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8-253 The difference in emphasis between the U.S.S.R. and the U.S. in the "heavy industry" and "high technology" sectors respectively, raises the following point: close track of the foreign literature is kept in the high- technology areas, but one wonders whether the same close track is kept of the heavy-industry foreign literature from which, judging from the publishing rates, the U.S. has relatively more to learn. Because the Chemical Abstracts patent coverage is not comprehensive, At does not represent an unbiased cross section of world-wide patent activity. For example, direct comparison of the U.S. and U.S.S.R. patent activity based on CA is risky. Nevertheless, some conclusions may be drawn concerning the distribution of materials patent effort within a particular country. Areas in which patents are generated strongly in the U.S., such as plastics, electric phenomena, and radiation chemistry, are also areas in which papers from the U.S. are published at a comparatively high rate. Japan, Germany and the U.K. have relatively high patent rates in the categories of polymers, plastics, and textiles. Japan also has a relatively high patent rate in the category of electric phenomena. It is worth mentioning that in the U.S. very few patents are filed by institutions in the educational, governmental or "other" classes. The growth rate of the materials literature is rapid and represents a significant and expanding man-power investment. The categories of strong publication seem to reflect the areas of strong industrial activity in various countries. INTERNATIONAL COOPERATION Philosophical Background Science and technology are international exchange currencies. Science in particular, which in its purest forms is based on universal truths, is generally regarded as transcending geographical, political, ideological, and cultural boundaries. It is a natural vehicle for promoting international cooperation. Quoting G. P. Miller, Chairman of the House Committee on Science and Astronautics, in 1965: "I believe that one of the most important characteristics of science is that it can be, and usually is, outside the realm of politics. It has provided us areas of peaceful dialogue and cooperation between ourselves, our friends and our potential enemies that have hardly been possible in any other field of activity. The International Geophysical Year Programs were great testimony to this fact." Glenn T. Seaborg, Chairman of the U.S. Atomic Energy Commission, said in 1966 that the "essential internationalism of science... may ultimately be mankind's greatest blessing". Continuing, he gave two reasons: "The first, and more obvious, is that international cooperation in science will accelerate those advances of mankind which, if applied wisely and equally around the world, will help to eliminate the causes of political and economic strife.
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8-254 "The second idea is that internationality in science extends the national processes of science to other human activities in all countries, and that the ascendancy of scientists within their respective countries will influence national leaders and their people to deal with problems in a more rational and hence more peaceful and productive way. ... If He view science in its broadest terms, that is, as a highly organized and penetrating pursuit of knowledge and truth, some good is going to come by having the attitudes and approaches of science applied to other areas." However, the limitations of science and scientists should also be recog- nized. While the lingua franca of science can help remove barriers between societies, as Secretary of State Dean Rusk said: "But the burden is not all on one side. Scientists and engineers must, of course, recognize very real progress in many fields outside their own specialties, and they should be conscious of the difference between the values of society and the verifiable truths of the natural sciences." And as V. A. Ambartsumian, Chairman of the International Council of Scientific Frion, has said: "It will be wise, when we ~scientists) consider that we don't understand anything in politics, and yet I know that many scientists are very critical of politicians. But nobody had proved that scientists can be better politicians than the real politicians themselves." It is pertinent to to include a number of observations that were made by Herman Pollack in summarizing the proceedings of a meeting on International Science Policy of the Panel on Science and Technology of the House Committee on Science and Astronautics in 1971. Pollack notes the following recurring themes in discussions of international science policy: "Ca) The importance of insulating science from the imperatives of parochial politics. (b) The habit of cooperation, which is fostered by scientific reJation- ships, in itself is of high value and a justification for the relationship. (c) The importance of more effective use of science and technology in support of the developmental aspiration of the poorer countries of the world. (d, The importance of the free movement of scientific infor-~ation among the countries of the world. (e) The necessity of employing science and technology more effectively in the achievement of the great social aims of this age." Elaborating on some of these points, Pollack went on: "international scientific relationships must be insulated from transitory political con- siderations and they have possibly unique capabilities of transcending political differences." But, "the absence of political agreement, frequently occasioned by national ambitions or concerns regarding soverignty, is an effective barrier to many necessary endeavours in science and technology which can be accomplished only by international cooperation ... We may sometimes unbalance our perspective by overly emphasizing the necessity to free science from political considerations... (but) we have not emphasized nearly enough the importance of obtaining the political agreement which will be the necessary precedent to the multilateral undertaking of major scientific and especially technological ventures such as those that are foreseeable, for
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8-255 example, in the use of outer space and in the management of international environmental problems." More Tangible Incentives for International Cooperation J.-J. Solomon, in an article in Minerva in 1964 entitled "International Science Policy" stated that: "Experience has shown that governments will not undertake large-scale combined action and set up scientific organizations for extend the compliance of some existing organization to cover scientific questions) except when prompted by one or more of the four following motives - only the first of which is purely scientific: 1. The research is to be devoted to an essentially extra-national subject (meteorology, oceanography, etc.~. 2. It requires expenditure which no country could meet from its own resources (nuclear research, space research, etch. 3. The scientific activities in question are believed to contribute to some wider economic, or military project for which the countries are pooling their efforts. 4. Participation in this form of scientific cooperation is likely to enhance or maintain the international prestige of the individual countries." Quoting Pollack again: "The overall objective of governments in fostering international cooperation in science and technology is to advance their national interests and to strengthen their international relationship ... Inherent in all such cooperation is the d-sire to extend, improve, or expedite the acquisition and diffusion of knowledge. Such cooperation, furthermore, is often activated or motivated by humanitairan, political, or economic consid- erations. "From this cooperation, each government expects to obtain particular benefits, direct or indirect. In some cases, these will be tangible and of an economic nature. Others will be less tangible, such as improvement of health, safety, the quality of life, and the advancement of science, the thread which binds the entire enterprise. "These goals and benefits are not unilateral. Cooperation would not be possible or meaningful if the goals sought were not mutually compatible and the benefits derived did not flow to each nation involved. ...CStudies show that there are) many instances of direct economic benefit: through sharing with other nations the costs of essential research; through the incorporation into key U.S. research programs of instrumentation, techniques, and essential data generated in programs supported by other nations; and through opportunities for U.S. scientists to utilize unique research facilities created by and financed by other nations."
