MEMORANDUM 26
Submission from the Office of Science
and Innovation
1. This paper outlines the activities of
the Office of Science and Innovation (OSI) to support and encourage
international collaboration in science.[55]
OSI oversight of the Research Councils, cross-government activity,
bilateral relationships with non-EU countries and work on the
EU Framework Programme are outlined and the important linkages
with the Research Councils across these broad agenda are set out.
CONTEXT
2. International collaboration has always
been a major feature of scientific activity; however the last
two decades have seen significant changes in the scale and nature
of this activity. Some indicators of these changes are outlined
below.
3. The level of international co-authorship
of scientific publications has seen significant increases, in
the UK such publications accounted for 20.5% of the total in 1992
increasing to 39.2% in 2003. Funding mechanisms such as the European
Union (EU) Framework Programmes provide significant opportunities
requiring international collaboration and the seventh Framework
Programme, launched in December 2006, aims to mainstream international
cooperation with countries outside the EU. Students are becoming
increasingly globally mobile and in the UK some 40% of the PhD
student population is from overseas. Business research and development
also takes place in a global context, with 45% of the total research
and development expenditure performed in the UK business sector
was undertaken by foreign owned companies.
4. The emergence of new players, such as
China and India, and an increasing focus on international collaboration
from the UK's established competitors provide the context for
the activities of the OSI—working across government (and
more widely)—to ensure the UK can take advantage of emerging
opportunities and respond to challenges.
POLICY FRAMEWORK
5. The strength of the UK research base
is a major asset in positioning the UK in the increasingly competitive
international environment of science and innovation. The Science
and Innovation Investment Framework 2004-14[56]
set out a clear policy framework for science and innovation going
forward. It recognised the importance of international collaboration
by establishing the Global Science and Innovation Forum (GSIF)
and calling for an overarching national strategy for international
engagement in research and development.
OSI OVERSIGHT OF
RESEARCH COUNCILS
Existing mechanisms
6. The Department of Trade and Industry
(DTI), through the OSI, provides funding to Research Councils
to support the whole range of their activities. OSI allocates
the budget to each Research Council. It is up to each Research
Council to set its priorities, including any international activities,
which are then delivered, as set out in their Delivery Plans.
7. The relevant PSA Target 2004 is "Improve
the relative international performance of the UK research base
and improve the overall innovation performance of the UK economy".
8. The OSI monitors the activities of the
Research Councils and RCUK through a performance management system.
All the Research Councils and RCUK have agreed annual delivery
plans, which set out targets and milestones, monitored and reviewed
every quarter by OSI and fed into the DTI business planning cycle.
The Performance Management System (PMS)
9. This system was designed by OSI to ensure
that the Department correctly identified the contribution of each
organisation it funds out of the Science Budget, including the
Research Councils to the overall Science PSA target.
10. The Performance Management System aims
to deliver a robust system to translate the overall strategic
priorities for the Science Budget into specific aims and objectives
for the Research Councils and other delivery agents, and to ensure
accountability for delivering these. OSI has worked with the Research
Councils to set up a framework that clearly defines the outputs
to be achieved, whether directly through investment of the Science
Budget, or indirectly through influencing others and working with
partners.
11. OSI monitors and publishes a range of
input, output and outcome data. This reporting informs policy
development within the public sector and provides the basis for
a continuing dialogue with business, the science base and other
stakeholders about the impact of collective investment in UK science
and innovation.
12. There are three levels of outputs cascading
from the PSA target, to the Science Budget and then to individual
Research Councils and Research Council Budgets.
13. The Performance Management System contains
three elements:
— The output (1) framework which has
the principal outputs such as publications, citations and PhD
students and for each of these a number of characteristics of
interest eg scale, quality, sustainability, agility, productivity
and user focus;
— The output (2) framework contains
principal outputs such as collaborative research and cooperative
training, again aligned with scale and quality; and
— The Delivery Plans for each Research
Council setting out the key deliverables in the next three years
and a scorecard recording the deliverables, targets and milestones
to be achieved.
CROSS-GOVERNMENT
COORDINATION OF
INTERNATIONAL SCIENCE
AND TECHNOLOGY
ACTIVITY
14. The OSI International Directorate works
in a trans-departmental mode with partners across government and
more widely to support and encourage activities to promote international
collaboration in science and technology. This includes provision
of the secretariat to GSIF.
