Turning Point Chinese Science in Transition

Research undertaken by

Charlotte Liu Nick Campbell Chandler Gibbons Ed Gerstner Yingying Zhou Amy Lin Chris Gilloch Piao Li Kun Huang Stephen Pincock Nicky Phillips Turning Point Chinese Science in Transition

Turning Point Research undertaken by Chinese Science in Transition

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Executive Summary

After several decades of rapid growth, China is now the world’s second largest economy. The challenge it faces in continuing this remarkable development is to find the best path to a sustainable knowledge- based future. China’s research base needs to be at the heart of this transition. Significant and increasing investment has already brought a dramatic increase in the country’s scientific output. However, at this crucial turning point, the research environment in China faces unique challenges.

Drawing on extensive quantitative and scientists, some survey respondents said qualitative data gathered from Chinese these were often small and short-term. researchers themselves, we have iden- Funding bodies might consider expand- tified opportunities for the key stake- ing programs that offer larger grants over holders in the research ecosystem to a longer time frame, especially for ear- improve the quality and impact of ly-career researchers, who are often the Chinese science. Our focus is on the most innovative and productive members key stages of funding, conducting, and of the scientific workforce. sharing research. China’s funding system has already made some significant progress towards Funding science a more rigorously meritocratic assess- While China spent 2.1 percent of its ment approach. This successful set-up, GDP on R&D in 2014, in line with other acknowledged by Chinese researchers developed countries such as the US and as an improvement, needs to be imple- UK, it spends only a fraction of that on mented more broadly to promote a basic research. More than 80% of research greater sense of fairness and transpar- group leaders — also known as principal ency. Additionally, researchers would be investigators (PIs) — surveyed said that more efficient and productive if funders the country should devote more funding allowed more flexibility and streamlined to basic research. Given that many compliance procedures for when grant important advances in applied research money is spent. originate with advances in fundamental understanding, boosting basic research Doing science funding would be a prescient long-term The increase in funding in recent decades strategy for fostering innovation. has led to a larger proportion of young Exploratory research requires long- scientists running their own laboratories term commitment. While some funding and research projects. This independ- agencies have dedicated grants for young ence gives them space to innovate, but

Nature Publishing Group | Turning Point | I Objective Explore the direction and strategy of the next phase growth of China’s science, based on insights from working scientists in China

Researchers at the heart

Funding science Doing science Sharing science

• Size and growth • Training; Mentoring • Writing paper Scope • Fairness; EŽciency • Talent structure • Publishing • High risk/curiosity driven research • Collaboration • Open data • Young scientists • Ethics • Broader science communication to public and policy makers

How scientists are assessed and rewarded underpins all of above

First-hand research in 2015 covering a broad range of scientists across disciplines and regions in China Approach • Online survey: 1690 completed respondents • In-depth interviews: 32 interviews in four cities (Beijing, Shanghai, Nanjing, Xi’an)

The study aimed to shed light on the future directions for Chinese science, based on the first-hand experiences of active researchers.

leaves them with insufficient support laboration and a catalyst for unethical from senior colleagues and with fewer behavior. A broader range of assessment opportunities to collaborate. Reducing measures could better encourage scien- the administrative workloads of senior tists to collaborate and reduce pressure to scientists and freeing time for them to cut corners. When unethical behavior is mentor less experienced peers could help identified, funders and institutes should address this issue. Training in areas such aim to set up independent investigations as science writing, data management that penalize those found violating codes and ethics can also play a critical role in of ethics. shaping China’s future research culture. While China has the largest base of Sharing science PhD students and the largest science and Science is an international endeavor technology workforce in the world, there that ultimately relies on maximizing the are two major gaps in its workforce — a free and open exchange of knowledge. lack of lab technicians and post-doctoral Chinese scientists have limited enthu- fellows. Addressing these shortages will siasm for, or awareness of, the global be critical for Chinese science to continue trend towards openly sharing data. competing on a global stage, and will Implementing measures that better probably require a promotion of the encourage researchers to share their data value institutes place on these positions. and research would benefit their partici- Greater compensation for contract-based pation in this global movement. researchers, less emphasis on hiring Writing papers and communicating researchers with overseas experience and research findings are important tasks reforming strict hiring rules are some that many survey respondents identi- clear measures that would help address fied as a challenge. Better training in these shortfalls. scientific writing for researchers would Publication in a high-impact journal address part of this problem, as would remains an important measure of a sci- an industry-wide accreditation system entist’s success in China. While this that can monitor and improve commer- focus has raised the quality of the coun- cial editing services. There is also a clear try’s science output, simple quantitative need for institutes to offer incentives for driven assessment and authorship credit researchers who talk about their work allocation can be a disincentive for col- with the public and industry. ■

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Turning Point Chinese Science In Transition

Over the past three decades, China has dazzled the scope for this contribution to grow. world with its rapid economic growth and burgeoning There are also deficits in some areas of prosperity. But, with the ageing of its population high-quality output relative to that of western nations, chemistry and physical and slowing economy, China is at a critical point at sciences being much stronger than bio- which it will be necessary to shift from resource- and logical sciences6. Beyond average academic impact, investment-intensive growth towards a higher value- there are also concerns that China added model. The country is already taking steps to lags behind in producing break- transform its focus to a more qualitative outlook to through research with wide-ranging impact. Many worry that the impact foster balanced and sustainable growth, economically, made by Tu Youyou, who was awarded socially and environmentally. During this transition, China’s first Nobel Prize in science this technological innovation has emerged as a driver year for the work that led to a treatment for malaria that has saved countless lives, of economic progress, and China is now turning to is the exception that proves the rule. its research base in a push to upgrade industry and Currently the Chinese research assess- achieve sustainable development. ment system, as in many other coun- tries, relies heavily on simple metrics like number of papers published in Recognizing the importance of research its strength in high-quality research3. JCR-listed (SCI) journals. Factors such in driving development, China has also Its applications for domestic inventive as economic and social impacts of the made great strides in scientific research. patents totalled 928,000 in 2014, research are given less weight. Moreover, Commensurate with its status as the making China number one globally for the lack of effective commercialization second largest economy in the world, the fourth consecutive year4. schemes impedes the realization of such the country is now ranked second in However, the average academic impacts. Chinese research, as with its the world in both research and devel- impact of Chinese research does not economy, is at a significant juncture. opment (R&D) investment and scien- match its exceptional growth in output. China needs to transform its science tific output. China spent 1,331 billion While China is making great progress in and research culture to focus more on RMB on R&D in 2014, second only high-quality publications, it lags behind quality and efficiency — rather than to the USA1. The number of Chinese the world average in many subject simply quantity — in order to sustain its papers in the Science Citation Index areas in normalized citation impact5, scientific development and convert sci- (SCI) was 245,000 in 20142, also second an indicator of academic impact. So, entific output into productivity. in the world. Moreover, China’s status while in absolute terms China’s contri- In a bid to identify opportunities as the second largest country contrib- bution to the world’s high cited papers and challenges that Chinese science is utor to the Nature Index demonstrates is second only to the USA, there is still facing, Nature Publishing Group (NPG) interviewed and surveyed almost 1,700

1. National Bureau of Statistics of China: Annual Data (2014) researchers across China, who have 2. Web of ScienceTM - Science Citation Index Expanded publications in NPG journals. The 3. http://www.nature.com/nature/journal/v522/n7556_supp/fig_tab/522S34a_T1.html details of the researchers included in the 4. State Intellectual Property Office of China 5. http://www.nesta.org.uk/sites/default/files/chinas_absorptive_state_0.pdf study are shown in Figure 1. This white 6. http://www.natureindex.com/country-outputs/China paper is based on their voices. ■

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Scientists: The Key Resource Human capital is at the core of the transition in Chinese science. The Chinese government has made great efforts to expand its base of scientists in the past two decades: China’s human resources in science and technology totalled 3.9 million in 20147, and with the expansion of China’s higher education system since 1999 the number of bachelor’s degrees in science and engineering has also soared, reaching 1.6 million in 20138. In addition to the increase in the size of the Chinese research workforce, China’s increased efforts to attract, develop and retain talented researchers have secured many from abroad, the vast majority from the Chinese scientific diaspora in North America and Europe.

