Science and Technology in the National Interest

THE PRESIDENTIAL APPOINTMENT PROCESS

Committee on Science, Engineering, and Public Policy

NATIONAL ACADEMY OF SCIENCES

NATIONAL ACADEMY OF ENGINEERING

INSTITUTE OF MEDICINE

NATIONAL ACADEMY PRESS
Washington, D.C.



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Science and Technology in the National Interest: THE PRESIDENTIAL APPOINTMENT PROCESS Science and Technology in the National Interest THE PRESIDENTIAL APPOINTMENT PROCESS Committee on Science, Engineering, and Public Policy NATIONAL ACADEMY OF SCIENCES NATIONAL ACADEMY OF ENGINEERING INSTITUTE OF MEDICINE NATIONAL ACADEMY PRESS Washington, D.C.

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Science and Technology in the National Interest: THE PRESIDENTIAL APPOINTMENT PROCESS NATIONAL ACADEMY PRESS 2101 Constitution Avenue, NW Washington, DC 20418 NOTICE: This volume was produced as part of a project approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences (NAS), the National Academy of Engineering (NAE), and the Institute of Medicine (IOM). It is a result of work done by a panel of the Committee on Science, Engineering, and Public Policy (COSEPUP). This report had been reviewed by a group other than the authors according to procedures approved by COSEPUP and the Report Review Committee. The Committee on Science, Engineering, and Public Policy (COSEPUP) is a joint committee of the NAS, the NAE, and the IOM. It includes members of the councils of all three bodies. For more information on COSEPUP see www.nationalacademies.org/cosepup. Financial Support: The development of this report was funded by the National Research Council. International Standard Book Number: 0-309-07291-1 Science and Technology in the National Interest: The Presidential Appointment Process is available from the National Academy Press, 2101 Constitution Avenue, NW , P.O. Box 285 , Washington, DC 20055 ( 1-800-624-6242 or 202/334-3313 in the Washington metropolitan area; Internet http://www.nap.edu). Copyright 2000 by the National Academy of Sciences . All rights reserved. This document may be reproduced solely for educational purposes without the written permission of the National Academy of Sciences. Printed in the United States of America See www.nationalacademies.org/presidentialappointments for online version of the report and additional background information and data.

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Science and Technology in the National Interest: THE PRESIDENTIAL APPOINTMENT PROCESS 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 appointed professions for 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 in 1863 by its congressional charter to be an adviser to the federal government and, upon its own initiative, to study problems 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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Science and Technology in the National Interest: THE PRESIDENTIAL APPOINTMENT PROCESS PANEL ON ENSURING THE BEST SCIENCE AND TECHNOLOGY PRESIDENTIAL APPOINTMENTS MARY L. GOOD (Chair), Dean, Donaghey College of Information Science and University of Arkansas at Little Rock and Managing Member, Venture Capital Investors, Little Rock D. ALLAN BROMLEY, Sterling Professor of the Sciences and Dean of Engineering, W. Wright Nuclear Structure Laboratory, Yale University, New Haven, Connecticut E. EDWARD DAVID, President, EED, Inc., Bedminster, New Jersey JOHN H. GIBBONS, Special Advisor, US Undersecretary of State for Global Affairs, The Plains, Virginia M.R.C. GREENWOOD, Chancellor, University of California, Santa Cruz ANITA K. JONES, Lawrence R. Quarles Professor of Engineering and Applied Science, University of Virginia, Charlottesville MARTHA A. KREBS, Senior Fellow, Institute for Defense Analysis, Alexandria, Virginia JOHN P. MCTAGUE, Vice President, Technical Affairs, Ford Motor Company (retired), Montecino, California JOHN H. MOXLEY III, Managing Director, North American Health Care Division, Korn/Ferry International, Los Angeles, California H. GUYFORD STEVER, Trustee and Advisor, Gaithersburg, Maryland JANET L. YELLEN, Eugene E. and Catherine M. Trefethen Professor of Business Administration, University of California, Berkeley PRINCIPAL PROJECT STAFF DEBORAH D. STINE, Study Director ALAN ANDERSON, Consultant Science Writer COLLEEN PRESTON, Ethics Rules Consultant WILLIAM G. WELLS, JR., Appointments Consultant REBECCA BURKA, Administrative Associate KEVIN ROWAN, Project Associate DAVID BRUGGEMAN, National Academies Christine Mirzayan Program Intern CARLOS GONZALEZ, National Academies Christine Mirzayan Program Intern

