Acknowledgements Interviewees

Prof. Agnieszka Rothert, University of Warsaw Prof. Kers n Stahl, University of Freiburg Prof. Andrew Patrizio, University of Edinburgh Dr. Kevin Mitchell, Trinity College Dublin Dr. Anniek de Ruijter, University of Amsterdam Prof. Dr. Laura Bieger, University of Groningen Prof. Dr. Burkhard Becher, University of Zurich Dr. Leonardo Tondo, Harvard University Prof. Carol Brayne, University of Cambridge Dr. Makoto Miyara, Sorbonne University Prof. Catherine Lyall, University of Edinburgh Dr. Malu Ga o, University College London Dr. Charlo e Ribeyrol, Sorbonne University Prof. Mario Dell’Agli, University of Milan Dr. Cris na Staub, Service Sans Soucis Prof. Mark Rehkämper, Imperial College London Dr. Elio Shijaku, University of Barcelona Dr. Marta Costa, University of Cambridge Prof. Dr. Els Stronks, Utrecht University Prof. Michele Vendruscolo, University of Cambridge Dr. Esteve Fernandez, University of Barcelona Dr. Nici Zimmermann, Univeristy College London Dr. Eszter Voroshazi, IMEC Dr. Nollaig Bourke, Trinity College Dublin Dr. Frédéric Suff ert, Ins tut Na onal de la Recherche Dr. Olivier Schwander, Sorbonne university Agronomique) Prof. Sir Peng Tee Khaw, Univeristy College London Prof. Fredrik Tufvesson, Lund University Prof. Pete Nellist, University of Oxford Prof. Guda van Noort, University of Amsterdam Dr. Rebecca Brauchli, University of Zurich Dr. Isabel Fletcher, University of Edinburgh Dr. Ross Puves, University of Zurich Dr. James Tufano, Charles University in Prague Prof. Sampsa Hautaniemi, University of Helsinki Dr. Jan Šnajder, University of Zagreb Dr. Sara Sa n, University of Milan Prof. Jane Ohlmeyer, Trinity College Dublin Dr. Simon Smith, University of Edinburgh Dr. Janko Jankovic, University of Belgrade Prof. Stéphanie Henne e-Vauchez, University Paris Prof. Jenny Taylor, University of Oxford Nanterre Prof. Jérôme Meizoz, University of Lausanne Dr. Thomas Langer, University of Milan Prof. Johannes Glückler, Universität Heidelberg Dr. Wendy Symes, University of Birmingham Dr. Karoliina Snell, University of Helsinki Prof. Yuri Volkov, Trinity College Dublin Dr. Karolina Pircs, Lund University Dr. Zsuzsa Kovács , Eötvös Loránd University

Speakers

Ms. Claire Pembleton, University of Edinburgh Prof. Catherine Lyall, University of Edinburgh Mr. Alan Campbell, University of Edinburgh Prof. Ian Underwood, University of Edinburgh Mr. Stuart Easter, University of Edinburgh Prof. Melissa Terras, University of Edinburgh Dr. Rod Mitchell, University of Edinburgh Prof. Chris Speed, University of Edinburgh Mr. Stuart Dunbar, University of Edinburgh Prof. Cathy Dwyer, University of Edinburgh Ms. Katey Warren, University of Edinburgh Dr. Sam Staddon, University of Edinburgh Ms. Imogen Johnston-Menzies, University of Mr. Dominic Tate, University of Edinburgh Edinburgh Ms. Kerry Miller, University of Edinburgh Ms. Jessie Fubara-Manuel , University of Edinburgh

Organising Commi ee

Sara Shinton Helen MacMillan Emily Woollen Jennifer Riley Sarah Thomas Antony Maciocia

1 Contents Introduc on Why Collaborate? Mo va ons for Collabora on Models of Collabora on Success Factors Challenges of Collabora ons Support for Collabora ons Partnership Agreements Partners Beyond the Academy Cultural Dimensions Key Messages Top Tips for Ge ng Started Do it Yourself Authors

