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ENHANCING THE EFFECTIVENESS OF SUSTAINABILITY PARTNERSHIPS

SUMMARY OF A WORKSHOP

Derek Vollmer, Rapporteur

Science and Technology for Sustainability Program

Policy and Global Affairs

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

Washington, D.C.
www.nap.edu



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Derek Vollmer, Rapporteur Science and Technology for Sustainability Program 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 Govern- ing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineer- ing, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropri- ate balance. This study was supported by funding from the Syngenta Foundation for Sustainable Agriculture, the United Nations Foundation, Mars Incorporated, and the George and Cynthia Mitchell Endowment for Sustainability Science. Any opinions, find- ings, 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: 978-0-309-12993-0 International Standard Book Number-10: 0-309-12993-1 Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, D.C. 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www. nap.edu. Copyright 2009 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 Acad- emy has a mandate 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 engineer- ing programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is presi- dent of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Insti- tute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sci- ences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by 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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STEERING COMMITTEE ON PARTNERSHIPS FOR SUSTAINABILITY Emmy Simmons (Chair), Former Assistant Administrator for Economic Growth, Agriculture, and Trade, U.S. Agency for International Development (USAID) William Clark, NAS, Harvey Brooks Professor of International Science, Public Policy, and Human Development, Harvard University Sam Dryden, Chief Executive Officer, Emergent Genetics and Managing Director, Wolfensohn & Company Kathryn Fuller, Chair of the Board of Trustees, Ford Foundation and Former President and CEO, WWF Hank Habicht, Vice Chairman, Global Environment and Technology Foundation (GETF) Gerald Keusch, IOM, Assistant Provost of the Medical Campus and Associate Dean, School of Public Health, Boston University Robert Stephens, International Chair, Multi-State Working Group on Environmental Performance 

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ROUNDTABLE ON SCIENCE AND TECHNOLOGY FOR SUSTAINABILITY Pamela Matson, NAS (Co-Chair), Dean of the School of Earth Sciences and Goldman Professor of Environmental Studies, Department of Geological and Environmental Sciences, Stanford University Emmy Simmons (Co-Chair), Former Assistant Administrator for Economic Growth, Agriculture, and Trade, U.S. Agency for International Development (USAID) Matt Arnold, Co-founder and Managing Director, Sustainable Finance Ltd Ann M. Bartuska, Deputy Chief for Research & Development, U.S. Forest Service. U.S. Department of Agriculture* Arden Bement, Director, National Science Foundation* Michael Bertolucci, President, Interface Research Corporation John Carberry, Director of Environmental Technology, DuPont (retired) Leslie Carothers, President, Environmental Law Institute William Clark, NAS, Harvey Brooks Professor of International Science, Public Policy, and Human Development, Harvard University Glen T. Daigger, NAE, Senior Vice President and Chief Technology Officer, CH2M HILL John Dernbach, Professor of Law, Widener University Sam Dryden, Managing Director, Wolfensohn and Company Nina Fedoroff, NAS, Science and Technology Advisor to the U.S. Secretary of State, U.S. State Department* Kathryn Fuller, Chair of the Board of Trustees, Ford Foundation and Former President and CEO, WWF M. Granger Morgan, NAS, Professor and Head, Department of Engineering and Public Policy, Carnegie Mellon University George Gray, Assistant Administrator, Office of Research and Development, U.S. Environmental Protection Agency* Hank Habicht, Vice Chairman, Global Environment and Technology Foundation (GETF) Jeremy Harris, Former Mayor of Honolulu Mohamed H. A. Hassan, Executive Director, The Academy of Sciences for the Developing World (TWAS) Geoffrey Heal, Garrett Professor of Public Policy and Business Responsibility, Graduate School of Business, Columbia University Rosalyn Hobson, Associate Professor of Electrical Engineering, Virginia Commonwealth University Jack Kaye, Director, Research and Analysis Program of the Earth-Sun System Division, National Aeronautics and Space Administration* i

