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Appendix A Workshop Agenda Government-University-Industry Research Roundtable (GUIRR) Working Group on International Research Collaborations (“I-Group”) Examining Core Elements of International Research Collaboration: A Workshop July 26-27, 2010 The National Academies 500 Fifth Street, N.W. Washington, DC 20001 AGENDA Monday, July 26 LOCATION: The National Academies Keck 100 7:30-8:00 a.m. Continental Breakfast 8:00-8:30 a.m. Welcome from Organizers, Workshop Goals C. D. (Dan) Mote, Jr., President, University of Maryland at College Park 77

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78 APPENDIX A Creating an Environment for Productive 8:30-10:00 a.m. International Collaboration The role of international collaborations in advancing knowledge 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 international research collaborations also are growing (as measured, for example, by multi- national 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 collaboration from the point of view of governments, universities, and industry. · Moderators—Celia Merzbacher, Vice President, Innovative Partnerships, Semiconductor Research Corporation and John Carfora, Associate Vice President for Research Advancement and Compliance, Loyola Marymount University-Los Angeles · Five speakers (15 minutes each) —Lawrence Gumbiner, Deputy Assistant Secretary of State for Science, Space & Health, U.S. Department of State —Rafic Makki, Executive Director and interim Executive Director of Higher Education, Abu Dhabi Education Council —John Kirkland, Deputy Secretary General, Association of Commonwealth Universities, London —Low Teck Seng, Executive Director, A*STAR’s Science and Engineering Research Council (Singapore) —Eduardo Lopez Moreno, Director, Urban Monitoring Division, United Nations Human Settlements Division · Q&A (15 minutes)

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79 APPENDIX A 10:00-10:10 a.m. Break 10:10-11:40 a.m. Cultural Differences and Nuances Quite often cross-cultural nuances and culture-centric perspectives—grounded in one’s experience or merely a ssumed—often cloud conversations between faculty researchers and research administrators when they are negotiating the shared development of meaningful interna- tional research agreements. In this session we will hear from a number of experts on cross-cultural communications, understanding, and collaborations. · Moderator—John Carfora, Associate Vice President for Research Advancement and Compliance, Loyola Marymount University-Los Angeles · Four speakers (20 minutes each) —Riall Nolan, Vice Provost for International Programs, Purdue University —Christopher Williams, Representative, UN-HABITAT Washington Office —Tembeka Mpako-Ntusi, South African Research and Innovation Managers’ Association; Director of Research, Cape Peninsula University of Technology, Cape Town, S.A. —Elias Wondimu, Publisher and Editorial Director, Tsahai Publishers, Marymount Institute Press, African Academic Press · Q&A (10 minutes) 11:40 a.m.-12:30 p.m. Ethics The ethics panel stands between the culture panel and the research integrity panel in the sense that ethics are informed by culture and govern behavioral choices in the conduct of research. This panel will explore issues related to the ethics of safeguarding privacy/ security/ and confidentiality; bio- ethical issues related to human subjects research as well as other activities with bioethical implications, all from both a domestic U.S. and a global perspective.

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80 APPENDIX A · Moderator – Barbara Mittleman, Director, Public-Private Partnership Program, Office of Science Policy, Office of the Director, National Institutes of Health (NIH) · Three speakers (15 minutes each) —Susan Butts, Senior R&D Director [retired], Dow Chemical Company —Lisa Bero, Professor, University of California- San Francisco —Stephanie Bird, co-Editor-in-Chief, Science and Engineering Ethics · Q&A (5 minutes) 12:30-1:30 p.m. Lunch Introduction: John Carfora, Associate Vice President for Research Advancement and Compliance, Loyola Marymount University-Los Angeles KEYNOTE SPEAKER: Nina Fedoroff, Science and Technology Adviser to the Secretary of State and to the Administrator of USAID “International Research Collaborations: The Promise and the Practice” Research Integrity and the Responsible Conduct of 1:30-2:20 p.m. Research The research integrity panel continues the ethics discus- sion by focusing on standards and practices that promote responsible data collection and appropriate authorship byline decisions. The panel will explore issues related to current RCR training for data integrity and authorship as well as consider the impact that different international PhD educational standards can have on data integrity. The panel will conclude with a discussion by an international team who will describe their experiences in negotiating authorship agreements and in building capacity to assure data integrity.

