T H E G O V E R N M E N T- U N I V E R S I T Y- I N D U S T R Y …sites.nationalacademies.org/cs/groups/pgasite/documents/webpage/… · T H E G O V E R N M E N T- U N I V E R S

T H E G O V E R N M E N T - U N I V E R S I T Y - I N D U S T R Y R E S E A R C H R O U N D T A B L E

NatioNal academy of ScieNceS NatioNal academy of eNgiNeeriNg

iNStitute of mediciNe

500 fifth Street, N.W., WaShiNgtoN, dc 20001

A N N U A L R E P O R T 2 0 0 7

STAff (2007)

MERRILEA MAYO, Director, GUIRR

ANTHONY BOCCANFUSO, Executive Director, UIDP

CLAUDETTE BAYLOR-FLEMING, Administrative Coordinator, FDP

DENISE GREENE, Administrative Coordinator, GUIRR

EDVIN HERNANDEZ, Program Associate, FDP

DAVID WRIGHT, Executive Director, FDP

For more information about GUIRR and GUIRR membership

visit our web site at http://www.national-academies.org/guirr

500 Fifth Street, N.W., Washington, D.C. 20001

[email protected] 202.334.3486

C.D. (Dan) Mote, Jr., Co-ChairPresidentUniversity of Maryland at College Park

LyDia W. thoMas, Co-ChairPresident and Chief Executive OfficerNoblis

norris aLDerson, Ex-OfficioAssociate Commissioner for ScienceU.S. Food and Drug Administration

Gen. saM arMstronG (ret.)Former Senior Advisor to the AdministratorNational Aeronautics and Space Administration

WanDa M. austin

Senior Vice President, Engineering and TechnologyAerospace Corporation

arDen L. BeMent, Jr., Ex-OfficioDirectorNational Science Foundation

GaLe a. BuChanan, Ex-OfficioUnder Secretary for Research, Education and EconomicsU.S. Department of Agriculture

raLph J. CiCerone, Ex-OfficioPresidentNational Academy of Sciences

Jay M. Cohen, Ex-OfficioUnder Secretary for Science and TechnologyDepartment of Homeland Security

GLaDys esCaLona De Motta ChancellorUniversity of Puerto Rico

GUIRR COUNCIL MEMBERS (2007)

harvey v. FineBerG, Ex-OfficioPresidentInstitute of Medicine

stephen L. Johnson, Ex-OfficioAdministratorEnvironmental Protection Agency

ConraD C. LautenBaCher, Ex-OfficioUnder Secretary of Commerce for Oceans and AtmosphereNational Oceanic and Atmospheric Administration

John h. MarBurGer, iii, Ex-OfficioDirector, Office of Science and Technology PolicyExecutive Office of the President

aLan G. Merten

PresidentGeorge Mason University

rayMonD L. orBaCh, Ex-OfficioUnder Secretary for ScienceUS Department of Energy

JaMes W. rosser

PresidentCalifornia State University, Los Angeles

CharLes M. vest, Ex-OfficioPresidentNational Academy of Engineering

Mark s. WriGhton

ChancellorWashington University in St. Louis

eLias a. Zerhouni, Ex-OfficioDirectorNational Institutes of Health

2007 UNIVERSITY-INDUSTRY (U-I) PARTNERSThe University-Industry Partners are an important part of GUIRR’s membership and funding base. These Partners ground

GUIRR’s policy discussions with their first-hand experience. As geographically dispersed leaders in their sectors, the U-I

Partners serve as GUIRR’s antennae for new trends in, and pressures on, the national research enterprise. The U-I Partners

provide indispensible expertise on GUIRR working groups, and play a key role in suggesting new GUIRR initiatives. These

partners are:

fINANCIAL SUPPORT Of THE fEDERAL DEMONSTRATION PARTNERSHIP (fDP)Along with the contribution of their employees’ time and expertise, the following federal R&D agencies have contributed

financially towards FDP’s mission to reduce the administrative burdens associated with federal research grants and con-

tracts. These contributions result in substantial national benefits in increasing the nation’s research productivity per taxpayer

dollar. These federal agencies are:

• Department of Defense

• Department of Homeland Security

• National Institutes of Health

• National Science Foundation

• Department of Agriculture

fINANCIAL SUPPORT Of THE UNIVERSITY-INDUSTRY DEMONSTRATION PARTNERSHIP (UIDP)Startup funding of the UIDP was made possible by the following companies, universities, foundations and federal agencies,

who contributed $50,000 or more to the UIDP: ExOne, Hewlett-Packard, Ewing Marion Kauffman Foundation, National

