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Full text of "Science and Technology in Brazil -€“ A New Policy for a Global World (summary paper)"

Science and Technology in Brazil: 
A new policy for a global world 



Simon Schwartzman, general coordination 

Eduardo Krieger, biological sciences 
Fernando Galembeck, physical sciences and engineering 
Eduardo Augusto Guimaraes, technology and industry 
Carlos Osmar Bertero, Institutional analysis 



This is the summary document of the science and technology policy study 

carried on by the Sao Paulo School of Business Administration, Getulio 

Vargas Foundation, for the Brazilian Ministry of Science and Technology, 

within the Program for Scientific and Technological Development (the 

PADCT II agreement between Brazil and the World Bank). The ideas 

expressed in this text are the sole responsibility of its authors. 



Sao Paulo, November, 1993 



Contents 

Summary i 

Introduction 
Recommendations ii 

1 . Technology and applied science 

2 - Basic science and education iii 

3 - International Cooperation 

4 - Information and knowledge dissemination v 

5 - Institutional reform v 

6 - Goal-oriented projects vi 

1 . Science and Technology in Brazil 

2. Background 

a. The beginning: S&T development in a period of economic expansion 

b. Main initiatives 6 

c. Crisis in the eighties and nineties 

3. The achievements of the 1970s and the realities of the 1990s 11 

a. The "endless frontier." 11 

b. Planning 11 

c. Import substitution in science 12 

d. Elitism in technology and education. 12 

4. New realities 14 

a. Changes in the role of science and technology in the international scene. 

b. Changes in the nature of the scientific enterprise 

c. Changes in the nature and capabilities of the Brazilian state. 20 

5. A new policy for a global world 

6. Policy recommendations 

a. To redirect the country's technology policies 25 

b. To protect the existing pool of scientific competence. 

c. To develop a three-pronged policy for S&T development, with clearly 

distinguished support mechanisms for basic science, applied work and 

extension and education. 29 

_ Basic science research and education. 29 

_ Applied science 31 

- Education 34 

d. Infrastructure for information and knowledge dissemination 37 

e. Institutional reform. 

f. Goal-oriented projects 42 



Conclusion 44 

Papers commissioned for this study 

Bibliographical References 



SUMMARY 

Introduction 



Brazil developed, in the last quarter of a century, a very significant effort to build its 
scientific and technological capabilities, but in the last decade this sector has suffered 
intensely from lack of resources, institutional instability and lack of clarity about its role 
in the economy, society and education. Brazil's Science and Technology sector is in need 
of urgent action. Recent transformations in the world's economy have made a country's 
scientific, technological and educational competence more important than ever to 
increase production, raise the standards of living of its population, and deal with its 
social, urban and environmental problems. Policies for science and technology can only 
be fruitful in association with coherent policies and actions for economic adjustment, 
education and industrial development. Policies from the central government can only be 
effective if they involve the active participation of state and local governments and of 
business, workers, educators and the scientific and technological community. The 
proposals put forward in this document should not be seen in isolation, but as a 
contribution to a much broader effort. 

This policy paper was prepared by the Getulio Vargas Foundation at the request of 
Brazil's Ministry of Science and Technology and the World Bank, as established by the II 
Program for Scientific and Technological Development (the PADCT II agreement). The 
work was carried on with the cooperation of an independent group of scientists, 
economists and specialists of science policy in Brazil and abroad, which produced about 
40 papers dealing with the international context, Brazil's scientific and technological 
capabilities, the links between science, technology and the economy, and Brazil's 
institutions for science and technology support. This final document is the responsibility 
of the projects' coordinating team, and does not express necessarily the opinions of the 
Brazilian government, the World Bank, the Fundacao Getulio Vargas, nor of the 
individuals who contributed with specific studies. 

The main thrust of this policy paper is that there is a definite need to move from the 
previous mode of scientific and technological development into a new one, more 
adequate to the current and future realities. This policy paper presents a summary of what 
Brazil's science policy was in the recent past, the current situation, an overview of the 
recent transformations of science and technology in the international context, and puts 
forward some proposals for new directions. To implement these recommendations, the 
Brazilian government, with the support of the World Bank and other sources, should 
establish a high-level task force to evaluate this and other policy studies now being 
concluded, and propose specific policy measures to be carried on by the Ministry of 
Science and Technology and other agencies, and to be presented to Parliament to be 
enacted in law when necessary. The main recommendations are summarized below. 

Recommendations 



Science and Technology are more important than ever for Brazil, if the country is to 
raise the standards of living of its population, consolidate a modern economy, and 
participate as a significant partner in an increasingly integrated and global world. The 
economy must modernize, and adjust to an internationally competitive environment. 
Education should be expanded and improved at all levels. As the economy grows and 
new technologies are introduced, new challenges will emerge in the production and use 
of energy, environment control, public health, the management of large urban 
conglomerates, and changes in the composition of the labor force. Strong indigenous 
competence will be necessary to participate as an equal in international negotiations and 
in the setting of international standards that may have important economic and social 
consequences for Brazil. 

The new policy should steer away from the extremes of laissez faire and centralized 
planning. A traditional, laissez-faire approach to scientific and technological 
development will not produce the necessary competence on the scale and quality needed 
for these tasks. Large-scale, sophisticated and highly concentrated technological projects 
are not likely to spin off into education and industrial development as a whole. Attempts 
to bring the whole field of science and technology under the aegis of centralized planning 
and coordination run the risk of stimulating large and inefficient bureaucracies, and to 
stifle initiative and creativity of research. 

The new policy should implement tasks that are apparently in contradiction: to 
stimulate the freedom, initiative and creativity of the researcher, while establishing strong 
links between his work and the requirements of the economy, the educational system and 
of society as a whole; and to make Brazilian science and technology truly international, 
while strengthening the country's educational and S&T capabilities. 

To fulfill these tasks, the following recommendations are made: 

1. Technology and applied science: 

a. To redirect the country's technology policies, in line with new economic realities. 
On the short run, policies should be geared to the reorganization and technological 
modernization of the industrial sector. Permanent policies should exist to induce the more 
dynamic sectors of the productive system to enter a continuous process of innovation and 
incorporation of new technologies, to follow the rhythm of technical progress in the 
world economy. Both approaches require, as the main priority, the incorporation of 
existing technology to the productive process. 

b. Research groups in universities and government institutes should be strongly 
stimulated to link to the productive system and to engage in applied work, while 
maintaining a high level of academic and basic research activities. Resources for applied 
work should not come from the budget for basic activities, but from specific sources in 



governmental agencies, special programs, private firms, and independent foundations. 
Applied projects should be evaluated in terms of their academic quality, but also of their 
economic viability and social and economic significance. 

c. The current situation, in which 80% or more of the current expenditures are public, 
should be changed. This should not be done by reducing further the government's 
expenditures in R&D, but by stimulating the private sector to invest more in this sector. 

d. Government agencies dealing with matters requiring research work, such as health, 
education, environment, energy, communications and transportation, should have 
resources to contract research with universities and research institutions on matters of 
their interest. This practice should prevail upon the tendency of these agencies to create 
their own research outfits, and their projects should be subject to joint evaluations by peer 
review and policy oriented authorities. Research institutes and centers in public agencies 
and state companies should be placed under peer oversight, and required to compete for 
outside research support. 

e. The current military projects should come under technical, academic and strategic 
evaluation with the participation of selected, high quality scientific advisers, and be either 
streamlined, discontinued, reduced, or converted to civilian projects. 

f Research programs in applied fields, like electronics, new materials, biochemistry 
and others, should only be established in association with identified partners in industry, 
which should be involved from the beginning in setting objectives and in sharing costs; 
they should be subject to independent evaluations of economic, managerial and scientific 
feasibility, and monitored on these terms. 

2 - Basic science and education 

. Support for basic science should be maintained and expanded, with special attention 
to its quality, according to accepted international standards. Basic or academic science, 
broadly understood as research work that does not respond to short-term practical 
demands, remains essential for Brazil. The information it generates is free, and is the 
main source for the acquisition and spreading of the basis of tacit knowledge that 
permeates the whole field of science, technology and education. For a leading country, 
heavy investments in basic science can be thought of as problematical, since their results 
can be appropriated by other countries and regions for very little cost. For the same 
reason, investments in basic science in small scientific communities can be extremely 
productive, since they allow tapping the international pool of knowledge, competence 
and information. 

. The existing pool of scientific competence has to be protected. Many of the best 
R&D institutions and groups are being dismantled by absolute lack of resources, and 
emergency measures are needed to deter this process. The government should guarantee a 



stable and predictable flux of resources to its main S&T agencies for their daily routines 
and "over the counter," peer reviewed research supporting activities. The most qualified 
research institutions and groups should be preserved in their ability to keep their best 
researchers and their work and educate new scientsists. The main mechanism for this 
should be the implementation of the proposed system of "associated laboratories," which 
should provide stable resources to about 200 research groups and institutions, based on 
clear procedures of evaluation and peer review. The estimated cost for maintaining this 
program is approximately US$ 200 million a year; a similar amount will be needed to 
provide these laboratories with basic equipment and infrastructure. 

. Research institutions, particularly in universities, should be required to play a very 
active role in the enhancement of undergraduate and technical education, not only 
through teaching, but also through direct involvement in the production of good quality 
textbooks, the development of curricula and new teaching methods and programs of 
continuous education. Adequate mechanisms should be devised to make these activities 
more rewarding and prestigious than they have been so far. 

3 - International Cooperation 

Globalization requires a profound rethinking of the old dilemma between scientific 
self-sufficiency and internationalization. They should not be perceived as contradictory, 
but as complementary. Brazil has much to gain as it increases its ability to participate 
fully as a competent and respected partner in the international scientific and technological 
community. To meet this objective, the following policies should be implemented: 

a. Fellowship programs of CAPES and CNPq for studies abroad should be revised, 
maintained, and eventually expanded. Fellowships should be awarded only to first-rate 
students, going to first-rate institutions, with a clear perspective of returning to productive 
work in Brazil. Fellowships for doctoral degrees should be combined with "sandwich" 
fellowships for doctoral students in Brazilian institutions for reduced periods abroad, and 
with short-term support for training periods in laboratories and companies. The existence 
of good quality doctoral programs in a given field does not preclude the need to keep a 
permanent flux of students to the best foreign universities. 

b. Provisions should exist for post-doctoral programs both abroad and in Brazil, and 
to bring top-quality scholars from other countries for extended periods, or even 
permanent appointments, in Brazilian university and research institutions. 

c. The channels for international cooperation between Brazil, international agencies 
and institutions, and the international scientific community, should be kept open and 
expanded. The World Bank, the International Development Bank and the United Nations 
Development Program have played important roles in providing resources for capital 
investment, research support and institutional development for Brazilian institutions. This 
presence should be maintained not only because of the resources involved, but because of 



what they bring in terms of international perspectives and competence. In the future, such 
agencies could be very helpful in a process of institutional reform. As a rule, cooperation 
among scientists, research institutions and private foundations in different countries is 
established directly, and need the support, but not the interference, of governmental 
agencies. 

d. The issues of protectionism vs. market competitiveness in scientific and 
technological development should be dealt in pragmatic, rather than in ideological terms. 
The country should not renounce to its instruments of technological and industrial policy, 
including tax incentives, tariff protection, patent legislation, government procurement and 
long-term investments in technological projects, in association with the private sector. 
Adequate legislation for patents and intellectual property should be established with the 
understanding that they are necessary for the normalization of Brazil's relations with the 
industrialized countries. 

4 - Information and knowledge dissemination 

New and systematic means to incorporate technology into the industrial process 
should be developed, with strong emphasis on the development and dissemination of 
norms and standards, information, and procedures for technological transfer and quality 
improvement. A well organized and properly funded knowledge infrastructure is 
necessary to assure the easy access of scientists to libraries and data collections in the 
country and abroad, making use of the latest technologies of electronic communication 
and networking. It is necessary to make these links effective and transparent to the 
individual researcher, and to establish mechanisms to bring texts and data to the 
scientist's working place. The role of CNPq's Brazilian Institute for Scientific and 
Technological Information (IBICT) should be reexamined in the light of the new 
technologies and competencies developed elsewhere. 

