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Network
collaboration in the 6th Framework Programmes: country
participation in the health thematic area
Jose Luis Ortega
R&D Analysis, Vice-presidency for
Science and Technology, CSIC, Serrano, 113, 28006,
Madrid, Spain, jortega(a)orgc.csic.es
Isidro
Aguillo
Cybermetrics Lab, CCHS-CSIC, Albasanz,
26-28, 28037, Madrid, Spain
isidro.aguillo(a)cchs.csic.es
Cite
as: Ortega, J. L., Aguillo, I. F. (2010), Network
collaboration in the 6th Framework Programmes: country
participation in the health thematic area,Scientometrics, 84(3):
835-844
Abstract
This paper aims to
explore the role of each country in the health thematic
area of the 6th Framework Programme (6FP) of the EU. We
try to explain how the collaborative research processes
are generated in a research programme using social
network analysis (SNA) tools. We have modelled a
one-mode network set up by 2,132 organizations which
participate in 601 research projects. This network was
shrunk at the country level, obtaining a network of 31
countries. Results show that there is a strong
relationship between R&D indicators and the
structural position of each country in the network. The
paper concludes that the SNA techniques are a suitable
tool to assess the country performance in the EU
research programmes.
Introduction
The progress made in data analysis
and computing has allowed to study in depth the
structural relationships in complex environments such as
the Web [BARABASI & ALBERT, 1999], disease spreading
(PASTOR-SATORRAS & VESPIGNANI, 2001] and trophic
dynamics [POLIS & STRONG, 1996]. However, the
scientific activity could be also described as a complex
system in which several agents (industry, university,
government, etc.) interact in an environment subject to
multiple variables. The use of structural analyses in
R&D has made possible to understand collaboration
phenomena in scientific journals [NEWMAN, 2001;
BARABASI, et al., 2002; WAGNER & LEYDESDORFF, 2005],
citation network among papers [SMALL, 1999] and journals
[LEYDESDORFF, 2004] or relationships between patents
[VALVERDE, et al., 2007]. The European R&D system is
strongly supported by the EU Framework Programmes, as
relevant tools for the building and strengthening of the
European Research Area (ERA). These programmes assume
the collaborative research as a principal feature of the
ERA system in which the projects must to be carried out
by several organizations from different countries and
sectors. This networked environment provides a great
opportunity to understand how these relationships are
made; which are the main actors and their role into the
system; and how the network operates in order to improve
the EU R&D system. Previous works have already analysed
the collaborative networks of the European programmes.
BRESCHI & CUSMANO [2004] studied the R&D joint
ventures of the 3rd and 4th Framework Programmes. They
found that there was a preferential attachment
phenomenon [BARABASI & ALBERT, 1999] between both
calls. BARBER et al., [2006] studied from the second to
the fifth framework programmes, confirming that these
networks had scale-free properties such as power law
degree distributions, small diameters and high
clustering. ROEDIGER-SCHULGA & DACHS [2006] found
significant differences in two EU programmes. They
detected that while the telecommunication programme had
more industrial partners and required greater funding;
the agricultural one was dominated by public research
institutions and attracted less income. These
differences between research programmes was analysed by
CABO [1999] as well. ROEDIGER-SCHULGA & BARBER
[2007], using the same data set, visualized the first
five EU Framework programmes, showing that the backbone
of the network is shaped by large scientific
organizations. ORTEGA and AGUILLO [2008] presented a
network analysis of the health thematic area of the 6FP.
KUITUNEN et al. [2008] also presented several network
graphs which showed the collaboration of the Finn
institutions with the rest of participants. Recently,
several EU reports have studied the relationships
between the performance of the participant organizations
in the 6th Framework Programme (6FP) and their
publication productivity and impact [AVEDAS et al.,
2009; LARRUE et al., 2009]. At the
country level, we can highlight the works of GUSMAO
[2000; 2001] about the cohesion of the ERA through the
EU research programmes, concluding that those programmes
are being a key instrument to built strong collaborative
ties between research teams from different countries.
