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AKADEMIE IM DIALOG | 9 THE FREEDOM OF SCIENTIFIC RESEARCH IN THE FACE OF POLITICAL AND SOCIETAL DEMANDS ÖAW 2 THE FREEDOM OF SCIENTIFIC RESEARCH IN THE FACE OF POLITICAL AND SOCIETAL DEMANDS

ALLEA GENERAL ASSEMBLY, 18–19 APRIL 2016 AUSTRIAN ACADEMY OF SCIENCES

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CONTENTS

GÜNTER STOCK | President, ALL European Academies (ALLEA) ANTON ZEILINGER | President, Austrian Academy of Sciences Foreword ...... 5

SIR PETER KNIGHT | Imperial College London Interplay of Freedom of Scientific Research and Political Demands...... 7

JULIAN NIDA-RÜMELIN | Ludwig-Maximilians-University Munich, former Minister of State Freedom of Science and Academic Education ...... 17

IRMGARD GRISS | former President of the Austrian Supreme Court of Justice Freedom of Scientific Research from a Legal Point of View...... 23

MICHÈLE LEDUC | École normale supérieure Paris Integrity and Responsibility of Researchers: Ethical Views ...... 29

JEAN-PIERRE BOURGUIGNON | President, European Research Council Perspectives from and on the ERC ...... 35

LÁSZLÓ LOVÁSZ | President, Hungarian Academy of Sciences Political Influence, Societal Demands and the Expectation of Economic Returns: Threats or Possibilities for Research ...... 43

STEFAN HORNBOSTEL | German Centre for Higher Education Research and Science Studies Under Pressure! Investigating Academic Freedom...... 49

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JAN VELTEROP | Academic Publisher Openness is a Scientifically and Societally Relevant Part of a Published Article‘s Quality ...... 57

JULIA BUDKA | Ludwig-Maximilians-University Munich Scientific Freedom & Young Researchers: A Personal View from the Humanities...... 67

ROBERTA D’ALESSANDRO | Utrecht University Academic Freedom: Challenges, Threats, Emerging Issues ...... 71

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FOREWORD

Freedom has always been at the ­heart ­Scientific Research in the Face of researchers, free from political, cor­ of the human enterprise. Freedom ­Political and Societal Demands”, porate or other undue influences. to choose our own destiny, freedom held in the context of the 2016 while not infringing on other people’s ­General Assembly of the European Today, in our democratic countries freedom. For science – understood Federation of Academies of Sciences we must also carefully observe what in the all-encompassing sense of the and Humanities, ALLEA, in Vienna “democratisation of science and re­ German term Wissenschaft – and on 18 April 2016, and makes the con­ search” means. We have learned over for scientists, freedom is an equally tributions available to the interested the years how important it is to care­ ­important, yet often contested notion. public. fully respect our societies‘ needs for Science seeks to provide answers innovation as expressed by govern­ and often successfully responds to The symposium’s focus on academic ments and their respective research questions of societal relevance and freedom could not have been – and and funding policies on the one hand concerning technological innovation. still could not be – a more suit­able and the need for autonomy of ­science However, scientific findings by them­ and timely topic. We just need to and research on the other. We believe­ selves do not provide judgement but look around us and follow the news that most of our societies have found merely state facts, and it is all too to see that our world is undergoing a reasonable balance. This ­balance often the non-scientists, whether they upheaval on a scale unparalleled must not be violated by ­interest stem from politics or other societal for many years. In more and more groups who – in some cases – are sectors, who interpret those findings countries, political leaders threaten ­striving for or are already having a inaccurately or even try to withhold the autonomous exercise of science. major impact on research policies. or deliberately misrepresent their The effortless distribution of pseudo- Science and research flourish best if ­original meaning. science through social media and their framework conditions are de­ the like deeply challenges the inte­ fined long-term and do not follow This issue of the series “Akademie grity of “real” science and now short-term deliberations, desires or im Dialog”, initiated by the ­Austrian more than ever it is vital to take ideologies. Of course, science can Academy of Sciences to accom­ a clear stand for evidence-based ­react to issues arising in the short pany their public outreach activities, science, a fruitful exchange of know­ term, but its work cannot develop revisits the themes discussed in ledge and the full autonomy of the fully under constantly changing con­ the symposium “The Freedom of scientific enterprise and individual ditions and frameworks.

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The speakers of the symposium at the ethical expertise. All in all, an in­cre­ Austrian Academy of Sciences have dibly well-rounded selection which tackled a broad range of issues from resulted in a day full of highly infor­ a wide variety of different angles. mative and insightful sessions. Our Contributors include representati­ thanks, therefore, go to all of the con­ ves of academies as well as young tributors on the stage, but also to the researchers­ and science publishers, audience who actively engaged with covering legal as well as political and the panellists throughout the day.

Professor Anton Zeilinger Professor Günter Stock

President of the Austrian Academy President of ALLEA of Sciences

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INTERPLAY OF FREEDOM OF SCIENTIFIC RESEARCH AND POLITICAL DEMANDS

SIR PETER KNIGHT

INTRODUCTION nisms in place to protect intellectual Translational Research” and how freedom evolved (for example, the this balance is determined, and by During the 19th century we saw a gra­ so-called Haldane Principle in the whom. Harmonious partnership bet­ dual shift in the support for scientific UK). Beacons of academic freedom ween the providers of funding and research from philanthropic sources offered exemplars of best practice: the deliverers of research is an ideal (including from ruling families) to the Kaiser Wilhelm Institutes, mor­ we strive for, and yet often is far from government. By the end of the First phing into the Max Planck Institutes the ideal. World War we saw a new compact in Germany, or the Humboldt Foun­ I describe some of these tensions, and between the research community dation spring to mind. draw on my own experience working and government, leading to a sub­ But as the scale of investment in re­ with UK governments as a scientific stantial enhancement in organized search by governments increased, so advisor. How best can the scientific support, the professionalization did the expectation that this invest­ community contribute to this debate? of research and the establishment ment would yield an economic re­ This note identifies some questions of large research institutes with turn. The phrase “knowledge-based that I have encountered and provides focused agendas. This came at a economies” is now widespread examples of how they were addres­ price: govern­ments have always been through­out the world. So there is sed. persuaded of the economic as well as considerable debate now about the Most European nations have research the intellectual value of research but balance between what Sir Paul ­Nurse councils, responsible for articulating increasingly they have taken a role in his recent review of the UK re­ a vision for the future, prioritizing in determining the directions taken search landscape termed “Discovery areas for investment and delivering by the research community. Mecha­ Research, Applied Research and evidence-based decisions based upon

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peer review. Robust peer review is opinion and I am going to talk about ­Taylor and his team identified: the an essential ingredient in a healthy the generic issues embodied in my things that science does (by science, research ecosystem to support excel­ ­title and illustrate that with a number I mean the generic nature of the in­ lence, protect quality and to identify of UK-centric examples. tellectual endeavor, not just narrow promise, but carries intrinsic risks, In the following I list a menu of to­ physical sciences, biological scien­ especially of continuing to support pics I want to cover: ces, medicine and so on, but science the status quo in established research  What motivates scientists? in its broadest terms), as well as the areas beyond their natural lifetime in­crease in the stock of useful know­  and failing to identify new areas in What motivates governments? ledge. But they also identified some a timely manner. We all know ex­ They are not the same thing. of the government imperatives inclu­ amples of initiatives that delivered  Discovery versus translation ver­ ding wealth creation, the creation of the last word in a subject rather than sus exploitation. new firms, the supply of skilled gra­ the first! So what are good mecha­ duates to be employed and so on. The nisms for balancing science invest­ Those are various aspects we need to balance here is quite critical. ments to protect those areas that con­ worry about. Evidence-based policy That is the essence of my present tinue to show great promise, while is a central part of what I am going to ­paper. How do you balance these leaving adequate resources to enable say. It needs to be distinguished from needs in terms of the investment in new and innovative programmes to the lamentable trend of policy-based the scientific enterprise? Why does prosper? How do we ensure balance evidence. Then, of course, there is the government support science? and use our research insights to en­ the changing global landscape, one One of the drivers that all of us as able governments including those of ­developing at a challenging pace, scientists have uppermost in our the EU to make decisions based on where again I will draw some conclu­ minds is the creation of new under­ sound evidence? sions on balancing scientific freedom standing of the way the universe with economic demands. works. To do that, we need resources As a start, I will draw on an excel­ that we obtain from the taxpayer, for SCIENCE AT THE HEART OF lent report from the Royal Society in the most part. So, government needs ­GOVERNMENT ­London, “The Scientific Century”, to be persuaded that such a route is with an author team led by Sir ­Martin desirable. Of course, one of the dri­ I must stress that I am going to talk Taylor. This report illustrated for vers for government is that science about my own personal experien­ the tax payer and for our political generates innovation and skills. So, ces: I am a member of several UK ­masters what science has done for if you put all that together, science government committees. But what I us, what it will continue to do, and resourcing turns out to be a complex am going to say does not represent what its aspirations for the future are. process in which negotiations have to govern­ment opinion. It is my own There are several things that Martin take place between the science com­

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munity and government about the ­Reformation if not earlier. I quote the time, which focused on impro­ relative balance in generating new Francis Bacon: ving the lighting in coalmines. Fara­ understanding as well as creating day’s purported response was this: opportunities, jobs, employment and Science improves learning and know­ so on. In the UK, there is currently a ledge at least for the relief of man’s Why, sir, there is every probability very active dialogue about that ba­ estate. that you will soon be able to tax it. lance that has been triggered by the Nurse Review, which has led to the That is a lovely phrase. Robert Hooke, So, foresight is sometimes an attribute­ creation of the new UKRI body res­ one of the greatest experimentalists of scientists. It is often an attribute ponsible for science and innovation. and one of the founders of the Royal of politicians as well. The appro­ Sir Paul Nurse, the immediate past Society, maintained that discoveries priate harmony of those is what we president of the Royal Society was concerning motion, light, gravity and are really concerned about. commissioned by the government the heavens have helped to improve to look at the UK research enterprise shipping, watches and engines for and how is it put together. A quota­ trade and carriage. You can see that EVIDENCE-BASED POLICY tion from the Nurse Review: even in the 17th century, people were ­VERSUS POLICY-BASED EVIDENCE already looking at the interrelation­ Reform is needed to put science at the ship between science and innovation, Sometimes things go very badly ­heart of government. the creation of wealth. wrong. The one example that I al­ Sometimes, there are examples ­where ways like to quote is Lysenko and I think that is a phrase we would all scientists may have a view that is his work on the deformation of ge­ endorse. Paul Nurse admits that this longer-term than the short-termism netics and the Soviet Union, which might seem like a deal with the devil, that some politicians have. William persisted for many decades. 3,000 and I’ll explain why. There is a risk ­Gladstone (who later became prime biologists were imprisoned or killed of putting government at the heart minister), at the time when he was because of Lysenko’s views, which of science. What government wants our finance minister in the UK, visi­ were shared by Stalin. It very much to do and what scientists want to do ted the Royal Institution in London, became policy-based evidence. ­often have shared aspirations. But in Albemarle Street, and chastised Science has often been regarded as not always. The harmonious inter­ Faraday for moving into an area of a servant of the state, something that relationship between scientific aspi­ blue skies research that led to the was pursued quite actively between rations and government aspirations discovery of electromagnetism. He World War I and World War II, prin­ is critical for us. This balance is not ­allegedly chastised Faraday because cipally in the UK by J.D. Bernal, the a new concern. It has been going he felt that Faraday should be con­ very great crystallographer, who on right from the beginnings of the centrating on their core program at ­really did think that science should

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be the servant of the state. To fight So, if we look at decision-making and ­nature of the work, I would like to back against this opinion, Michael evidence-based policy, I would like use Donald Stokes’ Pasteur’s Quad­ Polanyi formed a society for freedom to quote this wonderful state­ment rant (I have again taken this from the in science to defend science’s ability from the UK House of Commons Royal Society Scientific Century Re­ to pursue the scientific enterprise for Science and Technology Committee, port). The Pasteur Quadrant concept its own sake. who reviewed scientific advice risk is a somewhat artificial, crowd-sour­ Now, what we have seen quite re­ and evidence-based policymaking. ced view of where researchers posi­ cently are growing attacks on evi­ tion themselves: dence-based policy. Decision-making­ Government ministers should cer­  in pure basic research (Bohr’s qua­ is at the core of scientists’ and tainly not selectively pick pieces of drant) ­engineers’ real concern: that deci­ evidence which supports an already  or in user inspired basic research sions should be made based on evi­ agreed policy. Or commission re­ (Pasteur’s quadrant) dence. There are lots of examples search, to produce a justification for  in pure applied research (Edison’s where things go awry: the link bet­ policy, so-called policy-based evidence quadrant) ween tobacco and lung cancer and making. Wherever there is an absence the way that the evidence was being of evidence, or even when the govern­ According to the crowd-sourced deformed by the tobacco compa­ ment is knowingly contradicting the ­survey from a decade ago quoted in nies, especially in the United States; evidence, maybe for very good reasons, The Scientific Century, 60% of UK ­climate change, which has become a this should be openly acknowledged. researchers fit into the Pasteur quad­ very challenging enterprise to work rant, the middle ground. There is not on in the United States; GM crops That statement, I think, was the re­ a great deal of variability among the ­within the European Union is sult of quite a lot of influence by the disciplines. The scientific community ­another example. Yet another con­ scientific community with our policy­ is widely spread across the range of cerned the effects of magnetic fields makers and our political masters, to enterprises from “fundamentalists” on ­health, which produced quite make them understand the nature of to scientific entrepreneurs. recent deci­sions that would have evidence-based policy. It is an excel­ been ill-­advised and could have led lent statement. to the abandonment of MRI scanners. NEW KNOWLEDGE AND The effects of radiofrequency fields ­ECONOMIC RETURN from cell phones on health is yet THE PASTEUR QUADRANT ­another example of controversy. Let us look at what the government These are examples where decisions If you look at the way that scientists might think our scientific enter­prise were being made contrary to any pro­ divide themselves up in terms of is all about. The government will per scientific scrutiny and evidence. the applications or the fundamental say to a researcher that government

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wants to drive innovation from their In the United States during the rity, and security as a nation in the generation of new knowledge. They ­Second World War, President modern world. want to understand how existing ­Roosevelt wrote to Vannevar Bush, in firms grow from new knowledge. his Office of Scientific Research and This is the end of this Frontier Report. The concern for many countries is to Development, to say: I note the fact that he used the word build the next Google, for example. insure, not ensure. It has interesting How do we build our knowledge? Given the tremendous advances ­financial implications. I don’t think it How does knowledge lead to new ­during World War II in the applica­ was a typo. companies? What enables the con­ tion of science, what could he do in How are the British trying to work version of new insights into wealth? terms of recommending the future out ways in which the scientific In the UK, the concept of scientific support for science? enter­prise could be supported and freedom from direct government coordinated? Let me come to Lord ­intervention is often described as This led to the Vannevar Bush Report ­Hailsham, better known as Quintin the Haldane Principle. Lord ­Haldane “The Endless Frontier”. It is quite ex­ Hogg. He was Minister of ­Science ­during World War I built on expe­ traordinary that in 1944, in the midst – and an interesting Minister of rience with the Medical Research of World War II, Roosevelt was al­ ­Science. And he said this: Council in order to build an Advi­ ready thinking of the way one would sory Council, right at the heart of or could reconstruct the intellectual The responsibility for industrial re­ government, to support research. and scientific landscape. He was­ al search and development is better That led to the establishment of his ready talking about the war against exercised in conjunction with the department in government, which disease and how government can aid research in the medical, agricultural was the precursor of all our research research activities – aid, not support. and other fields on what I have called ministries. He has a named principle And how would one then build talent the ­Haldane Principle, through an in­ associated with him, the “Haldane and nurture skills. So already in 1944, dependent counsel of industrialists, Principle” that government provides many of the things that now concern scientists and other eminent persons, the resources for scientific research our political masters were being arti­ and not directly by a government de­ but that scientific peer review deter­ culated. There is a wonderful state­ partment itself. mines the particular and appropriate ment of values in “The Endless Fron­ investment. He, however, never ever tier” by Vannevar Bush which I think So, the Haldane Principle, which advanced that principle. There is all of us would like to sign up to: ­separates out decisions on the magni­ ­nothing in Haldane’s writing that tude of financial support from the suggests that he was the originator. I Without scientific progress, no ­separate decision-making process on will come to the originator in a mo­ amount of achievement in other direc­ where scientific investment should ment. tions can insure our health, prospe­ be made, was never articulated by

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Haldane, but by Hailsham in the some areas but lacking in others, we a clear steer that he expected scien­ 1960s. John Denham, a later ­science must provide evidence. So, auditing tific investment to improve economic minister responsible for innova­ and understanding the information performance. tion, universities and skills, in 2009 is important. The reader can see from When research councils have many stressed the fundamental element of what I’ve already said that to main­ projects on their hands, how should Haldane remained valid, that the re­ tain future momentum the scientific they best prioritize? What can they search community is the best place to community needs to get much better do to encourage the best ideas with­ determine detailed priorities, that the engaged with government and, in in a finite budget where many good government’s role was to set the particular, with the relevant finance ideas will lack funding? The only ­overarching strategy, and the Re­ minister. ­instruments that work, in my view, search Councils are guardians of the One such in the UK was George rest on peer review. Peer review com­ independence of science. There’s ­Osborne, our recent finance minister, mittees, including ones that I ­chaired another set of statements from John and in the last UK Government Spen­ in the past, always have to look at Denham in a letter to The Times in ding Review, which allocates the re­ ways in which adventurous re­search 2007, with an interesting point he sources to a number of enterprises, could be supported, enabling the stressed: the need for international including science, he said this: community to do new things, fo­ collaboration and the fact that na­ cusing on excellence as identified tions cannot proceed alone, that they (…) we should ruthlessly prioritise ­through peer review. work effectively in conjunction with those areas of public spending which A long time ago, I drew up a list of scientists from other nations. are most likely to support economic criteria for the Research Council I growth, including investments in looked after. We spelled out the eco­ our transport and green energy infra­ nomic impact, because that was the MY UK EXPERIENCE structure, our science base and the way we persuaded our government skills and education of our citizens. to give us money. Let us look at some of the things we did to convince our government that So immediately, the UK Finance  The need to understand risk. And scientific investment is truly import­ Minister was identifying economic whether, if appropriate, there will ant. What is expected of the science growth with scientific investment. be an economic return as well as community? Part of the work is to He voiced the rather nice statement an intellectual gain. make sure that we have the evidence at that time that he wanted Britain to  To remember that not all projects that the investment in science pro­ be the home of the next generation will work. Research doesn’t gua­ duces the outcomes that we were clai­ of scientists, including, potentially, rantee an outcome. That’s why it ming. If we make claims about ­where his children. He was a major ally in is called research. internationally we are leading in terms of support for science, but with

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 One needs to be able to say no to liaison group of all the leaders reality, universities­ in the UK con­ some projects, even though some of ­British universities, did a poll tribute £ 31 billion each year ­directly of those projects may be perfect­ ­looking at people’s perceptions to the eco­nomy. So, the mismatch ly acceptable and interesting, but of universities. 1/5 of those when between the public, who are paying maybe of less priority than others. asked for an estimate of the econom­ for us, and what we actually do, is  Resources are limited. You must ic ­contribution of the sector guessed really worrying. A task for all of us is not, ever, think that you can spread at 100 million pounds per year. A to do more. And it’s very much a task the jam on the toast so thinly that ­further 10% said that it was zero. In identified by governments. everybody gets a little bit. So, you need to say no to science even though it’s good science in order to protect outstanding science.  You can’t print money. It is best to say no quite early. But where is the breakpoint? Who decides?