5 - Institutional reform 

. The Ministry of Science and Technology should restrict its role to matters of policy, 
financing, assessment and evaluation, without carrying R&D activities under its direct 
administration. Although a cabinet-level position for science and technology is clearly 
necessary, the very existence of a ministry of science and technology, with all its 
overhead costs and exposure to political patronage, should be reexamined. 

. The existing system of federal institutions for scientific and technological support 
should be evaluated in terms of its ability to perform the functions needed by the sector: 
support for basic research, support for applied projects, large and small research grants, 
fellowship and training programs, scientific information, norms and standards, and 
others. Brazil needs a federal agency to provide long term, sizeable grants for institutions 
and cooperative projects. This was the role played in the past by the National Fund for 
Scientific and Technological Development (FNDCT), administered by FINEP. Whether 



these resources should be managed by FINEP, CNPq or by a new institution should be 
examined as part of a broad review of the roles, jurisdiction and competencies of the 
existing agencies. 

. Financing agencies should be organized as independent, state owned corporations, 
and free of formalistic and bureaucratic constraints. They should be placed under strict 
limitations regarding the percentage of resources they can spend on administration, and 
should be supervised by high-level councils with the participation of scientists, educators, 
entrepreneurs and government officers. They should rely on external advise for their 
decisions, and their bureaucracy should be limited to the minimum. 

. Research institutions and public universities should not be run as sections of the 
civil service. They need to be free to set priorities, seek resources from different public 
and private agencies, and establish their own personnel policies. 

. No research institution receiving public support, and no government program 
providing grants, fellowships, institutional support or other resources to the S&T sector, 
should be exempt from clear and well-defined procedures of peer evaluation, combined, 
when necessary, with other types of economic and strategic assessments. Peer review 
procedures should be strengthened by the federal and state governments, made free from 
pressures of regional, professional and institutional interest groups, and acquire a strong 
international dimension. For instance, research proposals could be easily distributed to 
international referees through electronic mail. 



6 - Goal-oriented projects 

The broad changes suggested in this document do not preclude the adoption of well- 
identified projects linking science, technology and the productive sector, to deal with 
specific questions and problems and to strengthen the country's capabilities in selected 
areas. It is necessary to develop a list of main areas of established competence and social, 
economic and environmental relevance, which should be the focus of future investments; 
to identify areas that should be phased out, or reduced; and special weaknesses and 
competencies in need of strengthening and support. 



Science and Technology policy in Brazil 
A new policy for a global world 



Science and Technology in Brazil 



Brazil developed in the last 25 years the largest system of S&T in Latin America, one 
of the most significant among semi-industrialized countries. There are about 15 thousand 
active scientists and researchers in the country, and about one thousand graduate 
programs in most fields of knowledge 1 . Fellowships keep several thousand students in 
the best universities in the United States and Europe at any time. The number of research 
papers in international publications is the highest in the region. Research takes place 
mainly in the major universities, such as the University of Sao Paulo, the Federal 
University of Rio de Janeiro, the University of Campinas and the Sao Paulo School of 
Medicine; in research institutes linked to the Ministry of Science and Technology, such 
as the National Institute for Space Research, the National Institute for Research on the 
Amazon and the National Institute of Technology; in research institutes belonging to the 
National Research Council (the Brazilian Center for Physics Research, the Center for 
Mineral Technology, the Institute of Applied and Pure Mathematics, the National 
Observatory, the National Laboratory for Computer Sciences, the National Laboratory of 
Astrophysics, the Emilio Goeldi Museum of Natural History, and the National 
Laboratory of Synchrotron Light); in the Brazilian Corporation for Agricultural Research 
(EMBRAPA), linked to the Ministry of Agriculture; in the Oswaldo Cruz Institute, linked 
to the Ministry of Health; in research centers kept by the largest state-owned 
corporations, such as Petrobras (oil), Telebras (telecommunications), Eletrobras 
(Electricity) and Embraer (airplane construction); in research units linked to the armed 
forces, such as the Air Force Technological Center (CTA); in institutes belonging to state 
governments, specially in Sao Paulo, like the Butantan Institute (vaccines), the Biological 
Institute and the Institute for Technological Research (IPT); and in a few leading private 
corporations, such as Aracruz Cellose (paper), Itautec (computers), Aco Villares, Metal 
Leve (mechanical components), Elebra (computers), and others. 

Most research activities in Brazil take place in universities. Brazil has about 1.5 
million students enrolled in undergraduate programs, 30 thousand in masters and 10 
thousand in doctoral programs. About one third of the undergraduate, and most of the 
graduate students are in public universities, which are free of charges. The remaining one 



1 This figure depends on what a "researcher" is. The Brazilian National Research Council (CNPq) listed 
52,863 researchers in 1985, for about 3.5 million persons with higher education degrees. However, only 
21.7% of those, or eleven thousand, had doctoral degrees. The number of university professors with 
doctoral degrees in 1991 was about 17 thousand, or 12% of the total. This figure is also consistent with the 
number of research proposals presented to FAPESP and CNPq each year (Brisolla, 1993; Martins and 
Queiroz, 1987; Schwartzman and Balbachevsky, 1992). As for the graduate programs, the figure depends 
on whether one counts degrees offered or course programs proper. 



million attends private institutions, which, with very few exceptions, do not have 
graduate education and research. The Federal government spent about 3.4 billion dollars 
on higher education in 1990 2 , and the state of Sao Paulo an additional 871 million for its 
three universities (Goldemberg, 1993b; Durham, 1993; Campanario and Serra, 1993). 
The gross per-capita costs for students in public universities are between five to eight 
thousand dollars a year, with most of the money going for salaries and the maintenance of 
hospitals 3 . For research, university professors have to apply to Federal or State agencies, 
national and international private foundations, or to engage in research contracts with 
governments, public corporations and, to a lesser degree, private institutions. 



Table 1. Brazil, expenditures in science and technology and Gross Domestic Product, 1980/1990, 
in US$ millions of 1991(*). 


year 


I-federal 
budget( 

2) 


II-state 
budgets( 

2) 


Ill- 
Govern 
ment 
expendit 
ures(I+II 
) 


IV- 

Expendit 
ures of 
the 

Producti 
ve sector 


V- 

Nation 

al 

Expend 

itures 

(III+IV 

) 


VI- 

National 

expendit 

ures as 

%of 

GDP 


VI- 

Gross 

Domestic 

Product 

(GDP)(3) 


1980 


824.5 


496.8 


1321.3 


330.3 


1651.6 


0.43 


386863 


1981 


1519.6 


672.4 


2192.0 


548.0 


2740.0 


0.74 


370279 


1982 


1863.3 


654.6 


2517.9 


629.5 


3147.4 


0.85 


372122 


1983 


1475.4 


462.6 


1938.0 


484.5 


2422.5 


0.67 


359727 


1 1984 


1426.9 


500.7 


1927.6 


481.9 


2409.5 


0.64 


378422 


1985 


1953.9 


501.9 


2455.8 


613.9 


3069.7 


0.75 


408151 


1986 


2288.6 


651.3 


2939.9 


735.0 


3674.9 


0.84 


439451 


1987 


2556.1 


466.9 


3023.0 


755.7 


3778.7 


0.83 


455424 


1988 


2506.4 


396.7 


2903.1 


725.8 


3628.9 


0.80 


454918 


1989 


2147.1 


512.5 


2659.6 


664.9 


3324.5 


0.71 


469663 


1990 


1679.0 


672.2 


2351.2 


587.8 


2938.9 


0.72 


406906 


Source: Brisolla, 1993. Data from MCT-.CNPq/DAD/SUP/COOE. 

Notes: (*) Deflated according to general price index of the Fundacao Getulio Vargas (IGP-DI/FGV) 
and converted to US dollars according to the average rate for 1991; (2) - actual expenditures; (3) - 
Corrected for inflation and converted to US dollars according to the average rate for 1991. 



The development of these activities was accompanied by the creation of a complex 
system of institutions, which are presently led by the Ministry of Science and Technology 
(MCT). MCT is formally responsible for coordinating S&T policy in all areas, directly or 
through agencies such as the National Council for Scientific and Technological 
Development (CNPq) and the Financing Agency for Studies and Projects (FINEP). 
Besides, both MCT and CNPq have research institutions under their jurisdiction. The 



2 These figures are only rough estimates, because of high inflation and unstable exchange rates. 

3 For different perspectives on student costs, see Paul and Wolynec, 1990, and Gaetani and 
Schwartzman, 1991. The estimation is that hospitals absorb about 10% of university's budgets (they have 
also other sources of income). 



Brazilian Science in Context 

Brazil is a scientifically small country, performing much less than 1% of the scientific research 
in the world, and this attracts much less that 1% of the citations in subsequent literature. No 
Brazilian scientist was among the nearly three thousands mentioned as principal contributors 
or significant influentials in a survey of scientists elsewhere. Brazilian research amounted to a 
little less than half of the research performed in the rest of Latin America and about a third of 
that performed in Israel where scientific performance was high as indicated by the rather 
frequent mentioning of Israelis as great contributors and influentials. In economy and 
population, Brazil is roughly half the size of the rest of Latin America, as in science. But 
Brazil is a whole order of magnitude larger than Israel in terms of the economy and even more 
in terms of population and yet far less research is performed in Brazil than in Israel. This 
shows that scientific performance in a country is not a reflection of the size of the country in 
terms of population or economy (there is only a very weak correlation with population and a 
weak correlation with the economy). These differences in scientific performance seem shaped 
by differences in institutionalization of science. 

Thomas Schott, 1993. 



n in Brazil 

Most states 
or research 
largest of 
ch Support 
nounted to 
ten similar 
20 million 
actice they 
al societies 
leir special 
in private 
there is no 
technology 
her than to 
itions; and 
i 1981 and 



1989, Brazil spent between about two and three billion dollars a year in science and 
technology activities, amounting to about 0.6 to 0.8% of the GDP. Of this, only about 6% 
came from the private sector, and another 10% from state-owned corporations (Brisolla, 
1993; Coutinho and Suzigan, forthcoming; Wolff, 1991). These resources have been 
subject to high levels of instability in the last several years, in a context of near hyper 
inflation and economic stagnation. 

Impressive as some of these achievements may be, they still leave Brazil as a minor 
player in the world's scientific community (box 1). Articles by Brazilian authors 
published in the international literature are less than 1% of the world total. In 1992 Brazil 
ranked twentieth among nations in scientific production in absolute terms, trailing China, 
Belgium, Israel and Denmark, and ahead of Poland, Finland, Austria, Norway, Taiwan 
and Korea (Castro, 1986; Schott, 1993). Links between scientific research and the 
productive sector are weak, and its impact on the quality of undergraduate and technical 
education is limited, a few significant exceptions notwithstanding. 



. Background 

. The beginning: S&T development in a period of economic expansion 

Some of Brazil's scientific institutions date from the late 19th century, and the 
National Research Council from the early 1950's. The larger part of the current S&T 



4 The estimate, made by SBPC, is that in 1991 the states were supposed to provide 317 million dollars 
for research activities, but granted only 84 million. Figures for 1992 were 182 and 82 million. Of the total 
spent, about 70% came from FAPESP. Brisolla, 1993. 



capability, however, was built during the 1968-1980 years, in a period of military rule 
(Schwartzman, 1991). Three factors contributed to this rapid expansion. The concern of 
some military and civilian authorities with the need to build up the country's S&T 
competence, as part of a broader project of national growth and self-sufficiency; the 
support this policy received from the scientific community, in spite of earlier (and often 
continuing) conflicts between scientists and academics and the government; and the 
economic expansion of the period, in which Brazil's economy grew at an annual rate of 7 
to 10 percent. Another important element was the improvement of the government's 
ability to carry out policies in those years, through the establishment of small, 
independent agencies outside the federal bureaucracy, and an expanding fiscal basis. 

