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    Knowledge networks nations Knowledge networks nations Document Transcript

    • Knowledge, networks and nationsGlobal scientific collaboration in the 21st century
    • Knowledge, Networks andNations: Global scientificcollaboration in the 21st centuryRS Policy document 03/11Issued: March 2011 DES2096ISBN: 978-0-85403-890-9© The Royal Society, 2011Requests to reproduce all or part of thisdocument should be submitted to:The Royal Society6–9 Carlton House TerraceLondon SW1Y 5AGT +44 (0)20 7451 2500F +44 (0)20 7930 2170E science.policy@royalsociety.orgW royalsociety.orgCover photo: Strain in graphene opens up apseudomagnetic gap. Generated by the CondensedMatter Physics Group at the University ofManchester, this image is a representation of thework at Manchester lead by Professor Andre GeimFRS, a Royal Society Research Professor, andProfessor Konstantin Novoselov, a Royal SocietyUniversity Research Fellow. Professors Geim andNovoselov were awarded the Nobel Prize for Physicsin 2010 for their groundbreaking experimentsregarding graphene, a form of carbon, which is thethinnest and strongest material ever isolated. Bothmen have been cited since their award as ‘globalscientists’; both were born and studied in Russia,spent time in the Netherlands, and are now basedhere in the UK, attracting funding and accoladesfrom UK, European, and international sources.© Paco Guinea 2010.
    • ContentsExecutive summary .................................... 5 Part 2: International collaboration............ 45 2.1 Patterns of collaboration ...................................46 .Recommendations ...................................... 8 2.1.1 Collaboration in a national context ............47 . 2.1.2 Who is collaborating with whom? .............49The Advisory Group .................................. 10 2.2 Regional collaboration .......................................54 2.2.1 South–South collaboration: Conduct of the study .................................11 a growing trend ............................................54 2.3 Why collaborate? ...............................................57Introduction: going global ........................ 14 2.3.1 Seeking excellence ......................................57 2.3.2 The benefits of joint authorship ..................59Part 1: Scientific landscape in 2011......... 15 2.3.3 Capacity building through collaboration ...61 .1.1 Trends and developments in global science ... 16 2.3.4 The geopolitical potential of 1.1.1 Emerging scientific nations .........................19 scientific collaboration .................................62 1.1.2 Assessing research quality and impact .....24 2.4 Underlying networks .........................................62 1.1.3 Global scientists ...........................................26 2.4.1 Tapping into the global networks 1.1.4 Brain gain, drain and circulation .................26 of science ......................................................63 1.1.5 Disciplinary shifts? .......................................28 . 2.5 Enabling collaboration to promote 1.1.6 Reading the research ..................................29 . excellent science ................................................64 1.1.7 Opening access ...........................................30 . 2.5.1 Technology....................................................641.2 Applying science ................................................ 31 2.5.2 Funding mechanisms ..................................67 1.2.1 Business R&D ..............................................31 . 2.6 Harnessing collaboration .................................. 70 . Is business R&D recession proof? ...............32 Location of business R&D ............................32 1.2.2 Patent growth ...............................................331.3 Drivers of research .............................................34 1.3.1 Securing prosperity and staying competitive .....................................35 . 1.3.2 Addressing global challenges .....................36 1.3.3 National science in a global age .................361.4 Centres for science ............................................37 1.4.1 Centres of research and infrastructure ......391.5 A new world order? ........................................... 411.6 The world beyond 2011 .....................................42 Designs of vases and teapots that would be found in a house of a merchant in Canton, from Designs of Chinese buildings, by William Chambers, 1757. From the Royal Society library and archive. Knowledge, networks and nations: Global scientific collaboration in the 21st century 3
    • Part 3: Global approaches Conclusions and recommendations: to global problems .................................... 71 Cultivating the global 3.1 Scientific solutions .............................................73 scientific landscape................................. 103 3.2 Global research governance ............................. 74 3.2.1 Challenge-led research initiatives ...............75 Glossary of acronyms ............................. 108 3.2.2 Integrating challenges and maximising resources .................................77 . Acknowledgments ...................................110 3.2.3 Building capacity and resilience .................78 3.3 Case studies .......................................................79 3.3.1 The world’s largest warning system: the Intergovernmental Panel on Climate Change (IPCC) ................................80 3.3.2 Centres of excellence in agriculture: the Consultative Group on International Agricultural Research (CGIAR) ...................83 . 3.3.3 A transformative impact on global health: the Bill and Melinda Gates Foundation .....86 . 3.3.4 Towards sustainable energy: the International Tokamak Experimental Reactor (ITER) .......................90 3.3.5 Capturing the initiative on CO2: the global efforts to deploy carbon Map of China, from An embassy from capture and storage (CCS) technology .....93 . the East-India Company of the United Provinces to the Grand Tartar Cham, 3.4 Co-ordinated efforts to tackle by John Nieuhoff, 1669. From the Royal Society library and archive. global problems .................................................97 .4 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Executive summaryScience is a global enterprise. Today there are over • There are particular countries where this increased 7 million researchers around the world, drawing activity is especially striking, with investment and on a combined international R&D spend of over scientific productivity outstripping general trends US$1000 billion (a 45% increase since 2002), and of growth. The rise of China has been especially reading and publishing in around 25,000 separate notable, overtaking Japan and Europe in terms scientific journals per year. These researchers of its publication output in recent years. Beyond collaborate with each other, motivated by wishing to China, rapid developments have also taken place work with the very best people and facilities in the in India, Brazil and new emergent scientificworld, and by curiosity, seeking new knowledge to nations in the Middle East, South-East Asia and advance their field or to tackle specific problems. North Africa, as well as a strengthening of the Knowledge, Networks and Nations reviews, based smaller European nations.on available data, the changing patterns of science, • However, the traditional ‘scientificand scientific collaboration, in order to provide a basis superpowers’ still lead the field. The USA, for understanding such ongoing changes. It aims to Western Europe and Japan all invest heavily identify the opportunities and benefits of international in research and receive a substantial return in collaboration, to consider how they can best be terms of performance, with large numbers of realised, and to initiate a debate on how international research articles, the lion’s share of citations on scientific collaboration can be harnessed to tackle those articles, and successful translation, as seen global problems more effectively. through the rates of patent registration. From Singapore to South Africa, new researchers • The continued strength of the traditional centres and research communities are reshaping the of scientific excellence and the emergence of new landscape for science and innovation, so long players and leaders point towards an increasinglydominated by the USA, Japan and Europe. This multipolar scientific world, in which the report explores this changing geography of science distribution of scientific activity is concentrated in and innovation. In Part 1, it maps and investigates a number of widely dispersed hubs.where and how science is being carried out around • Beyond these hubs, science is alsothe world and the ways in which this picture is flourishing. The recognition of the role changing. that science can play in driving economic • Science in 2011 is increasingly global, development, and in addressing local and global occurring in more and more places than ever issues of sustainability, has led to increased before. Science is addressing questions of global research activity and the application of scientific significance. It is supported by governments, method and results within less developed business, philanthropists and charities. countries. Knowledge, networks and nations: Global scientific collaboration in the 21st century 5
    • Part 2 reveals the shifting patterns of international • The connections of people, through formal and collaboration. International science is largely informal channels, diaspora communities, virtual conducted through bottom-up, informal connections, global networks and professional communities as scientists become more mobile and as large of shared interests are important drivers of and often complex data are shared at the click of a international collaboration. These networks button. But top-down, solutions-oriented initiatives span the globe. Motivated by the bottom-up are also helping to shape the research landscape, exchange of scientific insight, knowledge as scientists organise themselves, or are being and skills, they are changing the focus of organised, to tackle shared concerns. science from the national to the global level. • The scientific world is becoming increasingly Yet little is understood about the dynamics of interconnected, with international networking and the mobility of scientists, how collaboration on the rise. Today over 35% these affect global science and how best to of articles published in international journals harness these networks to catalyse international are internationally collaborative, up from 25% collaboration. 15 years ago. • Collaboration brings significant benefits, both • Collaboration is growing for a variety of measurable (such as increased citation impact reasons. Developments in communication and access to new markets), and less easily technologies and cheaper travel make it easier quantifiable outputs, such as broadening research than ever before for researchers to work horizons. The facilitation of collaboration, therefore, together; the scale of research questions, and has a positive impact not only on the science the equipment required to study demands conducted, but on the broader objectives for that researchers are mobile and responsive. any science system (be that enhancing domestic Collaboration enhances the quality of prosperity or addressing specific challenges). scientific research, improves the efficiency and effectiveness of that research, and is increasingly necessary, as the scale of both budgets and research challenges grow. • However, the primary driver of most collaboration is the scientists themselves. In developing their research and finding answers, scientists are seeking to work with the best people, institutions and equipment which complement their research, wherever they may be.6 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Part 3 of this report explores the role of • Global challenges are being addressed via a international scientific collaboration in addressing number of different organisational mechanisms: some of the most pressing global challenges of our through intergovernmental or international time. The report concentrates on five case studies, bodies, through national systems, and by private and considers the strengths and shortcomings individuals and corporations. These mechanisms of existing mechanisms which bring scientific often deploy novel and innovative forms of communities together to address global challenges. partnership, some of which work well, others IPCC, CGIAR, the Gates Foundation, ITER and less so. Valuable lessons can be drawn fromefforts to deploy carbon capture and storage existing models in designing, participatingtechnology demonstrate how science is already in and benefiting from global challengebeing used to respond to these challenges, and research.provide models and lessons for how it might be • Science is essential for addressing globalbetter deployed in the future. challenges, but it cannot do so in isolation. • The global scientific community is increasingly A wide range of approaches will be required, charged with or driven by the need to find including the appropriate use of financial solutions to a range of issues that threaten incentives, incorporating non-traditional forms of sustainability. These ‘global challenges’ have knowledge, and working with the social sciences received much attention in recent years, and and wider disciplines. Science is crucial but it are now a key component of national and is unlikely to produce all the answers by itself: multinational science strategies and many the science infrastructure works best when it is funding mechanisms. supported by, and enables, other systems.• Global challenges are interdependent and • All countries have a role in the global effort interrelated: climate change, water, food and to tackle these challenges, both in defining energy security, population change, and loss of and prioritising them and in using global research biodiversity are all interconnected. The dynamic output to inform local, national and regional between these issues is complex, yet many responses. This need is increasingly being global assessment and research programmes acknowledged for inclusivity and capacity building are managed separately, often reflecting a lack of across regions and continents, in helping to co-ordination in the policy sphere. Governments, meet (national) needs, and in developing a global civil society and the private sector need to take a infrastructure that is resilient to new challenges. broader perspective on global challenges in order to appreciate how they are interrelated. Knowledge, networks and nations: Global scientific collaboration in the 21st century 7
    • Knowledge, Networks and Nations • Commitments to multinational research concludes with a set of recommendations efforts and infrastructures should not be to further strengthen global science. This seen as easy targets for cuts during a period report calls for more creative, flexible and better- of economic turbulence. To cut subscriptions resourced mechanisms to co-ordinate research to joint research endeavours, without due across international networks and to ensure that diligence and assessment, is a false economy. By scientists and science can fulfil their potential. It also disengaging from these efforts, countries run the calls for more comprehensive and inclusive ways risk of isolating their national science and losing of measuring and evaluating the science which is relevance, quality and impact. delivered and applied in all its forms around the world. Finally, the report highlights the importance 2. Internationally collaborative science should be of science—and the wider evidence base—in encouraged, supported and facilitated underpinning robust policy making, especially around • Research funders should provide greater shared global challenges. support for international research Understanding global science systems, their collaboration through research and mobility mechanisms and motivations, is essential if we are grants, and other mechanisms that support to harness the very best science to address global research networks. challenges and to secure the future of our species • National border agencies should minimise and our planet. barriers to the flow of talented people, ensuring that migration and visa regulations are Recommendations not too bureaucratic, and do not impede access 1. Support for international science should be for researchers to the best science and research maintained and strengthened across the world. • Even in difficult economic times, national • National research policies should be flexible governments need to maintain investment and adaptive in order to ensure that international in their science base to secure economic collaboration between talented scientists is not prosperity, tap into new sources of innovation and stifled by bureaucracy. growth, and sustain vital connections across the global research landscape. Sustained investment 3. National and international strategies for builds a nation’s capacity to assimilate excellent science are required to address global science, wherever it may have been conducted, challenges for that country’s benefit. • Recognising the interconnectedness of global • International activities and collaboration challenges, funders of global challenge should be embedded in national science programmes should devise ways to better and innovation strategies so that the domestic co-ordinate their efforts, share good practice, science base is best placed to benefit from the minimise duplication and maximise impact. intellectual and financial leverage of international Where possible, these should draw on existing partnerships. infrastructure or shared technology.8 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • • National research funding should be 5. Better indicators are required in order to adaptive and responsive to global challenges, properly evaluate global science supporting the interdisciplinary and collaborative • UNESCO (and other agencies such as the nature of the science required to address these OECD) should investigate new ways in which issues. trends in global science can be captured,• In devising responses to global challenges, quantified and benchmarked, in order to governments worldwide need to rely on help improve the accuracy of assessments of robust evidence-based policy making, and the quality, use and wider impact of science, bring excellent scientists into the policy advisory as well as to gauge the vitality of the research process. environment. • There is a specific lack of data on the flow4. International capacity building is crucial to and migration of talented scientists and ensure that the impacts of scientific research their diaspora networks. UNESCO, OECD and are shared globally others should investigate ways of capturing this • Researchers and funders should commit to information as a priority, which would enable building scientific capacity in less developed policy makers to better understand, nurture and countries to help improve their ability to conduct, oversee global science for the benefit of society as Instructive memoire on the new access, verify and use the best science, and to a whole. chronological table of the history of China, by the Viceroy of Canton, ensure that they can contribute to global scientific 1724. From the Royal Society library and archive. debates and develop local solutions to global problems.• Scientific capacity building must involve financial support for authors in developing countries to publish in open access journals. Open access publishing has made a wealth of scientific literature available to the developing world, but conversely has made it harder for their scientists to publish under the ‘author pays’ model.• National academies, learned societies and other similar institutions should actively promote public and wider stakeholder dialogue to help identify, shape and respond to global challenges and their local manifestations. Knowledge, networks and nations: Global scientific collaboration in the 21st century 9
    • The Advisory Group Advisory Group Royal Society Science Policy Centre Professor Sir Chris Llewellyn Smith FRS (Chair), Luke Clarke, Policy Adviser Director of Energy Research, University of Oxford Laura Dawson, Senior Policy Adviser Professor Sir Leszek Borysiewicz KBE FRS, Vice Natalie Day, Senior Policy Adviser Chancellor, University of Cambridge Dr Tracey Elliott, Head of International Professor Lorna Casselton FRS, Foreign Secretary Harriet Harden-Davies, Intern and Vice President, The Royal Society Tony McBride, Head of Strategy Professor Sir Gordon Conway KCMG DL FRS FRGS, James Meadway, Senior Policy Adviser Professor of International Development, Imperial Sarah Mee, Policy Adviser College London Ian Thornton, Policy Adviser Professor Mohamed Hassan, Co-Chair, Dr James Wilsdon, Director of Science Policy InterAcademy Panel (IAP); Executive Director of the Rapela Zaman, Senior Policy Adviser Academy of Sciences for the Developing World (TWAS) (until March 2011) Review Panel Professor Melissa Leach, Director, STEPS Centre, The Royal Society gratefully acknowledges the Institute of Development Studies, University of contribution of the reviewers. The Review Panel Sussex was not asked to endorse the conclusions or Professor Angela McLean FRS, All Souls Senior recommendations of the report, nor did they see Research Fellow, Department of Zoology, University the final draft of the report before its release. of Oxford Professor Goverdhan Mehta FRS, CSIR Bhatnagar Professor John Pethica FRS (Chair), Physical Fellow and Honorary Professor, Department of Secretary, Royal Society Organic Chemistry, Indian Institute of Science Professor Bruce Alberts ForMemRS, Department of Professor John Mitchell OBE FRS, Director of Biochemistry and Biophysics, University of California Climate Science, Met Office San Francisco Dr Colin Osborne, Royal Society University Research Professor Juan Asenjo, President, Chilean Academy Fellow, Department of Animal and Plant Sciences, of Sciences University of Sheffield Dr Matthew Freeman FRS, Head, Division of Cell Professor Martyn Poliakoff CBE FRS, Research Biology, MRC Laboratory of Molecular Biology Professor in Chemistry, The University of Nottingham Professor Sir Brian Heap CBE FRS, Former Director, Dr Phil Ruffles CBE FREng FRS, Former Director, Institute of Animal Physiology and Genetics Research Engineering and Technology, Rolls Royce plc Professor Geoffrey Oldham CBE, Honorary Professor Caroline Wagner, School of International Professor, SPRU—Science and Technology Policy Affairs, Pennsylvania State University Research, University of Sussex 10 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Conduct of the studyThe study leading to this report was overseen by an • Identify and assess illustrative examples Advisory Group of Fellows of the Royal Society and of opportunities and challenges these other distinguished experts, supported by the staff of changes present for policy makers, scientists, the Royal Society Science Policy Centre. Elsevier has intergovernmental agencies and business.provided financial support, and full access to their • Examine and discuss how international scientific publication databases and analytical services collaboration can be better utilised to address throughout the study. The drafting of the report, its global problems such as climate change, food conclusions and recommendations are those of the and water security, and infectious diseases.Royal Society alone. • Draw conclusions about the collaborative nature Knowledge, Networks and Nations: Global scientific of research in the 21st century, and consider the collaboration in the 21st century has been approved by potential implications for policy makers.the Council of the Royal Society. The study was formally launched in January 2010.Advisory Group and terms of referenceThe Royal Society established an Advisory Group Collection of evidencemade up of internationally renowned scientists Evidence gathering for the project took place in and science policy experts from around the world, five ways:chaired by Sir Chris Llewellyn Smith FRS. The aim • a formal process, through a detailed Call for of the study, as outlined in the Terms of Reference, Evidence;was to provide an analysis of the global scientific • a special discussion session for members of the landscape in 2011 for a global audience of scientists, InterAcademy Panel, held to coincide with its governments, business, international organisations General Assembly at the Royal Society in January and NGOs. Its specific goals were to: 2010;• Provide an overview of how, where, why and • face-to-face and telephone interviews with key by whom scientific research is being carried out figures in international science and science policy across the world, and the ways in which this from around the world; picture is changing. • extensive desk research;• Compile both quantitative and qualitative evidence • data analysis, including work with Elsevier. to offer an overview of these developments through the use of Elsevier’s and other databases such as UNESCO and OECD, and by making use of the Society’s extensive international networks, including its global Fellowship of over 1,400 outstanding individuals from all areas of science, mathematics and engineering. Knowledge, networks and nations: Global scientific collaboration in the 21st century 11
    • Call for evidence Defining global science The Call for Evidence was sent out on 27 April The Royal Society defines ‘science’ as ‘natural 2010 to Fellows of the Royal Society, Royal Society knowledge’. In practice, this includes the natural Research Fellows and the world’s science academies, sciences, mathematics and engineering. For the through the InterAcademy Panel (IAP), the Academy purposes of this report, where we discuss overall of Sciences for the Developing World (TWAS), totals of publications, these include social sciences, and the UK Government’s Science and Innovation the arts and humanities (in practice, these represent Network (SIN). a very small proportion of publication output—8.9%); We received 80 responses from individuals, this coverage is used to match the ‘input’ statistics, academies, research institutions, government which all register ‘research’ and ‘researchers’, which departments and other organisations from around are discipline neutral. However, our examples, the world. These are listed at the end of the report. case studies and observations are drawn from the scientific community. Elsevier methodology Throughout this report, we use a number Unless otherwise indicated, all of the data relating of sources to characterise and quantify what to publication output and impact in this report is happening globally in science. In this we are have been provided by Elsevier. We would like to constrained, to certain extents, by the available data. acknowledge the analysis and insights provided by In order to achieve the widest international coverage, the following individuals: we have made use of UNESCO data on the numbers • Dr Andrew Plume, Associate Director, of researchers,1 and the expenditure on research Scientometrics & Market Analysis—Research & and development as indicators of expenditure and Academic Relations manpower in science (although a large proportion • Mayur Amin, Senior Vice President—Research & of ‘research and development’ is spent on D rather Academic Relations than R and, as such, reaches beyond strict ‘science • Dr Henk Moed, Senior Scientific Advisor— spending’). Academic & Government Markets • Niels Weertman, Vice President, SciVal— Academic & Government Markets Publication data are derived from Scopus, the world’s largest abstract and citation database of peer-reviewed literature. Scopus contains over 41 million records across 18,000 journals and covers regional as well as international literature. Publication outputs in this report are defined as articles, reviews and conference papers published in these journals. Where we consider overall totals of publications, these include outputs in all disciplines.12 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Page from a notebook on scientific expeditions to Mato Grosso, Brazil, 1967 to 1969, by Iain Bishop. From the Royal Society library and archive. These statistics are available through the UNESCO Institute of Statistics, and have been comprehensively presented and analysed in the recent UNESCO Science Report, published in November 2010. Publication and patent data are incomplete proxies for scientific output and scientific translation, the first being predominantly the output of academic science, and the other relating to the exploitation of ideas and concepts rather than necessarily being specifically scientific. However, they are the two main quantifiable, globally collated, and commonly used sources of data on the production and consumption of science. By using these data, we are reflecting the current ‘terms of reference’ for discussions of global science. It is widely accepted that they are inadequate to fully explore the richness of 21st century science. The paucity of richer sources of data offers a challenge to national, multilateral and global bodies to explore ways of better measuring the inputs, outputs and impacts of the global scientific landscape. 1 T he OECD defines researchers as ‘professionals engaged in the conception or creation of new knowledge, products, processes, methods and systems and also in the management of the projects concerned’. See OECD (2002). Frascati manual: proposed standard practice for surveys on research and experimental development. Organisation for Economic Co-operation and Development: Paris, France. Knowledge, networks and nations: Global scientific collaboration in the 21st century 13
    • Introduction: going global When Henry Oldenberg founded the world’s first but there are few places which are not in some way scientific publication in 1665,2 it drew on emerging part of the scientific landscape. ideas from Germany, Italy, Hungary, France and even Science is conducted in more places than ever the Bermudas. It enjoyed a wide international before, but it is also more interlinked. Over one-third readership. Oldenburg, and the other founding of research papers are the direct result of international fellows of the Royal Society, dedicated this first collaboration, with authors’ addresses from more edition of ‘Philosophical Transactions’ to sharing ‘the than one country.5 The number of internationally Happy inventions of obliging Men all over the world, co-authored papers has more than doubled since to the General Benefit of Mankind’. 1990.6 Researchers are increasingly mobile, travelling But Oldenberg could never have imagined long distances to work with the best colleagues how many ‘obliging men’ and women would be in their field, to access resources and share ideas contributing to scientific knowledge across the world and facilities. And they are being supported in 2011. Science has transformed our lives in ways internationally through cross-border funding from which would have been inconceivable in 1665. Just international organisations (charities, philanthropic how it will evolve over the coming century is equally funding and business), multilateral initiatives between inconceivable. Yet one thing seems certain: science is governments and research councils, multinational inherently international and will only become more so. funding bodies and shared scientific infrastructure. As Louis Pasteur once put it, ‘Knowledge belongs The scientific community is influenced by to humanity, and thus science knows no country globalisation, and is also driven by its own dynamics. and is the torch that illuminates the world.’ Largely Scientists have been both motivated and enabled to funded at a national level and conducted primarily in work across disciplinary and international borders national institutions, science is still more determined by technological advances and shifts in geopolitics. by place than Pasteur’s declaration would suggest. But science has always pushed boundaries, be they And yet, it is a worldwide endeavour. In 2008, 218 technological or national and political. Global science countries produced over 1.5 million research papers, is increasing, but it is also nothing new. The founding from Tuvalu’s one paper, to the UK’s 98,000, China’s members of the Royal Society 350 years ago looked 163,000, and the USA’s 320,000.3 In 2007, Sweden beyond national borders to extend the frontiers of spent nearly 3.7% of its gross domestic product natural knowledge. Today’s scientific pioneers will (GDP) on research and development (R&D), Canada need to know how to navigate the changing global spent 2%, ‘emerging’ India spent 0.8%, and oil rich scientific landscape if they are to keep extending Saudi Arabia 0.04%.4 Research investment and those frontiers. This report is intended to help them output are far from evenly spread across the world, understand the dynamics of this complex and fast- evolving phenomenon. 2 O n 6 March 1665, the first issue 3 Data from Elsevier’s Scopus. 6 L eydesdorff L & Wagner C (2005). collaboration has grown overall of Philosophical Transactions was Mapping global science using and at the regional level, see published under the editorship of 4 D ata from the UNESCO Institute international co-authorships: a Wagner C & Leydesdorff L (2005). Henry Oldenburg, who was also for Statistics Data Centre, comparison of 1990 and 2000. Network structure, self-organization the Secretary of the Society. Montréal, Canada. International Journal of Technology and the growth of international 5 D ata from Elsevier’s Scopus. and Globalization 3. For a collaboration in science. Research discussion of how international Policy 34, 10, 1608–1618.14 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • PART 1 Scientific landscape in 2011A new manifestation of the celebrated “Mollow triplet”, one of the fundamental spectral shapes of light-matter interaction, from Dr Elena del Valle, Royal Society Newton International Fellow, School of Physics and Astronomy, University of Southampton. The triplet as found by Mollow emerges in the light emitted by an atom when excited by a laser. The depicted triplet is the counterpart emission from an atom when excited incoherently inside a cavity. © Dr Elena del Valle, 2010. Knowledge, networks and nations: Global scientific collaboration in the 21st century 15
    • Science is growing globally. Since the beginning of 1.1 Trends and developments in global PART 1 the 21st century, the global spend on research and science development has nearly doubled, publications have The USA leads the world in research, producing Scientific landscape grown by a third, and the number of researchers 20% of the world’s authorship of research papers,10 in 2011 continues to rise (see Table 1.1). North America, dominating world university league tables,11 and Japan, Europe and Australasia have all witnessed investing nearly US$400 billion per year in public and growth, with each increasing spending by around private research and development.12 The UK, Japan, one-third between 2002 and 2007. In the same Germany and France each also command strong period, ‘developing countries’,7 including the positions in the global league tables, producing high emerging economies of China, India and Brazil, more quality publications and attracting researchers to their than doubled their expenditure on R&D, increasing world class universities and research institutes. These their contribution to world R&D spending by 7 five countries alone are responsible for 59% of all percentage points from 17% to 24%.8 spending on science globally.13 However, these countries do not completely Table 1.1. Global science by numbers.9 dominate global science. Between 1996 and 2008 Spend on research Numbers of Number of the USA lost one-fifth of its share of the world’s and development researchers publications article authorship, Japan lost 22% and Russia 24%. US$ % GDP The UK, Germany and France also fell back in relative 2007 1145.7bn 1.7 7.1m 1.58m terms.14 Figure 1.1 shows how the number of articles 2002 790.3bn 1.7 5.7m 1.09m has grown and how their distribution across the world has changed in recent years, between the The architecture of world science is also changing, periods 1999 to 2003 (Figure 1.1a) and 2004 to 2008 with the expansion of global networks. These involve (Figure 1.1b). networks of individuals, mostly self-organised but The traditional scientific leaders have gradually sometimes orchestrated (as in the Human Genome lost their ‘share’ of published articles. Meanwhile, Project). Some networks are based on collaborations China has increased its publications to the extent that at international organisations (such as CERN); others it is now the second highest producer of research are funded internationally, by multinational businesses output in the world. India has replaced the Russian (which fund their own laboratories and work in Federation in the top ten, climbing from 13th in 1996 universities across the globe), by major foundations to tenth between 2004 and 2008. Further down the (such as Gates), or by cross-national structures such list South Korea, Brazil, Turkey, South East Asian as the EU. These global networks increasingly exert a nations such as Singapore, Thailand, and Malaysia, significant influence on the conduct of science across and European nations such as Austria, Greece and the world. Portugal have all improved their standings in the global scientific league tables.15 16 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Changes in the ranking of nations within the Figure 1.1. Proportion of global publicationleague tables are shifting at the same time as total authorship by country17output is increasing. For example, Italy maintained a The top ten producing countries in each periodsteady share of publications between 1996 and 2008 are shown. Fig a. 1999-2003. Fig b. 2004-2008(3.5% of world production in both years, fluctuating between 3% and 4% over the whole period); but in order to hold this position it increased its number of articles by 32%. All over the world, some countries 21%are running to stand still16 while others are breaking into a sprint. 30% 26% 34% Fig a Fig b 10% 8% 3% 3% 3% 7% 7% 4% 2% 4% 5% 7% 3% 3% 6% 4% 6% 4% Key7 B ased on the standard United 10 ata from Elsevier’s Scopus. If an D (Cambridge in the UK is ranked 12 ational Science Board (2010). N Nations Statistics Division author on a paper gives a country first, and the other three are also Science and engineering indicators United States classification (composition of as his or her address, that paper in the UK). In the Times Higher 2010. National Science Foundation: Japan macro geographical (continental) is assigned to that country. So Education World University Arlington, VA, USA. United Kingdom regions, geographical sub-regions, a paper which has been written Rankings the USA holds the top and selected economic and other by authors in the UK, Spain and five positions, seven of the top 13 ata from UNESCO Institute for D Germany groupings). Germany would be assigned as a 10 places and 27 of the top 50 Statistics, published in UNESCO France single paper in each country (that (the remaining three in the top Science Report 2010 (p 2, Table 1).8 U NESCO (2010). UNESCO science China paper therefore being accounted ten are in the UK). In the ARWU 14 ata from Elsevier’s Scopus. D Italy report 2010. Data from UNESCO for three times as a ‘national’ Rankings the four top positions Institute for Statistics, published in paper). Figure 1.1 shows the and 17 of the top 20 are US 15 ata from Elsevier’s Scopus. D Canada UNESCO Science Report 2010 (p total number of individual papers universities (the remaining three Russian Federation 2, Table 1). UNESCO Publishing: 16 oyal Society (2010). The scientific R without any multiple counting. in the top 20 are the Universities century: securing our future India Paris, France. Data are provided The total number of ‘national’ of Cambridge, Oxford and Tokyo). in US$ pegged at current prices prosperity. Royal Society: Spain papers (ie. with papers counted Source: Academic Ranking (2007 prices in 2007, 2002 prices in London, UK. Other multiple times if there are authors of World Universities (2010) 2002) and reflect purchasing power based in more than one country) available online at http://www. 17 ata from Elsevier’s Scopus. These D parity. in 2007 was 1,580,501; in 2002 arwu.org/ARWU2010.jsp; QS charts show the top 10 countries 9 S pend on research and this was 1,093,564. The USA Top University Rankings (2010) by number of publications, with development: data from UNESCO produced 316,317 ‘national’ papers at http://www.topuniversities. all other countries included in the Institute for Statistics, published in in 2008 (221,707 with the USA as com/university-rankings/world- ‘other’ segment. The pie charts are UNESCO Science Report 2010 (p the sole authors, and 94,610 in university-rankings/home; Times scaled to represent the increased 2, Table 1). Number of researchers: collaboration internationally); this Higher Education World University volume of publications in the data from UNESCO Institute for represents 19.97% of all ‘national’ Rankings (2010) at http://www. two time periods. In 1999–2003 Statistics Data Centre, UNESCO papers globally. timeshighereducation.co.uk/world- there were 5,493,483 publications Institute for Statistics: Montréal, university-rankings/index.html, globally, and in 2004–2008 there 11 he QS rankings have six T accessed 29 September 2010. Canada. Number of publications: were 7,330,334. US universities in the top 10 data from Elsevier’s Scopus. Knowledge, networks and nations: Global scientific collaboration in the 21st century 17
