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 Series ISSN: 2329-5058

SHNEIDERMAN
Synthesis Lectures on Professionalism and Career
Advancement for Scientists and Engineers
Twin-Win Research
Breakthrough Theories and Validated Solutions for Societal Benefit
Second Edition
Ben Shneiderman, University of Maryland

The thrill of discovery and the excitement of innovation mean that research is often immensely
satisfying. But beyond the personal satisfaction, the goal of research is to improve the lives of
people everywhere by driving revolutionary advances in healthcare, education, business, and
government. This guidebook’s strategies will help you shape your research and energize your
campus so as to achieve the Twin Win: a breakthrough theory that’s published and a validated
solution that’s ready for dissemination.

TWIN-WIN RESEARCH, SECOND EDITION

The action-oriented paths in this guidebook resemble a backpacker’s guide to hiking.
It suggests paths and gives you enough information to get started, while providing enough
flexibility to take side treks and enough confidence to find your own way. Short-term projects
include inviting speakers to campus, choosing appropriate research projects, and developing
networking skills. Middle-term include seeking funding from government agencies and
philanthropic foundations, sharpening your writing and speaking skills, and promoting
teamwork in research groups. Long-term missions include changing tenure policies, expanding
collaboration with business and civic partners, and encouraging programs that combine theory
and practice.

ABOUT SYNTHESIS
This volume is a printed version of a work that appears in the Synthesis
Digital Library of Engineering and Computer Science. Synthesis lectures
provide concise original presentations of important research and
development topics, published quickly in digital and print formats. For
more information, visit our website: http://store.morganclaypool.com

Morgan & Claypool

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Twin-Win Research:
Breakthrough Theories and Validated
Solutions for Societal Benefit
Second Edition
 iii

Synthesis Lectures on
Professionalism and Career
Advancement for Scientists and
Engineers

Editors
Charles X. Ling, University of Western Ontario

Qiang Yang, Hong Kong University of Science and Technology

Synthesis Lectures on Professionalism and Career Advancement for Scientists and Engi-
neers includes short publications that help students, young researchers, and faculty
become successful in their research careers. Topics include those that help with career
advancement, such as: writing grant proposals; presenting papers at conferences and in
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and contract; starting a company; and getting a Masters or Ph.D. degree. In addition,
the series publishes lectures that help new researchers and administrators to do their
jobs well, such as: how to teach and mentor, how to encourage gender diversity, and
communication.

Twin-Win Research: Breakthrough Theories and Validated Solutions for Societal

Benefit, Second Edition
Ben Shneiderman
September 2018

Oral Communication Excellence for Engineers and Scientists

Judith Shaul Norback
July 2013

A Practical Guide to Gender Diversity for Computer Science Faculty

Diana Franklin
April 2013
iv

A Handbook for Analytical Writing: Keys to Strategic Thinking

William F. Winner
2013
University of Maryland (September 2017)
Copyright © 2019 by Morgan & Claypool

All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in
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Twin-Win Research: Breakthrough Theories and Validated Solutions for Societal Benefit, Second Edition
Ben Shneiderman
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DOI 10.2200/S00872ED1V01Y201808PRO004

A Publication in the Morgan & Claypool Publishers series

ON PROFESSIONALISM AND CAREER ADVANCEMENT FOR SCIENTISTS AND ENGINEERS
#4
Series Editors: Charles X Ling, University of Western Ontario and Qiang Yang, Hong Kong University of
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Series ISSN 2329-5058 Print 2329-5066 Electronic

Twin-Win Research:
Breakthrough Theories and Validated
Solutions for Societal Benefit
Second Edition
Ben Shneiderman
University of Maryland

SYNTHESIS LECTURES ON PROFESSIONALISM AND CAREER

ADVANCEMENT FOR SCIENTISTS AND ENGINEERS #04

M
&C MORGAN & CLAYPOOL PUBLISHERS
viii

ABSTRACT
The thrill of discovery and the excitement of innovation mean that research is often
immensely satisfying. But beyond the personal satisfaction, the goal of research is to
improve the lives of people everywhere by driving revolutionary advances in health-
care, education, business, and government. This guidebook’s strategies will help you
shape your research and energize your campus so as to achieve the Twin Win: a break-
through theory that’s published and a validated solution that’s ready for dissemination.
The action-oriented paths in this guidebook resemble a backpacker’s guide to
hiking. It suggests paths and gives you enough information to get started, while pro-
viding enough flexibility to take side treks and enough confidence to find your own
way. Short-term projects include inviting speakers to campus, choosing appropriate
research projects, and developing networking skills. Middle-term include seeking
funding from government agencies and philanthropic foundations, sharpening your
writing and speaking skills, and promoting teamwork in research groups. Long-term
missions include changing tenure policies, expanding collaboration with business and
civic partners, and encouraging programs that combine theory and practice.

KEYWORDS
research, Twin-Win Model, breakthrough theories, validated solutions, innovation,
discovery
 ix

Contents
Preface. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii

Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . �� xv

1Thinking about Research. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ��� 1

1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 The Twin Win . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.3 Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1.4 Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1.5 Audience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1.6 Messaging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.7 Evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.8 History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
1.9 First Steps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
1.10 Bottom-Up and Top-Down Approaches . . . . . . . . . . . . . . . . . . 19
1.11 Short-, Medium-, and Long-term Strategies . . . . . . . . . . . . . . . 21
1.12 Organizations that Promote HIBAR Research and Twin-Win
Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
1.13 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