The policies of the last 25 years should be seen in terms of the changes in Brazilian 
society and economy in the previous decades. Between 1950 and 1980 Brazil turned from 
an agrarian into a highly urbanized society, but with high levels of social and economic 
inequality between regions and social groups. Employment in the primary sector went 
from 59.9% of the active population to 29.9% in those 30 years, while industrial 
employment went from 14.2% to 24.4%; the service sector, meanwhile, went from 25.9% 
to 45.7% (Faria, 1986). The industrial sector developed under the protection of tariff and 
non tariff barriers that shielded national, multinational and state-owned companies in the 
Brazilian territory from international competition. By 1970, the Brazilian industry 
supplied most of the demand for manufactured goods in the internal market, depending 
only on the import of sophisticated machine tools, chemicals, oil and electronics. A 
Strategic Program for Development, set by the Military government in 1968, sought to 
overcome these limitations. The country should build its own basic industry, develop its 
own sources of energy, and absorb the latest advances in science and technology. Starting 
with the Second National Development Plan, public corporations were created or 
expanded, subsidies were provided for the private sector, and barriers were raised against 
foreign competition, to protect the country's infant industries. Science and technology 
were perceived as a central ingredient in this strategy, and received unprecedented 
support. 

This ambitious project of scientific, technological and industrial self-sufficiency, 
however, did not receive more than scattered support in the productive sector, and 
remained for the most part restricted to special segments of the state bureaucracy and the 
academic community. For most firms, including the large, state-owned corporations, the 
origin of technologies used in their activities was less important than their cost and 
reliability. Restrictions to the entrance of foreign technology and capital - as it happened 
with the computer sector in the eighties _ were perceived as a hindrance and a burden. 
This difficulty was accentuated because there was no understanding of the effective 
mechanisms and policies leading to technological innovation in the productive sector. 
The need to strengthen the country's basic technological infrastructure _ metrology, 
normalization, quality control and certification _ received only secondary attention, at 
least until the late seventies. 



. Main initiatives 

The main initiatives of this period were the following: 

- The university reform of 1968, with the partial adoption of the American system of 
graduate education and the reorganization of the universities in terms of institutes, 
departments and the credit system; 

_ The placement of science and technology under the responsibility of the economic 
policy authorities, which allowed for a much higher influx of resources to S&T than ever 
before; 

_ The creation of a new Federal agency for S&T under the Ministry of Planning, the 
Financing Agency for Studies and Projects, FEMEP, unencumbered by civil service 
routines and restrictions, and responsible for the administration of several hundred 
million dollars a year for science and technology support (Guimaraes, R., 1993); 

_ The establishment of a few large-scale centers for R&D, like the Coordination for 
Graduate Programs in Engineering of the Federal University in Rio de Janeiro (COPPE) 
and the University of Campinas, geared toward technological research and graduate 
education in engineering and sciences; 

_ The beginning of several programs of military research, such as the space program 
and the "parallel" nuclear program; 

The agreement with Germany for cooperation in nuclear energy, which was to 
create an autonomous capability in the construction of nuclear reactors based on locally 
reprocessed fuel; 

__ The establishment of a policy of protected market for the computer industry, 
telecommunications and microelectronics, linked to an emerging national private sector; 

__ The formulation, by the Federal Government, of successive National Plans for 
Scientific and Technological Development; 

_ The establishment of centers for technological research under the main state-owned 
corporations, which sought to keep up with the technological frontier, develop standards 
and transfer technology to their main suppliers; 

The strengthening and expansion of EMBRAPA, the Brazilian Corporation of 
Agricultural Research; 

_ The consolidation of peer review procedures in some of the main public agencies 
for science, technology and graduate education: CNPq, CAPES and the Sao Paulo 
Foundation for Research Support (FAPESP). The main federal agency for science and 



technology development in the seventies and eighties, however, FINEP, never introduced 
systematic peer review procedures although it works routinely with external consultants. 
Larger decisions of resource allocation in CNPq also remained usually outside peer 
review. 

. Crisis in the eighties and nineties 

It is possible to point to several weaknesses in an otherwise successful policy of 
scientific growth. Links between S&T and the productive sector remained weak, lacking 
demands for advanced technology, in an economic environment characterized by 
protectionism and reliance on cheap labor and natural resources. The only significant 
exceptions occurred in the modern, export oriented sector of agriculture, which benefitted 
from research on the introduction of new varieties, the control of plagues, and the 
biological fixation of nitrogen, with very significant gains in productivity (Malavolta, 
1986); in sectors associated with the large state corporations, such as 
telecommunications, energy, and the chemical industry; in the production of military 
equipment; and in the computer industry, with the attempt to link research with a 
protected industry of small computers for the internal market (Lucena, 1993; Tigre, 
1993). In the universities, the new research and graduate programs remained often 
isolated from undergraduate education and teacher training. The quality of the scientific 
institutions created and expanded in the seventies was often not very high, and peer 
review procedures for quality control not always prevailed. 

After 1980, the science and technology sector entered a period of great instability and 
uncertainty, characterized by institutional turmoil, bureaucratization, and budgetary 
uncertainty. The evolution of national expenditures for Science and Technology in the 
eighties, as illustrated on table 1, followed two parabolas. It grew in the first years of the 
decade, fell in 1983 and 1984, increased again with the short-lived economic expansion 
of the Cruzado Plan in 1985 and 1986, and fell rapidly when inflation picked up again in 
1988, reaching its lowest levels in 1991 and 1992 (Brisolla, 1993). In 1985, the National 
Fund for Scientific and Technological Development administrated by FINEP was just 
one fourth of its 1979 value. This instability and uncertainty were related to economic 
stagnation, but also to an expanding arena of conflicting interests striving for public 
funds, and to an increase in political patronage (Botelho, 1990 and 1992) (box 2). The 
S&T sector became one among many interest groups pressing for more resources, 
sometimes with partial success, but losing ground on the long run. The same pattern took 
place in most public universities, particularly in the federal system. The growing 
unionization of academic and administrative personnel allowed for significant gains in 
salaries, employment benefits, and participation in the universities' management, but 
stifled the institutions' ability to improve quality and make better use of their resources. 

The World Bank supported Program for Scientific and Technological Development 
(PADCT I, 1985, followed by PADCT II in 1990) was conceived in the early eighties, 
when the full dimension of the crisis was still to unfold. The program was supposed to 



improve the decision making capabilities of government and to strengthen R&D in 
biotechnology, chemistry and chemical engineering, earth sciences and mineral 
technology, instrumentation, physical environment and science education. In practice, 
instead of building upon a basis of existing resources, PADCT became often the only 
source of public support for the fields included in its priorities. Instead of improving the 
country's management and decision-making capabilities, it may have had the opposite 
effect, by creating an additional bureaucratic layer upon the existing institutions 
(Stemmer, 1993). Contrary to some claims, PADCT did not introduce peer review in 
Brazil, which had existed since the fifties. However, it may have strengthened it, since its 
projects were significantly more substantial and were submitted to more detailed analysis 
and discussion than those of CNPq. 

In the early nineties, there was a trend to make science and technology more directly 
relevant to industrial competitiveness, in a new international context characterized by 
increased market competition and the growing relevance of science based industries 
(Guimaraes, E., 1992). A few features of this trend can be listed: 



What Global Figures do not show 



Between 1985 and 1988 the federal government budget item related to general 
administrative expenditures jumped from 4.7 to 10.4% of the total expenditures for science 
and technology. This change reflects an increase in political patronage that takes hold of 
Brazilian bureaucracy at the time of the 1986 elections. At the same time, the National 
Commission for Nuclear Energy alone absorbs 25% of this item, which was a way to provide 
money for discretionary expenditures for the Brazilian nuclear program. We can add to this 
figure the capital investments in state companies in 1988, which included the bailing out of 
Nuclebras and other items marginal to science and technology as such, like airport 
infrastructure, debt payments, and others. The total comes close to one third of the federal 
budget for science and technology. This bureaucratization of science appears also in the fact 
that, in that year, about 25% of the resources from the Ministry of Science and Technology 
were used for administrative activities, most of it in its central administration (excluding 
supervised institutions such as the Institute for Space Research). The remaining expenditures 
were given to applied research (33%), basic research (7.7%), graduate education (8.6%) and 
fellowships (6.5%). Military expenditures took a significant bite from the applied research 
item: 12% for the old National Security Council, 8% for the Armed Forces General Staff 



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_ The increasing concern with university managerial autonomy and accountability, 
and transparent rules for public financing to the sector. 



Cooperation and partnership between university and industry 

The Department of Mechanical Engineering of the Federal University of Santa 
Catarina works in three important areas - fine mechanics, new materials and industrial 
automation and quality control. It has a support program for small and mid-size industries 
financed by Germany's Geselschaft fur Technische Zusammarbeit, in an agreement with the 
Program of Human Resources in Strategic Areas of the Ministry of Science and Technology, 
and cooperates with the state's Secretary of Agriculture in the development of agricultural 
equipment prototypes, and in the development of environmentally safe agricultural 
technologies, which has also the support of the World Bank. 

The Department has long-term contracts for research and development with many 
industrial firms, including Embraco, Portobello, Pirelli, Weg, Mannesman-Demaq, Braun- 
Boweri, Volvo, Bosch, Eletrosul, Copesp, CNEM and CTA. Such contracts account for about 



n the early 
e reduction 
the ability 
om budget 
mance and 



efficiency (Schwartzman, J., 1993). On the positive side, the state universities in Sao 
Paulo were granted a fixed percentage of the state's tax basis for their financing, and 
increased autonomy to manage their resources. In some places, like at the School of 
Engineering at the Federal University of Santa Catarina (box 3), the situation led to new 
experiences of cooperation and partnership among university departments, local and 
foreign governments, private firms and donors, for research and development and for the 
creation of new high technology firms ("incubators") (Castro, M. H., forthcoming). 



. The achievements of the 1970s and the realities of the 1990s. 

The scientific and technological competence acquired by Brazil in the last decades is 
an important asset for its continuous drive for social and economic modernization. There 
are, however, important questions and concerns about the adequacy of this system of 
S&T, as it was organized in the 1970s, to achieve what is expected from it. Part of the 
difficulty lies in the persistence of the assumptions that presided the S&T policies in the 
sixties and seventies, when faced with the realities of the nineties; and part on the 
structures and vested interests created along these years. 

. The "endless frontier. " 

The basic assumptions that presided the development of S&T in Brazil during the 
sixties and seventies were not very different from those in the United States and other 
developed countries at the time. In both cases there was the notion of science as an 
"endless frontier," worth expanding for cultural reasons, for its beneficial effects in the 
quality of education, and for its promises in terms of practical applications. All fields of 
knowledge were equally deserving, and all good projects and initiatives should get public 
support. There were other resemblances: the importance given to military R&D; the 
notion that scientists should be funded by the state, free to control their institutions and 
distribute research resources according to their own criteria; and the assumption that 
social and economic benefits to society as a whole would necessarily derive from basic 
S&T in the universities and military research in government institutions (Branscomb, 
1993). 

. Planning 

There were also important differences. Brazilians believed more in comprehensive 
planning, and in planning for science and technology, than Americans did. There was, as 
there is still, a dire need for reliable information, and stable decision procedures for 
resource allocation and the establishment of long-term projects. The tradition was to try 
to fulfill these needs with comprehensive planning exercises, which could be turned into 
law and administered by the bureaucracy, thus making further decisions unnecessary. 
Three National Plans for Scientific and Technological Development were issued since the 
early seventies. Complex coordinating bodies (such as the Council of Science and 



Technology, CCT) were devised to try to link the research activities of different 
ministries. The Ministry of Science and Technology was created in 1985 as a response to 
demands from leading personalities in the scientific community, which expected it to 
fulfill this planning and coordinating role, emaking it more relevant to the country's 
economic and social needs. The notion that these links were to be achieved through 
centralized planning contributed to the development of large bureaucracies for S&T 
administration. CNPq and FINEP increased their staff several times between the sixties 
and the eighties, and the bureaucratic apparatus of the new Ministry also grew. 

