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of the program (Balbachevsky & Schwartzman 2010, Balbachevsky 2013). ... (UFABC) have also high shares of faculty with doctorates and employed full- time.
Carl G. Amrhein & Britta Baron (Editors)

Building Success

in a Global University

Government and Academia—Redefining the Relationship Around the World

Major insights from Australia, Brazil, Canada, China, Germany, India, Great Britain and the United States

Science

  Past and present trends at the Brazilian research university

Past an present Trends at the Brazilian research university C arlos H. de Brito C ruz, Institu te of Ph ysics “ Gle b Wataghin ” , R e n ato H. L . Pe drosa , Depa rtme n t of S cie nc e a n d T echnolo gy P oli c y, Instit u t e of Geoscie nces, Univ e rsity of C a mpin as — Unicamp, S ã o Paulo, Br azil

Internationalization in higher education has become a central issue for universities, for students and faculty and for policy makers, all over the world. This recent process has been described, studied and debated extensively in the literature1 and at international events. Our purpose in this paper is a bit different: we look back at the development of higher education (HE) in Brazil and show how internationalization processes were at the core of each of the most relevant events of that process, in particular those involving the system of universities that have research as part of their core mission. We then focus on recent trends, with emphasis on the public universities, where most of research developed by higher education is performed in Brazil, and how internationalization has affected that activity. The relationships between the development of research universities and internationalization are quite evident in many situations. The beginnings of graduate education and research in the United States may be traced back to scholars that returned after having developed their PhD programs at German universities in the second half of the 19th century, and was reinforced during the 1930s. The present efforts in Asian countries such as China (and Hong Kong) and Korea to attract foreign scholars or to repatriate academic people that have stayed abroad, in order to make their universities more competitive, are current examples of that process. Summarizing the paper’s content, the next section will present a brief historical sketch of the impact of international interaction on the development of the Brazilian university system. We then present data describing the recent evolution of universities and science in Brazil. Next, we describe in some de-

The beginnings of graduate education and research in the United States may be traced back to scholars that returned after having developed their PhD programs at German universities in the second half of the 19th century, and was reinforced during the 1930s.

See, for example, Marginson (2006), Altbach (2007), de Wit (2009) and the literature review Kehm & Teichler (2007). Critics of stereotypes in internationalization include Knight (2011) and Brandenburg & de Wit (2011).

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tail how the research-funding agency of the state of São Paulo (FAPESP) has made internationalization a core activity in its funding programs, and results of those actions. We finish with some comments on internationalization, discussing a few proposals for the Brazilian university system to move into a new level of performance regarding research. The role of internationalization in the development of the Brazilian university system Unlike other American colonies, in which HEIs had developed since the early colonial period, only after the Portuguese crown was transferred to Brazil in 1808 did they begin to be established in the country.

Late colonial and imperial period (1808-1889) Unlike other American colonies, in which HEIs had developed since the early colonial period, only after the Portuguese crown was transferred to Brazil in 1808 did they begin to be established in the country: medical schools in Salvador and Rio de Janeiro (1808), a military engineering school in Rio de Janeiro (1810) and law schools in Recife and São Paulo (1827) (Cunha 2007, pp. 128-131). A first tentative move to establish a university in Brazil was the initiative in 1923 of José Bonifácio de Andrada e Silva, who had developed scientific studies in chemistry and mineralogy in Paris and Freiburg. His proposal included the sciences as part of the curriculum, (Schwartzman 2001, pp. 55-58), but the project never materialized, and Brazil would have to wait at least another century before a university would be established in the country. A second engineering school was established, in 1875, the School of Mines at Ouro Preto, in the state of Minas Gerais, based on a project by a French specialist, Henri Gorceix, after the Brazilian emperor Pedro II had visited the School of Mines in Paris. Upon graduation, the best students would be sent for a period of study in the US and Europe, since Brazil lacked people with specialized training in the areas taught at the school. It played an important role in developing geosciences in Brazil, firstly in relation to mining, then, eventually, to the establishment of the Brazilian oil and gas industry (Schwartzman 2001, pp. 118-126). Early republican period (1889-1930) From 1891 to 1915, 36 new HEIs were established, including the first nonpublic institutions (Cunha 2007, pp. 157-166). Traditional subjects like law, health (dentistry and medicine) and engineering still dominated, but, for the first time, there were other areas covered: four schools of agriculture/agronomics and two in economics. Still, all programs were in professional fields. Two of the engineering schools founded early in that period did not follow the French Polytechnique model. One, the Mackenzie Institute in São Paulo, an