Obviously to persuade government to produce additional resources, we must plan, prioritize, and demon­ strate that you can stop things even though they are good but might be less good than those that are emerg­ ing that you want to do next. But the problem is when do you stop doing a project?

PUBLIC PERCEPTION

How does the general public perceive the value of investment in ­science and in learning in general? I ­wanted to quote the following from the BBC Fig. 1: Gross Domestic Product, expressed in US$ trillion at 2012 values. news website. Universities_UK, the Source: UK DCDC MoD report „Global Strategic Trends – Out to 2045“.

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Congress were clearly worried about increasing world-wide competition. Such worries produce a growing na­ tionalism in government support for science, which I find quite worrying. Scientists’ intellectual endeavor is truly international. We have grown used to working with colleagues from around the world. For example, in the UK the proportion of national publications produced in collabora­ tion with other countries has grown from 20% up to nearly 50% at the present time, all on a timeline of the order of a decade. The bottom line Fig. 2: Global economic centre of gravity shifting. is that science is international. Yet Source: UK DCDC MoD report „Global Strategic Trends – Out to 2045“. we must realize that the scientific endeavor is a tiny proportion of the Many governments are now support­ to rise to 62.9 trillion. And so on. So GDP. If science really is the driver of ing the idea of a knowledge-based from this data, we see that the ­centre knowledge-based economies, spend­ economy (again I quote from “The of gravity of economic outcome is ing just a few percent of national Scientific Century”). But, of course, moving east as China and India ex­ economies on science, and encour­ the world is very much in flux. This pand their economies. aging internationalism and the free diagram in what follows (Figure 1) In terms of geographical location, exchange of ideas surely is an enor­ is from the UK Ministry of Defence, global GDP is moving east (Figure 2), mously attractive investment. from a report from DCDC which I and that’s what’s producing a whole When the National Academy of have peer reviewed in the past raft of governmental initiatives to ­Sciences report “Rising Above the (­Global Strategic Trends): spur their local economy into growth Gathering Storm” was produced, What it shows is the expected change and employ­ment. For example, in there was a great deal of worry about in the world GDP. If you look at the the United States some years ago, China. I have often felt that it is European Union, GDP was 16.1 tril­ the National Academy of Sciences worthwhile going back in history and lion, and is expected to grow to 28.3 was commissioned by Congress to reflecting on this. If we examine the trillion by 2045. If you look at China, produce the report, “Rising Above various countries’ share of the world it was 12.4 trillion, and it’s expected the Gathering Storm”. Members of GDP, and look back to the early years

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of the 19th century, we would see that late it, and in particular how to time­ ACKNOWLEDGEMENTS China and India had then about half stamp transactions so that an audit of of the world’s GDP. So the worry who did what in what order was pos­ I would like to thank ALLEA and about China taking over the world’s sible. What I and my colleagues did in particular the President of the GDP, in this longer view of the world, was to demonstrate the role atomic ­Austrian Academy of Sciences, Pro­ is not really surprising. You can see clocks could play in this regula­tion fessor Dr Anton Zeilinger for the in­ what the origin of the diminution of and from this came the realization vitation to give the Keynote Speech their share was in the 19th century: of the potential of many new quan­ which led to this paper. I would also the Industrial Revolution. And now tum technologies. In a sense this was like to thank Sir Martin Taylor and we are in the midst of a technologi­ a microcosm of the journey from my colleagues at the Royal Society cal revolution that transcends these knowledge to invention. for their report “The Scientific Cen­ ­older geographical areas. tury” which has heavily influenced Other examples of governmental my own thinking. inter­ference to some extent in the FINAL WORDS ­scientific community’s priorities are the various large multidisciplinary Finally, I do believe it is important FURTHER READING initiatives (“Global Challenges”) that we in the academy do not hype which governments such as that of our subjects. I draw the reader’s “The Scientific Century: securing our the UK encouraged. Many are ones atten­tion to the Gartner Hype Curves, future prosperity,” The Royal Society we all would want to see supported: which are crowd-sourced, showing a (2010), ISBN: 978-0-85403-818-3. global health, food security, and the transition from an innovation trigger like. Some are less obvious and con­ to what they call a peak of inflated “Global Strategic Trends-out to 2045,” nect to what are identified as drivers expectations, then the trough of dis­ 5th Edition, UK Ministry of ­Defence, of new economic opportunity. Some illusionment and so on. I bet your (2014), available at www.gov.uk/ of you will know that I was able to favorite technologies are somewhere development-concepts-and-doctrine- help persuade the UK government on that list. Hype is what we’ve got centre. to invest € 500 million recently into to avoid. Insight and foresight are quantum technology. How did we things that we need to exploit and “Ensuring a successful UK research do that? The initial driver was the we, as scientists, rely on scrutinized endeavour,” Sir Paul Nurse, Report flash crash, where, through automa­ evidence to get foresight right. The to the UK Department of Business, tic trading, £ 650 billion was deleted balance between politicians’ expec­ Innovation and Skills (2015). temporarily from the New York stock tations and scientists’ aspirations­ re­ market. Politicians demanded that mains a pressing concern for us all. we need to understand how to regu­

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SIR PETER KNIGHT

Current Positions

– Senior Research Investigator in the Physics Department at Imperial College – Senior Fellow in Residence at the Kavli Royal Society International Centre at ­Chicheley Hall – Chair of the Quantum Metrology Institute at the UK National Physical Laboratory

Expertise

– Theoretical quantum optics, strong field physics and especially quantum informa­ tion science

Qualifications

1988 Professor of Quantum Optics at Imperial College, London 1972 PhD in Physics at Sussex University 1965–1972 Physics undergraduate and postgraduate in Physics at University of Sussex

Career

2011–2013 President of the Institute of Physics (IOP) 2010–2013 Chair of the Royal Society University Research Fellowships Ai Panel Until 2010 Chair of the Defence Scientific Advisory Council at the UK Ministry of ­Defence, remains a Government science advisor 2009–2010 Deputy Rector (Research) at Imperial College London Until 2008 Principal of the Faculty of Natural Sciences at Imperial College London 2001–2005 Head of the Physics Department, Imperial College London 2004 President of the Optical Society of America 1976–1979 Royal Holloway College, London University, followed by an SERC ­Advanced Fellowship from 1978–1983, first at RHC from 1978–1979, ­transferring in 1979 to Imperial College. 1974–1976 SRC Research Fellow at Sussex University 1976 Visiting Scientist at the Johns Hopkins University, Baltimore, USA

More information about the Author: http://www.imperial.ac.uk/people/p.knight

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FREEDOM OF SCIENCE AND ACADEMIC EDUCATION

JULIAN NIDA-RÜMELIN

I will try to show that philosophy obviously is both a specific practice, evolved from that conflict. They can be useful sometimes. The idea is an (in idealist terms) search for the ­propagated freedom of ­science, or to add a philosophical perspective to truth on the one hand, and a social verbally, “Freiheit von Forschung und the context. There is convergence, but subsystem, cooperating with other Lehre”. The idea was that it would also some tension. subsystems – such as the political destroy the core of the ­scientific ethos Let me begin with tension. There authori­ties which also represent the to instrumentalize scientific practice is an old conflict between idealist taxpayer – on the other hand. The for social or political­ goals. The atmo­ and pragmatist views on science. I idea is that there are two, in Greek sphere became heated after a while. have much respect for the pragma­ terms, ethe (plural of ethos). One is Remember, the Max-Planck-Institut, tist philosophy­ and the pragmatist the ethos of rationality and the other Starnberg, ­Jürgen Habermas, Karl view on politics, policy-making and is an external ethos of cooperation. Friedrich von Weizsäcker, the ­paper ­science. I would like to mention The tension we speak of and discuss by Gernot and Hartmut Böhme John Dewey – his “Democracy and now is between these two ethe. I “Teleologi­sierung der Wissenschaft“ Educa­tion” is a wonderful book. On think it is quite important to under­ – that was the idea. How can we the other hand, we sometimes have stand why the first ethos is the essen­ ­govern scientific processes in such a to emphasize that the core of what tial one for defining what science is, way that they reach certain social and we call science – the English term and the second ethos is necessary, but political goals? By the end of this con­ is somewhat ambivalent, because it always complementary. flict, most of those with a profession ­excludes, for some, the humanities – In many Western states in the world in the scientific ­system tended to say including the humanities, is a specific there was, in the late Sixties and the that it would have been a real threat ethos. Seventies, a very fervent discus­ for science if this idea, the “Teleolo­ This is the first of my five talking sion about politicizing science. In gi­sierung der Wissenschaft”, had in­ points: epistemic rationality. Science Ger­many, a movement of scientists deed been realized. We would have

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run into major problems, possibly standards, and criteria. There is still a never reach a ­final result. We will even economic problems. Science common denominator. If I may put it never know, finally, whether this or probably would have lost its dyna­ in philosophical, metaphysical terms, that is true. There is a last passage mics. I will explain this in more detail it is the idea we all, in the different in this ­Theaetetus Dialogue arguing later. But first, I would like to address disciplines, talk about: that there that now that we have defined what what epistemic rationality is. ­exists only one reality. Not several. knowledge could be, that is, what My academic teacher was Wolfgang Not hundreds. But one ­reality. And truth could be – knowledge is first Stegmüller, a well-known philoso­ we try to find out how we can under­ a belief that is true and second a be­ pher of science of Austrian origin. stand this empirical reality in the lief for which we have good reasons. He had, for most of his academic life, humanities. We have internal stan­ Well, we cannot be content with this the idea that there is one discipline, dards of epistemic rationality, inter­ result. For hundreds of years, phi­ and this is the philosophy of science, nal to the discipline. But we also have losophers have asked, “Why not? It within which it is to analyse in detail something external in so far as the is a good result!” And then ­Gettier what ­epistemic rationality is. In the ­results of scientific research should fit in the 1960s in his famous article “Is mid-Seventies, at the time of ­Thomas into a general account of reality that Justified True Belief Knowledge?” S. Kuhn’s “The Structure of Scien­ overlaps with the disciplines. This is showed why Plato was right. Even tific Revolutions” and other contri­ a kind of minimal realism that I pro­ truth and being well justified is not butions, he, like many, many other pose at this point. enough for knowledge. philosophers of science, underwent My second point is scientific auto­ The idea is basically: what do we do a kind of crisis. He concluded that nomy. I start with Plato’s ­Theaetetus in science? We try to find out what maybe this undertaking could not Dialogue. The ­Theaetetus Dialogue is the case. We are never certain. We succeed: after all, there is no clear- might be the founding document of should never try to have a fundamen­ cut list of criteria telling us what scientific auto­nomy. What is Plato tum inconcussum, as the Romans or ­rational belief in science is. What did saying in the Theaetetus Dialogue? the intellectuals in the Middle Ages we learn from this? Postmodernists He is speaking about truth. What called it. There is no fundamentum learned that there is no rationality is truth? And what are the means inconcussum. It is all in flux, so to that is common to science in ­general. to reach truth? The result is simple. speak. But nevertheless, we try to ­Others, including myself, learned We can never be sure whether some­ find out what is really the case. that the criteria are quite different in thing is true. Rather, the fundamen­ I think one really has to view the two the different disciplines, when we try tal basis is the giving and taking of challenges of autonomous ­science to find out what makes rational belief reasons. That’s all. We shouldn’t and freedom of science in this context. in science. play games. It is not about winning Political instrumentalization means In the meantime, we have accepted against somebody else; it is about that we take the fact that ­science is an irreducible plurality of methods, finding out what is true. And we will also a subsystem ­cooperating and

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­competing with other sub­systems different aspects of one word, of the the same way as medical doctors or of society as a starting point for German word “Bildung”. “Bildung” lawyers. The church is responsible ­evaluating science. The argument­ has something to do with “forming” in the case of priests. But these poli­ goes: taxpayers pay for your research, – “Bild”. The basic idea of academic tical ­powers have no authority at and so we have to know what the use literacy – now I take Humboldt, all when it comes to the search for is, what the output is, and how we ­another idealist, after Plato – is a the truth. This was the basic idea in can evaluate this output. ­According very bold idea: if young men (that Kant’s “Streit der Fakultäten”. That to this, we can then tell you, if you was 200 years ago, no women at that was his idea, and his followers also will receive these funds or not. Politi­ time) become adults and, after they shared his idea in the next decades cization means that in the last resort, finish school and cooperate with re­ – Schleier­macher, Fichte and many it is politicians, who decide what the searchers, professors, in search of the others. Humboldt then tried to spell telè of ­science are. truth, a certain development of their out what that meant for the institu­ Another version of instrumentaliza­ personalities will occur as a result, tion of the university. This changed tion is the economic version. Strange­ such that this is not only useful if they the relationship between the four ly enough, on the political spectrum, decide to become researchers and faculties. Philosophy became philo­ the first version was more on the left ­scientists themselves, but also if they sophy including the humanities and side of the spectrum and the second decide to become bankers or state the natural sciences, and later on the version is more on the right side of officials or ministers or ever.what­ ­social sciences, and thereby became the spectrum, but both are wrong, This is the bold thesis Humboldt put the core of the university instead of in my opinion. If we indeed had a forward. The paradoxical result was, being marginalized as before. It be­ ­scientific practice that became pri­ briefly, his development of the four came the core. Why? Because there, marily dependent on economic inter­ faculties. Before Humboldt, univer­ the search for the truth is the only ests, then the ethos of epistemic ratio­ sities had primarily been an under­ goal, whereas the other three areas nality could not be upheld anymore. taking to prepare for three profes­ also have other goals. They also pre­ Now I have a problem with the ter­ sions: the lawyer, the medical doctor, pare students for specific professions. minology, and since we are in Vienna, and the theologian-priest. Then there One remark on the Bologna reform. I may say this more explicitly. How was additionally the trivium, and, It discriminates between two kinds to translate “Bildung” is a problem from the Middle Ages, the quadriv­ of university studies. One is orien­ of terminology. I want to say “aka­ ium, put together in the philosophy ted towards the professions and the demische Bildung”. One translation department, propaedeutics. other is oriented towards science and is “academic literacy”, another is Kant then said that politicians, or research, in German: wissenschaft­ “aca­demic formation”, yet another at the time the King, can be held sorientiert vs. berufsfeldorientiert. “aca­demic sophistication” or there is responsible for a good education But this tiny change is a rupture with “academic education” – these are all leading to specific professions, in the Humboldt tradition of academic

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­literacy or formation or sophistica­ with scientific standards in their tion. The one prepares students for search for the truth. Postmodernism specific professions. The others­ pre destroyed a good part of the ethos of pare them for a certain job, also a pro­ rationality. I think we cannot allow fession, but this is research. And there the humanities to go back to what the Humboldtean ideal can survive, the philosophy faculty was before in while it cannot survive in the other. the Middle Ages and in early modern I hold that this is quite ­dangerous, times: marginalized. Not in Europe, and, in fact, most universities didn’t not in Great Britain, I also think not accept it. Even high-ranking politi­ in the US, but that is another topic. cal officials were quite angry that the And, if we do not want that deve­ universities in Germany, in Austria, lopment to take place, the humanities in Italy and in other places didn’t must retain this core ethos, the ethos accept the basic philosophy of the of epistemic rationality. Some prac­ ­Bologna process. In my eyes, we tices have their goals in themselves. should all be glad that they didn’t. We shouldn’t expect philosophy and Otherwise, we would have a real the humanities to contribute to eco­ ­decay of quality, of academic literacy, nomic growth; they are not relevant academic formation. for the global job market, but im­ Last remark. My wording will be a portant for a humane culture world­ little polemical, because time has run wide. out. In philosophy departments in the United States, you will soon be hear­ ing expressions such as, “You know that philosophy is part of the huma­ nities in our understanding?” Philo­ sophy is part of the humanities? Why? The humanities, as they developed­ in the United States, are not to be held as sciences anymore. Alan Sokol’s notorious test, you might ­remember it from 20 years ago, presented an indication that there are problems

ÖAW 20 JULIAN NIDA-RÜMELIN

JULIAN NIDA-RÜMELIN

Current Position

– Professor of Philosophy and Political Theory, Ludwig-Maximilians University ­Munich, Philosophy Seminar

Expertise

– Theories of practical reason – Metaethics and (applied) normative ethics – Political philosophy – Rational choice and collective choice – Epistemology and philosophy of language in their relation to practical philosophy

Qualifications

1989 Habilitation in Philosophy (supervised by Wolfgang Stegmüller) 1984 PhD in Philosophy (supervised by Wolfgang Stegmüller) 1975–1980 Undergraduate and graduate studies in physics and philosophy

Career

Since 2009 Professor of Philosophy and Political Theory at Ludwig-Maximilians ­University Munich, Philosophy Seminar 2009–2011 President of the German Philosophical Association 2004–2009 Professor of Political Theory and Philosophy at Geschwister-Scholl-­ Institute for Political Science (Director 2004-2008) Since 2002 Honorary Professor of Philosophy at the Faculty of Philosophy, Humboldt University Berlin 1998–2002 State Minister for Culture and Media in the German federal government (G. Schröder) 1993–2003 Professor of Philosophy, University of Göttingen 1991–1993 Professor of Ethics in the Biosciences, University of Tübingen

More information about the Author: http://www.julian.nida-ruemelin.de

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ÖAW 22 IRMGARD GRISS

FREEDOM OF SCIENTIFIC ­RESEARCH FROM A LEGAL POINT OF VIEW

IRMGARD GRISS

INTRODUCTION conclusion that there are no legal  Freedom of scientific research constraints to academic freedom. needs an independent, institutio­ Article 13 of the EU Charter of Fun­ Such a conclusion would be prema­ nalised framework damental Rights (EU CFR) declares ture. Like other freedoms guaranteed  Freedom of scientific research that “The arts and scientific research by constitutions, academic freedom should only be limited by ethical shall be free of constraint. Academic is subject to legal constraints. But the constraints freedom shall be respected”. There question is not only whether there is no agreed definition of academic are legal or other constraints. Equally WHAT IS ACADEMIC FREEDOM? freedom within the EU. However, important is the question of whether more than half of the Member States there is a need for constraints and, if Although there is no agreed defini­ of the EU have protection for acade­ so, what constraints would be accep­ tion of academic freedom, it inclu­ mic freedom and university auto­ table. des at least the following aspects: nomy written into their constitution. the freedom to study, the freedom to I want to demonstrate the following The other Member States, with the teach, the freedom of research and in­ theses: exception of Greece and Malta, have formation, the freedom of expression some specific legislation relating to  Freedom of scientific research is, and publication, the right to under­ higher education, which refers to but should not be, limited by legal take professional activities outside of academic freedom and/or university constraints academic involvement.1 autonomy.  Freedom of scientific research is

The constitutional protection of threatened by monetary and pri­ 1 LERU Advice Paper, Academic Freedom as a ­academic freedom may lead to the vate interest conflicts Fundamental Right, 34.