. Import substitution in science. 

Another difference was that the development of S&T in Brazil was understood as part 
of a broader pattern of import substitution that was dominant in the economy, and led to 
barriers against foreign competition and the protection of infant industries. Although 
Brazil never attempted to develop a "national science," and valued its access to the 
scientific international community 5 , the level and intensity of international interchanges 
was never as intense as that of other small scientific communities (Schott, 1993), and its 
research institutions and programs were seldom exposed directly to international 
standards of quality and evaluation. Considerations about regional inequalities and short- 
term needs, and political pressures for the creation of academic and research institutions 
throughout the country, led often to the weakening in the criteria for resource allocation 
by the government agencies. 

. Elitism in technology and education. 

A final feature of the Brazilian S&T development effort has been the elitism of its 
technology and educational policy orientations, despite the political and socially 
progressive outlook of many of its promoters. Military technology was expected to be the 
harbinger of economic and technological modernization, leading to a disproportionate 
concern in government, diplomatic and academic circles, with the international 
constraints on the transfer of sensitive technologies. The two PADCT programs placed 
strong emphasis on the higher-end, frontier technologies, with a much smaller place 
given to science education, management and diffusion. Except in the field of health, there 
were no organized efforts to bring the benefits of scientific knowledge to the population 
as a whole, or to the basis of the productive system. In spite of the initial influence of the 
American Land Grant colleges, Brazilian agricultural education and research remained 
restricted to a few institutions, and geared to the capital intensive, export sector of the 
economy (Azevedo, 1993). The recent effort to develop indigenous capability in 
computer science concentrated in the protection of the national hardware industry, rather 



5 There were several proposals to create a typically "Brazilian" social science, based on the country's 
peculiar historical and cultural nature, from Gilberto Freyre to Alberto Guerreiro Ramos, nothing similar, 
however, ever existed in the natural sciences, except in applied fields such as agriculture, natural resources 
and earth sciences, as should be expected. 



than in the generalization of the use of the new technologies and competencies 
throughout society (Lucena, 1993; Tigre, 1993). 

In education, Brazil tried to generalize the university research model before any 
serious attempt to deal with the problems of basic, secondary, technical and mass higher 
education. In consequence, the country has, simultaneously, some of the best universities 
and graduate programs, and one of the worst and unequal systems of basic education in 
the region. In practice, the university research model remained restricted to a few public 
universities in the Sao Paulo and in the federal system. Most other public institutions 
incorporated the institutional features and costs of modern universities (including full- 
time teaching, departmental organization, integrated campi, besides free tuition), without 
adequate mechanisms for quality assurance and the efficient use of public resources. 
About 65% of the students in higher education do not have access to public institutions, 
and attend the less prestigious, paying private institutions (Goldemberg, 1993b; 
Schwartzman, Durham and Goldemberg, 1993). 



Table 1: Brazil, Education figures: population of 5 years of age 


and above. 






Brazil 


Women 


Rural 


Northeast 


Literacy (1990): Can read and write, se 


f reported). 


5 years and more 


76% 


77% 


58% 


57% 


10 to 14 years 


86% 


89% 


70% 


67% 


60 years and more 


56% 


53% 


32% 


44% 


Educational attainment (years completed) 


Total 


100% 


100% 


100% 


100% 


one or more 


82% 


82% 


65% 


65% 


two or more 


77% 


77% 


57% 


57% 


three or more 


68% 


70% 


46% 


48% 


four or more 


59% 


60% 


34% 


39% 


five or more 


41% 


42% 


17% 


28% 


six or more 


33% 


34% 


11% 


22% 


seven or more 


29% 


30% 


09% 


19% 


eight or more 


25% 


26% 


07% 


16% 


nine or more 


18% 


19% 


04% 


12% 


twelve or more 


06% 


06% 


01% 


03% 


total (thousands) 


113,629 


58,373 


28,011 


31,614 


Source: Fundacao IBG 


i, Anudrio Estatistico, 1992. 



Brazil had always been a highly stratified and unequal society. Even when the 
intention was there, governments had faced enormous difficulties in reaching the broader 
population with services like education, health and extension work. This situation should 
be reversed, but this does not mean that efforts to create good universities and competent 
research groups should be postponed until the problems of basic, technical and secondary 
education are solved, since these skills and competencies are essential for carrying on the 
needed transformations. It would be a mistake, however, to suppose that scientific, 



technological and educational investments could not have had a broader impact on 
professional education and the dissemination of general and technical competence than 
they did. They can, but specific policies are needed for that. 

. New realities 

. Changes in the role of science and technology in the international scene. 

The international scene for science and technology has changed dramatically since 
Brazil begun its drive for S&T development in the sixties. The main features of the new 
context can be described as follows: 

_ Science and technology are much closer to industry and markets than before (box 
4). Industries depend, for the development of new management skills, processes and 
products, on specialized knowledge that cannot be generated anymore, as a matter of 
course, in their daily activities. The consequences have been an increase in R&D 
investments, the setting up of specialized laboratories and research departments, and the 
search for new links with universities. There is a renewed concern with the problems of 
intellectual property, which occurs in association with an expanded knowledge industry, 
carried on through licensing, technical assistance projects and international consulting. 



__ The pace of technical innovation and competition in industry has accelerated, 
requiring from firms a permanent capability to change its organization, absorb new 

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Fundamental and Economically Relevant Research: The New Links. 

In all industrial countries, governments have tended to shift, in recent years, to 
indirect actions intended to promote the development of a trade-oriented research 
environment: legislative and regulatory measures considered to be obstacles to the diffusion 
and application of knowledge have been lifted (for example, various anti-trust regulations were 
removed in the United States to facilitate pre-competitive research co-operation between 
firms); new rules were adopted to encourage scientists to take a more active interest in the 
exploitation of their work (for example by allowing academic research-workers and 
institutions to apply for patents, even when the invention had been the result of federally 
sponsored programs, or by relaxing academic rules so that professors could participate in 
commercial ventures); incentives multiplied in order to promote science-based industrial 
activities (i.e. fiscal incentives, schemes to develop employment of scientists by firms of all 
types, research funding instruments for industry-university collaborative ventures, etc.). 

This focus has been accompanied by gradual re-direction of the public research 
support towards new types of programs, in order to channel efforts onto areas of greater 
economic relevance. This has affected all types of research activities. For example, institutions 
that have traditionally been bastions of fundamental research (from the CNRS in France to the 
National Science Foundation in the United States) devote more and more attention to applied 

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entrance requirements in terms ot tne standardization or scientific instruments, language 
and patterns of communication, leading to new inequalities and concentration of 
resources and skills. 



_ As the economic and military importance of scientific and technological knowledge 
increases, there is a growing tendency to limit its diffusion through legislation on 
intellectual property and governmental barriers to the diffusion of "sensitive" 
technologies. This tendency, however, is offset by the intense international competition 
of firms and governments to sell their technologies, and by the lack of well-defined 
boundaries between academic (and therefore free) and proprietary knowledge. The net 
result is that the bulk of modern technology is available for countries with the necessary 
pool of competence in engineering and basic sciences, except for a few military items 
that can still be controlled by the main powers. 



Major Changes in American S&T Policies 

Americans now understand that the world has radically changed. But the paradigms on which 
the post-war S&T policy consensus rests are still firmly planted in many people's heads, 
especially in Washington, and the institutions of government that will be needed to implement 
a new consensus have changed hardly at all. But three major changes in the U.S. will require 
not only a rethinking of technology policy, but changes in institutions and new international 
linkages as well: 

(a) Recognition that defense priorities will no longer dominate the U.S. federal 
government's technology policy. Instead defense must face a drastically shrunken production 
and weapons acquisition base, will have to increase the fraction of the defense budget devoted 
to exploratory development and prototyping, even as the defense R&D budget decreases. 
Because the technologies critical to the new force structure will increasingly fall into areas in 
which commercial industry is ahead of defense industry, especially the information and 
communications technologies, defense agencies will have to gain access to commercial 
technologies. This will require radical change in defense acquisition policies and practices. 

(b) Recognition that progress in modern, science-based engineering depends 
increasingly on a publicly-provided infrastructure of basic technical knowledge, tools, 
materials, and facilities. Between the realms of basic science and proprietary technology there 

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engineering (David, 1992). The current view is much more complex. Scientific 
discoveries often take place in the context of application; there is no clear-cut distinction 
between basic and applied work; tacit knowledge and incremental improvements are 
more important than isolated scientific breakthroughs. One consequence of this changing 
perspective is that support for basic research has lost ground, when not linked to 
identifiable products and results. 



_ The development of new patterns of international scientific cooperation, with the 
establishment of large-scale international ventures such as the Human Genome Project 
and global research activities in the fields of meteorology, global warming, astrophysics, 
and regional cooperative projects. While traditional "big science" programs, such as the 
European Consortium for Nuclear Research (CERN), were characterized by large 
scientific installations, the recent ones tend to be organized in terms of extended and 
closely linked networks of scientists and research groups. For small scientific 
communities, the alternatives are either to participate in some aspects of these ventures, 
or to lag further behind (box 6). 



European Cooperative Projects 



Eureka Projects: 



- 646 projects in 9 areas: medical and biotechnology, communications, energy, environment, 
information technology, lasers, materials, robotics and production automation, transport; 

- EU 95: High Definition Television 1986-93, Budget: $750 million 

- EU 127: Joint European Submicron Silicon Programme, 1989-1996. Budget: $4.6 billion. 

European Community Projects: 

- Framework III Programme, 1990-1994, 12 member countries, Precompetitive Research. 
Total budget, $7.99 billion. 

- DGXII: Science, Research and Development. Brite/EURAM: Industrial and materials 
technologies, plus other research programs 

- DGXIII: Information Technology and Communications. RACE, communication 
technologies; TELEMATICS, information exchange. 

-DGIII: Industry. ESPRIT (moved from DGXIII). 



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conventional organization of teaching and education along disciplinary lines, bringing a 
further source of tension between teaching and research. Government agencies for 
science support are being revised and transformed. The links between universities, 
government and industry are deeply changed by new patterns of technical education, 
cooperative research and financing, generating new opportunities and tensions. 
Traditional scientific careers are perceived as less rewarding, prestigious and secure than 
in the past, while new professional patterns emerge. 



. Changes in the nature and capabilities of the Brazilian state. 

Brazil, which presented one of the world's highest rates of economic growth until the 
1970's, did not adapt to the changing international environment of the eighties, and 
entered a prolonged period of economic stagnation cum inflation from which it is still to 
recover. Different explanations are given to this fact, going from the exhaustion of the 
import substitution model that characterized the country's economy since the 1930s, to 
the political and institutional inability of governments, since the eighties, to carry on 
long-term policies, in a context of international hardship and intense political competition 
for public subsidies. There is a clear notion, today, that the State has to reduce its size and 
its presence in the economy, while gaining competence to set and carry on long-term 
policies of economic growth, social welfare and environment protection. It is not clear, 
however, how this change should affect the S&T sector. 