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81 APPENDIX A · Moderator – Sandra Titus, Director, Intramural Research, Office of Research Integrity, Department of Health and Human Services (DHHS) · Three presentations (15 minutes each) —David Resnik, Bioethicist, Chair of National Institute of Environmental Health Sciences (NIEHS) Institutional Review Board, National Institutes of Health (NIH) —Philip Altbach, Director of the Center for International Higher Education, Boston College —William Blattner, Director and Principal Investigator for the Institute of Human Virology HIV Vaccine Trials Unit, University of Maryland and Aliyu Gambo Gumel, Fogarty International Research Fellow · Q&A (5 minutes) Risk Management 2:20-3:10 p.m. Risk Management is a continuous process designed to proactively identify and mitigate risks to help promote the achievement of the organization’s objectives, strat- egy, and mission. Risk management also drives account- ability and integrity of the organization’s work and helps ensure individuals within the organization see it as their responsibility to reduce risk as part of their daily jobs. The panel will explore specific issues relating to risk manage- ment in the international setting. · Moderator – John J. McGowan, Deputy Director, National Institute of Allergy and Infectious Disease (NIAID) · Three speakers (15 minutes each) —Manning Muntzing, A Founder and Director of the International Risk Governance Council —Suzanne Servis, Director, Risk Management Program, National Institutes of Health —Maria Velez de Berliner, Managing Partner, Intelligent Decision Partners, LLC · Q&A (5 minutes)

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82 APPENDIX A 3:10-3:20 p.m. Break Intellectual Property 3:20-4:10 p.m. Intellectual Property (IP) is a central issue in international research collaborations. What is the balance between the facilitation of research and the protection of IP? The members of the IP track will discuss and outline the major issues, challenges, and successes of IP on the international level. This will include such topics as background intellec- tual property (BIP), the connection between IP and export control, the management of IP at the university, industry, and governmental levels, and emerging issues in the coming years (such as managing IP given the increasing transporta- tion of large data sets and research across national borders). The IP team will pay particular attention to practices and models of IP used in individual countries, for inclusion in project deliverables. · Moderator – James Casey, Director of Contracts and Industrial Agreements, University of Texas at San Antonio · Two speakers (20 minutes each) —Brian Warshawsky, Senior Contracting Officer, Northwestern University —Brian Fitzgerald, Professor, Queensland University of Technology Faculty of Law, Australia · Q&A (10 minutes) Export Controls 4:10-5:10 p.m. Export control regulation presents special challenges when working with international collaborators and when con- ducting research overseas. Researchers who are used to open academic environments are often surprised to learn that certain areas of collaboration, especially in science and en- gineering, may be more difficult with certain international partners. In addition, trade embargoes and sanctions, reflecting foreign policy concerns of different nations, can

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83 APPENDIX A affect a researcher’s ability to travel to certain countries and transport certain research equipment. The Export Control panel will discuss the various issues raised by these regula- tions, their effect on international research collaborations, and compliance strategies used by various institutions to meet these challenges. · Moderator, Giulia Del Brenna, Head of Unit, Competitiveness in the Pharmaceuticals Industry and Biotechnology, European Commission, DG Enterprise and Industry · Five speakers (10 minutes each) —Steven Pelak, Deputy Chief, Counterespionage Section, U.S. Department of Justice —Richard Johnson, Senior Counsel and Senior Partner (Ret.), Arnold & Porter LLP —Steven Eisner, Export Control Officer, Stanford University —Michael Gold, Director, Washington DC Operations and Business Growth, Bigelow Aerospace —Emmanuel de Lipkowski, Space Attaché and CNES Representative, Embassy of France · Q&A (10 minutes) 5:10-5:30 p.m. Recap; Review Break-out Plans for Meeting Day Two 6:30 p.m. Dinner—National Academies Keck Center, 3rd Floor Atrium Introduction: James Casey, Director of Contracts and Industrial Agreements, University of Texas at San Antonio KEYNOTE SPEAKER: Kathie L. Olsen, Vice President, International Programs, Association of Public and Land-Grant Universities (APLU) “Internationalization/Globalization of Higher Education”

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84 APPENDIX A Tuesday, July 27 LOCATION: The National Academies Keck 100 8:00-8:30 a.m. Continental Breakfast Plenary Session: Legal Issues and Agreements 8:30-10:00 a.m. Conducting research with foreign partners can take a wide variety of forms. Sometimes this involves conduct- ing research in the U.S. with foreign partners; other times it may involve field research, setting up limited business operations, or even establishment of a new campus over- seas. This panel will discuss the legal issues related to these various scenarios. The speakers will discuss registration and memoranda of understanding with foreign governments and governmental approvals. It will also cover legal agree- ments and documents used to facilitate particular business activities, such as payment of taxes, real estate issues, and employment requirements. The panel will cover methods used by institutions to incorporate legal review into ongoing operations. In addition, the panel will discuss the research funding opportunities and challenges presented by the European Union’s 7th Framework Programme. · Moderator: Patrick Schlesinger, Assistant Vice Chancellor, Research Administration and Compliance, University of California, Berkeley · Three speakers (25 minutes each) —William Ferreira, Attorney at Law, Hogan Lovells LLP —Jamie Lewis Keith, Vice President and General Counsel, University of Florida —Astrid-Christina Koch, Science, Technology and Education, Delegation of the European Union · Q&A (15 minutes) 10:00-10:10 a.m. Break

