Describing national
Science and Technology systems through a multivariate
approach: Country participation in the 6th Framework
Programmes
Jose Luis Ortega
R&D Analysis, Vice-presidency
for Science and Technology, CSIC, Serrano, 113, 28006,
Madrid, Spain,
jortega(a)orgc.csic.es
Isidro Aguillo
Cybermetrics Lab, CCHS-CSIC,
Albasanz, 26-28, 28037, Madrid, Spain
isidro.aguillo(a)cchs.csic.es
Cite as: Ortega, J. L., Aguillo,
I. F. (2010), Describing national Science and Technology
systems through a multivariate approach: Country
participation in the 6th Framework Programmes Scientometrics, 84(2):
321-330
Abstract
The
objective of this work is to describe the distribution
of different types of participating organizations in the
health thematic area of the 6th Framework Programme.
2132 different organizations were classified according
to four types and then grouped by country. A Principal
Component Analysis (PCA) was carried out on the
percentage of funding obtained by each type of
organization. Results show a countries map plotted
around the “private” and “public” principal components.
It is observed that there are countries which research
is basically performed by government research centres,
while others are supported in the university activity.
We conclude that the PCA is a suitable method to plot
the distribution of research organizations by country
and the results could be used as a tool for theoretical
studies about the scientific activity in a
country.
Introduction
The European Union (EU) Framework
programmes were raised with the objective of
strengthening the scientific and technological
capabilities of the European industry in order to
increase their international competitiveness [SINGLE
EUROPEAN ACT, 1986]. So, different organizations from
every member country participate in these research
programmes with the aim of achieving leading knowledge
in order to increase their scientific and technological
capabilities; and reinforcing contacts with prominent
partners which make possible the development of new
ideas and methodologies. Due to this, to compete in the
EU research programmes is a great effort for any
research organization and just a reduced set of them
achieve financing to their research projects -the
proposal success rate was 18% in the 6thFP [EUROPEAN
COMMISION, 2008]. This effort could be considered as an
indicator of excellence and competitiveness [HORNBOSTEL,
2001], because this selected group of institutions
constitutes the scientific and technological elite of
their countries. However,
the science and technology system of each country
differs considerably from one to each other’s [NELSON,
1993; EDQUIST, 2006]. It can be observed that different
organizations assume different roles. For example, in
the United Kingdom, the principal performer of basic
research is the university, while this same task is
mainly assumed by large public research bodies in the
French system (CNRS, INSERM, etc.) [CHESNAI, 1993].
These differences allow to characterize different models
of science and technology systems as well as proposing a
theoretical model for regional innovation such as the
Triple Helix model [ETZKOWITZ & LEYDESDORFF, 2000],
which stressed the importance of developing policies
which consider the importance of the relationships
between the three different actors, industry, government
and university. We hypothesize that the different types
of organizations which participate in the EU Framework
programmes represent the most outstanding research
institutions of their countries and this selected sample
may describe the whole science and technology system of
their countries.
Related
Research
Several works have analysed the
participation in the EU Framework programmes as a way to
asses and evaluate the success of these programmes in
general [GEORGHIOU, 1995; LUUKKONEN, 1998] or focusing
in certain actors such as universities [GEUNA, 1998],
companies [LUUKKONEN, 2002] and public sector [LAREDO
& MUSTAR, 2004]. Other papers have described country
performance in such programmes [GUSMAO, 2000; 2001],
while several reports have addressed the participation
in these programmes at the country level, such as
Finland [UOTILA et al, 2004] Czech Republic (ALBRECHT
& VANECEK, 2008] or Sweden [ARNOLD et al, 2008].
Other papers have studied the network configuration of
the EU research programmes with the aim of describe the
relationships among organizations [BRESCHI &
CUSMANO, 2004; ROEDIGER-SCHULGA & BARBER, 2007].
However, no papers intended to visualize the particular
typological configuration of the participant
organizations of each country. Principal
Component Analysis is a statistic tool widely used in
Scientometrics field, because it allows to resume a
large number of scientific indicators in a couple of
components which make easier the understood of the
research interactions. It has been used to built
scientific profiles of individual researchers according
their publication activity [COSTAS & BORDONS, 2008],
or as a way to relate bibliometrics indicators and usage
metrics [BOLLEN et al, 2009]. BALDINI, GRIMALDI &
SOBRERO [2007] studied what are the principal factors
that motivate the patenting of innovations, while RAMANI
[2002] classified the Indian biotech firms according to
their expenditure, publication and other variables.