This situation of instability and lack of vision affected the S&T sector in two 
important ways. The most obvious was the reduction of resources for most existing 
programs, and the lack of perspectives for new projects and initiatives, even when 
international commitments, such as the loan contracts with the World Bank and the 



Interamerican Development Bank, required well defined matching funds according to 
prescribed time tables. Probably more important were the problems of institutional and 
financial instability. The Ministry of Science and Technology changed name and status 
several times, budgets allocated to R&D institutions oscillated, and the actual delivery of 
these funds depended on constant, painful and daily negotiations with often 
unsympathetic economic authorities at the lower ranks in the bureaucracy. Not only 
resources were limited, but there was no consensus in government, public opinion, or 
international agencies, about the importance and role of scientific research, or about 
matters like basic vs. applied, civilian vs. military, academic vs. industrial research. This 
instability has been a matter of great concern, given the long time it takes for scientific 
institutions to mature, compared with the speed in which they decay in conditions of 
budgetary and institutional insecurity. In the early nineties, the state of Brazilian science 
and technology can be summarized by the following points: 

_ The federal agencies for science and technology support (FINEP and CNPq) are 
very limited in their ability to grant resources for research projects. Most of CNPq's 
resources are used for fellowships, while FINEP is specializing on loans to technology 
projects in the private sector. On the other hand, Sao Paulo's Foundation for Research 
Support (FAPESP), was preserved as an efficient and prestigious institution, and even 
increased its share of the state's main tax revenue (from 0.5 to 1.0%), supposedly for 
applied work and industrial development. Several other state-level research support 
institutions were created in the late eighties, but few are active and efficient. 

The administrations of some federal agencies for S&T suffer the effects of swelling 
bureaucracies, low salaries and political militancy of their employees. Others, on the 
contrary, are understaffed, and unable to hire adequate persons to fulfill their functions. 
CNPq has been particularly affected by a permanent tension between its employees and 
the council's academic advisory bodies. Most federal research institutions, including the 
research institutes under CNPq, are paralyzed by lack of resources and incentives. 

_ There is no consensus about what to do with the large-scale projects of the past, 
which are in large part paralyzed by lack of resources. The military doctrine of 
technological development from the 1970s seems intact within the Armed Forces, in spite 
of the current constraints. None of the large projects was discontinued - the atomic 
submarine, the space project (including the development of rockets and satellites) and the 
construction of military airplanes. The space project is moving from military to civilian 
control, and the government has sent a bill to Congress to create a Brazilian Space 
Agency, which would consolidate this transition (Cavagnari, 1993). 

_ Benevolent legislation allows for early retirement (at the age of about 50), with full 
benefits, of many professors in public universities and the civil service. About 30% of 
current expenditures in the federal universities are used for retirement benefits, and this 
figure is growing. Lacking information, it is difficult to know how this is affecting the 
pool of active researchers, whether they are continuing their activities in other (and 



sometimes the same) institutions, and how they are being replaced. The general 
perception is that the private benefits of early retirement, combined with the instability 
and low prestige of many teaching and research institutions, are depleting Brazil's active 
scientific community. While this situation does not change, it is important to stimulate 
the retiring, well-qualified professors to remain productive in other roles, starting for 
instance new careers as entrepreneurs. Retirements should be used also as an opportunity 
to open the vacancies to a new generation of young academics and researchers. 

_ Within these extremely adverse conditions, the Ministry of Science and Technology 
is trying to put forward some ideas and policies for the sector (box 7). One of its main 
tasks has been to assure a regular flow of budgetary and non budgetary resources to the 
sector. The proposal for the federal budget is to obtain between one and one and a half 
billion dollars for the activities under the Ministry of Science and Technology for 1994. 
The government has decided that a substantial part of the resources obtained through the 
privatization of public companies should go to the science and technology sector; and 
recent legislation granted tax benefits to firms engaged in technological development. 
The official expectation is that these two sources alone could double the resources for 
science and technology for 1994. The Ministry is also engaged in continuous negotiations 
with economic authorities for the stabilization of the flux of resources to the agencies, 
and with international institutions for continuing or renewed support for the S&T sector. 
The second goal of the Ministry is to continue and conclude some of the large projects 
that have already started, and are stalled for the lack of resources. The two most 
preeminent are the space and satellite program and the laboratory of synchrotron light. 
The ministry has also proposed a bill establishing a unified career structure for 
researchers and employees in federal institutions. In the Ministry of Education, CAPES, 
the agency for high-level manpower education and training, maintains a stable line of 
fellowships and support for graduate programs. Some projects created during the Collor 
period (1990-1992) to stimulate quality and competitiveness in the industrial sector are 
still in place, although with very little resources to go on. 



Activities of the Ministry of Science and Technology, 1993. 

a) permanent activities carried on by MCT or with its support: 

- large projects involving investments in basic infrastructure; 

- research projects in the basic, natural and social sciences; 

- technology development projects in the fields of biotechnology, with emphasis on 
genetic engineering and its applications; in new materials, including microelectronics; in 
chemistry, including the synthesis of natural products, all with strong impact in the 
modernization of the productive system. 

egional programs, like the weather and climate forecast projects for the Northeast and the 

Center-South regions 
c) the definition of new legal and financial instruments for the S&T sector: 
- incentives for industrial investment in R&D; 

- rules for the implementation of the Informatics and the Amazon Free Zone legislations; 

- utilization of resources derived from the privatization program for strategic projects such 
as the Satellite Launching Vehicle, the supercomputer of the National Laboratory of 
Computer Sciences, the National Laboratory of Synchrotron Light, the National 
Laboratory of Nuclear Physics, the research program in the Antarctic region and the 
survey of natural resources in Brazil's continental shelf. 

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benefits remain local and national, and depend on purposeful efforts from local and 
national governments. 

The main thrust of this policy paper is that there is a definite need to move from the 
previous mode of scientific and technological development into a new one, more 
adequate to the current and future realities. Science and Technology are more important 
than ever for Brazil, if the country is to raise the standards of living of its population, 
consolidate a modern economy, and participate as a significant partner in an increasingly 
integrated and global world 6 . The economy must modernize, and adj ust to an 

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The Internationalization of Trade, Business and Technology 

The internationalization of trade, business and technology is here to stay. This means 
that national borders means much less than they used to regarding the flow of technology, at 
least among the nations that have made the now needed social investments in education and 
research facilities. National governments have been slow to recognize these new facts of life. 
Indeed, the last decade has seen a sharp increase in what has been called "techno-nationalism", 
policies launched by governments with the objective of giving their national firms a particular 
edge in an area of technology. Our argument is that these policies to not work very well 
anymore. It is increasingly difficult to create new technology that will stay contained within 
national borders for very long in a world where technological sophistication is widespread and 
firms of many nationalities are ready to make the investment needed to exploit new generic 
technologies. A closely related observation is that a well-educated labor force, with a strong 
cadre of university trained engineers and scientists at the top, is now a requirement for 
membership in the "convergence club". 

Nelson and Wright, 1992. 



The new policy should implement tasks that are apparently in contradiction: to 
stimulate the freedom, initiative and creativity of the researcher, while establishing strong 
links between their work and the requirements of the economy, the educational system 
and of society as a whole; and to make Brazilian science and technology truly 
international, while strengthening the country's educational and S&t capabilities. To 
achieve this, the individual researcher, and their research unit or laboratory, should be 
freed from bureaucratic and administrative constraints, and stimulated to look for the best 
opportunities and alternatives, in the country and abroad, for the use and improvement of 
his competence. This requires, in turn, a competitive environment based on public 
incentives and private opportunities that rewards achievement, increases the costs of 
complacency and underachievement, and gears a substantial part of the R&D resources 



" The term "global" conveys the notion of an interdependent world civilization, with permeable 

boundaries and no clear hegemonic centers. There is a growing literature on the global nature of modern 
societies. See for instance Albrow and King, 1990; Robertson, 1992; Featherstone, 1992; Wallerstein, 
1990. 



toward a few important and strategic selected goals. More specifically, the new policy 
should include the following tasks: 

_ To increase the links between academic science and the productive sector, and 
to increase the share of the latter in the national effort for scientific and 
technological development, approaching the patterns of the modern, industrialized 
economies, where most of the R&D effort takes place in the productive sector. 
This requires a significant increase in private investments in R&D, not a reduction 
of the already limited public funds. 

_ to create two different "markets," one for academic science, another for applied 
technology. The academic market needs a system of rewards and incentives for 
scientists, appropriate career structures, and means to increase public support for 
science. The market for applied technology should combine the requirements of 
competence and quality with those of economic feasibility and social need. 

to increase the links between science, technology and education, from the 
graduate programs down to technical and basic education; 

To invest heavily in the development of innovative capabilities of the 
productive system as a whole, through incentives, extension programs and the 
strengthening of the country's infrastructure for basic technology; 

_ To support a few integrated projects of clearly identified social and economic 
relevance and in need of S&T research and education, in areas such as energy, 
environment preservation and control, transportation, public health, food 
production, and in social fields such as basic education, poverty, employment and 
the management of urban conglomerates (Goldemberg, 1993; Soke and Tucker, 
1993; Castro, N., 1993). 

__ To create the conditions for Brazil's participation in international programs 
dealing with global issues; 

_ To make the government agencies for science and technology more flexible and 
bound to peer review procedures, and to stimulate research groups and institutions 
to search for partnership and support from a variety of sources and through 
different procedures, beyond what governments can provide and do. 

. Policy recommendations 

To achieve these goals, the following recommendations are made: 

. To redirect the country's technology policies, in line with the new economic 
realities. 



Technology policies are needed to make it possible for the country to enter a new 
pattern of industrial growth, centered on increasing levels of competitiveness. On the 
short run, the policies should be geared to the reorganization and technological 
modernization of the industrial sector. Then, permanent policies should exist to induce 
the more dynamic sectors of the productive system to enter a continuous process of 
innovation and incorporation of new technologies, to follow the rhythm of technical 
progress in the world economy (box 9). Both approaches require, as the main priority, the 
incorporation of existing technology to the productive process. Sectorial policies are 
needed for the reorganization and technological modernization of less efficient parts of 
the economy, and for the consolidation and expansion of the more dynamic industrial 
sectors. Support for research and development activities should be selective, and clearly 
associated with broader processes of innovation based on the transfer, diffusion and 

absorption of technological competence. 

;hnological 
irms. It is 
revolution 
he role of 
iffusion of 
)ment and 
mnce to its 
ives, tariff 
stments in 
:se policies 
;tence, and 
t, adequate 
with the 
ns with the 
irantee nor 
) (box 10). 



Technology transfer: the new economic policy orientations 

Regarding the transfer of technology from abroad, it is necessary to preserve and 
consolidate the economic policy orientations introduced in the nineties, aimed to remove 
existing obstacles and restrictions affecting the main transfer channels - the import of capital 
goods, technology contracts and foreign investment. It is necessary to go further regarding the 
use and diffusion of foreign technologies incorporated in capital goods, with the liberalization 
of import mechanisms for equipment, and the reformulation of the informatics policy. It is also 
necessary to proceed with the revision of the traditional administrative procedures for the 
registration of technology transfer contracts. These practices amounted to strong government 
intervention and restrictions in the transference process. In the same vein, policy changes in 
the informatics sector, eliminating restrictions to the presence of foreign companies and the 
establishment of joint-ventures, helped to remove a significant block to technological transfer, 
which was specially important because it affected precisely the industrial sectors where 
technical progress is more intense. 

Eduardo A. Guimaraes, 1993. 



Recommendations about the Patent Law 

-Some changes, such as the concession of patents to pharmaceutical products and process, are 
unavoidable to normalize Brazil's international economic relations. 

-the new legislation should be based on the text being negotiated with within GATT, as it is 
the case of the proposal put forward by the Interministerial Group. American pressures to 
include the patenting of life forms and the "pipeline" do not correspond to internationally 
accepted rules as yet. In addition, no short-term agreement of free trade with the U.S. is being 
considered, to justify such concessions. A rapid approval of a new legislation without 
transition adjustment periods for specific industrial sectors would attend, in general terms, 

American Hgn-mnHc 



Financial Stability and the PADCT 

Financial stability is essential for reaching results, specially for experimental 
laboratories. There is no point in granting resources to buy expensive equipment if there are no 
additional resources for installation, operation and maintenance, and more specifically for 
hiring and training technicians to operate it. Large time lags occurred frequently within 
PADCT between the arrival of equipment and the availability of operational resources. 
Difficulties to import equipment created absurd situations in which projects were to be carried 
on in one or two years, but the equipment arrived two or three years later, when there was no 
money left for installation, salaries, training and operation. 

