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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
COOPERATIVE STEWARDSHIP
Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
Committee on Developing a Federal Materials Facilities Strategy
Commission on Physical Sciences, Mathematics, and Applications
National Research Council
NATIONAL ACADEMY PRESS
Washington, D.C.
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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
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.
This study was supported by Contract No. DMR 0726518 between the National Academy of Sciences and the National Science Foundation. 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 0-309-06831-2
Additional copies of this report are available from:
National Academy Press
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Copyright 1999 by the National Academy of Sciences. All rights reserved.
Printed in the United States of America
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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
THE NATIONAL ACADEMIES
National Academy of Sciences
National Academy of Engineering
Institute of Medicine
National Research Council
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. 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 M. Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council.
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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
COMMITTEE ON DEVELOPING A FEDERAL MATERIALS FACILITIES STRATEGY
JOHN J. WISE,
Mobil Research and Development Corp. (retired),
Chair
MARTIN BLUME,
American Physical Society
PAUL A. FLEURY,
University of New Mexico at Albuquerque
JONATHAN GREER,
Abbott Laboratories
DONALD U. GUBSER,
Naval Research Laboratory
RICHARD L. HARLOW,
E.I. du Pont de Nemours & Company
WAYNE A. HENDRICKSON,
Howard Hughes Medical Institute, Columbia University
JOSEPH HEZIR,
EOP Group, Inc.
J. DAVID LITSTER,
Massachusetts Institute of Technology
LEE J. MAGID,
University of Tennessee
PETER B. MOORE,
Yale University
DAGMAR RINGE,
Brandeis University
CYRUS R. SAFINYA,
University of California at Santa Barbara
Liaison, Board on Chemical Sciences and Technology
JOSEPH G. GORDON II,
IBM
Project Staff
RUTH MCDIARMID, Senior Program Officer
DENIS CIOFFI, Program Officer
DOUGLAS J. RABER, Director,
Board on Chemical Sciences and Technology
DON SHAPERO, Director,
Board on Physics and Astronomy
NORMAN METZGER, Executive Director,
Commission on Physical Sciences, Mathematics, and Applications (through July 1999)
GREG EYRING, Consultant
DAVID GRANNIS, Research Assistant (through July 1999)
LA VONE WELLMAN, Project Assistant
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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
COMMISSION ON PHYSICAL SCIENCES, MATHEMATICS, AND APPLICATIONS
PETER M. BANKS,
VERIDIAN ERIM International, Inc.,
Co-chair
W. CARL LINEBERGER,
University of Colorado,
Co-chair
WILLIAM F. BALLHAUS, JR.,
Lockheed Martin Corp.
SHIRLEY CHIANG,
University of California at Davis
MARSHALL H. COHEN,
California Institute of Technology
RONALD G. DOUGLAS,
Texas A&M University
SAMUEL H. FULLER,
Analog Devices, Inc.
JERRY P. GOLLUB,
Haverford College
MICHAEL F. GOODCHILD,
University of California at Santa Barbara
MARTHA P. HAYNES,
Cornell University
WESLEY T. HUNTRESS, JR.,
Carnegie Institution
CAROL M. JANTZEN,
Westinghouse Savannah River Company
PAUL G. KAMINSKI,
Technovation, Inc.
KENNETH H. KELLER,
University of Minnesota
JOHN R. KREICK,
Sanders, a Lockheed Martin Company (retired)
MARSHA I. LESTER,
University of Pennsylvania
DUSA M. MCDUFF,
State University of New York at Stony Brook
JANET L. NORWOOD,
U.S. Commissioner of Labor Statistics (retired)
M. ELISABETH PATÉ-CORNELL,
Stanford University
NICHOLAS P. SAMIOS,
Brookhaven National Laboratory
ROBERT J. SPINRAD,
Xerox PARC (retired)
NORMAN METZGER, Executive Director (through July 1999)
MYRON F. UMAN, Acting Executive Director (as of August 1999)
Ad Hoc Oversight Group for the Study
DAVID S. EISENBERG,
University of California at Los Angeles
JOSEPH G. GORDON II,
IBM Almaden Research Center
DANIEL KLEPPNER,
Massachusetts Institute of Technology
W. CARL LINEBERGER,
University of Colorado
KATHLEEN C. TAYLOR,
General Motors
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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
Preface
The Committee on Developing a Federal Materials Facilities Strategy was appointed by the National Research Council (NRC) in response to a request by the federal agencies involved in funding and operating multidisciplinary user facilities for research with synchrotron radiation, neutrons, and high magnetic fields. Starting in August 1996, a series of conversations and meetings was held among NRC staff and officials from the National Science Foundation, the Department of Energy, the National Institute of Standards and Technology (Department of Commerce), and the National Institutes of Health. The agencies were concerned that facilities originally developed to support research in materials science were increasingly used by scientists from other fields—particularly the biological sciences—whose research was supported by agencies other than those responsible for the facilities. This trend, together with the introduction of several new, large user facilities in the last decade, led the agencies to seek advice on the possible need for interagency cooperation in the management of these federal research facilities.
