technological and innovation development in Cuba, through a national ... Cuba's experience in the configuration of the Science and .... national history. Focusing ...
THE SCIENCE AND TECHNOLOGICAL INNOVATION SYSTEM OF CUBA: THE CHALLENGES FACED IN THE CONTEXT OF GLOBALISATION Fidel Castro Díaz-Balart Academy of Sciences (Cuba) Antonio Hidalgo Universidad Politécnica de Madrid (Spain) Abstract The aim of this paper is to analyse the main elements that distinguish scientific, technological and innovation development in Cuba, through a national perspective and emphasizing on the interactive learning and training processes of the socio-technical networks. The paper is based on the premise that innovation requires not only a financial commitment, but also a political and social commitment which sees innovation as essential to increasing the quality and efficiency of production and services, without neglecting the social aspects that are inherent. Cuba’s experience in the configuration of the Science and Technological Innovation System (SCIT) shown that the generation of a significant scientific and technological base, the training of human resources and state support for science, technology and innovation as part of the economic and social development policy are prerequisites to obtaining new products and services. Keywords: Cuba, science, technology, innovation systems, networks. 1. INTRODUCTION In recent decades many countries have addressed the transformation of their science and technology policies incorporating innovation as a fundamental element. The aim of this transformation was to encourage the dynamic of technological change and increase the contribution made by knowledge to countries’ economic and social development. However, although innovation is seen as crucial to the achievement of competitiveness, effectiveness and efficiency objectives, in recent years have also been incorporated social inclusion, cohesion and integration objectives (Dagnino, 2009; Sutz, 2010; Albornoz, 2012). According to Albornoz (1997), in the 1990s most Latin American countries aimed their scientific and technological policies at boosting the creation of national innovation systems in order to improve the competitiveness of their economies and ensure that they were better integrated into the global economy. The design of these innovation systems was intended to achieve the following objectives (Núñez et al, 2013): 1
Overcoming linear innovation models. Promoting innovation aimed at the solution of important social problems. Helping to strengthen links and interaction with knowledge users. Encouraging interactive learning spaces. Recently, the Centre for Management and Strategic Studies in Brazil (2012) placed the emphasis on the importance of appropriately selecting the approaches of innovation systems, on the basis of which scientific and technological policies are designed, and proposed two different models. The first model limits the innovation system to R&D activities and associated infrastructures. The mechanisms used include the promotion of R&D activities, links between universities and firms, and the creation of technology-based companies. This model is often aimed at the production sector and technological developments in advanced areas such as biotechnology and nanotechnology, among others. The second model adopts the idea of the innovation system in a broader sense. Without denying the importance of R&D, the emphasis shifts towards the acquisition and use of knowledge and productive and innovative capacities. This model assumes that innovation is an interactive process in which social, political, institutional and cultural factors come together, and affirms its interdependent nature. As well as reinforcing R&D and its institutions, it also emphasises interactions between players in order to generate, acquire, disseminate and use knowledge (Hidalgo and Castro Díaz-Balart, 2002). Under this approach, the concept of an innovation system covers all organisations which contribute to the development of innovation capabilities in a country, region or sector, and it is formed on the basis of elements and relationships which interact in the production, dissemination and use of knowledge (Lastres and Cassiolato, 2007). In Cuba, innovation was actively included in scientific and technological policy from 1994 onwards, although interest in the social use of knowledge had been around for many years before. The ultimate goal of national scientific and technological policy has always been the country’s economic and social development, which has to a great extent led to priority being given to the use of scientific and technological knowledge with an emphasis on social inclusion and equality goals (Núñez, Pérez and Montalvo, 2011). The case of health is a clear example in support of this affirmation. The aim of this paper is to analyse Cuba’s progress in the field of science and technology and to understand how the gradual implementation of the Science and Technological Innovation System (SCIT) is leading the country to the 2
modernisation of its economy and its integration in the international market. The paper is structured as follows: section 2 provides a description of innovation systems based on an exhaustive literature review; section 3 analyses the progress of science and technology in Cuba prior to the establishment of the Science and Technological Innovation System; section 4 describes the main characteristics of the SCIT since its implementation in 1994; section 5 aims to identify the challenges faced by the SCIT in Cuba and the actions which have recently been adopted at state level; lastly, section 6 presents the main conclusions of the paper. 2. NATIONAL INNOVATION SYSTEMS: THE STATE OF THE ART The systems approach to the analysis of economic and technological change is not new. Several systems approaches have been suggested in the literature. According the Webster’s Collegiate Dictionary a system may be defined as “a set or arrangement of things so related or connected as to form a unity or organic whole”. Thus, systems are made up of components, relationships, and attributes. Given that different systems serve different purposes, it is not surprising that there exists a variety of systems concepts. One perspective relates to the National Innovation System (NIS) (Lundvall, 1988, 1992; Freeman, 1988; Nelson, 1988, 1993; and subsequently many others) which has been used as the framework for a growing body of literature that addresses the process on innovation both at the national, regional and even sectoral level. The innovation systems approach emerged significantly from the literature on evolutionary economics and systems theory. In the 1980s, the strong producer–user relationships in the competitive Japanese manufacturing sector and Japan's resulting economic boom attracted the interest of scholars and policy-makers alike. In 1988, Lundvall claimed that research should focus on NIS instead of single producer–user networks. Proponents argued that differences in economic and technological performance across national states were due to the combinations of institutions involved and their interactions which determined the processes of accumulation of capital and technology. In terms of its physical composition, a NIS is a set of interacting institutions/actors (e.g., universities, industries and governments) that produce and implement knowledge innovation. These actors provide the national innovation production framework within which governments form and implement policies to influence the innovation process. The NIS concept also draws upon other ideas from innovation theory that posits learning and subsequent innovation as a non-linear and recursive process that relies on effective feedback loops between actors and institutions – recursively informing stages of invention, research and development, and commercialisation. 3