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8-256 Many examples of indirect economic benefits accruing from international . = . cooperation in science and technology have also been identified. Thus, there are the new markets for U.S.-manufactured scientific instruments which result from international cooperation in research, the adoption by U.S. producers of economically important new technologies developed abroad and brought to our attention as a result of cooperative programs, and the ability to avoid unproductive, and expensive, directions for our research efforts or to "leapfrog" in our research planning on the basis of results coming to us through international cooperation. International Science Policy While the value of international cooperation in science and technology is widely recognized, the instances of it, with only a few exceptions, have tended to arise on an uncoordinated, ad hoc basis. But the extent of these disjointed though often lively activities raises the question of whether some form of international science policy can take, or is taking, shape. James E. Webb (in the meeting already referred to) has pointed up some of the issues that can underlie such an evolution: "Have we learned enough about the conditions essential for advancement of science and the gathering of its benefits to propose a joint or cooperative policy of a deliberate fostering of those conditions which produces scientific advancement by many nations within their own economic, political and social structures and patterns of life? "Is there a common set of criteria by which the leaders of the nation can guide themselves in doing those things which they can reasonably expect to lead to scientific advance and without which they are not likely to get it? "Could a major international policy goal be to substantially increase throughout the world the amount of effort dedicated to scientific research in an area where every nation needs to know more than is known today? "Can we build on our experience in the International Geophysical Year and the International Year of the Quiet Sun so as to evolve an international policy related to further study of the sun under which all subscribing nations could justify national investments and the undertaking of a commitment to follow the agreed international policy through the level of sophistication was very different in each of the countries? "Could one goal of an international scientific policy be to increase the ability of all nations to use the scientific method itself in approaching their own national problems and thus increase, on an international basis, the total effect of the values to be derived from the scientific method? "Is it possible that under some form of international science policy, a steady increase in the competence of scientists in all nations could be made available to the political leaders of those nations so that each nation would have leaders and diplomats in a better position to negotiate those inter- national arrangements most condusive to the achievement of its national objectives? "Is it possible to approach this problem of defining goals for an inter- national science policy by assuming that for a particular nation the state of
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8-257 scientific inquiry and its relationships to education and technology can be assessed and understood within the forces at work in the total of the economic, social and political system of that nation?" Webb goes on to propose some concepts that might be starting points from which an international science policy could evolve: (a) The use of the power of nations together over the forces of nature for the benefit of mankind. Cb) Make clear in policy statements and relevant actions the value that the competent scientist and researcher has in areas beyond the extension of scientific or theoretical knowledge - that is his value to his own national leaders in their international relationships, his value to engineers and others who are working in the developmental areas to determine that boundary beyond which scientific knowledge at that time and place does not permit the reliable or safe operation of machines, equipment and systems - in technology assessment. (c) Advances in the education of future generations is directly linked to the existence and participation of scientists in a country, particularly at the graduate level. (d) We need a policy statement and commitment that investments in basic research will yield important economic returns. (e) We need to make clear through policy or experience that when a nation moves from the area of scientific research, and then the advance of knowledge to engineering design and to organized use of resources, there is a competence in the area of organization and administration that is necessary for successful cooperation between nations in these related fields. Themes for Cooperation in the Materials Field The "international commons" of the oceans, the air, and space appear manifestly appropriate for international cooperation in relevant science and engineering. The environment and its protection concerns everyone and every country. Any undesirable actions at one part of the globe can spread across the whole world. Pollution of air and water by effluents and other agents, and disturbance of the upper atmosphere by terrestria~ly-released gases or high-flying aircraft can lead, if unchecked, to disastrous consequences for all mankind. Enough has been written on this subject of environmental hazards elsewhere to make it unnecessary to elaborate these dangers further. With the appearance of technologies of global impact and influence, the question of international regulation begins to be asked CThe Evolution of International Technology, Congressional Research Service, December 1970~: "As technology has made the world more a "village world", there has been a growing tendency since the foundation of the United Nations for inter- national bodies to concern themselves with matters...wh~ch were formerly held
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8-258 to be the exclusive province of a nation-state. It is in the fields of science and technology that this need for international rather than national action is most strongly felt, and for many reasons." These reasons are: the traditionally international character of science, the need for international cooperation in inherently global activities such as civil aviation, the need for control of dangerous technologies like atomic energy, and the regulation of global dissemination of pollutants. With respect to the last item: "Combating pollution will inevitably require international rather than national regulation as its starting point. First, pollution originating in a single nation-state might well spread, through one of the components of the environment such as the air or oceans, into the territories of other nation- states. Secondly, in the context of current patterns for modernization of economics by the export from the most advanced countries of capital equipment for technological manufacturing, a plant which fails to contain adequate anti- polluting equipment will spread pollution by the very fact of its export. Thirdly, the measures to combat pollution need to be internationally prescribed and enforced for they will undoubtedly affect costs, and states which fail to observe them will gain a competitive advantage over those who do." ~ The point to be emphasized here is that aside from regulation there might be no better area for international technical cooperation than these environ- mental problems. There is a need for a global effort to identify sources of existing pollution, to monitor pollution levels in air and water, and to arrive at internationally-agreed standards for air and water quality. At the same time, developing technology has to minimize or eliminate pollution as far as is practicable. Much of this bears directly on the materials field. Mineral and industrial operations with materials are major sources of pollutants as are the chemical reactions that occur in such industrial products as internal combustion engines. There are two major hindrances to cooperation in developing pollution- control technology: Ha) a company or country that succeeds in developing a suitable product or process might feel that this gives it a competitive advantage over others who have not succeeded, and (b) developing countries, for example, may be willing to accept some dirty processes in return for the economic improvements that they bring. These are both legitimate objections in contemporary terms but ones which can be got around, and will have to be, by making equitable international arrangements. Besides stimulating improvement of the existing environment, another matter for international cooperation is technology assessment. There is need for such an activity to foresee, as far as possible, the effects that new technological developments would have on the environment, public health, and the quality of life, generally. The oceans also pose problems of territorial rights. These will become all the more aggravated as they and the coean-floor are exploited in the future as sources of various raw materials. There will be need for inter- national agreements on the winning of these resources and the ways of so doing in order not to cause unacceptable environmental harm. Ocean tech- nology may well become another arena for international cooperation.