    • PART 1 Box 1.1. in whichever sector, but it is assumed that this has A note on the data some relationship to the upstream investment in Scientific landscape Expenditure on research and development science that precedes it. in 2011 (R&D) is used throughout this report as a proxy Unless otherwise stated, where changes in for spending on science. Gross expenditure on expenditure over time are discussed in the report, research and development (GERD), as collated by the figures used are based on current US$ prices the OECD and UNESCO, and used in this report, (2004 dollars in 2004, 2008 dollars in 2008) and includes investment by government and business purchasing power parity,18 as calculated by either enterprise, funding from overseas sources, and the OECD or UNESCO. ‘other’ sources, which can include funding by When we refer to ‘papers’ in the report, this private foundations and charities. In areas of the refers to peer-reviewed articles which have report we distinguish between the proportion appeared in international journals. These data of this gross expenditure spent by business have been drawn, unless otherwise noted, from enterprise (BERD), and that spent by government Elsevier’s Scopus database.19 Where we discuss (GOVERD). This is a commonly used, yet largely overall totals of publications, these include social unsatisfactory proxy for science (and/or research) sciences, the arts and humanities (in practice, spending. A large proportion of ‘research and these represent a very small proportion of development’ is spent on D rather than R (with the publication output—8.9%); this coverage is used largest proportion spent on product development). so as to match the ‘input’ statistics, which all As such, this figure goes beyond the actual register ‘research’ and ‘researchers’, which are amount of money dedicated to funding research, discipline neutral. Article: ‘Croonian Lecture: On the anatomical stucture of the eye’, by Everard Home, drawings by Franz Bauer. PT vol 112, 1822, pp76-85. From the Royal Society library and archive.18 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 1.1.1 Emerging scientific nations populous country, succeeded in sending its first China’s rise up the rankings has been especially unmanned flight to the moon, becoming only the striking. China has heavily increased its investment fourth country to land a craft on the lunar surface. in R&D, with spending growing by 20% per year Brazil, in line with its aspiration to be a ‘natural since 1999 to reach over US$100 billion a year today knowledge economy’, building on its natural and (or 1.44% of GDP in 2007),20 in pursuit of its goal environmental resources, is working to increase of spending 2.5% of GDP on R&D in 2020.21 China research spending to 2.5% of GDP by 202225 (from is also turning out huge numbers of science and just over 1.4% in 2007).26 South Korea has pledged engineering graduates, with 1.5 million leaving its that R&D spending, (3.2% of GDP in 2007), will reach universities in 2006.22 5% of GDP by 2012.27 China, India, South Korea and Brazil are often cited These countries are not alone in rapidly growing as rising powers in science.23 India produces roughly their science bases. Over the last 15 years, each of 2.5 million science and engineering graduates each the G20 countries has been increasing its research year.24 In 2008, India, the world’s second most production and most have scaled up the proportion 18 urchasing power parity (PPP) P 0.66% of the Chinese population January 2011; UNESCO Institute 15 and 24 was projected to be measures the amount of a given aged between 15 and 24, which for Statistics website: http://www. just under 234 million according currency needed to buy the same was projected to be 228,663,000 uis.unesco.org/, accessed 13 to the UN. If all those 2.5 million basket of goods and services in 2010 according to the United January 2011. graduates were within that age as one unit of the reference Nations Population Division. range, they would represent 1.07% currency—in this report, the UNESCO statistics indicate 23 ee Bound K (2007). India: the S of the population in that age range. US dollar. It is helpful when that the most recent figures uneven innovator; Webb M (2007). Source: United Nations website. comparing living standards in of total science, engineering, South Korea: mass innovation World population prospects: the different countries, as it indicates manufacturing and construction comes of age; Wilsdon J & 2008 revision. Population Division the appropriate exchange rate to graduates, expressed as a Keeley J. China: the next science of the Department of Economic use when expressing incomes and percentage of their projected superpower?; Bound K (2008). and Social Affairs of the United prices in different countries in a population of15–24-year-olds Brazil, the natural knowledge Nations Secretariat. Available common currency. for 2010 (as per the UN statistics economy. Demos: London, UK; online at http://esa.un.org/unpp, above), would equal 0.95% in Adams J & Wilsdon J (2006). accessed 7 January 2011. 19 or further information on the F the USA (428,256 graduates in The new geography of science: methodology used by Elsevier, these disciplines in 2008 against a UK research and international 25 ugler H (2011). Brazil releases K please see the Conduct of the projected population aged 15–24 collaboration; Adams J & King science blueprint. SciDev.Net, 7 Study on page 11. of 44,880,000 in 2010), and 1.73% C (2009). Global research report: January 2011. Available online at in the UK (140,575 graduates in Brazil; Adams J, King C & Singh http://www.scidev.net/en/news/20 ECD (2006). China will become O V (2009). Global research report: brazil-releases-science-blueprint. world’s second highest investor in these disciplines in 2007 against a projected population of 8,147,000 India; Adams J, King C & Ma N html, accessed 17 January 2011. R&D by end of 2006, finds OECD. (2009). Global research report: Press release, 4 December 2006. in 2010). These are not perfect 26 etherick A (2010). Science safe P comparisons, as the most recent China. Evidence, a Thomson Office for Economic Co-operation Reuters business: Leeds, UK. in Brazil elections. Nature online, and Development: Paris, France. year for which we have graduate 29 September 2010. Available data available varies by country, Battelle (2009). 2010 global R&D fund-ing forecast. Battelle: online at http://www.nature.com/21 he State Council of the People’s T and it does not take into account news/2010/100929/full/467511b. Republic of China (2006). The graduates above this age range, Columbus, OH, USA. Wilsdon J (2008). The new geography of html, accessed 17 January 2011. national medium- and long-term or the proportion of people in the program for science and technology lower end of this age range who science. Physics World, October 27 tone R (2008). South S development (2006–2020): an are unlikely to graduate at their 2008. Gilman D (2010). The new Korea aims to boost status outline. Beijing, China. age. Sources: Population Division geography of global innovation. as science and technology of the Department of Economic Goldman Sachs Global Markets powerhouse. Science Insider, 22 inistry of Science and M Institute: New York, NY, USA. 23 December 2008. Available and Social Affairs of the United Technology of the People’s at http://news.sciencemag.org/ Nations Secretariat (2008). World 24 ound K (2007). India: the uneven B Republic of China (2007). S&T scienceinsider/2008/12/south- population prospects: the 2008 innovator. Demos: London, UK. statistics data book 2007. Beijing, korea-aim.html. revision. Available online at http:// India’s population aged between China. This is the equivalent of esa.un.org/unpp, accessed 7 Knowledge, networks and nations: Global scientific collaboration in the 21st century 19
    • in 2011 PART 1 Scientific landscape 0% 2% 4% 6% 8% 10% 12% 14% 16% 18% 20% Argentina Australia Brazil China India Indonesia Korea, Republic of Mexico Saudi Arabia South Africa Turkey Canada Figure 1.2. Science in the G20 France Germany20 Knowledge, networks and nations: Global scientific collaboration in the 21st century Italy Japan Russian Federation United Kingdom United States Fig a -4% -2% 0% 2% 4% 6% 8% 10% Fig b. Annual growth in GDP spending on R&D 1996-200729 Argentina Australia Brazil G8 labelled in red. Fig a. Annual growth in publications 1996-2008.28 China India Indonesia Mexico Republic of Korea Saudi Arabia South Africa Turkey Canada France Germany Italy Japan Russian Federation United Kingdom United States Fig b
    • of their GDP spent on R&D (see Figure 1.2). Increased 4% of GDP (0.59% of GDP in 2006), and increasing investment and increased publications have taken education to 7% of GDP by 2030 (5.49% of GDP in place in tandem. The growth of commitment 2007).34 to science in a number of the non-G8 nations is Since 1996, R&D as a percentage of GDP in especially striking. Tunisia has grown from 0.03% to 1.25% in 2009.35 Turkey has improved its scientific performance at During the same period, a substantial restructuring a rate almost rivalling that of China. Having declared of the national R&D system saw the creation of 624 research a public priority in the 1990s, the Turkish research units and 139 research laboratories, of which Government increased its spending on R&D nearly 72 are directed towards life and biotechnological six-fold between 1995 and 2007, and now spends sciences.36 Life sciences and pharmaceuticals remain more annually in cash terms than either Denmark, a top priority for the country, with the government Finland or Norway.30 Over this period, the proportion announcing in January 2010 that it wanted to increase of Turkey’s GDP spent on R&D rose from 0.28% to pharmaceuticals exports five-fold in the next five 0.72%, and the number of researchers increased by years while also aiming to have 60% of local medicine 43%.31 Four times as many papers were published in needs covered by the country’s own production.372008 as in 1996.32 In 1996, Singapore invested 1.37% of GDP in The number of publications from Iran has grown R&D. By 2007 this had reached 2.61% of GDP.38 The from just 736 in 1996 to 13,238 in 2008—making it number of scientific publications has grown from the fastest growing country in terms of numbers of 2,620 in 1996 to 8,506 in 2008, almost half of which scientific publications in the world.33 In August 2009, were co-authored internationally.39 The Agency for Iran announced a ‘comprehensive plan for science’ Science, Technology and Research (A*STAR) is central focused on higher education and stronger links to the government’s commitment to investment in between industry and academia. The establishment world class research and infrastructure, and oversees of a US$2.5 million centre for nanotechnology Singapore’s 14 research institutes and associated research is one of the products of this plan. Other centres within flagship developments such as Biopolis commitments include boosting R&D investment to and Fusionopolis.40 At a cost of over US$370 million, 28 ata from Elsevier’s Scopus. D edition. Organisation for Economic website. Available online at http:// Available online at http://www. Co-operation and Development: portal.unesco.org/education/en/ english.globalarabnetwork.29 ata from UNESCO Institute for D Paris, France. files/55545/11998913265Tunisia. com/201001134357/ Statistics Data Centre, Montréal, pdf/Tunisia.pdf. Science-Health/tunisia-to- Canada. Note that statistics for 32 ata from Elsevier’s Scopus. D boost-pharmaceutical-a- some countries across the period 36 adikizela M (2005). The science M biotechnological-industry.html. are incomplete. The closest 33 cience-Metrix, Thirty years of S and technology system of the accountable years in the period science. Montreal: http://www. Republic of Tunisia. From ‘Country 38 ata from the UNESCO Institute D are used where complete statistics Science-Metrix.com, accessed Studies: Arab States’, UNESCO for Statistics Data Centre. are not available. November 2010. website. Available online at http:// Montréal, Canada. 34 awahel W (2009). Iran: 20-year S portal.unesco.org/education/en/30 ECD (2010). Main science and O files/55545/11998913265Tunisia. 39 ata from Elsevier’s Scopus. D technology indicators (MSTI): 2010 plan for knowledge-based economy. University World News. pdf/Tunisia.pdf. 40 ee http://www.a-star.edu.sg/ S edition, version 1. Organisation for Economic Co-operation and 37 lobal Arab Network (2010). G AboutASTAR/Overview/tabid/140/ 35 adikizela M (2005). The science M Default.aspx, accessed 29 Development: Paris, France. and technology system of the Tunisia to boost pharmaceutical & biotechnological industry. Global September 2010.31 ECD (2009). Main science and O Republic of Tunisia. From ‘Country Studies: Arab States’, UNESCO Arab Network, 13 January 2010. technology indicators (MSTI): 2009 Knowledge, networks and nations: Global scientific collaboration in the 21st century 21
    • Biopolis is a high-tech biomedical park which the house 50,000 people and 1,500 businesses focused PART 1 government launched in 2003. Since then, the on renewable energy and sustainable technologies.44 country’s biotech expertise has continued to expand GE, BP, Shell, Mitsubishi and Rolls-Royce are among Scientific landscape and is attracting some big players such as Novartis, those who have joined as strategic partners.45 in 2011 GlaxoSmithKline and Roche.41 Elsewhere, many of the world’s poorest countries The picture of scientific research is also starting have placed science behind more immediate to change across the Middle East, where there priorities, such as healthcare and primary education. are a number of significant new commitments to This is not to say that science and research are not science. Gas-rich Qatar aims to spend 2.8% of having an impact in the less developed world at GDP on research by 2015. With a population of just all, or that there are no signs of growth. Cambodia over 1.4 million (of which around 85% are foreign produced only seven articles in 1996, but increased workers) and a current GDP of US$128 billion, this this to 114 by 2008. Both Uganda and Peru, in the target, if realised, would combine to give GERD per same period, increased their outputs four-fold, albeit capita of US$2,474.42 Since the mid-1990s, the Qatari from low bases (Uganda from 116 to 477 papers, Peru Government has introduced a number of education from 153 to 600).46 In these countries, as elsewhere, reforms and has invested around US$133 billion there is often also a wealth of informal innovation in infrastructure and projects designed to create a carried out by farmers,47 local health practitioners and knowledge-based economy.43 The United Arab small firms—frequently drawing on local knowledge The King of Tonkin and retinue on Emirates is attempting to create the world’s first fully and largely unacknowledged in formal metrics, let their way to a ceremonial blessing of sustainable city and innovation hub—the Masdar alone published in research papers.48 the ground. An illustration for Samuel Baron’s A description of the kingdom Initiative. Due to open in 2011, Masdar will eventually of Tonqueen, 1685. From the Royal Society library and archive.22 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Box 1.2. Measuring global science the indexing services. Regional, national and through publications local journals in the non-English-speaking parts Traditionally, global scientific output has been of the world are often not recognised and, measured through the analysis of published papers as a consequence, journals, conferences and in peer-reviewed journals. Peer review means that scientific papers from some countries are not well the science that is published has been subjected represented by abstracting services. to independent scrutiny and approved by qualified Much scientific literature is also produced for scientists, and thereby assures its quality and non-peer-reviewed publications (and hence not credibility. The volume of scientific literature in covered by Scopus or Web of Science). Often peer-reviewed journals is vast. Individual articles referred to as ‘grey’ literature, this can include: are abstracted and collected onto databases which technical reports from government agencies and are then searchable by their users, usually through NGOs; working papers from research groups subscription. The most comprehensive of these or committees; government white papers; services are Scopus (maintained by Elsevier) and conference proceedings and symposia; and a Web of Science (maintained by Thomson Reuters). growing level of publication on internet sites. All These services provide access to information of these are potentially valuable contributions about titles, authors, abstracts, key words and to the global stock of knowledge, but they are references for thousands of journal articles each not accounted for in traditional assessments of year. These data are used to assess the quality research output. of research and, through its use as measured by In its analyses of global science through citations, its impact. bibliometric data, this report draws exclusively There are, however, notable gaps in the on these peer-reviewed sources of research, coverage of the bibliometric databases. In some and specifically on Elsevier data. It is clear that cases this may mean that the official publication bibliometric data alone do not fully capture the figures under-represent the true extent of dynamics of the changing scientific landscape. scientific activity. For example, there are many However, they presently offer the only recognised peer-reviewed journals which do not appear in and most robust methodology for doing so.41 ingapore Economic Development S See http://www.state.gov/r/pa/ 44 ource: Masdar (2008). See http:// S 46 ata from Elsevier’s Scopus. D Board (2010). Pharmaceutical ei/bgn/5437.htm, accessed 8 www.masdar.ae/en/mediaCenter/ and biotech companies partner February 2011. 2.8% of 128 billion newsDesc.aspx?News_ 47 coones I & Thompson J S Singapore to accelerate innovation is 3,584 million, which when ID=40&MenuID=0, accessed 29 (2009). Farmer first revisited: in Asia. Press release, 4 May 2010. divided by the population gives us September 2010. Masdar (the Abu innovation for agricultural research Singapore Economic Development a figure of 2,474.38. Dhabi Future Energy Company): and development. Institute of Board: Singapore. Abu Dhabi, United Arab Emirates. Development Studies at the 43 ource: Qatar Foundation website. S University of Sussex: Brighton, UK.42 uthors’ calculations. Qatar’s A See http://www.qstp.org.qa/ 45 ngland A (2007). Abu Dhabi eyes E population is 1,448,446 and it has output/page559.asp, accessed 30 renewable energy future. Financial 48 TEPS Centre (2010) Innovation, S a GDP of US$128 billion. Source: September 2010. Times, 4 April 2007. sustainability, development: a new US State Department website. manifesto. STEPS Centre: Brighton, UK. Knowledge, networks and nations: Global scientific collaboration in the 21st century 23
    • Some governments and development partners than publications—between the periods 1999 to PART 1 are embracing the fact that science is not a luxury 2003 and 2004 to 2008 publications grew by 33% which is the preserve of developed countries. and citations by 55% (see Figure 1.3).57 However, Scientific landscape They recognise that technology and innovation are when examining citation patterns, the movement in in 2011 key to achieving long-term economic and social national performance has not been as dramatic as development,49 and that science and scientific with publication numbers. Switzerland and Australia advice are vital assets in governance.50 Paul Kagame, fell down the rankings, to be replaced by China and President of Rwanda, has been a strong advocate for Spain in the latter period, but the performance of science for development, saying ‘We in Africa must China, for example, does not mirror that nation’s either begin to build our scientific and technological growth in investment or publication output. Citations training capabilities or remain an impoverished continue to be much more concentrated than the appendage to the global economy.’51 African science journal articles themselves. ministers resolved in March 2010 that 2011 would be It will take some time for the absolute output of the start of an African decade for science, promising emerging nations to challenge the rate at which this increased research budgets and attempts to use research is referenced by the international scientific science and technology to drive development.52 community. There is also diversification with some Although encouraging, political commitments to countries showing leadership in specific fields, such invest in science are greeted cautiously by many as China in nanotechnology,58 and Brazil in biofuels,59 scientists across Africa and in other poor countries. but the scientifically advanced nations continue to It was in 1980 that African presidents agreed to dominate the citation counts. increase research spending to 1% of GDP, as part of Citations are, however, only one means of the Lagos Plan of Action,53 but by 2007 Sub-Saharan benchmarking the excellence of research output. African countries still spent an average of just 0.5% With over US$1,000 billion each year being spent on of their GDP on science and technology.54 African R&D, it is unsurprising that funders and governments leaders reiterated their 1% target, this time agreeing want to know what value they are getting for their to reach it by 2010,55 but South Africa is the only sub- money. Saharan country that is close, spending 0.92% in the In the UK, the impact and excellence agenda 2008 to 2009 financial year.56 has developed rapidly in recent years. The Research Assessment Exercise, a peer review based 1.1.2 Assessing research quality and impact benchmarking exercise which measured the relative As research output has grown, so have the levels at research strengths of university departments,60 is which researchers cite one another’s work. Citations due to be replaced with a new Research Excellence are often used as a means of evaluating the quality Framework, which will be completed in 2014.61 of publications—recognition by an author’s peers The UK Research Councils now (somewhat indicates that the scientific community values the controversially) ask all applicants to describe the work that has been published. They are, however, a potential economic and societal impacts of their lagging indicator, as well as a sometimes crude one. research. The Excellence in Research for Australia Looking at the global picture in recent years, we (ERA) initiative assesses research quality within can see that citations are increasing at a greater rate Australia’s higher education institutions using a 24 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • combination of indicators and expert review by Figure 1.3. Comparative proportioncommittees comprising experienced, internationally of global citations by country62recognised experts. The top ten cited countries in each period are shown. The impact agenda is increasingly important for Fig a. 1999-2003. Fig b. 2004-2008national and international science (in Europe, the Commissioner for Research, Innovation and Science has spoken about the need for a Europe-wide ‘innovation indicator’).63 The challenge of measuring the value of science in a number of ways faces all of the scientific community. Achieving this will offer 27% 30%new insights into how we appraise the quality of 21%science, and the impacts of its globalisation. 36% 2% 2% Fig a Fig b 3% 3% 3% 4% 3% 5% 9% 7% 4% 8% 8% 4% 4% 7% 5% 5% Key United States United Kingdom49 onway G & Waage J (2010). C 1980–2000. The Organization of Technology: Cape Town, South 62 ata from Elsevier’s Scopus. D Germany Science and innovation for African Unity was disbanded in Africa. These charts show the top ten Japan development. UK Collaborative on 2002 and replaced by the African countries by number of citations, France Development Sciences: London, Union. 57 ata from Elsevier’s Scopus. D with all other countries included UK. in the ‘other’ segment. The pie Canada 58 oyal Society (2010). The scientific R 54 ata from UNESCO Institute for D charts are scaled to represent the Italy50 oyal Society (2010). Science: an R Statistics, published in UNESCO century: securing our future prosperity. Royal Society: London, increased volume of publications Netherlands undervalued asset in governance Science Report 2010 (p 2, Table 1). in the two time periods. In for development. Royal Society: UK. Australia 55 frican Union (2007). Assembly of A 1999–2003 there were 23,639,885 Switzerland London, UK. 59 ound K (2008). Brazil, the natural B citations globally, and in 2004– the African Union, eighth ordinary China51 agame P (2006). Speech by K session, 29–30 January 2007, knowledge economy. Demos: 2008 there were 36,562,135. Rwandan President, Paul Kagame, Addis Ababa, Ethiopia: decisions London, UK. Spain 63 innegan G (2010). Geoghegan- F at the Royal Society on 18 and declarations. Assembly/AU/ 60 ee http://www.delni.gov.uk/index/ S Other Quinn: we must communicate our September 2006. Dec.161 (VIII). African Union: Addis further-and-higher-education/ R&D. Euractiv.com (European Ababa, Ethiopia. higher-education/role-structure- Union Information Website), 5 52 ordling L (2010). African nations N vow to support science. Nature 56 epartment of Science and D he-division/he-research-policy/ May 2010. Available online at 465, 994–995. Technology, South Africa (2010). research-assessment-exercise.htm. http://www.euractiv.com/en/ South Africa maintains steady innovation/geoghegan-quinn-53 rganization of African Unity O 61 ee http://www.hefce.ac.uk/ S growth in R and D expenditure. we-must-communicate-our-rd- (1980). Lagos plan of action for the research/ref/, accessed 7 January Press release, 9 September 2010. interview-493702. economic development of Africa 2011. Department of Science and Knowledge, networks and nations: Global scientific collaboration in the 21st century 25
    • 1.1.3 Global scientists Andre Geim FRS, along with Konstantin Novoselov, PART 1 Recent decades have seen significant increases in was awarded the Nobel prize for Physics in 2010. the global competition for talent, with the workforce Professor Geim obtained his PhD at the Russian Scientific landscape in places like Silicon Valley highlighting the role that Academy of Sciences in Chernogolovka, moved in 2011 skilled migrants can play in innovation and wealth to the UK for postdoctoral positions at Nottingham creation. Countries like the UK, Australia, Canada and Bath, before then moving on to Copenhagen and the USA have grappled with contentious policy and Nijmegen, and returning to the UK in 2001 to decisions, aiming to strike the right balance between the University of Manchester. Now a Royal Society encouraging the highly skilled on the one hand, and Research Professor, Professor Geim maintains links discouraging ‘unskilled’ potential migrants on the with colleagues in Russia, and is still a professor in other. the Netherlands. The 2009 winner for Physics, Sir With inaccurate data and inconsistent definitions Charles Kao FRS, was born in China. He obtained of ‘highly skilled’ across the world, it is difficult to his PhD from the University of London, worked at measure highly skilled migration, particularly among the Standard Telecommunications Laboratory in the scientists. There is no internationally agreed definition UK, and in both the USA and Germany. Ada Yonath of ‘highly skilled workers’, although the OECD’s (the first woman from Israel to win a Nobel Prize, Canberra Manual provides one useful basis for the and currently based at the Weitzmann Institute in measurement of ‘human resources in science and Rehovot) held postdoctoral positions in the USA technology’ (HRST). Their definition includes those and worked in Germany before she won the 2009 who have ‘completed education at the third level Chemistry prize. Her co-winner Venkatraman in a S&T field of study and/or those not formally Ramakrishnan FRS was born in Tamil Nadu, India, qualified but employed in a S&T occupation where undertook graduate degrees in the USA, and now such qualifications would normally be required’.64 works in Cambridge, England. According to OECD analysis the USA, Canada, Australia and the UK attracted the largest numbers 1.1.4 Brain gain, drain and circulation of highly skilled expatriates from OECD countries The Nobel Prize examples show the attractive force in 2001, followed by France and Germany.65 Of the of the strong scientific nations, in particular the USA UK’s 4.5 million foreign-born adult population, 34.8% and Western Europe. Today issues of ‘brain drain’ had a university-level education. Approximately are usually associated with developing countries, but 19.5% of these migrants had a scientific background, the original phrase was coined by the Royal Society many of whom hailed from emerging economies in 1963. At the time, the UK was struggling to stem such as China and India.66 However, we are far the exodus of its top brains to the USA. The Society from understanding what factors influence these found itself at the centre of a fierce debate as to how individuals’ choice of location. How long do they to counter this phenomenon,67 with the then Minister intend to stay? And how do they connect back to of Science, Lord Hailsham, lamenting the ‘parasitising their research networks from their new home? of British brains’.68 The career paths of recent Nobel prizewinners Today, the focus of discussion has moved from demonstrate the international outlook of many of preventing ‘brain drain’ to making the most of ‘brain the world’s most successful scientists. Professor circulation’. It has been argued that old patterns of 26 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • one-way flows of technology and capital from the Indians—to organise policy relating to remittances core to the periphery are slowly breaking down, and investment flows, as well as relaxing previously creating far more complex and decentralised two- stringent citizenship requirements to make it easier way flows of skills, capital and technology, with for potential returnees. Other initiatives to connect scientists following the best science and the best India with its diaspora have also proven fruitful. The resources.69 Some governments appreciate the Indus Entrepreneurs (TiE), for example, was originally value of ‘brain circulation’ and allocate resources for founded by Indian entrepreneurs based in Silicon attracting national talent back home to start a new Valley and it now has a global membership of 12,000 business or take up a senior position in academia, people within 11 countries, and has assisted in the while maintaining useful links back to the USA or creation of businesses worth over US$200 billion in Europe. India.72 Of the 1.06 million Chinese who studied abroad Elsewhere, Malaysia recently established a between 1978 and 2006, over 70% did not return.70 It new ‘Talent Corporation’ which will be charged has been a policy priority for the Chinese Government with connecting with diaspora communities. to attract this diaspora back. The Thousand Talents Ecuador’s President also announced a US$1.7 Program, established in 2008, has brought more million ‘Prometheus Old Wiseman’ plan to attract than 600 overseas Chinese and foreign academics senior scientists who see Ecuador as ‘the retirement back to China. Launching further measures in May destination of brilliant minds’.73 2010, Premier Wen Jiabao announced that, ‘We will Yet attracting back the diaspora is only one increase spending on talent projects and launch a part of the equation. Finding new ways to connect series of initiatives to offer talent-favourable policies with diaspora and other communities, and their in households, medical care and the education of associated global networks, is also critical. Nomadic children.’71 A range of facilities, both personal and scientists are often keen to maintain scientific and professional, is essential to ensure that returning informal links with their home countries. Many are home is an attractive option. eager to contribute but are unsure where to start. In India, meanwhile, has created a specific supporting international collaboration, these diaspora government ministry—the Ministry of Overseas communities are an untapped resource.64 ECD (1995). The measurement of O 66 ECD (2008). A profile of immigrant O social science. Notes & Records of 71 hen J (2010). Nation aims to C scientific and technological activities: populations in the 21st century: data the Royal Society 63, 4, 339–353. increase talent pool. China Daily, 6 manual on the measurement of from OECD countries. Organisation June 2010. human resources devoted to S&T: for Economic Co-operation and 69 axenian A (2006). The new S ‘Canberra manual’. Organisation Development: Paris, France. Argonauts: regional advantage in a 72 ound K (2007). India: the uneven B for Economic Co-operation and global economy. Harvard University innovator. Demos: London, UK. Development: Paris, France. 67 oyal Society (1963). The R Press: Cambridge, MA, USA. emigration of scientists. The Royal 73 irschfeld D (2010). Ecuador opens H65 ECD (2002). The global O Society: London, UK. 70 ource: http://www.gov.cn S its doors to senior scientists. SciDev. competition for talent: mobility of (Chinese Government’s official Net, 16 August 2010. Available the highly skilled. Organisation 68 almer B, Godwin M & Gregory J B web portal). See http://www. online at http://www.scidev.net/en/ for Economic Co-operation and (2009). The Royal Society and the gov.cn/english/2010-06/07/ news/ecuador-opens-its-doors-to- Development: Paris, France. ‘brain drain’: natural scientists meet content_1622015.htm, accessed senior-scientists.html. 13 October 2010. Knowledge, networks and nations: Global scientific collaboration in the 21st century 27
    • In reality, brain drain is still a major problem. At a and computer sciences have seen the highest PART 1 recent event at the Royal Society, Princess Sumaya growth, both increasing their output by over 100%, of Jordan reflected on the success of Jordanian but the share of papers in ‘energy’ publications Scientific landscape graduates in the region and the wider world. ‘Human among scientific output has grown from only 0.73% in 2011 capital is our greatest natural resource,’ she said, ‘yet to just 1.03%; in computer sciences this share has it has been exported for many years. It is said that grown from 2.47% to 3.42%. This substantial growth the French keep the best champagne for themselves. in absolute output has not translated into dramatic Perhaps we should learn from them.’ Depending on leaps in market share. the level of scientific capacity at home, migrating Looking more closely at the data we can, scientists from developing countries are generally however, see some trends in particular fields which more likely to stay permanently in their new homes reflect emerging or pressing research areas. Keyword than return to where there are fewer opportunities searches in the Elsevier database on specific terms and poorer infrastructure. This is a significant highlight some trends. ‘Climate change’, for example, problem for Africa, a continent which arguably has seen a six-fold increase in usage in research needs its skilled workers most, but offers the least publications between 1996 and 2008. Such analyses to keep them or attract them back. The challenge can only be partial—they pick up on ‘buzz words’ for governments in emerging centres of science is which reflect trends in language as much, perhaps, how to reward talented scientists and enable them to as they do scientific content. That these areas are foster global networks, while still using them to build growing rapidly, though, is undeniable. national capacity. The geographic changes in global science do not themselves appear to have had a direct impact on 1.1.5 Disciplinary shifts? the types of research being conducted. The domestic With the growth in science globally, it is interesting to conditions of a country, such as government priorities ask whether the large rise in the number of scientific and the availability of natural, human and economic publications in recent decades has varied greatly resources have a distinct bearing on scientific across the disciplines. Indeed, the use of bibliometric output. Considering again the disciplinary spread of data across the whole of research can mask very research as identified through journal classification, different patterns in publication activity across the ‘developed’ G7 countries have similar research disciplines with, for example, life scientists displaying profiles, which are balanced between broad research a greater propensity to publish than engineers. disciplines, By contrast, the BRIC grouping of major Available headline data suggest that there has emerging economies—Brazil, Russia, India and not been a dramatic shift in the broad disciplinary China—are weighted towards specific fields; in the breakdown of research. Between 1996 and 2008 case of China, India and Russia towards engineering, the total number of academic publications rose by and in Brazil, agriculture and biosciences. In Africa, 43%; looking at the number of articles in specific the focus is on agriculture and medicine. However, disciplines (as defined by the disciplinary focus of the the emergence of these areas has not to date journal),74 the overall share by subject area has not changed the global balance of research. altered dramatically over the same period. Energy Research challenges and interests are changing 28 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • as global science grows, but these changes reflect last decade.76 The Royal Society’s own journals more the different types of questions being posed, follow a similar trend. In the year from June 2009 rather than the nationality of the people posing the to June 2010, US and UK audiences accounted questions. for nearly 51% of the readership for the Society’s seven journals. China now accounts for the third 1.1.6 Reading the research highest number of downloads and subscribers to the The world’s research papers are produced to be read journals; the four BRIC countries make up 12% of the by peers in the scientific community, and for the total readership.77 ideas and conclusions to be put to use. So where the Readership has been far from universal. A World science is being picked up and exploited is just as Health Organisation (WHO) study in 2000 identified important as where in the world it is being written up. that 56% of institutions in countries with annual The spread of access to academic journals across the incomes of US$1,000 and less per person had no world is a key factor in the globalisation of research. current subscriptions to international journals, thereby Publishers have actively pursued new reader cutting off their scientists from recent developments markets. Nature launched its China website in 2007, in their fields.78highlighting research from the Chinese mainland A number of initiatives such as Research4Life and Hong Kong. Nature India followed in February (R4L)79—set up in direct response to these findings—2008. The Royal Society now has specific portals and the International Network for the Availability for those interested in research from Brazil, China, of Research Publications Programme for the India, Malaysia, Russia and Turkey, and provides Enhancement of Research Information (INASP information on the website in Chinese, Farsi, Korean, PERii)80 have been established to explicitly improve Russian, Portuguese, Arabic and Spanish.75 access to research journals in the developing world, The pattern of downloads from Elsevier’s journals allowing free or low-cost access to universities and show that, unsurprisingly, the largest consumers research institutes which had previously been unable of their publications are based in the USA, Japan to afford subscription fees. Take-up of R4L has been and Western Europe. China and South Korea impressive. Bringing together three strands—one have witnessed a surge in readership over the for biomedical and health literature, a second for 74 his will result in duplication T indexing service—Thomson 78 K National Commission for U Microsoft, the partnership’s goal across fields, as a journal such Reuters (Scientific) Inc. Web UNESCO (2008). Improving is to help attain six of the UN’s as the Royal Society Philosophical of Science. UNESCO (2010). access to scientific information eight Millennium Development Transactions A will cover each UNESCO Science Report 2010 (pp for developing countries: UK Goals by 2015, reducing the of the mathematical, physical 10–11). UNESCO Publishing: Paris, learned societies and journal scientific knowledge gap between and engineering sciences. There France. access programmes. UK National industrialised countries and the will also be fluctuation between Commission for UNESCO developing world. See http://www. years, as journal subject areas 75 ee http://royalsocietypublishing. S Secretariat: London, UK. research4life.org/, accessed 30 are redefined. This, therefore, org/librarians, accessed 29 September 2010. provides an imperfect indication September 2010. 79 esearch4Life is a public–private R of the disciplinary breadth of partnership of the WHO, 80 ee http://www.inasp.info/file/ S 76 ata from the Elsevier Science D FAO, UNEP, Cornell and Yale 5f65fc9017860338882881402d publication output, but it does Direct database. indicate the general rate of output. Universities and the International c594e4/perii.html, accessed 29 A similar outcome can be seen in 77 ata from Royal Society D Association of Scientific, Technical September 2010. the UNESCO Science Report 2010, publications, July 2009–June & Medical Publishers. Working which uses data from another 2010. together with technology partner Knowledge, networks and nations: Global scientific collaboration in the 21st century 29
