover, thanks to the steady rise in the countrys
but just US$ 164 billion five years later. GERD/GDP ratio, the investment available to each researcher
has managed to keep pace with the burgeoning numbers
Great strides in technological competitiveness of personnel, even climbing slightly from PPP$186000 to
In 2014, the Republic of Korea ranked 6th for scientific PPP$214000 between 2008 and 2013 (Figure 25.10).
competitiveness and 8th for technological competitiveness,
according to the Institute of Management Development, based Women remain a minority in Korean science
in Switzerland. The rankings for both science and technology In 2008, only one in six researchers (15.6%) was a woman.
have improved hugely since the turn of the century but it is in The situation has improved somewhat since (18.2% in 2013)
technological competitiveness that Korea has made the biggest but the Republic of Korea still lags far behind the beacons for
strides in the past five years. The country is particularly efficient in this indicator, Central Asia and Latin America, where about
communication technologies. For example, it ranked 14th in 2014 45% of researchers are women, even if it performs better than
for mobile telecommunication costs per minute, compared with Japan (14.6% in 2013). When it comes to remuneration, there
33rd a year earlier. Other indicators surveyed remained sluggish, is a yawning gap between men and women researchers in
however. For example, in terms of technological co-operation the Republic of Korea (39%), the widest of any OECD country.
among corporations, Korea it ranked 39th, whereas its rank Japan has the next-biggest gap in remuneration (29%).
on cybersecurity issues was downgraded from 38th to 58th
over the same period. This correlates with the drop in scientific The government is cognizant of the problem. In 2011, it
productivity in computer sciences observed in recent years. introduced a Second Basic Plan for Women Scientists and

Figure 25.9: Changes in Republic of Koreas competitiveness ranking in science and technology, 19992014
0

5
6
8
10

15

20

25
26 26

30
33
35
36

40

45
1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

National competitiveness ranking Science competitiveness ranking Technology competitiveness ranking

Source: IMD (2014) World Competitiveness Yearbook. Institute of Management Development: Lausanne (Switzerland)

670
Figure 25.10: Trends among Korean researchers (FTE), 20082013
Republic of Korea

The Republic of Korea has one of the worlds greatest researcher intensities
Other countries are given for comparison

Researchers per thousand employment, 2013 Total researchers (000s), 2013

1.93 China 1 484

8.81 USA (2011) 1 252
10.19 Japan 660
6.17 Russian Fed. 441
8.54 Germany 361
12.84 Korea, Rep. 322
13.33 Sweden 62
14.86 Denmark 41
15.68 Finland 39
10.17 Singapore (2012) 34

The budget per researcher has risen since 2008

Total researchers (FTE) GERD per researcher (PPP$)

236 137 2008 185 936

244 077 2009 188 413
264 118 2010 197 536
288 901 2011 202 075
315 589 2012 204 247
321 842 2013 214 195

Source: OECD (2015) Main Science and Technology Indicators

Engineers (20092013), which outlines measures for fostering the focus on academic backgrounds and promote a new
career development and making the working environment culture whereby people encourage and respect the creativity
more women-friendly. In 2011, centres for women in science of individuals. One example of these measures is the Da Vinci
and technology lodged within several universities merged Project being experimented in selected primary and secondary
to form the Centre for Women in Science, Engineering and schools to develop a new type of class which encourages Chapter 25

Technology (WISET). WISET develops policies to mainstream students to exercise their imagination and which revitalizes
women in science, engineering and technology. The centre hands-on research and experience-based education.
held a Gendered Innovation Forum in March 2014 to
bring Korean experts together with science attachs from The government is also promoting the Open Academy
embassies in Seoul. The centre is also hosting the next Gender Project with the Korea Advanced Institute of Science and
Summit in Seoul in late 2015. The first gender summits have Technology and other universities to establish an online
been held in Europe and the USA since 2011. This will be the platform where students can study and enter into discussion
first such event in Asia. with professors. There are plans to make online courses
accessible to anyone with an interest in studying and to link
Measures to nurture creative talents these courses to an academic credit banking system to ensure
The Korean government has come to realize that developing that the credits obtained by students enrolled in these online
national capabilities for innovation will require nurturing courses are recognized.
creativity among the young (MSIP, 2013b). To this end, it has
outlined several strategies for the renaissance of the natural The Second Basic Plan for Nurturing Human Resources in Science
sciences and engineering. Ministries have jointly introduced and Engineering (20112015) aims to foster human resources
measures to nurture creative talents, in order to attenuate in science and technology by focusing on the development

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UNESCO SCIENCE REPORT

of creativity, the scope of which is to be expanded to include A second example is the Innovation Center for the Creative
elementary and secondary education. The government is Economy. This government centre is located in Daejeon and
promoting education for science, technology, engineering, arts Daegu and serves as a business incubator.
and mathematics (STEAM) to promote the convergence of these
fields and help students grasp economic and social challenges These initiatives are not without controversy, however,
in the future. Brain Korea 21 plus has been implemented within as some feel that the government is intervening too much.
the scope of the plan (Box 25.2). The government has also The main question hinges on whether entrepreneurship
expanded its financial support to young researchers: the number can be better fostered with government support or by
of projects qualifying for government support rose from leaving entrepreneurs to fend for themselves in the
178 (KRW 10.8 billion) in 2013 to 570 (KRW 28.7 billion) in 2014. marketplace.

Based on the Medium-and Long-term Supply and Demand A survey conducted by the Korea Federation of Small
Forecast for Human Resources in Science and Technology and Medium-Sized Enterprises in 2014 revealed that the
(20132022), the country will face an excess of 197 000 federations members judged the level of entrepreneurship
graduates and 36 000 postgraduates with a masters degree in the Republic of Korea to be quite low.7 It is still too early
by 2022, whereas there will be shortage of 12000 PhD-holders. at this point to analyse whether or not the governments
efforts have succeeded in fostering innovation.
As industry needs a greater number of employees with
training in science and technology than in the past, policy A more systemic approach to co-operation
measures will need to correct this misalignment. For example, Korean scientists have been participating in international
the government plans to conduct a foresight exercise with a projects and exchanges for years. Some 118 scientists
focus on human resource needs in emerging technologies to collaborated with the European Organization for Nuclear
make up for the projected shortfall in these fields. Research (CERN) in 2013, for instance. The Republic of
Korea is also a partner in the project which is currently
A creative economy town building an International Thermonuclear Experimental
The Creative Economy Town6 is one example of a series of Reactor in France and invested around KRW 278 billion
offline and online platforms set up by the Park government in this project from 2012 to 2014. The government also
to allow individuals to share and commercialize their ideas. contributed KRW20 million (circa US$ 23000) to support the
Professionals from relevant fields act as mentors, providing participation of more than 40 individual Korean researchers
legal advice on intellectual property rights and other issues in the European Unions Seventh Framework Programme for
and connecting budding innovators with companies which Research and Technological Development from 20072013
have the potential to market their ideas. (MSIP, 2012).

6. https://www.creativekorea.or.kr 7. http://economy.hankooki.com/lpage/industry/201410/e20141028102131120170.htm

Box 25.2: Brain Korea 21 Plus: the sequel

The UNESCO Science Report 2010 effectively improved. For example, the Whereas the initial project focused on
followed the fortunes of the Brain number of articles produced by university increasing the quantity of R&D performed,
Korea project, which had been staff and graduates increased between Brain Korea 21 Plus is focusing on
renewed in 2006 for another six years. 2006 and 2013 from 9486 to 16428. improving the quality of both teaching
Within this project, universities and Importantly, the impact factor per article and research at local universities, along
graduate schools wishing to qualify also progressed: from 2.08 in 2006 to 2.97 with their ability to manage projects. By
for government funding were obliged in 2012 (NSTC, 2013). 2019, the project hopes to have enrolled
to organize themselves into research a great deal more students in accredited
consortia. The aim was to encourage Encouraged by this success, the project masters and PhD programmes than in
world-class research. was extended for another six years in the past, in order to nurture some of the
2013, under the name of Brain Korea 21 talent that will be needed to develop a
This approach seems to have worked, Plus. In its first year, the project received more creative economy.
for the performance and output of both an allocation of KRW 252 billion
participating graduates and faculties (circa US$ 295 million). Source: https://bkplus.nrf.re.kr

672
 Republic of Korea

The government is also encouraging Korean collaboration (iWc) in Cambodia to boost Cambodian R&D oriented towards
with world-class laboratories through a home-grown scheme, providing a clean water supply and serve as a base for the
the Global Research Laboratory Programme, which was Republic of Koreas international assistance in science and
launched in 2006. Each year, the Ministry of Science, ICTs and technology. The governments overall budget for this type of
Future Planning and the National Research Foundation invite international assistance is expected to increase from
Korean research institutions to answer their call for project KRW 8.2 billion in 2009 to KRW 28.1 billion (circa US$ 32.9
proposals. These proposals may concern basic sciences or million) in 2015 (Kim, 2011).
technological fields, as long as the research topic necessitates
collaboration with laboratories abroad. Successful joint
projects may be awarded annual funding of KRW500 million CONCLUSION
(circa US$ 585000) for up to six years. The number of Global
Research Laboratory projects has increased from 7 in 2006 to A new orientation towards entrepreneurship and
48 in 2013 (MSIP, 2014a). creativity
The Republic of Korea has come through the global financial
The current government is particularly keen to see the private crisis since 2008 remarkably unscathed. However, this
sector develop core technologies by investing in foreign should not mask the fact that the country has outgrown its
companies. The National Plan for International Co-operation catch-up model. China and Japan are competing with Korean
in Science, Technology and ICTs (2014) sets out to do just that. technology in global markets and exports are slipping as
A key element of the plan is the establishment of the Korea global demand evolves towards green growth.
Innovation Centre, which will play a supporting role for
Korean researchers and entrepreneurs eager to invest abroad The government has decided to respond to this increasingly
while attempting to woo foreign investors to Korean shores competitive global market by raising its investment in R&D,
(Box 25.3). strengthening the manufacturing sector and developing
new creative industries. The countrys investment in R&D
Some forms of international assistance also incorporate has already risen quite substantially but there is now some
science and technology, such as the Techno Peace Corps doubt as to whether this has produced the desired result.
programme, which funds postdoctoral students. Another It may be that investment in R&D has reached a point where
example is the project being implemented by the government marginal growth in the performance of R&D is close to
in Viet Nam to establish the Viet NamKorea Institute of zero. The Republic of Korea thus now needs to optimize the
Science and Technology. The government also plans to management of its national innovation system to take full
establish centres for appropriate science and technology in advantage of this rising investment.
developing countries, in order to provide post-management of
projects, including consultancies and education; for example, Without a corresponding restructuring of industry and its
the government has established an innovative Water Centre accompanying innovation system, the injection of R&D funding

Box 25.3: The Korea Innovation Centre

Chapter 25

Established in May 2014 as part of the The Korea Innovation Centre is operated n Strengthen innovation capacities
new creative economy, the Korea jointly by the National Research Foundation, by developing world-class human
Innovation Centre promotes Korean which provides the secretariat, and the resources in STI;
exports and the internationalization of National Information Technology Industry
n Strengthen international
national researchers. Promotion Agency. Its mission is aligned
co-operation and partnerships in
with the five strategies designated under
science, technology and ICTs;
It also incites venture companies the 2014 National Plan for International
and SMEs to enter the world market. Co-operation in Science, Technology and ICTs: n Create more efficient management
In order to encourage networking and systems to respond to international
n Establish systemic linkages to support
common platforms for co-operation, demand.
international co-operation and
it is opening up offices in the European
overseas business;
Union (Brussels), the USA (Silicon Valley
and Washington, DC), China and the n Enhance support for SMEs to launch
Russian Federation, as well as at home. overseas ventures; Source: www.msip.go.kr

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UNESCO SCIENCE REPORT

may not be able to produce better output. As posited by In sum, the governments agenda for a creative economy
the theory of innovation systems, the total productivity of a reflects a growing consensus that the countrys future growth
national innovation system is a key factor for change but it is and prosperity will depend on its ability to become a global
also quite difficult to transform the national innovation system, leader in developing and commercializing innovative new
as it tends to be an ecosystem that is most concerned with products, services and business models.
linking the various actors through relationships and processes.

