OECD science, technology and industry outlook 2002.

325 Pages·2002·7.698 MB·English

by  OECD

«
OECD Science, Technology and Industry
2
0
Outlook 0
2
OECD Science,
Science and technology increasingly contribute to economic growth, industrial competitiveness
and the realisation of societal objectives. As countries continue the transition to knowledge-based Technology
economies, policy makers seek effective ways to improve the ability to create, absorb, diffuse and
apply knowledge productively, by stimulating business investments in research and development,
and Industry
reforming science systems and their links to industry, promoting the development of human
resources and stimulating competition and industrial restructuring.
Outlook
The OECD Science, Technology and Industry Outlook 2002 informs policy making by providing
a broad, integrated assessment of these important issues. In addition to reviewing recent trends,
the report identifies significant changes in science, technology and industry policies in the
OECD countries. Special chapters examine emerging issues related to changing business strategies
for R&D, competition and co-operation in the innovation process, reforming national science
systems, strategic use of intellectual property rights in public research institutions, industrial
globalisation and international mobility of scientists and engineers. Following the granting to China of
observer status to the OECD Committee for Scientific and Technological Policy, a special chapter is
devoted to this country’s challenges in the area of scientific and technological policy. A statistical
annex provides up-to-date indicators related to science, technology and industry.
O
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Related Reading: D
• OECD Science, Technology and Industry Scoreboard, 2001 S
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• Benchmarking Industry/Science Relationships i
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• Science, Technology and Industry Outlook: Drivers of Growth: Information Technology, Innovation n
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and Entrepreneurship, Special Edition 2001 e
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2002 2002
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OECD Science,
Technology and Industry
Outlook 2002
ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT
ORGANISATION FOR ECONOMIC CO-OPERATION
AND DEVELOPMENT
Pursuant to Article 1 of the Convention signed in Paris on 14th December 1960, and which came into
force on 30th September 1961, the Organisation for Economic Co-operation and Development (OECD)
shall promote policies designed:
– to achieve the highest sustainable economic growth and employment and a rising standard of
living in Member countries, while maintaining financial stability, and thus to contribute to the
development of the world economy;
– to contribute to sound economic expansion in Member as well as non-member countries in the
process of economic development; and
– to contribute to the expansion of world trade on a multilateral, non-discriminatory basis in
accordance with international obligations.
The original Member countries of the OECD are Austria, Belgium, Canada, Denmark, France,
Germany, Greece, Iceland, Ireland, Italy, Luxembourg, the Netherlands, Norway, Portugal, Spain,
Sweden, Switzerland, Turkey, the United Kingdom and the United States. The following countries
became Members subsequently through accession at the dates indicated hereafter: Japan
(28thApril1964), Finland (28th January 1969), Australia (7th June 1971), New Zealand (29th May 1973),
Mexico (18th May 1994), the Czech Republic (21st December 1995), Hungary (7th May 1996), Poland
(22ndNovember 1996), Korea (12th December 1996) and the Slovak Republic (14th December 2000). The
Commission of the European Communities takes part in the work of the OECD (Article 13 of the OECD
Convention).
Publié en français sous le titre :
Science, technologie et industrie : Perspectives de l’OCDE 2002
© OECD 2002
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FOREWORD
The OECD Science, Technology, and Industry Outlook2002 is the fourth in a biennial series designed to
provide a regular overview of trends, prospects and policy directions in science, technology and
industry across the OECD area. In addition to providing updated information on major policy changes
and statistics, the report presents detailed analyses of key themes in science, technology and industry
policy and their links to innovation and economic performance. Special chapters examine changing
strategies for business R&D, the relationship between competition and co-operation in the innovation
process, reforms in the governance of national science systems, management of intellectual property
rights in public research institutions, policy implications of industrial globalisation, international
mobility of scientists and engineers and recent trends in China’s science and technology system.
The report has been prepared under the aegis of the OECD Committee for Scientific and
Technological Policy and Committee on Industry and the Business Environment, and under the
supervision of Daniel Malkin. It incorporates contributions from numerous staff members of the OECD
Directorate for Science, Technology and Industry: Benedicte Callan, Mario Cervantes, YukikoFukasaku,
Dominique Guellec, Emmanuel Hassan, Ki-Joon Jung, Nam-Hoon Kang, FrankLee, Catalina Martinez,
Gudrun Maass, Kentaro Sakai, Jerry Sheehan and Gang Zhang. Chapters 3 and 4 draw upon material
prepared for the OECD by Henry Chesbrough of the Harvard Business School and Carl Shapiro of the
Haas School of Business (University of California at Berkeley) respectively. Jerry Sheehan served as the
overall co-ordinator of the publication. Sandrine Kergroach-Connan provided statistical support, and
Philippe Marson, Paula Venditti and Marion Barberis provided secretarial support. The report benefited
from comments from above mentioned Committees as well as of numerous members of the Secretariat.