Science Foundation, Pfizer, University of California, Los Angeles and University of Illinois at Urbana-Champaign. Additional

funding in 2007 was individually provided ($4000 annually) by the university and industry members of UIDP.

arden Bement, National Science foundation, Jay cohen, department of homeland Security and John h. marburger, iii, office of Science and technology Policy

eva Pell, Pennsylvania State university, mark Wrighton, Washington university in St. louis, and tony elam, rice university

• Battelle

• California Institute of Technology

• Cargill, Incorporated

• Corning, Incorporated

• George Washington University

• Georgia Institute of Technology

• Hewlett-Packard Company

• IBM

• Intel Corporation

• Iowa State University

• Lockheed Martin Corporation

• MARS, Incorporated

• Massachusetts Institute of Technology

• National Instruments Corporation

• Northrop Grumman Corporation

• Pacific Northwest National Laboratory

• Raytheon Company

• Rice University

• Semiconductor Research Corporation

• Stanford University

• Telos Corporation

• The Boeing Company

• The Ohio State University

• The Pennsylvania State University

• University of California, Berkeley

• University of California, Davis

• University of California, Los Angeles

• University of Maryland

• University of Massachusetts

• University of Texas at Austin

• Washington State University

Since its beginning in 1984, the Government-University-

Industry Research Roundtable (GUIRR) has provided

senior representatives from government, universities

and industry with a means of addressing critical national

issues in science and technology. A unique feature

of GUIRR is that these issues commonly require the involvement

of all three components represented in GUIRR: federal agencies,

academia and business.

A key part of GUIRR is its issue-oriented projects, proposed and pursued by GUIRR members. These projects are accom-

plished in working groups convened by GUIRR, addressing policy-related questions at a national level that have a significant

science and technology component. The breadth of GUIRR projects is considerable, including national and homeland security

and other federal responsibilities, to the health of the U.S. R&D enterprise and its effect on U.S. competitiveness. These

projects, in addition to informing decision makers, not infrequently result in multiyear demonstration-oriented partnerships

to “beta-test” proposed new national approaches raised by these projects.

The oldest continuing GUIRR-convened, semi-autonomous partnership is the Federal Demonstration Partnership (FDP),

begun in 1986 as a grass-roots effort by GUIRR members to demonstrate effective business approaches in administering

federal grants and contracts. The FDP is a unique forum enabling individuals, from nearly 100 universities and nonprofits,

to work collaboratively with officials from 10 federal agencies to reduce administrative burdens associated with research

grants and contracts.

The newest GUIRR partnership is the University-Industry Demonstration Partnership (UIDP), convened by GUIRR as a semi-

autonomous initiative. The UIDP completed its first full year in 2007 as a multiyear university-industry effort to develop and

test new approaches for improving the health of university-industry research partnerships.

Current GUIRR initiatives also include Partnerships for Emerging Research Institutions, pursued this year as a National

Academies workshop and roadmapping session in September to highlight strategies aimed at decreasing the administrative

and teaching load barriers to research experienced by faculty in smaller institutions of higher education. Another GUIRR

project, currently in the incubation stage, addresses the Science and Engineering Workforce issue of increasing undergradu-

ate enrollment in STEM fields.

Because of the multi-disciplinary character of its programs, collaborative efforts incubated by GUIRR are often spun off

from GUIRR as these programs evolve over time. One such GUIRR-incubated effort addresses Large Scale Data Integration

data management issues at the national level, and is now being pursued by another unit in the National Academies. Export

Controls, a completed and very successful GUIRR effort, has been continued by the FDP in the form of informational work-

shops, hosted in conjunction with the U.S. State Department.

GUIRR’s three Council meetings annually provide a venue to consider new national issues and topics presented by outside

experts. New topic/issue areas presented in 2007 included Global Energy Policy Solutions, and Environmental Sustainability:

A Path Forward via Government-University-Industry Partnerships. As with all Council meetings, these issue areas are being

examined by GUIRR with a view to their potential for future GUIRR collaborative projects.

We close out this year by recognizing the leadership and significant contributions of Marye Anne Fox, Chancellor of the

University of California, San Diego during her 6 year term as GUIRR’s university co-chair, which was completed this year. On

a much sadder note, we wish to recognize GUIRR Council Member Larry Rhodes, President and CEO of Ex One Corporation,

who died suddenly earlier this year. We deeply appreciate Larry’s many contributions and enthusiastic support of GUIRR. His

helpful presence is missed. Finally we want to recognize outgoing GUIRR Director Merrilea Mayo, whose effective support

over the last 6 years contributed much to the continued national impact of GUIRR.