Researcher mobility: associate of the USA’s National Academy 9 from brain drain to “haigui ” of Science, and Jianwei Pan from Univer- For many years, China has watched a mass sity of Science and Technology of China exodus of students and scientists to more (USTC), the first Chinese winner of the advanced nations. Data from the USA’s International Quantum Communica- National Science Foundation suggest that tion Award. China’s long-lamented ‘brain the number of Chinese graduate students drain’ has now become a ‘brain gain’, with in American science and engineering a growing number of foreign-trained programs nearly tripled from 15,000 in Chinese scientists returning, bringing 1987 to 43,000 in 2010, making China the knowledge and a more global perspective largest external source of science doctoral on research culture and practice. Almost graduates in the USA10. Most of these all of the interviewees and nearly half of graduates tended to remain in the USA, the survey respondents in the NPG study enticed by higher salaries and a better are among this wave of Chinese scientists research environment11. returning from abroad to work in China. “China is transitioning; it is at But this pattern is changing as China Our new data from young Chinese a turning point. We can expect continues to invest in and build its researchers also point toward a more that within the next five years or science infrastructure. The government established ‘brain boomerang’ or ‘haigui’ so, not exceeding 10 years, there has launched a number of initiatives to pattern in future. Although many of the encourage Chinese-born scientists to PhDs and postdocs surveyed by NPG still will be a wave of foreign students return. One such initiative, the ‘1,000 plan to go abroad for a period, the vast coming to study in China from Talent Plan’, aims to attract top scien- majority indicated that they plan to return across the globe, just like the tists from overseas, particularly those of to China within five years (see Figure 2). A situation in Japan in the 80s … Chinese origin, by offering well-funded desire to broaden their research perspective Right now, the foreign students academic positions with significant incen- and experience, rather than purely a high tives. The 1,000 Talent Plan has succeeded salary, was the main reason underpinning are mainly from places such as in bringing back senior Chinese scientists, an interest in going abroad. Many research- India, Pakistan, and Iran. But including heavyweights such as Tsinghua’s ers also indicated overseas study or work there are also gradually more Yigong Shi, who was elected as a foreign experience would give them an edge when coming from Korea and Japan. 7. National Bureau of Statistics of China: Annual Data (2014) Soon, the trend will appear 8. National Bureau of Statistics of China: China Statistical Yearbook (2014) 9. This is a Chinese slang term referring to Chinese people who have returned to mainland China after having studied or for [students in] the USA and worked abroad. Literally meaning “sea turtle” in English, this pun also has a metaphor as sea turtles also travel great – PI, age 45-54, Xi’an distances overseas. E u r o p e .” 10. National Science Foundation: Science and Engineering Indicator 2004, 2012 11. http://www.nature.com/news/global-mobility-science-on-the-move-1.11602

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Ages (%) <35 35 – 44 >45 Region Beijing & Shanghai (40%) Other (60%)

Type of institute Research role PhD students (25%) University CAS and other Other 1,061 (63%) institute 629 (37%) (9%) Post-doc (6%) Beijing

PI (59%) Shanghai Research area Earth sciences 97 (6%)

Chemical sciences 251 (15%)

Physical sciences 306 (18%)

Biological sciences 1036 (61%) Online survey: Total = 1,690 participants

FIGURE 1. We surveyed 1,690 researchers who represent a spectrum of ages, backgrounds and regional areas of China. In addition, 32 principal investigators were interviewed. Source: NPG study conducted in May and June, 2015. seeking positions or funding in China. It is Entire research No 26% life abroad 4% <2 yrs 20% Not sure clear, then, that many young scientists are 7% confident in the ongoing improvement of 5 - 10 yrs the research environment in China. With 4% the right support, the next generation of If you intend to do a post-doc abroad, how scientists is ready to start giving back to Do you plan to do a post-doc abroad? many years do you plan to stay abroad? China’s scientific community. PhD students and post-docs PhD students and post-docs N = 536 Foreign-born scientists and students are who plan to do a post-doc abroad N = 398 also starting to turn to China, attracted by its increased funding and improved research environment as the country Yes = 74% 2 - 5 yrs = 65% becomes a global centre both economically and in terms of scientific research12. Many foreign universities and institutes, such as FIGURE 2. While the majority of Chinese PhD students and postdocs still hope to travel abroad, most plan to return to pursue science careers in China. New York University, Liverpool Univer- sity, Monash University and the McGovern Brain Institute, have opened campuses and standing in the global environment. research centres in China jointly with local However, challenges remain. The universities. These joint ventures recruit research environment also needs to be faculty members and students globally, globally competitive in order to develop bringing non-Chinese researchers into the and retain the best of these researchers. Chinese science community and further It will be vital to implement policies and promoting international collaboration. funding schemes that address scientists’ The two-way researcher flow also needs, foster a more productive research promotes a virtuous cycle in which inno- environment, and enable research to vative ideas, talented young researchers and exert a greater academic, economic and research culture and practice are shared, social impact. To establish what reforms benefiting both China and the countries in may be needed requires a clear under- which its researchers spend time, as well as standing of how science is currently encouraging international collaboration. funded, conducted, shared and assessed in China from the perspective of scientists Moving forward: addressing the themselves. Here we look at the needs needs of scientists and concerns identified by the survey The reversal of China’s ‘brain drain’ to a respondents and interviewees across three ‘brain boomerang’/‘haigui’ is a success key stages: funding science, doing science story that reflects China’s increased and sharing science13. ■

12. http://www.nature.com/nature/journal/v524/n7564/full/524S6a.html 13. For research assessment, please refer to the Nature Outlook supplement, “Chinese Science under Magnifying Glasses”, published in April 2015. The topic is not discussed in detail here.

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Funding Science: Towards optimized support for excellence and innovation While research funding in many countries worldwide has been under increasing pressure, China’s rapid economic growth has fuelled expansion in its R&D spending. China’s R&D spending increased by 16% CAGR for the past 20 years (at a comparable price) to RMB 1,331 billion in 2014, reaching 2.1% of the national GDP14. Most of these funds were devoted to technology development and were spent by industry. Higher education and public research institutes accounted for around one fifth of the total R&D spending, most of which was provided by the government. For scientists working at universities and institutes — the focus of our study — the three main funding sources are the National Natural Science Foundation of China (NSFC), the Ministry of Science and Technology (MOST), and the institutes or universities at which the researchers work. In the last category the most significant funders of these research institutions are the Ministry of Education (MOE) and the Chinese Academy of Sciences (CAS). The mechanisms through which these funds are allocated are crucial for Chinese research and researchers. Our findings show that the fairness and efficiency of these processes has improved substantially in recent years, but also point to areas where more work is needed.

