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1 Introduction

This paper presents a case study of how the Cuban universities became directly involved with the economic and social development of the country.Footnote 1 It deals with the international debate on the “third mission” of the universities, on the basis of the unique Cuban experience.

The Cuban universities play an important role in national scientific development. Cuba currently devotes 0.49 % of GDP to R&D, a figure that is close to average in Latin America and the Caribbean. The number of researchers per 1,000 economically active persons is 1.06, higher than the Latin American average. Close to 80 % of the R&D is government-financed. The country has 211 public R&D institutes (Núñez et al. 2008b). There are 65 higher education R&D institutions located all over the island. In all municipalities nowadays there are higher education affiliates, and this has brought enrollment ratios up to 65 % of young people in the 18–25 age group (Núñez et al. 2008a).

The transformation of the Cuban university into an institution capable of producing, absorbing, disseminating and applying knowledge of economic and social importance is related to the processes that followed from the 1962 University Reform (Higher University Council 1962).

This paper will show how, from the late 1980s and early 1990s, the Cuban university experienced changes in the orientation and organization of its scientific research and started to be more directly and intensely involved with economic and social development. In this way, let us consider a case study related to a research group from the University of Havana.

2 From Research University to Innovation-Oriented University

The 1962 University Reform underscored the role of scientific research and high-level training, emphasizing sciences and engineering, as well as linking theory and practice in the training of students.

During the 1960s, against the background of economic, political, ideological and cultural transformation resulting from the Cuban Revolution, higher education became a key player in the social transformation of the country. In particular, universities became relevant players in building the emerging national science sector. Social relevance and commitment to society were taken up as key values of the new university and scientific institutionalization.

Practically all research and training programs developed by Cuban universities in the 1960s were oriented towards the economic and social development of the country. However, the relationship between the country’s economic and social development did not always enjoy the same success in the following four decades. This success has largely depended on government strategies, and the more or less close relationship between the universities and the main leaders of the country, which, undoubtedly, is unique to the Cuban case.

By the late 1980s and vis-à-vis the evident crisis of European socialism (Cuba’s main economically) and the need to generate new sources of wealth for the country, the highest level of the government held the idea that the Cuban scientific community should play a more direct and intense role in the economic and social development of the country.

Research centers were criticized for the scarce application of their results. Several transformations then took place in the scientific and technological policy with the aim to improve the use of scientific results (Rodríguez 1997). Probably the most brilliant result of those changes was the emergence of a robust, biotech-based medical-pharmaceutical industry that currently exports products at a value of US$300 million, that is supported by the West Scientific Pole of Havana (similar to clusters in other countries)Footnote 2 (Lage 2011).

In the 1980s, the universities received important financial and political support. Part of the university scientific community focused their work around the full cycle (from research to application of results). Groups were formed and they created production capabilities and in other cases established very close relations with the productive sectors. This innovation in the scientific practice of the Cuban universities was further strengthened by the creation in the mid-1990s of the Office for the Transfer of Research Results (OTRI), which aimed at providing advice and commercial management to enterprises as well as the export of high value-added technology and products (Alonso and Rodríguez 2007).

However, these transformations affected only one sector of university research. Other groups continued to carry out their activities in traditional research. In the 1990s, the Cuban universities, while maintaining traditional graduate training (although with decreasing enrollment due to the economic difficulties of the country at the time), started expanding post-graduate programs. While some research groups continued with their customary programs, some research groups oriented their research towards innovation and its relation to economic and social development. These transformations are shown in the following case study involving the Laboratory of Synthetic Antigens (LAGS) of the University of Havana (UH).

3 The Laboratory of Synthetic Antigens and Quimi-Hib: Science and Society Meet

The LAGS is part of the Faculty of Chemistry of the UH. The UH is the most important institution of higher learning in Cuba, which was founded in 1728. It has 18 faculties and 21 research centers for exact and natural sciences, education, social sciences, economics, the humanities and to a lesser degree, engineering. It has campuses in all 15 municipalities of the capital city. It offers 32 university programs with some 60,000 students enrolled, of which 58 % are women. The faculty includes 1,400 professors and full-time researchers, 50 % of whom hold a PhD degree, and a little over 2,500 part-time researchers. There are 3,000 students (600 grads per year) in some 70 Master’s programs. Some 800 students are pursuing their doctoral degrees and around 100 graduate every year. The approval of topics for doctoral thesis takes into account the priorities of the national scientific policy; 85 % of the new doctors studied for their doctoral dissertations in Cuba, although many conduct part of their training abroad. Scientific production in renowned journals, as recognized by the Institute for Scientific Information accounts for 25 % of the national product. From 1995 to 2004 the UH applications for patent protection for inventions amounted to 4.7 % of the total applications made by Cuban residents to the Cuban Office for Industrial Property (García et al. 2007).

LAGS has 19 researchers, nine technicians and seven staff; it groups professionals trained in the areas of chemical engineering and holders of bachelor’s degrees in chemistry, biochemistry and pharmacy. Its origin dates back to November 1983, when the carbohydrates group (GC) was formed at the Faculty of ChemistryFootnote 3 of the UH, in the context of the above-mentioned institutional and policy changes.

