HUMAN RESOURCES AND NATIONAL

SYSTEMS OF INNOVATION

PROF. LÉA VELHODEPARTMENT OF SCIENCE AND

TECHNOLOGY POLICYUNIVERSITY OF CAMPINAS, BRAZIL

THE QUESTIONSTHE QUESTIONS Why is it important to treat human Why is it important to treat human

resources as an integral component of resources as an integral component of national innovation policy?national innovation policy?

How to create and maintain a critical How to create and maintain a critical mass of researchers able to mass of researchers able to consistently and systematically consistently and systematically contribute to and absorb the knowledge contribute to and absorb the knowledge base relevant to the solution of national base relevant to the solution of national current and future problems? current and future problems?

About: Highly Educated About: Highly Educated Human Resources (MSc; Human Resources (MSc;

PhD) and InnovationPhD) and Innovation

Why Human Resources as Why Human Resources as Component of National Component of National

Innovation Policy?Innovation Policy?““The responsibility for the creation of The responsibility for the creation of

scientific knowledge – and for most scientific knowledge – and for most of its application – rests on that of its application – rests on that small body of men and women who small body of men and women who understand the fundamental laws of understand the fundamental laws of nature and are skilled in the nature and are skilled in the techniques of scientific research” techniques of scientific research”

Vannevar Bush, Vannevar Bush, 19451945

Why Human Resources as Why Human Resources as Component of National Component of National

Innovation Policy?Innovation Policy? Because knowledge is not easily transferable – Because knowledge is not easily transferable –

tacit component embodied (face to face)tacit component embodied (face to face) ““the output of basic research may have the output of basic research may have

attributes of a attributes of a public goodpublic good, but is not a , but is not a free free goodgood: the capacity to understand and use the : the capacity to understand and use the results of basic research performed elsewhere results of basic research performed elsewhere requires a considerable local investment in requires a considerable local investment in institutions, skills, equipment and networks” institutions, skills, equipment and networks” (Callon, 1994)(Callon, 1994)

““world pool of knowledge” is a figure of world pool of knowledge” is a figure of rhetoricrhetoric

Why Human Resources as Why Human Resources as Component of National Component of National

Innovation Policy?Innovation Policy? Knowledge has a strong National Knowledge has a strong National

feature: feature: the links between research the links between research and application depend negatively on and application depend negatively on distance, and positively on common distance, and positively on common nationality (linguistic aspects) nationality (linguistic aspects)

Many of the benefits of nationally Many of the benefits of nationally funded basic research stay at home, funded basic research stay at home, many of the research training many of the research training benefits are likely to remain within benefits are likely to remain within national boundariesnational boundaries

Why Human Resources as Why Human Resources as Component of National Component of National

Innovation Policy?Innovation Policy? Trained scientists and engineers Trained scientists and engineers are the most important benefit of are the most important benefit of academic research, since such academic research, since such training provides skills beyond training provides skills beyond those needed for the post-graduate those needed for the post-graduate research research

HHighly educated human resources ighly educated human resources are an attraction to foreign firms are an attraction to foreign firms interested in investing in a foreign interested in investing in a foreign countrycountry

Why Human Resources as Why Human Resources as Component of National Component of National

Innovation Policy?Innovation Policy? Technologically dynamic firms depend Technologically dynamic firms depend

heavily on the close proximity of heavily on the close proximity of publicly funded academic research publicly funded academic research and related trainingand related training

It is the demands of the dynamic firms It is the demands of the dynamic firms that stimulate the proximate that stimulate the proximate development of the academic science development of the academic science basebase and related research training and related research training schemesschemes

SUMMARY OF THE SUMMARY OF THE LITERATURELITERATURE

knowledge is at the heart of knowledge is at the heart of innovation innovation

qualified researchers are necessary qualified researchers are necessary to produce a broad base of to produce a broad base of knowledge relevant to the solution knowledge relevant to the solution of current and future problemsof current and future problems

there is a clear need to create and there is a clear need to create and maintain research training maintain research training schemes nationally and as a schemes nationally and as a component of national innovation component of national innovation policypolicy

