International Partnerships in Large Science Projects July 1995 OTA-BP-ETI-150 GPO stock #052-003-01419-0 Recommended Citation: U.S. Congress, Office of Technology Assessment, International Partnerships in Large Science Projects, OTA-BP-ETI-150 (Washington, DC: U.S. Government Printing Office, July 1995). oreword ederal investment in research and development (R&D) has been crucial to many of the nation’s achievements in basic sciences. In recent years, however, budgetary pressures have made it difficult to sustain ongoing government R&D efforts and to initiate new ventures. These pressures and the growing international character of scientific research have focused greater attention on the potential con- tributions of international cooperation, particularly for large-scale, long- term science projects. The United States has several decades of experience with internation- al scientific collaborations. Numerous successful small-scale scientific cooperative efforts, largely through bilateral agreements, have been con- ducted. High-energy physics, fusion energy, and space are rich with ex- amples of this type of cooperation. However, U.S. experience in the joint construction and operation of large-scale experiments and facilities is far more limited. This background paper, requested by the Chairman and Ranking Mi- nority Member of the House Committee on Science, reviews U.S. expe- rience with collaborative projects in many different fields and their im- plications for future activities. It assesses the factors that facilitate international partnerships in big science projects and those that, con- versely, favor the pursuit of purely national projects. The background pa- per also reviews and identifies several important issues to consider in structuring future collaborations. These include maintaining U.S. scien- tific expertise, setting research priorities, developing mechanisms to en- sure long-term project stability, and safeguarding economic and national security interests. In the course of this study, OTA drew on the experience of many orga- nizations and individuals. In particular, we appreciate the invaluable as- sistance of the workshop participants, as well as the efforts of the proj- ect’s contractors. We would also like to acknowledge the help of the many reviewers who gave their time to ensure the accuracy and compre- hensiveness of this study. To all of them goes the gratitude of OTA and the personal thanks of the staff. ROGER C. HERDMAN Director iii orkshop International Collaboration in Large Science Projects September 13, 1994 Nancy Carson, Noel W. Hinners Ian Pryke Chair Martin Marietta Astronautics European Space Agency Nancy Carson Associates Denver, CO Washington, DC Alexandria, VA John Logsdon J. Thomas Ratchford Phillip Anderson Space Policy Institute George Mason University Princeton University George Washington University Arlington, VA Princeton, NJ Washington, DC John D. Schumacher Charles Baker Akihiro Maki National Aeronautics and Space ITER Project Japan Society for the Promotion Administration University of California, of Science Washington, DC San Diego Washington, DC La Jolla, CA Mr. Anatoliy A. Shurygin Edward M. Malloy Embassy of the Russian David Burke Department of State Federation Stanford Linear Accelerator Washington, DC Washington, DC Center Menlo Park, CA Rodney W. Nichols Ken Stanfield New York Academy of Sciences Fermi National Accelerator James Decker New York, NY Laboratory Department of Energy Batavia, IL Washington, DC David Overskei General Atomics Lyndon Evans San Diego, CA European Organization for Nuclear Research Geneva, Switzerland Note: OTA appreciates and is grateful for the valuable assistance and thoughtful critiques provided by the workshop participants. The participants do not, however, necessarily approve, disapprove, or endorse this report. OTA assumes full responsibility for the report and the accuracy of its contents. iv roject Staff Peter D. Blair PRINCIPAL STAFF ADMINISTRATIVE STAFF Assistant Director Joanne Sedor Marsha Fenn Industry, Commerce, and Project Director Office Administrator International Security Division Matthew Weinberg Tina Aikens Emilia L. Govan Project Director Administrative Secretary Program Director Richard Brody Gay Jackson Industry, Commerce, and Analyst PC Specialist International Security Division Karen Larsen Lillian Chapman Senior Analyst Division Administrator CONTRACTORS Robin Roy Center for Science, Trade and 1 Technology Policy Senior Analyst PUBLISHING STAFF George Mason University Mary Lou Higgs Manager, Publishing Services John Krige European University Institute Cheryl Davis Electronic Publishing Specialist Kenneth Pechter Research Center for Advanced Susan Hoffmeyer Science and Technology Graphic Designer University of