    • agricultural publications, and a third for environmental of their entire catalogue to institutional libraries that PART 1 sciences—the platform allows access to material of previously had only subscribed to specific journals. particular practical interest to developing nations. These deals were done at greatly reduced prices and Scientific landscape Since its introduction in 2002, the biomedical and most large institutions now have such arrangements in 2011 health platform ‘HINARI’ alone has provided 2 in place, meaning that readers have access to vastly million downloads per year of Elsevier’s output. more research outputs than ever before. The second Individual publishers are also instigating their own was the enormous increase in the capacity to initiatives. The Proceedings of the National Academy search for and access published research, initially via of Sciences in the USA has been free online since specialist search engines such as PubMed, and later 1997 to the developing world. In 2006 the UK’s Royal by more general tools, most notably Google (which Society of Chemistry (RSC) made all of its journal now accounts for almost 60% of all referrals).83 output free through its Archives for Africa project. The ability to search for articles simply and rapidly Professor Shem O. Wadinga, Director of the using subject keywords, authors or abstract text has Centre for Science Technology Innovations in Nairobi, opened up much wider access to the entire breadth and Chair of the Pan Africa Chemistry Network of research outputs. Kenya hub, is a keen advocate of the RSC’s scheme. Also highly significant has been the birth of ‘Archives for Africa has opened up a rare window the Open Access movement. Recognising that a for African researchers and libraries in keeping up great deal of published research was funded by the to date with the latest scientific information. It has public purse (via research councils and universities), become the point of free access to a wealth of demands arose from various quarters for the resulting scientific information for African scientists through publications to be made freely available to the public their libraries.’81 It will take some years to identify who funded them, rather than being limited to any direct, long-term impact that these schemes subscribers. Publishers, some initially resistant to this may have on scientific output. An early study notion, have now largely embraced open access, suggests that there has been a significant increase in not least because most funding bodies now make it research output in countries eligible for R4L access, a requirement for their grantees. The overwhelming which outstrips the rate of growth seen in non-R4L majority of the traditional publishers now operate countries, over the period in which the initiative has an open access option (in exchange for an article been introduced.82 processing charge secured from authors or their institutions) and a number of newer publishers have 1.1.7 Opening access emerged who operate an exclusively open access In the mid-1990s, the advent of the online availability model. of scientific journals had two highly significant effects The demand for access to published scientific on the scholarly communications process. The knowledge is set to grow as global science continues first was a result of the dramatic fall in the costs of to expand. The ‘author pays’ model of Open dissemination of published content (which no longer Access and the subsidised subscription schemes of relied solely on physical shipping of printed copies). Research4Life and INASP cater for this demand in This led to the growth of the so-called ‘big deal’ different ways. The latter have considerably improved whereby publishers were able to offer online editions access to research literature in the developing world, 30 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Benjamin Franklin’s letter to Peter Collinson describing the Philadelphia Experiment, 3 October 1752. From the Royal Society library and archive.but there is not yet a corresponding scheme in place 1.2.1 Business R&Dto assist authors with open access charges in these Science is not restricted to academia, nor does very countries. However, the demand for more it necessarily result in the publication of research access is not only coming from the developing world. papers. It takes place in many different areas outside A variety of economic models will be required to universities and research institutes, and is funded ensure that access is maximised across a range of by a range of different sources. The proportion of different markets. investment in research as compared to development varies significantly across the different industrial 1.2 Applying science sectors. For example, in the UK’s telecommunications A wealth of economic literature describes the impact sector, companies invest roughly four and a half of knowledge on economic performance.84 For times more money in experimental development example, studies have shown that technological than they do in research, while companies in the UK change drives up income levels,85 the relationship aerospace sector spend roughly twice as much on between high levels of patenting and GDP growth,86 research as they do on development.88 and the positive impact of innovation on business In most of the developed world, R&D activities are productivity and performance.87 This body of primarily funded by private enterprise, whereas the evidence has underpinned the efforts of governments public sector plays a more significant role in most the world over to stimulate economic performance developing countries.89 However, the balance varies by investing in science and technology—from considerably between nations. In some countries undirected academic science to research of strategic business investments in R&D far outweigh those of national importance conducted in government government, universities or other funders. In 2007 laboratories, to support for near-to-market the proportion of total R&D which was funded by technologies in the private sector. business was 84% in Malaysia, 70% in China, 66% in 81 nterview with Professor Shem O. I 84 ee Romer D (1990). Endogenous S economic growth. Research Policy in the UK’s private sector between Wadinga. Quote courtesy of the technical change. Journal of 31, 2, 191–211. 2000 and 2007 was attributable to Royal Society of Chemistry. Political Economy 98, 5, S71–102; innovation including technological Mokyr J (1992). The lever of 86 ee Chen D & Dahlman C (2004). S advances. National Endowment for 82 ee http://www.elsevier.com/wps/ S riches: technological creativity Knowledge and development: a Science, Technology and the Arts: find/authored_newsitem.cws_ and economic progress. Oxford cross-section approach. World London, UK. home/companynews05_01269, University Press: Oxford, UK; Bank Policy Research Working accessed 13 October 2010. Lipsey R, Carlaw K & Bekar C Paper No. 3366. This paper argued 88 ource: UK National Statistics S (2005). Economic transformations: that between 1960 and 2000, (2009). Research and development83 igure based on analysis of access F a 20% annual increase in the in UK businesses 2009—datasets to Royal Society Publishing general-purpose technologies and long-term growth. Oxford number of patents granted in the (Table 5). Available online at journal content. See Rees M USA—whether the technologies http://www.statistics.gov.uk/ (2010). Speech by Lord Rees, University Press: Oxford, UK; Hall B & Rosenberg N (eds) (2010). originated locally or overseas— downloads/theme_commerce/ President of the Royal Society, at produced an increase in economic berd-2009/2009-dataset-links.pdf, Science Online, British Library, 3 Handbook of the economics of innovation. Elsevier: Amsterdam, growth of 3.8 percentage points. accessed 17 January 2011. September 2010. Available online World Bank: Washington, DC, at http://royalsocietypublishing.org/ The Netherlands. 89 NESCO (2009). A global U USA. site/includefiles/Keynote_speech. 85 reeman C (2002). Continental, F perspective on research and pdf. national and sub-national innovation 87 ESTA (2009). The innovation N development. UNESCO Institute for systems—complementarity and index. This report showed that two- Statistics Fact Sheet No 2, October thirds of the productivity growth 2009 (pp 9–11). Knowledge, networks and nations: Global scientific collaboration in the 21st century 31
    • the USA, and 57% in Australia. In the UK, business previous years. The surveyed companies expect R&D PART 1 enterprise funded 47% of all expenditure on R&D. investment to continue growing strongly outside the By contrast, business was responsible for only 29% EU, especially in India and China.93 Scientific landscape of total R&D spending in Argentina and the Russian in 2011 Federation, 19% in Sri Lanka and 14% in Tunisia.90 Location of business R&D The role of business in science has grown in Business R&D has become increasingly mobile since recent years, with the proportion of R&D funded by the mid-1980s, following the internationalisation of the private sector increasing steadily. In 1981, 52% manufacturing during the 1970s.94 There are now of the OECD countries’ spending on research and many more large businesses with global research development was funded by industry; by 2008 this operations, many of whom have located laboratories had reached nearly 65%.91 in different parts of the world for strategic reasons. A case in point is Microsoft Research who have set Is business R&D recession proof? up a number of laboratories and businesses not only In the aftermath of the global economic crisis in in their core expertise of software, but also in other 2008, private sector R&D investors have struggled fields such as healthcare, energy, environment and to maintain their levels of investment in R&D. After robotics. Many companies have followed similar four years of 5% growth in investment year on year, models, such as Sanofi-Aventis (who have R&D in 2009 R&D spending by the world’s leading 1,400 operations in China, Japan, South Korea, India, the business R&D investors fell by 1.9% on the previous USA, France, UK and Denmark) and Shell (which year.92 has technical centres in the USA, the Netherlands, The EU Industrial R&D Investment Scoreboard UK, Canada, France, Germany, India, Norway, Oman, 2010 shows that in 2009 the leading companies Qatar and Singapore). In the period from 1993 to in Europe had decreased their R&D investment 2002, R&D spending by foreign investors grew by 2.6% since 2008, and in the USA this fell by from 10% to 16% of global business R&D (from an 5.1%. However, there was an increase of 40% in estimated US$30 billion to US$67 billion).95 China and 27.3% in India. Within Europe there was Developed economies are still the favoured considerable fluctuation too: French private R&D locations for foreign R&D investors,96 but the investment fell by 4.5%, but in Spain it grew by growth in the amount of R&D investment flowing to 15.4% on the previous year. Individual sectors have developing countries has been pronounced; the share also experienced differing fortunes; pharmaceutical of foreign-owned business R&D in the developing companies increased investment in R&D by over 5%, world grew from 2% to 18% between 1996 and while the automobile industry’s spend fell by 11.6%. 2002.97 The impact of global recession has not had a uniform The increasingly international profile of business effect on the patterns of corporate R&D investment. R&D investment is, in part, a reflection of intensifying Recent survey evidence from the European global competition for leadership and talent in Commission shows that leading EU-based investors the most important and fastest growing markets. expect their R&D spending to continue growing Companies that site their R&D activities close to new between 2010 and 2011, albeit at lower rates than in and emerging markets gain valuable insights into 32 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • how best to meet the needs of those markets. support through defence and other government The ever more global footprint of business R&D is expenditure.100 Just as business is competitive, also the result of ‘distributed’ or ‘open’ innovation.98 so policies to attract foreign investment are Companies using these business models innovate competitive too. Singapore has become a magnet for by looking outward for new knowledge (eg. pharmaceutical companies, drawn by infrastructure collaborating or buying/licensing new processes such as A*Star’s Biopolis. More recently, some or inventions from other companies or locating countries (notably South Korea) have targeted new their activities in close proximity to scientific and economic stimulus investments in low-carbon technological centres of excellence) as well as technologies to attract researchers and companies inward (eg. through their own research). In these investing in R&D.101 cases, firms respond to science and technology that they see being developed elsewhere, for example 1.2.2 Patent growthin other companies, universities or overseas. They The application of scientific knowledge can be promote collaborations and coalitions with others, measured to some extent by the registration of such as suppliers, customers or academics, to solve overseas patents. Patents are granted for original, their problems in innovative, competitive ways. non-obvious ideas, processes or products. The Recruitment of the most talented individuals also registration of patents by individuals and companies occurs on an international basis.99 not resident in a territory indicates a clear desire At the same time, governments are doing more to commercialise the research in that region. to exert an influence on the investment decisions of Registrations in the world’s biggest single market, the high-spending and increasingly mobile companies. USA, are a good indicator for this, reflecting also the Policies designed to attract foreign investment size of the US market and the growing integration of include incentives such as tax credits, direct support R&D. Approximately 50% of patents now registered for capital facilities and R&D expenditure, and indirect in the US Patent and Trademark Office are from 90 ata from the UNESCO Institute D 94 arlsson M (ed) (2006). The K (Swedish Institute for Growth and practice. Oxford University for Statistics Data Centre, internationalization of corporate Policy Studies): Stockholm, Press: Oxford, UK. Montréal, Canada; 2007 figures R&D: leveraging the changing Sweden. used, or last available year. geography of innovation. ITPS 99 ittle A (2005). Internationalisation L (Swedish Institute for Growth 97 NCTAD (2005). World U of R&D in the UK: a review of the91 hese averages are of course over T Policy Studies): Stockholm, investment report 2005: evidence. Office of Science and figures which vary considerably Sweden. transnational corporations and Technology (now Government between different members of the the internationalization of R&D. Office for Science): London, UK. OECD. 95 NCTAD (2005). World U United Nations Conference on investment report 2005: Trade and Development: Geneva, 100 NCTAD (2005). Globalisation of U92 uropean Commission (2010). E transnational corporations and Switzerland. R&D and developing countries: Monitoring industrial research: the internationalization of R&D. proceedings of the expert meeting, the 2010 EU industrial R&D United Nations Conference on 98 hesbrough H (2003). Open C Geneva, 24–26 January 2005. investment scoreboard. European Trade and Development: Geneva, innovation: the new imperative United Nations Conference on Commission: Brussels, Belgium. Switzerland. for creating and profiting from Trade and Development: Geneva, technology. Harvard Business Switzerland.93 uebke A (2009). The 2008 EU T 96 arlsson M (ed) (2006). The K School Press: Boston, MA, USA; survey on R and D investment internationalization of corporate Dodgson M, Gann D & Salter 101 oyal Society (2010). The scientific R business trends. European R&D: leveraging the changing A (2008). The management of century: securing our future Commission: Brussels, Belgium. geography of innovation. ITPS technological innovation: strategy prosperity. Royal Society: London, UK. Knowledge, networks and nations: Global scientific collaboration in the 21st century 33
    • outside the USA—a figure that has remained largely great uncertainties, but it helps illustrate the shifts in PART 1constant since 1989.102 the commercialisation of science now taking place. There are a number of countries, especially on the Scientific landscape western edge of the Pacific, that have registered a 1.3 Drivers of research in 2011 dramatic increase in the volume of patents they are The story of 21st-century science so far is one of registering in the USA (see Table 1.2). The volumes dramatic growth and broadening horizons. There are involved, relative to world-leading countries like more people conducting research, spending more Japan, are still very small: China registered 1,655 money, publishing and accessing science than ever patents in the USA in 2009 (up from only 52 in 1989, before. and 90 in 1999); Japan registered 35,501. South The 2009 Turkish Academy of Sciences Science Korea, having leapt from only 159 registered patents Report describes the motivation of researchers as ‘a in the USA in 1989, is now the third highest patenting burning curiosity, a tormenting need to know.’104 This overseas country in the USA, with 8,762 patents curiosity is unfailing. Science is growing because registered in 2009. people are still trying to answer all types of questions If these countries maintain this rate of patenting and solve problems. Today’s scientists are the heirs growth, the impact will be dramatic. Extrapolating to the natural philosophers who established the recent trends, China will overtake Japan in annual scientific societies of the 17th century. They are US patents by 2028, and South Korea by 2018. Of seeking to ‘shape out a new philosophy or perfect course, this simple extrapolation is subject to very the old’,105 to satisfy their curiosity, and to provide solutions to the questions of the day.Table 1.2. Top 11 overseas patent registrations at the USPatent Office.1031989 1999 2009Japan 20,169 Japan 31,104 Japan 35,501Germany 8,352 Germany 9,337 Germany 9,000France 3,140 France 3,820 South Korea 8,762UK 3,100 Chinese Taipei 3,693 Chinese Taipei 6,642Canada 1,960 UK 3,576 Spain 6,472Switzerland 1,362 South Korea 3,562 Canada 3,655Italy 1,297 Canada 3,226 UK 3,175Netherlands 1,061 Italy 1,492 France 3,140Sweden 837 Sweden 1,401 China 1,655Chinese Taipei 591 Switzerland 1,279 Israel 1,404Australia 501 Netherlands 1,247 Italy 1,346USA 50,184 USA 83,905 USA 82,382Global total 95,537 Global total 153,485 Global total 167,349Source: US Trademark and Patent Office34 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 1.3.1 Securing prosperity and staying productivity and advance the overall economic and competitive social development in a co-ordinated and sustainable Science and innovation are recognised the world manner.’109over as crucial to economic competitiveness. The As the world responded to the global financial European Commission has a formal target to spend crisis in 2008 and 2009, many governments outlined 3% GDP on R&D across the Union, and research economic stimulus packages—short-term injections policy is a key component of the Union’s strategy for of money combined with other policy measures jobs and growth.106 In a speech to the Royal Society designed to kick-start their domestic economies. in April 2010, German Chancellor Dr Angela Merkel Science and innovation featured prominently in these explained that ‘the prosperity of a country such as strategies110; investment in green technologies was Germany […] must be sought through investment a priority in South Korea and Australia,111 and the in research, education and science, and this to a USA pledged ‘the largest commitments to scientific disproportionate degree’.107 research and innovation in American history.’112 The The rapidly emerging economies have all recognition that science can drive economic growth prioritised science and innovation, and have steadily is by no means new. In 1945, Vannevar Bush outlined increased their investment in research to drive the role that science and technology could play in development. In China, where many members of preserving the health and wealth of post-war USA.113 the government are themselves trained scientists Models of economic growth have increasingly and engineers,108 the long-term plan for science recognised the role of science and new technology in and technology (2006 to 2020) states ‘we need to promoting productivity increases.114 depend even more heavily on S&T progress and The Royal Society and other UK scientific bodies innovation in order to achieve substantial gains in recently examined the contribution of science to 102 S Patent and Trademark Office U 105 oyal Society (1662). First charter. R the other seven members of the packages, innovation and long term (2010). Patent counts by country/ See http://royalsociety.org/ political bureau of the central growth. Organisation for Economic state and by year: utility patents about-us/history/royal-charters/, committee of the Communist Co-operation and Development: January 1, 1963–December 31, accessed 30 September 2010. Party of China are engineers or Paris, France. 2009. US Patent and Trademark scientists (the other two being a Office: Alexandria, VA, USA. 106 uropean Commission (2010). E lawyer and an economist). 112 bama B (2009). Speech by US O Europe 2020: a European strategy President Barack Obama at the 103 S Patent and Trademark Office U for smart, sustainable and inclusive 109 he State Council of The People’s T 146th Annual Meeting of the US (2010). Patent counts by country/ growth. European Commission: Republic of China (2006). The National Academy of Sciences. state and by year: utility patents Brussels, Belgium. national medium- and long-term January 1, 1963–December 31, program for science and technology 113 ush V (1945). Science the endless B 2009. US Patent and Trademark 107 erkel A (2010). Speech by M development (2006–2020): an frontier. A report to the President Office: Alexandria, VA, USA. German Chancellor Angela Merkel outline. The State Council of The by Vannevar Bush, Director of the on being awarded the King Charles People’s Republic of China: Beijing, Office of Scientific Research and104 UBA (2010). Turkish Academy T II medal at the Royal Society on PR China. Development, July 1945. United of Sciences 2009 science report. 1 April 2010. Transcript available States Government Printing Office: Turkish Academy of Sciences: online at http://royalsociety. 110 oyal Society (2010). The scientific R Washington, DC, USA. Ankara, Turkey. Evidence provided org/chancellor-merkel-speech/, century: securing our future by the Turkish Academy of accessed 30 September 2010. prosperity. Royal Society: London, 114 olow R (1956). A contribution to S Sciences in response to the Royal UK. the theory of economic growth. Society Global Science Report call 108 resident Hu Jintao is a hydraulic P Quarterly Journal of Economics for evidence, February 2010. engineer, Prime Minister Wen 111 ECD (2009). Policy responses O 70, 1, 65–94. Jiabao is a geologist, and five of to the economic crisis: stimulus Knowledge, networks and nations: Global scientific collaboration in the 21st century 35
    • the economic prosperity of the UK.115 Each of these 1.3.3 National science in a global age PART 1 studies drew on economic history, recent academic The global science landscape is underpinned by studies, and domestic and international examples,116 national infrastructures, which reflect the research Scientific landscape to illustrate the strong relationship between priorities, capacity and strengths of individual in 2011 investment in science, scientific productivity, countries. Science is a cross-border enterprise, but innovation and economic growth. By creating these activities are still strongly connected to, and new ideas, new industries and new technologies, in some cases anchored in, national systems, either and training skilled people, science is crucial to through funding, governance arrangements or simply economies at all stages of development, whether because of location. they are manufacturing strongholds or dominated by Levels of research investment and activity vary service industries.117 considerably between nations. Among the G7 economies alone the differences are striking. The 1.3.2 Addressing global challenges proportion of GDP spent on R&D varies from 1.14% Science, technology and innovation are more than (Italy),119 to 3.45% (Japan).120 In Italy, research is simply tools for advancing the cause of one nation. funded primarily by government (49% GOVERD). In Recent meetings of global networks such as the G8 Japan, the lion’s share of R&D investment comes and the G20, or regional meetings of the European from business (78% BERD). Commission, the Association of Southeast Asian Comparisons of scientific architecture also reveal Nations (ASEAN), and the African Union demonstrate important differences between countries. In the UK, the contribution of science in addressing cross-border the majority of ‘academic’ research takes place in issues. Global challenges such as climate change, universities, with non-university labs representing food, water and energy security all feature highly only a small proportion of research activity. In on the agenda, and require politicians to engage Germany, university research is complemented by with science globally and locally in order to identify Gesellschaften and Gemeinschaften—the Max-Planck sustainable solutions. There is also an important role and Fraunhofer Societies and the Helmholtz and for science in addressing concerns such as poverty Leibniz Associations—non-profit, legally independent alleviation, sustainability and diversity.118 research organisations, which between them run The contribution that science can make to over 200 institutes, and employ over 65,000 people.121 combating these issues—both in identifying problems In China and Russia, the national academies are and risks, and in providing technical solutions—will leading research organisations, running their own be investigated further in Part 3. institutes (the Chinese Academy of Sciences is the world’s most prolific publishing research organisation, 36 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Red chalk drawing of sand, Antoni Van Leeuwenhoek, 1704. From the Royal Society library and archive.with over 50,000 papers coming from its institutes Science and Technology has set out as a key goal in the period 2004 to 2008). In the US, specialised ‘actively expanding co-operation and international national laboratories (run by the government or integration in S&T.’124the private sector) are commonplace. The US Department of Energy has 21 National Laboratories 1.4 Centres for scienceand Technology Centers, employing over 30,000 Scientific activities are not only unevenly distributed scientists and engineers between them, while the US between nations, but also within them (see Figure Department of Agriculture’s chief scientific research 1.4). In the USA in 2004, more than three-fifths of agency, the Agricultural Research Service, employs R&D spending was concentrated in ten states—with over 2,000 scientists in more than 100 laboratories.122 California alone accounting for more than one-fifth.125 A feature of almost all national science and In most countries there is a degree of concentration innovation strategies is an acknowledgement of the of research activity in particular places. Moscow importance of international collaboration. By being accounts for 50% of Russian research articles; international in outlook, a nation can enhance the Tehran, Prague, Budapest and Buenos Aires each quality of its domestic science, absorb expertise and top 40% of their national outputs, and London, ideas from partners and competitors around the Beijing, Paris and Sao Paolo are each responsible for world, share risk and pool resources. The Science over 20%.and Technology Policy Council of Finland has clearly Among the most prolific publishing cities, Nanjing articulated the importance of a strong international has leapt 66 places into the top 20 since 1996 to strategy. ‘Through internationalisation, competition 2000. One of the Four Great Capitals of China, and co-operation, Finland can improve the quality of Nanjing has long been a centre for education. Today, research, reduce overlapping knowledge production, the city is home to seven national universities, the pool existing resources into larger entities and deploy People’s Liberation Army University of Science and them to important targets.’123 Other countries have Technology, several other national colleges and also adopted a similar outlook; in its most recent S&T provincial universities, and numerous industrial parks.Development Strategy, the Vietnamese Ministry of 115 oyal Society (2010). The scientific R new manifesto. STEPS Centre: German research institutions at a Technology Policy Council of century: securing our future Brighton, UK; Conway G & Waage glance. Bundesministerium für Finland: Helsinki, Finland. prosperity. Royal Society: London, J (2010). Science and innovation for Bildung und Forschung (BMBF): UK. development. UK Collaborative on Bonn, Germany. 124 ee http://www.most.gov.vn/ S Development Sciences: London, Desktop.aspx/Details-Article/116 ipsey R, Carlaw K & Bekar C L UK. 122 SDA (2010). 2010 performance U News/The_Conference_on_ (2005). Economic transformations: and accountability report (p 186). implementing_Vietnam_ST_ general purpose technologies 119 ata from the UNESCO Institute D US Department of Agriculture: Development_Strategy_for_ and long-term economic growth. for Statistics Data Centre, Washington, DC, USA. See also the_2001-2010_period_reviewing_ Oxford University Press: Oxford, Montréal, Canada; 2006 figures http://www.ars.usda.gov/AboutUs/ ST_results_for_the_2006- UK. used (last available year). AboutUs.htm, accessed 14 2010_period_task_directions_/, January 2011. accessed 10 January 2011.117 oyal Society (2009). Hidden R 120 ata from the UNESCO Institute D wealth: the contribution of science for Statistics Data Centre, 123 cience and Technology Policy S 125 ource: US National Science S to service sector innovation. Royal Montréal, Canada; 2007 figures Council of Finland (2003). Foundation (2007). Science and Society: London, UK. used (last available year). Knowledge, innovation and engineering indicators 2008 (ch 4, internationalisation. Science and p 5). National Science Foundation: 118 TEPS Centre (2010) Innovation, S 121 ederal Ministry of Education F Arlington, VA, USA. sustainability, development: a and Research, Germany (2008). Knowledge, networks and nations: Global scientific collaboration in the 21st century 37
    • Figure 1.4. Top 20 publishing cities 2004–2008, and their growth since 1996–2000.126 PART 1 Scientific landscape in 2011 Moscow Berlin Toronto London Beijing Paris Boston Seoul New York Madrid Philadelphia Tokyo Los Angeles Rome Nanjing Shanghai Washington DC Taipei Hong Kong Sao Paulo Key City with highest publication output in the period 2004-2008; growth is since period 1996-2000. Decreased or stayed constant Increased 5-10 places Increased 10-20 places Increased 20+ places38 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • São Paulo’s rise of 21 places in the list of top educational and research excellence.130 Its publication publishing cities in the last decade reflects the rapid output in 2004 to 2008 was greater than that of the growth of Brazilian scientific activity, and the city’s whole of Argentina. The University of Cambridge role as the capital of the state with the strongest (whose output in 2004 to 2008 was equivalent to scientific tradition. The State of São Paolo’s 1947 more than the Ukraine) is a Nobel hothouse with constitution includes an article which ensures that 88 affiliated scientists having been awarded the 1% of all state revenue goes towards research. accolade since the inception of the prize in 1904.131According to Carlos Henrique de Brito Cruz, the Established research centres are no longer scientific director of FAPESP (Fundação de Amparo necessarily confined to their geographic location. à Pesquisa do Estado de São Paulo—the Research Universities and research organisations are not Council for the State of São Paulo), ‘no other science merely national institutions, they are global brands—funding agency in possibly the whole world has which exert a pull of their own on mobile students, that kind of security and autonomy [from the federal researchers and investment. Some European and US government].’127 universities have established outposts in Asia: the In today’s competitive quest for corporate R&D Chinese campuses of the Universities of Nottingham investment, scientific facilities or global talent, it is and Liverpool are two examples. Nor are research increasingly regions and cities rather than countries funders restricted to their national borders. The that are the relevant units and sites.128 Leading UK-based Wellcome Trust supports institutions in scientific cities and their regions are successful South East Asia, India and across Africa, including a because they facilitate knowledge exchange between network of 50 research centres through its African clustered institutions and organisations. They usually Institutions Initiative.132offer a higher concentration of diverse talent, capable The importance of strong institutional of fostering a more knowledge-intensive economy. infrastructure is recognised in countries with And the region or city itself provides an attractive developing scientific ambitions. Over the last 15 location in which to work, invest and research.129 years, Chile has created a programme of establishing and funding ‘Centres of Excellence’ and ‘Millennium 1.4.1 Centres of research and infrastructure Institutes’ in fields as diverse as mathematical Within these cities, individual research organisations modelling, oceanography, astronomy and systems and universities are also major hubs of scientific biology.133 In India, the government’s 11th Five Year activity. Harvard University has dominated university Plan (2007–2012) commits to the establishment of 30 league tables for the past decade as a beacon of new Central Universities, 20 Institutes of Information 126 nalysis by Elsevier based on data A National Endowment for Science, 130 arvard University and Harvard H the Royal Society Global Science from Scopus. Technology and the Arts (NESTA): Medical School. Report call for evidence, February London, UK. 2010.127 etherick A (2010). High hopes P 131 ource: University of Cambridge S for Brazilian Science. Nature 465, 129 lorida R (2008). Who’s your F website. See http://www.cam. 133 vidence provided by the Chilean E 674–675. city?: how the creative economy ac.uk/univ/nobelprize.html, Academy of Sciences in response is making where to live the most accessed 5 October 2010. to the Royal Society Global 128 they G et al. (2007). Innovation A important decision of your life. Basic Science Report call for evidence, and the city: how innovation has Books: New York, NY, USA. 132 vidence provided by the E February 2010. developed in five city-regions. Wellcome Trust in response to Knowledge, networks and nations: Global scientific collaboration in the 21st century 39
    • Technology (IIITs), eight Institutes of Technology Rabi, the Nobel prizewinning physicist,137 explained PART 1 (IITs), seven Institutes of Management (IIMs), and to UNESCO, the aim of this facility was to assist in five Institutes of Science Education and Research ‘the search for new knowledge in fields where the Scientific landscape (IISERs), each intended to foster future excellence in effort of any one country in the region is insufficient in 2011 research.134 for the task.’138 Today, through core funding from Developments in the Middle East are equally 20 European member states and contributions striking. Saudi Arabia has recently opened its new from other observers, CERN’s powerful particle King Abdullah University for Science and Technology accelerators and detectors are used by physicists (KAUST). With an endowment of around US$20 hailing from nearly 600 institutes and 85 countries.139 billion, KAUST is attracting faculty and postgraduate The competition to host such facilities is fierce, students from across the world. As a graduate-only as they can impact directly on the national science institution, it aims to rival the California Institute system and community which is hosting the facility. of Technology for prestige within 20 years.135 The dark skies above the Atacama desert in Chile The university has also successfully established made it an ideal location for the European Space partnerships with leading international universities, Observatory (ESO)’s ‘Very Large Telescope’. But as including Cambridge, Oxford and Imperial College, well as drawing European researchers to the country, and expects these links to yield many new the telescope has provided a boon to Chilean collaborative projects over the next decade. astronomy domestically. Chilean researchers are Some of these research institutes are home entitled to up to 10% of the total observing time on to large pieces of scientific equipment. KAUST ESO telescopes, which has made these researchers has become the latest university to host a very popular as potential collaborative partners.140 supercomputer. Some of the top 25 most powerful There are two bids to host the proposed Square computing facilities in the world are hosted at the Kilometre Array (SKA—an international effort to build Universities of Edinburgh, Texas, Moscow State and the world’s largest radio telescope), one a consortium Tennessee, and the Chinese Academy of Sciences.136 from Australia and New Zealand, and the other from These supercomputers can be a draw for researchers South Africa. In Australia, as part of the bid, the in particular fields such as climate modelling and International Centre for Radio Astronomy Research astrophysics, where this capacity is essential. (ICRAR) was opened in Perth in 2009,141 and the It is not only universities that are acting as Australian Square Kilometre Array Pathfinder (ASKAP) institutional hubs. The need for large, state-of-the-art is due for completion in 2013142 —both major equipment, and the cost of building and maintaining domestic infrastructure projects financed, in part, to these facilities has influenced research locations demonstrate their commitment to the SKA project. for many years. The European Organization for The South African bid has received support from the Nuclear Research (CERN) was established in 1954 African Union,143 and the MeerKAT telescope will also on the Franco–Swiss border at Geneva. As Isidor be commissioned in 2013.40 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 1.5 A new world order? decreasing their proportion of global spend and Changes in the scientific league tables have output on R&D, they are still growing in absolute concerned policy makers and observers in the terms. The USA may rank low in terms of its annual ‘leading’ scientific nations for some time. In ‘Rising growth rate for publications, but this is on the basis above the Gathering Storm’, the US National of an increase of 23,804 publications over the period Academies warned that ‘the world is changing 1996 to 2008, or an average increase of 1,831 papers rapidly, and our advantages are no longer unique’, year on year—more than the total 2008 production and called for a ‘renewed effort to bolster our of Algeria. China may ‘add an Israel’ each year, but competitiveness’.144 More recently, Congress this is in the context of a relatively small base, with a has asked the National Academies in the USA to rapidly growing scientific workforce.investigate the competitive position of the USA’s Science is happening in more places but it research universities in the global community.145 In remains concentrated. There continue to be March 2010, the Royal Society warned that ‘[the major hubs of scientific production—flagship UK’s] scientific leadership, which has taken decades universities and institutes clustered in leading cities. to build, can be quickly lost.’146 The scientific league What is changing is that the number of these tables are not just about prestige—they are a hubs is increasing and they are becoming more barometer of a country’s ability to compete on the interconnected. The scientific superpowers of the world stage. 20th century remain strong, and are being joined by There is no doubt that the leading scientific relative newcomers—China, India, Brazil, South Korea nations of the late 20th century face increasing and others—who are changing the dynamic of the competition from around the world, but to say that global science community. The emergence of these they are in decline would be premature. While the new hubs is creating opportunities for researchers to USA, Japan, Germany, the UK and others may be work with new people in new places.134 lanning Commission, P 138 oyal Society (1986). John Bertram R fund for astronomy: 10 years of and Institute of Medicine (2005). Government of India (2008). Adams. 24 May 1920–3 March productive scientific collaboration. Rising above the gather-ing Eleventh five year plan 2007–12: 1984. Biographical Memoirs of The European Space Observatory storm: energizing and employing volume I: inclusive growth. Oxford Fellows of the Royal Society 32, (ESO) Messenger 125, 56. America for a brighter economic University Press: New Delhi, India. 6. Royal Society: London, UK. Sir future. National Academies Press: John Adams FRS spent much 141 ockley P (2009). New labs boost P Washington, DC, USA.135 orbyn Z (2009). Oasis in the C of his career at CERN, and was Australian array bid. Physics World desert. Times Higher Education, instrumental in building the giant October 2009. 145 S House Committee on Science, U 5 November 2009. particle accelerators there. See Space and Technology (2009). 142 estmeier T & Johnston S (2010). W Four congressional leaders ask136 ource: Top 500 Supercomputer S also http://sl-div.web.cern.ch/sl-div/ The Australian square kilometre history/sirjohn.html, accessed 17 National Academies to assess Sites (2010). See http://www. array pathfinder. Proceedings of condition of research universities. top500.org/list/2010/06/100, January 2011. Science (ISKAF2010), 056. Press release, 22 June 2009. accessed 30 September 2010. 139 ource: CERN website. See http:// S US House of Representatives: 143 frican Union (2010). Assembly A137 sidor Rabi won the Nobel Prize in I public.web.cern.ch/public/en/ of the African Union, fifteenth Washington, DC, USA. Physics in 1944 ‘for his resonance About/Global-en.html, accessed ordinary session, 25–27 July 2010, 30 September 2010. 146 oyal Society (2010). The scientific R method for recording the magnetic Kampala, Uganda. Assembly/AU/ century: securing our future properties of atomic nuclei’. See 140 nterview with Dr Ken Rice, I Dec.303(XV) (p 1). African Union: prosperity. Royal Society: London, http://nobelprize.org/nobel_prizes/ Royal Observatory Edinburgh, Addis Ababa, Ethiopia. UK. physics/laureates/1944/, accessed August 2010. See also The 7 January 2011. 144 S National Academy of Sciences, U Messenger (2006). ESO–Chile National Academy of Engineering Knowledge, networks and nations: Global scientific collaboration in the 21st century 41
