Ask the Scholar
Document scope · 1 page
Scholar
Ask about this object, its catalog metadata, its source description, or the page inventory.
For page-specific OCR and visual context, open one of the page chats.
Source Description
Records pertain to the Office of Science and Technology Policy.
Scholar Source Context
Document identity
localId
285792099
label
International: Policy [1991]
core
doc
dtoType
document
citationUrl
pageCount
1
Source metadata
id
285792099
contentType
document
title
International: Policy [1991]
description
Records pertain to the Office of Science and Technology Policy.
citationUrl
identifierLocal
62064-004
collections
Records of the White House Office of Science and Technology (George H. W. Bush Administration)
Allan D. Bromley Files
largeImageUrl
imageCount
1
hasImages
yes
source
import
hasTranscription
no
Source extras
naId
285792099
levelOfDescription
fileUnit
recordType
description
ocrSource
nara-archive
Single page context
seq
1
pageIndex
0
type
document
mediaId
5d664d7cbe64abe5
ocrText
Originally Processed With FOIA(s):
FOIA Number:
2005-0336-F
2005-0336-F
FOIA
MARKER
This is not a textual record. This is used as an
administrative marker by the George Bush Presidential
Library Staff.
Record Group/Collection:
George H.W. Bush Presidential Records
Collection/Office of Origin:
Science and Technology Policy, Office of (OSTP)
Series:
Bromley, D. Allan, Files
Subseries:
International Files
OA/ID Number:
62064
Folder ID Number:
62064-004
Folder Title:
International: Policy [1991]
Stack:
Row:
Section:
Shelf:
Position:
0
O
0
O
"CORRESPONDENCE TRACKING"
TYPE:
INFORMATION
DOCUMENT NUMBER: 9121405
FROM:
WATKINS, James D.: SECRETARY OF ENERGY
TO:
DR. BROMLEY
DATE OF
CORRESPONDENCE: 05/08/91
SUBJECT: MEMORANDUM FOR DR. BROMLEY REGARDING INFORMATION ON
CONGRESSIONALLY DIRECTED PROJECTS ("PORK") AT THE
DEPARTMENT OF ENERGY.
ASSIGNED TO:
ACTION REQUIRED:
SENDER'S DUE DATE:
OSTP DUE DATE:
DATE COMPLETED:
COPIES TO: D. Allan Bromley
Dr. Phillips
Thomas Ratchford
Ken Yale
Dr. Wong
Dr. Henderson
WHITE HOUSE TRACKING #:
CONTACT PERSON:
REMARKS:
P-
DATE RECEIVED: 5/14
FILE: PHYSICAL SCIENCES-ENEREY *
INTERNATIONAL - POLICY
MASSACHUSETTS OF ENERGY
STATES ORAMERICA DEPARTMENT
The Secretary of Energy
RECEIVED DC 20585
May 8, 1991
91 MAY 14 P12:31
OFFICE
DIRECTOR
MEMORANDUM FOR THE HONORABLE D. ALLAN BROMLEY
ASSISTANT TO THE PRESIDENT FOR
SCIENCE AND TECHNOLOGY
SUBJECT:
INFORMATION ON CONGRESSIONALLY
DIRECTED PROJECTS ("PORK") AT THE
DEPARTMENT OF ENERGY
Allan:
At our last FCCSET meeting, I promised to send you a
list of the congressionally directed projects in DOE's
FY 1991 budget. I have attached two papers that
delineate the pork that was put in our budget.
Attachment I shows the pork that was added and the cuts
in the legitimate science projects that we requested in
the President's FY 1991 budget proposal. You will see
that we lost a total of $143.7 million in good science
and gained $141.6 million in pork. Attachment II shows
how the congressionally directed funds are to be spent.
As you will see, the vast majority are used for "bricks
and mortar" projects.
As a first step toward a coordinated effort against
"pork", I think it would be worthwhile to collect this
type of data from all science agencies.
Bir James D. Watkins
Admiral, U.S. Navy (Retired)
Attachments
P.S. "Directed Projects = "Pork"
ATTACHMENT I
DEPARTMENT OF ENERGY
FY 1991 CONGRESSIONALLY DIRECTED PROJECTS ANALYSIS
(Dollars in millions)
FY 1991
FY 1991
REQUEST
APPROPRIATION
CHANGE
Biological and Environmental Research
R&D
$338.8
$321.7
-17.1
Directed Projects
--
72.2
+72.2
TOTAL:
$338.8
$393.9
+55.1
Basic Energy Sciences
R&D
$648.7
$652.6
+3.9
Directed Projects
--
59.2
+59.2
TOTAL:
$648.7
$711.8
+63.1
University and Science Education
DOE Program
$34.7
$36.4
+1.7
Directed Projects
--
10.2
+10.2
TOTAL:
$34.7
$46.6
+11.9
Fusion Energy
$325.2
$273.6 *
-51.6
Superconducting Super Collider
$317.9
$242.9
-75.0
* Excludes $16 million reprogramming
Summary:
Cuts to R&D
-143.7
Adds for Directed Projects
+141.6
ATTACHMENT II
DEPARTMENT OF ENERGY
1991 Congressionally Directed Projects
UNIVERSITY AND SCIENCE EDUCATION
EPSCoR Planning Grants *
$2,000,000
EPSCoR Graduate Traineeships *
2,000,000
Nuclear Engineering; University Nuclear Engineering Programs
5,000,000
Upgrading of University Reactors
1,000,000
Rural Enterprises, Inc.
200,000
Clark Atlanta University; Research Center for Science & Tech.
a/..
Total University and Science Education
$10,200,000
BIOLOGICAL AND ENVIRONMENTAL RESEARCH
Alabama, University of; Biomedical Research Facility
$9,942,000
Case Western Reserve University; Biomedical Research Facility
9,942,000
Childrens Hospital, Detroit, MI; Equip to support demo on
Position Electron Tomography
7,953,600
Laser Medical Applications Centers; Est. Cntrs. of Excellence
1,472,659
Louisiana State University; Biomedical Research Institute
12,427,500
Misericordia Hospital, Phila, PA; 6-MEV linear Accl. for Cancer
2,087,820
Oregon Health Sciences University; Neurosurgery Research Institute 12,427,500
South Carolina, Medical University of; Cardiac Research Institute 5,965,200
West Virginia University; Center for Nuclear Medicine in Alzheimers 9,942,000
Total-Biological and Environmental Research
$72,160,279
BASIC ENERGY SCIENCE
Material Sciences
Fort Hayes State University; Physical Science Center
$1,988,400
Oklahoma State Univ.; Advance Technology Research Center
4,971,000
Indiana State Univ.; Advanced Technology Center
4,814,414
Univ. Of New Orleans,; Center for Energy Resources Management
9,942,000
Boston College; Energy Sciences Research Facility
9,942,000
Purdue; Hqs. of Midwest Superconductivity Consortium
2,982,600
N. Iowa, University of; Center for Energy & Environmental Educ.
3,976,800
Center of Excellence
4,971,000
Ames: Technical and Admin. Services Facility
2,982,600
West Virginia University; planning of proposed Research Center
248,550
ENGINEERING AND GEOSCIENCES
Fort Hayes State University; Physical Science Center
$1,988,400
ADVANCED ENERGY PROJECTS
Louisiana Tech. University; Manufacturing Systems
Engineering Research Center
$745,650
Nebraska Univ. of; Nebraska Center for Science & Tech.
5,666,940
Diag. Instr. Anal. Lab., Miss. St. Univ.; Tech Transfer
3,976,800
Total-Basic Energy Science
$59,197,154
TOTAL CONGRESSIONALLY DIRECTED PROJECTS:
$141,557,433
a/ No amount specified, just language encouraging support
* EPSCoR, Experimental Program to Stimulate Competitive Research Programs
THE WHITE HOUSE
WASHINGTON
July 9, 1991
Dear Jim:
Many thanks for sending me the detailed breakdown of the "pork" in your
Department. I agree totally that it will be important to get equivalent numbers for
as many other departments as possible. Only by making very evident what is taking
place can we hope to in fact force a more rational distribution of Federal funding.
I much appreciate your help in getting this documentation and I am looking forward
to meeting with you in the very near future because there are a number of rather
important topics that we should discuss.
With warmest best wishes,
Sincerely yours,
Anan
D. Allan Bromley
The Assistant to the President
for
Science and Technology
The Honorable James D. Watkins
Secretary
Department of Energy
Washington, D.C. 20585
"CORRESPONDENCE TRACKING"
TYPE:
INFORMATION
DOCUMENT NUMBER: 9121165
FROM:
HILL, Chris: THE MANUFACTURING FORUM
TO:
DR. BROMLEY
DATE OF
CORRESPONDENCE: 04/17/91
SUBJECT: DISCUSSION PAPER ON TECHNOLOGY POLICY BY ERICH BLOCH
ASSIGNED TO:
ACTION REQUIRED:
SENDER'S DUE DATE:
OSTP DUE DATE:
DATE COMPLETED:
COPIES TO: D. Allan Bromley
Thomas Ratchford
Dr. Phillips
WHITE HOUSE TRACKING #:
CONTACT PERSON: PENNY GIBBS
REMARKS: Enclosures to DAB, TR, WP and the file.
Internation-
I
DATE RECEIVED: 04/18/91
FILE: TECHNOLOGY*POLICY
1121165
THE MANUFACTURING FORUM
National Academy of Engineering National Academy of Sciences
2101 Constitution Avenue, N.W.
Washington, D.C. 20418
91 APR 18 P4: 47
Telephone: 202/334-1579
FAX: 202/334-2290
BITNET: [email protected]
April 17, 1991
OFFICE OF THE
DIRECTOR
MEMORANDUM
TO:
Members of the Manufacturing Forum
FROM:
Chris Hill, Executive Director CTH/pg
RE:
Discussion paper on technology policy by Erich Bloch
Enclosed are five copies of the discussion paper by Erich
Bloch entitled "Towards a U.S. Technology Strategy: Enhancing
Manufacturing Competitiveness," " which returned to us from the
printer yesterday. You will recall that this paper was the
foundation for a discussion of U.S. technology policy that
Erich led at our January 11 meeting.
This is the first of a series of discussion papers
prepared for the Manufacturing Forum that we will issue on a
periodic basis. Each paper reflects the views of its author,
and we intend that the series will reflect a diversity of
viewpoints over time. The paper incorporates on the title
page a disclaimer of the responsibility of individual members
of the Forum, or of the Forum collectively, for the views
expressed in this paper.
The paper series is being distributed to several hundred
organizations and individuals from our office. Additional
copies in modest number are available from the Forum office by
calling Penny Gibbs at 202/334-1579.
Enclosures
The Manufacturing Forum promotes increased competitiveness of American manufacturing industries
through effective working relationships among government, industry, labor, and universities.
"CORRESPONDENCE TRACKING"
TYPE:
ACTION
DOCUMENT NUMBER: 9121063
FROM:
KUNZ, Daniel W.: JUNIOR ENGINEERING TECHNICAL SOCIETY
TO:
DR. BROMLEY
DATE OF
CORRESPONDENCE: 04/08/91
SUBJECT: REQUEST TO GENERATE TWO ARTICLES PER YEAR THAT
ADDRESS THE POLICY ISSUES AND PRO-CON ARGUMENTS
RELATED TO OSTP ENGINEERING RELATED INITIATIVES.
