ryl scty- knowledge, nation, science

Knowledge, networks and nationsGlobal scientific collaboration in the 21st century

Knowledge, Networks and Nations: Global scientific collaboration in the 21st centuryRS Policy document 03/11 Issued: March 2011 DES2096 ISBN: 978-0-85403-890-9 The Royal Society, 2011 Requests to reproduce all or part of this document should be submitted to: The Royal Society 69 Carlton House Terrace London SW1Y 5AG T +44 (0)20 7451 2500 F +44 (0)20 7930 2170 E [email protected] W royalsociety.org

Cover photo: Strain 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.

ContentsExecutive summary .................................... 5 Recommendations ...................................... 8 The Advisory Group .................................. 10 Conduct of the study .................................11 Introduction: going global ........................ 14 Part 1: Scientific landscape in 2011......... 151.1Trendsanddevelopmentsinglobalscience... 16 1.1.1 Emergingscientificnations.........................19 1.1.2 Assessingresearchqualityandimpact.....24 1.1.3 Globalscientists...........................................26 1.1.4 Braingain,drainandcirculation.................26 1.1.5 Disciplinaryshifts?.......................................28 . 1.1.6 Readingtheresearch..................................29 . 1.1.7 Openingaccess...........................................30 . 1.2Applyingscience................................................ 31 1.2.1 BusinessR&D ..............................................31 . Is business R&D recession proof?...............32 Location of business R&D............................32 1.2.2Patentgrowth...............................................33 1.3Driversofresearch.............................................34 1.3.1 Securingprosperityand stayingcompetitive.....................................35 . 1.3.2Addressingglobalchallenges.....................36 1.3.3Nationalscienceinaglobalage.................36 1.4Centresforscience............................................37 1.4.1 Centresofresearchandinfrastructure......39 1.5Anewworldorder?........................................... 41 1.6Theworldbeyond2011.....................................42

Part 2: International collaboration............ 452.1Patternsofcollaboration...................................46 . 2.1.1 Collaborationinanationalcontext ............47 . 2.1.2 Whoiscollaboratingwithwhom?.............49 2.2Regionalcollaboration.......................................54 2.2.1 SouthSouthcollaboration: agrowingtrend............................................54 2.3Whycollaborate?...............................................57 2.3.1Seekingexcellence......................................57 2.3.2Thebenefitsofjointauthorship..................59 2.3.3Capacitybuildingthroughcollaboration...61 . 2.3.4Thegeopoliticalpotentialof scientificcollaboration.................................62 2.4Underlyingnetworks.........................................62 2.4.1 Tappingintotheglobalnetworks ofscience......................................................63 2.5Enablingcollaborationtopromote excellentscience................................................64 2.5.1 Technology....................................................64 2.5.2Fundingmechanisms..................................67 2.6Harnessingcollaboration .................................. 70 .

Designsofvasesandteapotsthat wouldbefoundinahouseofa merchantinCanton,fromDesigns of Chinese buildings,byWilliam Chambers,1757.FromtheRoyal Societylibraryandarchive.

Knowledge, networks and nations: Global scientific collaboration in the 21st century 3

Part 3: Global approaches to global problems .................................... 713.1Scientificsolutions.............................................73 3.2Globalresearchgovernance............................. 74 3.2.1Challenge-ledresearchinitiatives...............75 3.2.2Integratingchallengesand maximisingresources.................................77 . 3.2.3Buildingcapacityandresilience.................78 3.3Casestudies.......................................................79 3.3.1Theworldslargestwarningsystem: theIntergovernmentalPanelon ClimateChange(IPCC)................................80 3.3.2Centresofexcellenceinagriculture: theConsultativeGrouponInternational AgriculturalResearch(CGIAR)...................83 . 3.3.3Atransformativeimpactonglobalhealth: theBillandMelindaGatesFoundation.....86 . 3.3.4Towardssustainableenergy: theInternationalTokamak ExperimentalReactor(ITER).......................90 3.3.5CapturingtheinitiativeonCO2: theglobaleffortstodeploycarbon captureandstorage(CCS)technology.....93 . 3.4Co-ordinatedeffortstotackle globalproblems.................................................97 .

Conclusions and recommendations: Cultivating the global scientific landscape................................. 103 Glossary of acronyms ............................. 108 Acknowledgments ...................................110

MapofChina,fromAn embassy from the East-India Company of the United Provinces to the Grand Tartar Cham, byJohnNieuhoff,1669.Fromthe RoyalSocietylibraryandarchive.

4 Knowledge, networks and nations: Global scientific collaboration in the 21st century

Executive summaryScienceisaglobalenterprise.Todaythereareover 7millionresearchersaroundtheworld,drawing onacombinedinternationalR&Dspendofover US$1000billion(a45%increasesince2002),and readingandpublishinginaround25,000separate scientificjournalsperyear.Theseresearchers collaboratewitheachother,motivatedbywishingto workwiththeverybestpeopleandfacilitiesinthe world,andbycuriosity,seekingnewknowledgeto advancetheirfieldortotacklespecificproblems. Knowledge, Networks and Nationsreviews,based onavailabledata,thechangingpatternsofscience, andscientificcollaboration,inordertoprovideabasis forunderstandingsuchongoingchanges.Itaimsto identifytheopportunitiesandbenefitsofinternational collaboration,toconsiderhowtheycanbestbe realised,andtoinitiateadebateonhowinternational scientificcollaborationcanbeharnessedtotackle globalproblemsmoreeffectively. FromSingaporetoSouthAfrica,newresearchers andresearchcommunitiesarereshapingthe landscapeforscienceandinnovation,solong dominatedbytheUSA,JapanandEurope.This reportexploresthischanginggeographyofscience andinnovation.InPart1,itmapsandinvestigates whereandhowscienceisbeingcarriedoutaround theworldandthewaysinwhichthispictureis changing. Science in 2011 is increasingly global, occurringinmoreandmoreplacesthanever before.Scienceisaddressingquestionsofglobal significance.Itissupportedbygovernments, business,philanthropistsandcharities. Thereareparticularcountrieswherethisincreased activityisespeciallystriking,withinvestmentand scientificproductivityoutstrippinggeneraltrends ofgrowth.TheriseofChinahasbeenespecially notable,overtakingJapanandEuropeinterms ofitspublicationoutputinrecentyears.Beyond China,rapiddevelopmentshavealsotakenplace inIndia, Brazilandnew emergent scientific nationsintheMiddleEast,South-EastAsiaand NorthAfrica,aswellasastrengtheningofthe smallerEuropeannations. However,the traditional scientific superpowers still lead the field.TheUSA, WesternEuropeandJapanallinvestheavily inresearchandreceiveasubstantialreturnin termsofperformance,withlargenumbersof researcharticles,thelionsshareofcitationson thosearticles,andsuccessfultranslation,asseen throughtheratesofpatentregistration. Thecontinuedstrengthofthetraditionalcentres ofscientificexcellenceandtheemergenceofnew playersandleaderspointtowardsanincreasingly multipolar scientific world,inwhichthe distributionofscientificactivityisconcentratedin anumberofwidelydispersedhubs. Beyond these hubs, science is also flourishing.Therecognitionoftherole thatsciencecanplayindrivingeconomic development,andinaddressinglocalandglobal issuesofsustainability,hasledtoincreased researchactivityandtheapplicationofscientific methodandresultswithinlessdeveloped countries.


Part2revealstheshiftingpatternsofinternational Theconnectionsofpeople,throughformaland collaboration.Internationalscienceislargely informalchannels,diasporacommunities,virtual conductedthroughbottom-up,informalconnections, globalnetworksandprofessionalcommunities asscientistsbecomemoremobileandaslarge ofsharedinterestsareimportantdriversof andoftencomplexdataaresharedattheclickofa internationalcollaboration.These networks button.Buttop-down,solutions-orientedinitiatives span the globe. Motivated by the bottom-up arealsohelpingtoshapetheresearchlandscape, exchange of scientific insight, knowledge asscientistsorganisethemselves,orarebeing and skills, they are changing the focus of organised,totacklesharedconcerns. science from the national to the global level. The scientific world is becoming increasingly Yetlittleisunderstoodaboutthedynamicsof interconnected, with international networkingandthemobilityofscientists,how collaboration on the rise.Todayover35% theseaffectglobalscienceandhowbestto ofarticlespublishedininternationaljournals harnessthesenetworkstocatalyseinternational areinternationallycollaborative,upfrom25% collaboration. 15yearsago. Collaboration brings significant benefits,both Collaboration is growing for a variety of measurable(suchasincreasedcitationimpact reasons.Developmentsincommunication andaccesstonewmarkets),andlesseasily technologiesandcheapertravelmakeiteasier quantifiableoutputs,suchasbroadeningresearch thaneverbeforeforresearcherstowork horizons.Thefacilitationofcollaboration,therefore, together;thescaleofresearchquestions,and hasapositiveimpactnotonlyonthescience theequipmentrequiredtostudydemands conducted,butonthebroaderobjectivesfor thatresearchersaremobileandresponsive. anysciencesystem(bethatenhancingdomestic Collaborationenhances the qualityof prosperityoraddressingspecificchallenges). scientificresearch,improves the efficiency and effectivenessofthatresearch,andis increasingly necessary,asthescaleofboth budgetsandresearchchallengesgrow. However,the primary driver of most collaboration is the scientists themselves. Indevelopingtheirresearchandfindinganswers, scientistsareseekingtoworkwiththebest people,institutionsandequipmentwhich complementtheirresearch,whereverthey maybe.


Part3ofthisreportexplorestheroleof internationalscientificcollaborationinaddressing someofthemostpressingglobalchallengesofour time.Thereportconcentratesonfivecasestudies, andconsidersthestrengthsandshortcomings ofexistingmechanismswhichbringscientific communitiestogethertoaddressglobalchallenges. IPCC, CGIAR, the Gates Foundation, ITER and efforts to deploy carbon capture and storage technologydemonstratehowscienceisalready beingusedtorespondtothesechallenges,and providemodelsandlessonsforhowitmightbe betterdeployedinthefuture. Theglobalscientificcommunityisincreasingly chargedwithordrivenbytheneedtofind solutionstoarangeofissuesthatthreaten sustainability.These global challenges have received much attention in recent years, and are now a key component of national and multinational science strategies and many funding mechanisms. Global challenges are interdependent and interrelated:climatechange,water,foodand energysecurity,populationchange,andlossof biodiversityareallinterconnected.Thedynamic betweentheseissuesiscomplex,yetmany globalassessmentandresearchprogrammes aremanagedseparately,oftenreflectingalackof co-ordinationinthepolicysphere.Governments, civilsocietyandtheprivatesectorneedtotakea broaderperspectiveonglobalchallengesinorder toappreciatehowtheyareinterrelated.

Globalchallengesarebeingaddressedviaa numberofdifferentorganisationalmechanisms: throughintergovernmentalorinternational bodies,throughnationalsystems,andbyprivate individualsandcorporations.Thesemechanisms oftendeploynovelandinnovativeformsof partnership,someofwhichworkwell,others lessso.Valuable lessons can be drawn from existing models in designing, participating in and benefiting from global challenge research. Science is essential for addressing global challenges, but it cannot do so in isolation. Awiderangeofapproacheswillberequired, includingtheappropriateuseoffinancial incentives,incorporatingnon-traditionalformsof knowledge,andworkingwiththesocialsciences andwiderdisciplines.Scienceiscrucialbutit isunlikelytoproducealltheanswersbyitself: thescienceinfrastructureworksbestwhenitis supportedby,andenables,othersystems. All countries have a role in the global effort to tackle these challenges,bothindefining andprioritisingthemandinusingglobalresearch outputtoinformlocal,nationalandregional responses.Thisneedisincreasinglybeing acknowledgedforinclusivityandcapacitybuilding acrossregionsandcontinents,inhelpingto meet(national)needs,andindevelopingaglobal infrastructurethatisresilienttonewchallenges.


