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Sino-German Centre for Science Promotion in Beijing The Impact of National Goals on Basic Research Results of a Symposium The Impact of Natinoal Goals on Basic Research: Results of a Symposium. Edited by Sino-German Centre for Science Promotion in Beijing Copyright © 2000 WILEY-VCH Verlag GmbH; ISBN: 978-3-527-27147-4 Sino-German Centre for Science Promotion in Beijing The Impact of National Goals on Basic Research Results of a Symposium Chinesisch-Deutsches Zentrum für Wissenschaftsförderung c/o Deutsche Forschungsgemeinschaft Kennedyallee 40, D-53175 Bonn, Federal Republic of Germany Postal address: D-53170 Bonn Phone: (0228) 885-1 Telefax: (0228) 885-2777 E-Mail: (X.400): S = postmaster; P = dfg; A = d400; C = de E-Mail: (Internet RFC 822): postmaster @dfg.de Internet: http://www.dfg.de This book was carefully produced. Nevertheless, authors, editors and publisher do not warrant the information contained therein to be free of errors.Readers are advised to keep in mind that statements, data, illustrations, procedural details or other items may inadvertently be inaccurate. Library of Congress Card No. applied for. A catalogue record for this book is available from the British Library. Die Deutsche Bibliothek – CIP Cataloguing-in-Publication Data A catalogue record for this publication is available from Die Deutsche Bibliothek ©WILEY-VCH Verlag GmbH, D-69469 Weinheim (Federal Republic of Germany), 2000 Printed on acid-free and chlorine-free paper. All rights reserved (including those of translation into other languages). No part of this book may be reproduced in any form – by photoprinting, microfilm, or any other means – nor transmitted or translated into machine language without written permission from the publishers. Registered names, trademarks, etc. used in this book, even when not specifically marked as such, are not to be considered unprotected by law. Cover Design and Typography: Dieter Hüsken Composition: Hagedorn Kommunikation, D-68519 Viernheim, Germany Printing: betz-druck gmbh, D-64291 Darmstadt Bookbinding: Wilhelm Osswald & Co, D-67433 Neustadt Printed in the Federal Republic of Germany IV Contents Welcoming Speech on the Opening of the Symposium "Impact of National Goals on Basic Research". . . . . . . . . . . . . . . . . . . . . . . . XI Ernst-Ludwig Winnacker Greetings on Behalf of the Senate of Berlin . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Ingolf Hertel Opening Address to the Deutsch–Chinesisches Symposium of the Deutsche Forschungsgemeinschaft on the Impact of National Goals on Basic Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Zhang Cunhao 1 National Objectives and Motivation of Scientists . . . . . . . . . . . . . . . . 6 Wei Yu, Weng Shilie 1.1 Research Activities in Chinese Universities. . . . . . . . . . . . . . . . . . . . . . 6 1.2 Basic Research in Chinese Universities . . . . . . . . . . . . . . . . . . . . . . . . . 10 1.3 National Objectives and Motivation of Scientists . . . . . . . . . . . . . . . . . 10 2 The German Industrial and Scientific Location: The Importance of Basic Research and Challenges Arising. . . . . . . . 12 Lothar Späth 2.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 2.2 The German Industrial and Scientific Location. . . . . . . . . . . . . . . . . . . 12 2.2.1 Today’s Economic Relevance of Basic Research . . . . . . . . . . . . . . . . . . 13 2.2.2 Technological Transfer within the Framework of Public Research . . . 14 2.2.3 Increasing National and International Research Co-operation . . . . . . 15 2.3 Increasing Scientific Co-operation between the People’s Republic of China and Germany as an Important Step into a Successful Future. . 15 3 Applied Research in the Context of National Goals . . . . . . . . . . . . . . 17 Hans-Jürgen Warnecke V Contents 4 Priority Setting: A Way to Link National Goals and Basic Research Funded by NSFC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Zhou Bingkun 4.1 Background. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 4.2 Objectives and Principles for Priority Setting . . . . . . . . . . . . . . . . . . . . 20 4.3 Working Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 4.4 An Overview of Priority Areas of the NSFC. . . . . . . . . . . . . . . . . . . . . . 22 4.5 Impact of Priority Setting on NSFC Supported Basic Research. . . . . . 23 4.6 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 5 National Goals and Scientific Self-Governance: Its Impact and Conflicts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 Ernst-Ludwig Winnacker 6 China’s Basic Research at the Turn of the Century and its National Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 Zhang Cunhao 7 Science Planning and Research Perspectives in Germany: Views from the German Science Council and from the Max Planck Institute for Human Development . . . . . . . . . . . . . . . . . . 