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Public Funding from Australia, Canada, and the UK Research for the Developing World: Public Funding from Australia, Canada, and the UK Bruce Currie-Alder - 2015 – This is a preprint version Published version is on Oxford Scholarship Online - 10.1093/acprof:oso/9780198742937.001.0001 ABSTRACT: Research for the developing world can generate evidence on the effectiveness of foreign aid, invent new technologies that serve poor people, and strengthen research capabilities in poor countries. How do countries determine which of these policy goals to pursue? Examining the United Kingdom, Canada, and Australia reveals how each country established a unique approach to research funding. Programs and grantmaking evolved in response to various expectations across governments, tempered by the need to remain credible in the scientific community. This book explores the histories of the UK Department for International Development (DFID), Canada’s International Development Research Centre (IDRC), and the Australian Centre for International Agricultural Research (ACIAR). Looking back, changes in research governance encouraged a shift towards whole-of-government priorities, shorter timeframes for realizing results, and performance predicated on academic productivity and research impact. Whereas funders used to encourage “small is beautiful” with local experiments in development, today the emphasis is on “getting to scale” delivering innovation through self-financing models. Looking forward, research for the developing world is fading as part of development assistance, yet rising as collaboration on common global challenges. Funders are adopting new definitions of performance and actively shaping policy to connect science and international development. Leaders are brokering partnerships that connect research governance at home and abroad, bridging the incentives toward academic productivity and research impact. In short, the future of research for the developing world is moving from foreign aid to science diplomacy. Expecting more: changing governance of public research ........................................................................... 2 Research funders: adapting to government expectations ......................................................................... 12 United Kingdom: between Haldane and Rothschild ................................................................................... 20 Fostering Competition ............................................................................................................................ 24 Research as a Public Good ...................................................................................................................... 29 The Promise of Technology and Evidence .............................................................................................. 35 Canada: Hopper’s vision of empowerment ................................................................................................ 46 Capacity Building ..................................................................................................................................... 50 Budget Cuts ............................................................................................................................................. 55 Eroding Core............................................................................................................................................ 60 Australia: Crawford's legacy of partnership ................................................................................................ 73 Doing Well by Doing Good ...................................................................................................................... 78 Renewed Mandate .................................................................................................................................. 81 Passport to Engage.................................................................................................................................. 86 Changing context: public management and research governance ............................................................ 97 Looking back: program theory and grantmaking practice ........................................................................ 107 Looking forward: from foreign aid to global challenges ........................................................................... 117 Conclusion ................................................................................................................................................. 125 References ................................................................................................................................................ 131 1 Acknowledgements This book is the result of seven years of study, reflection, and practice of supporting research for the developing world. This journey combined formal scholarship with participant observation, as both an outsider and insider to the subject. As a scholar, I am indebted to the wise counsel of Robert Shepherd, Lisa Mills, and Marc-Andre Gagnon. Together they forced me to ground my intellectual curiosity into a framework that draws on the literature in public management, international development, and science policy. I am particularly thankful for Robert’s advice to prepare a document guide, specifying what information I needed and how it linked to the theoretical framework. This turned out to be a brilliant tactic I recommend to anyone who wishes to stay focused and avoid getting lost in the archives. Robert also challenged me to go further, pushing beyond the obvious, to identify deeper lessons and insights. Luc Juillet and Michael Brklacich provided sage advice that sharpened the conclusions and understanding of leadership, performance, and governance. As a practitioner, I was privileged to work with numerous colleagues at Canada’s International Development Research Centre. Lauchlan Munro, Maureen O’Neil, and Tim Dottridge deserve special praise for sharing their deep knowledge of the organization’s history, encouraging colleagues to question received wisdom, and providing opportunities for young people to take on new responsibility. Bruce Muirhead and Ron Harpelle provided insights on how to conduct historical research and generously share their source materials and insights. This proved to be a point of departure for tracing a story across three countries. I am grateful for openness of numerous people in Australia, Canada, and the United Kingdom who willingly shared their experience in, dedication to, and passion for this subject. It takes a special kind of person to set aside their professional aspirations for the benefit of others. I am humbled and privileged to have met men and women who have dedicated their professional lives to furthering science and improving lives in the developing world. Finally, as a spouse and parent, I am indebted to Nora, Miranda and David for their patience during the research and writing of this book. This meant tolerating far too many shortened weekends and absences from home. You accompanied every step of this journey, occasionally in person and always in spirit. Expecting more: changing governance of public research The inspiration for this book came from a 2008 meeting described as a gathering of “like-minded” funders with a commitment to supporting research for the developing world. On the surface, all agreed on intent and thematic priorities: everyone wanted to improve health, resolve conflict, make governments accountable, and help poor people adapt to climate change. Yet there was no consensus on how to address these priorities. One participant urged for providing developing country governments with budget support, another called for core funding to southern universities, and another argued for funding independent policy think tanks. Each was invested in a distinct set of programs which embodied different assumptions about how change occurs and how their organization’s work contributed to it. These programs were incommensurable, departing from different first principles regarding the purpose of research, its role in development, and how the world worked. These unstated philosophies are more than an academic curiosity, as they carry real consequences for the research community, in terms of which ideas were more attractive to the funder, and who receives their support. 2 From this meeting emerged a question: how do funders decide on their approach to “research for the developing world”, and why do these approaches vary over time and between funders? The answer lies in the policy environment surrounding each funder. Sitting at the nexus between foreign policy and science policy, funders must be sensitive to both. Funders adopt particular program theories in part due to the performance regime in which they find themselves. This book explores how three different funders survived, and occasionally thrived over three decades when hard questions were asked of public research. Many countries became less tolerant of curiosity-driven work with vague promises of eventual spin-offs, and began to favor more applied work predicated on more demonstrable economic and social benefits. The following chapters delve into the parallel worlds of London, Canberra, and Ottawa, where alternate narratives of research evolved along divergent paths despite the similarities of a Westminster- style parliamentary system. The story that unfolds is one of changes in the policy environment which affect how well each funder “fits” with what government wants, and
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