Knowledge, Networks and Nations concludes with a set of recommendations to further strengthen global science.This reportcallsformorecreative,flexibleandbetterresourcedmechanismstoco-ordinateresearch acrossinternationalnetworksandtoensurethat scientistsandsciencecanfulfiltheirpotential.Italso callsformorecomprehensiveandinclusiveways ofmeasuringandevaluatingthesciencewhichis deliveredandappliedinallitsformsaroundthe world.Finally,thereporthighlightstheimportance ofscienceandthewiderevidencebasein underpinningrobustpolicymaking,especiallyaround sharedglobalchallenges. Understandingglobalsciencesystems,their mechanismsandmotivations,isessentialifweare toharnesstheverybestsciencetoaddressglobal challengesandtosecurethefutureofourspecies andourplanet.

Commitments to multinational research efforts and infrastructures should not be seen as easy targets for cuts during a period of economic turbulence.Tocutsubscriptions tojointresearchendeavours,withoutdue diligenceandassessment,isafalseeconomy.By disengagingfromtheseefforts,countriesrunthe riskofisolatingtheirnationalscienceandlosing relevance,qualityandimpact. 2. Internationally collaborative science should be encouraged, supported and facilitated Research funders should provide greater support for international research collaborationthroughresearchandmobility grants,andothermechanismsthatsupport researchnetworks. National border agencies should minimise barriers to the flow of talented people, ensuringthatmigrationandvisaregulationsare nottoobureaucratic,anddonotimpedeaccess forresearcherstothebestscienceandresearch acrosstheworld. National research policies should be flexible and adaptiveinordertoensurethatinternational collaborationbetweentalentedscientistsisnot stifledbybureaucracy. 3. National and international strategies for science are required to address global challenges Recognisingtheinterconnectednessofglobal challenges,funders of global challenge programmes should devise ways to better co-ordinate their efforts, share good practice, minimise duplication and maximise impact. Wherepossible,theseshoulddrawonexisting infrastructureorsharedtechnology.

Recommendations1. Support for international science should be maintained and strengthened Evenindifficulteconomictimes,national governments need to maintain investment in their science basetosecureeconomic prosperity,tapintonewsourcesofinnovationand growth,andsustainvitalconnectionsacrossthe globalresearchlandscape.Sustainedinvestment buildsanationscapacitytoassimilateexcellent science,whereveritmayhavebeenconducted, forthatcountrysbenefit. International activities and collaboration should be embedded in national science and innovation strategiessothatthedomestic sciencebaseisbestplacedtobenefitfromthe intellectualandfinancialleverageofinternational partnerships.


National research funding should be 5. Better indicators are required in order to adaptive and responsive to global challenges, properly evaluate global science supportingtheinterdisciplinaryandcollaborative UNESCO (and other agencies such as the natureofthesciencerequiredtoaddressthese OECD) should investigate new ways in which issues. trends in global science can be captured, In devising responses to global challenges, quantified and benchmarked,inorderto governments worldwide need to rely on helpimprovetheaccuracyofassessmentsof robust evidence-based policy making,and thequality,useandwiderimpactofscience, bringexcellentscientistsintothepolicyadvisory aswellastogaugethevitalityoftheresearch process. environment. There is a specific lack of data on the flow 4. International capacity building is crucial to and migration of talented scientists and ensure that the impacts of scientific research their diaspora networks.UNESCO,OECDand are shared globally othersshouldinvestigatewaysofcapturingthis Researchers and funders should commit to informationasapriority,whichwouldenable building scientific capacity in less developed policymakerstobetterunderstand,nurtureand countriestohelpimprovetheirabilitytoconduct, overseeglobalscienceforthebenefitofsocietyas access,verifyandusethebestscience,andto awhole. ensurethattheycancontributetoglobalscientific debatesanddeveloplocalsolutionstoglobal problems. Scientific capacity building must involve financial support for authors in developing countries to publish in open access journals. Openaccesspublishinghasmadeawealthof scientificliteratureavailabletothedeveloping world,butconverselyhasmadeitharderfor theirscientiststopublishundertheauthorpays 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.

Instructivememoireonthenew chronologicaltableofthehistory ofChina,bytheViceroyofCanton, 1724.FromtheRoyalSocietylibrary andarchive.


The Advisory GroupAdvisory Group ProfessorSirChrisLlewellynSmithFRS(Chair), DirectorofEnergyResearch,UniversityofOxford ProfessorSirLeszekBorysiewiczKBEFRS,Vice Chancellor,UniversityofCambridge ProfessorLornaCasseltonFRS,ForeignSecretary andVicePresident,TheRoyalSociety ProfessorSirGordonConwayKCMGDLFRSFRGS, ProfessorofInternationalDevelopment,Imperial CollegeLondon ProfessorMohamedHassan,Co-Chair, InterAcademyPanel(IAP);ExecutiveDirectorofthe AcademyofSciencesfortheDevelopingWorld (TWAS)(untilMarch2011) ProfessorMelissaLeach,Director,STEPSCentre, InstituteofDevelopmentStudies,Universityof Sussex ProfessorAngelaMcLeanFRS,AllSoulsSenior ResearchFellow,DepartmentofZoology,University ofOxford ProfessorGoverdhanMehtaFRS,CSIRBhatnagar FellowandHonoraryProfessor,Departmentof OrganicChemistry,IndianInstituteofScience ProfessorJohnMitchellOBEFRS,Directorof ClimateScience,MetOffice DrColinOsborne,RoyalSocietyUniversityResearch Fellow,DepartmentofAnimalandPlantSciences, UniversityofSheffield ProfessorMartynPoliakoffCBEFRS,Research ProfessorinChemistry,TheUniversityofNottingham DrPhilRufflesCBEFREngFRS,FormerDirector, EngineeringandTechnology,RollsRoyceplc ProfessorCarolineWagner,SchoolofInternational Affairs,PennsylvaniaStateUniversity

Royal Society Science Policy CentreLukeClarke,PolicyAdviser LauraDawson,SeniorPolicyAdviser NatalieDay,SeniorPolicyAdviser DrTraceyElliott,HeadofInternational HarrietHarden-Davies,Intern TonyMcBride,HeadofStrategy JamesMeadway,SeniorPolicyAdviser SarahMee,PolicyAdviser IanThornton,PolicyAdviser DrJamesWilsdon,DirectorofSciencePolicy RapelaZaman,SeniorPolicyAdviser

Review PanelTheRoyalSocietygratefullyacknowledgesthe contributionofthereviewers.TheReviewPanel wasnotaskedtoendorsetheconclusionsor recommendationsofthereport,nordidtheysee thefinaldraftofthereportbeforeitsrelease. ProfessorJohnPethicaFRS(Chair),Physical Secretary,RoyalSociety ProfessorBruceAlbertsForMemRS,Departmentof BiochemistryandBiophysics,UniversityofCalifornia SanFrancisco ProfessorJuanAsenjo,President,ChileanAcademy ofSciences DrMatthewFreemanFRS,Head,DivisionofCell Biology,MRCLaboratoryofMolecularBiology ProfessorSirBrianHeapCBEFRS,FormerDirector, InstituteofAnimalPhysiologyandGeneticsResearch ProfessorGeoffreyOldhamCBE,Honorary Professor,SPRUScienceandTechnologyPolicy Research,UniversityofSussex


Conduct of the studyThestudyleadingtothisreportwasoverseenbyan Identifyandassessillustrativeexamples AdvisoryGroupofFellowsoftheRoyalSocietyand ofopportunitiesandchallengesthese otherdistinguishedexperts,supportedbythestaffof changespresentforpolicymakers,scientists, theRoyalSocietySciencePolicyCentre.Elsevierhas intergovernmentalagenciesandbusiness. providedfinancialsupport,andfullaccesstotheir Examineanddiscusshowinternationalscientific publicationdatabasesandanalyticalservices collaborationcanbebetterutilisedtoaddress throughoutthestudy.Thedraftingofthereport,its globalproblemssuchasclimatechange,food conclusionsandrecommendationsarethoseofthe andwatersecurity,andinfectiousdiseases. RoyalSocietyalone. Drawconclusionsaboutthecollaborativenature Knowledge, Networks and Nations: Global scientific ofresearchinthe21stcentury,andconsiderthe collaboration in the 21st centuryhasbeenapprovedby potentialimplicationsforpolicymakers. theCounciloftheRoyalSociety. ThestudywasformallylaunchedinJanuary2010. TheRoyalSocietyestablishedanAdvisoryGroup Collection of evidence madeupofinternationallyrenownedscientists Evidencegatheringfortheprojecttookplacein andsciencepolicyexpertsfromaroundtheworld, fiveways: chairedbySirChrisLlewellynSmithFRS.Theaim aformalprocess,throughadetailedCallfor ofthestudy,asoutlinedintheTermsofReference, Evidence; wastoprovideananalysisoftheglobalscientific aspecialdiscussionsessionformembersofthe landscapein2011foraglobalaudienceofscientists, InterAcademyPanel,heldtocoincidewithits governments,business,internationalorganisations GeneralAssemblyattheRoyalSocietyinJanuary andNGOs.Itsspecificgoalswereto: 2010; Provideanoverviewofhow,where,whyand face-to-faceandtelephoneinterviewswithkey bywhomscientificresearchisbeingcarriedout figuresininternationalscienceandsciencepolicy acrosstheworld,andthewaysinwhichthis fromaroundtheworld; pictureischanging. extensivedeskresearch; Compilebothquantitativeandqualitativeevidence dataanalysis,includingworkwithElsevier. toofferanoverviewofthesedevelopments throughtheuseofElseviersandotherdatabases suchasUNESCOandOECD,andbymakinguse oftheSocietysextensiveinternationalnetworks, includingitsglobalFellowshipofover1,400 outstandingindividualsfromallareasofscience, mathematicsandengineering.

Advisory Group and terms of reference


Call for evidence TheCallforEvidencewassentouton27April 2010toFellowsoftheRoyalSociety,RoyalSociety ResearchFellowsandtheworldsscienceacademies, throughtheInterAcademyPanel(IAP),theAcademy ofSciencesfortheDevelopingWorld(TWAS), andtheUKGovernmentsScienceandInnovation Network(SIN). Wereceived80responsesfromindividuals, academies,researchinstitutions,government departmentsandotherorganisationsfromaround theworld.Thesearelistedattheendofthereport.

Defining global scienceTheRoyalSocietydefinesscienceasnatural knowledge.Inpractice,thisincludesthenatural sciences,mathematicsandengineering.Forthe purposesofthisreport,wherewediscussoverall totalsofpublications,theseincludesocialsciences, theartsandhumanities(inpractice,theserepresent averysmallproportionofpublicationoutput8.9%); thiscoverageisusedtomatchtheinputstatistics, whichallregisterresearchandresearchers,which aredisciplineneutral.However,ourexamples, casestudiesandobservationsaredrawnfrom thescientificcommunity. Throughoutthisreport,weuseanumber ofsourcestocharacteriseandquantifywhat ishappeninggloballyinscience.Inthisweare constrained,tocertainextents,bytheavailabledata. Inordertoachievethewidestinternationalcoverage, wehavemadeuseofUNESCOdataonthenumbers ofresearchers,1andtheexpenditureonresearch anddevelopmentasindicatorsofexpenditureand manpowerinscience(althoughalargeproportion ofresearchanddevelopmentisspentonDrather thanRand,assuch,reachesbeyondstrictscience spending).