The report is published on the responsibility of the Secretary-General of the OECD.
3
© OECD 2002
TABLE OF CONTENTS
Executive Summary............................................................................................................................................................. 13
Chapter 1
Strengthening the Knowledge-based Economy
Introduction.......................................................................................................................................................................... 23
The changing macroeconomic context.............................................................................................................................. 23
Progress towards a knowledge-based economy.............................................................................................................. 24
Enhancing investments in science and technology......................................................................................................... 31
Human resources for science and technology................................................................................................................. 42
Globalisation, networking and increasing co-operation in science and technology................................................... 45
Notes..................................................................................................................................................................................... 51
References............................................................................................................................................................................ 52
Chapter 2
Recent Developments in Science, Technology and Industry Policies
in OECD Countries
Introduction.......................................................................................................................................................................... 53
General trends in science, technology and industry policies........................................................................................ 53
New frameworks for science, technology and industry policy....................................................................................... 54
Funding and performance of public R&D......................................................................................................................... 56
Stimulating private-sector R&D and innovation.............................................................................................................. 64
Encouraging entrepreneurship and growth of small and medium-sized enterprises................................................ 67
Enhancing networking, collaboration and technology diffusion.................................................................................... 70
Human resources................................................................................................................................................................. 75
Internationalisation and globalisation.............................................................................................................................. 81
Promoting competitive industry........................................................................................................................................ 85
Improving policy delivery................................................................................................................................................... 90
Notes..................................................................................................................................................................................... 96
References............................................................................................................................................................................ 97
Chapter 3
Public and Private Financing of Business R&D
Introduction.......................................................................................................................................................................... 99
Changing patterns of business R&D investment............................................................................................................. 99
Restructuring business R&D............................................................................................................................................... 105
Implications for S&T policy................................................................................................................................................. 112
Summing up.......................................................................................................................................................................... 122
Notes..................................................................................................................................................................................... 124
References............................................................................................................................................................................ 126 5
© OECD 2002
OECD Science, Technology and Industry Outlook 2002
Chapter 4
Competition and Co-operation in Innovation
Introduction.......................................................................................................................................................................... 129
Competition as a driver of innovation.............................................................................................................................. 130
The increasing role of co-operation in innovation........................................................................................................... 131
Competition policy issues.................................................................................................................................................. 139
Conclusion............................................................................................................................................................................ 149
Notes..................................................................................................................................................................................... 151
References............................................................................................................................................................................ 154
Chapter 5
Changing Government Policies for Public Research:
from Financing Basic Research to Governing the Science System
Introduction.......................................................................................................................................................................... 157
Basic research in the science system................................................................................................................................ 158
Trends in the funding and performance of public sector research............................................................................... 160
Institutional impacts: redefining the role of public sector research............................................................................. 164
Common challenges and some policy responses........................................................................................................... 164
Conclusions and policy implications................................................................................................................................. 174
Notes..................................................................................................................................................................................... 175
References............................................................................................................................................................................ 176
Chapter 6
Patenting and Licensing in Public Research Organisations
Introduction.......................................................................................................................................................................... 179
Changing regulatory environments for IP management at PROs................................................................................... 180
Trends in IP protection and licensing at PROs................................................................................................................. 188
Policy implications............................................................................................................................................................... 192
Conclusions........................................................................................................................................................................... 198
Notes..................................................................................................................................................................................... 200
References............................................................................................................................................................................ 201
Chapter 7
Industrial Globalisation and Restructuring
Introduction.......................................................................................................................................................................... 203
Overview of recent trends.................................................................................................................................................. 204
Sectoral trends..................................................................................................................................................................... 212
Driving forces and performance effects............................................................................................................................ 218
Policy issues......................................................................................................................................................................... 221
References............................................................................................................................................................................ 226
Chapter 8
International Mobility of Science and Technology Personnel