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In its Recommendation 1762, the the freedom of the individual scholar harmful organisms, such as mosqui­ Parlia­mentary Assembly of the to teach and research without inter­ toes, to be less dangerous. Malaria, Council of Europe2 states that “aca­ ference whereas institutional free­ for example, continues to impose demic freedom in research and in dom means the freedom of the acade­ enormous health and economic bur­ training should guarantee freedom mic institution from outside control. dens on the developing world. Novel of expression and of action, freedom An early example of the indivi­dual technologies, such as genetic modi­ to disseminate information and free­ scholar’s striving for academic free­ fica­tion, reduce populations and dom to conduct research and distri­ dom is Galileo Galilei. He questi­ there­fore the impact of the disease. bute knowledge and truth without oned the dogmatic constraints and The positive result may only be short- restriction” and that “history has insisted that the Earth was moving term, as “selfish” genes could spread proven that violations of academic around the sun (heliocentrism). He, rapidly through successive genera­ freedom and university autonomy thus, threatened the institutionalised tions and consequences cannot be have always resulted in intellectual ­power of the Catholic Church. Due predicted. Gene drive is the practice relapse, and consequently in social to the very harsh sanctioning nature of “stimulating biased inheritance of and economic stagnation”. of the regime, he risked his life for particular genes to alter entire popu­ Academic freedom is not a goal in scientific freedom. lations.”4 It is for the first time that itself. It makes it possible for uni­ Academic freedom has been subject man has such power over nature. versities to serve the common good to conflicts right up to the present of society through searching for and day. The most prominent ­example disseminating knowledge and under­ is the criticism of evolutionary THESES standing, and through fostering in­ ­theory on religious grounds. It is still dependent thinking and expression ­questioned and is even not taught 1. Freedom of scientific research is, in academic staff and students.3 in some schools in the US. Even but should not be limited by legal When discussing academic freedom, ­Supreme Court Justices, such as the constraints a distinction has to be made between late ­Antonin Scalia and his peers, individual and institutional acade­ ­fervently argue about the accuracy of Academic freedom is just as impor­ mic freedom. Individual freedom is Darwin’s evolutionary theory. tant to society as the freedom of the On the other hand, academic free­ press and freedom of expression. dom is questioned because of the These three freedoms are closely rela­ 2 Recommendation 1762 (2006) of the Parlia­ consequences that scientific discover­ mentary Assembly of the Council of Europe (PACE), Academic Freedom and University ies may have. One example is gene 4 Windbichler N Autonomy. drive. Gene drive has been proposed et al., 2011, A synthetic homing endonuclease-based gene drive system in 3 LERU Advice Paper, Academic Freedom as a as a technique for altering the ­genetic the human malaria mosquito. Nature Fundamental Right, 33. structures of wild populations of 473:212-215.

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ted to each other. One could say that limi­tations. But academic freedom is There are two main challenges: the the freedom of science is the “cousin” deduced primarily from the right to results of studies may be reported in of the freedom of expression. freedom of thought and freedom of a biased way. If science is subject to Publish or perish is a well-known expression. Art 10 European Charter market economies, only those pro­ metaphor for the pressure that scien­ of Human Rights (ECHR) protects jects may be realised that are promi­ tists face today, but it also makes it freedom of expression. According to sing with regard to their anticipated clear that scientific discoveries need the jurisprudence of the European revenue. to be published in order to really Court of Human Rights, this ­article Let me give you an example of biased exist. The freedom of publication is also protects academic freedom.7 reporting. One of the most widely re­ therefore essential to the freedom of Art 10 para 2 ECHR authorises limi­ ported research controversies arose scientific research. tations to freedom of expression and, over the arthritis drug Vioxx, which History has shown that blocking consequently, also to academic free­ had been featured positively in an scientific knowledge only delays its dom. The restrictions must be pre­ article published in a scientific jour­ release. Many times throughout his­ scribed by law and be necessary in a nal. The article reported the results tory, some things were forgotten at democratic society. of a study that was funded by Merck one point but rediscovered later. So The first condition, prescribed by and was co-written by two company one could say that censoring ­science law, is met by all legal constraints. researchers. Five years later, journal is a waste of time; it only slows it The second condition, necessary in a editors reported that the authors had down. democratic society, opens up a broad omitted key incidences of heart trou­ However, there are legal constraints field of discussion. The discussions bles, creating “misleading” conclu­ to academic freedom. Prominent reflect traditions and values as well sions about the drug’s safety.8 examples are stem cell laws5 and re­ as religious and other beliefs. The second challenge is reflected in gulations on the use of animals for the fact that research neglects disea­ scientific purposes6. 2. Freedom of scientific research is ses affecting the developing world, Are these restrictions compatible threatened by monetary and private the poor or those that only affect a with the right to academic freedom? interest constraints small number of people. As a result, Art 13 EU CFR does not provide The tight financial situation of nation states has led to a growing influence of third party funding on research. 5 In the EU stem cell research using the human 8 embryo is illegal in Germany, Austria, Ire­ https://www.washingtonpost.com/ land, Italy, and Portugal. business/economy/as-drug-industrys- influence-over-research-grows-so-does-the- 6 Cf. Directive 2010/63/EU on the protection 7 Case of Sorguc v. Turkey, application no. potential-for-bias/2012/11/24/bb64d596- of animals used for scientific purposes. 17089/03. 1264-11e2-be82-c3411b7680a9_story.html.

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“death is not distributed equally”.9 It research­ structures that are not ad­ With regards to autonomy, a distinc­ is a fact that sponsors dominate the justed to their needs. tion has to be made between proce­ fields where research takes place, re­ dural and substantive autonomy. gardless of where the demand is most 3. Freedom of scientific research Procedural autonomy is the power of pressing for additional knowledge. needs an independent, institutiona­ the institution to determine the me­ Another impediment to free scientific­ lised framework ans by which its goals and programs research is the working conditions will be pursued; substantive auto­ of young scientists. Scientific work An important parameter of acade­ nomy is the power of the institution has turned into project work – Pre- mic freedom is institutional auto­ to determine its own goals and pro­ and Post-Doctorates are given one nomy and the internal governance grams. In recent years, governments fixed-term contract after the other of universities and other academic in some EU states have given greater until they run into the obstacle of institutions. The UNESCO recom­ autonomy at an institutional level forbidden chain contracts; collective mendations state that “The proper at the cost of the state. At the same contract agreements are especially enjoyment of academic freedom […] time, university staff has been exclu­ problematic for Prae-Docs who de require(s) the autonomy of institu­ ded from the decisions that control facto have all-in-contracts masked as tions of higher education. Autonomy the development of the university, 30h/week, those also partly include is that degree of self-governance at least to some extent. Institutional teaching hours. necessary for effective decision auto­nomy, thus, is a necessary but Precarious working conditions may, ­making by institutions of higher not a sufficient condition for acade­ most likely, not attract ‘the best’. The education regarding their academic mic freedom. best have better options. work, standards, management and More important than institutional Extreme competition leads to syste­ related activities […] and respect for autonomy, therefore, is self-gover­ matic disadvantages for women: academic freedom and human rights. nance. The traditional institutional The lower the wage group, the more Autonomy is the institutional form of protection for academic freedom is ­women are employed there. Half of academic freedom […] Higher educa­ through the tradition of participa­ all students in the EU are women tion teaching personnel should have tion by faculty members in academic but their numbers decrease dramati­ the right to elect a majority of repre­ gover­nance. But an important point cally with every step up the career sentatives to academic bodies within has to be made. Expertise within a 10 ladder -> phenomenon of the ‘leaky the higher education institution”. discipline and excellence in scien­ pipeline’ – women trickle away from tific work does not necessarily imply 10 Recommendation Concerning the Status of managerial qualities, and managerial Higher-Education Teaching Personnel; Re­ qualities are a must. solution adopted on the report of Commis­ 9 http://www.sciencenewsline.com/ sion II at the 26th UNESCO plenary meeting, With regard to the connection bet­ summary/2014040423320004.html. on 11 November 1997. ween self-governance and academic

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freedom, the level of protection for come into focus. The key question transparent criteria and transparent the personal academic freedom of is: should we inquire into everything decision-making procedures on how staff is likely to be high where the we are able to – regardless of the con­ funds are allocated. Universities and supreme decision-making body has sequences? other academic institutions need a majority of faculty members. Con­ Over the years, several non-binding both autonomy and self-governance. versely, where this body excludes frameworks and standards have And there is a need for ethical stan­ academic staff or has a majority of emerged. Ethics commissions have dards to guide research and for ethics external members, then the level of been established on many levels. commissions to advise researchers on protection will be low. UNESCO is a leading player in this ethical questions which are inextri­ In addition, all arguments that back field. Its World Commission on the cably linked with their work. the freedom of press and expression Ethics of Scientific Knowledge and can be used in conjunction with the Technology (COMEST) is mandated freedom of science. The scientific to formulate ethical principles that community needs a representative to could provide decision-makers with defend the freedom of science, a sort criteria that extend beyond purely of scientific advocate who takes a economic considerations. Informa­ stand for the scientists in cases ­where tion on science and ethics with a scientists are mistakenly ­blamed. ­focus on European activities is pro­ This was the case when Italian scien­ vided by ethicsweb.11 tists were jailed for manslaughter because they had not predicted a deadly earthquake. CONCLUDING REMARKS

4. Freedom of scientific research Academic freedom is as important as should be limited only by ethical freedom of speech and should enjoy constraints equal protection. But legal protec­tion is not sufficient, not least because Ethics in science has increasingly the rules on academic freedom allow become an important issue in demo­ for legal constraints. At least in the cratic societies, especially following western world, academic freedom the rise of the modern life sciences. is primarily endangered by depen­ After important discoveries in the dence on money. There need to be field of biology, ethical reflection on scientific work and its results has 11 http://www.ethicsweb.eu/node/589.

ÖAW 27 IRMGARD GRISS

IRMGARD GRISS

Current Positions

– Honorary Professor for Civil and Commercial Law at the University of Graz, Austria – International Judge at the Singapore International Commercial Court – Member and Speaker of the Senate of the European Law Institute

Expertise

– Constitutional Law, civil law, commercial law

Qualifications

1975 LL.M (Harvard) 1974–1975 International Legal Studies at Harvard Law School 1970 Dr. iur. at University of Graz 1966–1970 Study of law at University of Graz

Career

Since 2015 International Judge at the Singapore International Commercial Court 2008–2016 Deputy Member of the Austrian Constitutional Court 1993–2013 Member and (2010-2013) President of the Supreme Patents and Trade Marks Board 2007–2011 President of the Austrian Supreme Court of Justice 1993–2011 Judge at the Austrian Supreme Court 1987–1992 Judge at the Court of Appeal, Vienna 1981–1987 Judge at the Commercial Court, Vienna 1979–1980 Judge at the Commercial District Court, Vienna 1976–1979 Candidate lawyer 1971–1975 Assistant at the Institute of Civil Procedure Law of the University of Graz

More information about the Author: https://en.wikipedia.org/wiki/Irmgard_Griss

ÖAW 28 MICHÈLE LEDUC

INTEGRITY AND RESPON­ SIBILITY OF RESEARCHERS: ETHICAL VIEWS

MICHÈLE LEDUC

In France the work of ALLEA is dent of the ERC and will report later multi­disciplinary institution ruling highly regarded. Much attention is today. COMETS is a sort of think- over 3000 research laboratories, most given to its investigations. We are tank composed of twelve members of of them linked to the French univer­ familiar with the European Code all disciplines, from hard science to sities. Thus the COMETS reflections of Conduct in Research Integrity humanities and social sciences, with concern a large population of scien­ ­where CNRS found inspiration for a strong component of life sciences. tific workers of the public sector in its recent reflections, in the context We do not handle specific cases of France. of the general concern about ethics in fraud or ­misconduct but simply One can wonder what induced ­science, which is increasing all over give advice to the CNRS direction CNRS and COMETS to worry about the ­world. and to the research personnel of the research integrity. Fraud is not that My contribution will be very much institution. Our mission is to develop frequent and a large majority of along the lines of the previous one. a reflection­ about research practices researchers have a highly honest I shall start with a few words about and the principles that should ­govern ­attitude towards their profession, the position that I am in charge of at the individual and collective be­ where their freedom is very large but CNRS, one of largest research insti­ havior in the production of science. their responsibility equally large. Yet tutions in Europe. I am the current We formulate recommendations fol­ the media today focus more on ca­ president of the Ethics Committee of lowing analyses of situations that we ses of fraud, which thus propagates CNRS (COMETS), which was created have identified where ethics prob­ a ­damaging image of science in the twenty years ago. I follow the tracks lems occur.­ COMETS­ is independent ­public opinion. As for me, being a of the past president Jean-Pierre from the CNRS direction but reports physicist, I was not especially ­aware ­Bourguignon, who is currently presi­ to its president. CNRS is a public of problems until I took charge of

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COMETS. Then, from 2011 on, the methodological details, insufficient Another pressure factor is the me­ committee noticed a net increase in statistics, bad archiving of data, mis­ thods used for the evaluation of per­ open quarrels between research per­ leading communication to the media, sonnel, both when they ­compete for sonnel and more conflicts between etc. We also noticed a frequent lack of a permanent position and/or when ­laboratory teams. Listening to re­ mentorship of students and of young they ask for a promotion. Biblio­ ports provided by the CNRS media­ researchers by the group leaders, metric indices are still common tor, we discovered the occurrence of which is another kind of misconduct. tools everywhere, even if they are several cases of fraud, such as appro­ Situations where ethics is questioned currently criticized by the scientific priation of results found by others, induced COMETS to analyze the academies. Consequently, there is a plagiarism, alteration of data, crea­ ­changes in the way public re­search huge pressure to publish in reviews tion of false results. It is not clear that is conducted today. This seems to with a high impact factor, which are frauds such as the fabrication and provide some keys for understan­ largely overestimated. The insecure ­falsification of results or data have in­ ding the increasing departure from situation of the young researchers in creased all that much, but plagiarism a strict respect of research integrity, most disciplines increases the stress seems to be developing quickly in the which yet should be regarded as the in laboratories, as well as the push internet age. Less serious than frauds crucial deontological basis for the re­ for a scoop in the media. but more frequent cases of miscon­ searcher profession. The pressure on There are several equally ­important duct are constantly reported, at the researchers­ significantly increased reasons to care about research border line of fraud. They are ­called in the last two decades, as also men­ ­integrity, for which a working group the “gray area” of deviation from re­ tioned in the previous presentation. at Science-Europe developed an search integrity. They concern a ­large A growing competition takes place, argu­ment. Research integrity safe­ range of conducts that should not both at internal and international guards the foundations of science take place in a laboratory but that fre­ ­level. Group leaders and even and scholarship.­ It maintains public quently occur, as confirmed by recur­ ­postdocs spend more and more confidence in research evidence. It rent enquiries. The list is long, varies time answering calls from funding underpins continued public invest­ from one culture to another, strongly agencies, focusing on short-term ment in research. It protects the re­ differs according to disciplines, and pre-established programs, which, putation and careers of researchers. It also evolves over time. Most of the incidentally, constitutes a limit to prevents adverse impacts on ­patients, misconducts deal with the publica­ their creativity. More and more time regarding how dramatic the conse­ tion of scientific results: wrong attri­ is requested for administrative tasks quences of wrongdoing in health bution of authorship, omission of and for the evaluation of proposals, research could be. It promotes eco­ important contributors in the list of articles or the career advancement nomic advancements. And there is a authors, “slicing” of results at the of colleagues. The time left for the damage, ­insufficiently ­recognized limit of self-plagiarism, omission of real research work keeps shrinking. consequence of the lack of ­integrity:

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it gives rise to the ­waste of resources, of time, of ­money, of talents,­ carrying potential human consequences which might turn out to be dramatic for re­ searchers’ careers. It is significant that the number of ­retracted articles visible on the site ­Retractionwatch is going up much ­faster than the number of publica­ tions. Articles are retracted by the ­publishers once frauds or errors are discovered. Plagiarism is an in­ creasing cause of retraction, now that adequate software can detect similarities between published texts. However, falsification of results is Fig. 1: Artist view of the frauds in scientific research (fabrication, falsification and the first cause of retraction in some ­plagiarism). Credit © Jochen Gerner. disciplines such as the bio and life sciences (see figure 1). This is ternational conferences (­Montreal in both French and English versions. the ­reason why more and more in 2013, Rio in 2015, Amsterdam in A copy of this 30-page booklet is now ­publishers in these fields request that 2017). Attendance at these World provided by CNRS1 to all laboratory the data are provided at the same Conferences on Research Integrity is directors of all disciplines. It is also time as the manuscripts. The concern constantly increasing. distributed to all newly recruited over these problems spreads to all In France, an extensive guidebook CNRS personnel, who are compel­ countries where research takes place. “Integrity and responsibility in research led to sign that they are aware of its The first large international conferen­ practices” was written and ­published content. All universities in France, ce on research integrity took place by COMETS in 2014. A revised ver­ through the Conference of the Uni­ in Singapore in 2010. It formulated sion was elaborated in 2017 to take versity Presidents, have participated four relevant principles – ­honesty into account the changes in the in the revision of this guide book and in all ­aspects, accountability, profes­ French laws regarding the deonto­ sional courtesy and fairness, good logy of ­public servants, as well as stewardship of research on behalf of the increasing care for ethics at the 1 See: http://www.cnrs.fr/comets/IMG/pdf/ others. These principles were sub­ European ­level. This new guide is integrity_and_responsibility_in_research_ sequently developed at further in­ now available on the CNRS website practices_a_guide_05.12.16-2.pdf.