Elsevier methodologyUnlessotherwiseindicated,allofthedatarelating topublicationoutputandimpactinthisreport havebeenprovidedbyElsevier.Wewouldliketo acknowledgetheanalysisandinsightsprovidedby thefollowingindividuals: DrAndrewPlume,AssociateDirector, Scientometrics&MarketAnalysisResearch& AcademicRelations MayurAmin,SeniorVicePresidentResearch& AcademicRelations DrHenkMoed,SeniorScientificAdvisor Academic&GovernmentMarkets NielsWeertman,VicePresident,SciVal Academic&GovernmentMarkets PublicationdataarederivedfromScopus,the worldslargestabstractandcitationdatabaseof peer-reviewedliterature.Scopuscontainsover41 millionrecordsacross18,000journalsandcovers regionalaswellasinternationalliterature.Publication outputsinthisreportaredefinedasarticles,reviews andconferencepaperspublishedinthesejournals. Whereweconsideroveralltotalsofpublications, theseincludeoutputsinalldisciplines.


Pagefromanotebookonscientific expeditionstoMatoGrosso,Brazil, 1967to1969,byIainBishop.From theRoyalSocietylibraryandarchive.

ThesestatisticsareavailablethroughtheUNESCO InstituteofStatistics,andhavebeencomprehensively presentedandanalysedintherecentUNESCO ScienceReport,publishedinNovember2010. Publicationandpatentdataareincompleteproxies forscientificoutputandscientifictranslation,the firstbeingpredominantlytheoutputofacademic science,andtheotherrelatingtotheexploitationof ideasandconceptsratherthannecessarilybeing specificallyscientific.However,theyarethetwomain quantifiable,globallycollated,andcommonlyused sourcesofdataontheproductionandconsumption ofscience.Byusingthesedata,wearereflecting thecurrenttermsofreferencefordiscussionsof globalscience.Itiswidelyacceptedthattheyare inadequatetofullyexploretherichnessof21st centuryscience.Thepaucityofrichersourcesofdata offersachallengetonational,multilateralandglobal bodiestoexplorewaysofbettermeasuringthe inputs,outputsandimpactsoftheglobalscientific landscape.

1

T heOECDdefinesresearchers asprofessionalsengagedinthe conceptionorcreationofnew knowledge,products,processes, methodsandsystemsandalsoin themanagementoftheprojects concerned.SeeOECD(2002). Frascati manual: proposed standard practice for surveys on research and experimental development. OrganisationforEconomic Co-operationandDevelopment: Paris,France.


Introduction: going global WhenHenryOldenbergfoundedtheworldsfirst scientificpublicationin1665,2itdrewonemerging ideasfromGermany,Italy,Hungary,Franceandeven theBermudas.Itenjoyedawideinternational readership.Oldenburg,andtheotherfounding fellowsoftheRoyalSociety,dedicatedthisfirst editionofPhilosophicalTransactionstosharingthe HappyinventionsofobligingMenallovertheworld, totheGeneralBenefitofMankind. ButOldenbergcouldneverhaveimagined howmanyobligingmenandwomenwouldbe contributingtoscientificknowledgeacrosstheworld in2011.Sciencehastransformedourlivesinways whichwouldhavebeeninconceivablein1665.Just howitwillevolveoverthecomingcenturyisequally inconceivable.Yetonethingseemscertain:scienceis inherentlyinternationalandwillonlybecomemoreso. AsLouisPasteuronceputit,Knowledgebelongs tohumanity,andthusscienceknowsnocountry andisthetorchthatilluminatestheworld.Largely fundedatanationallevelandconductedprimarilyin nationalinstitutions,scienceisstillmoredetermined byplacethanPasteursdeclarationwouldsuggest. Andyet,itisaworldwideendeavour.In2008,218 countriesproducedover1.5millionresearchpapers, fromTuvalusonepaper,totheUKs98,000,Chinas 163,000,andtheUSAs320,000.3In2007,Sweden spentnearly3.7%ofitsgrossdomesticproduct (GDP)onresearchanddevelopment(R&D),Canada spent2%,emergingIndiaspent0.8%,andoilrich SaudiArabia0.04%.4Researchinvestmentand outputarefarfromevenlyspreadacrosstheworld, buttherearefewplaceswhicharenotinsomeway partofthescientificlandscape. Scienceisconductedinmoreplacesthanever before,butitisalsomoreinterlinked.Overone-third ofresearchpapersarethedirectresultofinternational collaboration,withauthorsaddressesfrommore thanonecountry.5Thenumberofinternationally co-authoredpapershasmorethandoubledsince 1990.6Researchersareincreasinglymobile,travelling longdistancestoworkwiththebestcolleagues intheirfield,toaccessresourcesandshareideas andfacilities.Andtheyarebeingsupported internationallythroughcross-borderfundingfrom internationalorganisations(charities,philanthropic fundingandbusiness),multilateralinitiativesbetween governmentsandresearchcouncils,multinational fundingbodiesandsharedscientificinfrastructure. Thescientificcommunityisinfluencedby globalisation,andisalsodrivenbyitsowndynamics. Scientistshavebeenbothmotivatedandenabledto workacrossdisciplinaryandinternationalborders bytechnologicaladvancesandshiftsingeopolitics. Butsciencehasalwayspushedboundaries,bethey technologicalornationalandpolitical.Globalscience isincreasing,butitisalsonothingnew.Thefounding membersoftheRoyalSociety350yearsagolooked beyondnationalborderstoextendthefrontiersof naturalknowledge.Todaysscientificpioneerswill needtoknowhowtonavigatethechangingglobal scientificlandscapeiftheyaretokeepextending thosefrontiers.Thisreportisintendedtohelpthem understandthedynamicsofthiscomplexandfastevolvingphenomenon.

2

O n6March1665,thefirstissue ofPhilosophicalTransactionswas publishedundertheeditorshipof HenryOldenburg,whowasalso theSecretaryoftheSociety.

3 4

DatafromElseviersScopus. D atafromtheUNESCOInstitute forStatisticsDataCentre, Montral,Canada. D atafromElseviersScopus.

6

5

L eydesdorffL&WagnerC(2005). Mapping global science using international co-authorships: a comparison of 1990 and 2000. InternationalJournalofTechnology andGlobalization3.Fora discussionofhowinternational

collaborationhasgrownoverall andattheregionallevel,see WagnerC&LeydesdorffL(2005). Network structure, self-organization and the growth of international collaboration in science.Research Policy34,10,16081618.


PART 1

Scientific landscape in 2011

Anewmanifestationofthe celebratedMollowtriplet, oneofthefundamental spectralshapesoflightmatterinteraction,from DrElenadelValle,Royal SocietyNewtonInternational Fellow,SchoolofPhysics andAstronomy,University ofSouthampton.Thetriplet asfoundbyMollowemerges inthelightemittedbyan atomwhenexcitedbya laser.Thedepictedtriplet isthecounterpartemission fromanatomwhenexcited incoherentlyinsideacavity. DrElenadelValle,2010.


Scienceisgrowingglobally.Sincethebeginningof the21stcentury,theglobalspendonresearchand developmenthasnearlydoubled,publicationshave Scientificlandscape grownbyathird,andthenumberofresearchers in2011 continuestorise(seeTable1.1).NorthAmerica, Japan,EuropeandAustralasiahaveallwitnessed growth,witheachincreasingspendingbyaround one-thirdbetween2002and2007.Inthesame period,developingcountries,7includingthe emergingeconomiesofChina,IndiaandBrazil,more thandoubledtheirexpenditureonR&D,increasing theircontributiontoworldR&Dspendingby7 percentagepointsfrom17%to24%.8 PART1

1.1 Trends and developments in global science

TheUSAleadstheworldinresearch,producing 20%oftheworldsauthorshipofresearchpapers,10 dominatingworlduniversityleaguetables,11and investingnearlyUS$400billionperyearinpublicand privateresearchanddevelopment.12TheUK,Japan, GermanyandFranceeachalsocommandstrong positionsinthegloballeaguetables,producinghigh qualitypublicationsandattractingresearcherstotheir worldclassuniversitiesandresearchinstitutes.These fivecountriesaloneareresponsiblefor59%ofall spendingonscienceglobally.13 However,thesecountriesdonotcompletely Table1.1.Global science by numbers.9 dominateglobalscience.Between1996and2008 theUSAlostone-fifthofitsshareoftheworlds Spend on research Numbers of Number of and development researchers publications articleauthorship,Japanlost22%andRussia24%. US$ %GDP TheUK,GermanyandFrancealsofellbackinrelative 2007 1145.7bn 1.7 7.1m 1.58m terms.14Figure1.1showshowthenumberofarticles 2002 790.3bn 1.7 5.7m 1.09m hasgrownandhowtheirdistributionacrossthe worldhaschangedinrecentyears,betweenthe Thearchitectureofworldscienceisalsochanging, periods1999to2003(Figure1.1a)and2004to2008 withtheexpansionofglobalnetworks.Theseinvolve (Figure1.1b). networksofindividuals,mostlyself-organisedbut Thetraditionalscientificleadershavegradually sometimesorchestrated(asintheHumanGenome losttheirshareofpublishedarticles.Meanwhile, Project).Somenetworksarebasedoncollaborations Chinahasincreaseditspublicationstotheextentthat atinternationalorganisations(suchasCERN);others itisnowthesecondhighestproducerofresearch arefundedinternationally,bymultinationalbusinesses outputintheworld.IndiahasreplacedtheRussian (whichfundtheirownlaboratoriesandworkin Federationinthetopten,climbingfrom13thin1996 universitiesacrosstheglobe),bymajorfoundations totenthbetween2004and2008.Furtherdownthe (suchasGates),orbycross-nationalstructuressuch listSouthKorea,Brazil,Turkey,SouthEastAsian astheEU.Theseglobalnetworksincreasinglyexerta nationssuchasSingapore,Thailand,andMalaysia, significantinfluenceontheconductofscienceacross andEuropeannationssuchasAustria,Greeceand theworld. Portugalhaveallimprovedtheirstandingsinthe globalscientificleaguetables.15


Changesintherankingofnationswithinthe leaguetablesareshiftingatthesametimeastotal outputisincreasing.Forexample,Italymaintaineda steadyshareofpublicationsbetween1996and2008 (3.5%ofworldproductioninbothyears,fluctuating between3%and4%overthewholeperiod);butin ordertoholdthispositionitincreaseditsnumberof articlesby32%.Allovertheworld,somecountries arerunningtostandstill16whileothersarebreaking intoasprint.

Figure1.1. Proportion of global publication authorship by country17The top ten producing countries in each period are shown. Fig a. 1999-2003. Fig b. 2004-2008

21% 30% 26% 34% Fig b 8% 7% 4% 5% 7% 2% 3% 3% 7% 6% 4% 4% 6%

Fig a 3% 3% 3% 4%

10%

7

B asedonthestandardUnited NationsStatisticsDivision classification(compositionof macrogeographical(continental) regions,geographicalsub-regions, andselectedeconomicandother groupings). U NESCO(2010).UNESCO science report 2010.DatafromUNESCO InstituteforStatistics,publishedin UNESCOScienceReport2010(p 2,Table1).UNESCOPublishing: Paris,France.Dataareprovided inUS$peggedatcurrentprices (2007pricesin2007,2002pricesin 2002)andreflectpurchasingpower parity. S pendonresearchand development:datafromUNESCO InstituteforStatistics,publishedin UNESCOScienceReport2010(p 2,Table1).Numberofresearchers: datafromUNESCOInstitutefor StatisticsDataCentre,UNESCO InstituteforStatistics:Montral, Canada.Numberofpublications: datafromElseviersScopus.