C.D. (Dan) Mote, Jr. Lydia Waters Thomas

Co-Chair Co-Chair

MESSAGE FROM THE CO-CHAIRS

C.D. (Dan) Mote, Jr.

LyDia thoMas

GUIRR ACTIVITIES IN 2007SCIENCE AND ENGINEERING WORKfORCE

A long-standing area of concern is the relatively low numbers of U.S. undergraduates choosing careers in the physical sciences

and engineering. This will have a long term impact on the health of the U.S. science and engineering enterprise, and ultimately

on U.S. competitiveness. The objective of a new GUIRR project to address this issue, currently in the planning stage, is to find

the most effective themes, messages and images to develop an effective “brand positioning” for science and engineering. Such

a knowledge base could then be used in a future large scale program to effectively market science and engineering careers to

the subset of undergraduates with potential interest in such careers.

The discipline of computer science will be the area of initial focus for this project. To date, the project team members have

reviewed what is already known from relevant surveys, including lessons learned from previous marketing attempts. The plan

is to institute a marketing effort at one or more selected home institutions of GUIRR members and determine what effect the

marketing effort had on subsequent student perceptions and attitudes concerning computer science.

PARTNERSHIPS fOR EMERGING RESEARCH INSTITUTIONS (ERIS)

This GUIRR project is exploring ways of decreasing the institu-

tional barriers to the conduct of research by faculty at ERIs due

to heavy teaching loads and the limited administrative structures

supporting research. Options for improving administrative sup-

port include the use of research facilities at research-intensive

universities (e.g. grant processing and tech transfer support),

regional processing centers, targeted federal funding, mentoring

programs, and state-wide access to journals.

A workshop was held in September 2007 and attended by more

than 60 individuals. The workshop highlighted many useful

strategies for delivering administrative research support services

to ERIs on a scale that typically only large research institutions

can afford. The workshop also included a roadmapping session

to help ERIs develop their individual strategies for increasing

administrative and other support for research. A workshop report

has been drafted.

LARGE SCALE DATA INTEGRATION

In this GUIRR-incubated project, an NRC-appointed committee will plan and organize a pair of cross-disciplinary public work-

shops to explore alternative visions for achieving large-scale data integration in fields of importance to the federal government.

(Large-scale data integration refers to the effective assimilation, integration and use of the very rapidly growing volume of

distributed, heterogeneous data in a wide-ranging variety of disciplines.) With the incubation phase completed, this project was

handed off in 2007 to the National Academies’ Board on Mathematical Sciences and Their Applications (BMSTA) with continued

participation in this effort by selected GUIRR members. Collaboration with other units in the National Academies and a wide

variety of outside organizations is essential to the continued effectiveness of GUIRR. This project provides another example of

that collaborative process.

THE UNIVERSITY-INDUSTRY DEMONSTRATION PARTNERSHIP (UIDP)

In late 2006, the University-Industry

Demonstration Partnership (UIDP) was

formed by a strategic coalition of represen-

tatives from university and government to

improve the health of research partnerships

between universities and industry, thereby

improving U.S. competitiveness. The official

members include about 70 senior repre-

sentatives from academia and industry

along with attendees from government.

The origin of the UIDP can be traced to

an interim group begun in 2003 formed

of individuals identified by NCURA, IRI and

GUIRR to improve intellectual property (IP)

negotiations between U.S. universities and

industry. This interim group produced two

study papers: Guiding Principles for improved negotiations; and Living Studies giving concrete applications of the Guiding

Principles to IP negotiations (at http:uidp.org). From this group, the UIDP was created as a more formal and structured orga-

nization under GUIRR to address the multitude of issues affecting university-industry research relations.

The nearer term objective of the multiyear UIDP program is to reduce a serious and growing impediment to the future of

university-industry research partnerships in the U.S. — an impediment due in large part to the difficulties being experienced

by university and industry negotiators in agreeing on contract provisions in areas such as intellectual property, publications,

and indemnification. This objective is meant to further, at a national level, the broader UIDP purpose of improving communica-

tion and collaboration between universities and industry on research in the U.S. over the longer term, thereby improving the

health of the U.S. R&D enterprise and its contribution to the U.S. economy.

