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CREATING INNOVATION

SYSTEM IN RUSSIA: STATE OF


THE ART AND GOVERNMENT
POLICY

Irina Dezhina
Leading Researcher, Ph.D.
Institute for the Economy in Transition
Moscow, Russia
dezhina@crdf.ru
CONTENTS
1. R&D, Graduate Education and Innovative
Activity in Russia: Major Indicators.
2. Periodization of Government Reforms.
3. Attempts to Reform Organizational Structure.
4. New Mechanisms of Financing.
5. Human Resources Policy.
6. Government Innovation Policy.
7. Strengths and Weaknesses of the National
Innovation System in Russia.
Organizations Conducting R&D
in Russia
Type of organization 1992 1995 2000 2004

Total 4555 4059 4099 3656

R&D institutes 2077 2284 2686 2464

from which academic 729 787 807 816


institutions
Higher Educational institutes 446 408 390 402
conducting R&D
Industrial enterprises 340 325 284 244
Organizations Implementing R&D
by Types of Ownership
73,4 73,2
80,0

70,0

60,0

50,0

% 40,0

30,0 20,5

11,5 12,8
20,0

4,9
10,0 0,6 1,6 0,6 0,9

0,0
Federal Private Public-Private Joint Russian- Other
Foreign

1995 2004
Gross Domestic Expenditures on
R&D: Russia and Other Countries
Hungary 0,95
Ukraine 1,13
Czech Republic 1,26
Russia 1,29
UK 1,89
France 2,19
Germany 2,55
Switzerland 2,57
USA 2,6
Korea 2,64
Japan 3,15
Finland 3,49
Sweden 3,98
0 0,5 1 1,5 2 2,5 3 3,5 4 4,5

% GDP
Business Enterprise and
Government Expenditures on R&D
(data for 2003)

70 62
60
54
60

50 40

40 30
%
23
30

20

10

0
OECD countries Eastern Europe Russia
Business enterprise expenditures Government expenditures
Fundamental Research in Russian
Universities and Academic Institutes
(in percent to the total expenditures on fundamental research)

61,2 65,6 69,4


70,0 62,6
63,7

60,0

50,0

40,0

30,0

20,0
12,0 13,8
12,3 15,4
10,0
12,8

0,0
Academic institutes
2000
2001 Universities
2002
2003
2004
Researchers in Russia: Actual
Number and Dynamics to the
Previous Year
102,0 430000
425954
425000
101,4 422176
101,0
420000

100,0
414676 415000
% to previous year

409775

headcount
410000
99,1
99,0
98,8
405000
401425
98,0 400000
98,1 98,0
395000
97,0
390000

96,0 385000

2000 2001 2002 2003 2004


Distribution of Russian
Researchers by Age, %
Younger 30-39 40-49 50-59 Older Total
then 29 then 60
1994 9.2 24.0 31.7 26.1 9.0 100

1998 7.7 18.1 28.3 27.9 18.0 100

2000 10.6 15.6 26.1 26.9 20.7 100

2002 13.5 13.8 23.9 27.0 21.8 100

2004 15.3 13.0 21.9 27.8 22.0 100


Graduate Education in Russia

1995 1999 2000 2001 2002 2003 2004


Number of graduate 62317 107031 117714 128420 136242 140741 142662
students, headcount

Number people 11369 21982 24828 25696 28101 30799 32595


having finished their
graduate study
Share of graduated, 18.2 20.5 21.1 20.0 20.6 21.9 22.8
in % to the number
of those who studied
Current Role of Graduate
School
Training of new generation of scientists is not the only
and not the major function of graduate school. Other
purposes of graduate study:
• To escape the draft
• To take time to decide concerning future occupation
• To receive Ph.D. in order to seek better employment in
business sector
That is why:
• The share of graduated is slightly more then 1/5th. In late
Soviet period it was about 1/3rd.
• From the total number of graduates only 25% defend thesis.
• According to the Ministry of Education and Science, about
10% of graduates continue career in science.
Scientific Results
(Science Citation Index – 2001)
Czech Republic 0,2

Hungary 0,22

Russia 0,82

Italy 3

Canada 3,75

France 4,87

Germany 7,14

Japan 7,29

UK 8,23

USA 43,68

0 5 10 15 20 25 30 35 40 45 50
Research Productivity
80 1,4
74
70 1,2
1,27
1,17
60
1

50 47
0,8
39 38
40
0,68 0,6
0,62 32
30

0,4
20

10 0,2
0,16

0 0
Russia Slovakia Poland Hungary Czech Republic
Personnel in R&D per 10 000 economically active population (2003)
Publications per researcher during 1996-1999
Patent Applications Granted by
USPTO / Million population
(2003-2004)
USA 320,70

