Defense Research and Development: Affiliations of Fiscal Year 1993
Trustees for Federally Funded Centers (Letter Report, 07/26/95,
GAO/NSIAD-95-135).
Pursuant to a congressional request, GAO provided information on the
boards of trustees at the Department of Defense's (DOD) federally funded
research and development centers (FFRDC), focusing on: (1) how trustees
are elected to each board; (2) FFRDC trustees and officers who left in
fiscal year (FY) 1993 to take executive positions in the federal
government; (3) trustees' representation on the Defense Science Board
(DSB); (4) retired command-level officers on FFRDC boards; (5) trustees
sitting on more than one FFRDC board; (6) trustees affiliated with
non-DOD FFRDC; and (7) individual trustees' FY 1993 and prior
affiliations with FFRDC, universities, private sector firms, the federal
government, and the military.
GAO found that: (1) 6 of the DOD FFRDC boards are elected and 2 of the
boards are appointed by their respective management organizations for
various terms; (2) the 6 nonuniversity boards provide FFRDC with
guidance and overall management direction, while the university FFRDC
boards only provide advice and recommendations to the university
management; (3) in FY 1993, 8 trustees and officers left the DOD FFRDC
boards to take federal government executive-level positions; (4) 16
trustees sat on more than 1 DOD FFRDC board, 13 trustees sat on the 1993
DSB, and 12 trustees had nonDOD FFRDC affiliations in FY 1993; (5) 21
retired officers sat on the DOD FFRDC boards and constituted 15 percent
of those boards' total membership; (6) there were over 1,200 total
trustee affiliations for FY 1993; and (7) total affiliations for
individual DOD FFRDC boards ranged from 50 to over 300 and total
affiliations for individual trustees ranged from 1 to 26.
--------------------------- Indexing Terms -----------------------------
REPORTNUM: NSIAD-95-135
TITLE: Defense Research and Development: Affiliations of Fiscal
Year 1993 Trustees for Federally Funded Centers
DATE: 07/26/95
SUBJECT: Advisory committees
Research and development
Defense operations
Non-government enterprises
Colleges/universities
Non-profit organizations
Retired military personnel
Military research
Research programs
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Cover
================================================================ COVER
Report to the Chairman and Ranking Minority Member, Subcommittee on
Defense, Committee on Appropriations, U.S. Senate
July 1995
DEFENSE RESEARCH AND DEVELOPMENT -
AFFILIATIONS OF FISCAL YEAR 1993
TRUSTEES FOR FEDERALLY FUNDED
CENTERS
GAO/NSIAD-95-135
Defense Research and Development
Abbreviations
=============================================================== ABBREV
ASP - Aerospace Corporation
CEO - chief executive officer
CNA - CNA Corporation
DOD - Department of Defense
DSB - Defense Science Board
FAA - Federal Aviation Administration
FFRDC - Federally Funded Research and Development Center
IDA - Institute for Defense Analysis
LLB - Lincoln Laboratories
LMI - Logistics Management Institute
MIT - Massachusetts Institute of Technology
MTR - MITRE Corporation
NATO - North Atlantic Treaty Organization
R&D - Research and Development
RND - Rand Corporation
SEI - Software Engineering Institute
Letter
=============================================================== LETTER
B-259058
July 26, 1995
The Honorable Ted Stevens
Chairman
The Honorable Daniel K. Inouye
Ranking Minority Member
Subcommittee on Defense
Committee on Appropriations
United States Senate
This report responds to your request that we provide information on
the boards of trustees who served in fiscal year 1993 at the
Department of Defense (DOD) Federally Funded Research and Development
Centers (FFRDC). Specifically, we are providing information on (1)
how trustees are elected to each board; (2) FFRDC trustees and
officers who left in fiscal year 1993 to take executive positions in
the federal government; (3) trustees' representation on the Defense
Science Board (DSB); (4) retired command-level officers on the FFRDC
boards; (5) trustees sitting on more than one FFRDC board, and
affiliated with non-DOD FFRDCs; and (6) the fiscal year 1993 and
prior affiliations by FFRDC and by individual trustees, and the
trustees having the most individual affiliations (with FFRDCs,
universities, private sector firms, the federal government, and the
military). We plan to separately provide you with information on the
fiscal year 1993 costs and stipends associated with these trustees
and other DOD FFRDC management advisory personnel.