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8-259 Increasing concern over future supplys of minerals suggests another area for international cooperation, namely, geological mapping and prospecting. This could cover not only the field work itself, but also the development of improved geophysical and geochemical techniques. Such programs could be of particular value to the developing countries. An ancillary need is for a global geological information center. Space technology has led to earth resource satellites for surveys of global resources of agricultural and mineral wealth, and for the management of these resources. Possible applications of satellite data include: geologic mapping, mineral resource investigation; thermal activity in connect tion with volcanic eruptions; observations of magnetic and gravity fields on a global basis; tectonic analysis of earthquake belts; data useful in planning site selection for large engineering works; continuous mapping of subaqueous deposition, channel-filling, and excavation; and effects of floods and other natural changes in large coastal deltas. The international nature of space technology makes it one in which it is appropriate to seek various modes of international cooperation. One such mode is the cooperation in joint experi- ments that has been agreed to by the U.S. and the U.S.S.R., the only nations thus far with a space-technology capability. The last example underscores another aspect of international cooperation. As technologies grow in size, cost, complexity, sophistication, and range of effects, they may tax the willingness (if not indeed the physical means) of individual nations to support such developments. This effect has already been observed in the case of the Concorde supersonic transport aircraft, whose development is currently being shared by France with the U.K. As Basiuk notes2 ~~ "First, confronted by rising costs and problems of increasing scale, even the superpowers individually may lack the capability of taking advantage of the full potential of future technology. This factor will increasingly gen- erate pressure for international cooperation among the middle-rank powers (e.g., Britain, France, Germany, Japan), between the superpowers and the Western European powers and Japan -- and perhaps between the superpowers themselves. Second, some forms of future technology such as large-scale climate modification, will require international cooperation not so much because of the costs involved but because more than one geographic region will be affected and the participation of those concerned will be essential." Energy-generation and distribution technology will increasingly offer occasions and needs for international cooperation. This will be particularly true of the newer or longer-range methods of power generation including thermonuclear fusion, solar, and geothermal energy. These are likely to be less sensitive areas than the more current technologies, such as fossil-fuel and conventional nuclear technologies, which are already very much in the commercial phase. As European experience with EURATOM has shown, the con- flects that arise when a government is supporting an international effort to develop nuclear technology at the same time as it is fostering its own nuclear \asluk, "Technology and World Power," Foreign Policy Association, Headline Series, page 16, April 1970.
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8-260 industry may lead to failure. Perhaps somewhat more assured of success would be a cooperative program aimed at developing the technology of energy conservation - more efficient use of space-heating and air-conditioning, solar-heating of buildings, more energy-efficient industrial processes, and so on. Europe provides some interesting lessons in international cooperation in technology. In the late 1960's, the Common Market countries undertook a study, headed by P. Aigrain, which considered seventy-one projects proposed for international cooperation. The Aigrain study resulted in seven being endorsed: data processing; telecommunications; pollution and noise; meteorology and oceanography; new means of transport; and metallurgy. Data processing produced an early casualty - the development of a large European computer was viewed as much too costly and the European computer industry felt there would be little market for it. On the other hand, a much less costly venture - the development of a European data-transmission network - was given the go-ahead. A proposal to create a European Institute for Data Processing and Technology - to provide training - was not pursued, but the setting up of a European computer-program library was considered further. The telecommunications proposal was adopted more or less in full. The pollution proposals received fairly general acceptance and several countries declared they would coordinate parts of their national research efforts in this field. They also declared that relevant laws in the European Economic Community (EEC) should be harmonized, as should methods of management. Many people felt, however, that the program was nowhere near bold enough. It is interesting that the Aigrain group settled on metallurgy as an area ripe for development on a European basis, particularly work on materials for gas turbines and for desalination plants. Since making its proposals for technical projects, the Aigrain group has been looking into the problems of interchanging scientific information, comparing the national research programs of the various EEC countries, and singling out areas of radical research which might be suitable for European collaboration. Returning to materials areas which seem generally appropriate for inter- national collaboration, the matter of international standards and-testing methods would seem high on the list. As was proposed in Nature (231, 222, 1973) in a European context, "this is one field, at least, in which it could be expected that the present work of six (national) laboratories, or ten perhaps' could either be concentrated in one or two or, more realistically, could be shared out much more efficiently than at present among standards laboratories specializing in the kind of work which they do best.' Organizations and Institutions While there are numerous international organizations and institutions concerned with science and technology, very few are in existence specifically
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8-261 for the materials field or MSE. As in so many other spheres, materials activities tend to be subsumed into organizations with broader activities. Prominent among these are the following: United Nations Many of the activities in the U.N. that relate to the materials field come under the environmental category. The U.N. has convened international congresses (e.g. at Stockholm in 1972) and committees with the aim of developing international agreements on such matters as air and water quality and quality standards. A persistent question is how to reconcile the aspirations of the developing countries to build up their basic materials industries in the face of pressures to invest in cleaner processes - developing nations may prefer to accept the pollution problems in return for the economic benefits of industrialization. Another pertinent activity that was organized by the U.N. was the International Geophysical Year in which various nations generated and pooled basic information about the planet, earth. Further such exercises in inter- national cooperation would seem timely, particularly in generating more detailed and calibrated information about mineral resources. The area of statistics and information in general is one which