The country is now striving to become more entrepreneurial and REFERENCES

creative, a process that will entail changing the very structure of
the economy. Up until now, it has relied on large conglomerates IMD (2014) World Competitiveness Yearbook. Institute of
such as Hyundai (vehicles) and Samsung and LG (electronics) to Management Development: Lausanne (Switzerland).
drive growth and export earnings. In 2012, these conglomerates
still represented three-quarters of private investment in R&D an Kim, I. J. (2014) Government Research and Development
even higher share than three years previously (KISTEP, 2013). The Budget Analysis in the 2014 Financial Year. Korea Institute
challenge will be for the country to produce its own high-tech of Science and Technology Evaluation and Planning:
start-ups and to foster a creative culture in SMEs. Another Seoul.
challenge will be to turn the regions into hubs for creative
industries by providing the right financial infrastructure and Kim, Ki Kook (2011) Vision and Assignments for Korean Science
management to improve their autonomy. and Technology Overseas Development Assistance for the
Post Jasmine era. Science and Technology Policy Institute:

KEY TARGETS FOR THE REPUBLIC OF KOREA Seoul.

n Raise GERD from 4.03% to 5.0% of GDP between 2012 KIPO (2013) Intellectual Property Statistics for 2013. Korean
and 2017; Intellectual Property Office: Daejeon.

n Ensure that SMEs achieve 85% of their potential

KISTEP (2013) Status of Private Companies R&D Activities
technological competitiveness by 2017, compared to in Korea. Korea Institute of Science and Technology
75% in 2011; Evaluation and Planning: Seoul.
n Raise support for SMEs from 12% of the government
R&D budget in 2012 to 18% by 2017; MEST (2011) Science and Technology Yearbook 2010. Ministry
of Education, Science and Technology: Seoul.
n Raise the share of basic research in the government
budget from 32% in 2012 to 40% by 2017; MEST (2008) Second Basic Plan for Science and Technology,
n Raise the share of government investment in 20082013. Ministry of Education, Science and Technology:
improving the quality of life through R&D from 15% Seoul.
in 2012 to 20% in 2017;
MSIP (2013a) Fourth National Plan for the Promotion of
n Increase the number of jobs in S&T from 6.05 million
Regional Science and Technology. Press Release. Ministry
to 6.69 million by 2017; of Science, ICT and Future Planning: Gwacheon.
n Increase the share of early-stage entrepreneurial
activity in enterprises from 7.8% in 2012 to 10% MSIP (2014a) Science and Technology Yearbook 2013. Ministry
in 2017; of Science, ICT and Future Planning: Gwacheon.

n Increase the number of PhD-holders from 0.4% to

MSIP and KISTEP (2014) Government Research and Development
0.6% of the population between 2012 and 2017; Budget Analysis in the 2014 Financial Year. Ministry of
n Raise industrial added value per capita from Science, ICT and Future Planning and Korea Institute of
US$ 19 000 in 2012 to US$ 25 000 by 2017; Science and Technology Evaluation and Planning: Seoul.

n Commercialize the technology for carbon dioxide

MSIP (2014b) Survey of Research and Development in Korea
capture sequestration by 2020; 2013. Ministry of Science, ICT and Future Planning.
n Double the value of technology exports from Gwacheon.
US$ 4 032 million to US$ 8 000 million between 2012
and 2017.

674
 Republic of Korea

MSIP (2013b) Statistical Report on the Technology Trade on

Korea in Accordance with the OECD Technology Balance
of Payments Manual. Ministry of Science, ICT and Future
Planning: Gwacheon.

MSIP (2013c) Survey of Research and Development in Korea

2012. Ministry of Science, ICT and Future Planning:
Gwacheon.

NSTC (2013a) Third Basic Plan for Science and Technology,

20132017. National Science and Technology Council:
Seoul.

NSTC (2013b) Science and Technology Yearbook 2012.

National Science and Technology Council: Gwacheon.

NSTC (2012) Science and Technology Yearbook 2011.

National Science and Technology Council: Gwacheon.

Deok Soon Yim (b. 1963: Republic of Korea) holds a

PhD in Business Studies from the Graduate School of
Chung-Ang University in Seoul. He is a Senior Research
Fellow at the Science and Technology PolicyInstitute
in Sejong. His research interests include science and
technology parks, regional innovation clusters and the
globalization of R&D. He was a consultant for the Korean
government on the initiative for Daedeok Science Town,
which later expanded to become Daedeok Innopolis.

Jaewon Lee(b. 1984: Republic of Korea) is a researcher

at the Science and Technology Policy Institute (STEPI)
in Sejong. Prior to joining STEPI in 2014, he undertook
research at the Stockholm International Peace Research
Institute through a grant from the Korean Foundation.
He holds a Masters in International Studies from the
Graduate School of International Studies at Seoul
National University. Chapter 25

675
UNESCO SCIENCE REPORT

Accountability and effective

monitoring [of innovation] is a must
to ensure that investment yields a
desirable rate of return.
Rajah Rasiah and V.G.R. Chandran

Dr Kastoori Karupanan demonstrates the Digital Autopsy at a

mortuary in Kuala Lumpur Hospital. This forensic application
creates a three-dimensional image that enables a virtual body
to be viewed and dissected in high definition.
Photo: Bazuki Muhammad/Reuters

676
 Malaysia
26 . Malaysia
Rajah Rasiah and V.G.R. Chandran

INTRODUCTION of structural reform, several areas still require attention if the

country is to achieve its goal. We shall now examine these
Stable economic growth but challenges lie ahead areas one by one.
The Malaysian economy grew by 4.1% per year on average
between 2002 and 2013, pausing only briefly in 2009 at the The rapid expansion of exports in electronics from the
height of the global financial crisis (Figure 26.1). The rapid 1970s onwards has turned Malaysia into a major hub for the
return to positive growth in 2010 can be at least partly production of high-tech goods. Today, Malaysia is highly
attributed to the two stimulus packages adopted by the integrated in global trade, with manufacturing contributing
government in November 2008 and March 2009. over 60% of its exports. Half of these exports (49%) were
destined for the East Asian market1 in 2010, compared to
Malaysia was an early convert to globalization. Since just 29% in 1980. Over the past 15 years or so, the share of
the launch of export-oriented industrialization in 1971, manufacturing in GDP has gradually declined as a natural
multinational corporations have relocated to Malaysia, consequence of the concomitant growth in services as a
fuelling a rapid expansion in manufactured exports that corollary of greater development. Modern manufacturing and
has helped turn the country into one of the worlds leading services are deeply intertwined, as high-tech industries often
exporters of electrical and electronic goods. In 2013 alone, have a massive services component. The development of the
Malaysia accounted for 6.6% of world exports of integrated services sector is thus not, in itself, a cause for concern.
circuits and other electronic components (WTO, 2014).
More worrying is the fact that the shift towards services has
Rapid growth and the consequential tightening of the neglected the development of high-tech services. Moreover,
labour market led the Malaysian government to focus although the volume of manufacturing has not declined, less
from the 1990s onwards on a shift from a labour-intensive value is being added to manufactured goods than before.
economy to an innovation-intensive one. This goal is As a consequence, Malaysias trade surplus declined from
encapsulated in The Way Forward (1991), which fixes a target
of achieving high-income status by 2020. Whereas Malaysia 1. essentially China, Indonesia, Republic of Korea, the Philippines, Singapore, and
has done remarkably well over the past two years in terms Thailand

Figure 26.1: GDP growth in Malaysia, 20022014 (%)

8
7.43

7 6.78
6.30
6.00
6 5.64
5.39
5.79
5.58
5 5.33
4.83 5.19
4.73
4

2
Chapter 26

-1

-1.51
-2
2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Source: World Banks World Development Indicators, June 2015

677
UNESCO SCIENCE REPORT

144529 ringgits (MYR) in 2009 to MYR 91539 in 2013 and have represented the third-largest category of Malaysian
Malaysia has been losing ground in high-tech exports. exports after fossil fuels (petroleum and gas) and electronics.
High-tech manufacturing has stagnated in absolute terms About 58% of Malaysia remained forested in 2010. With the
in recent years and its share of global added value has government having committed to preserving at least half of
slipped from 0.8% in 2007 to 0.6% in 2013. Over the same all land as primary forest, Malaysia has little latitude to expand
period, Malaysias global share of high-tech exports (goods the extent of land already under cultivation. Rather, it will
and services) has contracted from 4.6% to 3.5% (WTO, 2014). need to focus on improving productivity (Morales, 2010).
The contribution of high-tech industries to national GDP
has likewise dropped. Avoiding the middle-income trap
The Najib Razak coalition government came to power in
Malaysia also needs to reduce its reliance on oil and gas 2009 before being re-elected in 2013. The government
extraction. In 2014, oil and gas contributed nearly 32% of estimates that 6% annual growth is necessary to reach
government revenue. Although natural gas represented high-income status by 2020, which is somewhat higher than
about 40% of Malaysias energy consumption in 2008, the average for the previous decade. A greater focus on
there have been gas shortages since 2009, owing to the innovation will be necessary to reach this goal.
combination of a declining domestic gas supply and rising
demand. To compound matters, the sharp drop in global One of the first schemes introduced by the current
oil prices between July and December 2014 forced the administration was the Economic Transformation
government to cut expenditure in January 2015 to maintain Programme (ETP) in 2010, which contributes to the National
its budget deficit at 3%. A recent budget review indicates Transformation Programme (2009). The ETP laid the
that Malaysia will not be able to rely on its natural resources foundations for the introduction of the Tenth Malaysia Plan
to propel itself towards high-income status by 2020. (20112015) in 2010. The ETP seeks to strengthen industrial
competitiveness, raise investment and improve governance,
Rising inequality is a growing concern in Malaysia, with including public-sector efficiency. As much as 92% of this
the disparity between the top 20% income-earners and programme is to be financed by the private sector. The
the bottom 40% widening. The governments Subsidy programme focuses on 12 growth areas:
Rationalization Programme, which had first been rolled
n Oil, gas and energy;
out in 2010 with little effect, moved into high gear in 2014
with three consecutive increases in natural gas prices in a n Palm oil and rubber;
single year. The removal of energy subsidies, coupled with
n Financial services;
the introduction of a general sales tax on consumer goods
in April 2015, is expected to increase the cost of living. The n Tourism;
four out of ten Malaysians in the lowest income bracket are
n Business services;
also increasingly exposed to social and environmental risks.
The incidence of dengue increased by 90% in 2013 over the n Electronics and electrical goods;
previous year, for instance, with 39 222 recorded cases, in a
n Wholesale and retail;
trend which may be linked to deforestation and/or climate
change. The rising crime rate is another concern. n Education;

n Health care;
Although Malaysia remains committed to reducing its
carbon emissions by 40% by 2020 over 2012 levels, as n Communications, content and infrastructure;
pledged by the Malaysian prime minister at the climate
n Agriculture; and
summit in Warsaw in 2013, it faces growing sustainability
challenges. In January 2014, Selangor, the most developed n Greater Kuala Lumpur/Kelang Valley.
of Malaysias federated states, experienced water shortages.
These were not caused by lack of rainfall Malaysia lies in The programme identifies six Strategic Reform Initiatives
the tropics but by high pollution levels and the drying of to drive competitiveness and create a business-friendly
reservoirs as a consequence of overuse. Land clearing and environment: competition, standards and liberalization;
deforestation remain major concerns, causing landslides public finance reform; public service delivery; narrowing
and population displacements. Malaysia is the worlds disparities; the governments role in business; and human
second-biggest producer of palm oil after Indonesia, the capital development. The education component of the
two countries contributing about 86% of all palm oil in Economic Transformation Programme focuses on four
2013, according to the World Wildlife Funds 2013 Palm main areas: Islamic finance and business; health sciences;
Oil Buyers Scoreboard. Since the 1990s, palm oil exports advanced engineering; and hospitality and tourism.