2 Introduc on

When the University of Edinburgh proposed Clearly, (na onal, European, interna onal) interna onal collabora on as a theme for the collabora on is benefi cial for research, innova on annual LERU doctoral summer school, it was and educa on: it increases the interac on obvious for LERU to support that idea, and I’m between people, the exchange of ideas, the delighted to take this opportunity to emphasise development of breakthroughs, the speed of the opportuni es that interna onal collabora on scien fi c progress, the exchange of scien fi c off ers. Rather than telling researchers about knowledge, the understanding of cultural collabora on, the vision of the organising team diff erences, the quality of the student experience. was to create a collabora ve challenge for the This guide draws from the experiences of summer school a endees – to create a high researchers from across the LERU network quality publica on in fi ve days! The guide you and summarises the many benefi ts of working are now reading demonstrates how much a together, whilst being honest and realis c about group of like-minded and mo vated researchers the challenges that can arise. can achieve when they pool their skills and experiences to work together. I am confi dent that the quality of this guide will demonstrate what a great experience our LERU, the League of European Research doctoral researchers had and I hope will inspire Universi es, is itself a collabora on between many others to work collabora vely. 23 universi es in 12 European countries which has proven to be very successful. Over the past +15 years, joint lobby ac vi es have been set up, joint best prac ces have been developed, joint research projects have been implemented - Prof. Kurt Deketelaere, Secretary-General, LERU and joint degree programs have been off ered, all of this enhancing collabora on and mobility between the 23 members’ leadership teams, researchers and students.

3 Why Collaborate? Mo va ons for collabora ons

One of the fi rst ques ons we asked our interviewees for this guide was about their mo va ons for collabora on. It’s important to understand this of all partners from the beginning as it will help to design and run the project to deliver on all partner’s needs. Apprecia ng what your partners are depending on could help to reduce confl ict if parameters change as the research develops.

Below is a histogram of the most common reasons iden fi ed for collabora ng. A few selected comments are highlighted to help illustrate what the general headings mean to individuals.

Resources (money, data, samples, Opportunity to equipment) grow and learn

Address real-life Big impact problems Apply for important interna onal grants Building a To further the larger network science!

Working with the best people, Diff erent inputs wherever they on your topic are

Fun and fulfi llment

Push Recogni on boundaries ves Fun! Career Career Funding Access to Access to resources problems development Gain new skills Solve complex complex Solve and perspec and

4 Models of Collabora on

Research collabora ons involve an equal partnership between two or more groups or individuals pursuing mutually interes ng and benefi cial research. A signifi cant intellectual contribu on by each collaborator is necessary for the interac on to be considered a collabora on (adapted from the Offi ce of Research Integrity).

This guide will dis nguish between three models of research collabora ons; collabora ons with other disciplines (interdisciplinary), researchers in other countries (interna onal), or with non-university partners (intersectoral). The defi ni ons used in this guide are shown below. The coloured shapes will be used throughout the guide to indicate if the content is par cularly relevant for a par cular model of collabora on.

Defi ned as Defi ned as collabora ons with collabora ons partners outside of the higher that “...integrate academy (i.e. outside higher informa on, data, educa on ins tu ons) such as techniques, tools, industry, health services, chari es, perspec ves, concepts, and/ or NGO’s or theories from two or more disciplines or bodies of specialised Knowledge...” Na onal Academy of Sciences, 2005 p.188

Collabora ons can o en be Defi ned as collabora ons with combina ons of these models. This partnets from diff erent countries guide is full of advice about how to or with partners with diff erent establish and run successful projects, some of which is specifi c to par cular na onal iden es. types of research. If you can recognise what type of collabora on you are pursuing it’s easier to know what advice will have the most relevance.

5 Success Factors

Six key success factors for collabora ons were iden fi ed based on the interviews and informed from relevant literature. These were trus ng rela onships, shared vision and goals, clear and eff ec ve communica on, mutual benefi ts, eff ec ve management and support, and posi ve team dynamics. Within these six key success factors the good prac ce that achieves them were iden fi ed from the interviews.