36 Karl Ulrich Mayer 7.1 The Question: Agenda Setting in the German Research System – Overprotected Autonomy or Effective Decentralization?. . . 36 7.2 Evidence I: The Role of the German Science Council in National Research Agenda Setting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 7.3 Evidence II: Research Planning within the Humanities, Law and Social Sciences Faculty of the Max Planck Society. . . . . . . . 41 7.4 Evidence III: Research Planning within a Single Max Planck Institute 42 7.5 The Answer: Research Autonomy and National Goals Reconsidered. 44 References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 8 Excellence in Basic Research: National Goals and International Cooperation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 Hubert Markl 8.1 Basic versusApplied Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 8.2 National Goals. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 8.3 The Max Planck Society. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 8.4 Promoting and Safeguarding Excellence. . . . . . . . . . . . . . . . . . . . . . . . 52 8.5 Promoting Young Scientists. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 8.6 International Cooperation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 8.7 Conclusion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 VI Contents 9 The Role of Universities in Basic Research in Germany. . . . . . . . . . . 56 Peter Frankenberg 9.1 Objectives of Modern Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 9.1.1 Teaching and Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 9.1.2 Research and Development. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 9.1.3 Education and Training of Young Researchers . . . . . . . . . . . . . . . . . . . 57 9.1.4 Continuing Academic Education. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57 9.1.5 Services to Society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 9.2 Research Funding in Germany and in German Universities . . . . . . . . 58 9.3 The Future of Universities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59 9.3.1 Individual Profiles and Cooperation in Networks . . . . . . . . . . . . . . . . . 59 9.3.2 Interdisciplinarity and Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 9.3.3 Internationality and Regional Responsibility. . . . . . . . . . . . . . . . . . . . . 60 9.4 Research Organization in Universities and DFG-Funding. . . . . . . . . . 61 9.5 Consequences for Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 10 Mathematical Science and National Goals . . . . . . . . . . . . . . . . . . . . . 64 Jin Duo 10.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64 10.2 The Targets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 10.3 New Organization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66 10.4 Two Examples. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 10.5 Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68 Reference. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68 11 Cultural and Social Acceptance of Scientific Progress . . . . . . . . . . . . 69 Heidi Diggelmann 11.1 Abstract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 11.2 The Changing Relationship Between Science and Society . . . . . . . . . 70 12 Funding of Oriented and Non-oriented Research . . . . . . . . . . . . . . . . 74 Hans R. Friedrich 12.1 General Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74 12.2 Main Sources and Characteristics of Research Funding. . . . . . . . . . . . 76 12.2.1The Business Enterprise Sector. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79 12.2.2R&D Expenditure of the Länder and the Federal Government . . . . . . 79 12.2.3Federal R&D Expenditure: Funding Areas, Priorities and Profiles. . . . 81 12.3 Some Conclusions and Recent Trends in the Federal Funding Policy of R&D. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 VII Contents 13 National Key Development Program for Fundamental Research. . . . 86 Shao Liqin 13.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 13.2 The Major Purpose of the Program. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87 13.3 The Key Projects. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 13.4 Improved Research Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 13.5 Outstanding Research Groups. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 13.6 Systematic Collection and Accumulation of Scientific Data and Information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 13.7 International Cooperation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 14 The Necessities of Putting National Goals into Basic Research . . . . 