ASSIGNED TO: INTERNATIONAL/POLICY
ACTION REQUIRED: AS NECESSARY
SENDER'S DUE DATE:
OSTP DUE DATE:
04/24/91
DATE COMPLETED: 4/29/91
COPIES TO: D. Allan Bromley
Dr. Wong
Steve Olson
WHITE HOUSE TRACKING #:
CONTACT PERSON:
REMARKS:
P-INT- P- INT-
DATE RECEIVED: 04/10/91
FILE: POLICY
JELSE
9121063
April 8, 1991
DIRECTOR
SOCIET
Dr. D. Allen Bromley
00
Science Advisor To The President
The White House (OEOB)
JUNIOR ENGINEERING
Washington, DC 20506
TECHNICAL SOCIETY
1420 KING STREET
Dear Dr. Bromley:
SUITE 405
ALEXANDRIA, VA
22314-2715
Thank you for including JETS staff in your briefing. The
(703) 548-JETS
information was useful and has the potential for
generating a series of articles for the JETS Report
BOARD OF DIRECTORS
newsletter (samples enclosed).
PRESIDENT
CARVER C. GAYTON
JETS thinks that its newsletter provides the type of
The Boeing Company
PRESIDENT-ELECT
information that is needed by high school students as
RICHARD SCHINAGL
USX Corporation
they begin preparation for their careers. However, your
VICE PRESIDENT
presentation pointed out that we need to have another
MARK J. STRATTON
Society of Manufacturing Engineers
type of article in each issue (two per year).
SECRETARY/TREASURER
DONALD SCHROETER
Engineering Manpower Commission (AAES)
It is important that students begin to see both sides of
PAST PRESIDENT
JEANNE PERRY
each major issue and the implications of each view on
New Jersey Bell
national engineering policy decisions. For example, you
DIRECTORS
WILLIAM R. BUEHLER
mentioned six models for global warming--three which show
The Coca-Cola Company
CAROLI BURKE
one outcome and three which show the opposite. Students
Digital Equipment Corporation
are rarely exposed to factual pro-con arguments on issues
RICHARD COLE
United Technologies
like this. We believe the newsletter can be one forum
STEPHEN R. DAVIS
GMI Engineering & Management Institute
for this information.
RONNI DENES
National Action Council for Minorities in Engineering
ROBERT N. FAIMAN
Would it be possible for your office to generate two
Air Force Institute of Technology
JAMES D. GATES
articles per year (needed in July and March) that address
National Council of Teachers of Mathematics
THEODORE GOURLEY
the policy issues and pro-con arguments related to your
New Jersey Educational Information
and Resource Center
major engineering-related initiatives? These articles
EDWARD T. KIRKPATRICK
Wentworth Institute of Technology
would enable students to see the type of analysis and the
PAMELA KURSTEDT
complexity of the decisions made at our national level.
Virginia Polytechnic Institute and State University
GLEN L. MARTIN
CH2M HILL
ALFRED L. MOYE
We would devote one full page, possibly more, to your
Hewlett Packard Company
articles in each issue for as long as your office is able
EVELYN M.E. MURRAY
Society of Women Engineers
to provide them.
NEIL A. NORMAN
Bechtel National, Inc.
DONALDJ. QUIGG
Roper and Quigg
I look forward to your anticipated consideration of this
DAVID R. REYES-GUERRA
request.
Accreditation Board for Engineering and Technology
WILLIAM C. SALMON
National Academy of Engineering
WILLIAM L. SMITH
U.S. Department of Education
Sincerely,
CURTIS J. TOMPKINS
West Virginia University
MYRON U. TRENNE
Eaton Corporation
JAS
DONALD WEINERT
National Society of Professional Engineers
Daniel W. Kunz, Ed. D.
FRANKLYN D. WESLEY
Executive Director
B.T. Washington High School-Houston
HONORARY DIRECTORS
MICHAEL F. X. GIGLIOTTI
Consultant
PAUL H. ROBBINS
Tau Beta Pi
DANIEL W. KUNZ
Executive Director
JETS, Inc. A national, non-profit youth activity emphasizing engineering, technology, mathematics and science
"CORRESPONDENCE TRACKING"
TYPE:
INFORMATION
DOCUMENT NUMBER: 9121069
FROM:
CHAO, Elaine L.: DEPUTY SECRETARY OF TRANSPORTATION
TO:
DR. BROMLEY
DATE OF
CORRESPONDENCE: 04/08/91
SUBJECT: A COPY OF "A STATEMENT OF U.S. DEPARTMENT OF
TRANSPORATION RESEARCH & DEVELOPMENT POLICY."
ASSIGNED TO:
ACTION REQUIRED:
SENDER'S DUE DATE:
OSTP DUE DATE:
DATE COMPLETED:
COPIES TO: D. Allan Bromley
Thomas Ratchford
Michelle Van Cleave
WHITE HOUSE TRACKING #:
CONTACT PERSON:
REMARKS: Please note that although this is an INFORMATION item, please
forward any reactions or comments you may have. (Enclosure to
DAB)
Internat'l-
DATE RECEIVED: 04/10/91
FILE: POLICY*NATIONAL SECURITY
9121069
DEPARTMENT OF
THE DEPUTY SECRETARY OF TRANSPORTATIOND
WASHINGTON, D.C. 20590
UNITED STATES OF AMERICA
April 8, 1991
91 APR 10 P 5 : 11
OFFICE OF THE
DIRECTOR
Dr. Allan Bromley
Director, Office of Science
and Technology Policy
Executive Office of the President
Washington, DC 20506
Dear Allan:
I am enclosing a copy of A Statement of U.S. Department of
Transportation Research and Development Policy. This statement
is a key implementation element of the Statement of National
Transportation Policy, issued by the President in March, 1990.
We will be using the document within the Department as a guide to
program formulation by Research and Development (R&D) managers.
We also intend to give the document a fair amount of exposure
with the Congress, universities, the private sector, State and
local governments, and the transportation community-at-large. We
believe it provides a concise summary of the "ground rules" by
which the Department makes its R&D decisions in support of the
National Transportation Policy. Moreover, the Appendix to the
document provides a detailed agenda of priority areas for
research. We used this R&D Agenda last summer in a pilot project
to screen the Department's FY 1992 budget requests prior to their
submission to the Office of Management and Budget.
We believe this statement will help us assure effective
identification of R&D activities and efficient utilization of our
scarce R&D resources. I hope you find the document useful, and I
look forward to any reactions or comments you may have.
Sincerely,
Elaine L. Chao
Enclosure
cc: Members of the Federal Coordinating Council
for Science, Engineering, and Technology
U.S. Department of
Transportation
A STATEMENT OF
U.S. DEPARTMENT OF TRANSPORTATION
RESEARCH AND DEVELOPMENT POLICY
JANUARY 1991
Moving America
New Directions, New Opportunities
DEPARTMENT OF TRANSPORTATION
THE SECRETARY OF TRANSPORTATION
WASHINGTON, D.C. 20590
UNITED STATES OF AMERICA
January 22, 1991
STATEMENT OF THE SECRETARY OF TRANSPORTATION
When we issued the Statement of National Transportation Policy in March 1990, it was
the first step in a process designed to bring our transportation system into the next
Century. A key part of this process was to take full advantage of new and emerging
transportation technologies to help improve our current systems, and to provide new
options for improved transportation services.
This statement of research policy represents a key follow-on step in this process. It
expands on the principles set forth in the policy statement and describes how they apply
to the formulation of the Department of Transportation's research and development
(R&D) program. Equally important, it sets forth priority areas for research in the
transportation sector over the next several years, building on the directions set in the
policy statement.
Within the Department we have already used the principles and priorities in the policy
statement to evaluate FY-1992 budget proposals, and we will be using it in formulating
future budgets and programs. The Statement of National Transportation Policy creates
a framework that allows the Department to adjust and respond to changing problems
and challenges. This policy statement for research and development is designed to
provide the same flexible framework for the Department in technical areas.
Only the cooperative involvement of the entire transportation community -- Federal
agencies, state and local governments, the private sector, and all the others -- can deal
successfully with the problems we are facing. The cooperative relationships we forged
during the development of the policy represent the start of a new era in transportation
technical programs. I welcome your involvement in this exciting process.
K.
Samuel K. Skinner
Table of Contents
Statement of the Secretary of Transportation
i
Executive Summary
1
Introduction
3
Major R&D Policy Principles
3
Design Criteria for R&D Programs
10
Conclusion
11
Appendix: R&D Program Agenda
13
iii
A STATEMENT OF
U.S. DEPARTMENT OF TRANSPORTATION
RESEARCH AND DEVELOPMENT POLICY
EXECUTIVE SUMMARY
This document is designed to provide a
private sector investment.
broad policy base to support structuring a
sound and effective Departmental research
3. Keep the transportation industry
and development (R&D) program. It is
strong and competitive: will be
also to serve as a conceptual checklist for
supported by projects to promote
program selection and design, both for
competition in and across modes,
individual operating administrations in
reduce system costs and foster the
development of their R&D programs, and
Nation's international
at the Departmental level in the
competitiveness.
crossmodal review of submitted budgets.
4. Ensure the transportation system
The U.S. Department of Transportation's
supports public safety and national
R&D program is one mechanism to help
security: will be supported by
carry out the Departmental mission. The
projects to reduce the risk and
Statement of National Transportation
severity of accidents in individual
Policy (the NTP) issued in March 1990
modes and across modes, and
provides critical strategic guidelines for the
maintain the security of the Nation,
Department in executing that mission.
its transportation system, and that
The NTP presented a set of six key themes
system's users.
which the Department's programs and
activities serve. Each of these has specific
5. Protect the environment and the
implications for the conduct of research
quality of life: will be supported by
projects:
projects to minimize the adverse
impacts of transportation operations
1. Maintain and expand the Nation's
and facilities, conserve energy and
transportation: will be supported by
protect natural resources, and
projects to improve the capacity,
enhance transportation access and
condition, and utilization of existing
quality of life for all.
transportation systems and
infrastructure.
6. Advance U.S. transportation
technology and expertise: will be
2. Foster a sound financial base for
supported by projects to develop,
transportation: will be supported by
evaluate, and permit realization of
projects to develop innovative
technological advances in
approaches to public, joint, and
transportation operations,
private funding of transportation,
management, data and planning.
assess existing mechanisms for
funding transportation, and promote
R&D undertaken by the Department to
1
address these concerns should be shaped
mechanisms to promote
by several key principles for program
dissemination and application of its
development:
products.
1. It should be responsive to the
This document also provides detailed
directions established and the
design criteria for the R&D projects to be
commitments made in the Statement
undertaken:
of National Transportation Policy.
1. Base R&D program plans, to the
2. It should consider the potential
degree possible, on defined and
users and problems involved in
measurable goals.
applying R&D outputs in program
selection and design.
2. Recognize that each transportation
mode or technology is a part of a
3. A portion of the research program
system.
should be directed to supporting
the Department's operational
3. Design programs, when possible, to
missions.
be carried out and built upon
incrementally.
4. A portion of the research program
should be directed to improving the
4. Provide for effective management
quality of transportation decisions
of ongoing research.
in the Department and the
transportation community.
5. Provide for interaction with, as well
as input and response to, the
5. A portion of the research program
implementation process.
should be directed to stimulating
action by the private sector,
6. Have a strategy for disengagement.
particularly in demonstrating the
market for new technologies.