Trus ng rela onships

Set me aside to nurture Be ethical and Transparency is key; all social rela ons; meet responsible; create an partners should have face to face and chat explicit code of conduct access to all data and from the beginning materials where possible

Avoid hierarchy of Be honest. Be clear Commit to the project disciplines and value about your aims and other perspec ves honest about your own skills and limita ons

Shared vision and clear goals

Explicit, open and Clearly formulate and Establish tools and transparent discussion goals and comi ments resources to get to the of vision & goals in joint goals mee ngs

Don’t lose perspec ves Understand background Value all members of the objec ve of the & mo va ons to join the equally collabora on project

Clear and eff ec ve communica on

Have frequent and Establish a common Ensure common effi cient mee ngs with language between all understanding of all members involved par es expecta ons, tasks, deadlines and outputs

Allow diff erent and Listen ac vely and Openly discuss safe forums for encourage the sharing of diff erences as soon as communica on opinions of all members they arise to ensure transparency

6 Mutual benefi ts

Being aware of what the Align interests for Build strategic alliances mutual benefi ts are all: individual and with collaborators you organisa onal, seek can benefi t from compromises

Explore diff erences Discuss patent or Encourage between academia and intellectual property or integenera onal learning industry (or just between authorship academia)

Eff ec ve management and support

Have clarity at the outset Ensure appropriate Clarify roles, abot resourcing, tasks, administra ve/technical responsibili es and goals and project design support and central communica on contact in place structures

Set and communicate Have regular face-to-face Ensure fi les, data and clear, achievable mee ngs to monitor schedles are accessible deadlines and schedules progress, review and to all and stored securely adjust as needed and ethically

Posi ve team dynamics

Be open regarding goals Ac vely listen to others’ Keep a posi ve, engaged and agendas inputs and concerns and passionate a tude

Engage in informal social Be ready to compromise Be inclusive and open ac vi es and nego ate a middle minded ground

These success factors were felt to be relevant to all models of collabora on as they contributed to the success of interna onal, inter-disciplinary and inter-sectoral projects.

7 Challenges of Collabora ons

Collabora ons will inevitably come up against challenges. Many of these can be an cipated during the design of the collabora on and solved through appropriate processes such as having a partnership agreement, implemen ng good prac ce and using support from professional services. However, some challenges may be unexpected, and may not have clear processes in place to solve them. The challenges iden fi ed below highlight some of the main challenges that collabora ons might face, both those that can be solved with appropriate processes (sun rays) and those that are more complex (rain drops). The challenges within the cloud can be addressed but require high levels of trust and engagement, rather than processes and systems.

Problem with leadership, power dynamics and hierarchial structure

Develop a shared language

Cultural, social & poli cal Dealing diff erences with confl icts, Lack lack of trust or of team respect cohesion, mo va on and Mismatch commi ment of visions Diff erences and goals, between expecta ons, disciplines priori es and responsbility

8 Compe on, Equality, lack of diversity and acknowledgement, lack inclusion of agreement on authorship Recruitment policies, and journal preference respect of others, access Refer to partnership to opportuni es Funding agreement, discuss and management agree on publica on/ and unfair distribu on outputs at the start of resources Budget planning and support staff

Logis cal problems, legal and ethical challenges, lack of Language planning and support barrier, lack Start project with a plan and of communica on or have good organisa onal misconcep ons, lack of skills transparency

Learning and lack of refl ec on, no feedback or nega ve feedback management Learn from others, develop construc ve feedback skills and refl ect regularly Clash of personality and lack of interpersonal skills

9 Support for Collabora ons Collabora ons are built around the exper se of the researchers, but also benefi t from professional services. Here are some of the support services you could involve whilst you are developing your ideas and as project deliverables start to appear. The boxed text suggests one way in which each service could make life a li le easier for researchers.

RESEARCH DATA FUNDING

Provide support for wri ng a Understand data management plan and funder needs for data sharing agreement interdisciplinary work

Clearly Off er specialist communicate the knowledge and data management FINANCE targeted support to SKILLS & plan with groups iden fy and pursue LEADERSHIP to avoid poten al Manage complex research grants nego a ons and confl icts with Provide training on so publica ons incompa ble systems to skills required to promote move funding to partners necessary leadership and team working skills Claim research income from external research funders, manage Provide guidelines contractual & statutory in effi cient project compliance, audit and management for close of grants your collabora on

Provide pre-agreement INTERNATIONA LEGAL/IP Off ering solu ons preven ons on the PARTNERSHIPS to confl icts between diff erences/similaries in genera ng IP verses policies governing the keeping a product a resarch collabora on trade secret partners

Raising awareness Off er consulta ons on and providing clarity diff erent interna onal for poten al product Connec ng Provide project to services solu ons to a policies/laws to control protec ng for genera ng partner being for cultural diff erences marke ng plans uncompliant with project code of conduct

