GOVERNMENT–INDUSTRY PARTNERSHIPS

PARTNERING AGAINST TERRORISM

SUMMARY OF A WORKSHOP

CHARLES W. WESSNER

Committee on Government-Industry Partnerships for the Development of New Technologies

Board on Science, Technology, and Economic Policy

Policy and Global Affairs

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS
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Partnering Against Terrorism: Summary of a Workshop GOVERNMENT–INDUSTRY PARTNERSHIPS PARTNERING AGAINST TERRORISM SUMMARY OF A WORKSHOP CHARLES W. WESSNER Committee on Government-Industry Partnerships for the Development of New Technologies Board on Science, Technology, and Economic Policy Policy and Global Affairs NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu

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Partnering Against Terrorism: Summary of a Workshop THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 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 competences and with regard for appropriate balance. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number 0-309-09428-3 (Book) International Standard Book Number 0-309-54616-8 (PDF) Library of Congress Control Number 2005920142 Limited copies are available from the Policy and Global Affairs Division, National Research Council, 500 Fifth Street, N.W., Washington, DC 20001; 202-334-1529. Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu. Copyright 2005 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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Partnering Against Terrorism: Summary of a Workshop 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. Wm. 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 Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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Partnering Against Terrorism: Summary of a Workshop Steering Committee for Government-Industry Partnerships for the Development of New Technologies* Gordon Moore, Chair Chairman Emeritus, retired Intel Corporation M. Kathy Behrens Managing Director of Medical Technology RS Investment Management and STEP Board Michael Borrus Managing Director The Petkevich Group, LLC Iain M. Cockburn Professor of Finance and Economics Boston University Kenneth Flamm Dean Rusk Chair in International Affairs LBJ School of Public Affairs University of Texas at Austin James F. Gibbons Professor of Engineering Stanford University W. Clark McFadden Partner Dewey Ballantine Burton J. McMurtry General Partner Technology Venture Investors William J. Spencer, Vice-Chair Chairman Emeritus, retired International SEMATECH and STEP Board Mark B. Myers Visiting Professor of Management The Wharton School University of Pennsylvania and STEP Board Richard Nelson George Blumenthal Professor of International and Public Affairs Columbia University Edward E. Penhoet Chief Program Officer Science and Higher Education Gordon and Betty Moore Foundation and STEP Board Charles Trimble Chairman U.S. GPS Industry Council John P. Walker Chairman and Chief Executive Officer Axys Pharmaceuticals, Inc. Patrick Windham President, Windham Consulting and Lecturer, Stanford University *   As of October 2002.

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Partnering Against Terrorism: Summary of a Workshop Project Staff* Charles W. Wessner Study Director Alan Anderson Consultant Tabitha M. Benney Program Associate McAlister T. Clabaugh Program Associate David E. Dierksheide Program Associate Christopher S. Hayter Program Associate Adam Korobow Program Officer Sujai J. Shivakumar Program Officer *   As of October 2002.

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Partnering Against Terrorism: Summary of a Workshop For the National Research Council (NRC), this project was overseen by the Board on Science, Technology, and Economic Policy (STEP), a standing board of the NRC established by the National Academies of Sciences and Engineering and the Institute of Medicine in 1991. The mandate of the STEP Board is to integrate understanding of scientific, technological, and economic elements in the formulation of national policies to promote the economic well-being of the United States. A distinctive characteristic of STEP’s approach is its frequent interactions with public and private-sector decision makers. STEP bridges the disciplines of business management, engineering, economics, and the social sciences to bring diverse expertise to bear on pressing public policy questions. The members of the STEP Board* and the NRC staff are listed below. Dale Jorgenson, Chair Frederic Eaton Abbe Professor of Economics Harvard University M. Kathy Behrens Managing Director of Medical Technology RS Investment Management Bronwyn Hall Professor of Economics University of California at Berkeley James Heckman Henry Schultz Distinguished Service Professor of Economics University of Chicago Ralph Landau Consulting Professor of Economics Stanford University Richard Levin President Yale University William J. Spencer, Vice-Chair Chairman Emeritus, retired International SEMATECH David T. Morgenthaler Founding Partner Morgenthaler Mark B. Myers Visiting Professor of Management The Wharton School University of Pennsylvania Roger Noll Morris M. Doyle Centennial Professor of Economics Stanford University Edward E. Penhoet Chief Program Officer Science and Higher Education Gordon and Betty Moore Foundation William Raduchel Chief Technology Officer AOL Time Warner Alan Wm. Wolff Managing Partner Dewey Ballantine *   As of October 2002.