92 Wu Shuyao 14.1 Why did Emphasizing National Goals in Basic Research Emerge after the Cold War?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 14.2 To Balance Bottom-up and Top-down Approaches. . . . . . . . . . . . . . . . 93 14.3 From Science Policy to Innovation Policy. . . . . . . . . . . . . . . . . . . . . . . . 94 14.4 Strategic Inflection Points for Science Management. . . . . . . . . . . . . . . 95 Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95 15 The Influence of University Research Work on High-tech Industry . 96 Wang Xuan 16 From Basic Research to Applied Research and Back Again . . . . . . . 100 Jürgen Mittelstraß 17 Impact of National Goals in Agriculture on Research into Life Sciences in China. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103 Xu Zhihong 17.1 Achievements and Problems in Agriculture in China. . . . . . . . . . . . . . 104 17.2 Contributions of Life Scientists to Sustainable Development of Agriculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104 17.3 National Goals and their Impact on Life Science Research . . . . . . . . . 106 References and Bibliography. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107 VIII Contents 18 National Goals–Program-oriented Interdisciplinary Research. . . . . . 108 Detlev Ganten 18.1 The Mission of the Helmholtz Centers: Long-term National Goals . . 110 18.2 Quality Assurance–Performance Review by External Evaluation . . . . 110 18.3 The Strength of the Helmholtz Association: Interdisciplinary Research Programs. . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 18.4 The Helmholtz Program on Genome Research . . . . . . . . . . . . . . . . . . . 111 18.5 The Strategy Fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 18.6 Future Potential: Technology Transfer–Cooperation with Industrial Partners. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 18.7 Internationality–World-wide Networks. . . . . . . . . . . . . . . . . . . . . . . . . . 113 18.8 Conclusion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 19 Carbon Nanotube Arrays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 Sishen Xie, W. Z. Li, Z. W. Pan, B. H. Chang, L. F. Sun 19.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 19.2 Experimental Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 19.2.1Aligned Carbon Nanotubes Grown on the Bulk Silica Substrates. . . . 115 19.2.2Very Long Aligned Carbon Nanotubes Production on the Film-like Silica Substrates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 19.2.3Characterization of the Aligned Nanotubes . . . . . . . . . . . . . . . . . . . . . 116 19.3 Results and Discussion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 19.3.1SEM and TEM Investigations on Aligned Carbon Nanotubes Formed on the Bulk Silica Substrates . . . . . . . . . . . . . . . . . . . . . . . . . . 116 19.3.2SEM and TEM Investigations on Very Long Aligned Carbon Nanotubes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118 19.3.3Raman Scattering on Aligned Carbon Nanotubes. . . . . . . . . . . . . . . . . 120 19.4 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121 20 The Leibniz Institutes: Goals of Application-oriented Basic Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122 Frank Pobell 21 Some Aspects of the Discussions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 Reinhard Grunwald 21.1 Contents and Topics. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 21.2 Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129 21.3 Means, Instruments for Research Promotion and Framework Conditions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130 Agenda: Impact of National Goals on Basic Research. . . . . . . . . . . . . . . . . . 131 Addresses of the Authors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 IX Welcoming Speech on the Opening of the Symposium "Impact of National Goals on Basic Research" Prof.-Dr. Ernst-Ludwig Winnacker President of the Deutsche Forschungsgemeinschaft, Bonn "When friends come from afar – is that not a great joy?" (You peng zi yuan fang lai, bu yi le hu?) – with this quote from the first chapter of the Analects of Confucius, I would like to welcome you all to Germany for the symposium "Impact of National Goals on Basic Research". Last year – dear Chinese guests – you welcomed us twice to important events in Beijing: on May 26 to lay the foundation-stone for our joint Centre for Research Promotion in the Shuangqing Road, and on October 5 to celebrate "20 years of Sino- German scientific-technological co-operation" in the Great Hall of the People. Today, I would like to welcome you, Professor Zhang Cunhao, and your important delegation to our capital, Berlin. Furthermore, I would like to welcome Professor Weng Shilie, Chairman of the Commission for Science and Technology of