Lundvall (2015) made a distinction between a narrow and a broad definition of the innovation system. The narrow definition is an extended version of the national science system. It would focus on high tech industries and on radical and science based innovation. The core elements of the system would be research intensive enterprises, universities and government technological institutes. The broad definition may be seen as combining the national science system with the national production system. Here low tech sectors are seen as important as high tech sectors and incremental innovation and the absorption and efficient use of new technologies from abroad are given equal attention as radical innovations. Thus, taking into account this last broad conception, the most recent definition of NIS by Lundvall can be found in a conference held in Cuba in March 2015: “The national innovation system is an open, evolving and complex system that encompasses institutions and economic structures. The quality of its elements and the relationships between elements determine the rate and direction of innovation”. Innovation systems studies often open the “black box” of innovation to analyse actors’ motives and behaviours; the institutions that shape these motives and behaviours; interactive, joint, and complementary processes of innovation; and the dynamics of institutional learning and change (Spielman, 2005). The concept of NIS also brings together in a single framework the elements of good practice required to foster innovation. In other words, it provides a coherent analytical tool for handling the disparate processes of knowledge creation, distribution and use, as well as the ways that these affect productivity, competitiveness, and economic and social development. The fact that four different types of capital - production, natural, intellectual and social - are interdependent is, for Johnson and Lundvall (2000), a major reason for promoting the systemic and interdisciplinary approach that is needed for coping with the many sided problems of knowledge and environmental sustainability. They recall that the most fundamental reason for thinking in terms of innovation systems is that innovation is an interactive process, where results depend on the type of relations between different firms, organisations and sectors, as well as on institutional behaviours deeply rooted in each regional or national history. Focusing on the growing phenomenon of “centres of excellence” where industrial development seems to be closely linked to the best universities Etzkowitz et al. (2000) coined the term ‘triple-helix relations’ to describe relations between university, industry, and government. The dominant interest of researchers in the innovation system literature lies in understanding the institutional and organizational arrangements leading to technological change 4
(Lundvall, 2007). The systemic approach to innovation is grounded on the presumption that innovation processes cannot be decomposed into several isolated phases that take place in a strictly proceeding sequence. Thus, NIS concept has emphasised the importance of systemic co-operation in innovation processes. The national perspective underlying NIS has been predominantly adopted on the basis that many institutions, culture, language, common norms, technology policy and education influencing innovation have a national character (Lundvall, 1992). But, the systemic approach to innovation processes was also well received and approaches to innovation systems on different levels soon emerged: regional (Cooke, 1992) sectoral (Breschi and Malerba, 1997; Malerba, 2002) and technological (Carlsson and Stankiewicz, 1991; Carlsson, 1995). The development of NIS is to improve the network relationship among the system members, which leads to enhancement in the overall national innovative capability. The richness and depth of the interaction that develops in an innovation system is the key to developing absorptive capacities and facilitating the flow of tacit and experiential knowledge. In other words, variation in national innovative performance depended on “institutional differences in the mode of importing, improving, developing and diffusing new technologies, products and processes” (Freeman, 1995). Successful economic development therefore is intimately linked to a country’s capacity to acquire, absorb, disseminate, and apply modern technologies, a capacity embodied in its NIS. From a general perspective, a NIS results from the interaction between the knowledge innovation process and the embedded innovation environment represented by framework conditions and infrastructure related to government intervention. As Edquist (1997) has pointed out, “an institutional set-up geared toward innovation and an underlying production system are the basic characteristics of an NIS”. Nowadays, a more systemic approach to innovation policy has been developed, in the light of the variety of stakeholders and tradeoffs and potential synergies between policy areas (regulation, education, etc.). The convergence of information technologies, bio, nano and cognitive sciences has the potential to lead to “the next industrial revolution”, and already, to the increase of the service component of innovation, a part of this evolution, is influencing countries competitiveness (OECD, 2012). Interest in innovation systems is presently motivated by the realization that system-wide change is necessary to make economy socially, economically and environmentally sustainable. Although many national governments have put sustainability and green growth objectives at the centre of their economic 5
development strategies, achieving this goal will require wide-ranging changes in their underlying economic, technological and social systems. Ensuring that socio-technical systems move toward greater sustainability is a major challenge for governments but also for civic society (OECD, 2014). 2.1. Three approaches to NIS A close revision of the current literature on NIS reveals that there are three different approaches to examining NIS, which have been developed separately (Wang et al., 2012). First, the structural approach is the most traditional and widely-used tool employed in NIS research. It focuses heavily on identifying structural elements that influence innovative performance within a system (Nelson, 1993). Structural analysis focuses on the national level of innovative activities and the structures spawned by companies, universities, research institutes, government agencies, public policies, institutions, and, in particular, the various relationships among them. Coherent corporate behaviour in the innovation field is shaped by national culture, laws, norms, and conventions (Lundvall, 2007). Second, the functional approach is a new development for NIS research that concentrates on how various functions are served by the system. A function can be defined as the contribution of one or a set of activities to an NIS goal (Hekkert et al., 2007). Such functions might be: fostering technology markets; setting up linkages; stimulating education and training; setting up IPR protection; mobilising resources; providing knowledge. A combination of several NIS functions is generally referred to as a functional portfolio, which can be used to study NSI dynamics by mapping various portfolios over time. Third, the effectiveness approach takes into account the complex nature of NIS where most actors and elements of NIS are “socially embedded” and the mechanisms used to co-ordinate them are non-market mechanisms: institutional, networking, and policy mechanisms are employed to co-ordinate actors in an NIS. The effectiveness approach focuses on assessing a system's performance, input-output efficiency, diagnosing systemic failures hindering NSI development and operation, setting the benchmark and developing linked indicators (Niosi, 2002). These functions constitute an intermediate level construct between the structural elements of an NIS and its performance (Bergek et al, 2008). Each of these three dimensions could be used as starting points for the analysis of the impact of the NIS. For example, one of the crucial elements holding the NIS is its human and social capital that is linked to the functional approach of NIS. A high-quality labour force is one of the major prerequisites of NIS as it allows knowledge to spill over to other organisations and boosts firms' ability to 6