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Partnering Against Terrorism: Summary of a Workshop STEP Staff* Stephen A. Merrill Executive Director Russell Moy Senior Program Officer Craig M. Schultz Research Associate Camille M. Collett Program Associate Christopher S. Hayter Program Associate David E. Dierksheide Program Associate Charles W. Wessner Program Director Sujai J. Shivakumar Program Officer Adam Korobow Program Officer McAlister T. Clabaugh Program Associate Tabitha M. Benney Program Associate *   As of October 2002.

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Partnering Against Terrorism: Summary of a Workshop National Research Council Board on Science, Technology, and Economic Policy Sponsors The National Research Council gratefully acknowledges the support of the following sponsors: National Aeronautics and Space Administration Office of the Director, Defense Research & Engineering National Science Foundation U.S. Department of Energy Optoelectronics Industry Development Association Office of Naval Research National Institutes of Health National Institute of Standards and Technology Sandia National Laboratories Electric Power Research Institute International Business Machines Kulicke and Soffa Industries Merck and Company Milliken Industries Motorola Nortel Procter and Gamble Silicon Valley Group, Incorporated Advanced Micro Devices Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the authors and do not necessarily reflect the views of the project sponsors.

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Partnering Against Terrorism: Summary of a Workshop Reports in the Series Government-Industry Partnerships for the Development of New Technologies New Vistas in Transatlantic Science and Technology Cooperation Washington, D.C.: National Academy Press, 1999 Industry-Laboratory Partnerships: A Review of the Sandia Science and Technology Park Initiative Washington, D.C.: National Academy Press, 1999 The Advanced Technology Program: Challenges and Opportunities Washington, D.C.: National Academy Press, 1999 The Small Business Innovation Research Program: Challenges and Opportunities Washington, D.C.: National Academy Press, 1999 The Small Business Innovation Research Program: An Assessment of the Department of Defense Fast Track Initiative Washington, D.C.: National Academy Press, 2000 A Review of the New Initiatives at the NASA Ames Research Center Washington, D.C.: National Academy Press, 2001 The Advanced Technology Program: Assessing Outcomes Washington, D.C.: National Academy Press, 2001 Capitalizing on New Needs and New Opportunities: Government-Industry Partnerships in Biotechnology and Information Technologies Washington, D.C.: National Academy Press, 2002 Partnerships for Solid-State Lighting Washington, D.C.: National Academy Press, 2002 Government-Industry Partnerships for the Development of New Technologies: Summary Report Washington, D.C.: National Academies Press, 2002 Securing the Future: Regional and National Programs to Support the Semiconductor Industry Washington, D.C.: National Academies Press, 2003

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Partnering Against Terrorism: Summary of a Workshop Contents PREFACE   xv I.   INTRODUCTION   1 II.   PROCEEDINGS   21     Welcome Bruce Alberts, National Academy of Sciences   23     Introduction William Spencer, International SEMATECH   25 Panel I:   Partnering to Meet the New Security Challenge Moderator: Sean O’Keefe, National Aeronautics and Space Administration   28      Partnering for Cyber Security and Infrastructure Protection Congressman Sherwood L. Boehlert (R-NY)   29      Capitalizing on the Nation’s Research Portfolio Gordon Moore, Intel Corporation   34

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Partnering Against Terrorism: Summary of a Workshop Panel II:   Best Practice Examples of Public-Private Partnerships Moderator: Arden Bement, National Institute of Standards and Technology   38      SEMATECH: Assessing the Contribution Kenneth Flamm, University of Texas at Austin   41      Partnering for Progress: The Advanced Technology Program Maryann Feldman, Johns Hopkins University   48      University Research and the Market: The Carnegie Mellon Experience Christina Gabriel, Carnegie Mellon University   51      Discussant: Michael Borrus, The Petkevich Group, LLC   60 Panel III:   Partnerships Against Bioterrorism Moderator: Larry Kerr, Department of Homeland Security   66      Partnering for Vaccines: The NIAID Perspective Carol Heilman, National Institute of Allergy and Infectious Diseases   67      Partnering for Counter Measures: The Private Research Perspective Gail Cassell, Lilly Research Laboratories, Eli Lilly & Company   75      Discussant: Kathy Behrens, RS Investment Management   80 Panel IV:   Partnering for National Security Moderator: William B. Bonvillian, Office of Senator Lieberman   87      Overcoming Information Overload Anne K. Altman, IBM Corporation   91      New Technologies for New Threats Ronald M. Sega, Department of Defense   95      Security Challenges in an Open Economy Steve Flynn, Council on Foreign Relations   101