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have now adopted it for their own in­ damage the citizens’ faith in research. the 1970s, the notion of progress was stitutions as a code of good practice On the other hand, it stimulated the reconsidered in view of new challen­ in research. This is one of the tools research institutions to define clear ges, such as the environment, ener­ in use for the training on research procedures for whistler-blowers of gy, health, and also the awareness integrity of PhDs as well as senior misconduct in laboratories. It is re­ of the limited resources of the Earth. scientists, now a national concern for markable that this case of fraud was Nowadays, there are mixed feelings the French Ministry of Research and revealed by a social network called about science in the public, from Superior Education. Internet ethics PubPeer, which is an online scien­ admiration, especially for the pro­ lectures will soon be available, in­ tific journal club, recently created as gress in medicine, to apprehension cluding video interviews and case a forum of discussion on published about the risks of the technological studies. The main concern is now articles. Research is now facing a advance­ment. Researchers are facing to develop an awareness campaign world where social networks, blogs, a new situation that COMETS ana­ around such sensitive matters and home pages, tweets, etc. contribute to lyzed for CNRS. There is an urgent try to change mentalities. spreading news and comments about need to rebuild a relationship of trust Problems may arise with the media the scientific production. On the one between citizens and scientists. Two when frauds in research are disco­ hand, this enlarges the scope of re­ avenues can be considered, partici­ vered. A recent example occurred in search. On the other hand, it opens patory science and renewed dialogue France in 2015, when falsification­ of routes to reveal frauds anonymously, between science and citizens. results and data was revealed in a which can induce people to denun­ Participatory science is a means to ­public laboratory in the field of bio­ ciate colleagues without a solid scien­ bring science closer to the public. It logy. Several articles had to be re­ tific basis. The Ethics Committee of involves amateur citizens in research tracted in turn, in spite of the very CNRS is of the opinion that anony­ activities such as the collection of high reputation of the CNRS senior mous denunciation should not be data and even, sometimes, the joint researcher in charge. Accusatory encouraged and that there should be formulation and interpretation of papers were written in large public an institutional procedure protecting results. Methods for the collection newspapers such as Le Monde and the deposition of the whistler-blo­ of scientific data through internet Les Échos in France, echoed by others wers. by non-professionals are emerging. in the British and Swiss press. It was Scientific research develops in the Amateurs can work with researchers just another case of fraud, such as context of the relationship between and even participate in co-­creation those that institutions usually deal citizens and scientists, in constant or co-design. The benefit can be with confidentially. For the first time, evolution over time. After World ­mutual. On the one hand, when wrongdoing in science at CNRS was War II, the progress of science was amateurs ­collect data, for example in revealed to the public and created a considered the primary factor in eco­ the environment­ landscape or in the shock, which, of course, is likely to nomic and social development. In astronomical sky, they produce a

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large amount of results that would be provided to them by their insti­ take too much time and be tedious tutions. Appropriate training could if done by professional scientists. help, and young researchers should On the other hand, participatory be rewarded in their future career if training for amateurs is a very effi­ they spend time actively spreading cient method for developing rational the scientific culture. One notes that thinking in the population through a most European contracts include direct apprehension of the scientific some percentage of the total funding method. It is also a way to encourage­ for outreach. However, these efforts a vocation for science among young sometimes appear disappointing in people, which is rather problema­ terms of capacity-building of the tic in ­France, as elsewhere. A recent ­citizens, in particular children. More ­example can be given by the French cooperation with school teachers Museum of Natural ­History, which is mandatory, as they are the best launched the collaborative­ project go-between between the scientific “65 million observers”, ­where 65 mil­ world and the young generation. lion is just the total population of Better training of the scientific jour­ Fig. 2: François Rabelais, French ­writer France. There are, of course, ethical nalists in the press and other media (1494–1553) who wrote the novels concerns for the practice of participa­ is also a right way to go. ­Pantagruel and Gargantua, in which one tory science – validation of the data, The dialogue between science and finds “Science without conscience is the protection of the private life, rewar­ ­citizens can also be reinforced by joint ruin of the soul” (Wikimedia commons). ding of the contributions. discussions about the social impact Participatory science is to be deve­ of the fast and uncontrolled develop­ loped in parallel with more conven­ ment of new technologies. A growing and play an active role in helping tional means of spreading the scien­ ­number of citizens hold an attitude of the citizens in controversial debates. tific culture, such as conferences, distrust towards­ advances in science Researchers should communicate science museum visits, opening of and technology, perceiv­ing them as what they know and what the limits laboratories, science weeks, science- ­mostly dedicated to the development of their knowledge are, taking care to cafés, etc. It is part of the researchers’ of industry, beyond democratic con­ disconnect personal opinions from mission to communicate the results trol and unconcerned with public scien­tific knowledge. They should of their findings in a form under­ well-being. ­COMETS is of the view worry about the use that ­media and standable to their community and to that researchers and their institutions politicians might make of the exper­ the ­public at large. More encourage­ need to listen to the public’s ques­ tise they provide. It is mandatory that ment and adapted funding should tions on the impact of their choices their assessments on ­issues ­having a

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societal impact should be conducted MICHÈLE LEDUC in the absence of conflicts of interest, within an interdisciplinary and, if Current Positions possible, international framework. ­COMETS considers it necessary to re­ – Director of the Institut Francilien de Recherche sur les Atomes Froids (IFRAF) – Emeritus Research Director in Physics at the National Centre of Scientific Research flect on the forms that the public de­ (CNRS) bate around controversial scientific­ – Member of the Ethics Committee of CNRS questions should take. Yet it ­reaffirms the autonomy of the scientific­sphere, where the intrinsic freedom of the Expertise researcher is only limited by his res­ ponsibility (see figure 2). – Atoms, Molecules and Optics – Cold atoms and Bose-Einstein condensation – Quantum technologies

Qualifications

1972 PhD degree in Physics (Paris University) 1961–1965 Study of Physics at École normale supérieure de Jeunes Filles de Sèvres

Career

2011–2016 Chair of the CNRS Ethics Committee (COMETS) 2007–2013 Member and then jury chair at the European Research Council (ERC) 2007–2009 President of the French Physical Society (la Société Française de Physique) 2005–2017 Director of the Institut Francilien de Recherche sur les Atomes Froids ­(IFRAF) 2001–2002 National Head of the Very Large Research Infrastructures Unit 1999–2002 Scientific advisor for Physics and Engineering at the French Ministry of research 1994–1999 Director of the Kastler Brossel Laboratory at Ecole normale supérieure 1993–1998 Director of the International Center of Physics at les Houches

More information about the Author: http://www.phys.ens.fr/~leduc/

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PERSPECTIVES FROM AND ON THE ERC*

JEAN-PIERRE BOURGUIGNON

You will not be surprised to learn many was set up in 1911 according arguments in “Science, The Endless that, as President of the European to the ­Harnack Principle. Alfred von Frontier”, his 1945 report to the Research Council, I am passiona­ Harnack, the first President of the ­United States’ President calling for tely committed to the principle of Kaiser Wilhelm Society, advocated an expansion of government support scientific freedom. And, indeed, the right of researchers to work inde­ for science and the creation of the giving ­researchers at any stage of pendently of government or private American NSF. their ­careers space to develop their requirements and unencumbered by Traditionally, the European Union’s projects at their own full initiative bureaucracy. Around the same time, research programmes have only is the raison d’être of the European the UK’s Research Councils were ­supported collaborative research ­Research Council. set up as autonomous bodies to be projects in applied or mission-orien­ The idea of funding research in this free from political and administra­ ted areas. This changed decisively way is not a new one. In fact, many tive pressures that might discourage in 2007 with the recognition by the members of the European scientific research in certain areas. In 1939, ­Lisbon Treaty of research as a shared community – myself among them Abraham Flexner wrote the famous responsibility of the European Union. and, I know, many of you – cam­ manifesto entitled “The usefulness of This allowed the creation of the ERC paigned long and hard for a pro­ useless knowledge”. It was the blue­ financing projects presented by­single gramme like ERC to exist precise­ print for establishing the Institute for principal investigators. ly in order to go back to tried and Advanced Study in Princeton, later trusted principles. The predecessor home to Einstein, Gödel and many The ERC is unique in the European of today’s Max Planck Society in Ger­ others, and the model of ­several Commission portfolio in two ways: ­other institutes of this type in the firstly, it is its Scientific Council * Data provided reflects the situation at the world. And after the Second World that has the full responsibility for time of the talk. War, Vannevar Bush made similar ­allocating the annual budget and

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organising the scientific evaluation; of the Scientific Council shows that climate change can be amenable to a secondly, the ERC is based on the some 21% of the ERC-funded pro­ similar approach following a ­strategy idea that researchers know best what jects lead to radical breakthroughs, chosen a priori. However, this re­ they should research and how they 50% to major scientific advances, semblance is superficial. In both the should do it. giving an overwhelming 71% of very Manhattan and Apollo projects there That is why the ERC supports scien­ successful projects. 4% are evalua­ was a very tightly defined task based tists from anywhere in the world, ted as failed attempts by the ex-post on underlying physics understood of any age and from any field of re­ evaluators. This is still good news as decades before the projects began. search – including the social scien­ it shows that the selection panels did This explains the limited impact of ces and humanities – on the basis of take some risks. The objective was to the “war on cancer” launched by the scientific quality of their project. gain a global view of their contribu­ President Nixon in 1971. His ad­ There are no predetermined targets tions. visers reckoned they could find a or quotas. The ERC provides sub­ So the very base of ERC is scientific cure in seven years, but curing ­cancer stantial, long-term funding. The only freedom and autonomy, the freedom turned out to be much more diffi­ prerequisites are that ERC-funded given to the individual researchers cult1. Even fifty years later, we have researchers must be based in Europe who are funded, and the autonomy only a limited­ understanding of the for at least 50% of their time and be of the Scientific Council, which­ de full complexity of the processes in­ willing to be adventurous and to take cides how the funding is allocated. volving ­abnormal proliferation of risks in their research. We are all too often confronted with cells and the critical realization that And this, to me, is the real value of the fact that the general public, and we should not speak of “cancer” but ERC funding. Secure funding frees also policy makers, do not under­ of “­cancers”. researchers from having to be con­ stand how science actually deve­ cerned with immediate impact; from lops. People believe that if one puts In a 2005 paper, the distinguished thinking of the next publication; enough resources into a problem, cell biologist Henry Harris suggested from worrying about what to write in then it will be solved. I think that that there had been at least five “fash­ the next grant application. It allows many have in mind something like ions” in cancer research since the late researchers to really focus on the the Manhattan or Apollo Projects of 1960s, and each one had eventually core of their research, taking a long the mid-1900s, which were amazing proved to be partially inadequate. view. We believe it is the best way accomplishments. Given that science proceeds by trial through which their work will lead But these examples do not offer a and error, it therefore seems un­likely to ­genuinely new knowledge. general adequate model for how The first ex-post study conducted by ­science can contribute to changing 1 What will President Obama’s cancer ‘moon­ independent experts on the first 200 the world. On the surface, it might shot’ achieve? www.bbc.com/news/health- completed projects at the initiative appear that curing cancer or tackling 35988623.

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that we could, at any one particu­ was developed. Jennifer Doudna and So you can see that nobody work­ lar moment in time, identify certain ­Emmanuelle Charpentier, recognized ing on CRISPR set out to address a ­major challenges and then “solve as the inventors, did not assemble societal challenge or to develop a them” only by pouring in lots of ­extra the molecules they use for gene new technology. But, by seeking to resources. ­editing. In fact, they stumbled across understand the world, the inventors This has not stopped President the CRISPR molecules in nature. ­actually just achieved these poten­ Obama from launching his own ­Microbes have been using them to tially dramatic actions. one billion dollar “National Cancer edit their own DNA for millions True scientific breakthroughs, like Moonshot” initiative “to eliminate of years. CRISPR was first noticed the introduction of general relati­vity cancer as we know it”2 this year. in 1987 by Japanese researchers in or of quantum physics or the un­ The initiative “aims to bring about the gene sequence of the Ester Coli ravelling of DNA, change the whole a decade’s worth of advances in five ­microbe, but they had no way of framework in which everybody is years”. knowing that they had discovered ­operating. The wider community I think we can all empathise with something so revolutionary. “The bio­ then comes to realise that this new and understand the motivation for logical significance of these sequences is discovery, or finding, or approach, is, this type of approach. And who not known,” they wrote. It wasn’t un­ in fact, extremely important. It needs knows, maybe we are now at a point til 2007, after lots of work in different to be discussed, analysed, reproduced where real progress can be made. countries and with the development and explored further, and sometimes But understanding­ must come be­ of more advanced techniques, that for decades. It must be stressed and fore ­application, and we really do not researchers realized that CRISPR patiently explained that a fundamen­ know what we do not know. So one formed a kind of immune system for tal part of the researchers’ activities is can fear that this approach has more microbes. to develop new concepts that become political than scientific merit. Doudna’s lab began to work in this indispensable to create the ground­ And we must remember that the area because she thought the chem­ work for new research in the future. most important scientific results of istry might be “cool”. There was So, in order for science to make ­truly all often come about when scientists no particular goal, except under­ influential innovations, funding can­ are not looking to solve any particu­ standing. It was only later that they not be short-sighted. To maintain a lar societal or technological problem. ­started to see that CRISPR was in healthy research ecosystem, invest­ Look how CRISPR, this totally new effect a programmable DNA-cutting ing in long-term curiosity-driven approach to genetic engineering, enzyme, opening the way to a very ­research is therefore indispensable. practical use3. This approach is sometimes seen as idealistic, but to me it is not. 2 https://www.whitehouse.gov/the-press- office/2016/02/01/fact-sheet-investing- 3 https://www.quantamagazine.org/crispr- It is actually­ a question of taking national-cancer-moonshot. natural-history-in-bacteria-20150206. ­efficiency seriously. It may appear

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counter-intuitive, but one must creative independent thinking and four of the most prominent physicists ­accept the idea that one of the best of conducting ground-breaking re­ of the time, is highly revealing. The ways to achieve results is not to look search. In other words we encourage more so because it is done by some of for them. Of course, one needs am­ people to take risks. And I would like the founders of quantum mechanics­ bitious researchers having an open this approach to spread. for an effect which is now consid­ mind and a lot of flexibility about Unfortunately, I have some bad news ered one of the pillars of the theory. where their research is leading them for you. Spontaneously, the academic­ Fortunately, the next sentence says: to. community is conservative, as the “denn, ohne einmal ein Risiko zu wagen, In a number of cases, it is actually specialists we all are want to be ­taken läßt sich auch in der exaktesten Natur­ pernicious to require a researcher to seriously. We want to be viewed as wissenschaft keine wirkliche Neuerung declare the impact or applications carrying out a notable job. This is einführen”. of his or her research before it is under­standable but must be chal­ To achieve the goal of a risk-friendly­ ­carried out. If one does, one should lenged. environment, the next issue is, of not be surprised that researchers will I owe to Professor Zeilinger, our host course, the design of the selection mainly propose what is immediately today, an extraordinary example, process. When you look for new achievable or projects in “hot areas” because it is at the highest level, of ideas coming from a scientist, then more easily funded. In other words the way risk taking is considered by of course they must be evaluated by they will take less risk. The more scien­tists. The key document relating experts. After what I said, it is clear priorities and targets assigned to re­ the story dates back to 1913. It is the that the process has to be closely searchers, the more likely we are to nomination of Albert Einstein to the monitored. see incremental or fashionable re­ Prussian Academy of Sciences. Here The decisive and key element to search. is the quote: “Dass in seinen Spekula­ achieving that is the quality of the Of course, one cannot expect every tionen gelegentlich auch einmal über das selection. This is why for every call research project to lead to a break­ Ziel hinausgeschossen haben mag, wie (ERC makes 3 each year), it relies on through, but I do believe that one z. B. in seiner Hypothese der Lichtquan­ around 350 high level, hand-picked needs to maximise the chances that ten, wird man ihm nicht allzu schwer scientists as panel members, and on somebody will get his or her hands anrechnen dürfen”. And the signato­ around 2000 remote reviewers from on one of them. ries are Max Planck, Walther Nernst, all over the world. The ERC philosophy is that applicants Heinrich Rubens and Emil ­Warburg. Does the ERC deliver what it prom­ must be challenged often enough to To see, 8 years after Einstein had pro­ ised? I already gave you an insight demonstrate the ground-breaking posed the mechanism of the photo­ into that earlier when I spoke about nature and ambition of their scien­tific electric effect, one of his major dis­ the ex-post analysis just conducted. proposal. We want to know the ­extent coveries of his 1905 annus mirabilis Another angle for monitoring the to which the applicant is ­capable of challenged almost as a blunder by results is provided by the detailed

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analysis performed by the agency But this is only one part of the ­story. Appropriate care must be taken to managing the ERC of over 40 000 Indeed, the idea that science can­ make how the scientific method publications from ERC-supported not just be left to scientists and that works properly understood by the projects in international peer-re­ science, not to mention technology, general public and, in particular, viewed journals. What does it tell us? should be harnessed to societal needs by school children. In the age of the About one third of all ERC grantees has an equally long history that ­internet, this looks like it has be­ have already published an article that should not be ignored. come an easy task. I challenge this ranks in the top 1% most highly ­cited Today more than ever, it is the scien­ view, as the internet contains, next to worldwide, i.e. publications with tists’ responsibility to argue for the wonderful pages, a huge amount of the highest recognition and impact support of fundamental research, to fake ­science presented in ways which amongst the global scientific commu­ make the many different ways ­science make it difficult to distinguish it from nity. Note that they are also the ones contributes to society ­tangible, to solid knowledge when one lacks the watched by industry as sources of show that taking the long view wins appropriate training. technological and social innovation. over an impatient ­approach looking The only way out is a sustained effort For ERC grantees, they account for for short-term results. It is our task, by the scientific community, in close 7% of their cited papers, an ex­ as individuals but also collectively, in connection with the education com­ ceptional performance only com­ particular through the organi­sations munity of course, to alert the next parable to that of fellows of the representing us such as learned generation to these dangers. And the ­Howard Hugues Medical Institute. ­societies and academies, to help the danger will not go away easily as This establishes the dominance of public and policy makers under­ some people and organisations are quality over quantity. We can there­ stand that a significant part of re­ seizing these new opportunities to fore be very confident that ERC-­ search must be organised using the propagate their views with the pur­ funded researchers are having a large bottom-up approach. For that, evi­ pose of winning zealots. They are scientific impact. dence of the legitimacy of such an ready and able to spend considerable I am very pleased to report to you approach has to be provided, based amounts of money for that. Consider­ that in Europe, many countries have on many different examples. ERC the number of websites defending reshaped or are reshaping their has established the Proof-of-Concept creationism against all documented research policy by creating new programme for ERC grantees, who, scientific evidence. schemes based on the ERC model and while pursuing their research, see This shows that educating people to philosophy of empowering research­ possibilities of getting closer to mar­ think critically and teaching them ers through a bottom-up approach. kets or societal needs. This is again to cross-check sources is, more than So ERC is contributing to making the done using a strict bottom-up ap­ ever, of the greatest importance. We idea of the necessity of free research proach and evaluated by specialists must be, again both at an indivi­ understood and accepted. in knowledge transfer. dual and a collective level, directly

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involved in this process. Without Organisms (GMO) was not ­handled cellent news, as there are not so many serious progress on this front, and with the same efficiency at the of us with this profile in the Euro­ contributions from the social ­sciences inter­national level. Most likely, the pean Commission. Academies will and humanities to understanding the ­existence of immediate economic also be involved in the process, as process of forging belief, there are ­interests prevented this from happen­ the result of steady efforts conducted­ grounds to fear that rational thinking ing. In many countries, and France by several of you. This is perfectly in will be under serious threat, putting is a good example of that, it proved line with the point underlying this the development of science in great impossible to separate the scientific speech, namely that it is a critical danger. issue of the impact of using GMOs ­responsibility of ours to get involved There is another front which must be on the environment from the econo­ and to look for such contacts rather brought into the picture, namely that mic question of the control that major than to stay cautiously away. There of the relations between the scientific firms could be winning on crops if are conditions, though, to make such community and policy makers. GMOs were adopted. This is one an involvement unambiguous: real The initiative of the United Nations ­instance where the scientific com­ independence and access to appro­ to set up the International Panel on munity has not been able to bring priate support are the key ones. Climate Change (IPCC) to gather enough clarity to the issues and be The true challenge of a successful information at the global level and heard by policy makers. science policy is to find a satisfac­ to propose possible scenarios on The efforts made by Carlos ­Moedas, tory balance between the two basic ­climate change is, from this point of European Commissioner for Re­ ­approaches of research: bottom-up view, very remarkable. It not only search, Science and Innovation, to and top-down. This is not an easy ­assembled a critical mass of spe­ have the European Commission question as the answer depends on cialists from various disciplines for adopt a strengthened Scientific the context in many ways: domains a collective task, but it did so while ­Advice Mechanism are to be com­ concerned, funding mechanisms adopting a long view and establish­ mended. The involvement of distin­ used, strategic management struc­ ing precise procedures for the pro­ guished independent scientists in ture empowered, … duction of reports. This did not pre­ assembling information and data for As we know, in many countries, more vent several lobbying groups from use at the European political echelon and more researchers are affected by trying to impact the discussion by is, of course, a critical step. The fact a decline in resources devoted to supporting a wide range of media that he was trained as an engineer basic research. So my plea is that, at challenging the role of humans in the and is genuinely keen on science is times when cuts are considered, we process. The pressure was felt even probably relevant here. scientists fight for a minimum level inside some academies. The direct involvement of active of funding going to bottom-up basic To say the least, the debate concern­ scien­tists in the production of advice research. There is plenty of evidence ing the use of Genetically Modified at the highest level is, of course, ex­ that not giving researchers enough

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freedom curtails the possibility of decisive ­mobilisation which, in the independence, freeing it from all unexpected developments, which are end, successfully prevented such a unnecessary bureaucracy, strength­ vital for the future. It is, indeed, our cut. ening the capacity for action of its responsibility to make all stake­ Some politicians may be tempted governing body, the Scientific Coun­ holders understand what it takes to to introduce similar cuts at the time cil, and giving it the long-term visi­ make the contribution of scientists of the midterm review of Horizon bility it needs to continue to impact serve society in the best way. It re­ 2020. At the invitation of the ­Budgets positively on national policies for quires that the researchers be sup­ Committee of the European Parlia­ the support of research. Steps in this ported in all their diversity, be they ment, I presented the view of the direction­ have to be taken very soon. involved in the natural sciences, life ERC Scientific Council concerning Your contribution and your support sciences, social sciences or humani­ the budget needed by the ERC until in this decisive endeavour are need­ ties. Most of all, they must be given 2020. This document is available on ed and warmly welcome. time and freedom to explore new the ERC website. To consolidate this knowledge, because it is the only way view, the Scientific Council suggests in which science can truly flourish. that an independent review of what I am convinced that the ERC has a ERC has achieved so far and what it specific role to play in this respect takes to make it deliver its promises because of the scientific impact it has until 2020 be set up. By doing so, it already achieved and the extraordi­ is just taking up a recommendation nary mobilisation it has triggered. It made by the independent body that has already empowered more than reviewed ERC at the midterm of 4000 young researchers across all Framework Programme 7. Your sup­ disciplines, a milestone, while repre­ port for and engagement in such an senting only about 1% of the overall initiative can prove critical. support given to research in Europe. Further, the preparation of the next It must continue to develop even framework programme is coming further, the point on which I want to up very soon. Its general architecture conclude and call for your support. will be proposed by the European Last year, through many channels, Commission at the latest at the end the scientific community expressed of 2017. It should be an exceptional its opposition to taxing the ERC ­opportunity, beyond guaranteeing ­budget to contribute to the Europe­ the ERC an appropriate budget, to an Fund of Strategic Investments. reach a new stage for its develop­ ­Academies played their role in the ment, recognizing its indispensable

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JEAN-PIERRE BOURGUIGNON

Current Positions

– President of the European Research Council – Directeur de Recherche émérite at CNRS – Professeur honoraire à l’Institut des Hautes Etudes Scientifiques, Bures-sur-Yvette, France

Expertise

– Differential geometry – Mathematical aspects of theoretical physics

Qualifications

1974 Thèse d’Etat in Mathematics at the University of Paris 7 1966–1968 Engineering degree at École Polytechnique

Career

Since 2017 Member of the Portuguese Academy of Sciences Since 2016 Honorary Member of the Deutsche Mathematiker Vereinigung Since 2014 President of the European Research Council Since 2005 Honorary Member of the London Mathematical Society Since 2002 Member of the Spanish Royal Academy of Sciences Since 1996 Member of the Academia Europaea 1994–2013 Director of the Institut des Hautes Études Scientifiques (IHÈS), ­Bures-sur-Yvettes 1986–2012 Professor of mathematics at the École Polytechnique 1995–1998 President of the European Mathematical Society 1990–1992 President of the Société Mathématique de France

More information about the Author: https://erc.europa.eu/erc_member/jean-pierre-bourguignon

ÖAW 42 LÁSZLÓ LOVÁSZ

POLITICAL INFLUENCE, SOCIETAL DEMANDS AND THE EXPECTATION OF ECONOMIC RETURNS: THREATS OR POSSIBILITIES FOR RESEARCH?