HOW? Conventional RecipeHOW? Conventional Recipe devote resources to help more young devote resources to help more young

people go into higher educationpeople go into higher education create and maintain quality universities create and maintain quality universities

and graduate programmesand graduate programmes foster a conducive research environment: foster a conducive research environment:

competitive grants and a reward structure competitive grants and a reward structure based on scientific merit and controlled based on scientific merit and controlled peer reviewpeer review

Train researchers in PG programmes Train researchers in PG programmes shaped by, and for the primary purpose of shaped by, and for the primary purpose of reproducing the academic profession reproducing the academic profession

task of PG: task of PG: bring students to the research bring students to the research frontier of a particular specialty (4 years, frontier of a particular specialty (4 years, master/apprentice)master/apprentice)

Has the RECIPE worked?Has the RECIPE worked? Yes, Yes, although the theory supporting although the theory supporting

it looks shaky in light of evidence it looks shaky in light of evidence and experience (linear model X more and experience (linear model X more complex and interactive models) the complex and interactive models) the case has held up well in practice case has held up well in practice

Where? Where? US and EU and NICs US and EU and NICs Why? National technology system Why? National technology system

created demands on and resources created demands on and resources for the national science system and for the national science system and corresponding training schemecorresponding training scheme

Has the RECIPE worked in Has the RECIPE worked in Brazil ?Brazil ? ????????

if this means an increasing number of if this means an increasing number of researchers, researchers, YESYES

If this means If this means the growth of opportunities for the growth of opportunities for graduates to apply their acquired capabilities graduates to apply their acquired capabilities in other than the academic sector, in other than the academic sector, NONO

Why? Why? Links with the productive sector are weak – Links with the productive sector are weak –

relatively strong science is not a sufficient relatively strong science is not a sufficient condition for the growth of strong technologycondition for the growth of strong technology

The benefits of a critical mass of researchers The benefits of a critical mass of researchers are not automatic - under specific conditionsare not automatic - under specific conditions

I - Sustainable PG I - Sustainable PG education systemeducation system

Public universities – FREEPublic universities – FREE Considerable expansion since 70’s (800 Considerable expansion since 70’s (800

programmes) – 2006: over 2000 programmes) – 2006: over 2000 programmes, about 118.000 students; programmes, about 118.000 students; 35.000 MSc and 10.000 PhD degrees35.000 MSc and 10.000 PhD degrees

Enough? Sufficient? Depends...Enough? Sufficient? Depends... OECD: 1 PhD/5.000 pop.; Brazil: 1 OECD: 1 PhD/5.000 pop.; Brazil: 1

PhD/19.000PhD/19.000 Growth rate financially unsustainable – Growth rate financially unsustainable –

government funds and scholarships (90’s: government funds and scholarships (90’s: 1/3 students – 2005: 1/6 students)1/3 students – 2005: 1/6 students)

II – II – Science Fields X National Science Fields X National ProblemsProblems

““direction of scientific research is direction of scientific research is influenced by the nature of national influenced by the nature of national social and technological problems” social and technological problems” (Pavitt, 1998). (Pavitt, 1998).

