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Gammasphere. Photo courtesy of Lawrence Berkeley National Laboratory
California Council on Science and Technology August 2005 ABOUT CCST CST is a nonpartisan, impartial, not-for-profit corporation established in 1988 by state legislation. It is designed to offer expert advice to the state and provideC solutions to science and technology-related public policy issues. CCST is modeled in part on the National Research Council, and has developed a close working relationship with the National Academies. More than half of CCST’s members and fellows are members of the National Academies, and several are Nobel Laureates. Since its creation, CCST has worked directly with the Governor’s office, state and federal legislators, and agencies to recommend policies that will maintain California’s role as a leader in generating technology innovation and a vigorous economy. Sustaining Institutions: e strength of CCST lies in the support and resources provided by its sustaining institutions, the University of California system, the California State University system, the California Institute of Technology, Stanford University, the University of Southern California, and the California Community Colleges, as well as its affiliate members, Lawrence Berkeley National Laboratory, Lawrence Livermore National Laboratory, Sandia National Laboratories/California, Stanford Linear Accelerator Center and NASA’s Jet Propulsion Laboratory and Ames Research Center. CCST also has strong con- nections to industry though its membership. Board and Council: A Board of Directors volunteers time to govern and guide CCST. e Board, which meets twice a year, is made up of 13 leaders from industry and academia. Karl Pister, UC’s former vice president for educational outreach and chancellor emeritus of UC Santa Cruz, serves as CCST board chairman. e Council, which meets three times a year, is comprised of 28 corporate CEOs, academicians, scientists, and scholars of the highest distinction. C. Judson King, director of the Center for Studies in Higher Education at UC Berkeley, completed his term as council chair in December 2004, and was succeeded by Lawrence T. Papay, retired sector vice president at Science Applications International Corporation. Neal Sullivan, vice provost for Research at the University of Southern California, was named vice chair. e Board establishes CCST’s policies and provides oversight, while the Council translates those directives into programs and projects that will ensure the state’s science and technology leadership. e Council is divided into subcommittees that manage and plan specific projects and studies. Fellows: e CCST fellows are a select group of scientists, engineers, and technical experts who volunteer their time to address specific projects or conduct reviews. CCST created the program in 1997; since then, CCST has appointed 110 fellows who, through project teams, work to address important science and technology issues facing government, education, and industry. Staff and Offices: Susan Hackwood is CCST’s executive director and provides overall day-to-day leadership. ere are two CCST offices. One is in Southern California adjacent to UC Riverside, and the other is one block from the State Capitol in Sacramento. Annzell Loufas directs the Sacramento office.
2 HIGHLIGHTS - NEW INITIATIVES National Laboratories CCST has welcomed six major federal research and development laboratories as affiliate members thereby expanding the scientific and technical capacity to pro- vide high-quality, evidence-based advice to the state. As part of this collaboration, CCST will produce two reports, assessing the importance of these institutions to California and studying their relationship with research universities and industry. California’s Math and Science Teachers: A Critical Path Analysis CCST is conducting a second critical path analysis of science and technology education that will focus on the production and retention of science and math elementary and secondary teachers. is study will build on the foundation of the original Critical Path Analysis of California’s Science and Technology Education System, narrowing the field of focus from production of the science and technology workforce overall to the production of a single critical component of that workforce. California Science and Math Teacher Advisory Council (Cal TAC) is new council, launched in February 2005, is similar to the National Academies Teacher Advisory Council (NTAC) which provides an opportunity and a mechanism for classroom teachers to voice their ideas and concerns to decision- makers and policymakers about issues that affect them. Cal TAC directly involves active classroom teachers and integrates their “wisdom of practice” in research and educational policy discussion.
PROJECTS COMPLETED Professional Science Master’s In January 2005, CCST released a study exploring the feasibility of implementing professional science master’s degree programs in 15 California State University campuses. irty-six companies ranging from IBM Almaden to Pixar to HRL Laboratories offered extensive input on the degree programs and on the graduate employment needs of high-tech industry in general. Second Public Interest Energy Research (PIER) Review e second Independent Review Panel organized by CCST released its final report in June 2005. It noted that the CEC has taken significant strides in addressing concerns from the previous reviews, including elevating the PIER project manager position to division level status. More analysis is needed on exploring alternative organizational structures that could enable PIER to reach its full potential as a world-class R&D program. Intellectual Property Interim Report for CIRM In response to Assembly Concurrent Resolutions 252 and 24, the IP Study Group convened by CCST to develop intellectual property policy guidelines for the state, released an interim report in August 2005 with specific recommendations for the newly-formed California Institute for Regenerative Medicine (CIRM), which was created with the passage of Proposition 71 (Stem Cell Initiative) in November 2004. Overview of Major Federal Laboratories in California During 2005, CCST will produce an update of a 1999 report produced as part of the California Report on the Environment for Science and Technology (CREST). e new report will provide an overview of major federally funded research facilities in California and their benefits to California today.