She argues that these programmes are creating
“European-minded” scientists. LEPORI et al. [2007],
through a comparative approach of several national
funding systems, explored the development of comparable
indicators between European countries, taking into
account the singularities of each national research
system. BRAUN et al. [2009] also developed specific
indicators to measure the performance of organizations
and countries in their participation on the EU Framework
Programmes as a way to assess the integration of the
European Research Area.
Objectives
This paper aims to
explore how the different research partners are related
among them in the 6FP of the EU, specifically the “Life
sciences, genomics and biotechnology for health”
thematic area. We try to know what is the role of each
country in these programmes, how they interact with
other partners. To sum up, we try to explain how the
collaborative research processes are generated in a
research programme using social network analysis (SNA)
tools, introducing these techniques as a suitable tool
for the understanding of the collaboration processes in
science. It also attempts to answer if there are any
relationships between traditional R&D indicators and
structural indicators such as centrality degree and
betweenness centrality.
Methods
We have modelled a
one-mode network set up by 2,132 organizations which
participate in 601 research projects belonging to the
“Life sciences, genomics and biotechnology for health”
thematic area from the 6FP of the EU. These data were
obtained through the Centre for the Development of
Industrial Technology (CDTI), the Spanish public body
depending of the Ministry of Science and Innovation in
charge of promoting and funding innovation and
technological development. CDTI supplied us an own
database from eCORDA data (eCORDA, 2010). That ad-hoc
database contains the list of organizations (name,
nationality and type of organization) which participate
in each project (code, total cost and task) of the
health thematic area. Participation table includes
subvention, percentage of subvention, percentage of
participation and role. However, a confidentiality rule
only let us to operate with aggregated data and
percentages. This
network represents the collaboration relationships
between several research institutions through different
research projects. This network was shrunk at the
country level, obtaining a network of 31 countries. Data
analysed in this study were:
-
%
Funds: Percentage of the incomes that every organization
from one country receives for its participation in a
project, over the total amount of available funds in the
6FP.
-
Organizations: number of
individual participant organizations in each country.
-
Role: the performance of the
organization in a project. It can be partner or
coordinator. Coordinators is the number of projects in
which an organization of a country was coordinator,
while Partners is the number of projects in which an
organization of a country was a partner.
A
normalization process was carried out to correct the
name of each institution to a standard name in English,
removing names of the same institution in other
language. We also removed acronyms, except when these
are better known than their extended name, i. e. INSERM,
IRCCS, etc. This normalization process reduced to 17%
the number of organizations. Similar studies, after a
cleaning process, found similar number of projects and
partners [EUROPEAN COMISION, 2008; AVEDAS et al., 2009],
which reinforce the data validity and the results
consistency. Several variables were used in order
to add information about the network configuration and
to design different analysis and relationships between
variables and countries. Nodes size shows the % Funds of
each country. Arc width shows the number of project in
which both countries participate. Countries were
classified in four geographical and political classes:
EU-15 countries, EU-27 countries, European no EU
countries and No European countries. Network graph only
shows countries that collaborate with two or more
countries in the research programme. The
program Pajek 1.02 [NOOY, MRVAR & BATAGELJ, 2005]
was used to build and visualise the network, and the
Fruchtermann-Reingold algorithm [1991] was used to
energize it. Several network indicators and measurements
were calculated from the network using Ucinet 6
[BORGATTI, EVERETT & FREEMAN, 2002]. In this study
we have used the following indicators:
-
Centrality Degree (k): It measures
the number of lines incident to a node [FREEMAN, 1979].
This can be normalized (nDegree) by the total number of
nodes in the network. This indicator allows detecting
countries that have a high collaboration degree with
other different countries, showing a high activity in
the research programmes.
-
Freeman’s Betweenness centrality
[FREEMAN, 1980]: It measures the capacity of one node to
help connect those nodes that are not directly connected
to each other. Its normalization is the percentage over
the total number of nodes in the network. From a
scientometric point of view, this measurement allows us
to detect hubs or gateways that connect different
countries to the core of the networks, showing the
capability of certain countries for attracting partners
to the research programmes.aaaaa
Several regression
models were carried out to estimate and quantify the
relationship between programme variables and network
indicators. Linear regression allows us to know if
exists a relationship of dependence between variables.