Introduction.......................................................................................................................................................................... 229
Trends in the international mobility of the highly skilled workforce............................................................................ 230
Globalisation fuels temporary migration of S&T personnel........................................................................................... 233
6 Competition for foreign students in S&T is increasing................................................................................................... 234
© OECD 2002
Table of Contents
Foreign scholars and researchers...................................................................................................................................... 239
Drivers of scientific mobility............................................................................................................................................... 240
Policy implications............................................................................................................................................................... 241
Summing up.......................................................................................................................................................................... 244
References............................................................................................................................................................................ 245
Chapter 9
Science and Technology in China: Trends and Policy Challenges
Introduction.......................................................................................................................................................................... 247
R&D institutions, reforms and current S&T policies........................................................................................................ 247
Science and technology capabilities................................................................................................................................. 250
Innovation in Chinese enterprises..................................................................................................................................... 261
Foreign direct investment and technology trade............................................................................................................ 266
Policy challenges: improving China’s S&T system........................................................................................................... 269
Concluding remarks............................................................................................................................................................. 272
Notes..................................................................................................................................................................................... 273
References............................................................................................................................................................................ 275
Statistical Annex
Main OECD databases used............................................................................................................................................... 277
Standard notes used in this publication for main science and technology indicators............................................... 280
Standard industry agreggation by technology level....................................................................................................... 281
Annex Tables........................................................................................................................................................................ 282
List of Tables
Chapter 1
1.1. Core macroeconomic projections for the OECD area.......................................................................................... 24
1.2. Contribution of ICTs to output growth................................................................................................................... 30
1.3. Contribution of the ICT-producing and the ICT-using sectors to aggregate GDP growth............................... 30
Chapter 3
3.1. R&D expenditures by US SMEs.............................................................................................................................. 105
3.2. Industry financing of R&D by recipient of funds................................................................................................... 108
3.3. Direct versus indirect financing of business R&D in selected OECD countries................................................. 115
Chapter 5
5.1. Trends in institutional and competitive funding in selected OECD countries................................................ 168
5.2. R&D personnel in the higher education sector by field of S&T activity............................................................ 172
Chapter 6
6.1. Ownership of IPRs at publicly financed research organisations (PROs)............................................................ 182
6.2. Top ten public and private US universities receiving patents........................................................................... 189
6.3. Number of total UK patents granted to higher education institutions............................................................. 191
6.4. Patenting and licensing activity at Canadian PROs.............................................................................................. 191
Chapter 7
7.1. Top 10cross-border M&As...................................................................................................................................... 206
Chapter 8
8.1. Inflows of foreign highly skilled workers and share of Asian migrants among them........................................ 231
8.2. Foreign S&T personnel in Japan on non-temporary visas, as a share of highly skilled................................... 232
8.3. Intra-company transferees in selected OECD countries..................................................................................... 233 7
© OECD 2002
OECD Science, Technology and Industry Outlook 2002
8.4. H-1B visa petitions approved by the US Immigration and Naturalization Service
for the top ten companies and the top seven universities: October1999-February2000............................. 234
8.5. Stock of foreign students in selected OECD countries........................................................................................ 235
8.6. Foreign students enrolled in PhD programmes................................................................................................... 236
8.7. Foreign PhD students at selected Dutch universities......................................................................................... 236
8.8. Share of temporary residents enrolled in US graduate programmes in S&E, by field of study.................... 237
8.9. Share of temporary residents among earned PhD degrees in the United States, by field of study............. 237
8.10. Foreign scholars in major French public research institutes ............................................................................. 240
Chapter 9
9.1. R&D expenditure...................................................................................................................................................... 251
9.2. Numbers of patent applications and patents granted........................................................................................ 259
9.3. Invention patent applications by high-technology industry ............................................................................. 261
9.4. R&D intensity of large and medium enterprises.................................................................................................. 264
9.5. China’s technology imports by type...................................................................................................................... 268
9.6. Trade balance of high-technology products by industry.................................................................................... 269
List of Annex Tables
1. GDP per capita and person employed.................................................................................................................. 282
2. Income and productivity levels in the OECD....................................................................................................... 284
3. Investment in knowledge and gross fixed capital formation.............................................................................. 285
4. Value added in knowledge based industries....................................................................................................... 286
5. Employment in knowledge based industries....................................................................................................... 287
6. Gross R&D expenditures in constant USD PPPs................................................................................................... 288
7. GERD as a percentage of GDP................................................................................................................................ 289
8. Country share in total OECD GERD....................................................................................................................... 290
9. R&D expenditures by source of funds................................................................................................................... 291
10. R&D expenditures by source of funds................................................................................................................... 293
11. R&D expenditures by performer............................................................................................................................ 295
12. R&D expenditures by performer............................................................................................................................ 297
13. Business R&D expenditures in constant USD PPPs............................................................................................. 299
14. Business R&D expenditures as a percentage of GDP.......................................................................................... 300
15. BERD in services and high-technology industries............................................................................................... 301
16. R&D intensity by industry....................................................................................................................................... 303