Long-term programs are needed, specially for centers of excellence. Projects could be 

annm\reA for Qpvpral vpars with a firm mmmitmpnt for thp first vpar anH additional navmpnts 



solute lack 
;overnment 
gencies for 
I activities, 
lal stability 
*h. Special 



d research 
researchers 
establish a 
ough long- 



term grants based on past performance (" laboratories associados"), which requires 
prompt implementation. Estimates of size and cost of such a network vary, but the scale 
of the operation is not too difficult to determine. Of the estimated 15 thousand active 
researchers in the country, about a third, or five thousand, could be included in 200 such 
"laboratories" of 25 persons each, supported with one million dollars a year in average, or 
40 thousand dollars per person, two hundred million dollars in total. This would be the 
cost of keeping the pool of competence in place, providing a basis from which other 
policies can be devised. A similar amount will be needed to provide these laboratories 
with basic equipment and infrastructure. Most of this money is already being spent as 
salaries by universities and other government agencies, so that the cost of this program 
would be even less (although the resources for research and infrastructure should be 
provided in addition to what is needed for regular graduate education). Ideally, the 
program should compensate for oscillations in salaries, guarantee resources for current 
expenditures, and provide means for the acquisition and modernization of scientific 
equipment, regardless of the group's institutional location. Resources should be allocated 
competitively, under strict peer review evaluation, and for limited periods (typically three 
to five years). The criteria for allocation should be the laboratories' track records, the 
quality of their researchers, their ability to get funds from other sources, and their long- 
term perspectives and projects. 

This network of research laboratories should be strengthened by a specific line of 
support for individual scientists, allowing them to move around to find the best places to 
use their competence; laboratories could be rewarded for the quality of people they can 
attract. 

A competent and prestigious peer review procedure is essential for the project of 
"laboratrios associados" to work. On the long run, difficult problems of choice between 
equally competent groups and proposals may appear, requiring decision procedures that 
go beyond traditional peer review. However, given the current small size of Brazil's 
scientific community, most competent groups are likely to be supported, without 
increasing the historical levels of expenditure. 



. To develop a three-pronged policy for S&T development, with clearly 
distinguished support mechanisms for basic science, applied work and extension 
and education. 

The fact that basic science, applied R&D and high level technical education are very 
often indistinguishable, and take place simultaneously in the same institutions, does not 
mean that they should not be treated separately in terms of their supporting mechanisms, 
working from different perspectives and with different approaches. 

Basic science research and education. 



Basic or academic science, broadly understood as research work that does not 
respond to short-term practical demands, remains necessary not only for its eventual role 
as the source of privileged discoveries for applied work, but because of its nature as an 

al basis, so 

ntradiction 

orts to help 

le growing 

ce is also 

high 7 . The 

is paid by 

)f the basis 

education. 

ight of as 

regions for 

scientific 

tional pool 

such as the 

(Resende, 



Basic research: the Laboratory of Synchrotron Light 

The source of synchrotron light that is being built at the National Laboratory of 
Synchrotron Light (LNLS) in Campinas is a large undertaking with a strong interdisciplinary 
content. The equipment consists of an electron accelerator and a storage ring. Electrons 
circulate at high speed producing electromagnetic radiation of high intensity, covering an 
extensive energy band. This radiation can be used for different purposes, from basic research 
in solids, atoms, molecules and biological materials to different applications such as 
photolithography for the fabrication of highly integrated electronic circuitry. The light source 
is being built by a well-coordinated team of physicists, engineers and technicians, using many 
components developed in association with national companies. About US$ 11m have been 
invested so far in the project. It is the first Brazilian experience of building and, later, 
operating a large physical laboratory to be used by researchers from the whole country. Its 
success or failure will have important consequences regarding future decisions to go ahead 
with other large projects. The total estimated cost of the light source is USS 35 million. 

Sergio Resende, 1993. 



uesiaes its eventual impact on tne productive sector, oasic science can play a 
fundamental role in enhancing the quality of higher education for engineers and for 
society as a whole. This role, however, does not take place as a matter of course. 
Universities have to develop explicit links between their graduate and undergraduate 
programs; intellectual and financial investments have to be made for the development of 
materials for science teaching, from handbooks to educational software and experimental 
kits. When these links and investments exist, basic science becomes more legitimate, and 
more likely to be supported by society. 

Changes are also necessary in scientific and graduate education. Master degree 
programs should be shortened, and turned either into well-organized courses of 
professional specialization, or short entrance and leveling programs leading to doctoral 
degrees. Non-degree, specialization courses should be stimulated, with very little 
bureaucratic formalism, and as self-supporting as possible. 



Globalization requires a profound rethinking of the old dilemma between scientific 
self-sufficiency and internationalization. The experience of small, high-level scientific 
communities in countries like Canada, Israel, the Netherlands and Scandinavia, shows 
that this may be a spurious question. They build their competence through a purposeful 
effort to be present in the international scientific scene, by the extensive use of the 
English language, participation in joint research projects, evaluation of their research 



' Only about 15% of the resources for "public good" research in the US comes from the productive 

sector (Aron Kupperman, private communication). 



activities by scientists from other countries, and a constant international flux of students, 
researchers and information; they are not less developed, and their science less relevant 
for their societies, for that reason. 

The current fellowship programs of CAPES and CNPq for studies abroad need to be 
revised. Fellowships should be awarded only to first-rate students going to first-rate 
institutions, and with a clear perspective of returning to productive work in Brazil. 
Fellowships for doctoral degrees should be combined with "sandwitch" fellowships for 
doctoral students in Brazilian institutions, and short-term support for training periods in 
laboratories and companies abroad. Procedures should be devised to constrain the 
beneficiaries to pay back the money received if they fail to get their degrees or to return 
to their institutions; fellowships for countries and institutions with poor records of 
academic achievement for fellows should be avoided. Under these conditions, the current 
number of fellowships awarded should be maintained and even expanded. The existence 
of good quality doctoral programs in a given field does not preclude the need to keep a 
permanent flux of students to the best foreign universities. Provisions should exist for 
post-doctoral programs both abroad and in Brazil, and to bring top-quality scholars from 
other countries for extended periods, or even permanent appointments, in Brazilian 
university and research institutions (De Meis and Longo, 1990). 

_ Applied science 



The central feature of applied science is that it has a user, and the 
generated in the R&D process tends to be proprietary. The main clients 
science in Brazil have been the military, the large state-owned corporations 
section of the private sector, including the export-driven agricultural firms. 

Applied R&D should be evaluated in terms of its short-term scientific 



Multi-client program in Forestry Research 

The Research Institute of Forestry Research (IPEF) of the School of Agriculture Luiz 
de Queiroz, Sao Paulo University, was created 25 years ago in Piracicaba, bringing together 
five private companies, Champion, Duratex, Rigesa, Industrial de Papel Leon Feffer and 
Madeirit, to deal with questions of common interest. Today, there are 23 associated 
companies, and the results have been surprisingly good. The average productivity of wood, 
which was around 15 m 3 /ha/year, is now about 30 m 3 /ha/year for the companies associated to 
IPEF. The institute has contributed to this increase in productivty through basic research and 
education and training of personnel for the companies. Its germ research center, recognized by 
UN's Food and Agriculture Organization, is the largest in the southern hemisphere in genetic 
materials, and commercializes about three tons of seeds each year, exporting to countries like 
Indonesia, Venezuela and Thailand. As an example, 300 kg of seeds from Eucalyptus 
urophilla where sold recently to Indonesia, which is the country from where this species 
originates. The associated companies are located in the states of Bahia, Minas Gerais, Espirito 
Santo, Sao Paulo, Para, Parana, Rio de Janeiro, Santa Catarina and Rio Grande do Sul. This 
model of association was followed by other institutions. Today, besides IPEF, there is the 
Fund for Forestry Research in Curitiba, Parana (FUPEF) and the Society for Forestry 
Investments in Vicosa, Minas Gerais (SIF). Research takes place also in state research 

itiQtitiitpQ cnrVi aQ thp *\5n Panln Fnrf»Qtr\/ Inctitntp wJiirli cfllc ahrmt 9^ trmQ nf cppHq \/p«rl\/ 



knowledge 
for applied 
and a small 

quality and 
such as the 
and long- 
ot open to 
). Lacking 
the risk of 
lized R&D 



ver. In the 
ries can do 
>reading of 
ost public 
lanisms to 
linish. The 
)d. If loans 
i outcomes 
g-term and 



joint R&D projects that would not otherwise find support through commercial banks. 
General policies and support mechanisms for applied R&D are difficult to devise, since 
they refer to an extremely variegated range of activities, and require different 
combinations of economic, scientific and strategic considerations. A few suggestions, 
however, can be made: 

Research groups in universities and government institutes should be strongly 
stimulated to link to the productive system and to engage in applied work, while 
maintaining a high level of academic and basic research activities. It is as unwarranted to 
expect that all basic science should be linked to production as to assume that they should 
be kept isolated from each other. There is no reason to believe that applied work would 
necessarily distract researchers from their basic and academic oriented activities. 
However, tensions and conflicts of interest may arise, and need to be administered case 
by case. Links between academic research and the productive system can take place at 
multiple levels, depending on the capabilities and needs of each side. They can go from 
help in the solution of short-term problems and difficulties faced by industries, to the 
transfer and scaling up of innovations produced by research centers for industrial 
production; and, at the higher end, to the development of large scale, cooperative projects 
of R&D (Frischtak and Guimaraes, 1993). Links can be established either with single 
institutions or with associations and consortia of users, as in the example of the Institute 
of Forestry Research of the Universidade de Sao Paulo (Azevedo, 1993) (box 13). 
Resources for applied work should not come from the budget for basic activities, but 
from specific sources in governmental agencies, special programs, private firms, and 
independent foundations. 

_ Government agencies dealing with matters requiring research work, like in health, 
education, environment, energy, communications and transportation, should have 
resources to contract research in universities and research institutions on matters of their 
interest. This practice should prevail over the tendency of these agencies to create their 
own research outfits, and their projects should be subject to joint evaluations by peer 
review and policy oriented authorities. Research institutes and centers in public agencies 
and state companies should be placed under peer oversight, and required to compete for 
research support outside their agencies. 

_ The current military projects should come under technical, academic and strategic 
evaluation with the participation of selected, high quality scientific advisers, and be either 
streamlined, discontinued, reduced, or converted to civilian projects (Cavagnari, 1993) 
(box 14). 



ochemistry 
i industry, 
ginning in 



Military Research and competitiveness 

The goal of making Brazil a world power can only be achieved if the country can 
survive and develop in a competitive international environment, which depends on the non- industrv 
military components of its strategic capabilities - mainly its scientific and technological ' 
capability. In consequence, the country's efforts should be directed to this goal, without giving 
priority, necessarily, to military R&D. There is no doubt that the main current military projects 
should be continued until their completion, but the perspectives of military R&D regarding the 
more advanced technologies is limited, given the tendency of civilian R&D to administer such 
technological projects as efficiently as the military. 

The difficulties found in the development of military programs could be reduced if 
the development of higher end technologies is not militarized. This, however, does not mean 
that the Armed Forces should be excluded from research and development activities. On the 



the establishment of appropriate objectives; they should be subject to independent 
evaluations of economic, managerial and scientific feasibility, and monitored on these 
terms. 

__ New actors should be brought in projects of local and regional development, 
including local and state governments, business associations, financial institutions, 
universities and technical schools. 

- Education 

The main challenge for Brazilian science and technology in the coming years is to 
spread competence for innovation horizontally, to the productive system as a whole, and 
to increase the educational level of the population. While this is not done, the S&T 
establishment is bound to relate only to a small part of the country and its economy, with 
limited resources and relevance. 