The committee members (see Appendix A for biographical sketches), selected for their breadth of knowledge and experience in the conduct and management of research involving user facilities, as well as experience in managing large facilities and familiarity with the federal budget process, have conducted research at all of the federal user facilities discussed in this report and at many of the international ones. The committee was asked to explore possible strategies to address changing user demographics for synchrotron, neutron, and high-magnetic-field facilities owing to the changing nature of the science conducted and
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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
how this might affect the roles of federal agencies in supporting these facilities. (See Appendix B for the statement of task.)
The committee chose to focus its report on the issues of planning, operating, and funding facilities at the federal level and did not attempt to duplicate previous reports that have evaluated the state of the individual facilities or the research they support (BESAC, 1997, 1998). The committee did, however, study these reports as background for its work. The committee hopes that the federal agencies will be able to use this report to enhance the stability, efficiency, and effectiveness of existing and new user facilities.
The committee solicited input from the scientific community and heard stakeholders’ concerns on the relevant issues. It also received a number of briefings (see Appendix C) from varied sources. The committee is grateful to the individuals who provided technical information and insight during these briefings. This information helped provide a sound foundation for the committee ’s work.
This study was conducted under the auspices of the NRC’s Commission on Physical Sciences, Mathematics, and Applications and was administered by the staff of its Board on Chemical Sciences and Technology in cooperation with that of the Board on Physics and Astronomy. The chair is particularly grateful to the members of this committee, who worked diligently and effectively on a demanding schedule to produce this report.
Support for the study was provided by the interested agencies through the National Science Foundation.
John J. Wise, Chair
Committee on Developing a Federal Materials Facilities Strategy
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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
Acknowledgment of Reviewers
This report has been reviewed by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s (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 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 contents 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:
Gabriel Aeppli, NEC Research Institute,
Frank Bates, University of Minnesota,
Boris Batterman, Cornell University,
Dean Eastman, University of Chicago,
Jack Fellows, University Corporation for Atmospheric Research,
Paul Gilman, Celera Genomics,
W. Carl Lineberger, University of Colorado,
Gilbert Marguth, Department of Commerce,
Manuel A. Navia, Althexis Company, Inc.,
Maxine Savitz, Allied-Signal Ceramic Corporation, and
Janet Smith, Purdue University.
Although the individuals listed above 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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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
Contents
EXECUTIVE SUMMARY
1
1
OVERVIEW
7
Types of Major User Facilities Covered in This Study,
9
Synchrotron Radiation Facilities,
9
Neutron Source Facilities,
9
High-Magnetic-Field Facilities,
10
Users of the Facilities,
11
Magnitude of the User Facility Enterprise,
11
Funding Sources for the User Facilities,
12
Core Facility Funding,
12
Experimental Unit Funding,
13
Organization of This Report,
14
2
MAJOR USER FACILITIES
15
Synchrotron Facilities,
15
Snapshot of Current Facilities and Planned Upgrades,
15
Trends in the Scientific Applications of Synchrotron Sources,
16
Trends in the Synchrotron Source User Community,
18
Neutron Facilities,
19
Snapshot of Current Facilities and Planned Upgrades,
19
Trends in the Scientific Applications of Neutron Sources,
20
Trends in the Neutron Source User Community,
22
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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
High-Magnetic-Field Facilities,
24
Snapshot of Current Facilities and Planned Upgrades,
24
Trends in the Scientific Applications of High Magnetic Fields,
25
Trends in the High-Magnetic-Field Facility User Community,
26
Common Themes and the Implications for User Facility Management,
26
Funding Issues,
27
User Support Issues,
27
Management Issues,
28
Legal Issues,
29
3
MANAGEMENT MODELS
30
Background,
30
Single-Agency, Single-Mission Model,
30
Early Evolution of the User Facility Model,
31
Dispersed Funding and Management Model,
32
Stewardship Models,
32
Current Status of U.S. Facilities Operations and Funding,
33
Research Station Support,
33
Interagency Support,
34
Access to Facilities,
35
Facility Operations,
35
Status of Stewardship Model Use,
36
European Management Models,
37
Summary,
39
4
COOPERATIVE STEWARDSHIP MODEL
40
Management Responsibilities,
41
Role of the Steward,
43
Role of the Partners,
44
Funding Responsibilities,
44
Centralized Core Funding,
45
Cost-Sharing Methods,
45
User Fees,
46
Interagency Responsibilities,
47
Legal Issues,
49
User Agreements,
49
Intellectual Property Rights,
50
Findings and Recommendations,
51
REFERENCES
54
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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
APPENDIXES
A Biographical Sketches of Committee Members
59
B Statement of Task
63
C Committee Meetings
64
D Facilities
67
E Glossary, Acronyms, and Abbreviations
68
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COOPERATIVE STEWARDSHIP: Managing the Nation’s Multidisciplinary User Facilities for Research with Synchrotron Radiation, Neutrons, and High Magnetic Fields
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