17. R&D shares by industry........................................................................................................................................... 305
18. R&D expenditures by foreign affiliates................................................................................................................. 307
19. Basic research expenditures................................................................................................................................... 308
20. Government Budget Appropriations or Outlays for R&D (GBAORD) by socio- economic objectives.......... 309
21. R&D tax subsidies in manufacturing companies.................................................................................................. 310
22. Educational attainment of the population............................................................................................................ 311
23. Researchers per 10 000 labour force...................................................................................................................... 312
24. Share of OECD researchers by country.................................................................................................................. 313
25. Researchers by sector of employment.................................................................................................................. 314
26. Number of triadic patent families (by priority year)............................................................................................ 315
27. Share of countries in triadic patent families (by priority year).......................................................................... 316
28. Scientific publications.............................................................................................................................................. 317
29. Scientific publications by field of science............................................................................................................. 318
30. Technology balance of payments........................................................................................................................... 320
31. Ratio of trade to GDP............................................................................................................................................... 321
32. Ratio of trade to GDP by manufacturing industries............................................................................................. 322
33. Export ratio by industry........................................................................................................................................... 323
34. Outward and inward direct investment flows in OECD countries...................................................................... 325
35. Telecommunication access lines per 100 inhabitants......................................................................................... 326
8 36. Internet hosts by country........................................................................................................................................ 327
© OECD 2002
Table of Contents
List of Figures
Chapter 1
1.1. Investment in knowledge as a percentage of GDP.............................................................................................. 25
1.2. Changes in investment in knowledge as a percentage of GDP.......................................................................... 26
1.3. Specialisation of investments in knowledge........................................................................................................ 26
1.4. Average annual growth in specialisation.............................................................................................................. 27
1.5. Average annual growth rate of ICT investment, by component......................................................................... 28
1.6. ICT expenditures as a percentage of GDP............................................................................................................ 29
1.7. GERD as a percentage of GDP in major OECD regions....................................................................................... 31
1.8. GERD as a percentage of GDP................................................................................................................................ 32
1.9. Share of GERD financed by industry..................................................................................................................... 33
1.10. Share of GERD financed by government............................................................................................................... 34
1.11. Defence budget as a percentage of total GBAORD............................................................................................. 34
1.12. Early- and expansion-stage venture capital financing in OECD countries/regions.......................................... 35
1.13. Industry orientation of venture capital investments in the United States....................................................... 36
1.14. Percentage of GERD performed by the business enterprise sector.................................................................. 37
1.15. Performance of public research.............................................................................................................................. 37
1.16. Distribution of R&D expenditure by type of activity in the government and higher education sectors..... 38
1.17. Distribution of R&D expenditure by type of activity in the business enterprise sector................................ 38
1.18. Number of scientific publications permillion population.................................................................................. 39
1.19. Scientific publications in relation to GERD........................................................................................................... 40
1.20. Number of US patents permillion population..................................................................................................... 40
1.21. Number of European patent applications permillion population.................................................................... 41
1.22. Patent families in relation to GERD....................................................................................................................... 41
1.23. Expenditure on tertiary education as a percentage of GDP............................................................................... 43
1.24. Population with tertiary-level education, by age group...................................................................................... 43
1.25. Total researchers per thousand labour force........................................................................................................ 44
1.26. Business enterprise researchers as a percentage of total researchers............................................................. 45
1.27. International trade in highly R&D-intensive industries....................................................................................... 46
1.28. Ratio of exports to imports in highly R&D-intensive industries......................................................................... 47
1.29. Foreign ownership of domestic inventions........................................................................................................... 47
1.30. Domestic ownership of inventions made abroad................................................................................................ 48
1.31. Percentage of scientific publications with a foreign co-author........................................................................... 49
1.32. Percentage of US patents with foreign co-inventors............................................................................................ 49
Chapter 3
3.1. Gross expenditures on R&D in the OECD region................................................................................................. 100
3.2. National trends in industry-financed and business-performed R&D relative to GDP.................................... 101
3.3. Change in BERD intensity by source of funds...................................................................................................... 102
3.4. Distribution of the growth in business R&D between1990 and1998 by industry........................................... 103
3.5. Growth of venture capital markets in OECD countries........................................................................................ 104
3.6. Corporate venture capital investments................................................................................................................. 110
3.7. Share of BERD allocated to basic research in selected OECD countries.......................................................... 113
3.8. Direct government funding of business R&D....................................................................................................... 115
3.9. Government R&D funding by sector of performance.......................................................................................... 116
3.10. Share of BERD financed by government............................................................................................................... 117
3.11. SMEs’ share of national R&D performance........................................................................................................... 119
Chapter 4
4.1. Share of co-applications in triad patent families by priority date..................................................................... 133
4.2. Strategic technology alliances................................................................................................................................ 134
4.3. Strategic technology alliances by region............................................................................................................... 135
4.4. Number of M&As worldwide................................................................................................................................... 136
4.5. Percentage of firms innovating with and without co-operation.......................................................................... 137
4.6. Sources of information considered as very important for innovation............................................................... 138
4.7. Partners in innovation.............................................................................................................................................. 139 9
© OECD 2002