A detailed agenda of priority areas for
research is included as the Appendix to this
6. The program should balance
document. It enumerates specific R&D
meeting short-term needs and
efforts required by, or needed to support,
providing longer term options for
the policy statement. Highlighted topics
system development.
and technologies include construction
techniques, safety and human factors,
7. The program should focus on
radionavigation (especially the Global
projects that are wise investments,
Positioning System or GPS), congestion
i.e. whose potential benefits are
management, technology's link with
greater than their costs.
productivity and competitiveness, intelligent
vehicle/highway systems, magnetic
8. The program should include
levitation and high speed ground
mechanisms to manage research
transportation, transportation data,
programs effectively and prevent
simulation and modeling techniques,
duplication.
hazardous materials packaging, the
environment, and energy. The process of
9. The program should provide for
technology transfer is also highlighted.
2
INTRODUCTION
This paper provides a broad policy base to
quality of life.
support structuring a sound and effective
6. Advance U.S. transportation
departmental R&D program, building on
technology and expertise.
the Statement of National Transportation
Policy.¹ It also describes criteria for
The DOT Research and Development
program selection and design, both for
(R&D) program is one instrument for
individual operating administrations in
carrying out the departmental mission. It
development of their R&D programs, and
provides a mechanism to explore new
at the Departmental level in the
technologies and operating options, and
crossmodal review of budget proposals.
improve existing systems and operations.
The R&D program supports all the themes
The mission of the U.S. Department of
of the policy statement to some degree. In
Transportation (DOT) is to provide for
addition, the DOT R&D program is the
"the development of national transportation
key channel through which the Department
policies and programs conducive to the
supports the sixth theme of advancing U.S.
provision of fast, safe, efficient, and
technology and expertise.
convenient transportation at the lowest
cost consistent therewith and with other
Included as an appendix is an R&D
national objectives, including the efficient
Program Agenda developed from
utilization and conservation of the nation's
commitments in the policy statement. It
resources." The services are "to be
indicates activities that appear to be of
provided by private enterprise to the
high priority at the present time. This list
maximum extent feasible."2
can assist officials in screening potential
R&D activities during budget and program
The Statement of National Transportation
review processes. The Agenda may change
Policy (the NTP), released in March 1990,
as R&D efforts are concluded, new
set directions for the future, created a
problems or priorities emerge, or new
framework for Departmental programs and
opportunities need to be explored.
decisions, and identified critical strategies
for action. It presented six key themes the
MAJOR R&D POLICY PRINCIPLES
Department's programs are designed to
serve:
The payoff of investment in transportation
R&D must compare favorably with that of
1. Maintain and expand the Nation's
other alternatives. Resources are scarce,
transportation system.
and R&D competes with other avenues for
2. Foster a sound financial base for
investment by the Department in achieving
transportation.
its overall mission. It is important for
3. Keep the transportation industry
DOT's R&D managers to make the
strong and competitive.
purpose and payoff of their programs as
4. Ensure that the transportation
visible, measurable, and focused as they
system supports public safety and
can.
national security.
5. Protect the environment and the
Careful selection of R&D to be undertaken
3
is critical. Attempting to solve all
innovative approaches to public,
transportation problems simultaneously
joint, and private financing of
only serves to dilute the attention and
transportation, assess the public and
resources applied to the important ones.
private benefits of existing funding
The whole purpose of establishing
options, and promote private sector
priorities is to assure that programs focus
investment.
on the significant problems and
opportunities. The policy statement
3. Keep the transportation industry
provides the basis for determining priority
strong and competitive - will be
areas to emphasize.
supported by research to develop
and evaluate operational techniques
DOT makes direct use of its own R&D in
to reduce costs, promote
formulating regulations, standards, and
competition in and across modes,
policies in its various operating
and foster U.S. transportation
administrations. DOT's R&D also
industry competitiveness in the
supports the operating functions of the
international market.
Federal Aviation Administration (FAA)
and Coast Guard. Another portion of the
4. Ensure that the transportation
Department's R&D serves local, state,
system supports public safety and
regional and private interests and
national security - will be supported
individuals in and outside the
by research to reduce the risk and
transportation community.
The
severity of accidents and casualties
Department's renewed attention to
in individual modes and across
promoting effective implementation
modes, maintain national security
processes as part of R&D programs has
(including interdiction and control
important implications for selecting R&D
of illegal drugs and assuring
projects.
availability of needed energy and
other resources in emergencies), and
It is DOT R&D Policy that the R&D
maintain the security of
programs undertaken by the Department
transportation passengers.
be responsive to the directions established
and the commitments made in the
5. Protect the environment and the
Statement of National Transportation
quality of life - will be supported by
Policy. Each of the six key themes of the
research on means to minimize the
policy statement implies the conduct of
adverse impacts of transportation
specific R&D efforts to support them:
operations and facilities, to conserve
energy and protect natural
1. Maintain and expand the Nation's
resources, and enhance
transportation systems - will be
transportation access and quality of
supported by research to improve
life for all.
the capacity, condition, and
utilization of existing transportation
6. Advance U.S. transportation
systems and infrastructure.
technology and expertise will be
supported by research to develop,
2. Foster a sound financial base for
evaluate, and permit realization of
transportation - will be supported by
technological advances in
research to develop and test
transportation and supporting
4
technologies, as well as innovative
key to the implementation of some new
approaches for operations,
technologies, and as such are especially
management, data and planning.
important. The policy statement calls for
the Department to "encourage State and
A more detailed elaboration of specific
local governments to make use of
research initiatives in support of the policy
innovative financing and funding options
statement is included in the R&D Program
for transportation to supplement more
Agenda attached as the Appendix to this
conventional sources of funds, for example,
document.
joint public-private initiatives, benefit
assessments on property owners, joint
It is DOT R&D policy that the selection
development rights, and other means for
and design of R&D programs include
capturing the value of transportation
consideration of the potential users and
projects [NTP Page 57]."
problems involved in applying the outputs
of that R&D. This includes clear definition
In addition to funding, the scarcity of
of the likely users of products resulting
energy and other resources necessary for
from research, the needs of those users, the
system implementation will affect the
criteria and constraints that will dominate
implementation potential of future systems.
their implementation decision (including
In this light, new systems are inherently
the source[s] of funds for implementation),
more desirable if they do not require
and the alternatives available to fund
dependency on outside parties for energy
system implementation. The benefits of
resources, or if materials in short supply or
new technologies are unattainable if the
of high cost are not necessary to bring
options are unworkable in an operational
them to operation. Even significant
environment, or no resources are available
advantages in a system's operational
to finance application.
performance may be outweighed by the
lack of key resources (energy or other
Implementation of the results of research
kinds) necessary to construct or operate the
and development activities is generally a
system.
long term process. Therefore, in
considering a proposed R&D investment,
Failure to diligently assess future
the probable (and possible) future
implementation conditions leads to at least
operational environment should be noted
two kinds of traps. First, an R&D program
along with present constraints. For a
can be initiated which requires, for
development expected to be operational in
implementation and deployment, the future
a particular time period, a view of the
expenditure of resources that are not likely
possible circumstances that will exist at that
to be available. There may then be
time should be the backdrop for decision
pressure to deploy the operational system
making. Effective strategic planning, taking
components using whatever funding is
into account both anticipated conditions
available, including R&D funding. In the
and priorities, thereby supports effective
worst case, this leads to Federal hardware
R&D program development. The policy
procurement, such as ordering an excessive
statement commits the Department to
number of "prototypes," as the last stage of
better use of strategic planning and
an R&D effort. This is to be avoided.
management processes [NTP Page 125].
Second, R&D projects may be proposed
simply to obtain a very short term benefit,
Innovative financing approaches may prove
and then may set a precedent for future
5
Federal involvement in an area that is not
Policy makes this observation:
a Federal policy interest. Both possibilities
underline the need for the users of the
DOT is in the best position to provide
R&D to be identified, along with a method
leadership in identifying transportation
of transferring responsibility for R&D
data needs; assuring that essential data
implementation to them.
needs are met effectively and
efficiently; developing improved
It is DOT R&D Policy to conduct the
analytical techniques for applying data
necessary R&D to support the
and carrying out informed
Department's operational missions. The
transportation planning and
Department must uphold its commitment
decisionmaking; and encouraging the
to identify and make effective use of the
dissemination of data, analytical
specialized equipment and knowledge to
methods, and information systems
support the Department's operating
technology among State and local
responsibilities, most notably in the Coast
governments, private industry, and other
Guard and the FAA. The DOT must
research and educational institutions
develop its own equipment to support
[NTP Page 112].
operational missions when the size of the
potential market or the degree of
In this area, it is important that work to
developmental risk is such that the private
improve transportation decision-making
sector is not stimulated to provide needed
be carefully planned to avoid duplicating
equipment.
or discouraging private sector activities on
the same topics.
Development and prototype testing of
specialized hardware to meet DOT needs
It is DOT R&D Policy to conduct
are important parts of our R&D efforts.
appropriate R&D projects to stimulate
Procurement of developed hardware for
action by the private sector, particularly
operational use is not an appropriate use
in terms of demonstrating the market for,
of R&D funds.
or applicability of, new technologies.
Federally-supported operational tests of
It is DOT R&D Policy to conduct R&D
new technologies can be justified to
projects whose objective is to improve the
evaluate new options and obtain knowledge
quality of transportation decisions by the
about them not available any other way.
Department and the transportation
Such activities also are appropriate to
community. R&D can supply objective
stimulate private sector interest to extend
knowledge to support regulation and policy
development of these options. Research
development, both within the Department
of this type may also facilitate proper
and at other levels of government. Sound
consideration of these options in
regulations and policies must be formulated
implementation decisions. Federal
based on accurate and complete facts.
involvement in operational trials of
R&D is one mechanism for obtaining
intelligent vehicle/highway systems (IVHS)
them. R&D may be appropriate even
illustrates this policy.
when information is already available, if
there is doubt as to the completeness or
Operational tests are one element of a
accuracy of the existing information.
broader set of approaches to promote
private sector involvement in development
The Statement of National Transportation
and implementation of new systems. The
6
Statement of National Transportation
becomes clear that greater security will
Policy notes this:
be required for U.S. firms to enter such
productive joint ventures, the Federal
The Federal Government can help to
Government will examine legislative
focus the attention and energy of the
and administrative remedies for
public and private sectors on the
fostering efforts that can reinforce U.S.
importance of advances in
competitiveness in the world market,
transportation for the Nation's future.
without harming competition and the
By encouraging transportation research,
interest of consumers [NTP Page 104].
offering seed money, and preserving tax
incentives for research, the Federal
In some cases, the benefits of conducting
Government can create the climate for
research cannot be captured by a U.S. firm
research and innovation.
The
when competing in international markets.
Department's sponsorship and funding
The Statement of National Transportation
can also help attract broader
Policy observes this:
involvement in the effort [NTP Page
104].
Particularly where the benefits of
investment in research and
The need for Federal R&D can be reduced
development would accrue beyond an
if impediments to private sector
individual firm, there is little incentive
involvement and the efficient working of
for a single firm to undertake a
market mechanisms can be alleviated by
research project on its own. Frequently
changes in regulatory, patent, antitrust,
U.S. firms are competing with foreign
tax, or other policies. Assistance in
firms or consortia whose research
defining markets to increase potential
activities are at least in part subsidized
profit can also promote private investment.
by their governments. To assure the
In general, mechanisms to stimulate
viability and technological
financial health and innovative
competitiveness of the U.S.
management by private parties in
transportation industry, its customers
transportation decrease the need for
and suppliers, some additional steps
Federal R&D, and ultimately the need for
may be required to foster research
Federal involvement.
efforts in this country [NTP Page 104].