Balancing priorities senior researchers returning from abroad It may seem puzzling that despite the and young researchers starting their own rapid expansion of research funding labs in China continue to rise. However, by the Chinese government, a large the structure for allocating funds, which proportion of scientists feel that securing is still far from perfect, may also be a funding has become more difficult in factor. The surveyed scientists identified the last five years. Increased competition several key areas where there are oppor- certainly plays a role as the numbers of tunities for improvement.

14. National Bureau of Statistics of China: Annual Data (2014)

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Table 1 | Main funding programs available for young scientists in China “Especially for very basic Funding agency Program # Awarded Total amount Scope 2014 (RMB, 2014) research, our country does NSFC General Program 15, 000 800K/4 year None not provide enough support. NSFC Young Scientists 16, 421 240K/3 year Male: below age 35 However, basic research projects Fund Female: below age 40 NSFC Excellent Young 400 1 million/3 year Male: below age 38 are usually essential for the Scientists Fund Female: below age 40 promotion of the overall soft NSFC Fund for 198 4 million/5 year Below age 45 Distinguished power of a nation. Take Nash’s Young Scholars game theory as an example … NSFC Key program 605 3.4 million/5 year None no one saw any commercial Organization Department 1000 Young Talent ~400 per 1 – 3 million/3 year Below age 40 of the CPC Central Plan year (2011- value of this purely theoretical Committee 2015) study back then … but it has MOST 973 Program for 30 projects 5 million/5 year Below age 35 Young Scientists Maximum of 5 team made very significant impacts members Source: NSFC; MOST; 1,000 Talent Plan. In 2015, 1 USD = approximately 6.27 RMB later on …. [Nash’s] university or his country has a mechanism First, Chinese funding bodies can oritizing funding of research that builds in the research system to drive profound innovation by funding incrementally on what has come before. support such theoretical studies more basic research. Current funding Three-quarters of the surveyed PIs or very basic research.” schemes tend to favour applied research believed that funders do not take enough -PI, age 25-34, Nanjing due to its more direct and immediate risks in funding research whose poten- impact. However, basic research is also tial impact or practical value is unclear. important and in many cases has a more Funding for niche topics and new areas is profound impact. Basic research accounts too limited by the research backgrounds for only 5% of the country’s total R&D of the reviewers and the subject area expenditure. This is much lower than requirements of the grant programmes. in the USA (18%), the UK (16%) and Things are changing, thanks in large Japan (12%)15. More than 80% of the PIs part to the NSFC’s General Program, surveyed by NPG felt that the Chinese which funds around 15,000 grants per government should spend more on basic year at an average of 800K RMB for 4 research. years. It promotes innovative research, Given that most of the scientists encouraging scientists to select topics included in the survey work in basic freely within the funding areas defined by research, this is perhaps unsurpris- NSFC. With a wide coverage of basic dis- ing. Nonetheless, the US, the UK and ciplines and of scientists at various career Japan spend so much on basic research stages, the General Program also helps because many of the most important to promote balanced and coordinated advances in applied research stem from disciplinary development. To specifically advances in fundamental understanding. target blue-sky research, the NSFC offers Cancer immunotherapy is an instructive small one-year grants for high-risk ideas example. This field looks likely to trans- and a special scheme to fund ideas for form our ability to treat a wide range of which a consensus has not yet emerged. major cancers. However the research that These trends represent a huge step for “It’s very hard to get grants if underpins this impressive recent progress funding innovative research. all derives from quite basic studies of Third, funding bodies can improve you write some very original human immunology. productivity and derive longer term or innovative ideas in your Second, continued investment in benefits by investing more in young proposal. Reviewers may not ‘blue sky’ ideas will generate long-term scientists. Young Chinese PIs who have understand your idea or they rewards. Risk-taking is a crucial part just started their independent research may think that’s too risky and of innovation. But, given their inherent can take advantage of support from the uncertainty, the most innovative ideas government and their own institutes. don’t believe you can make it… often do not initially get much recogni- Institutes typically grant young PIs Things have improved a lot with tion. China is not alone in generally pri- start-up funds as part of their compensa- some special schemes in recent years.” –PI, age 45-54, Xi’an 15. OECD Research and Development Statistics (2015)

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Most young scientists are not in a “The NSFC’s General Program is capped at 800K RMB for 3 years and is position to obtain funding from meg- not enough to run my lab. I will have to spend time seeking other funds. aproject grants, which attract anywhere It would be great if I could receive 3 million RMB funding for 5 years, from tens of millions to even hundreds which would help me to better focus on my research, but there are very of millions of RMB and awarded to only a small group of high-profile sci- few such programs.” entists so young scientists in research - PI, age 35-44, Beijing areas outside such megaprojects cannot access such funds. While the megapro- tion packages to help them start labs and jects are important for meeting national research projects. The government also interests, they should not be overempha- has earmarked funds to support young sized to the detriment of funds directed scientists, including the NSFC’s Young to a wider variety of smaller projects, Scientists Fund and the more competi- particularly those for talented young tive Excellent Young Scientists Fund and researchers. Scientists are typically National Science Fund for Distinguished most productive in their 30s and 40s, so Young Scholars (see Table 1). securing sufficient funds at this stage is The well-known 1,000 Talent Plan, crucial for innovation. initiated by the Organization Depart- Fourth, research efficiency can ment of the Central Committee of the be transformed through increas- Communist Party of China, includes the ing funding allowances for human ‘1,000 Young Talent Plan’, which aims resources. Government agencies often to attract scientists under the age of 40 set budget caps for specified categories, from overseas. The 973 Program, princi- limiting the use of funds. Caps for the pally a megaproject funding scheme, has compensation of research staff tend to be recently also implemented a mechanism low, typically 10-15%, whereas budgets to fund smaller projects earmarked for for equipment, research materials and young scientists. consumables are much higher. In most However, our findings suggest that mature research countries, budget allo- current programmes have room to cation for staff compensation is more grow. There is a specific lack of larger flexible and could even account for a and more stable programmes targeting majority of the direct costs of research. young researchers. The most accessi- Chinese research staff who are not on ble programmes for young researchers, institutions’ payroll, including graduate the NSFC’s General Program, Young students, postdoctoral fellows and con- Scientists Fund and start-up funding tractor technicians, rely on grant money from institutes, typically provide from to supplement their lean salaries. Low 200K to 800K RMB for a 3- to 4-year budget caps for payroll make it difficult term (see Table 1). This level may not for PIs to hire necessary personnel. be enough for the most innovative and productive young scientists to keep their More fair, less fair labs running. Truly innovative research Observers of the Chinese science “For all the grant money I’ve requires a longer-term commitment community often question the fairness got, I am still not able to hire the with more funds. The most generous and efficiency of the funding application programmes targeting young scientists process. In a 2010 editorial in Science, two people I need to do the proposed typically have tight quotas and are very scientists discussed the problem in China research, as I don’t have the competitive. Applicants must spend at the time in which grant applications money to pay their salaries … extensive time and effort seeking multiple were often being considered on personal My grant allows me to spend a grants from various sources, detracting or professional connections rather than lot of money on equipment. But from their work at a time when most scientific merit, which stymies innova- scientists are at their most productive. A tion16. However, change is occurring. without enough personnel to 3-year term is also quite short, given that Two thirds of the PIs surveyed by NPG carry out the experiments, the it may take 2 to 3 years to set up a lab in believe that the fairness and efficiency spending would be a waste.” many fields. of the process have improved, largely – PI, age 35-44, Xi’an 16. http://www.sciencemag.org/content/329/5996/1128.full