3 EDITORIAL FROM THE EXECUTIVE DIRECTOR alifornia possesses a wealth of science and technology expertise. The state has more top research universities than any other, and indeed the largestC state education system in the nation; more federal research facilities than any other state; and unparalleled high-tech industry clusters in San Diego, Los Angeles, and the Bay Area. Ironically, it is the very scope of this community that has often stymied the efforts of policymakers to leverage California’s available expertise. CCST’s role is to serve as a contact point, a central source of reliable information able to answer questions on any number of science and technology related issues faced by state leaders. CCST’s core sustaining institutions consist of the state’s leading public and private academic institutions, including the University of California, the California State University system, the California Community Colleges, the California Institute of Technology, Stanford University, and the University of Southern California. Industry leaders also helped establish CCST, and have continued to play a leading role in all of CCST’s projects and initiatives. This participation from the private sector has helped CCST respond effectively to the state’s most pressing science and technology issues. But the broader science and technology community goes beyond “CCST’s role is to serve as a contact point, academia and industry. is year we have formalized a connection a central source of reliable information which hitherto has been primarily on a personal or project specific level, able to answer questions on any number welcoming the national laboratories as affiliate members. Lawrence of science and technology related issues Berkeley, Lawrence Livermore, Sandia/California, SLAC, and NASA’s faced by state leaders.” Jet Propulsion Laboratory and Ames Research Center have a tremendous Susan Hackwood impact collectively on California’s economy and high-tech community. Executive Director California Council on Science and Over the years, we have been fortunate to have benefited from the Technology distinguished service of Council members and fellows representing every federally funded research laboratory in the state, and from the collaboration of many national laboratory experts on a project-specific basis. Through these new affiliate memberships, CCST will document clearly the national laboratories’ significant impact in California. We will also be even better able to ensure that their expertise on key issues ranging from education to energy research to security is represented and made available as needed for policymakers. e new membership of the national labs is just one part of a broader effort to make the collective expertise of the science and technology community available to policymakers in a way that is efficient, objective, and constructive; but it is an indispensable part of that effort. We welcome our new affiliate members, and look forward to helping California understand what an important role these institutions play in the vitality and strength of our science and technology community.
4 EDITORIAL: CAPITOL CONNECTIONS n many ways, California is more closely analogous to a nation than a state. With the fifth largest economy in the world, the decisions made by CaliforniaI often set the standard for other states, and sometimes the federal government as well, particularly where cutting-edge science and technology issues are involved. Science and technology policymaking is already a major component of California’s agenda. Over the past decade, lawmakers introduced an average of 270 bills per session, about 12 percent of all legislation, with some Over the past decade, lawmakers introduced science or technology angle. e state has also helped push the national an average of 270 bills per session, about 12 envelope on issues such as financial privacy and identity theft, issues percent of all legislation, with some science or with significant ramifications for an increasingly connected, high-tech technology angle. world. CCST’s role is to help provide answers to California public policymakers seeking objective, nonpartisan advice on science and technology related issues. Keeping track of 270 bills a year, along with confronting the potential ramifi- cations to the public, private, and non-profit sectors of the state, is a daunting task. Over the past several years, CCST has been actively working to streamline this process, building connections with legislators and their staff, as well as a variety of government agencies, both to inform them of the services CCST can provide and to maintain open lines of communication. By entering into a multi-year collaboration with the National Academies, adding the national laboratories in California as affiliate members, and creating the California Teacher Advisory Council, CCST has worked to make ever more expertise available to state policymakers. It is important for state leaders to understand key science and technology issues and the role that CCST can play in providing comprehensive, impartial information on them, and it is equally important for the state’s science and technology community to understand what is happening in Sacramento. To facilitate the exchange of information and provide opportunities for coordinating efforts in facing California’s challenges, CCST has added a new regular feature to its newsletter, “Capitol Connections.” Capitol Connections a section of the CCST Report that provides a brief summary and update on legislation and events in state government. Since its inception last year, the section has offered features which put into context major reports such as the California Performance Review, as well as responses to them by organizations such as the Little Hoover Commission. It tracks science and technology related legislation and highlights debates on key issues. And it provides interviews with key figures involved in science and technology legislation such as Assembly Members Gene Mullin (intellectual property) and Juan Arambula (technology workforce).
5 CCST AND THE NATIONAL LABORATORIES CST has welcomed six major federal research and development laboratories Cas affiliate members. e Lawrence Berkeley National Laboratory, Lawrence Livermore National Laboratory, Sandia National Laboratories/California, the Stanford Linear Accelerator Center, the NASA Jet Propulsion Laboratory, and the NASA Ames Research Center have joined as affiliate members. To date, interactions between CCST and the national laboratories have been significant. Council membership currently includes Michael Anastasio, director of Lawrence Livermore National Laboratory; Miriam John, vice president of the Sandia National Laboratories/California; and G. Scott Hubbard, director of the NASA Ames Research Center. In addition, the director of Lawrence Berkeley National Laboratory, Steven Chu, is a CCST fellow. The importance of the national laboratories to California was highlighted in an analysis conducted as part of CCST’s 1999 California Report on the Environment for Science and Technology (CREST). In 2005, as a part of the new collaboration, CCST will release an interim report with a much-needed update on the publication. e Overview of Major Federal Laboratories in California will describe how the federal laboratories have expanded in recent years beyond their traditional work into new areas of information technology, robotics, biotechnology, and nanotechnology – all areas of importance to the California economy as well as to the nation as a whole. In a second report to be completed by the end of 2005, CCST will also study the national laboratories’ relationship with research universities and industry, and reinforce the value of the labs to California by highlighting programs and research in areas of current and potential importance to the California economy (such as nanotechnology), the extensive joint research conducted between national laboratories and professors and graduate students, and the direct interaction of e National Ignition Facility, with its 192 laser beamlines focused the national labs with California companies through technology on a tiny target, is the world’s largest laser project. Scientific experi- licenses and cooperative research and development. ments are underway, with project completion scheduled for 2008. Photo courtesy of Lawrence Livermore National Laboratory. CCST’s experiences of the last few years have demon- strated the importance of the wide range of science and technology issues confronting the state. In addition, CCST has experienced a dramatic increase in requests for advice by state decision and policymakers. ese factors require that CCST increase both its capacity to pro- vide advice and to formalize its links with all key science and technology orga- nizations in the state. e affiliation of California’s Department of Energy (DOE) and National Aeronautics and Space Administration (NASA) laboratories with CCST should increase CCST’s capacity to provide high-quality, evidence-based S&T advice to the state.
