Overview of Science System in China: Opportunities and Challenges. ZHANG Ya Ping Vice President, Chinese Academy of Sciences

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1 Overview of Science System in China: Opportunities and Challenges ZHANG Ya Ping Vice President, Chinese Academy of Sciences

2 Outline 1. Transformation of Chinese Science System 2. Structure of Chinese Science System 3. CAS and its S&T Evaluation 4. Seizing Opportunities and Tackling Challenges

3 1. Changes in the Chinese Science System International Context Production mode of scientific knowledge has changed Entering the big science era, the fields and types of research become increasing complex, the scale of research continues to grow and interdisciplinary research together with research cooperation has become an important source of innovative ideas. New contracts have been formed between science and governments, and new links have been established between universities and enterprises. Scientific knowledge production has become a key factor in national innovation system. Consequently, science policy changes from linearity to nonlinearity The cornerstone of science policy is no longer the linear model proposed by Vannevar Bush, i.e., investment in basic science can lead to technological progress and economic growth naturally. As the nonlinear interactions between science and technology, science and society become more frequent and more closely, science policy needs to face the entire chain of S&T innovation.

4 National Context The change of production mode of scientific knowledge is global Along with Chinese transformation from pure planned economy to more market economy, S&T Development in China also faces its own problems How to strengthen integration of S&T and economy? How to promote institutional change and innovation capacity building of innovation entities? How to fully mobilize the enthusiasm and creativity of scientific researchers? Reform existing S&T system and build a more rationalized one to meet the requirements of S&T development in big science era

5 Reform of Chinese Science and Technology System Since the reform and opening up, S&T syestem have undergone profound processes of reform. To promote S&T and economy integration, the reform aims to strengthen S&T innovation and to facilitate research and tech transfer by emphasizing structure and mechanisms adjustment S&T caters to the economic development and the economic development relies on S&T Now S&T not only caters to the economic development, but also addresses key S&T issues Rejuvenate China through science and education, Innovation driven development; Establish national innovation system and accelerate commercialization of S&T outcome

6 2. Structure of the Chinese Science System Scientific Research Directly affiliated institutions CAS CASS Research institutions affiliated to Ministries CAAS CAF Research institutions for national defense Enterprises CASC S&T Education Leading Committee State Council Local Government at Various Levels Funding Management Ministry of Science and Technology National Natural Science Foundation of China Other Related Ministries China Association for Science and Technology

7 Scientific Research System in China 3674 units, 388,000 people Targeting national strategic objectives and international S&T frontiers, mainly conduct basic, comprehensive, forward-looking strategic research; equipped with large public research facilities 2442 units 678,000 people Basic research, cutting-edge technological research and social welfare research Researches related to national defense No public statistics Researches in industrial sector 5158 units, 526,000 people Data source: 2013 China Statistical Yearbook on Science and Technology

8 3. CAS and its S&T Evaluation Basics of CAS Founded in Nov 1949, CAS is China's highest academic body and the most comprehensive R&D center in natural science and hightech innovation. There are 124 Institutions directly under CAS, with research areas covering basic, applied and strategic high tech. CAS is committed to high quality international exchange and cooperation. Strategic Mission Committed to high quality research Scientific talent training Scientific advice to the government Development Strategy Running CAS with democracy Flourishing CAS with openness Strengthening CAS with talents Development Structure Research Institutes Academic Divisions Educational Departments

9 CAS Talents Statistics 52,600 research professionals 746 members (6 academic divisions) including 72 foreign members 48,000+ graduate students: Talent Internationalization Strategy establishing long term cooperation and liaison mechanism with overseas talents Implement International Partnership Program for Creative Research Teams, to introduce overseas scholars to engage in part time or short term work in CAS; Invite Einstein Professors to give lectures in CAS, absorbing advices of leading foreign scientists on the development of CAS institutes; Establish CAS Professorship for Senior International Scientists and CAS Fellowship for Young International Scientists programs to invite foreign experts to work in CAS, further expanding CAS cooperation with oversea research institutions, universities and enterprises; Organize Overseas Talents into the Academy Week, inviting outstanding oversea talents to visit and work in CAS in their vacations annually.

10 Research Funding CAS research budgets continues to grow, reaching billion RMB in Data source: 2013 Chinese Academy of Sciences Annual Report CAS continues to improve and optimize its resource allocation and has gradually established a new R&D outcome oriented resource allocation system.

11 Research Outcome Both quantity and quality of CAS research outcome are improving. In 2012, SCIE, EI, CPCI S catalogued papers first authored by CAS while domestic S&T journals catalogued CAS first authored papers. In 2012, CAS filed 11,032 patent applications, and 5,974 patents were granted in total. Data source: 2013 Chinese Academy of Sciences Annual Report

12 S&T Evaluation in CAS S&T evaluation in CAS is at the forefront in the country. As the major national research institution, its evaluation practices in different development stages are of good reference. Goals Measure performance Encouraging competition Reflect orientations Supporting decision making Evaluation subjects Research institutes Research projects Talents Key laboratories

13 Development of Evaluation Criteria There was no unified S&T evaluation standard at the beginning. Evaluation emphasized hugely on research outputs back then. Especially, the amount of SCI papers was regarded as a key indicator of high level work in CAS institutes and among the researchers. The emphasis on SCI papers and other output based criteria played a positive role in promoting China's scientific research development. In particular, it pushed basic research to meet international standards, and facilitated scholar exchanges with international counterparts.