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Partnering Against Terrorism: Summary of a Workshop Panel V:   Roundtable on Partnering for National Missions: Defense, Health and Energy Moderator: Patrick Windham, Windham Consulting   109      Christina Gabriel, Carnegie Mellon University          William Spencer, International SEMATECH          William Bonvillian, Office of Senator Lieberman          James Turner, House Science Committee         Closing Remarks Gordon Moore, Intel Corporation   114 III.   APPENDIXES     A.   Biographies of Speakers   117 B.   Participants List   132 C.   Bibliography   138

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Partnering Against Terrorism: Summary of a Workshop Preface The National Academies has sought to bring the nation’s great strength in science and technology to bear on protecting the United States against terrorism. In a major 2002 report, Making the Nation Safer: The Role of Science and Technology in Countering Terrorism, the National Academies characterized the range of threats to the nation’s security and identified research agendas to strengthen areas of vulnerability. It also outlined policies needed to strengthen the government’s ability to draw on the nation’s capacities in science and technology for combating terrorism. Specifically, it noted that effective public-private partnerships must occur for the government and private sector to work together to enhance homeland security.1 In recent years public-private partnerships have played an increased role in developing new technologies both in the United States and abroad. To further our understanding of the motivations, operations, and policy challenges associated with public-private partnerships, the National Research Council’s Board on Science, Technology, and Economic Policy (STEP) launched in 1998 a major review of U.S. and foreign programs. This program-based analysis was led by Gordon Moore, Chairman Emeritus of Intel, and Bill Spencer, Chairman Emeritus of International SEMATECH. It was carried out by a distinguished multidisciplinary Steering Committee that included members from academia, high-technology industries, venture capital firms, and the realm of public policy. The Committee’s analysis—which included a significant (though necessarily limited) portion of the variety of cooperative activity that takes place between the government and 1   See National Research Council, Making the Nation Safer: The Role of Science and Technology in Countering Terrorism, Lewis M. Branscomb and Richard D. Klausner, eds., Washington, D.C.: The National Academies Press, 2002.

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Partnering Against Terrorism: Summary of a Workshop the private sector—focused on “best practices” among major U.S. partnerships as a way of drawing out positive guidance for future public policy.2 At its concluding conference on October 2, 2002, the National Research Council Committee on Government-Industry Partnerships drew together the findings of its four-year study on partnerships to explore how public-private partnerships can help make the nation safer against terrorism. The conference was well received. Subsequently, the Governing Board Executive Committee authorized the release of a summary report of the workshop. Accordingly, this report summarizes the proceedings of that conference, along with an introductory chapter that highlights key issues raised at the conference. These issues are central to the country’s ongoing efforts to develop new technologies and new approaches to meet the terrorist threat. ACKNOWLEDGMENTS On behalf of the National Academies, we express our appreciation and recognition for the insights, experiences, and perspectives of the conference participants. A number of individuals deserve recognition for their contributions to the preparation of this report. Foremost among these were Dr. Sujai Shivakumar and Alan Anderson, who played an instrumental role in the preparation of this report. Others to whom recognition is due include Christopher Hayter, David Dierksheide, Tabitha Benney, and McAlister Clabaugh. Without their collective efforts, amidst many other competing priorities, it would not have been possible to prepare this report. NATIONAL RESEARCH COUNCIL REVIEW This report has been reviewed in draft form 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 institution in making its published report as sound as possible and to ensure that the report meets institutional standards for quality and objectivity. The review comments and draft manuscript remain confidential to protect the integrity of the process. We wish to thank the following individuals for their review of this report: F. M. Ross Armbrecht, Jr., President of the Industrial Research Institute, Howard Frank, Dean of the Robert H. Smith School of Business at the University 2   The findings and recommendations of the Committee’s study on public-private partnerships are presented in National Research Council, Government-Industry Partnerships for the Development of New Technologies: Summary Report, C. Wessner, ed., Washington, D.C.: The National Academies Press, 2003.

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Partnering Against Terrorism: Summary of a Workshop of Maryland, Lewis S. Edelheit, Retired Senior Research & Technology Advisor, General Electric Company, and Christina Gabriel, Vice Provost and Chief Technology Officer, Carnegie Mellon University. Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the content of the report, nor did they see the final draft before its release. The review of this report was overseen by John White of the John F. Kennedy School of Government, Harvard University, who 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. Responsibility for the final content of this report rests entirely with the author and the institution. Charles W. Wessner

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