SPECIAL REPORT 266

Naval Engineering

Alternative Approaches for Organizing Cooperative Research

Committee on Options for Naval Engineering Cooperative Research

Marine Board

TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

TRANSPORTATION RESEARCH BOARD

Washington, D.C.

2002

www.TRB.org



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Naval Engineering: Alternative Approaches for Organizing Cooperative Research SPECIAL REPORT 266 Naval Engineering Alternative Approaches for Organizing Cooperative Research Committee on Options for Naval Engineering Cooperative Research Marine Board TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES TRANSPORTATION RESEARCH BOARD Washington, D.C. 2002 www.TRB.org

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Naval Engineering: Alternative Approaches for Organizing Cooperative Research Transportation Research Board Special Report 266 Subscriber Category IX marine transportation Transportation Research Board publications are available by ordering individual publications directly from the TRB Business Office, through the Internet at www.TRB.org or national-academies.org/trb, or by annual subscription through organizational or individual affiliation with TRB. Affiliates and library subscribers are eligible for substantial discounts. For further information, contact the Transportation Research Board Business Office, 500 Fifth Street, NW, Washington, DC 20001 (telephone 202-334-3213; fax ; or e-mail TRBsales@nas.edu). Copyright 2002 by the National Academy of Sciences. All rights reserved. Printed in the United States of America. NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competencies and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to the procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. This study was sponsored by the Office of Naval Research of the U.S. Department of the Navy. Library of Congress Cataloging-in-Publication Data Naval engineering : alternative approaches for organizing cooperative research / Committee on Options for Naval Engineering Cooperative Research. p.cm.—(Special report / Transportation Research Board, National Research Council ; 266) ISBN 0-309-07704-4 1. Naval research—United States. 2. Marine engineering—Research—United States. I. National Research Council (U.S.). Committee on Options for Naval Engineering Cooperative Research. II. Special report (National Research Council (U.S.). Transportation Research Board) ; 266. V393 .N27 2002 359′.07′0973—dc21 2002067538

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Naval Engineering: Alternative Approaches for Organizing Cooperative Research THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board’s mission is to promote innovation and progress in transportation by stimulating and conducting research, facilitating the dissemination of information, and encouraging the implementation of research results. The Board’s varied activities annually engage more than 4,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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Naval Engineering: Alternative Approaches for Organizing Cooperative Research Committee on Options for Naval Engineering Cooperative Research Richard J. Seymour, Chair, Scripps Institution of Oceanography, University of California, San Diego A. Bruce Bishop, Utah State University, Logan John W. Boylston, Totem Ocean Trailer Express, Inc., San Diego, California Roger H. Compton, Webb Institute, Glen Cove, New York* Peter A. Gale, John J. McMullen Associates, Alexandria, Virginia John B. (Brad) Mooney, Jr., NAE, U.S. Navy (retired), Alexandria, Virginia J. Randolph Paulling, NAE, University of California, Berkeley (Emeritus) Irene C. Peden, NAE, University of Washington (Emerita), Seattle Edwin J. Roland, Elmer-Roland Maritime Consultants, Houston, Texas Malcolm L. Spaulding, University of Rhode Island, Kingston Richard W. Thorpe, Herbert Engineering, Annapolis, Maryland Sponsoring Liaison Albert J. Tucker, Office of Naval Research Transportation Research Board Staff Susan Garbini, Senior Program Officer Peter Johnson, Consultant * Committee member until January 8, 2002.

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Naval Engineering: Alternative Approaches for Organizing Cooperative Research Preface Naval engineering is a unique discipline that encompasses all the arts and sciences applied in the research, design, construction, and operation of ships, submarines, support vessels, combat systems, ocean structures, and related shore facilities. The Office of Naval Research (ONR) supports naval engineering science and technology development programs to enable the Navy to build and operate an effective and capable fleet. It is a major challenge for ONR to carry out needed high-quality research and ensure the continuing availability of the necessary human capital. The Navy has long-term requirements for more innovative and capable warships and a total ship design capability that are not being met under the current ONR naval engineering program. The Navy is facing serious limitations related to an adequate supply of the creative talent and knowledge base needed. ONR also lacks sufficient personnel with broad, interdisciplinary experience. To address these problems, ONR asked the Transportation Research Board (TRB) of the National Research Council (NRC) to investigate and evaluate alternative approaches for structuring cooperative research programs in naval engineering. Under the auspices of the Marine Board of TRB, NRC convened an 11-member Committee on Options for Naval Engineering Cooperative Research, with appropriate scientific and technical expertise in engineering research and administration, naval defense, naval engineering and architecture, ship production, and ship operations. The committee had a balance of expertise and experience in industrial research and academia (see Study Committee Biographical Information at the end of this report). ONR stressed the importance of an approach to research that incorporates total systems aspects of the naval engineering discipline. ONR also asked that the study be accomplished within a very short time so that the results would be available in early 2002 and agreed that, in order to accommodate this schedule, the committee would present options for consideration rather than recommendations. Because of this time constraint, the committee was able to describe and evaluate only the alternative organizational models that were presented to it and that are the leading contenders for consideration by ONR. Consequently, it was understood that ONR will be responsible for taking the examples presented in this report and implementing them under its own development process with appropriate input from the stakeholder community. The committee began its review and evaluation with the understanding from ONR that a key national responsibility of ONR is to maintain a robust