Provide support on best Defi ne the principles that govern the prac ces for commercialising conduct of research and required a product/service commi ment of all partners

COMMERCIALISATION ETHICS

10 Partnership Agreements

Diversity in collabora ons brings many benefi ts, but also adds complexity. Increasingly funders and ins tu ons are asking collabora ve teams to work through partnership agreements to ensure that projects are set up eff ec vely and with advance thinking about poten al challenges. Although these agreements are designed to reduce problems, they can reveal certain sensi ves that lie beneath the surface. Recognising these and speaking honestly will help ensure the process of coming to agreement is posi ve and produc ve. The schema c below summarises some of the sensi vi es that may be triggered when discussions about poten al future problems take place, and demonstrates how the success factors described earlier can help reduce these tensions and keep posi ve engagement on track.

“Is everyone ready to sign a partnership agreement?”

Can we communicate What happens when the project fi nishes? eff ec vely and manage - to me? To the data? To the IP? In the L confl ict openly? publica on? S

Are we all equally Can we trust each other and commi ed and included? func on well as a team?

Create an environment of goodwill, trust and Do we share the same How will we handle Make a confl ict open communica on research standards (e.g. external pressures that management plan ethics, data, etc)? infl uence the project?

Agree on well-defi ned Bring in expert external opera ng procedures and support to make a post- communica on channels project plan

Establish common research standards including advice from global research teams if needed

11 Partners Beyond the Academy

If your partners are from outside higher educa on ins tu ons, you should expect them to approach research and collabora ons with diff erent mo va ons and viewpoints. If you understand these it can help avoid misunderstandings and build a shared vision for the project shared by all partners.

CHARITIES AND NGOs GOVERNMENT

PUBLIC HEALTH Approach all partnerships with a Preserve academic spirit of generosity & integrity against reciprocity other mo va ons Fairness: Include and give credit Refl ect on your to everyone posi onality involved in the

Translate Find a common informa on GENERAL KEY MESSAGES language. Avoid into the na ve FOR WORKING WITH jargon. Defi ne terms. language PARTNERS OUTSIDE OF THE Show the relevance of the project. Ensure eff ec ve communica on is maintained! Be aware of ethical standards working with non-academics Remember the mo va on and purpose, why are Understand you collabora ng? diff erent goals and mo va ons

Be open to new Involve a opportuni es & professional perspec ves facilitator to maximise mee ng Teach. Learn. Keep in mind effi ciency INDUSTRY Speak out. the needs and CREATIVE Listen. interests of the other party

12 Cultural Dimensions Although we’ve discussed many systems and processes to support collabora ons it’s important to recognise other factors. The words and phrases below refl ect some of the ways in which culture can infl uence behaviours and a tudes. Research collabora ons benefi t from diverse cultures if me is invested in building understanding between diff erent cultures. The ques ons are designed to build understanding between collaborators to minimise tension and make these hidden diff erences visible early.

Who is in How do you What worries charge and deal with you about the what does this confl ict? What might project? mean? How cause confl ict important are in this work? deadlines to you? Who would be What are the levels How do you involved in wri ng of (administra ve) feel about the proposed support for challenging published outputs, collabora on in leaders? What inspires and what would your ins tu on? What will you you in this these look like? collabora on? take responsibility for?

What are the What value core principles, does this standards and project have to ethics of your your career? work?

What is your What does view of the rigour look like world? in your fi eld?

Are there Are there any any common words that you misconcep ons use which might about you or your not mean what research that you’ve I think they faced? mean?

Culture describes a range of behaviours and beliefs acquired through social learning in the environments we grow, live and work in. These include na onal, disciplinary and organisa onal cultures, and they infl uence many of our a tudes and ac ons.