6 Lawrence Berkeley National Laboratory (LBNL) Berkeley Lab holds the distinction of being the oldest of the U.S. Department of Energy’s national laboratories. e Lab is managed by the University of California, operating with an annual budget of more than $500 million (FY2004) and a staff of about 3,800 employees, including more than 500 students. It conducts unclas- sified research across a wide range of scientific disciplines with key efforts in -fun damental studies of the universe; quantitative biology; nanoscience; new energy systems and environmental solutions; and, the use of integrated computing as a tool for discovery. e Lab is organized into 17 scientific divisions and hosts four DOE national user facilities. Lawrence Livermore National Laboratory (LLNL) Lawrence Livermore is a premier applied science laboratory that is part of the National Nuclear Security Administration (NNSA) within the Department of Energy. LLNL has been managed since its inception in 1952 by the University of California for the U.S. government. As a national security laboratory, LLNL is responsible for ensuring that the nation’s nuclear weapons remain safe, secure, and reliable through application of advances in science and technology. Sandia National Laboratories/California Since 1956, Sandia National Laboratories/California has operated as the Labs’ second main facility, based in Livermore, where its unique role of providing engineering support and systems integration for nuclear weapons and related national security R&D efforts has been carried out. Overall, Sandia is one of three defense program laboratories of the U.S. Department of Energy. It is operated by Lockheed Martin for the DOE’s National Nuclear Security Administration. Stanford Linear Accelerator Center (SLAC) SLAC is one of the world ’s leading research laboratories. Established in 1962, it is located at Stanford University. Its mission is to design, construct and operate state-of-the-art electron accelerators and related experimental facilities for use in high-energy physics and synchrotron radiation research. Employing over 1,300 people, SLAC is a world-renowned research institution currently used by nearly 3,000 visiting scientists from over 380 universities, laboratories and industrial concerns from the U.S. and abroad. NASA Jet Propulsion Laboratory (JPL) e Jet Propulsion Laboratory is the lead U.S. center for robotic explora- tion of the solar system. It is managed for NASA by the California Institute of Technology. JPL spacecraft have visited all known planets except Pluto. Research and development activities at JPL include an active program of automation and robotics supporting planetary rover missions and NASA’s Space Station program. JPL has a workforce of about 5,500 employees and on-site contractors, and an annual budget of approximately $1.4 billion. NASA Ames Research Center Founded in 1939, NASA Ames is active in aeronautical research, life sciences, space science, and technology research, especially information technology, including machine learning and artificial intelligence. Located in the heart of Silicon Valley, the research center boasts over $3 billion in capital equipment, 4,000 research personnel and a $775 million annual budget. NASA Ames plays a critical role in virtually all NASA missions in support of America’s space and aeronautics programs.
7 EDUCATION POLICY alifornia is still the nation’s leader in science and technology, but in recent years it has become increasingly apparent that its educational system is notC producing the science and engineering graduates needed to meet industry’s growing requirement for skilled workers. In collaboration with the National Academies, CCST is pursuing several projects designed to address the problem, two of which have been funded by the Stuart Foundation: a critical path analysis of science and math teacher production, and a new advisory body composed of exemplary California science and math teachers. Both of these projects are being conducted in cooperation with the Center for the Future of Teaching and Learning, a nonprofit, non- partisan organization, which conducts research with the assistance of SRI International, on the composition and quality of California’s teacher workforce. e Center consults with a statewide task force made up of leaders of key organizations and an established network of accomplished teachers to translate the findings of its work into recommendations for the state’s public policy community. California’s Science and Math Teachers: A Critical Path Analysis CCST’s 2002 Critical Path Analysis of California’s Science and Technology Education System (CPA), which provided a macro-level examination of the entire science and technology education system in California, documented alarming increases in attrition rates of students between the 9th and 12th grades and difficulties at every level of the education system. One of the most disturbing factors identified as contributing to poor student performance in science and math was the shortage of qualified teachers, particularly in areas with high concentrations of poor, minority and English-as-a-second language students. e new study will focus on developing a dynamic and comprehensive model of the K-12 science and math teacher production, retention, and training system and ways in which it can most effectively be supported in order to improve the quantity and quality of K-12 science and math teachers. Project goals are to: Define and quantify the supply, demand, and future need for qualified science and math teachers in the state; Identify critical elements in the state’s teacher production system that control the science and math teacher supply; Suggest how to increase the supply of qualified science and math teachers through changes in the training and recruitment processes, and through strategies to improve induction and retention; Determine how the state’s education and professional development systems strengthen the knowledge, skills and retention of science and math teachers; and Identify the type of partnerships that can effectively train and support science and math teachers in California.
e project will include reports which both qualitatively and quantitatively examine teacher production and retention. Principal investigators have been se- lected and the project is scheduled for completion in early 2006.
8 California Teacher Advisory Council (Cal TAC) al TAC is modeled after the very successful National Teacher Advisory Council established in 2002 by the National Academies. Comprised of 12 scienceC and math teachers from a diverse set of K-14 schools, Cal TAC is designed to provide a valuable and currently absent connection between the teaching community, and the educational experts and policymakers who are shaping California’s edu- cational system. Cal TAC members are appointed for three years and are considered a part of CCST. CCST and Cal TAC meetings are scheduled to coincide. Cal TAC has met twice to date and has been a significant success. Member activity will focus on: Building connections with legislators and their staff in Sacramento, industry, and research communities in universities and national laboratories; Identifying issues and creating dialogue out of which published reports, including teacher insights, could be Cal TAC is designed to provide a valuable and developed; currently absent connection between the teach- Providing feedback on emerging issues, such as the UC ing community and policymakers. Science and Math Initiative; and Providing feedback, as requested and as appropriate, on issues brought to Cal TAC, e.g., from the National Teacher Advisory Council.
In addition, Cal TAC will play an active role in providing input for CCST’s science and math teacher critical path analysis.