Policies for science and technology should not wait for educational reform, but they 
cannot be expected to succeed without profound transformations in the educational 
system as a whole, through increased access to educational opportunities, quality 
improvement of basic and secondary education, strengthening of technical education and 
diversification and better use of public resources in higher education. Questions of 
educational policy lie beyond the scope of this document. However, a few items should 
be stressed regarding the interfaces between the educational and the S&T sectors: 

Technical Education. Brazil has maintained a wide gulf between education for the 
academic professions, including engineering, and middle-level professional training, the 
first provided by universities, the second by federal and state technical schools (and also 
by industry and commerce through their own institutions, SENAI and SENAC). The 
knowledge-intensive basis of modern industry and services requires the development of 
general skills for the technician, and proximity with industry for the institutions trying to 



t^f^Ji^o +q/^Utai/-»o1 Q/-1ii/-.o<-i^t-> <-Vit*/-vnrrVi tvwmnl r»i~»in-PQ r\m m- o m c tT^nc+m <mA Q1n 



Human resources development in South Korea. 

South Korea developed a massive effort in the fields of education, Science and 
Technology since the 1960s, as part of their strategy of industrial conversion. Besides the 
sheer size of the effort, there are some strategies worth stressing, regarding the bridges they 
sought to create between the worlds of education and research and the world of industrial 
production. 

- Long-term programs of institutional development. Universities, individual 
professors and research centers received support for 5 to 6 years long projects, time deemed 
necessary for the creation of groups of graduate students. 

- well-known scientists were dissuaded to lend their names just to fatten the 
curriculum of projects. Those who gave their names had to be involved. With this, it became 
easier for young scientists to take the leadership of important projects. 

- scientists and engineers were sent systematically to short courses abroad, in selected 
fields. Typically, their courses lasted two months, but they received four months fellowships. 
During their courses, their had to negotiate with their professors for training internships in 
European firms, to absorb technology. 

- An excellent researcher had difficulties linking to the productive sector. He received 
a grant to organize monthly lunches with business leaders, to discuss questions related to the 



eira. 



1993) 
secondary, 
;ation. The 
o industry, 
. Although 
n the sheer 
versities in 
ltiplication 



ments and 
ision work 
systematic 
ngineering 



documents (handbooks, standards, technical manuals for craft and skilled workers) 
needed for general use in industry and education. These activities already take place in 
some universities, but are usually considered of low prestige, and inimical to academic 
excellence. It does not have to be so. High quality research centers can attract more 
resources, increase their relevance and involve more people through extension activities. 
Institutions with little to offer in terms of research can gather strength and recognition, 
and provide their students with significant opportunities for practical training. Since most 
of these activities can be paid for by users, they do not require much in additional 
resources, but there should be means to provide rewards, incentives and recognition for 
this type of work. 

Teaching of science and technology. Academic departmemts in universities should 
take more responsibility for undergraduate education. The current departmental structure 
tends to leave undergraduate career programs without intellectual leadership, and 
undergraduate teaching is often seen as a burden by professors engaged in graduate 
education and research. Incentives should be created to stimulate researchers to get 
involved with undergraduate education, by writing textbooks, bringing undergraduates to 
their research projects, and participating in the upgrading of their course programs. 
Fellowships for undergraduates ("bolsas de iniciacao cientifica") should be expanded, 
and successful involvement in undergraduate education should be added as a criterion for 
CAPES in its evaluation of graduate programs. 

General education. Most undergraduate education in Brazil, as elsewhere, is in fields 
like administration, languages, social sciences and the humanities. They can be 
considered "general education" course programs, since they have little knowledge 
specificity, and are supposed to provide the students a broad spectrum of cultural, social 
and historical disciplines. There is a tendency to see these "soft" fields as a waste of time 
and resources, under the assumption that they are not directly relevant to the production 
of goods. However, general skills, social and cultural abilities are central components of 
modern economies and societies, characterized by intense flows of information and 
communication, the continuous expansion of services and a shifting social and economic 
environment. The situation of neglect should be reversed, with the graduate and research 
sector taking responsibility for improving the quality of secondary and undergraduate 
general education, through direct involvement in the production of good quality 
textbooks, the development of curricula and new teaching methods. Here again, adequate 
procedures should be devised to make these activities more rewarding and prestigious 
than they have been so far. 

Distance learning. Modern technologies for distance learning have not been adopted 
in Brazil except in some isolated experiences in basic education. A systematic effort 
should be made to incorporate the international experience, and a few universities should 
be stimulated to begin pilot projects using the newly available instruments, from 
computers to electronic mail. 



. Infrastructure for information and knowledge dissemination. 

New and systematic procedures to incorporate technology into the industrial process 
should be developed, with strong emphasis on the development and dissemination of 
norms and standards, information, and procedures for technological transfer and quality 
improvement. Brazil has several institutions created for these tasks, such as the National 
Institute of Metrology, the National Institute of Intellectual Property and the Brazilian 
Institute for Scientific and Technological Information (IBICT). These institutions, 
however, have lived in a no-man's land between the researcher in academic institutions 
and the productive sector, both of which were either protected from external competition, 
or linked directly to their own sources of information and technology outside the country. 
Without closer interaction with the users of their services, these institutions tended to 
become rigid and bureaucratic, weakening still further their links with the scientific and 
productive sectors. 

To reduce this problem, users should play a much stronger role in the definition of the 
goals and practices of these institutions. A well organized and properly funded 
knowledge infrastructure is necessary to assure the easy access of scientists to libraries 
and data collections in the country and abroad. Significant advances have ocurred in the 
last few years, through the gradual generalization of access to Internet and similar 
networks for Brazilian universities and research groups, and the development of 
computerized library catalogs in some of the main universities. Now it is necessary to 
make these links more widely used, more effective and more transparent to the individual 
researcher, and to establish means to bring the documents and data to the scientist's 
working place. A coherent policy for creating, maintaining and expanding these 
information resources is needed, and should rely on the competence developed by 
FAPESP, the National Laboratory of Computer Science Research (LNCC), the Institute 
of Applied and Pure Mathematics (IMP A), and other groups that have built and 
developed the current facilities. 

. Institutional reform. 

For these policies to be carried on, governmental agencies for S&T policy should 
become smaller, more flexible and more efficient. The Brazilian agencies for science and 
technology are considered more efficient, and less plagued with problems of political 
patronage and bureaucratic formalism, than most of Brazil's civil service. However, with 
a few exceptions, the general evaluation of the main government agencies is not very 
positive. CNPq has grown to be a large bureaucracy, going from 1,502 employees in 
1988 to 2.527 in 1992, about half of them without a university degree (Barbieri, 1993, 
table 2). Its administrative expenditures have varied enormously throughout the years, 
and most of its resources are now given to fellowships. Researchers and fellows applying 
for its resources complain constantly about the difficulties in getting information and 
receiving their fellowships and grant money on time. The agency could never establish a 
competent information system about its own activities, and there is little or no follow-up 



of the results of its investments in research and graduate education. FINEP also increased 
its bureaucracy to about 700 employees, while its resources shrank (Frischtak, coord, 
1993). There are no established dates for submission of projects and proposals nor public 
announcement of awards. Without systematic peer review, there is no information on 
how decisions are made. In both cases, the problems were compounded by budgetary 
uncertainties. The agencies do not know how much money they will have at any given 
time, and their decisions are often based on expectations that are not fulfilled. Finally, 
these agencies have not established adequate procedures to receive proposals in constant 
values and protect their grants from inflation. The consequence is that, when a project is 
finally approved, its value is significantly lower than when it was presented, and still 
lower when the money is received and spent. 



Table 3: CNPq, Budget according to main lines of activity, 1980-1992. Millions of 
US$ofl992(a) 


Year 


Fellows 
hips 


Grants 
(b) 


Institute 

s 


Adminis 
tration 


Other 

(c) 


Total 


1980 


42,252.3 


23,166.3 


26,233.9 


40,598.9 


4,243.2 


136,494.6 


1981 


46,567.7 


21,815.5 


29,557.7 


41,837.5 


2,420.1 


142,198.5 


1982 


72,396.3 


37,793.5 


34,489.4 


35,032.4 


2,265.8 


181,977.4 


1983 


68,137.6 


28,106.6 


26,949.6 


28,769.8 


3,194.6 


155,158.2 


1984 


61,400.8 


21,521.1 


23,092.8 


37,682.4 


5,034.5 


148,731.6 


1985 


88,153.1 


41,517.0 


33,141.5 


33,631.7 


5,212.8 


201,656.1 


1986 


94,630.1 


50,996.2 


35,497.9 


27,931.3 


7,552.3 


216,607.8 


1987 


184,069. 
4 


48,886.4 


57,739.4 


63,729.7 


4,416.3 


358,841.2 


1988 


238,004. 
4 


46,552.1 


49,322.2 


47,281.9 


4,415.3 


385,575.9 


1989 


236,143. 
1 


33,570.1 


85,569.2 


48,693.0 


22,732.4 


426,707.8 


1990 


178,339. 

5 


41,672.8 


50,529.1 


36,513.3 


14,684.5 


321,739.2 


1991 


232,440. 
4 


19,884.0 


30,838.3 


26,361.2 


14,907.9 


324,431.8 


1992 


193,820. 
4 


7,635.8 


30,655.5 


17,362.2 


10,603.2 


260,077.1 


(a) compensated for inflation according to the General Price Index of Fundacao 
Getulio Vargas, and converted to dollar according to the mean exchange rates of 
1992. 

(b) includes special projects 

(c) includes debt service payments, fringe benefits to emplolyees (for food, nursery, 
and transportation), persons working for other government agencies. 


Source: CNPq, Informe Estatistico, Brasilia, 4(2), Abril, 1993, p. 13. 



In contrast, FAPESP, in the state of Sao Paulo, and CAPES, at the Ministry of 
Education, are perceived as success cases. FAPESP works almost exclusively through 
peer review, its administration is very small, communication with applicants is very 
efficient, its grants are fully corrected for inflation, and has well-designed follow-up 
procedures for its grants and fellowships (box 16). CAPES suffers some of the difficulties 
of being within the Ministry of Education, but has an established tradition of peer review 
assessments. Its leadership has been always recruited among persons of good academic 
standing, and its bureaucracy remains small. 



The FAPESP model 

The "FAPESP" model is characterized by three main aspects. First is the source of its 
resources. Initially, FAPESP was granted 0.5% of Sao Paulo's state revenues. The 1969 state 
Constitution increased this legal percentage to 1%, less 25% of the trade tax ("imposto de 
circulacao de mercadorias") which is transferred by the state to the municipalities; and it 
determined that the resources to be calculated each month, and transferred in the following 
month. To this basic source one should add the revenues of FAPESP's capital investments, 
which allows the agency to spend more that what it gets from the government in a given 
period. 

The second aspect is related to its relative independence from political fluctuations. 
FAPESP is governed by a council of 12 members with fixed six year mandates, which is 
responsible for its administrative, scientific and patrimonial policies. Six members are 
designated by the state governor, and the other six are also chosen by the governor from lists 
submitted by the state's public universities and research institutes. The president and vice- 
president of the council are also appointed by the governor. In practice, all names are 
suggested to the governor by the scientific community. 

The third aspect is that most of the resources go to individual researchers working in 
the state of Sao Paulo, and only rarely to institutions. Proposals are submitted to FAPESP and 

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Scientific and Technological Development (FNDCT), administered by FINEP. Whether 
these resources should be managed by FINEP, CNPq or by a new institution should be 
examined as part of a broad review of the roles, jurisdiction and competencies of the 
existing agencies. 



- Financing agencies should be organized as independent, state owned corporations, 
and free of formalistic and bureaucratic constraints. They should be placed under strict 
limitations regarding the percentage of their resources they can spend on administration, 
and should be supervised by high-level councils with the participation of scientists, 
educators, entrepreneurs and government officers. They should rely on external advise 
for their decisions, and their bureaucracy should be limited to the minimum. 



_ Research institutions and public universities should not be run as sections of the 
civil service. They need to have the flexibility to set priorities, seek resources from 
different public and private agencies, and establish their own personnel policies. While 
this is not changed, there is always the alternative of developing hybrid institutions with 
flexible mechanisms coexisting with more rigid procedures (the Brazilian academic 
community has some experience in this). Universities should develop appropriate settings 



for interdisciplinary work in new fields such as biotechnology and artificial intelligence 
(Carvalho, 1993; Silva, 1993). 