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  Past and present trends at the Brazilian research university

initiative of American Presbyterian immigrants, was linked to (and accredited by) the State University of New York. Today it is one of the best private universities in Brazil. The second was the School of Engineering of Porto Alegre, the capital of the Southern state of Rio Grande do Sul. The Porto Alegre school’s initial project followed the German “Technische Hochschule” model and German faculty and technical staff were brought to develop it (Cunha 2007, pp. 191-193). It was the first HE institution to develop research in Brazil, but it followed a more technological model (Cunha 2007, p. 193). It was the fourth HEI in Brazil to get the status of university, in 1934, and is, nowadays, part of the federal system and one of the best research universities in the country. Finally, a report commissioned by the editor of the main São Paulo newspaper, Júlio de Mesquita Filho was published in 1926 on what should be the main characteristics of a modern university. It presented the principles that would later develop into the University of São Paulo project. The end of the decade brought the 1929 financial and markets crisis, with relevant impact on Brazilian politics and on its still small HE system. Change in political order and the University of São Paulo The results of the presidential election that took place in March of 1930 were disputed by the reform-oriented alliance that had supported the candidacy of Getúlio Vargas. The ensuing political crisis ended with a revolt that installed Getúlio Vargas as president, after relatively little resistance from those in power, on November 3, 1930 (Fausto 1997). Vargas soon imposed on the country a very centralized political system under his leadership. In 1931, a new law was enacted that established what a university should look like in Brazil (the “Statutes of Brazilian Universities Act”). It included a very detailed prescription for how a university should be organized and run, from governance to academic affairs. The act founding the University of Rio de Janeiro was also published, with 328 articles, with detail down to how courses and programs should be organized (Schwartzman 2001, p. 149). Against that over-centralized model, the afore-mentioned Mesquita Filho was able to convince São Paulo’s governor to establish a new university in the state’s capital, as a sign of São Paulo’s independence from federal control. Azevedo, who had written the report on the features of the new university, quickly developed the plan for the new institution, which was founded on January 25, 1934. In contrast to the rules for the new federal university, which had 328 articles, the University of São Paulo’s founding document used just 54 short items and proposed a very liberal and decentralized structure for the new institution.

The end of the decade brought the 1929 financial and markets crisis, with relevant impact on Brazilian politics and on its still small HE system.

In contrast to the rules for the new federal university, which had 328 articles, the University of São Paulo’s founding document used just 54 short items and proposed a very liberal and decentralized structure for the new institution.

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How the new institution’s establishment became the “most important event in the history of science and education in Brazil” (Schwartzman 2001, p. 164) may be traced back to the second article the founding decree, which stated that the university’s mission was: “a) to promote the advancement of science by means of research; b) to transmit, via teaching, knowledge that develops or makes the spirit richer, or that is useful for life; c) to educate specialists in all areas of culture, and technicians and professionals in all professions of artistic or scientific areas; d) to develop the social job of popularizing science, letters and arts, by means of short courses, conferences, using radio and movies.”2 These few lines describe all the relevant activities performed by a modern comprehensive research university, including service and extension activities. Recognizing that there were not enough qualified scientists in the country to start the new enterprise, Azevedo sent people abroad in search of scientists interested in coming to the new university. The main group came from France, but many came from Britain, Italy and Germany. Among the newcomers, there were two young French social scientists, anthropologist Claude Levy-Strauss and historian Fernand Braudel, who would become international leaders in their areas during the next decades. After that, others came, among them Theodosius Dobzhansky (1943), André Weil (1946), David Bohm (1951) and Richard Feynman (1953). The paulista (Sao Paulo) HE enterprise, which would eventually include the development of other universities (University of Campinas—Unicamp, and State University of São Paulo—Unesp) and a very active research-funding agency (FAPESP), has flourished since then, in all aspects, into a very welldeveloped research university system as we will see in the following sections. In 1945, Richard H. Smith, an aeronautical engineering professor from MIT, was commissioned by the federal government to develop a study to start a center aimed at developing a domestic aeronautical industry.