Cooperative public/private ventures also
It is DOT R&D Policy to structure an
promote competition and innovation. The
R&D program, both for each operating
Statement of National Transportation
administration and Department-wide, that
Policy elaborates on this:
reflects a balance between meeting short-
term needs and providing longer term
Cooperative agreements for research
options for system development. The
can help all the members of the
Department must weigh addressing short-
transportation community to contribute
term regulatory and operational needs
to funding research and increase the
against developing future options. The
payback from transportation research
pressure for short-term payoff is great.
activity. Most cooperative ventures in
There is a strong temptation to eliminate
the private sector to develop new
longer-term oriented research items in
technology are not at risk of violating
times of fiscal austerity, and to leave it to
federal antitrust laws. If, however, it
the private sector to address them.
7
However, at least a limited amount of
is less certain, or smaller, the Federal role
government R&D should always be
must often be to take part in or initiate
oriented toward establishing technological
the higher risk ventures. In addition, some
building blocks for future systems. These
research impacts are particularly hard to
programs should be undertaken even
quantify: in safety projects directed at
though the estimation of their payoff is
saving lives, it is difficult and
difficult.
uncomfortable to place dollar values on the
lives saved. Considering these things, high-
For longer-term concepts, there may be no
risk, high cost, and long lead time to
definable customer as yet with whom the
realize a return are three factors that often
private sector can interact. Some transport
drive a call for Federal funding over
concepts require the creation of institutions
private sector funding.
that do not now exist, or expansion of the
scope of authority of existing institutions.
There is no simple method for establishing
Under such circumstances, the pace of
that benefits of conducting R&D outweigh
innovation is likely to be very slow. In
its costs, so assessing the cost-effectiveness
such cases, state-level mechanisms may
or prudence of a Federal research
evolve to accelerate the process. Federal
investment is often highly judgmental. All
stimulus to private initiative may be
costs and all benefits, both external and
appropriate if speeding the process beyond
internal, should be considered.
that is deemed beneficial.
Quantification is desirable, but inability to
quantify relevant factors does not decrease
It is DOT R&D Policy to focus its R&D
their importance. Purely qualitative
resources on projects that are wise
rationales also may be necessary and
investments: i.e. whose potential impacts
useful.
or benefits are greater than the costs
associated with pursuing the research.
The Department should avoid pursuing
This does not mean that research projects
R&D if there is evidence that other
undertaken will necessarily be low-risk.
approaches to achieve the same benefit,
Research, by its nature, has an uncertain
such as regulation or legislation, would be
outcome. Any overall benefit of R&D
more efficient or involve lower costs.
activities is conditional on success of the
research portion even before considering
It is DOT R&D Policy to assure that
whether the product of the R&D can or
appropriate mechanisms exist for the
will be put into operational use.
management of the Department's R&D
program to promote effectiveness and
Research is an up-front cost of any
reduce duplication. One of the major
operating system, and its benefits are
vehicles to accomplish this has historically
usually realized only many years thereafter.
been the Department's Research and
The normal discounting process often
Development Coordinating Council.
results in a present value for research that
Chaired by the Research and Special
discourages private investment in R&D.
Programs Administrator, it consists of the
Associate Administrators for R&D (or
In large measure, the low- risk, high or
similar position) from each of the operating
immediate payoff R&D will be done by the
administrations in the Department. The
private sector. However, when the likely
Council provides a forum to share
payoff to an individual company or interest
information on the conduct and status of
8
research and development efforts, and to
general terms, with the R&D programs of
advocate effective technical program
other Federal agencies. The current
development in the Department.
vehicle for this is the Federal Coordinating
Council for Science, Engineering, and
The primary role of the Council is
Technology (FCCSET). In particular,
coordinative in nature. Agency
development of transportation systems
administrators have the duty to advise the
ultimately affects energy use, regional
Secretary of what support they need to
development, climate and environment, and
fulfill their regulatory and operational
a wide range of societal factors. The
responsibilities. The Council provides
Department needs to be sure that the
backup to them in this role: it provides a
transportation R&D choices it makes
Departmental, crosscutting perspective on
support national goals for energy
technical issues to the officials the
independence, national competitiveness,
administrators have entrusted with
environmental quality, and other
formulation of R&D programs.
crosscutting concerns.
The recommendations of the Council are
It is DOT R&D Policy to provide for
implemented by each of the individual
mechanisms to disseminate and promote
administrations acting through their own
the application of the results of its
programs. This reflects the importance for
research activities as part of the overall
organizations or individuals to have the
R&D management process. This includes
authority to effectively carry out a research
formal technical assistance/technology
program, and be held accountable for
sharing activities, either integrated with the
program performance.
research projects themselves, or conducted
as support to the R&D programs. The
A key role of the Council in the future will
varied activities of DOT's Federal Highway
be coordinating projects to develop
Administration (FHWA), which has
"generic" technologies or knowledge with
emphasized the topic of research
multimodal applicability. The Statement
implementation or technology application
of National Transportation Policy, for
for years, are a model in this area,
example, commits the Department to a
government-wide. FHWA's work includes
coordinated program of research on human
development of technical briefs, summary
factors. Council activities will be essential
documents on technology advances, direct
to an effective program. More broadly, the
assistance through a network of technology
Council will assure that the research
transfer centers in the field, and a wide
commitments in the policy statement are
range of training courses and packages.
addressed.
The Statement of National Transportation
Whether through the present mechanisms,
Policy gives this area explicit emphasis:
or through different management channels,
the cross-modal coordination of technical
It is Federal transportation policy
program development among the agencies
to make Federal transportation data,
and offices in DOT must occur.
research findings, and information on
technology and innovation in
In addition to coordination within the
transportation available to researchers,
Department, the development of DOT's
industry, and all levels of government
research should be coordinated, in at least
[NTP Page 105], and,
9
disseminate discoveries too broadly in
It is Federal transportation policy
those projects. Any public-private efforts
to promote adoption of new
undertaken should define the conducting
technologies and reassert U.S.
firm's rights clearly and explicitly before
international technical leadership in
the initiation of any project.
transportation by fostering increased
awareness of and interest in research
DESIGN CRITERIA FOR R&D
and development activities [NTP Page
PROGRAMS
105].
In designing projects to address specific
A specific initiative is proposed in the
R&D needs, general guidelines are needed
policy statement's Short-Term Program
to assure a useful output from the effort.
Agenda to accomplish this:
These guidelines are applicable to almost
any kind of research to be undertaken:
To promote new transportation research
and development that will advance U.S.
1. Base R&D plans, to the degree
technology and support an improved
possible, on defined and measurable
transportation system, the Department
goals.
will restructure the Department's
program of technical assistance and
Where it is practical and meaningful,
technology sharing to more effectively
desired results should be translated into
support State and local decisionmaking
quantitative and measurable terms.
on present and advanced systems,
The goal selected should be a realistic
particularly with information on
vision of an output against which a
innovative funding approaches [NTP
program's progress can be evaluated.
Page 124].
The goals should be a considered
estimate of what is achievable with the
Transfer of technical findings on an issue
available time and money, at the
to other Federal agencies dealing with that
accepted risk.
same issue can be particularly important.
It helps reduce unwarranted duplication of
2. Recognize that each transportation
effort, and promotes more consistent,
mode or technology is a part of a
enlightened treatment of issues on an
system.
interagency basis.
The Department needs to recognize
In projects with the private sector, the issue
that all the operational elements of
of intellectual property and possible patents
transportation technology that result
resulting from discoveries funded or partly
from its support of R&D must
funded by DOT-sponsored research must
ultimately work together as a system.
be dealt with early in a project. Private
Each R&D program must, therefore,
participants in joint public/private R&D
recognize interface requirements of its
efforts will be concerned about the rights
products with other system elements.
to patents emerging from the work. To
This emphasizes the importance of
improve the prospects for a technology's
keeping up an ongoing technical
effective completion and application, the
dialogue with other relevant programs,
Federal government must be careful not
both inside and outside DOT. Again
to hold patent rights too closely or
the Department should depend first on
10
the private sector in evolving
technological and other improvements,
6. Have a strategy for disengagement.
but can help foster the necessary
improvements.
Research plans should include
strategies to end Federal involvement
3. Design programs, when possible, to
if the research is successful and the
be carried out incrementally.
results can be efficiently carried
forward by other parties, or if
R&D programs should be designed so
deviations from plan or new knowledge
that small amounts of money can be
reduce the potential benefit of the
spent initially establishing the feasibility
research to an unacceptable level.
of a particular technical approach
Criteria for making such determinations
before additional steps and larger
should be developed as part of the
expenditures are devoted to long term
initial design and planning for a
research and development.
research program.
4. Provide for effective management
By its very nature, research is frequently
of ongoing research.
unpredictable both in terms of progress
and outcome. The concept of
R&D programs should be tightly
accountability is essential, but the
managed to assure that they meet
accountability must be for diligence in
clearly established deadlines. The
pursuing the project and evaluating its
programs need to have specified
progress as it proceeds, rather than strictly
milestones when evaluations are
for its ultimate success. Researchers must
performed to determine if the program
be encouraged to report early if a
should proceed, and, if so, what changes
particular line of pursuit is not paying off,
need to be made.
and to recommend cutting losses by
adjusting or terminating the project.
5. Provide interaction with the
implementation process.
CONCLUSION
R&D plans must ensure appropriate
The nation's transportation future depends
interaction between those conducting
on continued transportation related R&D.
the research and those who will decide
The Federal Government must work to
whether or not to go forward with the
promote creativity and imagination in
research products. This requires
developing, adopting and promoting new
explicit consideration of the process of
technologies and operational options to
making research information available
keep America's transportation system at a
to its ultimate users in useful form:
high level of service and safety. By
technology sharing and application.
pursuing this R&D Policy, the Department
The planning for any research and
will be supporting the directions set forth
development effort must include
in the Statement of National
mechanisms and processes for sharing
Transportation Policy, and contributing to
the results of the research, and for
the economic and social goals of this
R&D program managers to reach out
country.
to potential users for input and
feedback.
This also provides leadership in a key area
11
of national interest, as noted in the U.S.
Technology Policy.3
This [transportation] R&D is aimed at
maintaining a modern, efficient
transportation infrastructure, an
essential factor in being industrially
competitive.
The rewards from this kind of leadership
can be great, as the Statement of National
Transportation Policy observes:
The Federal Government can serve as
a leader and a catalyst for research,
innovation, and expertise. From the
increased interest in advances in the
transportation field and corresponding
creative and technological resources
drawn to transportation, the Nation will
long reap the benefits of rising
productivity and competitiveness and an
enhanced quality of life [NTP Page
102].
1. Moving America: New Directions, New Opportunities. Volume 2, A Statement of
National Transportation Policy, Strategies for Action; U.S. Department of Transportation;
Washington, D.C.; February 1990. (referred to as the policy statement or the NTP
throughout this statement).
2. Public Law 89-670, October 15, 1966 (DOT Act).
3. U.S. Technology Policy. Executive Office of the President, Office of Science and
Technology Policy; Washington, D.C.; September 26, 1990
12
Page 46].
