U.S. AND INTERNATIONAL
PERSPECTIVES ON
GLOBAL SCIENCE POLICY AND
SCIENCE DIPLOMACY

Report of a Workshop

Committee on Global Science Policy and Science Diplomacy

Development, Security, and Cooperation

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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U.S. AND INTERNATIONAL PERSPECTIVES ON GLOBAL SCIENCE POLICY AND SCIENCE DIPLOMACY Report of a Workshop Committee on Global Science Policy and Science Diplomacy Development, Security, and Cooperation Policy and Global Affairs THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu

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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 project was supported by the White House Office of Science and Technology Policy under contract OST-GEN-C-10-0001. Any opinions, findings, conclusions, or recom - mendations expressed in this publication are those of the authors and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number 13: 978-0-309-22438-1 International Standard Book Number 10: 0-309-22438-3 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 2012 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 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 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 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 examina - tion of policy matters pertaining to the health of the public. The Institute 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 Sciences 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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COMMITTEE ON GLOBAL SCIENCE POLICY AND SCIENCE DIPLOMACY MICHAEL T. CLEGG (NAS), Chair, Foreign Secretary, National Academy of Sciences; Donald Bren Professor of Biological Sciences, Ecology, and Evolutionary Biology, University of California, Irvine CUTBERTO GARZA (IOM), Provost, Boston College JUDITH KIMBLE (NAS), Investigator, Howard Hughes Medical Institute; Vilas Professor of Biochemistry, Molecular Biology, and Medical Genetics, University of Wisconsin–Madison C. D. (DAN) MOTE JR. (NAE), Glenn L. Martin Institute Professor of Engineering, University of Maryland Staff JOHN P. BORIGHT, Executive Director, International Affairs KATHRIN HUMPHREY, Program Officer, Policy and Global Affairs DALAL NAJIB, Program Officer, Policy and Global Affairs HEATHER CHIARELLO, Senior Program Assistant, Policy and Global Affairs ROBERT GASIOR, Program Associate, Policy and Global Affairs v

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Preface and Acknowledgments The United States and other countries around the world face prob- lems of an increasingly global nature that often require major contri - butions from science and engineering that one nation alone cannot provide. The advance of science and engineering is an increasingly global enterprise, and in many areas there is a natural commonality of interest among practitioners from diverse cultures. In September 2010, the White House Office of Science and Tech- nology Policy asked the National Academies to convene a workshop to explore effective ways to advance both U.S. goals and shared interna- tional goals through sound global science policy and science diplomacy, and to improve the mechanisms for carrying out these objectives. To respond to this request, a committee was appointed by the National Academies to organize a workshop and write a report sum- marizing the workshop discussion. The committee convened the work- shop in February 2011 in Washington, DC, to discuss the following challenges: • How international scientific engagement can assist diplomacy, advance science, and help solve global problems; and • What the U.S. government can do (in addition to what it already does) to help facilitate this engagement. The committee, in developing the workshop agenda, focused the discussion on global science policy, i.e., on how the broad range of science, including basic science, can most effectively be pursued in a rapidly globalized science community, and the role of scientific coopera- tion in building positive relationships around the world. To keep the vii

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viii PREFACE AND ACKNOWLEDGMENTS workshop discussion focused, the committee decided not to address in depth the specific issues of the role of science and technology in interna- tional development, national security, and global health. These elements were not completely excluded from the discussion, but the committee noted that they rightly are being addressed in many other venues. The workshop offered an opportunity for dialogue between researchers, policy makers, and private-sector representatives. Special invitations were extended to experts in the international scientific com - munity as well. The report summarizes the views expressed by workshop partici- pants, and while the committee is responsible for the overall quality and accuracy of the report as a record of what transpired at the workshop, the views contained in the report are not necessarily those of the com - mittee or the National Academies. The report has been reviewed in draft form by individuals chosen for their diverse perspectives and expertise in accordance with proce - dures 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. The committee wishes to thank the following individuals for their review of this report: Thomas Casadevall, U.S. Geological Survey; James Langer, University of California, Santa Barbara; Willem Levelt, Max Planck Institute for Psycholinguistics; and John Wall, Cummins Inc. 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. Responsi- bility for the final content of this report rests entirely with the authoring committee and the institution. Michael T. Clegg Chair

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Contents Overview 1 1 U.S. Policy for Global Science 5 Historical and Structural Context, 5 Changing Patterns of Mobility, 7 Movement of Scientists Hampered by Visa and Travel Restrictions, 8 Personal Relationships in an Age of Virtual Innovations, 8 Educating and Empowering a New Generation of Scientists, 9 Engaging Early Career Researchers Around the World, 10 Other Questions and Ideas, 10 Maximizing Scientific Advances in an Increasingly Global Research Community, 13 Access to Facilities and Equipment, 13 Pooling Resources, 13 Combining Local Relevance with Global Intellectual Engagement, 14 Learning from Industry, 14 Role of Government, 14 Areas for International Scientific Collaboration, 15 Flood of Data, 17 Responsible Science, 18 Conditions for Success, 18 Effective Global Science, 18 Measuring the Effectiveness of Science Policy, 19 Examples of Effective Global Science, 19 ix

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x CONTENTS Funding Mechanisms for Global Science, 22 Global Science for the United States, 22 Reflections, 23 2 Science for Diplomacy—Diplomacy for Science 25 Definition of Science Diplomacy, 25 Actors in Science Diplomacy, 27 What Has Been Done with Science Diplomacy?, 29 Barriers to Progress in Science Diplomacy, 31 Unclear Motivations and Restrictions on Mobility, 31 Weak Public–Private Partnerships, 31 Inflexibility in U.S. Government Programs, 32 Lack of Incentives, 33 Lack of Human Capital and Infrastructure in Partner Developing Countries, 33 Lack of Unified Voice Within the Science Community, 34 Broken Promises, 35 Better Applications of Science Diplomacy, 35 Better Partnership Between Government, Private Sector, and NGOs, 36 Involvement of Young People, 36 Enhancement of Scientific Capability in the Foreign Service, 36 Enhancement of Agencies’ Ability to Operate, 37 Encouragement of Competition, 37 Emphasis on Educational and Professional Development, 38 Effective Involvement of Politicians and the Public, 38 Emphasis on the Interface of Science and Policy, 39 Importance of Transparency and Clarity, 39 APPENDIXES A Workshop Agenda 41 B Workshop Participants 47