The Smith Plan, the Aeronautical Institute of Technology and other elite institutions In 1945, Richard H. Smith, an aeronautical engineering professor from MIT, was commissioned by the federal government to conduct a study to start a center aimed at developing a domestic aeronautical industry. Smith’s plan proposed a research and development center and a modern school of engineering3. The resulting Aeronautical Institute of Technology (ITA) adopted a modern engineering curriculum, which included strong basic science components. It soon became the best-regarded engineering school in Brazil. Foreign faculty was hired to help start the school, as well as young Brazilian scientists, some of whom had already spent some time abroad. Governor’s Decree n. 6283, January 25th, 1934. http://www.leginf.usp.br/?historica=decreto-n-o-6-283-de-25-de-janeiro-de-1934 The Smith Plan, Fundação Casimiro Montenegro. http://www.fcmf.org.br/sitenovo/73.php

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  Past and present trends at the Brazilian research university

EMBRAER, the Brazilian aeronautics company, was founded in 1969 as a public entity, with mostly ITA graduates among its technical staff. In 1994 it was privatized and, today it is a world leading medium-sized aircraft maker. ITA still ranks as one of the best engineering schools in the country and is, right now, under reform, with strong emphasis on internalization, having signed an agreement for exchange of students and faculty with its early model, MIT. In the last two decades, Brazil has had more experience with starting elite institutions include the School of Medicine in Ribeirão Preto in 1954, the University of Campinas (Unicamp) in 1966, both in São Paulo, and COPPE in 1963, in Rio de Janeiro. All involved bringing in foreign faculty as an important part of their development (Schwartzman 2001, pp. 266-268, 288-293, 293-300). Unicamp has developed into a major comprehensive research university, responsible for a large share of Brazil’s output of research and graduate degrees.

ITA still ranks as one of the best engineering schools in the country and is, right now, under reform, with strong emphasis on internalization, having signed an agreement for exchange of students and faculty with its early model, MIT.

Expansion of research and graduate education Internationalization also has played a role in the development of graduate education and research in Brazil. In 1951, following the U.S. National Science Foundation model, the federal government established two national research-funding agencies, the National Council for Scientific and Technological Development (CNPq) and the Coordination for the Improvement of Higher Level Personnel (CAPES). Both supported Brazilian students abroad for their doctorate studies, a process that started very slowly in the 1950s, but which would eventually gain speed in the next decades. São Paulo established its own research-funding agency in 1960, to FAPESP. In1965, the Ministry of Education organized graduate education at the national level (Balbachevsky 2004). Accredited at that time were 38 graduate programs, 27 at the master and 11 at the doctorate level. By the year 2000, there were already 1,420 master and 865 doctorate accredited programs (Balbachevsky 2004) see next section for recent data and discussion. A major component of the later development of graduate education in Brazil was the evaluation system that CAPES introduced in 1976 for graduate programs (Castro & Soares 1986), employing clear international benchmarks for excellence. In spite of some criticism from the academic community, especially from social scientists, CAPES’ evaluation system has been acknowledged as having been at least partly responsible for the advancements of Brazilian graduate education and research in the last decades (see next section).

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Recent trends in the development of graduate education and research Expansion of the university system Brazilian universities experimented with high rates of expansion in undergraduate enrollment during the two decades between 1960 and 1980, mostly at federal universities. The number of enrolled students in the whole HE system went from about 100,000 in 1960 to 1.4 million at the end of that period (with 40 per cent of that in public HEIs, of which 58 per cent weret at federal universities).

Figure 1: Undergraduate enrollment at federal and state HEIs, 1981-2011. Source: HE Census data, INEP/Ministry of Education.

1.000.000 900.000

Federal

State

800.000 700.000 600.000 500.000 400.000 300.000 200.000 100.000

19 81 19 83 19 85 19 87 19 89 19 91 19 93 19 95 19 97 19 99 20 01 20 03 20 05 20 07 20 09 20 11

0

During the next decade, Brazil’s economy endured a period of low growth and high inflation, which affected the ability of the federal government to keep investing in HE, causing the federal system to enjoy a period of stagnation between 1980 and 1990 (see Fig. 1). Starting in 1991, a new period of growth started, at first slowly, but one that has not shown any prolonged period of stagnation since.