could well be usefully conducted unver the auspices of the U.N. as could efforts to evolve internationally-agreed materials standards. An increasingly urgent problem for the U.N. is to foster international agreements on sharing the resources of the international "commons" of the oceans and Antarctica. Overall, the U.N. is seen as the most global and international of agencies and, therefore, one which should have a strengthened role in trying to bring about international agreements on the sharing of resources and the diffusion of knowledge. The minerals and environmental sectors deserve particularly urgent attention. In this connection an intriguing suggestions the sponsorship of an International Technology Assessment Agency. The basis for such a proposal is that (a) there is already a considerable assessment activity in international bodies, (b) adverse secondary consequences of technology are often international in their impacts, and (c) assessment of technology is important to developing countries with respect to their own policies in the adoption of technology, in evaluation of imported technology, and in evaluating technological trends and their social consequences in the developed countries. Such an agency could ~) contract out specific technology-assessment studies, (ii) provide liason and foster cooperation among national technology assessment bodies, (iii) insure annual reports on the use of science and technology for mankind, and (iv) provide fact-finding and mediation services. = . Tennis Livingston, "International Technology Assessment and the United Nations System," Ame J. of Int. Lath Vol. 64, pages 163-172, September 1910.
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8-262 Organization for Economic Cooperation and Development (OECD) This organization serves the more advanced nations. It generates valuable comparative information concerning such topics as national economies and trade, national science policies, and a host of technical and educational matters. However, its efforts specifically directed at the materials field have, to date, been rather meager. In a previous group, now disestablished, subjects such as education, national policies for materials, technological forecasting, and biomaterials were investigated. The OECD should be well placed to serve the materials field and it is to be hoped that a more vigorous role in various aspects of the materials cycle, including materials, energy, and environmental conservation, will evolve. North Atlantic Treaty Organization (NATO) This is a regional organization, born out of a military pact, which also tends to be concerned with the affairs of the more advanced North American and West European nations. NATO tends to be oriented towards high technology and the related basic and applied sciences. Nevertheless, its role in science and technology has been broadening, based on Article 2 of the NATO treaty - "the Parties will contribute toward the future development of peaceful and friendly international relations by strengthening their free institutions, by bringing about a better understanding of the principles upon which those institutions are founded, and by promoting conditions of stability and well- being". NATO has implemented this policy, among other ways, by awarding NATO Fellowships to enable scientists to spend periods working abroad' by aiding scientific publications and libraries, and by sponsoring international conferences and winter and summer schools on a wide range of topics. On the while, NATO serves science and technology, including materials technology, usefully. However, inasmuch as many of its activities result in funds from donor countries essentially being returned to the donor countries minus the "overhead costs", some may regard NATO as an excess bureaucratic mechanism for the purposes under discussion here. European Economic Community (EEC) Slowly, Europe seems to be fashioning a community of nations that have agreed to abide by common policies in various commercial sectors - food, agriculture, energy, etc. - as well as more general principles of cooperation. In the technical area, some of its earliest major efforts were concentrated in the energy sector, mainly through EVRATOM, a joint effort to harness nuclear energy for certain purposes. This program has had indifferent success, not purprisingly, because of the inevitable conflicts between the commercial interests and desires of individual member nations who wish to build up their own nuclear energy industries. There have been difficulties also with ELDO (development of satellite launching rockets) and ESRO
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8-263 (organization for space research). Conflicts of interest are partly responsible, but so are poorly defined charters for these organizations. In spite of inauspicious beginnings with EURATOM and other activities, the role of science and technology in EEC is likely to grow stronger. It is to be expected that common science and research policies will evolve as well as cooperation in the environmental sphere. One suggestion is the formation of a European Council in R&D. So far materials technology has not figured very prominently in the EEC other than through the Aigrain proposals described earlier, although this situation is likely to change. There is also motion towards greater cooperation in scientific affairs through the creation of a European Science Foundation. A prime concern of ESF would be, like the NSF, the "health of science." Other topics likely to deceive increasing attention within the EEC are technology assessment, and the mobility of scientists and engineers. The latter area is one in which already much has been done by the various scientific academies and equivalent organizations in the various countries. Some lessons that might be learned about international cooperation in scientific institutions from European experience so far appear to be: (a) No purpose is served by the development of common institutions for tasks which are unnecessary; (b) common institutions are most valuable when they can be seen, especially by those who contribute to the cost, to be credible sub- stitutes for national institutions already in existence; (c) the development of common institutions should not be regarded as a means of safeguarding the interest of individual countries in maintaining, perhaps uneconomically, a stake in some technical field that should be abandoned. It is hard to see why industrial enterprises by themselves should not be driven by purely commercial considerations to form consortia to perform technological tasks perceived to be internationally appropriate. On the whole, the best subjects for formal common institutions are those in which the public interest is predominant. And the materials field, along with energy and the environment, will increasingly offer such opportunities. It likely that nations will increasingly acquire the habit of working together not because of some philosophical rationale of the virtues of collaboration, but because it will become steadily more apparent that they cannot all "go it alone" and that they are interdependent. European Center for Nuclear Research (CERN) is CERN appears to be invariably regarded as a success. Located in Geneva, Switzerland, it provides scientists from many countries with large accelerator facilities for basic research on the fundamental particles and forces of nature. No doubt, a major factor in its success as a venture in international cooperation is that its field of endeavor is generally regarded as far removed from commercial and nationalistic interests. This is not a feature that the materials field can so easily exhibit.