absorb innovations. Better education and training will strengthen many of the behavioural aspects of NIS, including networking and collaboration skills, corporate entrepreneurship, the ability to license technologies, and carrying out R&D. 2.2 NIS in developing countries If development is a matter of self-transformation arising from within an economy, then innovation must play a central role in the process and so to must the capacity for an economy to develop, integrate and adapt to novelty. This is at the core of the concept of self-sustaining development and indeed why development is an emergent phenomenon (Metcalfe and Ramlogan, 2008). On the other hand, the same authors state that “successful economic development is intimately linked to a country’s capacity to acquire, absorb, disseminate, and apply modern technologies, a capacity embodied in its National Innovation System.” The concept of National Innovation Systems (NIS) has been gaining intellectual and practical coherence over a number of decades, enjoying initial strong adoption by OECD and developed countries, and more recently becoming the focus of increased attention as a means to address some of the more profound issues for developing nations. As the divide between the developed and developing world becomes increasingly stark, economists and policy makers view NIS as having great potential both as a source of understanding of the roots and primary causes of the gulf in economic development, as well as a powerful conceptual framework that can produce policies and institutions capable of bridging that gulf (Feinson, 2003). National System of Innovation is an “ex-post” concept, that is, it has been built, in the North, on the basis of empirical findings. On the contrary, in the South it is rather an “ex-ante” concept, because socio-economic behaviour regarding innovation at national level is, in fact, hardly systemic. That does not mean that innovation is absent. In Latin America, a fundamental problem is that the microinnovative strengths, that really exist, often remain isolated and encapsulated, thus weakening remarkably their potential contribution to the competitiveness of national economies (Arocena and Sutz, 2005). This concept provides a framework by which developing countries can adopt for purposes of catching up. The application of the NIS concept to developing countries has been gradual and has coincided with a move away from overly macro-interpretations to an emphasis on micro-level interactions and processes, with much of this work questioning the nation state as the most appropriate level of analysis, as well as the emergence of certain intermediary actors thought to facilitate knowledge exchange between actors and institutions. 7
3. PROGRESS IN THE FIELD OF SCIENCE AND TECHNOLOGY AND THE GRADUAL IMPLEMENTATION OF A NATIONAL INNOVATION SYSTEM IN CUBA The importance of science and technology and its link to economic and social development in Cuba has been promoted by the country’s government since 1959 (the start of the Revolution) (Castro Ruz, 1960). Particularly mention should be made of the guidance and support provided by its leaders in order to boost scientific and technological activity as part of the nation’s development strategy. Cuba’s science and technology strategy has evolved through three main phases: First phase (1960-1976) – Guided promotion of science This first phase was known as "guided promotion of science" (García Capote, 1996), in reference to a policy which aimed to create a previously non-existent research and development sector. In Cuba this resulted in an extraordinary emphasis on the creation of scientific institutions and training of the researchers who would work in them. According to Fidel Castro Díaz-Balart (2002), the 1960s saw the foundation of research centres (National Scientific Research Centre, Nuclear Physics Institute, Animal Science Institute, Digital Research Centre and Agricultural Science Institute), technology centres and support of industrial development (Machinery Development Institute, Sugar Cane Derivatives Research Institute, Mineral Resources Institute, Technology Research Institute, Chemical Industry Institute, among others), the majority of the science and engineering degrees were created, and scientific research was introduced in universities. During this phase, a major international exchange process was also implemented through the participation of foreign scientists in Cuba and the training of Cuban professionals overseas, leading to the transformation of universities. In order to prepare the country’s scientific policy and research plans, the National Science and Technology Council was created in June 1974, becoming a state committee at the end of 1976. In view of the limited nature of what had gone before, it could be said that the progress made in the guided promotion of science in the 1960s represented an extraordinary leap forward in Cuban scientific development. Since then the country has promoted what is known as a “Social Knowledge Policy” (Núñez and Figaredo, 2008). This is seen as the deployment of deliberate strategies aimed at the production, distribution and application of knowledge, strengthening its institutional basis, and setting agendas that establish objectives and priorities with a wide-ranging social impact. 8
Second phase (1976-1991) – Centralised management model The mid-1970s saw the emergence of evidence showing that the practical use of scientific results in order to solve production problems was a highly complex issue (Fernández, 1998). This led to changes in the science and technology policy in response to the problem of knowledge use, and the implementation of what was known as the "centralised management model". The aim of this model was to increase the efforts made from the supply side through a deliberate strategy to use scientific and technical results; in other words, to introduce the results into society. This centralised model was based on the identification of "research problems" and aimed research at priority issues and the use of results in the field of production. Although the use of results was emphasised, this phase was based on the same linear idea which considered scientific research as the trigger for the relationship between science, technology and production. Over the period 1976-1980, the first medium-term plan for science and technology was drawn up, and although it had significant flaws it still represented a first effort in this direction (Castro Díaz-Balart, 2002). During this time, the structure of what would subsequently become the National Science and Technology System began to be put in place, the first inventory of the country’s scientific potential was carried out, the process for the categorisation of researchers and teachers began, advances were made in the design of a unique system of scientific and technical information, and the first statistics and state budgets for scientific activity were produced. Up to 1985, there was significant quantitative and qualitative growth in Cuba’s scientific and technical potential. In that year, the approximate total number of people devoted to this activity was already 40.000, representing a 35% increase over 1981. The total number of higher education graduates engaged in research and development in 1985 was 14.000 in terms of physical workers and 9.700 in full-time equivalents, which meant a 39% increase over 1981 and almost 10 times more than in 1970 (Sáenz and García-Capote, 1988). However, along with the emphasis on science and the expectation that it should increase its contribution to development, technology policy was also distinguished by the widespread import of technologies, most of them from Eastern European countries, which were characterised by low energy efficiency and a high environmental impact, among other things. The tendency to assimilate, rather than produce technologies, and the frequent lack of interest in innovation on the part of the business segment of economic agents, explains why scientific development and the human potential created did not result in the expected practical results (García-Capote, 1996). 9