Starting in 1991, a new period of growth started, at first slowly, but one that has not shown any prolonged period of stagnation since. Figure 1 shows enrollment in undergraduate programs for both systems during the whole period covering the last three decades. Federal and state HEIs (which include a very small subsystem of technical colleges) increased undergraduate enrollment by 196 per cent and 323 per cent, respectively from 1981 to 2011, with the pace of growth having accelerated recently due to dedicated federal policies (Simões et al, 2013). Faculty qualifications and graduate education at public universities The links between graduate education and research may be noted in Fig. 2, which displays Brazil’s numbers of doctorate degrees granted and documents

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  Past and present trends at the Brazilian research university

16.000 14.000

40.000

PhDs granted

Academic papers

35.000

12.000

30.000

10.000

25.000

8.000

20.000

6.000

15.000

4.000

10.000

2.000

5.000 0

Source: Ministry of Science and Technology and InCites, Thomson Reuters.

19 91 19 92 19 93 19 94 19 95 19 96 19 97 19 98 19 99 20 00 20 01 20 02 20 03 20 04 20 05 20 06 20 07 20 08 20 09 20 10 20 11

0

Figure 2: PhDs granted (left axis) and internationally academic papers (right axis), 1991-2011.

internationally published for the last two decades. This behavior is expected, since CAPES, which evaluates and authorizes graduate programs will do it on the basis of evidence that there is qualified research being produced at the home of the program (Balbachevsky & Schwartzman 2010, Balbachevsky 2013). Growth rates for the two decades ending in 2011 were 600 per cent (10.3 per cent yearly) for the number of PhDs granted and 770 per cent (11.4 per cent yearly) for the number of papers. Despite that, Brazil still lags well behind most developed countries and even behind some emerging economies regarding doctorate degrees granted. Brazil graduated 58 PhDs per one million people in 2010. Comparable data for other countries are: Switzerland—486, Germany—318, the UK—301, the US—225, South Korea—213, France—183 and Canada—159. Among emerging conomies the numbers are: Russia—79, Turkey—64, Mexico—37, South Africa—28, Argentina—23 and Indonesia—9 PhDs per one million people (Viotti 2012). Thus, Brazil is doing better than other Latin American countries regarding graduate education, but is still lagging behind many important competitors.

Brazil still lags well behind most developed countries and even behind some emerging economies regarding doctorate degrees granted.

Universities, by Brazilian legislation, must perform research and develop graduate education. Given the fact that the public system of universities has been experiencing uninterrupted expansion for at least two decades, one cannot expect all new campuses, federal or state, or older ones that have experienced expansion rates, to be at a very high level of performance regarding research and graduate education, due to a shortage of qualified candidates (those with a doctoral degree). Just from 2001 to 2011, the number of federal universities went from 39 to 59, with undergraduate enrollment growing from 472,000 to 842,000 in the period. 243

  Building S ucc e ss in a Global U ni ve r sity

Thus, demands for expanding graduate education in Brazil come from the hiring needs of the expanding public university systems. Many of the new campuses have hired people with only MSc degrees, and even some with only BSc degrees. And some of the older universities, especially those in the northern and northeastern regions, still have in their ranks faculty without a doctorate degree. For the whole federal system of universities, the share of faculty with doctorate and master degrees is 60 per cent and 27 per cent, respectively, but varying from as low as 25 per cent for the share of faculty with doctorate degrees to 100 per cent among federal universities. Table 1 also shows that there are very obvious regional differences, with more qualified faculty at universities in southern and southeastern states and less qualified at those in northern and northeastern regions. More than half of faculty in the Amazon region (north) universities does not hold doctorate degrees. Total Table 1: Faculty employed by federal universities, by region, degree and workload. Source: HE Census data, 2011, INEP/Ministry of Education. The number of documents published internationally, with at least one author with a Brazilian address, had reached 35,000 in 2011, representing a share of 2.6 % of the world’s output for that year, putting Brazil 13th in the world.