678
 Malaysia

ISSUES IN STI GOVERNANCE Effective inter-agency co-ordination across policy boundaries

will obviously be necessary to develop innovative solutions
Growing expectations of S&T for inclusive development to the problems outlined above. The Ministry of Science,
Despite significant progress since the 1970s, Malaysia is not Technology and Innovation (MoSTI) and the Ministry of
yet in the same league as dynamic Asian economies such Education are the principal drivers of Malaysias national
as the Republic of Korea, with which it is often compared. innovation system. There seems to be some agreement that
Governance issues and weak institutional capabilities in applied research is the purview of MoSTI, whereas basic
STI figure at the top of the list of current shortcomings. research falls under the Ministry of Education, but there is no
In addition, budget deficits have recently started putting mechanism for co-ordinating basic and applied research. Also,
pressure on public investment levels, including research MoSTI monitors innovation through surveys, the provision
and development (R&D). In particular, recurrent crises of grants and evaluations but it lacks the industrial exposure
have pushed the government to shift expenditure towards to co-ordinate industrial grants effectively, a failing which
addressing socio-economic problems. is evident from the absence of an effective performance
criterion for some government grant programmes, including
Innovation for inclusive development has risen in the public the TechnoFund (Figure 26.2). It is important that a body
policy agenda and is currently being widely discussed in closer to industry, such as the Ministry of International Trade
Malaysia, in a context of low farm productivity, increasing and Industry (MoITI) or its sub-organ, the Malaysian Industrial
health-related problems, natural disasters, environmental Development Authority (MIDA), be entrusted with this role.
problems and even monetary inflation. In 2014, the Accountability and effective monitoring is a must to ensure
government launched transdisciplinary research grants that investment yields a desirable rate of return.
with the objective of including societal benefits among
the performance criteria at Malaysias research universities Despite the long-standing role of government in funding R&D
and providing incentives to promote science in support of programmes, there is currently no systematic approach to
poverty alleviation and sustainable development. R&D programme appraisal and monitoring. Remedying this

Figure 26.2: Examples of government funding instruments for innovation in Malaysia

Commercialization
of R&D Fund (1996)
Techno Fund (2006)
Technology Acquisition
Science Fund (2006) E-Content Fund (2006) Fund (1996)

Multimedia Agro-Biotechnology Demonstrator Biotechnology

Super Corridor R&D Initiative (2006) Application Grant Acquisition Fund
(MSC) Malaysia (1997) Scheme (2006) (2006)
Genome and Molecular
Biology R&D Initiative MSC Malaysia R&D Biotechnology
(2006) Grant Scheme Commercialization
(1997) Fund (2006)
Pharmaceutical and
Nutraceutical R&D Industrial Technical
Initiative (2006) Assistance Fund
(1990)
Fundamental Research
Grant Scheme (2006)
Chapter 26

Long-term Research
Grant Scheme (2009)

High Impact Research

(2009)

PRE-SEED FUNDING RESEARCH DEVELOPMENT COMMERCIALIZATION

Note: The year of the funds creation is given in brackets

Source: Adapted from MoSTI (2013)

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UNESCO SCIENCE REPORT

oversight would require introducing a legal framework and While private sector participation in R&D has risen
engaging the stakeholders in the early stages of designing considerably since 2005, in particular, its share is still quite low
performance monitoring and assessment criteria. Indeed, in comparison with dynamic Asian economies. For example,
an independent monitoring body could provide greater between 2006 and 2011, a total of 25423 ICT patents were
accountability and transparency over the disbursement and filed in the USA by Koreans, compared to a meagre 273 by
collection of R&D funds and reduce duplication. Malaysians (Rasiah et al., 2015a, 2015b).

There has been some recognition of the need to co-ordinate R&D spillovers have not been significant, despite the strong
STI better, in particular as concerns research and commercial- presence of multinational corporations in Malaysia. This is due
ization of the results. For example, the National Science to the lack of a critical mass of R&D infrastructure, especially
Research Council presented a proposal in 2014 to establish a as concerns human capital and laboratories specializing in
central independent agency to co-ordinate R&D. The agencys frontier R&D at research universities and government-owned
mandate would incorporate technology foresight, among institutions (OECD, 2013; Rasiah, 2014).
other tasks, as well the monitoring, evaluation and management
of R&D. The involvement of multinational corporations in frontier
R&D is still limited in Malaysia, so pro-active measures will
Many issues have resurfaced in current policy be required to develop this activity (Rasiah et al., 2015a).
The governments focus on STI dates back to the launch of the R&D conducted by both national and foreign firms is largely
First Science and Technology Policy in 1986. This was followed confined to product proliferation and problem-solving.
by an Action Plan for Industrial Technology Development in 1991 For example, in the ICT industry, no firm is engaged in R&D
to stimulate the development of strategic and knowledge- targeted at miniaturizing ICT nodes or in expanding wafer
intensive industries, as well as by the creation of intermediary diameters. Innovative activity tends to be limited to the
organizations such as training centres, universities and transfer and diffusion of technology through intra-industry
research laboratories to propel this development. It is the trade, particularly in the countrys free trade zones. This
Second Science and Technology Policy (20022010), however, constant focus on production-type operations will only be able
which is considered the first comprehensive formal national to contribute to incremental innovation (Rasiah, 2010). In 2012,
policy with specific strategies and action plans to set the STI a group of multinationals established a platform to promote
agenda. collaborative R&D; although this is a step in the right direction,
it is too early at this stage to assess its success (Box 26.1).
The current Third National Science and Technology Policy
(20132020) emphasizes the generation and utilization of
Figure 26.3: GERD/GDP ratio in Malaysia, 20082012
knowledge; talent development; energizing innovation in
Other countries are given for comparison
industry; and improving the governance framework for STI to
support innovation. Nevertheless, many of the issues targeted 5.0
Rep. of Korea Malaysia Thailand
in the first two policies have resurfaced in the third policy,
Singapore India Indonesia
implying that the objectives fixed in the previous policies China
4.03
have not been achieved; these issues include the diffusion 4.0
3.74
of technology, the private sectors contribution to R&D and
3.47
innovation, commercialization, monitoring and evaluation. 3.29
3.12
3.0
Without business R&D, 2020 target will not be reached 2.62
Without a doubt, R&D is contributing far more to the countrys
development than even a decade ago. Between 2008 and 2.16 2.16
2.01 2.02
2012, gross domestic expenditure on R&D (GERD) rose from 2.0
1.70
0.79% to 1.13% of GDP (Figure 26.3). This is all the more 1.98
1.47 1.84
1.76
remarkable in that GDP grew steadily over the same period.
1.07 1.06 1.13
Despite this progress, Malaysia still lags behind Singapore or 1.01
1.0 0.84
the Republic of Korea for this indicator; the gap is particularly
wide when it comes to business expenditure on R&D (BERD). 0.79 0.82 0.80 0.82
0.39
In 2012, Malaysias BERD/GDP ratio stood at 0.73%, compared 0.25
0.08
to 1.2% in Singapore and 3.1% in the Republic of Korea. 0
2008 2009 2010 2011 2012
Malaysia is targeting a 2.0% GERD/GDP ratio by 2020; whether
or not it reaches this target will depend largely upon the
Source: UNESCO Institute for Statistics, May 2015
dynamism of the business enterprise sector.

680
 Malaysia

Box 26.1: A multinational platform to drive innovation in electrical goods and electronics

To address the shortcomings of the This platform was initiated by ten leading The Northern Corridor Implementation
local innovation ecosystem, a group of electrical and electronic companies: Authority, Khazanah Nasional,
multinational corporations have created Advanced Micro Devices, Agilent University of Malaya and University
their own platform for Collaborative Technologies, Altera, Avago Technologies, of Science Malaysia work closely with
Research in Engineering, Science and Clarion, Intel, Motorola Solutions, CREST. Besides R&D, the focus is on
Technology (CREST). Established in National Instruments, OSRAM and Silterra. talent development, the ultimate aim
2012, this trilateral partnership involving These companies generate close to being to help the industry add greater
industry, academia and the government MYR 25 billion (circa US$ 6.9billion) in annual value to its products.
strives to satisfy the research needs of revenue and spend nearly MYR 1.4 billion on
electrical and electronics industries, R&D. Government grants have been utilized
which employ nearly5000 research extensively by these multinational firms
scientists and engineers. since 2005 (Rasiah et al, 2015a). Source: www.crest.my

The current gaps in knowledge, capability and financing

also make it harder for small and medium-sized enterprises Table 26.1: Intensity of high-tech industries in Malaysia,
2000, 2010 and 2012
(SMEs) to undertake R&D. Most of the SMEs that work as
Other countries are given for comparison
subcontractors for multinational firms have remained confined
to the role of original equipment manufacturers. This prevents

exports, 2000 (%)

exports, 2010 (%)

exports, 2012 (%)

them from participating in original design and original brand

manufacturing

manufacturing

manufacturing
World share,

World share,

World share,
manufacturing. SMEs thus need greater support in accessing
2000 (%)

2010 (%)

2012 (%)

