Wilhelm Krull The Innovative Potential of Basic Research

Wilhelm Krull The Innovative Potential of Basic Research Presentation for the Coimbra Group High-Level Seminar on Research Policy: “New Opportunities for University Cooperation” Venice, 27 October 2016 1

I. European Research in a Globalised World < Since the 1990 ies, Europe has been loosing ground in the field of basic breakthroughs. < Still, Nobel prizes and similarly prestigious awards are won mainly by scientists working in the US. < Before the establishment of the ERC in 2007, Europe suffered from an almost total lack of transnational support for basic and strategic research. < Research is still not supported sufficiently in Europe, particularly with respect to risky, open-ended basic research. < How can we enable more breakthroughs, and thus reinforce the innovation capacity of the EU? < What is the specific role of the social sciences and the humanities in EU RRI strategies? 2

The European Innovation Union < One of the seven flagship initiatives of the Europe 2020 strategy for a smart, sustainable, and inclusive economy. < Contains over thirty action points, with the aim to: - turn Europe into a world-class science performer; - remove obstacles to innovation; - revolutionize the way public and private sectors work together. < Horizon 2020: the financial instrument implementing the Innovation Union. Running from 2014 to 2020 with an € 80 billion budget. 3

The Innovation Union – Key Initiatives < Promoting excellence in education and skills development < Delivering the European Research Area < Focusing EU funding instruments on Innovation Union priorities < Promoting the European Institute of Innovation and Technology (EIT) < Enhancing access to finance for innovative companies < Creating a single innovation market < Promoting openness and capitalizing on Europe’s creative potential < Spreading the benefits of innovation across the Union < Increasing social benefits Social Sciences? < European Innovation Partnerships < Reforming research and innovation systems < Measuring Progress Humanities? Basic Research? 4

European Institute of Innovation and Technology (EIT) The EIT is a body of the European Union established in March 2008. Budget: € 2. 4 billion for the 2014 - 2020 period (EU budget). Headquarters: Budapest, Hungary (+ 17 co-location centres throughout Europe). The EIT aims to facilitate the following transitions: - from idea to product - from lab to market - from student to entrepreneur. Programme: Knowledge and Innovation Communities (KIC). …. and the European Innovation Council? – 5

In the following I shall argue that … • If the EU aims at achieving an open society with the most dynamic, innovative, and adaptive capacities … basic research, including the social sciences and the humanities, needs to be systemically integrated in research and innovation strategies. • Preventive thinking, proactive consultation, and transparent processes of decision-making in research and innovation funding are prerequisites for achieving more breakthroughs. 6

II. Acting in a Multipolar, Increasingly Interdependent World “Despite the fractures and conflicts of our age, societies are becoming more interconnected and interdependent. As a result, developments at the local level – whether economic, political or social – can acquire almost instantaneous global consequences, and vice versa. If we link to this the advances in science across many fields, often now instantly diffused through global communication networks, it is clear that the global arena has become both an extraordinary potential space for human development, as well as for disruption and destruction by individuals, groups or states. ” (David Held: Global Challenges and Effectiveness, p. 217) 7

Innovation From Basic Research to New Products and Services “The word innovation is one of the most overused, underdefined terms in organisational life. No one seems to be sure just what the word means. ” (Paul C. Light: Sustaining Innovation. Creating Nonprofit and Government Organisations that Innovate Naturally. San Francisco 1998, p. XIV. ) 8

A linear process … “Insight must precede application. ” … turns to co-evolution of research and innovation. Photo: Wikimedia commons Max Planck (1859 -1947) 9

Is there Anything Radically New, even Disruptive in the Pipeline? The Economist, 12 -18 January 2013 10

Basic Innovations (in Academia and Business) Need … < creativity < curiosity-driven research < freedom and time to mature < long-term perspectives < interactive communication < courage to venture risks < flexible methods < sensitivity for the unpredictable < serendipity Coimbra Group Position Paper: “There is no pre-ordained linear sequence from basic research to innovation and marketable products!” 11

Living up to the Challenges of Transformative Research … “Transformative research frequently does not fit comfortably within the scope of project-focused, innovative, step-by-step research or even major centres, nor does it tend to fare well whereever a review system is dominated by experts highly invested in current paradigms or during times of especially limited budgets that promote aversion of risks. ” (National Science Board: Enhancing Support of Transformative Research at the National Science Foundation, May 2007, p. 4) 12

An Extraordinary Biography of Scientific and Economic Innovation 1990: 1991: 1993: 2002: 2004: 2006: “Independent Inventor” Post. Doc at EMBL Post. Doc in Finland Max Planck Director 4 Pi Microscope (Leica Microsystems) Deutscher Zukunftspreis (President’s Prize for Technology and Innovation) 2007: 2014: STED Microscope (Leica Microsystems) Nobel Prize Photo: Bernd Schuller, Wikimedia commons Stefan Hell 13