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85 APPENDIX A 10:10 a.m.-12:30 p.m. Track-Specific Break-out Groups — Ethics (Keck 202) · Norka Ruiz Bravo, Advisor, Research Policy Development, Pan American Health Organization (PAHO)* · Barbara Mittleman, Director, Public-Private Partnership Program, Office of Science Policy, Office of the Director, National Institutes of Health (NIH) · Lisa Bero, Professor, University of California, San Francisco · Susan Butts, Senior R&D Director [retired], Dow Chemical Company · Rachelle Hollander, Director, Center on Engineering Ethics, National Academy of Engineering · Kelly Joyce, Program Director , Science, Technology, and Society Program, NSF — Research Integrity and the Responsible Conduct of Research (Keck 100) · Sandra Titus, Director, Intramural Research, Office of Research Integrity, Department of Health and Human Services (DHHS)* · William Blattner, Institute for Human Virology, University of Maryland · Miriam Kelty, Consultant, Bioethics and Research Strategy and Chair, Inter-Institute Bioethics Interest Group, National Institutes of Health · Sheila Garrity, Director, Division of Research Integrity, Johns Hopkins University School of Medicine · Sharon E. Moss, Health Science Specialist, Research Integrity & Assurance, Office of Research Oversight, U.S. Department of Veterans Affairs

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86 APPENDIX A · Adil Shamoo, Editor-in-Chief, Accountability in Research, University of Maryland School of Medicine · Stephanie Bird, Editor, Science and Engineering Ethics · Cynthia Kleppinger, Medical Officer, U.S. Food and Drug Administration (FDA) · Susan M. Russell, Business Development, Oncology, GlaxoSmithKline · John Krueger, Division of Investigative Oversight, Office of Research Integrity, Department of Health and Human Services · Aliyu Gambo Gumel, Fogarty International Research Fellow — Intellectual Property (Keck 205) · James Casey, Director of Contracts and Industrial Agreements, University of Texas at San Antonio* · Louis Rodriquez, Deputy General Counsel, Southwest Research Institute (SwRI) · Brian Fitzgerald, Professor, Queensland University of Technology, Australia · Ma Jun, Director, Tsinghau University (Beijing, China) · Steve Merrill, Director, Board on Science, Technology and Economic Policy, The National Academies · Bernard Trombley, Director, Huron Consulting Group · Ann Hammersla, Esq., Director, Division of Policy, Office of Technology Transfer, National Institutes of Health · Brian M. Warshawsky, Senior Contracting Officer Northwestern University · Eskil Ullberg, ICES-George Mason University [Sweden]

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87 APPENDIX A — Risk Management (Keck 208) · Celia Merzbacher, Vice President, Innovative Partnerships Semiconductor Research Corporation* · Manning Muntzing, International Risk Governance Council · Maria Velez de Berliner, Managing Partner, Intelligent Decision Partners, LLC · Suzanne Servis, Director, Risk Management Program, National Institutes of Health · Ron Kaese, The Maryland Technology and Development Corporation — Export Controls (Keck 213) · Patrick Schlesinger, Assistant Vice Chancellor, Research Administration and Compliance, University of California, Berkeley* · Giulia Del Brenna, Head of Unit, Competitiveness in the Pharmaceuticals Industry and Biotechnology, European Commission, DG Enterprise and Industry* · John Carfora, Associate Vice President for Research Advancement and Compliance, Loyola Marymount University-Los Angeles* · Steven Eisner, Export Control Officer, Stanford University · Susan Wyatt Sedwick, Associate Vice President for Research and Director of Sponsored Projects, University of Texas at Austin · Bernie Kritzer, Director of Outreach, Bureau of Industry and Security, U.S. Department of Commerce · Emmanuel de Lipkowski, Space Attaché and CNES Representative, Embassy of France

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88 APPENDIX A · Michael Gold, Director, Washington DC Operations and Business Growth, Bigelow Aerospace · Steven Pelak, Deputy Chief, Counterespionage Section, U.S. Department of Justice · David Brady, Director, Office of Export and Secure Research Compliance, Virginia Polytechnic Institute and State University 12:30-1:30 p.m. Lunch (Keck 100) 1:30-2:00 p.m. Track-Specific Break-out Groups – continued — Ethics (Keck 202) — Research Integrity and the Responsible Conduct of Research (Keck 100) — Intellectual Property (Keck 205) — Risk Management (Keck 208) — Export Controls (Keck 213) 2:00-3:00 p.m. Reports from Break-out Groups (~10 minutes per group) 3:00-3:30 p.m. Summary Discussion and Next Steps (Keck 100) 3:30 p.m. Adjourn