Share of

Share of

Share of
the requisite knowledge, capability and financing. One key
strategy is to connect SMEs to the incubation facilities in the
countrys science and technology parks. Malaysia 4.05 3.33 3.08 59.57 44.52 43.72
Thailand 1.49 1.92 1.70 33.36 24.02 20.54
Losing ground in high-tech exports
Indonesia 0.50 0.32 0.25 16.37 9.78 7.30
While discovery and patenting are crucial for Malaysias export-
India 0.18 0.57 0.62 6.26 7.18 6.63
oriented competitiveness and growth strategy, there still seems
to be little return on investment in R&D (Chandran and Wong, Korea, Rep. 4.68 6.83 6.10 35.07 29.47 26.17
2011). Although patent applications with the Malaysian patent Brazil 0.52 0.46 0.44 18.73 11.21 10.49
office have increased steadily over the years (7205 in 2013), they Japan 11.10 6.86 6.20 28.69 17.97 17.41
lag far behind those of competitors such as the Republic of Korea Singapore 6.37 7.14 6.44 62.79 49.91 45.29
(204589 in 2013), according to the World Intellectual Property
China 3.59 22.82 25.41 18.98 27.51 26.27
Organization. Moreover, domestic applications seem to be of
lower quality in Malaysia, with a cumulative grants-to-application United States 17.01 8.18 7.48 33.79 19.93 17.83
ratio of 18% between 1989 and 2014, against 53% for foreign European Union 33.82 32.31 32.00 21.40 15.37 15.47
applicants over the same period. In addition, academic or public
Source: World Banks World Development Indicators, April 2015
research organizations in Malaysia appear to have a limited
ability to translate research into intellectual property rights.
The Malaysian Institute of Micro-electronic Systems (MIMOS),2 A need to increase the rate of return on R&D
Malaysias forefront public R&D institute, which was As argued by Thiruchelvam et al. (2011), there is still little
corporatized in 1992, contributed 4550% of Malaysias patents return on investment in R&D, despite the added emphasis on
Chapter 26

filed in 2010 (Figures 26.4 and 26.5) but the low citations that pre-commercialization and commercialization in the Ninth
have emerged from those patents suggest that the Malaysia Plan (20062010). This low commercialization rate
commercialization rate is low. can largely be attributed to a lack of universityindustry
collaboration, rigidities in research organizations and
Of some concern is that Malaysias global share of high-tech problems with co-ordinating policies. Universities seem to
density has declined over the years and that the contribution confine the commercialization of their research results to
of high-tech industries to manufacturing exports has dropped specific areas, such as health and ICTs.
considerably since 2000 (Table 26.1).
In 2010, the government established the Malaysian
2. This institute was attached to the Office of the Prime Minister until its corporatization. Innovation Agency to spur the commercialization of research.

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UNESCO SCIENCE REPORT

Figure 26.4: Patent applications and granted patents in Malaysia, 19942014

7 000

6 321
6 000

5 000
Number of patents

4 000
APPLICATIONS GRANTED
3 364
Domestic
3 000
Foreign

2 381
2 000
1 608
1 439

1 000

381
223
0 21
1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

2011

2012

2013

2014
Note: The data for 2014 are for JanuaryNovember.
Source: Malaysian Patent Office, March 2014

The Malaysian Technology Development Corporation has Five years after its inception, the Malaysian Innovation
also made a concerted effort to help companies translate Agency has made a limited impact on commercialization thus
commercialization grants into viable products. On the whole, far, owing to the unclear delineation of its role in relation
however, the results have not been encouraging. Success to MoSTI and its limited resources. Nevertheless, there is
in commercialization has been limited to a handful of some evidence to suggest that the agency is beginning to
organizations, namely, the Malaysian Palm Oil Board play a catalytic role in driving commercialization and an
(Box 26.2), Rubber Research Institute of Malaysia, Universiti innovative culture, especially as regards innovation beyond
Putra Malaysia and Universiti Sains Malaysia. the hardware industry, which is where firms3 offering services,
such as airline services, are active. The agency still needs
Figure 26.5: Top patent assignees in Malaysia, 2010 to strengthen its ties with other agencies and ministries,
however, to ensure the effective implementation of
government strategies and plans. Some consolidation of the
MIMOS Berhad

various agencies and ministries involved in STI would also be

desirable, in order to facilitate effective collective action while
preserving competition within the system.
Shell International Research

Services Petroliers Schuberger

Universiti Putra Malaysia

British Telecommunications

The numerous science and technology parks in Malaysia

Universal Oil Products LLC
Universiti Sains Malaysia

benefit from government incentives designed to stimulate

Philips Electronics

commercialization. These include the Long Research

NTT Docomo Inc.

Grants Scheme, Fundamental Research Grants Scheme, the

Motorola

TechnoFund and E-science Fund (Figure 26.2). Although

the first two grant schemes focus largely on basic research,

3. A survey by the Malaysian Science and Technology Information Centre in 2012

435 81 67 57 53 41 34 33 30 29 found that the great majority of firms reporting product innovation had recourse
to in-house R&D 82% in manufacturing and 80% in services whereas most of
Source: Compiled from PCT database the remainder (17% and 15% respectively) conducted R&D jointly with other firms
(MASTIC, 2012).

682
 Malaysia

applicants are also encouraged to commercialize their In 2005, MoSTI extended the research grants it had
findings. The TechnoFund and E-science Fund, on the other been offering to domestic firms since 1992 to
hand, focus exclusively on commercialization. There is a multinationals (Rasiah et al., 2015b). As a consequence,
serious need to assess their role and success rate in promoting the number of patents filed in the USA by foreign firms
commercialization. There is also a need to strengthen specializing in integrated circuits rose from 39 over the
institutional capabilities in technoparks and to ensure that 20002005 period to 270 over 20062011. As in
these public goods effectively target the commercialization of Singapore, the focus of these research grants is on
knowledge, with a minimum rate of failure in translating these both basic and applied research (Figure 26.2).
grants into products and services worth commercializing, However, whereas, in the case of Singapore,
which is known as a minimum dissipation of rents (Rasiah et universityindustry linkages and science parks have
al., 2015a). Most multinational corporations established in largely determined the success of such schemes, these
Malaysia specialize in ICTs and are located in the Kulim High relays are still evolving in Malaysia (Subramoniam and
Tech Park (Kedah) and Penang (Table 26.2). Rasiah, forthcoming).

Box 26.2: The Malaysian palm oil industry

The oil palm industry contributes to Oil Board; these grants amounted to and organic waste. Its research into
R&D through a cess fund managed MYR2.04 billion (circa US$ 565 million) biomass has led to the development
by the Malaysian Palm Oil Board over the 20002010 period. of wood and paper products, fertilizers,
(Figure 26.6). This entity derives its bio-energy sources, polyethylene
funding mainly from the cess (or tax) The Malaysian Palm Oil Board publishes sheeting for use in vehicles and other
imposed on the industry for every tonne several journals, including the Journal products made of palm biomass.
of palm oil and palm kernel oil produced. of Oil Palm Research, and oversees the Between 2013 and 2014, the Malaysian
In addition, the Malaysian Palm Oil Tropical Peat Research Institute, which Palm Oil Board recorded a rise in
Board receives budget allocations from conducts research into the effects of the number of new technologies
the government to fund development planting palm oil on peat land and on the commercialized from 16 to 20.
projects and for research projects transformation of peat into a greenhouse
approved by the Long-term Research gas once it reaches the atmosphere. The Malaysian Palm Oil Board resulted
Grants scheme. Through the cess, the from the merger of the Palm Oil
palm oil industry thus contributes The Malaysian Palm Oil Board supports Research Institute of Malaysia and the
strongly to funding the research innovation in areas such as biodiesel Palm Oil Registration and Licensing
grants provided by the Malaysian Palm and alternate uses for palm biomass Authority in 2000 by act of parliament.

Figure 26.6: Key indicators for Malaysias oil palm industry, 20002014
60
59 New technology and services
57
Supply (million metric tons)
50 53
Exports (million metric tons)
49 50
48
44 45
40
39 40

30
30 31
Chapter 26

25 26 22.9
20
21 18.0
13.4
10 10.6

0
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Source: Malaysian Palm Oil Board (2015); United Nations Comtrade database
Source: www.mpob.gov.my

683
UNESCO SCIENCE REPORT

Table 26.2: Semiconductor firms in Penang and Kedah with R&D and/or chip design, 2014

Origin Year Structure Main activity Upgrading

Advanced Micro Devices USA 1972 Integrated device Assembly and testing Has in-house R&D to support assembly
manufacturing and testing

Altera USA 1994 Integrated device Design centre Has in-house R&D to support design
manufacturing

Avago Technology Singapore 1995 Integrated device Assembly and testing Has in-house R&D to support assembly
manufacturing and testing of analogue, mixed-signal
and opto-electronic components

Fairchild USA 1971 Integrated device Assembly and testing Started as national Semiconductor; has
manufacturing in-house R&D to support assembly and
testing

Globetronics Malaysia 1991 Fabless Die sawing, sorting, Has R&D to support production
plating and assembly
of LEDs

Infineon Germany 2005 Integrated device Wafer fabrication Engaged in 8 powerchip fabrication;
manufacturing has in-house R&D to support wafer
fabrication

Intel USA 1972 Integrated device Assembly and testing Has in-house R&D to support assembly
manufacturing and testing

Intel USA 1991 Integrated device Design centre Integrated circuit design; site was
manufacturing previously used by Intel Technology
from 1979 onwards; Has in-house
support R&D

Marvell Technology USA 2006 Fabless Design centre Has in-house support R&D

Osram Germany 1972 Integrated device Wafer fabrication Established first as Litronix in 1972;
manufacturing acquired by Siemens Litronix in 1981;
changed to Osram Opto-electronics
in 1992; upgraded from assembly and
testing to include wafer fabrication in
2005; has in-house support R&D

Renesas Semiconductor Japan 2008 Integrated device Design centre Specializes in design; has in-house
Design manufacturing support R&D

Renesas Semiconductor Japan 1972 Integrated device Assembly and testing Upgraded to include R&D support since
Malaysia manufacturing 1980 and has expanded R&D since 2005

Silterra Malaysia 1995 Foundry Wafer fabrication Founded as Wafer Technology

Malaysia but renamed Silterra in 1999;
has in-house R&D to support wafer
fabrication

Note: Fabless refers to the design and sale of hardware devices and semiconductor chips while outsourcing the fabrication of these devices to a semiconductor
foundry.
Source: Rasiah et al. (2015a)