2 A Starter Set of Paths to Enhance the Quality and Impact of

Your Research. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . � 27
2.1 Small, Short-term Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.1.1 Invite a Speaker . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
2.1.2 Run a Reading Group . . . . . . . . . . . . . . . . . . . . . . . . . . 29
2.1.3 Organize a Workshop . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
2.1.4 Offer a Tutorial to Build Research Skills . . . . . . . . . . . . 30
2.1.5 Organize Faculty Meetings to Discuss Twin-Win
Research Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2.1.6 Study Meaningful Prolems . . . . . . . . . . . . . . . . . . . . . . . 32
2.1.7 Form a Research Project . . . . . . . . . . . . . . . . . . . . . . . . . 34
2.1.8 Develop Your Social Media Fluency . . . . . . . . . . . . . . . 34
2.1.9 Develop Your Networking Skills . . . . . . . . . . . . . . . . . . 35
x

2.2 Medium-sized, Middle-term Efforts . . . . . . . . . . . . . . . . . . . . . . 36

2.2.1 Arrange a Speaker Series. . . . . . . . . . . . . . . . . . . . . . . . . 37
2.2.2 Make It Easy for Off-campus Guests to Visit . . . . . . . . 37
2.2.3 Facilitate Meetings on Campus . . . . . . . . . . . . . . . . . . . 38
2.2.4 Seek Funding from Government Agencies . . . . . . . . . . . 38
2.2.5 Seek Funding from Philanthropic Foundations . . . . . . . 40
2.2.6 Sharpen Your Writing Skills . . . . . . . . . . . . . . . . . . . . . . 41
2.2.7 Sharpen Your Speaking Skills . . . . . . . . . . . . . . . . . . . . . 42
2.2.8 Strengthen Your Campus’s Social Media Presence . . . . . 44
2.2.9 Generate Targeted Email Lists . . . . . . . . . . . . . . . . . . . 44
2.2.10 Create an Award for Research Communications . . . . . . 45
2.2.11 Organize Research Fairs . . . . . . . . . . . . . . . . . . . . . . . . . 46
2.2.12 Promote Teamwork in Research Groups . . . . . . . . . . . . 47
2.3 Bigger, Long-term Missions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
2.3.1 Include Team Projects in Courses . . . . . . . . . . . . . . . . . 49
2.3.2 Teach the Methods of Design Thinking . . . . . . . . . . . . 51
2.3.3 Raise Twin-Win Issues at Conferences . . . . . . . . . . . . . 53
2.3.4 Collect Evidence of Twin-Win Payoff . . . . . . . . . . . . . . 54
2.3.5 Learn about Alternate Ways to Assess the Impact of
Your Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
2.3.6 Change Hiring, Tenure, and Promotion Policies to
Encourage and Recognize Teamwork . . . . . . . . . . . . . . 56
2.3.7 Change Hiring, Tenure, and Promotion Policies to
Encourage and Recognize Working with Business,
Government, and NGO Partners . . . . . . . . . . . . . . . . . . 57
2.3.8 Incorporate New Goals and Measures in Strategic
Plans and Vision Statements . . . . . . . . . . . . . . . . . . . . . 58
2.3.9 Work with Your Campus’s Office of Technology
Commercialization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
2.3.10 Expand Collaboration with Business . . . . . . . . . . . . . . . 60
2.3.11 Expand Collaboration with Civic Partners . . . . . . . . . . 62
2.3.12 Spread Twin-Win Ideas in Professional Societies . . . . . 63
2.3.13 Encourage Research Programs that Combine Theory
and Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

3 Conclusion ������������������������������������������������������������������������������������������� 65

Author Biography. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . � 71
 xi

University of California at Irvine (March 2016)

 xiii

Preface
This guidebook grew from years of discussions about an issue near to my heart: how
to change the culture of college campuses in order to produce higher-impact research.
Initially, those discussions led to a book, The New ABCs of Research: Achieving Break-
through Collaborations (2016). Yet as I continued the conversation with colleagues and
delivered more than 40 talks in the U.S., Canada, and the UK people kept asking me
a question that I couldn’t fully answer: “How can I change my own campus?”
So, I started preparing handouts. These one-pagers were meant for students,
faculty, and academic leaders, like department chairs, institute directors, deans, and
provosts. Memorable talks were at the Office of Science and Technology Policy and
the National Science Foundation, where my one-page lists had a different set of items.
This guidebook is a revised and combined version of those lists.
My focus is especially on North American universities and institutions that I
know best, but I hope readers will find ways to translate these ideas into their national
research ecosystems. My campus photos, which show the diverse universities I’ve visited,
are meant to help readers appreciate that the ideas in the book can be widely applied.
The first edition of this book was a Kindle self-published book titled Rock the
Research: Achieving the Twin Win of Theory Breakthroughs and Societal Benefits. Since my
audiences have responded strongly to the Twin Win concept, I have made it the title
for this second edition.
xiv

Cornell University (May 2003).

 xv

Acknowledgments
I’m grateful for supportive comments from, and lively discussions with, a range of
colleagues. These people include Dan Sarewitz (Arizona State University), Lorne
Whitehead (the University of British Columbia), Camille Crittenden (the University
of California-Berkeley), Sameer Popat (the University of Maryland), Mark Western
(the University of Queensland), and Mike Ash (the Better World Institute). I’m par-
ticularly grateful to my wife, Jennifer Preece, and to the many colleagues at the Uni-
versity of Maryland who offered valuable insights and encouragement. Hearty thanks
also go to Asheq Rahman of Elsevier, who worked closely with me to provide the
remarkable evidence from their SCOPUS database in Section 1.7. Finally, the meet-
ings of the Highly Integrative Basic and Responsive Research Alliance helped push
my ideas forward, as did help from the Government-University-Industry Research
Roundtable of the National Academy of Sciences and the Association for Public and
Land-grant Universities.
 1