LÁSZLÓ LOVÁSZ

Let me start with something rather often takes years or even decades sults only contribute to the general commonplace. In terms of motivation to complete. In contrast, applied information pool of society with a or driving forces there are two types research is seldom pursued for de­ substantial delay, if they ever do. of research – basic research, which is cades, as the parties who order and Let me mention another critical “­curiosity-driven” or “bottom-up”, finance it would usually expect re­ difference. Examples of top-down and applied research, which is “agen­ sults within weeks. The industry or problems include global warming, da-driven” or “top-down”. These the government will not be satisfied migration, cancer, water supply, bio­ pairs of phrases don’t mean exactly with an answer that goes like, “Give diversity, self-driving cars and many the same, but they are closely relat­ us 15 years and then we might be other goals, problems and questions ed. We all know, and we heard it in able to solve your problem.” that society poses. Everybody in the previous talk, that it is crucial This uncertainty is also connected our societies understands that these to strike a healthy balance between with the fact that results in basic re­ questions are important. People­ these two types of research, but we search are unpredictable. How­ever, even expect scientists to provide are also aware of how difficult this once they are obtained, they are pub­ ­answers, or at least partial answers task can be. lished. In applied research on the to them. However, typical questions One of the difficulties is that the two other hand, the goal is set, and often, in ­bottom-up research are far less types of research work on entirely when the results are obtained, they obvious: how can certain bacteria different time scales. Basic research are classified or patented. These­ re survive under extremely adverse

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conditions in hot springs? Can we understand is interesting because we a ­pacifist and a rather pessimistic improve the error term in the prime don’t understand it, and not because person. He said that he was work­ number theorem? Or a question from the problem itself is directly linked to ing on number theory because no social sciences: did the Hungarian any foreseen application. one had ever discovered any warlike army requisition bells from Catholic, Another example is evolution. Every­ purpose to be served by the theory Orthodox or Protestant churches in body thinks of evolution as happen­ of numbers, and it seemed unlikely Transylvania to cast cannons during ing on a time scale of millions of that anyone would do so for many the 1848/49 revolution? The chal­ years. Even if we understand the years. And he added that he con­ lenge already starts with convincing mechanisms, we cannot influence sidered every­ real-world application society that such particular questions them (perhaps a little bit, if we think to be potentially a military applica­ are meaningful, that the answers are of breeding dogs and other animals). tion, so he preferred not to have any useful and, above all, that there is Yet, there are evolutionary proce­ real-world applications. We all know value for society in spending money dures that happen on a much shorter today that questions about primes on research on such questions. time scale, such as the development are the basis of cryptography, com­ Eric Lander, an advisor of US Presi­ of bacteria that are resistant to anti­ puter security and cyber war. So, we dent Obama (who is also a mathe­ biotics, which have evolved over a should be very careful about making matician), presented a wonderful few decades. No one questions that predictions about the inapplicability talk at a math meeting, where he these are threatening and, indeed, of basic research. called basic research “the miracle it is extremely important to under­ Finally (and I don’t want to go into machine”. He makes the point that stand how these evolve. The study the details of this complicated story), if one computes the expected reward of the evolutionary procedures will there is the example of the Hunga­rian or return on investment in basic re­ hopefully lead to new methods of freedom fight against the Austrian search, it is infinite. He even pre­ fighting these bacteria in a compara­ Empire in 1848/49, which happened sents statistical evidence for this. He tively short time. So, understanding while there was also a Romanian describes several examples; one of evolution better could save the lives freedom fight going on against the these is that when biologists tried to of many of us. Hungarians. This complicated situa­ understand how bacteria can survive The prime number theorem, the ex­ tion led to the casting of cannons as mentioned above and what kind ample I mentioned earlier, reveals from bells, which has since become a of biochemical mechanism is at work another lesson for unpredictabi­ legend in Hungarian history books. there, this led to the discovery of the lity. Prime numbers are very cen­ It turns out that most of these bells PCR procedure. Today this method is tral ­objects in mathematics. ­Hardy, were requisitioned from Orthodox extremely important, its applications an excellent mathematician in churches, which happened to be range from medical practice to basic ­Cambridge and one of the leaders of ­Romanian churches. To learn about research. So, a phenomenon we don’t early 20th-century mathematics, was the different angles of such ­historical

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events could play an integral role in problems, but I don’t know what will to achieve a certain goal but where advancing reconciliation between be at the center of my interest in four they cannot sleep until the question is nations. Even such seemingly “in­ years. If I can pay more PhD students answered, as is often the case with applicable” questions could have or postdocs, I will happily introduce ­curiosity-driven research. I don’t far-reaching positive consequences if them to research, but their number is know the answer. How to orient bot­ followed up. not crucial for my work.” As you can tom-up research to support top-down Coming back to the complex inter­ see, even we scientists have very dif­ goals? Maybe this is a dangerous faces between different research com­ ferent approaches to funding and to question. Bottom-up research should munities, let me give you another answering social challenges. be entirely unfettered. Nevertheless, strange example, showing that even Now, of course the central question is it might be necessary and hopefully within the field of basic research, how to connect the two kinds of ex­ possible to get the bottom-up type people can have completely differ­ tremes, basic or bottom-up research of research to support progress on ent attitudes. I recently served on a and applied or top-down research. the above social challenges. How to grant committee. The question came There have been many attempts kindle the curiosity of researchers for up of whether the amount grant­ in one particular direction: I think questions that are already relevant ed might be reduced, perhaps to all countries have tried to develop­ for society? How to allow sufficient 60% of the requested amount. There their own system for channeling time for basic research to work on were two very strong views on that. basic research to applied research such pressing problems? To find an Biologists, supported by medical and to innovations. Some of these answer to these questions is perhaps doctors, chemists and experimental systems work, some don’t. Incuba­ even more important than to find physicists were arguing along the tors and venture capital are possi­ good mechanisms for the utilization lines of: “How could it be? You must ble ­vehicles. My question is how of basic research results. plan your project carefully. If you are to approach the problem the other Let me tell you about a few exam­ willing to accept a smaller grant, you way round? ­Society comes up with ples of exceptional places where such will not be able to complete your pro­ many ­questions: ­global warming, mechanisms did work well. These ject, and so you should not get any­ social conflicts and so on. We can, of were industrial research centers in thing.” Meanwhile a mathematician course, announce projects or calls for the United States: Bell Labs, the IBM or maybe a historian, a philosopher, applications relating to these Research Center and, a place where or a theoretical physicist could ­easily ­questions, and we will surely see I had the opportunity to work for a disagree with this view, saying: ­applications for funding. But how few years, Microsoft Research. Let “Why not? I want to get enough for do we bring these to the level of the me list some of the discoveries that my salary (if that’s part of the grant), intellectual challenge experienced came out of these centers, motivated for conference participation, perhaps in ­curiosity-driven research? To the by demands from applications: tran­ a laptop. I promise I will study good ­level where researchers not only want sistors, Unix, C and interior point

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methods for linear programming at To address some of the issues raised is a recent example. William Proxmire­ Bell Labs; fractals, information com­ above, the Hungarian Academy of was an example from the 70s or 80s. plexity and graph spectral theory at Sciences has launched a few long- He even introduced the “Golden IBM; topological quantum computa­ term, strategic research programs in Fleece Award”, which ridicules basic tion and graph limit theory at Micro­ an attempt to involve basic research research. One of his favorite exam­ soft. These centers had basic research in answering questions of immediate­ ples was the sex life of screwworms, teams doing their own basic research, social relevance. We have selected a which are a kind of pest. It has since but through regularly meeting peo­ few themes that society deems im­ turned out that understanding the ple from applied areas, they also got portant now, and most probably will sex life of screwworms actually led engaged in special problems already regard as critical in ten or twenty to the development of new pro­ relevant for applications. The slo­ years’ time. We have started research cedures for pest control, which to­ gan used at Microsoft Research was: programs in areas like the methodo­ day save ­billions of dollars a year in “You have to keep your door open.” logy of education, or the Kodály ­agriculture! (This is one of the exam­ If somebody comes in with a ques­ method of music education, which ples which I took from Eric Lander’s tion related to applied research, then some of you may be familiar with. talk.) you must listen to this person. You The future of water management is Occasionally the argument goes the can say, “No, sorry, I don’t know any­ another example. It is a broad inter­ other way: “The Academy should thing about this, it’s not my topic,” disciplinary topic with many obvi­ stick to science. Don’t interfere with but you should at least pay attention ous challenges we have to face and politics.” I don’t want to name the to the question. And this approach resolve very soon. Currently, the politician from whom I got this re­ worked brilliantly in many cases. research behind these areas is not mark. In a small country, there is an­ Let me add that sometimes different working well enough in Hungary. other, seemingly logical, argument: theoretical and applied branches of So, I hope that a new model which “We completely understand that science work so closely together­ that would include the work of scientists ­basic research is very important, and one cannot draw a line between them. engaged in basic research questions, the results of basic research will bring Applications and their theoretical­ and would bridge the gap between about new developments in science. foundations often develop­ hand-in- basic and applied science could bring But let others do it! Why spend hand, like physics and mathematics­ new results. ­money on basic research in a small in the 18th century, or ­computer A few words on politics and research. country like ours? If the US doesn’t ­science and certain ­branches of Politics is often accused of limiting spend more money on basic research, mathe­matics (discrete math) in the opportunities for research. In the US, then basic research worldwide will 20th century, or biology, chemistry for example, some senators regularly be hit. But what difference, if any, and several other sciences in the 21st try and force research to work only will the funding of basic science in century. in the top-down way. Lamar Smith Hungary make? Why don’t we ­focus

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on our own needs, on applied re­ for students to be open to others, to search?” ­listen to other researchers. Ameri­ My answer to this is: it is essential can universities are somewhat better to be part of a community, since this from this point of view than ours, allows us access to the best channels because in their undergraduate pro­ for obtaining timely and reliable grams they usually have a broader ­information. And perhaps more im­ variety of subjects that students are portantly, the students who take part exposed to. Our universities should in basic research projects are thereby work together to develop curricula being educated in the best techno­ that support both multidisciplinary logies, theories and methodologies, and applied research better. and therefore, even if they eventually I am a great supporter of research end up researching potential applica­ centers, such as Bell and IBM, in tions of science or innovation, they ­Europe, which bring together basic will be better equipped to do that. research and agenda-driven research. Let me now conclude with a ­couple They could also be a powerful tool of ideas on how ALLEA could con­ for answering questions that come tribute to some of these issues. First from governments or from the Euro­ of all, facilitate the exchange of pean institutions. Without their own ideas between science, politics, and basic research institutions we cannot ­society! I am happy that the Euro­ guarantee that the answers to socially pean Union has started a science ad­ relevant questions have intellectually vice mechanism. I think we should firm foundations. all give our support to it so that the EU can do it right. This is less trivial than it sounds, some people are skep­ tical and some believe that it will not work well. We should make sure that it does. I am quite unhappy with our uni­ versity programs, where preparing the students for interdisciplinary ­research is poorly done. I would very much like to see encouragement

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LÁSZLÓ LOVÁSZ

Current Positions

– President of the Hungarian Academy of Sciences – Professor at the Department of Computer Science of the Eötvös Loránd University

Expertise

– Combinatorial optimization, algorithms, complexity, graph theory, theoretical ­computer science

Qualifications

1977 Dr. Math. Sci., Hungarian Academy of Sciences, Budapest 1971 Dr. Rher. Nat., Eötvös Loránd University in Budapest 1970 Candidate of Math. Sci., Hungarian Academy of Sciences, Budapest

Career

Since 2014 President of the Hungarian Academy of Sciences 2012 Member of the National Academy of Sciences of the USA Since 2011 Professor, Mathematical Institute, Eötvös-Loránd-University, Budapest 2006–2011 Director, Mathematical Institute, Eötvös-Loránd-University, Budapest 2007–2010 President of the International Mathematical Union 2006 Member of the Russian Academy of Sciences 1999–2006 Senior Researcher, Microsoft Research 2002 Member of the Deutsche Akademie der Naturforscher Leopoldina 1993–2000 Professor, Dept. of Computer Science, Yale University 1983–1993 Professor, Chair of Computer Science, Eötvös-Loránd University, Budapest 1978–1982 Professor, Chair of Geometry, József Attila University, Szeged

More information about the Author: http://www.cs.elte.hu/~lovasz/vita.pdf

ÖAW 48 STEFAN HORNBOSTEL

UNDER PRESSURE! INVESTIGATING ACADEMIC FREEDOM

STEFAN HORNBOSTEL

The term “academic freedom” evo­ These cases show how historical ex­ dom and Tenure: on the one hand, kes different associations – not only periences of political intervention it emphasizes the problematic role constitutional guarantees for the have been taken up by science. In of money (“…but research for pecu­ freedom of teaching and research (as this regard, the guarantee of scien­ niary return should be based upon in Germany), but also the – to this tific freedom results in functional an understanding­ with the authori­ day – continually renewed standards divi­sion: the freedom of teaching ties of the institution”), while on the by scientific societies, such as the and research is assured for all scien­ other, it ­respects potential ideological 1940 Statement of Principles on Aca­ tific needs. The scientist as a citizen, or religious beliefs of the institution demic Freedom and Tenure by the however, is burdened with restraint: (“Limitations of academic freedom American Association of University “When they speak or write as citi­ because of religious or other aims Professors1, or Max Weber’s lecture zens, they should be free from insti­ of the institution should be clearly “Science as a vocation” from 1919.2 tutional censorship or discipline, but ­stated in writing at the time of the their special position in the commu­ appointment”)4. nity imposes special obligations”3. Academic freedom is undoubtedly 1 1940 Statement of Principles on Academic Yet, the clear demarcation between a right that, contested and repeated­ Freedom and Tenure: https://www.aaup. science and the society it is sur­ ly fought for throughout the history org/report/1940-statement-principles- rounded by already showed an of science, is ultimately ­responsible academic-freedom-and-tenure (07.03.2017). inter­loping in the 1940 Statement for enabling the creation of new 2 Max Weber, Science as a Vocation: http://www. of Principles on Academic Free­ knowledge. But are the existing defi­ wsp-kultur.uni-bremen.de/summerschool/ download ss 2006/Max ­Weber - Wissenschaft als Beruf.pdf. 3 1940 Statement, No 3. 4 1940 Statement, No 2.

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nitions of academic freedom still wor­ media and by academia itself – on of conduct,6 “trigger warnings”, and king? In the hundred years that have the development of the freedom of “safe places” at many US universities passed since Max Weber’s lecture, speech at universities and the restric­ can be interpreted as an overreacting science has undergone a fundamen­ tions it encounters by a new – ­possibly obligingness from the authorities, tal change: it has seen an enormous misinterpreted – sense of political embodying a culture of paternalistic rise on a quantitative level, and it is correctness that finds strong support, intervention by eliminating room for strongly connected with economy particularly at American and British controversies and individual deci­ and society. Today, researchers are but also German universities. sion-making. This conduct, indeed, supposed to raise funds, procure evi­ In a climate where classical literature set limits to academic freedom. In the dence for (political) policy-making, is banned from classes because it may UK, as a (counter)reaction to ­these and organize research with societal contain descriptions of sex, violence tendencies, the Online magazine impact. The consequences of this etc., where professors are victims of “spiked” launched the Free Speech ­development are not only a stron­ aggressions because of their contro­ University Ranking (FSUR) in 2015 ger dependency of industry and so­ versial professional views, or guest which surveys British universities ciety on scientific findings, but also, lecturers are disinvited because they with regard to “campus censorship” conversely, a higher pressure on may promote provocative positions, and ranks them using a traffic-light ­science to include societal interests some see academic freedom and the system.7 and norms in its secured sphere. freedom of discourse deeply threa­ But how do we define academic free­ This holds true for the individual re­ tened – by internal as well as external dom today? Can we still follow inter­ searcher as well as for higher educa­ pressure.5, 6 The introduction of codes pretations such as the 1940 Statement tion and research institutions. of Principles on Academic Freedom and In this respect, it comes as no surprise­ Tenure that still breathe the spirit of that the topic of academic freedom has 5 A fact that former US President Obama received a lot of attention over the last ­commented emphatically on the occasion of the Howard University commencement years, e.g. in the context of research ceremony in May 2016: “(…) So don’t try to 6 funding and the ever-­rising share of In Germany, the examples of Herfried shut folks out, don’t try to shut them down, Münkler, professor for political theory at research grants, with a spe­cial regard no matter how much you might disagree the Department of Social Sciences at the to the ­assumed external influences on with them. There’s been a trend around the Humboldt-Universität zu Berlin, and Jörg country of trying to get colleges to disinvite Baberowski, professor at the Department of science by funding from the indu­stry ­speakers with a different point of view, or sector or private organizations, as History at the Humboldt-Universität, reflect disrupt a politician’s rally. Don’t do that – tendencies towards a restriction of the free well as the ­changing ­demands for the no matter how ridiculous or offensive you academic discourse. gover­nance of universities or certain might find the things that come out of their mouths.” Link to video: https://www. 7 http://www.spiked-online.com/free-speech- ­policies like gender equality. A strong youtube.com/watch?v=_K4MctEmkmI&t= university-rankings#.WLgeaPJc7EQ (02.03. focus has, however, been put – by the 4s (02.03.2017). 2017).