8

9

10 atafromElseviersScopus.Ifan D authoronapapergivesacountry ashisorheraddress,thatpaper isassignedtothatcountry.So apaperwhichhasbeenwritten byauthorsintheUK,Spainand Germanywouldbeassignedasa singlepaperineachcountry(that paperthereforebeingaccounted forthreetimesasanational paper).Figure1.1showsthe totalnumberofindividualpapers withoutanymultiplecounting. Thetotalnumberofnational papers(ie.withpaperscounted multipletimesifthereareauthors basedinmorethanonecountry) in2007was1,580,501;in2002 thiswas1,093,564.TheUSA produced316,317nationalpapers in2008(221,707withtheUSAas thesoleauthors,and94,610in collaborationinternationally);this represents19.97%ofallnational papersglobally. 11 heQSrankingshavesix T USuniversitiesinthetop10

(CambridgeintheUKisranked first,andtheotherthreearealso intheUK).IntheTimesHigher EducationWorldUniversity RankingstheUSAholdsthetop fivepositions,sevenofthetop 10placesand27ofthetop50 (theremainingthreeinthetop tenareintheUK).IntheARWU Rankingsthefourtoppositions and17ofthetop20areUS universities(theremainingthree inthetop20aretheUniversities ofCambridge,OxfordandTokyo). Source:AcademicRanking ofWorldUniversities(2010) availableonlineathttp://www. arwu.org/ARWU2010.jsp;QS TopUniversityRankings(2010) athttp://www.topuniversities. com/university-rankings/worlduniversity-rankings/home;Times HigherEducationWorldUniversity Rankings(2010)athttp://www. timeshighereducation.co.uk/worlduniversity-rankings/index.html, accessed29September2010.

12 ationalScienceBoard(2010). N Science and engineering indicators 2010.NationalScienceFoundation: Arlington,VA,USA. 13 atafromUNESCOInstitutefor D Statistics,publishedinUNESCO ScienceReport2010(p2,Table1). 14 atafromElseviersScopus. D 15 atafromElseviersScopus. D 16 oyalSociety(2010).The scientific R century: securing our future prosperity.RoyalSociety: London,UK. 17 atafromElseviersScopus.These D chartsshowthetop10countries bynumberofpublications,with allothercountriesincludedinthe othersegment.Thepiechartsare scaledtorepresenttheincreased volumeofpublicationsinthe twotimeperiods.In19992003 therewere5,493,483publications globally,andin20042008there were7,330,334.

Key United States Japan United Kingdom Germany France China Italy Canada Russian Federation India Spain Other


PART1 Scientificlandscape in2011

Box1.1. A note on the dataExpenditureonresearchanddevelopment (R&D)isusedthroughoutthisreportasaproxy forspendingonscience.Grossexpenditureon researchanddevelopment(GERD),ascollatedby theOECDandUNESCO,andusedinthisreport, includesinvestmentbygovernmentandbusiness enterprise,fundingfromoverseassources,and othersources,whichcanincludefundingby privatefoundationsandcharities.Inareasofthe reportwedistinguishbetweentheproportion ofthisgrossexpenditurespentbybusiness enterprise(BERD),andthatspentbygovernment (GOVERD).Thisisacommonlyused,yetlargely unsatisfactoryproxyforscience(and/orresearch) spending.Alargeproportionofresearchand developmentisspentonDratherthanR(withthe largestproportionspentonproductdevelopment). Assuch,thisfiguregoesbeyondtheactual amountofmoneydedicatedtofundingresearch,

inwhicheversector,butitisassumedthatthishas somerelationshiptotheupstreaminvestmentin sciencethatprecedesit. Unlessotherwisestated,wherechangesin expenditureovertimearediscussedinthereport, thefiguresusedarebasedoncurrentUS$prices (2004dollarsin2004,2008dollarsin2008)and purchasingpowerparity,18ascalculatedbyeither theOECDorUNESCO. Whenwerefertopapersinthereport,this referstopeer-reviewedarticleswhichhave appearedininternationaljournals.Thesedata havebeendrawn,unlessotherwisenoted,from ElseviersScopusdatabase.19Wherewediscuss overalltotalsofpublications,theseincludesocial sciences,theartsandhumanities(inpractice, theserepresentaverysmallproportionof publicationoutput8.9%);thiscoverageisused soastomatchtheinputstatistics,whichall registerresearchandresearchers,whichare disciplineneutral.

Article:CroonianLecture:Onthe anatomicalstuctureoftheeye,by EverardHome,drawingsbyFranz Bauer.PTvol112,1822,pp76-85. FromtheRoyalSocietylibraryand archive.


1.1.1EmergingscientificnationsChinasriseuptherankingshasbeenespecially striking.Chinahasheavilyincreaseditsinvestment inR&D,withspendinggrowingby20%peryear since1999toreachoverUS$100billionayeartoday (or1.44%ofGDPin2007),20inpursuitofitsgoal ofspending2.5%ofGDPonR&Din2020.21China isalsoturningouthugenumbersofscienceand engineeringgraduates,with1.5millionleavingits universitiesin2006.22 China,India,SouthKoreaandBrazilareoftencited asrisingpowersinscience.23Indiaproducesroughly 2.5millionscienceandengineeringgraduateseach year.24In2008,India,theworldssecondmost

populouscountry,succeededinsendingitsfirst unmannedflighttothemoon,becomingonlythe fourthcountrytolandacraftonthelunarsurface. Brazil,inlinewithitsaspirationtobeanatural knowledgeeconomy,buildingonitsnaturaland environmentalresources,isworkingtoincrease researchspendingto2.5%ofGDPby202225(from justover1.4%in2007).26SouthKoreahaspledged thatR&Dspending,(3.2%ofGDPin2007),willreach 5%ofGDPby2012.27 Thesecountriesarenotaloneinrapidlygrowing theirsciencebases.Overthelast15years,eachof theG20countrieshasbeenincreasingitsresearch productionandmosthavescaleduptheproportion

18 urchasingpowerparity(PPP) P measurestheamountofagiven currencyneededtobuythesame basketofgoodsandservices asoneunitofthereference currencyinthisreport,the USdollar.Itishelpfulwhen comparinglivingstandardsin differentcountries,asitindicates theappropriateexchangerateto usewhenexpressingincomesand pricesindifferentcountriesina commoncurrency. 19 orfurtherinformationonthe F methodologyusedbyElsevier, pleaseseetheConductofthe Studyonpage11. 20 ECD(2006).China will become O worlds second highest investor in R&D by end of 2006, finds OECD. Pressrelease,4December2006. OfficeforEconomicCo-operation andDevelopment:Paris,France. 21 heStateCouncilofthePeoples T RepublicofChina(2006).The national medium- and long-term program for science and technology development (20062020): an outline.Beijing,China. 22 inistryofScienceand M TechnologyofthePeoples RepublicofChina(2007).S&T statistics data book 2007.Beijing, China.Thisistheequivalentof

0.66%oftheChinesepopulation agedbetween15and24,which wasprojectedtobe228,663,000 in2010accordingtotheUnited NationsPopulationDivision. UNESCOstatisticsindicate thatthemostrecentfigures oftotalscience,engineering, manufacturingandconstruction graduates,expressedasa percentageoftheirprojected populationof1524-year-olds for2010(aspertheUNstatistics above),wouldequal0.95%in theUSA(428,256graduatesin thesedisciplinesin2008againsta projectedpopulationaged1524 of44,880,000in2010),and1.73% intheUK(140,575graduatesin thesedisciplinesin2007againsta projectedpopulationof8,147,000 in2010).Thesearenotperfect comparisons,asthemostrecent yearforwhichwehavegraduate dataavailablevariesbycountry, anditdoesnottakeintoaccount graduatesabovethisagerange, ortheproportionofpeopleinthe lowerendofthisagerangewho areunlikelytograduateattheir age.Sources:PopulationDivision oftheDepartmentofEconomic andSocialAffairsoftheUnited NationsSecretariat(2008).World population prospects: the 2008 revision.Availableonlineathttp:// esa.un.org/unpp,accessed7

January2011;UNESCOInstitute forStatisticswebsite:http://www. uis.unesco.org/,accessed13 January2011. 23 eeBoundK(2007).India: the S uneven innovator;WebbM(2007). South Korea: mass innovation comes of age;WilsdonJ& KeeleyJ.China: the next science superpower?;BoundK(2008). Brazil, the natural knowledge economy.Demos:London,UK; AdamsJ&WilsdonJ(2006). The new geography of science: UK research and international collaboration; AdamsJ&King C(2009).Global research report: Brazil;AdamsJ,KingC&Singh V(2009).Global research report: India;AdamsJ,KingC&MaN (2009).Global research report: China.Evidence,aThomson Reutersbusiness:Leeds,UK. Battelle(2009).2010 global R&D fund-ing forecast.Battelle: Columbus,OH,USA.Wilsdon J(2008).The new geography of science.PhysicsWorld,October 2008.GilmanD(2010).The new geography of global innovation. GoldmanSachsGlobalMarkets Institute:NewYork,NY,USA. 24 oundK(2007).India: the uneven B innovator.Demos:London,UK. Indiaspopulationagedbetween

15and24wasprojectedtobe justunder234millionaccording totheUN.Ifallthose2.5million graduateswerewithinthatage range,theywouldrepresent1.07% ofthepopulationinthatagerange. Source:UnitedNationswebsite. World population prospects: the 2008 revision.PopulationDivision oftheDepartmentofEconomic andSocialAffairsoftheUnited NationsSecretariat.Available onlineathttp://esa.un.org/unpp, accessed7January2011. 25 uglerH(2011).Brazil releases K science blueprint.SciDev.Net,7 January2011.Availableonlineat http://www.scidev.net/en/news/ brazil-releases-science-blueprint. html,accessed17January2011. 26 etherickA(2010).Science safe P in Brazil elections.Natureonline, 29September2010.Available onlineathttp://www.nature.com/ news/2010/100929/full/467511b. html,accessed17January2011. 27 toneR(2008).South S Korea aims to boost status as science and technology powerhouse. ScienceInsider, 23December2008.Available athttp://news.sciencemag.org/ scienceinsider/2008/12/southkorea-aim.html.


