Research Teams and Partnerships: Trends in the Chemical Sciences

Report of a Workshop

Chemical Sciences Roundtable

Board on Chemical Sciences and Technology

Commission on Physical Sciences, Mathematics, and Applications

National Research Council

NATIONAL ACADEMY PRESS
Washington, D.C.



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--> Research Teams and Partnerships: Trends in the Chemical Sciences Report of a Workshop Chemical Sciences Roundtable Board on Chemical Sciences and Technology Commission on Physical Sciences, Mathematics, and Applications National Research Council NATIONAL ACADEMY PRESS Washington, D.C.

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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 workshop organizing committee responsible for the report were chosen for their special competences and with regard for appropriate balance. Support for this project was provided by National Science Foundation under Grant No. CHE-9630106, the National Institutes of Health under Contract No. N01-OD-4-2139, and the U.S. Department of Energy under Grant No. DE-FG02-95ER14556. Any opinions, findings, conclusions, or recommendations expressed in this material are those of the authors and do not necessarily reflect the views of the National Science Foundation, the National Institutes of Health, or the U.S. Department of Energy. International Standard Book Number 0-309-06827-4 Additional copies of this report are available from: National Academy Press 2101 Constitution Avenue, NW Box 285 Washington, DC 20055 800-624-6242 202-334-3313 (in the Washington metropolitan area) http://www.nap.edu Board on Chemical Sciences and Technology 2101 Constitution Avenue, NW NAS 273 Washington, DC 20418 202-334-2156 Copyright 1999 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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--> 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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--> CHEMICAL SCIENCES ROUNDTABLE RICHARD C. ALKIRE, University of Illinois at Urbana-Champaign, Chair THOM H. DUNNING, JR., Pacific Northwest National Laboratory, Vice Chair PAUL S. ANDERSON, DuPont Pharmaceuticals ALEXIS T. BELL, University of California, Berkeley DARYLE H. BUSCH, University of Kansas MARCETA Y. DARENSBOURG, Texas A&M University THOMAS F. EDGAR, University of Texas, Austin RICHARD M. GROSS, Dow Chemical Company L. LOUIS HEGEDUS, Elf Atochem North America, Inc. ANDREW KALDOR, Exxon R&D Laboratories ROBERT L. LICHTER, Camille and Henry Dreyfus Foundation, Inc. ROBERT S. MARIANELLI, Office of Science and Technology Policy JOE J. MAYHEW, Chemical Manufacturers Association WILLIAM S. MILLMAN, U.S. Department of Energy KAREN W. MORSE, Western Washington University NORINE E. NOONAN, U.S. Environmental Protection Agency JANET G. OSTERYOUNG, National Science Foundation GARY W. POEHLEIN, National Science Foundation MICHAEL E. ROGERS, National Institute of General Medical Sciences HRATCH G. SEMERJIAN, National Institute of Standards and Technology KATHLEEN C. TAYLOR, General Motors Corporation MARION C. THURNAUER, Argonne National Laboratory MATTHEW V. TIRRELL, University of California at Santa Barbara D. AMY TRAINOR, Zeneca Pharmaceuticals FRANCIS A. VIA, General Electric Company ISIAH M. WARNER, Louisiana State University PATRICK H. WINDHAM, Windham Consulting Staff DOUGLAS J. RABER, Director, Board on Chemical Sciences and Technology SYBIL A. PAIGE, Administrative Associate RUTH McDIARMID, Senior Program Officer DAVID GRANNIS, Research Assistant (through July 1999)

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--> BOARD ON CHEMICAL SCIENCES AND TECHNOLOGY LARRY E. OVERMAN, University of California, Irvine, Co-chair JOHN L. ANDERSON, Carnegie Mellon University, Co-chair BARBARA J. GARRISON, Pennsylvania State University ALICE P. GAST, Stanford University LOUIS C. GLASGOW, E.I. du Pont de Nemours & Company KEITH E. GUBBINS, North Carolina State University NANCY B. JACKSON, Sandia National Laboratories JIRI JONAS, University of Illinois at Urbana-Champaign GEORGE E. KELLER, Union Carbide Corporation (retired) RICHARD A. LERNER, Scripps Research Institute GREGORY A. PETSKO, Brandeis University WAYNE H. PITCHER, JR., Genencor Corporation KENNETH N. RAYMOND, University of California, Berkeley PAUL J. REIDER, Merck Research Laboratories LYNN F. SCHNEEMEYER, Bell Laboratories MARTIN B. SHERWIN, ChemVen Group, Inc. JEFFREY J. SIIROLA, Eastman Chemical Company CHRISTINE S. SLOANE, General Motors Research Laboratories PETER J. STANG, University of Utah JOHN T. YATES, JR., University of Pittsburgh STEVN W. YATES, University of Kentucky Staff DOUGLAS J. RABER, Director MARIA P. JONES, Senior Project Assistant RUTH MCDIARMID, Senior Staff Officer CHRISTOPHER K. MURPHY, Program Officer SYBIL A. PAIGE, Administrative Associate