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the “ivory tower”?8 The changes in “interest organization”, a compound want to do. The problem is associated science and the demands for societal of individuals. Nowadays, there is a with the new forms of ­governance. A relevance of science are considered clear shift from the individuals to the little over 20 years ago, New Public in this perspective just as little as organization with the organization Management was introduced in most the role of the scientist as an adviso­ having a much stronger legal posi­ European countries and caused two ry expert, a function that is judged tion. As a consequence, the subject of problems. Firstly, New Public Mana­ very differently from different per­ academic freedom today is not only gement is focused on the output of spectives. While some emphasize the the individual researcher but also research. Results need to be measur­ importance of professional scientific the organization that carries out re­ able, hence the expansion of numbers intervention9, others deeply mistrust search. Today, we essentially witness of publications, citations, Ph.D. stu­ scientific expertise.10 a working organization which be­ dents and more. Secondly, this de­ Following three basic questions (Free­ comes apparent, for instance, in the velopment sends a signal to (young) dom for whom? Freedom ­whereof? deep involvement of organizations in researchers that some practices are Freedom for what?), this text will funding processes. more desired, potentially more ef­ take a closer look at the obstacles that Freedom whereof? This question is fective in the competition for reputa­ may oppose academic freedom and probably the most complicated. What tion, than others. This effect is obvi­ discuss their significance for science are the problems? Does the dilemma ously noted by a lot of scientists and and society. lie in external steering influences may lead to the development of spe­ Freedom for whom? In the 1960s/ from politics and industry or maybe cific, not always preferable customs. 1970s, the subjects were easily de­ in academia itself? Do the problems The interplay between the need to fined, since this prerogative was result from the changes in gover­ measure and the effects it produces only attributed to the professors, the nance at the universities that we call is not limited to the scientific com­ mandarins at universities. The orga­ “New Public Management” or from munity, but also stretches into the nization itself was more or less an the funding system? broader public and concerns e.g. the Academic freedom is not an end in visibility of the rankings and ratings itself, but includes the demand for that, for the most part, have been 8 1940 Statement of Principles on Academic freedom from external steering in­ established within the last 20 years. Freedom and Tenure, in: Policy Documents and Reports 3 (AAUP, 1984). fluences. The aim is quite clear: the These rankings, how­ever, are not just self-governance and self-regulation an internal ­information process. They 9 See e.g. Kocka, J. (2001): Interventionen. Der of science. However, the ­question ­re- not only inform but also influence the Historiker in der öffentlichen Verantwortung. Vandenhoeck & Ruprecht: Göttingen. mains whether there really is a strong broad public, creating visibility for external influence coming from organizations that, ideally, coincides 10 See e.g. European Commission (2010): Special Eurobarometer 340. Science and Technology, ­politics or private money that forces with reputation and (measurable) Report, p. 42. scientists to do things they do not out­come. Reputation for academic

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­organizations is thus not only gained In the German case there was a such as the German Excellence Ini­ in the internal processes but also on ­vigorous increase in the percentage tiative. There is a tendency in science a broader public stage. The former of third-party funding for research towards big collaborative program­ ­Research Assessment Exercise, now ­within only a few years. The rela­tion­ mes that mean a lot of constraints for Research Excellence Framework, is ship between basic and third-party the individual researcher: bargaining an example of ranking in the UK, a funding continually drifted apart. processes with departments, politics, system that assesses the quality of Between 1998 and 2010, basic fun­ funders, and so on. The barriers for research in higher education institu­ ding of higher education institutions scientists to conduct their research tions by means of ­metrics and peers. increased by about 23%, third-party­ without restraints seem to rise con­ An article by Linda ­Butler and Ian money by more than 100%. This tinuously. Mc Allister from 2011 analyzed the shift dramatically changed the con­ Following one legal interpretation process of evaluation of university ditions for research. Yet, the share of the German Excellence Initiative, research performance using metrics11 of third-party money for research this kind of programme addresses which showed that the results from that includes funding from industry academic freedom by discrimina­ expert (peer) judge­ment and metrics remains rather stable at around 20% ting against scientists who are not hardly differ. Even though the use of (with a slightly declining tendency). ­funded: excluded from the provision metrics is highly contested among Since the share of industry funding of funds, they experience less appre­ scientists, as a matter of fact, there are remains unchanged, there is no indi­ ciation of their work than those scien­ a lot of cases that demonstrate that cation that the industry sector puts in tists that are part of the programme. the difference between peer judge­ more money and consequently be­ This discussion, regardless of its ment and ­metrics is hardly distinc- comes more influential. What chan­ inter­pretation, was also picked up by tive – either be­cause the peers ­follow ges is the share of the public money the DFG, the German Research Foun­ the metrics or the metrics are as good that is not basic funding, but comes dation. Years ago the DFG stated that as the peers. What has changed dis­ via programmes, very similar to “we are running towards a problem. tinctively in the past years, how­ what we know from research fund­ The excessive competitive pressure ever, is the percen­tage of third-party ing by the European Commission. for third-party money and the neces­ funding (research grants either from The discussion about the influence of sity to gain money via these channels state or private ­institutions) that is money on science and academic free­ produces problems, because it takes needed to finance research. dom should, therefore, center less on us away from the core business of the amount but rather concentrate on science – the research.”12 Given that the question of its context. This trend 11 Linda Butler / Ian McAllister: ­Evaluating uni­ is also reflected in the development versity­ research performance using metrics. 12 See Prof. Dr. Matthias Kleiner, Talk at the DFG In: European Political Science 10 (2011). during the past 20 years towards New Year‘s Reception, Berlin, 16 ­Ja­nu­ary p. 44–58. encompassing funding programmes 2012.

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the chances of getting a grant today tive as these institutions seem and as NPM governance regime, following are less than 30% in Germany (in much as the aspect of charity deser­ this line of reasoning.14 the US the share is even lower), the ves support, it should not be forgot­ Freedom for what? A rather new amount of time and capacity it takes ten that these foundations have their problem is the requirement for the to eventually fund a project is subs­ own, very distinct missions. They usefulness of science for society. tantial. The researcher has to engage are not places that scientists can go The United Kingdom first intro­ in writing several proposals that also to and say “I need some money for duced this idea in the funding pro­ require reviews – and the system my research”. No, these foundations cess and, to this day, the question is running short of reviewers. The have a well-defined agenda and a cle­ of how to evaluate proposals in this shortage of reviewers is a consider­ ar idea of what they want to fund and regard ­remains unanswered – there able internal problem of the science what not. are no metrics in this field. Also, the system, because the number of re­ reinforcement of the links between views needed is still on the rise, not What do these circumstances mean? society and science is not generally only for allocating research funding Is external money a problem in gene­ supported: in 2014, Günther Stock but also for evaluating publications. ral? Probably not. The task is rather critically remarked that “in the 20th ­Additionally, the NPM establishes to find the right balance between century we already painfully expe­ more and more evaluation proce­ basic funds, long-running funds, rienced what it means when ­science dures for which peers are needed as short-running funds, and so on. Be­ and research are exclusively put well. sides, not everything that followed into service for so-called societal de­ the introduction of the New Public mands.”15 This point of view, though, What can be done? Is stronger Management is negative: today the disregards three important aspects: ­reliance on private foundations the number of autonomous organiza­ science has always been connected to solution? The development over the tions is much higher than before. societal demands. If science was only past decades shows a noticeable in­ Still, critics state that the individual able to react to scientific demands, crease in new private foundations, autonomy of scientists is lowered many of which promote philanthro­ and that thematic choices are fewer 14 Uwe Schimank (2014): Von Governance zu pic goals and are occasionally backed than 20 years ago. The prosecution “authority relations”: Wie sich Regelungs­ 13 by enormous budgets. As attrac­ of unorthodox methods and perspec­ strukturen dem Forschungshandeln aufprä­ tives, the need to carry out research gen, in: René Krempkow, André Lottmann, in bigger collaborations with other Torger Möller (HG.): iFQ Working Paper 15, Völlig losgelöst? Governance in der Wissen­ 13 The Bill and Melinda Gates Foundation had scientists, and, of course, the depen­ schaft, iFQ: Berlin, 19f. an endowment of US $ 44.3 billion as of 31 De­ dence on third-party funding as well cember 2014. http://www.gatesfoundation. 15 Günther Stock, President of the ­Academy org/Who-We-Are/General-Information/ as the results of evaluations are just of Sciences and Humanities In Berlin, Financials (03.03.2017). some of the disadvantages of the „Festsitzung“ – Leibniz Day, 28 June 2014.

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the concept of scientific innovation the example of citizen science shows 46% stated that scientists should do would indeed suffer. What is more, how the public takes an active part whatever they want. Only 29% of if science remained a self-referential in science and science production. those respondents without any inte­ endeavor, it would not only lack More importantly, the public consists rest in science shared this view. Some ­innovation but also entail further of voters, tax payers, and users of people even believed that scientists ­negative consequences such as scien­ science, and, in this regard, they are were dangerous.16 tific misconduct (falsification of data, crucial in all those bargaining pro­ The last part of this contribution is plagiarism etc.). And last but not cesses. To investigate their opinion dedicated to academic freedom at least, the argumentation also over­ on science and its role for society, the universities. As mentioned before, looks the difficulties academia has European Community carried out a there is a trend, especially in the US itself. Just to give an example: Stefan survey in 2010 with questions such and in the UK but also in Ger­many, Hell, winner of the ­Nobel ­Prize for as “Would people in Europe support towards a kind of political correct­ chemistry, had an idea that was not science even if there is no immediate ness coming from the students and compatible with the mainstream in benefit?” And wonderfully enough, partially from professors and uni­ his field of research. His idea of an in most countries the majority ­clearly versity governance that dictates optical microscope did not match agreed. The only exception to this what you can and what you cannot the general ideas and this made it unanimous picture was Austria. talk about in a classroom these days. highly difficult for him to find an ­However, the answers to the ­question Terms such as “microaggressions“, organiza­tion that would carry out his whether the public can trust science “trigger warnings”, and “safe spaces” research. In this case, not an external gave quite a different picture. The are preventive measures introduced force but academia itself was main­ question asked in the survey was if at many universities in the US to streaming the research. one should trust scientists to tell the avoid any kind of emotional discom­ Another fundamental aspect in the truth about controversial scientific fort among the students. What was debate about academic freedom is and technological issues. Between introduced as a tool to cope with a the role of the public. Two dimen­ 72% and round about 40% of the heterogeneous student body has sions are particularly important: the inter­viewees replied, “We can no ­peaked in an absurd situation where media and public opinion. Scientific longer trust scientists to tell the truth a free academic discourse is no lon­ journalism has changed a lot over about controversial and technologi­ ger possible and where universities the last 10 to 15 years. Today, it is no cal issues because they depend more are no longer places for the exchange longer a kind of “court press”, but and more on money from industry”. of controversial thoughts. a more or less investigative critical The question “Should there be (legal) To conclude, the obstacles for journalism, that, as politics shows, limits for science?” led to even more ­academic freedom are ­obviously changes the relationship between interesting results: of those people science and journalists. Furthermore, who expressed an interest in ­science, 16 Special Eurobarometer 340, 25.

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­manifold. They result not only from STEFAN HORNBOSTEL external but also from internal rea­ sons and the lines are sometimes Current Positions blurred. All the more reason to be careful: science needs friction, ­science – Professor for Sociology at the Institute of Social Sciences at the Humboldt-University­ of Berlin needs discussion. As ­Schleiermacher – Head of Research Area “Research System and Science Dynamics” at the German already noted in the early 19th cen­ ­Centre for Higher Education Research and Science Studies (DZHW) tury, the freedom of a society is strongly connected to the freedom 17 of science. A thought that – in times Expertise with high record numbers of scien­ tists and journalists in jail – has not – Science Studies lost any of its relevance. – Bibliometrics – Elite Sociology

Qualifications

1995 PhD at the Freie Universität Berlin 1975–1982 Studies of Social Sciences at the University of Göttingen

Career

Since 2016 Head of Research Area “Research System and Science Dynamics” at the ­German Centre for Higher Education Research and Science Studies (DZHW) 2005–2015 Director of the Institute for Research Information and Quality Assurance, Berlin Since 2005 Professor at the Institute for Social Sciences at the Humboldt-Universität zu Berlin 17 Friedrich Schleiermacher: „Denn je mehr sich 2004 Professorship at the Institute of Sociology at the University of Dortmund der Geist der Wissenschaft regt, desto mehr wird sich auch der Geist der Freiheit regen More information about the Author: (…)“, in: Sämtliche Werke. Dritte Abteilung. Zur Philosophie. Erster Band, 1846, Reimer: http://www.dzhw.eu/en/gmbh/orga/mitarbeiter?auskunft=mit_hornbostel&show_cv=1 Berlin, 605.

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ÖAW 56 JAN VELTEROP

OPENNESS IS A SCIENTIFI- CALLY AND SOCIETALLY RELE- VANT PART OF A PUBLISHED ARTICLE’S QUALITY

JAN VELTEROP

I came bearing no gifts, no research without being able to give me any think. A not insignificant number results, no data – just some questions, clear idea of what they mean by qua­ of articles are retracted after publi­ some metaphors and some opinions, lity. cation in a peer-reviewed journal. It some of them my own, in the hope When talking about published ar­ is difficult to get precise numbers, that they could inform the discussion ticles in journals, openness is rarely but if one ­follows Retraction Watch1 about scientific communication and seen as an actual quality of the lite­ – a website tracking retractions as a the communication between science rature. When people do talk about window into the scientific process – and society. quality, it is often what editors and for a ­while, one gets a good idea of When I speak to scientists about com­ the peer reviewers of a journal deem the scale of the problem. Figures 1 munication, the very first thing I very to be quality, whatever that means, and 2 illustrate­ the retractions and often hear is: “all very well, but does however arbitrary it is, how­ever errata of the last few years as recor­ it have quality?” Especially when I subjective it may be. And we all ded in ­PubMed. They are, of course, am talking about things like open know that it can be. Are our editors not comprehensive, as PubMed only ­access and preprint servers, people and reviewers right about quality? covers the life and medical sciences. will ask about quality, often, though, Perhaps not so right as one might

1 http://retractionwatch.com.

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The number seems to grow, even ­proportionally to more than the number of articles being published (though somewhat more slowly of late). Retractions have apparently even increased in the order of ten­ fold between 2001 and 2010, whereas the number of articles grew approxi­ mately fourfold in the same period. These numbers are from PubMed, so only cover the life and medical sciences, but it seems a fair assump­ tion that the proportion of retractions relative to the number of articles published is not dissimilar in other disciplines (although there may be Fig. 1: Retracted articles as recorded in PubMed – data from Retraction Watch. exceptions). The interesting thing is that there seem to be relatively more retrac­ tions from journals that are deemed to be of the highest quality. Or, more ­correctly, the journals with the ­highest perceived prestige. That is a problem, I would have thought, ­since the association most people have with those journals is one of quality. In reality, high prestige journals are keen to publish articles with specta­ cular results. Curt Rice puts it in this way: “The most prestigious journals have the highest rates of retraction, and fraud and misconduct are greater­

Fig. 2: Errata as recorded in PubMed – data from Retraction Watch.

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sources of retraction in these journals journal and then retracted, was the field’s results could not be replicated than in less prestigious ones.”2 now infamous Andrew Wakefield by other scientists and his co-authors An article being published in a ­paper, in which autism and other withdrew their support for the study. ­prestigious journal is not the same as disorders in children were asso­ After conducting an official inquiry, it having high quality. In fact, results ciated with vaccination.4 Unfortu­ a tribunal of the British General can be spectacular precisely because nately, it was published in what is ­Medical Council concluded6 that they are statistical outliers. What we ­usually seen as a quality journal: The Wakefield acted dishonestly and see is that when the reported expe­ ­Lancet. That gave it credibility and irresponsibly.­ The Lancet retracted riments are subsequently replicated, false ­authority, as a result of which the paper, and Wakefield was struck the results often look less specta­ it received much publicity, also in off the UK medical register with a cular, even if the evidence is still the lay press, and consequently ­there statement that he had deliberately ­valid, a process most likely caused­ is still a sizeable anti-vaccination falsified scientific results. The Pew by ‘­regression to the mean’.3 Yet it is move­ment, particularly in the United report also mentions that “by then, ­precisely the spectacular nature of States (the new president, Donald however, the damage had already statistical outliers that is so attrac­tive Trump, has even toyed with the idea been done. Many people in the US to a high prestige journal. Quoting of establishing an official commission­ and Europe still believe that vaccina­ Curt Rice again: “it is to some ­degree on vaccination safety – which was, tions cause illnesses and conditions logical that you see these things, however, not enacted at the time of including autism in children. Despite because statistical flukes are quite writing this). According to a 2015 re­ official medical advice that says ­often very nice and very unusual.­ port by the Pew Research Center5, as ­vaccines are safe and vital, many This increases the odds of being pub­ many as about one in ten Americans ­parents still worry about inoculating lished in one of these major journals.” thinks vaccines are not safe. Wake­ their children.” To a large degree A particularly disastrous example this can be blamed on the prestige of an article published in a prestige 4 Andrew Wakefield et al. Ileal-lymphoid- ­accorded to Wakefield’s article by nodu­lar hyperplasia, non-specific colitis, and The Lancet. pervasive developmental disorder in children 2 Curt Rice, Why you can’t trust research: – Retraction notice. Article originally pub­ 3 problems with the quality of science. Blog lished in The Lancet, Volume 375, Issue If you are searching for retractions post, 6 February 2013. http://curt-rice. 9713, 6–12 February 2010, Page 445. http:// on the internet, you will come across com/2013/02/06/why-you-cant-trust- www.sciencedirect.com/science/article/pii/ research-3-problems-with-the-quality-of- S0140673697110960. science/. 5 Pew Research Center report, 83% Say 6 As reported by David Gorski in Science-Based 3 Jonah Lehrer, The Truth Wears Off. The New ­Measles Vaccine Is Safe for Healthy Children. Medicine, 1 February 2010. https://www. Yorker, 13 December 2010. http://www. 9 February 2015. http://www.people-press. sciencebasedmedicine.org/andrew- newyorker.com/magazine/2010/12/13/ org/2015/02/09/83-percent-say-measles- wakefield-the-panel-is-satisfied-that-your- the-truth-wears-off. vaccine-is-safe-for-healthy-children/. conduct-was-irresponsible-and-dishonest/.