15. The establishment of GSIF brought together
the main players involved in the promotion and delivery of international
research and development in the UK to coordinate a more evidence-based
approach to international engagement and ensure UK interventions
in this area adapt to the evolving international economic and
research environment.
16. GSIF is chaired by the Government Chief
Scientific Adviser, Sir David King, and its current membership
includes: OSI DTI (including the trans-departmental, research
base and innovation areas), UK Trade and Investment, Foreign and
Commonwealth Office, Department for Environment, Food and Rural
Affairs, Department for International Development, British Council,
Royal Society, Research Councils UK, Department for Education
and Skills, HM Treasury, Department of Health and the Home Office.
Support is provided by an officials' group from the member organisations
and a dedicated secretariat team in the OSI International Directorate.
17. The GSIF Strategy for International
Engagement in Research and Development was published in October
2006.[57]
It set out a framework of objectives to prioritise and coordinate
the UK's international engagement in R&D across the following
areas:
— Research excellence—collaborating
with the highest quality research internationally and attracting
the best scientists to work in, and collaborate with, the UK;
— Excellence in innovation—encouraging
UK companies to engage in international research and international
companies to invest in UK research;
— Influence—using science and
technology to underpin international policy making and as a tool
to foster bilateral partnerships; and
— Development—using research
and innovation in support of international development goals.
18. The strategy set out seven recommendations
for further improvements in the following areas:
— Ensuring UK researchers and businesses
engage with the best research internationally, through simplified
access to public support schemes and consolidating the UK presence
in key partner countries;
— Developing strategic partnerships,
through new schemes to link world class UK universities with counterparts
in China and India and to attract the best researchers to the
UK and managing alumni effectively in the long term;
— Improving coordination to create
synergies across government and key non-governmental bodies—in
bilateral relationships with priority countries, in marketing
and communicating UK strengths, and in promoting scientific advice
in international policy making; and
— Supporting activities to increase
the innovative nature of UK business—ensuring it has the
capacity to internationalise and access to the best science, engineering
and technology opportunities worldwide; and increasing the research
intensity of the UK by encouraging R&D investment in the UK
by innovative multinational enterprises.
19. In addition work will continue to strengthen
and develop the evidence base which underpins the strategy and
to ensure that it remains robust for the future.
20. GSIF members are now in the process
of implementing the strategy recommendations working across the
forum and its officials' group. The Research Councils are responsible
for the delivery of one of the strategy recommendations (details
below) and have been actively involved in a number of the others,
in particular in the provision of strategic advice to the FCO
Science and Innovation Network as part of a new exercise to inform
business planning of the network.
OSI BILATERAL SCIENCE
AND TECHNOLOGY
ACTIVITY
21. The OSI manages a number of bilateral
relationships to maintain strong links in science and technology
with a wide range of partner countries throughout the world.
22. Activity in this area includes organising
and overseeing high-level bilateral visits and meetings. These
seek to maintain established relationships with countries such
as Japan and the USA, or to build new relationships with emerging
nations such as China, India, South Africa and Brazil. Formal
Joint Commissions take place between the UK and China, India,
Japan, Russia and South Korea. Further initiatives to promote
research collaboration are also funded, which include matched-funding
networking schemes with China, India, South Africa and South Korea.
23. These activities involve OSI working
across government and more widely, including with the Research
Councils, to ensure that the full range of science, technology
and innovation is covered and that all appropriate stakeholders
are engaged. Research Councils were active in the 2005 UK/China
Partners in Science initiative and the 2007 British Year of Science
in Brazil.
RESEARCH COUNCIL
ACTIVITIES TO
MAINTAIN AND
PROMOTE INTERNATIONAL
COLLABORATION
24. The Research Councils contribute collectively
to the development of the UK's international science and innovation
strategy and RCUK is an active member of GSIF. The Research Councils
are responsible for the implementation of Recommendation One of
the GSIF strategy which calls for the streamlining and simplifying
of the interface between publicly funded schemes to encourage
collaboration and the user community; the greater presence of
the RCUK brand; and establishment of overseas offices. Delivery
responsibility lies with the Research Councils with support from
OSI, FCO, British Council and DfES.
25. RCUK is establishing its first overseas
office the "RCUK Office in China" in Beijing during
2007 to assist collaborative research programmes. The office is
funded by all Research Councils and is to be headed by a Director
from the ESRC. Consideration is also being given to offices in
other selected countries.
