Journal of Scientific & Industrial Research

Vol. 62, August 2003, pp 766-772

Perceptions of Participating Sdentists on International R&D Collaborations

MKDRao

National Institute of Science, Technology & Development Studies, Dr. K S Kri shnan Marg, New Delhi II 0 012

Received: 29 October 2002; accepted: 05 March 2003

The perceptions of Indian scientists on their experience in the overseas R&D collaborations, in a public-funded physics laboratory, are collected through a questionnaire-cum-interview schedule. The role of international collaboration, the difnculties faced , the outcome of partnerships, the lessons learnt for best practice, and suggested mechanisms of strengthening bilateral S&T cooperation are covered. The study also sought answer to the vital questions, what manageri al variables impinge on the success of international R&D collaborative projects? Are all collaborative projects subject to same set of success factors? The paper concludes that in order to increase the appetite of the scientists for international coll aboration, provision of defined hudget for travel, eq uipments and contingencies, improvement in procedural requ irements, and, development of comprehensive monitoring system are req uired.

Keywords: Indian scienti sts, R&D co llaborations, S&T cooperation

1 Introduction

One of the major reason accounting for research collaborations, both in fundamental and applied research, has been pooling of available resources­funds , skills, achievements, and effort. It reduces duplication and maximizes output and learning across projects. Firms seek collaboration due to complexity of technologies, multidisciplinarity and intense competition, besides the ri sing costs and risks in product development. The usher of interdisciplinary fields, like, bioengineering, biotechnology, opto­electronics, biosensors has also necess itated colla­borations . Moreover the advances in information and communications technologies have shrunk the global distances , giving ri se to networks of researchers.

While the bilateral collaborations are on the ri se (www.nsf.gov) the art of managing competitive alliances remains to be a relatively new art 1

• Nagpaul has estimated that between 1982-84- and 1992-94 the volume of international cooperation had average annual growth rate of II .6 per cene. Further, a recent study on international cooperation of 45 major countries shows that India 's participation in the international network does not commensurate with its sc ientific strength2

. These prompted the author to exam me the ground reality of international

e-mail : rao@nistads.res.in

cooperation in the Indian context by initiating interaction with the participating scientists in the bilateral and multilateral R&D collaborations3

.

Hamblin4

has examined diplomacy through science, humanitarian intent, and scientific interdependence by tracing through key episodes in the history of international cooperation in oceanic science. Genuth et al. 5 have studied the formation of scientific collaborations by examining the interplay of certain factors like interpersonal relationship by examining 53 collaborations in physics. Varghese et a/. 6 have tracked a broad set of antecedent variables over the formative stages of alliance for predicting success of an alliance. Bizan7 has examined 142 government supported collaborative research projects between American and Israel high-tech firms during 1986-93, bringing out the determinants of technical and commercial success of R&D projects . Bizen7 has questioned the commonality of attributes of success for industrial projects .

The present study examines collaborative R&D projects at inter-institutional level between a national laboratory in India and government R&D institutions abroad. The study probes into the entire life cycle of collaborative projects, beginning from the inception stage through implementation and outcome to the dissemination of results. The study gathered the perceptions of working scientists on their experience

RAO: INTERNATIONAL R&D COLLABORATIONS- PERCEPTIONS 767

in the execution of foreign collaborations, during the last five years starting from 1997, in a physics-based research laboratory. Respondents were further enthused to speak on their collaborative experience, such as the usefulness of foreign partnerships the difficulties faced, lessons learnt and suggestions to improve international S&T collaborations. Further, an attempt was made to identify those management factors leading to success of collaboration.

The sample covered scientists with government approved foreign collaborative projects, overseas research fellowship, and also those having foreign contacts through personal networks . It is expected that the preliminary attempt on gathering the perceptions of the participating scientists in the field would throw light on filling the gaps for taking advantage of international collaborations.

2 Background of the National Physical Laboratory, India

The National Physical Laboratory (NPL), New Delhi was established in 1950, with the charter to realize and maintain the national standards of physical measurements . NPL has been carrying out the calibration and standardization of measunng instruments, against the pnmary standards, maintained at the Laboratory . NPL has the highest level of testing and calibration in the country. Besides this mandate, NPL's major areas of R&D work are in preciSIOn physical measurements; engineering, electronics, soft and polymer material s; materials characterization and their correlation with properties ; radio and atmospheric science; cryogenic and superconductivity . NPL also assists industries, national and other agencies by offering consultancy services for precision measurements, development of devices , processes, and solving other allied problems related to physics, and calibration8

.