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­quite a few journal names that are could be higher than [what is often tus of the impact factor.”9 Nature ­familiar. They are familiar because reported]”.8 doesn’t necessarily seem to do irony they are widely known as presti­ So, is quality illusionary? Is believing when advertising their impact fac­ gious ones. The Retraction Watch in the quality of scientific publica­ tor very, very prominently, though site, which I mentioned before, keeps tions on the basis of their prestige just ­(Figures 3 and 4). a close eye on retractions, monito­ a bureaucratic necessity in the scien­ ring them ­throughout the scientific tific ‘ego’-system? After all, quality is realm. But it is unlikely Retraction often associated with a high Impact Watch catches all fraudulent ­articles, Factor, which is based on a simple let ­alone articles with ‘merely’ deep count of the average number of times ­statistical flaws, mainly cause be­ articles in a given journal are being they are not all retracted. Chris cited, and impact factors are im­ Fig. 3: The heading of the Nature web site ­Hartgerink, a researcher who stu­ portant for researchers to indicate the at the time the editorial9 was published dies bias, error and fraud in scien­ importance of the publications they (2005). tific ­publications, concludes that list on their CVs. “the scientific system as we know it The following citation is often attri­ is pretty screwed up” (in an inter­ buted to Einstein though it may well view with Stephen ­Buranyi).7 In the be apocryphal: “Not everything same article, Buranyi­ also points that can be counted counts, and not to a 2009 study by the Stanford re­ every­thing that counts can be coun­ searcher ­Daniele Fanelli, who con­ ted.” Nature, a journal you will all cludes that “it is likely that, if on know, seems to agree that research average 2% of scientists admit to assessment rests too heavily on the have falsified research at least inflated status of the impact factor. Fig. 4: Prominent display of the Nature once and up to 34% admit other One of its editorials in 2005 carried impact factor eight years later, in 2013. ­questionable research­ practices, the the headline “Research assessment actual frequencies of misconduct rests too heavily on the inflated sta­

9 Not-so-deep impact – Research assessment 7 In an interview with Stephen Buranyi, The 8 Daniele Fanelli, How Many Scientists Fabri­ rests too heavily on the inflated status of the ­hi-tech war on science fraud. The Guardian, 1 Feb­ cate and Falsify Research? A Systematic Review impact factor. Editorial, Nature, 23 June ruary 2017. https://www.theguardian.com/ and Meta-Analysis of Survey Data. PLOS One, 2005. doi:10.1038/4351003b. http://www. science/2017/feb/01/high-tech-war-on- 29 March 2009. http://dx.doi.org/10.1371/ nature.com/nature/journal/v435/n7045/ science. journal.pone.0005738. full/4351003b.html.

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Clearly, the impact factor seems to turning academics into door-to-door vidual papers, which cannot be in­ still play a very important role. Even salesmen for vulgarized versions of ferred from the impact factor.13 an impact factor of lower than one is their increasingly market-oriented Are citations themselves indeed the considered worth boasting about by products.”12 right sort of measure for quality? If many a researcher. Apparently, there Looking at the distribution of cita­ that is the big question, the answer are even pseudo-impact factors, that tions to papers in any journal, one is must simply be ‘no’. You cannot have been invented by whatever likely to find that most articles have ­conflate impact and influence with ­organization that cannot count on only a small number of citations, quality. As Lea Velho puts it: “To the ISI Journal Impact Factor by even in the high-impact-factor jour­ ­conflate impact/influence with­ qua ­Thomson-Reuters.10 nals. A relatively high number of lity [...] is to assume perfect commu­ With regard to this impact factor, I citations for a single article can – and nication in the international scientific like the metaphor of a feather, falling often does – substantially skew the community. [...] citation patterns are into the Grand Canyon. Paraphrasing impact factor. As a result of this significantly influenced by factors Don Marquis11 (“Publishing a book of ­skewed distribution, that single ‘external’ to the scientific realm and, poetry is like dropping a rose petal down oft-cited article is, of course, vastly thus, reflect neither simply the qua­ the Grand Canyon and waiting for the underrated by the impact factor, and lity, influence nor even the impact of echo.”): “The impact factor is what the majority of hardly-cited articles the research work referred to.”14 In you hear if you drop a feather into the are vastly overrated. Yet, as soon other words, quality cannot be de­ Grand Canyon and wait for an echo.” as you get your paper published scribed by the impact factor as we Of course, this is a slight exaggera­ in a high impact factor journal, you know it. tion. But the notion of impact really is have that high impact factor associa­ But the impact factor is still widely quite incoherent. According to Stefan ted with your paper, even if you get seen as a mark of quality, as very Collini, professor at Cambridge, that zero citations. This is the reason that important, even though an article’s is because it “rewards the sensatio­ ­Vincent Lariviere et al. have proposed­ ‘quality’ is routinely assessed by just nalist and second-rate [...] and risks that citation distributions in journals a few people: the peer reviewers, are published as well, and not simply at the point of publication. Usually the impact factor, thus giving insight 10 Mehrdad Jalalian, The story of fake impact into the citation performance of indi­ factor companies and how we detected them. 13 Lariviere et al. (2016), A simple proposal for Electronic Physician, April-June 2015. doi: the publication of journal citation distributions. 10.14661/2015.1069-1072. https://www.ncbi. bioRχiv preprint, 11 September 2016 doi: 12 The core nlm.nih.gov/pmc/articles/PMC4477767/. As reported By Matthew Reisz in https://doi.org/10.1101/062109. ­connection. Times Higher Education, 7 ­January 11 Don Marquis, novelist, poet, journalist. 2010. https://www.timeshighereducation. 14 Lea Velho, The ‘meaning’ of citation in the ­https://en.wikipedia.org/wiki/Don_ com/features/the-core-connection/409838. ­context of a scientifically peripheral country. Marquis. article. ­Scientometrics, Vol. 9. Nos 1–2 (1986) 71–89.

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­there are two reviewers and there is (technical) quality, you essentially assessment of the scientific ‘lay of the the editor. The reviewers are some­ have the method used by so-called land’. Those ‘low quality’ articles are times chosen rather randomly, pro­ ‘­mega-journals’ such as PLOS One.17 vastly undervalued in my view. bably more often than you would Though the PLOS One approach is What are we doing about it? There like to believe. The correlation of a getting some following, it is by no may possibly be technical solutions particular reviewer’s evaluation with means the prevailing method. Is it to the problem of scientific commu­ ‘quality’, as measured by later cita­ in the nature of science to just keep nication, which really is not doing tions of the manuscript reviewed, is on counting and to infer quality from what it is supposed to do. The default low.15 This raises questions as to the the quantity of citations? Or is this ­focus always seems to be on technical importance of reviewers’ judgement. really a case of academic manageri­ solutions. However, we really need Some suggest that downplaying the alism, to keep the assessment of re­ sociocultural ones. We need to recon­ impact of peer reviews can have searchers simple and straightforward sider what we mean by quality and bene­ficial effects, if referees should (albeit at the expense of fairness and how to assess it. decide only whether a paper reaches accuracy)? Let me use another metaphor. a minimum level of technical qua­ I would like to use a metaphor: ­nicely Clothes make the man – an old ex­ lity. Osterloh and Frey propose16 that polished marble slabs or hardcore pression. But is that really the case within the resulting set, each paper rubble, which has more quality? That any longer? Can you really tell the should then have the same probabi­ question is not as easy to answer as it socio-economic status of people by lity of being published. This proce­ might seem. What would a building their clothes? Young people wearing dure should make it more likely do without a foundation of hardcore jeans with tears around the knees that unconventional and innovative rubble (or something equivalent)? So have perhaps paid a higher price for articles would be published. If you what about the ‘edifice’ that is scien­ their trousers relative to intact ones, were to make the probability of being tific communication (some would because tears are the fashion. Wear­ published 100% once a paper ­locate it adjacent to the Ivory Tower)? ing immaculate clothes is no longer has ­reached a minimum level of The ‘hardcore rubble’ foundation of a sure sign of socio-economic status, that edifice may well need a matrix of and that is certainly true for wearing

15 Starbuck, W. H. (2006). The production of all those articles that inspire people jeans. Maybe what we need is some­ knowledge. The challenge of social science re­ but are not necessarily of the highest thing that I might facetiously call search. pp. 83–84, Oxford University Press. quality themselves, yet lead other re­ ‘jean therapy’: we should judge on 16 Margit Osterloh and Bruno S. Frey, Input searchers to more ideas or to a better the ‘substance’ of the wearer, and not ­Control and Random Choice Improving the Selec­ on his appearance. If we translate this tion Process for Journal Articles. September to science: the journal makes the 2011, University of Zurich, Department of 17 Criteria for Publication, PLOS One, http:// Economics, Working Paper No. 25. www. journals.plos.org/plosone/s/journal- scien­tist. If you have a Nature or econ.uzh.ch/static/wp/econwp025.pdf. information.assessment. ­Science or Cell or The Lancet ‘label’­

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attached to your paper, you’ve made knowledge-sharing hostage? This And if we rank – if we really believe it. It is not even about the journal, ribbon-based economy causes de­ that we need to rank – should we not really. It is all about the impact factor lays in publication, after all, and rank on different things? Should we of those journals. I prefer to think often enough accessibility barriers not reward people for collaborating of those ‘labels’ as ‘ribbons’. Just such as publishers’ paywalls. It also rather than for competing more? ­ribbons. To pin on your lapel. In makes it very difficult to publish Competition can have some very ­reality, though, it is the scientists’ material outside of the journal sys­ ­nasty side effects. One example I ­articles that make the journal. tem that awards these ribbons. Is it could mention here is parachute The ‘ribbons’ provide incentives, really worth it? The scholarly world research. Parachute researchers are of course, but I think they are the is literally paying billions of dollars “scien­tists from wealthy nations who wrong ones. Napoleon had interest­ every year, collectively, in terms of swoop in when a puzzling disease ing things to say about that (although subscriptions, licences and article breaks out in a developing country. likely apocryphally). “You can offer processing charges. They collect specimens, then head people money and they wouldn’t Maybe we can think about a different straight back home to analyze them. risk their lives for it. But give them type of incentive – an incentive based They don’t coordinate with people a ­ribbon, and they do anything you on contribution to societally relevant fighting the epidemic on the ground want them to do.” services for science that is indepen­ – don’t even share their discoveries Carry that over to the scientific realm, dent of an impact factor. With such for months, if ever. Sometimes it’s and – somewhat unfairly, perhaps incentives, we might achieve more because they want to publish their – it translates as “no rational scien­ emphasis on collaboration than on results – and medical journals prefer tist would put themselves at risk for competition. It seems that competi­ exclusives – and sometimes it’s be­ principle, but offer them the possi­ tion between researchers can some­ cause they can make a lot of money bility of being published in a prestige times be quite destructive to ­proper by coming up with copyrighted treat­ journal, and there’s no limit to what communication and sharing of ments for the disease.”18 they’ll do to jazz up their results.” knowledge. Does that really help with solving It’s these ribbons that scientists Rankings are seen as important in the problems of tropical diseases? are after, and they are willing to science, and as such, achieving high ­Probably not. In the circumstances of do ­almost anything to get the right rankings forms part of the incentives those diseases, openness is a ­crucial ones, to get a paper in Nature, to for researchers. There are rankings get a paper in Science. Should that on journals or individual researchers, desire – or maybe even the need for universities, even whole countries. Is 18 Nurith Aizenman, 2 April 2016, Goats and ribbons in the ‘ego’-system and the ‘katataxiphilia’ (‘the love of ranking’, Soda, NPR podcasts. http://www.npr.org/ κατάταξη sections/goatsandsoda/2016/04/02/ hierarchical and career structure of from Greek = classification, 472686809/scientists-say-its-time-to- science – be allowed to hold proper rank) impeding knowledge exchange? endparachute-research.

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quality, scientifically as well as with reusability and data mineability. There is a final point I would like ­societally highly relevant. There is There is a way by which this open­ to make, before giving a hint as to an urgent moral imperative – in any ness can be measured: the Creative where we might find a solution to the case with regard to medical research Commons Attribution Licence.19 ­current lack of openness. And that of this kind – for far more openness With this licence – which is granted is the point that if evidence-based than we have now. The whole point by the copyright holder, in most ­cases scien­tific information remains­largely of scientific knowledge, of the knowl­ the author – attribution is the only ­hidden, it might make too many edge sphere around the world if you thing that is compulsory. Scientists ­people think that all the junk science wish, is to disseminate it so that who­ and lay people alike can otherwise they do find on the internet may be ever needs it can take it in. So why distribute and reuse the articles in the final word, simply because it is are we still using the model of ‘jour­ any way they like. openly accessible and evidence-based nals’ for our primary communication, Sometimes the argument is brought information often is not. Hiding even though our modern technology, against openness of scientific infor­ proper scientific information behind the internet, doesn’t require them mation that “there isn’t a public for paywalls also gives a very powerful, anymore and even though the pub­ this material because it is too spe­ but wrong, signal that scien­tists do lishing process can introduce quite a cialized in both its wording and its not really want the general public delay? Is it because journals give us content.” Martin Eve, referring to his to know what researchers are doing. the ‘quality’ rankings researchers so own predicament, dealt conclusively That is scientifically, morally, and crave? with that argument in his blogpost societally objectionable. There are, however, alternatives: ‘Open access in a time of illness’, As for the hint for a potential solu­ measurable, and reasonably objective demonstrating that the meaningful tion, I am convinced that the article qualities that are independent impact of scientific information ­cer ­geniuses of science communication of journal rankings. Having proper tainly does exist outside the narrow are the so-called preprint servers (such statistics, for instance; adhering to area of the discipline involved.20 as Arχiv, bioRχiv and the like). They standards and ethical norms; prop­ Openness can hardly get more socie­ do not pronounce anything about the erly supporting any conclusions by tally relevant than this. ‘significance’ of articles posted on the data being presented; written them. They just enable open sharing in intelligible language without un­ of research results. The importance, necessary jargon and according to 19 The Creative Commons Attribution Licence significance and quality of an article ­reporting guidelines that are stan­ (CC-BY) https://creativecommons.org/ are very difficult – probably impos­ licenses/by/4.0/. dard in the relevant community. And sible – to determine at the point of 20 I would like to add to that an article’s Martin Paul Eve, Open access in a time of ill­ publication, and will only emerge ness, 7 April 2016, blogpost. https://www. openness, which is easy to measure. martineve.com/2016/04/07/open-access-in- over time, after any experiments have Openness to its maximum degree, a-time-of-illness/. been replicated, after the broader

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discipline community has reached a JAN VELTEROP consensus. Preprint services are only concerned about the inherent quali­ Current Positions ties of what is being presented, such – Open access/open science advocate as the measurable article qualities I – Retired science publisher (Elsevier, Academic Press, Nature, BioMed Central, mentioned above. And after posting ­Springer) articles, they then allow the wider community to peer-review and com­ Expertise ment on those articles, openly and transparently. The need for ‘ribbons’, – Scientific publishing, particularly open access publishing – Peer review procedures/peer review reform where necessary, can be satisfied in a – Semantic analysis of (biomedical) scientific literature – extraction of significant separate, parallel procedure that in­ ­assertions in the form of ‘nanopublications’ volves journals.21 Finally, a reminder. The World Wide Web was invented for fre­ Qualifications ely ­sharing academic information; 1975–1978 PhD (not finished) in Marine Geology /Geophysics at Utrecht University Tim ­Berners-Lee’s whole ethos was 1966–1974 Geology/Hydrogeology at Leiden University (Doctorandus) about that. Unfortunately, it seems that science is about the last realm Career that uses the Web properly. This is a ­situation that urgently needs to be Since 2014 Retired from employment but active as an independent open access ­advocate remedied. 2009–2014 One of the initiators of the Concept Web Alliance, director of two scientific semantic start-ups: Knewco and AQnowledge 2005–2008 Director of Open Access at Springer Science and Business Media, Guildford 2001 Participant and signatory of the Budapest Open Access Initiative (BOAI) 2000–2005 Managing director BioMed Central, London 1999–2000 Managing director Nature, London 1993–1999 Managing director at Academic Press, London 1990–1993 Director of Twentsche Courant (Dutch Newspaper), Twente 1978–1990 Science publisher at Elsevier, Amsterdam

More information about the Author: 21 Jan Velterop, The best of both worlds, 13 June https://en.wikipedia.org/wiki/Jan_Velterop 2016, SciELO in Perspective (blog post). http://blog.scielo.org/en/2016/06/13/the- best-of-both-worlds.

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ÖAW 66 JULIA BUDKA

SCIENTIFIC FREEDOM & YOUNG RESEARCHERS: A PERSONAL VIEW FROM THE HUMANITIES

JULIA BUDKA

In the following, I will give a very ced several systems and situations number of years with great flexibility. personal perspective on “Scientific­ which are all relevant for my talk to­ Coming back to Vienna for a teaching freedom & young researchers”. I day. position (6 hours), I encountered there­fore have to start with some As a student, I enjoyed a traditional ­large BA classes mostly of “minors” biographical data, trying to keep my­ “Magisterstudium” with much free­ and almost no Egyptology students, self short. I am an Egyptologist and dom and little time pressure. My pro­ making teaching more challenging ­archaeologist and have studied in my fessors and supervisors were always than anticipated. hometown Vienna. In 2004, I went open-minded and the topic of my Apart from the university positions, to Berlin for a researcher position MA thesis came from participation I have also experienced being the (University Assistant) at Humboldt at an excavation in Egypt. A tradi­ Principal Investigator of a major University. Eventually I returned to tional “PhD programme” ­followed, grant at a research institution with­ Vienna, first for a teaching position again with much freedom and few out a teaching load. I will not go into and then with an ERC Starting Grant restrictions. In my research position­ detail about how beneficial this was and the START Prize of the Austrian at Humboldt University, ­initially for my writing output! However, it is, Science Fund in 2012. In 2015, I was ­funded by a scholarship, I was ­lucky of course, needless to say how much I appointed as Professor for Egyptian to have a very liberal boss who enjoy teaching and that it is of prime Archaeology at LMU Munich. Thus, ­granted many opportunities. With a importance. in my personal vita, I have experien­ teaching load of 4 hours, I enjoyed a

ÖAW 67 JULIA BUDKA

Finally, now as professor with a a field previously unknown to me fortunate in the current funding teaching load of 9 hours, I am con­ – still has special meaning for me. I ­policy ­within the humanities. Quite fronted with a very small number am very grateful for this coincidence a number of START and ERC grants of Egyptological BA & MA students in life; it was completely unexpected were awarded in the last few years to but lots of “minors” attending the and unplanned, but very rewarding. ­archaeological projects. Egyptological classes out of interest Maybe this can somehow illustrate However, I do see a danger for funda­ or for other reasons. Structured PhD how much potential there is in things mental research on a very ­broad ­level: programmes and graduate schools as we are just curious about, even if humanities with less “fashionable”­ part of the German Exzellenzinitiative they do not fit into our general agen­ topics have little chance of ­acquiring are the current means for writing a da and outlined plans. ­funding. Disciplines with less focus PhD thesis in our field at Munich. As an Egyptian archaeologist, I, of on technical trends/applications of The one example that best illustra­ course, routinely do archaeological new ­methods are equally disadvan­ tes the freedom I enjoyed during fieldwork in both Egypt and Sudan. taged. Several examples, also from my PhD and my time in Berlin is a I was lucky to be funded by both my field, illustrate that excellent pro­ Viennese monument. By sheer coin­ the ERC and the FWF; that my pro­ posals get rejected because they are cidence, I was asked to have a look ject AcrossBorders2 has some quite not “relevant”­ enough. In general, at the hieroglyphic inscription of the “­fashionable” research questions was long-term planning is almost impos­ well-known obelisk in the garden of definitely not a disadvantage. With sible ­nowadays as the majority of Schönbrunn Palace. I turned this into a strong interdisciplinary ­approach, research is third-party-funded – but a research project, received a small we are investigating within my long-term planning and job commit­ grant from the city of Vienna and project the settlement patterns and ments are essential for fundamental produced a monograph1 – a mono­ daily life in ancient Egypt. Here, we research. graph I never intended to write but are focusing on identities and the Altogether, some disciplines are which actually became my most fre­ appropriation of Egyptian culture in ­already confronted with a difficult quently read and cited work of all! towns set up in modern Sudan. Last situation for the next generation The research on the Schönbrunn but not least, we are working on a of young researchers. Therefore, I obelisk – research beyond the com­ site ­endangered because of planned would like to focus on some aspects mon borders of Egyptology and into dams in Sudan. Because of the in­ of current PhD programmes, high­ ter- and multidisciplinary approa­ lighting the bright and dark sides 1 Julia Budka, Der Schönbrunner Obelisk: Sym­ ches of modern archaeology, I believe as I call them. Currently, there are bolik und inhaltliches Programm des Hierogly­ that my discipline is generally ­quite an increased number of funded PhD phendekors, Beiträge zur Ägyptologie 21, Ver­ ­positions in fields like Egyptology öffentlichungen der Institute für Afrikanistik und Ägyptologie der Universität Wien 103, 2 For more information see and archaeology in Europe – ­within Vienna 2005. http://acrossborders.oeaw.ac.at/. the framework of ERC grants, in

