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EXAMINING
CORE ELEMENTS OF
INTERNATIONAL RESEARCH
COLLABORATION
SUMMARY OF A WORKSHOP
Susan Sauer Sloan and Tom Arrison, Rapporteurs
Planning Committee for the Workshop on
Examining Core Elements of International Collaboration
Government-University-Industry Research Roundtable
Policy and Global Affairs
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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001
NOTICE: The project that is the subject of this report was approved by the Governing
Board of the National Research Council, whose members are drawn from the councils
of the National Academy of Sciences, the National Academy of Engineering, and the
Institute of Medicine. The members of the committee responsible for the report were
chosen for their special competences and with regard for appropriate balance.
This study was supported by Contract/Grant No. FA9550-10-1-0041 between the Na-
tional Academy of Sciences and the Air Force Office of Scientific Research, the Office
of Naval Research, and the U.S. Army International Technology Center–Atlantic. Any
opinions, findings, conclusions, or recommendations expressed in this publication are
those of the author(s) and do not necessarily reflect the views of the organizations or
agencies that provided support for the project.
International Standard Book Number-13: 978-0-309-21640-1
International Standard Book Number-10: 0-309-21640-0
Additional copies of this report are available from the National Academies Press, 500
Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202)
334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu
Copyright 2011 by the National Academy of Sciences. All rights reserved.
Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of
distinguished scholars engaged in scientific and engineering research, dedicated to the
furtherance of science and technology and to their use for the general welfare. Upon the
authority of the charter granted to it by the Congress in 1863, the Academy has a man-
date that requires it to advise the federal government on scientific and technical matters.
Dr. Ralph J. Cicerone is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of
the National Academy of Sciences, as a parallel organization of outstanding engineers.
It is autonomous in its administration and in the selection of its members, sharing with
the National Academy of Sciences the responsibility for advising the federal government.
The National Academy of Engineering also sponsors engineering programs aimed at
meeting national needs, encourages education and research, and recognizes the superior
achievements of engineers. Dr. Charles M. Vest is president of the National Academy
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to secure the services of eminent members of appropriate professions in the examination
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The National Research Council was organized by the National Academy of Sciences in
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both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles
M. Vest are chair and vice chair, respectively, of the National Research Council.
www.national-academies.org
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PLANNING COMMITTEE FOR THE WORKSHOP ON
EXAMINING CORE ELEMENTS OF
INTERNATIONAL COLLABORATION
JOHN M. CARFORA, (Co-Chair), Associate Vice President for Research
Advancement and Compliance, Loyola Marymount University
JAMES J. CASEY, JR., (Co-Chair), Executive Director, Office of Grants,
Contracts and Industrial Agreements, The University of Texas at San
Antonio
KUNMO CHUNG, Advisor, Korea Electric Power Corporation, Seoul,
Republic of Korea
GIULIA DEL BRENNA, Head of Unit, Competitiveness in the
Pharmaceuticals Industry and Biotechnology, European Commission,
Brussels, Belgium
CELIA MERZBACHER, Vice President for Innovative Partnerships,
Semiconductor Research Corporation, Research Triangle Park,
North Carolina
BARBARA B. MITTLEMAN, Director, NIH Program on Public Private
Partnerships, National Institutes of Health, Bethesda, Maryland
Principal Project Staff
SUSAN SAUER SLOAN, Rapporteur and Director, Government-
University-Industry Research Roundtable
TOM ARRISON, Rapporteur and Senior Staff Officer, Policy and Global
Affairs Division
DENISE GREENE, Administrative Coordinator, Government-
University-Industry Research Roundtable (until July 2011)
LAURENA MOSTELLA, Administrative Assistant, Government-
University-Industry Research Roundtable
CLAUDETTE K. BAYLOR-FLEMING, Administrative Coordinator,
Federal Demonstration Partnership
CHRIS VERHOFF, Financial Associate, Policy and Global Affairs Division
v
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Preface and Acknowledgments
Serving as co-chairs of the Planning Committee for the Workshop
on Examining Core Elements of International Collaboration, we enjoyed
an extraordinary opportunity to work with some of the world’s leading
scholars, practitioners and global thinkers. Indeed, every workshop partici-
pant played an integral role in making this GUIRR workshop a success.
The Planning Committee worked collaboratively over several intense
months to identify and secure internationally recognized experts who could
come to Washington, D.C. to speak and share insights and experiences from
their respective areas of expertise.
An active GUIRR working group known as the “I-Group” supported
the efforts of the Planning Committee and must be commended. Members
of the I-Group include: Norka Ruiz Bravo (National Institutes of Health/
Pan American Health Organization), Susan Butts (The Dow Chemical
Company), Brian Fitzgerald (Queensland University of Technology, School
of Law – Australia), Wayne Johnson (Independent; formerly Hewlett-
Packard Company), Maria Koszalka (Consultant; Northrop Grumman
Corporation), Mark Maurice (Air Force Office of Scientific Research),
Walter Schaffer (National Institutes of Health), Patrick Schlesinger
(University of California, Berkeley), Robin Staffin (U.S. Department of
Defense), Sandra Titus (Department of Health and Human Services-Office
of Research Integrity), and Larry Weber (National Science Foundation).