CHAPTER 1

Thinking about Research

1.1 INTRODUCTION
Research is great fun because innovation is exciting and discovery is a thrilling. But
beyond the personal satisfaction, the goal of research is to improve the lives of people
everywhere. Researchers have the opportunity to create astonishing innovations and
make profound discoveries, which drive revolutionary advances in communication,
healthcare, transportation, business, and government.
But to become this kind of superstar researcher, you have to be more than just
lucky; you have to develop the right strategies. These strategies range from choosing
problems to finding excellent collaborators, from validating your ideas to pushing back
against skepticism. Learning and applying these strategies will increase the probabil-
ity that your innovations and discoveries will blossom into commercial successes and
influential theories that bear fruit as major societal benefits
Set your sights high! Your research could prevent cancer, cut energy consump-
tion, or bolster cybersecurity. Your ideas could lead to highly cited papers, widely li-
censed patents, and successful business startups. It takes hard work, perseverance in the
face of setbacks, polished social skills to push back against skepticism, and excellent
presentation abilities to convey your success story.
But remember—dangers abound. Your ideas may fail, they may be bested by
competitors, or they may be ignored because you failed to present them well. You also
run the risk that the transformative changes you trigger may be disruptive for many
people, may damage the environment, and may be appropriated by criminals, terrorists,
and oppressive leaders. Research is a high-stakes endeavor, so the best researchers gird
themselves for all possibilities.
Which is where this guidebook comes in. My goal is to help you redirect your
research and to change your campus. If you can increase the impact of academic
research, you and your colleagues can produce more potent innovations and more
valuable discoveries.
The paths I outline can be pursued by individual students or faculty, or teams in
a bottom-up fashion. These paths can also be important for top-down implementation
by academic leaders like department chairs, deans, and administrators, as well as vice
2 1. THINKING ABOUT RESEARCH

presidents of research, provosts, and even presidents. These leaders are typically the
ones who promote visionary agendas described in ambitious strategic plans. And they
often work closely with off-campus partners in business, government, nongovernmen-
tal organizations (NGOs), journalism, and beyond.
The bottom line: this guidebook is meant to resemble a backpacker’s guide
to hiking. It suggests paths and gives you enough information to get started, while
providing enough flexibility to take side treks and enough confidence to find your
own way.

1.2 THE TWIN WIN

The design of these paths is based on the ideas of many people, but it draws heavily
from The New ABCs of Research: Achieving Breakthrough Collaborations (2016, http://
www.cs.umd.edu/hcil/newabcs). For some people, discovery and innovation are sep-
arate pursuits. For a researcher, however, they’re symbiotic. In fact, by pursuing them
simultaneously, you’re more likely to succeed at both.
And this parallel approach often leads to what I call the Twin Win. The Twin
Win idea is to develop breakthrough theories in published papers AND validated
solutions ready for widespread dissemination.

Twin Win

Breakthrough Validated solutions

theories in published ready for widespread
papers dissemination

The idea of the Twin Win is so important that it’s become the basis of a network
of research leaders. The Highly Integrative Basic and Responsive (HIBAR) Research
Alliance seeks to change campus cultures and has drawn support from the U.S. Na-
tional Academies and the Association for Public and Land-grant Universities. (The
latter hosts HIBAR’s website: http://www.aplu.org/hibar.)
What kind of work does HIBAR do? Lorne Whitehead, of the University of
British Columbia, offered this description: HIBAR specializes in projects that:
• seek both deep new knowledge and new practical solutions;

• use both academic research methods and practical design thinking;

 1.2 THE TWIN WIN 3

• are led by both respected academics and real-world experts; and

• have long-term goals and short-term payoffs.

The HIBAR Research Alliance, with vice presidents of research and other cam-
pus leaders, held six meetings during 2017–2018 to discuss how to achieve the campus
culture changes that are described in this guidebook.
Using the HIBAR approach to achieve the Twin Win isn’t easy. That’s because
traditional academic attitudes and policies make it difficult to pursue fresh strategies.
Old beliefs and established policies about how to do research are tough to shake, even
in the face of growing evidence that new models are more reliable in producing large
positive results.
Put another way: Changing the long-held convictions of your colleagues and
mentors is a challenge—but it is possible. Changing institutional traditions and es-
tablished policies is equally difficult, but these transformations are also possible. These
changes are exactly what HIBAR Research Alliance seeks to engender.

The University of British Columbia, HIBAR Research Alliance (November 2017).

4 1. THINKING ABOUT RESEARCH

1.3 CHANGE
Most change-agent handbooks note that the first step of change is for those whose
work will be changed to be aware of the big problems and to identify opportunities for
improvement. For example, as a researcher, you need specific instructions about what
steps to take. This clarity promotes willingness to give up familiar practices and try
something new. Meanwhile, any improvements you make need to be measurable; this
will reassure participants, even in the face of personal resistance and active opposition
from others.
Additionally, because setbacks are inevitable, constant reassessment on your part
is critical. Finally, recognition of your success from peers and superiors is essential to
spread your ideas. Recognition also strengthens the commitment by others to new
methods and goals.
If this all sounds hard, it is. As it should be. But remember: It’s also possible.
Equally important: while these ideas are meant to help you achieve personal
success and raise the impact of your lab or campus, they also have a larger impact.
After all, each research project helps bring broader benefits to more people. Each small
contribution is a tile in the mosaic of societal transformation.

1.4 CHECKLIST
If you want to become a visionary change agent in education, here’s a checklist (de-
rived from https://bit.ly/2MOyAO9).
1. Alignment and Buy-in: The change being considered should align with
the overall values, vision, and mission of the initiative. Senior leadership
must champion any new initiative. If someone at the C-suite level op-
poses the new initiative, it will likely die a slow and painful death.

2. Advantage: If the initiative doesn’t provide a unique competitive ad-

vantage—preferably a game changing advantage—then it should at least
bring you closer to an even playing field.

3. Added Value: Any new project should add value to existing initiatives. If
it doesn’t, it should show a significant return on investment to justify the
dilutive effect of not keeping the main thing the main thing.

4. Due Diligence: Just because an idea sounds good doesn’t mean it is. You
should endeavor to validate proof of concept based upon detailed, cred-
ible research. Do your homework—put the change initiative through a
 1.4 CHECKLIST 5

rigorous set of risk-reward and cost-benefit analyses. Forget this step

and you won’t be able to find a rock big enough to hide under.