These are some of the reasons which led to the country introducing changes in its science and technology policy from the mid-1980s. The most important changes included the re-launch of university scientific research, with a more applied approach; the definition of new priorities for scientific and technological development (biotechnology, genetic engineering, electronic computing and nuclear energy); the creation of science-production centres, which are networks of integrated cooperation where research, technology creation and the production and commercialisation of products form part of a continuous process led by unique strategies; and the strengthening of the Science and Technology Forum, an experience aimed at increasing social participation in technical and scientific development and its applications (Castro Díaz-Balart and Codorniú, 1985). As an expression of these changes in higher education, further signals were sent demanding a greater social contribution from university research, particularly with regard to production. From 1985 onwards, links with the main national development programmes were increased and new research centres were set up, generally based on already existing groups, with the aim of increasing their ability to apply their scientific results. As a consequence of this, a number of centres directly linked to national programmes were established which required significant scientific and technological backing. These centres, supported by a multidisciplinary research organisation, were aimed at completing the research-production cycle and therefore incorporated production capacities or established very close links with industry. For example, at the University of Habana the Institute of Materials and Reactives, the Biomaterials Centre, the Synthetic Antigens Centre, the Natural Products Centre, the Protein Biochemistry Centre and the Institute of Pharmacy and Foods were all set up. Third phase (1991 - to date) – Emphasis on innovation From 1990 onwards, new changes in the formulation of science and technology policies were brought in. The loss of the Eastern bloc countries as a point of reference in relation to the organisation of the science and technology system, as well as the changes which took place internationally and the transformation of the national economic arena, suggested that there was a need bring the ideas on the organisation of scientific and technological activity up to date. Until 1993, the science and technology base and infrastructure in Cuba had received extensive state support in terms of human resources, expenses and investments in order to develop and strengthen it. Despite this, such a linear system had acted as a kind of “black box” to which significant amounts of resources were allocated without the expected results being obtained. Furthermore, its operation did not succeed in eliminating the relative distance 10
between the R&D and production sectors, a reason why introducing results into practice was still one of its biggest problems (Montalvo, 2012). From 1994 onwards, science and technology policy set out to achieve greater links between science and technology activities and the production sectors, with a particular emphasis on innovations, aiming to integrate the main players in innovation by means of a Science and Technological Innovation System (SCIT). The main purpose of this goal was to place the production of goods and services at the centre of the system, based on efficiency and competitiveness. This would lead to a modern economy and its successful integration into the international market (CITMA, 1995). Its design took several different aspects into account, including the following (García-Capote, 1996): Contemporary trends in the field of science and technology organisation; trends which usually emphasise innovation. The role of the firm in innovation processes, including its participation as projects funding. Encouragement of effectiveness and competitiveness in production organisations, in a context which includes market elements. Recognition of the wide variety of sources and agents that participate in the innovation process. Promoting financing for projects in relation to public funding. Technological innovation is seen as a social-technical process which combines supply and demand in a multidimensional manner and with the presence of conflicts, which requires a special type of communication (Castro Díaz-Balart, 2002). In this regard, mention should be made of the technology management networks created throughout the country with the aim of providing the R&D sector with the capacity to negotiate and react to technology demand with competitive solutions, and extending the capacity to innovate in the production sector (Faloh, García-Capote and Fernández, 2000). In the field of higher education, the objective of increasing the practical effect of research was connected to the idea of using this as a means of obtaining funding for universities, which generated a “second academic revolution” (Etzkowitz and Leydesdorff, 2000). This new approach has required research groups and centres to learn aspects that they had not previously addressed, such as market studies, cost analyses, project evaluation, quality management, marketing strategies, contracts, intellectual property, licensing and advertising, among many others. In this new context, multidisciplinary work with economists, legal professionals and marketing specialists working at the university itself has provided important support. In order to facilitate these objectives, in the second 11
half of the 1990s interface institutions known as Offices for the Transfer of Research Results were established, as well as specific funding mechanisms for the development of products with the capacity to generate incomes (Núñez and López, 2001). 4. THE SCIENCE AND TECHNOLOGICAL INNOVATION SYSTEM IN CUBA Following the creation in 1994 of the Ministry of Science, Technology and Environment (CITMA), work began on the implementation of the Science and Technological Innovation System (SCIT), which takes into account global trends for the move from national science and technology systems to national innovation systems. The aim of the SCIT is to make a decisive contribution to the sustainable development of the Cuban economy and to enable it to have access to an ever larger space in the international market. For this purpose, new knowledge must be generated, science and technology must be developed, and the advances made must be converted into competitive products which achieve commercial success by means of a number of actions promoting the development of innovation in the business sector and enabling new or improved products and services to be launched onto the market (Castro Díaz-Balart, 2002). The main reason for the change from a science and technology system to a science and technological innovation system lay in the understanding that it is not enough to merely generate technologies; they must also be incorporated into social practice, as otherwise the resources used to generate them will have been lost. For this purpose, more emphasis is now being placed on the importance of the business organisation, and the need to integrate the generation and application of all the scientific knowledge required for the development of society is also being stressed (Sáenz, 1997). With the strategic aim of making a decisive contribution to the development of Cuban society as a whole and in each of its production sectors, the SCIT has the following characteristics (Castro Díaz-Balart, 2002): It takes into account global trends in the organisation of scientific and technological development in an era of increasing globalisation. It is based on the reaffirmation of the strong integration capacity that the country has in this field. It underlines the decisive role of the company in innovation processes, including its actions as a projects funding, emphasising the search for efficiency and competitiveness in state companies.