PART1

Scientificlandscape in2011

10%

12%

14%

16%

18%

20%

0% Argentina Australia Brazil China India Indonesia Korea, Republic of Mexico Saudi Arabia South Africa Turkey Canada France Germany Italy Japan Russian Federation United Kingdom United States -4% -2% 0% 2% 4% 6% 8%

Figure1.2. Science in the G20

2%

4%

6%

8%

20 Knowledge, networks and nations: Global scientific collaboration in the 21st centuryFig a10%

G8 labelled in red. Fig a. Annual growth in publications 1996-2008.28 Fig b. Annual growth in GDP spending on R&D 1996-200729

Argentina Australia Brazil 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

oftheirGDPspentonR&D(seeFigure1.2).Increased investmentandincreasedpublicationshavetaken placeintandem.Thegrowthofcommitment toscienceinanumberofthenon-G8nationsis especiallystriking. Turkeyhasimproveditsscientificperformanceat aratealmostrivallingthatofChina.Havingdeclared researchapublicpriorityinthe1990s,theTurkish GovernmentincreaseditsspendingonR&Dnearly six-foldbetween1995and2007,andnowspends moreannuallyincashtermsthaneitherDenmark, FinlandorNorway.30Overthisperiod,theproportion ofTurkeysGDPspentonR&Drosefrom0.28%to 0.72%,andthenumberofresearchersincreasedby 43%.31Fourtimesasmanypaperswerepublishedin 2008asin1996.32 ThenumberofpublicationsfromIranhasgrown fromjust736in1996to13,238in2008makingit thefastestgrowingcountryintermsofnumbersof scientificpublicationsintheworld.33InAugust2009, Iranannouncedacomprehensiveplanforscience focusedonhighereducationandstrongerlinks betweenindustryandacademia.Theestablishment ofaUS$2.5millioncentrefornanotechnology researchisoneoftheproductsofthisplan.Other commitmentsincludeboostingR&Dinvestmentto

4%ofGDP(0.59%ofGDPin2006),andincreasing educationto7%ofGDPby2030(5.49%ofGDPin 2007).34 Since1996,R&DasapercentageofGDPin Tunisiahasgrownfrom0.03%to1.25%in2009.35 Duringthesameperiod,asubstantialrestructuring ofthenationalR&Dsystemsawthecreationof624 researchunitsand139researchlaboratories,ofwhich 72aredirectedtowardslifeandbiotechnological sciences.36Lifesciencesandpharmaceuticalsremain atoppriorityforthecountry,withthegovernment announcinginJanuary2010thatitwantedtoincrease pharmaceuticalsexportsfive-foldinthenextfive yearswhilealsoaimingtohave60%oflocalmedicine needscoveredbythecountrysownproduction.37 In1996,Singaporeinvested1.37%ofGDPin R&D.By2007thishadreached2.61%ofGDP.38The numberofscientificpublicationshasgrownfrom 2,620in1996to8,506in2008,almosthalfofwhich wereco-authoredinternationally.39TheAgencyfor Science,TechnologyandResearch(A*STAR)iscentral tothegovernmentscommitmenttoinvestmentin worldclassresearchandinfrastructure,andoversees Singapores14researchinstitutesandassociated centreswithinflagshipdevelopmentssuchasBiopolis andFusionopolis.40AtacostofoverUS$370million,

28 atafromElseviersScopus. D 29 atafromUNESCOInstitutefor D StatisticsDataCentre,Montral, Canada.Notethatstatisticsfor somecountriesacrosstheperiod areincomplete.Theclosest accountableyearsintheperiod areusedwherecompletestatistics arenotavailable. 30 ECD(2010).Main science and O technology indicators (MSTI): 2010 edition, version 1.Organisation forEconomicCo-operationand Development:Paris,France. 31 ECD(2009).Main science and O technology indicators (MSTI): 2009

edition.OrganisationforEconomic Co-operationandDevelopment: Paris,France. 32 atafromElseviersScopus. D 33 cience-Metrix,Thirty years of S science.Montreal:http://www. Science-Metrix.com,accessed November2010. 34 awahelW(2009).Iran: 20-year S plan for knowledge-based economy.UniversityWorldNews. 35 adikizelaM(2005).The science M and technology system of the Republic of Tunisia.FromCountry Studies:ArabStates,UNESCO

website.Availableonlineathttp:// portal.unesco.org/education/en/ files/55545/11998913265Tunisia. pdf/Tunisia.pdf. 36 adikizelaM(2005).The science M and technology system of the Republic of Tunisia.FromCountry Studies:ArabStates,UNESCO website.Availableonlineathttp:// portal.unesco.org/education/en/ files/55545/11998913265Tunisia. pdf/Tunisia.pdf. 37 lobalArabNetwork(2010). G Tunisia to boost pharmaceutical & biotechnological industry. Global ArabNetwork,13January2010.

Availableonlineathttp://www. english.globalarabnetwork. com/201001134357/ Science-Health/tunisia-toboost-pharmaceutical-abiotechnological-industry.html. 38 atafromtheUNESCOInstitute D forStatisticsDataCentre. Montral,Canada. 39 atafromElseviersScopus. D 40 eehttp://www.a-star.edu.sg/ S AboutASTAR/Overview/tabid/140/ Default.aspx,accessed29 September2010.


of Tonqueen,1685.FromtheRoyal Societylibraryandarchive.

Biopolisisahigh-techbiomedicalparkwhichthe governmentlaunchedin2003.Sincethen,the countrysbiotechexpertisehascontinuedtoexpand Scientificlandscape andisattractingsomebigplayerssuchasNovartis, in2011 GlaxoSmithKlineandRoche.41 Thepictureofscientificresearchisalsostarting tochangeacrosstheMiddleEast,wherethere areanumberofsignificantnewcommitmentsto science.Gas-richQataraimstospend2.8%of GDPonresearchby2015.Withapopulationofjust over1.4million(ofwhicharound85%areforeign workers)andacurrentGDPofUS$128billion,this target,ifrealised,wouldcombinetogiveGERDper capitaofUS$2,474.42Sincethemid-1990s,theQatari Governmenthasintroducedanumberofeducation reformsandhasinvestedaroundUS$133billion ininfrastructureandprojectsdesignedtocreatea knowledge-basedeconomy.43TheUnited Arab Emiratesisattemptingtocreatetheworldsfirstfully TheKingofTonkinandretinueon theirwaytoaceremonialblessingof sustainablecityandinnovationhubtheMasdar theground.AnillustrationforSamuel Initiative.Duetoopenin2011,Masdarwilleventually BaronsA description of the kingdom PART1

house50,000peopleand1,500businessesfocused onrenewableenergyandsustainabletechnologies.44 GE,BP,Shell,MitsubishiandRolls-Royceareamong thosewhohavejoinedasstrategicpartners.45 Elsewhere,manyoftheworldspoorestcountries haveplacedsciencebehindmoreimmediate priorities,suchashealthcareandprimaryeducation. Thisisnottosaythatscienceandresearcharenot havinganimpactinthelessdevelopedworldat all,orthattherearenosignsofgrowth.Cambodia producedonlysevenarticlesin1996,butincreased thisto114by2008.BothUgandaandPeru,inthe sameperiod,increasedtheiroutputsfour-fold,albeit fromlowbases(Ugandafrom116to477papers,Peru from153to600).46Inthesecountries,aselsewhere, thereisoftenalsoawealthofinformalinnovation carriedoutbyfarmers,47localhealthpractitionersand smallfirmsfrequentlydrawingonlocalknowledge andlargelyunacknowledgedinformalmetrics,let alonepublishedinresearchpapers.48


theindexingservices.Regional,nationaland localjournalsinthenon-English-speakingparts Traditionally,globalscientificoutputhasbeen oftheworldareoftennotrecognisedand, measuredthroughtheanalysisofpublishedpapers asaconsequence,journals,conferencesand inpeer-reviewedjournals.Peerreviewmeansthat scientificpapersfromsomecountriesarenotwell thesciencethatispublishedhasbeensubjected representedbyabstractingservices. toindependentscrutinyandapprovedbyqualified Muchscientificliteratureisalsoproducedfor scientists,andtherebyassuresitsqualityand non-peer-reviewedpublications(andhencenot credibility.Thevolumeofscientificliteraturein coveredbyScopusorWebofScience).Often peer-reviewedjournalsisvast.Individualarticles referredtoasgreyliterature,thiscaninclude: areabstractedandcollectedontodatabaseswhich technicalreportsfromgovernmentagenciesand arethensearchablebytheirusers,usuallythrough NGOs;workingpapersfromresearchgroups subscription.Themostcomprehensiveofthese orcommittees;governmentwhitepapers; servicesareScopus(maintainedbyElsevier)and conferenceproceedingsandsymposia;anda WebofScience(maintainedbyThomsonReuters). growinglevelofpublicationoninternetsites.All Theseservicesprovideaccesstoinformation ofthesearepotentiallyvaluablecontributions abouttitles,authors,abstracts,keywordsand totheglobalstockofknowledge,buttheyare referencesforthousandsofjournalarticleseach notaccountedforintraditionalassessmentsof year.Thesedataareusedtoassessthequality researchoutput. ofresearchand,throughitsuseasmeasuredby Initsanalysesofglobalsciencethrough citations,itsimpact. bibliometricdata,thisreportdrawsexclusively Thereare,however,notablegapsinthe onthesepeer-reviewedsourcesofresearch, coverageofthebibliometricdatabases.Insome andspecificallyonElsevierdata.Itisclearthat casesthismaymeanthattheofficialpublication bibliometricdataalonedonotfullycapturethe figuresunder-representthetrueextentof dynamicsofthechangingscientificlandscape. scientificactivity.Forexample,therearemany However,theypresentlyoffertheonlyrecognised peer-reviewedjournalswhichdonotappearin andmostrobustmethodologyfordoingso.

Box1.2. Measuring global science through publications

41 ingaporeEconomicDevelopment S Board(2010).Pharmaceutical and biotech companies partner Singapore to accelerate innovation in Asia.Pressrelease,4May2010. SingaporeEconomicDevelopment Board:Singapore. 42 uthorscalculations.Qatars A populationis1,448,446andithas aGDPofUS$128billion.Source: USStateDepartmentwebsite.

Seehttp://www.state.gov/r/pa/ ei/bgn/5437.htm,accessed8 February2011.2.8%of128billion is3,584million,whichwhen dividedbythepopulationgivesus afigureof2,474.38. 43 ource:QatarFoundationwebsite. S Seehttp://www.qstp.org.qa/ output/page559.asp,accessed30 September2010.

44 ource:Masdar(2008).Seehttp:// S www.masdar.ae/en/mediaCenter/ newsDesc.aspx?News_ ID=40&MenuID=0,accessed29 September2010.Masdar(theAbu DhabiFutureEnergyCompany): AbuDhabi,UnitedArabEmirates. 45 nglandA(2007).Abu Dhabi eyes E renewable energy future.Financial Times,4April2007.

46 atafromElseviersScopus. D 47 coonesI&ThompsonJ S (2009).Farmer first revisited: innovation for agricultural research and development.Instituteof DevelopmentStudiesatthe UniversityofSussex:Brighton,UK. 48 TEPSCentre(2010)Innovation, S sustainability, development: a new manifesto.STEPSCentre:Brighton, UK.


Somegovernmentsanddevelopmentpartners areembracingthefactthatscienceisnotaluxury whichisthepreserveofdevelopedcountries. Scientificlandscape Theyrecognisethattechnologyandinnovationare in2011 keytoachievinglong-termeconomicandsocial development,49andthatscienceandscientific advicearevitalassetsingovernance.50PaulKagame, PresidentofRwanda,hasbeenastrongadvocatefor sciencefordevelopment,sayingWeinAfricamust eitherbegintobuildourscientificandtechnological trainingcapabilitiesorremainanimpoverished appendagetotheglobaleconomy.51Africanscience ministersresolvedinMarch2010that2011wouldbe thestartofanAfricandecadeforscience,promising increasedresearchbudgetsandattemptstouse scienceandtechnologytodrivedevelopment.52 Althoughencouraging,politicalcommitmentsto investinsciencearegreetedcautiouslybymany scientistsacrossAfricaandinotherpoorcountries. Itwasin1980thatAfricanpresidentsagreedto increaseresearchspendingto1%ofGDP,aspartof theLagosPlanofAction,53butby2007Sub-Saharan Africancountriesstillspentanaverageofjust0.5% oftheirGDPonscienceandtechnology.54African leadersreiteratedtheir1%target,thistimeagreeing toreachitby2010,55butSouthAfricaistheonlysubSaharancountrythatisclose,spending0.92%inthe 2008to2009financialyear.56 PART1