III. A Culture of Creativity Should Make a Difference Creativity begins with … < Seeing things differently < Providing a stimulating environment < Encouraging risk-taking < Allowing for failures < Establishing high-trust relationships < It rests on the pillars of research-friendly governance structures and effective management. 14

Timing and Timescales Matter … 15

The Seven C’s to Develop a Culture of Creativity 1. 2. 3. 4. 5. 6. 7. Competence Courage Commitment Communication Co-operation Continuity Centres/Clusters/Institutes. Evaluation of the Danish National Research Foundation, Report, p. 13. 16

Taking the Courage and the Time to Venture Risks 17

Success and Failure in the Labyrinth of Research Cabinet Office: R&D Assessment. A Guide for Customers and Managers of Research and Development. London 1989, 12. 18

Fostering Individual Creativity by Providing Long-Term Perspectives Howard Hughes Medical Institute (USA) HHMI Investigators Mac. Arthur Foundation (USA) Mac. Arthur Fellows Program Wallenberg Foundation (Sweden) Wallenberg Academy Fellows European Research Council (EU) ERC Starting Grants ERC Advanced Grants Volkswagen Foundation (Germany) Lichtenberg Professorship “Freigeist” Fellowship Wellcome Trust (Great Britain) Investigator Awards 19

Tapping Potential for Transformative Research Ideas: Two Small Grants Initiatives Experiment! – In Search of Bold Research Ideas “Original – isn't it? ” New Options for the Humanities and Cultural Studies 20

IV. The Role and Function of the Humanities ≠ Geisteswissenschaften ≠ Cultural Studies 21

Why Democracy Needs the Humanities “Thirsty for national profit, nations, and their systems of education, are heedlessly discarding skills that are needed to keep democracies alive. If this trend continues, nations all over the world will soon be producing generations of useful machines rather than complete citizens who can think for themselves, criticize traditions, and understand the significance of another person‘s sufferings and achievements. The future of the world‘s democracies hangs in the balance. ” (Nussbaum, M. , “Not for Profit. Why Democracy Needs the Humanities”, Princeton University Press, 2010. p. 2) 22

The Integrative Capacity of the Humanities “How can the humanism take root if the very soil of humanistic thought is left to wither? What is tragically neglected in this era of Big Data is the remarkable integrative capabilities of the humanities. The integrative capability of the humanities has given rise to a number of hybrid and hyphenated disciplines. Prominent amongst them are the digital humanities; the medical humanities; legal humanities; ecological humanities; humanities and human rights; ‘imaging’ in the sciences and arts – to name but a few. Notice how such interdisciplinary formations display the extension of the humanities into areas of public policy, social action, ecological sustainability, and social ethics. Notice, too, how the ‘integrative’ impulse of the humanities is structured along the lines of inclusion and diversity, so that ‘public reason’ is accessible across social divisions, cultural differences, and geopolitical disjunctions. From this perspective, it becomes clear that the integrative humanities are preeminent in providing operational knowledge and ethical goods that contribute to the building of an international or global civil society. ” (Homi K. Bhabha: Speech at Inauguration of UNESCO Director-General Irina Bokova, Paris, November 18, 2013) 23

In Many European Universities the Humanities and Social Sciences Suffer from: < A mismatch between proclaimed objectives and available resources < Gross disparities between teacher : student ratios and expected outcomes < High teaching loads and administrative obligations vs. amounts expected in project-based funding. 24

A Way out? – Creating Stimulating Environments: Institutes of Advanced Study < Functional dimension: interdisciplinarity, stimulating new ideas, relief Photo: Wikimedia commons Abraham Flexner from administrative obligations < Personal dimension: freedom, networking, personal encounters, “The Usefulness of Useless Knowledge” turning point of an individual research career < Institutional dimension: strategic cooperation, “brain gain”, counterpoint to regular university life, productive tensions. 25

V. Some Paradoxies and Tensions for Universities Autonomy vs. Dependence Core funding vs. Project-based funding Creativity vs. Compliance Quality vs. Quantity Interdisciplinarity vs. Organisational structures Reliability vs. Irreproducibility 26

Beyond European Borders: Widening the Research Perspective “Europe and Global Challenges” (since 2009) Integrating North-South and South-South research collaboration 27

Setting the Right Framework Conditions in a Mulitlevel Research System 28

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What Do We Want to Achieve? 30

Seven Levels of Achievement: 1. Well-trained early career researchers (doctoral students as well as postdocs). 2. Increasing the knowledge base, publications, etc. 3. Creation of new methods and techniques (e. g. new instruments). 4. Provision of social knowledge; enhancing public debate and providing advice to policy-makers. 5. Enhancing the society’s problem-solving capacity. 6. Developing adequate forms of collaboration, and new opportunities for networking. 7. Products, licenses, new companies (start-ups etc. ), in particular in science and engineering. 31

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Thank you very much for your attention! Dr. Wilhelm Krull Secretary General Phone: +49 (0)511 8381 -215 Fax: +49 (0)511 8381 -235 E-Mail: krull@volkswagenstiftung. de Internet: www. volkswagenstiftung. de 33