5. Ease of Use: Whether the new initiative is intended for your organi-
zation, vendors, suppliers, partners, or customers, it must be simple and
easy. Usability drives adoptability; therefore, it pays to keep things sim-
ple. Don’t make the mistake of confusing complexity with sophistication.

6. Risks: Nothing is without risk, and when you think something is, that’s
when you’re most likely to end up in trouble. All initiatives should in-
clude detailed risk-management provisions that contain sound contin-
gency and exit planning.

7. Measurement: Any change initiative should be based upon solid busi-

ness logic that drives corresponding financial engineering and modeling.
Be careful of high-level, pie-in-the-sky projections. The change being
adopted must be measurable. Deliverables, benchmarks, deadlines, and
success metrics must be incorporated into the plan.

8. The Project: Many companies treat change as some ethereal form of

management hocus pocus that will occur by osmosis. A change initiative
must be treated as a project. It must be detailed and deliverable on a
schedule. It must have a beginning, middle, and end.

9. Accountability: Any new initiative should contain accountability pro-

visions. Every task should be assigned and managed according to a plan
and in the light of day.

10. Actionability: A successful initiative cannot remain in a strategic plan-

ning state. It must be actionable through focused tactical implementa-
tion. If the change being contemplated is good enough to get through
the other nine steps, then it’s good enough to execute.
6 1. THINKING ABOUT RESEARCH

The University of British Columbia (September 2014).

1.5 AUDIENCE
This guidebook is geared toward campus participants. These people include the fol-
lowing groups:
• students: undergraduate and graduate;

• faculty members: assistant, associate, and full professors, as well as in-

structors, lecturers, adjuncts, post-doctoral researchers, research scientists,
and related support staff;

• academic leaders: department chairs, center directors, deans, provosts,

vice presidents of research, presidents, and others who shape academic
life; and

• administrators: program directors, student advisors, development offi-

cers, public relations directors, physical plant managers, accounting staff,
government relations specialists, and student service providers.
Working to change your campus’s research could invigorate academic life,
raise the reputation of your university, and increase the benefits for your city, state, or
region, or even produce global benefits. Improving academic research is a reasonable
 1.5 AUDIENCE 7

goal because you can easily find partners among the well-defined community that
is your campus. While research is the focus of this guidebook, changes to teaching,
mentorship, and service will also be likely outcomes. In fact, since these components
of campus life are richly interwoven, your progress on any path is likely to produce
multiple advances.
Substantial and sustained changes will also require you to engage with off-cam-
pus business leaders and professionals, as well as government policymakers and agency
staffers, all of whom hire students and fund research. Durable changes will also require
you to engage with professional societies, journal and book publishers, conference
organizers, and reporters. Finally, you’ll want to seek out senior colleagues who can
push for changes in government-funding agencies and philanthropic foundations, and
business leaders. This guidebook describes collaborations that will help produce sub-
stantial and sustained campus changes.

Yale University (April 2011).

8 1. THINKING ABOUT RESEARCH

1.6 MESSAGING
I’ve spoken about these issues at more than 40 events, eliciting enough interest to get
invited back and speak to other groups, but also generating pushback from two direc-
tions. About 10–20% of my audiences reject the premise that research should produce
societal change. This cohort clings to the traditional belief that academic ivory towers
are still the top place to work. They want to write theoretical papers and do laboratory
studies, with little concern for impact and little interest in teaming up with business,
government, and NGOs. I doubt this guidebook will change their minds.
Pushback also came from another 10–20% of my audiences who support these
ideas. They felt that they were doing fine already in pursuing the Twin-Win goals of
published papers and validated solutions. However, some of these sympathetic sup-
porters still need to learn techniques for choosing problems, forming teams, and pro-
moting their work. This guidebook could help these researchers find the right partners
and adapt their strategies.
The remaining 60–80% consist of those who haven’t thought much about these
issues. For this cohort, I propose the following message.
“Evidence is growing that identifies new ways to improve the impact of your
research. You might want to try it, but you are welcome to do what you have
been doing. The strategy is to work on realistic problems and partner with pro-
fessionals in business, government, and NGOs to bring your ideas to fruition.”
Under the Twin-Win strategy, you’ll co-design a research plan, collaboratively
implement it, and eventually co-author a paper. In other words, you’re not only pro-
ducing a breakthrough theory for publication; you’re also producing a validated solu-
tion that’s ready for dissemination. As a result, you stand to gain academic recognition
and contribute mightily to society.
If you’re interested in such a scenario, here are a few ways to proceed. Many
faculty members have found that these partnerships produce continuing relationships,
which advance research and disseminate it widely, while bringing substantial societal
benefits. Often, the teams you assemble have uniquely powerful skills and access to po-
tent resources that leads to remarkable discoveries and innovations. If you pursue the
dual goals of producing breakthrough theories in publications and validated solutions
that are ready for dissemination, you are more likely to gain academic recognition and
make substantial societal benefits.
You could pursue this strategy by inviting relevant business, government, and
NGOs researchers to speak on campus, encouraging your students to intern with
them, and developing partnerships that lead to funding from them.
 1.7 EVIDENCE 9

I’ve found that junior faculty and students are especially sympathetic to this
message. Indeed, their biggest concern is where to start.