Key deliverables of the UIDP will be collaborative experiments (demonstration projects) testing improved methods for nego-

tiating university-industry research agreements. These experiments will test new methods and procedures currently being

developed by UIDP participants, with the intention of allowing negotiators to more quickly draft unique agreements meeting

the needs of the individual participants.

The negotiation tools developed from these experiments will help enable future negotiators to see the “big picture” at the outset

of negotiations, focusing early attention on the most difficult negotiation issues and workable options (including an early assess-

ment by the negotiators on whether the specific issues can be successfully addressed by negotiation). The plan is that the

developed and tested negotiation tools will be codified in a future software package nicknamed “TurboNegotiator”.

Three national meetings of the UIDP in 2007 (April, July and December) provided a valuable forum for sharing of experiences of

university and industry professionals on successful partnerships in various industry sectors, including institutional approaches

and practices that are working well. These meetings provide an essential mechanism for interchange of ideas between univer-

sity and industry, and complement the activi-

ties and developmental work (e.g. negotiation

tools) being done by UIDP in its committees

and working groups. Robert Killoren and

Susan Butts were respectively the President

and Vice President of UIDP, and in September

2007, Anthony Boccanfuso became its inau-

gural Executive Director.

emerging research institutions meeting, Washington, dc

merrilea mayo, the National academies and Shuzaburo takeda, Business-university forum of Japan

THE fEDERAL DEMONSTRATION PARTNERSHIP (fDP)

“The Federal Demonstration Project is one of a very small number of effective programs to improve government processes.

It has produced the defining models for ‘e-government,’ and saved countless hours of time for us bureaucrats as well as for

principal investigators. Each consecutive phase has brought a new set of initiatives and accomplishments that merit much

wider recognition.”

John H. Marburger, III, Director, Office of Science and Technology Policy

The FDP is a unique forum enabling individuals from nearly 100 universities and nonprofits to work collaboratively with officials

from 10 federal agencies to improve the national research enterprise. At its regular meetings, FDP members hold spirited, frank

discussions, identify problems, and develop action plans for change. Then these new ways of doing business are tested in the

real world before putting them into effect. FDP’s accomplishments for 2007 include the following:

1. The First Comprehensive Survey of Faculty Administrative Burden. Data analysis was completed for FDP’s survey

of 7,000 faculty members on administrative burdens. A final report was produced (see http://www.thefdp.org/

Faculty%20burden%2-survery%20report.pdf).

2. Export Controls Workshop. At the request of the State Department, the FDP hosted an informational workshop on

the topic of Export Controls in May, 2007. This workshop was attended by over 150 people within the FDP and

from groups outside of the FDP. It was so successful the State Department is considering making this an annual

event.

3. Streamlining A-133 Audit Compliance. FDP has developed a database that provides a user-friendly, web-based

A133 audit compliance system for FDP member institutions. Institutions are able to voluntarily post and look up

information about their A-133 audits, rather than engaging in more time-consuming one-on-one correspondence

and follow-up investigations.

4. System for Documentation of Troublesome Clauses. In response to continuing institutional concern about unique

clauses appearing in federal research grants to universities, FDP has constructed a database wherein university

administrators can log these incidents, and federal agency representatives can track their agency’s diversions

from accepted practice.

5. Continued Work with Grants.gov. The FDP has been working with Grants.gov very closely to help them and

the grantees determine how best to work with each other. Grants.gov has been using members of the FDP as

beta-testers of their software to make sure that bugs are worked out of the system as well as to ensure that the

system is usable by grantees.

6. Supported the Office of Science and Technology Policy (OSTP) on policy implications arising from the changing

nature of scientific research. For example, OSTP and the Office of Management and Budget (OMB) jointly

endorsed the FDP developed model subagreement as an effective practice that should be extended among all

collaborating institutions. In addition, OSTP proposed to establish the FDP terms and conditions as a uniform and

streamlined core set of terms and conditions for research awards.

fINANCIAL SUPPORT Of GUIRR “CORE” ACTIVITIES

fEDERAL AGENCIESFederal R&D agencies provide essential core funding for GUIRR. This support is often vital in enabling GUIRR to quickly evaluate

and take on projects of its members’ choosing rather than waiting for a specific contract or grant to cover an activity. These

federal agencies are:




• National Institute of Standards and Technology


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Documents

T H E G O V E R N M E N T- U N I V E R S I T Y- I N D U S T R Y …sites.nationalacademies.org/cs/groups/pgasite/documents/webpage/… · T H E G O V E R N M E N T- U N I V E R S