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Gerald Keusch, IOM, Assistant Provost of the Medical Campus and Associate Dean, School of Public Health, Boston University Kai Lee, Conservation and Science Program, Packard Foundation Thomas E. Lovejoy, President, The H. John Heinz III Center for Science, Economics, and the Environment J. Todd Mitchell, Chairman, Board of Directors, Houston Advanced Research Center Mark Myers, Director, U.S. Geological Survey* Raymond Orbach, Director, Office of Science, U.S. Department of Energy* Larry Papay, NAE, Former Senior Vice President, Integrated Solutions Sector, SAIC and Senior Vice President and General Manager, Bechtel Technology and Consulting Merle Pierson, Acting Under Secretary for Research, Education, and Economics, U.S. Department of Agriculture* Prabhu Pingali, NAS, Head, Agricultural Policy and Statistics, Agriculture Development Division, Bill and Melinda Gates Foundation. Per Pinstrup-Andersen, H.E. Babcock Professor of Food, Nutrition and Public Policy, Nutritional Sciences, Professor, Applied Economics and Management, Cornell University Peter Raven, NAS, Director, Missouri Botanical Garden Robert Stephens, International Chair, Multi-State Working Group on Environmental Performance Denise Stephenson Hawk, Associate Director of the National Center for Atmospheric Research and Director of the Societal-Environmental Research and Education Laboratory Dennis Treacy, Vice President, Environmental and Corporate Affairs, Smithfield Foods Vaughan Turekian, Chief International Officer, The American Association for the Advancement of Science* Staff Marty Perreault, Director, Roundtable on Science and Technology for Sustainability Pat Koshel, Senior Program Officer Derek Vollmer, Associate Program Officer Kathleen McAllister, Senior Program Assistant *Denotes ex-officio member ii

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Preface and Acknowledgments The Roundtable on Science and Technology for Sustainability was established by the National Academies in 2002 to provide a forum for sharing views, information, and analyses related to harnessing science and technology for sustainability. Members of the Roundtable include senior decision makers from government, industry, academia, and non-profit orga- nizations who deal with issues of sustainable development, and who are in a position to mobilize new strategies for sustainability. The goal of the Roundtable is to mobilize, encourage, and use scien- tific knowledge and technology to help achieve sustainability goals and to support the implementation of sustainability practices. Three overarching principles are used to guide the Roundtable’s work in support of this goal. First, the Roundtable focuses on strategic needs and opportunities for sci- ence and technology to contribute to the transition toward sustainability. Second, the Roundtable focuses on issues for which progress requires cooperation among multiple sectors, including academia, government (at all levels), business, nongovernmental organizations, and international institu- tions. Third, the Roundtable focuses on activities where scientific knowl- edge and technology can help to advance practices that contribute directly to sustainability goals, in addition to identifying priorities for research and development (R&D) inspired by sustainability challenges. To apply these principles, the Roundtable constituted a working group in 2004 focusing on linking knowledge with action for sustainable devel- opment. Discussions at the workshops conducted over a three-year period yielded several ideas which seem to be robust across sectors and provide ix

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x Preface and Acknowledgments useful guidance for successful efforts in this arena.1 At a summer workshop in September 2006 Roundtable members explored further the effectiveness of partnerships as a strategy for linking knowledge with action for sustain- able development. The meeting brought together experts with in-depth knowledge of selected partnerships in three areas in which sustainability is an important goal: international agricultural development, global public health, and green chemistry. Discussion suggested that there may be com- mon characteristics of partnerships that successfully address sustainability objectives. The Roundtable agreed to continue discussions in this area using the 2006 workshop observations as a starting point. In June 2008 a steering group of Roundtable members convened a symposium to develop a better understanding of the multi-stakeholder2 partnership record in addressing issues associated with sustainability. This symposium focused on the challenges that the partnerships have addressed, including: involvement of several sectors, action at varying scales, from local to global, a combination of public and private financing, and a complex set of science questions. The experience of eleven partnerships, presented as case studies, shaped the analysis and discussion. These case studies were conducted by experts with experience in analyzing partner- ships involving science and technology issues. The case studies used a com- mon framework and set of questions to describe and analyze each of the partnerships. The steering group organized the symposium program based on a review of preliminary drafts of the case studies, in order to encourage discussion among all participants of issues that cross-cut the review papers. Full versions of each case study are available on the CD provided with this summary report. This summary has been prepared by the workshop rapporteur as a factual summary of what occurred at the workshop. The statements made in this volume are those of the rapporteur and the individual authors and do not necessarily represent positions of the steering committee, the Round- table, or the National Academies. This workshop summary is the result of great efforts and collabora- tion on the part of several organizations and individuals. Emmy Simmons, co-chair of the Roundtable, also served admirably as the co-chair of the steering committee which oversaw this project and helped organize the symposium. Other members of the steering committee included Roundtable members Bill Clark, Sam Dryden, Hank Habicht, Jerry Keusch, and Bob 1 See the 2006 National Academies’ workshop summary, Linking Knowledge with Action for Sustainable Deelopment at http://www.nap.edu/catalog.php?record_id=11652. 2 Here, multi-stakeholder refers to an arrangement involving a combination of govern- ment, private sector, and civil society actors. It is roughly synonymous with “cross-sector” for the purposes of this report. A more complete definition can be found in Chapter VI of this report.