    • 1.6 The world beyond 2011 South Korea and Brazil all maintain targets for R&D The balance of funding for science across the PART 1 spending alongside other policies designed to boost globe is likely to change over the coming years as inputs into their national science system. China Scientific landscape new scientific hubs and leaders emerge. In most intends to increase its spending on R&D to 2.5% in 2011 cases, these emerging hubs are supported by of GDP by 2020 from its value of less than 2% at explicit government policy to support R&D: China, present,147 South Korea 5% by 2022,148 and Brazil 2.5% by 2022.149 Many longer established scientific Figure 1.5. R&D spending, selected countries 2000–2015; nations also maintain targets for R&D spending, the dotted lines indicate projections, based on announced targets.151 such as the USA’s new target of over 3% of GDP,150 and the EU’s similar Lisbon goal of 3% of member 600 countries’ GDP. It is difficult to predict the course of R&D spending over future years (for example, recent significant 500 reductions in the 2011 science budget in Brazil have raised concerns about progress towards its 2022 target). However, by extrapolating current trends to 400 forecast the way in which the global league table of spending might change if each country meets their US$bn (ppp) current spending targets for R&D, we can suggest 300 what the scientific world might look like within the next decade. Figure 1.5 shows the effects of countries meeting, 200 or being on course to meet, their respective R&D targets.151 It can be seen that while the USA should 100 maintain its current dominance of global R&D spending, China is set to leap above Japan in spending terms, and to chase the USA. Similarly, 0 South Korea is highly likely to overtake the UK in 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 coming years. Assuming these targets are met, Key United States China Japan Germany Korea, Republic of France United Kingdom Russia Brazil42 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Russia and Brazil will also catch up rapidly with Figure 1.6. Linear extrapolation of futurelonger established research spenders, from very low publication trends.155bases at the start of the decade. The dotted lines indicate projections These projections suggest that the global science 35% 35%system is breaking away from its earlier pattern, at least as measured by the supply of inputs in the 30%form of R&D spending. China and South Korea meet 30%their own ambitious R&D spending targets, driving huge new expenditures into their respective science 25% 25% Global Share Total Articles Global Share Total Articlessystems, while economies like Brazil and Russia also promise substantially greater resources for R&D 20%spending.152 20% In terms of publications, the landscape is set to change even more dramatically if current trends 15% 15%continue, as can be seen in Figure 1.6. China has already overtaken the UK as the second leading 10% 10%producer of research publications, but some time before 2020 it is expected to surpass the USA.153 Projections vary, but a simple linear interpretation of 5% 5%Elsevier’s publishing data suggests that this could take place as early as 2013.154 Of course, in practice, 0% 0%this will not follow a linear progression (we do not 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020expect that the USA will decrease their share of global Key147 he State Council of the People’s T the US National Academies of spending until 2007, forecasts from 154 ee also Shelton R & Foland P S Key Republic of China (2006). The Science, 27 April 2009. that date. Some discrepancies will (2009).The race for world leadership China national medium- and long-term occur between the forecast for of science and technology: status China 151 DP figures from the IMF World G United States program for science and technology R&D spending as a percentage of and forecasts. Proceedings of the United States Economic Outlook, forecasts United Kingdom development (2006–2020): an GDP, and the forecasts for GDP 12th International Conference on United Kingdom outline. The State Council of the from 2008 to 2009. R&D targets growth in the period 2007 to Scientometrics and Informetrics, Germany are generally expressed as a Germany People’s Republic of China: Beijing, 2009. OECD Science, Technology Rio de Janeiro, 14–17 July 2009 Korea, Republic of China. fraction of GDP to be achieved and Industry Outlook 2008. Table (pp 369–380). Shelton and Foland Korea, Republic of India by a set date. A simple linear 2.2 summarises R&D spending forecast, based on present trends, India148 inistry of Education, Science M growth from current GDP to target France targets. that China will near parity with France and Technology (2009). Major provided the path towards the the USA and EU in scientific Japan policies and plans for 2010 (p 20). target. Exceptions are: the USA, 152 ee also Gilman D (2010). The new S Japan publications in less than 10 years Brazil Ministry of Education, Science and which has not provided a date geography of global innovation. Brazil from this writing, when using a Technology: Seoul, South Korea. for the 3% target established by Goldman Sachs Global Markets more complex model using GERD President Obama to be met; we Institute: New York, NY, USA. share forecasts as further input 149 ugler H (2011). Brazil releases K have assumed 2014. Japan has set This suggests China will overtake science blueprint. SciDev.Net, 7 into the model. a target of 1% of GDP for public Japanese R&D expenditure by January 2011. Available online at expenditure only, to be achieved as early as 2012, compared to 155 nalysis by Elsevier based on A http://www.scidev.net/en/news/ by 2010. We have assumed that the more conservative forecast data from Scopus. This indicates a brazil-releases-science-blueprint. private expenditure continued to presented here. simple linear projection of the data. html, accessed 17 January 2011 grow with GDP over the remainder of the forecast period. OECD MSTI 153 dams J (2010). Get ready for A150 bama B (2009). Speech delivered O China’s domination of science. New by President Barack Obama at figures used for existing R&D Scientist 2742, 6 January 2010. Knowledge, networks and nations: Global scientific collaboration in the 21st century 43
    • publications to nothing in the next 50 years), but the How will, for example, France and Japan respond to PART 1 potential for China to match US output in terms of the impending competition? Japanese policy makers sheer numbers in the near to medium term is clear. are already considering how to reverse their decline, Scientific landscape China’s rise is undoubtedly the most striking, introducing a ‘Global 30’ initiative to improve the in 2011 but Brazil, India and South Korea are following fast international standing of their top universities,157 and behind, and are set (on the basis of this simple the French Government has committed substantial extrapolation of existing trends) to surpass the investment to research and higher education in order output of France and Japan by the start of the to strengthen its global position.158 next decade. In many respects this should not We have seen that there continue to be leading come as a great surprise. Brazil and India host two hubs for science—both those which are well of the world’s largest populations, and both have established and a number which have emerged committed to increasing their spending on science rapidly. Hubs will continue to operate, since much as their economies grow. South Korea is home to of science requires a critical mass of people and globally successful R&D-intensive industries such as equipment to produce at world class level. At the Samsung; it is noted as a technology leader, and has same time, more science is also being produced been called the ‘most wired’ nation on earth.156 away from these centres, on a smaller scale. How These are, of course, publication statistics taken these hubs interact with each other, and with the rest in isolation, and any number of external factors could of the scientific world, will help determine the shape impact on the projected course for increased output. of the scientific landscape in 2020. Map showing the route of H.M.S. Challenger during its oceanographic voyage,1873. From the Royal Society library and archive. 156 cCurry J (2010). South Korea M News Online, 3 January 2008. 157 ee http://www.jsps.go.jp/english/ S 158 oyal Society (2010). The scientific R counts the cost of being the most Available online at http://news.bbc. e-kokusaika/index.html, accessed century: securing our future wired nation on earth. The Age, co.uk/1/hi/programmes/crossing_ 30 September 2010. prosperity. Royal Society: London, 18 July 2010; Ash L (2008). South continents/7167890.stm. UK. Korea’s ‘e-sports’ stars. BBC 44 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • PART 2 International collaboration Figure demonstrating the methods used by Dr Tamar Makin, Royal Society Newton International Fellow, FMRIB Centre, University of Oxford, and colleagues to construct functional maps in the human brain, using Magnetic Resonance Imaging (MRI). This image was published in Orlov T, Makin T, Zohary E (2010). Topographic Representation of the Human Body in the Occipitotemporal Cortex. Neuron 68, pp 586-600, 4 November 2010 Authors: Tanya Orlov, Tamar R Makin, Ehud Zohary. ©Elsevier 2010. Knowledge, networks and nations: Global scientific collaboration in the 21st century 45
    • The second charter of the Royal Society in 1663 Figure 2.1. Increase in the proportion of the PART 2 granted the right to its members ‘to enjoy mutual world’s papers produced with more than intelligence and affairs with all and all manner of one international author, 1996–2008.161 International strangers and foreigners, without any disturbance collaboration whatsoever in matters or things philosophical, 40% mathematical or mechanical.’159 35% There was good reason to look beyond 30% 17th-century England for scientific inspiration. The 25% foundations for the European scientific renaissance 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 had been laid by scholars from all over the world. Algebra was introduced by a 9th-century Baghdad scholar, Musa al-Khwarizmi, following study of Indian number systems developed by Aryabhatta. advantage over other nations. Academic researchers China, in the same century, saw the first reference rarely have nationalist motivations for their work, in a Taoist text to ‘fire medicine’, or gunpowder. instead being driven by curiosity and competition. Each continent has its own rich history of scientific These individuals often move and collaborate to and innovative achievements, inspired not only by access funds, resources and data, and to ally with the curiosity, but necessity—Mesoamerican and Egyptian most talented researchers.162 agriculturalists would read the stars to know when to Scientific research funded by national cultivate their crops. governments is increasingly a joint venture and the As science has expanded in the late 20th and benefits are spread more and more beyond national into the 21st century, it has become increasingly borders. Governments have to consider how best interconnected. Today, less than 26% of papers to ensure that their scientists are ‘tapped into’ the are the product of one institution alone, and over a networked system of global science so as to derive third have multiple nationalities sharing authorship as much benefit from the networks as possible. (see Figure 2.1).160 Collaboration can enhance the impact of research and bring together a diversity of 2.1 Patterns of collaboration experience, funding and expertise to bear on a large In March 2010, Physics Letters B published the most range of research questions. multi-authored research paper to date, when 3,222 One of the fundamental tensions at the heart researchers from 32 different countries contributed to of today’s science is between the motives of a study of ‘charged-particle multiplicities’ measured national governments and the choices of individual with the ATLAS detector at the Large Hadron researchers. National governments often fund Collider in Geneva.163 Similarly, the Human Genome scientific research to boost national prestige, to Project,164 a government-sponsored consortium of stimulate economic growth and to gain competitive 20 institutions in six countries engaged thousands 46 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • of scientists to successfully sequence the human growth of international collaboration is common to genome in just 13 years.165 These large-scale all countries. However, while the USA, Europe and collaborations demonstrate the extent to which Japan are demonstrating a growing propensity to science can draw in a multitude of actors to address collaborate with global partners, China, Turkey and research problems.166 Few research collaborations Iran are proportionally decreasing their collaborations. occur on this scale or anything approaching it. Furthermore, ambitious scientific nations such as Most collaborations are much smaller scale affairs, Saudi Arabia and South Africa are increasing their involving just a few authors. relative collaboration. These differences are not surprising. They reflect 2.1.1 Collaboration in a national context the strength of research, the availability of resources, As a proportion of national output, the rapidly and the scale of the research community in each growing scientific nations are collaborating less than country. In China, the overall numbers of international most of their ‘developed’ counterparts. China, Turkey, collaborations are growing significantly, but this is Taiwan, India, South Korea and Brazil produce over simply not keeping pace with the even more dramatic 70% of their publications from national researchers rise in its overall publication productivity. Established alone. By contrast, small nations and less developed scientific nations such as the leading European countries are collaborating at a much higher rate. nations are increasing their proportional collaboration, Over half of the research published from Belgium, the by contrast; this is, in part, a direct response to the Netherlands and Denmark in 2004-8 was the product increased and improved performance of the newly of multinational authorship. In parts of Africa and emerging powers. The growth in overall collaboration South-East Asia this is closer to 100%. globally indicates that the scientific landscape is The research output of the established scientific increasingly interlinked. The level of collaboration nations is also increasingly collaborative. Figure 2.2 may differ proportionately between countries, but it (on page 48) shows how collaboration has grown in is clear that it is intrinsic to science on both a national absolute terms in a selection of countries, and also and global level.how this relates to their total publication output. The 159 oyal Society (1663). Second R data; the data for these years interactions at √s = 900 GeV 165 he institutions were based in T charter. See http://royalsociety.org/ shown have been interpolated measured with the ATLAS detector Canada, China, France, Germany, about-us/history/royal-charters/, accordingly. at the LHC. Physics Letters B 688, India, Japan, New Zealand, the UK accessed 30 September 2010. 21–42. and the USA. 162 agner C (2008). The new invisible W160 ata from Elsevier’s Scopus. D college: science for development. 164 ee http://www.ornl.gov/sci/ S 166 agner C et al. (2002). Linking W Brookings Institution: Washington, techresources/Human_Genome/ effectively: learning lessons from161 nalysis by Elsevier based on data A DC, USA. project/about.shtml, accessed 30 successful collaboration in science from Scopus. Data in some subject September 2010. and technology. Science and fields in 2000, 2001 and 2002 163 ad G et al. (2010). Charged- A Technology Policy Institute, RAND lacked complete author affiliation particle multiplicities in pp Corporation: Arlington, VA, USA. Knowledge, networks and nations: Global scientific collaboration in the 21st century 47
    • Figure 2.2. Growth in international collaboration for selected countries and PART 2 the proportion of national output that this represents 1996–2008.167 International collaboration 100000 90000 80000 Number of Collaborative Papers Published per year 70000 60000 50000Key1996 figures are shown with a 40000dash, and 2008 figures with anarrow, indicating progressionover time. 30000 Brazil Canada China France 20000 Germany India Iran Italy 10000 Japan South Korea Russia Singapore South Africa 0 Turkey 10% 15% 20% 25% 30% 35% 40% 45% 50% United Kingdom United States Proportion of national publication output produced in collaboration with other countries48 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 2.1.2 Who is collaborating with whom? countries represents between 5% and 50% of the Figure 2.3 (on pages 50-51) shows the spread of overall publication output of one of the partners. A collaboration globally, and its intensification over line is shown running clockwise from country A to time, between 1996 and 2008. The dominant role country B; its thickness is relative to the proportion of the USA is striking. Only 29% of research output of nation A’s output that the collaboration represents. from the USA is internationally collaborative, yet So, we see lines running clockwise from many international collaborations involving the USA countries into the USA, which is a significant partner account for 17% of all internationally collaborative for many countries (but no lines that run clockwise papers. from the USA, for which collaboration with no one Other global and regional hubs for collaboration country represents more than 5% of its total output). also stand out. The central role of traditional scientific When collaboration constitutes over 5% for both nations is clear, but there is substantial growth partners, they are joined by two lines (one clockwise elsewhere. Interesting trends can be identified, from A to B, representing the relative importance of including the linguistic and historical ties which bind the collaboration for A; the other clockwise from B to countries together. A striking example is the enduring A, representing the importance for B).168 Apparatus used to illustrate the law of diffusion. Fig 12, ‘A Treatise influence that France has as a major collaborative The two maps, covering the periods 1996 to 2000 on Chemistry’, Vol 1, H.E Roscoe & C. Schorlemmer. From the Royal partner with its former colonies and the rest of the and 2004 to 2008 show the spread of collaboration Society library and archive.French-speaking world. globally, and its intensification over time. Also evident These network maps represent patterns of are particular hubs for collaboration, both global collaborations between countries, based on numbers and regional. The central role of traditional scientific of jointly authored research papers. Connections nations is clear, but there is also much growth are shown when the collaboration between two elsewhere.167 nalysis by Elsevier based on data A collaborative relationship tend to between countries in the total output is dominated by one from Scopus. group together, while those that 2004–2008 period, and at least 15 other country to the extent that it do not are placed further apart. in the period 1996–2000. The final represents over half, this would 168 isualisation is by the Force V The map is created by taking into visualisation then eliminates the suggest that the domestic science Atlas algorithm, which treats the account all collaborations between lines of any relationships which base is particularly weak). Analysis network of lines as a system of countries over a threshold of constitute less than 5% or more by Elsevier based on data from interconnected springs with the 0.0002% of global collaborations— than 50% of an individual nation’s Scopus. result that countries sharing a so at least 25 collaborations total output (if any country’s Knowledge, networks and nations: Global scientific collaboration in the 21st century 49
    • Figure 2.3. Global collaboration see footnote 168 PART 2 Fig a. 1996-2000 International collaboration Switzerland Germany Italy Netherlands Belgium United France Kingdom United States Canada Japan50 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Fig b. 2004-2008 Italy Switzerland Germany Belgium France Netherlands United Kingdom United States Canada Japan Australia Knowledge, networks and nations: Global scientific collaboration in the 21st century 51
    • Figure 2.4. Collaboration between African countries169 PART 2 Fig a. 1996-2000 Tanzania International collaboration Uganda Malawi Kenya Nigeria Zambia Ghana Zimbabwe Ethiopia Benin Togo South Africa Nambia Swaziland Mozambique Côte dIvoire Cameroon Botswana Gabon Madagascar Senegal Burkina Faso Niger Mali Algeria Morocco Tunisia52 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Fig b. 2004-2008 Zambia Malawi Zimbabwe Tanzania Mozambique Nambia South Africa Uganda Botswana Lesotho Penicillin graph, c.1940. From the Swaziland Royal Society library and archive. Ethiopia Nigeria Kenya Gabon Sudan Ghana Cameroon Congo Libya Egypt Madagascar Benin Togo Senegal Burkina Faso MaliCôte dIvoire Niger Algeria Morocco Mauritania Tunisia169 he methodology on producing T from the region—at least 13 these maps is the same as the collaborative papers between two global maps (see footnote [165]). countries in 1996–2000, and 25 The threshold for collaborations papers in 2004–2008. Analysis to be included is a minimum of by Elsevier based on data from 0.02% of collaborative output Scopus. Knowledge, networks and nations: Global scientific collaboration in the 21st century 53
    • 2.2 Regional collaboration over this period; patterns of collaboration do not PART 2 Collaboration is not driven solely by geographical always necessarily follow the money. proximity, although there are notable examples of Intra-regional collaboration is not, however, the International regions which form important units for researchers dominant form of international co-operation. European collaboration coming together to share resources and expertise. collaborations have increased since the 1990s (in They may be addressing issues borne out of similar part as a result of EU funding initiatives), but the USA environmental conditions, sharing hardware and continues to be a major partner for most European physical resources or simply speaking the same countries. In South-east Asia, regional networks have language. These patterns have been underpinned by strengthened over this decade but, as the Vietnam political support; the European Union (EU), African example shows (Figure 2.5), the connections with Union (AU), and the Association of South-east Asian partners beyond the region are more plentiful. Nations (ASEAN) each have research strategies, and can help to co-ordinate scientific efforts within their 2.2.1 South–South collaboration: regions and broader spheres of influence. a growing trend Emerging regional ties reflect the growing Beyond regional collaboration, there is also increasing influence of certain nations as they develop on the ‘south–south’ collaboration—links between international science scene. Before 2000 South Africa developing countries to build capacity and share was an influential centre for collaboration between knowledge.172 India, Brazil and South Africa recently African nations, but was one of many, with Senegal, joined forces to promote South–South co-operation Cameroon, Nigeria, Uganda and Morocco, also key through the ‘IBSA initiative’. Science and research focal points in intra-African research (see Figure are key components of this agreement and meetings 2.4). By 2008 the network had grown substantially, have been held on issues such as nanotechnology, with more countries producing many more research oceanography and Antarctic research.173 With support papers, and South Africa had become more clearly from UNESCO and the Malaysian Government, the the linchpin of the continent’s collaborative efforts. International Science, Technology and Innovation Egypt and Sudan have emerged as bridges between Centre for South–South Co-operation (ISTIC) was north and Sub-Saharan Africa, neither having been established in 2008. Based in Kuala Lumpur, ISTIC drawn into the network in the earlier period. aims to be an international platform for countries The strengthening of these countries in the of the G77 and the OIC to collaborate on science, network coincided with increased overall domestic technology and innovation, and is already facilitating production (South Africa and Egypt both growing discussions in areas such as water, energy, health and by 43% and Sudan by 89% between the periods agriculture.174 1999 to 2003 and 2004 to 2008), and, in the cases of In some instances, multi-party North–South South Africa and Egypt, substantial intensification of arrangements (where a developed country works with investment by government and business. In Egypt, developing countries, providing funding or facilitation) overall investment in science jumped from US$403 have provided the basis for successful collaborations. million in 1996 to $911 million in 2007, and in South One such example is the Brazil–UK–Southern Africa Africa investment more than doubled over the same biofuels taskforce, which the Stern Review on the period.170 In Sudan, curiously, spending has declined economics of climate change suggested would build 54 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • capacity to address agricultural and energy security Figure 2.5. Vietnamese collaborativein Southern Africa, and facilitate technology transfer papers as a proportion of total outputbetween the partners.175 (2004–2008).171 Individual countries are increasingly taking United Statesa leading role in South–South partnerships. ‘Developing countries’ or the ‘global South’ are very heterogeneous groups, comprising countries of vastly differing economic, natural resource and Japanhuman capital wealth. Within the group, there France Malaysiaare different hierarchies and an emerging class of leaders—China, India, Brazil and South Africa among them. The China–Africa science and technology Philippines Lao Peoples Democratic Republicpartnership programme (CASTEP) was launched in 2009, with the Chinese partners providing funding for African scientists to study in China, and for research equipment on their return home.176 Germany Myanmar Viet Nam Cambodia Collaboration between developing countries is, United Kingdomhowever, still minimal. A recent study revealed that, Singaporebetween 2004 and 2008, while 77% of African biomedical research papers are produced with Indonesiainternational partners, just 5% were the result of Korea, Republic of Thailandcollaborations with another African country.177 Brunei DarussalamFigure 2.7 shows that, while links between the BRIC countries (Brazil, Russia, India and China) have grown Chinain recent years, they pale in comparison to the volume Australiaof collaboration between these individual countries Netherlandsand their partners in the G7 (each leading economies, and leading scientific nations). However, these partnerships are a trend to watch, as they may prove The inner circle shows the collaborations with other South-east Asian neighbours,to be a significant factor in the dynamics of global and the outer with the countries where the proportion of collaboration is highest.science in the future. The thickness of the line indicates the volume of output.170 ata from the UNESCO Institute D in development. Task Force 174 ee http://istic-unesco.org/ S 176 ee http://www.cistc. S for Statistics Data Centre, Montréal, on Science, Technology, and programs.htm, accessed 30 gov.cn/englishversion/ Canada. Figures in current US$ Innovation. United Nations September 2010. News_Events/News_Events4. and at PPP. Development Programme: asp?column=114&id=72159, Geneva, Switzerland. 175 tern N (2006). The economics of S accessed 13 October 2010.171 nalysis by Elsevier based on data A climate change: the Stern review. from Scopus. 173 ee http://www.ibsa-trilateral. S Cambridge University Press: 177 waka S et al. (2010). Developing N org/ and http://www.forumibsa. Cambridge, UK. ANDI: a novel approach to health172 N Millennium Project (2005). U org/interna.php?ln=en&id=45, product R&D in Africa. PLoS Innovation: applying knowledge accessed 30 September 2010. Medicine 7, 6, June 2010. Knowledge, networks and nations: Global scientific collaboration in the 21st century 55
    • Figure 2.6a. Collaboration between Brazil, Figure 2.6b. Collaboration between Brazil, PART 2 Russia, India and China 1996–2000. Russia, India and China 2004–2008.178 India India International collaboration China China Brazil Brazil Russian Federation Russian Federation Figure 2.6c. Collaboration between Brazil, Figure 2.6d. Collaboration between Brazil, Russia, India and China and the G7 Russia, India and China and the G7 1996–2000. 2004–2008.179 Russian Federation Brazil Russian Federation Brazil France Germany France Germany Italy India Italy United States United States Canada United Kingdom United Kingdom Canada Japan India Japan China China56 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 2.3 Why collaborate? all partners involved. Scientists can also use personal There are various motivating factors that underpin ties to shape research agendas, or to gain access global collaboration.180 It is important to understand to other knowledge networks. Such advantages are why researchers collaborate, what drives them, likely to be particularly pronounced for scientists from what enables that collaboration, and what the less developed economies, where access to high-benefits of this joint working might be. By better quality equipment and knowledge networks may be understanding the dynamics of collaboration, we can more limited.182better understand the dynamics of emerging global Collaboration enables scientists to draw on wider scientific networks and systems. stocks of knowledge or to apply learning in new geographical settings. For example, experienced 2.3.1 Seeking excellence botanists at the Royal Botanic Gardens, Kew, in the There are a number of reasons why collaboration UK, have joined up with colleagues in the University is important in science. By working with partners, of Addis Ababa to catalogue Ethiopia’s fauna and scientists can enhance the quality of their work, flora—sharing expertise and collaborating on this increase the effectiveness of their research, and task. This enables the UK scientists to apply their overcome logistical obstacles by sharing costs, tasks cataloguing expertise which is no longer required and expertise. to the same extent in the UK, as that task has been Scientists seek to work with the most completed.outstanding scientists in their field. According to Collaboration brings with it the obviousone scientist at Imperial College, ‘if you are the best, benefit of scale. The International Space Station geography doesn’t exist.’181 Most scientists look for and the Large Hadron Collider are instances where partnerships with researchers in their field, or indeed the scale or scope of research is too great for a single other fields, in order to access complementary skills nation, even if that nation is scientifically advanced.183and knowledge, with a view to stimulating new ideas. Sharing the burden of research activity,These collaborations between individual scientists are breaking down complex tasks into manageablemutually beneficial, and allow the partners to develop pieces, can be invaluable. The Human Genome their expertise with resources that they would have Project is an obvious example. Another is the recently otherwise lacked. Such partnerships can broaden the released First Census of Marine Life, which brought dissemination (and subsequent impact) of the work of together 2,700 researchers from 670 laboratories 178 he methodology on producing T of collaborations was applied. Office of Science and Technology 182 onway G & Waage J (2010). C these maps is the same as the Analysis by Elsevier based on data Policy, offers a framework for Science and Innovation for global maps (see footnote [165]). from Scopus. considering why scientists development. UK Collaborative No threshold for the number collaborate, along with four case on Development Sciences: of collaborations was applied. 180 ee Wagner C et al. (2002). S studies, each of which represents London, UK. Analysis by Elsevier based on data Linking effectively: learning lessons one of four types of collaboration. from Scopus. from successful collaboration in 183 eydesdorff L & Wagner C (2008). L science and technology. Science 181 ay N & Stilgoe J (2009). D International collaboration in science179 he methodology on producing T and Technology Policy Institute, Knowledge nomads: why science and the formation of a core group. these maps is the same as the RAND Corporation: Arlington, VA, needs migration. Demos: London, Journal of Informetrics 2, 4, global maps (see footnote [165]). USA. This documented briefing, UK. 317–325. No threshold for the number prepared for the White House Knowledge, networks and nations: Global scientific collaboration in the 21st century 57
    • in 80 countries to assess and explain the diversity, PART 2 distribution and abundance of marine life.184 Box 2.1. The language of research? Remote locations such as the Antarctic also tend to Although English is the ‘lingua franca’ of International necessitate international collaboration, as do cross- research, there still remain significant language collaboration country research where large datasets across regions barriers to global research. The Brazilian are required.185 Academy of Sciences has difficulty in fully There is also the push of external factors, evaluating science in Latin America, because a not related to the science itself. In 2002 and significant amount of research output from the 2003, Severe Acute Respiratory Syndrome (SARS), region is produced in Spanish and Portuguese presented a very real and immediate epidemic threat. (according to Latindex, there are 13,446 Spanish Over 8,000 people were infected, with over 770 language journals and 5,297 Portuguese deaths.186 The World Health Organisation (WHO) was language journals produced in the 30 countries charged with unravelling the fundamental questions of Latin America),189 and not captured in global behind the cause, transmission, treatment and metrics. A similar issue arises with Chinese containment of this dangerous disease. Fortunately, language journals, and indeed most non- the existing infrastructure proved up to the task. English publications. This also has an impact on In 1996, the WHO had set up FluNet, a global tool collaboration; a representative of the Brazilian for influenza virological surveillance, which brings Academy explained that collaboration was together data from a number of national influenza ‘blurred by the fact that the language spoken laboratories in order to track epidemiological data [in Brazil] is relatively difficult’.190 on a global scale.187 FluNet identified the new Language barriers are not insurmountable. coronavirus agent of SARS, rather than influenza, as In Brazil, FAPESP is trying to overcome them the cause of an outbreak of severe febrile respiratory by offering two-year fellowships to overseas illness in Hong Kong in 2003.188 Within a very short scientists which include Portuguese lessons.191 period, clinicians, epidemiologists, microbiologists There are initiatives in place to assist non- and many others had joined the international effort. English speakers to improve their language skills This was a global public health emergency, for which so as to be able to publish in English language large scale global commitment and collaborative journals such as SciEdit and AuthorAID.192 research were essential, to ensure a rapid and English looks set to continue to be the dominant effective response. The global challenges of the language for research, and the global research 21st century look to be drawing researchers community are, by and large, prepared to adapt together to combat broad issues, which require to this. a collaborative approach.58 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 2.3.2 The benefits of joint authorship Figure 2.7. Citations per article versusIn citation terms, research collaboration is beneficial. number of collaborating countries.195For each international author on an article, there is a corresponding increase in the impact of that paper 14 Key(see Figure 2.7), up to a tipping point of around 10 12 2000authors, after which the relative impact of extra 2008 Citations per article 10country authors is less clear (in part, due to the smaller numbers of articles which are produced with 8this quantity of countries involved).193 6 The increase in citation rate has attracted 4attention. For example the UK Government annually commissions a report on the comparative 2performance of the UK research base, citing the 0strong impact gained from collaborations particularly 1 2 3 4 5with Switzerland, Denmark and Belgium, as well as Number of collaborating countries (where 1=domestic)Brazil, the USA, France and Germany.194 Citation impact is not a direct measure of quality. A multi-authored piece may provide a ‘network Certain country ‘pairings’ deliver significant benefit effect’ in that it is seen by more people (perhaps to the partners involved as Figure 2.8 demonstrates. as a result of having multiple international authors) Using Elsevier data, this table reveals country and therefore becomes more cited. This does not collaborations which have resulted in a three-fold necessarily mean it is of higher quality than one increase on the publication’s impact compared to a which is cited less. However, citation is a commonly standard domestic publication. This highlights some used indicator for quality and how well ‘used’ a piece interesting examples of high-impact collaboration. of research may be. Mexico, for example, achieved its strongest impact 184 irst Census of Marine Life F online at http://www.who.int/csr/ Portugal) offers a comprehensive 191 he Economist (2011). Go south, T 2010. Highlights of a Decade of sars/country/table2004_04_21/ bibliographic account of Ibero- young scientist. The Economist, 6 Discovery. October 2010. en/index.html, accessed 29 American scholarly journals January 2011. September 2010. worldwide. See http://www.185 ational Research Council (2008). N latindex.unam.mx/, accessed 192 ee http://www.sci-edit.com S International collaborations in 187 ee http://www.who.int/ S 26 January 2011. See also Cetto and http://www.authoraid.info, behavioral and social sciences csr/disease/influenza/ A & Alonso-Gamboa J (2010). accessed 29 September 2010. research: report of a workshop. influenzanetwork/flunet//en/, Ibero-American Systems for the Board on International Scientific accessed 13 December 2010. 193 ata from Elsevier’s Scopus. D Dissemination of Scholarly Journals: Organizations, National Research A Contribution to Public Knowledge 194 vidence Ltd (2009). International E Council. National Academies 188 elson K & Williams C (2007). N Infectious disease epidemiology: Worldwide. Scholarly and comparative performance of the Press: Washington, DC, USA. Research Communication 1, 1. UK research base. Department for theory and practice (2nd edn, 186 orld Health Organisation W p 595). Jones and Bartlett Business, Innovation and Skills: 190 vidence provided by the Brazilian E London, UK. (2003). Summary of probable Publishers: Sudbury, MA, USA. Academy of Sciences in response SARS cases with onset of illness to the Royal Society Global 195 nalysis by Elsevier based on data A from 1 November 2002 to 31 July 189 atindex (the regional co-operative L online information system for Science Report call for evidence, from Scopus. 2003 (based on data as of the 31 February 2010. December 2003). World Health scholarly journals from Latin Organisation website. Available America, the Caribbean, Spain and Knowledge, networks and nations: Global scientific collaboration in the 21st century 59