684
 Malaysia

University reform has boosted productivity which includes funding for projects on sustainability and ethical
In 2006, the government introduced a Higher Education Strategic issues. The University of Malaya Research Grant, among others,
Plan Beyond 2020 which established five research universities over has since absorbed this criterion by including humanities and
the next three years and raised government funding for higher ethics, social and behavioural sciences and sustainability sciences
education. For more than a decade, public expenditure on higher among its priority areas for research funding.
education has accounted for about one-third of the education
budget (Thiruchelvam et al., 2011). Malaysia spends more on
TRENDS IN HUMAN RESOURCES
higher education than any of its Southeast Asian neighbours
but the level of commitment had slipped somewhat between Strong growth in researcher intensity
2003 and 2007 from 2.6% to 1.4% of GDP. The government has The number of full-time equivalent (FTE) researchers in
since restored higher education spending to earlier levels, as it Malaysia tripled between 2008 and 2012 from 16345 to
accounted for 2.2% of GDP in 2011 (see Figure 27.5). 52 052, resulting in a researcher intensity of 1 780 per million
population in 2012 (Figure 26.8). Although this intensity is
The meteoric rise in scientific publications since 2009 well above the global average, it cannot match that of the
(Figure 26.7) is a direct consequence of the governments Republic of Korea or Singapore.
decision to promote excellence at the five research universities,
namely: Universiti Malaya, Universiti Sains Malaysia, Universiti The government is eager to develop endogenous research
Kebangsaan Malaysia, Universiti Putra Malaysia and Universiti capabilities in order to reduce the countrys reliance on
Teknologi Malaysia. In 2006, the government decided to industrial research undertaken by foreign multinational
provide grants for university research. Between 2008 and 2009, companies. The Higher Education Strategic Plan Beyond
these five universities received an increase of about 71% in 2020 fixed the target of producing 100 000 PhD-holders by
government funding (UIS, 2014). 2020, as well as increasing the participation rate in tertiary
education from the current 40% to 50%. The 100 000
Along with this targeted R&D funding, key performance PhD-holders are to be trained locally, overseas and through
indicators were changed for the teaching staff, such as by split programmes with foreign universities (UIS, 2014). As part
making the publication record of staff an important criterion for of this effort, the government has allocated MYR 500 million
promotion. In parallel, the Ministry of Higher Education (MoHE) (circa US$ 160 million) to financing graduate students, a
designed and implemented a performance measurement measure which helped to double enrolment in PhD
and reporting system for universities in 2009, which were also programmes between 2007 and 2010 (Table 26.3).
entitled to conduct self-assessments and self-monitoring.
Table 26.3: University enrolment in Malaysia,
One spin-off from the increase in R&D funding by MoHE was that 2007 and 2010
the share of basic research rose from 11% of GERD in 2006 to Total Private Total Private
34% in 2012. The bulk of the budget still goes towards applied enrolment (%) enrolment (%)
(000s) 2007 2007 (000s) 2010 2010
research, which represented 50% of GERD in 2012. Between
2008 and 2011, the lions share of scientific publications focused Bachelors
389 36 495 45
degree
on engineering (30.3%), followed by biological sciences (15.6%),
Masters
chemistry (13.4%), medical sciences (12.0%) and physics (8.7%). 35 13 64 22
degree

PhD 11 9 22 18
At the same time, Malaysia still has some way to go to improve
the impact of its scientific production. At 0.8 citations per paper Source: UIS (2014)
in 2010, Malaysia trails the OECD (1.08) and G20 (1.02) averages,
as well as neighbours such as Singapore, the Republic of Korea Singapore snaps up much of the diaspora
or Thailand (see Figure 27.8). It is close to the bottom of the Despite the rise in tertiary students since 2007, brain drain
Chapter 26

league in Southeast Asia and Oceania for the citation rate and remains a worry. Singapore alone absorbs 57% of the
share of its scientific production among the 10% most cited diaspora, the remainder opting for Australia, Brunei, the UK
papers between 2008 and 2012 (Figure 27.8). and USA. There is evidence to show that the skilled diaspora
is now three times bigger than two decades ago, a factor
Although more objective performance measures have been which has reduced the human resource pool and, no
introduced into the university system to assess the outcome doubt, slowed progress in STI. In order to address this issue,
of research funding and its impact on socio-economic and the government has launched Talent Corp and a targeted
sustainable development, a similar system is still missing for Returning Expert Programme (MoSTI, 2009). Although
public research institutes. In 2013, the government launched an 2500 returnees have been approved for the incentive scheme
outcome-based approach to assessing public investment in R&D since 2011, the programme is yet to make a big impact.

685
Figure 26.7: Scientific publication
trends in Malaysia, 20052014 Kuala Lumpur

Malaysian publications have grown

rapidly since 2005, overtaking those of
similarly populated Romania
9 998
10 000 8 925
Malaysia
7 607 7 738
8 000
6 628 6 651
Romania 6 100 7 550
6 000 5 165 6 485 6 657
3 983 4 266 5 777
4 000 2 934
2 543 2 852

2 000
2 225
1 813
1 559
0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

0.83
Average citation rate for Malaysian
8.4%
Share of Malaysian papers among
46.4%
Share of Malaysian papers with
publications, 20082012; 10% most-cited, 20082012; foreign co-authors 20082014;
the OECD average is 1.08; the OECD average is 11.1%; the OECD average is 29.4%;
the G20 average is 1.02 the G20 average is 10.2% the G20 average is 24.6%

Nearly half of Malaysian publications are in engineering or chemistry

Cumulative totals for 20082014 9 430

6 817

5 135

4 240

2 872
2 413
1 862
1 338
812
39 111 89 206
ics
es

gy
es
g

ics
re

ry

es

es

es
m

nc

rin
tu

ist
nc

nc

nc
nc

nc
lo
ys
at
no

cie

ee
ul

em

o
cie

m
cie

ie
cie

cie
Ph

ch
tro
ric

sc
rs

he
ls

os

ls

ls
Ch

gi

y
Ag

As

te

ife
at

Ps
ica

ica

cia
En

Ge
pu

rl
og

ed

So
he
m

M
ol

Co

Ot
Bi

Note: The total by field excludes unclassified publications (11 799) between 2008 and 2014.

Malaysias key scientific partner countries span four continents

Main foreign partners, 20082014 (number of papers)

1st collaborator 2nd collaborator 3rd collaborator 4th collaborator 5th collaborator
Malaysia UK (3 076) India (2 611) Australia (2 425) Iran (2 402) USA (2 308)
Source: Thomson Reuters Web of Science, Science Citation Index Expanded; data treatment by ScienceMetrix

686
 Malaysia

half the government target of 75000 pupils by 2020. To close

Figure 26.8: Researchers (FTE) per million population in
the gap, the government has embarked on an international
Malaysia, 20082012
Other countries are given for comparison promotional campaign.

8 000
In 2005, Malaysia adopted the target4 of becoming the sixth-
Rep. of Korea Malaysia
largest global destination for international university students
Singapore China
by 2020. Between 2007 and 2012, the number of international
7 000
students almost doubled to more than 56 000, the target
6 440 being to attract 200 000 by 2020. Among member states of the
6 000 6 438 Association of Southeast Asian Nations (ASEAN), Indonesian
students were most numerous, followed by Thais. By 2012,
5 742
Malaysia was one of the top ten destinations for Arab students;
5 000 the upheaval caused by the Arab Spring has incited a growing
4 933 number of Egyptians and Libyans to try their luck in Malaysia
but there has also been a sharp rise in the number of Iraqis
4 000 and Saudis. Particularly strong growth has also been observed
among Nigerian and Iranian students (Figure 26.9).

3 000 Concerns about the declining quality of education

The ratio between university students enrolled in fields related
to science, technology, engineering and mathematics (STEM)
2 000 1 780 and those enrolled in non-STEM disciplines has grown since 2000
from 25:75 to 42:58 (2013) and may soon reach the governments
1 186
target of 60:40. There is evidence, however, that the quality of
1 000
1 020 education has declined in recent years, including the quality of
599
teaching. The results of the Programme for International Student
Assessment (PISA) in 2012 show that Malaysian 15 year-olds
0
perform below average in mathematics and scientific literacy.
2008 2009 2010 2011 2012
Indeed, Malaysias score has declined significantly in some fields,
with only one out of 100 Malaysian 15 year-olds being able to
Source: UNESCO Institute for Statistics, May 2015
solve complex problems, in comparison to one out of five in
Singapore, the Republic of Korea and Japan. In 2012, Malaysians
Strong growth in private and foreign students also scored lower in knowledge acquisition (29.1) and utilization
Meanwhile, private universities are increasingly absorbing of knowledge (29.3) than teenagers in Singapore (62.0 and 55.4
more undergraduate students than their public counterparts. respectively) or the average for all PISA participants (45.5 and 46.4
Between 2007 and 2010, the share of students enrolled in a respectively).
bachelors programme at a private university rose from 37%
to 45%. This is a consequence of the five leading research A number of the education reforms implemented since 1996
universities growing focus on graduate education since 2009, have faced resistance from teachers. The most recent national
accompanied by more competitive intake requirements, as education blueprint (20132025), adopted in 2012, aims to
well as the preference of some students for private universities provide equal access to quality education, develop proficiency in
where the use of English as a medium of communication is the English and Malay languages and to transform teaching into
more common. Of note is that a much larger proportion of a profession of choice. In particular, it seeks to leverage ICTs to
academic staff hold a masters or doctoral degree at public scale up quality learning across Malaysia and improve the delivery
Chapter 26

institutions (84%) than at private ones (52%) [UIS, 2014]. capabilities of the Ministry of Education through partnerships
with the private sector, in addition to raising transparency and
The government is increasing the number of international accountability. A central goal will be to promote a learning
schools at primary and secondary levels to accommodate environment that promotes creativity, risk-taking and problem-
the needs of returnees and earn foreign exchange from solving by both teachers and their pupils (OECD, 2013). As it
non-Malaysian pupils. The target outlined in the Economic takes time for education reforms to deliver results, consistent
Transformation Programme (2010) is for there to be monitoring of these reforms will be the key to their success.
87 international schools by 2020. Although there were
81 such schools by 2012, most of these establishments have 4. See: http://monitor.icef.com/2012/05/malaysia-aims-to-be-sixth-largest-
small rolls: there were a total of 33688 pupils in 2012, less than education-exporter-by-2020

687
UNESCO SCIENCE REPORT

Figure 26.9: Number of degree-seeking international students in Malaysia, 2007 and 2012
By country of origin

107
729
1 023 529 897 59
424 397 32 392
393 Rest of the world
621 Iran
Indonesia
632
China
Nigeria
Yemen
4 426 Pakistan
Bangladesh
1 268 Iraq
Other ASEAN
738 Maldives
Libya
1 179 Saudi Arabia
Somalia
2007 2 442 Sri Lanka
1 011 Total 30 581 Thailand
Singapore
1 271 Jordan
Botswana
497 Kazakhstan
India
Republic of Korea
5 704 Egypt

5 810

548
674 513
796 645 460
697
946
1 088
1 116

1 130
9 876
1 163

1 199
1 448

1 782 2012
8 170
Total 56 203
2 033

2 132

3 090
6 222

4 442
6 033

Source: UNESCO Institute for Statistics, June 2015

688
 Malaysia

TRENDS IN INTERNATIONAL CONCLUSION

CO-OPERATION To become an Asian Tiger, Malaysia will need
A Malaysian centre for SouthSouth co-operation endogenous research
When ASEAN Vision 2020 was adopted in 1997, its stated Malaysias chances of emulating the success of the Asian
goal was for the region to be technologically competitive by Tigers and reaching its goal of becoming a high-income
2020. Although the focus of ASEAN has always been on the country by 2020 will depend upon how well it succeeds
creation of a single market along the lines of the European in stimulating the commercialization of technology and
model, leaders have long acknowledged that successful innovation. Foreign multinational firms are generally engaged
economic integration will hinge on how well member states in more sophisticated R&D than national firms. However, even
manage to assimilate science and technology. The ASEAN the R&D conducted by foreign firms tends to be confined
Committee on Science and Technology was established to product proliferation and problem-solving, rather than
in 1978, just eleven years after ASEAN was founded by5 pushing back the international technology frontier.
Indonesia, Malaysia, the Philippines, Singapore and Thailand.
Since 1978, a series of action plans have been developed R&D is conducted predominantly in large-scale enterprises in
to foster co-operation among member states, in order to the electronics, automotive and chemical industries, where
create a more even playing field in STI. These action plans it mainly involves process and product improvements. SMEs
cover nine programme areas: food science and technology; make little contribution to R&D, even though they make up
biotechnology; meteorology and geophysics; marine 97% of all private firms.
science and technology; non-conventional energy research;
micro-electronics and information technology; materials Even the foreign multinationals which dominate private
science and technology; space technology and applications; sector R&D are heavily dependent on their parent and
and S&T infrastructure and the development of resources. subsidiary firms based outside Malaysia for personnel,
Once the ASEAN Economic Community comes into effect in owing to the lack of qualified human capital and research
late 2015, the planned removal of restrictions to the cross- universities within Malaysia to call upon.
border movement of people and services should spur
co-operation in science and technology and enhance the The weak collaboration between the principal actors
role of the ASEAN University Network (see Chapter 27). of innovation, namely universities, firms and research
institutions, is another shortcoming of the national innovation
In 2008, the Malaysian government established the system. It will be critical to nurture the research capabilities
International Centre for SouthSouth Cooperation in Science, of universities and their ties with domestic firms, in order
Technology and Innovation, under the auspices of UNESCO. to foster innovation and improve the commercialization
The centre focuses on institution-building in countries of rate of intellectual property. Although applied research has
the South. Most recently, it ran a training course on the expanded at Malaysian universities in recent years following
maintenance of infrastructure from 10 March to 2 April 2015, a government drive to promote research excellence, this
in collaboration with the Malaysian Highway Authority, trend has yet to translate into sufficient numbers of patent
Construction Industry Development Board, the Institution applications. Similarly, the low absorptive capacity of
of Engineers Malaysia and the Master Builders Association domestic firms has made technological upgrading difficult.
Malaysia. Intermediary organizations will play an important role in
bridging this gap by facilitating effective knowledge transfer.
As far as bilateral co-operation is concerned, the Malaysian
IndustryGovernment Group for High Technology (MIGHT) The following measures would help to remedy some of these
and the British government established the Newton-Ungku problems:
Omar Fund in 2015, which is being endowed with 4 million
n The role of public research organizations would be
Chapter 26