13 “Who Key Messages is into research is driven by curiosity in the fi rst place, but also needs to consider that the ul mate task is to produce something more than personal knowledge, which is “shared “It is knowledge”: in other terms as researchers we also diffi cult when you produve publica ons. Authorship and author’s work with people who don’t think posi on are important themes and have to be like you. So it’s always important to discussed.” focus on the science, the project and the - Dr Thomas Langer, The poeple equally.” University of Milan - Dr. Makoto Miyara, Sorbonne University

“In “The [another project], I collabora on enabled saw how diff erent contributors the access to various courses and actors add very diff erent value to and conferences.” the success and I found it very benefi cial also - Cris na Staub, Service Sans regarding my own learning path...People bring in diff erent types of knowledge, diff erent types of interpreta on of the problems and these [diff erences] always aff ect each other in a very exci ng way.” “Insights - Zsuzsa Kovács, Eötvös Loránd from more than University one place...Two bits of informa on together are more powerful than separately and may help solve real-world problems.” - Dr Isabel Fletcher, The University of Edinburgh “... you get lost in the transla on because everybody things they are talking about the same things with the same words, but they are “In not really talking about the same thing...” order to sit at the - Stéphanie Henne e-Cachez, same table, you have to University Paris Nanterre be interested what the others are doing and where they come from.” - Karoliina Snell, University of Helsinki

14 “We do science not “[A because we are paid a lot key challenge is] of money for it, but because we fi nding ways to improve together actually enjoy it. And this includes even when this implied having to people. So don’t make your life more accept partners’ condi ons (i.e. study diffi cult working with people you don’t design, distribu on of funds, dissemina on like and fi nd another way.” of the results) or having a strong posi on - Prof. Dr. Burkhard Becher, to establish your own to reach a win-win University of Zurich collabora on.” - Dr Esteve Fernandez, University of Barcelona

“I’ve learned a huge amount about a completely new area which has been really “Collabora on good fun! [...] It has allowed me to projects have been the diversify poten al funding streams.” most interes ng and rewarding - Pete Nellist, University of pieces of work I have ever been part Oxford of, but also, some collabora ons have been the biggest frustra ons of my career.” - Mark, Rehkämper, Imperial “There College London are some unwri en rules for collabora ons in diff erent cultures and you can’t fulfi l them if you don’t know them. You have to discover those rules through conversa ons.” - Zsuzsa Kovács, Eötvös Loránd University

“There’s “You a very big gap learn to know people. between doing something You learn to know yourself, your for someone, or doing things limits, how much work you can handle. together and just discussing You learn to say “no”, when it’s not possible. things together.” And, you learn to be involved with others, - Karolina Pircs, Lund that’s a key issue.” University - Dr Elio Shijaku, University of Barcelona

15 “Usually “Throughout interna onal my career, I can say collabora ons have higher that the most frui ul moments of impact and have been shown to collabora ons have been unorthodox be more citable.” formats like, wri ng retreats so everybody - Prof. Sir Peng Tee Khaw, UCL goes away for three or four days.” - Stéphanie Henne e-Cachez, University Paris Nanterre

“Perhaps most diffi cult things in collabora ons are both the personal and methodical challenges: conceptual “You confusion can easily arise, whereas you both also have to feel have to be clear with the other as well as fl exible that this is something that enough to keep a proper working rela onship.” is benefi cial for both partners. - Dr. Anniek de Ruijter, University of We ger resources and possibili es Amsterdam to do other things. They also get a relevance and have the possibility to be in another context.” - Prof. Fredrik Tufvesson, Lund University “One must make agreements in order to gain mutual trust.” - Karoliina Snell, University of Helsinki

“Researchers should follow their interests. Ask themselves: ‘Who are the people at the edges of those disciplines that I could pull together?’ “You Develop an idea over a period of me and may be diff erent write a grant proposal.” but have complementary - Prof. Keven Mitchell, Trinity College views.” Dublin - Dr. Makoto Miyara, Sorbonne University

16 For more advice, Top Tips for Ge ng Started seek mentors and support services

1 Be open, visible and ac vely search for opportuni es

2 Choose partners wisely (personally and professionally)

3 Establish a joint vision from the start

4 Choose a small number of collabora ons and commit eff ort and me to them

5 Develop a clear sense of your role and responsibili es

6 Clarify the benefi ts for yourself and your collaborators

7 Be prepared for changes and endings in the project

8 Find a common language and ask ques ons

9 Appreciate other ways of researching

10 Develop resilience and pa ence; don’t take things personally

17 Do it Yourself

The advice in this guide was gathered through over 50 interviews with experienced researchers from a wide range of disciplines and countries who were all happy to talk to doctoral researchers about their work. We hope this encourages to you have similar conversa ons with researchers in your own area of interest. To help, here are the ques ons our authors used.

