|
Items in cart [0] |
Questions? Call 888-624-8373 |
| Copyright © 2009. National Academy of Sciences. All rights reserved. Terms of Use and Privacy Statement |
Below are the first 10 and last 10 pages of uncorrected machine-read text (when available) of this chapter, followed by the top 30 algorithmically extracted key phrases from the chapter as a whole.
Intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text on the opening pages of each chapter.
Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.
Do not use for reproduction, copying, pasting, or reading; exclusively for search engines.
OCR for page 1
Introduction
Collaboration in science and technology is a hallmark of the late twentieth
century. Cooperation across national frontiers is expanding, aided by new com-
munications technologies and motivated by the global nature of many scientific
challenges. Within nations, cooperation between government and industry is ex-
panding to meet national goals and common technological challenges. Strategic
alliances among businesses also are expanding dramatically, enabling firms to
meet a variety of goals, from sharing expertise and costs to establishing global
standards and ensuring market access for final products. The global nature of
many technological challenges and the enormous expense associated with devel-
oping new technologies have made international cooperation an essential element
of national science and technology policy.
Successful collaboration, among both nations and firms, requires care and
commitment. Care is necessary because much depends on the choice of partner
and the clear articulation of goals and responsibilities. The sustained commit-
ment of individuals and institutions and, not least, sustained funding, are essential
for cooperative activities to bear fruit. To fully realize the benefits of interna-
tional collaboration, substantial vision and commitment are required of research-
ers and policy makers alike.
The December 1997 signature of the Agreement for Scientific and Techno-
logical Cooperation Between the European Community and the Government of
the United States of America (US-KU S&T Agreement)i represented a signifi-
cant achievement, creating a bridge between the research and development (R&D)
iSee the Annex for the text of the Agreement.
OCR for page 2
2
INTRODUCTION
systems on both sides of the Atlantic. To ensure that the Agreement had an
immediate and positive effect on transatlantic cooperation, both parties agreed to
hold a major conference during the British presidency of the European Union on
June 8-9, 1998. Organized under the auspices of the National Research Council's
Board on Science, Technology, and Economic Policy, the conference had three
objectives: First, it served as an important opportunity to publicize the Agree-
ment within the research community and among policy makers on both sides of
the Atlantic. Second, the conference brought together experts in substantive ar-
eas where opportunities for fruitful collaboration were believed to exist. Third,
the conference sought to examine crosscutting issues of common interest in areas
such as the framework for R&D collaboration, small business development, and
the internationalization of the technical workforce.
To achieve these objectives, the conference deliberations were organized
around three broad categories:
· the policy context, articulated by senior officials;
· specific research topics discussed in small meetings of researchers and
policymakers interested in collaboration and
· crosscutting issues of broad interest to the two communities.
THE POLICY CONTEXT FOR THE U.S.-EU S&T AGREEMENT
As Under Secretary of State Stuart Eizenstat noted in his opening remarks,
the US-KU S&T Agreement is part of the New Transatlantic Agenda of 1995,
which seeks to strengthen ties between the European Union and the United States.
The European Commission's Ambassador to the United States, Hugo Paemen,
noted that the new S&T agreement complements both the New Transatlantic
Agenda and the EU's Fifth Framework Programme. The Ambassador also ob-
served that the Agreement has taken effect at a time when the United States has
launched its 21St Century Research Fund. This confluence of events makes the
Agreement especially timely.
The Deputy Director of the National Science Foundation, Joseph Bordogna,
reminded the audience that scientific and technological advance must take place
with human consequences in mind. Dr. Bordogna urged the gathering of scien-
tists and policy makers to use the new U.S.-EU S&T Agreement to address hu-
man needs within the context of a global imperative to reduce inequality and
protect the environment. Professor Jorma Routti, Director General of DO XII,
highlighted the socioeconomic dimension of the Fifth Framework Programme by
laying out some of its specifics. This Programme will focus on the life sciences
and biotechnology, information technologies, competitive and sustainable growth
of industries, as well as energy and the environment. International cooperation is
a key element in the Programme, as are promoting innovation in small businesses
and improving worker training.