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8-264 Scientific Societies Europe displays evidence of increasing collaboration among scientific societies in various countries. Perhaps the most notable recent development is the formation of a European Physical Society. This exercise in cooperation will bear watching. Some of the most obvious activities that joint activity by national societies, or tranenational ones, can undertake include: coordination of conferences, promotion of international exchanges of scientists and engineers, and more rationalized approaches to the publication of scientific periodicals. On a more global scale there are the International Unions of Pure and Applied Physics (IUPAP) and Pure and Applied Chemistry (IUPAC), principally active in the planning and coordination of conferences. There seems no reason why more scientific societies in the materials field could not under- take more such activities. U ~ S e - U.S.S.R. Cooperation In a special category are the opportunities for scientific and techno- logical cooperation between the O.S. and the U.S e S.R. In recent months, agreements have been reached to cooperate in 25 project areas. Of these, the topics that have a substantial component of materials technology are: chemical catalysis, electrometallurgy, forestry, metrology, standardization, environment, water resources, space, health, atomic energy, oceans, artificial heart, energy, transportation, and housing. Under this program there is an exchange of scientists for periods ranging up to six months and joint seminars are being planned. Some Further Possibilities This brief review of some of the existing programs and mechanisms of scientific and technological collaboration, with examples shown mostly from Europe, raises the question of what further could be done in this direction, particularly on a more global scale and involving the U.S.? Progressional societies in the U.S. might try to form stronger links, for instance, with their counterparts abroad. And why not, under the U.N. for example, start exploring the prospects for an International Science Policy Council, an International Science Foundation, and even a World University concerned primarily with the technological problems that confront society as a whole? An International Materials Year has also been suggested. Cooperation with Developing Countries The materials field forces attention on cooperation between the advanced countries (AC ' s ~ and the less developed countries (LDC ' s ~ . As the LDC ' s occupy a much larger fraction of the planet's land area than do the AC's, then by
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8-265 tile nature of things, they can be expected to own the major fraction of the world's mineral (and fuel) resources so needed by the AC's. It is often as if the supply side of the materials cycle lies in the LDC's while the use side lies in the AC's. But the LDC's, almost by definition aspire to and move towards raising their own level of technology. Justifiably they are not content to remain material suppliers but wish to embrace progressively more and more stages around the materials cycle. Thus, there is an almost inevitable sequence of technology transfer, by various mechanisms, from the AC's to the LDC's. For example, from the beginning as a straightforward supplier of raw materials, an LDC may wish to acquire process and refining capabilities. From there, it may move on to invest in transport systems and often ancillary industries. Then comes broadening of the industrial base into other bulk-material industries. The next step is local manufacture and assembly of somewhat simple products but this leads eventually to more sophisticated manufacturing industries. In time, the LDC will want to strengthen its technology by engaging more and more in the appropriate R&D. And in concert with this build-up of its technological fabric, the LDC will likely develop appropriate administrative and financial institutions. Thus, there are many levels at which technology transfer occurs, depending on the stage of development of the LDC. A particularly potent instrument for this technology transfer and inter- national cooperation in technology is the multinational corporation. Quoting Walter Orr Roberts: 25 "I am much impressed with the important technology transfer that sometimes materializes, under favorable circumstances, when multinational corporations take up the task of establishing industrial plants in developing regions. In areas where the prints of advanced technology are to be brought to a poor area, the sophistication to install environmentally- sound plants, the skill to integrate local managements, and to develop local markets in concord with local mores -- these things seem often to be especially well done by multinational corporations, and at small public cost." (See also next section.) Pursuing this theme, Emilio Daddario26 foresees much broader, even "mandatory", cooperation in future among sovereign nation-states. "For today, we possess the technological and organizational capabilities to begin not only to manage human affairs on a worldwide scale, but to feed, clothe, educate and otherwise care for all those who wish it. On the economic plane we have already begun to see evidence of this kind of capability in the form of large-scale private multinational corporations whose activities span many different sovereign and market boundaries. I believe that we could begin to do the same if man would only express finis will to do so." Continuing, Daddario notes, however, that before there will be any real global cooperation, there must be far greater consensus on its purposes and priorities among, say, enhancement of material well-being, intellectual International Science Policy Meeting, loc. cit., p. 29. 26 loc. cit. p. 74