Two assumptions on this model are necessary: the
independence of the observations and the normality of
the distribution. The first one states that none of the
observations determine the following one. The second
assumption obliges to the variables to have a normal
distribution which density function has to be
symmetric. Percentage of Funds
follows a no-gaussian distribution, so it was
transformed to a logarithmic scale. Logarithm
regressions can be seen as a straight line on a
log-normal graph since, transforming the dependent
variable to a logarithmic scale converts the logarithmic
equation into:
These variables and
attributes were analysed and processed with SPSS 15 and
XLStat 2008 statistical packages.
Results
Country network
Figure
1. Country collaboration graph of the health thematic
area of the 6FP
Figure
1 shows that the EU-15 countries are the most frequent participant
countries in the health thematic area of the 6FP. This maybe due to
their large experience in those research programmes. The main countries
in the network according to their centrality degree are United Kingdom
and France (k=30) followed by Germany (k=29). However, we appreciate
that there are non EU-15 countries with a centred position such as
Switzerland (k= 28), Hungary (k=23) and Czech Republic (k= 22).
Switzerland isan example of the traditional scientific collaboration,
which participates in those research programmes as a full member [SWISS
STATE SECRETARIAT FOR EDUCATION AND RESEARCH, 2007]. Hungary and Czech
Republic are emergingcountries inthe new EU-27 framework which wish to
increasetheir position in the EU research programmes. On the contrary,
we observe EU-15 countries with a low centrality degree such as
Portugal (k= 15), Ireland (k= 17) and Greece (k= 21) which although
being older EU members show a low degreeof research collaboration.
Countries |
% Funds |
Organizations |
% Organizations |
%
Funds/Organizations |
United Kingdom |
16.58 |
247 |
11.59 |
.0671 |
Sweden |
5.67 |
86 |
4.03 |
.0659 |
The Netherlands |
7.76 |
118 |
5.53 |
.0657 |
Finland |
1.91 |
33 |
1.55 |
.058 |
Germany |
18.54 |
322 |
15.1 |
.0576 |
Switzerland |
4.2 |
78 |
3.66 |
.0538 |
France |
13.06 |
248 |
11.63 |
.0527 |
Italy |
8.62 |
187 |
8.77 |
.0461 |
Denmark |
2.96 |
68 |
3.19 |
.0436 |
Belgium |
4.28 |
100 |
4.69 |
.0428 |
Israel |
1.66 |
41 |
1.92 |
0.404 |
Spain |
3.97 |
106 |
4.97 |
0.0375 |
Greece |
.83 |
24 |
1.13 |
.0347 |
Austria |
2.16 |
63 |
2.95 |
.0342 |
Norway |
1.06 |
31 |
1.45 |
.0341 |
Czech Republic |
.68 |
21 |
.98 |
.0324 |
Ireland |
.61 |
19 |
.89 |
.032 |
Hungary |
.88 |
34 |
1.59 |
.026 |
Estonia |
.34 |
14 |
.66 |
.0241 |
Poland |
.7 |
32 |
1.5 |
.0218 |
TOTAL
|
100 |
2132 |
100 |
.0469 | Table 1. 20 top countries ranked
by fund percentage per number of participant
organizations.
Table 1 shows the most
important countries by the percentage of funds received
per number of participant organizations. Germany
receives the largest proportion of funds (18.54%)
followed by United Kingdom (16.58%) and France (13.06%).
However, there is a size factor that influences on this
appreciation, because these same countries contribute
with the largest number of organizations to the health
programmes as well. Thus, 15.1% of the participant
organizations are German, 11.63% French and 11.59%
British. We have normalized the percentage of funding by
the number of organizations in each country (%F/Org) in
order to avoid this effect and to show a new indicator
more closely related to the effort of each country in
achieving research funds. According to this indicator,
United Kingdom is the country that most percentage of
funds achieves by organization (%F/Org=.067), followed
by Sweden (%F/Org=.066) and The Netherlands (%F/Org=
.066). It is interesting to notice the
emergence of Sweden, The Netherlands and Finland, while
Germany (%F/Org= .058) or France
(%F/Org= .053)
moveto average positions. It is also interesting
to observe that non EU countries such as
Switzerland (%F/Org= .054) or Israel
(%F/Org=
.04) have better performance than important
EU countries such a Spain (%F/Org=.038) and
Austria (%F/Org=
.034).