26. RCUK is developing a joint Council approach
for engaging with China and inputs into broader initiatives that
may arise from the 2005 "UK/China Partners in Science"
initiative. For instance the EPSRC was instrumental in a recent
e-Science UK/China Memorandum of Understanding which the DTI signed
on behalf of the UK Government.
27. The Research Councils are considering
developing a common approach to the collection of information
regarding the international dimension of funded research. There
is a perceived need for this type of data collation.
28. The Research Councils maintain effective
engagement and influence on the development of the European Research
Council (ERC) which is now being established (further information
on the ERC is provided at paragraph 36).
29. The Councils are in active liaison with
DFID on the potential use of UK research outputs in "development
science". The ESRC played an important role, working closely
with OSI, DFID and the Wellcome Trust, in the development of plans
for the UK Collaborative on Development Sciences (UK-CDS) a response
to a report from the Science and Technology Committee[58]
. It is anticipated that UK-CDS will formally convene during 2007.[59]
BBSRC, MRC, ESRC and NERC)will be members of the Steering Board
and have agreed to take a cross-Council approach to ensure the
views of all Councils are represented.
30. Individual Research Councils operate
various Fellowship schemes which are open to and successful in
attracting overseas researchers to the UK and enabling UK researchers
to travel and study overseas.
31. The Research Councils deal with the
European Space Agency and coordinate this through the cross-governmental
British National Space Centre (BNSC). BNSC recently submitted
a memorandum to the Committee on its contacts with third countries.[60]
OSI ACTIVITIES RELATED
TO THE
EUROPEAN UNION
FRAMEWORK PROGRAMME
32. The European Union's Framework Programme
(FP) is the main mechanism for supporting collaborative, trans-national
Research and Technological Development in the EU. It has three
overall aims:
— Strengthen the EU's science and technology
base;
— Improve the EU's competitiveness;
and
— Support EU policy development.
33. The programme represents the third largest
item in the EU budget, is open to European public and private
entities of all sizes and incorporates provision for the participation
of non-EU countries. Participation is on an internationally collaborative
basis and there are no national quotas; the programme operates
on a competitive basis with proposals being evaluated by panels
of independent experts against set criteria.
34. The Seventh Framework Programme (FP7)
was launched on 22 December 2006 it has a budget of €53 billion
and will cover the period 2006-2013. The programme is made up
of four main elements: Co-operation, Ideas, People and Capacities.
In addition nuclear related research is covered under Euratom.[61]
35. The Co-operation element will fund research
activities involving trans-national cooperation in 10 thematic
areas[62]
with the aim of gaining or consolidating European leadership in
key scientific and technology areas. A major new instrument is
the Joint Technology Initiative (JTI); long-term, public-private
partnerships in key technological areas requiring significant
cooperation and investment. Negotiations on the first of the JTIs
will take place throughout 2007.
36. The Ideas element is a new component
in FP7. The newly-formed European Research Council will fund investigator-driven
research across all fields of science with evaluation based on
the sole criterion of excellence, judged by peer review. For the
first time funding will be granted to individual European scientists
or teams with no requirement for trans-national collaboration.
The UK's Research Councils provided a model for the ERC and will
play a role in its implementation of this programme.
37. The People element is a well-established
part of FP and is more commonly known under the "Marie Curie"
banner. It facilitates the mobility and training of researchers
to improve the quality and number of people working in the research
sector. For FP7 the budget is greater than previous programmes
and more emphasis is being given to industry-academic interactions.
38. The Capacities element of FP7 consists
of five individual programmes aimed at enhancing key aspects of
Europe's research and innovation capacity and ensuring their optimal
use. The programmes cover: infrastructures; SME-specific activities;
science and society; regions of knowledge, research potential,
international cooperation; and the co-ordination of national programmes.
39. FP7 includes the funding of nuclear
research and training activities under the Euratom Treaty, which
addresses the major issues and challenges in nuclear research
and will contribute to the further consolidation of European research
in the nuclear energy sector. Funding for fusion research, including
the European contribution toward the ITER project is included
in the Euratom programme.
40. The UK performed well in FP6, the previous
four-year programme, (2002-06), which had a budget of €19
billion. The latest data show that approximately 5,000 UK participants
were supported in FP6, receiving around 14.5% of the funding available,
about €1.74 billion.[63]
In this respect the UK is second only to Germany, due, in no small
part, to the exceptional performance of UK academia responsible
for 58% of the UK's participation.