In the early 1980s, the GC worked with two researchers from the Center of Biopreparations (BIOCEN)Footnote 4 on developing a synthetic antigen against mycobacterium leprae, which causes leprosy. Successful results were obtained in 1986, making it possible to diagnose, and this led to the disappearance of leprosy as an endemic disease in Cuba in the 1990s. This was the first successful encounter of the GC with the Cuban healthcare system. Later on, the group participated in the 1989 development of the anti-meningococcal vaccine, VA-MENGOC-BC, led by the Finlay Institute.

In the 1980s the meningitis caused by haemophilus influenza Type B (Hib) was the bacterium with the biggest influence on meningitis and pneumonia in the country; consequently, it became one of the priorities of the Cuban public health system.

Vaccination in the world against Hib had begun in the 1970s with a vaccine that proved to be effective for children aged 18 months and older. It was followed by a new generation of vaccines called conjugates, where a process called conjugation was used to chemically bond the same capsular polysaccharide to a protein of bacterial origin. However, a decade after the introduction of the conjugation vaccines, only 38,000 out of the estimated 2.2 million cases every year are protected by vaccination; only 2 % of the children in the world at risk of catching the disease are protected. The introduction of the vaccine in developing countries has been slow, prices are relatively high and Hib kills half a million children every year with pneumonia. The import of the vaccine cost Cuba about US$2.5 million per year.

In 1987, Dutch scientists proved the scientific possibility of obtaining the vaccine through synthetic means. The challenge lay in turning the academic possibility of obtaining a small amount of synthetic antigen into a technology able to produce the antigen for millions of vaccine doses, and that such a process could compete economically with the existing one. In the 1990s, several universities and laboratories worked on alternatives with synthetic compounds, but failed to progress beyond the phase of clinical trials in humans. One of the reasons they had to abandon these efforts was that transnational pharmaceutical companies were not interested in a synthetic vaccine. A conventional bacteria-based vaccine existed; therefore, a second vaccine, although cheaper, was not needed and they were not about to generate competition to a product that was bringing in good earnings (Vérez 2008).

LAGS set out to make the process of chemical synthesis for the reproduction of capsular polysaccharide efficient. In this way, a close cooperation was established between LAGS and various research institutions in the West Pole of Havana and the Ministry of Public Health.

In the case of the cooperation between LAGS and West Pole, the role of the state as a promoter of cooperation networks was crucial. In 1999, the vaccine was given top priority in the Cuban biotech industry and following a decision of the Council of State, the CIGB, its staff and scientific and productive infrastructure were put to the task of developing the Hib vaccine.

Relevant foreign institutions and international organizations participated in the success of developing the vaccine. Also important was the participation of the University of Ottawa, Canada, through Professor Rene Roy, who is a co-author of the vaccine patent. Similarly, the World Health Organization (WHO) and the Pan-American Health Organization (PAHO) gave support to the Cuban researchers in terms of control methods for conjugates vaccines and the purchase of equipment and reagents that were difficult to get as a result of the US economic blockade of Cuba.Footnote 5

Little by little, the technological process was optimized and the chemical synthesis was made efficient enough to compete with the conventional method.

Clinical trials were conducted in the province of Camaguey, with the decisive cooperation of the network of family doctor offices,Footnote 6 as well as the interaction of the educational sector, both primary schools and day care centers.

After 2 years of clinical trials, the vaccine proved to work with infants and induced a very high level of protection. Then the Center for State Control of Medicine QualityFootnote 7 issued the manufacturing license and the registration of the vaccine.

As a result of these 15 years of efforts, with the cooperation of several institutions, led by a small lab in the University of Havana, the study was completed and showed that the Quimi-Hib vaccine developed from a totally synthetic antigen is very safe and efficient. It was the first synthetic vaccine for human use approved in the world. Although at least 10 institutions and over 300 people were involved in obtaining it, the main author Vicente Vérez (2006) thinks that the vaccine is ‘the first major product of the Cuban bio-tech industry with origins in university laboratories’. Until now four million doses have been produced (Vérez 2008).

The results achieved can be summarized as follows:

  1. 1.

    A world-level scientific and technical result was achieved, proving that talent and capabilities are not exclusively the domain of large companies and that much can be done by the countries of the South.

  2. 2.

    A health problem was solved in Cuba and similar opportunities were opened for other countries.

  3. 3.

    It proved that university science can be both at the forefront of human science and meet pressing human needs.

  4. 4.

    It proved that the motivation to make a relevant social and human contribution can become the main driver for researchers (professors, technicians, students, academic leaders) seeking to achieve major scientific results.

The results were published by the journal Science (2004: 305, 522). The United Nations Task Force that drafted the document, ‘Innovation: applying knowledge in development’ (2005), reflected on it extensively. The vaccine won the World Intellectual Property Organization Gold Medal Award for Best Invention (2005) and the Health Award from the Technical Museum of San Jose, California (2005). It also received several national and higher education awards.