OCR for page 3
INTRODUCTION
3
Acting Assistant Secretary of State, Melinda Kimble, focused her remarks
on implementation of the Agreement. Article 6 of the Agreement calls for con-
vening a joint consultative group (JCG) to discuss implementation. The informal
JCG meeting, scheduled immediately following the conference, addressed many
of the topics taken up by the conference. These included endocrine disrupters,
information science and technology, materials research, intermodal transporta-
tion and intelligent transportation systems, measurement equivalents, health and
environmental effects of radiation, and climate-change prediction. Ms. Kimble
emphasized that a cornerstone of the strategy to realize the U.S.-EU S&T
Agreement's potential will be to enlist the public and private sectors in joint
efforts to implement and publicize the Agreement.
In offering his perspective on the Agreement, Rainier Gerold, Director Gen-
eral of the European Commission, stressed that the U.S.-EU S&T Agreement is
particularly important to Europe in light of the growing importance of the Fifth
Framework Programme to the overall European research and development (R&D)
enterprise. R&D to be funded by the Fifth Framework Programme totals 3.5
billion ecu. Although this is three times larger than the First Framework
Programme in real terms, it amounts to only 5 percent of all S&T funding among
EU members. However, the Framework Programme is increasingly important
because it addresses strategic issues, such as health and the environment. Be-
cause the policy challenges are global in nature, the payoffs from cooperation can
be great. The New Transatlantic Agenda's section on R&D recognizes this real-
ity and explicitly calls for wider cooperation between the United States and Euro-
pean Union in science and technology.
Notwithstanding the widespread recognition of the benefits of greater trans-
atlantic cooperation, Dr. Gerold recalled the challenges the negotiators faced in
reaching the Agreement. For example, he noted the difficulties encountered in
engaging separate R&D systems and the specific differences that emerged on
intellectual property and rules for foreign participation. Dr. Gerold concluded
that the new S&T Agreement will work best if it mobilizes researchers and stimu-
lates bottom-up cooperation on both sides of the Atlantic.
Italy's Director General for Research, Dr. Paolo Fasella, provided the per-
spective of a leading European member state on the accord. Dr. Fasella reminded
the audience of the current importance and likely continued prominence of bilat-
eral cooperation between the United States and individual European countries.
For example, the large European intergovernmental research organization for
particle physics, CERN, operates outside the framework of the S&T Agreement
and will undoubtedly continue to be the focal point for cooperation on this type of
research. Citing an example from his own country, Dr. Fasella pointed to the
Agreement between the U.S. National Aeronautics and Space Administration and
the Italian Space Agency to work together to develop technology for the Interna-
tional Space Station. As valuable as the new S&T Aagreement is, Dr. Fasella
OCR for page 4
4
INTRODUCTION
emphasized that bilateral cooperation will continue to play an important and
complementary role in the future.
POTENTIAL AREAS FOR COLLABORATION
The afternoon session of the first day consisted of breakout sessions on each
of the four topical areas: information technologies, transportation, climate predic-
tion (forecasting applications and impacts), and human environmental health sci-
ences (endocrine disrupters). More than one topic was covered in these areas,
and the assembled scientific and policy specialists spent two hours exploring
potential areas of transatlantic cooperation. After the breakout sessions, session
chairs reported their recommendations to all conference participants.
For information technology, Ray Kammer, Director of the National Insti-
tutes of Standards and Technology, reported on electronic commerce, cross-lin-
gual information management, and the Next Generation Internet. In general,
each group identified specific issues in each field in which the United States and
the European Union might collaborate. An important issue, particularly for elec-
tronic commerce and cross-lingual information management, will be standards
setting. Global standards are inherently transnational. Agreement on standards is
essential if we are to realize the full potential of many new information technolo-
gies. The groups also urged that a process be put in place to facilitate collabora-
tion between the United States and the European Union in information technolo-
g~es.