Research Council interaction on FP
41. The Research Councils, and many of their
institutes, have been actively involved in FP projects since its
inception in 1984. In FP6, they were involved in more than 200
projects across all areas of the programme. This resulted in the
Research Councils being awarded funding of just over €100
million from the FP.
42. FP6 also saw the introduction of a new
scheme (known as ERA-NET) aimed at enhancing coordination of research
activities carried out in Member States. It brings together national
programme managers in specific research areas to network and explore
the mutual opening of national research programmes and other joint
activities. The Research Councils, as major funders of research
in the UK, are involved in over 20 ERA-NET projects across a wide
range of research areas including: research; plant genomics; nanoscience;
astronomy; medicines for children; and ageing.
Programme implementation
43. The European Commission faces a major
challenge in delivering FP as it is an inherently complex programme
not least due to the fact that it involves creating a legal relationship
between the Commission and trans-national consortia. Nonetheless,
the programme has a reputation of having burdensome and slow processes
and evidence shows that these can be a major disincentive for
organisations looking to participate.
44. Feedback from UK participants indicated
that the situation worsened during the early years of FP6. Following
considerable lobbying by Member States and participants, the Commission
took a number of steps to try to improve the situation in FP6
which had a positive impact. In preparing FP7, the Commission
undertook a major exercise to improve matters further and as a
result of this introduced a number of innovations. These included
a simpler set of funding schemes, a single registration procedure
and reduced reporting and audit requirements. The UK Government
welcomes these moves to reduce bureaucracy and speed-up processes
and will monitor whether they are having the desired impact.
Support infrastructure
45. The UK Government funds a number of
promotion and support services aimed at raising awareness of FP
and helping UK organisations to participate in the programme.
The UK promotion and support system is made up of the elements
detailed below.
46. Each Member State has a network of National
Contact Points (NCPs) that provide information and advice on specific
areas of the FP to all types of organisations in their respective
countries. The European Commission sets out guidance on the services
the NCPs could provide, but it is for each Member State to decide
what level and types of services their NCPs will provide. In the
UK, NCPs undertake a wide range of activities such as awareness
raising, advice and assistance, and signposting organisations
to other funding programmes, if FP is not suitable.
47. Most of the English Regions and all
of the Devolved Administrations provide some level of support
to FP participants at the local level. In some cases, this involves
advice and assistance and in others funding is available to help
participants develop proposals.
48. Since 1984, the Research Councils have
jointly funded a Brussels-based office (the UK Research Office—UKRO)
that provides information and advice on EU research and higher
education programmes to around 150 subscribing UK research organisations.
The services that the office provides are extremely well regarded
both in the UK and throughout Europe as previously noted by the
Committee.[64]
49. In addition, many UK universities have
in-house European Liaison Offices that provide advice and assistance
to researchers looking to apply for EU funding, including the
Framework Programme. There are also a number of companies that
offer help and advice on a commercial basis.
April 2007
55 The international interactions of the BNSC with
the Research Councils are not covered in detail in this paper
as they were the subject of the BNSC memorandum to the Committee
in relation to the Space Inquiry. Back
56
HMT/DTI/DfES, July 2004, Science & innovation investment framework
2004-14, http://www.hm-treasury.gov.uk/spending_ review/spend_
sr04/associated_ documents/spending_ sr04_ science.cfm Back
57
GSIF, October 2006, Global Science and Innovation Forum: a Strategy
for International Engagement in Research and Development, http://www.dti.gov.uk/files/file34726.pdf Back
58
House of Commons Science and Technology Committee, Thirteenth
Report of Session 2003-04,HC133, published 26 October 2004. Back
59
Recruitment of the Secretariat is ongoing, interviews for the
post of Secretariat Director are expected to take place in May
2007. Back
60
http://www.parliament.uk/documents/upload/spacememosforwebupload.pdf Back
61
Further detailed information on FP7 can be found at: http://cordis.europa.eu/fp7/home_
en.html Back
62
Food, Agriculture and Biotechnology; Information and Communication
Technologies; Nanosciences, Nanotechnologies, Materials and new
Production Technologies; Energy; Environment; Transport; Socio-Economic
Sciences and the Humanities; Space; and Security. Back
63
Of the contracts signed to July 2006. Back
64
House of Commons Science and Technology Committee, Sixth Report
of Session 2002-03, HC386-1, published 24 July 2003. Back
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