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attributable to procedures implemented Second, engagement of the broader by the NSFC, the leading funding source research community when conceptual- “Their reviewers are selected for Chinese scientists. NSFC has made izing and awarding megaproject grants from a pool of experts. With major strides in improving the fairness of can promote fairness and transparency the improvement of researcher its application procedures. Nonetheless in funding allocation. Megaprojects qualifications, the level of those surveyed pointed out several areas across the world, are typically aligned reviewers has also improved, with room for improvement, particularly with national strategies and have resulted with respect to megaproject grants. in spectacular outcomes. In China they and they are more professional. First, funding bodies can create an are often proposed by a small group of Thus, it’s less likely for them to environment of transparency with more high-profile experts selected by policy be influenced by other factors, merit-based peer review. One of NSFC’s makers and the decision-making process which increases the fairness [of most lauded changes is its adoption of a is perceived as lacking input from the the application]. To ensure the merit-based peer review system, based broader scientific community. Moreover, on the US National Science Foundation megaprojects usually have narrowly effectiveness and fairness of an model. To ensure the funds are distrib- defined guidelines and conditions, evaluation system, the premise is uted based on research merit, NSFC restricting recipients to a pre-deter- to have enough qualified expert draws its pool of reviewers from among mined few. This could confine explora- reviewers, so that you have the well-established scientists recognized for tion and stifle innovation. In addition, capacity to judge if the proposed their intellectual and ethical merit. measures for the prevention of conflicts Chinese funding agencies must also of interest are not rigorous enough — sci- research really meets your high combat the influence of an individual’s entists involved in the programme design standard.” - PI, age 35-44, Shanghai personal connections, known as guanxi. process may also apply for grants, giving NSFC applies a rigorous two-stage them an unfair advantage. review procedure. A ‘communicative review’ encourages reviewers to make How strict is too strict? judgments independently by sending in Once a grant has been awarded to a their reviews by mail. The panel review scientist, the funds are not completely allows discussion among panellists, at his or her disposal. Several unidentified to each other before their evaluations and audits follow meeting and are often asked to vote to monitor the usage of the N = 999, PI during closed meetings to avoid outside funds. Although checks are influence. The appeal mechanism also necessary to prevent corrup- improves fairness. tion and the improper usage These rigorous measures to prevent of funds, excessively rigid regu- the influence of personal connections lations may reduce scientists’ were highly praised by the researchers efficiency. The PIs surveyed surveyed by NPG. “I think among our by NPG saw this as a >30% country’s research funding agencies, major impediment and 9% NSFC is the most trustworthy; it’s a highlighted several 20 – 30% 31% very fair process”, remarked one senior ways to open avenues <10% researcher from Shanghai. “A typical for productivity. 19% example is its General Program. They First, funders What proportion of your working have a five-member panel and if the can help scientists hours do you spend on funding panellists have very different opinions to be more produc- applications and evaluation? [regarding a proposal], there will be tive and efficient by another round of review. As applicants, minimizing admin- you also have the right to appeal for istrative hurdles and re-examination. This is unheard of in optimizing flexibility in 10 – 20% other agencies.” grant spending. Funding 41% More funding bodies should follow the agencies typically require NSFC’s example with an eye to refining grantees to specify a budget the process further where problems plan, with detailed breakdowns and arise. For instance, in panel reviews, to strictly follow that plan after receiv- senior panellists or academicians may ing the grant. Making adjustments later FIGURE 3. Funding applications and dominate the discussion, overshadowing on involves complicated procedures and evaluations take up a significant portion of other reviewers. is very difficult to get approved. Alas, researchers’ time.

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the reality is that research is fraught with ment, but scientists become frustrated uncertainty, and is almost impossible to with excessively tedious processes. accurately budget years in advance. Strict Around two fifths of the surveyed PIs caps set for specified funding categories, reported spending more than 20% of such as travel and payroll, interfere with their time on funding-related activities scientists’ normal research activities. (see Figure 3). Partly due to intense com- For some major grants, future funding petition, researchers devote extensive is cut if the money is not used by the end effort to grant applications. However, of the year for which it was earmarked. aside from time spent on research design, Scientists are then forced to spend the researchers also struggle with detailed money within the timeframe, resulting in budget and reporting requirements. inefficiency and waste in some cases. Senior scientists — who are more likely The NSFC has taken positive steps to be applying for megaprojects and are in easing onerous procedures in their frequently selected for evaluation com- funding application, review and eval- mittees of major programmes — tend to uation. For instance, the new Fund spend even more time on funding-related Management Method issued in April activities. These added burdens distract 2015 removed caps on labour expenses, scientists from research. improved the management of fund To address the challenges in the way it balance and increased flexibility in funds research, the Chinese government adjusting budgets. These positive steps intends to restructure the funding system. are highly regarded by many PIs. Other By 2017, most of China’s competing grant Chinese funding bodies can follow suit. projects will be discontinued in favour

“It’s unnecessary to have such frequent evaluations and reviews. It overburdens not only the applicants, but also the reviewers. That means a double burden for senior scientists. Also, the financial audit [process and requirement] is too complicated, it’s very time-consuming to prepare those documents.” -PI, age 45-54, Shanghai

Second, streamlining fund report- of five major funding categories: NSFC; ing, evaluation and financial audit major national science and technology processes will allow more time for projects; key national research and devel- scientists to focus on research itself. opment programmes; a fund to encour- Excessive evaluations and financial age technological innovation and a fund audits put unnecessary burdens on sci- to develop human resources and infra- entists. The researchers surveyed by NPG structure. A joint council will be set up to were generally satisfied with the rela- unify research planning and priorities and tively straightforward evaluation scheme allocate funds among different schemes, for the NSFC programmes. However, while scientific project management will some major programmes require several be conducted by a professional agency evaluations and strict financial audits. under supervision of the government. This It is understandable that megaprojects major overhaul of the science and tech- require more demanding audit measures nology funding system aims to optimize to prevent exploitation or mismanage- allocation and streamline processes. Our data confirm that China is making great progress in improving its funding “Research plans are based on assumptions. But scientific research, by system to better support scientists. nature, has great uncertainty. I can not predict everything accurately, in Further improvements could do even many cases I need to change the original plan. But the procedure to adjust more to foster an innovative research it is very complicated, this is not reasonable and it’s a waste of time.” environment, but several aspects of - PI, age 45-54, Beijing China’s research culture and practice also require a closer look. ■

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Doing Science: Research Culture and Practice

When funding has been secured and it comes time to start research, scientists must navigate a complex landscape to ensure that they have the knowledge and resources to accomplish what they have set out to do. Many of the challenges here are universal — researchers all around the world strive to network, keep their knowledge up to date, and avoid ethical slip-ups. But the research culture in China poses its own set of unique problems. At this turning point, China is seeing transformation in many aspects of its research culture, particularly in the ways knowledge is passed down from senior to junior researchers, how researchers collaborate, and how to navigate the grey areas of research ethics. China’s success in these transformations will likely depend on its ability to maintain a supportive, principled and collaborative research culture — and to nurture the necessary human resources.