U.S. Associate Deputy Secretary of Transportation John Horsely reported on
the three topics covered by the breakout sessions on transportation: intermodal
transportation, intelligent transportation systems, and strategic enabling research.
Mr. Horsely noted that an important goal of transportation research is to encour-
age sustainable and competitive growth, while working to decouple traffic growth
from economic growth. The transportation conferees identified specific common
research interests and suggested convening a workshop on the institutional im-
pediments to transatlantic collaboration on transportation research.
John Krebs, a member of the United Kingdom's National Environmental
Research Council, summarized the breakout session on climate prediction, fore-
casting applications and impacts. Dr. Krebs noted that the climate research com-
munity is already very well connected internationally beause of the global nature
of climate research. Any mechanism established under the U.S.-EU S&T Agree-
ment must therefore be transparent and more convenient than existing mecha-
nisms. The climate group cautioned strongly against "double jeopardy" in an
application process that requires researchers to clear bureaucratic hurdles in both
Brussels and Washington. The climate breakout group identified a number of
areas for potential collaboration, such as the terrestrial environment and the pre-
cision of climate forecasting, encouraged further dialogue, and suggested that
OCR for page 5
INTRODUCTION
s
representatives of the business and polar science communities be included in
future meetings.
Paul Foster of the Chemical Industry Institute of Toxicology summarized the
breakout session on human environmental health science, which focused on en-
docrine disrupters. These are chemicals released into the environment that can
function as hormones. Some believe that they may have a serious impact on
humans, wildlife, and vegetation. Breakout participants identified risk assess-
ment and further examination of the fundamental biology of endocrine disrupters
as possible areas for collaborative research. The breakout group suggested that
the procedure for obtaining funds under the Agreement be made clear to the re-
search community and that a panel of experts be gathered to flesh out additional
collaborative opportunities. The group also raised the prospect of trade issues
arising from endocrine disrupters, because government intervention into the man-
agement of chemicals easily could have trade consequences.
KEYNOTE SPEAKERS
At the end of the first day, the conference heard from John Cadogan, Direc-
tor General, Research Councils of the United Kingdom, and, for the evening's
keynote address, from Gordon Moore, Chairman Emeritus of Intel. Interestingly,
both speakers placed innovation in the broader context of the advancement of
knowledge, and both emphasized the need to ensure adequate support for curios-
ity-driven research.
Dr. Cadogan pointed out that the creativity of scientists in the laboratory
must be harnessed in order to make collaboration between the United States and
the European Union effective. A conference is not enough to realize the potential
of the Agreement; it is necessary to cultivate the innovators in the laboratory. Dr.
Cadogan observed that in Europe, scientists have become skilled in collabora-
tion, but must do better at making new discoveries. In the same way that the latter
half of this century was transformed by the electronics revolution, he expects that
biotechnology will prove the most fruitful ground for discovery in the next cen-
tury.
Dr. Moore presented an overview of the semiconductor industry's history of
innovation, based on his personal experience with Intel, the leading U.S. semi-
conductor producer. He highlighted the role that international cooperation could
play in tomorrow's innovation. Dr. Moore explained that, from its earliest days,
when the transistor was invented at Bell Laboratories, the semiconductor industry
has been a beneficiary of the industrial research system. From their modest be-
ginnings, semiconductors have become a pervasive part of every industry. The
semiconductor industry now has over $150 billion in annual revenues and sup-
ports a larger electronics industry of $1 trillion worldwide. The ability to pack
more and more processing capability on the same piece of silicon has led to the
spectacular cost declines and functionality improvements that have been the hall
OCR for page 6
6
INTRODUCTION
mark of the industry. A few years after the invention of the semiconductor in
1948, it was estimated that the cost of making a single transistor soon would be
60 cents. Today, a single transistor costs less than one-eighth of a microdollar, or
120 nanobucks.2
The system that brought about such innovations is, however, under stress.