BACKGROUND
------------------------------------------------------------ Letter :1
The FFRDCs were established during World War II to meet special
research needs that federal and private sector facilities could not
provide. The number of FFRDCs has varied over the years, but in
fiscal year 1993 there were 39,\1 10 sponsored by DOD--the Aerospace
Corporation (ASP), the CNA Corporation (CNA), the Institute for
Defense Analyses (IDA), the Lincoln Laboratories (LLB), the Logistics
Management Institute (LMI), the MITRE Corporation (MTR), the Rand
Corporation (RND),\2 and the Software Engineering Institute (SEI).
Each FFRDC is managed by a private sector nonprofit company or
university, and funded primarily through a renewable sole-source
contract with a maximum 5-year term. The 8 boards of trustees\3 for
the 10 DOD FFRDCs had 158 fiscal year 1993 members, but only 141
individual members, as some trustees sat on more than 1 board. In
fiscal year 1993, Congress appropriated about $1.4 billion for the
DOD FFRDCs.
--------------------
\1 Of 29 non-DOD FFRDCs, 19 are managed by the Department of Energy,
6 by the National Science Foundation, and 1 each by the Federal
Aviation Administration, the Internal Revenue Service, the National
Institutes of Health, and the National Aeronautics and Space
Administration.
\2 RND's one board of trustees manages its three FFRDCs--the Arroyo
Center for the Army, Project Air Force, and the National Defense
Research Institute for DOD.
\3 To simplify discussion, all DOD FFRDC board members are called
"trustees" in this report.
RESULTS IN BRIEF
------------------------------------------------------------ Letter :2
Six FFRDC boards of trustees are elected, while two (LLB and SEI) are
appointed by the provost of the university that manages
them--Massachusetts Institute of Technology (MIT) and Carnegie Mellon
University, respectively. RND has 5-year terms, with a 2-consecutive
term limit until age 72; MTR has 3-year terms, with a 2-term limit
until age 72; ASP has 3-year terms, with a 3-consecutive term limit;
SEI has 4-year terms, with a 2-term limit; CNA has 3-year terms, with
a 2-consecutive term limit; IDA has 3-year terms with no term limits;
LMI has 1-year terms with no term limits; and LLB trustee
appointments are for unlimited terms. The six nonuniversity boards
provide their FFRDCs guidance and overall management direction, while
the LLB and SEI boards only provide advice and recommendations for
FFRDC activities to their respective university boards.
In fiscal year 1993, there were eight trustees and officers who left
the DOD FFRDCs to take executive-level positions in the federal
government. (See app. I.)
In fiscal year 1993, 16 trustees sat on more than 1 DOD FFRDC board
(15 sat on 2 and 1 on 3), 13 sat on the 1993 DSB (representing 21
percent of its total membership), and 12 had non-DOD FFRDC
affiliations. The 21 retired admirals and generals that sat on the
DOD FFRDC boards represented 15 percent of the total fiscal year 1993
board memberships. (See app. II.)
There were over 1,200 (over 700 fiscal year 1993 and over 400 prior)
trustee affiliations, with the total affiliations for individual DOD
FFRDCs ranging from about 50 to over 300. Total affiliations for
individual trustees ranged from 1 to 26. (See app. III.)
The detailed affiliation information for all the current fiscal year
1993 and prior affiliations of each individual trustee on each DOD
FFRDC board are listed alphabetically in appendix IV.
SCOPE AND METHODOLOGY
------------------------------------------------------------ Letter :3
We obtained from each DOD FFRDC a list of trustees and short
biography for each individual. We added to this list the
affiliations found in the 1994 Who's Who in America, and in the
46,000 private sector companies' key personnel listed by Standard and
Poor's and Compact Disclosure. We believe that these sources
provided us a listing of affiliations sufficient to give the
Subcommittee extensive, but not necessarily complete, information.
We further limited the affiliations listed to those with (1) other
DOD and non-DOD FFRDCs; (2) private sector companies (executive-level
positions only), including those companies having the most fiscal
year 1993 DOD prime contracts; (3) universities, including those
having the most fiscal year 1992 and 1993 DOD research and
development funding; (4) the federal government; and (5) command
positions in the armed services. Our work was done from November
1994 through July 1995.
As agreed with your staff, we did not obtain formal written agency
comments; however, we did discuss the information presented in this
report with DOD officials, and revised the text where appropriate.