Japan 289,87

G7 146,81

Western Europe 77,91

Hungary 5,16

Czech Republic 3,14

Russia 1,21

Ukraine 0,44

Moldov a 0,41

0,00 50,00 100,00 150,00 200,00 250,00 300,00 350,00


Innovative Enterprises as Share
of Total Industrial Enterprises
12,0% 10,6%
10,3% 10,5%
9,6% 9,8%

10,0%

8,0%
6,2%

6,0%

4,0%

2,0%

0,0%
1999 2000 2001 2002 2003 2004
Survey Data About Innovative
Activity at Industrial Enterprises
Compared to Goscomstat (10,5% in 2004)
other surveys give different results:
§ IET Survey, 2003: 43%
§ IET Survey, 2005: 50%
§ Survey of Russian Economic Barometer
(2003-2005): 40-45%
§ HSE Survey, 2005: 37%
Small Innovative Enterprises
Registered at Economic Sector
“Science and Scientific Services”
1998 1999 2000 2001 2002 2003 2004

Total number, 38.8 37.1 30.9 28.5 22.7 22.1 20.7


thousands

Changes in the -11.6 -4.4 -16.7 -7.8 -20.4 -2.6 -6.3


number, in % to
the previous
year
Periodization of Reforms
• 1992-1996: preservation of science in Russia during
economic crisis; creation of new organizational and
institutional framework.
• 1997-2001: frequent changes in science &
innovation policy. Appearance of concept of NIS
seen as an instrument of commercialization of R&D.
• 2002-present: attempts to start structural reforms in
science, create favorable environment for
innovations. Concept of NIS has been developed but
science is still not seen as integral part of it.
Organizational Reform in
Government R&D Sector
• Research organizations working in applied area should
be privatized or transformed from government to non-
government non-commercial organizations.
• Academic research institutes will be reformed by the
Presidium of the RAS. Some institutes will be merged.
The total decrease in the number of personnel should not
exceed 20% by the year 2008.
To the year 2015 there should be decrease in the
number of federal R&D organizations by 38%.
• Research in universities should be strengthened through:
1. Cooperation with academic institutes,
2. Awarding of status of innovative universities to 30-40
selected higher educational institutes (17 already got this
status on summer 2006),
3. Creation of national universities.
Financing of R&D from the Federal
Budget: Major Approaches
1. Strong support of fundamental research (65% of the
government expenditures on civilian science in
2005).
2. Increased share of funds distributed on the basis of
competitive contracts (Ministry of Education and
Science – 73% in 2005 versus 23% in 2004).
3. Start of joint initiatives with industrial enterprises
(joint research projects; infrastructure; venture
financing).
4. Stable share of federal science foundations in the
total government expenditures on civilian science.
Government Policy Towards
Human Resources in R&D
• Small support of young (additions to
salary; prizes, grants)
• Program of constructing housing for youth
is implemented in an adequate scale
• No conditions for career development,
support of older generations ready to retire
• Absence of special policy to promote
mobility and to attract researchers to Russia
Government Innovation Policy
• Creation of Government-supported Venture Funds
(including “Fund of Funds”) distributing seed financing
for support of start-up companies
• Development of legal basis for public-private
partnerships
• Tax exemptions for R&D and technological activity
• Government support for development of regional
innovation clusters
• Establishment of couching-centers and training centers
• Further development of technical infrastructure
(technology parks, TTOs, incubators)
Strengths of the NIS in Russia
1. Growing popularity of higher and graduate
education. Large share of population with higher
education.
2. Large number of S&T workers.
3. Strong fundamental research.
4. Learning from foreign experience, attempts to
adapt certain internationally-recognized models.
5. The development of the National strategy for
strengthening NIS.
6. Creation of innovative infrastructure and linkages
among key actors of innovation systems.
7. Tax incentives for R&D are developing (at special
economic zones; under discussion – for industrial
enterprises and technology parks).
Weaknesses of the NIS
1. Comparatively large government R&D sector and small
industry sector.
2. Lack of coordination among major policies (macroeconomic,
educational, research, industrial, regional, etc.).
3. Inefficiency of the State administration of R&D (lack of
transparency in decision-making, funds allocation, weak
program monitoring).
4. Flaws in the legislation (budget issues, IPR, support of small
innovative companies).
5. Poor linkages between science and production sector. Low
commercial output of the R&D investments (use of patents,
licenses).
6. Inadequate diffusion of successful mechanisms.
Necessary Actions
ü Introduction of the concept of NIS that includes
science as a component of it.
ü Establishment of coordination among
government agencies in order to make innovation
policy more consistent.
ü Improvement of legal environment for R&D and
innovation.
ü Support of public-private partnerships in
innovation: joint R&D projects, outsourcing of
R&D.
ü Development of government indirect regulations
to stimulate innovations.

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