issues in international collaboration in large astronomical projects richard schilizzi chair, iau...
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Issues in international collaboration in large astronomical projects
Richard Schilizzi
Chair, IAU Working Group on Future Large Scale Facilities
acknowledgements
•Report of the OECD Global Science Forum Workshop on Best Practices in International Scientific Cooperation
•ALMA Project Plan
•Pierre Auger Observatory Management Plan
•SALT Business Management Plan
•Square Kilometre Array Management Plan
A few general remarks
Individual scientists
Universities
Research institutes
International Scientfic Unions
Funding bodies
Government agencies
Legal advisors
High level government officials
Intergovernmental agencies
General public
large international research collaborations are not straightforward
they involve long drawn-out procedures
international is more complex than national
the players are:
What forms do research collaborations take?
1) between individual scientists – informal, no exchange of funds
2) between research institutions – can be more formal, requiring government agency funding
3) collaborations needing large injections of capital or operational funds
• formal approach needed with more complex arrangements, even if no exchange of funds
• can be based on an existing facility, or require a new facility
4) collaborations designed to provide a new facility, including those beyond the capability of a single country
Driving motivation: mutual benefit
International collaboration or not?
advantages
• can broaden the research base
• reduces financial burden to individual partners (but note that total cost usually higher)
• cross-cultural benefits at scientific and personal level
• can provide access to facilities or information beyond the reach of individual participants
disadvantages• loss of national sovereignity
and control• loss of “home-team”
advantage• extra administrative
complexity• potential difficulties of
working abroad
Policy-makers
•Governments and their agencies dont like surprises!
•Bring policy-makers into the process at an early stage
Types of collaborative agreement
• Intergovernmental treaty eg ESO
• Cooperative agreement eg Canary Islands Agreement on Cooperation in Astrophysics
• Inter-agency agreements eg CFHT, IRAM, JCMT, Gemini, JIVE, ALMA
leadershipIndividual level
•Need motivated individuals to steer project through the scientific, administrative and political processes
•Consultation with potential stake-holders and scientific community
Lead country?
•Host to formal secretariat/headquarters/facility itself
•If a lead country arrangement is preferred, better to evolve this early in the project so host country characteristics can be included in project decisions
Funding and finance
• Flat rate
• Based on GDP
• Based on expected usage
• Host country premium?
• Cash vs “in-kind”
• “juste retour”
•Realistic negotiations with partners and government agencies require realistic cost estimates early in project
•Need to consider division of costs amongst partners
•Business plan
•Problem: how to align funding opportunities world-wide in an international project
Project governance
Statutes, rules and procedures
•managerial framework
•clear decision-making procedures
•voting rights
Should the organisation be a legal entity?
Entrance and exit criteria for partners
Access policy
•Open access
•Only members of the collaboration
•Access by payment
Intellectual Property
•Procedures needed from the start
•Take account of different guidelines and regulations for IPR in the different countries
Site selection for facility, HQ, or science centres
•Best facility site for the best science
•Need well-defined and transparent criteria to allow potential sites to compete on a fair basis
•In some cases, site is determined uniquely by geography. Where this is not clear-cut, financial and political trade-offs may play a role.
Industry and business
Large astronomical projects attractive to commercial interests
•Participation in pre-competitive research together with research institutes
•Contracts for construction
Government policy to encourage public-private partnerships in many countries
Organisation and management
Pre-international funding
•Square Kilometre Array
Funded
•ALMA
•Pierre Auger Observatory
•South African Large Telescope
International SKA Steering Committee
Executive Committee
International Science Advisory
Committee
SKA Project Office
Engineering Management
Team
Site Evaluation
and Selection Committee
Simulations Working Group
Outreach Committee
Long Term Planning
Committee
Square Kilometre Array
Current organisation
Outreach Committee
International SKA Steering Committee
Executive Committee
International Science Advisory
Committee
International Technical Advisory
Committee
SKA Project Office
Engineering Working Group
Site Evaluation Committee
Simulations Working Group
Science Working Group
International Site Selection Advisory
Committee
Industrial Liaison Committee
sponsors
Square Kilometre Array
Likely organisation in 2005
Pierre Auger Observatory•Separate financial and scientific oversight
- Collaboration Board- Financial Board
•Executive financial institution (CERN)
•80% of construction funding is in-kind
• Common fund is essential
ALMA•One ALMA Board - no separated financial and scientific oversight
•Financial authority remains with the legal entity in each region, the “regional executive”
-Fair Return multiple project offices
South Africa Large Telescope (SALT)
Foundation Pty LTDBoard of directors
Officers of the Board:
Project Manager Project Scientist Chief Financial Officer
Company Secretary
•Private company, registered in SAfr, and operated as a non-profit organisation
•10 shareholder organisations in 5 countries
•Limited liability, long term, clear ownership structure
•Shareholders fund capital costs and first 10 years of operation
Global issues• global funding – role for the OECD Global Science Forum?
• develop astronomy-wide scientific priorities for large projects – role for the IAU?
• multi-wavelength observatory requires telescopes across the e-m spectrum to be contemporaneous and able to see the same sky
• forget about detailed collaboration on individual projects, and agree at a global level that one country or region does one of the large projects, and another country or region does another.
ConclusionsSuccessful international collaborations require:
•Clear and compelling scientific objectives
•Motivated scientists committed for the long term
•Mutual benefit for all participants
•Credible organisation and management
•Early participation of policy-makers
•A means of internationally-coordinated funding
What role for the IAU?
• develop scientific priorities for individual projects?
• global “forward look” for astronomy?