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8-266 development, economic growth, education, arms control, peace-keeping, health care, or housing, etc. He explores the area of exploitation of natural res`'urces, observing the consumption rates by the AC's, the finiteness of the eartI~'s resources, and the political sensitivities of the LDC's. "And Yet, most of us in the developed world are still unwilling to restrict our own activities, to restrain our voracious appetites to consume, and to con- t`~'lace seriously the long-term implications of present-day action. We Prefer-, rattler, to go it alone as nations, exploiting and competing for these -usuries. We favor the near-term material benefit to the potential long- term loss, with only minor consideration of the real and present social costs, both to international political stability and to the developing countries, themselves." 27 As to more specific mechanisms of cooperation Harrison S. Brown has ·~cluded that "expanded transfers of capital from the rich countries to the poor are essential if development is to be accelerated. It is doubtful, however, that a really major increase in capital flow (a factor of two, for example) could be effectively absorbed at the present time for the reason that there simply are not enough trained persons in the poorer countries who tare able to make the decisions which must be made and to solve the problems w}~i`~ must be solved if development is to take place. Nor is there adequate `~rga~izationa1 structure which would permit decisions to be transformed ft-~tively into action or which would permit development problems to be Bled systematical!:. Nor are there adequate numbers of technically-trained p~rs`~s who cart carry out the multiplicity of tasks which are essential in even a quasi-technological society. Indeed, this appears to be a really basic limiting factor to the rate of development." Of equal importance to capital transfer is scientific and technical assistance. This is needed for "the solution of national development problems and for the building of the organizational structure which will make this possible. The basic aim of technical assistance should be to help a develop- ing nation select, adapt, and develop technologies which will help to achieve its social and economic objectives ... Research, analysis and problem- solving are major keys to development ... and here the United States, with the highest technological problem-solving capacity in the world, can play a major role." Wars of implementing policies to strengthen local scientific- tecl~nological problem-solving competence are for governments and their agencies in the AC's and their counterparts in LDC's to engage in joint technology programs, to create research councils and institutes to help modify educational approaches, and to develop guidelines for industrial research which will be cognizant not only of technical and economic considerations but also of the long-term effects of the proposed technology on the society as a whole. A sound R&D infrastructure is an essential element, particularly for the transfer of the more sophisticated technologies. Consulting engineers, university staff and other specialists can play important roles in aiding such transfer, although again it is worth emphasizing the importance of choosing appropriate technologies, taking into account the potential local markets, uses, skills, and knowledge. . . loc. cit. p. 127. -
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8-267 In general, broadly-based incentives designed to encourage transfer may often result in the transfer of irrelevant or inappropriate technology. Incentive programs need to be carefully and specifically framed so as to achieve the desired results. Other elements in facilitating technology trans- fer are to foster cooperative industrial research, business management training, international standardization and quality control. However, underlying all technical cooperation and technological transfer is an adequate level of education and training. The U.S. and its agencies can help considerably in this sphere, by the education of foreign nationals in appropriate materials technologies at universities in this country, by cooperative programs between U.S. and LDC universities, and by facilitating personal contact and experience between the AC's and the LDC's. Finally, in addition to capital transfer and technical assistance, much will depend on legislative and fiscal measures which influence the terms of trade, both in the donor and the recipient countries. Factors that can have these significant effects' positive and negative, include patent agreements, inventor and licensee protection, export and import restrictions and taxes, and local tax laws and regulations. Much of the above discussion is reinforced by recommendations made recently in an O.E.C.D. publication.28 They apply as much to the materials field as to science more broadly. "The needs of the developing countries for science and technology are undoubtedly different from those of the developed countries. National science and technology policies within the developed countries should therefore be formulated with attention to the particular situation of those countries." It was recommended that "problems relating to science, technology, and under- development be considered (by the AC's) as an integral part of their national science and technology policies". As a first step, it was proposed that an inventory should be made of science and technology activities in the AC's that are relevant to the LDC's. It was also proposed that the AC's, "as a matter of conscious and explicit policy, devote a certain fraction of their R&D activities to problems relevant to underdevelopment"... "Policies should be developed in two directions: (a) fostering in the LDC's the development of indigenous capability in science and technology relevant to the socio- economic situation of those countries, and (b) formulating research programs in favor of the LDC's in the laboratories of the AC's, as a part of science policy. "Only by creating institutions in the LDC's themselves does it seem possible, on the one hand, to become sufficiently close to the prevailing economic and social environments to respond to their real research and development needs." They recommended a pooling of AC resources with this aim in view, and stressed the value of centralizing knowledge of these actions to ensure that, so far as possible, they fit in with an overall plan of inter- national action for the installation of centers of research and advanced studies in the developing countries. science Growth and Society, O.EeCeD. ~ page 106, Paris, 1971.