Country |
Partners |
Cooordinators |
Coordinator/Partners
|
Coordinators % |
Germany |
438 |
103 |
23.52% |
17.14 |
France |
357 |
83 |
23.25% |
13.81 |
United Kingdom |
380 |
80 |
21.05% |
13.31 |
Italy |
288 |
64 |
22.22% |
10.65 |
The Netherlands |
267 |
49 |
18.35% |
8.15 |
Belgium |
176 |
41 |
23.3% |
6.82 |
Sweden |
217 |
40 |
18.43% |
6.66 |
Austria |
115 |
23 |
20% |
3.83 |
Spain |
215 |
23 |
10.7% |
3.83 |
Denmark |
137 |
19 |
13.87% |
3.16 |
Switzerland |
193 |
17 |
8.81% |
2.83 |
Norway |
42 |
14 |
33.33% |
2.33 |
Greece |
51 |
10 |
19.61% |
1.66 |
Finland |
94 |
10 |
10.64% |
1.66 |
Israel |
95 |
7 |
7.37% |
1.16 |
Hungary |
76 |
5 |
6.58% |
.83 |
Poland |
80 |
4 |
5% |
.67 |
Portugal |
41 |
3 |
7.32% |
.5 |
Island |
5 |
3 |
60% |
.5 |
Ireland |
47 |
2 |
4.26% |
.33 |
Slovenia |
28 |
1 |
3.57% |
.17 |
TOTAL
|
3719 |
601 |
16.16% |
100 | Table 2. Countries ranked by the
percentage of Coordinators.
We assume that a
country which research teams participate in the 6FP more
as coordinators than as partners, they are leaders of
that research issue. At the country level, we may
observe which country holds more leader institutions or
research groups in an EU research programme. Table 2
shows the participant countries ranked by the percentage
of projects coordinated/total projects in each country.
It shows that Iceland (60%) and Norway (33.33%) are the
countries with the highest coordinator/partner
percentages, followed by Germany (23.51%) and Belgium
(23.29%). However, Iceland and Norway have a scarce
participation, so we think that these percentages are
not representative due to their small weight in the EU
research programmes. So, we have calculated the
percentage of coordinators over the total number of
granted projects in the health thematic area, giving
largest weights to the most participant countries. This
indicator was already utilized in previous national
studies [BMBF, 2009]. Germany (17.14%), France (13.81%)
and United Kingdom (13.31%) are the countries with a
highest leadership, while the countries with lowest
leadership are Slovenia (.17%), Ireland (.33%) and
Island (.5%). It is interesting to notice the low
position of Switzerland (2.83%), which even though it
has a great participation, in fact it leaders few
projects. Or Norway (2.33%), although not belonging to
the EU, it has a good leadership score.
Regression
models
Several regression analyses were made to solve the
previous question about the relationship between the
percentage of funds and the centrality measures such as
centrality degree and betweenness centrality. Our aim is
to know if a good collaboration degree in the 6FP
network makes possible to achieve more funds than other
countries as well as to quantify those relationships. A
contingency table was obtained in order to calculate the
Pearson's chi-square and to test if the response
variable (%Funds) is independent from the explanatory
variables (centrality degree and betweenness
centrality). The chi-square test shows that the
explanatory variables are independent from the %Funds
(chi-square=.558), them they are suitable predictors of
the %Funds variable.