Large industrial labs have been downsized in recent years and the R&D that
many companies conduct is increasingly short term in nature. Long-term re-
search is less frequently undertaken, not only because it is costly and uncertain,
but also because companies find it difficult to fully capture its benefits.
Yet the need for long-term research in the semiconductor industry remains as
urgent as ever. Optical lithography is approaching the physical limits of its abil-
ity to etch circuit lines onto silicon.3 Alternative technologies are under develop-
ment, but the research is expensive and it will take several years for promising
alternatives to come into production. For example, x- ray lithography shows
promise, but there are technical and financial challenges to overcome. To ad-
dress these common challenges, the semiconductor industry established the Na-
tional Technology Roadmap for Semiconductors as a mechanism to identify tech-
nical challenges and coordinate industry, government, and university research.
Partly as a result of the road-map approach, funding shortfalls for some basic
research increasingly are recognized. Dr. Moore explained that it generally is
accepted that it is most appropriate for government to support widely applicable
university research, noting that "even if the research fails, you still get trained
students." For this reason, the semiconductor industry has created a number of
programs designed to support university research, but additional government sup-
port for university research would be a worthwhile investment. In conclusion,
Dr. Moore noted that international collaboration is bound to be valuable in meet-
ing future research challenges, especially among firms and universities.
CROSSCUTTING ISSUES
Developing Small Business
The second day of the conference focused on additional topics of interest to
the technological and economic development of Europe and the United States.
Recognizing the importance of entrepreneurship to ensuring a technologically
dynamic economy, conferees discussed their efforts to promote small business
development. One case drawn from the U.S. experience focused on the Ameri
2A microdollar is one millionth (10-6) of a dollar and a nanobuck is one billionth (10-9) of a dollar.
3At one time, it was thought that optical lithography would be able to manufacture chips whose
line-widths were no smaller than 250 nanometers (nm). However, existing optical techniques have
proven capable of reaching the lOOnm line-width level.
OCR for page 7
INTRODUCTION
7
can Textile Partnership. This is an effort by the entire U.S. textile industry in
cooperation with the national laboratories to promote the use of advanced tech-
nology in textile manufacturing. The U.S. national laboratories develop a wide
range of technologies to meet national defense missions, and many of these tech-
nologies can have applications in industry. Having defense laboratories and in-
dustry work together on common technological challenges is often a way for both
parties to gain expertise while increasing taxpayers' return on their investment in
the national laboratories.
Another example of U.S. efforts to promote the small business sector is the
Small Business Innovation Research (SBIR) program. This program, established
by Congress in 1982, sets aside a fixed percentage of selected U.S. agencies'
R&D budgets for grants to small businesses. The program's purpose, as laid out
in its authorizing legislation, is to augment private-sector commercialization of
publicly funded R&D, increase small business participation in federal R&D pro-
grams, and improve the dissemination of federal R&D opportunities, particularly
to small businesses owned by women or socially and economically disadvan-
taged individuals.4 In working toward those goals, the government hopes to take
greater advantage of the innovative capacities of small businesses. Recent re-
search suggests that this program has registered some success for national re-
search programs. An empirical analysis presented by Professor Joshua Lerner of
the Harvard Business School showed that recipients of SBIR awards perform
better than similar small businesses that have not received SBIR awards.5
The European Commission has programs with similar goals. Dr. Patrice
Laget of the European Commission's delegation to Washington described the
EU's efforts to increase collaboration among small- and medium-sized enter-
prises (SMEs) throughout Europe. Some success has been achieved: From the
Third Framework Programme to the Fourth, the number of SMEs participating in
EU research programs doubled. It is anticipated that SME participation will con-
tinue to grow in the Fifth Framework Programme.