1.1.2AssessingresearchqualityandimpactAsresearchoutputhasgrown,sohavethelevelsat whichresearchersciteoneanotherswork.Citations areoftenusedasameansofevaluatingthequality ofpublicationsrecognitionbyanauthorspeers indicatesthatthescientificcommunityvaluesthe workthathasbeenpublished.Theyare,however,a laggingindicator,aswellasasometimescrudeone. Lookingattheglobalpictureinrecentyears,we canseethatcitationsareincreasingatagreaterrate24 Knowledge, networks and nations: Global scientific collaboration in the 21st century

thanpublicationsbetweentheperiods1999to 2003and2004to2008publicationsgrewby33% andcitationsby55%(seeFigure1.3).57However, whenexaminingcitationpatterns,themovementin nationalperformancehasnotbeenasdramaticas withpublicationnumbers.SwitzerlandandAustralia felldowntherankings,tobereplacedbyChinaand Spaininthelatterperiod,buttheperformanceof China,forexample,doesnotmirrorthatnations growthininvestmentorpublicationoutput.Citations continuetobemuchmoreconcentratedthanthe journalarticlesthemselves. Itwilltakesometimefortheabsoluteoutputof emergingnationstochallengetherateatwhichthis researchisreferencedbytheinternationalscientific community.Thereisalsodiversificationwithsome countriesshowingleadershipinspecificfields,such asChinainnanotechnology,58andBrazilinbiofuels,59 butthescientificallyadvancednationscontinueto dominatethecitationcounts. Citationsare,however,onlyonemeansof benchmarkingtheexcellenceofresearchoutput. WithoverUS$1,000billioneachyearbeingspenton R&D,itisunsurprisingthatfundersandgovernments wanttoknowwhatvaluetheyaregettingfortheir money. IntheUK,theimpactandexcellenceagenda hasdevelopedrapidlyinrecentyears.TheResearch AssessmentExercise,apeerreviewbased benchmarkingexercisewhichmeasuredtherelative researchstrengthsofuniversitydepartments,60is duetobereplacedwithanewResearchExcellence Framework,whichwillbecompletedin2014.61 TheUKResearchCouncilsnow(somewhat controversially)askallapplicantstodescribethe potentialeconomicandsocietalimpactsoftheir research.TheExcellenceinResearchforAustralia (ERA)initiativeassessesresearchqualitywithin Australiashighereducationinstitutionsusinga

combinationofindicatorsandexpertreviewby committeescomprisingexperienced,internationally recognisedexperts. Theimpactagendaisincreasinglyimportantfor nationalandinternationalscience(inEurope,the CommissionerforResearch,InnovationandScience hasspokenabouttheneedforaEurope-wide innovationindicator).63Thechallengeofmeasuring thevalueofscienceinanumberofwaysfacesall ofthescientificcommunity.Achievingthiswilloffer newinsightsintohowweappraisethequalityof science,andtheimpactsofitsglobalisation.

Figure1.3. Comparative proportion of global citations by country62The top ten cited countries in each period are shown. Fig a. 1999-2003. Fig b. 2004-2008

27% 21% 36% 2% 2% 3% 3% 4% 5% Fig a 3% 3% 7% 8% 9% 4% 4% 4% 5% 7% 5% Fig b

30%

8%

Key United States United Kingdom Germany Japan France Canada Italy Netherlands Australia Switzerland China Spain Other

49 onwayG&WaageJ(2010). C Science and innovation for development.UKCollaborativeon DevelopmentSciences:London, UK. 50 oyalSociety(2010).Science: an R undervalued asset in governance for development.RoyalSociety: London,UK. 51 agameP(2006).Speechby K RwandanPresident,PaulKagame, attheRoyalSocietyon18 September2006. 52 ordlingL(2010).African nations N vow to support science.Nature 465,994995. 53 rganizationofAfricanUnity O (1980).Lagos plan of action for the economic development of Africa

19802000.TheOrganizationof AfricanUnitywasdisbandedin 2002andreplacedbytheAfrican Union. 54 atafromUNESCOInstitutefor D Statistics,publishedinUNESCO ScienceReport2010(p2,Table1). 55 fricanUnion(2007).Assembly of A the African Union, eighth ordinary session, 2930 January 2007, Addis Ababa, Ethiopia: decisions and declarations.Assembly/AU/ Dec.161(VIII).AfricanUnion:Addis Ababa,Ethiopia. 56 epartmentofScienceand D Technology,South Africa (2010). South Africa maintains steady growth in R and D expenditure. Pressrelease,9September2010. DepartmentofScienceand

Technology:CapeTown,South Africa. 57 atafromElseviersScopus. D 58 oyalSociety(2010).The scientific R century: securing our future prosperity.RoyalSociety:London, UK. 59 oundK(2008).Brazil, the natural B knowledge economy.Demos: London,UK. 60 eehttp://www.delni.gov.uk/index/ S further-and-higher-education/ higher-education/role-structurehe-division/he-research-policy/ research-assessment-exercise.htm. 61 eehttp://www.hefce.ac.uk/ S research/ref/,accessed7January 2011.

62 atafromElseviersScopus. D Thesechartsshowthetopten countriesbynumberofcitations, withallothercountriesincluded intheothersegment.Thepie chartsarescaledtorepresentthe increasedvolumeofpublications inthetwotimeperiods.In 19992003therewere23,639,885 citationsglobally,andin2004 2008therewere36,562,135. 63 inneganG(2010).GeogheganF Quinn: we must communicate our R&D.Euractiv.com(European UnionInformationWebsite),5 May2010.Availableonlineat http://www.euractiv.com/en/ innovation/geoghegan-quinnwe-must-communicate-our-rdinterview-493702.


1.1.3GlobalscientistsRecentdecadeshaveseensignificantincreasesin theglobalcompetitionfortalent,withtheworkforce Scientificlandscape inplaceslikeSiliconValleyhighlightingtherolethat in2011 skilledmigrantscanplayininnovationandwealth creation.CountriesliketheUK,Australia,Canada andtheUSAhavegrappledwithcontentiouspolicy decisions,aimingtostriketherightbalancebetween encouragingthehighlyskilledontheonehand,and discouragingunskilledpotentialmigrantsonthe other. Withinaccuratedataandinconsistentdefinitions ofhighlyskilledacrosstheworld,itisdifficultto measurehighlyskilledmigration,particularlyamong scientists.Thereisnointernationallyagreeddefinition ofhighlyskilledworkers,althoughtheOECDs CanberraManualprovidesoneusefulbasisforthe measurementofhumanresourcesinscienceand technology(HRST).Theirdefinitionincludesthose whohavecompletededucationatthethirdlevel inaS&Tfieldofstudyand/orthosenotformally qualifiedbutemployedinaS&Toccupationwhere suchqualificationswouldnormallyberequired.64 AccordingtoOECDanalysistheUSA,Canada, AustraliaandtheUKattractedthelargestnumbers ofhighlyskilledexpatriatesfromOECDcountries in2001,followedbyFranceandGermany.65Ofthe UKs4.5millionforeign-bornadultpopulation,34.8% hadauniversity-leveleducation.Approximately 19.5%ofthesemigrantshadascientificbackground, manyofwhomhailedfromemergingeconomies suchasChinaandIndia.66However,wearefar fromunderstandingwhatfactorsinfluencethese individualschoiceoflocation.Howlongdothey intendtostay?Andhowdotheyconnectbackto theirresearchnetworksfromtheirnewhome? ThecareerpathsofrecentNobelprizewinners demonstratetheinternationaloutlookofmanyof theworldsmostsuccessfulscientists.Professor PART126 Knowledge, networks and nations: Global scientific collaboration in the 21st century

AndreGeimFRS,alongwithKonstantinNovoselov, wasawardedtheNobelprizeforPhysicsin2010. ProfessorGeimobtainedhisPhDattheRussian AcademyofSciencesinChernogolovka,moved totheUKforpostdoctoralpositionsatNottingham andBath,beforethenmovingontoCopenhagen andNijmegen,andreturningtotheUKin2001to theUniversityofManchester.NowaRoyalSociety ResearchProfessor,ProfessorGeimmaintainslinks withcolleaguesinRussia,andisstillaprofessorin theNetherlands.The2009winnerforPhysics,Sir CharlesKaoFRS,wasborninChina.Heobtained hisPhDfromtheUniversityofLondon,workedat theStandardTelecommunicationsLaboratoryinthe UK,andinboththeUSAandGermany.AdaYonath (thefirstwomanfromIsraeltowinaNobelPrize, andcurrentlybasedattheWeitzmannInstitutein Rehovot)heldpostdoctoralpositionsintheUSA andworkedinGermanybeforeshewonthe2009 Chemistryprize.Herco-winnerVenkatraman RamakrishnanFRSwasborninTamilNadu,India, undertookgraduatedegreesintheUSA,andnow worksinCambridge,England.

1.1.4Braingain,drainandcirculationTheNobelPrizeexamplesshowtheattractiveforce ofthestrongscientificnations,inparticulartheUSA andWesternEurope.Todayissuesofbraindrain areusuallyassociatedwithdevelopingcountries,but theoriginalphrasewascoinedbytheRoyalSociety in1963.Atthetime,theUKwasstrugglingtostem theexodusofitstopbrainstotheUSA.TheSociety founditselfatthecentreofafiercedebateastohow tocounterthisphenomenon,67withthethenMinister ofScience,LordHailsham,lamentingtheparasitising ofBritishbrains.68 Today,thefocusofdiscussionhasmovedfrom preventingbraindraintomakingthemostofbrain circulation.Ithasbeenarguedthatoldpatternsof

one-wayflowsoftechnologyandcapitalfromthe coretotheperipheryareslowlybreakingdown, creatingfarmorecomplexanddecentralisedtwowayflowsofskills,capitalandtechnology,with scientistsfollowingthebestscienceandthebest resources.69Somegovernmentsappreciatethe valueofbraincirculationandallocateresourcesfor attractingnationaltalentbackhometostartanew businessortakeupaseniorpositioninacademia, whilemaintainingusefullinksbacktotheUSAor Europe. Ofthe1.06millionChinesewhostudiedabroad between1978and2006,over70%didnotreturn.70It hasbeenapolicypriorityfortheChineseGovernment toattractthisdiasporaback.TheThousandTalents Program,establishedin2008,hasbroughtmore than600overseasChineseandforeignacademics backtoChina.LaunchingfurthermeasuresinMay 2010,PremierWenJiabaoannouncedthat,Wewill increasespendingontalentprojectsandlauncha seriesofinitiativestooffertalent-favourablepolicies inhouseholds,medicalcareandtheeducationof children.71Arangeoffacilities,bothpersonaland professional,isessentialtoensurethatreturning homeisanattractiveoption. India,meanwhile,hascreatedaspecific governmentministrytheMinistryofOverseas

Indianstoorganisepolicyrelatingtoremittances andinvestmentflows,aswellasrelaxingpreviously stringentcitizenshiprequirementstomakeiteasier forpotentialreturnees.Otherinitiativestoconnect Indiawithitsdiasporahavealsoprovenfruitful.The IndusEntrepreneurs(TiE),forexample,wasoriginally foundedbyIndianentrepreneursbasedinSilicon Valleyanditnowhasaglobalmembershipof12,000 peoplewithin11countries,andhasassistedinthe creationofbusinessesworthoverUS$200billionin India.72 Elsewhere,Malaysiarecentlyestablisheda newTalentCorporationwhichwillbecharged withconnectingwithdiasporacommunities. EcuadorsPresidentalsoannouncedaUS$1.7 millionPrometheusOldWisemanplantoattract seniorscientistswhoseeEcuadorastheretirement destinationofbrilliantminds.73 Yetattractingbackthediasporaisonlyone partoftheequation.Findingnewwaystoconnect withdiasporaandothercommunities,andtheir associatedglobalnetworks,isalsocritical.Nomadic scientistsareoftenkeentomaintainscientificand informallinkswiththeirhomecountries.Manyare eagertocontributebutareunsurewheretostart.In supportinginternationalcollaboration,thesediaspora communitiesareanuntappedresource.