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Science and Technology in the National Interest: THE PRESIDENTIAL APPOINTMENT PROCESS COMMITTEE ON SCIENCE, ENGINEERING, AND PUBLIC POLICY As of June 30, 2000 MAXINE F. SINGER (Chair), President, Carnegie Institution of Washington, Washington, DC BRUCE M. ALBERTS,* President, National Academy of Sciences, Washington, DC ENRIQUETA C. BOND, President, The Burroughs Wellcome Fund, Research Triangle Park, North Carolina LEWIS M. BRANSCOMB, Professor Emeritus, Center for Science and International Affairs, John F. Kennedy School of Government, Harvard University, Cambridge, Massachusetts PETER DIAMOND, Professor, Massachusetts Institute of Technology, Cambridge GERALD P. DINNEEN,* Vice President, Science and Technology, Honeywell, Inc. (retired), Edina, Minnesota MILDRED S. DRESSELHAUS,† Institute Professor of Electrical Engineering and Physics, Massachusetts Institute of Technology, Cambridge, Massachusetts JAMES J. DUDERSTADT, President Emeritus and University Professor of Science and Engineering, Millennium Project, University of Michigan, Ann Arbor MARYE ANNE FOX, Chancellor, North Carolina State University, Raleigh RALPH E. GOMORY, President, Alfred P. Sloan Foundation, New York, New York RUBY P. HEARN, Senior Vice President, The Robert Wood Johnson Foundation, Princeton, New Jersey BRIGID L. M. HOGAN, Investigator, Howard Hughes Medical Institute and Hortense B. Ingram Professor, Department of Cell Biology, Vanderbilt University School of Medicine, Nashville, Tennessee SAMUEL H. PRESTON, Dean, University of Pennsylvania School of Arts and Sciences, Philadelphia KENNETH I. SHINE,* President, Institute of Medicine, Washington, DC MORRIS TANENBAUM, Vice Chairman and Chief Financial Officer, AT&T (retired), Short Hills, New Jersey IRVING L. WEISSMAN, Karel and Avice Beekhuis Professor of Cancer Biology and Professor of Pathology, Stanford University School of Medicine, California SHEILA E. WIDNALL, Abby Rockefeller Mauze Professor of Aeronautics, Massachusetts Institute of Technology, Cambridge WILLIAM JULIUS WILSON, Lewis P. and Linda L. Geyser University Professor, Harvard University, Cambridge, Massachusetts WILLIAM A. WULF,* (President, National Academy of Engineering, Washington, DC Staff RICHARD E. BISSELL, Executive Director DEBORAH D. STINE, Associate Director MARION RAMSEY, Administrative Associate * Ex Officio Members † Resigned August 2000 to become Director, Office of Science, Department of Enegy

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Science and Technology in the National Interest: THE PRESIDENTIAL APPOINTMENT PROCESS PREFACE In recent years, there has been a substantial change in the number and breadth of issues coming before the US President that require science and technology (S&T) knowledge and judgement. S&T appointees can be crucial in assisting the next President in addressing the inevitable issues raised by the end of the Cold War and the evolution of the “new economy,” from new technical issues of missile defense to the changing role of regulation in telecommunications and biotechnology. The federal government plays an increasingly important role in nurturing scientific and technological advancements and bringing their full benefits to society. At the same time, insights generated by research empower government decision-making in most major domains, from economic productivity and national security to public health, the environment, and agriculture by providing the data and analysis needed to make better decisions. The President needs the wise guidance of scientific and technical experts to achieve the nation's policy goals in these areas. The United States stands virtually alone among the industrialized nations in filling a wide variety of federal S&T positions with appointees selected by the President. In most advanced countries, these positions are held by career government employees, and the election of new political leadership brings the replacement of only the heads of cabinet departments. The American system of government requires the selection of thousands of new appointees every few years. 1 At the highest levels, these appointees are nominated by the President and confirmed by the Senate (and are known as PAS appointees). The Presidential appointment system brings both benefits and drawbacks. Among its benefits are the enhanced ability of a president to carry out his policy agenda and the introduction to Washington of fresh ideas and new energy. Among its drawbacks are the difficulty of persuading talented leaders outside Washington to set aside their careers for a term in government and the challenge of making effective use of the time of these appointees during their terms in office. In 1992, a previous panel of the Committee on Science, Engineering, and Public Policy (COSEPUP) wrote a report titled Science and Technology Leadership in American Government: Ensuring the Best Presidential Appointments. This report plus several other excellent reports (some focusing on science and technology, others concerning all presidential appointees) had findings virtually identical with those described below. In its 1988 report Science & Technology and the President, the Carnegie Commission on Science and Technology recommended that, because of the significance and pervasiveness of S&T in presidential decision-making and the increased complexity of technological issues, “the S&T advisory function to the President not be fragmented and that there be a single senior staff assistant reporting to the President on S&T matters with the title of Assistant to the President for Science and Technology [APST].” That recommendation was followed, and later directors of the White House Office of Science and Technology Policy (OSTP) also held the APST rank. The Carnegie Commission also identified key presidential S&T appointments, as did COSEPUP in its 1992 analysis. But the key report in this regard was The Prune Book: The 60 Toughest Science and Technology Jobs in Washington, which provided descriptions of the positions and lists of the persons who held them. General reports not focused on S&T were also issued. The most important was from the Twentieth Century Fund in 1996, Obstacle Course: The Report of the Twentieth Century Fund Task Force on the Presidential Appointment Process. The most recent data on this issue have been generated for a joint project of the Brookings Institution and the Heritage Foundation, which interviewed appointees in the Reagan, Bush, and Clinton administrations. The report, The Merit and Reputation of an Administration: Presidential Appointees on the Appointments Process , provides valuable insights into the recruitment of current and previous presidential appointees. The authors of this report are scientists and engineers who have served in senior positions in the federal government in Washington, DC, and who have found their experience to be stimulating and satisfying. They encourage their colleagues in all sectors to make contributions in government service. To that end, this report seeks to make government service more accessible and fair for leading scientists and engineers and for appointees in other fields. This panel's report is intentionally brief and does not attempt to repeat the documentation of the 1992 report or of the other reports noted above. The appendix is provided to supplement the printed version with additional examples and supportive evidence for the key findings. The appendix is organized around each finding and subfinding in the main report. The support for each comes from both the reports mentioned and new analyses conducted by the panel. Mary Good Panel Chair 1   According to the General Accounting Office (GAO), the President relies on about 3,000 political appointees to make policy decisions on his behalf and promote his policies among the civil service.The President also depends on about 8,000 career executives to provide the continuity, knowledge, and institutional memory needed to manage the agencies and departments.

