United States General Accounting Office

GAO Report to the Chairman and Ranking

Minority Member, Subcommittee on

Defense, Committee on Appropriations,

U.S. Senate

July 1995 DEFENSE RESEARCH

AND DEVELOPMENT

Affiliations of Fiscal

Year 1993 Trustees for

Federally Funded

Centers

GAO/NSIAD-95-135

GAO United States

General Accounting Office

Washington, D.C. 20548

National Security and

International Affairs Division

B-259058 

July 26, 1995

The Honorable Ted Stevens

Chairman

The Honorable Daniel K. Inouye

Ranking Minority Member

Subcommittee on Defense

Committee on Appropriations

United States Senate

This report responds to your request that we provide information on the

boards of trustees who served in fiscal year 1993 at the Department of

Defense (DOD) Federally Funded Research and Development Centers

(FFRDC). Specifically, we are providing information on (1) how trustees are

elected to each board; (2) FFRDC trustees and officers who left in fiscal

year 1993 to take executive positions in the federal government;

(3) trustees’ representation on the Defense Science Board (DSB); (4) retired

command-level officers on the FFRDC boards; (5) trustees sitting on more

than one FFRDC board, and affiliated with non-DOD FFRDCs; and (6) the fiscal

year 1993 and prior affiliations by FFRDC and by individual trustees, and the

trustees having the most individual affiliations (with FFRDCs, universities,

private sector firms, the federal government, and the military). We plan to

separately provide you with information on the fiscal year 1993 costs and

stipends associated with these trustees and other DOD FFRDC management

advisory personnel.

Background The FFRDCs were established during World War II to meet special research

needs that federal and private sector facilities could not provide. The

number of FFRDCs has varied over the years, but in fiscal year 1993 there

were 39,1

 10 sponsored by DOD—the Aerospace Corporation (ASP), the CNA

Corporation (CNA), the Institute for Defense Analyses (IDA), the Lincoln

Laboratories (LLB), the Logistics Management Institute (LMI), the MITRE

Corporation (MTR), the Rand Corporation (RND),2

 and the Software

Engineering Institute (SEI). Each FFRDC is managed by a private sector

nonprofit company or university, and funded primarily through a

renewable sole-source contract with a maximum 5-year term. The 8 boards

1

Of 29 non-DOD FFRDCs, 19 are managed by the Department of Energy, 6 by the National Science

Foundation, and 1 each by the Federal Aviation Administration, the Internal Revenue Service, the

National Institutes of Health, and the National Aeronautics and Space Administration.

2

RND’s one board of trustees manages its three FFRDCs—the Arroyo Center for the Army, Project Air

Force, and the National Defense Research Institute for DOD.

Page 1 GAO/NSIAD-95-135 Defense Research and Development
B-259058 

of trustees3 for the 10 DOD FFRDCs had 158 fiscal year 1993 members, but

only 141 individual members, as some trustees sat on more than 1 board.

In fiscal year 1993, Congress appropriated about $1.4 billion for the DOD

FFRDCs.

Results in Brief Six FFRDC boards of trustees are elected, while two (LLB and SEI) are

appointed by the provost of the university that manages

them—Massachusetts Institute of Technology (MIT) and Carnegie Mellon

University, respectively. RND has 5-year terms, with a 2-consecutive term

limit until age 72; MTR has 3-year terms, with a 2-term limit until age 72; ASP

has 3-year terms, with a 3-consecutive term limit; SEI has 4-year terms, with

a 2-term limit; CNA has 3-year terms, with a 2-consecutive term limit; IDA

has 3-year terms with no term limits; LMI has 1-year terms with no term

limits; and LLB trustee appointments are for unlimited terms. The six

nonuniversity boards provide their FFRDCs guidance and overall

management direction, while the LLB and SEI boards only provide advice

and recommendations for FFRDC activities to their respective university

boards.

In fiscal year 1993, there were eight trustees and officers who left the DOD

FFRDCs to take executive-level positions in the federal government. (See

app. I.)

In fiscal year 1993, 16 trustees sat on more than 1 DOD FFRDC board (15 sat

on 2 and 1 on 3), 13 sat on the 1993 DSB (representing 21 percent of its total

membership), and 12 had non-DOD FFRDC affiliations. The 21 retired

admirals and generals that sat on the DOD FFRDC boards represented

15 percent of the total fiscal year 1993 board memberships. (See app. II.)

There were over 1,200 (over 700 fiscal year 1993 and over 400 prior)

trustee affiliations, with the total affiliations for individual DOD FFRDCs

ranging from about 50 to over 300. Total affiliations for individual trustees

ranged from 1 to 26. (See app. III.)

The detailed affiliation information for all the current fiscal year 1993 and

prior affiliations of each individual trustee on each DOD FFRDC board are

listed alphabetically in appendix IV.

3

To simplify discussion, all DOD FFRDC board members are called “trustees” in this report.