annually for the next five years by each government. In

strengthened by training a greater number of researchers and
2014, MIGHT also signed an agreement with Asian Energy
technicians and ensuring that the Long-term Research Grant
Investment Pte Ltd, based in Japan, to create a fund
Scheme and E-science Fund effectively target the production
management company called Putra Eco Ventures which
of industry-related innovation. There is also a need to correct
would invest in efficient and renewable energy assets and
market failures that have stifled the expansion of vocational
businesses. Potential targets for funding are smart-grid and
and technical education in the country.
energy-saving technologies, as well as smart buildings.
n Collaboration between public research institutes,

5. Brunei Darussalam joined in 1984, Viet Nam in 1995, Lao PDR and Myanmar in
universities and industry should be strengthened through
1997 and Cambodia in 1999. long-term plans, including in-depth technology foresight

689
UNESCO SCIENCE REPORT

exercises targeting specific sectors. In this context, there

KEY TARGETS FOR MALAYSIA
should be an attempt to integrate basic research with
commercialization.
n Attain high-income economy status by 2020;
n Public research institutes and universities should be
n Raise the GERD/GDP ratio to 2% by 2020;
encouraged to act as facilitators in improving the local
industrial R&D landscape, by providing domestic firms n Raise the participation rate in higher education from
with critical knowledge and know-how through consulting 40% to 50% by 2020;
services and other means. The success of the Malaysian
n Produce 100 000 PhD-holders by 2020;
Palm Oil Board in transferring know-how and knowledge
can serve as a model in this respect. n Raise the share of science, technology and mathematics
students at university level to 60% of the total by 2020;
In addition, in order to overcome shortages in human capital,
n Develop 87 international primary and secondary
the government should:
schools by 2020 with a roll of 75 000 pupils;
n encourage Malaysians to pursue tertiary education at the
n Increase the number of international students to
worlds leading research-based universities, especially those
200 000 by 2020 to make Malaysia the worlds sixth-
abroad that have a reputation for undertaking frontier R&D,
largest destination;
such as in semiconductors at Stanford University (USA) or in
molecular biology at the University of Cambridge (UK); one n Reduce carbon emissions by 40% by 2020 over 2012
way of doing this is to offer bonded scholarships to students levels;
who gain admission to prestigious universities renowned for
n Preserve at least 50% of land as primary forest, as
exposing students to frontier R&D;
compared to 58% in 2010.
n assist national universities in upgrading the qualifications
of their academic personnel, so that tenure is given only
on the basis of proven participation in world-class research
and publications. There is a need for better linkages
between universities and industrial firms, in order to make
academic research more relevant to the needs of industry;

n promote stronger scientific links between Malaysian

universities and proven international experts in key
research areas and facilitate two-way brain circulation;

n turn science and technology parks into a major launch pad

for new innovative start-ups by encouraging universities to
set up technology transfer offices and encouraging parks
to become the nodes linking universities with industry;
this will require evaluating candidate universities and firms
seeking incubation facilities prior to granting them space
in science and technology parks, as well as regular reviews
to assess the progress made by start-up companies.

690
 Malaysia

REFERENCES Thiruchelvam, K.; Ng, B.K. and C. Y. Wong (2011)An

overview of Malaysias national innovation system:
Chandran, V.G.R. (2010) R&D commercialization challenges policies, institutions and performance. In: W. Ellis
for developing countries Special Issue of AsiaPacific Tech (ed.)National Innovation System in Selected Asian Countries.
Monitor, 27(6): 2530. Chulalongkorn University Press: Bangkok.

Chandran, V.G.R. and C.Y. Wong (2011) Patenting activities by UIS (2014) Higher Education in Asia: Expanding up, Expanding
developing countries: the case of Malaysia. World Patent out. UNESCO Institute for Statistics: Montreal.
Information, 33 (1):5157.
WEF (2012) Global Competitiveness Report. World Economic
MASTIC (2012) National Survey of Innovation 2023. Malaysian Forum: Geneva.
Science and Technology Information Centre: Putrajaya.
WTO (2014) International Trade Statistics. World Trade
Morales, A. (2010) Malaysia Has Little Room for Palm Oil Organization: Geneva.
Expansion, Minister Says. Bloomberg News Online,
18 November.
Rajah Rasiah (b.1957: Malaysia) has been Professor
MoSTI (2013) Malaysia: Science Technology and Innovation of Economics and Technology Management at
Indicators Report. Ministry of Science, Technology and the University of Malayas Faculty of Economics
Innovation: Putrajaya. and Administration since 2005. He holds a PhD in
Economics from Cambridge University (UK). Dr Rasiah
MoSTI (2009) Brain Gain Review. Ministry of Science, is a member of the Global Network for the Economics
Technology and Innovation: Putrajaya. of Learning, Innovation and Competence Building
Systems (Globelics). In 2014, he was the recipient of the
NSRC (2013) PRE Performance Evaluation: Unlocking Vast Celso Furtado prize awarded by the World Academy of
Potentials, Fast-Tracking the Future. National Science and Sciences (TWAS). The same year, he was Rajawali fellow at
Research Council: Putrajaya. Harvard University (USA).

OECD (2013) Malaysia: innovation profile. In: Innovation in V.G.R. Chandran (b.1971: Malaysia) is Deputy Dean of
Southeast Asia. Organisation for Economic Co-operation Higher Degrees and Associate Professor at the University
and Development: Paris. of Malayas Faculty of Economics and Administration.
Dr Chandran has also served as a Principal Analyst
Rasiah, R. (2014) How much of Raymond Vernons product of Economic and Policy Studies with the Malaysian
cycle thesis is still relevant today? Evidence from the IndustryGovernment Group for High Technology
integrated circuits industry. Paper submitted to fulfil the (MIGHT) attached to the Office of the Prime Minister.
Rajawali Fellowship at Harvard University (USA). He holds a PhD in Economics from the University of
Malaya and has worked as a consultant and research
Rasiah, R. (2010) Are Electronics Firms in Malaysia Catching Up associate for several international institutions.
in the Technology Ladder? Journal of Asia Pacific Economy,
15(3): 301319.

Rasiah, R.; Yap, X.Y. and K. Salih (2015a) Provincializing

Economic Development: Technological Upgrading in the
Integrated Circuits Industry in Malaysia.
Chapter 26

Rasiah R.; Yap, X.S. and S. Yap (2015b) Sticky spots on slippery
slopes: the development of the integrated circuits
industry in emerging East Asia. Institutions and Economies,
7(1): 5279.

Subramoniam, H. and R. Rasiah (forthcoming) University

industry collaboration and technological innovation:
sequential mediation of knowledge transfer and barriers
in Malaysia. Asian Journal of Technology Innovation.

691
UNESCO SCIENCE REPORT
A major challenge for the region will be to
draw on its scientific knowledge base to
maintain and expand the range of high-tech
exports in increasingly competitive global
markets.
Tim Turpin, Jing A. Zhang, Bessie M. Burgos and Wasantha Amaradasa

A worker harvests fresh produce from a three-storey greenhouse

at the Sky Greens vertical farm in Singapore in 2014. As part of a
government drive to increase self-reliance in the production of leafy
vegetables, Sky Greens has received some research support.
Photo: Edgar Su/Reuters

692
 Southeast Asia and Oceania
27 . Southeast Asia and Oceania
Australia, Cambodia, Cook Islands, Fiji, Indonesia, Kiribati, Lao Peoples Democratic Republic, Federated States
of Micronesia, Malaysia, Myanmar, Nauru, New Zealand, Niue, Palau, Papua New Guinea, Philippines, Samoa,
Singapore, Solomon Islands, Thailand, Timor-Leste, Tonga, Tuvalu, Vanuatu, Viet Nam

Tim Turpin, Jing A. Zhang, Bessie M. Burgos and Wasantha Amaradasa

INTRODUCTION As a consequence, pressures on budgets for science and

technology (S&T) have not been as severe as predicted back
The region has largely withstood the global crisis in 2010. Timor-Leste even recorded insolent growth rates up
The countries covered by the present chapter1 together until 2012, buoyed by foreign direct investment (FDI) that
account for over 9% of the worlds population. Taken as a peaked at 6% of GDP in 2009 before falling back to just over
group, they produced 6.5% of the worlds scientific publications 1.6% in 2012.
(2013) but only 1.4% of global patents (2012). GDP per capita at
current prices ranges from just under PPP$2000 in Kiribati to According to the World Banks Knowledge Economy Index,
PPP$78763 in Singapore (Figure 27.1). Australia and Singapore there has been a general slip in overall rankings in Southeast
together produce four-fifths of the regions patents and Asia since 2009. New Zealand and Viet Nam are the only
publications. ones to have improved their position. Some, such as Fiji, the
Philippines and Cambodia, even slipped considerably over
Economically, the region fared comparatively well through this period. Singapore continues to lead the region for the
the global financial crisis of 20082009. Although growth innovation component of the same index and Australia and
rates dipped in 2008 or 2009, a number of countries avoided New Zealand that for education. The Global Innovation Index
recession altogether, including Australia (Figure 27.2). tends to rank countries in a similar order.