Planning Committee members were also part of I-Group.
vii
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viii PREFACE AND ACKNOWLEDGMENTS
Throughout this demanding planning process, we also drew energy
from the leadership of Dr. C. D. (Dan) Mote, Jr., President of the Uni-
versity of Maryland at College Park, and co-chair of the Government–
University–Industry Research Roundtable (GUIRR). Similarly, the
workshop could never have been realized without the skills and able
assistance of Susan Sauer Sloan, Director of GUIRR, Denise Greene,
Administrative Coordinator (GUIRR), Laurena Mostella, Administra-
tive Assistant (GUIRR), Claudette K. Baylor-Fleming (FDP) and Chris
Verhoff, Financial Associate, Policy and Global Affairs. Similarly, Tom
Arrison, a Senior Staff Officer, Policy and Global Affairs, along with Bob
Killoren, an I-Group member who had to withdraw for medical reasons,
were also terrific resources throughout.
We would also like to thank the workshop sponsors: the Air Force
Office of Scientific Research, the Office of Naval Research, the U.S. Army
International Technology Center–Atlantic, and the National Institutes of
Health.
This summary has been prepared by the rapporteurs as a factual sum-
mary of what occurred at the workshop. The planning committee’s role
was limited to planning and convening the workshop. The statements
made in this volume do not necessarily represent positions of the planning
committee, the workshop participants as a whole, GUIRR, or the National
Academies.
This report has been reviewed in draft form by individuals chosen for
their diverse perspectives and technical expertise, in accordance with pro-
cedures approved by the National Academies’ Report Review Committee.
The purpose of this independent review is to provide candid and critical
comments that will assist the institution in making its published report as
sound as possible and to ensure that the report meets institutional standards
for quality and objectivity. The review comments and draft manuscript
remain confidential to protect the integrity of the process.
We wish to thank the following individuals for their review of this
report: Norman Hebert, Brown University; Ralph Kuncl, University of
Rochester; Tembeka Mpako-Ntusi, Cape Peninsula University of Technol-
ogy, South Africa; Neela Patel, Abbott Laboratories; and Anne Petersen,
University of Michigan.
Although the reviewers listed above have provided many constructive
comments and suggestions, they were not asked to endorse the content of
the report, nor did they see the final draft before its release. Responsibility
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ix
PREFACE AND ACKNOWLEDGMENTS
for the final content of this report rests entirely with the rapporteur(s) and
the institution.
John M. Carfora, Ed.D. James J. Casey, Jr., J.D.
Co-Chair, Planning Committee Co-Chair, Planning Committee
for the Workshop on Examining for the Workshop on Examining
Core Elements of International Core Elements of International
Research Collaboration Research Collaboration
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Contents
1 Introduction 1
1.1 Background and Context for the Activity, 3
1.2 Framing the Issues, 4
2 Creating an Environment for Productive International
Collaboration 7
2.1 Research Collaboration, U.S. Foreign Policy, and the
Global Context, 7
2.2 International Collaboration to Advance National Goals, 11
2.3 Clarifying Commonalities and Differences, 15
2.4 Examples of U.S. International Engagement in Science and
Technology, 15
3 Cultural Differences and Nuances 19
3.1 The Impact of Culture on Research Collaborations, 19
3.2 Research Collaborations in a Global Organization, 22
3.3 Perspective of a South African Institution, 23
3.4 Perspective of a Publisher, 24
xi
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xii CONTENTS
4 Ethics 27
4.1 Ethical Issues in International Industry-University
Research Collaboration, 27
4.2 Ethical Considerations Affecting Clinical Research
Involving Children in the Developing World, 28
4.3 Ethical Considerations in Science and Engineering Practice, 30
4.4 Sample Perspectives from the Breakout Session on Ethics, 33
5 Research Integrity and the Responsible Conduct of Research 35
5.1 The Value of Written Agreements, 35
5.2 The Importance of Understanding Your Collaborator’s
Context, 37
5.3 Research Integrity Issues in a Collaborative Project, 38
5.4 Sample Perspectives from the Breakout Session on Research
Integrity and the Responsible Conduct of Research, 41
6 Risk Management 43
6.1 International Cooperation on Risk Management, 43
6.2 U.S. Federal Agency Approaches to Risk Management in
Research, 44
6.3 Understanding Risk in International Partnerships, 45
6.4 Sample Perspectives from the Breakout Session on Risk
Management, 47
7 Intellectual Property 49
7.1 IP Trends from a U.S. University Perspective, 49
7.2 International Cooperation in IP Issues, 51
7.3 Sample Perspectives from the Breakout Session on
Intellectual Property, 53
8 Export Controls 57
8.1 The U.S. Policy Context for Export Controls, 57
8.2 University Perspective on Export Controls, 58
8.3 European Perspective on Export Controls, 60
8.4 Industry Perspective on Export Controls, 60
8.5 Sample Perspectives from the Breakout Session on Export
Controls, 61
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xiii
CONTENTS
9 Legal Issues and Agreements 63
9.1 Collaborative Mechanisms: Pros and Cons of Various
Approaches for U.S. Universities, 63
9.2 Risk Areas and Key Contract Provisions in International
Collaboration, 66
9.3 International Collaboration and the European Commission’s
7th Framework Program, 73
10 Summary Discussion 75
Appendixes
A Workshop Agenda 77
B Workshop Participants 89
C Bios for Planning Committee, Agenda Speakers, and Staff 99
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