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Best Practices in Assessment of Research
and Development Organizations—
Summary of a Workshop
James P. McGee, Rapporteur
Laboratory Assessments Board
Division on Engineering and Physical Sciences
THE NATIONAL ACADEMIES PRESS
Washington, D.C.
www.nap.edu
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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW 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.
This study was supported by Contract No. S8134106200l between the National Academy of
Sciences and the U.S. Department of Commerce. Any opinions, findings, conclusions, or
recommendations expressed in this publication are those of the authors and do not
necessarily reflect the views of the agency that provided support for the project.
International Standard Book Number-13: 978-0-309-26616-1
International Standard Book Number-10: 0-309-26616-5
Copies of this report are available from
Laboratory Assessments Board
Division on Engineering and Physical Sciences
National Research Council
500 Fifth Street, NW
Washington, DC 20001
Additional copies of this report are available from the National Academies Press, 500 Fifth
Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334-3313 (in the
Washington metropolitan area); http://www.nap.edu.
Copyright 2012 by the National Academy of Sciences. All rights reserved.
Printed in the United States of America
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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.
Ralph J. Cicerone 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. Charles M. Vest 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. Ralph J. Cicerone and Dr. Charles M.
Vest are chair and vice chair, respectively, of the National Research Council.
www.national-academies.org
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PLANNING COMMITTEE AND PANEL FOR REVIEW OF BEST PRACTICES
IN ASSESSMENT OF RESEARCH AND DEVELOPMENT ORGANIZATIONS
JOHN W. LYONS, National Defense University, Chair
EDWARD A. BROWN, The MITRE Corporation
W.WARNER BURKE, Columbia University
ROSS B. COROTIS, University of Colorado at Boulder
WILLIAM W. CRAIG, Lawrence Livermore National Laboratory
C. WILLIAM GEAR, Princeton University
WESLEY L. HARRIS, Massachusetts Institute of Technology
ELENI KOUSVELARI, Sandia National Laboratories
BERNARD S. MEYERSON, IBM Corporation
ELSA REICHMANIS, Georgia Institute of Technology
JOEL M. SCHNUR, George Mason University
LYLE H. SCHWARTZ, Air Force Office of Scientific Research (Retired)
Staff
JAMES P. MCGEE, Board Director
CY BUTNER, Senior Program Officer
LIZA HAMILTON, Administrative Coordinator
EVA LABRE, Program Associate
iv
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LABORATORY ASSESSMENTS BOARD
JOHN W. LYONS, National Defense University, Chair
CLAUDE R. CANIZARES, Massachusetts Institute of Technology
ROSS B. COROTIS, University of Colorado at Boulder
JOSEPH S. FRANCISCO, Purdue University
C. WILLIAM GEAR, Princeton University
HENRY J. HATCH, U.S. Army (Retired)
LOUIS J. LANZEROTTI, New Jersey Institute of Technology
ELSA REICHMANIS, Georgia Institute of Technology
LYLE H. SCHWARTZ, Air Force Office of Scientific Research (Retired)
CHARLES V. SHANK, Howard Hughes Medical Institute
DWIGHT C. STREIT, Northrop Grumman Space Technology
Staff
JAMES P. MCGEE, Board Director
CY BUTNER, Senior Program Officer
LIZA HAMILTON, Administrative Coordinator
EVA LABRE, Program Associate
v
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Acknowledgment of Reviewers
This workshop summary has been reviewed in draft form by individuals chosen
for their diverse perspectives and technical expertise, in accordance with procedures
approved by the National Research Council’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 summary as sound as possible and to ensure that the
summary meets institutional standards for clarity, objectivity, and responsiveness to the
charge. 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 workshop summary:
Ross B. Corotis, University of Colorado at Boulder,
Mark E. Eberhart, Colorado School of Mines,
Katharine G. Frase, IBM Corporation,
Tonya L. Kuhl, University of California, Davis, and
John W. Lyons, National Defense University.
Although the reviewers listed above have provided many constructive comments
and suggestions, they were not asked to endorse views presented at the workshop, and
they did not see the final draft of the workshop summary before its release. The review
of this summary was overseen by David E. Crow, University of Connecticut. Appointed
by the National Research Council, he was responsible for making certain that an
independent examination of this summary was carried out in accordance with
institutional procedures and that all review comments were carefully considered.
Responsibility for the final content of this summary rests entirely with the author and the
institution.
vii
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Contents
1 INTRODUCTION 1
2 SUMMARY OF PRESENTATIONS 4
Presentation by James H. Turner: Impact of Assessments and Merit Reviews
on Stakeholders, 4
Presentation by John Sommerer: Assessing R&D Organizations—
Perspectives on a Venn Diagram, 5
Presentation by J. Stephen Rottler: Assessing Sandia Research, 8
Presentation by William F. Banholzer: An Industrial Perspective, 10
Presentation by Roy Levin: Managing Innovation at Microsoft Research, 12
Presentation by Gilbert F. Decker: Concepts for Assessment of R&D
Organizations, 14
3 KEY QUESTIONS IDENTIFIED BY DISCUSSION GROUPS 18
Organizational Context: Does the Organization’s Current and Planned
Portfolio Align with Its Mission, and Are the Organization’s Plans
and Strategies Aligned with the Needs of Its Customers and
Stakeholders?, 18
How Good Is the Technical Merit and Quality of the Science and Engineering
Work?, 19
What Are the Elements of Technical Management That Affect the Quality of
the Work?, 19
Are Adequate Resources Available to Support High-Quality Work?, 20
Is the Organization Able to Respond Flexibly to Changing Economic,
Political, Social, and Technological Contexts?, 21
APPENDIXES
A Agenda for the Workshop 25
B List of Registered Workshop Attendees 27
C Biographical Sketches of the Members of the Planning Committee and Panel for 32
Review of Best Practices in Assessment of Research and Development Organizations
D Biographical Sketches of Workshop Presenters 37
ix
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