2005 CALIFORNIA TEACHER ADVISORY COUNCIL
Stan Hitomi, Chair Glenn Hunt Executive Director of the Edward Teller Dean of Instruction and Associate Education Center, UC Davis/Lawrence Professor of Mathematics, Riverside Livermore National Laboratory Community College
Janet English, Vice-chair Juliana Jones * Science and Multimedia Communications Mathematics Teacher, Montera Middle Teacher, Serrano Intermediate School School
John Peter Arvedson Suzanne Nakashima * Chemistry, Physical Science and Life Mathematics and Science Teacher, Science Teacher, La Puente High School Lincrest Elementary School
Anne Marie Bergen Tracy Pearse Science, Mathematics and Literacy Specially Designed Academic Instruction Teacher and Coordinator, Oakdale Joint in English and Science Teacher, Fremont Unified School District Middle School
Sandie Gilliam * Barbara Shannon Mathematics Teacher, San Lorenzo Valley Chemistry, Physics, Biology, Physical High School and Life Sciences, and Algebra Teacher and Director of Multicultural Affairs & Javier Gonzalez Service Learning, Westridge School Mathematics Teacher, Pioneer High School, Member of the National Teacher Mark Stefanski Advisory Council Biology, and Integrated and Earth Science Teacher, Marin Academy
* National Board Certified Teacher
9 PROFESSIONAL SCIENCE MASTER’S PUBLIC INTEREST ENERGY RESEARCH any of California’s high-tech industries are looking for science and technology graduates with business acumen, and they are interested in providing input intoM programs designed to produce them, according to a study released by CCST in January 2005. In 2004, CSU Chancellor Charles Reed requested that CCST assist a coalition of 15 California State University (CSU) campuses seeking to establish and/or enhance Professional Science Master’s (PSM) programs with the assistance of the Alfred P. Sloan Foundation, by conducting a qualitative study on industry’s level of interest. e PSM is a two-year master’s level degree that is designed to prepare professionals for work outside academia, combining theoretical knowledge with practical applications and business acumen. At least eight institutions in California already offer PSM degrees, including the University of California, Los Angeles; the University of Southern California; Stanford University; and CSU Fresno. PSM degrees are offered in a range of fields such as bioinformatics, forensics, and computational science. CCST contacted companies from a range of high-tech sectors projected to grow in the coming years, and held focus group meetings in San Francisco, Los Angeles, and San Diego, in addition to conducting telephone interviews with other executives. Companies ranging from IBM Almaden to Pixar to HRL Laboratories offered extensive input on the degree programs and on the graduate employment needs of high-tech industry in general. An Industry Perspective of the Professional Science Master’s Degree, was pre- sented to the California State University Chancellor’s office in January. e report gathers detailed perspectives from 36 high-tech corporate executives, including 11 CEOs, on the proposed expansion of the PSM degree. It found that the most supportive of the PSM concept were the largest companies and those involved in interdisciplinary or emerging fields, including nanotechnology and environmental technology, as well as government agencies.
REPORT CONCLUSIONS: e PSM program must establish credibility in order to be accepted on a widespread basis. In order to succeed, the PSM must target industries where it is best suited. Industry and universities need to develop better working relationships. Statewide partnerships should be explored which best leverage the resources of the CSU.
10 PUBLIC INTEREST ENERGY RESEARCH he Public Interest Energy Research (PIER) program has made progress towards achieving its full potential, but some significant issues still remain to be addressed byT the California Energy Commission (CEC), according to the final report released by the Independent PIER Review Panel in June 2005. “We commend the CEC for its efforts to address and mitigate a PIER funds research, development, and demonstra- number of the issues identified in the first review. e question tion projects that focus on renewable forms of energy, that still remains is whether the new organizational structure alternative methods of generating energy, and energy within the CEC will provide the management flexibility and risk efficiency. It was created by legislation following the taking that is required for a first-class R&D program.” Carl Weinberg restructuring of California’s electricity industry in Principal, Weinberg Associates 1996, which reduced public interest R&D activity by the Chair, PIER Independent Review Panel utility companies. Legislation authorized collection of a surcharge on retail electricity sales and provides PIER an annual budget of $62.5 million. is is the second time CCST led an independent review of the PIER program; the first was completed in 2001. As a follow-up to the first review, Senate Bill 1038 required that the California Energy Commission convene a new panel to further re- view the PIER program and determine the extent to which it had successfully im- plemented the recommendations of the first Independent Review Panel (IRP). e new 15-member IRP panel convened by CCST included several members from the first IRP, with additional new members from academia, industry, and govern- ment agencies who represented the range of economic, technical, and policy skills needed to effectively assess the program. In an interim report released in March RECOMMENDATIONS: 2004, the review panel identified several near ADVISORY BOARD term key issues of concern which appeared Establish and convene a broadly constituted PIER Advisory Board as required by to affect the ability of the program to fully Public Resources Code, Section 25620.11. realize the benefits of public interest energy research, including the limited scope of the STAFFING PIER program manager’s authority over Increase PIER’s workforce to an adequate level of staffing. staffing and funding and an advisory com- Devote adequate resources to staff development and training, a critical need for a first rate R&D program. mittee process in need of streamlining. Press for both permanent staff that provide stability and expertise, and independent e most significant step taken by the consultants that contribute valuable research, technical and industry expertise. CEC since then was the elevation of the STRENGTHEN INTERNAL OPTION PIER program manager to division-level Take creative and decisive action to seek the changes to the oversight by state control status. Dr. Martha Krebs, a nationally agencies through legislative action and relief, and changes to specific CEC operating recognized energy expert and admin- policies that the Energy Commission identified in its July 2004 report analyzing istrator, was hired for the newly created actions needed to transform an “internal” PIER program into a truly effective energy position of deputy director for the Energy R&D program. Research and Development Division, PURSUE THE EXTERNAL OPTION which has the same management authority Complete the analysis of the potential for a joint powers authority (JPA) structure as other directors in the CEC. for PIER with an appropriate research-oriented partner whether PIER is constituted within an energy commission or state department of energy. e PIER program is at an important point in its development: the program has been PLAN AND MANUAL DEVELOPMENT reorganized within a new division, there is Establish on-going strategic planning activities. a new director, the CEC has added a new Develop an Operations and Procedural Manual. public interest natural gas R&D program to Afford an appropriate allocation of internal staff and program resources to planning its portfolio, and the augmentation of pro- activities. gram staff is underway. e IRP hopes that PROGRESS REVIEW AND EVALUATION its recommendations can help this valuable Launch a comprehensive program review and evaluation of PIER beginning January California program work towards becoming 2007. a truly world-class R&D organization. 