Out of a total of 250 scientists, about 30 scienti sts in NPL have direct collaborations with foreign countries. The collaboration of NPL scientists has been in joint projects or as research fellows abroad through BOYSCAST Fellowship, Raman Research Fellowship. The average annual budget of NPL, during the past five years from April 1997 to March 2002, was Rs 250 million (US$ I = Rs 48).

There was no exclusive funding to the laboratories for overseas collaborative projects by the apex body, the Council of Scientific and Industrial Research (CSIR) , during the above period. However,

a separate budget provision is made to each laboratory for participation in the international conferences and the local hospitality of visiting foreign scientists are met by CSIR. The funds under inter-governmental agreements essentially cater to international travel of domestic scientists and local hospitality of visiting foreign scientist besides some contingency.

3 Methodology

A combination of loosely structured question­naire and interview method was used to gather desired information . The gist of the questions posed on the Implementation and Impact of bilateral collaborations is given in Appendix I. The framework drawn was to solicit relevant information on the implementation of the collaborations, the outputs and dissemination . Special emphasis was laid on eliciting the scientists ' perception on factors that contributed to the success of the project and gaps that need to be filled. The views requested were on the scientists' experience, unless they were to be thei r suggestions. Projects, both past and on-going, over the last five years were kept in view, to maintain currency of application of success factors. The scientists interviewed had expenence of joint projects or were Research Fellowship holders . Networking helped the researchers to get global perspective and in gaining access to scientific developments in the advanced countries.

4 Data Collection and Analysis

A loosel y structured quest ionnaire was prepared, based on the experience in coordinating international collaborative projects. The questionnaire had three parts: (i) Start of collaboration, (ii ) Implementation , and (iii) Outputs. Additionally the project management part and lessons learnt were also included.

To facilitate filling, optional answers were provided along with a slot for any other point. The choice was to be recorded by placing a cross against the answer or encircle the chosen grade on a scale of I to 5, with I indicating low and 5 denoting high or I indicating sufficient and 5 denoting insufficient, as applicable.

The purpose of the survey was personall y explained while requesting for filling-in the questionnaire, independently. The completed questionnaires were examined and in a second meeting, clarifications were sought where needed and

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additional information like the difficultiesencountered, and practical suggestions for improvingthe situation were gathered.

5Results

5.1 Background

The nature of interaction of the NPL scientistswith foreign partner has been mixed. Some carried outtheir research work at their facilities on differentaspects of the project, exchanging information on theresults. In the case of others, major part of researchwork was done together, during the visit to eachother's laboratory.

The themes of the foreign collaborative projectsincluded measurement of total spectraltransmittance/emittance, preparation, characterisationand synthesis of polymers, development of improvedatomic frequency standards, study and control ofpolymer-solid interface, media characterisation formodem communication, precision forging technologyto manufacture net-shaped products, R&D on atomichydrogen masers, precision frequency metrology,improved pressure standards, charge carrier transportin crystalline materials, semiconductor siliconapplications and R&D in laser frequency standard andapplications. The partner countries were the US,Russia, Germany, Japan and France, besides UNDPsupported projects.

5.2 Implementation of Joint Research Projects

Much of the efficiency in the implementation ofjoint work depends on speed of interaction betweenthe collaborators, particularly with the foreign partner.In the sample chosen, about 30 per cent used e-mailand 15 per cent used fax for the intended interactionsduring the course of the execution of the project,which continued even after the conclusion of theproject up to the analysis and dissemination ofinformation generated through joint efforts. However,none denied interaction through the use ofconventional mode (snail-mail) of correspondence.It is interesting to note that 15 per cent hadinteractions in the joint meetings and 7 per cent inconferences/workshops, during the implementation ofthe projects.

Majority of the collaborations being in the fieldof basic research the scientists did not face theproblem of intellectual property protection. However,five projects (16 per cent) were on improved process

development in which the intellectual property wasshared equally between the collaborators.