    • Figure 2.8. Those countries (country y) in 2008 which achieved a three-fold increase PART 2 on their standard domestic publication impact, through collaboration with ‘country x’. Minimum of 1,000 papers published by each country in 2008.196 International collaboration By collaborating with… (country x) Impact United Kingdom Czech Republic accrued by… United States South Korea Netherlands (country y) Switzerland Germany Australia Belgium Sweden Norway Canada Finland Austria France Russia Japan China Spain Israel India Italy Argentina 3.2 Australia 3.2 Brazil 4.5 3.1 3.7 3.9 China 3.8 3.6 3.5 4 5 3.9 4.1 4.8 3.5 4.2 3.1 3.2 Czech Republic 3.9 3.1 3.2 India 3.8 3.7 Japan 3.3 3.1 South Korea 3.8 3 Mexico 3.1 3.4 Poland 3.2 3.8 3.6 3.3 4.1 3.3 3 3.9 3.5 3.1 Russia 4.7 3.4 3.4 3.4 3.2 3.1 4.8 3.7 3.6 4.5 4.4 3.6 4.2 4 4.2 4 3.6 Slovakia 3 Spain 3.5 3.2 Taiwan 3.2 factors when collaborating with Germany and USA, UK, France and Germany have an impact on Italy. When working with Russia, Chinese authors citation rates is perhaps not surprising, particularly quadrupled the standard impact of their papers; given the size of the scientific communities and Russian authors tripled the impact of their output the citation rates generated within these countries. when working with China. Russian publications However, not unexpectedly in light of Figure 2.8, also ‘gain’ significantly from being produced in these countries each benefit from working together, collaboration with each of the country’s G8 partners. and in turn with other partners. It is rare to find a That the leading collaboration ‘hubs’ such as the collaborating country which is solely a ‘donor’ in 60 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • terms of impact—scientists and funders are likely the latest developments in their field.197 to be motivated more by reciprocity than by Access to funding is an important factor. Many altruism alone. governments’ science budgets barely cover salaries Other collaboration pairs bring a noticeable and institutional running costs, let alone providing increase in citation impact. Australia’s collaborations research grants. For example, the Kenya Medical with Spain and China benefit from the strength of Research Institute (KEMRI) depended on international research in those countries in medicine (mostly partners for two-thirds of its income in 2006–2007.198 clinical drug studies) and genetics/genomics The Ifakara Health Institute in Tanzania expects to respectively. Others, such as those between China receive 3.72 billion shillings (US$2.53 million) from and Russia or Spain and Japan, are underpinned by international development partners in 2010–2011, high-quality physics and astronomy in the partner compared with just over 150 million shillings from countries. the country’s government.199 While there are some arguments that international funding deters domestic 2.3.3 Capacity building through collaboration governments from making their own investments,200 For scientists in developing countries, the need international collaboration remains a highly effective to collaborate can be acute. Collaborating with tool through which to complement (rather than other nations enables access to facilities, funding, replace) the limited budgets available in poorer equipment and networks that are often limited countries.in their own countries. The economic realities of It is clear that science and research, and many developing countries mean that equipment is particularly collaboration in science, build capacity in often badly maintained or out of date. It is therefore all areas of the world. Strong domestic support for common for a scientist from a developing country science and a flexibility which allows that science to perform fieldwork locally, but then carry out data base to absorb experience and expertise from analysis in labs overseas, due to the lack of up-to- outside provide the basis on which to build the date facilities. In return, partners from overseas often capacity to become both an intelligent customer get access to unique geographical resources (like and a responsible contributor on the global stage. the fossils of the Afar region, or Malaysia’s rainforest This holds true regardless of a nation’s stage of biodiversity) as well as being able to draw on local development. This is particularly clear, as we shall knowledge and understanding. Similarly, due to the see in Part 3, when nations and individuals are drawn disparity in information access, many scientists must together to address global problems which have both work with international partners in order to access local and global consequences.196 ata from Elsevier’s Scopus. D building capacity in developing 198 ordling L (2010). African nations N 200 AC (2004). InterAcademy Council I countries?; C Wagner, E Horlings vow to support science. Nature realizing the promise and potential197 or a detailed discussion of F & A Dutta (2002). Can science and 465, 994–995. of African agriculture. InterAcademy capacity building and the role of technology capacity be measured? Council. Amsterdam, The developing countries in science, Rand Corporation: Santa Monica, 199 ordling L (2010). African nations N Netherlands. see Wagner C et al. (2001). Science CA, USA. vow to support science. Nature and technology collaboration: 465, 994–995. Knowledge, networks and nations: Global scientific collaboration in the 21st century 61
    • 2.3.4 The geopolitical potential of scientific papers, an increase of 472%.204 Following the Iranian PART 2 collaboration elections in June 2009, Iranian scientists called When considering the motivations and benefits of out to the international research community to ‘do International international collaboration, the political and diplomatic everything possible to promote continued contact collaboration dimensions also warrant reflection.201 As Part 3 with colleagues in Iran, if only to promote détente will explore in greater detail, many of the major between Iran and the West when relations are global challenges of the 21st century have scientific contentious.205 dimensions. The tools, techniques and tactics of Such pleas reflect the potential of international foreign policy need to adapt to a world of increasing collaboration to help repair fractious relations, or scientific and technical complexity. Over the past 18 at least to maintain channels of communication. A months, the Royal Society has continued to grapple distinct benefit of scientific collaboration is that it can with the potential of science diplomacy.202 act as a bridge to communities where political ties Throughout the Cold War, scientific organisations are weaker. were an important conduit for informal discussion One example of this bridge-building is the of nuclear issues between the USA and the Soviet Synchrotron-light for Experimental Science and Union. The Royal Society itself became an important Applications in the Middle East (SESAME) under facilitator of scientific collaboration, and was party construction in Jordan. Modelled on CERN in Europe, to numerous agreements with many of the newly SESAME is a partnership between Bahrain, Cyprus, established academies within the Soviet Union in Egypt, Israel, Iran, Jordan, Pakistan, the Palestinian the late 1950s and 1960s. Such agreements proved Authority and Turkey. Synchrotrons are large and extremely important for eastern European academies relatively expensive facilities, so pooling regional and scientists as they provided the legal framework resources is the obvious way to construct SESAME, to enable collaboration to take place, despite which has the potential not only to build scientific sensitivities and often paranoia at government capacity in the region but also to foster collaboration. levels.203 Today, science continues to offer alternative 2.4 Underlying networks channels of engagement with countries where It has been suggested that today’s scientific world is relations may be strained at political levels. In characterised by self-organising networks, bringing President Obama’s landmark speech to the Islamic together scientists who collaborate not because world at Cairo’s Al-Azhar University in June 2009, he they are told to but because they want to.206 These identified science as a tool with which to strengthen networks, motivated by the bottom-up exchange relationships, and he stressed the importance of of scientific insight, knowledge and skills, span the educational exchanges, scholarships and investments globe, and are changing the focus of science from in research collaboration. the national to the global level. Policy makers have Despite political tensions between the USA and not always recognised the importance of these Iran, scientific collaboration has proven surprisingly linkages to quality and to the direction of science, resilient. Between the periods 1996 to 2002 to 2004 tending to emphasise research investment to the to 2008, co-authored papers between these two detriment of developing policies that support and countries increased from just 388 papers to 1,831 foster such networks. Knowledge is being developed 62 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Different species of Hexastylus, magnified up to 400x, from Report on the scientific results of the voyage of H.M.S. Challenger, by Sir C.Wyville Thomson, 1880. From the Royal Society library and archive.in more places around the world; redundant Humboldt Research Fellowship for postdoctoral capabilities may not always be the most efficient use researchers, which is awarded to approximately of resources. 600 researchers annually to study for between six The connections of people, through formal and and 24 months in Germany,207 and Marie Curie informal channels, diaspora communities, virtual Fellowships which provide European placements for global networks and professional communities of pre- and post-doctoral researchers in any scientific shared interests are important drivers of international discipline that contributes to the objectives of the collaboration. Yet little is understood about the European Commission’s Framework Programme.208 movements and networks of scientists and what they Over 15,000 researchers have received Marie mean for global science. Curie Fellowships since they were introduced in 1990,209 which equates to approximately 750 per 2.4.1 Tapping into the global networks of year. Another 750 fellowships and scholarships are science awarded to individuals of member countries through Within the global networks of science, many good the Commonwealth Scholarship Commission in the scientists move about physically and virtually, UK. The UK Academies run Newton International looking for new ideas, complementarities, and new Fellowships which bring early-career researchers connections (as discussed in Section 1.1.4) which across the sciences, engineering, humanities and will enhance the efficiency of their work. Where social sciences to the UK each year, building links they travel to or where their networks are strongest between the UK and the future global leaders of is often determined by where they can find the best science.minds, the best equipment and the best science. These schemes are important in facilitating Scientists can be ruthlessly meritocratic—wanting to collaboration, particularly at the earlier stages of work with the best people and facilities in their fields, researchers’ careers, but more could be done. Only wherever they may be. a tiny fraction of the global budget for scientific Scientists should be enabled to build these research is directed towards international mobility. global networks. While there are some prestigious The challenge for policy makers is how to ensure that schemes and scholarships to encourage scientific the fluid networks of science are able to flourish and exchange, the number of awards is small and grow, and then how to tap the knowledge emerging competition is fierce. Examples include the from them.201 or a discussion of the relationship F 203 ox S (2010). The Royal Society C 206 agner C (2008). The new invisible W 209 ource: Euroalert.net (2010). S between geopolitical factors in cold war Europe. Notes and college: science for development. Record number of applications and scientific activity, based Records of the Royal Society. Brookings Institution: Washington, for Marie Curie research grants. on publication data from a 30 Published online 14 July 2010. DC, USA. Euroalert.net, 13 September 2010. year period (1980 to 2009), see Available online at http://euroalert. Archambault E (2010). 30 years 204 ata from Elsevier’s Scopus. D 207 ource: Alexander von Humboldt S net/en/news.aspx?idn=10490. in science: secular movements Foundation website. See http:// Euroalert.net is a website providing 205 ature (2009). We are all Iranians. N www.humboldt-foundation.de/ in knowledge creation. Science- Nature 460, 11–12; An appeal to news and information from the EU. Metrix: Montréal, Canada. web/humboldt-fellowship-postdoc. President Ahmadinejad. Nature html, accessed 30 September 2010.202 oyal Society (2010). New frontiers R 457, 511; Butler D (2007) Academic in science diplomacy: navigating the freedom under threat in Iran. Nature 208 ee http://cordis.europa.eu/ S changing balance of power. Royal 447, 890–891. improving/fellowships/home.htm, Society: London, UK. accessed 11 January 2011. Knowledge, networks and nations: Global scientific collaboration in the 21st century 63
    • 2.5 Enabling collaboration to promote PART 2 Box 2.2. Access denied? excellent science After the 9/11 attacks, US scientists complained As the cumulative number of researchers grows, International that the country became a ‘closed shop’ to so too does the number of potential collaborators. collaboration the international research community, with The well documented rise of China, India and Brazil, students being deterred from travelling to the the new found ambition in science in the Middle USA to study.210 The situation in the USA has East and the Islamic world214 and in other places are now improved dramatically, but researchers all providing new opportunities for the production still experience difficulties. In 2007 Microsoft of science, for international collaboration and for opened a software centre in Vancouver, citing efficient sharing of resources. explicitly the more ‘welcoming’ immigration Whether underpinned by historical connections, regulations in Canada in comparison to the by expanding networks, by global problems or other States.211 motives, it is clear that the factors which enable In the UK, universities and businesses have international collaboration have also undergone joined forces to campaign against immigration significant changes in recent decades. caps imposed in 2010 which have meant that non-EU overseas scientists are finding it 2.5.1 Technology increasingly difficult to visit the UK.212 The UK’s Research collaboration is usually a very personal Nobel laureates agree. In October 2010, eight activity, with scientists meeting face to face and of the 11 laureates based in the UK signed a working together on areas of mutual curiosity. letter warning of the impact of immigration However, one of the most obvious enablers has caps on British science. ‘The government been rapid technological advances. Whether through has seen fit to introduce an exception to the email, the internet, data-sharing tools or mobile rules for Premiership footballers,’ they said. ‘It phones, technology has made it easier to collaborate is a sad reflection of our priorities as a nation with colleagues beyond one’s own country. As if we cannot afford the same recognition for one Fellow of the Royal Society explained, ‘I can elite scientists and engineers.’213 While some co-author papers with others in widely dispersed concessions have been made, there remain parts of the world at the push of a button.’215 concerns about the impact of the proposed The internet is a big factor. It has changed almost changes on the UK’s ability to compete in the every aspect of modern life, contributing hugely global market for scientific talent. to globalisation. Quantifying its specific effect on science is almost impossible, but a wealth of anecdotal evidence supports its role in making collaboration easier. Indeed, the development of the World Wide Web technology at CERN was motivated by the need to facilitate international collaboration at Observations on duckweed. Antoni its Large Electron-Positron Collider (LEP).216 Van Leeuwenhoek to The Royal Society, 25 December 1702. From the Royal Society library and archive.64 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • The countries showing the fastest rate of growth side of the globe. The rise of cloud computing is in publication output and those rising up the global also presenting some exciting opportunities for league tables as collaborative hubs show strong collaboration: different people, using different trends of growth in mobile phone usage and in devices, can access the same documents and internet penetration. Internet growth in Iran, for resources more easily and cheaply.218example, has grown 13,000% since the turn of the While allowing for instant communication, these century (albeit from a starting point of only 250,000 developments have also provided the means by users). Internet use in China has grown over 1,800% which a potential barrier has turned out also to yield a in the same period (from 22.5 million users to 420 benefit. Whereas researchers previously were solely million) and in Tunisia, penetration has grown 3,600% reliant on making telephone calls to collaborators at (from 100,000 users to 3.6 million).217 a suitable hour in both time zones, now one partner Email provides a free, near instant method for can send data and drafts from Delhi at the end of the communicating with multiple individuals around the working day, only for their colleague in Sao Paolo to world. This allows for rapid and effective sharing continue working on the same piece of work at the of information, and a forum for posing questions start of their day, and then send it on to Vancouver and ideas. Free telephone calls over the internet for the day’s work to carry on. Global collaboration, (VOIP) and video conferencing offer augmented with the assistance of immediately accessible communication possibilities, providing another technology, need never sleep.medium for effective communication. Applications In addition, the rise of the social web and, in such as Skype have made this kind of face-to- particular, social networks has the potential to face remote communication both accessible and dramatically change the way scientists collaborate. affordable. Could an aspiring PhD student find a supervisor The possibilities heralded by the internet continue through Facebook or Twitter? Will it become as to evolve. Scientific conferences often now include normal to ‘meet’ online as at a conference? Although a Twitter hashtag: in this way anyone can follow about 90% of all collaborations begin face-to-face,219 the discussion and share their ideas, whether they these advances in communication reduce the are sitting in the plenary session or on the other dependency on physical place but do not (yet) render 210 S National Academy of Sciences, U release, 29 June 2010. Campaign 215 vidence provided by Professor E Telecommunications Union, National Academy of Engineering for Science and Engineering in the Jenny Clack FRS in response to Worldwideworx.com and the and Institute of Medicine (2005). UK: London, UK. the Royal Society Global Science Computer Industry Almanac Inc. Rising above the gathering storm: Report call for evidence, February energizing and employing America 213 etter to the Times from eight L 2010. 218 eadbeater C (2010). Cloud L for a brighter economic future. Nobel laureates: Sir Paul Nurse culture—the future of global cultural National Academies Press: FRS, Sir Martin Evans FRS, 216 illies J & Cailliau R (2000). How G relations. Counterpoint, the think Washington, DC, USA. Professor Andre Geim FRS, Sir Tim the web was born: the story of the tank of the British Council: London, Hunt FRS, Sir Harry Kroto FRS, Dr world wide web. Oxford University UK.211 ay N & Stilgoe J (2009). D Konstantin Novoselov, Sir John Press: Oxford, UK. Knowledge nomads: why science Sulston FRS, Sir John Walker FRS. 219 agner C (2008). The new invisible W needs migration. Demos: London, The Times, 7 October 2010. 217 ource: Internet World Stats S college: science for development. UK. website. See http://www. Brookings Institution: Washington, 214 oyal Society (2010). A new golden R internetworldstats.com, DC, USA.212 aSE (2010). Official estimates C age? The prospects for science and accessed 29 September 2010. show migrant loss—immigration innovation in the Islamic world. This website draws on data from cap threatens brain drain. Press Royal Society: London, UK. Nielsen Online, The International Knowledge, networks and nations: Global scientific collaboration in the 21st century 65
    • PART 2 Box 2.3. The European framework for individual researchers (Marie Curie) to ‘frontier’ The European Commissioner for Research, research projects (the European Research Council). International Innovation and Science, Máire Geoghegan- The European funding mechanisms have collaboration Quinn, has asserted that there is ‘no more had their critics. Some fear that the widespread efficient investment in the future than research requirement for collaboration has led to and innovation.’220 The European Commission’s unbalanced and incompatible partnerships, or Framework Programme (FP) is the main tool that excellence has been the price of increasing through which Europe collectively delivers this participation. The combined objectives of building investment.221 Between 2007 and 2013 FP7 capacity in some areas of the Union, increasing will spend €53.2 billion on a range of schemes the competitiveness of all countries and Europe and sub-programmes aimed at increasing the as a whole, and pursuing research excellence, do competitiveness of the EU, and encouraging not always sit well together. The FP is also often collaboration and co-operation between labelled as being overly bureaucratic—the priority European Member States. FP funding is for each appraisal being ‘simplification’.223 equal to approximately 5% of the funding Yet despite these concerns, the FP is seen available for European research through as a potential model for regional collaborations national budgets. in Africa and elsewhere. Under its auspices, the The FPs have been running since 1984 and, Commission is forging scientific links with other over this period, intra-European collaboration has regional groupings, such as South-East Asia and grown substantially (see Figure 2.9). Among the Latin America, through high-level interregional 27 countries of the EU, collaboration grew from dialogues and specific networks, SEA-EU NET 32% of total publication output in 1996, to 46% and EULARINET.224 in 2008, outstripping the increase witnessed at The Framework Programmes have become an a global level. In the five years to 2000, France essential part of the European research funding and Germany co-authored 12,516 articles. In the landscape. As the Commission and Member five years to 2008 this had grown to 23,291— States prepare to identify the future shape of this an increase of nearly 100%. It is clear that the research support beyond 2013 in FP8, science and increase in funding from the Commission’s innovation has also been put at the centre of the programmes has contributed to this level of Commission’s vision for the future of Europe.225 growth. €32 million of current funding requires The interplay between science and European that scientists collaborate internationally.222 policy more broadly looks set to be an important FP7 draws together a number of initiatives, dynamic for the future of both European research from large-scale infrastructure projects (eg. some and European politics, and engagement with the projects funded by EURATOM), to mobility funding wider world in both fields.226 66 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • face-to-face communication unnecessary. Some cuts are frequent in many universities across Africa question whether they ever will. Yet actual travel has and the internet connection speed is low. Scientists become easier and cheaper too, with the explosion in at these universities are philosophical about such commercial air travel and the rise of low-cost carriers. challenges—doing other things like marking when As dramatic a change as the internet has brought, the computers are off.it is still not ubiquitous. In 2006 fewer than 5% of Africans used the web compared with more than 2.5.2 Funding mechanisms50% in the G8 countries. Even within ‘richer’ regions International research collaboration is inexpensive, such as Europe there are huge disparities. In 2007 yet despite the arrival of low-cost airlines and only one-fifth of Bulgarians and Romanians were developments in communications technologies, it is connected to the web, compared with more than still not cheap. Being able to travel around the world 75% in the Nordic countries. Access to the net is to work with colleagues or to host overseas scientists growing fast in some middle-income developing costs a significant amount of money. These simple countries, such as South Korea (where access is logistical costs can make or break research projects.almost universal) and Brazil.227 But it is rising only International engagement has increasingly become very slowly in low-income countries: 0.06% of the a priority for research funders. In 2008, Germany’s population in low-income countries had access to the cabinet adopted the ‘Strategy for Internationalisation web in 1997, rising to 6% 10 years later.228 of Science and Research’, which specifically aims In each of these areas, however, the scientists to promote an internationally co-ordinated research are one community who are most likely to have agenda and boost collaborative research with good access. More troublesome for researchers developing countries.229 The Chinese Ministry of is internet bandwidth which may be limited, or Science and Technology has now signed science and infrastructure issues which may hinder the ability technology co-operation agreements with more than to communicate effectively. For example, power 100 countries.230 National bodies are also increasingly Continued on page 70220 eoghegan-Quinn M G framework_programme_en.htm, for smart, sustainable and inclusive relations. Counterpoint, the think (2010). Speech by European accessed 30 September 2010. growth. European Commission: tank of the British Council: London, Commissioner for Research, Máire Brussels, Belgium. UK. Geoghegan-Quinn, on the Seventh 223 uropean Commission (2010). E Framework programme calls for Communication from the 226 ASAC (2009) Memorandum E 229 ederal Ministry of Education F proposals, 19 July 2010. Commission to the European for incoming MEPs and and Research, Germany (2008). Parliament, the Council, the Commissioners. European Strengthening Germany’s role in the221 he European Commission’s T European Eco-nomic and Social Academies Science Advisory global knowledge society: strategy Framework Programme is also the Committee and the Committee Council: London, UK. of the Federal Government for the world’s largest research funding of the Regions: simplifying the Internationalization of Science and programme. See Parliamentary implementation of the Research 227 ccording to the World Bank, A Research. Bundesministerium für Office of Science and Technology Framework programmes. European South Korea had the 54th highest Bildung und Forschung (BMBF): (2010). EU Science & Technology Commission: Brussels, Belgium. gross national income per capita Bonn, Germany. Funding. Postnote 359, June 2010. in 2009 (calculated using the Atlas Parliamentary Office of Science 224 EA-EU NET is the South-east S method and PPP), while Brazil had 230 echnopolis Group (2008). Drivers T and Technology: London, UK. Asia–European Union Network, the 84th. See http://siteresources. of international collaboration in and EU-LARINET is the European worldbank.org/DATASTATISTICS/ research. Background report 4:222 ource: EUROPA (European S Union–Latin America Research Resources/GNIPC.pdf, accessed conference report Brussels 13–14 Commission website). See http:// and Innovation Network. 14 December 2010. October 2008. Technopolis Group: ec.europa.eu/research/era/ Amsterdam, The Netherlands. instruments/instruments/seventh_ 225 uropean Commission (2010). E 228 eadbeater C (2010). Cloud L Europe 2020: a European strategy culture—the future of global cultural Knowledge, networks and nations: Global scientific collaboration in the 21st century 67
    • Figure 2.9a. Collaboration between EU27 countries 1996–2000.231 PART 2 Greece Romania International Bulgaria collaboration Spain Cyprus Portugal Belgium Italy Slovakia France Luxembourg Czech Republic Ireland Netherlands United Kingdom Austria Germany Malta Hungary Slovenia Denmark Sweden Poland Latvia Finland Lithuania Estonia68 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Figure 2.9b. Collaboration between EU27 countries 2004–2008. Bulgaria Greece Romania Cyprus Portugal Spain Malta Slovakia Italy Ireland United Kingdom France Netherlands PolandCzech Republic Germany Belgium Luxembourg Hungary Austria Denmark Sweden Finland 231 he methodology on producing T Slovenia Latvia these maps is the same as the global maps (see footnote 168). The threshold for collaborations to be included is a minimum of 0.0007% of collaborative output from the region—at least 16 Estonia collaborative papers between two countries in 1996–2000, and 25 papers in 2004–2008. This visualisation eliminates the lines of any relationships that Lithuania constitute less than 5% of an individual nation’s output. Analysis by Elsevier based on data from Scopus. Knowledge, networks and nations: Global scientific collaboration in the 21st century 69
    • working together. In 2010 the Research Councils of 2.6 Harnessing collaboration PART 2 the G8 countries announced their first joint call for We have described significant changes in the proposals for multilateral research projects in their global scientific landscape, underpinned by an International participating countries.232 The Joint Programming increase in international collaboration, driven by collaboration Initiative among the member states of the EU is individual researchers seeking to work with the best intended to pool national funding related to specific scientists in the world, and by governments seeking calls for research activity, with a view to reducing to improve the quality, scope and critical mass of fragmentation in European research; the pilot relates national science bases. This co-operation helps to research into neurodegenerative diseases, and leverage new and existing knowledge and resources, further initiatives are forthcoming in the areas of attract incoming talent, tackle intrinsic research health, food security and agriculture.233 questions and build research capabilities. It has led Recent years have also seen the emergence to an increasing number of players emerging in the of new regional and global funders, whether they international scientific arena at the individual, regional, be pan-continental bodies such as the European national and global levels, creating and disseminating Framework Programme, specifically the European knowledge around the world in ever more complex Research Council,234 or philanthropic organisations and interconnected networks. such as the Leverhulme Trust and Sloan Foundation, Increasingly, a significant driver behind among many others. international scientific collaboration is the urgency These funding initiatives are all welcomed by of the problems facing human society in the 21st scientists keen to collaborate internationally, but century, and the recognition that science has a role implementation is not always straightforward. to play in their solution. These ‘global challenges’, Funders are becoming better at delivering flexible such as climate change, biodiversity, food, energy conditions for international collaboration, and are and water security, and global health dominate actively trying to dismantle barriers to cross-border the contemporary scientific agenda. In Part 3, we funding (the role of the UK Research Councils investigate how global science systems and scientists overseas offices in dealing with the problem of are responding to these societal challenges, how they double jeopardy in joint agency funding applications have done so in the past, and we discuss how they has been successful to date).235 But there is more can address the unidentified challenges of the future. work to be done in this area to ensure that the funders of research are meeting the requirements of an increasingly mobile research community. 232 esearch in Germany (2010). R nl-ausgabe-7/44440/multilateral- 234 ee http://erc.europa.eu, accessed S be accepted by one funder but Multilateral research funding. research-funding.html. 30 September 2010. not by the other, and the research Research in Germany, 7, April/ project therefore is not viable. May. Available online at http:// 233 ee http://ec.europa.eu/research/ S 235 ouble jeopardy refers to the D www.research-in-germany. era/areas/programming/joint_ difficulty in applying to multiple de/media-service/newsletter/ programming_en.htm, accessed agencies for ‘joint’ funding of a 13 December 2010. research project—applications may 70 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • PART 3 Global approaches to global problems The image, acquired with two-photon excitation microscopy, shows failing cardiac cells on the edge of a region that suffered degenerative damage following infarction (rat cardiac tissue provided by Dr A. Lyon) from “Lighting up muscle contraction” by Dr Valentina Caorsi, Newton International Fellow, National Heart and Lung Institute, Imperial College London. © Dr Valentina Caorsi, 2010. Knowledge, networks and nations: Global scientific collaboration in the 21st century 71
    • At a meeting at the Royal Society in January 2010, Science can help measure and predict impacts, PART 3 members of the InterAcademy Panel on International identify solutions, evaluate pathways for adaptation Issues—the network of the world’s science and assess risks for mitigation. In recent decades, Global approaches academies—identified climate change, global health, science-based innovations have eradicated or to global problems food security, biodiversity, water security, population attempted to eradicate life-threatening diseases, and energy security as humanity’s most pressing increased agricultural productivity and pioneered concerns.236 These are frequently referred to as low-carbon technologies.243 The challenge for ‘global challenges’ or ‘grand challenges’—those governments, scientists, NGOs and others is how which transcend national boundaries and pose best to orchestrate research efforts to address such significant threats to societies and ecosystems. issues collectively, while combining scientific with Science is critical to finding solutions to such wider social, political and economic perspectives. challenges, although there are many other economic, In order to discuss how science can address these social and political factors at play.237 problems, we begin by highlighting two examples Global challenge science looks set to increase in of successful global responses to global challenges: terms of importance, scale and impact. It requires tackling the depletion of the ozone layer, and the international co-operation on a large scale because eradication of smallpox. We then briefly survey a of the nature and magnitude of the potential range of bodies that have global responsibilities consequences of these problems. No one country and could play a crucial role in bringing scientists to or scientific discipline will be able to offer complete bear on global problems. Some examples are then solutions. This presents challenges of its own in the outlined of collaborative research initiatives which organisation and governance of the science, and as have been established in response to such problems. such requires special consideration. Policy makers Following a brief discussion of some of the issues around the world recognise this. US President surrounding the governance of global challenge Barack Obama has pledged ‘to harness science and research initiatives, and their wider implications in technology to address the grand challenges of the terms of capacity and infrastructure, we then look at 21st century’.238 The EU’s renewed research agenda five more detailed case studies of global responses places grand challenges at its core.239 In May 2010, to global problems, in order to identify how the Canada launched a ‘Grand Challenges’ fund, backed problems were brought to the attention of those in a up by 225 million Canadian dollars (US$220 million), position to take action and initiate a response, and to which helps scientists from the developing world to consider whether additional mechanisms are needed. solve health problems facing their regions.240 Such We conclude by examining the pros and cons of the initiatives build on more established frameworks way these initiatives were organised, and discuss the such as the 1992 Rio Earth Summit,241 which defined lessons for the future. a framework for sustainable development, and the UN’s Millennium Development Goals, which pioneered measurable objectives and targets to guide poverty eradication across the world.242 72 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 3.1 Scientific solutions aerosol sprays in 1978, and eventually to the 1985 On 16 September 1987, scientists, diplomats, Vienna Convention, which established a framework governments, NGOs and industry representatives for the international regulation of ozone-depleting from 24 countries came together in Montreal to substances (a precursor to the Montreal Protocol).245 tackle one of the most pressing global environmental In the absence of the Montreal Protocol, scientific challenges of recent times: the depletion of the modelling has projected a world in which nearly two-ozone layer. The link between ozone depletion and thirds of the earth’s ozone layer would be gone by chlorofluorocarbons (CFCs) was first discovered 2065, with UV radiation up by 650% and catastrophic in the 1970s by Professor Sherwood Rowland consequences for life on Earth.246 Instead, the hole in ForMemRS and Professor Mario Molina, building on the ozone layer appears to have stopped widening in earlier work by Richard Stolarski and Ralph Cicerone, recent decades.247 now President of the US National Academy of Professor Bob Watson, whose work greatly Sciences, who had been examining the effects of influenced the Protocol and who was awarded chemical emissions from NASA rockets. Perhaps the Blue Planet prize partly for his achievements, partly because of the link with NASA, and the argues that the research effort was underpinned by greater awareness it engendered of the upper a number of principles. ‘It had to be international, echelons of the atmosphere, the ozone depletion transparent, open, credible and peer reviewed’, theory became an area of major public concern in he argues. ‘In the end the policy options were the USA, which was reflected in the media and then straightforward. In order to get rid of the Antarctic taken up by members of Congress.244 This led to the ozone hole, we showed that there was a clear need USA banning CFCs as propellants for non-essential to stop the industrial use of chlorine and bromine 236 ighfield R & Lawton G (2010). H and politicians gathered at the 242 he eight Millennium Development T 244 enedick R (2007). Science, B Global challenges: what the world’s ‘New world—new solutions’ Goals (MDGs)—which range diplomacy, and the Montreal scientists say. New Scientist, 14 conference in Lund to discuss from halving extreme poverty to Protocol. In: Encyclopedia of Earth. April 2010. the future development of halting the spread of HIV/AIDS Cleveland C (ed). Environmental European research. They agreed and providing universal primary Information Coalition, National 237 N Millennium Development U on a document—the Lund education, all by the target date of Council for Science and the Task Force on Science, Declaration—which states that 2015—stem from the Millennium Environment: Washington, DC, Technology, and Innovation (2005). ‘European research must focus on Declaration agreed to by 189 world USA. Innovation: applying knowledge in the Grand Challenges of our time’. leaders in September 2000. See development. New York: United http://www.undp.org/publications/ 245 uropean Commission (2007). E Nations 2005. Available online at 240 ampbell C (2010). Canada C fast-facts/FF-mdg.pdf, accessed The Montreal Protocol. Office http://www.unmillenniumproject. launches ‘unique’ Grand 30 September 2010. for Official Publications of org/reports/tf_science.htm. Challenges fund. SciDev.Net, 12 the European Communities: May 2010. Available online at 243 owdle W (1998). The principles D Luxembourg.238 xecutive Office of the President, E http://www.scidev.net/en/news/ of disease elimination and National Economic Council, Office canada-launches-unique-grand- eradication. Bulletin of the World 246 ewman P et al. (2009). What N of Science and Technology Policy challenges-fund.html. Health Organisation 76 (Suppl would have happened to the (2009). A strategy for American 2), 22–25; Royal Society (2009). ozone layer if chlorofluorocarbons innovation: driving towards 241 N (1992). Report of the United U Reaping the benefits: science and (CFCs) had not been regulated? sustainable growth and quality jobs. Nations Conference on Environment the sustainable intensification of Atmospheric Chemistry and Executive Office of the President and Development. Annex 1: Rio global agriculture. Royal Society: Physics 9, 2113–2128. of the United States: Washington, Declaration on Environment and London, UK; Omer A (2008). Focus DC, USA. Development. United Nations 247 BC (2006). Ozone hole stable, B on low carbon technologies: the say scientists. BBC News Online, General Assembly: New York, NY, positive solution. Renewable and 239 he Lund Declaration (2009). On T USA. 23 August 2006. Available online 8 July 2009, 350 researchers, Sustainable Energy Reviews 12, 9, at http://news.bbc.co.uk/1/hi/sci/ research funders, business people 2331–2357. tech/5276994.stm. Knowledge, networks and nations: Global scientific collaboration in the 21st century 73