the Ministry of Education, Professor Xu Zhihong, vice-president of the Chinese Academy of Science, as well as the vice- presidents of the National Natural Science Foundation of China (NSFC), Professor Zhou Bingkun and Professor Liang Sen, both of whom we know well from many negotiations and who have both played a decisive role in the conception and the construction of the Sino-German Centre for Research Promotion. Unfortunately, I cannot greet all the members of the large delegation individually, and so I therefore welcome all the remaining Chinese guests. Dear colleagues from Germany, if I am to leave enough time for Professor Zhang Cunhao to deliver his address, I cannot welcome you all by name, even though the temptation is very great. However, I will make an exception in the case of Professor Ingolf Volker Hertel who was invited to this symposium last year as President of the Leibniz-Gemeinschaft. In the meantime he has become the State Secretary for Science in the Berlin Senate and in this function he will address a few words to us, for which I thank him in advance. I would also like to welcome Professor Heidi Diggelmann, President of the Schweizer Nationalfonds, who has travelled here from her country in the heart of Europe and who will entertain us this evening with an after-dinner speech. Our symposium takes place in the middle of joint discussions on the prepara- tion of the work to be covered by the Sino-German Centre which we are now build- ing together. Just what will this work involve? XI Welcoming Speech on the Opening of the Symposium The NSFC in China and the DFG in Germany have very similar functions: both are responsible for the support of research and for the promotion of international co- operation in all or in most of the research institutions in our respective countries. When both organisations agreed to a mutual co-operation in 1988, it was a far-sight- ed step towards the establishment of a joint future. In the same spirit, the Centre should help to serve as a bridge to link those scientists from both countries who wish to collaborate. It should provide up-to-date information, help to bring future part- ners together, and do everything to promote the understanding and joint work on the research projects. We hope that in China researchers from all types of scientific institutions—universities, academic institutes and so on—will be available, and in Germany researchers from the universities, the Max-Planck-Gesellschaft, the Leibniz- and the Helmholtz-Gemeinschaft, and wherever else they may work. In particular, we hope that young scientists will take advantage of this offer and that, in time, it will become a matter of course to participate in joint projects. I am delighted that the "small working delegation" headed by Professor Liang Sen has met in Bonn in the run-up to this symposium and has already achieved some important results. The building progress in China is far in advance of that of the DFG's new building: we will not be able to celebrate our topping-out ceremony until the middle of the year. On March 24 we wish to take a further important step: together we will appoint a joint committee for the Centre from the NSFC and the DFG. Its function will be to accompany the work of the Centre and see that it maintains the right direction. Of course, our symposium, which will take place today and tomorrow, shows that we are already working closely together, even before the building has been completed. At the last symposium, "Peer Review and Evaluation" in March 1997, we discussed the Chinese and German expert review systems. In this way, we can improve our knowledge and understanding of each others' scientific systems so that our scientists can use this information to formulate promising joint research projects and to set them into motion. Already in April of this year, a "Rainbow Conference" will be held in Beijing which will offer the young scientists who par- ticipate the opportunity to get to know one another better so that they will, perhaps, become involved in joint research projects. In the spring of 2000 we wish to hold the official opening ceremonies for our Centre in Beijing. We are thinking not only of holding one or two expert symposia, but also of an exhibition to symbolise and illustrate the work of the Centre. A pos- sible theme could be "Scientific exchange between Germany and China, past and present". The foyer of our joint Centre would then be filled with activity right from the start. We will, however, confer on these topics the day after tomorrow in a further workshop. Finally, I would like to wish us all interesting and fruitful discussions over the next two days on the relationships between basic research and national goals. XII

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