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8-268 The study proposed further ways to facilitate international cooperation and technology transfer including: Ca) aid in creating in the LDC's technical information-evaluation centers manned and organized by specialists capable of informing themselves of technological development abroad and of advising on the importation of technologies, (b) fostering within the LDC's information banks for research on the 'Third World', and (c) availability of training assignments and visits by specialists from the LDC's to centers of excellence in their own disciplines in the AC's, to assure them of frequent consultation, without thereby inducing them to quit their own countries. The report concluded by recommending that "governments organize formal arrangements permitting scientists and engineers from AC's to spend periods of time in LDC's both to provide technical assistance and education, in situ, and to familiarize themselves with problems and conditions". Interactions with LDC's Particularly Concerning Materials Almost all relationships in the materials field with LDC's involve ownership of mineral resources and involve issues related to the degree of integration from ore to manufactured products. Except for stone, clay, and glass products, which can be produced and consumed locally, discovery and exploitation of natural resources are dependent on high-grade ore supplies needed by resource-limited industrial nations, notably in Western Europe. A strong impetus for late l9th-century imperialism and colonial empires rested upon the search for an assured supply of basic metals to feed the fabricating and manufacturing industries of the mineral-poor European countries. Because of the Monroe Doctrine, Latin America escaped direct colonialism, but the rich mineral resources of Chile and Peru were developed for the benefit of European and American consumers. Following World War II and its accompanying breakup of colonial empires, distinct national strategies were established regarding the exploitation of indigenous natural resources, and discernible patterns have emerged with particular minerals and in different mineral regions. These will be examined in more detail in the following paragraphs. Common to all national strategies is the assertion of ownership of local resources by the country possessing them. After wood, stone, clay, and glass products, all of which are globally abundant and necessary to preindustrial societies, development of domestic iron and steel resources was given major priority in a large number of develop- ing nations. While iron ore and limestone, both necessary raw materials, are widely distributed, sources of coking coal are less abundant. In addition, supplies of scrap were relatively low. In spite of these drawbacks, however, large integrated steel mills were constructed in the early post-war years in a number of Latin American countries as well as in some parts of Africa and India. Products were mostly simple carbon-steel shapes Reinforcing bars, structural sections, rails, etc.) all necessary for construction projects. Alloy and other specialty steels were imported, as well as flat-rolled products necessary for consumer-oriented products such as appliances and automobiles. In some areas, electric power projects instigated electric- furnace steel plants. Technology was derived from the U.S. and Western
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8-269 Europe, with capital supplied by U.S. Foreign Aid programs. Technical management was often supplied by foreign nationals, although local univer- sities eventually provided trained technical management. In contrast to iron and steel, almost all other metal-producing projects depended on supplies of high-grade, readily-exploitable mineral deposits, whose economic viability depended on demand by industrialized nations. Copper deposits in South America and Africa were developed, owned, and operated by foreign capital and manpower. Forward integration was limited to production of blister copper, the primary output of the smelting process, although a few electrolytic refineries were built in areas where power projects provided cheap electricity (particularly in Africa). Similarly, aluminum projects were based on exploitation of local supplies of rich bauxite. Nickel and ferroalloy projects (manganese and chromium) likewise were developed as sources of raw materials. In almost all cases, local manpower provided only a source of cheap labor, with supervision and management remaining the province of the educated foreign engineer. With increasing political independence, national strategies started taking form, primarily centered in the political demand for (a) local management, and (b) forward integration, in order to add value to the exported products. Two types of tactics were commonly employed - first, granting of special incentives to invite investment in forward-integration projects; and second, threatening loss of control of the ore body unless further investments were made. In either case, the exported products provided foreign exchange useful for other sectors of local development, either industrial or social. In almost all countries with an advantageous natural-resource position, this strategy has been successful in shifting the interface of product trans- fer from a simple upgraded mineral to a more sophisticated semifinished product. Efforts to develop local fabricating and product manufacturing facilities have been less successful, largely due to lack of local demand (or funds); moreover, metal industries are often capital intensive with relatively low manpower requirements. Process equipment, design and construction equip- ment are almost invariably provided by foreign sources. Thus, the plant owners are almost completely dependent on foreign technical innovation for process equipment. As a result of these factors, opportunities for employment of technically-trained people are limited to operating and management positions. Some countries have created scientific research institutes, and creditable technical university research is conducted, but the lack of infrastructure represented by equipment and process-design capabilities severely limits the development of a complete MSE structure. Since most innovation in metals production has been in the area of process conception and design, the lack of matching capital-goods industries slows down the widespread transfer of technology by means other than importing process equipment from highly- developed countries. The trend in extractive industries based in LDCts is toward increasing local autonomy in ownership, management, and technical supervision. Process equipment is almost exclusively supplied by well developed nations. Design and construction of facilities (with the exception of process and control equipment) now tend to be provided from local resources. Despite strong efforts to forward integrate, most resource-based products are exported to !
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8-270 consuming countries in a relatively simple form. Until a satisfactory local demand develops, this situation is likely to continue; thus, one of the principal sectors for MSE is growing only slowly in the developing countries. Absence of a major capital-goods manufacturing sector also limits the needs and opportunities for MSE. Finally, governmental financial policies which direct foreign exchange derived from raw-material exports towards other sectors of the economy, have also inhibited technical development in the LDC's. With respect to commodities, iron and steel production have reached the highest level of development, followed by aluminum, copper, ferroalloy ores (particularly manganese and chromium), lead, zinc, tin and minor metals. Emphasis on particular raw materials is almost exclusively determined by the availability of local raw materials. Educational and research facilities tend to reflect the state of product integration achieved in a given country. Hence, the evolution of an identi- fiable MSE educational and R&D community depends to a large extent on the nature and course of future economic developments in the particular LDC. Technological Interactions with LDC's - Example of India The standard of living in a country is, to a considerable degree, linked to the level of technological sophistication achieved in the means of producing industrial, consumer, and agricultural products. The technological gulf between the AC's and the LDC's is widening steadily and the question we are facing is how to bridge it. The immensity of this problem becomes apparent when one reflects upon the principal reason advanced for expanding the membership of the European Common Market: by pooling the technological resources of its members, it may be possible to achieve technical parity with the U.S. In the following paragraphs, attention is given to the steps taken, in collaboration with the developed countries, for the development of technical education facilities in India and the relevance of this education to the present phase of industrialization. Some additional alternatives for achieving the desired objective are then examined. During the past twenty years, five advanced technological institutes have been established in cooperation with the U.S., U.K., U.S.S.R., and West Germany; these collaborations were arranged under the auspices of UNESCO. In this scheme, the AC has provided the laboratory equipment and other accessories and also pays for the visiting faculty members. These specialists are responsible for evolving the technical curricula in consultation with their Indian counterparts and nurturing the institute through its infancy. These appointments are initially for one year, but are expendable. In the past the basic difficulty has been in attracting best-qualified foreign personnel to this scheme. The problem stems from the fact that an active research scientist usually does not want to disrupt his research program for a period as long as a year; this is particularly true for the experimentalists. In order to rectify the situation, the following steps have been taken: Ca) the visiting faculty members are now appointed in consultation with the department concerned; and (b) appointments for shorter durations are also now possible. , . .