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It demotes the recognition that innovation is a process which has sources and players, and reinforces the role of interfaces in it. It constitutes the development of environmentally clean and safe innovation processes. It introduces the project as a basic unit of planning, financing and management, and uses its integrated management as a leadership tool. It approves projects on the basis of public or prompted calls for tenders, with the systematic use of evaluation by high-level experts. It considers the existence of market elements in the country’s economic transactions, as well as the presence of a greater diversity of funding sources. It forms a conscious part of the strategy for the maintenance and development of the achievements of the Cuban social project. Cuba’s national research and development system is, formally speaking, highly coordinated and centrally planned. In Cuba the SCIT was thus established as an organisational format through which to implement the science and technology policy approved by the government for a particular period, in accordance with the country’s economic and social development strategy. The SCIT was made up of several fundamental components: 1. The Ministry of Science, Technology and Environment (CITMA), in its capacity as the governing body of the system, including its specialised agencies and regional offices, and other bodies of the central state government. The CITMA is the ministry responsible for "proposing and evaluating science and technology strategy and policies in line with the country’s economic and social development, establishing the objectives, priorities, areas and programmes which are appropriate and managing and monitoring their implementation". It is also responsible for designing policies for the promotion and development of innovation in accordance with strategic forecasts which optimise the available investment, as well as regulating and facilitating actions between the players who participate in the innovation process. The other central state government bodies that participate in its management and organisation are divided into two types: bodies with a global scope and bodies with a specialised scope. The former include the Ministry of Economy and Planning, and the Ministry of Finance and Prices, which have a special role within the system as they represent the central elements of its financial environment. The Ministry of Work and Social Security also acts in all matters relating to the labour and salary policy of the science and technology sector. 13
Bodies with a specialised scope include the Ministry of Higher Education (MES), which is the governing body of higher education in Cuba. 2. Entities which directly participate in scientific research and the various phases of the innovation process, such as research centres, universities and companies, and other economic entities where innovative activity is carried out. This group also includes the so-called “interface entities”, which include scientific and technical information networks, institutions that provide scientific and technical services, those engaged in technology transfer, and others that participate in the research-development-productioncommercialisation cycle in some capacity. 3. The integration elements of the system, which includes agencies specifically created with integration objectives such as the Scientific Centres, Science and Technology Forum, Thematic Fronts, National Association of Innovators and Rationalisers (ANIR) and the Technical Youth Brigades (BTJ). Other entities such as the Science Union, the Academy of Sciences and other scientific societies also carry out integration functions in the SCIT. 4. The legal basis, which is made up of decrees, laws and other legal instruments which will must be set out in the future Science and Technology Law, the supplementary provisions arising from it, and any other regulations and methodological documents. 4.1. About the main players in the SCIT It should be pointed out that the mechanisms through which research and training agendas are defined, and by which the agendas are linked to the country’s economic and social strategy, are not limited to the aforementioned organisational formats and organisations. There are diverse mechanisms for exchange between the highest levels of government, the National Assembly, ministries, companies, universities and research centres which generate numerous joint initiatives that influence research, the exchange of specialists and training. The role of government bodies should also be taken into account in the discussion of science and higher education issues, as well as the Administration Councils, at provincial and municipal levels, which include these issues in their strategic forecasts and form part of the matters that are discussed periodically. Representatives of the science and higher education sectors are members of these bodies. In order to better understand the above, the main players which make up the SCIT as described can be grouped together as follows:
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Institutions generating new knowledge. These include Science and Technological Innovation Entities (ECIT) and universities, where there are also ancillary systems such as those of intellectual property, metrology and standardisation, and scientific and technical information. Institutions for knowledge assimilation represented by the entities producing goods and services. They are the entities that make up the majority of the country’s production and business network. Connection and transfer institutions, where the interface entities appear as integration elements of the system: Science-Production Centres Nacional Science and Technology Forum Academy of Sciences National Association of Innovators and Rationalisers (ANIR) Technical Youth Brigades (BTJ) Scientific societies Financial institutions The main characteristics of these players are summarised below. Institutions generating new knowledge Universities play a decisive role in the creation, dissemination and application of knowledge. They carry out a significant part of national scientific research, provide training for university graduates and are responsible for postgraduate education, in particular training at doctorate level. However, higher education is not a solitary player (Arocena and Sutz, 2006), at least to the same extent as is usually the case in other underdeveloped countries. There are important R&D&I institutions which report to other organisations such as the production ministries (Agriculture and Transport, among others), academic institutions (for example, the Academy of Sciences) and R&D&I laboratories linked to companies. The Science and Technological Innovation Entities (ECIT), that is, the research centres, science and technology service centres and scientific and technological development units, are an important part of the SCIT. The fundamental mission of these entities is scientific research, technological development and the provision of science and technology services. Currently, approximately 50% of the ECITs are concentrated in three Ministries (Science, Technology and Environment, Higher Education and Public Health), although the Ministries of Agriculture, Industry, Energy and Mines, and the former Ministry of Sugar also have a significant weight. 15
Until 2012, the State Council was directly responsible for a number of ECITs which brought together an important part of the scientific and technological potential of the biotechnology and genetic engineering sector, all of them being centres of excellence created in the 1980s and 1990s. What was then known as the “Havana West Centre” was the most important scientific and production centre due to its role in the creation of the new biotechnology-based medicalpharmaceutical industry. The companies linked to it excelled because of their innovative nature and the fact that they generated exportable goods with high added value, as well as their considerable contribution to the Cuban health system (Lage, 2008). The rise and consolidation of biotechnology and the medical and pharmaceutical industry showed that, despite the acute adverse economic factors present during this phase, Cuban science, technology and innovation entities were genuinely able to establish themselves as a new type of efficient, globally competitive organisation. Interface entities Science-Production Centres. The science-production centres are coordination and integration instruments whose main aim is to facilitate a more efficient link between the results of research and development entities and the needs of the sector producing goods and services. They are established on a thematic and regional basis and spread throughout the country. The regional centres represent an arena in which universities, research centres, production sectors, governments and social organisations interact under the leadership of the government authorities, either central or regional. The experience of recent years has been positive, proving that they are a very useful space for integration. Nacional Science and Technology Forum. This is an important space in which extensive social participation in innovation processes is promoted. It contributes to interactions between key players in these processes and enables the results to be disseminated. Scientists, teachers, professionals, technicians, workers, farmers, students and anyone else with an interest in seeking solutions to economic and social problems in their area of activity can participate in it. The Forum enables useful solutions to be found to everyday production and service problems (in fact, it was originally linked to the solution of shortages generated by the lack of spare parts), including the appropriate application of science and technology. Academy of Sciences. The role of this organisation in the SCIT is to act as the representative of the national scientific community and the government’s main advisor on scientific strategy and its coherence with national development goals. Its main objectives also include contributing to the development of Cuban 16
science by means of its specialist journal, Anales, and the dissemination of national and universal scientific advances; honouring scientific research in the country; improving professional ethics and social acceptance of science; and forging closer links between scientists and their organisations, with society and the rest of the world. National Association of Innovators and Rationalisers. Created in the 1960s and brought into law in 1976, it is an organisation that covers the whole production network, as its centres take the form of companies, factories, industries, teaching and research service centres, and defence forces. The reason for its link to the SCIT lies in the fact that one of the latter’s basic objectives is for production entities to have a central function with regard to the application of science and technology, and to have an increasingly active role in its generation. Its members, with a strong presence in workers’ groups, contribute in different ways to the development of technology management in companies and the improvement of their efficiency and competitiveness. Technical Youth Brigades. They are a movement for the participation of young people in the search for solutions to problems which usually require scientific and technological knowledge. The objectives of the Technical Youth Brigades include the substitution of imports, the creation of new exportable resources and influencing the introduction and spread of scientific results, as well as their dissemination. Scientific societies. Non-governmental organisations which play an important role by contributing to the direct participation of professionals, technicians and workers through their respective areas of knowledge and expertise in the analysis and proposal of solutions and their national and international dissemination in social and economic arenas. Financial institutions. Their main mission in the SCIT is to offer different types of financing, with the aim of strengthening the capacities of the key players in the system. There are currently a number of primary institutions which help entities achieve this goal: the Cuban Central Bank, Investments Bank, International Trade Bank and International Finance Bank, among others. It should be taken into account that the CITMA recommends the approval of the R&D budget and, in coordination with other central state government bodies and research institutions, structures the general research guidelines. Once they have been approved by the Council of Ministers, these guidelines become the R&D Plans that define the objectives, phases and required resources.