APPENDIX
R&D PROGRAM AGENDA
Test alternative options and
management techniques to enhance
The Statement of National Transportation
performance and capacity of existing
Policy includes a variety of commitments
infrastructure, such as HOV
in technical fields, both to specific R&D
techniques, traffic control
and to other initiatives which will require
improvements, and other low-cost
associated research. These areas will be
strategies to reduce overall
particularly important to the Department,
congestion [NTP Page 49].
and must be highlighted in the
Department's technical program
Improve vehicle control and
development efforts. The areas are listed
scheduling techniques for complex
below, under each of the themes they are
and multiple use transportation
associated with:
facilities, such as waterways, harbors,
rail lines, intermodal terminals, and
1. Maintain and Expand the Nation's
national space launch ranges [NTP
Transportation System
Page 49].
The investment in our existing
Experiment with peak-period and
transportation facilities must be
congestion pricing to ensure the
protected. Efforts must include
most effective use of transportation
strategies to increase capacity and
facilities [NTP Page 49].
reduce congestion while seeking new
avenues to provide new links in today's
Develop design techniques for
intermodal networks. DOT sponsorship
improved multimodal facilities and
of research in the following areas is
improved transfer techniques
therefore appropriate:
between modes [NTP Page 51].
Evolve new materials, and more
Develop more efficient
sophisticated techniques for
transportation services for rural
infrastructure preservation through
areas to better connect them to
pavement, bridge, and other
higher density areas, improving
facilities management programs
safety and making appropriate use
[NTP Page 46].
of the private sector [NTP Page
51].
Develop improved designs and
techniques to resist or counter the
o
Develop and refine alternatives
effects of wear or damage to
analysis and preliminary engineering
bridges, reinforcing structures, and
techniques used to assure that
other transportation facilities [NTP
essential new capacity is provided
Page 46].
in transportation systems of national
significance [NTP Page 53].
Develop techniques to deal with
damage to transportation facilities
o
Develop and improve techniques to
from weather, corrosion, natural
conduct multimodal assessments of
disasters, and other causes [NTP
needs for investment or increases in
13
transportation system capacity [NTP
competition, efficient operations, and a
Page 53].
healthy and sound transportation
industry. Equitable government
2. Foster a sound financial base for
treatment of carriers and all modes of
transportation
transportation must be encouraged,
along with effective standards for
The Department's R&D programs must
handling and exchange of traffic and
examine the full range of traditional
billing information. Legislative,
and non-traditional financing
regulatory, and administrative measures
approaches. Reasonable public
must be evaluated, particularly with
expenditures, supplemented by creative
regard to reinforcing U.S.
private investment, can support
competitiveness in the world market,
implementation of needed
and at the same time protecting the
transportation alternatives and facilities.
interests of consumers. DOT
DOT sponsorship of research in the
sponsorship of research in the following
following areas is therefore appropriate:
areas is therefore appropriate:
o
Continue experimentation with
Develop more efficient and lower
innovative financing techniques,
cost techniques to maintain transit
especially those drawing their
facilities and equipment [NTP Page
effectiveness from value capture
63].
approaches around intermodal and
multimodal facilities and use of
Develop information base to support
public/private partnerships to
informed decision making on high-
leverage investment [NTP Page 57].
speed rail and maglev systems [NTP
Page 66].
Conduct projects to encourage state
and local governments to apply
Continue research to improve safety
innovative financing and funding
of general aviation operations [NTP
options, especially joint development
Page 66].
at transit stations, terminals, park
and ride facilities, and
Conduct research into reliever
administrative facilities [NTP Page
airport concepts for use by general
57].
aviation [NTP Page 66].
Continue experimentation with
Monitor and evaluate the operation
private sector funding of key
of alternative types of space launch
transportation facilities, and
facilities and systems [NTP Page 68].
techniques to promote
public/private cooperation in
Develop techniques to help
transportation [NTP Page 59].
standardize domestic transportation
equipment, billing, and electronic
3. Keep the transportation industry strong
data interchange on a multimodal
and competitive
basis [NTP Page 72].
The Department must identify measures
Develop uniform standards for
which contribute to effective
container sizes and documentation
14
of international cargoes [NTP Page
needed supplies of energy and other
72].
resources during national emergencies.
DOT sponsorship of research in the
Foster development of local tools
following areas is therefore appropriate:
for ensuring compatible land use
around airports [NTP Page 75].
Compile/expand multimodal data
on transportation accidents [NTP
Increase international exchange of
Page 82].
transportation technology with
emphasis on technologies which can
Develop necessary data to allow
be applied by U.S. carriers to
review of new designs for
increase their competitiveness [NTP
transportation vehicles to detect
Page 78].
safety problems [NTP Page 82].
Conduct research on enhancing a
Experiment with alternative
cooperative work environment in
approaches for assuring and
transportation, and improving labor
improving pedestrian safety [NTP
and management performance and
Page 85].
productivity in the transportation
industry [NTP Page 80].
Develop new engineering standards
and signing systems to promote safer
Conduct cooperative projects with
design and maintenance of highway
transportation companies,
systems [NTP Page 85].
universities, and the private sector
to develop and test specialized
Continue experimentation with ways
programs for training transportation
to promote more effective
personnel at all levels [NTP Page
enforcement of laws and regulations
80].
governing speed limits, motor carrier
safety, drunk and drugged driving,
Develop options for improved
and use of safety belts, child safety
personnel support systems, including
seats, and motorcycle helmets [NTP
recruitment and training, for high-
Page 85].
skill Federal transportation positions
[NTP Page 80].
Undertake a comprehensive
program of human factors research
4. Ensure that the Transportation System
and apply the results to improving
Supports Public Safety and National
technology, training, and procedures
Security
[NTP Page 87].
Safety considerations must always be
Conduct necessary R&D to maintain
addressed in the transportation
a strong and effective Coast Guard
development and operations process.
to protect life and property in
Measures must be developed for existing
maritime environment, including
and emerging systems and operations to
search and rescue capability [NTP
protect the traveling public from harm
Page 88].
or injury both from internal and external
forces. This includes maintaining
Develop technology for improved
15
navigational aids and Marine Vessel
resources of the Departments of
Traffic Systems to guide and control
Defense and Transportation [NTP
ship movements [NTP Page 89].
Page 94].
Develop approaches to improve
Develop forecasts of future defense
safety and security of public
transportation requirements, and
transportation systems, including
establish priorities among them
anti-substance abuse programs,
[NTP Page 94].
safety standards, and improved
safety training [NTP Page 90].
Develop techniques to maintain
Coast Guard surveillance on and
Develop techniques to improve
over the waters to interdict illicit
safety including monitoring and
drugs coming from other countries
safety enforcement for railroad
to U.S. shores [NTP Page 94].
track, equipment, and operations
[NTP Page 90].
Develop techniques to assist in
reducing illegal drug traffic moving
Develop technologies to improve the
on the nation's transportation
efficiency and quality of pipeline
system, including the highway,
inspection and enforcement activities
aviation, maritime, and railroad
[NTP Page 90].
systems [NTP Page 94].
Compile hazardous materials
Develop and improve technologies
transportation data across all modes
to assure effective screening of
to identify potential safety problems
passengers and cargoes at
[NTP Page 91].
international airports [NTP Page
95].
Develop effective hazardous
materials regulation, enforcement,
Develop approaches to assess
and preparedness strategies to deal
vulnerability of ports, terminals, and
with evolving materials and
other facilities, and improve physical
technologies [NTP Page 91].
security against terrorism and
criminal acts [NTP Page 95].
Develop data to reorient hazardous
materials packaging standards to be
5. Protect the Environment and Quality of
based on performance criteria,
Life
rather than detailed design
specifications [NTP Page 91].
Environmental considerations must be
addressed early in the process of
Identify and periodically update an
developing new transportation systems
integrated multimodal strategic
and other options. They must also be
transportation network, including a
part of the decision-making process at
full inventory of defense essential
all levels during the construction,
facilities, vessels, and vehicles, and
operation, and maintenance of
a comprehensive data base providing
transportation systems and facilities.
information on their condition and
The Federal Government must provide
location in the system, using the
leadership in protecting our natural
16
resources for future generations while
Explore the costs and benefits of
stimulating private interests to develop
stricter regulation of loading and
more energy efficient and
unloading oil shipments at shoreline
environmentally safe systems. DOT
docks in comparison to alternatives
sponsorship of research in the following
such as additional private sector
areas is therefore appropriate:
deepwater offshore loading facilities
[NTP Page 99].
Develop approaches to help urban
areas meet the requirements of the
Foster development and use of more
Clean Air Act Amendments,
fuel-efficient vehicles and
including alternative fuels,
transportation operations [NTP Page
innovative propulsion systems, and
100].
innovative enforcement activities
[NTP Page 97].
Develop technological improvements
and design criteria to promote
Participate in national and
improved accessibility of the elderly
international reviews of, and
and handicapped to urban, rural,
research on, transportation-related
and intercity transportation services
environmental issues, such as global
[NTP Page 101].
climatic change [NTP Page 97].
o
Develop improvements in
Develop improved facility design
standardized signs and passenger
techniques to fit new construction
information services to facilitate
more harmoniously into
use of airports and passenger
communities and the natural
terminals by their patrons [NTP
environment [NTP Page 97].
Page 102].
Develop improved and more
6. Advance U.S. Transportation
consistent contingency planning
Technology and Expertise
procedures to respond to oil spills
[NTP Page 99].
The transportation system faces
challenges and demands that will
Assemble information to develop a
require increasing knowledge and
strategy to assure the safe transport
technological advances. Technical
of crude oil and petroleum products,
expertise and improved data collection
including vessel design, shipping
devices and services must be developed
lane and vessel traffic control
and nurtured to deal with the demands
requirements, and transloading
of the next century. DOT sponsorship
operations, considering new
of research in the following areas is
technology and changing shipping
therefore appropriate:
patterns [NTP Page 99].
Conduct research to improve the
Conduct a study of oil tank ship
capabilities and applicability of
design, including an assessment of
radionavigation systems to check the
the benefits of double bottom and
position of vehicles and cargoes in
double hull design [NTP Page 99].
the air, on the highways and
railroads, and in shipping lanes,
17
including the satellite-based Global
transportation avalable to
Positioning System (GPS) [NTP
researchers, industry, and all levels
Pages 18, 103].
of government [NTP Page 105].
Conduct cooperative research efforts
Promote adoption of new
with the transportation industry to
technologies and reassert U.S.
develop innovative approaches for
international technical leadership in
transportation systems and
transportation by fostering increased
technology [NTP Page 104].
awareness of and interest in
research and development activities
Conduct a comprehensive research
[NTP Page 105].
program on human factors in
transportation, including the causes
Conduct and/or stimulate private
of transportation accidents and the
sector action to develop an effective
effects of operator impairment,
intercity transportation option for
perceptual errors and fatigue, as
use in trips of 200 to 500 miles:
well as design and operating changes
specifically consider maglev and
that can eliminate or reduce those
tiltrotor systems as options [NTP
effects [NTP Page 105].
Page 106].
Continue research on improvements
Evolve a coordinated interagency
in design and operation of existing
program to develop motor vehicle
vehicles and transportation systems
systems that will be safer, more
[NTP Page 105].
environmentally benign, and lower
in energy consumption, without
Assess the feasbility of new
compromising basic mobility,
transportation systems and
industrial competitiveness, or
technologies, providing seed money
standard of living [NTP Page 107].
for research as necessary [NTP Page
105].