1. Please state your name, current posi on and University 2. Please can you briefl y describe your current research focus (up to 100 words) 3. Briefl y describe whether your collabora ons were with other disciplines (interdisciplinary), researchers in other countries (interna onal), or with non-university partners (intersectoral). • Whilst collabora ons are o en a mix of these models, we want to structure the guide so that researchers can fi nd advice that is most relevant to their situa on. 4. What has been the value of collabora on to your career and your research? 5. What has been challenging about collabora ng with others? 6. What did you do to help your collabora ons be successful? • These could include examples around trus ng partnerships, shared goals and visions, communica on, management systems, handling of confl icts or use of support services within your university. 7. What did you learn from your experiences? 8. Any par cular advice you have for PhD students on how to get started?

Authors also iden fi ed what ques ons they wished they could have asked their interviewees a er a ending the summer school. These included:

Q. Was your collabora on worth it and how would you measure its success? Q. What have you learnt from collabora ons that have failed, and what would you do diff erently? Q. As an underrepresented academic (on grounds of gender, disability, social background, race/ethnicity, etc) do you have specifi c advice for me? Q. How do you remain resilient when collabora ons fail despite signfi cant investment of me and eff ort? Q. How do you say NO to collabora on opportuni es without jeopardising the connec on? Q. How does funding infl uence how you start a collabora on and its scope? Q. How do you address confl icts when they emerge? Q. As a PhD student, what advice can you off er on how to handle confl ic ng messages from more senior individuals within the collabora on network? Q. What were your mo va ons in the beginning of your career? How have your mo va ons changed as your career has progressed? Q. Can universi es do more to foster early career collabora on? What have you done to help young researchers start a collabora on? Q. Refl ec ng on past collabora ons, how did your view of collabora on evolve? Q. How do you end a collabora on?

We hope that this guide give you the confi dence to ask the researchers around you for their advice and encouragement for research collabora ons.

18 Authors

Adeline Abou-Ali, University of Barcelona Josephine Harmon, University College London Ahmed Mazari, Sorbonne University Juliana E. Gonçalves, KU Leuven Aline Scherer, Ludwig-Maximilians-Universität Julie Vanderlinden, KU Leuven München Kaveh Diana , University College London Amanda Dziubińska, University of Warsaw Kinga Káplár-Kodácsy, Budapest-ELTE Ana Pardo García, University of Edinburgh Kiran Zahra, University of Zurich Anna Mateja Punstein, Universität Heidelberg Brian (Li Han) Wong, University College London Anna Luisa Grimm, University of Zurich Mariam Hachem, Sorbonne University Anne e Sophie Bösmeier, University of Freiburg Miriam Klaus, University of Cambridge Ariadna Feliu, University of Barcelona Miriam Laufer, University of Freiburg Camilla Langlands-Perry, Université Paris-Sud Mo A f, Sorbonne University Chris n Henein, Univeristy College London Mohamed A. Elhadad, Ludwig-Maximilians- Colum O’Leary, University of Oxford Universität München Damla Kuz, University of Strasbourg Nathalie Dupin, University of Edinburgh Daria Vdovenko, University of Zurich Petra Bod, Ludwig-Maximilians-Universität Diego Mesa, Imperial College London München Dora Gelo, University of Zagreb Roosmarijn van Woerden, Utrecht University Elisabe a Romani, University of Milan Sara Gunnarsson, Lund University Emer Emily Neenan, Trinity College Dublin Sarah Assaad, University of Cambridge Eva Kaulich, University of Cambridge Sarah Briggs, University of Oxford Gary Hannon, Trinity College Dublin Shelby Shrigley, Lund University Gemma O’Sullivan, Trinity College Dublin Shishir Pant, University of Helsinki Giulia Carla Spolidoro, University of Milan Smiljana Cvjetković, University of Belgrade Henrie a Baker, University of Edinburgh Stefano Piazza, University of Milan Ilona Domen, Utrecht University Tommaso Taroni, University of Milan Jamie Sugrue, Trinity College Dublin Veera Kankainen, University of Helsinki Jan Maleček, Charles University in Prague Wiebe Hommes, University of Amsterdam Joanna Strycharz, University of Amsterdam

Editors

Emily Woollen, University of Edinburgh Sara Shinton, University of Edinburgh Sarah Thomas, University of Edinburgh

19 Notes ______

20