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MSc

PhD

Number

Share

Number

Fulltime faculty

Share Number

Share

Brazil

78,774

20,965

26.6 %

47,302

60.0 %

67,149

85.2 %

North

7,841

3,062

39.1 %

3,154

40.2 %

6,457

82.3 %

Northeast

22,927

6,864

29.9 %

11,910

51.9 %

18,471

80.6 %

Southeast

25,046

5,224

20.9 %

17,664

70.5 %

22,271

88.9 %

South

14,088

3,466

24.6 %

9,319

66.1 %

12,341

87.6 %

8,872

2,349

26.5 %

5,255

59.2 %

7,609

85.8 %

Centerwest

For state universities, the average is even lower, with the exception of those in the state of São Paulo (University of São Paulo (USP), University of Campinas (Unicamp) and State University of São Paulo (Unesp)). For some time they have had over 90 per cent of their faculty with doctorate degrees, and also over 90 per cent who are employed fulltime. The three federal universities located in São Paulo, the Federal University of São Paulo (Unifesp), the Federal University of São Carlos (UFSCar) and the younger Federal University of ABC (UFABC) have also high shares of faculty with doctorates and employed fulltime. International impact of research and further regional aspects The number of academic papers published internationally, with at least one author with a Brazilian address, had reached 35,000 in 2011, representing a share of 2.6  per cent of the world’s output for that year, putting Brazil 13th in the world. Given that back in 1980 that share was about 0.2  per cent one can see how the country has evolved in scientific output.

  Past and present trends at the Brazilian research university

40.000 35.000

Brazil

São Paulo

Brazil minus São Paulo

30.000 25.000 20.000 15.000 10.000 5.000

19 91 19 92 19 93 19 94 19 95 19 96 19 97 19 98 19 99 20 00 20 01 20 02 20 03 20 04 20 05 20 06 20 07 20 08 20 09 20 10 20 11

0

Given the very uneven regional distribution of qualified people in public universities, as seen above, it is not surprising that both the amount of research and its impact show regional unbalances as well. Figure 3 includes the number of academic papers published internationally with at least one author from Brazil, those with at least one author from São Paulo and those with at least one author from Brazil but no author from São Paulo (Brazil minus São Paulo in the graph), 1991-2011. The graphs indicate that São Paulo is a very important component of the Brazilian research landscape. The impact of published documents, as measured by number of citations per document, is another relevant indicator for scientific output, related to the quality of published research. As that number usually grows as time passes, the best way to use that information when analyzing evolution in time is to measure it against the world average. Fig. 4 includes that information, for documents published internationally, all subject areas, with at least one author from Brazil, at least one author from São Paulo and those with at least one author from Brazil but no author from São Paulo (Brazil minus São Paulo), for the period 1991-2011. Despite the oscillatory behavior of the indexes from 1991 to 2005, that period shows an upward trend for the three indicators. Starting in 20064, and for the next three years, the relative impact factor for papers with Brazilian authors shows a period of decline, back to levels that held in the late 1990s, of about 0.65. The decline was much steeper for the group of papers without

Figure 3: Internationally published documents with at least one author from Brazil, at least one author from São Paulo and those with at least one author from Brazil but no author from São Paulo (Brazil minus São Paulo), 1991-2011. Source: InCites/Thompson Reuters data (collected July 26th, 2013).

Starting in 2006, an for the next three years, the relative impact factor for papers with Brazilian authors shows a period of decline, back to levels that held in the late 1990s, of about 0.65.

A possible cause for the general drop for the relative impact factor for documents with Brazilian authors, for the period of 2006-2008, is that in that period, the database incorporated many journals published in Brazil, some of which did not enjoy broad worldwide circulation and many carried papers in Portuguese. Evidence for that is given by data displayed in Fig. 3, since the pace of growth in the number of papers shows an uncharacteristic acceleration during those years.

4

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Source: InCites/Thompson Reuters data (collected July 26th, 2013).

In the case of papers with at least one author from São Paulo, after a similar drop from 2005 to 2007, the index has recovered and has been following now an upward trend, having reached the third highest mark for the two decades covered in this graph.