Work is currently under way on the large-scale production of the vaccine. Over one million doses have been administered to Cuban children. The vaccine has patents in several countries and export agreements have been concluded. It is part of the world’s only pentavalent vaccine against diphtheria, tetanus, whooping cough, hepatitis B and haemophilus influenza Type B.

According to the researchers themselves, the greatest prize is in having created a vaccine that can save the lives of many children.

4 Success Factors, Obstacles and Prospects

The success of the vaccine was based in a research project that was at the forefront of knowledge and also aimed to meet great needs of human health, both in Cuba and elsewhere. It was possible due to governmental support and the existence of a network of high-level centers devoted to research in bio-tech, as well as the support of international cooperation. The success was achieved due to the clear objectives and the perseverance of the team leader and the support received from a group of collaborators very much committed to the social objective sought. The Chemistry Faculty of the UH provided important human resources for research to advance and the university provided an environment of tolerance and understanding for their work. Success, however, is directly related to a number of policies, including:

  1. 1.

    A policy that gives top priority to public health, combining advanced services and own technology with free services. It should be noted that the project was conducted at a time of serious economic crisis in Cuba. Nonetheless, healthcare efforts remained a national priority.

  2. 2.

    The policy has favored the training of human resources, both inside and outside the university. Such a result requires a broad social distribution of training and capabilities.

  3. 3.

    The science and technology policy promotion of the bio-tech industry, which emphasized the health sector and began in the 1980s. This policy led to the creation of several institutions and groups focusing on these issues. The partnership with scientific institutions of the Scientific Pole of Havana proved to be crucial to obtaining the results.

  4. 4.

    The policy favored by higher education of promoting research institutions oriented towards innovation. The emphasis made in innovation did not prevent the understanding that strategic research can require a long time to produce results and it requires tolerance and support. The success of the vaccine was based on the intelligent articulation of a research project that was at the forefront of knowledge and also aimed at meeting great needs of human of human health, both in Cuba and elsewhere.

Problems certainly abounded. At times, work was limited by resource constraints. Some younger members of the team abandoned the work, seeking economic improvement or less demanding academic work. At times, it seemed that the results would not be achieved; cutting-edge science and technology contains a dose of uncertainty. The groups working to produce papers have more freedom to rectify the course of their work, adjust pace, select results. Research groups aimed at a product or a technology, are required to observe very demanding requirements in the case of the vaccine, have to meet the expectations of the actors funding the project in a reasonable time and work under a lot of pressure. In the case study analyzed here, that demand was not associated with a better economic pay-off. The incentive was, above all, to solve a health problem of great importance. This is a case where ethics, social responsibility of the knowledge community and not the market, let them attain success. Inter-institutional cooperation—without excluding temporary tensions—and not competition between firms made it possible to achieve the targeted goal.

At present, the center works on several forefront issues seeking new vaccines against infectious diseases, cancer and Aids. Thus the LAGS learning process is being exploited for the creation of human vaccine and its experience in the organization of social and institutional networks. As a result of the prestige the center has gained, inter-institutional cooperation and government support has been expanded. LAGS is currently collaborating with the Finlay Institute to develop a vaccine against pneumococcus, which is the first cause of respiratory infectious diseases in children in the country. The vaccine was made a priority in the public health system in 2006. In tandem with the Molecular Immunology Center, they are working on a vaccine against breast cancer as well as other therapeutic vaccines for the treatment of several other types of cancer. Currently, new forms of integrating LAGS into the West Scientific Pole of Havana are being evaluated.

5 Final Remarks

Through its training and research agendas, Cuban higher education has played an important role in the economic and social development of the country, with contributions from programs related to health, housing, energy, and food production, to mention only some areas. Some universities have also proven to be capable of generating income through exports of goods and services. The orientation towards innovation and economic and social development is the result of the policies applied in higher education. The higher education system has facilitated the link between higher education research and development by emphasizing the importance of social relevance in the strategic planning of the institutions, as well as in evaluation and accreditation processes.

As we have seen, innovation-oriented university research became a priority area in Cuba in the 1980s. Several universities and research groups began orienting their research towards the ‘third mission,’ each one with its own potentials and particularities. Success has varied, but the examples are very interesting. In this context we could, for instance, mention the Central University of Las Villas, the University of the Orient and various research centers linked to the agricultural sector.

The success with the synthetic vaccine against haemophilus influenza Type B (Hib) can be considered an exceptional achievement, considering its worldwide reach, and its scientific, social and economic value. This result, however, was possible only in the context of government policies that depended on support from higher education that was orienting its innovation research towards the economic and social development of the country.

From this perspective, the synthetic vaccine against haemophilus influenza Type B (Hib) is not an exceptional case. It is the result of accumulated scientific tradition, the ethical commitment of the scientific community, and the applied policies that encouraged the orientation of universities towards economics and social development, or the ‘third mission.’