Developing a supportive the way young PIs are supported. China research culture has traditionally taken a group men- The future of Chinese science relies on the toring model in which young scientists development of young researchers, who start their careers affiliated with a senior need good teaching and good mentoring. PI and a larger group. In this appren- The meaning of ‘good mentoring’ in tice-like model, prevalent in Germany practice depends on the context, and what and Japan, autonomy for young scientists works in one situation may not work in is more limited given the highly hierar- another. This is particularly pertinent to chical structure. In contrast, the individ- Chinese research institutions, in which ual model of mentoring, typical in the teams are increasingly organized in smaller USA, offers more impetus for innovation groups around many independent young but less support and fewer collabora- PIs and moving away from larger groups tion opportunities. organized around one or two senior profes- In recent years as funds flow in to sors or researchers. The data we gathered support independent labs headed by allow us to pinpoint adjustments to foster a young PIs, more top Chinese institutes more supportive research culture. are adopting a model in which young PIs First, evolution in the structure of can strike out on their own from the start. research teams will require changes in However, as the traditional within-team

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Do you feel you had enough mentoring during the following research stage? PhD Post-doc Researcher 28% 23% Enough 34% mentoring 60% 43% 34%

58% 56% Some, but 55% not enough 38% 49% 39%

8% 16% 22% Little or no mentoring 3% 8% 28%

0% 10% 20% 30% 40% 50% 60% 0% 10% 20% 30% 40% 50% 60% 0% 10% 20% 30% 40% 50% 60%

China/no time abroad Foreign trained

FIGURE 4. A larger proportion of home-grown mentoring fades, the onus is on young mentoring. The administrative burdens scientists felt that they received insufficient researchers to plan their own research and on Chinese senior scientists are much mentoring during their progression from PhD to career trajectory with little support. More heavier than for their peers in the west, postdoc to independent researcher. than three-quarters of the surveyed PIs felt leaving very little time for coaching. that they did not receive enough mentor- ing when they first became PIs. Compared Running a lab is more than with their more established colleagues, ‘Chemistry 101’ young scientists were more likely to feel Researcher training is a significant issue that the mentoring they received was insuf- for researchers. Currently, the greatest ficient when they were PhDs or postdocs or training burden falls on mentors, meaning had just started their own labs. Moreover, the quality and method varies widely this problem is more prevalent for home- among PIs. To be successful, scientists grown researchers: a higher proportion require training in a wide range of areas felt they were less mentored compared to — many of which Chinese scientists are peers trained overseas (Figure 4). already excelling in. But our data reveal Young researchers should be encour- that researchers consider training to be aged to seek mentoring from multiple particularly lacking in several areas, and sources while they develop independence. the quality also needs improvement. Those surveyed by NPG generally prefer First, improved training in writing to have the freedom to approach differ- papers and grant applications is needed ent senior scientists for guidance rather to help Chinese scientists compete on than limiting to an assigned mentor. This the global stage. Scientific paper writing is generally aligned with the independent and publishing was identified by survey young PI model, which requires young respondents as the area in which training researchers to take the initiative to seek was needed the most, despite the fact this support as needed and senior PIs to offer training was the most widely provided cross-team help to the young. (Figure 5). Many Chinese scientists are “The biggest barrier to mentoring Second, institutes can free up deeply concerned about this issue. English senior scientists’ time for mentor- language writing plays an important is that senior scientists are too ing by reducing administrative work- role, while logical structuring of a scien- busy today, with all the grant loads. Chinese scientists are well aware tific paper also poses a big challenge. As application and review and of the benefits of mentoring and more English is still the de facto language of much additional work to do such than 90% of surveyed researchers agree science worldwide, it represents a major as administrative meetings... If that mentoring should be improved hurdle for Chinese scientists in sharing for young scientists. However, high their discoveries with the world. Similarly, these distractions can be reduced, administrative workloads limit the training in writing grant applications is I really like to spend more time senior PIs can devote to lab mentoring. in high demand, despite being relatively time in the lab with the young Submitting applications, assessing major widely offered, due to China’s competitive scientists.” – PI, age 45-54, Shanghai projects, and taking administrative roles funding environment and the central role are usually given higher priority than of funding.

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Ethics

45% 50%

Research project 53% management 17% 66% Grant application 68%

Laboratory 83% 52% management 56%

38%

48% 36% Paper writing Data management and publishing

In which of these areas have you had training In which of these areas do you feel you would like before (select all that apply)? (N = 1,690) to have more training (select all that apply)? (N = 1,690)

FIGURE 5. Most Chinese scientists lack training in laboratory, data and research project management, while improved quality is needed for training in scientific writing and publishing

Second, expanded training in data cians play an increasingly important role management and research project man- as more research requires equipment “Paper writing courses in the agement will increase productivity, and technologies needing significant universities are not very effective. efficiency and reproducibility. As big technical skills to use effectively. The It only focuses on language issues data becomes more prevalent in research, shortfall of appropriate people for these but does not address the problem particularly in the life sciences, com- roles in China can hamper productivity of logic structure. I heard some putational skills and data management and decrease the return on investment. are becoming increasingly important. But how can Chinese institutions foster a are delivered by foreign language Moreover, PIs must be able to manage more balanced human resource structure? department.” a large team of personnel effectively. First and foremost, institutes can - PI, age 35-44, Nanjing However, the training typically offered address human resource deficiencies to Chinese scientists focuses on conduct- by doing away with outdated person- ing research rather than management nel management systems. The “bianzhi” skills (see Figure 5). system — a relic from the era of China’s “planned economy” under which a fixed Filling the human resource gaps to number of staff are given permanent posi- maximize research returns tions with better benefits while others are China has the world’s largest base of PhD limited to temporary contracts — is still students and the biggest science and tech- prevalent in governmental organizations nology workforce. However, NPG’s survey and institutions. In the current research “Technicians typically just need a revealed that the lack of postdoctoral environment in China, “bianzhi” is divert- master’s degree, but my institute fellows and lab technicians (Figure 6) ing talent away from postdoctoral fel- requires a doctoral degree for a represents a sore spot for many scientists. lowships and technician positions. Strict This is in contrast with the West, which quotas and inflexible degree requirements “bianzhi” position, discouraging sees a surplus of postdocs, many of whom make it difficult for many lab technicians to qualified graduate students. come from China17. Postdocs and techni- secure “bianzhi” positions. And the system Yet, PhD students choosing cians are valuable members of the Chinese focuses on grants and research papers as a academic careers prefer lecturer research environment, particularly at this means of assessment — metrics that typ- or researcher positions over turning point. Experienced postdocs can ically do not reflect the performance of make PI’s time more scalable and can technicians. In addition, institutes tend to technicians ... Technicians just also play a key role in mentoring junior favour researchers and professors when don’t get enough attention. This is students and staff. Competent techni- allocating precious “bianzhi” positions. a ridiculous dilemma.” – PI, age 45-54, Xi’an 17. http://www.nature.com/news/wanted-staff-scientist-positions-for-postdocs-1.17303

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Others 1%

Researchers 5% Junior assistant Post-docs researchers 34% 13%

PhD students Which category of human resources do you feel 14% are lacking in your team? (N = 670, PI)

Lab technicians 33%

What do you think is the biggest challenge that prevents you from securing these human resources?

Post-docs (N = 229, PI) Technicians (N = 220, PI)

5% China does not produce enough qualified candidates 8%

52% Most qualified candidates go abroad 5%

33% Inadequate ear-marked funding 37%

9% Head count limit in my institute/lab 48%

1% Other 1%

FIGURE 6. Chinese scientists identified the lack of postdocs and technicians as the biggest hurdle for their research teams.

The allure to “bianzhi” encourages quali- overseas training experience, insti- fied PhD graduates to pursue positions as tutes can keep more talented scientists teaching lecturers rather than postdocs or in China. When recruiting faculty and technicians. offering promotions, many Chinese insti- Second, more competitive compen- tutes prefer scholars with a foreign degree sation for contract-based research staff or overseas work experience. Funding pro- is needed to retain talented staff. Due grammes also favour overseas experience, to government-enforced caps on labour and this is even a mandatory requirement expenses, PIs often do not have enough for some programmes such as the ‘1,000 funds to offer competitive compensation Talent Plan’. The emphasis on overseas expe- to research staff that are not on the institu- rience has brought tremendous benefits in tion’s payrolls, such as students, postdocs the past several decades as scientists return- and contract-based technicians. As a ing from abroad have greatly advanced result, these professionals seek industry China’s research culture. However, as China jobs that offer more competitive packages. assumes a leading position in research This problem is particularly prevalent in infrastructure and capability, a majority of cities like Beijing and Shanghai, where the interviewed PIs believe the strong emphasis cost of living is high. on overseas training is no longer construc- Third, by reorienting assessment to tive. Forcing the best PhD students and focus on research output rather than postdocs to go abroad for several years has contributed to the dearth of postdocs in China. This must be addressed if China is “Regarding collaboration, a sensitive issue is how to share credit … One to take full advantage of its ever-improving difference for us from foreign countries is that we over-emphasize the research environment. institution of the first author or even the first corresponding author [in Collaboration does not the case of co-first author]. This is ridiculous and obviously shows the come easy sign of administrative intrusion. This is a barrier rooted in our system.” Science requires collaboration within and – PI, age 35-44, Nanjing across teams. International collaboration is an increasingly important aspect of

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What are the main factors that tend to be used for researcher assessment in your institute (Select all that apply)? (N = 999, PI) Academic metrics Impact factor of journals in which papers are published 88% Number of SCI papers 78% Academic awards 60% Research funding secured 58% Citations of published papers 43% Number of patents 43% Teaching quality 14% Teaching quantity 13% Other 1%

Social metrics Economic impact from technology commercialization 73% Social culture impact 22% Environmental impact 8% Other 2%

FIGURE 7. Chinese researchers reported being assessed primarily by quantitative metrics. research, from the human genome project can be recognized by their institutes and and the International Space Station to funders. The problem is rooted in an combating climate change. China has over-simplified assessment system that participated in a number of these, and focuses on numbers of publications and scientists understand the importance of assigns credit for each article solely to high-profile collaboration. Almost all the the first author or corresponding author surveyed PIs agreed that opportunities rather than a more appropriate allocation for collaboration are improving in China. that recognizes the contributions of all China has established more than a dozen authors. Moreover, the emphasis on the state-supported collaborative centres to “first responsible institute” by Chinese promote innovation and interdisciplinary institutes — in this case the first affilia- studies at universities and research insti- tion of the first author — also contributes tutes, and some of China’s major funding to this problem. programmes, such as the 973 Program, This issue is less pronounced in inter- have made collaboration from several national collaborations, as foreign teams or institutes mandatory. The allure researchers tend to care less about being of publishing in high-impact journals first authors, and typically will follow also drives collaboration — around the professional principles of authorship three-quarters of the surveyed PIs felt that attribution. While in China, such princi- their chances of getting published would ples are not prevalent and credit sharing increase with international collaborators. tends to become a personal favour in Overall, scientists see great prospects for many cases. collaboration opportunities in China, Second, Chinese policy-makers can but identified several barriers that should facilitate international collaboration be addressed. by removing administrative barriers First, funders and institutes can to healthy academic exchange. In promote domestic collaboration by con- international efforts, another barrier to sidering more nuanced ways of assess- collaboration comes from the need to ing research to ease the competition exchange physical materials. Samples or for first authorship. Perhaps the biggest other materials mailed to China may be issue facing collaboration lies in the attri- detained in customs for months, bringing bution of authorship. The question of research to a standstill and even render- how to share credit among authors is a ing certain biological materials unusable. particularly thorny problem in domestic Moreover, budget limitations on travel collaborations, as many Chinese scien- and tedious administrative procedures tists want to be the first author, or the required for international travel discour- corresponding author, so that their work ages international exchange.

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research is now a hot topic globally. Top “I think the most important thing is the lack of education. Many institutes such as the Chinese Academy of times students don’t even realize that they did something unethical or Science are already taking steps towards a illegitimate … For instance, I had such a student in my lab. He used more qualitative evaluation system. the same graphs and text from a submitted article in another article. Second, ethics training needs to be He didn’t know that this is not allowed … So we need more training on improved and the importance of scien- tific ethics needs to be emphasized. The this to tell them what is copyright, what is plagiarism. They need to be majority of surveyed scientists indicated educated about intellectual property.” that they have received training in ethics, - PI, age 45-54, Beijing and did not express a strong need for more ethics education (see Figure 5). However, the quality of ethics training needs to be An ethical education examined. As several PIs pointed out, Scientific misconduct is a global training is typically not systematic or problem. But when stories of miscon- nuanced and glosses over grey areas. Also, duct by researchers in China make global given a historical lack of respect for intel- headlines, the reputation of Chinese lectual property rights in China, ethics as science as a whole suffers more than a concept appear to be viewed differently. when similar cases happen in other Better training that more clearly spells out countries. This is clearly unfair, but it what the global research community con- makes the need to tackle misconduct all siders to be misconduct — and acknowl- the more important. While two-fifths edges the grey areas between what is and of the researchers surveyed thought what isn’t misconduct — would help that the level of misconduct in China is researchers avoid breaches of accepted about the same as that abroad, a similar international norms. Mentoring from proportion felt that misconduct is a more senior PIs will offer students and younger serious problem in China. Scientists are researchers a more personal understand- thus torn on the threat misconduct poses ing of research ethics. to the research environment in China. Third, funders and institutes can dis- Although the surveyed scientists were courage unethical behaviour by imple- overall positive and believed that miscon- menting more transparent investigation duct will be less prevalent in China in the and being more consistent in penaliz- future, we identified several ways that ing those that wilfully violate research funders and institutes can help to speed ethics. Of the scientists surveyed, 91% felt up this process. that Chinese institutes should do more to First, funders can reduce pressure on detect, prevent and punish misconduct. researchers to cut corners by adopting This includes enhanced monitoring, more more sophisticated approaches to consistent consequences for those found assessment. In many cases a contributing guilty of misconduct, and transparently factor to misconduct can be traced back handling investigations into alleged mis- to the assessment system which tends to conduct. Particularly, in addition to ele- crudely link financial and career benefits vating the ethical legitimacy of China’s with quantitative metrics such as the science as a whole, bringing such wrong- number of articles published, particularly doings out into the public sphere will help in journals above a certain level of impact other scientists to understand the serious- factor and the amount of grant money ness of scientific misconduct and provide secured (see Figure 7). For instance, case study examples for ethics training. medical doctors need to publish in order China’s research culture is undergo- to be promoted. However, Chinese clini- ing a major transformation. As we have cians, with caseloads that would terrify a seen, mentoring and training, human western doctor, usually don’t have enough resources, collaboration and scientific time to devote to research. The pressure to ethics will all play important roles in this publish a lot risks inviting researchers to transition. Turning to the third stage of cut corners, which leads to other forms of the research process — sharing science misconduct. How to reorient the assess- — reveals a new set of opportunities ment system to focus on real outcomes of and challenges. ■