1. Malaysia is covered in greater detail in Chapter 26.

Figure 27.1: GDP per capita in Southeast Asia and Oceania, 2013
In thousands of current PPP$

Singapore 78.8

Australia 43.2

New Zealand 34.7

Malaysia 23.3

Palau 15.1

Thailand 14.4

Indonesia 9.6

Fiji 7.8

Philippines 6.5
Samoa 5.8
Tonga 5.3
Viet Nam 5.3
Lao People's Dem. Rep. 4.8
Marshall Islands 3.9
Tuvalu 3.6
Micronesia (Fed. States of) 3.4
Cambodia 3.0
Vanuatu 3.0
Papua New Guinea 2.6
Timor-Leste-1 2.1
Solomon Islands 2.1
Chapter 27

Kiribati 1.9

0 10 20 30 40 50 60 70 80
-n = data are for n years before reference year
Source: World Banks World Development Indicators, April 2015

693
UNESCO SCIENCE REPORT

Figure 27.2: Trends in GDP growth in Southeast Asia and Oceania, 20052013
80
71.8

71.0

68.8

70
Cumulative growth, 20052013
60.5

60
56.0

54.3

52.9
Growth in 20082009

48.4
50

47.2

43.5
40

35.3

32.2
30
27.2

25.9

18.6
20

17.0

15.5
15.3

14.6

12.9
12.8

12.3
11.1

10.6

9.8
10

8.3
6.3

5.3

5.4

4.1
3.6
3.3
2.4

2.1
1.2

0.3
0.2
0

-0.4

-0.6

-1.2
-1.6
-3.7
-3.8
-10

-16.3
-20

Micronesia
Indonesia
Lao PDR

Timor-Leste

Cambodia

Papua New Guinea

Viet Nam

Singapore

Solomon Islands

Vanuatu

Marshall Islands

New Zealand

Kiribati

Fiji

Tonga

Palau
Tuvalu
Malaysia

Australia

Samoa
Philippines

Thailand

Note: For Timor-Leste, the most recent data are for 2012, not 2013.
Source: World Banks World Development Indicators, April 2015

Strong growth in internet access since 2010 has levelled out Myanmar has been undergoing a period of democratic
the disparity between countries to some extent, although reform since 2011, which has prompted the easing of
connectivity remained extremely low in the Solomon Islands international sanctions. The return of US and European
(8%), Cambodia (6%), Papua New Guinea (6.5%), Myanmar Union (EU) trade privileges has already generated significant
(1.2%) and Timor-Leste (1.1% ) in 2013 (Figure 27.3). investment growth across many sectors. A foreign
Advances in mobile phone technology have clearly been a investment law passed in 2012, followed in January 2014
factor in the provision of internet access to remote areas. by a Special Economic Zone Law, provides incentives for
The flow of knowledge and information through internet export-oriented industries. Myanmars geostrategic location
is likely to play an important role in the more effective between India and China, coupled with the creation of the
dissemination and application of knowledge across the Association of Southeast Asian Nations (ASEAN) Economic
vast Pacific Island nations and least developed countries of Community in 2015, has led the Asian Development Bank to
Southeast Asia. predict an 8% growth rate per year for Myanmar through the
next decade.
Political change at national and regional levels
Thailand has been experiencing political instability for Australias incoming government in September 2013
the past five years, culminating in a military coup in 2014 coincided with a steep decline in the value of its natural
and erratic economic growth. Indonesia, by contrast, has resources, as demand for minerals eased in China and
enjoyed a period of comparative stability with economic elsewhere. As a consequence, the new government sought
growth of about 4% on average since 2010; the government to reduce public spending, in order to balance its 20142015
elected in 2014 has introduced a number of fiscal and budget. Science and technology were among the many
structural reforms designed to encourage investment (World casualties of this cost-cutting exercise. On 17 June 2015,
Bank, 2014). These reforms should help accelerate business Australia signed a free trade agreement with China which
R&D, which was already showing solid growth in 2010. removes almost all import duties. It is the highest degree

694
 Southeast Asia and Oceania

Figure 27.3: Internet and mobile phone access in Southeast Asia and Oceania, 2013 (%)
100
Internet users
83.0 82.8 per 100 inhabitants
80 73.0
67.0
60
43.9
40 37.0 37.1 35.0 37.0
29.0 27.8

20 15.9 15.3
12.5 11.5 11.3
6.0 6.5 8.0
1.2 1.1
0

Papua New Guinea

Solomon Islands
New Zealand
Timor-Leste
Philippines

Micronesia
Cambodia

Singapore
Indonesia

Myanmar

Viet Nam

Australia
Thailand
Malaysia

Vanuatu
Lao PDR

Kiribati

Samoa

Tuvalu
Tonga
Fiji
200
Mobile phone subscriptions
155.9 per 100 inhabitants
150 144.7
133.9 140.0
130.9
125.4

104.5 106.9 105.8 105.6

100

68.1
57.4 57.6 54.6 50.3
50 40.0
30.3 34.4

12.8 16.6

0
Source: International Telecommunications Union

of liberalization of all the free trade agreements China TRENDS IN STI GOVERNANCE
has so far signed with any economy, commented Chinas
commerce minister Gao Hucheng at the signing High-tech exports have defied predictions
(Hurst, 2015). In spite of pessimistic predictions, high-tech exports across
the region have performed well since 2008. Overall, high-
A common market by the end of the year tech exports from all countries in the region increased by
The ASEAN countries intend to transform their region 28%. However, the situation has not been uniform. Between
into a common market and production base with the 2008 and 2013, almost all countries increased the value of
creation of the ASEAN Economic Community by the end their exports. For Malaysia and Viet Nam, the increase was
of 2015. The planned removal of restrictions to the cross- significant: high-tech exports from Viet Nam increased almost
border movement of people and services is expected to tenfold. The Philippines, by contrast, recorded a reduction of
spur co-operation in science and technology. Moreover, nearly 27% over the same period.
the increased mobility of skilled personnel within the
region should be a boon for the development of skills, job Four countries dominate the export of high-tech products
placement and research capabilities within ASEAN member from the region. Singapore accounts for nearly 46% and
states and enhance the role of the ASEAN University Malaysia just under 21% (Figure 27.4). Malaysia, Singapore,
Network (Sugiyarto and Agunias, 2014). As part of the Thailand and Viet Nam together account for 90% of high-tech
negotiating process, each member state may express exports from the region. Two product categories dominate
its preference for a specific research focus. The Laotian these exports: computers/office machines (19.3%) and, above
Chapter 27

government, for instance, hopes to prioritize agriculture all, electronic communications: (67.1%). It is likely that these
and renewable energy. More contentious are proposals export products included a considerable proportion of
to develop hydropower on the Mekong River, given the re-exported components, so these data should be interpreted
drawbacks of this energy option (Pearse-Smith, 2012). accordingly. Although Singapore and Malaysia record a

695
UNESCO
Figure 27.4:SCIENCE REPORT
Trends in high-tech
MYANMAR
LAOS

exports from Southeast

VIET NAM
THAILAND

Asia and Oceania,

CAMBODIA
P H I L I P P I N E S MARSHALL ISLANDS

2008 and 2013 PALAU

MA L AYS I A

SINGAPORE FEDERATED STATES OF MICRONESIA

NAURU

PAPUA
NEW
I N D O N E S I A GUINEA SOLOMON ISLANDS
TUVALU
KIRIBATI

TIMOR-LESTE
Singapore exports almost half of the
regions high tech goods VANUATU
FIJI
SAMOA

National shares of high-tech exports from the region,

2013 (%) TONGA

Australia 1.7 NEW CALEDONIA

New Zealand 0.2 A U S T R A L I A
Viet Nam 10.6 Indonesia 2.1

Malaysia 20.8

Thailand 10.6

NEW ZEALAND

2013
Philippines 6.4

Singapore 45.9

Note: The regional shares of Cambodia, Fiji, Kiribati, Myanmar, Palau, Papua New Guinea,
45.9%
Singapores share of the regions
Samoa, the Solomon Isalnds, Timor-Leste, Tonga and Vanuatu are close to zero. high-tech exports in 2013

20.8%
Share of electronic communications in the regions
high-tech exports (%)
Total exports from the region by type, 2013
Malaysias share of the regions
Electronic high-tech exports in 2013
communications 67.1
Electrical machinery 3.0

Computers/office
machines 19.3
2013 10.6%
Respective shares of Thailand and
Viet Nam in the regions high-tech
exports in 2013

1.7%
Chemical products 1.3
Armaments 0.1
Aerospace 1.4 Non-electrical machinery 0.8
Scientific instruments 5.8 Pharmaceuticals 1.2
Australias share of the regions
high-tech exports in 2013

696
 Electronic communications dominate high-tech exports Southeast Asia and Oceania
National high-tech exports by type, 2013 (%)

Australia 6.8 2.4 6.7 19.9 3.3 23.4 2.1 14.8 20.5

0.1 0.1
Cambodia 0.8 90.4 7.6
0.6 0.2

1.6
Fiji 5.0 4.8 84.3 3.4
0.8

Indonesia 0.6 12.2 23.7 8.7 44.4 1.7 3.2 5.4

Kiribati 1.4 12.9 78.5 7.1

KIRIBATI
0.2 0.3
Malaysia 1.0 18.8 2.5 69.8 7.3
0.2

1.8
New Zealand 16.5 5.2 11.1 30.4 3.5 19.5 11.6
0.5

1.5 0.2 0.2

Philippines 21.2 3.7 69.4
0.2 3.6

0.1
Samoa 0.4 6.9 8.8 83.6
0.1

2.3 1.0
Singapore 12.2 3.0 73.0 6.3
0.4 1.7

0.9 3.9
Solomon Islands 92.0
2.9 0.3

0.6 1.3
Thailand 46.8 4.9 38.9 4.2
3.0 0.3

1.0
Timor-Leste 6.8 41.0 45.3 0.7 4.9
0.2

0.1
Viet Nam 1.4 17.8 0.1 79.6
0.9

Aerospace Armaments Chemical products Computer/office machines Electrical machinery

Electronic communications Non-electrical machinery Pharmaceuticals Scientific instruments

Growth in high-tech exports has been fastest in Cambodia and Viet Nam, exports have receded in
the Philippines and Fiji
US$ millions

High-tech exports (US$ millions)

2008 2013 Change (US$ millions) Change (%)
Australia 4 340.3 5 193.2 852.9 19.7
Cambodia 3.8 76.5 72.7 1 913.6
Fiji 5.0 2.7 -2.3 -45.7
Indonesia 5 851.7 6 390.3 538.6 9.2
Malaysia 43 156.7 63 778.6 20 622.0 47.8
New Zealand 624.3 759.2 134.9 21.6
Philippines 26 910.2 19 711.4 -7 198.8 -26.8
Samoa 0.3 0.2 -0.1 -40.6
Singapore 123 070.8 140 790.8 17 719.9 14.4
Thailand 33 257.9 37 286.4 4 028.5 12.1
Chapter 27

Viet Nam 2 960.6 32 489.1 29 528.5 997.4

Total 240 181.9 306 482.5 66 300.7 27.6
Source: United Nations Comtrade database

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UNESCO SCIENCE REPORT

comparatively high proportion of business sector R&D, it is Mekong Subregion between 2011 and 2014: Cambodia, Lao
likely that much of the research associated with computers/ Peoples Democratic Republic (PDR) and Viet Nam.
office machines and electronic communications could be
undertaken globally, rather than locally. Both countries host Many of the less economically developed countries are
numerous large multinational companies. Australia also has a struggling to steer their own scientific efforts toward
high proportion of business sector funding but, in Australias sustainable development, at a time when the United
case, this is largely a product of R&D undertaken in, and on Nations Sustainable Development Goals are about to take
behalf of, the mining and minerals sector. over from the Millennium Development Goals in late 2015.
They could begin by encouraging their scientists to focus
Although scientific output has increased in global terms, there more on attaining local goals for sustainable development,
has been no overall rise in the level of patenting across the rather than on publishing in high-profile international
region. The region has even receded for this metric: Southeast journals on topics that may be of lesser local relevance. The
Asia and Oceania produced 1.4% of the worlds patents in difficulty with this course of action is that the key metrics for
2012, compared to 1.6% in 2010, largely owing to the drop in recognizing scientific quality are publications and citation
patents registered from Australia. Four countries accounted data. The answer to this dilemma most likely lies in the need
for 95% of the patents obtained by the region: Australia, to recognize the global nature of many local development
Singapore, Malaysia and New Zealand. The significant rise problems. As pointed out by Perkins (2012):
in high-tech exports across some countries in the region is
at odds with the comparatively small global proportion of We are dealing with problems without boundaries and we
patenting activity. A major challenge for the region will be to underestimate the scale and nature of their consequences at
draw on its scientific knowledge base to maintain and expand our collective peril. As global citizens, the research and policy
the range of high-tech exports in increasingly competitive communities have an obligation to collaborate and deliver,
global markets. so arguing for national priorities seems irrelevant.