Figure
2. Scatter plot (log-normal) between percentage of funds
and centrality degree of each country
aaaaa Figure 2 shows the
relationship between the percentage of funds and the
centrality degree. This relationship follows a
logarithmic equation in which the percentage of funds
has been log- transformed while the centrality degree
has not. Figure 2 shows that there is a strong
relationship between both variables and the centrality
degree may explain the 77% of the percentage of funds
that a country may raise in the 6FP. Then, we can make
an estimation in which an increase of one centrality
degree may cause an increase of the 4.9% of the
percentage of funds of a country.
Figure
3. Scatter plot (log-normal) between percentage of funds
and Betweenness centrality of each
country
Figure 3 shows the
relationship between the percentage of funds and the
Betweenness centrality. In this case, the relationship
also follows a logarithmic equation (R2=.73). This good
fit allows us to state that the Betweenness -interpreted
as the capacity to attract new organizations to the
research programmes- is also an important variable to
raise funds from the 6FP. However, the estimation is
lower than the one obtained from centrality degree
because an increase of one betweenness centrality may
only cause an increase of the 0.75% of the percentage of
funds of a country.
Conclussions and
Discussion
The structural analysis of the participant countries in
the health programme of the 6FP has made possible to
know the research relationships of the participant
organizations at the country level, showing a picture of
the principal countries in the network, their
relationships and their collaboration degree in this
research programme. Social network measures (centrality
degree and betweenness centrality) not only have
assessed the collaboration performance of these
countries, but also have estimated and quantified the
funds that a country may receive participating in the EU
research programmes. The most important conclusion from
a methodological point of view is that the social
network analysis is a very suitable tool to analyse the
research collaboration in research programmes and put in
relation R&D indicators, such as funds and
participation degree, with network indicators such as
centrality degree and betweenness centrality. Although these indicators
were already used or proposed in previous studies [BMBF,
2009; BRAUN et al., 2009], the availability of this rich
data has made possible to apply these R&D indicators
in order to describe and assess the research activity of
the participant countries. The proportion of funds by
organization (%F/Org) has shown the effort of the
organizations of each country in achieving research
funds, while the percentage of coordinators has ranked
the capacity of their organizations to coordinate
projects. These indicators may be used to measure
qualitative aspects such as leadership and effort, being
very useful to value the role of a country in the new
ERA. According to
the results, we may conclude that the United Kingdom,
France and Germany are the best located countries in the
network of the health research programme and the best
ranked ones according to the calculated indicators.
These results can be compared with GUSMAO [2001], which
found similar country rank distribution in the 3rd and
4th Framework Programme. AVEDAS et al. [2009, p. 53]
also showed a similar distribution in the country
participation of the whole 6PM. We also conclude that
Switzerland is a key partner in the EU research activity
due to its high collaboration degree and its weight in
the health research programme, while Czech Republic and
Hungary are potential members which are taking an
important part in the EU research programmes. These
results are similar to the ones observed by AVEDAS et
al. [2009, figure 32], mainly identifying the central
position of United Kingdom, France and Germany; and the
detection of Czech Republic, Poland and Hungary as
emergent countries in the 6FP. However, they omit the
important contribution of Non-EU countries such as
Switzerland or Norway and they only show the coordinate
collaborations, causing the absence of the whole
interactions between countries. KUITUNEN et al. [2008]
also present network graphs of the participation in the
6FP but limited to those organizations and countries
that collaborate with Finland. Results obtained in
the regression models have shown that the increase of
the collaboration degree between countries may cause an
increase of 5% of the funds that a country may receive,
while to attract new countries to the network may
increase .75% these same funds. Obviously, the most
actives countries, making new contacts and attracting
new partners to the network, are the countries that more
funds attract. However, our results allow to quantify
and estimate those relationships, as well as to compare
the performance of both structural indicators. Thus, the
regression model shows that to collaborate with
countries inside the network is more beneficial (5%)
than attract new members to the programme (.75%). We
think that these results are important because they
could help to define research policies, which promote
the collaboration inter-country as an effective way of
achieve more funds form the research programmes and to
increase the scientific performance of a
country.
Acknowledgements
We wish to thank the
R&D Framework Programmes Department of the
Centre
for the Development of Industrial Technology
(CDTI)
of Spain
for their support and the supply of 6th EU Framework
Programme data.
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