1.7 EVIDENCE
The evidence in support of the Twin-Win strategy is strong. My analyses began with
searching for the impact of the University of Maryland research using the Elsevier
SCOPUS database with 70M+ academic papers. I found that single author papers re-
ceived, on average 3.0 citations, while co-authored papers with campus colleagues col-
lected 6.1 citations. Co-authoring with colleagues in the U.S. produced 9.2 citations,
while co-authoring with international partners raised the impact to 13.9 citations.
However, the astonishing result was that papers with co-authors from businesses
(and other large organizations) produced an average of 20.3 citations. While citations
counts are flawed in many ways and they are not the only way to assess impact, this
result validated the benefits of working with off-campus partners.
I wondered if this result was unique to my campus, so I began searching to see
if the pattern held for other universities. A search for the top six private (Figure 1.1)
and the top six public universities (Figure 1.2) showed remarkable consistency in the
growing citation counts for papers with off-campus co-authors. The universities were
chosen by their volume of publications in the SCOPUS database.
Further searching for universities in the United Kingdom (Figure 1.3) and
Canada (Figure 1.4) provided confirmation of the thesis that corporate collaborations
produced dramatically increased citation counts.
In interviewing academic colleagues who had many papers with corporate col-
laborators, I got enthusiastic comments about working with business, government, and
NGO partners. A theory-oriented computer science colleague said “people in busi-
ness have better problems,” an attitude that was confirmed by a colleague working in
computer vision. Having clearly focused problems to work on accelerated their work,
while the resources and pressures of corporate efforts enabled these teams to produce
meaningful results tied to realistic data. Validation or rejection for theories was quick
and clear. Not all projects will have such positive outcomes, but there is an important
lesson in this data: building connections with off-campus partners can lead to results
that draw more attention from others.
 Average Citations Per Publication

0
5
10
15
20
25
30
35
40
Single author
Institutional Collaboration
National Collaboration
International Collaboration

Harvard
Corporate Collaboration

Single author
Institutional Collaboration
National Collaboration

Stanford
International Collaboration
Corporate Collaboration

Single author
10 1. THINKING ABOUT RESEARCH

Institutional Collaboration
National Collaboration
International Collaboration

University
Corporate Collaboration

John Hopkins
Single author
Institutional Collaboration
National Collaboration

U Penn
International Collaboration
Corporate Collaboration

Single author
Institutional Collaboration
National Collaboration
Columbia International Collaboration
Corporate Collaboration

Single author
Institutional Collaboration
National Collaboration
MIT

International Collaboration
Figure 1.1: Effect of co-authorship on citations: top six private universities in the U.S.
Corporate Collaboration
 Average Citations Per Publication

0
5
10
15
20
25
30
35
40
Single author
Institutional Collaboration
National Collaboration
International Collaboration

Michigan
University of
Corporate Collaboration

Single author
Institutional Collaboration
National Collaboration
International Collaboration

Washington
University of
Corporate Collaboration

Single author
Institutional Collaboration
National Collaboration

UCLA
International Collaboration
Corporate Collaboration

Single author
Institutional Collaboration
National Collaboration
International Collaboration

Minnesota
University of
Corporate Collaboration

Single author
Institutional Collaboration
National Collaboration
International Collaboration
Wisconsin
University of
Corporate Collaboration

Single author
Institutional Collaboration
Figure 1.2: Effect of co-authorship on citations: top six public universities in the U.S. National Collaboration
International Collaboration
Corporate Collaboration
UC San Diego
1.7 EVIDENCE 11
Another random document with
no related content on Scribd:
them from my observer, who was an old hand at the game. I
confess to a feeling of relief when I reached the point where
our bombs were to be thrown over. Having discharged this
duty I was glad to return to my starting-point with the motor
running at slow speed, and knowing that I was soon to be out
of range of the enemy’s deadly fire.
“In this bombardment my machine was made almost
entirely of steel tubing with a 140-horse-power engine,
capable of carrying a load of bombs weighing from four to
seven hundred pounds. As an arm of defense it carried a
machine gun. This is the type of machine that has made most
of the long raids on the enemy. I soon became accustomed to
the duty I had to perform and to flying with the spectacle of
shells bursting all around me, at the same time keeping on
the lookout for the ’planes of the enemy. We made seventeen
bombardments during the ensuing month of June and we got
to be old hands at this kind of warfare. It is never quite
agreeable to be shelled up in the air or elsewhere, and those
who make the boast of liking it do not tell the exact truth.
“To illustrate how well the French military aviation service is
organized and supplied with machines, let me tell you of my
experience at the front in Lorraine, where one day I had the
misfortune to break one of the wings of my machine. Instead
of stopping to have it repaired, all I had to do was to turn it
into a supply station near by where it was at once dismantled
and sent to the rear. I was then promptly supplied with a new
machine. A change of aeroplanes by an aviator in action in
France is like a cavalryman changing his horse. If there is
anything the matter with the animal, even if it is only a corn, a
new one is at once forthcoming. There is no suggestion of
parsimony or niggardliness in giving out the supplies
necessary for efficient fighting.
“On another occasion, when we were making a raid on the
railway station at Douai, which was about twenty-five
kilometres within the enemy’s lines, we started with a
squadron of some twenty machines. There happened to be
that day a great many German machines out. Somehow or
other they knew we were coming. We had four or five brisk
engagements with them. Our planes had only machine guns
with which to defend themselves, while the Germans used
regular fighting machines. This aerial engagement resulted in
four of our machines coming back riddled with bullets, my
lieutenant being hit in the leg.
“I was fortunate enough that day to escape the range of the
German flying machines by going farther north and passing
through the clouds, though I was shelled from a long distance
all the way. I succeeded in dropping my bombs on a railroad
station, one of which I saw explode in a bunch of freight cars
in the railroad yard. As I was returning within our lines the
Englishmen, by mistake, opened a brisk fire on me which
necessitated my going up into the clouds again. I proceeded
due west until I ran out of gasoline and I then descended in
the dark near the headquarters of the English. It was my good
fortune to land safely and on my arrival at my post I was
brought before the English commander, who asked me to tell
my story. Mine being one of the four machines out of twenty
that had reached Douai in the raid, I was awarded a citation
and given the right to wear a War Cross—my first decoration.
“My squadron spent a month in the east and during this
time I went farther into the enemy’s territory than I had been
before. I think the longest distance was when we made the
raid on two localities over one hundred kilometres within the
enemy’s lines in Bocherie, as we called it. During this month
General Joffre came to review our four squadrons of
bombarding machines. With him came the President of
France and the King of the Belgians. These distinguished
visitors witnessed the departure of a squadron of some ninety
of our machines on a bombarding raid loaded with bombs and
flying four abreast. They were highly complimentary in their
salutations to us Americans.
“During this month in Lorraine I experienced the hardest
knock I had received up to that time. One day six German
machines, fully equipped, bombarded Nancy and our aviation
field. To retaliate, my squadron was sent out to bombard their
field on the same afternoon. We started with thirty machines
to a designated rendezvous and fifty minutes later, after
getting grouped, we proceeded to our ultimate destination. I
had a very fast machine, and reached the German flying field
without being hit. When about to let go my bombs and while
my observer was aiming at the hangars of the Germans my
machine was attacked by them—one on the left and two on
the right. I shouted to my observer to drop his bombs, which
he did, and we immediately straightened out for home. While I
was on the bank the Germans opened fire on me with their
machine guns which were even more perilous than their
shells. My motor stopped a few moments afterwards. It had
given out and to make matters worse a fourth German
machine came directly at us in front. My observer, who was
an excellent shot, let go at him with the result that when last
seen this German aeroplane was about four hundred feet
below and quite beyond control. The other Germans behind
kept bothering us. If they had possessed ordinary courage,
they might have got us. Flying without any motive power
compelled me to stand my machine on end to keep ahead of
them. As we were nearing the French lines these Germans
left us, but immediately batteries from another direction
opened fire on us. As I was barely moving I made an
excellent target. One shell burst near enough to put shrapnel
in my machine. It is marvelous how hard we can be hit by
shrapnel and have no vital part of our equipment injured. I
knew I was now over the French lines, which I must have
crossed at a height of about four hundred metres. I finally
landed in a field covered with white crosses marking the
graves of the French and German soldiers who had fallen the
previous September at this point. This was the battle the
Kaiser himself came to witness, expecting to spend that night
in Nancy.
“Thousands fell that day, but the Kaiser did not make his
triumphal entry. Looking back on this latter experience of mine
I think myself most fortunate in having been able to return to
the French lines without a scratch. I got home safely because
the German aviators lacked either courage or skill or both.
They had me with my engine dead, four against one, and
twenty kilometres within their lines.”
 Portrait as exhibited at Allied Fairs

