REPORT FROM NATIONAL CASE STUDY China Deliverable 10.1 Work Package 10 Project title: Responsible Research and Innovation in Practice (RRI-Practice) Grant agreement number: 709637 Funding programme: Horizon 2020 Project coordinator: Hogskolen I Oslo Og Akershus (HIOA), Norway Project website: www.rri-practice.eu Organisation responsible for Chinese Academy of Science and Technology for Development (CASTED) the deliverable: Author(s): Zhao Yandong, Zhang Wenxia, Liao Miao, Huang Lei, Teng Fei, Song Runjie, Wu Yue, Yao Yu Date of delivery: 27.07.2018 Dissemination level: Public Abstract This report presents the findings from the Chinese case study, including the reviews and outlooks for CASTED (research conducting organisation) and NSFC (research funding organisation). 1 Contents 1. Executive summary ......................................................................................................................... 4 2. Introduction: about the report .......................................................................................................... 5 3. Methodology ................................................................................................................................... 6 3.1 Analytic approach .................................................................................................................... 6 3.2 National mapping .................................................................................................................... 6 3.2.1 Document analysis........................................................................................................... 6 3.2.2 Interviews ........................................................................................................................ 7 3.2.3 National workshop........................................................................................................... 7 3.3 The organisational studies ....................................................................................................... 8 3.3.1 Document studies ............................................................................................................ 8 3.3.2 Interviews for reviews ............................................................................................................ 8 3.3.3 Focus group and outlook ........................................................................................................ 9 4. The context for RRI: the national science policy system .............................................................. 10 4.1 General country information ................................................................................................. 10 4.2 Legal and other binding normative frameworks .................................................................... 10 4.3 Political and cultural values and discussions related to STI .................................................. 12 5. Aspects of responsibility in national science policy ...................................................................... 14 5.1 The conceptualisations of responsibility in national science policy ...................................... 14 5.2 The notion of “RRI” in national science policy discussions ................................................. 15 5.3 Ethics in the national science system .................................................................................... 15 5.4 Societal engagement strategies in research ........................................................................... 17 5.5 Gender equality and diversity strategies in the science system ............................................. 21 5.6 Open access and open science strategies in the national science system .............................. 23 5.7 Science education integrated into research ............................................................................ 26 6. Organisational reviews and outlooks: research conducting organisation ...................................... 27 6.1 Mapping of the organisation ........................................................................................................ 27 6.2 Aspects of responsibility in organisational policy and practice .................................................. 29 6.2.1 The conceptualisations of responsibility in the organisation ................................................ 29 6.2.2 Ethics in the organisation ..................................................................................................... 30 6.2.3 Societal engagement strategies in organisation .................................................................... 34 6.2.4 Gender equality and diversity strategies in the organisation ................................................ 38 6.2.5 Open access and open science strategies in the organisation ............................................... 40 6.2.6 Science education integrated into research ........................................................................... 42 6.2.7 Incorporation of AIRR dimensions into policies .................................................................. 47 6.3. Reflection on review findings, outlooks developed and ways forward ...................................... 50 6.3.1 The integrated or fragmented nature of different responsibility related dimensions ............ 50 6.3.2 Common barriers or drivers.................................................................................................. 51 6.3.3 Final reflections and plan for follow-up ............................................................................... 51 7. Organisational reviews and outlooks: research funder .................................................................. 53 7.1 Mapping of the organisation ........................................................................................................ 53 7.2 Aspects of responsibility in organisational policy and practice .................................................. 54 7.2.1 The conceptualisations of responsibility in the organisation ................................................ 54 2 7.2.2 Ethics in the organisation ..................................................................................................... 55 7.2.3 Societal engagement strategies in organisation .................................................................... 60 7.2.4 Gender equality and diversity strategies in the organisation ................................................ 64 7.2.5 Open access and open science strategies in the organisation ............................................... 69 7.2.6 Science education integrated into research ........................................................................... 74 7.2.7 Incorporation of AIRR dimensions into policies .................................................................. 76 7.3. Reflection on review findings, outlooks developed and ways forward ...................................... 80 7.3.1 The integrated or fragmented nature of different responsibility related dimensions ............ 80 7.3.2 Common barriers or drivers.................................................................................................. 80 7.3.3 Final reflections and plan for follow-up ............................................................................... 81 8. Summary of findings on each responsibility dimension ............................................................... 82 8.1 The concept of responsibility ................................................................................................ 82 8.2 The notion of “RRI” .............................................................................................................. 82 8.3 Ethics ..................................................................................................................................... 82 8.4 Societal engagement .............................................................................................................. 83 8.5 Gender equality and diversity strategies ................................................................................ 83 8.6 Open access and open science strategies ............................................................................... 83 8.7 The inclusion of science education into research .................................................................. 84 9. Discussion of findings ................................................................................................................... 85 10. Conclusions ................................................................................................................................... 87 10.1 Policy recommendations to national policymakers ............................................................... 87 10.2 Policy recommendations to European policymakers ............................................................. 87 10.3 Recommendations to research conducting and funding organisations .................................. 87 10.4 Best practices scalable to European or national level ............................................................ 88 11. Annex 1: reviewed documents ...................................................................................................... 89 12. Annex 2: definitions ...................................................................................................................... 91 REFERENCES .....................................................................................................................................