Toward an Earth Science Enterprise Federation:

Results from a Workshop

Steering Committee for a Workshop on an Earth Science Enterprise Federation

Committee on Geophysical and Environmental Data

Board on Earth Sciences and Resources

Commission on Geosciences, Environment, and Resources

National Research Council

NATIONAL ACADEMY PRESS
Washington, D.C.
1998



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--> Toward an Earth Science Enterprise Federation: Results from a Workshop Steering Committee for a Workshop on an Earth Science Enterprise Federation Committee on Geophysical and Environmental Data Board on Earth Sciences and Resources Commission on Geosciences, Environment, and Resources National Research Council NATIONAL ACADEMY PRESS Washington, D.C. 1998

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--> 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 study was supported by Grant No. NCC5-202 between the National Academy of Sciences and the National Aeronautics and Space Administration. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the view of the organizations or agencies that provided support for this project. International Standard Book Number 0-309-06134-2 Additional copies of this report are available from: National Academy Press 2101 Constitution Ave., NW Box 285 Washington, DC 20055 800-624-6242 202-334-3313 (in the Washington Metropolitan Area) http://www.nap.edu Cover figures courtesy of SeaWiFS Project/NASA/Goddard Space Flight Center and Orbital Imaging Corporation. SeaWiFS is an essential component of NASA's Earth Science Enterprise, an ongoing effort to study how the global environment is changing. Front and back covers: Thousands of satellite images taken by the SeaWiFS instrument between September 1997 and April 1998 combine to produce this image of the Global Biosphere. In the oceans, green, yellow, and red indicate waters rich in phytoplankton. On land, tan colored areas depict regions where plant growth is minimal, limited by factors such as aridity, temperature, snow and ice cover; dark green areas show areas of high-potential plant productivity. Back cover insets: (Top) April 12, 1998. True color image of the Mid-Atlantic Region from New York to the Outer Banks revealing vegetation patterns and urbanized population centers. The edge of the Gulf Stream is seen offshore as the sharp boundary between the deep blue and lighter blue waters off the Carolinas. Plumes of turbid water can be seen pouring from the mouths of many of the small bays and inlets and filling Pamlico Sound. (Bottom) March 2, 1998. SeaWiFS derived ocean color patterns in the Gulf of Mexico. Green, yellow, and red colors in the oceans indicate waters rich in phytoplankton. Cover designed by Gerard A. Valerio. Copyright 1998 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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--> STEERING COMMITTEE FOR A WORKSHOP ON AN EARTH SCIENCE ENTERPRISE FEDERATION JOHN A. ORCUTT, Chair, Scripps Institution of Oceanography, University of California, San Diego AMY K. GLASMEIER, The Pennsylvania State University, University Park THOMAS R. KARL, National Climatic Data Center, National Oceanic and Atmospheric Administration, Asheville, North Carolina ANNETTE J. KRYGIEL, National Defense University, Ft. Lesley J. McNair, Washington, D.C. LOUIS J. LANZEROTTI, Bell Laboratories, Lucent Technologies, Murray Hill, New Jersey NORINE E. NOONAN, Florida Institute of Technology, Melbourne Staff RICHARD C. HART, Consultant, Study Director ANTHONY R. DE SOUZA, Senior Program Officer H. FRANK EDEN, Senior Program Officer ANNE M. LINN, Senior Program Officer VERNA J. BOWEN, Administrative Assistant

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--> COMMITTEE ON GEOPHYSICAL AND ENVIRONMENTAL DATA FRANCIS BRETHERTON, Chair, University of Wisconsin, Madison DAVID M. GLOVER, Woods Hole Oceanographic Institution, Massachusetts J. BERNARD MINSTER, Scripps Institution of Oceanography, University of California, San Diego WILLIAM J. PARTON, Colorado State University, Fort Collins JOYCE E. PENNER, University of Michigan, Ann Arbor SOROOSH SOROOSHIAN, University of Arizona, Tucson JOHN R.G. TOWNSHEND, University of Maryland, College Park CARL WUNSCH, Massachusetts Institute of Technology, Cambridge Staff ANNE M. LINN, Study Director ANTHONY R. DE SOUZA, Senior Program Officer JENNIFER T. ESTEP, Administrative Assistant