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0,85 0,80

Brazil

São Paulo

Brazil minus São Paulo

0,75 0,70 0,65 0,60 0,55 0,50 0,45 0,40

19 91 19 92 19 93 19 94 19 95 19 96 19 97 19 98 19 99 20 00 20 01 20 02 20 03 20 04 20 05 20 06 20 07 20 08 20 09 20 10 20 11

Figure 4: Relative impact factor (to world) of internationally published papers with at least one author from Brazil, at least one author from São Paulo and those with at least one author from Brazil but no author from São Paulo (Brazil minus São Paulo), 1991-2011.

authors from São Paulo; the decline continued until 2011, falling from 0.68 in 2005 to 0.53, a drop of 23 per cent. The figure for 2011 (0.53) is lower than that for 1991 (0.55). In the case of papers with at least one author from São Paulo, after a similar drop from 2005 to 2007, the index has recovered and has been recently following an upward trend, having reached the third highest mark for the two decades covered in this graph. Preliminary data for papers published in 2012 indicate that these trends have been kept, with the index reaching 0.94 for papers with at least one author from São Paulo and the one for those with no author from that state falling to 0.50 (but given the relatively low number of citations registered for paper published in 2012, those figures must be considered preliminary). Fig. 4 also shows that having an author from São Paulo makes for a positive effect on the impact of papers of, typically, 0.1 point, up to 2005. But, starting in 2007, the difference has grown steadily, reaching 0.23 points (0.53 to 0.76), which would make for a difference of 44 per cent in the relative impact factor in favor of documents that have at least one author from São Paulo. One reason for this recent behavior may be that the fast expansion of the federal system of universities, which we have already described, more relevant outside of São Paulo, has brought in people with less academic experience, but who still feel pressure to publish, given the assessment system used by the federal agency CAPES to evaluate graduate programs. Other causes may be related to internationalization, on which we will comment in which we will comment in the next section. For international comparisons and other aspects of scientific productivity involving Brazil, see Adams et al. (2013) and Pedrosa & Queiroz (2013).

  Past and present trends at the Brazilian research university

Internationalization of research activities in São Paulo We have seen in the previous section how the state of São Paulo plays a very important part in scientific research in Brazil. We will now look into internationalization aspects of that, with emphasis on the role played by its research-funding agency, FAPESP. Countries/Territories

2008

2012

Var 12-08

11,62  %

13,72 %

18 %

2 FRANCE

3,09 %

4,87 %

58 %

3 ENGLAND

2,90 %

4,80 %

65 %

4 GERMANY

3,24 %

4,76 %

47 %

5 SPAIN

1,90 %

4,11 %

116 %

6 ITALY

1,99 %

3,79 %

91 %

7 CANADA

2,43 %

3,23 %

33 %

8 PORTUGAL

1,19 %

2,55 %

114 %

9 ARGENTINA

2,04 %

2,48 %

21 %

10 AUSTRALIA

0,99 %

2,45 %

148 %

11 SWITZERLAND

0,74 %

2,26 %

204 %

12 PEOPLES R CHINA

0,89 %

2,25 %

154 %

13 NETHERLANDS

1,32 %

2,25 %

71 %

14 RUSSIA

1,02 %

2,00 %

97 %

15 POLAND

0,40 %

1,97 %

391 %

16 COLOMBIA

0,92 %

1,92 %

109 %

17 CZECH REPUBLIC

0,64 %

1,79 %

177 %

18 JAPAN

0,89 %

1,76 %

99 %

19 SWEDEN

0,98 %

1,72 %

75 %

20 AUSTRIA

0,41 %

1,69 %

308 %

1 USA

Table 2: The 20 countries with which research co-authorship with authors from São Paulo (Brazil) is most frequent, 2008, 2012. Source: Web of Science

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Table 2 includes the proportion of articles with at least one author from São Paulo and with foreign co-authorship, for the 20 countries with which the international collaboration is most frequent (all papers considered were published in English). This recent evolution of international collaboration may be part of the reason behind the recent increase of the relative impact of papers with at least one author from São Paulo, as shown in Section 3.3.

In all cases there is a moderate to strong increase in the contribution of coauthorships to the total. The largest share of collaborations happens with colleagues­from the U.S. and from traditional scientific powers in Europe, such as France, England and Germany; collaborations with authors from Poland, Austria and Switzerland have seen the largest increases, but significant growth is also shown in partnerships with Australia, China, Colombia, the Czech Republic, Portugal and Spain. This recent evolution of international collaboration may be part of the reason behind the recent increase of the relative impact of papers with at least one author from São Paulo, as shown in the previous section. This increase in collaboration is related to initiatives supported by FAPESP, the São Paulo Research Foundation, which provides about 47 per cent of the research funding in São Paulo. FAPESP has intensified its international activities since 2007, establishing agreements with a broad range of countries and agencies, including the UK Research Councils, the Agence Nationale de Recherche in France, the Deutsche Forschungsgemeinschaft (DFG) in Germany, the National Science Foundation and the Department of Energy in the U.S., the Danish Council for Strategic Research (Dk), the Fundação para Ciência e Tecnologia in Portugal, the Academy of Finland, the Consejo Nacional de Ciéncia e Tecnologia in Argentina, and other funding agencies.