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8-271 The primary objective of such institutes of technology is to impart technical education in the following disciplines: (a) Engineering (Electrical, Mechanical, Civil, Aeronautical, Architecture, Naval, Metallurgy and Ceramics, and Chemical); (b) Science (Physics, Chemistry, and Mathematics). The departments are organized along the traditional disciplinary lines rather than on an interdisciplinary basis. These departments are also actively engaged in research, and are authorized by the University Grants Commission to confer advanced research degrees, such as the M.S. and Ph.D. For a B.S. degree in a particular discipline, a student has to complete the prescribed curriculum, which includes courses from various other related disciplines. However, he has little choice in the selection of these courses; this organizational aspect is more in line with the British pattern than with the American. Consequently, there is no opportunity for him to evaluate whether or not he has chosen the discipline compatible with his interests. In these institutes, the education facilities are extremely good and the quality of education compares very favorably to that of the good schools in the technologically-advanced countries. However, the education may have little relevance to the technical needs of the present phase of industriali- zation. This point will be illustrated by taking specific examples. (a) Presently the metallurgically-oriented industry needs well-trained extractive metallurgists and engineers familiar with the fabrication of metals and alloys, whereas the current educational trend is towards physical metallurgy. A student will be well versed in such esoteric areas as dislocation theory, electron optics and electron microscopy, deformation behavior of single crystals, experimental methods in physical metallurgy, metal physics, phase transformations in solids, etc., but may not know the fundamentals of ore dressing, recovery of ferrous and nonferrous metals from their ores, fabri- cation of metals and alloys, nuclear metallurgy, and corrosion-protection of metals. (b) In electrical engineering, the emphasis is shifting towards solid-state electronics, but the need for engineers who can design and build better vacuum tubes, electrical motors, generators, etc., is still there. (c) In aeronautical engineering, the students learn about supersonic planes, but there is hardly any real opportunities for these engineers in the country. All this is in contrast to more essential engineers who can man hydroelectric power plants, chemical fertilizer plants, steel plants, as well as design and build roads and dams efficiently. The Indian faculty members are largely responsible for the aforementioned unbalance. This could stem from the fact that there is little coupling between these institutes and the industries they are meant to serve. It is very likely, of course, that redressing of this imbalance will lead to less comprehension of the new technical developments in the AC's, but a possible solution may be to offer only to some fraction of a class the choice between research and industrially-oriented curricula, whereas the rest would study the latter. The technical collaboration on a purely commercial basis with industry in the developed countries can be a very effective avenue for the transfer of technology to a developing country. This could include: Ca) obtaining technical information and machinery through a licensing agreement; fib) providing expert guidance in the creation of indigenous industries; (c) setting up of applied R&D laboratories.
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8-272 In developing certain basic industries, such as steelmaking, machine tools, etc., in an LDC, the advantages to an AC are relatively short term. Nevertheless, the establishment of labor-intensive industries can offer long- term benefits to both participants: Ca) cheaper finished products to export to the AC; (b) a possible market for other industrial products; Cc) increased opportunities of employment in the LDC. Advantages to an AC in participating in the aforementioned schemes are the following: (a) development of mutual understanding and opening of communi- cation channels; (b) cheaper finished products; (c) increased opportunities for trade. There can also be an undesirable gain in the osmosis of talent, i.e., the "brain drain" from the LDC to the AC. Korean Institute for Science and Technology - Example of U.S. Aid This Institute can be examined as a possible model for LDC's, especially those which are poor in conventional natural resources, South Korea is one of the world's most rapidly developing nations, having at present relatively low labor rates and thereby encouraging industrial activity as Japan did earlier. Playing a part in this evolving picture is the Korean Institute for Science and Technology (KIST), an organization that was established with U.S. financial and technical assistance during the latter 1960's. Its subsequent development has been guided by Battelle Memorial Institute. Modern laboratory facilities have been built, talented staff recruited from among Korean expatriates, and contract research for government and industry has started. The aim of KIST is to bring science and technology to Korea quickly, to spur economic development by applying science to local industrial needs, and to reverse the "brain drain". KIST is attempting to fill what would otherwise be a scientific vacuum in the country; to help industry select and adapt technologies already developed abroad; to improve production methods; to determine the best areas for investment; to find new ways for using local materials, to upgrade the quality of exports; and to produce important products that must now be imported such as machine tools and mechanical equipment. KIST also holds training sessions for scientists, technicians, and managers from industry' universities' and government. The President of KIST is a metallurgical engineer who received his higher education in the U.S. KIST is an autonomous, not-for-profit institute which serves the needs of government and industry without being subject to the political control of either. A special law was enacted to allow the government to donate money to KIST without exerting power over its plans and operations. Another law has encouraged industry to use KIST by providing special tax incentives. KIST succeeded in attracting a very competent staff; it mounted a determined recruiting drive, offered relatively high salaries, excellent fringe benefits, and fine research facilities. It also offered skilled Koreans an opportunity to use their talents in the service of their country -- "You have to be interested in solving our industrial problems rather than building up your academic reputation. If you're after a Nobel Prize you'd better stay in the United States." 1
Representative terms from entire chapter: