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2
Creating an Environment for
Productive International
Collaboration
“The role of international collaborations in advancing knowl-
edge and offering economic opportunities worldwide is growing,
thanks to factors such as access to the Internet; globalization; and
greater mobility of information, ideas, and people. Though inter-
national research collaborations also are growing (as measured, for
example, by multinational co-authorship on publications and shared
funding for international research projects), there are bottlenecks
and frictions that can pose impediments to meaningful and successful
international collaborations. This track will look broadly at trends
and issues that pertain to fostering productive international col-
laboration from the point of view of governments, universities, and
industry.” (Workshop Agenda)
2.1 RESEARCH COLLABORATION, U.S. FOREIGN POLICY,
AND THE GLOBAL CONTEXT1
The opening panel of the workshop on Examining Core Elements of
International Research Collaboration featured several different perspec-
tives on the overall environment for collaboration. Lawrence Gumbiner,
Deputy Assistant Secretary of State for Science, Space and Health, dis-
In this section and other sections summarizing presentations, views and opinions are
1
attributed to the presenter unless stated otherwise.
7
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8 CORE ELEMENTS OF INTERNATIONAL RESEARCH COLLABORATION
cussed how effective collaboration in science and technology can advance
broader U.S. foreign policy objectives.
Although science and technology have long played a role in U.S.
foreign relations, they are receiving renewed emphasis from the current
administration. One indicator of the overall importance of science is the
recruitment of several Nobel laureates to fill key executive branch positions,
including Secretary of Energy Steven Chu, National Cancer Institute Direc-
tor Harold Varmus, and Office of Science and Technology Policy Associate
Director of Science Carl Wieman.
President Obama (2009) laid out the broad philosophical context for
international research cooperation in a speech at the National Academy
of Sciences: “So many of the challenges that science and technology will
help us meet are global in character. . . . That is why my administration is
ramping up participation in and our commitment to international science
and technology cooperation across the many areas where it is clearly in our
interest to do so.” U.S. Secretary of State Hillary Clinton has reinforced
this commitment. For example, she has stated (2009) that “science
diplomacy and science and technology cooperation between the U.S. and
other countries is one of our most effective ways of influencing and assist-
ing other nations and creating real bridges between the United States and
counterparts.”
Mr. Gumbiner explained that international cooperation in science
and technology delivers several concrete benefits to the United States. The
first benefit is that it opens doors. In many countries where political and
economic relations with the United States are difficult or complex, scientists
can and do work together to find answers and promote human advance-
ments. This was true in the case of science and technology collaboration
during the Cold War with countries behind the Iron Curtain, and the same
is true today in relations with countries such as Cuba, Syria, and Iran.
The second benefit is problem solving. Many pressing global challenges
have a scientific or technological component. Researchers gain greater access
to information, ideas, and facilities through international collaboration.
This can facilitate a more rapid advancement of knowledge and discoveries.
A third benefit of international science and technology collaboration
is that it builds lasting relationships. While science has always transcended
borders, the current level of global interaction among scientists is unprec-
edented. The communications revolution and today’s open innovation
model allow scientists to partner with colleagues worldwide. Even in the
heavily networked world of today, face-to-face meetings still play a critical
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CREATING AN ENVIRONMENT FOR INTERNATIONAL COLLABORATION
role. American scientists and engineers who have benefited from opportuni-
ties to work abroad testify to the value of their lifelong connections. Lasting
relationships also deliver benefits at the national level, allowing the United
States to share the costs of science, particularly for large, expensive facilities
where the cost of going it alone would be prohibitive. One such example is
ITER (the International Thermonuclear Experimental Reactor).
Finally, Mr. Gumbiner pointed out that science and technology co-
operation is a powerful tool for promoting democratic values. Scientific
discovery is based on open and fluid discussion, and conclusions are based
on fact, not on issues of national origin, age, ethnicity, gender, or political
views. These values and the approach to international relations are close to
the core of what the United States seeks to do internationally.
The U.S. Department of State promotes science in several ways, serving
to coordinate and support over 20 technical agencies that actually imple-
ment collaborative programs. The State Department’s Bureau of Oceans
and International Environmental and Scientific Affairs (OES) plays a key
institutional role, including the negotiation and management of bilateral
science and technology agreements, of which there are currently 47. These
agreements create a framework for bilateral cooperation by facilitating the
exchange of scientific results; increasing access to data, ideas, and facilities
for researchers; addressing taxation issues; and responding to the complex
set of issues associated with economic development, security, and stability.
Intellectual property is often a key element of these agreements. For the
most part, bilateral S&T agreements are funded through the annual budgets
of research agencies.
The Science and Technology Adviser to the Secretary of State is a posi-
tion created about a decade ago in response to a National Academies report
(NRC, 1999). Key tasks for the S&T Adviser are to build partnerships with
international scientific communities; provide accurate advice; enhance sci-
ence and technology literacy and capacity within the Department of State;
and shape a global perspective on scientific and technological develop -
ments. The Department of State and individual bureaus also make use of
less formal mechanisms for incorporating science into policymaking, such
as fellows programs.
According to Mr. Gumbiner, another important policy area related
to international cooperation is visa processing for foreign researchers. The
Department of State has made significant progress in easing the difficulties
some foreign researchers have experienced due to post 9/11 visa processing
changes.
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10 CORE ELEMENTS OF INTERNATIONAL RESEARCH COLLABORATION
The Department of State also participates in several relevant ac-
tivities of the Organization for Economic Cooperation and Development
(OECD), including the Global Science Forum, which recently completed
work on dealing with allegations of research misconduct in international
projects, and is developing a compendium on issues and options for estab-
lishing large-scale facilities.
E duardo López Moreno, Director of the Urban Monitor -
ing Division of the United Nations Human Settlements Division
(UN-HABITAT), identified tasks in developing urban areas that can be
addressed through international research collaboration. The Urban Moni-
toring Division is based in Nairobi, Kenya, and is charged with research
on urban trends and urban policy analysis. It is responsible for producing
UN-HABITAT’s bi-annual State of the Cities report, which identifies urban
trends around the world. One of its main thrusts is the global sample of
cities—about 500 cities around the world that are monitored constantly
in order to discern trends that can be extrapolated to the rest of the world’s
urban areas.
A second thrust is a project called “local urban observatories,” of which
there are currently about 350. These are local groups of stakeholders that
often include universities and non-governmental organizations (NGOs),
sometimes with the involvement of government. The local urban observa-
tories produce urban indicators and policy analysis, performing studies for
UN-HABITAT.
These programs provide opportunities for international research col-
laboration, with the ultimate goal of effecting positive change in cities, as
opposed to advancing science or knowledge per se. One important issue is
developing definitions that can be accepted broadly. For example, what
is meant by “adequate housing”? There may be agreement that housing is a
fundamental problem, but each stakeholder will use their own context to de-
velop solutions. NGOs may tend to see adequate housing through the prism
of advancing human rights, government through the prism of improving its
technical approaches, and owners of land or real estate through the prism of
their own interests. It is important to develop operational definitions that
are nonthreatening to local actors. This can be helpful in creating conditions
that are conducive to collaboration and to building local consensus.
Dr. López-Moreno cited Target 11 of the Millennium Development
Goals, adopted in 2000, which is “to have achieved (by 2020) a significant
improvement in the lives of at least 100 million slum dwellers.” At that time
there was not an agreed definition of what constitutes a slum in Mexico, in
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CREATING AN ENVIRONMENT FOR INTERNATIONAL COLLABORATION
China, or in Africa. Ultimately, a definition was developed that is based on
five key indicators: (1) lack of access to water, (2) extent of public sanita-
tion, (3) percent of durable structures, (4) overcrowding, and (5) security
of tenure. This allows the United Nations to conduct analysis and track
developments over time in a sustainable way, even in countries that may
prefer to avoid the issue.
Another project undertaken by UN-HABITAT examined 250 cities in
the developing world to find out what drives prosperity and positive change
in these particular communities. The Latin American research concluded
that cities prosper because of civil society and cultural and political rights;
the Asian research concluded that national government efforts are critical;
and African research focused on the importance of private sector activity.
This illustrates that even research that is scientifically conceived and defined
has fundamental limits in the cultural and ideological position of develop-
ment in these regions. In UN-HABITAT’s own analysis, the ability of local,
central, and provincial governments to articulate a vision of change and
work together was very important to driving prosperity and positive change.
Analysis of best practices is also important, but has limitations.
Finally, organizational partners in developing countries may have been
created decades ago with very specific missions that may be outmoded.
For example, although 60 percent of cities and regions are shrinking in
populations, institutions aimed at controlling urban growth may still be
developing policies. Rather than “smart growth,” it is necessary to think
about “smart shrinking.”
2.2 INTERNATIONAL COLLABORATION TO
ADVANCE NATIONAL GOALS
Rafic Makki, Executive Director of the Office of Planning and
Strategic Affairs, Abu Dhabi Education Council, spoke about how inter-
national partnerships fit into Abu Dhabi’s overall strategy for upgrading
higher education. Abu Dhabi, home of the capital and largest Emirate in the
United Arab Emirates (UAE), has developed its higher education strategy in
order to meet changing human capital requirements that are resulting from
major diversification of the economy. Dr. Makki estimated that the Emirate
needed to add 232,000 workers over the next five years, with about 50,000
being Emirati citizens and the rest international.
Abu Dhabi has outlined ambitious plans to transition over the next
several decades from an oil-based economy (oil currently accounts for over
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12 CORE ELEMENTS OF INTERNATIONAL RESEARCH COLLABORATION
60 percent of output) to one based on leadership in international exchange,
culture, and media. These knowledge-based activities will require higher
education institutions to become more research-focused, to produce gradu-
ates with the skills needed by employers, to raise the quality of instruction,
and to expand access. The economic sectors of particular focus are semi-
conductor, aerospace, renewable energy, and health. Steady progress is being
made. Starting from scratch a few years ago, Abu Dhabi has already moved
into third place in the world in contract semiconductor manufacturing.
Dr. Makki explained that Abu Dhabi’s higher education strategy is
centered around four priorities (Figure 2-1: Abu Dhabi Higher Education
Strategy). The Emirate is poised to devote significant resources to research
and education, with public investments in research projected to increase to
0.75 percent of GDP by 2019.
International collaboration has been central to developing Abu Dhabi’s
higher education strategy, and strategic international partnerships will play
an important role in pursuing it. For example, higher education institutions
will be encouraged to seek accreditation from internationally recognized
bodies, and to create the research environment needed to attract and retain
world-class researchers. International higher education partners include
INSEAD2 in business education, University of Paris-Sorbonne in science
and law, Mohammed V University (Morocco) in Islamic Studies, and New
York University, which has established a campus in Abu Dhabi.
International collaboration is not without challenges. For example,
two foreign universities that established campuses in another Emirate have
closed. Abu Dhabi is pursuing a partnership strategy that ensures long-term
stability through carefully developed strategic and business plans.
Another perspective on how international research collaboration can
advance national goals was provided by Professor Low Teck Seng, Deputy
Managing Director of A*STAR (Agency for Science, Technology, and
Research) and Executive Director of A*STAR’s Science and Engineer-
ing Research Council (SERC) in Singapore. For some time science and
technology have been recognized as the driving force behind the rapid eco-
nomic growth of this island nation in Southeast Asia. Singapore’s economy
is 254 times as large as it was when it gained independence in 1965. Gross
domestic expenditure on R&D (GERD) is three percent of GDP, one of
INSEAD (Institut européen d’administration des affaires) is a graduate business school
2
based in France, with campuses and research centers in several other locations around the
world.
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Abu Dhabi Higher Education Strategic Plan Summary
Priorities Flagship Strategic Initiatives
Develop a tri-partite cooperative program (ADEC, Universities, P-12 Schools) to help
1
transition P-12 graduates to Higher Education
Raise the Quality of Abu Dhabi’s
Incentivize Higher Education institutions to seek institution and program-specific
Higher Education System to accreditation from internationally recognized accreditation bodies
Internationally Recognized Levels Monitor and support ADEC’s existing partnerships to ensure their success (e.g.,
business plans)
2 Work with stakeholders across industry, government and universities to identify
Align Higher Education with Abu workforce requirements and priorities in support of Abu Dhabi’s vision (e.g., Human
Capital Committee)
Dhabi’s Social, Cultural, and
Create a program to provide scholarships and financial aid packages (e.g., stipends)
Economic Needs
to retain existing students in priority disciplines
3 Implement a plan to establish an independent Abu Dhabi research funding agency
Build and Maintain a Research Develop university-affiliated national research centers in multidisciplinary fields
related to Abu Dhabi’s national priorities, in coordination with Mubadala
Ecosystem to Drive an Innovation-
Help provide the necessary infrastructure to attract and retain world class
Based Economy
researchers (endowed professorships, computing infrastructure, wireless Internet)
4
Implement a differentiated, tiered model for Higher Education in Abu Dhabi (e.g.,
Provide All Qualified Students with
Research Universities, Undergraduates colleges, Community colleges)
Affordable Access to Higher Develop a centralized scholarship program targeting priority sector areas and
Education graduate education and research
FIGURE 2-1 Abu Dhabi Higher Education Strategy. Abu Dhabi has identified four priorities and associated flagship initiatives
NOTES: ADEC=Abu Dhabi Education Council; Mubadala=Mubadala Development Company, an investment vehicle of the Government of Abu
Dhabi, which has a mission of helping diversify the Emirate’s economy through long-term, capital-intensive investments.
13
SOURCE: Rafic Makki. Figure/Table 2-1 Broadside
All words in bullet lists may need to be retyped, if more
editing is ncessary--
Sentences and words are in bits and pieces now, and will not reflow.
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14 CORE ELEMENTS OF INTERNATIONAL RESEARCH COLLABORATION
the highest levels in the world. Singapore often benchmarks itself against
Norway, because the populations are similar, at about 5 million, and GDP
is similar. Singapore is much smaller in land area, however, at 700 square
kilometers (a bit larger than Howard County, Maryland).
Singapore’s approach to S&T strategy has always been collaborative and
outward-looking. It started with the movement of disk drive manufacturing
from the United States to Singapore in the 1980s, starting with Seagate (a
global leader in the manufacturer of hard drives and storage solutions). In a
few years just about all the major disk drive companies were manufacturing
in Singapore. By the late 1990s it was recognized that in order to keep the
disk drive industry it would be necessary to build a stronger infrastructure
in the areas of R&D and education.
Professor Low pointed out that Singapore’s explicit S&T strategy was
launched in the early 1990s. Building on successful initiatives such as the
Data Storage Institute—today the leading center for storage technology
development as measured by papers and patents—the country has seen
rapid growth in R&D spending. This period has also seen several periods
of retrenchment, notably during the Asian economic crisis of 1997-1998.
The 2008-2009 global recession has also brought challenges. In response
to each setback, Singapore has reexamined its strategies and redoubled its
commitment to fostering R&D activities.
A*STAR represents Singapore in the development of international col-
laborative activities with government agencies in the United States, Europe,
and Asia. For example, A*STAR co-funds joint grants with the United
Kingdom (UK) Medical Research Council for research collaboration be-
tween researchers in Singapore and the UK. Similar agency-to-agency joint
funding programs are in place with Japan and China. When new initiatives
of this type are launched, joint workshops are held involving researchers
from each country to explore interest in working together.
A*STAR also helps to facilitate relationships with international uni-
versities, including the Massachusetts Institute of Technology (MIT). The
new CREATE campus at the National University of Singapore will support
cutting edge research efforts by several foreign universities. A*STAR also
continues to work directly with international companies in storage, micro-
electronics, and aerospace.
Research funding and collaboration are complemented by efforts to
support education and to attract talented foreigners to Singapore, both
students and senior scientists and engineers. The goal is to sustain Singapore
as a global S&T node.
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CREATING AN ENVIRONMENT FOR INTERNATIONAL COLLABORATION
2.3 CLARIFYING COMMONALITIES AND DIFFERENCES
Dr. John Kirkland, Deputy Secretary-General of the Association of
Commonwealth Universities (ACU), discussed some of the broad trends
in international research collaboration that he sees, and implications for
institutions entering partnerships. Founded in 1913, the ACU is the oldest
international association of universities, with over 500 members located in
54 countries. Two-thirds of member institutions are located in the “develop-
ing Commonwealth.”