Most of the NPL scientists were satisfied withthe then existing tripartite monitoring reviewcommittees, set up by CSIR-DST for the US-Indiafund projects. This was a committee constituted bythe Director General, CSIR comprising externalexperts from within India, one representative eachfrom CSIR and DST, with convener as the PrincipalInvestigator of the project. It was essentially an Indianarrangement for reviewing the progress of the projectwith a view to suggest any modification, if need be,besides approving extension (s). It was suggested bythe survey respondents that periodic commonworkshops, of all the collaborators, could be helpfulin not only the monitoring process but also indeveloping new contacts and in identifying new areasof mutual interest for research.

In general the scientists feel that the rulesfollowed for foreign collaborations need not be sameas that of laboratory projects. Difficulties in providinggood quality hotel accommodation and in arrangingthe research facilities including new equipment, wereexpressed. It was suggested that, once the plan ofwork and the budget for the collaborative projects isapproved, the Principal Investigator must be givenmore autonomy in purchases up to a ceiling and indecision making within the framework.

5.3 Impact of Collaboration

The collaborations had multitude of effects. Asignificant number (38 per cent) agreed that the jointproject resulted in advancement of basic scientificknowledge. About 33 per cent respondents felt thatthe collaboration helped in strengthening the existingwork, while the remaining 29 per cent initiated workin new area. For example, R&D in metal onsemiconductor interface for advanced devicefabrication was a new area introduced

It is observed that joint research work has beenthe predominant reason for deputations abroad, whichprovided opportunities to the scientists for face-to-face interactions with their counterparts.

The scientists were asked to furnish theirperspective on the satisfaction with the project, interms of specific parameters, under bilateral andmultilateral agreements, with reference to the goal setfor the project. In the scale of 'low' (equivalent to 1)to 'high' (equivalent to 5), the average 'gain' and

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'quality of output ' derived out o f bil atera l interactions approached high at average ratings of 4 and 4.3 , respective ly . The avail ability of funds for the project was indicated as adequate (average rating 3.4). The respondents adjudged the time management in completi on of formalities for the requirements of the project and trave l to be 'suffic ient ' with average rating of 3 .4.

More than 80 per cent of the Indian sc ienti sts fe lt that they could not have comple ted the projec t without the collaboration. T wo-third of the sc ienti sts have pl ans for continuing acti vities with fore ign partners. However, onl y 7 pe r cent sc ienti sts were actua lly formulating subsequent j o int work. These are pos1t1ve signs of successful partne rship . The collaborating scienti sts from NPL were happy to have the fo re ign contact, because, bes ides qualitati ve impro vement in the ir work, they fe lt the coll aboration ra ised the prestige of the outpu t.

The most common method of dissemination of joint research results was through j ournal publications . The co ll aboratio ns have led to publicat ions in refe reed (35 per cent) and SCI covered (25 per cent) journals. T wo patents (8 per cent) were a lso reported to have originated through the collaborative research work under in vestigati on.

5.4 Project Management

The scienti sts were asked fo r the ir pe rcepti on on the management of bil atera l work on a sca le I ( low)

to 5 (high).

The commitment of the sc ienti sts' to time and resources for the j oint work was high with an average rating of 4.2. The e le ment of trust in the partne rship was a lso high with an average rating o f 4.3 . Regarding the quality of interacti on, that is whether the di scuss ions were superfic ia l or in-depth , the average response was again high (average rating 4.3) . Useful information was freely shared among collaborators as made out from the high rating of 4.5.

The enthusiasm shown by the sc ienti st 's co­researchers and the top management in joint problem solving was pointed towards hi gh with rating o f 3.9. The ex tent of avo iding problematic issues (v iz. administrative) in the project was not low with rating of 3.3.

In the perception of the sc ienti sts the objectives of the proj ect were met sati sfactoril y with rating of 3.6.

5.5 Lessons for best practice

An attempt was made to ga the r the ideal attributes of inte rnationa l R& D coope rati on. Mutual trust be tween the partne rs was we ighted the hi ghest by most fo ll owed c lose ly by the c lear objecti ve, purpose and goal of the joint project. O ther suggesti ons, in the order of weights assigned were, good communication, sy nergy of assets and skill s, enduring re lationship , and logist ics and pl anning. O n the negati ve side, lack o f foc us and drive were ind icated to be the di fficul ties in the cooperati on.

To the query as to w hic h manageri a l inte rventi ons impinge upon the success of co ll aborati ons; regardless o f the nature (fe ll owshi p, a ided, equal sharing) or type (basic , exploratory or deve lopmenta l) of coll aborat ive exper ience, 60 per cent fe lt that 'fo ll ow-up acti on ' was important and 40 per cent considered ' review mechani sm ' to be important.