Alluding to the occasion of the telling of this story, William Roscoe

Thayer, who presided at the dinner, said when the tidings of
Norman’s death came from France: “I shall never forget that
Christmas night at the Tavern Club when Norman sat next to me and
told me many details of his service and then arose and gave that
wonderfully simple, impressive story. To have had such a service
and to die fighting for the cause which means the defense of
civilization—what nobler career could he have had? I can think of no
one who more thoroughly enjoyed the life of continuous peril which
he led. The honors which it brought him showed that France
recognized as heroism that which he took as a matter of course.”
 III
LETTERS

The following letters of Norman Prince, although chiefly of an

intimate and personal character, are here published as a part of the
record of his experiences in the service of France and as further
testimony to his tenderly affectionate nature and his constant
thoughtfulness and solicitude for those he left at home.
 With his Superior Officer Lieutenant de Laage de Mœux

Havre, Jan. le 29, 1915.

Dear Mamma,—I have just put foot ashore in France after a
disagreeable crossing, 2nd class. Here in Havre there are
troops and troops always passing. French troops, chiefly of
the reserve; thousands of English troops in khaki, Belgian
troops without uniform. They all say, not at all in a boastful
way, that they will be back home again by the end of the year.
Will they?
Dear Mamma, I hope you are well and that papa has not
taken too much at heart my leaving home at this time. I
believe I can find a place to do some efficient and useful work
for the cause to which I am so deeply devoted. My love to you
all. I shall write often.
Affectionately your son,
Norman.

Esc N. 124, Secteur 24, May 15, 1915.

Dear Governor,—Arrived en escadrille par la voie des airs
to replace a disabled pilot until the Escadrille Américaine is
formed.
I saw the battle lines and heard for the first time the never-
ending boom of guns. This is war in dead earnest and right at
hand. Will write more fully later.
Affectionately,
Norman.

V. B. 108-B. 103, May 20, 1915.

Dear Freddy,—Arrived here at the Front last Tuesday
piloting two Voisins appareils de bombardement. On the way
we bombarded observation balloons, railway centers,
poudrières, aviation camps and other locations of Boche
activity—but not towns or cities or other localities where the
lives of helpless women and children might be endangered.
We are in the section where all the French advances have
lately been made. The vertical guns of the Boches are
particularly annoying to us. They have got two out of six of the
pilots of our Escadrille since our arrival. One got down within
our own lines; the other fell within the lines of the Boches—
whether he was killed or not we do not know.
(Eight miles from the German trenches.)
Been here a week and have become quite accustomed to
being shot at. We go out every day and the salutations we get
from the Boches are rapid and continuous when we are over
their lines. The Boches here have more vertical guns to aim at
us—more to the mile of front than anywhere else. There are
hundreds of French aeroplanes grouped here because it is in
the twenty miles north of Arras and south of the English
where all the recent French advances have taken place.
Attacks and counter attacks by day and night, and the bang of
artillery in the near distance never ceases. We often go out at
the same time as the infantry attack behind the artillery fire,
the artillery of both sides banging away at the trenches,
batteries and at us,—the avions in the air. It is a wonderful
spectacle and something frightful as well—until we get used
to it!
N. P.

Paris, September 6, 1915.