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Sharing Science: Making an impact through publication and public engagement In a narrow sense, sharing science means publishing and communicating research outcomes with other scientists. More broadly it involves engaging with the general public, policy makers and business leaders. As China finds itself sharing the global stage with research giants like the USA and Europe, the broad dissemination of research results is becoming ever more important. Although Chinese scientists are keenly aware of the importance of communication to the wider public, they tend to focus on paper writing and publishing. Meanwhile, engagement in the broader communication of science — even more important as governments strive to encourage research with positive societal impacts — remains low.

Quality over quantity touched on earlier, the focus on high-profile The well-worn phrase ‘publish or perish’ journals and hot topics is driven primarily highlights the importance of publication to by the type of metrics used in the researcher scientists. As the number of papers coming assessment process, particularly metrics out of China increases, scientists, driven such as journal impact factor (see Figure 7). by assessment policies, are aiming higher Pressure to produce extremely high- — that is, they are targeting high-impact quality output may make researchers reluc- journals. In this transition, funders and tant to share their data or delay publishing institutes need to consider measures that until they can get their paper accepted in ensure this trend does not hamper the a high-profile journal. This is not always discovery and innovation process overall. a bad approach given the need to increase First, funders and institutes should the reproducibility of some of the most consider more nuanced and individu- novel findings18. Nor is this unique to “It may be good to science al-focused assessment approaches. 87% of China. Nonetheless, the scientific com- development. But it also requires the surveyed scientists indicated that they munity needs to guard against placing too extra efforts and time to sort out are likely to publish relatively fewer papers much emphasis on blockbuster publica- all the data for an open platform. each year in future, but target these to higher tions, which could hamper the sharing of Also, this may invite questions that profile journals. Almost all surveyed PIs science and slow positive societal impacts indicated that they feel pressure to pursue from research. cause distraction. Personally I don’t hot topics, with approximately half identi- Second, measures to encourage Open want to do this unless this becomes fying the lure of publishing in high-impact Science in China, in particular the mandatory for everyone.” journals as the most important reason. As sharing of data, should be considered. – PI, age 45-54, Beijing 18. http://www.nature.com/nature/focus/reproducibility/index.html#perspectives

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Much of the focus of the Open Science their students, many others just rewrite the “Language is one barrier in movement to date has been to encourage paper to save time. As touched on earlier, writing. There’s another important researchers to make their research papers the English language presents a serious chal- issue - the logic of thinking. The and similar scholarly works freely availa- lenge, but even more important is the ability latter is even more of a problem ble through various forms of open access to write logical and convincing papers. … In Western countries, they start publishing. More recently, there have been Institutes should consider providing moves to broaden the concept to include more training for students and young writing essays early. It’s integrated not just research papers but the data on researchers in both English writing and in their undergraduate education. which these scholarly works are based. scientific writing generally. But the lack Or [they emphasize writing] even Increasing numbers of funding agencies of this critical training in undergradu- since primary schools or secondary around the world now require researchers ate education in China is also part of the schools. But this is lacking from our to make publicly available any data col- problem. Incorporating essay writing lected from research for which they have into the basic education system — at the education system.” received funding19. But our survey suggests undergraduate and even primary and sec- – PI, age 35-44, Beijing that Chinese researchers have little enthu- ondary levels — would greatly improve siasm for — or even awareness of — the the scientific writing skills of the next global trend towards openly sharing data. generation of Chinese students Most see significant efforts and potential and researchers. dangers to sharing their data with little or Second, to address issues with com- no personal benefit. Their greatest concern mercial editing services, a global indus- is the possibility of peers publishing papers, try-wide accreditation system would help possibly in high-profile journals, based to maintain quality standards. There is on their data and without attribution. clearly a great need in China for high-qual- And some fear that it may invite others to ity language editing services. Home-grown dispute the conclusions they have drawn scientists, who are normally less skilled at from their data. writing in English, are more inclined to use these services, a reason why home-grown Write, write, write PIs reported spending less time on paper Paper writing is usually the last step in writing than peers with overseas experi- research, but it consumes a consider- ence. However, PIs’ experiences with these able amount of time. The majority of the companies, many of them local providers, surveyed PIs reported spending more are not positive. Although around half of than one working day per week on paper the surveyed PIs had used language editing writing (Figure 8). The difficulties that services, only a quarter wanted to continue Chinese scientists tend to experience in using them. They found most of the editing this area stem from the substandard scien- services unhelpful for improving the struc- tific paper writing skills of students and the ture of the paper, and were dissatisfied with unsatisfactory language editing services the level of language polishing provided. provided by many commercial companies. First, giving scientists a definitive These issues need to be addressed by the measure by which they can feel confident relevant stakeholders. of a provider’s services would help. Second, First, to enhance students’ writing an authoritative and consistently assessed “I feel there is a bias against skills, Chinese institutes should consider blacklist of poor quality or unethical service providing more training in this area — providers, analogous to Jeffrey Beall’s pred- Chinese authors in publishing. including support for the future gener- atory OA publisher list20, may be another Most editors and reviewers are ation of scientists. When writing a paper, useful barometer to maintain industry from western countries. It’s not it is common for PIs to provide guidance standards. surprising that they will give more on the paper’s theme and structure to a time and trust to an article from a graduate student who then completes the Invisible barriers? first draft. However, the quality of these Chinese scientists share the same anxieties famous (western) institute or lab, drafts is usually substandard and will need with their counterparts around the world and they tend to be harsher to an to go back and forth several times between in waiting for responses from journals after article from a Chinese lab that they the student and the PI. While some PIs view submitting their papers. Long response never heard of.” this exchange as an opportunity to coach times, especially for high-impact journals, – PI, age 35-44, Xi’an 19 http://figshare.com/articles/Global_funders_who_require_data_archiving_as_a_condition_of_grants/1281141 20 http://scholarlyoa.com/publishers/