11 INTELLECTUAL PROPERTY CCST led group is helping the state plan the first comprehensive set of state- level intellectual property (IP) policies in the country. Along the way, the IP StudyA Group has released an interim report with suggestions for the newly-formed California Institute for Regenerative Medicine (CIRM). Development of innovative technologies, and the underlying ownership of intellectual property (IP), is fundamental to I P S G M the California economy. However, the state of Alan B. Bennett, Co-Chair Katharine Ku California does not have a uniform policy in its Associate Vice Chancellor for Director, Office of Technology approach to managing IP. Each agency is free to Research, Office of Research Licensing Technology Industry Alliances Stanford University negotiate its own contracts with the universities, University of California, Davis and small and large businesses that perform re- Meyya Meyyappan search and development under state sponsorship. Stephen D. Rockwood, Co-Chair * Director, Center for Nanotechnology Executive Vice President NASA Ames Research Center is inefficiency and lack of coordination costs Science Applications International the state valuable time and money. As a result, Corp. Roger G. Noll * the Legislature requested that CCST form a study Morris M. Doyle Professor of Public Susan Bryant Policy group to plan and recommend the first compre- Dean, School of Biological Sciences Stanford University hensive set of state IP policies in the country. University of California, Irvine James Pooley e IP Study Group is co-chaired by Alan Ronald W. Cochran Partner Bennett, associate vice chancellor for Research, Executive Officer Milbank, Tweed, Hadley & McCloy Lawrence Livermore National LLP UC Davis, and Stephen Rockwood, executive vice Laboratory president, Science Applications International Pamela Samuelson Corp. It consists of 17 leaders from academia, in- Lawrence B. Coleman * Professor of Information Vice Provost for Research Management & Systems dustry, public interest groups, and federally funded University of California University of California, Berkeley research labs, as well as the venture capital com- Cynthia Curry Robert J. Spinrad * munity, which is a key component of technology Senior Staff Counsel, Office of Legal Retired Vice President transfer. Five of the members are CCST affiliated. Services Technology Strategy In addition, the study group is receiving assis- Department of General Services Xerox Corporation tance from a working group of 11 subject matter Michael Goldberg Richmond A. Wolf experts familiar with IP issues and with the policy General Partner Director, Office of Technology interface between the state government and the Mohr, Davidow Ventures Transfer California Institute of Technology research community. e two groups represent a Ginger Graham * broad spectrum of IP related expertise from many President and CEO Julie Meier Wright of California’s leading institutions, both public and Amylin Pharmaceuticals President and CEO San Diego Economic Development private. Corp. Wayne Johnson Assembly Concurrent Resolutions 252 and 24, Vice President, University Relations Worldwide * CCST Member or Fellow authored by Assembly Member Gene Mullin, Hewlett-Packard Company requested that CCST create a study group to de- velop recommendations on how the state should treat intellectual property arising from state supported agreements, contracts and grants, and requests CCST to work with the Office of the Attorney General, the Department of General Services as well as other state and federal government experts in contract and licensing, research and development practitioners, experts in technology transfer, and individuals representing the public interest. While there are standard policies at the federal level such as the Bayh-Dole Act which provide guidance on the handling and ownership of IP, policies at the state level in California are not uniform and do not have a common clearly stated set of goals. IP generated by CIRM will in some ways be no different than that of any state- funded biotechnology IP generated in California, and hence will in many re- spects fall under whatever statewide policies may be adopted following the release
12 of CCST’s final recommendations to the Legislature in December 2005. However, there are some aspects of potentially generated CIRM IP which merit special con- sideration, because of the nature of the research and because of the nature of the institution. In particular, the campaign which led to the passage of Proposition 71 raised significant expectations among California citizens regarding the state’s return on investment from CIRM research. In its interim report, the IP Study Group addresses these expectations and puts them into context with the realities of funding biotech ventures, and proposes recommendations designed to ensure that CIRM policies will enable optimal development of its research while retaining reasonable and consistent rights for the state. e final report of the IP Study Group will provide a more comprehensive set of recommendations intended for consideration at the state level.
Intellectual Property Study Group Recommendations
e IP Study Group’s recommendations in this With these general principles in mind, the IP Study interim report are consistent with general principles Group recommends that CIRM consider policies that likely to be recommended for state-funded research accomplish the following: in the final report to be completed later this year. ese general principles assert that the IP policy: Permit grantees to own IP rights from CIRM-funded research. Is to be consistent with the Bayh-Dole Act. Require grantees (institutions, individuals, or both) This principle can play out in many to provide a plan describing how IP will be managed ways that are of benefit to the public. In for the advancement of science and benefit to particular, ownership of IP resides with California. the grantee, who is required to diligently Grant basic research funds without requiring develop IP for the public. In addition, grantees to commit to providing a revenue stream the balance of any net royalties must be to the state. If, however, a revenue stream develops used to support research and education over time, revenues will be reinvested in research activities. and education. Creates incentives for commerce in California Generally make CIRM-developed research tools from state-funded research to the greatest widely available to other researchers. extent possible. Require diligent efforts to develop CIRM-funded IP Encourages timely publication of results to into therapeutics and diagnostics that can benefit diffuse knowledge widely, and provide guidance the public. on the kinds of data that are desired to be Retain within CIRM Bayh-Dole-like rights to step placed in the public domain or available under in if the owner of IP is not undertaking appropriate open source, Creative Commons, or other steps to transfer technology to benefit the public. broad-use licenses, including software and Leave license particulars to the owner who is in special databases. the best position to judge how best to ensure that Requires diligent development of IP into discoveries are made widely available through products that benefit the public. commercialization or otherwise. Reserve the right to use IP by or on behalf of CIRM. Establish and maintain a CIRM database to track all IP generated through CIRM funding.