    • compounds. But one of the things that really helped US Geological Survey noted after the event, ‘had PART 3 us get there was the interplay between scientific they had tide gauges installed, many of these people experts, the private sector, social scientists, and that were farther away from the epicentre could Global approaches large funders.’ Reversing the depletion of the ozone have been saved’.252 Eighteen months later, an to global problems layer may be more manageable than some of Indian Ocean tsunami warning system was finally today’s global challenges, but the Montreal Protocol set up,253 to add to a number of other local initiatives stands as a model of what can be achieved through established since the 2004 disaster, such as the UK international collaboration. Natural Hazards Working Group—set up by Prime Another example, of a much longer standing Minister Tony Blair in 2005 to advise government global problem that was solved by international on detecting natural hazards and providing early collaboration, is even more remarkable. For at warnings.254 least three millennia, smallpox has been one of the deadliest diseases known to humanity, and a 3.2 Global research governance common scourge which has afflicted civilisations There are many models of partnerships between throughout the world, killing up to 30% of those scientists, governments, industry, philanthropists, infected.248 Although the major breakthrough charities and civil society which are designed to was made by Edward Jenner FRS in 1798, who address global challenges. There is no uniform demonstrated that inoculation against cowpox could approach. The governance structures which shape protect against the disease, it was not until 1979, just such partnerships and initiatives are diverse, and 12 years after the World Health Organisation (WHO) targeting specific challenges can be tough. They are launched an intensified plan to eradicate it, that often interdependent, and characterised by a diverse the global eradication of smallpox was confirmed, array of local effects. Climate change, for example, after a multi-faceted campaign which mobilised is expected to lead to flooding in some areas and local bureaucratic, political and civilian support for drought in others.255 Research requires co-ordination a public health programme reliant on large-scale across different disciplines and regions, working immunisation and isolation.249 with local knowledge systems to understand such Other problems have been identified but impacts and define solutions. not solved in time, often with catastrophic At the global level, there are a number of consequences. Perhaps the most devastating organisations with mandates in these areas, such as: example of this was the 2004 tsunami, which was UNESCO and the UN Committee on Science and picked up by satellites and seismometers minutes Technology for Development (UN-CSTD) under the before it hit the shore. There was no in-built warning UN umbrella; the International Council for Science system to alert people in sufficient time, with the (ICSU), that co-ordinates programmes across its resultant loss of over 220,000 lives.250 This was scientific members, representing 141 countries and despite the fact that the disaster had been predicted, incorporating a wide range of activities, including notably by Dr Smith Dharmasaroja, Director General global sustainability research256; and the European of Thailand’s Meteorological Department in 1994, Co-operation in Science and Technology programme but such warnings were not heeded.251 As Waverly (COST), an example of an intergovernmental Person, a geophysicist and seismologist from the framework endeavouring to co-ordinate nationally 74 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • funded research, minimise duplication, avoid inception in 2000. ‘The presence of an international fragmentation and provide a platform for regional programme like G4, along with the credible partners co-operation with partners beyond Europe.257 that make it up, will have acted as a major factor Bodies such as these are not necessarily optimised in decisions by responsible governments to put up to address the global problems of the 21st century, appropriate funding for what would usually be done taking into account the interdependencies of global by national laboratories. Without G4, it would have challenges. been difficult for the individual labs to make their cases. It clearly saves money to pool resources, and 3.2.1 Challenge-led research initiatives Generation IV has brought together a range of world Specific global challenges have inspired a range of experts, and stimulated a great deal of collaboration internationally collaborative research initiatives. To and positive relationships.’ Although most of the meet the challenge of providing renewable energy, work is done by national laboratories, there is also the Generation IV International Forum (GIF) was set involvement of industry,259 which has in turn raised a up by the US Government’s office of Nuclear Energy, number of issues surrounding intellectual property. Science and Technology in 2000, and joined by According to Abram, “Generation IV has forced eight other governments with the aim of identifying people, especially scientists in government labs and and developing a new generation of nuclear universities who might not otherwise have thought energy systems with enhanced safety and minimal about IPR issues, to confront them early in the waste.258 This involves a partnership between various process and reach a clear understanding of the rights countries’ energy agencies, aiming to minimise costs, and obligations of all parties before the research share ideas and avoid duplication. It also actively begins.”involves regulators, which should speed up licensing In the area of environmental assessment, major when demonstrators get built. international initiatives include the Group on Earth Professor Tim Abram, Chair in Nuclear Fuel Observation (GEO),a partnership of governments and Technology at the University of Manchester, international organisations which aims to develop a co-authored part of the Generation IV roadmap, global observation system to enable more effective and has been involved in the programme since its responses to environmental challenges260; the 248 ee http://www.who.int/ S scientist-gets-belated-recognition. research/issues/naturalhazards/, review of the state of the science. mediacentre/factsheets/smallpox/ html. accessed 7 January 2011. Energy Policy 36, 4323–4330; en/, accessed 30 November 2010. The Independent (2001). UK 252 oice of America (2004). Experts V 255 PCC (2007). Climate change 2007: I signs up to nuclear power pact. 249 ee http://www.smallpoxhistory. S say tsunami warning system would synthesis report. Intergovernmental The Independent, 16 September ucl.ac.uk/, accessed 2 December have saved lives. Available online Panel on Climate Change: Geneva, 2001. GIF now has 13 members 2010. at http://www.voanews.com/ Switzerland. which comprise 12 countries and english/news/a-13-2004-12-28- Euratom. See http://www.gen-4.250 ee http://nasadaacs.eos.nasa.gov/ S voa5-67486957.html, accessed 7 256 CSU (2010). Earth system science I articles/2005/2005_tsunami.html, for global sustainability: the grand org, accessed 30 September 2010. January 2011. accessed 2 December 2010. challenges. International Council 259 nterview with Sue Ion, Chair of I 253 ee http://portal.unesco.org/en/ S for Science: Paris, France. the UK Fusion Advisory Board, 5 251 ima R (2010). ‘Mad’ scientist gets T ev.php-URL_ID=33442&URL_ belated recognition. South-East 257 ee http://www.cost.esf.org/ S October 2010. DO=DO_TOPIC&URL_ Asian Press Alliance, 12 May 2010. SECTION=201.html, accessed 7 about_cost, accessed 30 260 ee http://www.earthobservations. S Available online at http://www. January 2011. September 2010. org/documents/200904_geo_info_ seapabkk.org/announcements/ sheets.pdf, accessed 6 October fellowship-2005-program/57-mad- 254 ee http://www.nerc.ac.uk/ S 258 bram T & Ion S (2008). A Generation-IV nuclear power: a 2010. Knowledge, networks and nations: Global scientific collaboration in the 21st century 75
    • Millennium Ecosystem Assessment, modelled on the HIV/AIDS, malaria and tuberculosis through genuine PART 3 Intergovernmental Panel on Climate Change (IPCC),261 partnership between European and sub-Saharan and its successor, the Intergovernmental Platform on African countries,271 and has been commended for Global approaches Biodiversity and Ecosystem Services (IPBES)262; and introducing a new model of international research to global problems the Horn of Africa Regional Environment Network co-operation which promotes African ownership.272 (HoA-REN), a network of environmental organisations More generally, the Global Research Alliance brings and higher education institutions which promotes together nine R&D organisations from around the the exchange of environmental knowledge in the world to co-ordinate large-impact projects in support region.263 of the Millennium Development Goals.273 To tackle the challenge of sustainable food Among the long established global research production, the International Assessment of programmes in the life sciences with an outstanding Agricultural Knowledge, Science and Technology track record of success are the Human Genome for Development (IAASTD) was initiated by the Project discussed earlier, and the Human Frontier World Bank in partnership with a multi-stakeholder Science Program (HFSP), an international group of organisations, with a mission to reduce intergovernmental scientific programme that funds hunger and poverty, improve rural livelihoods and basic research focused on the complex mechanisms facilitate sustainable development through agricultural of living organisms and which has funded thousands knowledge, science and technology.264 In its final of scientists worldwide to perform cutting edge report in 2009,265 it called for a fundamental rethink research since 1989. The HFSP has been a highly of agricultural knowledge, science and technology, in imaginative programme which has continually refined order to achieve sustainable global food production. its mechanisms as it has developed. For the first 10 In the field of infectious disease, the Wellcome years of the programme, a reductionist, analytical Trust has been at the forefront of attempts to address approach prevailed, but this has now been supplanted the most pressing problems in human and animal by an emphasis on the interaction of scientists health for 72 years.266 The Structural Genomics from different disciplines in investigating biological Consortium (SGC) is an international public–private questions.274 partnership which aims to determine the structures Prize schemes dedicated to addressing global of proteins involved in a wide range of diseases.267 An challenges, such as the US Congress’s H-prize and idea championed by Alan Williamson, former vice- the Grainger Challenges prize,275 provide further president for worldwide research strategy at Merck, incentives. They can stimulate competition and offer who played an important role in brokering the SNP a novel way of identifying and mobilising scientific consortium (a non-profit foundation that put single- excellence while also capturing the public imagination. nucleotide polymorphisms—differences in single A 2009 report from McKinsey and Co found that DNA base pairs between individuals—into the public the total number of prizes offered is going up, as domain),268 the SGC began operations in 2004,269 is the number of incentive prizes (as opposed to and in April 2010 supported research that identified a retrospective prizes that recognise past work, such potential treatment for sleeping sickness.270 as the Nobel Prizes).276 In November 2010, the US Elsewhere, the European and Developing Countries Government’s Office of Management and Budget Clinical Trials Partnership (EDCTP) seeks to combat sent a memorandum to all federal agencies urging 76 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • them to use incentive prizes to stimulate innovation of new approaches and governance mechanisms for and to solve tough problems, following a September multilateral scientific co-operation to address global launch of a dedicated website to act as a clearing challenges,278 which may offer some important house for government sponsored prizes.277 insights into how best to move forward. While the direction of basic scientific research will 3.2.2 Integrating challenges and maximising continue to be driven by the curiosity of individual resources scientists and the goals of those funding the research, Global research partnerships such as these do it has also been argued that research agendas could important work, but it could be asked whether further, benefit from being informed by a more diverse range overarching mechanisms are needed for prioritising or of interests, with greater involvement of civil society integrating work on challenges, reducing duplication and marginalised communities.279 This would also and maximising resources (and to what extent this help ensure engagement and ‘buy-in’, and would is actually possible in practice). Although there is require sufficient flexibility in governance structures to unlikely to be a single, general purpose framework enable this. The influence of private sector research appropriate for such a range of endeavours—the and innovation is also significant, for example in the diversity of these may be a source of strength in delivery of healthcare in the developing world.280 itself—attempts are being made to better understand Matching industrial strengths, scientific capacity and how global challenge research can be orchestrated policy objectives is a priority for future governance to best effect. The OECD has embarked on a study structures.261 eid W et al. (2002). Millennium R Technology for Development: edctp.org/About-EDCTP.2.0.html, 277 eder T (2010). Incentive prizes F ecosystem assessment methods. Washington, DC, USA. accessed 6 October 2010. reinvented to solve problems. The Millennium Ecosystem Physics Today, November 2010. Assessment was completed in 266 he Lancet (2008). The Wellcome T 272 an Velzen W (2009). Independent V See also http://challenge.gov/, 2005. Trust: an unsung hero in health external evaluation report of the accessed 12 January 2011. research. The Lancet, 371, 9612, European and developing countries262 inver M (2010). ‘Green light’ for K 531. clinical trials partnership. European 278 ECD (2010). New approaches O global biodiversity science panel. and Developing Countries Clinical and governance mechanisms BBC News online, 14 June 2010. 267 ee http://www.sgc.ox.ac.uk/, S Trials Partnership: The Hague, The for multilateral co-operation Available online at http://www.bbc. accessed 6 October 2010. Netherlands. in science, technology and co.uk/news/10307761. 268 utler D (2000). Wellcome B innovation to address global 273 ee http://www.research-alliance. S challenges: project rationale 263 ee http://www.hoarec.org/index. S discusses structural genomics net/aims&structure.html, accessed effort with industry. Nature 406, and relevance. DSTI/STP(2010)7. php/about, accessed 6 October 30 September 2010. Organisation for Economic 2010. 923–924. 274 eddington M (2010). Funding R Co-operation and Development: 264 AASTD (2003). An assessment of I 269 ee http://www.wellcome.ac.uk/ S the frontier—the Human Frontier Paris, France. agricultural science and technology Funding/Biomedical-science/ Science Program. Bioessays 32, Funded-projects/Major-initiatives/ 279 TEPS Centre (2010) Innovation, S for development: the final report 842–844. sustainability, development: a new of the steering committee for Structural-Genomics-Consortium/ index.htm, accessed 10 January 275 ee http://hydrogenprize.org/ and S manifesto. STEPS Centre: Brighton, the consultative process on UK. See also Wynne B, Stilgoe J & agricultural science and technology. 2011. http://www.nae.edu/Programs/ GraingerChallenge.aspx, accessed Wilsdon J (2005). The public value International Assessment of 270 rearson J et al. (2010). F of science. Demos: London, UK. Agricultural Knowledge, Science 30 September 2010. N-myristoyltransferase inhibitors as and Technology for Development: new leads to treat sleeping sickness. 276 cKinsey & Company (2009). M 280 reen A (1987). The role of non- G Washington, DC, USA. Nature 464, 728–732. ‘And the winner is ….’ Capturing governmental organizations and the promise of philanthropic prizes. the private sector in the provision of265 AASTD (2009). Agriculture I 271 nterview with Professor Charles I health care in developing countries. at a crossroads. International McKinsey & Company: Sydney, Mgone, Executive Director, Australia. International Journal of Health Assessment of Agricultural EDCTP. See also http://www. Planning and Management 2, 1, Knowledge, Science and 37–58. Knowledge, networks and nations: Global scientific collaboration in the 21st century 77
    • Greater funding for multi- or interdisciplinary capabilities from a low base through investment PART 3 research into global challenges is needed. and collaboration. Continued investment (both Universities, research funders and systems of domestically and multi-nationally) and international Global approaches research assessment too often reinforce disciplinary collaboration—along with support from developed to global problems borders and prohibit more creative collaborations.281 countries—will help these countries to develop faster, Meanwhile, national funding structures and and enhance their ability to contribute to, and benefit reporting requirements can form barriers to effective from, global science structures and networks. international co-operation and more coherent Given the pervasive nature of global challenges, governance structures. International scientific national priorities may need to align more closely organisations could take the lead in harmonising with global challenge priorities and obligations. these structures, and the ethical norms and This shift is already underway in some areas. intellectual property policies that surround them.282 For example, the crucial role that science and innovation can play in international development 3.2.3 Building capacity and resilience has received more emphasis over the last decade. Research directed towards global challenges could Some development agencies, such as Canada’s usefully be complemented by broader initiatives to International Development Research Centre (IDRC), enhance access to education as well as building have explicitly put scientific and technical research at stronger scientific capacity and infrastructure.283 the heart of their agenda.284 The UK’s Department for This local capacity needs to be resilient and well International Development (DFID) has also scaled up networked into both local and global scientific research into climate change, health and agriculture networks. As we have seen, a number of developing through its research strategy.285 countries are gradually improving their scientific Kiangsi boat, from Voyages a Peking, Manille et l’Ile de France, by Chretien Louis Joseph de Guignes, 1808. From the Royal Society library and archive.78 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 3.3 Case studies • to reflect a range of organisational mechanisms There are many examples of ambitious projects (intergovernmental forum, network of research which seek to address particular global challenges. centres, large-scale philanthropy, government–These are based on a range of governance, industry collaboration and large facilities/co-ordination and financing mechanisms, and infrastructure)engage different combinations of stakeholders. They • to reflect a balance of global regions and countries may involve the construction of large facilities and (the IPCC is truly global; CCS has been largely state-of-the-art infrastructure, the creation of joint led by the G8; CGIAR has research centres in research or delivery partnerships, the provision of Asia, Africa, Europe and the Americas; the Gates comprehensive global assessments of the state of Foundation is based in North America and works research in a given field, or large-scale collaboration mainly in the developing world; ITER, while based between government and industry. Others are in Europe, has a global membership)driven by philanthropic foundations, which have • to reflect the involvement of a range of different had a significant impact on research in health and stakeholders (governments in the case of CCS, agriculture. IPCC and ITER; research institutes in the case of Here we select five such high-profile international CGIAR; private philanthropy in the case of the research efforts as case studies, discuss the origins Gates Foundation; and the involvement of industry of these different challenge-based models, and in the case of CCS, the Gates Foundation and assess their effectiveness in more detail. The five CGIAR)considered here—the Intergovernmental Panel on • to assess projects which are high-profile, key Climate Change (IPCC), the Consultative Group on initiatives in the research on global challenges International Agricultural Research (CGIAR), the Bill which they seek to address.and Melinda Gates Foundation, the International Tokamak Experimental Reactor (ITER), and the global Of course, there are many other mechanisms and efforts to develop and deploy carbon capture and projects which address the global challenges of the storage (CCS) technology—were chosen according to 21st century, some of which have been mentioned the following criteria: earlier in Part 3. These five examples offer valuable • to reflect a balance of global challenges (climate lessons, as well as pointers for future efforts to change, food production, infectious disease, and design global challenge initiatives. environmentally responsible provision of energy)281 oyal Society (2009). Hidden R 282 eshner A & Turekian V (2009). L 284 DRC (2010). IDRC at 40: a brief I International Development: wealth: the contribution of science Harmonizing global science. history. International Development London, UK. to service sector innovation. Royal Science 326, 5959, 1459. Research Centre: Ottawa, Canada. Society: London, UK. 283 iscussions around this theme were D 285 FID (2010). Research strategy D held at the STI Global Forum 2009. 2008–2013. Department for Knowledge, networks and nations: Global scientific collaboration in the 21st century 79
    • 3.3.1 The world’s largest ‘warning system’: On any reckoning, climate change is a challenge PART 3 the Intergovernmental Panel on Climate of enormous scale and complexity. Rising global Change (IPCC) temperatures are likely to affect the world’s most Global approaches The IPCC’s 2007 Nobel Peace Prize is a tribute to vulnerable people and have serious consequences to global problems what is the largest and most complex orchestration for biodiversity and ecological systems. In his 2006 of sustained international scientific co-operation the economic assessment of climate change, Lord Stern world has ever seen. It originated from proposals referred to it as ‘the greatest market failure the world put forward at the World Meteorological Association has ever seen’.289 (WMO) Congress in 1987 by several directors of national meteorological services, especially from Achievements developing countries, for a mechanism that would The successful completion of the IPCC’s enable them to respond to increasingly frequent intergovernmental climate assessments is an requests to brief their governments authoritatively extremely difficult task. It requires the co-ordination on the threat of global warming.286 These were given of large numbers of people all over the world added weight by an influential report in the same with varying expertise, cultures, interests and year by the UN World Commission on Environment expectations, and the synthesis of information that is and Development which increased the profile extensive, multidisciplinary and international, extends of climate change as a threat to human society across time and space, and is subject to different and the environment.287 In the 22 years since its interpretations with a wide range of uncertainties.290 formation by the WMO and the UN Environment It is widely agreed that the IPCC, through its Programme (UNEP), the IPCC has engaged over assessments, has been instrumental in informing 3,000 scientists and cited over 40,000 peer-reviewed national and international climate policy, climate publications. It has yielded a landmark sequence of change knowledge, and in raising public awareness global assessments related to climate change, and of climate change.291 It has shaped research sustained the interest and support of the world’s networks around the world (there were 170 lead governments around a critical agenda. and contributing authors for the First Assessment Yet less than three years after receiving the prize, report and more than 560 for the Fourth),292 raised the IPCC has found itself under increasing scrutiny the profile of climate science in the developed and after the IPCC’s Fourth Assessment report was developing world, and has been instrumental in found to contain a very small number of mistakes creating research and analytical capacity worldwide. which were then widely reported. The difficulties This global infrastructure is founded largely on that the IPCC has undergone in recent years illustrate the voluntary participation of thousands of scientists three main points: the highly polarised nature of the and the goodwill of hundreds of institutions. As such, debate around climate change; the political diversity the IPCC is a fascinating case study in why and how of an organisation made up of 194 nations; and the scientists work together, and with policy makers, difficulties involved in synthesising and managing for the global good. In its very design, it represents a wide range of research data, including ‘grey’ a ‘significant social innovation’.293 Furthermore, the literature.288 IPCC also directly contributes to building the capacity 80 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • of the climate science research base, through new with the IPCC’s assessment process—is now central IPCC scholarships for vulnerable and developing to a multi-trillion dollar energy economy, further countries, established with Nobel Prize funds.294 raising the stakes. So many competing interests are Critically, the IPCC treads a fine line between at play—not least the 194 UN member nations.policy relevance and policy prescription,295 The annual Plenary, attended by all member culminating in a pressured line-by-line negotiation nations, is presently the only decision-making body process with government representatives to produce in the IPCC framework. This can impede the pace, intelligible summaries for policy makers. Working momentum and agility of the organisation, so much in this way, the IPCC has stimulated and sustained so that its governance framework is now outdated. policy debate over two decades, and has served as The recent review by the InterAcademy Council a model for the establishment of similar assessment called for an executive committee to be formed, programmes on biodiversity, including the Millennium comprising representative IPCC members, NGOs, Ecosystem Assessment (and its successor, the academics and the private sector, to improve the Intergovernmental Panel on Biodiversity and responsiveness of the IPCC, and to enhance its Ecosystems Services (IPBES)). The IPCC acts as a credibility and independence. Correspondingly comprehensive warning system for climate change: the IPCC has set up a task group to look at it lays bare the evidence that helps policy makers governance issues. identify and prioritise where and when mitigation and The IPCC’s critics argue that it has moved from adaptation strategies should be deployed. being an impartial scientific assessment body towards policy advocacy. The involvement of Criticisms governments has laid the IPCC open to criticisms Recent widely reported inaccuracies in parts of of politicisation. Any perceived bias in the synthesis its last assessment report (in truth, a very small reports risks the complexity and nuance of the proportion of the total report) have heightened public science being lost, a concern further exacerbated by scrutiny of the IPCC.296 Climate change—together cultural and linguistic diversity. 286 illman J (1997). The IPCC: a view Z this information is invaluable IPCC. InterAcademy Council: processes and procedures of the from the inside. Australian APEC at regional and local levels for Amsterdam, The Netherlands. IPCC. InterAcademy Council: Study Centre: Melbourne, Victoria, the development of effective Amsterdam, The Netherlands. Australia. adaptation strategies that are 291 ulme M & Mahony M (2010). H cost effective, participatory and Climate change: what do we 294 ee http://www.ipcc.ch/ S287 orld Commission on W sustainable. See Robinson J & know about the IPCC? Progress ipcc-scholarship-programme/ Environment and Development Herbert D (2001). Integrating in Physical Geography, published ipcc_scholarshipprogramme.html, (1987). Report of the World climate change and sustainable online, 18 June 2010. Available accessed 30 September 2010. Commission on Environment and development. International Journal online at http://ppg.sagepub.com/ Development: our common future. content/early/2010/06/18/0309133 295 PCC (2006). Principles governing I of Global Environmental Issues 1, IPCC work. Intergovernmental United Nations: New York, NY, 2, 130–149. 310373719.abstract. USA. Panel on Climate Change: Geneva, 289 tern N (2006). The economics of S 292 hrist R (2010). IPCC products, C Switzerland.288 he term ‘grey literature’ covers T climate change: the Stern review. procedures and processes. material typically produced by Presentation to IAC Review 296 intisch E (2010). IPCC/Climategate K Cambridge University Press: criticism roundup. Science Insider, OECD, the World Bank, UN Cambridge, UK. panel, 14 May 2010. Available agencies and the commercial/ online at http://reviewipcc. 15 February 2010. Available private sector. While not 290 AC (2010). Climate change I interacademycouncil.net/. online at http://news.sciencemag. quality assured as robustly assessments: review of the org/scienceinsider/2010/02/ as conventional peer review, processes and procedures of the 293 AC (2010). Climate change I an-overview-of-ipccclimategate- assessments: review of the criticism.html. Knowledge, networks and nations: Global scientific collaboration in the 21st century 81
    • Others are concerned that the consensus nature participation of many developing countries being PART 3 of the IPCC favours only majority views and excludes constrained by poor research capacity and access minority views. This is not helped by accusations to data and publications. Engendering a collective Global approaches that IPCC reports emphasise the negative in how global sense of ownership and action is critically to global problems they articulate risk and likelihood.297 Prejudices important. Knowledge that is claimed by its and criticisms are further fuelled by the lack of producers to have universal authority is interpreted transparency in many of the IPCC’s processes and very differently according to the political and cultural procedures.298 context.301 In order to address global challenges, scientists and policy makers need to develop a better Lessons understanding of the diversity of local contexts for As the Stern Review noted, any action to address the production and use of expert knowledge. The climate change will be serious and potentially life- difficulties the IPCC has faced foreshadow a wider changing,299 and will involve significant economic debate about future global challenge initiatives (and cost. In contrast to the successful international specifically their scientific authority, credibility and efforts to stop ozone depletion discussed earlier, relevance), which is likely to intensify in the years solutions to climate change—whether preventive, ahead. adaptive or mitigative—will be far more expensive, Second, the IPCC must mobilise the voluntary and will probably involve major changes in lifestyles. dedication of thousands of scientists, yet also be This will no doubt lead to serious political and social completely open and accountable. Its integration of consequences, and may help to explain why the scientists, social scientists and policy makers, and IPCC has faced the amount of pressure and public its decentralised and geographically representative scrutiny that it has. This pressure is now amplified by researcher network is a source of strength and modern communication tools such as online media, vitality. However, it also lays the IPCC open to blogs and social media, which were not as ubiquitous criticism of its governance and management, and when the IPCC was set up, and with which its to questions about whether the science should be communications structure is now forced to contend. entirely separate from its translation into policy. Despite this, the IPCC offers some interesting Finally, the IPCC engages a wide range of pointers for the governance of global challenge disciplines in a large number of countries. There initiatives in the future. First, by combining traditional are contrasts, and sometimes conflicts, in the way peer-reviewed science with ‘grey literature’, it is scientists, social scientists and economists work. forced to strike a balance between maintaining These differences can sometimes be difficult scientific credibility and quality control, while to reconcile, but the value of multidisciplinary retaining political buy-in through the involvement approaches to global problems is increasingly of national governments.300 It must be inclusive recognised. and geographically representative, despite the 82 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 3.3.2 Centres of excellence in agriculture: combined with dire predictions of a global food the Consultative Group on International shortage,307 paved the way for a series of independent Agricultural Research (CGIAR) ‘centres’ of agricultural research, funded and driven The food price spikes that sparked riots in several by the donor community. However, the foundations countries in 2008, and the fears of a possible repeat were not able to continue support in perpetuity on as global food prices hit a record high in December their own.308 Eventually, following a series of policy 2010,302 served as a stark reminder that food security consultations in 1969–1971, led by the World Bank, is one of today’s most pressing global challenges.303 UN Food and Agriculture Organisation (FAO), United Increasing food production alone cannot ensure food Nations Development Programme (UNDP) and the security for all, but it is a key part of meeting the Rockefeller and Ford foundations,309 the donors challenge, especially in the face of pressures from agreed to establish the CGIAR in May 1971, with its climate change, changing consumption patterns and own Executive and Scientific Councils, supported by a an increasing global population. Agricultural science small secretariat at the World Bank. has a key role to play in sustainable food production.304 Agriculture and rural development were central The roots of the CGIAR can be traced back to to the World Bank’s poverty reduction mission.310 Its a research programme funded by the Mexico- President Robert McNamara’s support and influence Rockefeller Foundation in the 1940s. This programme were instrumental in helping to set up and shape led to varieties of wheat with yields three times the CGIAR to reduce poverty and hunger through higher than traditional varieties, resulting in Mexican high-quality research in some of the world’s poorest self-sufficiency in wheat and a Nobel Peace Prize for regions.311 CGIAR was the first global programme to research champion Norman Borlaug ForMemRS. 305 receive grants from the World Bank’s net income,312 The success of this research initiative and other and its expansion continued with 15 autonomous efforts by the Rockefeller and Ford Foundations,306 centres in countries as diverse as Malaysia, Peru, 297 on Storch H (2010). Presentation V 301 asanoff S (2010). A new climate for J borlaug.html, accessed 5 October 310 hah M & Strong M (1999). Food S to IAC review panel, 15 June society. Theory, Culture & Society 2010. in the 21st century: from science to 2010. Available online at http:// 27, 2–3, 233–253. sustainable agriculture. Consultative reviewipcc.interacademycouncil. 306 orld Bank (2003). The CGIAR at W Group on International Agricultural net. 302 im Y (2011). G20 to tackle food K 31: celebrating its achievements, Research (CGIAR): Washington, prices as countries reassure facing its challenges. Précis DC, USA.298 AC (2010). Climate change I consumers. Reuters.com, 7 published by World Bank’s assessments: review of the January 2011. Available online at Operations Evaluation Department 311 GIAR (2006). A partnership for C processes and procedures of the http://www.reuters.com/article/ (OED). World Bank: Washington, research and development: World IPCC. InterAcademy Council: idUSL3E7C70I120110107. DC, USA. Bank and the CGIAR. Consultative Amsterdam, The Netherlands. Group on International Agricultural 303 vans A (2008). Rising food E 307 hah M & Strong M (1999). Food S Research: Washington, DC, USA. 299 tern N (2006). The economics S prices: drivers and implications for in the 21st century: from science to See also http://www.cgiar.org/ of climate change: the Stern development. Available online at sustainable agriculture. Consultative who/index.html, accessed 30 review. Cambridge University http://www.chathamhouse.org. Group on International Agricultural September 2010. Press: Cambridge, UK. 300 uk/files/11422_bp0408food.pdf. Research (CGIAR): Washington, H ulme M & Mahony M (2010). Chatham House: London, UK. DC, USA. 312 orld Bank (2003). The CGIAR at W Climate change: what do we 31: celebrating its achievements, know about the IPCC? Progress 304 oyal Society (2009). Reaping the R 308 ee http://www.cgiar.org/who/ S facing its challenges. Précis in Physical Geography, published benefits: science and the sustainable history/origins.html, accessed 11 published by World Bank’s online, 18 June 2010. Available intensification of global agriculture. January 2011. Operations Evaluation Department online at http://ppg.sagepub.com/ Royal Society, London, UK. (OED). World Bank: Washington, 309 ee http://www.cgiar.org/who/ S content/early/2010/06/18/03091333 305 ee http://nobelprize.org/ S history/origins.html, accessed 11 DC, USA. 10373719.abstract. nobel_prizes/peace/laureates/1970/ January 2011. Knowledge, networks and nations: Global scientific collaboration in the 21st century 83
    • Mexico, Kenya and Syria. These centres continue to • world food production would be 4–5% lower; PART 3 benefit from contributions from the World Bank and • world grain prices would be 18–21% higher; other multinational donors including the UN, and from • some 13–15 million more children would be Global approaches over 60 countries. malnourished.318 to global problems In 2003, an independent review highlighted the CGIAR system’s need for a formal legal charter, The success of the CGIAR lies in combining and the requirement for system-level responses to cutting-edge global research with practical local developments in biotechnology, genetic resource impact. The International Rice Research Institute (IRRI) management, intellectual property rights and private in the Philippines is one of the Consultative Group (CG) sector research.313 In response to this, and a growing Centres. Bob Zeigler is its Director General, and a firm mood for change within the donor community, advocate of the centres’ mission, the opportunities in 2007 the CGIAR initiated radical reforms to its presented by their freedom to evolve, and their critical organisation, governance, finance and management to role in engaging and mobilising local communities. enhance its coherence and strategic impact. This led Benefits flow in both directions—to the local to the establishment of a centrally administered global community (through employment) and to the global fund for research, a legally constituted consortium to research community via CG Centres themselves manage the separate centres, as well as mechanisms by harnessing local knowledge (on traditional rice to monitor performance and delivery. Under the new varieties, soil conditions, farming practice and social system, the bulk of the CGIAR research agenda will and dietary preferences). This local knowledge in turn be delivered through eight ‘mega-programmes’ which drives, enriches and broadens the scope for research are yet to be fully defined—but it is hoped that this will and impact. In the case of IRRI, Zeigler acknowledges ensure a more efficient and effective framework for that the centre’s research portfolio has evolved research.314 significantly from its original focus on production and yield. Education is also important in developing and Achievements maintaining local capacity: ‘IRRI was founded with The CGIAR has become a major hub for agricultural a clear mandate to develop, and conduct education research in the developing world. Although its annual in, the production of rice in Asia. Research and research budget of approximately US$550 million education were seen to be equally important.’ As a pales in comparison to the private sector’s budget,315 major research hub in the developing world, it is not it is estimated that for every $1 invested in CGIAR surprising that IRRI has developed a complex network research, $9 worth of additional food is produced in of partners. Zeigler notes that ‘the challenge now is in developing countries.316 A 2010 review concluded bringing the different partners together in a coherent that, ‘CGIAR research contributions in crop genetic way’. improvement, pest management, natural resources management, and policy research have, in the Recent reforms aggregate, yielded strongly positive impacts relative As the reforms that began in 2007 reach completion, to investment, and appear likely to continue doing their longer term impacts remain to be seen. In so.’317 An independent review in 2008 had already particular, the respective roles of the donors and concluded that without CGIAR: consortium in shaping the direction of the CGIAR may 84 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Article: ‘Croonian Lecture: On the anatomical stucture of the eye’, by Everard Home, drawings by Franz Bauer. PT vol 112, 1822, pp76-85. From the Royal Society library and archive.take some time to establish. With a second phase programmes which contribute to smallholder food of reform planned and new Strategy and Results security. Without these systems for local engagement, Frameworks expected every six years, there is room the essential purpose of CGIAR research in terms of to monitor and review the changes. reducing poverty and hunger could be lost. The centres themselves may also face an uncertain future. Although the mega-programme proposals Lessonswill still be driven by the CG Centres themselves, The CGIAR might not have evolved into the success the proposals will be considered by an Independent it is now, had it not been for the rapid expansion of Science Partnership Council on the basis of their the CG Centres. Indeed, the expansion of the centres delivery against applied impacts as well as donor played an important role in building and enabling local expectations.319 How this focus on applied results will capacity which is so important in the CGIAR today. To affect the exploratory research capacity and freedoms some extent, reforms were enabled by the external of the CG Centres is not yet clear. The move towards landscape and learnt from examples of co-operation a global fund, increased administrative complexity and platforms in Europe and elsewhere. While the move associated decrease in direct funding may also impact from direct Centre funding to more centralised on the longer term capabilities and value for money of structures will provide coherence across the CGIAR individual centres. portfolio, the new research agenda and its focus on In addition, agriculture and food security are areas applied science may put pressure on core funds that where there is a plethora of grey literature emerging permit more exploratory research. Links to significant from developing countries, often founded upon local donors (World Bank) and political forums (UN) have knowledge and expertise. Strategic decision-making also done much to ensure the visibility and impact of processes will need to acknowledge the significant the research. A further interesting development took contribution of bottom-up networks in agriculture, place in December 2009 when it was announced including those emphasising farmer participatory that the Bill and Melinda Gates Foundation (see research.320 Care needs to be taken to ensure Section 3.3.3) will join CGIAR, to which it is already a that centralising trends within the CGIAR are not significant donor, having allocated US$400 million to detrimental to such localised and targeted research several CGIAR centres over 2009–2013.321313 orld Bank (2003). The CGIAR at W 316 ource: CGIAR website. See http:// S 319 or example, potential impact F first network. See Scoones I & 31: an independent meta-evaluation www.cgiar.org/who/index.html, expectations set out for the GRiSP Thompson (2009). Farmer first of the Consultative Group on accessed 30 September 2010. mega-programme on rice equate revisited: innovation for agricultural International Agricultural Research. to an average of 15 additional kg research and development. Institute World Bank: Washington, DC, USA. 317 enkow M & Byerlee D (2010). R per ha per year additional yield of Development Studies at the The impacts of CGIAR research: a growth, which would result in University of Sussex: Brighton, UK.314 or more on the new structure, see F review of recent evidence. Food a 10–23% rice price reduction CGIAR (2009). Voices for change: Policy, 35, 5, 391–402. in Asian countries and 7–10% 321 harma Y (2009). Gates Foundation S the new CGIAR. Consultative reduction in major Latin American joins global crop research network. Group on International Agricultural 318 onsultative Group on C SciDev.Net, 10 December 2009. International Agricultural Research and African markets. See CGIAR Research: Washington, DC, USA. (2010). CGIAR proposed mega Available online at http://www. (2008). Bringing together the best scidev.net/en/news/gates-315 onsanto’s annual research M of science and the best of develop- program portfolio. Consultative Group on International Agricultural foundation-joins-global-crop- budget is US$1.2 billion. See ment: independent review of the research-network-1.html. Gilbert N (2010). Inside the CGIAR system synthesis report Research: Washington, DC, USA. hothouses of industry. Nature 466, (pp 119–120). CGIAR Secretariat: 320 xamples include prolinnova, E 548–551. Washington, DC, USA. terra preta network, farmer Knowledge, networks and nations: Global scientific collaboration in the 21st century 85