The affiliations we list were also sent to each trustee for
verification, and adjusted as instructed by those trustees that
provided changes.
---------------------------------------------------------- Letter :3.1
Unless you publicly announce the contents of this report earlier, we
plan no further distribution until 30 days from its issue date. At
that time, we will send copies to the Secretaries of Defense, the
Army, the Navy, and the Air Force; the Director, Office of Management
and Budget; other congressional committees and subcommittees; and
each of the DOD FFRDCs. We will also make copies available to others
on request.
If you or your staff have any questions about the information
presented in this report, please contact me on (202) 512-4587. The
major contributors to this report are listed in appendix V.
David E. Cooper
Director, Acquisition Policy, Technology,
and Competitiveness Issues
FFRDC OFFICIALS WHO LEFT IN FISCAL
YEAR 1993 TO TAKE EXECUTIVE-LEVEL
POSITIONS IN THE FEDERAL
GOVERNMENT
=========================================================== Appendix I
Name Position left Date left Position taken
------------- ------------- ------------- ---------------
Dr. Ashton MTR--trustee 6/93 Assistant
Carter Secretary of
Defense for
International
Security Policy
John Deutch MTR--advisor 3/93 Deputy
to board Secretary of
Defense
Dr. Anita MTR--trustee 5/93 Director,
Jones Defense
Research and
Engineering
John Knubel LMI--vice 10/92 Senior
president Assistant to
the Chief
Financial
Officer,
Nuclear
Regulatory
Commission
Walter RND--trustee 9/93 Ambassador to
Mondale Japan
Dr. William MTR--advisor 3/93 Secretary of
Perry to board Defense
Walter LLB--trustee 8/93 Principal
Slocombe Deputy Under
Secretary of
Defense for
Policy
Dr. Sheila LLB--trustee 8/93 Secretary of
Widnall the Air Force
------------------------------------------------------------
TRUSTEE FISCAL YEAR 1993 SUMMARIES
CONCERNING SEATS ON VARIOUS BOARDS
AND PRIOR MILITARY SERVICE
========================================================== Appendix II
Table II.1
Trustees Sitting on More Than One DOD
FFRDC Board
Name FFRDC Name FFRDC
------------- ------------- ------------- ---------------
Dr. P. Pierre ASP, CNA, LLB Gen. B. IDA, LMI
Rogers
Dr. C. Baird CNA, LMI Dr. J. Ruina LLB, MTR
Dr. J. CNA, IDA Dr. J. Shea ASP, LLB
Borsting
Dr. R. Davis ASP, IDA Gen. L. ASP, LMI
Skantze
Gen. R. ASP, IDA Dr. A. ASP, RND
Dougherty Wheelon
R. Everett LLB, MTR Dr. S. ASP, LLB
Widnall
Dr. J. Fox ASP, LMI C. Zraket CNA, MTR
Gen. R. Marsh MTR, SEI Dr. C. Zwick ASP, RND
------------------------------------------------------------
Note: ASP had the most--nine--board members sitting on other boards;
LLB had five; CNA, IDA, LMI and MTR all had four; RND had two; and
SEI one.
Table II.2
Trustees Sitting on the Fiscal Year 1993
Defense Science Board
FFRDC
Name represented
---------------------------------------------- ------------
E. Aldridge, Jr. ASP
Dr. P. Pierre ASP, CNA,
LLB
Dr. J. Shea ASP, LLB
Gen. R. Dougherty ASP, IDA
Dr. J. Welch LLB
R. Everett LLB, MTR
Gen. B. Randolph LLB
G. Whitesides LLB
J. Foster, Jr. LMI
Dr. A. Carter MTR
Dr. G. Heilmeier MTR
Dr. A. Jones MTR
S. Buchsbaum RND
------------------------------------------------------------
Note: The 13 DOD FFRDC trustees represent 21 percent of the fiscal
year 1993 Defense Science Board membership. There were also four
fiscal year 1993 consultants to the DSB and five past members.