13 COUNCIL MEETING SUMMARIES SEPTEMBER 2004 MAJOR THEME: e National Academies
CCST and the National Academies have forged an unprecedented partnership which promises to enable CCST to continue expanding its ability to provide impartial and expert advice on the politically contentious issues related to science, technology, and education in the state, and will also enable the National Academies to gain a clearer perspective of the science and technology issues that are important at the state level, according to Ralph Cicerone. Ralph J. Cicerone, then the nominee to become president of the National Academy of Sciences and CCST fellow, discussed the role of science and technol- ogy policy advising for the National Academies and described specific challenges faced by California. “e importance of science and technology, not just to California but to the United States and the world, has never been greater,” said Cicerone. “e National Academies and CCST have a lot to offer each other, and this collaboration offers Ralph Cicerone California a level of science and technology policy knowledge and wisdom unparalleled at the state level.” Cicerone became president of the National Academy of Sciences on July 1, 2005; he served as chancellor of the University of California, Irvine from 1998 - 2005.
FEBRUARY 2005 MAJOR THEME: e National Laboratories
California’s national laboratories have some of the nation’s leading research and development programs, and the National Ignition Facility (NIF) Project at Lawrence Livermore is one of these. At the February meeting, Edward Moses, project leader for NIF, provided an overview of the project and its uses in national security, basic science and our energy future in his presentation, Building and Using the National Ignition Facility, the World’s Largest Laser. The NIF Project is a 192-beam experimental laser facility that will access regimes of extreme pressures and temperature. e NIF will be a key component of the Department of Energy’s Stockpile Stewardship Program. “California is home to some of the most spectacular science research programs in the world,” said Moses. “NIF is just one project which benefits not just California, but the nation.” Edward Moses
14 MAY 2005 MAJOR THEME: Stem Cell Research
Fred H. Gage, Adler Professor in the Laboratory of Genetics at the Salk Institute, described some of the challenges facing stem cell research in California and elsewhere in the United States, in particular the challenge of balancing the sig- nificant potential and expectations for the field against the long and at times uncertain path from basic research to useable therapies. “e pathway to new therapies is a complex, five-stage process,” said Gage. “Biomedical research must typically rely on several sources of support during the eight to ten years needed for development, including government, venture capital, and pharmaceutical companies. While early-stage funding is critical, it’s the pharmaceutical companies which carry the bulk of the expense in the final stages of development.” Gage joined the Salk Institute in 1995. He achieved national renown for his groundbreaking experiments demonstrating that neurons are constantly being born in the brain, forcing scientists to rethink some of their most basic ideas Fred Gage about how the brain works. He has been a leading figure in the debates on stem cell research in California.
Two beam pipes of the PEP-II Storage Ring at SLAC - the upper pipe carries positrons, the lower pipe carries electrons. Photo courtesy of Stanford Linear Accelerator Center.
15 - CCST BOARD MEMBERS Karl S. Pister, Board Chair David L. Goodstein Former Vice President-Educational Outreach Vice Provost and Frank J. Gilloon Distinguished Teaching University of California and Service Professor Chancellor Emeritus California Institute of Technology University of California, Santa Cruz Susan Hackwood Lloyd Armstrong, Jr. Executive Director Provost and Senior Vice President, Academic Affairs California Council on Science and Technology University of Southern California Charles E. Harper Warren J. Baker Executive Chairman President Sierra Monolithics, Inc. California Polytechnic State University, San Luis Obispo Lawrence T. Papay Arthur Bienenstock Council Chair, CCST Vice Provost and Dean of Research and Graduate Policy CEO and Principal Professor of Materials Science and Engineering, and PQR, LLC Applied Physics Stanford University Robert J. Spinrad Retired Vice President, Technology Strategy Steven Bruckman Xerox Corporation Executive Vice Chancellor and General Counsel California Community Colleges Cornelius W. “Neal” Sullivan Council Vice Chair, CCST Bruce B. Darling Vice Provost for Research and Professor of Biological Senior Vice President, University Affairs Sciences University of California University of Southern California
John S. Foster, Jr. Carol Tomlinson-Keasey Consultant Chancellor Northrop Grumman Space Technology University of California, Merced
Council member Elixabeth Paté-Cornell, Council Vice Chair Cornelius “Neal” Sullivan, Former Council Chair and Fellow C. Judson King, and Council member Jean-Louis Gassée
16 - CCST COUNCIL MEMBERS Lawrence T. Papay, Council Chair Carlos Gutiérrez CEO and Principal Professor of Chemistry PQR, LLC California State University, Los Angeles
Cornelius W. “Neal” Sullivan, Council Vice Chair Susan Hackwood Vice Provost for Research and Professor of Biological Executive Director Sciences California Council on Science and Technology University of Southern California Alice Huang Michael R. Anastasio Senior Councilor for External Relations and Faculty Director Associate in Biology Lawrence Livermore National Laboratory California Institute of Technology
David Auston G. Scott Hubbard President Center Director Kavli Foundation NASA Ames Research Center
Francine Berman Miriam E. John Director, San Diego Super Computer Center Vice President University of California, San Diego Sandia National Laboratories/California
Alfonso Cárdenas Charles F. Kennel Professor of Computer Science Director, Scripps Institution of Oceanography University of California, Los Angeles Dean and Vice Chancellor of Marine Sciences University of California, San Diego Arthur N. Chester Retired President and General Manager John P. McTague HRL Laboratories, LLC Professor of Materials University of California, Santa Barbara Michael T. Clegg Donald Bren Professor of Biological Sciences Tina S. Nova University of California, Irvine President, CEO and Founder Genoptix Linda R. Cohen Professor of Economics Elisabeth Paté-Cornell University of California, Irvine Chair, Department of Management Science and Engineering Lawrence B. Coleman Burt and Deedee McMurtry Professor, School of Vice Provost for Research Engineering University of California Stanford University