W ith regard to the ex isting gaps in bil ate ral co ll aborations, lack of fo ll ow-up act ion needs to be seri ously considered . Fo ll ow-up re fe rs to time management at various faces of the project implementati on, connecting the outcome w ith the mainstream programme at laboratory and nati ona l level, poss ibility of furthe r t ie-u ps with fo re ign. partners, as pe r need, etc. It was a lso indicated that prior planning of jo int research acti vities and a ll ocati on of tasks a long w ith the commitment of the laboratory for identified purpose, would provide reassurance to the purpose of overseas visi ts .

6 Observations

The survey points out to the overarchi ng importance of good communicati on fac iliti es backed by fo rmal joint agreements in the executi on of internationa l coll aborative programmes and R&D projects, whe re in the governmenta l app rova l, security and sensiti vity aspects and the source of fund , at least parti a ll y, are taken care o f.

In the survey the majority of the sc ienti sts had bas ic research co ll aborati ons and they natura ll y did not encounte r any proble m on the in te ll ectua l property ri ghts (IPR) issue. In 16 per cent of the cases, where the outcome was process development the establi shed norms of equal sharing of outcome of results was foll owed . The sc ienti sts furthe r added that , bas icall y the tru st in partne rship he lped in the smooth management o f the projects and result ing IPRs. Nair

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et a/. 9 consider trust to be a prerequisite for dealing with the Chinese.

The impact of international collaboration is notable. The survey brought out the role played by collaboration, viz. advancement of basic knowledge and introduction of new areas of work. The foreign contact further helped in visit to the overseas institution for joint work. •

Considering the qualitative benefits derived out of the cooperation and the importance given to alliance, bilateral cooperation should be further enhanced and the procedural difficulties must be reduced.

The project management aspects are all encouraging and little more needs to be done. However the suggested lessons for best practice needs attention.

It mu st be admitted that the perspective of human mind and more so, on the interaction of human minds and that too between two cultures/countries are far too complex to be captured by the simple methods of questionnaire or interviews . Moreover the situation may change over the period of collaboration. In the fast changing superconductivity subject, a scientist recalling his visit to Japan said that the originally thought task underwent changes during his interaction with the University researchers. Hence, answering the questionnaire could only be a generalised overview.

Further, Katz et a/. 10 points out that , it is impossible to quantify all the aspects of collaboration. Even, qualitative assessment of collaboration is ex tremely difficult because of the indeterminate re lationship between quantifiable activities and intangible contributions. Hence the prese nt attempt should be viewed merely as indicative preliminary result. Nevertheless the fallout of the survey has policy implications, highlighted below.

7 Suggestions

The following suggestions, in the listed order of priority, emerge from the study:

(a) In recognition of the proven role of international collaboration, there is a strong need for provision of separate budget by the CSIR for bilateral collaborations, particularly for cooperation with the developing countries. Besides the strategic planning of international collaborations, it is imperative to build creative

networks of knowledge in the laboratories, with CSIR as the nerve centre.

(b) Considering the importance given by the scientists to international Seminars and Conferences, well-structured support for researchers, to attend international meetings, seminars, workshops and conferences should be provided . This would facilitate identification of research partners and building of professional networks. Workshops and round-table meetings, 111 the country, engineered towards learning lessons and benefiting from the reservoir of each other's experience should be arranged within the mandate and well interposed to national needs and local capabilities, for follow-up and continuity of efforts.

(c) Considering the relevance of NPL's work to the industries and in view of the absence of any collaboration with the industry for improved products and technologies , in the survey, NPL should look for opportunities to collaborate with foreign industries in 2+2 mode, i.e ., one or more research institution and one or more industry from both the partner countries should collaborate in the project for well identified product/process development. Further, to capitalise on the research ideas, discoveries , and facilities and to synergies mutual strengths; major high visibility, mission mode joint S&T programmes should be launched, involving indigenous industries.

(d) Simplification and streamlining of foreign deputation procedures would reduce the amount of paperwork and could encourage more scientists to look for new overseas collaborations.

8 Conclusions

The study brings out the concerns of the managers of international R&D cooperation programmes, such as: Are we clear about the objectives and the deliverables? Are we aiming at long-term relationship? Are we managing the projects well? Have we set up the systems for monitoring and follow-up? Is the source of funds adequate?