International Cooperation on Semiconductors
Turning to broader issues of transatlantic R&D cooperation, the conference
heard presentations on several existing international cooperative R&D enterprises.
One major new international initiative, called the I300I, is developing next-gen-
eration tools for the semiconductor industry to manufacture chips on 300-mm
4For legislative background on SBIR, see Robert B. Archibald and David H. Finifter, "Perspectives
on the evaluation of the SBIR program with an application to the NASA-Langley research center."
Paper presented at the American Economic Association meetings, December, 1998.
5Joshua Lerner. 1999. "Public venture capital: Rationales and evaluation." In National Research
Council, The SBIR Program: Challenges and Opportunities. Washington, D.C.: National Academy
Press.
OCR for page 8
8
INTRODUCTION
silicon wafers, as opposed to the current 200-mm standard. Organized as a sub-
sidiary of the U.S. semiconductor consortium SEMATECH, the I300I initiative is
open to international membership. It now includes firms from Europe, Korea,
and Taiwan. Japan has also launched a 300-mm conversion project, called Sili-
con Leading Edge Technology (SELETE), all of whose shareholders are Japa-
nese firms.6 Whether national or international in orientation, consortia are nec-
essary to meet the staggering cost of industrywide conversion to 300 mm, which
may reach $20 billion. Unlike some previous conversions, this cost is well be-
yond the means of any single firm.
Similar cooperative efforts are under way in Europe. For example, the High
Epsilon Materials Cluster Optimized Rapid Deposition project complements the
300-mm conversion project, albeit on a smaller scale. This project ensures that
appropriate materials for 300-mm manufacturing will be available when the en-
tire 300-mm tool set is ready. Funded at $11 million annually, the project has
European and American membership.
Internationalization of the Technical Workforce
The third panel discussed the internationalization of the technical workforce,
a topic of growing importance on both sides of the Atlantic. This panel empha-
sized improving exchanges of students between the United States and Europe.
As one European observed, many European scientists receive their training in the
United States, but there has been a drop-off of U.S. students seeking training or
postdoctorate positions in Europe. Encouraging further ties, whether through
professor-to-professor contacts or more formal programs, will require the interest
of individuals and the availability of funding. U.S. scientists-in-training must be
encouraged to view international experience as beneficial to their career, and it
was suggested that business in the United States promote such internationaliza-
tion. For transatlantic collaboration to work, individuals must be engaged; for it
to endure, engagement of individuals early in their career is paramount.
Effective collaboration is rarely an easy task; individuals, institutions, and
countries naturally have different perspectives and objectives in carrying out re-
search. Nevertheless, the global character of society's most pressing problems
and the rising cost of addressing them, provide great incentives for international
collaboration. Fortunately, the explosive growth in communications made pos-
sible by information technology will facilitate transatlantic collaboration. A1-
though face-to-face meetings are often essential in the early stages of business
6For an excellent analysis of I300I and SELETE, see Rose Marie Ham, Greg Linden, and Melissa
Appleyard, "The evolving role of semiconductor consortia in the U.S. and Japan," California Man-
agementReview, Vol. 41, No. 1, Fall 1998. pp. 137-163. Korea's Samsung Electronics is listed as a
participant in SELETE, but it is not a shareholder.
OCR for page 9
INTRODUCTION
9
and academic relationships, advanced information networks are making long-
distance professional collaboration a daily occurrence. The combination of ex-
panded personal contacts and today's information technologies can move transat-
lantic cooperation to a new level.
For individuals and their institutions to work together effectively, leadership
at the highest levels is required. To develop and maintain such leadership, and
thereby realize the enormous benefits possible from European and American col-
laboration, a policy framework that accepts institutional and philosophical differ-
ences is needed. The new S&T Agreement holds the promise of such a frame-
work, offering the United States and Europe the opportunity to jointly address the
challenges of the twenty-first century.
Charles W. Wessner
OCR for page 10
Representative terms from entire chapter:
european union