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N = 999, PI and ambiguous responses from editors and nounce and remember, promotion of reviewers are common sources of frus- the Open Researcher and Contributor tration. But some surveyed Chinese PIs ID (ORCID) in China will be essential. also believe that they are treated unfairly ORCID is unique to each researcher and >50% by the peer review system of international allows unambiguous identification of 10% journals, especially high-impact journals. researcher records and contributions 30 - 50% Editors and reviewers from these journals for the purposes of peer review selec- 29% <20% are perceived as being harsher on papers tion, as well as ultimately individu- 20% from Chinese authors based in Chinese al-focused assessment exercises. What proportion of your working institutes. Several journal-specific studies Beyond measures that increase hours do you spend on paper writing and publication? showed a higher rejection rate for papers the proportion of Chinese review- from China, including many Nature ers, bias and/or perception of bias branded journals21. against Chinese researchers must be A study on peer review in the journal dealt with by the key implementers of Biological Conservation suggests Chinese the editorial and peer review process: 20 - 30% 41% scientists do face greater difficulties in journals and publishers. In particular, getting published: papers from China are these stakeholders must continue to more likely to get rejected before being sent innovate and experiment with the peer for review, and are more likely to receive review process in consultation with the negative reviewer recommendations22. broader research community to reduce FIGURE 8. PIs spend a significant amount of This issue could be due to a relatively lower the potential for bias in the process. Peer time on paper writing and publishing. quality of research submitted to the journal, review models that are double- (authors or less clarity in communication. But some and peer reviewers) and triple- (+editors) suspect that a bias against Chinese authors blinded or that are much more open should is at play. So what can be done to reduce be experimented with. bias and/ or the perception of bias? Measures to increase the number of A crisis of confidence Chinese reviewers could be part of the Communication by the scientific solution. The attitudes of the surveyed PIs community to wider society is increasingly towards Chinese reviewers varied. Some important. Telling the general public what preferred Chinese reviewers but others scientists are doing, persuading taxpayers expressed concerns that they might be even to support science, engaging with govern- harsher on domestic peers due to direct ment and industry entities and inspiring competition. Nevertheless, the number young people to become scientists should of reviewers from China remains small be an integral part of the role of science. relative to the growing number of high-pro- When the public begins to question file papers published by Chinese scientists. spending on science, the importance of A key problem is that it is often difficult for communication is even more evident. foreign journals to enlist Chinese scientists Chinese scientists certainly recognize the as reviewers because they are not familiar importance of participation. The research- with the areas of expertise of potential can- ers surveyed by NPG almost unanimously didates. A couple of initiatives could help. agreed that scientists should play a role in “All journalists I met or heard of First, Chinese institutes can enhance communicating to the public. However, in China’s science communication the visibility of their researchers by, for only around half had experience of some media are from an arts education example, creating more accessible English type of science communication in the past pages on their institutional websites. three years. This lack of engagement is com- background, which means they In this way, other researchers around the pounded by the low level of scientific literacy have not received any physical or world would be better able to select appro- of China’s general populace. A survey con- chemistry education after high priate Chinese researchers as referees. This ducted this year by the China Association school ... Research is complicated, would also improve global collaboration for Science and Technology showed that involving a series of issues and opportunities for Chinese researchers. on average 6.2% of Chinese citizens have Second, because non-Chinese typi- basic scientific literacy, lagging significantly dependencies. Ignorance of one cally find Chinese names difficult to pro- behind major developed nations23. message could lead to a totally — PI, age 35-44, 21 http://www.nature.com/nmat/journal/v11/n9/full/nmat3424.html wrong story.” 22 http://www.sciencedirect.com/science/article/pii/S0006320715000956 Shanghai 23 http://education.news.cn/2015-10/01/c_128285591.htm

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Clearly, then, there are barriers before their science communicators. These pro- Chinese scientists who recognize the fessionals are key in promoting positive importance of communicating their interactions between science and media. research to the public. Lack of time and a Just as scientists themselves require the lack of confidence are both to blame. Sci- right training to help them communicate, entists are afraid to engage outside of their science communicators need effective edu- community because they fear being judged cational resources so they can stay on top of by peers or misunderstood. Scientists, com- recent scientific advances. munication professionals and media outlets Establishing centres of excellence for all play a role here. However there are ways science communication would foster a in which science communication can be greater number of skilled science journal- improved in China. ists and public science communicators. First, Chinese institutes and funding In addition, more professional commu- bodies could incentivize good science nicators with backgrounds in science are communication by tying it to researcher needed. In many media and institute press assessment. It is necessary for funders and offices, professionals interacting with sci- institutes to foster an environment in which entists typically have public relations or scientists are openly encouraged to engage journalism backgrounds, which may con- with other sectors of society — something tribute to scientists’ fears their research that could be achieved by giving Chinese may be miscommunicated or exaggerated researchers more incentive to communicate by the media. As an example, University their research. For instance, a more-nu- of Science and Technology of China has anced rather than pure publication driven the department of Science Communica- assessment scheme (as suggested earlier) tion and Policy which cultivates science that gives credit to good science commu- communication professionals who have nication activities, as well as collaborations science and engineering backgrounds. But with industries would help. Recognizing such programs in China are rare, and more and rewarding public engagement would are needed. also help to generate greater social impacts Fourth, more professional and effec- of research. tive science communication outlets are Second, institutes and funders need needed. Currently, the major communi- to find ways to close the gap between cation outlets available within the science attitude and engagement in science com- community are those of institutes and munication. China’s culture of modesty publishers. However, press offices at insti- thwarts interactions between scientists and tutes tend to give low priority to science the media. Many Chinese researchers might communication, and many do not have worry that media appearances would invite any professional science communicators. peers to accuse them of seeking limelight. Press activities carried out by publishers Many Chinese scientists prefer low-key are normally more comprehensive, but activities such as delivering a speech to a their coverage is still limited and awareness small audience or writing science articles about these activities remains low among while they go about their usual research. Chinese scientists. In addition, young researchers may prefer Commercial outlets outside the science “(Science communication with to leave communication with the media to community also need to be improved. more established senior scientists. The quality of existing science television public media) This may be all right Again, the many administrative hurdles programs in China is low, and popular in the western countries as they in the Chinese academic culture represent science websites tend to have limited respect diversity and individuality. another important factor. Time needed for coverage and impact. Commercially suc- But in China, as a young scientist, funding application, writing and publish- cessful platforms similar to the Discovery this may cause trouble and I don’t ing papers, as well as added administrative Channel or National Geographic, which roles for some senior scientists, leaves little can funnel investments from the gov- want to do that. I’m happy to for science communication which is rele- ernment, institutions and industry into do that when I become a senior gated to the sidelines. high-quality, professional content, could heavyweight in my field. ” Third, media and institutes could give Chinese scientists the necessary –PI, age 35-44, Shanghai maximize their potential for science com- motivation to discuss their research on a munication by improving the quality of national and global stage. ■

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Turning Point Conclusion

China realizes that research must be at the heart of its social and economic transformation. At this turning point, the picture of the fundamental components of the research ecosystem — the funding, conducting and sharing of science — is overwhelmingly positive. Nonetheless there are still anomalies and barriers that frustrate researchers and thwart progress towards a culture that recognizes and rewards excellence and innovation. In this paper, China’s scientists — its most important research resource — have allowed us to both define the problems and point to solutions.

The recommendations we have made explicitly address these issues. If they are refined, detailed and implemented by the key stakeholders, they provide the opportunity for China not just to be seen as a research giant but to establish an entrenched culture of innovation that can establish it as a global science and technology leader. In future we believe that Tu Youyou will not be seen as the exception to the rule of how Chinese research is conducted but the trailblazer who sets a standard followed by many others. ■

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