Develop an integrated program of
research and development for
Develop approaches to ensure that
Intelligent Vehicle/Highway
regulatory and institutional barriers
Systems, including personal vehicles,
do not impede implementation of
motor carriers, and public
viable new technologies [NTP Page
transportation [NTP Page 108].
105].
Conduct necessary research to
Conduct research in transportation
assemble data to support timely,
at the country's universities and
informed Federal, State, local, and
research institutions addressing
regional transportation planning
transportation issues, problems, and
and decisionmaking [NTP Page 113].
needs [NTP Page 105].
Develop more consistent standards
Experiment with innovative ways to
for data collection and tabulation
make Federal transportation data,
across all modes and users of
research findings, and information
transportation [NTP Page 113].
on technology and innovation in
18
Collect and disseminate information
on the quality of transportation
service, such as airline on-time
performance, to increase awareness
of service conditions and needs for
improvement [NTP Page 113].
Conduct necessary research to
establish a baseline for decision-
making on future systems through
the Department's strategic planning
process [NTP Page 113].
In addition to these items, initiatives can
be undertaken to improve the
dissemination, or promote the application
of, the final products of the efforts
described here. The full range of such
options should be examined in the planning
of any research which addresses the priority
issues noted.
19
THE WHITE HOUSE
WASHINGTON
April 18, 1991
Dear Elaine:
Many thanks for the copy of your Statement of U.S. Department of Transportation
Research and Development Policy. I found it to be a very interesting document and
must admit that I was not at all aware of a number of the programs that are
included in that report.
It is entirely clear that your department should be represented on a great many, if
indeed, not all, of our FCCSET Committees and if you will send me the name and a
CV of your Chief Scientist, I will make sure that he is invited to serve on these
committees.
I recognize that you were a good soldier in sitting through all of the discussions at
the most recent FCCSET meeting, and I would, however, ask that you remain as a
member of the Council. Perhaps we could discuss what general class of issues you
would wish to be involved in and I could give you some advance warning as to those
meetings of the full FCCSET that include those topics.
I feel that it is extremely important for us to retain our firm policy that the FCCSET
members hold either secretarial or deputy secretarial rank because I am convinced
that this has been a critically important component of the success of FCCSET during
this past two years as compared to its earlier history, and I would not wish to break
the line because having once done so, I can well imagine that many agencies and
departments would frequently find it more convenient to send more junior people.
Congratulations on your report Moving America and my personal thanks for your
help with FCCSET.
With warmest best wishes,
Sincerely yours,
Alan
D. Allan Bromley
The Assistant to the President
for
Science and Technology
The Honorable Elaine L. Chao
Deputy Secretary
Department of Transportation
Washington, D.C. 20590
"CORRESPONDENCE TRACKING"
TYPE:
ACTION
DOCUMENT NUMBER: 9121034
FROM:
VIKSNINS, Ann S.: UNIVERSITY OF MINNESOTA
TO:
DR. BROMLEY
DATE OF
CORRESPONDENCE: 04/05/91
SUBJECT: REQUEST TO CONSIDER IMPLEMENTING A POLICY
STRENGTHENING THE CONFIDENTIALITY OF GRANT PROPOSALS
IN LIGHT OF E.I. du Pont De Nemours V. Cetus Corp.
ASSIGNED TO: PHYSICAL SCIENCES
ACTION REQUIRED: FOR DAB SIGNATURE
SENDER'S DUE DATE:
OSTP DUE DATE:
04/22/91
DATE COMPLETED: 4/22/91 by DAB (KAE /DEP)
COPIES TO: D. Allan Bromley
Thomas Ratchford
Michelle Van Cleave
WHITE HOUSE TRACKING #:
CONTACT PERSON:
REMARKS:
Gene -
International -
DATE RECEIVED: 04/08/91
FILE: POLICY
,
4/11
Beverly
Does (ive A-Z1
cover patent rights?
should we refer this
letter to D.A. Herderse,
or look into at
onselves ?
Karl
Document Originally
Attached to
Following Page
"CORRESPONDENCE TRACKING"
TYPE:
ACTION
DOCUMENT NUMBER: 9121034
FROM:
VIKSNINS, Ann S.: UNIVERSITY OF MINNESOTA
TO:
DR. BROMLEY
DATE OF
CORRESPONDENCE: 04/05/91
SUBJECT: REQUEST TO CONSIDER IMPLEMENTING A POLICY
STRENGTHENING THE CONFIDENTIALITY OF GRANT PROPOSALS
IN LIGHT OF E.I. du Pont De Nemours V. Cetus Corp.
ASSIGNED TO:
Michelle Van Cleave
Karl Erb
redd APR 9 1991
ACTION REQUIRED: FOR DAB SIGNATURE
SENDER'S DUE DATE:
OSTP DUE DATE:
04/22/91
DATE COMPLETED:
COPIES TO: D. Allan Bromley
Thomas Ratchford
WHITE HOUSE TRACKING #:
CONTACT PERSON:
REMARKS:
Karl- Whether or not OSTP should take
an interest in this seems to me a substantive
(rather than a legal) issue so I refer to
DATE you RECEIVED: for action. 04/08/91 Mi FILE: APR POLICY I 10 1991
"CORRESPONDENCE TRACKING"
TYPE:
ACTION
DOCUMENT NUMBER: 9121034
FROM:
VIKSNINS, Ann S.: UNIVERSITY OF MINNESOTA
TO:
DR. BROMLEY
DATE OF
CORRESPONDENCE: 04/05/91
SUBJECT: REQUEST TO CONSIDER IMPLEMENTING A POLICY
STRENGTHENING THE CONFIDENTIALITY OF GRANT PROPOSALS
IN LIGHT OF E.I. du Pont De Nemours V. Cetus Corp.
ASSIGNED TO: Michelle Van Cleave
APR 17 1991
ACTION REQUIRED: FOR DAB SIGNATURE
SENDER'S DUE DATE:
OSTP DUE DATE:
04/22/91
DATE COMPLETED:
COPIES TO: D. Allan Bromley
Thomas Ratchford
WHITE HOUSE TRACKING #:
CONTACT PERSON:
REMARKS:
Karl- I sent this your way earlier Do I am
passing along DAB's request for comments.
APR 18 1991 M
DATE RECEIVED: 04/08/91
FILE: POLICY
dr term of me that the
Msponse is right on the
mark. This is not a part
7 AND,1, by the way - A.21
deals only with research cost
A.
4/22/91
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF SCIENCE AND TECHNOLOGY POLICY
1034
WASHINGTON, D.C. 20506
April 22, 1991
Dear Ms. Viksnins:
Thank you for bringing to my attention your concerns about handling of grant
proposals and the potential impact on patent rights. It is my understanding that the
procedures for handling grants have been changed since 1984 to limit dissemination
of potentially patentable concepts within the constraints of the Freedom of
Information Act. Mr. Charles Herz, general counsel for the National Science
Foundation, has responded to you with a detailed description of the present
procedures and has expressed his opinion that the holdings of the California court
should not apply to proposals funded after June of 1984. The National Institutes of
Health have made similar changes.
It is important that universities and other research institutions in the United States
continue to use the support of the Federal Government to develop and patent new
technology. If you perceive that the present mechanisms of dealing with grant
proposals jeopardize this goal, I hope that you will contact me again.
Sincerely,
Ms. Ann S. Viksnins
Office of Research and Technology Transfer
University of Minnesota
Suite 201
1100 Washington Avenue South
Minneapolis, Minnesota 55415-1226
cc:
Charles Herz, NSF
Howard Jenerick, NIH
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF SCIENCE AND TECHNOLOGY POLICY
WASHINGTON, D.C. 20506
OFFICIAL BUSINESS
Dr. Howard Jennerick
National Institutes of Health
5B41, Building 31
9000 Rockville Pike
Bethesda, Maryland 20892
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF SCIENCE AND TECHNOLOGY POLICY
WASHINGTON, D.C. 20506
OFFICIAL BUSINESS
Charles H. Herz, Esq.
General Counsel
National Science Foundation
1800 G Street, N.W.
Washington, D.C. 20550
9121034
UNIVERSITY OF MINNESOTA
RECEIVED
Suite 201
Office of Research and
1100 Washington Avenue South
Technology Transfer
Minneapolis, MN 55415-1226
91 APR 8 P4: 03
612-624-0550
Fax: 612-624-4843
April 5, 1991
OFFICE OF THE
DIRECTOR
D. Allan Bromley
Director, Office of Science and Technology Policy
Old Executive Office Building
17th St. and Pennsylvania Ave., N.W.
Washington, D.C. 20506
Dear Mr. Bromley:
The United States District Court for the Northern District of California
recently held that an NSF Grant proposal could be considered prior art
for patentability purposes. E.I. du Pont De Nemours V. Cetus Corp.,
1990 U.S. Dist. LEXIS 18382 (opinion issued Dec. 11, 1990). The court
reasoned that because NSF grant proposals are cataloged and are
accessible to the public through the Freedom of Information Act, the
proposals could be considered "printed publications" within the meaning
of 35 U.S.C. § 102(b) (1975).
Obviously the University of Minnesota, as an institution which often
patents technology arising out of research funded by public granting
institutions such as the NIH and the NSF, is concerned about this
decision which may adversely affect our future patenting prospects of
grant-funded research. We hope that you will consider implementing a
policy strengthening the confidentiality of grant proposals in light of
this court decision.
We would greatly appreciate your response on this important matter and
any action which you might take to ensure that United States
universities and other research institutions may continue to patent
technology developed at our institutions with the financial assistance
of the federal government.
Truly yours,
ann S. Viksins
Ann S. Viksnins
Patents & Licensing
04/18/91
16:48
202 357 7521
OFF GEN COUNSEL
1.
002/002
Copy
NATIONAL SCIENCE FOUNDATION
WASHINGTON. D.C. 20550
17 AARIL 1991
OFFICE OF THE
GENERAL COUNSEL
Ann S. Viksnins
Patents and Licensing
Office of Research and Technology Transfer
University of Minnesota
1100 Washington Avenue South, Suite 201
Minneapolis, MN 55415-1226
Subject: NSF funding as a divestive publication
Dear Ms. Viksnins:
We are aware of the recent case (E.I. du Pont de Nemours v. Cetus
Corp, N.D. CA, December 11, 1990) that held that a research
proposal funded by the National Science Foundation was a dives-
tive publication because of its availability under the Freedom of
Information Act and NSF cataloging and disclosure procedures.
You should note that case involved a proposal submitted to the
Foundation before we amended our FOIA regulation (published as
part 612 of title 45 of the Code of Federal Regulations) in June
1984. Now a funded proposal will be released only after the
submitting organization is notified and allowed to identify
portions that it wishes withheld ($612.7 (c)) and the statutory
FOIA exemption contained in section 205 of the "Bayh-Dole Act".
(35 U.S.C. Ch.18) is specifically mentioned ($612.8 (a) (3) NSF
believes that those changes sufficiently restrict and record
access to funded proposals that the holding of the California
case would not apply to proposals funded after June 1984.
I must remind you that the best way to protect the patentability
of your institution's inventions would be to identify them before
proposals describing them are submitted to us and then either
file patent applications or at least segregate and mark relevant
portions of the proposals as proprietary (see discussion under
the heading "Proposals as Public Record" on page 15 of the Grants
for Research and Education in Science and Engineering, NSF 90-77,
August 1990).