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4.2. National Science and Technology Programmes In order to meet the priorities of the country’s economic and social development strategy, the SCIT has implemented the National Science and Technology Programmes. These programmes are the instruments of science and technology policy and are designed to achieve the greatest possible coherence between the country’s socio-economic development strategy and the science, technology and innovation development objectives. The Programmes and Projects System (SPP) is the main management instrument aimed at arranging the organisational, financing and control processes of the programmes and projects which form part of the SCIT, and ensuring that a full cycle of research is carried out. The SPP was established in 1995 as an organisational format set up by the SCIT for the synergetic use of existing capacities (human, organisational and infrastructure) created in previous years. It represents an organisational format for the planning, financing, implementation and control of R&D&I activities, based on programmes through which scientific activities are organised in the form of projects. One example of a branch of the Science and Innovation System is that which was applied in Basic Industry from that year until 2005 (Castro DíazBalart, 2002). As well as ensuring the alignment of R&D&I activities with the guidelines of the country’s socio-economic development strategy, and the science, technology and innovation development objectives, the SPP has also contributed to the decentralisation and diversification of R&D&I initiatives. 4.3. Key performance indicators The characterization of the SCIT of Cuba would not be complete without analyzing the evolution of the main indicators of inputs and outputs in recent years. Input indicators An essential element in the SCIT is the management and development of R&D. For this reason, the analysis of existing resources in R&D is necessary to understand the current position of Cuba and the effort spent in the creation of knowledge. Following the Frascati Manual, these resources represent the R&D inputs and breakdown in human resources and financial resources used in a period. The current subordination of R&D concept to generate new knowledge makes the indicators for human resources to acquire great importance. People are not only producing new knowledge, but they take it into the various productive purposes. Therefore, the availability and quality of human resources in scientific
18
and technological activities (R&D among them) is an essential element of a global and knowledge-based economy. Table 1 shows that in 2013 the total number of people engaged in R&D activities in Cuba was 84.217, of which 56.431 (67%) were senior level and 15.998 (19%) mid-level. The number of senior level researchers amounted to 4.477 which represents 5.3% of the total personnel devoted to R&D and represents a total of 399,7 researchers per million inhabitants. Table 1. Evolution of staff dedicated to R&D in Cuba (2006-2013). 2006
2007
2008
2009
2010
2011
2012
2013
Senior level
44.827
46.025
59.600
60.358
68.661
80.953
69.803
56.431
Of these researchers (a)
5.491
5.236
5.525
5.448
4.872
4.618
4.655
4.477
Mid-level
19.096
14.819
19.165
19.368
13.879
12.283
12.678
15.998
Others
10.145
10.855
14.074
14.291
9.270
7.279
7.466
11.788
Total (b)
74.068
14.819
92.839
94.017
91.810 100.515 89.947
84.217
Source: Statistical Yearbook of Cuba 2013. (a) It refers to researchers categorized (b) Biotechnology Polo staff is included in 2011
With regard to scientific and technical training, in 2012 there were a total of 1.165.002 graduates. Globally, in 2013 a total of 13.520 scientific degrees were awarded, exceeding by 4,7% to 2012, and it has been increasing since 2006 (table 2). The ratio of PhD per million inhabitants was 207,1. Table 2. Evolution of scientific degrees awarded in Cuba (2006-2013). 2006
2007
Scientific degrees 8.494 9.002 awarded Source: Statistical Yearbook of Cuba 2013.
2008
2009
2010
2011
2012
2013
9.712
10.369
10.986
12.281
12.909
13.520
Following the recommendations of UNESCO concerning the international standardization of statistics on science and technology, scientific and technological activities encompass: Research and development (R&D). Comprise creative work undertaken systematically to increase the volume of knowledge and using that knowledge to create new applications. Scientific and technical education and training (STET). It covers all activities of higher education and specialized non-university training, higher education and training leading to the award of a university degree, post-training and upgrading university and organized and ongoing training of scientists and engineers. 19
Scientific and technical services. Encompasses all activities related to research and experimental development and contributing to the generation, dissemination and application of technical knowledge. In 2013, total expenditure on scientific and technological activities in Cuba was 610,3 million pesos, 42,5% higher than spending in 2012. Meanwhile, expenditure on R&D was 366,2 million pesos, 23% higher than in 2012 and represented 60% of total expenditure on science and technology (table 3). Table 3. Total expenditure on science and technology activities in million pesos (2006-2013). 2006
2007
2008
2009
2010
2011
2012
2013
R&D
232,8
255,6
304,4
381,7
390,9
187,6
297,8
366,2
Other scientific and technological activities
153,0
168,0
199,0
254,5
260,6
125,1
130,4
244,1
Total
385,8
423,6
503,4
636,2
651,5
312,7
428,2
610,3
Source: Statistical Yearbook of Cuba 2013.