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--> BOARD ON EARTH SCIENCES AND RESOURCES J. FREEMAN GILBERT, Chair, University of California, San Diego KENNETH I. DAUGHERTY, Tracor Information, Fairfax, Virginia RICHARD S. FISKE, Smithsonian Institution, Washington, D.C. JAMES M. FUNK, Shell Continental Companies, Houston, Texas WILLIAM L. GRAF, Arizona State University, Tempe CHARLES G. GROAT, University of Texas, El Paso DONALD C. HANEY, Kentucky Geological Survey, Lexington RAYMOND JEANLOZ, University of California, Berkeley SUSAN M. KIDWELL, University of Chicago, Illinois SUSAN KIEFFER, Kieffer & Woo, Inc., Palgrave, Ontario PAMELA LUTTRELL, Mobil, Dallas, Texas J. BERNARD MINSTER, University of California, San Diego ALEXANDRA NAVROTSKY, Princeton University, New Jersey DIANNE R. NIELSON, Utah Department of Environmental Quality, Salt Lake City JILL D. PASTERIS, Washington University, St. Louis, Missouri EDWARD C. ROY, JR., Trinity University, San Antonio, Texas EDWARD M. STOLPER, California Institute of Technology, Pasadena MILTON H. WARD, Cyprus Amax Minerals Company, Englewood, Colorado Staff CRAIG M. SCHIFFRIES, Director THOMAS M. USSELMAN, Associate Director WILLIAM E. BENSON, Senior Program Officer ANTHONY R. DE SOUZA, Senior Program Officer TAMARA L. DICKINSON, Senior Program Officer ANNE M. LINN, Senior Program Officer LALLY A. ANDERSON, Staff Associate VERNA J. BOWEN, Administrative Assistant JENNIFER T. ESTEP, Administrative Assistant JUDITH L. ESTEP, Administrative Assistant

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--> COMMISSION ON GEOSCIENCES, ENVIRONMENT, AND RESOURCES GEORGE M. HORNBERGER, Chair, University of Virginia, Charlottesville PATRICK R. ATKINS, Aluminum Company of America, Pittsburgh, Pennsylvania JERRY F. FRANKLIN, University of Washington, Seattle B. JOHN GARRICK, PLG, Inc., Newport Beach, California THOMAS E. GRAEDEL, Yale University, New Haven, Connecticut DEBRA KNOPMAN, Progressive Foundation, Washington, D.C. KAIN. LEE, Williams College, Williamstown, Massachusetts JUDITH E. McDOWELL, Woods Hole Oceanographic Institution, Massachusetts RICHARD A. MESERVE, Covington & Burling, Washington, D.C. HUGH C. MORRIS, Canadian Global Change Program, Delta, British Columbia RAYMOND A. PRICE, Queen's University at Kingston, Ontario H. RONALD PULLIAM, University of Georgia, Athens THOMAS C. SCHELLING, University of Maryland, College Park VICTORIA J. TSCHINKEL, Landers and Parsons, Tallahassee, Florida E-AN ZEN, University of Maryland, College Park MARY LOU ZOBACK, U.S. Geological Survey, Menlo Park, California Staff ROBERT M. HAMILTON, Executive Director GREGORY H. SYMMES, Assistant Executive Director JEANETTE SPOON, Administrative and Financial Officer SANDI FITZPATRICK, Administrative Associate MARQUITA SMITH, Administrative Assistant/Technology Analyst

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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. Bruce 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. Kenneth I. Shine 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 Alberts and Dr. William A. Wulf are chairman and vice-chairman, respectively, of the National Research Council.

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--> 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 the NRC in making their 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 remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their participation in the review of this report: Mark R. Abbott College of Oceanography Oregon State University Lewis M. Branscomb John F. Kennedy School of Government Harvard University Ronald S. Burt School of Business University of Chicago Kenneth I. Daugherty Tracor Information Systems Reston, Virginia Kenneth D. Davidson National Climatic Data Center, U.S. Department of Commerce Asheville, North Carolina Richard A. Meserve Covington & Burling Washington, D.C. Roberta Balstad Miller Consortium for International Earth Science Information Network University Center, Michigan Although 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 the NRC.

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--> Contents     Executive Summary   1 1   Introduction   3     Overview,   3     Background,   3     Organization of Report,   5 2   Working Group Summaries   7     Objectives,   7     Governance,   8     Potential Costs and Benefits,   10     Measures of Success,   12 3   Models for An Earth Science Enterprise Federation   13     Overview of Federation Models,   13     Lessons for an ESE Federation,   17     Conclusions,   17     References   19     Afterword   21

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-->     Appendixes     A   Federation Models   23     Association of Research Libraries Federation,   24     Harvard Libraries,   27     NATO's Partnership for Peace,   29     Strategic Research at Chevron Petroleum Technology Company,   31     The Science of Federalism: Past and Present,   33     University Corporation for Atmospheric Research Federation,   35 B   Workshop Agenda   37 C   Workshop Participants   39 D   Winners of NASA's 1997 Cooperative Agreement Notices   49     Acronyms   51

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--> Toward an Earth Science Enterprise Federation: Results from a Workshop

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