64 ECD(1995).The measurement of O scientific and technological activities: manual on the measurement of human resources devoted to S&T: Canberra manual.Organisation forEconomicCo-operationand Development:Paris,France. 65 ECD(2002).The global O competition for talent: mobility of the highly skilled.Organisation forEconomicCo-operationand Development:Paris,France.

66 ECD(2008).A profile of immigrant O populations in the 21st century: data from OECD countries.Organisation forEconomicCo-operationand Development:Paris,France. 67 oyalSociety(1963).The R emigration of scientists.TheRoyal Society:London,UK. 68 almerB,GodwinM&GregoryJ B (2009).The Royal Society and the brain drain: natural scientists meet

social science. Notes&Recordsof theRoyalSociety63,4,339353. 69 axenianA(2006).The new S Argonauts: regional advantage in a global economy.HarvardUniversity Press:Cambridge,MA,USA. 70 ource:http://www.gov.cn S (ChineseGovernmentsofficial webportal).Seehttp://www. gov.cn/english/2010-06/07/ content_1622015.htm,accessed 13October2010.

71 henJ(2010).Nation aims to C increase talent pool.ChinaDaily,6 June2010. 72 oundK(2007).India: the uneven B innovator.Demos:London,UK. 73 irschfeldD(2010).Ecuador opens H its doors to senior scientists.SciDev. Net,16August2010.Available onlineathttp://www.scidev.net/en/ news/ecuador-opens-its-doors-tosenior-scientists.html.


Inreality,braindrainisstillamajorproblem.Ata recenteventattheRoyalSociety,PrincessSumaya ofJordanreflectedonthesuccessofJordanian Scientificlandscape graduatesintheregionandthewiderworld.Human in2011 capitalisourgreatestnaturalresource,shesaid,yet ithasbeenexportedformanyyears.Itissaidthat theFrenchkeepthebestchampagneforthemselves. Perhapsweshouldlearnfromthem.Dependingon thelevelofscientificcapacityathome,migrating scientistsfromdevelopingcountriesaregenerally morelikelytostaypermanentlyintheirnewhomes thanreturntowheretherearefeweropportunities andpoorerinfrastructure.Thisisasignificant problemforAfrica,acontinentwhicharguably needsitsskilledworkersmost,butofferstheleast tokeepthemorattractthemback.Thechallenge forgovernmentsinemergingcentresofscienceis howtorewardtalentedscientistsandenablethemto fosterglobalnetworks,whilestillusingthemtobuild nationalcapacity. PART1

andcomputerscienceshaveseenthehighest growth,bothincreasingtheiroutputbyover100%, buttheshareofpapersinenergypublications amongscientificoutputhasgrownfromonly0.73% tojust1.03%;incomputersciencesthissharehas grownfrom2.47%to3.42%.Thissubstantialgrowth inabsoluteoutputhasnottranslatedintodramatic leapsinmarketshare. Lookingmorecloselyatthedatawecan, however,seesometrendsinparticularfieldswhich reflectemergingorpressingresearchareas.Keyword searchesintheElsevierdatabaseonspecificterms highlightsometrends.Climatechange,forexample, hasseenasix-foldincreaseinusageinresearch publicationsbetween1996and2008.Suchanalyses canonlybepartialtheypickuponbuzzwords whichreflecttrendsinlanguageasmuch,perhaps, astheydoscientificcontent.Thattheseareasare growingrapidly,though,isundeniable. Thegeographicchangesinglobalsciencedonot themselvesappeartohavehadadirectimpacton 1.1.5Disciplinaryshifts? thetypesofresearchbeingconducted.Thedomestic Withthegrowthinscienceglobally,itisinterestingto conditionsofacountry,suchasgovernmentpriorities askwhetherthelargeriseinthenumberofscientific andtheavailabilityofnatural,humanandeconomic publicationsinrecentdecadeshasvariedgreatly resourceshaveadistinctbearingonscientific acrossthedisciplines.Indeed,theuseofbibliometric output.Consideringagainthedisciplinaryspreadof dataacrossthewholeofresearchcanmaskvery researchasidentifiedthroughjournalclassification, differentpatternsinpublicationactivityacross thedevelopedG7countrieshavesimilarresearch disciplineswith,forexample,lifescientistsdisplaying profiles,whicharebalancedbetweenbroadresearch agreaterpropensitytopublishthanengineers. disciplines,Bycontrast,theBRICgroupingofmajor Availableheadlinedatasuggestthattherehas emergingeconomiesBrazil,Russia,Indiaand notbeenadramaticshiftinthebroaddisciplinary Chinaareweightedtowardsspecificfields;inthe breakdownofresearch.Between1996and2008 caseofChina,IndiaandRussiatowardsengineering, thetotalnumberofacademicpublicationsroseby andinBrazil,agricultureandbiosciences.InAfrica, 43%;lookingatthenumberofarticlesinspecific thefocusisonagricultureandmedicine.However, disciplines(asdefinedbythedisciplinaryfocusofthe theemergenceoftheseareashasnottodate journal),74theoverallsharebysubjectareahasnot changedtheglobalbalanceofresearch. altereddramaticallyoverthesameperiod.Energy Researchchallengesandinterestsarechanging


lastdecade.76TheRoyalSocietysownjournals followasimilartrend.IntheyearfromJune2009 toJune2010,USandUKaudiencesaccounted fornearly51%ofthereadershipfortheSocietys sevenjournals.Chinanowaccountsforthethird 1.1.6Readingtheresearch highestnumberofdownloadsandsubscriberstothe Theworldsresearchpapersareproducedtoberead journals;thefourBRICcountriesmakeup12%ofthe bypeersinthescientificcommunity,andforthe totalreadership.77 ideasandconclusionstobeputtouse.Sowherethe Readershiphasbeenfarfromuniversal.AWorld scienceisbeingpickedupandexploitedisjustas HealthOrganisation(WHO)studyin2000identified importantaswhereintheworlditisbeingwrittenup. that56%ofinstitutionsincountrieswithannual Thespreadofaccesstoacademicjournalsacrossthe incomesofUS$1,000andlessperpersonhadno worldisakeyfactorintheglobalisationofresearch. currentsubscriptionstointernationaljournals,thereby Publishershaveactivelypursuednewreader cuttingofftheirscientistsfromrecentdevelopments markets.NaturelauncheditsChinawebsitein2007, intheirfields.78 highlightingresearchfromtheChinesemainland AnumberofinitiativessuchasResearch4Life andHongKong.NatureIndiafollowedinFebruary (R4L)79setupindirectresponsetothesefindings 2008.TheRoyalSocietynowhasspecificportals andtheInternationalNetworkfortheAvailability forthoseinterestedinresearchfromBrazil,China, ofResearchPublicationsProgrammeforthe India,Malaysia,RussiaandTurkey,andprovides EnhancementofResearchInformation(INASP informationonthewebsiteinChinese,Farsi,Korean, PERii)80havebeenestablishedtoexplicitlyimprove Russian,Portuguese,ArabicandSpanish.75 accesstoresearchjournalsinthedevelopingworld, ThepatternofdownloadsfromElseviersjournals allowingfreeorlow-costaccesstouniversitiesand showthat,unsurprisingly,thelargestconsumers researchinstituteswhichhadpreviouslybeenunable oftheirpublicationsarebasedintheUSA,Japan toaffordsubscriptionfees.Take-upofR4Lhasbeen andWesternEurope.ChinaandSouthKorea impressive.Bringingtogetherthreestrandsone havewitnessedasurgeinreadershipoverthe forbiomedicalandhealthliterature,asecondfor

asglobalsciencegrows,butthesechangesreflect morethedifferenttypesofquestionsbeingposed, ratherthanthenationalityofthepeopleposingthe questions.

74 hiswillresultinduplication T acrossfields,asajournalsuch astheRoyal Society Philosophical TransactionsAwillcovereach ofthemathematical,physical andengineeringsciences.There willalsobefluctuationbetween years,asjournalsubjectareas areredefined.This,therefore, providesanimperfectindication ofthedisciplinarybreadthof publicationoutput,butitdoes indicatethegeneralrateofoutput. Asimilaroutcomecanbeseenin theUNESCO Science Report 2010, whichusesdatafromanother

indexingserviceThomson Reuters(Scientific)Inc.Web ofScience.UNESCO(2010). UNESCO Science Report 2010(pp 1011).UNESCOPublishing:Paris, France. 75 eehttp://royalsocietypublishing. S org/librarians,accessed29 September2010. 76 atafromtheElsevierScience D Directdatabase. 77 atafromRoyalSociety D publications,July2009June 2010.

78 KNationalCommissionfor U UNESCO(2008).Improving access to scientific information for developing countries: UK learned societies and journal access programmes.UKNational CommissionforUNESCO Secretariat:London,UK. 79 esearch4Lifeisapublicprivate R partnershipoftheWHO, FAO,UNEP,CornellandYale UniversitiesandtheInternational AssociationofScientific,Technical &MedicalPublishers.Working togetherwithtechnologypartner

Microsoft,thepartnershipsgoal istohelpattainsixoftheUNs eightMillenniumDevelopment Goalsby2015,reducingthe scientificknowledgegapbetween industrialisedcountriesandthe developingworld.Seehttp://www. research4life.org/,accessed30 September2010. 80 eehttp://www.inasp.info/file/ S 5f65fc9017860338882881402d c594e4/perii.html,accessed29 September2010.


agriculturalpublications,andathirdforenvironmental sciencestheplatformallowsaccesstomaterialof particularpracticalinteresttodevelopingnations. Scientificlandscape Sinceitsintroductionin2002,thebiomedicaland in2011 healthplatformHINARIalonehasprovided2 milliondownloadsperyearofElseviersoutput. Individualpublishersarealsoinstigatingtheirown initiatives.TheProceedingsoftheNationalAcademy ofSciencesintheUSAhasbeenfreeonlinesince 1997tothedevelopingworld.In2006theUKsRoyal SocietyofChemistry(RSC)madeallofitsjournal outputfreethroughitsArchivesforAfricaproject. ProfessorShemO.Wadinga,Directorofthe CentreforScienceTechnologyInnovationsinNairobi, andChairofthePanAfricaChemistryNetwork Kenyahub,isakeenadvocateoftheRSCsscheme. Archives for Africahasopenedupararewindow forAfricanresearchersandlibrariesinkeepingup todatewiththelatestscientificinformation.Ithas becomethepointoffreeaccesstoawealthof scientificinformationforAfricanscientiststhrough theirlibraries.81Itwilltakesomeyearstoidentify anydirect,long-termimpactthattheseschemes mayhaveonscientificoutput.Anearlystudy suggeststhattherehasbeenasignificantincreasein researchoutputincountrieseligibleforR4Laccess, whichoutstripstherateofgrowthseeninnon-R4L countries,overtheperiodinwhichtheinitiativehas beenintroduced.82 PART1

oftheirentirecataloguetoinstitutionallibrariesthat previouslyhadonlysubscribedtospecificjournals. Thesedealsweredoneatgreatlyreducedpricesand mostlargeinstitutionsnowhavesucharrangements inplace,meaningthatreadershaveaccesstovastly moreresearchoutputsthaneverbefore.Thesecond wastheenormousincreaseinthecapacityto searchforandaccesspublishedresearch,initiallyvia specialistsearchenginessuchasPubMed,andlater bymoregeneraltools,mostnotablyGoogle(which nowaccountsforalmost60%ofallreferrals).83 Theabilitytosearchforarticlessimplyandrapidly usingsubjectkeywords,authorsorabstracttexthas openedupmuchwideraccesstotheentirebreadth ofresearchoutputs. Alsohighlysignificanthasbeenthebirthof theOpenAccessmovement.Recognisingthata greatdealofpublishedresearchwasfundedbythe publicpurse(viaresearchcouncilsanduniversities), demandsarosefromvariousquartersfortheresulting publicationstobemadefreelyavailabletothepublic whofundedthem,ratherthanbeinglimitedto subscribers.Publishers,someinitiallyresistanttothis notion,havenowlargelyembracedopenaccess, notleastbecausemostfundingbodiesnowmakeit arequirementfortheirgrantees.Theoverwhelming majorityofthetraditionalpublishersnowoperate anopenaccessoption(inexchangeforanarticle processingchargesecuredfromauthorsortheir institutions)andanumberofnewerpublishershave 1.1.7Openingaccess emergedwhooperateanexclusivelyopenaccess Inthemid-1990s,theadventoftheonlineavailability model. ofscientificjournalshadtwohighlysignificanteffects Thedemandforaccesstopublishedscientific onthescholarlycommunicationsprocess.The knowledgeissettogrowasglobalsciencecontinues firstwasaresultofthedramaticfallinthecostsof toexpand.TheauthorpaysmodelofOpen disseminationofpublishedcontent(whichnolonger Accessandthesubsidisedsubscriptionschemesof reliedsolelyonphysicalshippingofprintedcopies). Research4LifeandINASPcaterforthisdemandin Thisledtothegrowthoftheso-calledbigdeal differentways.Thelatterhaveconsiderablyimproved wherebypublisherswereabletoofferonlineeditions accesstoresearchliteratureinthedevelopingworld,


BenjaminFranklinslettertoPeter CollinsondescribingthePhiladelphia Experiment,3October1752.From theRoyalSocietylibraryandarchive.

