Research and innovation strategy and policy mix

 

Ukrainian STI national priorities are not defined in a common national strategy but by law.⁴⁴ Currently, two laws adopted by Verkhovna Rada of Ukraine (the unicameral parliament of Ukraine) define the national STI priorities⁴⁵.

 

The first one, the Law of Ukraine on the Priority Directions of Science and Technology (adopted in 2001) defines the following national S&T priorities for the period 2010-2020:

 

· Basic scientific research of the most important problems of scientific and technological, social and economic, political and human potential development to ensure Ukraine’s competitiveness in the world and sustainable development of its society and state;

 

· Energy and power efficiency;

 

39 UN, Innovation Performance Review Ukraine, p.31

 

40 Ibid.

 

41 World Bank World Development Indicators Database, cited in: The Global Innovation Index 2015, p.374

 

42 http://unctad.org/en/PublicationsLibrary/wir2012_embargoed_en.pdf, p.56: accessed on 2 May 2016.

 

43 Ibid.

 

44 Yegorov, I. (2012): ERAWATCH Country Reports 2012: Ukraine.

 

45 Bilat UKR*AINA project - http://www.st-gateukr.eu/en/195.php: accessed on 18 April 2016.

 

· Efficient nature management;

 

· Life sciences, new technologies for the prevention and treatment of the most wide-spread diseases;

 

· New substances and materials.⁴⁶

 

The innovation related priorities are defined by the Law of Ukraine on Priorities in Innovation Activities in Ukraine (adopted in 2011). This law⁴⁷defines the following strategic innovation prioritiesfor the period 2011-2021:

 

· adoption of new technologies regarding energy transportation, implementation of energy-efficient and resource-saving technologies, take-up of alternative sources of energy;

 

· adoption of new technologies of high technology development of the transportation system, rocket and space field, aircraft industry and shipbuilding, armament and military technologies;

 

· adoption of new technologies for materials production, their processing and interconnection; creation of nano-materials and nano-technologies industry;

 

· technological modernization and development of agro-industrial complex enterprises;

 

· introduction of new technologies and equipment for quality medical service, medical treatment and pharmaceutics;

 

· wide use of technologies for cleaner manufacturing and environment protection;

 

· development of modern information and communication technologies and robotics.

 

In terms of the policy mix it should be noted that the above mentioned priorities are targeted by different national policies, policy instruments, etc. In addition, it is important to know that several ministries and other governmental bodies are involved into the governance of Research and Innovation (R&I) in Ukraine (see section 3.2).

 

For the implementation of national priorities four State Targeted Funding Programmes⁴⁸ are in force:

 

· State Target Science and Technology Programme on realisation of research in the Antarctic 2011

 

– 2020

 

· State Target Scientific and Technical Space Programme

 

· State Target Programme for innovation infrastructure development

 

· State target Programme on marine research for 2025

 

The analysis of Ukrainian past and running funding programmes was conducted by the FP7 funded project BILAT-UKR*AINA⁴⁹ in 2015 and can be accessed online⁵⁰.

 

Due to the political situation following the war in 2014 and the decrease in state funds for research and innovation not all objectives of the national action plans were met⁵¹.

 

Under the new Law of Ukraine on Scientific and Technical Activities (see section 3.2) a new permanent advisory board of the Cabinet of Ministries of Ukraine, the National Council of Ukraine on the Development of Science and Technology will be established. Among the tasks of this board willbe the contribution to a strategic vision for research and innovation in Ukraine as well as the definition of new priorities.

 

 

46 Bilat UKR*AINA project - http://www.st-gateukr.eu/en/195.php: accessed on 18 April 2016.

47 Bilat UKR*AINA project - http://www.st-gateukr.eu/en/195.php: accessed on 18 April 2016.

 

48 Ministry of Education and Science of Ukraine and www.bilat.eu: accessed on 18 April 2016.

 

49 BILAT-UKR*AINA Project: http://www.bilat.eu/235.php?country=UA&programme_type=any&thematic_area=any&textsearch=&submit=Search and INCREAST Portal: Cuntry Report Ukraine: http://www.increast.eu/en/139.php: accessed on 16 April 2016.