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Naval Engineering: Alternative Approaches for Organizing Cooperative Research capability in naval engineering and improve the Navy’s abilities to translate creative research into innovative warships. This capability includes a research community that will advance the state of the art of technology, engineering, and science and generate an adequate supply of new scientists and engineers. In its investigations, the committee was also sensitive to ONR’s concern that any research program proposed incorporate input from all stakeholders in order to establish firm links to the total ship production system. The background of the study is discussed more fully in Chapter 1. The committee met three times between November 2001 and February 2002. The first and second meetings included extensive presentations in sessions open to the public, during which experts from government, academia, and industry presented a variety of issues and views to the committee, including formal presentations on cooperative research options. The presentations included several from the naval engineering stakeholder community that described organizational proposals developed to address the needs of ONR. Within each presentation were references to existing programs that illustrated how each proposal might perform. In addition, the committee heard separate presentations from experts describing existing programs from other disciplines (e.g., the Engineering Research Centers Program managed by the National Science Foundation, the National Oceanographic Partnership Program managed by the Consortium on Oceanographic Research and Education, and the offshore oil and gas industry’s cooperative research programs). The information concerning these programs and relevant reference materials are available to ONR and the general public and are identified in Appendix A. ONR can use this material for further detailed evaluation of an organizational concept after an implementation decision. After the committee reviewed and discussed the information from the presentations, it undertook an analytical examination of the goals, objectives, and attributes of successful and effective research organizational models. The method of analysis and outcomes of this analysis are described in Chapters 2 and 3. The evaluation of the alternative models is presented in Chapter 4. Since the committee could not find significant evaluative literature concerning existing models, it relied on its own expertise to consider their merits. The committee also noted that, for each of the models described, there are examples of existing programs that ONR could investigate further should it decide to implement one of the organizational approaches. Issues related to implementing a cooperative research program are discussed in Chapter 5. The committee was not asked to make formal recommendations and, therefore, limited its discussion to a description of advantages and disadvantages of each model and an identification of key findings. These are presented in the Executive Summary. The final report represents a synthesis of information gathered by the committee, along with analysis of the information based on committee members’ relevant expertise and experience. Organizational models for structur

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Naval Engineering: Alternative Approaches for Organizing Cooperative Research ing programs in naval engineering research that would provide a venue for cooperative research and development are evaluated. The basic organizational concepts inherent in each of four models are presented, and the advantages and disadvantages of each are identified. In addition, comments are made on features in each model that satisfy the goals and objectives of ONR to revitalize the field of naval engineering and improve naval ship design and production. ACKNOWLEDGMENTS The committee wishes to thank the many individuals who contributed their time and effort to this project. Representatives of federal and state agencies, as well as private companies, provided invaluable assistance to the committee and the staff. Thanks are especially due to Dr. Albert Tucker of the Office of Naval Research, who responded promptly and with a generous spirit to the requests for information from the committee. The study was performed under the overall supervision of Stephen R. Godwin, Director of Studies and Information Services. Susan Garbini and Peter Johnson served as project directors. This report has been reviewed by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the authors and NRC in making the published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The content of the review comments and draft manuscript remains confidential to protect the integrity of the deliberative process. The committee wishes to thank the following individuals for their participation in the review of this report: Steve Bohlen, Joint Oceanographic Institutions, Inc.; Jack E. Buffington, University of Arkansas; Roger Compton, Webb Institute; Billy Edge, Texas A&M University; Duane Laible, Glosten Associates; and William W. Rogalski, Jr., Northrop Grumman Litton Ingalls Shipbuilding Company. While the individuals listed above have provided many constructive comments and suggestions, responsibility for the final content of this report rests solely with the authoring committee and NRC. The review of this report was overseen by Lester A. Hoel, University of Virginia. Appointed by NRC, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Suzanne Schneider, Assistant Executive Director of TRB, managed the report review process. The report was edited by Norman Solomon and prepared for publication under the supervision of Nancy Ackerman, Director of Reports and Editorial Services. Special thanks go to Amelia Mathis for assistance with meeting arrangements and for production of the final report.

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Naval Engineering: Alternative Approaches for Organizing Cooperative Research Contents     Executive Summary   1 1   Introduction   9      Background of the Study   9      Study Scope and Approach   11 2   Attributes for Naval Engineering Cooperative Research Organizations   15      Goal 1:  Maintain and Develop Human Capital   15      Goal 2:  Revitalize Naval Engineering and Improve Design and Production   23 3   Organizational Models for Naval Engineering Cooperative Research   31      Individual Principal Investigator Model   33      Professional Society/Community of Practitioners Model   36      Consortium or Center Model   38      Project-Centered Model   41      Summary   44 4   Evaluation of Research Models   47      Individual Investigator Model   47      Professional Society/Community of Practitioners Model   51      Consortium Model   54      Project-Centered Model   57      Summary   61      Possibility of Hybrid Models   63

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Naval Engineering: Alternative Approaches for Organizing Cooperative Research 5   Operational Considerations for Implementing Research Models   65      Setting a Research Agenda   65      Selection of Host Location   66      Contracting Issues   68      Administrative Issues   69      Leadership Development   69      Control of Research Quality   70      Executive Council Balance   71      Education   72 Appendix A:   Presentations at Committee Meetings   73     Study Committee Biographical Information   74