From the perspective of the origin of the funds, the financing of expenditure is reflected in table 4. It is noted that in 2013 government funding covered 70% of scientific and technological activities, which amounted to 371,1 million pesos, while companies financed 20% of these activities (106,2 million pesos). Table 4. Source of funding for science and technology activities in million pesos (2006-2013). 2006
2007
2008
2009
2010
2011
2012
2013
Government
292,2
473,3
568,7
600,7
613,1
264,7
265,2
371,7
Companies
47,3
52,1
82,5
85,1
86,9
24,7
88,4
106,2
Other
18,1
20,3
59,6
56,7
58,0
6,8
13,5
53,1
Total
357,6
545,7
710,8
742,5
758,0
296,2
367,1
531,0
Source: Statistical Yearbook of Cuba 2013.
Output indicators These indicators, while not directly related to R&D, supplement the data provided on the resources used by the system of science and technology. Their methodological basis has been developed by the OECD, resulting in manuals and guidelines related to the Frascati Manual. From among the indicators proposed by the OECD, we have selected those that collect more specific and diversified scientific and technological activity in Cuba: scientific publications, patent applications and industrial design applications. According to international standards in the analysis of scientific production have been used as sources of information the research reflected in the database Science Citation Index (SCI) of the Institute for Scientific Information (ISI). In
20
2013, the number of publications in the SCI amounted to 157, a figure that has been increasing gradually since 2009 (table 5). Table 5. Evolution of science and technology publications in SCI (2006-2013). 2006
2007
2008
2009
2010
2011
2012
2013
-
-
-
106
115
129
149
157
Total
Source: Statistical Yearbook of Cuba 2013.
The proper management of industrial property is one of the key factors for the promotion of technology and innovation in a SCIT. For this reason, patent applications representing reliable indicators of the innovative effort. According to the Frascati Manual, the patent-based indicators are frequently used to measure the development of scientific and technological activities, as they provide a measure of the production of innovative activity of a system: its inventions. Furthermore, patent data identifies changes in the structure and evolution of inventive activity in countries, industries, companies and technologies by mapping changes in dependency, diffusion and penetration of technology. The data in table 6 show that in 2013 the total number of patent applications in Cuba was 168, of which 27 came from residents (16,1%) and 141 from nonresidents (83,9%), implying a dependency rate of 5,22. These data have been declining progressively over the period 2006-2013, which highlights the need of the SCIT of Cuba in increasing their efforts to improve these indicators. Finally, table 7 shows that the number of industrial design applications in 2013 was only nine, representing half of those recorded in 2006. While this indicator is considered less innovative that patents, as in the case of these, it seems necessary for the agents involved in the SCIT increasing the values of this indicator. Table 6. Applications for patents in Cuba (2006-2013). 2006
2007
2008
2009
2010
2011
2012
2013
National applications
89
74
56
59
63
62
38
27
Foreign applications
163
210
156
172
203
184
140
141
Total
252
284
212
231
266
246
178
168
Invention coefficient (a)
0,84
0,66
0,50
0,52
0,56
0,55
0,34
0,24
Dependency rate (b)
1,83
2,84
2,79
2,92
3,22
2,97
3,68
5,22
Auto-sufficiency rate (c)
0,35
0,26
0,24
0,26
0,24
0,25
0,21
0,16
Source: Statistical Yearbook of Cuba 2013. (a) Number of national applications per 100 000 inhabitants (b) Ratio of foreign applications between national (c) Ratio between national applications and the total number of applications
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Table 7. Applications for industrial designs in Cuba (2006-2013). 2006
2007
2008
2009
2010
2011
2012
2013
National applications
8
14
7
11
23
8
5
5
Foreign applications
10
8
9
8
1
5
4
4
Total
18
22
16
19
24
13
9
9
Source: Statistical Yearbook of Cuba 2013.
5. THE CHALLENGES FACED IN THE CONTEXT OF GLOBALISATION OF THE LEARNING ECONOMY In recent years, the international environment has been characterised by the existence of a systemic structural crisis which is simultaneously affecting the economic, financial, energy, food and environmental areas, with a greater impact on underdeveloped countries. With an economy dependent on its external economic relationships, Cuba has not been spared the effects of this crisis, which have been seen in the price instability of the products that it exchanges, the demand for its export goods and services, and the increased restrictions on opportunities for obtaining external financing. This new context has a major impact on innovation policies in Cuba, which is why the 313 Economic and Social Guidelines were approved in 2011, marking a shift in the country’s development strategies. In particular, in the area of Science, Technology and Innovation Policy a total of eleven guidelines were drawn up, the main aim of which is to “design an integrated science, technology, innovation and environmental policy which takes into consideration the acceleration of its processes of change and growing interrelationship in order to respond to the development needs of the economy and society in the short, medium and long term. This policy must be aimed at increasing economic efficiency, increasing high added value exports, substituting imports, meeting the needs of the population and encouraging their participation in socialist construction, protecting the national environment, heritage and culture”. The other guidelines propose changes aimed at mobilising human potential, in terms of knowledge and innovation, by means of the following actions: Adopting the required measures for the functional and structural reorganisation and updating of the relevant legal instruments in order to achieve the integrated and effective management of the Science, Technology, Innovation and Environment System. Improving the organisational, legal and institutional conditions in order to establish types of economic organisations which guarantee the combination of scientific research and technological innovation, the fast and effective development of new products and services, as well as their 22
efficient production with appropriate quality standards, and domestic and export management. Defining a technology policy which contributes to the reorientation of industrial development and includes control of the existing technologies in the country in order to promote their systematic modernisation, thereby helping to increase technological sovereignty in strategic sectors. When importing technologies it is necessary to take into account the country’s ability to assimilate them and provide the services that they require. Paying more attention to the continuous education and training of scientific and technical personnel who respond to and keep ahead of scientific and technological development in the main areas of production and services. Defining and promoting new channels to encourage the creativity of labour groups and reinforce their participation in the solution of technological problems relating to production and services. In order to partly implement these strategic objectives, on 29 August 2014 Government Decree 323 on “Science, Technology and Innovation Entities” was approved, the aim of which is to establish the provisions for the operation of these organisations and ensure a more integrated, economically stable and permanent management of science, technology and innovation, as well as contributing to cooperation between these entities and other individuals or legal entities that participate in such activities. The regulation defines science, technology and innovation entities as “those whose primary activity is scientific research, innovation, science and technology services, and specialised added-value production”. It classifies them into three types according to their mission (research centre, science and technology services centre, and development and innovation unit) and establishes that they must operate on a self-financing basis. It also establishes the following fundamental principles which must be followed by these entities: a) Meeting the development needs of the economy and society. b) Prioritising the implementation of state commissions. c) Not performing state functions. d) Joining together with individuals or legal entities in order to achieve a greater impact on the economy and society. e) Recognising and encouraging human potential devoted to science, technology and innovation activity, based on criteria that guarantee its maintenance and contribute to a greater impact of the results. 23