 

50 http://www.bilat-ukraina.eu/_media/D2.27-_Progress_report_on_regular_input_to_www.BILAT.eu_final.pdf: accessed on 25 March 2016.

51 Source: Ministry of Education and Science, Department of International Cooperation.

 

Due to association to Horizon 2020 in 2015, MESU (Ministry of Education and Science Ukraine) is leading consultations with wider R&I stakeholders to prepare and adopt a National Strategy on cooperation of Ukrainian R&I organisations in the European Research Area. This strategy should be finished untilthe end of 2016.

 

Ukraine has adopted many initiatives in the past, some of them as special laws. However, implementation has been uneven, due to the lack of necessary follow-up steps to give concrete expression to high-level objectives, including the provision of financial resources⁵².

 

The government formed in 2014 (until 18.4.2016) developed a series of measures to address the following key issues in Ukrainian research policy⁵³:

 

· establishment of research priorities which correspond to the goals of national development;

 

· a clear orientation of R&D towards respecting the best EU standards, with the intention of joining the European Research Area;

 

· administrative changes to improve the governance of the R&D system.

 

In particular, in 2016 MESU focuses on the increase of the state budget dedicated to R&D in current, but not constant prices⁵⁴,

 

· including basic funding of the institutions;

 

· grants for nationally funded projects;

 

· financial support for research infrastructure both in universities and state research institutes;

 

· establishment of a special support mechanism for young researchers to stay in or to return to the country;

 

· evaluation and validation of state research institutions and universities (currently an evaluation of NASU institutes is under way (see section 3.3);

 

· financial support for accession to R&D databases (i.e. Scopus, Web of Science, etc.);

 

· and the establishment of the National Research Foundation of Ukraine ⁵⁵.

 

Furthermore, Ukraine needs to respond to current national challenges such as the decline of general R&D expenditure (GERD) from 3% to 0.66% between 1990 and 2014; a low level of demand for R&D results from the domestic economy sector; brain drain of leading researchers; the decline of R&D personnel, old research infrastructure, aging personnel etc.⁵⁶

 

Until now, (May 2016), the newly appointed Government of Ukraine⁵⁷ has not yet announced any significant changes as regards the strategy for Ukrainian R&I policy.

 

 

52 UNECE: https://www.unece.org/fileadmin/DAM/ceci/publications/icp7.pdf: accessed on 15 April 2016.

 

53 UNESCO Science report towards 2030 (2015): http://unesdoc.unesco.org/images/0023/002354/235406e.pdf: accessed on 5 April 2016.

 

54 This could rather result overall in a declining budget.

 

55 Source: Department of Scientific and Technical Development of MESU

 

56 Self-assessment report: SCIENTIFIC AND TECHNOLOGICAL SPHERE OF UKRAINE, MESU, 2016

 

57 http://www.kmu.gov.ua/control/en/publish/article?art_id=247077686&cat_id=247605901: accessed on 20 April 2016.

 

 

3.2. Policy making & policy implementation

 

The main legal basis for the implementation of research and innovation policy in Ukraine is the Law of Ukraine on Scientific and Technical Activities (adopted in 2001, last amendment in November 2015and in force since January 2016)⁵⁸. Apart from this new law, the following laws and governmental decrees related to Ukrainian R&I are currently in force⁵⁹:

 

Laws:

 

· Law of Ukraine on Scientific Technical Information

 

· Law of Ukraine on Scientific and Scientific Technical Expertise

 

· Law of Ukraine on the Priority Directions of Science and Technology

 

· Law of Ukraine on Scientific Parks and the corresponding Law of on Scientific Park “Kyiv Polytechnic”

 

· Law of on Special Regime for Innovation Activity in Technological Parks

 

· Law of Ukraine on Innovation

 

· Law of Ukraine on Innovation Activity Priorities in Ukraine⁶⁰

 

· Law of on National Security of Ukraine

 

· Law on Technology Transfer

 

Governmental decrees:

 

· Concept of the national innovation system development

 

· Priority R&D thematic areas for the period until 2015

 

· Medium-term priorities of innovation activity of national and sectorial levels until 2016

 

· Concept of reforming the system of funding and management of scientific and technical activities and action plan until 2017 to implement the Concept

 

The key players defining R&I in Ukraine are the Ukrainian President ⁶¹, who sets the strategic development, the Ukrainian Parliament (Vrkhovna Rada) with its parliamentary body responsible for R&I, the Committee for Education and Science⁶², which in its capacity as main legislative body shapes the country’s R&I by adopting all legal acts, strategies and priorities as well as international agreements in the field of R&I; and Cabinet of Ministers which creates incentives for the national R&I infrastructure.

 

On the operational level the Ministry of Education and Science of Ukraine (MESU) is, among other issues, in charge of the implementation of the state sectorial policy in Science and Higher Education on behalf of the Government of Ukraine⁶³. MESU is also responsible for strengthening research capacities in

 

 

58 Law of Ukraine on Scientific and Scientific Technical Activities 2015 (in Ukrainian). Link: http://zakon3.rada.gov.ua/laws/show/848-19: accessed on 10 April 2016.

 

59 All laws and decrees are available in Ukrainian language only: http://zakon5.rada.gov.ua: accessed on 18 April 2016. There are around 80 different legal acts related to science, technology and innovation.

 

60 Law of Ukraine on Innovation (1993/2003). Link: http://www.wipo.int/wipolex/en/text.jsp?file_id=182883 (EN-summary): http://zakon5.rada.gov.ua/laws/show/3689-12 (UA): accessed on 18 April 2016.

 

61 President of Ukraine: http://www.president.gov.ua/en/: accessed on 16 April 2016.

 

62 Ukrainian Parliament: http://gapp.rada.gov.ua/radatransl/Home/Committees/en: accessed on 10 April 2016.

 

	Government	of Ukraine	(EN):
	http://www.kmu.gov.ua/control/en/publish/article?art_id=247077686&cat_id=247605901:
	accessed on	20 April 2016.

 

universities. Approximately 180 institutions (universities and research institutions) are directly subordinated to MESU⁶⁴.

 

Apart from MESU, several other ministries deal with R&D and innovation issues.⁶⁵ The Ministry of Finance has a very important role by determining the national budget for the R&I sector. The Ministry for Economy and Trade is responsible for the R&D policy and competitiveness of industry and thetechnology transfer to the business sector. It is accountable for some S&T programmes targeting economic development. The Ministry for Foreign Affairs is responsible for international agreements with other countries and international organisations. Currently, there are approximately 50⁶⁶ bilateral agreements in force.

 

R&I activities are also carried out in research institutions and universities subordinated to the Ministry of Health, Ministry of Infrastructure, Ministry of Internal Affairs, Ministry of Culture and Ministry of Agrarian Policy and Food. ⁶⁷All these ministries have some sector budgets related to R&I activities.

 

Figure 8: Organogram of the R&I system in Ukraine⁶⁸

 

 

64 Self-assessment report: Scientific and technological sphere of Ukraine, MESU, 2016

 

65 Source: Ministry of Education and Science of Ukraine, Deparment International Cooperation and European Integration

 

66 Self-assessment report: Scientific and technological sphere of Ukraine, MESU, 2016

 

67 Source: Ministry of Education and Science of Ukraine, Department of International Cooperation and European Integration

 

68 Complied by the authors of this report from the information provided by MESU

 

The National Academy of Sciences of Ukraine⁶⁹ (NASU), an independent public institution dealing with research and innovation, receives around 50%⁷⁰ of the yearly state budget allocated for S&T, therefore playing a key role in the Ukrainian system of research. NASU is very important in terms of research performance and research infrastructure as it gathers approximately 120 institutes, scientific centres, labs, etc. under its roof. The academy’s main task is the coordination of the country’s research and expertise in all fields of science and technology.

 

According to Ukrainian legislation also the regions can provide funds from their own regional budget for R&I⁷¹. Some of the regions and bigger cities have their own departments and offices responsible for innovation issues. MESU, being responsible for the implementation of Horizon 2020 in Ukraine, has established not only National Contact Points, but also Regional Horizon 2020 Contact Points⁷² in all regions.

 

Due to recent changes in the legal framework, Ukraine is currently going through systemic reforms aimed at improving the overall R&I governance.

 

The amendments to the Law of Ukraine on Scientific and Technical Activities ⁷³ bring several changes with regard to this issue, which are in line with the country’s efforts to foster both R&I on national level and international cooperation, being a newly associated country to the Horizon 2020 programme.

 

According to the Ministry of Education and Science of Ukraine, these latest amendments foresee the establishment of a National Council of Ukraine on the Development of Science and Technology ⁷⁴. This body, consisting of two committees, will act as a joint and permanent advisory body to the Cabinet of Ministers, contributing to a strategic vision for Ukraine. The Scientific Committee shall have 24 members, consisting of representatives of the heads of the national academies of science, leading universities and scientific institutions as well as prominent scholars from abroad. The Administrative Committee, too, shall have 24 members. The Council will be headed by the Prime Minister of Ukraine.Its mission will be to develop a new vision of the priorities of Ukrainian science and to restructure the existing system of scientific institutions. ⁷⁵

 

The main functions of the National Council are:

 

· To prepare proposals for the policy framework development for scientific and technological activities and to submit appropriate recommendations to the Cabinet of Ministers of Ukraine

 

· To prepare proposals for the integration of national science into international science, taking into account national interests

 

· To evaluate reports on use of funds for scientific and technical activities and results achieved which are to be submitted by the National Research Fund of Ukraine, the National Academy of Sciences, central executive authorities, etc.

 

To this date (April 2016) the National Council is not established yet, but it is foreseen that in the next months the members who applied under the public call lunched by MESU will be selected. Expected start of the Council is beginning of 2017⁷⁶.

 

 

69 http://www.nas.gov.ua/Pages/default.aspx: accessed on 20 April 2016.

 

70 Self-assessment report: SCIENTIFIC AND TECHNOLOGICAL SPHERE OF UKRAINE, MESU, 2016

 

71 Source: Ministry of Education and Science, Department of International Cooperation and European Integration

 

72 List of NCPs and RCPs: http://www.bilat-ukraina.eu/en/393.php#RCP: accessed on 20 April 2016.

 

73 Law of Ukraine on Scientific and Scientific Technical Activities 2015 (in Ukrainian). Link: http://zakon3.rada.gov.ua/laws/show/848-19: accessed on 10 April 2016.

 

74 Law of Ukraine on Scientific and Scientific Technical Activities 2015 (in Ukrainian). Link: http://zakon3.rada.gov.ua/laws/show/848-19: accessed on 10 April 2016.

 

75 Source: Ministry of Education and Science, Department of International Cooperation and European Integration

 

76 Source: Ministry of Education and Science, Department of International Cooperation and European Integration

 

The amendments of the law foresee also the establishment of a new independent institution, the National Research Foundation of Ukraine. This organisation is supposed to carry out financialsupport for institutional, collective and individual grants in the fields of fundamental research and applied sciences. One of its targets is to make Ukraine an attractive research location, causing young researchers either to stay in the country or to return back after finishing their studies abroad.

 

A significant part of the amended law is devoted to the development of a strategy towards strengthening of academic and university research cooperation, in particular the establishment of Joint Centres for the use of scientific equipment and key state laboratories as well as the establishment of start-ups ⁷⁷.

 

With regard to intellectual property, the new legal framework provides a possibility for public research institutions and universities to be co-founders of companies and to invest their intellectual property rights as part of the authorized capital of such enterprises. The funding of grants, the competitive selection of applications as well as their evaluation is regulated as well⁷⁸.

 

The administrative structure of the National Academy of Sciences of Ukraine (NASU) and its national branch academies (National Academy of Agricultural Science, National Academy of MedicalScience, National Academy of Pedagogical Science, National Academy of Legal Science, National Academy of Arts) will be reformed. After an evaluation of each academy (the results of which are expected in summer 2016), a roadmap for the reform process and eventual merger of them into a single National Academy of Sciences will be drafted⁷⁹. Furthermore, the reduction of bureaucracy is foreseen, aswell as measures to reduce the brain drain and to limit the appointment to leading positions (executive positions) in research organisations to two terms maximum.