France A. Córdova Stephen J. Ryan, M.D. Chancellor President, Doheny Eye Institute and Professor of University of California, Riverside Ophthalmology, Keck School of Medicine University of Southern California Jean-Louis Gassée General Partner Anneila Sargent Allegis Capital Director, Owens Valley Radio Observatory Benjamin M. Owen Professor of Astronomy Director, Combined Array for Research in Milton Gordon Millimeterwave Astronomy (CARMA) President California Institute of Technology California State University, Fullerton Andrew Viterbi Ginger Graham President President and CEO Viterbi Group, LLC Amylin Pharmaceuticals Max T. Weiss M.R.C. Greenwood Retired Vice-President and General Manager Provost and Senior Vice President for Academic Affairs Northrop Grumman Corporation University of California
17 - CCST FELLOWS Harold M. Agnew Jerry D. Caulder John S. Foster, Jr. Retired President, General Atomics Chairman and Chief Executive Officer Consultant, Northrop Grumman Past Director, Los Alamos Scientific Advanced Stent Technologies, Inc. Space Technology Laboratory Retired Director Arthur N. Chester Lawrence Livermore National Laboratory Bruce N. Ames Retired President and General Manager Professor of Biochemistry and Molecular HRL Laboratories, LLC T. Kenneth Fowler Biology Professor Emeritus University of California, Berkeley Steven Chu Department of Nuclear Engineering Senior Research Scientist Nobel Laureate University of California, Berkeley Children’s Hospital Oakland Research Director Institute Lawrence Berkeley National Laboratory Edward A. Frieman Senior Vice President Francisco J. Ayala Ralph J. Cicerone Science and Technology University Professor and Donald Bren President, National Academy of Sciences Science Applications International Professor of Biological Sciences Former Chancellor Corporation University of California, Irvine University of California, Irvine Director Emeritus Scripps Institution of Oceanography Dorothy F. Bainton, M.D. Linda R. Cohen University of California, San Diego Emeritus Professor of Pathology Professor of Economics University of California, San Francisco University of California, Irvine eodore H. Geballe Professor of Social Science and Law Professor Emeritus of Applied Physics David Baltimore University of Southern California Stanford University Nobel Laureate President and Professor of Biology Harry M. Conger Marvin L. Goldberger California Institute of Technology Chairman Emeritus Professor Emeritus of Physics Homestake Mining Company University of California, San Diego Richard E. Balzhiser President Emeritus Michael R. Darby Sidney H. Golub Electric Power Research Institute, Inc. Warren C. Cordner Professor of Money Professor Emeritus of Microbiology and and Financial Markets Molecular Genetics C. Gordon Bell John E. Anderson Graduate School of Former Executive Vice Chancellor Senior Researcher Management University of California, Irvine Microsoft Bay Area Research Center University of California, Los Angeles Susan L. Graham Robert Biller omas B. Day Pehong Chen Distinguished Professor Emeritus of Public President Emeritus Professor of Electrical Engineering Administration San Diego State University And Computer Science School of Policy, Planning and University of California, Berkeley Development Octavia Diener University of Southern California President, Densmore Engines Harry B. Gray Arnold O. Beckman Professor of Joel S. Birnbaum Steven D. Dorfman Chemistry and Founding Director Senior Technical Advisor to the Chairman Retired Vice Chairman e Beckman Institute and CEO Hughes Electronics Corporation California Institute of Technology Hewlett-Packard Company Sidney D. Drell Robert D. Grey J. Michael Bishop, M.D. Professor Emeritus of eoretical Physics Provost and Executive Vice Chancellor Nobel Laureate Deputy Director Emeritus Emeritus Chancellor and University Professor Stanford Linear Accelerator Center Professor Emeritus of Cellular & Molecular University of California, San Francisco Senior Fellow, e Hoover Institution Biology Stanford University University of California, Davis Robert L. Byer CCST Council Chair Emeritus Robert C. Dynes Charles Harper William R. Kenan, Jr. Professor in the President Executive Chairman School of Humanities and Sciences University of California Sierra Monolithics, Inc. Director, Hansen Experimental Physics Laboratory omas E. Everhart John Hennessy Stanford University President Emeritus President California Institute of Technology Stanford University Robert P. “Chris” Caren Retired Corporate Vice President Stephen L. M. Hockaday Science and Engineering Sandra M. Faber University Professor and Professor of Professor Emeritus of Civil and Lockheed Corporation Astronomy and Astrophysics Environmental Engineering Lick Observatory California Polytechnic State University, University of California, Santa Cruz San Luis Obispo
18 - CCST FELLOWS David A. Hodges Daniel E. Koshland, Jr. C. L. “Max” Nikias Dean Emeritus and Professor Emeritus Professor of the Graduate School Provost and Senior Vice President for of Electrical Engineering and Computer Biochemistry and Molecular Biology Academic Affairs, and Sciences University of California, Berkeley Dean of the School of Engineering University of California, Berkeley Founding Director William C. Y. Lee Integrated Media Systems Center eodore L. Hullar Chairman University of Southern California Director, Higher Education Program LinkAir Communications Atlantic Philanthropies USA, Inc. Roger G. Noll James U. Lemke Morris M. Doyle Professor of Public Policy Irwin M. Jacobs President Department of Economics Chairman and CEO AEROLIFT, INC. Stanford University QUALCOMM, Inc. Mark D. Levine David Okrent Director Professor Emeritus Paul C. Jennings Research Professor of Engineering and CCST Council Chair Emeritus Environmental Energy Technology Division Applied Science Provost and Professor of Civil Engineering Lawrence Berkeley National Laboratory University of California, Los Angeles and Applied Mechanics California Institute of