If you have any further questions, D. Matthew Powell is the
attorney responsible for FOIA matters. He can be reached on
(202) 357-9435 (voice) and (202) 357-7521 (facsimile) and can
receive electronic mail as dpowell@nsf through BITNET and as
[email protected] through INTERNET.
Yours truly,
General Counsel
04/18/91 16:48
202 357 7521
OFF GEN COUNSEL
001/002
NATIONAL SCIENCE FOUNDATION
WASHINGTON. D.C. 20550
nsf
OFFICE OF THE
GENERAL COUNSEL
nst
DATE 18APR91
FACSIMILE TRANSMITTAL
TO: Da Payer
FAX 395-3719
NO:
FROM: J.CHASEN
357-9435
EXT:
PAGES: 2
N
(INCLUDING THIS SHEET)
DESCRIBED
OGC
REMARKS:
PLEASE CALL TO VERIFY
OUR FAX NO: 357-7521
RECEIPT OF TELECOPY: 357-9435
Services of Mead Data Central, Inc.
PAGE 2
1990 U.S. Dist. LEXIS 18382 printed in FULL format.
E.I. DU PONT DE NEMOURS & CO., a Delaware corporation,
Plaintiff, V. CETUS CORPORATION, a Delaware corporation,
Defendant
No. C 89-2860 MHP
UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF
CALIFORNIA
1990 U.S. Dist. LEXIS 18382
December 11, 1990, Decided
December 11, 1990, Filed
JUDGES: [*1]
Marilyn Hall Patel, United States District Judge.
OPINIONBY: PATEL
OPINION: ORDER
BACKGROUND
Plaintiff Du Pont brings this action seeking a declaration of invalidity of
defendant Cetus Corporation's U.S. patents 4,683,202 ("'202 patent") and
4,683,195 ("'195 patent"), which encompass the process of polymerase chain
reaction ("PCR") using an exponential process of replication.
In its motion for summary judgment, plaintiff argued that a National Science
Foundation grant proposal submitted by Dr. Gobind Khorana ("NSF Grant Proposal")
anticipates the subject matter of the '202 patent and thus invalidates the
patent under 35 U.S.C. § 102(b).
In its opposition to plaintiff's motion, defendant argued that a material
issue of fact exists as to whether the Khorana Grant Proposal is prior art.
Specifically, defendant claimed that the Grant Proposal was not adequately
stored and indexed, and hence was not sufficiently accessible to the interested
segment of the public to constitute a "printed publication" under section
102(b). In addition, defendant noted that the Grant Proposal had a vague title
("Chemical and Biological Studies of Nucleic Acids").
The court found that, for the purposes of summary [*2] judgment,
sufficient evidence had been presented that the Grant Proposal was accessible to
the relevant public prior to one year before the date of the patent application
to treat it as prior art. However, the court concluded that even assuming
arguendo that the Grant Proposal met the standard for prior art, it did not
describe the process of PCR with sufficient precision and detail to constitute
anticipation of defendant's patent under section 102(b) as a matter of law.
During review of the issue at pre-trial conference on November 20, 1990,
defendant informed the court that it intended to challenge at trial the Grant
Proposal's status as prior art, and that it also intended to introduce a later
grant application submitted by Dr. Khorana to the National Institutes of
LEXIS'NEXIS'LEXIS`NEXIS
Services of Mead-Data Central, Inc.
PAGE
3
1990 U.S. Dist. LEXIS 18382, *2
Health ("NIH Grant Application") as prior art "pointing away" from anticipation.
The court indicated its desire to avoid lengthy digression on this issue during
trial, and stated that it would review the submissions of the parties to
determine whether the issue could be decided by the court as a matter of law.
Having undertaken this review of the parties' arguments and the governing
case law, the court finds that there [*3] is ample, undisputed evidence of
the accessibility of the NSF Grant Proposal to the relevantly skilled and
interested public, and that the law does not require the strong showing of
"highly likely discovery of the prior art" suggested by defendant during the
pre-trial conference. The court concludes that no jury could reasonably find
that the NSF Grant Proposal was not prior art within the meaning of section
102(b). In addition, on the basis of the same arguments and considerations, it
concludes that no jury could reasonably find that the NIH Grant Application was
not prior art within the meaning of section 102(b). Therefore, the only issue
remaining for trial is whether this prior art anticipated the patents under
section 102, or otherwise rendered them obvious under section 103.
DISCUSSION
The statute governing anticipation of patents provides that
[a] person shall be entitled to a patent unless --
(b) the invention was patented or described in a printed publication
more
than one year prior to the date of the application for patent in the United
States,
35 U.S.C. § 102.
A printed publication is a publication that is "sufficiently accessible" to
members [*4] of the public who are interested in the art and exercise
"reasonable diligence." RCA Corp. V. Data Gen. Corp., 701 F. Supp. 456, 468 (D.
Del. 1988) (citing In re Hall, 781 F.2d 897, 900 (Fed. Cir. 1986)), judgment
aff'd, 887 F.2d 1056 (Fed. Cir. 1989). The relevant time period in this case 15
prior to March 28, 1984, one year before the filing of the '202 application.
Whether a document is a printed publication within the meaning of section 102
is a legal determination, although it may involve underlying questions of fact.
Northern Telecom, Inc. V. Datapoint Corp., 908 F.2d 931, 936 (Fed. Cir.) (citing
Hall, 781 F.2d at 899 (Fed. Cir. 1986)), cert. denied, U.S. , 111 S. Ct.
296 (1990).
Publication does not require dissemination in books or journals. Rather,
given the advanced technology in information storage and retrieval, the courts
regard "public accessibility" as the touchstone in determining whether a
reference constitutes a printed publication under 35 U.S.C. $ 102(b). Hall, 781
F.2d at 898-99. In Hall, for example, the court found that a doctoral thesis
that had been indexed, catalogued and shelved in the Freiburg University library
was sufficiently [*5] available to the relevant interested public to
constitute prior art.
Defendant cites several cases in which courts have found various scholarly
publications not to be prior art, but these cases are clearly distinguishable.
In Application of Bayer, 568 F.2d 1357 (C.C.P.A. 1978), the court held that a
LEXIS®
LEXIS'NEXIS
Services of Mead Data Central, Inc.
PAGE
4
1990 U.S. Dist. LEXIS 18382, *5
graduate thesis held in a university library was not prior art where, as of the
critical date for availability, it had not been catalogued or shelved and was
available only to the student's thesis committee. Id. at 1359.
The court in In re Cronyn, 890 F.2d 1198 (Fed. Cir. 1989), also cited by
defendant, held that undergraduate senior theses filed in the college's main and
departmental libraries were not printed publications. Id. at 1161. It found that
the theses had not been "either cataloged [sic] or indexed in a meaningful way,"
since they were referenced only by index cards filed alphabetically by author
and held in a shoebox in the chemistry department. The court distinguished Hall,
in which doctoral dissertations had been indexed, catalogued, and shelved, and
noted that such systematic storage and indexing is the "critical difference" in
determining whether a document [*6] is a "printed publication." Id.
In the case at bar, by contrast with both Bayer and Cronyn, deposition
testimony of Brian Mannion, Section Head of Grants and Awards for NSF, indicates
that Dr. Khoranas NSF Grant Proposal was filed, indexed by title, author,
institution and grant number in the NSF's published indices of grants and awards
beginning in 1973. Mannion Decl. (Ex. E of Newland Decl.), Ex. 2. In addition,
the Proposal was available upon request from NSF under the Freedom of
Information Act, 45 C.F.R. S 612 et seq., well before the date of application of
the PCR patents. Mannion Decl. at paras. 2-5.
Defendant suggests that the relevant test for accessibility 15 whether one
skilled in the relevant art is likely to have encountered or tracked down the
prior art, and argues that this inquiry presents an issue of fact to be resolved
at trial. However, none of the cases submitted by defendant support this
proposition. Under all of the existing case law, the appropriate inquiry in this
case is not whether a DNA researcher would have come across the Khorana Grant
Proposal or references to it in the course of her work, but rather whether the
Proposal was "sufficiently [*7] accessible" to a researcher who exercised
"reasonable diligence." Thus, the emphasis is on systematic indexing and
availability upon request.
However, even under the more strenuous standard proposed by defendant, the
Grant Proposal would qualify as prior art. Dr. Khorana was preeminent researcher
and pioneer in the field of DNA technology at the time of the grant and
thereafter; it was widely known in the scientific community that groundbreaking
work was being done in his laboratory. Thus, anyone interested in the field
would have been alert to the publications under Khorana's name, and defendant
does not dispute this. Moreover, the Grant Proposal itself was cited by grant
number in the 1974 article published by Panet and Khorana in the Journal of
Biological Chemistry. Newland Decl., Ex. G. Any researcher interested in DNA
replication is likely to have come across the article and would have been
alerted to the relevance of the Khorana Grant Proposal from that citation.
The same reasoning applies to Dr. Khorana's 1975 grant application to the
National Institutes of Health, through what was then the Department of Health,
Education, and Welfare. This application was titled "Synthetic [*8] and
Biological Studies of Nucleic Acids," and its predecessor grant, like the NSF
Grant Proposal, was referenced by grant number on the first page of the Panet
and Khorana article in the Journal of Biological Chemistry. Newland Decl., Ex.
G. Access to the NIH Grant Application prior to March 28, 1984 was available
under the Freedom of Information Act pursuant to 45 C.F.R. $ 5.72(b), which
provides that records pertaining to Department of Health and Human Services
LEXIS'NEXIS'LEXISNEXIS
Services of Mead Data Central, Inc.
PAGE 5
1990 U.S. Dist. LEXIS 18382, *8
grant applications are available to the public under the Act. See 45 C.F.R. $
5.1 et seq. (1983).
CONCLUSION
For the above reasons, the court concludes that there are no underlying
factual disputes and that, even assuming all facts as alleged by defendant, no
reasonable jury could find that the Khorana NSF Grant Proposal and the Khorana
NIH Grant Application were not accessible to the relevant public prior to March
28, 1984. It therefore rules as a matter of law that the two documents are prior
art within the meaning of 35 U.S.C. $ 102(b).
LEXIS'NEXIS'LEXIS`NEXIS
"CORRESPONDENCE TRACKING"
TYPE:
INFORMATION
DOCUMENT NUMBER: 9120957
FROM:
TABOR, Janis: THE AMERICAN SOCIETY OF MECHANICAL ENGINEERS
TO:
DR. BROMLEY
DATE OF
CORRESPONDENCE: 03/25/91
SUBJECT: A COPY OF THE 1991 FEDERAL POLICY AGENDA OF ASME.
ASSIGNED TO:
ACTION REQUIRED:
SENDER'S DUE DATE:
OSTP DUE DATE:
DATE COMPLETED:
COPIES TO: D. Allan Bromley
Thomas Ratchford
Dr. Wong
WHITE HOUSE TRACKING #:
CONTACT PERSON:
REMARKS:
Internat'l-
DATE RECEIVED: 04/01/91
FILE: POLICY
9120957
я
€
S
The American Society of
B
RECEI
Mechanical Engineers
Suite 218
1825 K Street, N.W.
91 APR I I
Washington, DC 20006-1202
202-785-3756
March 25, 1991
OFFICE OI
DIRECT
The Honorable D. Allan Bromley
Assistant to the President for Science
and Technology and
Director, Office of Science and
Technology Policy
Room 360, Old Executive Office Building
Washington, DC 20506
Dear Mr. Bromley:
The American Society of Mechanical Engineers is pleased to provide you with a copy of
the 1991 Federal Policy Agenda of ASME.