f) Reinforcing any interface and technology transfer activities which achieve science and technology results, in particular those relating to innovation. g) Implementing systems for the protection of intellectual property, quality assurance and good practices and carrying out their activities with a high level of production efficiency and appropriate quality standards. h) Ensuring that the entity and the staff working on science, technology and innovation activities receive the economic benefits generated by the application of its results. i) Fundamentally allocating investments in science, technology and innovation to the priorities established in strategic programmes and projects of national interest. j) Leading activity for the supervision and control of their performance towards the evaluation of the impact of results. k) Contributing to the introduction of the results in the economy and society, with an effective impact on science, technology and innovation. l) Systematically increasing the integrated improvement of staff according to the activity or mission proposed by the entity. As a consequence of the entry into force of this Government Decree, the following provisions have been updated: relating to the organisation and operation of the National Science, Technology and Innovation Register (Resolution 164/2014); relating to the science councils (Resolution 165/2014); and the regulation on the operation of the Science and Innovation Finance Fund (Resolution 166/2014). Mention should be made of the importance given in this new context to the science councils of the Science, Technology and Innovation entities, whose functions are as follows: a) Guaranteeing the quality and rigour of scientific and technological activity. b) Advising the entity’s management. c) Systematically contributing to and encouraging the analysis of matters of interest for their scientific and technological development. d) Proposing the priorities on the basis of the country’s economic, social, environmental, scientific and technological development and the guidelines and rules set out by the respective institutions. As well as these functions, scientific councils also have the capacity to advise the entity’s management in relation to the application of science, technology and innovation policy, drawing up the entity’s strategic forecast and its priorities
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in line with the country’s needs and in accordance with the entity’s mission and business purpose. 5.1. About the need to redesign the current SCIT It is today necessary to define the principles which will govern the operation of the SCIT in line with the updating of the economic model and the national development strategy. Indeed, the structural and functional reorganisation of the network of entities (ECIT and universities) which constitute the core area of the knowledge generation sector cannot be carried out in a completely effective manner if it is not accompanied by other changes which go beyond the immediate organisational and economic financial field in which they are carried out. The design of the new Science, Technology and Innovation System is oriented at the achievement of these aims, and the foundations for its transformation have been the subject of a wide-ranging debate in the scientific and academic community for several months. A broad consensus has been reached in relation not only to the strategic importance of its redesign in the current situation, but also with regard to what the core areas of these transformations should be. There is therefore a need for a new institutional framework which will turn innovation into the primary engine that drives the increase in productivity and efficiency required to achieve the competitiveness of the economy and its adequate integration into global value chains; taking current and future demographic dynamics into account, there is a need to develop the training of highly-qualified scientific potential; there is a need for improvement of the planning and financing methods of science, technology and innovation, adapting it to the new realities of the economic model and its new players; it is also necessary to recognise the crucial importance of encouraging and promoting dynamic links between the knowledge generation sector and the sector producing goods and services, making use of new essentially economic and financial instruments and recognising the importance of the learning processes resulting from this interaction, which are an essential feature of modern innovation systems. 6. CONCLUSIONS In the first half of the 1990s, Cuba’s science and technology policy formally took on the aim of advancing towards a science and technological innovation system. The intention was to mobilise the capacities created, particularly scientific capacities, in order to produce new products, goods and services which would contribute to economic and social advances against the background of a major economic crisis. With the creation of the Ministry of 25
Science, Technology and Environment (CITMA), a number of measures and policies were formulated which placed the emphasis on innovation and stressed the role of research institutions in the country’s economic recovery. In 1996 the gradual implementation of the new Science and Technological Innovation System (SCIT) began, which aim was to place the production of goods and services at the centre of the system, based on efficiency and competitiveness. However, this move was incomplete and although there have been successful experiences in some sectors the integration of a SCIT with an effective national scope has not been achieved. The experience gained in carrying out the SCIT, in light of current changes in the economic and social model which take into account increased decentralisation and business autonomy, as well as the strategic development forecast resulting from the 313 approved guidelines, requires a new institutional framework to make innovation the main engine that drives competitiveness and enable more effective integration into the global economy. The new institutions must effectively recognise the interdisciplinary nature of science, technology and innovation, and it will be up to these institutions to establish a form of management which combines scientific and technological factors with the economic, financial, production, educational, social and cultural factors. The challenges faced by Cuban economic and social development will require the generation and creative assimilation of new knowledge and technologies in order to implement solutions appropriate to our situation. The reorganisation of the Science, Technology and Innovation System must also recognise the differences and, at the same time, the dynamic interrelations between scientific research, technological development and innovation activities. The challenge that Cuba faces is to link them in such a way that they provide the greatest possible economic and social impact, which is the aspiration of achieving the prosperity and sustainability of its political and socioeconomic project in line with the sovereign will of its people. References Albornoz, M. (1997). La política científica y tecnológica en América Latina frente al desafío del pensamiento único. Redes, 10(4). Albornoz, M. (2012). Ciencia, tecnología e innovación para el desarrollo y la cohesión social. Programa Iberoamericano en la década de los bicentenarios. Documento para debate. OEI. Arocena R.; Sutz J. (2005). Innovation Systems and Developing Countries, DRUID working paper 02-05.
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