Technology Johnetta MacCalla CEO Elisabeth Paté-Cornell ASCI, Incorporated e Burt and Deedee McMurtry Professor of Lewis L. Judd, M.D. Engineering Mary Gilman Marston Professor Chair, Department of Management Science Chair, Department of Psychiatry Perry L. McCarty Silas H. Palmer Professor Emeritus and Engineering School of Medicine Stanford University University of California, San Diego of Civil and Environmental Engineering Stanford University C. Kumar N. Patel David N. Kennedy Professor of Physics Consulting Engineer James L. McGaugh Director Former Vice Chancellor for Research Retired Director University of California, Los Angeles California Department of Water Resources Center for the Neurobiology of Learning & Memory University of California, Irvine Roy Pea Robert P. Kennedy Professor of Education and Learning Consulting Engineer Sciences RPK Structural Mechanics Consulting, Inc. Burton J. McMurtry Venture Capitalist Director, Stanford Center for Innovation in Learning Charles F. Kennel Stanford University Director Duane T. McRuer Scripps Institution of Oceanography Chairman Systems Technology, Inc. Jack W. Peltason Dean and Vice Chancellor of Marine President Sciences e Donald Bren Foundation University of California, San Diego Jarold A. Meyer President Emeritus/Chancellor Emeritus Principal University of California, Irvine Lee R. Kerschner J. A. Meyer Associates Vice Chancellor Emeritus Edward E. Penhoet California State University William F. Miller President Herbert Hoover Professor of Public and Gordon and Betty Moore Foundation C. Judson King Private Management Emeritus Vice Chair, Independent Citizens Oversight CCST Council Chair Emeritus Graduate School of Business Committee, California Institute for Director Stanford University Regenerative Medicine Center for Studies in Higher Education University of California, Berkeley Douglas C. Moorhouse Joseph Penzien Chairman Emeritus Chair, Board of Directors Steven E. Koonin Woodward-Clyde Group, Inc. International Civil Engineering Chief Scientist Consultants, Inc. BP p.l.c. Venkatesh Narayanamurti Professor of eoretical Physics and John A. and Elizabeth S. Armstrong Burton Richter Former Provost Professor of Engineering and Applied Nobel Laureate California Institute of Technology Sciences Paul Pigott Professor in the Physical Dean and Professor of Physics Sciences, Emeritus and Director Emeritus Harvard University Arthur Kornberg, M.D. Stanford Linear Accelerator Center Nobel Laureate Stanford University Emeritus Pfeiffer Merner Professor of J. Fernando Niebla Biochemistry President Henry E. Riggs Stanford University School of Medicine International Training Partners President Emeritus Keck Graduate Institute of Applied Life Sciences
19 - CCST FELLOWS James E. Roberts Robert J. Spinrad David H. Warren Retired Chief Deputy Director Retired Vice President, Technology Strategy Professor Emeritus of Psychology California Department of Transportation Xerox Corporation University of California, Riverside
Stephen D. Rockwood Edward C. Stone Carl J. Weinberg Executive Vice President David Morrisroe Professor of Physics Principal Science Applications International California Institute of Technology Weinberg Associates Corporation Cornelius “Neal” W. Sullivan Max T. Weiss James M. Rosser Vice Provost for Research and Professor of Retired Vice President and General Manager President Biological Sciences Electronic Systems Division California State University, Los Angeles University of Southern California Northrop Grumman Corporation
F. Sherwood Rowland Bob H. Suzuki Robert H. Wertheim Nobel Laureate Retired President Rear Admiral, USN (retired) Donald Bren Research Professor of California Polytechnic State University, Private Consultant Chemistry and Earth Systems Science Pomona Science Applications International University of California, Irvine Corporation James L. Sweeney William J. Rutter Professor John Oliver Wilson Chairman Emeritus Department of Management Science and Board of Directors e Chiron Corporation Engineering Calpine, e Ryland Group Incorporated, Emeritus Hertzstein Professor of Stanford University and SDR Capital Management Biochemistry University of California, San Francisco Clarence A. Syvertson Loring A. Wyllie, Jr. Emeritus CCST Fellow Board Chair Emeritus and Senior Principal Maxine L. Savitz Retired Director Degenkolb Engineers Retired General Manager NASA Ames Research Center Technology Partnerships Henry T. Yang Honeywell, Inc. R. Michael Tanner Chancellor Provost and Vice Chancellor for Academic Professor of Mechanical Engineering George Scalise Affairs University of California, Santa Barbara President University of Illinois at Chicago Semiconductor Industry Association Former Executive Vice Chancellor Richard N. Zare University of California, Santa Cruz Marguerite Blake Wilbur Professor John H. Seinfeld in Natural Science Louis E. Nohl Professor C. Bruce Tarter Stanford University Professor of Chemical Engineering Director Emeritus California Institute of Technology Lawrence Livermore National Laboratory Abe M. Zarem Founder and Managing Director Charles V. Shank Ignacio Tinoco, Jr. Frontier Associates Retired Director Professor in the Graduate School Lawrence Berkeley National Laboratory University of California, Berkeley Ed Zschau Faculty Senior Scientist Visiting Professor Physical Biosciences Division Princeton University Lucy Shapiro Lawrence Berkeley National Laboratory Director of the Beckman Center for Molecular and Genetic Medicine, and Lynne G. Zucker D.K. Ludwig Professor of Cancer Research Larry Toy Professor of Sociology and Policy Studies Stanford University School of Medicine President Director, Center for International Science, Foundation for California Community Technology and Cultural Policy Colleges Robert N. Shelton School of Public Policy & Social Research Executive Vice Chancellor and Provost University of California, Los Angeles University of North Carolina at Chapel Hill Hal R. Varian Dean and Professor John Zysman School of Information Management and John B. Slaughter Professor of Political Science Systems Co-Director and Co-Founder, Berkeley President University of California, Berkeley National Action Council for Minorities in Roundtable on the International Economy Engineering (NACME) (BRIE) President Emeritus, Occidental College University of California, Berkeley
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