Table II.3
DOD FFRDC Trustees Affiliated With Non-
DOD FFRDCs During Fiscal Year 1993 and
Prior Years
Name Affiliation Non-DOD FFRDC
------------------ ------------------ --------------------
Dr. A. Carter, MTR Research Associate Brookhaven National
Lab, Fermi National
Accelerator Lab
J. Foster Jr., LMI Director Lawrence Livermore
National Lab
A. Kerman, LLB Consultant Argonne, Brookhaven,
Lawrence Berkeley,
Lawrence Livermore,
Los Alamos, and Oak
Ridge National Labs
Dr. E. Martin, SEI Member, Advisory Los Alamos National
Committee Lab
Dr. J. Palms, IDA Member, Advisory Oak Ridge and
Committee, Los Alamos National
Member Labs
Dr. P. Pierre, Member, Advisory Los Alamos National
ASP,CNA,LLB Board Lab
Dr. W. Press, IDA Consultant Lawrence Livermore
and Los Alamos
National Labs
Dr. B. Richter, Director Stanford Linear
LLB Accelerator Center
Dr. A. Sage, CNA Consultant Battelle Memorial
Institute
R. Shannon, ASP Consultant Lawrence Livermore
National Lab, Idaho
National Engineering
Lab
Dr. H. Shull, IDA Trustee Fermi National Lab
Gen. L. Welch, IDA Member, Advisory Lawrence Livermore
Committee National Lab
------------------------------------------------------------
Table II.4
Retired Generals and Admirals Sitting on
Fiscal Year 1993 DOD FFRDC Boards
Generals
-------------------------------------------- --------------
Robert Barrow Bernard Rogers
Russell Dougherty Alan Salisbury
Alexander Haig, Jr. Brent
Scowcroft
Robert Herres Lawrence
Skantze
Robert Marsh William Smith
Edward Meyer William Tuttle
Robert Pursley Larry Welch
Bernard Randolph
Admirals
Albert Baciocco, Jr. George Kinnear
II
Huntington Hardisty Robert Long
Bobby Inman Harry Train II
------------------------------------------------------------
Note: These 21 retired officers represent 15 percent of the total
141 DOD FFRDC trustees in fiscal year 1993.
TRUSTEE FISCAL YEAR 1993 SUMMARIES
CONCERNING DOD AND OTHER
AFFILIATIONS
========================================================= Appendix III
Table III.1
Total, Current Fiscal Year 1993, and
Past Affiliations for All DOD FFRDC
Trustees
Truste Fiscal year
FFRDC e 1993 Past Total
----------------------- ------ ----------- ------ ------
ASP 22 120 85 205
CNA 29 199 126 325
IDA 20 98 65 163
LLB 17 91 56 147
LMI 18 64 40 104
MTR 21 154 89 243
RND 22 131 63 194
SEI 9 41 14 55
Subtotal 158 898 538 1,436
Less multiple counts\a 17 128 69 197
============================================================
Total 141 770 469 1,239
------------------------------------------------------------
\a There were 15 trustees sitting on 2 DOD FFRDC boards, and 1
sitting on 3 boards. This adjustment to overall totals deletes the
15 double and 1 triple count of affiliations caused by the multiple
board seats.
Table III.2
Number of Affiliations for the 141 DOD
FFRDC Trustees
Number of Percen
Trustee affiliation trustees t
-------------------------------------- ------------ ------
1 to 5 38 27
6 to 10 59 42
11 to 15 34 24
16 to 26 10 7
------------------------------------------------------------
Table III.3
Individual Trustees With the Greatest
Number of Affiliations
Fiscal year
Trustee FFRDC 1993 Past Total
---------------------- ------ ------------ ------ ------
Albritton, Joe MTR 25 1 26
Byrom, Fletcher CNA 21 5 26
Davis, Dr. Ruth ASP,ID 17 7 24
A
Haig, A. Jr. CNA 10 13 23
Rice, Lois CNA 12 11 23
Brown, Dr. Harold RND 13 7 20
Palms, Dr. John IDA 7 11 18
Evans, Daniel CNA 14 2 16
Inman, Bobby CNA 9 7 16
Rumsfeld, Donald RND 12 4 16
------------------------------------------------------------
Note: For the above trustees' specific affiliations, see appendix
IV.
Table III.4
Total DOD FFRDC Affiliations by Category
Tota AS CN ID LL LM MT RN SE
Category l P A A B I R D I
---------------------- ---- -- -- -- -- -- -- -- --
DOD 220 32 40 30 27 24 31 25 11
FFRDC
Non-DOD FFRDC 23 3 2 6 8 1 2 0 1
University 84 12 31 10 12 4 7 7 1
University with DOD 126 17 31 12 15 1 32 15 3
R&D\a
Private sector 528 70 14 55 23 41 91 88 19
4
Private sector with 83 14 13 6 10 10 14 9 7
DOD
Federal government 132 18 20 9 24 3 31 24 3
Military 201 37 36 29 26 18 30 15 10
Other 39 5 8 6 2 2 5 11 0
============================================================
Total\b 1,43 20 32 16 14 10 24 19 55
6 5 5 3 7 4 3 4
------------------------------------------------------------
\a Research and development (R&D). \b There are 197 duplicate
affililiations resulting from trustees sitting on more than 1 board.