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--> 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 BALLHAUS, JR., Lockheed Martin Corporation SHIRLEY CHIANG, University of California, 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, 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, Stony Brook JANET L. NORWOOD, U.S. Commissioner of Labor Statistics (retired) M. ELISABETH PATE[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

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--> Preface The Chemical Sciences Roundtable (CSR) was established in 1997 by the National Research Council (NRC). It provides a science-oriented, apolitical forum for leaders in the chemical sciences to discuss chemically related issues affecting government, industry, and universities. Organized by the NRC's Board on Chemical Sciences and Technology, the CSR aims to strengthen the chemical sciences by fostering communication among the people and organizations—spanning industry, government, universities, and professional associations—involved with the chemical enterprise. The CSR does this primarily by organizing workshops that address issues in chemical science and technology that require national attention. At its December 1997 and May 1998 meetings, the CSR identified the topic of research teams and partnerships as an area of broad interest in the chemical sciences community. To provide a forum for exploring this topic, an organizing committee was formed, and a workshop was planned for May 1999. The aim of the workshop was to discuss the circumstances under which research and development (R&D) teams and partnerships in the chemical sector are appropriate and successful. Issues put forward for discussion included examination of the goals of R&D teams and partnerships, the barriers to implementing them, their potential benefits, and the available methodologies for carrying them out. What are the key trends, how are collaborations changing as a result, and how are best practices evolving? The workshop, "Research Teams and Partnerships: Trends in the Chemical Sciences," brought together research scientists, managers, and technology transfer specialists from government, industry, and academia to discuss and explore the trends and potential impacts of partnerships and teams for the conduct of research in the chemical sciences. The papers in this volume are the authors' own versions of their presentations, and the discussion comments were taken from a transcript of the workshop. The workshop did not attempt to establish any conclusions or recommendations about needs and future directions, focusing instead on individual problems and challenges identified by the speakers. By providing an opportunity for leaders in each of the areas to share their experience and vision, we intended that the other workshop participants—as well

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--> as readers of this proceedings volume—would be able to identify new and useful ways of creating and maintaining effective research partnerships. We believe that the workshop was successful in meeting this goal. WORKSHOP ORGANIZING COMMITTEE PATRICK H. WINDHAM, CHAIR PAUL S. ANDERSON WILLIAM S. MILLMAN GARY W. POEHLEIN HRATCH G. SEMERJIAN KATHLEEN C. TAYLOR MATTHEW V. TIRRELL FRANCIS A. VIA THOMAS A. MANUEL (CONSULTANT)

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--> 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: Cheryl A. Fragiadakis, Lawrence Berkeley National Laboratory, Barbara J. Garrison, Pennsylvania State University, Louis C. Glasgow, DuPont, John R. Kreick, Sanders, a Lockheed Martin Company (retired), and Todd R. La Porte, University of California, Berkeley. 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 group and the NRC.

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--> Contents     Summary   1 1   The Evolving Structure of University-Industry Collaboration in the United States: Three Cases David C. Mowery (University of California, Berkeley)   7 2   Partnerships in Research: The Evolution of Expectations Christopher T. Hill (George Mason University)   21 3   University-Industry Strategic Alliance: A British Perspective P. O'Brien, William A. Wakeham and J.T. Walsh (Imperial College of Science, Technology, and Medicine, London)   28     Panel Discussion   38 4   Research Teams at Universities: The Center for Interfacial Engineering D. Fennell Evans and Matthew V. Tirrell (University of Minnesota)   42 5   Building Industry-University Research Partnerships: Corporate Perspective John C. Tao (Air Products and Chemicals, Inc.)   50 6   Diluting Public Patrimony or Inventive Response to Increasing Knowledge Asymmetries: Watershed for Land Grant Universities? Reflections on the University of California, Berkeley-Novartis Agreement Todd R. La Porte (University of California, Berkeley)   66

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--> 7   What Industry Seeks from Federal Laboratories, and Examples of Collaborations Henry T. Kohlbrand (Dow Chemical Company)   85 8   Partnering at the National Laboratories: Catalysis as a Case Study Nancy B. Jackson (Sandia National Laboratories)   97     Panel Discussion   107 9   Government-Industry Joint R&D Ventures: Bridging the Gap Between the Laboratory and the Marketplace Lura J. Powell (National Institute of Standards and Technology)   114 10   Factors Contributing to the Success of the Partnership for a New Generation of Vehicles Christine S. Sloane (General Motors Corporation)   124     Appendixes         A List of Workshop Participants   135     B Biographical Sketches of Workshop Speakers   138     C Origin of and Information on the Chemical Sciences Roundtable   142