    • 3.3.3 A transformative impact on global Achievements PART 3 health: the Bill and Melinda Gates Foundation It has been claimed that the Gates Foundation has Getting 40 billionaires together in one room is no helped to raise the profile of international health Global approaches mean feat. Yet in August 2010, Microsoft founder Bill research, and to create a much higher profile for to global problems Gates and investor Warren Buffett did just that as infectious diseases and vaccine development.330 part of a high-profile philanthropic campaign called In 1999, the Foundation gave a start-up grant of ‘The Giving Pledge’ which they had instigated.322 US$750 million to the Global Alliance for Vaccines Present that night were CNN founder Ted Turner and and Immunisation (GAVI),331 a public–private global New York’s mayor Michael Bloomberg, who pledged health partnership funding vaccines which has to give away at least half their fortunes to charity, since immunised more than 200 million children estimated at nearly US$9 billion.323 and averted over 3.4 million premature deaths.332 Such examples demonstrate the power of ‘[The Foundation] sees science and innovation philanthropy and its effect on research, charity as an important driver for solving the world’s big and development objectives. This is not a new problems’, explains Laurie Lee, Deputy Director of phenomenon. Many of the central figures in the External Affairs. ‘One of our achievements has been USA’s extraordinary economic and industrial growth to stimulate major growth in global R&D investment in the late 19th and early 20th centuries, such as in drugs and vaccines to treat diseases which had Andrew Carnegie, John D Rockefeller, Andrew hitherto been neglected by the pharmaceutical Mellon and Henry Ford, set up hugely influential industry—but which kill millions of people in the foundations which have been major benefactors of developing world.’ By leveraging its significant funds US colleges and universities,324 and continue to give through the GAVI Alliance and similar programmes, out hundreds of millions of dollars a year.325 as well as working closely with pharmaceutical The most high profile and largest philanthropic companies to develop treatments for neglected organisation in the world today is the Bill and Melinda tropical diseases, the Foundation’s work has Gates Foundation,326 with overall expenditure totalling successfully corrected wider market failures. US$3 billion in 2009.327 Since its establishment in the In the area of malaria control, the size of the late 1990s, it has transformed global health research. Gates Foundation’s grants have enabled it to In 2007, the Foundation’s spend of US$1.2 billion energise research and forge partnerships between on global health alone was almost as much as the academia, governments and industry much more WHO’s annual budget of US$1.65 billion.328 Through effectively than other institutions, according to funding directed to fight AIDS, tuberculosis and Professor Brian Greenwood FRS.333 The Medicines malaria, the Foundation seeks to combat three of for Malaria Venture and the Malaria Vaccine the world’s most devastating diseases, particularly Initiative are two successful examples of these in sub-Saharan Africa. In October 2007, Bill and public–private partnerships.334 The Global Fund to Melinda Gates called on global leaders to commit to Fight AIDS, Tuberculosis and Malaria (GFATM), to ‘an audacious goal—to reach a day when no human which the Foundation is a significant donor, with being has malaria, and no mosquito on earth is total contributions of US$650 million,335 has been carrying it’.329 lauded as a model for streamlining funding into these diseases into a single source, which lessens 86 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • the burdens on health ministries in developing tackling other challenges. In February 2007, Virgin countries, which can otherwise be weakened by the CEO Richard Branson launched the US$25 million proliferation of actors in global health research.336 Earth Challenge Prize, to be given to someone who Furthermore, the call for the eradication of malaria proposes a method which successfully removes discussed earlier has had a significant impact on at least a billion tonnes of carbon per year from the malaria research and control communities, the atmosphere.338 In the same year, the Global galvanising them to take a more aggressive approach Water Initiative (GWI), a new partnership of seven to malaria elimination, rather than accepting some international NGOs, received a donation of US$150 degree of control of the infection as the best that million for rural water and sanitation projects in 13 could be achieved. It has led to new control and countries in Africa and Central America, provided by research initiatives such as the Malaria Elimination the Howard G. Buffett Foundation, a multi-million Group and the Malaria Eradication Agenda, which dollar private foundation controlled by Warren would not have happened without their initiative.337 Buffett’s eldest son.339 The motivations of these It could also be argued that the efforts of the philanthropists, as with those of individual scientists Foundation have paved the way for other wealthy working on these issues, may well be altruistic, but and powerful individuals to pump resources into recognition and competition could also be factors. 322 lark A (2010). US billionaires C documenting the national discourse report (p 46). Bill and Melinda Gates 334 ee http://www.mmv.org and S club together—to give away half (p 423). The Johns Hopkins Foundation: Seattle, WA, USA. http://www.malariavaccine.org/, their fortunes to good causes. University Press: Baltimore, MD, accessed 2 December 2010. The Guardian, 4 August 2010. USA. 329 ill and Melinda Gates Foundation B Buffett’s generosity is particularly (2007). Bill and Melinda Gates call 335 kie S (2006). Global health—the O remarkable, having donated 325 annadine D (2008). The changing C for new global commitment to chart Gates—Buffett effect. New England US$37bn to the Gates Foundation art of giving. BBC News Online, a course for malaria eradication. Bill Journal of Medicine 355, 11, 1086. rather than establish his own 11 January 2008. Available online and Melinda Gates Foundation: at http://news.bbc.co.uk/1/hi/ Seattle, WA, USA. 336 oon S et al. (2010). The global M foundation. See http://news.bbc. health system: lessons for a stronger co.uk/1/hi/5115920.stm, accessed magazine/7183245.stm. 330 alt G & Buse K (2000). W institutional framework. PLoS 1 December 2010. 326 ew York Times (2010). Bill and N Partnership and fragmentation Medicine 7, 1.323 uthors’ calculations. According A Melinda Gates Foundation. Times in international health: threat or Topics, 29 January 2010. Available opportunity? Tropical Medicine and 337 ee http://www. S to Forbes.com, Bloomberg’s malariaeliminationgroup.org/ and net worth in 2009 was US$16 online at http://topics.nytimes. International Health 5, 7, 467–471. com/top/reference/timestopics/ http://malera.tropika.net/, accessed billion and Turner’s net worth was 331 ource: Gavi Alliance (2008). S 2 December 2010. US$1.9 billion, a total of US$17.9 organizations/g/gates_bill_and_ melinda_foundation/index.html. See http://www.gavialliance.org/ billion, of which half is US$8.95 media_centre/facts/index.php, 338 BC (2007). Branson launches B billion. See http://www.forbes. 327 ill and Melinda Gates Foundation B accessed 30 September 2010. $25m climate bid. BBC News com/lists/2009/10/billionaires- (2010). 2009 annual report (p 13). Online, 9 February 2007. Available 2009-richest-people_Michael- Bill and Melinda Gates Foundation: 332 HO, UNICEF, World Bank W online at http://news.bbc.co.uk/1/ Bloomberg_C610.html and http:// Seattle, WA, USA. (2009). State of the world’s vaccines hi/sci/tech/6345557.stm. www.forbes.com/lists/2009/10/ and immunization, 3rd edn (p 328 cCoy D, Kembhavi G, Patel J & M 88). World Health Organisation: 339 RC International Water and I billionaires-2009-richest-people_ Luintel A (2009). The Bill & Melinda Geneva, Switzerland. Sanitation Centre (2007). Global Robert-E-(Ted)-Turner_ETX7.html, Gates Foundation’s grant-making water initiative: new NGO accessed 5 October 2010. programme for global health. The 333 kie S (2006). Global health—the O partnership gets US$ 150 million. 324 mith W & Bender T (eds) (2008). S Lancet 373, 9675, 1645–1653. Gates—Buffett effect. New England Available online at http://www.irc. American higher education See also Bill and Melinda Gates Journal of Medicine 355, 11, 1087. nl/page/38048. IRC: The Hague, transformed 1940–2005: Foundation (2008). 2007 annual The Netherlands. Knowledge, networks and nations: Global scientific collaboration in the 21st century 87
    • Unintended consequences high-risk research. Tadataka Yamada, President PART 3 Despite these successes, and the significant nature of the Foundation’s Global Health Programme, of the Foundation’s contribution to global health acknowledges the risk of this approach, but argues Global approaches research, its efforts are not without their critics, who that ‘billions have already been thrown at [these to global problems argue that its largesse has unintended consequences. problems …] and nothing’s happened—the standard Its considerable resources mean that it has huge approaches haven’t been successful’.344 influence on the research agenda in global health, The Gates Foundation is, of course, a relatively whereas previously this agenda would have been new entrant into the arena of global health research; set by more open and representative bodies such as in this regard the template to follow has arguably the WHO. Therefore the priorities that it defines have been set by the Wellcome Trust. The world’s second significant effects on the demand for scientists and largest research foundation has built a hugely clinicians in a number of different fields. It is argued impressive track record of achievements in its 72 that the concentration on ‘high profile’ diseases such years of existence, including the development as AIDS has created an internal ‘brain drain’ away and testing of the anti-malarial artemisinin, and from basic healthcare areas, such as maternal care the sequencing of around one-third of the human and the treatment of common fatal illnesses like genome through its Sanger Institute in Cambridge; diarrhoea.340 it also contributes to capacity building in Africa by In terms of governance, many perceive that strengthening African universities and institutions.345 the Foundation lacks transparency, with its first guiding principle being that it is ‘a family foundation Lessons driven by the interests and passions of the Gates The Gates Foundation offers a number of lessons family.’341 It has been urged to ‘rethink the concept of for policy makers. As we have seen, concerns have accountability.’342 been raised about its governance structure, but it has been praised for its fresh, risk-taking approach Comparisons with other models to grant making. Foundations can be fast and agile However, others claim that the Foundation’s in response to problems when they arise, as they are novel approach to grant making supports high- free from the limitations of government policy,346 and risk and potentially transformative research.343 For can help to stimulate partnership and achieve more example, researchers applying for grants under when they pool resources. the Foundation’s ‘Grand Challenges Explorations’ The Gates Foundation has had a huge impact programme only need to submit a two-page on global health research. However, Gates funding explanation of the proposal, with no need to provide has tended to focus on a few high-profile diseases, preliminary data. The proposals are then reviewed which has arguably had some adverse unintended by a diverse and eclectic group composed not effects on basic healthcare. This may offer a salutary just of scientists, but also including engineers, lesson for the governance of other global challenge business people and others with a track record of initiatives funded by high-income countries which 88 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • aim to address problems that disproportionately affect the developing world, or those that target funding exclusively on solving a particular ‘global challenge’. The energy, drive and ambition of wealthy individuals and foundations are crucial assets, which policy makers around the world should utilise in the effort to address global challenges. Looking to the future, it is likely that the global philanthropic landscape will change in line with the shifting balance of global wealth and power. Chinese and Indian entrepreneurs are rapidly reaching the levels of assets of the great US philanthropists of the early 20th century, and will be among the leaders of globally relevant philanthropy in the future. Tata in India and Hong Kong’s Li Ka-Shing are two examples of historically influential donors to world-class science and medicine respectively.347340 iller C & Smith D (2007). P www.scidev.net/en/features/q- Unintended victims of Gates a-tadataka-yamada-and-wild- Foundation generosity. Los Angeles science-ideas.html. Times, 16 December 2007. 345 he Lancet (2008). The Wellcome T341 ee http://www.gatesfoundation. S Trust: an unsung hero in health org/about/Pages/guiding- research. The Lancet, 371, 9612, principles.aspx accessed 13 531. October 2010. 346 avaghan H (2005). On firm G342 arrett L (2007). The Challenge G foundations. Nature 436, 748–749. of Global Health. http://www. Pencil sketch of volcanic clouds and foreignaffairs.com/articles/62268/ 347 ichols R (2007). Analysis of N ash-falls on Vesuvius by Antonio laurie-garrett/the-challenge-of- philanthropy for science and Piaggi, 1779. From the Royal Society global-health. Foreign Affairs 86, 1. technology, part II: opportunities library and archive. in funding science and technology.343 ature (2008). A risk worth taking. N In: Mapping the New World of Nature 455, 1150. American Philanthropy: Causes and Consequences of the Transfer344 ightingale K (2009). Q&A: N of Wealth. Raymond S & Martin Tadataka Yamada and wild science M (eds). John Wiley & Sons: ideas. SciDev.Net, 12 June Hoboken, NJ, USA. 2009. Available online at http:// Knowledge, networks and nations: Global scientific collaboration in the 21st century 89
    • 3.3.4 Towards sustainable energy: the motivated by a desire to instigate collaborations PART 3 International Tokamak Experimental Reactor that might help break down the barriers of the Cold (ITER) Project War era. The EU, Japan, Russia and the USA began Global approaches ‘There will be a day when ITER will become largely design studies in 1988, under the auspices of the to global problems energy self-sustaining’, explains Professor Steve International Atomic Energy Authority, but some Cowley, CEO of the UK Atomic Energy Authority. momentum was lost when the Cold War ended. The ‘That will be one of those great moments in USA withdrew in 1998 on cost grounds, following science—analogous to Fermi’s achievement of which a less ambitious design was adopted. nuclear fission on the 2nd of December 1942.’ Growing anxiety about the continued use and ITER is one of the most ambitious scientific eventual depletion of fossil fuels led to China, South endeavours of the 21st century. Latin for ‘the way’, Korea and the USA (re)joining in 2003; India joined its goal is to demonstrate the scientific and technical in 2006. Negotiation of the Agreement governing feasibility of generating energy from nuclear fusion. the construction of ITER started in 2001, while If successful, fusion has the potential to provide negotiations concerning the site began at the end sustainable, low carbon energy in a period when of 2003. The site in France proposed by the EU was fossil fuels are being rapidly depleted. The decision chosen in 2005 (in preference to a site in Japan, after to build ITER is a truly international response to the a long and occasionally bitter contest),348 and the challenge, involving collaboration between China, the Agreement was signed in 2006, coming into force in EU, Japan, India, South Korea, Russia and the USA. 2007. International collaboration is essential for fusion The agreement between major powers to fund and development. It is relatively expensive compared work together to build ITER encourages the hope that to most scientific research (if not on the scale of the world’s governments will be increasingly willing the world’s energy market), and mastering it is a to make long-term commitments to pool expertise huge scientific and technical challenge best met and resources in order to tackle global problems. by combining expertise from around the world. However, while reaching agreement was a success, Furthermore, it is sufficiently far from the market the ITER experience raises issues that those planning that intellectual property issues have not hindered future projects will need to consider carefully. collaboration, although they are not straightforward. With the construction of ITER just beginning, it is too Delays to the project early to assess the organisation of the project. It is, Firstly, the Agreement took a long time to negotiate. however, possible to identify a number of relevant This was partly due to the novelty of the project issues for possible future multinational collaborative and the nature of the collaboration, and the fact efforts of a similar nature. that the number of partners grew during the The proposal to build a very large fusion negotiations. There was also difficulty in choosing experiment as a collaborative project involving major the site, resulting in the polarisation of the parties powers grew from discussions between Presidents into two camps during the negotiating phase. Given Gorbachev, Mitterrand and Reagan in 1985, partly the ‘spillover’ benefits of large facilities, and their 90 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • propensity to attract scientific talent to the host had to review and revise the cost and design used as country, as demonstrated by CERN and the current a basis for the negotiations—during which time they competition to host the Square Kilometre Array (SKA) were considered ‘frozen’.Telescope,349 perhaps it is unsurprising that a contest to host ITER developed, which then brought to the Spiralling costssurface deeper diplomatic tensions and international ITER’s construction expenses have risen from around allegiances. Furthermore, site selection over other €5 billion to over €13 billion owing to a number of similar projects has often involved trade-offs in totally factors.353 One of these was the decision to split different fields. A famous example is the decision to responsibility for procuring technically interesting site the Joint European Torus (JET) project in the UK components between several members, in response instead of Germany, following the UK’s assistance to to their wish to be involved in a large range of the then West German Government in preparing the technologies. This was deemed necessary for political successful hostage rescue operation in Mogadishu.350 reasons, but has resulted in significant cost increases, However, in the case of ITER, the part of the European and has also complicated reaching agreement on Commission involved was responsible for a much design details. It is likely to cause problems when narrower range of issues, making such geopolitical delays or technical difficulties are encountered. trade-offs impossible. Another exacerbating factor was that the ‘frozen’ Setting up both the ITER Organisation (which is design had not been endorsed by the team which responsible for all aspects of the project: licensing, took on the responsibility for building ITER, or hardware, construction, operation and eventual checked in detail by industry.decommissioning)351—and seven so-called Domestic Agencies (which were created by the seven members Politics and governanceto act as the liaison between national governments The member countries had mostly never been and the ITER Organisation,352 and will be responsible involved in comparable projects. This meant that for most of the procurement), and the establishment during the negotiations they were perhaps overly of working relationships and confidence between diligent in protecting their national positions, with the the many different players, also took longer than result that the agreement now requires unanimity expected. Once this happened, the ITER Organisation, for all serious decisions—while consensus, often with the collaboration of the Domestic Agencies, then relatively easy to achieve, might have been sufficient. 348 ew Scientist (2005). Biggest N 349 ohannon J (2010). Can Africa B 350 erman R (1990). Fusion: the H 352 ee http://www.iter.org/org/das, S nuclear fusion project goes to topple Australia in the contest search for endless energy (p 124). accessed 7 January 2011. France. New Scientist, 28 June to build the world’s biggest Cambridge University Press: 2005. Available online at http:// telescope? Science Insider, 14 Cambridge, UK. 353 owley S (2010). Nuclear fusion— C www.newscientist.com/article/ January 2010. Available online what is it worth? The Guardian, 16 dn7593-biggest-nuclear-fusion- at http://news.sciencemag.org/ 351 ee http://www.efda.org/the_iter_ S July 2010. project-goes-to-france.html. scienceinsider/2010/01/its-africa- project/organisation.htm, accessed vs-a.html. 7 January 2011. Knowledge, networks and nations: Global scientific collaboration in the 21st century 91
    • It also gave diplomatic consideration equal weight to are not satisfied that the specification of components PART 3 technical factors in making the initial management (for which the ITER Organisation is responsible) is appointments. optimal from a technical or cost perspective. The ITER Global approaches The Host Contribution made by the EU, which Council has no control over the Domestic Agencies, to global problems is 45.45% (reduced from 50% when India joined) and until recently has had no official means of in the construction period, and will be 34% during monitoring their progress. the operational phase, is another potential source of Careful analysis of the ITER experience should help political friction, particularly in the current financial minimise such difficulties in similar projects in the climate. Whether such a large Host Contribution future. Perhaps one of the key lessons to be drawn is a good precedent is unclear. It could help create from ITER and from other large facilities such as stability, but large differentials in contributions could CERN is that collaboration is most likely to succeed result in cost increases putting differential strains where there is a clear overriding need to collaborate, on the members, and make the project particularly a compelling joint interest in a successful outcome, vulnerable to any financial difficulties encountered and that as far as possible decisions are technically, by the host. They could also unbalance the spirit of rather than politically driven (although this may not partnership. always be possible, eg. for procurement splitting). In In order to avoid the ITER Organisation having to setting up collaborations, sufficient time should be negotiate contracts and monitor the fabrication of allowed for the different players (scientists, engineers novel components across the world, the Domestic and government representatives) to build confidence Agencies were set up to take responsibility for most between each other. Finally, cost estimates should be of the procurement. This is problematic in cases in treated with caution until they are endorsed by those which the Domestic Agencies (which are responsible who will carry the responsibility for construction, and to their own governments for the use of their budgets) checked by industry. Apparatus used in examining solubility of hydrochloric acid. Fig 36, ‘A Treatise on Chemistry’, Vol 1, H.E Roscoe & C. Schorlemmer. From the Royal Society library and archive.92 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 3.3.5 Capturing the initiative on CO2: the in decline), and tar sands, the use of which will also global efforts to deploy carbon capture and require CO2 reduction through CCS.storage (CCS) technology CCS is therefore potentially an important ‘Climate change is a serious and long-term challenge component of the portfolio of technologies required that has the potential to affect every part of the globe to achieve substantial global emissions reductions.359 […] use of energy from fossil fuels, and other human This was recognised by the then President of the activities, contribute in large part to increases in Royal Society, Lord Rees, in a letter to the UK Energy greenhouse gases associated with the warming of our Secretary, John Hutton, in March 2008, in which he Earth’s surface.’354 The joint communiqué issued by argued ‘the world is not going to stop burning coal the G8 leaders at the 2005 Gleneagles summit clearly any time soon. The UK should seize the chance to summed up the threat of rising global temperatures, get a head start in developing the CCS technologies and was accompanied by a plan of action which which will be needed worldwide.’360included a pledge to accelerate the development of CCS has not yet been demonstrated on a large CCS. The UK Government prioritised climate change scale,361 and will require substantial long-term during its hosting of the G8 Presidency, and had capital investment—not only because of the capital begun to recognise the growing importance of CCS, costs of demonstrators, but because of the energy which had been highlighted by a number of energy it will consume, which is expected to reduce the companies through their future scenario work.355 efficiency of electricity generation by some 10% Most scenarios predict that fossil fuels will (eg. from 45% to 35%)362 —the so-called ‘energy dominate energy supply until at least the middle penalty’. However, Stuart Haszeldine, Professor of of the century,356 and coal’s global share of energy CCS at the University of Edinburgh, argues that when consumption recently rose to its highest level since the cost of CCS is debated, ‘no calculation of the 1970.357 It has been claimed that newly built coal- externality of environmental damage—the “cost” of fired power plants, as long-term capital investments, doing nothing now—is made’. When the cost of this will ‘lock in’ significant greenhouse gases (GHG) externality is included, it has been calculated that the emissions for several decades unless they are cost of saving a tonne of CO2 emissions with CCS retrofitted with CCS.358 Other sources of fossil fuels technologies is in the same order of magnitude as are becoming increasingly attractive to industry, such doing so with many renewables (which also require as natural gas (the global price of which has been the construction of infrastructure, and the creation of 354 he Gleneagles Communiqué T 357 hina and India’s coal C 358 ee http://www.pewclimate.org/ S 361 aszeldine S (2009). Carbon H (2005). Signed by the leaders of consumption also rose by 10% and global-warming-basics/coalfacts. capture and storage: how green the UK, France, Russia, USA, 7% respectively in 2009. See Carr cfm, accessed 3 November 2010. can black be? Science 325, 5948, Germany, Japan, Italy, Canada and M & Gismatullin E (2010). Coal’s 1647–1652. the European Commission. share of energy use rises as China, 359 nternational Energy Agency I India grow. Bloomberg, 9 June (2009). Technology roadmap: 362 wart R, Marinova N, Bakker S & S355 nterview with David Hone, Senior I 2010. Available online at http:// carbon capture and storage. van Tilburg X (2009). Policy options Group Climate Change Adviser, www.bloomberg.com/news/2010- International Energy Agency: Paris, to respond to rapid climate change Shell, 20 October 2010. 06-09/coal-burning-surges-to- France. (p 68). Alterra, Wageningen 40-year-high-as-natural-gas-use- University: Wageningen, 356 PCC (2005). Carbon dioxide capture I 360 ee http://royalsociety.org/Letter- S Netherlands. and storage (p 3). Intergovernmental declines-by-record.html. to-Secretary-of-State-on-Carbon- Panel on Climate Change: Geneva, Capture-and-Storage, accessed 14 Switzerland. March 2011. Knowledge, networks and nations: Global scientific collaboration in the 21st century 93
    • subsidies to make them economically viable)363 and Achievements PART 3 new nuclear build (and waste disposal).364 The Gleneagles communiqué has catalysed a CCS involves, first, separating (‘capturing’) CO2 number of successes, and has given fresh influence Global approaches produced at coal or gas burning power plants (fossil to national CCS groups in getting their governments to global problems fuel-fired power plants are responsible for around to take action. By April 2010, government–industry one-third of total global CO2 emissions),365 or large collaboration had led to 80 large-scale power industrial plants. The next step involves compression plant and industrial projects at various stages of and transportation via pipeline or ship,366 prior to development worldwide, over US$ 26 billion in storage in deep geological formations, such as saline government support for the development of large- aquifers or depleted oil or gas wells.367 The cost of scale CCS projects, and government commitment CCS lies mostly in the capture and compression to the launch of between 19 and 43 large-scale phases, whereas the risk is mostly involved in the projects.372 Since then, the European Commission storage phase. Both need to be successful for CCS to has launched the NER 300 scheme, which hopes work.368 to raise between €4.5 billion and €9 billion to CCS on power plants therefore requires a large fund the operational costs of (pre) commercial number of demonstrator units, with three different CCS demonstration projects through selling capture technologies and a variety of geological emissions allowances on the carbon market; the conditions. International collaboration in constructing US Government has announced nearly $1 billion these demonstrators would obviously save costs investment in three large-scale CCS projects,373 and time, and sharing the results would speed up and the UK Government has committed up to widespread deployment. It was therefore fitting £1 billion for one of the world’s first commercial that the G8 gave a fresh impetus to these efforts, CCS demonstrations on an electricity generation now led by the International Energy Agency; the plant, with three additional demonstration plants to 25-member, ministerial level Carbon Sequestration follow.374 Leadership Forum (CSLF), recently joined by the Some of the earlier investments are already Global CCS Institute,369 established in 2009 with 226 starting to pay dividends. In January 2010, a major members including national governments, industries end-to-end CCS demonstration facility was launched and research organisations.370 In the same year the in Lacq, southwestern France, which expects to IEA published an ambitious roadmap for CCS which capture and store around 120,000 metric tonnes of called for an additional investment of over US$ 2.5–3 CO2 over the next two years.375 In total, CCS pilot trillion from 2010 to 2050, which is estimated to projects and test sites around the world already be 6% of the overall investment needed to achieve capture about 3 megatonnes of CO2 per year.376 a 50% reduction in GHG emissions by 2050. To Given the involvement of industry, reaching a achieve this, CCS technology must spread rapidly to common understanding on intellectual property the developing world, requiring greater international is essential. The Zero Emissions Platform (ZEP), a collaboration and financing for CCS demonstration diverse coalition in Europe supporting CCS which in developing countries at an average annual level of involves industry, academia and environmental US$1.5–2.5 billion from 2010 to 2020.371 NGOs, attempts to address this via an innovative 94 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • three-tier model for sharing detailed results between require ‘vast amounts of capital’ that might not be the CCS demonstration projects themselves, with recouped for ‘many years’.378 Thomas Kuhn, President more limited results available to non-publicly funded of the Edison Electric Institute, which represents the CCS projects, and a further, lower level of sharing majority of US power generators, told a US House of with the wider public.377 According to its chairman, Representatives Select Committee in June 2008 that Shell’s Executive Vice President CO2, Dr Graeme commercial deployment of CCS for emissions from Sweeney, ‘CCS will have a major role to play in large coal-burning power stations would require 25 tackling CO2 emissions. A key enabler for getting years of R&D and cost around $20 billion.379 these projects up and running is close collaboration Acknowledging these financial barriers, President between industry and government.’ Obama’s Interagency Task Force on CCS stressed that the establishment of a carbon price is critical, as Difficulties is the development of supportive policy frameworks. CCS increases the cost of power generation, and can It also concluded that long-term financial liabilities therefore only succeed through a robust financial associated with CO2 storage could be a barrier to and/or regulatory incentive framework. Otherwise, deployment.380 These are due to issues such as the high upfront cost and the wait for financial returns uncertainty about the quantity of CO2 which could are substantial barriers to investment. As UK Minister leak from a failed site, or the ability to visualise CO2 in for Energy, Charles Hendry, has admitted, the the subsurface by low-cost and reliable monitoring successful implementation of CCS technology will for decades after injection. Communication and 363 or a further discussion of these F 367 njection into operating oil wells I next steps. International Energy European Technology Platform for issues, see Green R (2010). is also a possibility which can be Agency: Paris, France. Zero Emission Fossil Fuel Power Climate-change mitigation from used to enhance oil recovery. Plants (ZEP): Brussels, Belgium. renewable energy: its contribution 373 S Department of Energy (2010). U and cost. In: The Economics and 368 riedmann S (2007). Carbon F Secretary Chu announces nearly 378 uoted in Stephenson M (2010). Q Politics of Climate Change. Helm capture and storage. Lawrence $1 billion public–private investment How much are we willing to pay for D & Hepburn C (eds). Oxford Livermore National Laboratory: in industrial carbon capture and CCS? Carbon Capture Journal 17, University Press: Oxford, UK. Livermore, CA, USA. storage. Press release, June 10, Sept/Oct 2010. 2010. US Department of Energy: 364 ource: Accsept website. Fact S 369 ee http://www.globalccsinstitute. S Washington, DC, USA. 379 uhn T (2008). Written testimony of K sheet on carbon dioxide capture and com, accessed 4 October 2010. Thomas R. Kuhn, President, Edison storage (CCS). Acceptance of CO2 374 ee HM Treasury (2010). Spending S Electric Institute before the United 370 nternational Energy Agency I review 2010 (pp 23, 61). HM States House of Representatives capture, storage economics, policy (2010). IEA/CSLF report to the and technology: DNV, Rotterdam, Treasury: London, UK. Committee on Energy and Muskoka 2010 G8 Summit. Carbon Commerce Subcommittee on the Netherlands. Available online at capture and storage: progress and 375 arbon Capture Journal (2010). C http://www.accsept.org/outputs/ Energy and Air Quality: ‘Legislative next steps. International Energy Total inaugurates Lacq project. proposals to reduce green-house CCSFactsheet.pdf, accessed 3 Agency: Paris, France. 12 January 2010. November 2010. gas emissions: an overview’. 19 371 nternational Energy Agency I 376 ource: Science website. See S June 2008. See also Pearce F 365 nternational Energy Agency I (2009). Technology roadmap: http://sciencecareers.sciencemag. (2008). Let’s bury coal’s carbon (2003). CO2 capture at power carbon capture and storage. org/career_magazine/previous_ problem. New Scientist 197, 2649, stations and other major point International Energy Agency: Paris, issues/articles/2010_05_07/caredit. 36–39. sources (p 5). Working Party on France. a1000047, accessed 4 November Fossil Fuels, International Energy 380 he White House (2010). Report T 2010. of the Interagency Task Force on Agency: Paris, France. 372 nternational Energy Agency I (2010). IEA/CSLF report to the 377 EP (2008). EU demonstration Z Carbon Capture and Storage. The 366 nless a suitable storage site is U Muskoka 2010 G8 summit. Carbon programme for CO2 capture and White House: Washington, DC, available locally. capture and storage: progress and storage (CCS): ZEP’s proposal. USA. Knowledge, networks and nations: Global scientific collaboration in the 21st century 95