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xi Preface and Acknowledgments Stephens. I wish to extend a sincere thanks to each of them for their con- tributions in scoping, developing, and carrying out this project. Gregory Symmes, Pat Koshel, and Marty Perreault have all, at various points, provided program direction for this project, for which I am grateful. Kathleen McAllister and Priya Sreedharan also deserve special recognition for their research and program support throughout the various phases of this endeavor. This project would not have been possible without the financial sup- port of its external sponsors: the Syngenta Foundation for Sustainable Agriculture, the United Nations Foundation, and Mars Incorporated. Each organization also made substantive contributions in shaping this project, making it in some respects a partnership in itself. The project also benefit- ted from internal support provided by the George and Cynthia Mitchell Endowment for Sustainability Science. This volume has been reviewed in draft form by individuals chosen for their technical expertise, in accordance with procedures approved by the NRC’s 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. 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 the report: Ann Bartuska, U.S. Department of Agriculture; Patricia Chaves, United Nations; David Constable, GlaxoSmithKline; John Dernbach, Wid- ener University; Monica Ellis, Global Environment and Technology Foun- dation; and Elaine Ooi, The World Bank. Although the reviewers listed above have provided constructive com- ments and suggestions, they were not asked to endorse the content of the report. Responsibility for the final content rests with the individual authors and the rapporteur. Derek Vollmer Rapporteur

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Contents I. Introduction 1 II. Partners Coming Together � Summary, Panel Discussion III. Partnership Organi�ation and Governance 1� Summary, Panel Discussion IV. Partners and Co-production 21 Summary, Panel Discussion V. Evaluating Outcomes and Enhancing Effectiveness 2� Summary, Panel Discussion VI. Partnerships for Sustainability�� E�amining the Evidence �� Background paper, Derek Vollmer CASE STUDY ABSTRACTS [Full case studies are on a CD inside the back cover] VII. Networks, Club Goods, and Partnerships for Sustainability�� The Green Power Market Development Group 65 Liliana B. Andonoa xiii

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xi Contents VIII. Assessing the Role and Relevance of the Renewable Energy Energy Efficiency Partnership (REEEP) in Global Sustainability Governance 6� P hilipp Pattberg, Kacper Szulecki, Sander Chan, and Aysem Mert IX. Clean Water and Sanitation for All�� Global Water Challenge �� Derek Vollmer, Kathleen McAllister, and Jacqueline Coté X. Agua para Todos�� Water for All �� Cortnie Shupe and Julia Steets XI. The Sustainable Forest Products Global Alliance �1 William Sugrue XII. The Common Code for the Coffee Community (�C) �5 Petra Kuenkel, Vera Fricke, and Stanislaa Cholakoa XIII. Sustainable Silicon Valley�� A Model Regional Partnership �� Blas Pérez Henríquez XIV. The ACS Green Chemistry Institute��� A Case Study of Partnerships to Promote Sustainability in the Chemical Enterprise �1 Kira JM Matus XV. The Multilateral Initiative on Malaria�� An Alliance to Enhance African Malaria Research �5 Barbara Sina XVI. Public�Private Partnerships and Pro-Poor Livestock Research�� The Search for an East Coast Fever Vaccine �� Daid J. Spielman XVII. The Farm to Fork Initiative�� A Shareholder and Management Partnership 10� LeRoy C. Paddock

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x Contents APPENDIXES [Available on a CD inside the back cover] A. Workshop Agenda B. Workshop Participants List C. Briefing Memo to Roundtable D. Outline for Case Study Authors

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