In general the objectives and deliverables appear satisfactory, despite that the foreign collaborative projects have no defined budget. As a result the

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intensity of international collaborative projects is still low, compared to laboratory activities. Regarding sustenance of partnership the scientists unanimously felt that the contacts established, benefits accrued, goodwill generated should be retained and nurtured.

The survey indicates that the collaborative aspects like time, quality and team spirit were satisfactory. However, there is scope for improvement in the administration of collaborative projects to facilitate their smooth implementation. The monitoring system for bilateral cooperative programmes is a gray area, which needs to be examined closely with the purpose to evolve a well structured practical monitoring and evaluation system for bilateral projects and programmes. Dr Rajendra Prasad (Indo-Israeli S&T Co-operation:Guidelines for Evaluation of Co-operative Programme, Unpublished) has suggested monitoring at the following three levels-Apex level evaluation for policy decisions, Subject level evaluation for strategic decisions and Project level evaluation for management decisions.

As may be observed the identified success factors like the matching objectives, mutual trust, and enduring relationship are not amicable to managerial interventions . If one desires to improve the success rate, then the success determinants should be conducive to action. A subsequent query, as to what managerial variables impinge on the success of international R&D collaborative projects?, precipitated two manageable determinants of success. These were, follow-up action and review system. However the commonality of success factors may vary with the nature of the collaboration, depending on whether it is a joint project, training, fellowship or multilateral grant-in-aid project, etc. Dvir et al. 11 have concluded that different projects are affected by different sets of success factors .

The revelation that scientists look for collaborative projects to secure finance from abroad, shows that the funding within our system is found inadequate. While some agreements, as was in the case of US-India Fund projects the travel part was taken care of for both the sides from the PL-480

money, others like with Italy, there is no allocated budget in the MoU for the implementation of the project.

In summary, based on the opinion survey on collaborative projects, where appropriately conceived with respect for mutuality of interests, and built on the foundation of synergy and trust the results of international cooperation could be successful for all.

Acknowledgement

My sincere thanks to all the survey respondents, without whose cooperation and valued inputs, thi s paper could not have been written . I am gratefu l to Dr Nagin Chand for his valued comments on the draft manuscript.

References Nagpaul P S, Transnational linkages of Indian sciences :A structural analysi s, Scientometrics, 46 ( 1999) I 09-140.

2 Nagpaul P S & Sharma L, Mapping the global network of science: Emerging trends in scientometrics - Essays in honour of Ashok Jain , edited by P S Nagpaul (A llied Publishers, New Delhi) 1999.

3 Sierra de Ia M C, Managing global alliances-key steps for successful collaboration (Addison-Wesl ey, England) 1995 .

4 Hamblin J D, Visions of international scientific cooperation : The case of Oceanic Science, 1920-1955, Min erva, 38 (2000) 393-423.

5 Genuth J, Chompalov I & Shrum W, How experiments begin:The formation of scientitic coll aborat ions , Minerva , 38 (2000) 31 1-348.

6 Varghese P G & George F. Performance of alliances: formative stages and changi ng organi zational and environmental influences, R&D Manage , 29 ( 1999) 379-389.

7 Bizan 0, The determinants of success of R&D projects: Evidence from American-Israeli research alf.iances (www.neaman.org).

8 Annual Report 1999-2000, National Physi cal Laboratory, New De lhi.

9 Nair A S & Stafford E R, Strategic alliances in China: Negotiating the barriers, Long Range Plan, 31 ( 1998) 139-146.

I 0 Katz S J & Martin B R, What is research collaboration? Res Policy, 26 ( 1997) 1- 18

II Dvir D, Lipovetsky S, Shenhar A & Tishler A, In search of project classification : a non-uni versa l approach to proj ect success factors , Res Policy, 27 ( 1998) 915-935.

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Appendix 1

Gist of questions posed

Questi ons posed were to know the method s of communication, problems related to the Intellectual Property Ri ghts in the collaboration, benefit s/ga ins achieved, purpose of fore ign visit, remedies in monitoring of co llaborati ve projects, if any, sati sfaction level in terms of gains, quality, time management , budget, need for foreign partner and sustenance of contac t.

The project management aspects examined were the ex tent of commitment of time and resources towards the joint work the e lement of tru st in the partnership the quality of interaction , and the quality of information shared.

Dissemination of the findings and the benefits accrued were also gathered.