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Science and Technology in the National Interest: THE PRESIDENTIAL APPOINTMENT PROCESS ACKNOWLEDGEMENTS This report is the product of many individuals. First, COSEPUP would like to thank its guidance group consisting of COSEPUP members Marye Anne Fox (Chair), Lewis M. Branscomb, Ruby P. Hearn, Maxine F. Singer, Irving L.Weissman, and Sheila E. Widnall who supervised the preparation of this guide. Second, we would like to thank the following individuals who provided valuable information at our meeting: D. James Baker, Administrator, National Oceanic and Atmospheric Administration (NOAA), and Under Secretary for Oceans and Atmosphere, U.S. Department of Commerce Veronica de la Garza, Science & Technology Appointments, White House Office of Presidential Appointments Scott Giles, Professional Staff Member, Senate Health and Education Committee Maria Haley, Deputy Assistant to the President and Deputy Director, White House Office of Presidential Personnel Paul Light, Vice President and Director of Governmental Studies and Founding Director of the Center for Public Service, Brookings Institution Elizabeth Prostic, Professional Staff Member, Senate Commerce Committee Next, we would like to thank the reviewers of this report. This guide 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 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 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: Betsy Ancker-Johnson, Vice President, General Motors (retired), Austin, Texas Frederick M. Bernthal, President, Universities Research Association, Washington, DC Donald Kennedy, President Emeritus and Bing Professor of Environmental Science, Stanford University, California George A. Keyworth, Chairman, The Progress and Freedom Foundation, Washington, DC John W. Lyons, Director, U.S. Army Research Laboratory (retired), Mt. Airy, Maryland G. Calvin Mackenzie, Distinguished Presidential Professor of American Government, Colby College, Waterville, Maine Judith A. Miller, Partner, Williams & Connolly, Washington, DC Arati Prabhakar, Consultant, Atherton, California John H. Sununu, President and Partner, JHS Associates, Washington, DC Harold E. Varmus, President and CEO, Memorial Sloan-Kettering Cancer Center, New York, New York R. James Woolsey, Jr., Partner, Shea & Gardner, Washington, DC John A. Young, President and CEO, Hewlett-Packard (retired), Palo Alto, California Finally, we would like to thank the staff for this project including Deborah Stine, Associate Director of COSEPUP and Study Director; Alan Anderson, Consultant Writer who worked with the panel to develop the text of the guide; Colleen Preston, who acted as pro bono consultant on appointment ethics issues; William G. Wells, Jr., who acted as pro bono consultant on the identification and issues surrounding S&T presidential appointments; Rebecca Burka, Administrative Associate, who provided project support for meetings and other activities; Kevin Rowan, Project Assistant; Carlos Gonzalez, Intern, who helped with identification of who held S&T appointments over the past 10 years; David Bruggeman, Intern, who conducted the research necessary to determine the previous position of past appointees; and Richard Bissell, Executive Director of COSEPUP.

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Science and Technology in the National Interest: THE PRESIDENTIAL APPOINTMENT PROCESS CONTENTS     Report   1     50 Most Urgent Science and Technology Presidential Appointments   7     Panel Biographies   9     Appendix   13 FIGURES AND TABLES  FIGURE 1:   Science and technology appointees in the second year of the Reagan, Bush, and Clinton administrations, by institutional background.   4  FIGURE 2:   Time for nominees to complete the presidential appointment process, 1964-1984 and 1984-1999.   5  FIGURE A-1:   Science and technology appointees in the second year of the Reagan, Bush, and Clinton administrations, by institutional background.   16  TABLE A-1:   Science and technology appointees in the second year of the Reagan, Bush, and Clinton administrations, by background.   16  TABLE A-2:   Compliance actions required of presidential appointees serving June 1979-December 1984.   17  FIGURE A-2:   Time for nominees to complete the presidential appointment process, 1964-1984 and 1984-1999.   20  TABLE A-3:   Number of weeks from receipt of nomination to confirmation by the Senate, 1964-1984.   20  FIGURE A-3:   Average number of months from inauguration to confirmation for initial PAS appointees, by administration.   21

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