14 Development of Evaluation Criteria Over emphasis on SCI papers, regarding the publications of SCI papers as the sole criteria rather than one of the criteria, has caused deviations in the function of S&T evaluation. SCI has its own limitations. San Francisco Declaration on Research Assessment (DORA, 2012) Do not use journal based metrics as a surrogate measure of the quality of individual research articles, to assess an individual scientist s contributions, or in hiring, promotion or funding decisions. The Journal Impact Factor has a number of well documented deficiencies as a tool for research assessment. A) Citation distributions within journals are highly skewed; B) The properties of the Journal Impact Factor are field specific; C) Impact Factors can be manipulated (or gamed ) by editorial policy; D) Data used to calculate the Journal Impact Factors are neither transparent nor openly available to the public.

15 Development of Evaluation Criteria Since the implementation of Innovation 2020, CAS has been further reforming its S&T evaluation mechanism towards R&D outcome oriented. Hoping that the reform and the management innovation could be derived, and to make CAS a pioneer in leading China's S&T system reform and an engine in constructing an innovation driven nation.

16 What defines major R&D outcomes? Solve major scientific problems Explore new research directions Achieve breakthroughs in key technologies Provide systematic solutions Generate significant social and economic benefits through the transfer of research outcomes Provide consultation and advice of significant impacts Significant progress made in the cultivation of leading talents Significant achievements made in the system and mechanism innovation of science and education integration

17 Trials and Practices in Outcome Oriented Evaluation of R&D (1) Evaluation at Institute Level (2) Evaluation of Major Projects

18 (1) Evaluation at Institute Level Institute evaluation is essential in CAS evaluation system. It provides Values guidance Diagnosis Measurement Constructed a two aspect & one foundation system of institute evaluation Two aspect includes a diagnostic assessment of the CAS One Three Five Program implementation by panel experts every five years and the performance evaluations in achieving goals of major breakthrough. One foundation refers to annual monitoring of key institute indicators.

19 Practices of CAS Institutes International evaluation In 2012, 4 institutes participated in the One Three Five trial assessment program. International experts were invited to on site review. In 2013, another 15 inst. participated in an expanded trial evaluation. Findings from the evaluation Merited institutes may not necessarily have large number of SCI publications

20 (2) Evaluation of Major Projects Adopted in the assessment of major CAS research projects. Evaluation of the Strategic pioneering Program is piloting this approach. Emphasize independent reviews by peer experts and users respectively in the design and approval of strategic pioneering program. Letter evaluation: small scale peer review on connotation and quality of the work; Meeting evaluation: overall strategic assessment by strategic S&T experts; Consultation and review by relevant national agencies: solicit opinions of relevant national agencies, to better design projects to meet national needs and to prevent duplicate layout. Also a way to strengthen collaborative innovation. All evaluations aim to check whether the work is "making significant contributions that echo with the strategic position of CAS.

21 Research Integrity Construction in CAS CAS attaches great importance to research integrity construction: As early as 1996, CAS Committee for the Enforcement of Scientific Morality was established. The mission is to oversee work related to scientific morality and ethics. The committee has developed and implemented a number of regulations on research integrity. "Self discipline Rules of Scientific Morality for CAS Members " released in 2001 is the first self regulation document in CAS. "CAS Statement on the Notion of Science" and "Opinions on Strengthening the Construction of Code of Conduct in CAS" were released in February CAS will continue to strengthen its work in scientific ethics

22 4. Seizing Opportunities and Tackling Challenges Innovation driven development is a global trend. Major countries are all developing innovative strategies in an attempt to grasp the initiative for future development. China is no exception. From a national perspective, innovation driven development is an inevitable choice. Economic and social development in China need to rely on the strength of S&T innovation in order to realize a innovation driven mode of development as early as possible. The new round of S&T and industrial revolution presents unprecedented opportunities for China s S&T development.

23 4. Seizing Opportunities and Tackling Challenges Innovation driven development" has become a national strategy in China. To implement this strategy and to deepen S&T system reform, we need to face the challenges and address major constraints for S&T innovation and development S&T evaluation Integrity construction Resource allocation Innovative talents These are problems of importance not only to China, but also to the whole world.

24 4. Seizing Opportunities and Tackling Challenges S&T Evaluation and Research Integrity As a scientific operating mechanism, peer review has played an important role in the science development since the very beginning. It determines what scientific issues are, who conducts research, whether and where they should be published and etc. It provides an institutional safeguard to the development of scientific disciplines and production of high quality research. The change in the mode of production of scientific knowledge, development from single disciplinary research to multidisciplinary to interdisciplinary research have presented new challenges to traditional S&T evaluation system. Non consensus" issue in peer review and the balance between scientific value and national objectives are all examples. As science increasingly becomes a complex social content, the social resources it utilizes and the social role it plays are gradually increasing. Allocation of research funding, selection of research direction and adjustment of research institutions have increasingly become important parts of in S&T management and decision making. They have profoundly changed traditional S&T evaluation.

25 4. Seizing Opportunities and Tackling Challenges Evaluation also affects research integrity Quantity oriented rather than quality oriented evaluation will shape certain research behavior. Unfair allocation of scientific honor could lead to speculative behaviors. Relating evaluation results to resource allocation may lead to rent seeking behaviors. Good evaluation calls for favorable environment while a favorable environment is the safeguard to standard evaluation. We need to establish a S&T evaluation system that suits various types of research in the big science era (discriminatory evaluation), guiding the original and groundbreaking innovation of practical contribution. We need to further improve the research integrity regulating system, constructing a favorable cultural environment for research integrity.

26 As the construction of China's national innovation system continues to deepen and with joint efforts of all parties concerned, I believe China will become more and more attractive to scientists around the world!

27 Prof. LI Zhenzhen CAS Institute of Policy and Management

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