This Agenda presents the main policy interests of the Society for the year. Among these
are topics that are also high on the administration's agenda, including national energy
policy, Clean Water and Resource Conservation and Recovery Act reauthorizations, math
and science education, and national critical technology initiatives. The mechanical
engineering community has the technical perspective and public interest to contribute
much in deliberations on these topics, and we are very active at both the federal and state
government levels.
Established in 1880, ASME is a non-profit educational and technical organization with
approximately 118,000 members, including 21,000 students. ASME serves its members,
industry, and government by encouraging the development of new technologies while
helping to solve the problems of an increasingly technological society.
We look forward to continuing our work with the administration this year. If you would
like additional information or if we may be of service, please let us know.
Sincerely,
Jamis Tabor
Janis Tabor
Director
Government Relations
Enclosure
я
E*S
The American Society of
m
R
Mechanical Engineers
00/01
1991
Federal Policy
Agenda of ASME
The Federal Policy Agenda of ASME is
published annually by the American
Society of Mechanical Engineers to:
Establish and focus priorities for
public policy issues to be
addressed by ASME in that year.
THE
Help inform the ASME
membership, interested
associations and societies,
Congress and other government
officials about the Society's
priority public policy concerns.
Provide an updated listing of
current ASME positions related
to these issues.
Contents
ASME in Brief
2
ASME Government Relations
2
1991 Agenda
Energy and Environment
3
Education
4
Professional Issues
5
Technology Policy
6
Federal R&D
7
For additional copies of this brochure, copies of ASME position statements listed,
or an index to all position statements released since 1985, please contact:
The American Society of Mechanical Engineers
Government Relations Department
1825 K Street, N.W., Suite 218
Washington, D.C. 20006-1202
Telephone: (202) 785-3756
Facsimile: (202) 429-9417
ASME in Brief
The American Society of Mechanical Engineers (ASME), established
in 1880, is a worldwide engineering society focused on technical,
education, and research issues, with 118,000 members, including
21,000 students. ASME serves its members, industry, and
government by encouraging the development of new technologies,
while helping to solve the problems of an increasingly technological
society.
ASME has 35 technical divisions, three institutes, and numerous
inter-disciplinary programs that conduct more than 30 national and
international meetings each year. The Society has 197 local sections
in the United States, its possessions, Canada, and Mexico, and 7
chapters in other countries. There are about 300 student sections at
colleges and universities.
ASME is one of the world's largest technical publishers. In addition
to its general interest publications, including Mechanical Engineering
magazine, the Society publishes 16 quarterly transaction journals,
Applied Mechanics Review, proceedings and technical papers from
conferences, technical monographs, and codes and standards.
ASME Government Relations
A fourteen-member Board on Government Relations under the
Council on Public Affairs has responsibility for development and
oversight of the Society's government relations programs at the
federal, state, and local levels. The programs are administered by a
government relations staff in the ASME Washington Center.
ASME's government relations programs are designed to attract and
facilitate broad member participation. The objective of these
programs is to provide government at all levels with advice on
engineering matters and policies affecting the public interest. In
addition to Public Affairs, the Society's four other Councils -
Engineering, Education, Member Affairs, and Codes and Standards
- have participated in various government relations activities,
including formulating position statements and conducting
workshops on federal policy issues of concern to engineers.
The 1991 Federal Policy Agenda of ASME reflects many of the public
policy concerns of various member groups, as well as issues on
which the Board on Government Relations and Council on Public
Affairs initiate action. It does not preclude adjustments during the
year in response to the dynamic public policy environment. However,
the issues in this agenda are expected to receive special attention by
ASME in 1991.
2
ENERGY AND
ENVIRONMENT
1991 Agenda
The recent increase in energy awareness as a result of the
Persian Gulf war has magnified the importance of the Depart-
ment of Energy's newly-formed National Energy Strategy.
ASME will monitor, review, and comment on key aspects of
the Strategy and related congressional energy policy initia-
tives. In addition, ASME will advocate its position on energy
policy as it is affected by environmental concerns such as
global warming, acid rain, and waste disposal, and will spon-
sor a workshop on developing a consensus for a U.S. energy
policy at the 1991 Engineering Societies Government Affairs
Conference.
Reauthorization of the Resource Conservation and
Recovery Act (RCRA), which governs the management and dis-
posal of solid and hazardous wastes, will be one of the most
important environmental issues to be addressed by ASME
during 1991. The Society will track and comment on legisla-
tive action on RCRA, as well as possible congressional action
to amend the Clean Water Act.
Current Statements
Department of Energy FY 1991 Budget Request for
Conservation and Renewable Energy R&D - June,
1990
Alcohol Fuels - May, 1990
Nuclear Energy Research - April, 1990
Alternative Motor Fuels - March, 1990
Municipal Waste Incinerators - May, September, and
December, 1989, March, 1990
Clean Air Act - October, 1989
Energy and the Environment - June, 1989
National Energy Policy Plan - June, 1989
3
EDUCATION
1991 Agenda
ASME has long been an advocate of continuing education
to keep members of the engineering profession up-to-date in a
world of rapid technological change. A skilled engineering
workforce is essential for our nation, both domestically and
for competitiveness in the international marketplace.
The Society will continue to support continuing education
and retraining by renewing efforts to gain permanent exten-
sion of Section 127 of the Internal Revenue Code. This
provision, which allows employees to receive tax-free tuition
reimbursement from their employers, is currently set to expire
on December 31, 1991.
ASME will also monitor and participate in congressional
and presidential initiatives to improve pre-college math and
science programs. The Society will collaborate with the
American Association of Engineering Societies in an effort to
coordinate and maximize engineering societies' activities to
address elementary science and math education needs.
Current Statements
Engineering Education and the National Laboratories -
August, 1990
Renewal of Section 127, Employer Educational
Assistance - March, 1988
Industrial Transition: Public Policies for the Labor
Force - August, 1987
4
PROFESSIONAL ISSUES
1991 Agenda
ASME is not only concerned with government policies in-
volving the technical interests of mechanical engineers, but
also with policy issues affecting their professional lives. In
1991, ASME will address volunteer and professional liability
issues and pension reform.
Volunteer Liability - Volunteers for non-profit and
charitable organizations occasionally become the targets of
lawsuits arising from their volunteer work. Because volun-
teers are the backbone of ASME, the Society supports legisla-
tion that provides protection for volunteers from personal civil
liability. The Society participates in the National Coalition on
Volunteer Protection, which promotes federal legislation en-
couraging states to exempt volunteers from liability.
Professional Liability — ASME is vitally concerned about
the adverse impact current tort laws have on engineers and
new technology development. Without reform, many impor-
tant engineering projects and products may not advance.
ASME supports legislative initiatives on the federal and state
levels to mitigate the liability problem.
Pension Reform - Given that many engineers must fre-
quently change employers because of rapid economic and
technological developments, ASME members can be at a par-
ticular disadvantage under current pension policies. As a
member of the American Association of Engineering Societies'
Engineers and Scientists Joint Committee on Pensions, the
Society supports legislation to reform pension policies, includ-
ing shorter vesting periods and increased portability.
Current Statements
Professional Engineer Registration - December, 1990
Professional Liability - October, 1989
Volunteer Liability - May, 1988
5
TECHNOLOGY POLICY
1991 Agenda
Many U.S. industries are losing ground in a marketplace
that is increasingly global and competitive. While our science
and technology base remains preeminent, we are often unable
to retain this edge when it comes to bringing new products to
market. The impacts are being felt in our standard of living,
position in world affairs, and in the area of national security.
An effective technology policy requires national leadership
for allocating our technological resources in ways that will
give U.S. industry the best possible advantage. The Bush ad-
ministration has issued a statement outlining a U.S. technol-
ogy policy, similar to ASME's own position, which suggests
broad, collaborative efforts by industry, government, and
academia. This is the first national statement of policy on this
issue. In addition, early this year, the White House National
Critical Technologies Panel will issue the first list of tech-
nologies deemed critical to national competitiveness.
In 1991, ASME will continue to promote the recommenda-
tions in its General Position Paper on U.S. Technology Policy,
with particular attention to approaches that enhance national
support for critical technologies development, support innova-
tion and application of new manufacturing technologies, and
foster the effective transfer of technology from federal
laboratories to industry, universities, and government.
Current Statements
Critical Technologies - December, 1990
International Codes and Standards - April and June,
1990
U.S. Technology Policy - April, 1990
Management of Science, Engineering, and Technology by
the Federal Government - January, 1989
Restoring America's International Competitiveness -
May, 1987
6
FEDERAL R&D
1991 Agenda
As the nation's decision makers grapple with the
ever-increasing federal budget deficit, federal funding for en-
gineering research and development is increasingly vul-
nerable. During this challenging period, ASME will provide
information and advice on mechanical engineering and related
R&D programs to Congress and the administration to assist
them in setting appropriate national research priorities.
In 1991, the Society will continue to analyze proposed R&D
budgets of federal agencies involved with significant mechani-
cal engineering research and make recommendations to the
agencies and Congress. In particular, ASME will examine the
proposed R&D budgets of the National Science Foundation,
the National Institute of Standards and Technology, the Na-
tional Aeronautics and Space Administration, the Environmen-
tal Protection Agency, the Department of Defense, and the
Department of Energy.
As in past years, ASME will participate in the annual
American Association for the Advancement of Science analysis
of the FY 1992 federal R&D budget. In addition, the Society
will track actions on government policies affecting private sec-
tor investment in R&D.
Government efforts to promulgate a national space policy
that accommodates both civilian and national security inter-
ests are of particular importance to ASME. In 1991, the
Society plans to conduct meetings with NASA and other ad-
ministration and congressional offices on safety, technology
assessment, risk analysis, and the earth observing system.
Current Statements
DOE Budget Request, FY 1991 - February, April, and June,
1990
NSF Budget Request, FY 1991 — May, 1990
NASA Budget Request, FY 1991 - March, 1990
NIST Budget Request, FY 1991 - February, 1990
7
ASME Board on
Government Relations
John A. Andersen, P.E.
Vice-President and Chairman
John R. Parker, P.E.
Chairman, State Government Relations Programs
Dennis M. Achgill
Chairman, Federal Government Relations Programs
Thomas D. Pestorius
Chairman, Public Policy Programs
George F. Dougherty, P.E.
Ted C. Heil, P.E.
Phillip J. Legendre, P.E.
A. Alan Moghissi, Ph.D.
Francis J. O'Connor, P.E.
David K. Reese
R. Stephen Schermerhorn, P.E.
Donald B. Tennant, P.E.
James R. Welty, Ph.D., P.E.
Eugene W. Zeltmann, Ph.D.
Staff
Janis Tabor
Director, Government Relations
Nelson L. Milder
Assistant Director, Policy Development and Technical Support
Sharon R. Cowan
Manager, Federal Government Relations
Judith T. Krauthamer
Manager, State Government Relations
Mary C. Prendergast
Administrator, State Government Relations
Pamela J. Roznoy
Administrator, Federal Government Relations
я
E*S
The American Society of
a
Mechanical Engineers
Government Relations Department
1825 K Street, N.W., Suite 218
Washington, D.C. 20006-1202
Telephone: (202) 785-3756
Facsimile: (202) 429-9417