Tokyo Chip Moore Florence Poillon Production Editor Editor ________________ 1 Served as project director until January 1995. v eviewers Charles Baker Don Kash Rustum Roy U.S. ITER Home Team Office George Mason University The Pennsylvania State University University of California, Genevieve J. Knezo Alan Schriesheim San Diego Congressional Research Service Argonne National Laboratory Julie Baker National Aeronautics and Space Akihiro Maki Eugene B. Skolnikoff Administration Japan Society for the Promotion Massachusetts Institute of of Science Technology William A. Blanpied National Science Foundation Beth A. Masters Marcia Smith National Aeronautics and Space Congressional Research Service David L. Burke Administration 1 Stanford Linear Accelerator Peter Smith John E. Metzler Center Office of Technology Assessment Department of Energy Daryl Chubin Rodney Sobin David Overskei National Science Foundation Office of Techology Assessment SAIC Alan T. Crane Linda Staheli Francoise Praderie Office of Technology Assessment Office of Science and Technology Megascience Forum Policy Stephen O. Dean Organization for Economic Fusion Power Associates Cooperation and Development Albert Teich American Association for the Sidney Drell Ian Pryke Advancement of Science Stanford Linear Acclerator Center European Space Agency Alvin Trivelpiece Gerald Epstein J. Thomas Ratchford Oak Ridge National Laboratory Office of Technology Assessment George Mason University Paul F. Uhlir Herman Feshbach Burton Richter National Research Council Center for Theoretical Physics Stanford Linear Accelerator Massachusetts Institute of Center Ray Williamson Technology Office of Technology Assessment Michael Roberts Wendell Fletcher Department of Energy Office of Technology Assessment Don A. Rolt Harold Jaffe British Embassy Department of Energy ________________ 1On detail from the National Aeronautics and Space Administration. Note: OTA appreciates and is grateful for the valuable assistance and thoughtful critiques provided by the reviewers. The reviewers do not, however, necessarily approve, disapprove, or endorse this report. OTA assumes full responsibility for the report and the accu- racy of its contents. vi ontents 1 Overview and Findings 1 Background 1 Findings 14 Conclusions 35 2 The Changing Nature of Science 37 Diffusion of Knowledge 34 New Areas of Scientific Inquiry 40 Science and Competitiveness 42 Role of Large Projects 45 Industrial Implications of Large Projects 46 3 U.S. Experience in International Collaboration 49 U.S. Goals in Scientific Collaboration 49 High-Energy Physics 51 Fusion Energy Research 59 Scientific Activities in Space 72 Neutron Sources and Synchrotrons 86 4 Opportunities and Challenges of International Collaboration 93 Benefits of Collaboration 93 Challenges of Collaboration 101 Conclusion 112 APPENDICES A Science Goals of Other Nations 113 B Acronyms 123 INDEX 125 vii Overview and Findings ver the past several decades, the federal government has supported a wide range of research projects in science and technology. Federal support has been crucial to many of the most important research and development (R&D) achievements in defense, space, energy, environmental, and other science and technology programs. Recently, however, federal budget deficits and concerns about the effectiveness of research efforts have intensified pressures on government R&D spending, making it difficult to sustain many ongoing efforts and limiting opportunities for new ventures. These pressures, coupled with the increasingly international character of science and technology R&D activities, have focused greater attention on bilateral and multilateral collaborative arrangements, particularly for large- scale, long-term projects in areas such as particle physics, energy and environmental science, and space. The United States has pursued international collaborative projects in R&D to raise the likelihood of scientific success for particularly complex endeavors, to take greater advantage of in- ternational scientific expertise and facilities, to address science and technology issues that have global implications, to extend na- tional scientific capabilities, and especially for very large science projects, to share costs and risks with other nations. International collaboration, however, poses special challenges, such as estab- lishing R&D priorities within and across different scientific disci- plines, developing funding and planning mechanisms that ensure the long-term stability of projects, and maintaining U.S. econom- ic and national security interests. |1 2 | International Partnerships in Large Science Projects This background paper, requested by the Chair- Other important issues, however, are beyond man and Ranking Minority Member of the House the