My dear Grandmamma,—I am in Paris on a few days’ leave
and just had luncheon with a friend who is leaving to-night for
Rome and I have asked him to mail this letter to you on his
arrival.
 For the last four months I have been at the front—two
months in the North near Arras during the attacks of May and
June. After that we were stationed for a month near Nancy in
the East. Now we have returned to the north again where
there is increasing activity. I am happy and in the best of
health. I sleep under canvas on a stretcher bed and eat in the
shed of an old farm house near by. I have nothing to complain
of. I like it. There are ten American pilots with us in the French
service and twelve others in training with their number
constantly increasing. Some day soon we will all be united in
one escadrille—an Escadrille Américaine—that is my fondest
ambition. I am devoting all my spare energies to organizing it
and all the American pilots here are giving me every
encouragement and assistance in the work of preliminary
organization. As I have had so much to do in originating and
pushing the plan along, perhaps I shall be second in
command.
I would enjoy tremendously a letter. My address now is
Sergeant-Pilote Prince
Escadrille d’Avions Canon
3me Groupe de Bombardement
Secteur Postal 102.
I hope you are in Rome, not in Treviso, which must be dans
la Zone des Armées.
Your affectionate grandson,
Norman.
 Application to ride a Breguet de Chasse

Cⁱᵉ Gˡᵉ Transatlantique, À bord, January 4, 1916.

 My dear Mamma,—Just a line before the pilot leaves us to
tell you that Freddy and I appreciate your sorrow in having
your two boys go to the war. However, the greater the sorrow,
the greater the joy will be when they return!
Nothing was forgotten. Freddy and I have the same
stateroom and I shall immediately start to make him fit. I tell
him that in order to join the Flying Corps, one cannot weigh
more than 75 kilos.
Your most affectionate son,
Norman.

G. D. E. Div. Nieuport Secteur 92A, February 19, 1916.

Dear Governor,—Enclosed is a letter from Freddy. Notice
that he says the discipline at Pau is very strict.
I am a schoolboy again. I am training to fly the very fastest
appareil de chasse—quite a different instrument from the
avion canon which weighs three times more than these small
chasing appareils.
I am busy pushing matters, in regard to the formation of the
Escadrille Américaine. There is a possibility that St.-Saveur,
now a captain in the aviation, may command us. Although but
a short time on the front he has done finely as a pilot. We are
all disponible to go to the front and are only waiting for a
captain, the personnel—(chauffeurs, secretary, cook, etc.) our
avions and the motor cars. Orders for our formation will be
issued, I hope, next week. The weather has been very rainy
and windy here for a week, which is to be expected, during
the month of February. We are losing no time, however.
Those Lewis guns, if there is any way of getting hold of a
dozen, would be much appreciated by us here. The more you
can get for us the better, but I realize that it may be
impossible even for you to get hold of any.
How are the horses? Don’t overdo the schooling!
I hope you and Mamma are enjoying Aiken. The main thing
is to care for your health.
With love to Mamma, who, I trust, is not too anxious about
Freddy and me.
Your affectionate son,
Norman.

Esc. N. 124. Secteur 24, June 26, 1916.

Dear Mamma,—Oliver Wolcott, who has been cantoned
near by with the American Ambulance, is going home to serve
with the militia and is to take this letter with him.
No news of Freddy this past week. The training is so
thorough at these aviation schools that he risks but little while
there. Probably he won’t get to the front for another month.
Poor Victor Chapman! He had been missing for a week and
we knew there was only a very remote chance that he was a
prisoner. He was of tremendous assistance to me in getting
together the Escadrille. His heart was in it to make ours as
good as any on the front. Victor was as brave as a lion and
sometimes he was almost too courageous,—attacking
German machines whenever and wherever he saw them,
regardless of the chances against him. I have written to Mr.
Chapman—a rather difficult letter to write to a heart-broken
father. Victor was killed while attacking an aeroplane that was
coming against Lufberry and me. Another unaccounted for
German came up and brought Victor down while he was
endeavoring to protect us. A glorious death—face à l’ennemi
and for a great cause and to save a friend!
 Your affectionate son,
Norman.

Escadrille N. 124, Secteur 24, June 29, 1916.

Dear Mamma,—Enclosed is a photograph of Victor
Chapman and myself, taken two days before his death. It is a
print of what is probably the last photograph taken of him. I
have sent one to Mr. Chapman.
We are too busy and short of pilots at our Escadrille to think
of taking a permission at present. Tout va bien. Bonnes
nouvelles de Freddy.
Your affectionate son,
Norman.

July 2, 1916.
Dear Mamma,—A few lines to tell you that tout va bien.
This letter will be taken over and mailed in New York by an
American Ambulance driver who dined with us last night.
To-day I am de garde all the morning—that is to say, from
dawn to noon. I must be by my avion ready to start as soon
as any Boches are signaled. None have been so far this
morning—worse luck!
Your affectionate son,
Norman.
Esc. 124, Secteur 24.
 Esc. N. 124, Secteur 24, July 6, 1916.
Dear Governor,—Enclosed is a letter which speaks of
Freddy. The Escadrille is running well. St.-Saveur lunched at
our popole last week and wished to be remembered to you
and Mamma; de R⸺, who was on our team at Bagatille,
was here for lunch to-day with R⸺; both wish to be
remembered; de P⸺ came last week looking very fit and
will write to you shortly.
The aviaphone for my helmet arrived in good shape and I
have lent it to my captain, as I am riding at present a single-
seated aeroplane.
Your affectionate son,
Norman.
 Memorandum of the bringing-down of his first German machine

Deauville, Sept. 2, 1916.