Squaring science policy with sustainable development

still a challenge TRENDS IN R&D
A tension between the competing objectives of scientific
excellence and scientific practice characterizes much of the Developing research personnel high on the agenda
region. In most countries, there is a clear desire to link S&T Across the region, human resources for S&T are primarily
policies to innovation and development strategies. In the concentrated in Australia, Malaysia, Singapore and Thailand.
industrialized economies of Australia, New Zealand and The strongest concentration of researchers is to be found
Singapore, investment in science is viewed, in policy terms, in Singapore, which, with 6438 full-time equivalent (FTE)
as a component of national innovation strategies. Making researchers per million inhabitants in 2012, is well ahead of
science subservient to economic objectives at the policy level all G7 countries (Table 27.1). Technicians across the region are
nevertheless carries a danger of underserving the many ways most concentrated in Australia and New Zealand, reflecting
in which science can underpin socio-economic and cultural a pattern found in other mature economies, but Singapore
development, such as in health, education or in addressing has a much lower concentration. One of the driving forces for
global sustainability challenges. the freer flow of skills across ASEAN member States has been
the demand from Malaysia and Singapore for ready access to
Among developing economies, science policy is generally technical personnel from elsewhere in the region. Malaysia
linked to development strategies yet, in this context too, and Thailand are both suppliers and recruiters of skilled
there is a tension between assessments of scientific capacity personnel, as are the Philippines in some specialist fields. The
through measures such as citation and development freer flow of skilled personnel across ASEAN after 2015 should
priorities. Among the poorer countries such as Cambodia, benefit both supplier and recruiter nations.
Lao PDR and Timor-Leste, or transition economies such as
Myanmar, the development imperative is evident in recent In terms of research training, Malaysia and Singapore stand
policy documents which focus on harnessing human capital out for their significant investment in tertiary education.
to serve basic development needs. International projects Over the past decade, the share of their education budget
can be a way of reconciling limited national means with devoted to tertiary education has risen from 20% to over
sustainable development goals. For instance, the Asian 35% in Singapore and 37% in Malaysia (Figure 27.5). These
Development Bank funded a project to develop the use of two countries also happen to have the greatest share of PhD
biomass in three of the six countries located2 in the Greater candidates among university students. In most countries, new
institutions have sprung up to accommodate the growing
2. the other three being China, Myanmar and Thailand demand for higher education.

698
 Southeast Asia and Oceania

Table 27.1: Research personnel in Southeast Asia and Oceania, 2012 or closest year

Researchers per million Technicians per million

Population (000s) Total researchers (FTE) inhabitants (FTE) inhabitants (FTE)

Australia (2008) 21 645 92 649 4 280 1 120

Indonesia (2009) 237 487 21 349 90

Malaysia (2012) 29 240 52 052 1 780 162

New Zealand (2011) 4 414 16 300 3 693 1 020

Philippines (2007) 88 876 6 957 78 11

Singapore (2012) 5 303 34 141 6 438 462

Thailand (2011) 66 576 36 360 546 170

Source: UNESCO Institute for Statistics, June 2015

There is also a growing pattern of subregional university or are even non-existent for the smallest Pacific Island
collaboration. The ASEAN University Network established in states they still illustrate the blend of scientific capacity
the late 1990s now consists of 30 universities across the ten across Southeast Asia and Oceania. Singapore has ceded
ASEAN countries. It has served as a model for more recent its regional lead for R&D intensity, which shrank from
spin-offs, such as the Pacific Island Network constituted in 2.3% to 2.0% of GDP between 2007 and 2012, having
2011, which consists of ten Pacific universities operating been overtaken by Australia, which has maintained a
across five countries. In parallel, many Australian and steady investment level of 2.3% of GDP in R&D (Table
New Zealand universities have established campuses at 27.2). Australias dominant position may be short-lived,
universities across the region. however, as Singapore plans to increase its GERD/GDP
ratio to 3.5% by 2015.
Four countries have a high proportion of tertiary students
enrolled in science degrees: Myanmar (23%), New Zealand A comparatively high share of R&D is performed by the
and Singapore (each with 14%) and Malaysia (13%). Myanmar business sector in four countries: Singapore, Australia,
also has the highest proportion of women enrolled in tertiary the Philippines and Malaysia (see Chapter 26). In the
education, in general. It will be interesting to see if Myanmar case of the latter two, this is most likely a product of the
manages to maintain this high proportion of women among strong presence of multinational companies in these
students as it pursues its transition. countries. Since 2008, many countries have boosted their
R&D effort, including in the business enterprise sector.
Women constitute half of researchers in Malaysia, the However, in some cases, business expenditure on R&D is
Philippines and Thailand but remain an unknown quantity in highly concentrated in the natural resource sector, such
Australia and New Zealand, for which there are no recent data as mining and minerals in Australia. The challenge for
(Figure 27.6). More than half of researchers are employed by many countries will be to deepen and diversify business
the higher education sector in most countries (Figure 27.7). sector involvement across a wider range of industrial
Academics even make up eight out of ten researchers in sectors.
Malaysia, suggesting that the multinational companies on its
soil either do not count a majority of Malaysians on their An emerging AsiaPacific knowledge hub
research staff or do not conduct in-house R&D. The notable The number of scientific publications catalogued in the
exception is Singapore, where half of researchers are Web of Science by the countries under study showed
employed by industry, compared to between 30% and 39% healthy growth between 2005 and 2014, some Asian
elsewhere in the region. In Indonesia and Viet Nam, the countries even recording annual growth of 30% or more
government is a major employer of researchers. (Figure 27.8). Fiji and Papua New Guinea were the main
Chapter 27

contributors to publications from the Pacific Island states.

Better R&D data as vital as greater investment Whereas Australia and New Zealand publish more in life
Although data on gross domestic expenditure on R&D (GERD) sciences, the Pacific Islands tend to focus on geosciences.
are rather sketchy and date back several years in many cases Southeast Asian countries specialize in both.

699
UNESCO
Figure Trends inREPORT
27.5:SCIENCE higher education in Southeast Asia and Oceania,
2013 or closest year

2.20%
Five countries devote more than 1% of GDP to higher education
As a share of GDP, 2013 (%)

Share of GDP devoted to higher

Timor-Leste (2011) 1.86 9.42
education by Malaysia in 2011
Thailand (2012) 0.71 7.57

0.15%
New Zealand (2012) 0.71 7.35

Viet Nam (2012) 1.05 6.30

Share of GDP devoted to higher

Malaysia (2011) 2.20 5.94
education by Myanmar in 2011
Australia (2011) 1.19 5.11

19.9%
Korea, Rep. (2011) 0.76 4.86

Fiji (2011) 0.54 4.20

Japan (2012) 0.78 3.85 Average share of spending on higher

education in Southeast Asia and Oceania
Indonesia (2012) 0.61 3.57 within education expenditure (%)

Singapore (2013) 1.04 2.94

3.3%
Lao PDR (2010) 2.77

Philippines (2009) 0.32 2.65 All education

Higher education
Cambodia (2010) 0.38 2.60 Average share of the population
enrolled in higher education in
Myanmar (2011) 0.15 0.79 Southeast Asia and Oceania
(among countries listed in the table
0 2 4 6 8 10
below)

Australia and New Zealand count the greatest share of tertiary students among the total population
Tertiary enrolment, Share of Tertiary enrolment in Share of science in
Year all fields total pop. (%). scientific disciplines tertiary enrolment (%)
Australia 2012 1 364 203 5.9 122 085 8.9

New Zealand 2012 259 588 5.8 36 960 14.2

Singapore 2013 255 348 4.7 36 069 14.1

Malaysia 2012 1 076 675 3.7 139 064 12.9

Thailand 2013 2 405 109 3.6 205 897 8.2-2

Philippines 2009 2 625 385 2.9

Indonesia 2012 6 233 984 2.5 433 473 -1

8.1

Viet Nam 2013 2 250 030 2.5

Lao PDR 2013 137 092 2.0 6 804 -1

5.4-1

Cambodia 2011 223 222 1.5

Myanmar 2012 634 306 1.2 148 461 23.4

-n = data are for n years before reference year

700
 Southeast
More than one-third of education spending goes on higher education Asiaand
in Malaysia andSingapore
Oceania
As a share of total public expenditure on education, 2013 or nearest year (%)

Malaysia (2011) 36.97

Singapore (2013) 35.28

New Zealand (2013) 25.33

Australia (2011) 23.20

Japan (2011) 20.14

Timor-Leste (2011) 19.79

Myanmar (2011) 19.12

Indonesia (2012) 17.18

Viet Nam (2012) 16.67

Korea, Rep. (2011) 15.61

Cambodia (2010) 14.54

Fiji (2011) 12.96

Philippines (2009) 11.96

Thailand (2012) 9.37

0 5 10 15 20 25 30 35 40

Singapore and Malaysia have the greatest share of PhD students among university students
University enrolment in Asia by level of study, 2011, selected countries

PhD Masters programme Bachelors programme

Singapore (1:4)

Bangladesh (1:4)

Pakistan (1:4)

Nepal (1:4)

Malaysia (1:6)

India (1:6)

Korea, Rep. (1:7)

Thailand (1:7)

Iran (1:8)

Sri Lanka (1:9)

Japan (1:10)

Indonesia (1:12)

Cambodia (1:12)

Philippines* (1:27)

Lao, PDR (1:33)

Myanmar (1:45)

Bhutan

Timor-Leste

0 20 40 60 80 100
Chapter 27

* Data for the Philippines are for 2008.

Note: Between brackets is the ratio of enrolment in masters/PhD programmes to bachelors programmes.
Source: UNESCO Institute for Statistics, June 2015; for university enrolment in Asia: UIS (2014)

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UNESCO SCIENCE REPORT

Although collaboration is strongly linked to global knowledge

Figure 27.6: Women researchers (HC) in Southeast Asia,
hubs such as the USA, UK, China, India, Japan and France,
2012 or closest year (%)
there is evidence of an emerging AsiaPacific knowledge hub.
Head counts
Australia, for instance, is one of the top five collaborators for 17
60.0 of the 20 countries in Figure 27.8.

50.0 52.3 52.7 The AsiaPacific Economic Cooperation