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German Exzellenzclustern and here to stay in the field. If you do not­enjoy current system, keeping the fulfil­ especially in graduate schools. Most your time as a student – not even ment of partly unnecessary restric­ universities offer structured PhD ­during the PhD – why stick to a dis­ tions and regulations to a minimum. programmes with a very clear and cipline or to academic life in ­general? Last, but not least, I think we should strict time schedule. On average, the Current drop-out rates seem to indi­ fight for specific regulations for students are now faster in getting cate that this is indeed the case. indivi­dual disciplines in order to their PhD than in the old times. All of Of course, I do not want to end with prevent major problems in the ­future this sounds very good and positive. negative perspectives. Therefore, – we need young researches to have But is it really? Well, I do see a dark here are some thoughts on how to at least partly similar possibilities side here: very often, within the brighten things up. First of all, I be­ and free choices to those we used projects/framework that I have just lieve we have to talk about it – ­within to have just a few years ago. To give mentioned, there is no free choice of the scientific community, with the one ­example, it is becoming more a PhD topic. The topic must “fit in” public and also with the funding and more difficult to bring students – the candidates very often write on agencies. There are certainly prob­ to excavations in Egypt and Sudan subjects in research areas they were lems and challenges and we have ­during their BA and MA studies not as interested in so much as the to name them. Meetings like this because of strict timelines and regu­ funded PhD position. ­current ­ALLEA assembly are good lations at universities. It is difficult, And since there are not enough occasions to do so. but since it is essential for the field ­positions available for young post­ I think interdisciplinary approaches and the individual future of these docs, what good is an increased and exchange about these problems young scholars, one has to find solu­ ­number of young researchers with across common borders of fields tions. a PhD? What becomes of all these might help as well. I see the need And therefore I would like to end by young people finishing a PhD in the to encourage and support young re­ completing the opening quote “Free­ minimum of time? searchers despite the fact that they dom is just another word for…” as Finally, I do think that all of this con­ have to study within a BA+MA+PhD follows: “Freedom is just another tributes to the quite high Brain Drain system. This system works perfectly­ word for nothing else I’d rather do.” that Austria, Germany and other fine for quite a number of ­ discip Science needs freedom, curiosity, and countries are currently facing. lines, but certainly not for others. I the unexpected moment. Scientists You may call me old-fashioned but I personally will try to be as flexible have to fight for this, despite limited strongly believe that in the humani­ as possible within this BA+MA+PhD funds, the Bologna agenda and the ties and science in general, motiva­ system (as a teacher, a supervisor, a omnipresent discussion of academic tion and enthusiasm are essential for mentor, and a scientist). We should excellence and main stream research high quality work, innovation and, try to enforce the positive elements topics. last but not least, for the commit­ment and advantages for students of the

ÖAW 69 JULIA BUDKA

JULIA BUDKA

Current Position

– Professor for Egyptian Archaeology and Art History, Ludwig-Maximilians-Univer­ sity Munich

Expertise

– Archaeology of the 2nd and 1st millennium BC, in particular ceramics and settlement archaeology, funerary culture and mortuary architecture

Qualifications

2007 Dr. phil. in Egyptology, University of Vienna, Austria 1995–2000 Study of Egyptology (Major) and Classical Archaeology (Minor), Univer­ sity of Vienna

Career

Since 2015 Professor for Egyptian Archaeology and Art History, Ludwig-Maximilians- University (LMU) Munich Since 2015 Member of the Young Center (CASY) at LMU Munich Since 2014 Member of the Young Academy of ÖAW 2014–2016 Member of the Academy Council of the Austrian Academy of Sciences (ÖAW) 2012 START grant of the Austrian Science Fund 2012 ERC Starting Grant 2003 ÖAW PhD fellowship (DOC-programme)

More information about the Author: http://www.aegyptologie.uni-muenchen.de/personen/professoren/budka/index.html

ÖAW 70 ROBERTA D’ALESSANDRO

ACADEMIC FREEDOM: CHALLENGES, THREATS, EMERGING ISSUES

ROBERTA D’ALESSANDRO

There is no single definition of aca­ or representative academic bodies. Thus, academic freedom is about demic freedom, just as there is no All higher-education teaching per­ carrying out research and dissemi­ single definition of freedom. In a 1997 sonnel should have the right to fulfil nating research freely; expressing document regarding higher educa­ their functions without discrimina­ one’s opinion freely; it is being free tion teaching personnel1, ­UNESCO tion of any kind and without fear of to move around without restrictions, defines academic freedom as ­ fol repression by the state or any other and so on. In what follows, I will try lows: “academic freedom, that is to source.” Furthermore, according to to demonstrate that there is no place say, the right, without constriction the Principle of the Universality of on Earth where academic freedom is by prescribed­ doctrine, to freedom Science as formulated by the ICSU completely granted. Not in institu­ of teaching and discussion, freedom Committee for Freedom and Res­ tions where academics have to work in carrying out research and disse­ ponsibility in 2014, freedom includes under political regimes that force minating and publishing the results freedom of movement: “Academic them to comply with religious/secu­ thereof, freedom to express freely freedom also requires mobility, free­ lar norms. Not in institutions where their opinion about the institution or dom to interact with colleagues and academics are free to work on what­ system in which they work, freedom travel to any destination related to ever they want, but are unable to from institutional censorship and research and academic work”2. ­access sufficient information because­ freedom to participate in professional of political restrictions or simply because of poor infrastructures and resources. Not even in institutions in 1 http://portal.unesco.org/en/ev.php-URL_ 2 https://www.icsu.org/cms/2017/04/ ID=13144&URL_DO=DO_TOPIC&URL_ Academic_freedom_ICSU_CFRS_principle_ the so-called First World, where aca­ SECTION=201.html. document.pdf. demics are, in principle, free to work

ÖAW 71 ROBERTA D’ALESSANDRO

on whatever they want, except that that the true reason for his imprison­ ­According to Scholars at Risk, “Bin they don’t receive funding if what ment was that he refused to coope­ Ghaith is also accused of violating they want is not part of a scientific rate with the ­Iranian military. ­article 29 of the UAE’s 2012 cyber­ agenda which is defined according Kokabee’s incarceration triggered crime law, which provides for a to criteria that often have little to do protests across the globe. Nobel Prize ­maximum of 15 years in prison for with science. winners, human rights associations, publishing material online with associations for civil rights, and aca­ ‘sarcastic intent’ or to ‘damage the demics from all over the world ­wrote reputation’ of the state or its lea­ BREACH OF ACADEMIC FREEDOM several letters to the president of ders4.” In Dr Bin Ghaith’s case, too, IN AUTHORITARIAN REGIMES Iran, without success. After 3 years there have been international calls of ­detention, in which Omid was asking for his release and for a just Academic freedom is often at risk in ­granted very little contact with the trial. Since the date of his arrest, Bin authoritarian regimes: scientists who outside world, and which he spent Ghaith has been held in incommuni­ wish to perform research in areas that working on his research in jail, his cado detention and not been allowed are believed to be against the law, or health started seriously deteriora­ to see his lawyer. On the date of his on topics that are prohibited because ting. He was finally diagnosed with first trial, he declared that he had they go against the political beliefs of kidney cancer. After that, he was re­ been tortured in prison. Internatio­ the government, often risk their free­ leased on parole, with the obligation nal observers have also been denied dom. to check in every 2 weeks3. His main entrance to court during his trials. At fault was refusing to collaborate with the moment, no further information Iran. One interesting anecdotal case his own government, refusing to is available regarding Bin Ghaith. is that of Omid Kokabee, a young work for the military. ­Iranian PhD student studying phy­ North Korea. Last year, a North sics at Austin, Texas. During a ­visit UAE. Other countries have similar ­Korean scientist, Dr Lee, defected to to his family in Tehran in 2011, stories: Nasser Bin Ghaith, an econo­ Finland. He declared that he could Omid was accused of “gathering mist from the United Arab Emirates, no longer bear being forced to carry and ­colluding against national secu­ was arrested in August 2015 accu­ out chemical experiments on human rity” and incarcerated. After being sed of “publicly insulting the UAE”. subjects. We have a very limited ­acquitted of this accusation, he was ­picture of atrocities in North Korea; charged again with “communica­ 3 More details on Omid Kokabee’s story can be ting with a ­hostile government” and found here: https://www.aps.org/programs/ 4 “illegitimate/­illegal earnings”, and international/rights/omidkokabee.cfm; https://www.scholarsatrisk.org/2016/10/ https://www.iranhumanrights.org/2016/ uae-speech-charges-violate-academics-rights- sentenced to 10 years in prison. In 04/omid-kokabee-cancer/; http://freeomid. nasser-bin-ghaith-held-incommunicado-9-­ an open letter, Omid Kokabee stated org/; and on many other sites. months/.

ÖAW 72 ROBERTA D’ALESSANDRO

the ­country is so closed to the out­ BREACH OF ACADEMIC too much as a result of these closures, side world that most information FREEDOM IN COMPLEX researchers have seen their academic about research in that area is hearsay. ­POLITICAL SITUATIONS freedom very heavily impacted. Dr Lee declared that, among other things, human beings, particularly Turkey. It is no secret that the politi­- Palestine. The conflict between those affected by some serious im­ cal situation in Turkey is currently ­Palestine and Israel has created pairment and health issue, are often very complex. The president, Recep monsters; among them, the heavy used as subjects for trying out chemi­ Tayyip Erdoğan, has established a restriction­ on the import of chemicals cal and biological weapons. He could number of measures to fight terrorism into Al-Quds university. According not work in such an environment any and ensure internal stability. Turkey to some direct reports, all chemicals longer. faces many threats, and this has had that could potentially be ­employed These are only three examples, serious repercussions on research in for manufacturing weapons are ­possibly the best known among the country. Last year, some scientists ­blocked at the Palestinian border and ­human rights activists, exemplifying started a petition against the Turkish cannot reach the university. Chemists the restrictions on freedom in autho­ ban on scientists from Turkish Kurdi­ lack infrastructures and raw mate­ ritarian regimes. Detention, inability stan. This call was followed by some rial; hence the quality of their re­ to communicate with lawyers or with very restrictive measures, trials, and search has been impacted, and their the outside world, no access to a just firing of the signatories. The Turkish research freedom heavily restricted. trial, torture, and even death are un­ government maintains that this was Furthermore, visiting scholars cannot fortunately much more common than an act of justice and of safeguarding get a permit to stay for longer than we might expect. public security. Following the coup, 3 months, and the faculty is forbid­ This is the most extreme kind of in­ because of the state of emergency, den to go to the other part of the uni­ fringement of the basic freedom of President Erdoğan ordered the clo­ versity, which is in Jerusalem. researchers, but there are other very sure of 1,043 schools, 1,229 founda­ The European Convention of ­Human dubious activities that are being car­ tions and associations, 35 medical Rights, Chapter 10, states that free­ ried out by several governments, institutions, and 19 unions, as well as dom of expression, of religion, of which are just as alarming as the ca­ 15 universities5. While students have conscience, and of thought must be ses discussed above, and which are been relocated and have not suffered subject to those restrictions that are much less easy to pinpoint. necessary to safeguard public safety6. The question is: where do you draw 5 https://www.theguardian.com/world/ the line? 2016/jul/23/turkey-erdogan-closure-of- 1000-private-schools-gulen; http://www. universityworldnews.com/article.php? 6 http://www.echr.coe.int/Documents/ story=20160722211654519. Convention_ENG.pdf.

ÖAW 73 ROBERTA D’ALESSANDRO

BREACH OF ACADEMIC FREEDOM with government guidelines; paral­ research finances to external ­agen ON IDEOLOGICAL GROUNDS lel government-friendly associations cies, which are in charge of shaping were created in addition to the tra­ research­ plans in the countries in­ Freedom of research can also be ditional university ones (such as the volved (in agreement with govern­ ­breached on ideological grounds. Association of Rectors). Parallel uni­ ments) and allocate funds based on versities were created too, like the merit. This is also the approach adop­ Uzbekistan. In 2015, the then Uzbek one for the armed forces, which has ted by the EU, with the Horizon2020 president Islam Karimov decided about 250,000 students. Old univer­ program being based on the two to close all political science depart­ sities do not receive any subsidies8. pillars of innovation­ and excellence.­ ments, with the subject described Chemistry, physics, and biology These systems aim at ensuring a as “Western pseudo-science”7. After have been abolished from secondary transparent distribution of resources, the president’s death, no change has schools. a distribution that is made according been made to ensure the reinstatem­ to measurable and comparable para­ ent of political science researchers in meters. the country. RISKS AND OPPORTUNITIES There are, however, many risks in the system, which I would like to men­ Venezuela. It is well known that Compared to the situations men­ tion briefly. the situation in Venezuela is parti­ tioned above, the research environ­ cularly serious. With regard to rese­ ment in so-called “Western” coun­ arch, an education law was enforced tries looks like heaven. To quote EXCELLENCE in ­Venezuela in 2009, allowing the Noam Chomsky, though, “the system government to take full control of is optimal, but not perfect”9; that is, This is not the right venue to discuss universities; the government even the system is optimally designed criteria for establishing excellence. decides which subjects are offered ­given the economic situation, and the Suffice it to say that excellence isa at which university, and in which limited amount of funds. But it is not relative concept. It is relative to the university a student should enroll. In perfect. research plan (or research agenda) February 2016 it was established that In recent years, many governments of the country, it is relative to the university programs should comply have decided to assign the bulk of ­fashion of the time, and it is relative within the field of study.

8 http://lat.wsj.com/articles/SB110861016724 7 https://www.theguardian.com/world/ 15843360004581516863881609144?tesla=y (in The Netherlands. As an example, 2015/sep/05/uzbekistan-islam-karimov- Spanish). take the Netherlands, which features bans-political-science; the original law (in Russian) can be found here: http://www. 9 Chomsky, Noam. 1995. The Minimalist Pro­ one of the best research funding agen­ ozodlik.org/a/27220389.html. gram. Cambridge, Ma: MIT Press. cies in the world, the NWO (Nether­

ÖAW 74 ROBERTA D’ALESSANDRO

lands Organisation for Scientific Re­ to improve their impact. This means question researchers should answer? search). As in many other European that their freedom is also somewhat Who should identify the issues that countries, the EU2020 target of 3% limited: it is limited by the existence are worth investigating? Researchers, GDP for research has not been met10 or otherwise of industries that want or laymen? in the Netherlands. Governments to invest in their research; it is limited are forced to come up with strate­ by potential profits. Japan. Societal impact has also in­ gies for allocating funds; some years Research is thus steered by the formed the reformation of the higher ago, the government of the Nether­ govern­ment, according to ­criteria education system in Japan. Last year, lands identified nine “top sectors” in that are not always the same as the Japanese government ­announced which to invest11; a National Research ­those adopted by researchers when that all Humanities faculties needed Agenda (NRA) was established in identifying research questions. Of to restructure themselves and their 2016, identifying research areas and course, there is no infringement of research objectives so that they would topics in which to invest12. The NRA personal freedom in the Netherlands conform to the needs of society. ­After is built around 140 key questions, to and everybody­ is free to work on the many protests, the Humanities have which scientists are invited to pro­ ­topic they wish. But the question I been reinstated as disciplines in vide ­answers. wish to raise is: how do we ensure many universities13. The pressure to Researchers outside these key sec­ that the research questions identified conform to governmental guidelines tors, or not working on the topics by the government are the same as regarding societal relevance is still identified by the NRA, are left with those identified by researchers? very high. very little research funding. This ­means that even if they are excel­ lent in their own field, they risk not SOCIETAL IMPACT INNOVATION ­having enough funding for research. Researchers working on the topics To complicate things, the NRA’s 140 The other potentially dangerous con­ identified by the NRA are also en­ questions, rearranged and merged, cept informing all Western research couraged to work in cooperation were asked by all sectors of society: agencies is “innovation”. Research with industry or in clusters, in order citizens, schools, researchers. Every­ must be innovative, it must create one was invited to pose a question, progress. It shouldn’t be something which researchers were then invited that one has already worked on. 10 http://www.vsnu.nl/en_GB/ to answer through their research. If the search for innovation is one of f_c_onderzoeks­ ­financiering.html. ­Societal impact is very important in the main criteria for obtaining funds, 11 https://www.topsectoren.nl/. all funding frameworks. It is perhaps this means that no researcher is free

12 http://www.wetenschapsagenda.nl/ worth reiterating the question ­asked natio­nal-science-agenda/?lang=en. above: who should decide what 13 http://www.mext.go.jp/en/index.htm.

ÖAW 75 ROBERTA D’ALESSANDRO

to continue his or her research topic ROBERTA D’ALESSANDRO after the end of a project. A prob­ lem that one has already explored Current Position once becomes an old problem; it is – Professor of Syntax and Language Variation, Utrecht University not ­innovative research. Expertise on a particular topic risks getting ­scattered, fragmented, interrupted. Expertise Once again, there is a discrepancy – Linguistics between the concept of research that – Language variation and language contact researchers work with, and the one – Freedom in the scientific conduct adopted by governments. So, what is the path to true academic Qualifications freedom? Well, first: recognize the symptoms; acknowledge that there 2004 PhD in Linguistics, University of Stuttgart are several ways in which freedom 2000 Laurea (MA) in Foreign Languages and Literatures, University of L’Aquila is impaired, and work to overcome 2009 Diploma in Management and Administration, De Galan en Voigt, Leiden them. Then, appeal to international University peer-pressure; when working under a regime, ask for help and support Career from the world research community. Since 2017 Professor of Syntax and Language Variation, Utrecht University As a researcher, try to be heard. ­Never Since 2015 International Council for Science (ICSU): member of the Committee on stop explaining, and never give up Freedom and Responsibility in the Conduct of Science the fight. The road to freedom is very Since 2014 Member of the Global Young Academy long: we all have a responsibility to 2007–2016 Professor and Chair of Italian language and culture, Leiden University follow it, until the very end. 2014–2016 National coordinator of the MasterLanguage Italian 2011–2016 Member of the Young Academy (De Jonge Akademie) of the Royal Nether­ lands Academy of Arts and Sciences (KNAW) 2012–2015 Chair of the Leiden University Centre for Linguistics (LUCL) Institute Council 2007 Research Associate, Université du Québec à Montréal, LAD Interface Asymmetries Research Lab (April–July 2007)

More information about the Author: https://www.robertadalessandro.it/

ÖAW 76 IMPRINT Published by: Austrian Academy of Sciences Dr. Ignaz Seipel-Platz 2, 1010 Vienna www.oeaw.ac.at

COVER A section of the ceiling fresco of the festive hall of the Austrian Academy of Sciences, venue of the ALLEA General Assembly 2016, represents the former faculty of philosophy. It depicts the Roman Pyramid of Cestius and the columns of the Temple of Vespasian at the Roman Forum, as well as measuring instruments used for the exploration of the earth and the study of the stars. Photo: ÖAW, Klaus Pichler

EDITORIAL OFFICE DI Dr. Viktor Bruckman Ingrid Weichselbaum

All Rights Reserved Copyright © 2017 The sole responsibility for the content and the copyright of the contributions lies with the respective Authors.

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