FAPESP also has agreements with universities in most of these countries, through which seed funds are offered for teams of researchers to work together and prepare full proposals to be jointly submitted.

FAPESP also has agreements with universities in most of these countries, through which seed funds are offered for teams of researchers to work together and prepare full proposals to be jointly submitted. As of July 2013, FAPESP had agreements with 45 universities and research institutions in Europe, the U.S., Canada, Latin America, Africa and Australia. In addition to that, FAPESP has been organizing a number of scientific events (FAPESP Week Symposia) in key hubs like Washington DC, Toronto, Boston, Tokyo, Madrid and London. During those events, researchers from São Paulo and invited colleagues from the region where the meeting occurs present their recent results and discuss the ongoing collaborations, creating opportunities for the funding agencies to interact directly with researchers and assess the progress of collaborations. FAPESP’s strategy and instruments for international collaborations are described at http://fapesp.br/en/6812, see also (Knobel et al. 2013).

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Conclusion We will now discuss other recent aspects of internationalization and present some final comments, including a few recommendations that we see as relevant for the future of science and universities in Brazil. Regarding graduate education, Schwartzman (Schwartzman 2013) points out that the numbers of graduate students sent to study abroad were never very high, reaching a peak of about 2,000 doctoral students a year in the late 1980s and early 1990s. Twenty years later, in 2009, there were 3,760 Brazilians with fellowships abroad, 783 in regular PhD programs, 1,910 in socalled “sandwich” scholarships (those are students enrolled in Brazilian PhD programs that spend one year or so abroad developing their thesis work) and 1,067 in postdoctoral activities. Recently, the federal government started a new program, Science Without Borders (SWB), which proposed to send about 100,000 Brazilian students abroad on a four year span. Of those, 10,000 scholarships would be dedicated to graduate education, or about 2,500 graduate students per year, roughly the same number as in 1990. Of the 22,000 fellowships granted so far since 2011, only 825 went to doctoral students and 2,300 for postdoctoral activities. Thus, Schwartzman notes, despite the whole effort Brazil will still be sending lower number of students than China, India, South Korea and even Mexico have done to study abroad at the graduate and postgraduate levels. Attracting foreign faculty, despite the presently competitive salary figures at the public universities when compared to those of many Eastern European and Asian countries, has not been high on the universities’ agendas, given the way public universities hire in Brazil following strict public service rules. Brazil does not have the pool of talent that has gone abroad to study and that stayed and are now accomplished scholars, and who could be attracted back to come and work in Brazilian universities, as does China. That country has developed a program to repatriate those scholars, under very attractive conditions, the “Thousand Talents Program”.

Attracting foreign faculty, despite the presently competitive salary figures at the public universities when compared to those of many Eastern European and Asian countries, has not been high on the universities’ agendas.

Regarding the visibility of Brazilian research, which we have discussed, a recent study by the Royal Society indicates that each new country added to the list of addresses will add, on average, 2.0 citations to a paper, in the range of 1 to 5 countries (RS 2011, Fig. 2.7, p. 59). Evidence presented in this paper points to same conclusion for São Paulo and Brazil (and possibly with a higher effect, given the lack of foreign collaboration that is prevalent for many scientific subjects at Brazilian universities). 249

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In conclusion, given the evidence presented in this paper, there is no other way for Brazil to enhance scientific research productivity and quality other than making internationalization a centerpiece of its policies for its university system. Only that can bring Brazil up to competitive levels in the areas of research and graduate education, as compared to developed and to some of the emerging economies with which Brazil competes in the international arena. Those policies must include programs to: stimulate international collaboration in research in more explicit terms at the national level, following the FAPESP example which is the responsibility of federal funding agencies (CNPq in particular); expand, under criteria that include the quality of target institutions and of academic activities, the numbers of students that go abroad, at both undergraduate and graduate levels; intensify, at the public universities, initiatives that stimulate international experience by faculty, especially those that have recently finished their degrees, again under criteria that take quality of institutions and their research programs into account.

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