Scienceisnotrestrictedtoacademia,nordoes itnecessarilyresultinthepublicationofresearch papers.Ittakesplaceinmanydifferentareasoutside universitiesandresearchinstitutes,andisfunded byarangeofdifferentsources.Theproportionof investmentinresearchascomparedtodevelopment variessignificantlyacrossthedifferentindustrial 1.2 Applying science sectors.Forexample,intheUKstelecommunications Awealthofeconomicliteraturedescribestheimpact sector,companiesinvestroughlyfourandahalf ofknowledgeoneconomicperformance.84For timesmoremoneyinexperimentaldevelopment example,studieshaveshownthattechnological thantheydoinresearch,whilecompaniesintheUK changedrivesupincomelevels,85therelationship aerospacesectorspendroughlytwiceasmuchon betweenhighlevelsofpatentingandGDPgrowth,86 researchastheydoondevelopment.88 andthepositiveimpactofinnovationonbusiness Inmostofthedevelopedworld,R&Dactivitiesare productivityandperformance.87Thisbodyof primarilyfundedbyprivateenterprise,whereasthe evidencehasunderpinnedtheeffortsofgovernments publicsectorplaysamoresignificantroleinmost theworldovertostimulateeconomicperformance developingcountries.89However,thebalancevaries byinvestinginscienceandtechnologyfrom considerablybetweennations.Insomecountries undirectedacademicsciencetoresearchofstrategic businessinvestmentsinR&Dfaroutweighthoseof nationalimportanceconductedingovernment government,universitiesorotherfunders.In2007 laboratories,tosupportfornear-to-market theproportionoftotalR&Dwhichwasfundedby technologiesintheprivatesector. businesswas84%inMalaysia,70%inChina,66%in

butthereisnotyetacorrespondingschemeinplace toassistauthorswithopenaccesschargesinthese verycountries.However,thedemandformore accessisnotonlycomingfromthedevelopingworld. Avarietyofeconomicmodelswillberequiredto ensurethataccessismaximisedacrossarangeof differentmarkets.

1.2.1BusinessR&D

81 nterviewwithProfessorShemO. I Wadinga.Quotecourtesyofthe RoyalSocietyofChemistry. 82 eehttp://www.elsevier.com/wps/ S find/authored_newsitem.cws_ home/companynews05_01269, accessed13October2010. 83 igurebasedonanalysisofaccess F toRoyalSocietyPublishing journalcontent.SeeReesM (2010).SpeechbyLordRees, PresidentoftheRoyalSociety,at ScienceOnline,BritishLibrary,3 September2010.Availableonline athttp://royalsocietypublishing.org/ site/includefiles/Keynote_speech. pdf.

84 eeRomerD(1990).Endogenous S technical change.Journalof PoliticalEconomy98,5,S71102; MokyrJ(1992).The lever of riches: technological creativity and economic progress.Oxford UniversityPress:Oxford,UK; LipseyR,CarlawK&BekarC (2005).Economic transformations: general-purpose technologies and long-term growth.Oxford UniversityPress:Oxford,UK;Hall B&RosenbergN(eds)(2010). Handbook of the economics of innovation.Elsevier:Amsterdam, TheNetherlands. 85 reemanC(2002).Continental, F national and sub-national innovation systemscomplementarity and

economic growth.ResearchPolicy 31,2,191211. 86 eeChenD&DahlmanC(2004). S Knowledge and development: a cross-section approach.World BankPolicyResearchWorking PaperNo.3366.Thispaperargued thatbetween1960and2000, a20%annualincreaseinthe numberofpatentsgrantedinthe USAwhetherthetechnologies originatedlocallyoroverseas producedanincreaseineconomic growthof3.8percentagepoints. WorldBank:Washington,DC, USA. 87 ESTA(2009).The innovation N index.Thisreportshowedthattwothirdsoftheproductivitygrowth

intheUKsprivatesectorbetween 2000and2007wasattributableto innovationincludingtechnological advances.NationalEndowmentfor Science,TechnologyandtheArts: London,UK. 88 ource:UKNationalStatistics S (2009).Research and development in UK businesses 2009datasets (Table5).Availableonlineat http://www.statistics.gov.uk/ downloads/theme_commerce/ berd-2009/2009-dataset-links.pdf, accessed17January2011. 89 NESCO(2009).A global U perspective on research and development.UNESCOInstitutefor StatisticsFactSheetNo2,October 2009(pp911).


theUSA,and57%inAustralia.IntheUK,business enterprisefunded47%ofallexpenditureonR&D. Bycontrast,businesswasresponsibleforonly29% Scientificlandscape oftotalR&DspendinginArgentinaandtheRussian in2011 Federation,19%inSriLankaand14%inTunisia.90 Theroleofbusinessinsciencehasgrownin recentyears,withtheproportionofR&Dfundedby theprivatesectorincreasingsteadily.In1981,52% oftheOECDcountriesspendingonresearchand developmentwasfundedbyindustry;by2008this hadreachednearly65%.91 PART1

previousyears.ThesurveyedcompaniesexpectR&D investmenttocontinuegrowingstronglyoutsidethe EU,especiallyinIndiaandChina.93

Location of business R&DBusinessR&Dhasbecomeincreasinglymobilesince themid-1980s,followingtheinternationalisationof manufacturingduringthe1970s.94Therearenow manymorelargebusinesseswithglobalresearch operations,manyofwhomhavelocatedlaboratories indifferentpartsoftheworldforstrategicreasons. AcaseinpointisMicrosoftResearchwhohaveset upanumberoflaboratoriesandbusinessesnotonly intheircoreexpertiseofsoftware,butalsoinother fieldssuchashealthcare,energy,environmentand robotics.Manycompanieshavefollowedsimilar models,suchasSanofi-Aventis(whohaveR&D operationsinChina,Japan,SouthKorea,India,the USA,France,UKandDenmark)andShell(which hastechnicalcentresintheUSA,theNetherlands, UK,Canada,France,Germany,India,Norway,Oman, QatarandSingapore).Intheperiodfrom1993to 2002,R&Dspendingbyforeigninvestorsgrew from10%to16%ofglobalbusinessR&D(froman estimatedUS$30billiontoUS$67billion).95 Developedeconomiesarestillthefavoured locationsforforeignR&Dinvestors,96butthe growthintheamountofR&Dinvestmentflowingto developingcountrieshasbeenpronounced;theshare offoreign-ownedbusinessR&Dinthedeveloping worldgrewfrom2%to18%between1996and 2002.97 Theincreasinglyinternationalprofileofbusiness R&Dinvestmentis,inpart,areflectionofintensifying globalcompetitionforleadershipandtalentin themostimportantandfastestgrowingmarkets. CompaniesthatsitetheirR&Dactivitiesclosetonew andemergingmarketsgainvaluableinsightsinto

Is business R&D recession proof?Intheaftermathoftheglobaleconomiccrisisin 2008,privatesectorR&Dinvestorshavestruggled tomaintaintheirlevelsofinvestmentinR&D.After fouryearsof5%growthininvestmentyearonyear, in2009R&Dspendingbytheworldsleading1,400 businessR&Dinvestorsfellby1.9%ontheprevious year.92 TheEUIndustrialR&DInvestmentScoreboard 2010showsthatin2009theleadingcompanies inEuropehaddecreasedtheirR&Dinvestment by2.6%since2008,andintheUSAthisfellby 5.1%.However,therewasanincreaseof40%in Chinaand27.3%inIndia.WithinEuropetherewas considerablefluctuationtoo:FrenchprivateR&D investmentfellby4.5%,butinSpainitgrewby 15.4%onthepreviousyear.Individualsectorshave alsoexperienceddifferingfortunes;pharmaceutical companiesincreasedinvestmentinR&Dbyover5%, whiletheautomobileindustrysspendfellby11.6%. Theimpactofglobalrecessionhasnothadauniform effectonthepatternsofcorporateR&Dinvestment. RecentsurveyevidencefromtheEuropean CommissionshowsthatleadingEU-basedinvestors expecttheirR&Dspendingtocontinuegrowing between2010and2011,albeitatlowerratesthanin


howbesttomeettheneedsofthosemarkets. TheevermoreglobalfootprintofbusinessR&Dis alsotheresultofdistributedoropeninnovation.98 Companiesusingthesebusinessmodelsinnovate bylookingoutwardfornewknowledge(eg. collaboratingorbuying/licensingnewprocesses orinventionsfromothercompaniesorlocating theiractivitiesincloseproximitytoscientificand technologicalcentresofexcellence)aswellas inward(eg.throughtheirownresearch).Inthese cases,firmsrespondtoscienceandtechnologythat theyseebeingdevelopedelsewhere,forexample inothercompanies,universitiesoroverseas.They promotecollaborationsandcoalitionswithothers, suchassuppliers,customersoracademics,tosolve theirproblemsininnovative,competitiveways. Recruitmentofthemosttalentedindividualsalso occursonaninternationalbasis.99 Atthesametime,governmentsaredoingmore toexertaninfluenceontheinvestmentdecisionsof high-spendingandincreasinglymobilecompanies. Policiesdesignedtoattractforeigninvestment includeincentivessuchastaxcredits,directsupport forcapitalfacilitiesandR&Dexpenditure,andindirect

supportthroughdefenceandothergovernment expenditure.100Justasbusinessiscompetitive, sopoliciestoattractforeigninvestmentare competitivetoo.Singaporehasbecomeamagnetfor pharmaceuticalcompanies,drawnbyinfrastructure suchasA*StarsBiopolis.Morerecently,some countries(notablySouthKorea)havetargetednew economicstimulusinvestmentsinlow-carbon technologiestoattractresearchersandcompanies investinginR&D.101

1.2.2PatentgrowthTheapplicationofscientificknowledgecanbe measuredtosomeextentbytheregistrationof overseaspatents.Patentsaregrantedfororiginal, non-obviousideas,processesorproducts.The registrationofpatentsbyindividualsandcompanies notresidentinaterritoryindicatesacleardesire tocommercialisetheresearchinthatregion. Registrationsintheworldsbiggestsinglemarket,the USA,areagoodindicatorforthis,reflectingalsothe sizeoftheUSmarketandthegrowin

ryl scty- knowledge, nation, science

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