    • engagement around CCS has therefore not moved disparate stakeholders from across the political PART 3 as swiftly as might be expected, given the scale spectrum, including industry and environmental of deployment envisaged, despite some notable NGOs, to work in partnership. Public engagement, Global approaches successes.381 including sufficient dialogue on the timescale and to global problems viability of CCS as well as its associated risks, remains Lessons vital. Widespread deployment of CCS remains at least a Further intergovernmental agreement will be decade away (although many analyses of greenhouse critical. Dr Mike Farley, Director of Technology Policy gas mitigation costs require it to be ready for routine Liaison at Doosan Power Systems and, until June operation in the 2020s). However, a number of 2010, a member of the UK Government’s Advisory lessons can be drawn from the efforts to develop Committee on Carbon Abatement Technology CCS. Firstly, a large-scale endeavour with the scope argues, ‘There are three fundamental steps that need and ambition of CCS cannot succeed without high- to be taken to ensure CCS is on an equal footing with level intergovernmental co-operation, significant other energy technologies: regulation, including the investment and the creation of appropriate financial transfer of liabilities where appropriate; the creation and regulatory incentives. Secondly, industries which of appropriate financial incentives; and a clear plan emit CO2 can play a crucial role in any solution, for the next stage of roll-out. A specific, quantifiable and can bring invaluable resources, expertise and global agreement on CCS would be a huge step influence.382 Furthermore, CCS has inspired many forward.’ Mexican hieroglyphics, from Voyage de Humboldt et Bonpland, by Friedrich Wilhelm Heinrich Alexander von Humboldt, 1811. From the Royal Society library and archive.96 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 3.4 Co-ordinated efforts to tackle global such as food, water and energy security, are obvious problems and well documented, whereas others such as the Part 3 has provided a snapshot of several prominent ozone hole (and climate change a few decades international research efforts directed towards global ago) are not. Other problems, such as SARS, arise challenges. Analysing these different research efforts sufficiently quickly and dangerously as to require in detail enables the identification of a number of the identification of rapid solutions which need an recurring themes in the way that global challenges international response, while other potential solutions, are identified, defined and addressed. These can be such as CCS, benefit greatly from a systematic global broken down into two stages as follows: approach. Systematic, proactive horizon scanning is therefore Initiation crucial in order to bring new problems, and/or new Identification of the challenge. Previously potential responses to long-standing problems, to unknown challenges are often identified through the the attention of those in power. The IPCC’s work, serendipitous discoveries or far-sighted theorising underpinned by a vast international network of of individual scientists or research teams, as with scientists around the world, is a good example of this the depletion of the ozone layer, or Arrhenius’s kind of horizon scanning in action. The combined 19th-century prediction of climate change resulting input of stakeholders across the spectrum will be from greenhouse gas emissions. It is therefore invaluable in ensuring the early identification of issues essential that supporting ‘blue skies’ research and that need, or would benefit from, global responses empowering outstanding individual scientists to as they emerge, in order to better prepare for future shape their own research agenda should remain disease outbreaks, resource shortages or challenges at the heart of national and international science as yet unidentified.funding. Problems and solutions in science often Identification of suitable forums for initiatingcome from unexpected sources. action. Once the problem, or possible solution, New problems can also be brought to the has been identified, the next vital stage is to get the attention of scientists and/or policy makers from local problem onto the radar screen of those with the sources ‘on the ground’, which is often the case in necessary power and resources to be able to act. the field of infectious disease. In other cases, such as For example, CCS required significant funding and ITER and CCS, the problem was already well defined political will, which meant that the G8 was the most and a possible solution needed to be identified; in powerful and decisive body to kick-start the process, the latter case, industry played a crucial role in this and the interplay between industry, government through scenario work. science advisers and the leaders themselves One of the main difficulties lies in identifying proved crucial. In the case of CGIAR, it was the problems that require a global response—some, sustained long-term support of the World Bank, 381 ammond J & Shackley S (2010). H Research Findings, CCS project 382 ovell B (2009). Challenged by L Towards a public communication experiences, tools, resources and carbon: the oil industry and climate and engagement strategy for best practices. Scottish Carbon change. Cambridge University carbon dioxide capture and storage Capture and Storage, University of Press: Cambridge, UK. projects in Scotland: a review of Edinburgh: Edinburgh, UK. Knowledge, networks and nations: Global scientific collaboration in the 21st century 97
    • Table 3.1. Summary of international research efforts discussed in Part 3. PART 3 Initiative Strengths Weaknesses Global approaches IPCC • omprehensive geographic C • igh-profile (if not critical) errors in some H to global problems Intergovernmental assessment representation and ownership of its reports The IPCC is the leading international • ngages governments and policymakers; • wned by all countries, but governed E O body for the assessment of climate clear policy impact by none change, established by the United Nations • xtends knowledge on climate change; E • traying into policy advocacy S Environment Programme (UNEP) and the shaping research agenda and building • erceived political bias P World Meteorological Organisation (WMO) research capacity to provide the world with a clear scientific [The 2010 IAC review of IPCC addresses • ynthesises and assesses a wide range S such weaknesses; the IPCC has view of the current state of knowledge of high quality research from around the in climate change and its potential implemented many of its recommendations world to improve its comprehension, already and will discuss remaining ones at environmental and socio-economic impacts. relevance and accessibility to the its May 2011 Plenary] policymaking community • timulates public discourse and profile S of climate change CGIAR • ighly efficient investment, with every H • urrently undergoing radical reforms C Consortium $1 invested leading to $9 worth of which are too early to assess—more additional food produced in developing centralised structures may result in CGIAR is a global partnership which aims countries better donor co-ordination and less to achieve sustainable food security and duplication, but may adversely affect reduce poverty in developing countries • ombines cutting-edge global research C with practical, local impact freedom of individual centres and through scientific research and research capacity for exploratory research -related activities in the fields of agriculture, • eadiness and capacity to undergo R forestry, fisheries, livestock, policy and the radical reform environment. Bill and Melinda Gates Foundation • rive, ambition and resources D • paque governance structure O Philanthropy • upports innovative, risk-taking research S • arge investments may create perverse L The Bill & Melinda Gates Foundation is the • rovides innovative incentives for the P incentives/unintended consequences in richest private foundation in the world, pharmaceutical industry to address developing countries dedicated to bringing innovations in health, neglected tropical diseases development, and learning to the global • ets an example to other wealthy S community. philanthropists • timulates public–private partnerships S and creativity • ast and agile F98 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Initiative Strengths WeaknessesITER • echnical agreement was a catalyst for T • ime needed to build confidence TLarge facilities/infrastructure other agreements between partners working in a new configurationITER is an international project to design and • roject stimulated international co- Pbuild an experimental fusion reactor based operation—huge costs meant it would • ifficulty of reconciling political and Don the ‘tokamak’ concept. not have been possible without it technical interests, resulting (eg.) in sub- optimal procurement arrangements in terms of time and cost minimisationCarbon capture and storage • rings the resources, expertise and B • cale of the challenge and time required SGovernment-Industry collaboration research strengths of industry to address to solve it means further international a major global challenge agreements and funding are necessaryCCS is a range of technologies that have the potential to trap a significant proportion • CS has catalysed intergovernmental C • ollaboration between government Cof CO2 emissions from power stations and co-operation at the highest level, and and industry requires resolution of a large industrial plants that burn fossil fuels, encouraged genuine commitment number of issues relating to liability and given added impetus by the decision of the regulation, including the establishment G8 in 2005 to accelerate its development. of a carbon pricewith UN backing, that enabled it to build on the early need for action identified, the next stage involves successes of private philanthropy. the implementation of the proposed solution. However, climate change was already apparent Governments must be persuaded to act. This can to governments around the world by the 1980s, and be through high-level, quiet diplomacy, as the links it was national meteorological services, responding between industry and government helped to achieve to the demand for more information from their in the case of CCS, or through more formal reporting governments, that led to the creation of the IPCC mechanisms such as IPCC and CGIAR. through the UN mechanism, which represented a Sources of funding also need to be identified. wide range of countries and brought openness and Long-term projects which require large facilities, legitimacy. expensive technology and upfront investment, Where existing institutions or forums are such as CCS and ITER, would not be possible inappropriate or outdated, new mechanisms have without national governments making long-term arisen in some cases to fill the gaps. Since its funding commitments or creating appropriate inception in the 1990s, the Gates Foundation has incentive frameworks, in addition to pooling labour saved over 3 million lives through the GAVI Alliance, and resources where necessary, and navigating and focused the agenda of malaria research towards political sensitivities. Where programmes rely on the eradication of the disease, which arguably would multilateral consensus, buy-in and action, national not have happened under the auspices of the pre- financial contributions through forums such as the existing global health bodies. UN are a crucial part of maintaining accountability and inclusivity. Philanthropists such as the Gates Implementation Foundation have a vital role to play, as they can take Once the problem has been defined and the risks and support excellent science wherever it takes Knowledge, networks and nations: Global scientific collaboration in the 21st century 99
    • place, in ways that national governments would find maximise coherence and minimise duplication. PART 3 difficult; the CGIAR’s work was in part pioneered by Multidisciplinarity. Given this the vision of foundations such as Rockefeller. In areas interconnectedness, a multidisciplinary approach is Global approaches such as next generation nuclear technology, and essential. One of the key ingredients of the Montreal to global problems where market incentives encourage it, industry plays Protocol’s success was in bringing together scientists an important part. and social scientists from a variety of disciplines; From our analysis of the action taken by the global similarly, IPCC’s working groups bring together challenge research programmes we have profiled, a natural and social scientists. Researchers from all number of overarching themes emerge: disciplines have a role to play in shaping future Governance. Good governance, transparency adaptation and mitigation policies, requiring the and accountability are crucial to international reconciliation of quite different methodologies and collaborative frameworks. At the same time, they terminologies. must be agile and flexible enough to support Funding and incentives. Although many efforts innovative, risk-taking research—where the to address global challenges are funded directly philanthropic sector arguably leads the way in some by governments, philanthropists, industry or other areas. It is also important to ensure that models actors, incentive structures can play a vital role in are structurally appropriate. ITER, for example, has supporting risk-taking research and encouraging encountered some difficulties because its main behaviour change. (This is something that is clearly Organisation and Council are responsible for the being increasingly recognised, as the increase in project, but most of the budget is held by individual the number of incentive prizes discussed earlier countries’ Domestic Agencies which are accountable demonstrates.) Reducing CO2 emissions through only to their own authorities. The IPCC, on the CCS will not be achieved by market forces alone, other hand, is owned by all UN member states but and will only be possible within an internationally governed by none of them effectively.383 At the other agreed and effective carbon pricing framework. extreme, the Gates Foundation’s investments are Pooling of resources also adds value. A fundamental largely driven by the interests of a single family and achievement of the CGIAR reform has been to their advisers, whom critics have argued are not convince donors to move from direct funding of sufficiently responsive to local needs. specific projects or centres to contributing to a Global challenges are often interdependent and global fund, capable of more strategic deployment of interrelated, as evident in the interplay between resources and monitoring of impact. climate change, poverty, water, food and energy Involvement of industry. We have seen how security, population change, and biodiversity loss. senior experts within power companies are playing The dynamic between these issues is complex, yet a key role in co-operating with governments in many global assessment and research programmes developing CCS technology, bringing formidable are managed separately, reflecting a lack of any knowledge and commitment to addressing the co-ordination in the policy sphere. Governments, problem. Likewise, the pharmaceutical industry civil society and the private sector need to consider has responded to the Gates Foundation’s financial how to integrate the many disparate global challenge incentives to develop crucial drugs for saving lives frameworks in order to co-ordinate research efforts, in the developing world. In any collaborative project, 100 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • but particularly in those involving industry, reaching where traditional scientific infrastructure is weak, this a common understanding on intellectual property may involve drawing on local indigenous knowledge will be essential; this is an issue with which ITER is or non-peer-reviewed research, especially in the having to contend and is demonstrated by the novel development of adaptation strategies which are cost-approaches devised by the Zero Emissions Platform. effective, participatory and sustainable.385 IPCC’s use Many global challenges, and CCS is a case in point, of ‘grey literature’ is a case in point. These sources will require substantial investment from, and the are important, but the management of tensions creation of an appropriate incentive structure by, between orthodox, peer-reviewed science and government—but will rely on industry to carry out less formal sources of knowledge will have major the work. Agreements should take into account the implications for the governance of global challenge need for publicly funded research to be accountable, research in the years ahead. and the need to appropriately safeguard and reward Engagement. As global challenges become innovation and creativity. increasingly prominent, issues of expertise, Capacity building. All countries have a stake democracy and accountability become more in solving global challenges, both in defining and pressing. We have seen this with climate change, prioritising them and in using global research output which has polarised debate in many countries, and to inform local, national and regional responses. where criticism and analysis have been greatly However, national and local capacity to deliver amplified in recent years by new media such as and apply science is highly variable. The IPCC has blogs, Facebook and Twitter. These present a attempted to develop this capacity in the field of formidable challenge for communications teams at climate science through its scholarships programme bodies such as the IPCC, which were established for developing countries, while many have argued in an earlier era. Pressures such as these will raise that the work of the Gates Foundation could be transparency issues around data access, and may greatly enhanced by devoting more attention to radically change the way scientists collaborate. institutional capacity building. Global challenge Likewise, the possible risks and pay-offs associated programmes should therefore consider incorporating with the development of ambitious technologies such a capacity-building element,384 to help minimise these as CCS, which involve significant amounts of public disparities and improve scientific literacy across the funds, should be clearly communicated as they piece. progress. Addressing global problems requires an It is therefore critical to ensure continuous understanding of their local manifestations. In areas assessment of the design and framing of research 383 AC (2010). Climate change I 384 or a discussion of the F capacities in science and and sustainable development. assessments: review of the importance of scientific capacity technology. InterAcademy Council: International Journal of Global processes and procedures of the in addressing global challenges, Amsterdam, The Netherlands. Environmental Issues 1, 2/2001, IPCC. InterAcademy Council: see InterAcademy Council 130–149. Amsterdam, The Netherlands. (2004). Inventing a better future: 385 obinson J & Herbert D (2001). R a strategy for building worldwide Integrating climate change Knowledge, networks and nations: Global scientific collaboration in the 21st century 101
    • questions through to the production, diffusion, vary, but all offer valuable lessons for tackling future PART 3 exploitation and assessment of new knowledge; global challenges. this will help to ensure that the involvement of all Policy makers now need to harness the self- Global approaches appropriate stakeholders is encouraged as much organising, researcher-led and bottom-up global to global problems as possible. Greater public engagement in science, science system and deploy it optimally to address for example, presents an opportunity for a more critical challenges facing the planet. This will widespread assessment of some environmental involve both ‘top-down’ approaches that invoke challenges, as is illustrated by the rise of ‘citizen the combined power and resources of national science’.386 However, even in cases where science governments as and when necessary, orchestrating seems to hold the answers, it works best when it is effective co-ordinated work by large interdisciplinary supported by and enables other approaches, and this teams, and also recognising the pivotal role of is vital for implementation. individual researchers and small teams. Models like those discussed here show what can Moving forward be achieved—and conversely where lessons can This chapter has discussed five high-profile and be learnt from approaches that have not worked contrasting approaches to collaboration. Each of so well. Given the urgency of global challenges, these provides an insight into how scientists organise challenge-led approaches are likely to dominate themselves, or are encouraged by others, to address research agendas in years to come. This creates shared challenges. There is no single formula great opportunities for progress, but may also have appropriate for addressing global problems. Some are unintended consequences as research agendas are best tackled through intergovernmental co-operation; skewed in certain directions, a risk that will need to some on the basis of co-ordinating existing national be constantly debated and reviewed. systems; others are driven by a variety of innovative partnerships or consortia. Governance frameworks 386 COS Magazine (2009). Citizen E Scientific and Industrial Research science breaks new ground. ECOS Organisation (CSIRO) Publishing: 149, 10–14. Commonwealth Collingwood, Victoria, Australia.102 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • CONCLUSIONS AND RECOMMENDATIONS: Cultivating the global scientific landscapeStrain in graphene opens up a pseudomagnetic gap. Generated by the Condensed Matter Physics Group at the University of Manchester, this image is a representation of the work at Manchester lead by Professor Andre Geim FRS, a Royal Society Research Professor, and Professor Konstantin Novoselov, a Royal Society University Research Fellow. Professors Geim and Novoselov were awarded the Nobel Prize for Physics in 2010 for their groundbreaking experiments regarding graphene, a form of carbon, which is the thinnest and strongest material ever isolated. Both men have been cited since their award as ‘global scientists’; both were born and studied in Russia, spent time in the Netherlands, and are now based here in the UK, attracting funding and accolades from UK, European, and international sources. © Paco Guinea 2010. Knowledge, networks and nations: Global scientific collaboration in the 21st century 103
    • Science is becoming increasingly global, with more suitable collaborators in their field wherever they are CONCLUSIONS AND scientific activity taking place in more countries, cities located to progress their research, bringing together RECOMMENDATIONS: and institutions than ever before. At the same time, a range of relevant and complementary skills and growing global collaboration is making this activity resources. Cultivating the global increasingly interconnected. Continued growth in Efficiency and effectiveness: the drive to scientific landscape worldwide research spending and the development combine intellectual, financial and infrastructural of easier and faster ways to collaborate means that resources, to achieve more than one nation could this trend looks set to continue. manage alone, best exemplified by multinational The league tables of science, so long dominated projects such as the LHC and the Human Genome by the ‘scientific superpowers’ such as the USA, Project. Western Europe and Japan, are in flux. In the Necessity: to address high-level global challenges coming years, China, Brazil, India and South Korea such as climate change and pandemics which do are set to assert themselves even further, along not recognise national boundaries, and which require with newly emergent scientific nations in the Middle large-scale co-operation and the mobilisation of East, South-east Asia, North and South Africa, and resources to tackle them, as well as the application middle-ranking industrial countries such as Canada of global knowledge to local manifestations of these and Australia as well as some of the smaller nations problems. of Europe. The recognition of the role that science The challenge for governments, scientists, civil can play in driving economic development, and in society, and others, is how to reap the maximum addressing local and global sustainability has led to benefit of global science; how to ensure that the increased research activity and the application of fruits of this science are best used to address current science within less developed countries. global issues, and to prepare for the opportunities International collaboration fundamentally and challenges of the future. enhances and transforms scientific research; it is The recommendations that follow are intended to driven by three main factors: provide a basis for scientists, and those who support, Quality: the added value gained by bringing facilitate and fund scientific activity around the world, together different skills, knowledge and perspectives to realise the full potential of globally collaborative (manifested in the increased citations of papers with research. international collaborators). Scientists search out 104 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 1. Support for international science 2. Internationally collaborative scienceshould be maintained and strengthened should be encouraged, supported andIn order to best benefit from ‘global science’ (socially, facilitatedeconomically and intellectually), nations need to be Global collaboration brings significant benefits, able to adapt their science and innovation strategies both measurable (increased citation impact, access so that they can absorb the fruits of the best to markets), and less easily quantifiable, such as research, wherever it may have taken place. This broadening research horizons. It is primarily driven means being open to collaboration, and participating by scientists seeking to work with the best people in multi-partner activities where all parties can share and access the best data and equipment wherever and learn from global scientific excellence. Nations they are found, to develop their research and find which adopt flexible science and research systems answers to the big questions in their fields. This will be best placed to respond to the opportunities appetite for collaboration is further fuelled by offered by the changing science landscape. advances in communication technologies, greater • Even in difficult economic times, national ease of international travel and the wider impact governments need to maintain investment of globalisation. Collaboration is also increasingly in their science base to secure economic essential for addressing the global challenges of the prosperity, tap into new sources of innovation and 21st century. The facilitation of collaboration therefore growth, and sustain vital connections across the has a positive impact on national science and on global research landscape. Sustained investment national science systems. builds a nation’s capacity to assimilate excellent • Research funders should provide greater science, wherever it may have been conducted, support for international research for that country’s benefit. collaboration through research and mobility • International activities and collaboration grants, and other mechanisms that support should be embedded in national science research networks. and innovation strategies so that the domestic • National border agencies should minimise science base is best placed to benefit from the barriers to the flow of talented people, intellectual and financial leverage of international ensuring that migration and visa regulations are partnerships. not too bureaucratic, and do not impede access • Commitments to multinational research for researchers to the best science and research efforts and infrastructures should not be across the world. seen as easy targets for cuts during a period • National research policies should be flexible of economic turbulence. To cut subscriptions and adaptive in order to ensure that international to joint research endeavours, without due collaboration between talented scientists is not diligence and assessment, is a false economy. By stifled by bureaucracy. disengaging from these efforts, countries run the risk of isolating their national science and losing relevance, quality and impact. Knowledge, networks and nations: Global scientific collaboration in the 21st century 105
    • 3. National and international strategies • Recognising the interconnectedness of global CONCLUSIONS AND for science are required to address global challenges, funders of global challenge RECOMMENDATIONS: challenges programmes should devise ways to better Global challenges are social, economic and co-ordinate their efforts, share good practice, Cultivating the global environmental in nature, engage a wide range minimise duplication and maximise impact. scientific landscape of stakeholders, and impact on all cultures and Where possible, these should draw on existing countries. The global scientific community is infrastructure or shared technology. increasingly concerned with finding solutions to • National research funding should be ‘global challenges’; while the challenges may be adaptive and responsive to global interconnected, many of the efforts to tackle them challenges, supporting the interdisciplinary are not. Governments, civil society and the private and collaborative nature of the science required sector need to think more systematically about to address these issues. frameworks for co-operation on global challenges • In devising responses to global challenges, and how they should relate to each other. governments worldwide need to rely on There is little natural incentive for the market to robust evidence-based policy making, drive basic research independently in these areas. and bring excellent scientists into the policy Consequently, there is a clear role for national advisory process. governments to take the lead in understanding and articulating these challenges, bringing together diverse organisations, philanthropists, researchers and resources. This should allow scientists to better respond to new challenges and opportunities for research, while taking account of the broader social implications, and recognising the need for equitable access and participation across the global scientific community. By the same token, public participation and ‘citizen science’ will become increasingly important, as global challenges become more prominent and more public resources are spent on them. Red chalk drawing of sprouting beans from Anatome plantarum, by Marcello Malpighi, 1675. From the Royal Society library and archive.106 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • 4. International capacity building is crucial 5. Better indicators are required in orderto ensure that the impacts of scientific to properly evaluate global scienceresearch are shared globally Traditional metrics do not fully capture the dynamics Tackling global challenges requires the very best of the emerging global science landscape. Levels available science: to measure and predict impacts, of investment in R&D, the activities of funding identify solutions, design mitigation strategies bodies and the characteristics of national science and evaluate pathways for adaptation. Countries and innovation strategies only tell part of the story. worldwide need to be involved in the design Global science in 2011 is increasingly characterised and framing of research questions about shared by bottom-up, researcher-led networks. These are challenges, and should have an underlying capacity founded on the architecture of national science to respond to these questions. The wide disparities systems but operate increasingly independently of between nations in their science spending and them, often at local and regional levels, sometimes science infrastructure demonstrate that, despite drawing on less conventional sources of science global growth, there are countries and regions that and innovation. To capture the transformative are ill-equipped to play a full role in the 21st-century impact that these scientists and their networks are global landscape. having on international science, more sophisticated • Researchers and funders should commit to impact measures are required to provide a richer building scientific capacity in less developed understanding of the available knowledge. They countries to help improve their ability to conduct, must go beyond the traditional indicators of national access, verify and use the best science, and to scientific output and recognise the important informal ensure that they can contribute to global scientific characteristics of collaboration. debates and develop local solutions to global • UNESCO (and other agencies such as the problems. OECD) should investigate new ways in which• Scientific capacity building must involve trends in global science can be captured, financial support for authors in developing quantified and benchmarked, in order to countries to publish in open access journals. help improve the accuracy of assessments of Open access publishing has made a wealth of the quality, use and wider impact of science, scientific literature available to the developing as well as to gauge the vitality of the research world, but conversely it has made it harder for environment. their scientists to publish under the ‘author pays’ • There is a specific lack of data on the flow model. and migration of talented scientists and• National academies, learned societies and their diaspora networks. UNESCO, OECD and other similar institutions should actively others should investigate ways of capturing this promote public and wider stakeholder information as a priority, which would enable dialogue to help identify, shape and policy makers to better understand, nurture and respond to global challenges and their oversee global science for the benefit of society as local manifestations. a whole. Knowledge, networks and nations: Global scientific collaboration in the 21st century 107
    • Glossary of acronyms ASEAN A ssociation of Southeast Asian Nations FONDAP Fund for Advanced Research in Priority AU African Union Areas BERD B usiness enterprise expenditure on FP E uropean Commission’s Framework research and development Programme BRIC A grouping acronym that refers to GAVI G lobal Alliance for Vaccines and the countries of Brazil, Russia, India, Immunisation and China that are deemed to all be GERD G ross expenditure on research and at a similar stage of newly advanced development economic development GEF Global Environmental Facility CAGR C ompound annual growth rate – an GDP G ross Domestic Product – a measure of average growth rate over a period of total economic activity several years G7 Group of seven of the world’s leading CCS Carbon capture and storage industrialised nations, comprising CERN t he European Organisation for Nuclear Canada, the US, UK, France, Germany, Research Italy and Japan CGIAR C onsultative Group on International G8 G roup of eight which includes Russia Agricultural Research in addition to the nations above, the EC European Commission leaders of which meet face-to-face at an ESO E uropean Organisation for Astronomical annual summit Research in the Southern Hemisphere G20 G roup of twenty finance ministers and EU European Union central bank governors, established EIARD E uropean Initiative for Agricultural in 1999 to bring together systemically Research for Development important industrialized and developing EURATOM uropean Atomic Energy Community E economies to discuss key issues in the DAs ITER Domestic Agencies global economy DfID D epartment for International GOVERD overnment expenditure on research G Development (UK) and development FAO F ood and Agriculture Organisation of the GRISP Global Rice Science Partnership United Nations GWI Global Water Initiative FAPESP undação de Amparo à Pesquisa F IAASTD nternational Assessment of Agricultural I do Estado de São Paulo (Research Knowledge, Science and Technology for Foundation for the State of São Paulo, Development Brazil) IAC InterAcademy Council108 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • ICT I nformation and communication NGOs Non-governmental Organisations technologies OECD O rganisation for Economic Co-operation ICSU I nternational Council for Science, and Development formerly International Council of R&D Research and development Scientific Unions R4L R esearch4Life – the collective name IDRC I nternational Development Research for three public-private partnerships Centre (Canada) which seek to help achieve the UN’s iGem I nternational Genetically Engineered Millennium Development Goals by Machine competition providing the developing world with IO ITER Organisation access to critical scientific research IPBES I ntergovernmental Science-Policy SBSTA S ubsidiary Body for Scientific and Platform on Biodiversity and Ecosystem Technological Advice Services SESAME S ynchroton-light for Experimental IPCC Intergovernmental Panel on Climate Science and Applications in the Middle Change EastIRRI International Rice Research Institute SKA Square Kilometre Array – an international ISTIC I nternational Science, Technology and effort to build the world’s largest radio Innovation Centre for South-South telescope Cooperation (under the auspices of TWAS A cademy of Sciences for the Developing UNESCO) World (formerly Third World Academy of ITER I nternational Tokamak Experimental Sciences) Reactor UN United NationsKAUST K ing Adbullah University for Science and UN-CSTD U nited Nations Commission on Science Technology, Saudi Arabia and Technology for Development (CSTD)KEMRI Kenya Medical Research Institute UNDP U nited Nations Development MDGs M illennium Development Goals – eight Programme targets which range from halving UNEP United Nations Environment Programme extreme poverty to halting the spread UNESCO nited Nations Educational, Scientific U of HIV/AIDS and providing universal and Cultural Organisation primary education, all by the target date UNFCCC U nited Nations Framework Convention of 2015 –agreed to by all UN member on Climate Change countries WHO World Health OrganisationMIT Massachusetts Institute of Technology WMO World Meteorological Organisation MRC Medical Research Council Knowledge, networks and nations: Global scientific collaboration in the 21st century 109
    • Acknowledgments We received 80 responses to our call for evidence Academy of Sciences) from individuals, academies, research institutions, Professor David Finney CBE FRS government departments, and other organisations Professor Jacques Friedel ForMemRS from around the world. These are listed below. Dr Phillip Griffiths Academia de Ciencias Físicas, Matemáticas y Professor Harsh Gupta Naturales, Venezuela Professor John Gurdon FRS Academy of Athens Professor Julia Higgins FRS Academy of Sciences Malaysia Professor Jonathan Howard FRS Academy of Scientific Research and Technology Professor Julian Hunt CB FRS (ASRT), Egypt IIASA – International Institute for Dr Reza Afshari Applied Systems Analysis Amity Group of Institutions Indian National Science Academy Professor Werner Arber Professor Yucel Kanpolat Professor U Aswathanarayana Professor Loet Leydesdorff Professor David Barker FRS Professor Paul Linden FRS Brazilian Academy of Sciences (ABC) Professor Alan Mackay FRS Dr Sydney Brenner FRS Professor Nicholas Mitchison FRS Professor Jonathan Butterworth Dr Indira Nath Professor V S Chauhan Nationale Akademie der Wissenschaften Leopoldina Chilean Academy of Sciences Professor Richard Nelmes OBE FRS Professor Jennifer Clack FRS Dr Rodney Nichols Dr Malcolm Clarke FRS Professor Anthony Pearson FRS Dr Rajendra Dobhal Professor Geoffrey Raisman FRS Eesti Teaduste Akadeemia (Estonian Dr Baldev Raj110 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Dr Elibio Rech The UK’s Science and Innovation Network based Professor Miles Reid FRS in the UK Embassies, Consulates, and High Royal Netherlands Academy Of Arts Commissions listed below, each provided detailed And Sciences (KNAW) responses to the call for evidence.Royal Scientific Society, Jordan British Consulate General, TorontoScience Council of Japan British Consulate General, MilanProfessor James Scott FRS British Consulate-General, San FranciscoProfessor Norman Sheppard FRS British Embassy, Berlin Professor David Sherrington FRS British Embassy, MadridProfessor Wesley Shrum British Embassy, The HagueProfessor Wilson Sibbett FRS British Embassy, ParisProfessor Peter Singer British Embassy, PragueProfessor K P Sinha British Embassy, StockholmProfessor Nigel Smart British Embassy, BerneProfessor Karen Steel FRS British Embassy, TokyoSudanese National Academy of Sciences British Embassy, WashingtonDr M K Surappa British Embassy, BeijingProfessor Nick Trefethen FRS British Embassy, Tel AvivTurkish Academy of Sciences (TUBA) British Embassy, WarsawProfessor Atta Ur-Rahman FRS British High Commission, New DelhiDr S Varadarajan British High Commission, SingaporeWellcome Trust British High Commission, Wellington British Trade & Cultural Office, Taipei A system of musical pipes from the Isle of Amsterdam (Tongatapu Island, Tonga), paper and drawing by Joshua Steele, 1 December 1775. From the Royal Society library and archive. Knowledge, networks and nations: Global scientific collaboration in the 21st century 111
    • In addition, this study would not have been possible Professor Jonathan Jones FRS without contributions from a range of individuals and Dr Jong-Deok Kim organisations. In particular, we would like to thank: Joanna Lacey Professor Tim Abram Laurie Lee The Academy of Sciences for the Developing Dr Daniel Lefort World (TWAS) Dr Sunil Mehra Professor Howard Alper Professor Charles Mgone Professor Sir Roy Anderson FRS Microsoft Professor Lidia Brito OECD Dr Doo-Yong Choi Dr David Peters Professor Steve Cowley Dr Fabien Petitcolas Dr Bruce Currie-Alder Dr Ken Rice Department for Business, Innovation and Skills (BIS) Professor Thomas Rosswall Department for International Development (DfID) Dr Yeong-Cheol Seok Dr Mike Farley Shell Professor Brian Greenwood FRS Susan Schneegens Peter Haynes Dr Graeme Sweeney Professor Stuart Haszeldine UNESCO Jennifer Heurley Dr Jonathan Wadsworth Steve Hillier Professor Bob Watson David Hone Jun Yanagi Dame Sue Ion Dr Axel Zander InterAcademy Panel (IAP) Dr Bob Zeigler International Development Research Centre (IDRC) Dr Gang Zhang112 Knowledge, networks and nations: Global scientific collaboration in the 21st century
    • Side elevations of an armed vessel powered by rowers. An illustration for Samuel Baron’s A description of thekingdom of Tonqueen, 1685. From the Royal Society library and archive. Knowledge, networks and nations: Global scientific collaboration in the 21st century 113
    • The Royal Society For further informationThe Royal Society is a Fellowship of more than 1400 outstanding The Royal Societyindividuals from all areas of science, mathematics, engineering and Science Policy Centremedicine, who form a global scientific network of the highest calibre. The 6–9 Carlton House TerraceFellowship is supported by over 140 permanent staff with responsibility for London SW1Y 5AGthe day-to-day management of the Society and its activities. The Society T +44 (0)20 7451 2500encourages public debate on key issues involving science, engineering F +44 (0)20 7451 2692and medicine, and the use of high quality scientific advice in policymaking. E science.policy@royalsociety.orgWe are committed to delivering the best independent expert W royalsociety.orgadvice, drawing upon the experience of the Society’s Fellows and ForeignMembers, the wider scientific community and relevant stakeholders.We are working to achieve five strategic priorities:• Invest in future scientific leaders and in innovation• Influence policymaking with the best scientific advice• Invigorate science and mathematics education• Increase access to the best science internationally• Inspire an interest in the joy, wonder and excitement of scientific discovery ISBN 978-0-85403-890-9 ISBN: 978-0-85403-890-9 Issued: March 2011 Report 03/11 DES2096 Founded in 1660, the Royal Society is the independent scientific academy of the UK, dedicated to promoting excellence in science 9 780854 038909 Registered Charity No 207043 Price £39