No research institution receiving public support, and no government program 
providing grants, fellowships, institutional support or other resources to the S&T sector, 
should be exempt from clear and well-defined procedures of peer evaluation, combined, 
when necessary, with other types of economic and strategic assessments. Peer review 
procedures should be strengthened by the federal government, made free from pressures 
of regional, professional and institutional interest groups, and acquire a strong 
international dimension. For instance, research proposals could be easily distributed to 
international referees through electronic mail. 

_ It should be the task of the Ministry of Science and Technology to stimulate such 
reforms in other branches of the federal government. The Ministry of Education should 
have a particularly important role in maintaining the quality and the autonomy of the 
research groups in the federal universities. 

_ It should be also the task of the Ministry of Science and Technology, in cooperation 
with the Ministries of Finance and Foreign Affairs, to keep the channels open for 
international cooperation between Brazil, international agencies and institutions, and the 
international scientific community. The World Bank, the International Development 
Bank and the United Nations Development Program have played important roles in 
providing resources for capital investment, research support and institutional 
development of Brazilian institutions. This presence should be maintained not only 
because of the resources involved, but because of what they bring in terms of 
international perspectives and competence. In the future, such agencies could be very 
helpful in a process of institutional reform. As a rule, cooperation among scientists, 
research institutions and private foundations in different countries is established directly, 
and need the support, but not the interference, of governmental agencies. 

. Goal-oriented projects 

The broad changes suggested in this document do not preclude the adoption of well- 
identified projects linking science, technology and the productive sector, aimed at the 
strengthening of specific fields and orientations in the natural and social sciences, the 
establishment of instruments for S&T diffusion and education, and others. Proposals of 
this kind are present in the background studies commissioned for this study, and will 
emerge as a matter of course whenever decisions have to be made about the allocation of 
scarce resources, the beginning of new lines of work, and the phasing out of others. It is 
necessary to develop a list of main areas of established competence and social relevance 
to be the focus of future investments; to identify areas that should be phased out, or 
reduced; and special weaknesses and competencies in need of strengthening and support. 
Two very broad principles should preside this policy-making process: 



_ It would be inappropriate to assume that science and technology would develop and 
increase its usefulness in a peripheral region if left alone to respond to market 
mechanisms of economic and scientific competition. The distribution of science and 
technology, as it is well known, is very lopsided in any given field and region, and the 
current expansion of communications and trade is leading to further concentration of 
knowledge, competence and technical resources. Policies are needed for general and 
technical education, for bringing flexibility and introducing accountability in public- 
supported institutions of higher education, research and development, and for introducing 
standards of quality. The trend toward concentration cannot be stopped by policies of 
isolation and self-sufficiency, or subsidies to second-class institutions and research 
groups. But it is not a zero-sum situation. As the world gets more integrated, information 
circulates, and the knowledge basis increases, there are new opportunities to be grasped. 
For this, they have to be properly perceived and understood, and adequate investments in 
education should exist. 

_ Brazil has had some experience of integrated programs covering specific areas of 
interest, such as tropical diseases, natural resources, energy and computer sciences. 
PADCT has followed a similar pattern, by choosing a few, selected areas for support, and 
assigning a given fraction of its resources to them. An integrated program would have, 
ideally, resources for combined activities of basic and applied research, graduate 
education and training. For the fields chosen for such programs, the benefits seem 
obvious, since their resources are guaranteed, and the links between basic and applied 
research and education can be made more coherent (box 17). There are, however, three 
pitfalls for such programs, which should be avoided. First, they run the risk of isolation. 
As with any applied project, integrated programs need to have clearly identified and 
active partners outside the research and education sector - be they the health ministry, the 
electronics industry or public utility companies. In fields that are economically relevant, 
they should be linked to specific industrial policies, and the participation of relevant 
business leaders. When this pattern is not present, the results of the integrated project are 
not used, and the effort can be wasted. Second, there is always the temptation to 
distribute the R&D resources arbitrarily among programs, creating unwarranted 
imbalances. Third, self-contained programs are prone to shun peer review evaluations 
and give excessive protection to a few institutions and research groups, disregarding 
excelence in favor of selected subjects or problems. If these difficulties are considered _ 
if there are clearly identifiable partners in government and industry, if there are no 
arbitrary block assignations of resources, and if peer review procedures are kept in place 
__ integrated programs can be important and forceful instruments for improving the 
country's S&T capabilities. 



A goal-oriented project: Strategic Development of Computer Science 



The strategic development of computer science project (DESI) is supported by the research 
National Research Council, through its division of special projects, and the United Nations 
Development Program. It combines research projects proposed by members of the scientific ° ° 
community with a broad project aimed to develop a national software industry for export and a 
national infrastructure for communication and computer applications. 

The project is divided in three programs, the National Research Network (RNP), the 
Multi-institutional thematic program (PROTEM) and the software program (PROTEX). RNP 
is a computational infrastructure aimed to create a network linking all scientific and research 
institutions in Brazil with each other and with the rest of the world. PROTEM was initiated by 
the National Research Council's advisory committee in computer science to create, for their 



plurality of activities, from basic to applied science, from graduate education to extension 
work and teacher training. They should be also stimulated to diversify their sources of 
money, from government to private companies, nonprofit foundations and paying clients 
and students. Specialization will take place, is necessary, and should grow through a 
combination of external incentives and internal drive. Scientific research and 
development, to remain alive, should take place in a highly nternationalized and 
competitive environment for resources, prestige and recognition; and the leading 
scientists should be also entrepreneurs of this knowledge enterprise. 



Papers commissioned for this study: 



a) General papers : 

Branscomb, L., 1993 _ U.S. Science and Technology Policy: Issues for the 1990s. - Lewis 
M. Branscomb, Director, Science Technology and Public Policy, Center for 
Science and International Affairs, Harvard University. 

Brisolla, S., 1993 Indicadores Quantitativos de Ciencia e Tecnologia no Brasil - Sandra 
Brisolla, Nucleo de Politica Cientifica e Tecnologica, Universidade Estadual de 
Campinas, Sao Paulo. 

Castro, C. M. and Oliveira, J. B., 1992 _ Os Recursos Humanos para a Ciencia e 
Tecnologia - Claudio de Moura Castro e Joao Batista Araujo e Oliveira, 
International Labor Organization (presently at the World Bank) 

Feme, G., 1993 _ Science & Technology in the New World Order - Georges Feme, 
Organization of Economic Cooperation and Development, Paris. 

Guimaraes, E. A., 1993 - A Politica Cientifica e Tecnologica e as Necessidades do Setor 
Produtivo. Eduardo Augusto Guimaraes, Instituto de Economia Industrial, 
Universida de Federal do Rio de Janeiro. 

Schott, T., 1993 _ Performance, Specialization and International Integration of Science 
in Brazil: Changes and Comparisons with Other Latin American Countries and 
Israel - Thomas Schott, Department of Sociology, University of Pittsburgh. 

Skolnikoff, E., 1993 _ U.S. Science and Technology Policy: the Effects of a Changing 
International Environment - Eugene B. Skolnikoff, Massachusetts Institute of 
Technology, Boston. 



b) basic and applied sciences: 



Azevedo, J., 1993 _ A Pesquisa Agropecudria no Brasil - Joao Lucio Azevedo, Escola de 
Agricultura Luiz de Queiroz, Universidade de Sao Paulo. 

Carneiro Junior, S. 1993 _ O Estado atual e potencialidades do Ensino de ps-graduaqao 
e da Pesquisa em Engenharia no Brasil - Sandoval Carneiro Junior, Coordenacao 
dos Programas de Ps-Graduacao em Engenharia (COPPE), Universidade Federal 
do Rio de Janeiro. 

Carvalho, A., 1993 _ Biotecnologia, Antnio Paes de Carvalho, Institute de Biofisica da 
Universidade Federal do Rio de Janeiro and Fundacao Bio-Rio. 

Cavagnari, G., 1993 _ P & D Militar: Situaqao, Avaliaqdo e Perspectivas, Geraldo L. 
Cavagnari, Nucleo de Estudos Estrategicos, Universidade Estadual de Campinas. 

Cordani, U, 1993 Geociencias. Umberto Cordani, Institute de Geociencias, 
Universidade de Sao Paulo. 

Dietrich, S., 1993 _ Botanica, Genetica e Zoologia. - Snia M C. Dietrich, Institute de 
Botanica, Secretaria do Meio Ambiente do Estado de Sao Paulo. 

Lucena, C, 1993 - A situaqao atual e o potencial da area de computaqao no Brasil, 
Carlos J. P. de Lucena, Departamento de Informatica, Pontificia Universidade 
Catlica do Rio de Janeiro 

Paiva, A. 1993 - Physiological Sciences. Antnio C. M. Paiva, Institute de Biofisica, 
Escola Paulista de Medicina. 

Ramos, O. L., 1993 - rea da Saude - Oswaldo Luiz Ramos, Escola Paulista de medicina 

Reis, F., 1993 _A Avaliaqdo das Ciencias Socials. Fabio Wanderley Reis, Universidade 
Federal de Minas Gerais 

Rezende, S., 1993 _ Avaliaqdo da rea e Proposiqoes Para a Fisica no Brasil - Sergio 
Rezende, Departamento de Fisica, Universidade Federal de Pernambuco 

Riveros, J., 1993 Uma Visao Atual da Quimica no Brasil, Jose M. Riveros, 
Universidade de Sao Paulo 

Silva, W. S., 1993 _A Pesquisa em Inteligencia Artificial, seus Antecedentes Intelectuais 
e suas Caracteristicas Locais, Walzi Sampaio da Silva, Universidade Federal 
Fluminense. 



c) technology and industry 

Castro, N, A., 1993 _ Impactos Sociais das Mudanqas Tecnologicas: Organizaqdo 
Industrial e Mercado de Trabalho. Nadya Araujo Castro, Universidade Federal da 
Bahia e CEBRAP. 

Goldemberg, J., 1993 _ Tecnologia, Politica Energetica e Meio Ambiente. Jose 
Goldemberg, Universidade de Sao Paulo. 

Kupfer, D., 1993 _ Politica de Qualidade no Inicio da Decada de 90 - David Kupfer, 
Institute de Economia Industrial, Universidade Federal do Rio de Janeiro. 

Pereira, L., 1993 _ Sistema de Propriedade Industrial no Contexto Internacional, Lia 
Vails Pereira, Universidade do Estado do Rio de Janeiro 

Tigre, P., 1993 _ Liberalizaqao e Capacitaqdo Tecnologica: o caso da informdtica ps- 
reserva de mercado no Brasil - Paulo Bastos Tigre, Instituto de Economia 
Industrial, Universidade Federal do Rio de Janeiro. 

Verulm, R. 1993 _ O Setor de Bens de Capital no Brasil. Roberto Verulm, Faculdade de 
Economia e Administracao, Universidade de Sao Paulo. 



d) institutional aspects: 

Barbieri, J., 1993 _ Conselho Nacional de Desenvolvimento Cientifico e Tecnologico - 
Jose Carlos Barbieri, Fundacao Getulio Vargas. 

Campanario, J. and Serra, N., 1993 _ Sistema Estadual de Ciencia e Tecnologia (Sao 
Paulo), Milton A. Campanario and Neusa Serra. 

Erber, F. and Amaral, L., 1993 _ Os centros de Pesquisa das Empresas Estatais: um 
estudo de tres casos, Fabio S. Erber, BNDES e FEA/USP; e Leda U. Amaral, 
Eletrobras. 

Guimaraes, R., 1993a _ FNDCT - Uma Nova Missdo, Reinaldo Guimaraes, Universidade 
do Estado do Rio de Janeiro. 

Stemmer, C, 1993 _ Programa de Apoio ao Desenvolvimento Cientifico e Tecnologico - 
PADCT, Caspar Erich Stemmer, Universidade Federal de Santa Catarina 



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