Is it so in Brazil?Is it so in Brazil? Dynamic processes between scientific and Dynamic processes between scientific and

technological development have not been technological development have not been established in Brazil – exception: established in Brazil – exception: agriculture (history does play a role)agriculture (history does play a role)

Growth and direction of PG programmes Growth and direction of PG programmes subject to processes and criteria internal to subject to processes and criteria internal to scientific fields and specialties: general scientific fields and specialties: general knowledge base, open merit system, no knowledge base, open merit system, no priority among fields priority among fields

PROGRAMMES DEGREES(MSc + PhD)

1992 2003 1992 2003

TOTAL (no.) 1.520 2.819 9.031 35.742

Earth and Natural Sciences

14 11 14 9

Biological Sciences 11 11 10 8

Engineering and Computing

10 11 15 13

Health Sciences 26 21 14 16

Agricultural Sciences 12 11 11 10

Applied Social Sciences 7 10 10 16

Social Sciences 13 14 19 16

Humanities and Arts 6 6 5 6

III - QUALITYIII - QUALITY PG education: longstanding and PG education: longstanding and

functioning evaluation system for functioning evaluation system for resource allocation, but:resource allocation, but: Strongly based on publication in international Strongly based on publication in international

journals – no reward for alternative activitiesjournals – no reward for alternative activities Grantees: Grantees:

Academic researchers: happy and satisfiedAcademic researchers: happy and satisfied Other sectors: feel they Other sectors: feel they are educated and are educated and

trained too narrowly; lack key professional trained too narrowly; lack key professional skills: working in teams, organizational, skills: working in teams, organizational, managerial managerial

(“it takes 3 to 5 years for a PhD to get (“it takes 3 to 5 years for a PhD to get integrated to the activities of the firm”, ESF integrated to the activities of the firm”, ESF Policy Brief, July 2002) Policy Brief, July 2002)

IV – Sector of Professional IV – Sector of Professional ActivityActivity

Masters have a more diversified destinyMasters have a more diversified destiny PhDs remain mostly at universities PhDs remain mostly at universities Firms very, very rarely hire PhDs: in 2004, Firms very, very rarely hire PhDs: in 2004,

only about 3.000 PhDs were working in only about 3.000 PhDs were working in private enterprises (PNAD)private enterprises (PNAD) Firms in general do not carry out activities that Firms in general do not carry out activities that

demand PhDs (development model, demand PhDs (development model, macroeconomic policies, lack of resources and macroeconomic policies, lack of resources and incentives, etc)incentives, etc)

Universities are, in general, ranked as very Universities are, in general, ranked as very little important as external innovation sources little important as external innovation sources for the innovative Brazilian enterprises (PNAD for the innovative Brazilian enterprises (PNAD + PINTEC)+ PINTEC)

BASIC FIELDS TECHNOLOGICAL FIELDS

PROFESSIONS

M PhD M PhD M PhD

Universities 40,3 71,8 30,5 71,7 32,6 61,5

Public Management and Services

18,3 9,4 14,6 6,0 24,5 17,0

Enterprises (public and private)

17,4 3,9 39,2 12,2 16,3 5,2

Government Research Institutes

11,8 11,8 4,4 7,7 2,1 2,1

Private Office or Clinic 2,4 0,5 3,5 1,7 22,0 13,5

Other 9,8 2,5 7,8 0,6 2,5 0,7

SUMMARYSUMMARY Expanding PG system – financial and Expanding PG system – financial and

physical sustainability under threatphysical sustainability under threat Focus on science: general knowledge Focus on science: general knowledge

base, open merit system, no priority base, open merit system, no priority among fieldsamong fields

Quality based on publication, training Quality based on publication, training too narrow for jobs outside academetoo narrow for jobs outside academe

Job destination: universities (PhDs); Job destination: universities (PhDs); private enterprises are NOT private enterprises are NOT absorbing post-graduatesabsorbing post-graduates

HAS THE RECIPE WORKED HAS THE RECIPE WORKED IN BRAZIL?IN BRAZIL?

No, we should try a new recipeNo, we should try a new recipe No, we should change the cookNo, we should change the cook Yes, but it we should reduce the saltYes, but it we should reduce the salt Yes, just add more sugarYes, just add more sugar Yes, delicious!Yes, delicious!

Well, perhaps we should understand Well, perhaps we should understand better what is going on...Could this be better what is going on...Could this be a collective investigation in BRICS?a collective investigation in BRICS?