Therefore, there are only 1,239 total individual affiliations.
Table III.5
Current Fiscal Year 1993 DOD FFRDC
Affiliations by Category
Tota AS CN ID LL LM MT RN SE
Category l P A A B I R D I
---------------------- ---- -- -- -- -- -- -- -- --
DOD 196 32 34 26 24 21 25 24 10
FFRDC
Non-DOD FFRDC 10 2 1 1 5 0 0 0 1
University 49 7 18 6 5 4 3 5 1
University with DOD 77 10 19 7 9 1 20 9 2
R&D
Private sector 396 45 97 43 19 32 73 71 16
Private sector with 51 8 7 5 5 4 9 8 5
DOD
Federal government 27 2 6 0 7 0 8 2 2
Military 64 10 11 7 15 1 12 4 4
Other 28 4 6 3 2 1 4 8 0
============================================================
Total\a 898 12 19 98 91 64 15 13 41
0 9 4 1
------------------------------------------------------------
\a There are 128 duplicate affililiations resulting from trustees
sitting on more than 1 board. Therefore, there are only 770 current
fiscal year 1993 individual affiliations.
Table III.6
Past DOD FFRDC Affiliations by Category
Tota AS CN ID LL LM MT RN SE
Category l P A A B I R D I
---------------------- ---- -- -- -- -- -- -- -- --
DOD 24 0 6 4 3 3 6 1 1
FFRDC
Non-DOD FFRDC 13 1 1 5 3 1 2 0 0
University 35 5 13 4 7 0 4 2 0
University with DOD 49 7 12 5 6 0 12 6 1
R&D
Private sector 132 22 47 12 4 9 18 17 3
Private sector with 32 6 6 1 5 6 5 1 2
DOD
Federal government 105 16 14 9 17 3 23 22 1
Military 137 27 25 22 11 17 18 11 6
Other 11 1 2 3 0 1 1 3 0
============================================================
Total\a 538 85 12 65 56 40 89 63 14
6
------------------------------------------------------------
\a There are 69 duplicate affiliations resulting from trustees
sitting on more than 1 board. Therefore, there are only 469 past
individual affiliations.
TRUSTEE FISCAL YEAR 1993
AFFILIATIONS BY CATEGORY
========================================================== Appendix IV
INTRODUCTION
Included in this appendix are the current fiscal year 1993 and prior
years' affiliations for each of the 141 DOD FFRDC trustees at the (1)
ASP, (2) CNA, (3) IDA, (4) LLB, (5) LMI, (6) MTR, (7) RND, and (8)
SEI.
The affiliations listed were taken from the biographies provided by
each DOD FFRDC, the 1994 Who's Who in America, and the Standard &
Poor's and Compact Disclosure data bases on 46,000 private sector
companies' key personnel. The affiliations shown were also limited
to those associated with (1) DOD and non-DOD FFRDCs; (2) private
sector firms, including those receiving the most fiscal year 1993 DOD
prime contracts; (3) universities, including those receiving the most
fiscal year 1992 and 1993 DOD research and development funds; (4) the
federal government; (5) command positions in the armed services; and
(6) other relevant affiliations. Individual lists of affiliations
were sent to each trustee for verification, and the data corrected as
indicated by their replies. For each trustee, all current fiscal
year 1993 affiliations are shown first (in bold type), followed by
all the prior years' affiliations.
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MAJOR CONTRIBUTORS TO THIS REPORT
=========================================================== Appendix V
NATIONAL SECURITY AND
INTERNATIONAL AFFAIRS DIVISION,
WASHINGTON, D.C.
Charles F. Rey, Assistant Director
Marilyn Mauch, Assistant Director
Roy B. Karadbil, Evaluator-in-Charge
Charles W. Malphurs, Evaluator-in-Charge
Jai E. Lee, Senior Computer Specialist
Shirley B. Johnson, Evaluator
Stacy Edwards, Evaluator