Research management is one of several priority focus areas for ACU.
The Global Research Management Network was launched in 2005 and
brings together research practitioners around the world. Activities include
benchmarking, strengthening research management systems in the develop-
ing world, and professional development.
Dr. Kirkland suggested that developed and developing country institu-
tions be clear about commonalities and differences when they develop col-
laborative agreements. The commonalities include curiosity regarding the
core research questions, the process being led by individuals and research
teams rather than institutions, and a trend toward competitively-awarded
projects. The differences may include resources, institutional infrastruc-
ture, time, and incentives. In the developing world, for example, academic
salaries may not cover all of a faculty member’s salary, and they may oper-
ate more like a small business. Institutions may not have a research office.
Expectations for how problems are handled during the project should be
adjusted accordingly.
At the broad, conceptual level, sides need to be clear on how they and
their prospective partner answer some simple questions: What are you try-
ing to achieve? Why this partner? Who are you really dealing with? What
is their motivation? What outcome would make both parties happy? The
issues that arise in practice include the allocation of tasks, finances, con-
tracts, intellectual property, continuation of the partnership, and public pre-
sentation. The partnership will benefit from clarity and directness upfront.
2.4 EXAMPLES OF U.S. INTERNATIONAL ENGAGEMENT IN
SCIENCE AND TECHNOLOGY
Nina Fedoroff, Science and Technology Advisor to the Secretary
of State and to the Administrator of the U.S. Agency for International
Development (USAID), gave the keynote talk at the workshop. Dr. Fe-
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16 CORE ELEMENTS OF INTERNATIONAL RESEARCH COLLABORATION
doroff was in the last week of her government service at the time of the
workshop, and reflected on successful examples of international research
collaborations.
One successful example from the 1990s is the Nunn-Lugar program to
redirect weapons scientists from the former Soviet Union with U.S. funding
motivated by a desire to prevent nuclear proliferation. In parallel, the Inter-
national Science Foundation, funded by George Soros, supported research
and the provision of scientific literature to former Soviet scientists. Both of
these programs changed over time to adapt to new conditions.
Today, the United States may be embarking on a new era of using
science in an international setting, with recognition that science is one of
America’s best diplomatic tools. One initiative that is a successor to those
in the former Soviet Union is the Iraqi Virtual Science Library, a web portal
for Iraqi scientists that the U.S. government developed with participation
from Sun Microsystems. Today, the advent of digital technology has made
the dissemination of scientific literature much easier.
Online access to scientific information is still a problem, but even
underserved areas such as Africa are adding significant network infrastruc-
ture. There is still a lack of people-to-people connections to a large extent.
Many of the university-to-university agreements between U.S. and develop-
ing country institutions are not on the radar of the average researcher. This
may constitute a “last mile” problem in human terms, analogous to the
problem of providing broadband access over the “last mile” to individual
homes and organizations.
Dr. Federoff stated that many higher income developing countries now
have mechanisms to fund their own investigators, but may face independent
applications processes. Are there ways of reviewing collaborators at the same
time in both countries? The United States does have some agreements with
individual agencies abroad, but this is not done across the board.
Even longstanding international research programs such as the Human
Frontier Science Program are difficult to sustain because of the need for
annual appropriations from governments. The Israel-U.S. Binational Indus-
trial Research and Development Foundation was endowed some time ago,
but this is an exception.
One very successful bilateral collaborative effort is the Pakistani-U.S.
Science and Technology Agreement, where USAID and the Higher Educa-
tion Commission of Pakistan each contributed funding to implement. The
National Academy of Sciences independently reviews the applications for
funding, and then there is a joint meeting. The program has accomplished
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CREATING AN ENVIRONMENT FOR INTERNATIONAL COLLABORATION
remarkable things, such as bringing telemedicine to Pakistan, retrofitting
buildings following the 2005 earthquake, and creating electronic health
records.
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by-the-President-at-the-National-Academy-of-Sciences-Annual-Meeting/.
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Foreign Policy: Imperatives for the Department of State. Washington, DC: National
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