Recently, DEHON, MCCATHIE & VERARDI [2009]
identified the main groups of indicators used in the
Academic Ranking of World Universities of the Shanghai
University. However, other multidimensional techniques
have been used in order to characterize and classify
research profiles as clustering [THIJS & GLÄNZEL,
2008; 2009], Multidimensional scaling [MCCAIN, 1990] or
Neural networks [POLANCO, FRANÇOIS & KEIM,
1997].
Objectives
The aim of this work is to describe
the distribution of different types of organization that
successfully applied in the health thematic area of the
6th Framework Programme. We intend to characterize each
country according to the funded provided to the
companies, universities, etc. that participate in that
thematic area. Our main objective is to know if these
different distributions of subventions by type of
organizations may inform us about the R&D system of
each country. We try to group these countries according
to similar patterns. Methodologically, the objective is
to test the Principal Component Analysis (PCA) as a
suitable method to classify countries according to the
percentage of subvention of organizations which
participate in the EU research programmes. We want to
explore if this method may be a good tool to visualize
the Triple Helix theoretic model.
Methods
Data We have obtained a
database which contains the organizations participant in
the projects belong to the “Life sciences, genomics and
biotechnology for health” thematic area from the 6th
Framework Programme of the EU. This thematic area
includes 601 projects and 2,132 organizations. These
data were provided by the Centre for the Development of
Industrial Technology (CDTI), the Spanish public body
depending of the Ministry of Science in charge of
promoting and funding innovation and technological
development. This database was previuosly cleaned,
solving the following cases:
-
Organizations with several names
in different languages was revised, mainly native and
English language
-
Institutes and departments of an
organization were merged in a same name. This was usual
with research councils (i.e. CNRS, IRCC,
etc)
-
Company’s branchs were considered
as independent organizations and located in the their
country set
Then, each
organization was classified according to four types of
organization: Company, University, Government and
Non-Profit Organization (NPO). Criteria to classify
these entities were obtained from the Frascati Manual
[OEDC, 2003]. We extract from each organization the
percentage of subvention along the health programme.
These organizations were grouped by country, and we
selected the countries with five or more organizations
in this programme, given a total of 41 countries and
2,069 organizations. Previous to the statistical
analysis, we have calculated the total percentage of
subvention of each type of organization by each country.
This cause more differences between the variables and
the contribution of the observations are more
balanced.
Principal Component
Analysis The Principal Component Analysis
(PCA) [PEARSON, 1901; HOTELLING, 1933] is a
multivariable technique related with the factor
analysis. The aim of the PCA is to reduce the dimension
of p variables to a set of new variables (principal
components) which contain the highest amount of
information from the before variables. It is desirable
that all variables are well correlated between them,
because this is symptomatic of redundant information and
therefore a lower number of new variables (components)
will be necessary to explain the model. These components
are uncorrelated between them, because the fist one has
the highest amount of information, and the second one
has the information that the previous does not contain
and so on. These
components are interpreted according to their
correlation with the previous variables, because they
contain part of the information of the original
variables. Thus these components allow us to plot the
observations in a new reduced space and to observe how
these observations are related with the variables and
the other observations. To simplify the component
structure and therefore makes its interpretation easier
and more reliable, it is usual to apply rotations to the
components. Varimax, which was developed by KAISER
[1958], is the most popular rotation method; because it
makes that each component represents only a small number
of variables. PCA and graph edition was done with the
Excel plug-in XLStat 2008.
Results
Descriptive
analysis Table 1 shows the
percentage of subvention for each type of organization
listed by participant countries. It is ranked by the
total percentage of subvention that achieves each
country. We observe different patterns, for example,
Iceland (84.4%) and the United States (58.98%) are the
countries with the highest weight of companies, while
Luxembourg (79.5%) and China (75.9%) have more
Government presence in that thematic area. In general,
University (49.85%) and Government (25.33%) are the
types of organization that most amount for subvention
achievement, followed by Company (21.31%) and NPO
(2.28%). So we observe that the participation in the
health programmes is mainly supported by universities,
while the government institutions and the firms have a
similar percentage.
Country |
Country
code |
Company
% |
NPO % |
University
% |
Government
% |
Subvention
% |
Germany |
DE |
20.73 |
.35 |
44.1 |
34.82 |
18.54 |
United
Kingdom |
UK |
17.24 |
.78 |
64.81 |
17.17 |
16.58 |
France |
FR |
34.41 |
1.06 |
15.15 |
49.38 |
13.06 |
Italy |
IT |
23.18 |
12.8 |
39.93 |
24.09 |
8.62 |
The
Netherlands |
NL |
13.21 |
1.57 |
71.18 |
14.04 |
7.76 |
Sweden |
SE |
19.04 |
1.39 |
76.74 |
2.83 |
5.67 |
Belgium |
BE |
16.38 |
5.02 |
71.8 |
6.81 |
4.28 |
Switzerland
|
CH |
19.64 |
.75 |
71.4 |
8.21 |
4.2 |
Spain |
ES |
17.68 |
3.3 |
33.19 |
45.83 |
3.97 |
Denmark |
DK |
29.83 |
1.24 |
55.29 |
13.65 |
2.96 |
Austria |
AT |
37.32 |
1.64 |
51.93 |
9.12 |
2.16 |
Finland |
FI |
18.35 |
1.49 |
71.34 |
8.82 |
1.91 |
Israel |
IL |
23.45 |
|
71.35 |
5.19 |
1.66 |
Norway |
NO |
12.89 |
1.15 |
52.96 |
33.01 |
1.06 |
Hungary |
HU |
25.38 |
.33 |
28.55 |
45.73 |
.88 |
Greece |
GR |
7.51 |
10.87 |
28.85 |
52.77 |
.83 |
Poland |
PL |
.81 |
.09 |
39.46 |
59.64 |
.7 |
Czech Republic
|
CZ |
9.93 |
.1 |
30.07 |
59.9 |
.68 |
Ireland |
IE |
17.26 |
|
82.63 |
.11 |
.61 |
Portugal
|
PT |
11.46 |
1.92 |
29.65 |
56.97 |
.42 |
Estonia |
EE |
24.32 |
.35 |
46.09 |
29.24 |
.34 |
Iceland |
IS |
84.47 |
3.47 |
9.73 |
2.32 |
.34 |
Slovenia
|
SI |
31.64 |
|
25.9 |
42.47 |
.29 |
Russia |
RU |
14.05 |
|
14.11 |
71.84 |
.26 |
United States
|
US |
58.98 |
|
38.5 |
2.52 |
.17 |
Slovakia
|
SK |
1.7 |
|
36.89 |
61.41 |
.1 |
Latvia |
LV |
18.99 |
2.38 |
58.46 |
20.17 |
.1 |
South Africa
|
ZA |
1.26 |
|
97.62 |
1.12 |
.09 |
Croatia |
HR |
47 |
|
32.95 |
20.05 |
.07 |
Turkey |
TR |
19.98 |
|
68.56 |
11.45 |
.06 |
Australia
|
AU |
6.82 |
|
44.06 |
49.12 |
.06 |
China |
CN |
|
|
24.03 |
75.97 |
.06 |
Canada |
CA |
|
|
94.85 |
5.15 |
.05 |
Romania |
RO |
3.11 |
61.25 |
34.15 |
1.49 |
.04 |
Argentina
|
AR |
|
21.16 |
45.03 |
33.81 |
.03 |
Lithuania
|
LT |
44.14 |
|
5.2 |
50.65 |
.03 |
Bulgaria
|
BG |
|
6.04 |
80.41 |
13.55 |
.02 |
Cyprus |
CY |
15.03 |
|
10.5 |
74.47 |
.02 |
India |
IN |
24.11 |
|
60.3 |
15.59 |
.02 |
Brazil |
BR |
|
|
77.96 |
22.04 |
.01 |
Luxemburg
|
LU |
17.2 |
3.26 |
|
79.54 |
.01 |
TOTAL
|
|
21.31 |
2.28 |
49.85 |
25.33 |
98.77 |
Table 1. Percentage of subvention
of each type of organization by country
PCA
Results
PCA was applied to four variables: percentage of
subvention obtained by the universities, companies,
governments and NPO’s distributed by each country. Two
components were obtained with a correlation of 43.25% to
the first one and 31.28% to the second one, being a
cumulate of 74.52%. If we observe the matrix correlation
of the variables we found low correlations between them.
The highest is -.74 between University and Government
and the lowest is -.1 between University and NPO. Notice
that all the correlations are negative because we
calculate the proportion of subvention, so when one
increases the other ones decrease. This low correlation
causes that we found only two components with 74.52% of
the variance. A third factor will explain the 100%, but
does not allow us to plot the observations in a two
dimension plane. So we have decided to use only the two
first components because they are enough to visually
describe the relationships between variables and
observations.
Variables |
F1
(Public) |
F2
(Private) |
Company |
0.014 |
0.952 |
NPO |
-0.041 |
-0.484 |
University |
-0.914 |
-0.266 |
Government |
0.945 |
-0.197 |
Table 2. Correlation between
factors and variables (Varimax rotation)
Table 2 shows the Pearson’s
correlation between the variables and the principal
components obtained from those variables. First
component (F1) may be labelled as a “public component”
because it is highly correlated with University (-.91)
and Government (.95). Although there are private
universities, the public universities are majority, so
we have decided to label that factor with that tag.
Contrarily, the second component (F2) is defined as
“private component” because is correlated with NPO
(-.48) and Company (.95). NPOs may include private or
public entities, but its correlation with F2 component
suggest us to consider that the majority of these
entities have a private profile. It is interesting to observe
that both components are correlated with different sign
with the variables. Thus, University is inversely and
Government is directly correlated with the “public
component”, while NPO is negatively correlated and
Company is positively correlated with the “private
component”. This is due to the already mentioned reason,
because the variables were quantified as percentages, so
when one increases the other ones decreases. Thus we may
observe on one hand a “public” axe (x) in which the
positive values show countries which participation is
highly supported by government institutions, and the
negative ones display countries in which the
universities contribute more actively. On the other hand
there is a “private” axe (y) where the positive values
identify countries with a high business activity, while
the negatives show an important presence of
NPO.
Figure 1. PCA map with
the two main components, variables and observations.
Variance (74.52%) with varimax
rotation
Figure 1 shows the
bi-dimensional projection of the variables (lines) and
observations (dots) according to the two principal
components. To increase the visualization added value of
the map we have represented the size of the dot
according to the total percentage of subvention of each
country. We also have coloured each dot according to a
geographical classification in which blue is used for
the EU-15 countries, red is for the EU-25 ones, yellow
represent the European countries non-EU members and
green is reserved for non-European countries. To understand Figure 1 we
firstly have to observe the projection of the variables.
As we have seen before (Table 1), “public” component
(horizontal axe) mainly contains information from the
University and Government variables, while the “private”
component (vertical axe) shows information of Company
and NPO variables. The vectors length shows the
contribution of the variables to their components, thus
we observe that the contribution of Company (72.49%),
Government (51.58%) and University (48.31%) to their
components is very high, but NPO (18.75%) is quite low.
This causes that the observations are scarcely affected
by this last variable, and the observations are mainly
distributed along the horizontal axe. Figure 1 allows us to group
the observations by their relationship with the
components. Thus the upper-half part shows the countries
which participation in this research programme is mainly
supported by companies. In this group we can highlight
Iceland (IS), the United States (US) and Croatia (HR).
Contrarily, the lower-half part shows countries in which
the weight of the NPO is more important such as Romania
(RO) and Argentina (AR). If we observe the “public”
axe we locate in it the major proportion of countries.
In the right-half part there are the countries with
participation carried out profusely by universities. In
this homogenous group are the United Kingdom (UK), the
Netherlands (NL), Belgium (BE) and Sweden (SE). In the
left-half are located countries which governments play a
central role in their activity in the health thematic
area, like France (FR), Spain (ES) and Greece (GR).
Finally, we can
observe countries located in the centre of the map,
these are countries that do not have a specific pattern,
because the weight of the four types of organizations is
similar. Those countries are Germany (DE), Italy (IT)
and Norway (NO).
Discussion Obviously, the obtained
results may not be generalized and they are not
representatives of the Science and Technology system of
a country at all. Due to the type of organizations
distribution could vary according to different
programmes and it should be taken into account that not
every research organizations of a country participate in
the European research programmes. ROEDIGER-SCHULGA and
DACHS (2006) found significant differences in two EU
programmes. They detected that while the
telecommunication programme had more industrial partners
and require greater funding; the agricultural one was
dominated by public research institutions and attract
less income. Our results show that the universities are
the sector most active, while the presence of firms and
government is rather balanced. We have observed that the
firms’ presence might be due to the emergence of
biotechnology sector [GRAVALOS, GARCIA & BARNES,
2002], while the government presence is related with the
social aspect of the health. Although HUGHES-WILSON
[2004] claims that the business presence was lower than
the expected in this thematic area. In spite
of these limitations, the obtained results allow to map
the principal characteristic of the Science and
Technology system in each country, at least in the
health thematic area. Hence, one can observe that the
countries closer to the “government” variable are
countries with strong government research councils such
as the CNRS in France, the CSIC in Spain, and the MPG in
Germany. Together with these countries, we also detect
other ones that come from command economies and where
they still have an important presence of government
organizations. In this set we identify eastern countries
such Hungary, Poland, Czech Republic or Russia and
others still with command economy such as China. On the
other side, close to the “university” variable, we find
countries where the basic research is mainly supported
by universities because their research councils are
basically oriented to the research investment. The
United Kingdom, the Netherlands, Belgium and Sweden are
countries in this set. It is interesting to notice that
important countries such as Germany, Italy and Norway
are located in the centre of the plot. This suggests
that these countries share out the research performance
between government research centres, university and
private laboratories in a balanced way. For example,
Germany has a strong private sector whose performance
amounts for around two-thirds of the German R&D
activity, while the government research councils (MPG,
Fraunhofer, etc.) and universities are responsible of
the rest of the research [FEDERAL MINISTRY OF EDUCATION
AND RESEACH, 2002]. This balanced distribution, in which
each sector fairly participates in the R&D system,
suggests that these countries go toward the Triple Helix
model [ETZKOWITZ & LEYDESDORFF, 2000]. This
theoretical model suggests that an intense participation
of the Government, University and Industry organizations
in a coordinate way increases the innovation in a
regional system. So we understand that that equilibrated
position of Germany, Italy and Norway could be is a good
indicator of the joint role of these agents in the
biomedical research of those
countries.
Conclusions
PCA has made possible to plot
the percentage of subvention by each type of
organization in each country. This multivariate approach
has shown the principal characteristics of the S&T
system in each country, showing countries which research
is supported mainly by government and other ones which
it is carried out by universities. We conclude that the
PCA is a suitable methodology to show this kind of
information because allows to present in a easy way how
is the research system in each country and observe if
there is any relationship with other variables such as
the R&D investment or the successful in research
programmes. We think that this representation in which
the observations are plotted along three or four
variables, allows us to bring closer the Triple Helix
dimensionality [LEYDESDORFF & SCHARNHORST, 2002;
PRIEGO, 2003]. We suggest that this method could be a
suitable tool to present this theoretical model and to
explore the development of the Triple Helix from a
visual point of view. Results let us to claim that
there are mainly two groups of countries. Countries
which research system rest basically on government
research centres such as France, Spain and
post-communist countries. The other one is set up by
countries in which the universities are the principal
actor performing research, being United Kingdom,
Switzerland, and Sweden an example. We have also
observed that there are countries such as Germany, Italy
and Norway that have a balanced distribution of their
research performance. Thus we may conclude that there
are different model of S&T system, but they do not
affect to the success in the EU research programmes
because the main countries have different models which
go from the government-oriented model of France to the
university-based model of the United Kingdom or the
balanced model of Germany.
Acknowledgements
We wish to thank the
R&D Framework Programmes Department of the
Centre for the Development of
Industrial Technology (CDTI) of Spain for their support and
the supply of 6th EU Framework Programme
data.
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