Dear Mamma,—I am down here with friends, passing part
of my permission. It is very pleasant and refreshing, the
change. One soon gets enough of Paris in summer and in
wartime. Here no one pays the slightest attention to the war.
There are few militaires—mostly civiles from Paris and their
amies. Good bathing,—golf in the afternoon—many good-
lookers, making the plage rather good fun.
Freddy is nearly through at Pau. He is now at the acrobacy
school learning to do stunts in the air. It is a part of the
training of a chasse pilot. I gave him some pointers before he
left and told him to do the least possible with the old machines
which are quite out of date and clumsy.
Monday I return to Paris and Tuesday back to the Front, my
eight days permission expiring on that day.
I was fortunate enough to run across a German the other
day who didn’t see me approaching. If you read the
communiqué aérien of the 23d or 24th you will find mention of
my Boche,—“un avion désemparé est tombé dans la forêt de
Spencourt.” Undoubtedly they will give me this time the
Médaille Militaire,—the chicest decoration in France. The
chief pleasure of having it will be the satisfaction of having
earned it many times and that my receiving it may please the
governor and you.
A bientôt, dear Mamma. Thanks for the socks and the
handkerchiefs.
Most affectionately,
Norman.

Escadrille Américaine, par Luxeuil-les-Bains,

Haute-Saône, September 24, 1916.
Dear little Mamma,—I am so afraid you will worry more
than ever when you hear of poor Kiffen Rockwell’s death. I
know how anxious you must be with the two of us over here.
Keep very busy, ride a lot, go out to dinners and get as many
other distractions as possible so that you will not have too
much time to think of us. As far as danger to us goes, we are
trying to take as few chances as possibly consistent with
playing the game.
Everybody tells me that Freddy is showing himself to be an
excellent pilot. Unfortunately he has not yet fully decided to
come with our Escadrille. He would prefer to go to another
which is commanded by St.-Saveur. I dare say he might be
happier if he did not come with us, but à point de vue of safety
it seems to me he would be better off with us. I could be a lot
of assistance to him, telling him all I have learned this spring
hunting Germans, and he would have an excellent mechanic
in Michel, who by the way, has been Rockwell’s mechanic
while waiting for Freddy’s arrival; and further, he could have
my machine to ride, which is the dernier cri in appareils de
chasse, with two machine guns. He would otherwise get one
as safe, but not so good for knocking down Boches. He would
have only one gun.
Did I write you that I had knocked down another Boche two
days before leaving the Verdun district? I enclose a clipping
giving the communiqué officiel, with mention also of my
Boche who fell at Dieppe.
Dear Mamma, I must stop writing now. We are going out to
try to avenge Rockwell. Don’t worry! I am doing my duty as
safely as I know how. With much love to you both,
Most affectionately,
Norman.

To his Mécanicien
Cher Michel,—En cas qu’un accident m’arrive—c’est à dire
que je suis tué, blessé ou que je reste chez les Boches—je
vous prie d’écrire quelques lignes à ces dames, les adresses
desquelles sont écrites sur les enveloppes (ci-incluses).
 Dis leur que je t’avais dis d’écrire préférant qu’elles sachent
ce qu’il m’est arrivé plutôt que de rester dans l’angoisse au
sujet de mon sort.
Signe ton nom en mettant que tu avais été mon mécanicien
dévoué depuis mon arrivée sur le front.
Mes effets, papiers, lettres, etc., le tout, il faut mettre de
suite dans mes valises et les remettre personnellement à mon
frère.
Ci-inclus deux chèques comme cadeau en récompense du
boullot que vous et André ont fait si soigneusement sur les
appareils de Bibi et qui m’ont permis à gagner la Médaille
Militaire.
Ces chèques sont payables, à ma mort ou dans le cas que
je reste chez les Boches, à défaut de ce que cela m’arrive—
(espérons-le) à la démobilisation de vous deux.
En cas qu’un de vous devient civil avant l’autre, celui
devenu civil prends son chèque et le présente à la Banque—
où il sera payé.
Bonne poignée de main!
Norman Prince.
Esc. N 124, par Luxeuil-les-Bains, le 6 Septembre, 1916.

From his Mécanicien

Secteur 16, le 25 Octobre, 1916.
Monsieur et Madame Prince:—
Excusez-moi si je suis un peu en retard pour vous donner
quelques détails sur le malheur qui nous frappe en la perte de
Monsieur Norman.
 Il m’avait laissé, juste huit jours avant sa chute fatale,
quelques enveloppes avec adresses écrites par sa main pour
que je vous écrive quelques mots ainsi qu’à quelques amis si
quelque chose lui arrivait. Je vous joins du reste la lettre qui
est un véritable souvenir.
Pauvre Monsieur Norman, les boches n’ont pas pu avoir
raison de lui et n’ont pas eu ce plaisir là.
Il a trouvé la mort après tant de combats affrontés, tant de
dangers, et il en est sorti avec les honneurs à son avantage.
Son dernier départ a été le 12 Octobre, avec son avion de
chasse Nieuport monté avec deux mitrailleuses et avec lequel
il avait abattu un boche le 10, deux jours avant: il est parti à 2
heures faire la protection d’un groupe d’avions de
bombardement très en avant dans les lignes ennemies. Il a
abattu un avion de chasse ennemi à 3 hrs. qui venait attaquer
le groupe et lui barrer la route. Comme toujours, faisant son
devoir avec conscience, il a attendu que tous les avions ont
repassé les lignes avant de rentrer lui-même et à la dernière
minute il pense à atterrir dans le champ d’aviation le plus près
vu que la nuit commençait à tomber.
Il était prêt à faire un atterrissage des plus normal, malgré
l’obscurité, quand le malheur a voulu qu’il touche un cable qui
était au bordure du champ, et dont il ne pouvait soupçonner la
présence et son avion est venu s’écraser sur le sol.
Il a été relevé et aussitôt transporté dans un Hôpital sans
une plainte et sans perdre un instant ses sens, causant avec
un de ses camarades d’escadrille.
Il avait deux jambes fracturées, la droite à la cuisse et la
gauche au-dessus la cheville. Il a été opéré aussitôt, non
sans recommander aux docteurs de bien s’assurer de ne pas
faire une jambe plus courte l’une que l’autre, car il faisait
beaucoup de sport.
On lui a arrangé ses deux jambes et tout était fini à minuit.