Page 2 GAO/NSIAD-95-135 Defense Research and Development
B-259058 

Scope and

Methodology

We obtained from each DOD FFRDC a list of trustees and short biography for

each individual. We added to this list the affiliations found in the 1994

Who’s Who in America, and in the 46,000 private sector companies’ key

personnel listed by Standard and Poor’s and Compact Disclosure. We

believe that these sources provided us a listing of affiliations sufficient to

give the Subcommittee extensive, but not necessarily complete,

information. We further limited the affiliations listed to those with

(1) other DOD and non-DOD FFRDCs; (2) private sector companies

(executive-level positions only), including those companies having the

most fiscal year 1993 DOD prime contracts; (3) universities, including those

having the most fiscal year 1992 and 1993 DOD research and development

funding; (4) the federal government; and (5) command positions in the

armed services. Our work was done from November 1994 through

July 1995.

As agreed with your staff, we did not obtain formal written agency

comments; however, we did discuss the information presented in this

report with DOD officials, and revised the text where appropriate. The

affiliations we list were also sent to each trustee for verification, and

adjusted as instructed by those trustees that provided changes.

Unless you publicly announce the contents of this report earlier, we plan

no further distribution until 30 days from its issue date. At that time, we

will send copies to the Secretaries of Defense, the Army, the Navy, and the

Air Force; the Director, Office of Management and Budget; other

congressional committees and subcommittees; and each of the DOD FFRDCs.

We will also make copies available to others on request.

If you or your staff have any questions about the information presented in

this report, please contact me on (202) 512-4587. The major contributors to

this report are listed in appendix V.

David E. Cooper

Director, Acquisition Policy, Technology,

 and Competitiveness Issues

Page 3 GAO/NSIAD-95-135 Defense Research and Development
Contents

Letter 1

Appendix I 

FFRDC Officials Who

Left in Fiscal Year

1993 to Take

Executive-Level

Positions in the

Federal Government

6

Appendix II 

Trustee Fiscal Year

1993 Summaries

Concerning Seats on

Various Boards and

Prior Military Service

7

Appendix III 

Trustee Fiscal Year

1993 Summaries

Concerning DOD and

Other Affiliations

10

Appendix IV 

Trustee Fiscal Year

1993 Affiliations by

Category

13

Appendix V 

Major Contributors to

This Report

55

Page 4 GAO/NSIAD-95-135 Defense Research and Development
Contents

Tables Table II.1: Trustees Sitting on More Than One DOD FFRDC Board 7

Table II.2: Trustees Sitting on the Fiscal Year 1993 Defense

Science Board

7

Table II.3: DOD FFRDC Trustees Affiliated With Non-DOD

FFRDCs During Fiscal Year 1993 and Prior Years

8

Table II.4: Retired Generals and Admirals Sitting on Fiscal Year

1993 DOD FFRDC Boards

9

 Table III.1: Total, Current Fiscal Year 1993, and Past Affiliations

for All DOD FFRDC Trustees

10

 Table III.2: Number of Affiliations for the 141 DOD FFRDC

Trustees

10

Table III.3: Individual Trustees With the Greatest Number of

Affiliations

10

 Table III.4: Total DOD FFRDC Affiliations by Category 11

 Table III.5: Current Fiscal Year 1993 DOD FFRDC Affiliations by

Category

11

Table III.6: Past DOD FFRDC Affiliations by Category 12

Abbreviations

ASP Aerospace Corporation

CEO chief executive officer

CNA CNA Corporation

DOD Department of Defense

DSB Defense Science Board

FAA Federal Aviation Administration

FFRDC Federally Funded Research and Development Center

IDA Institute for Defense Analysis

LLB Lincoln Laboratories

LMI Logistics Management Institute

MIT Massachusetts Institute of Technology

MTR MITRE Corporation

NATO North Atlantic Treaty Organization

R&D Research and Development

RND Rand Corporation

SEI Software Engineering Institute

Page 5 GAO/NSIAD-95-135 Defense Research and Development
Appendix I 

FFRDC Officials Who Left in Fiscal Year

1993 to Take Executive-Level Positions in

the Federal Government

Name Position left Date left Position taken

Dr. Ashton Carter MTR—trustee 6/93 Assistant Secretary of

Defense for

International Security

Policy

John Deutch MTR—advisor to board 3/93 Deputy Secretary of

Defense

Dr. Anita Jones MTR—trustee 5/93 Director, Defense

Research and

Engineering

John Knubel LMI—vice president 10/92 Senior Assistant to the

Chief Financial

Officer, Nuclear

Regulatory

Commission

Walter Mondale RND—trustee 9/93 Ambassador to Japan

Dr. William Perry MTR—advisor to board 3/93 Secretary of Defense

Walter Slocombe LLB—trustee 8/93 Principal Deputy

Under Secretary of

Defense for Policy

Dr. Sheila Widnall LLB—trustee 8/93 Secretary of the Air

Force

Page 6 GAO/NSIAD-95-135 Defense Research and Development
Appendix II 

Trustee Fiscal Year 1993 Summaries

Concerning Seats on Various Boards and

Prior Military Service

Table II.1: Trustees Sitting on More

Than One DOD FFRDC Board Name FFRDC Name FFRDC

Dr. P. Pierre ASP, CNA, LLB Gen. B. Rogers IDA, LMI

Dr. C. Baird CNA, LMI Dr. J. Ruina LLB, MTR

Dr. J. Borsting CNA, IDA Dr. J. Shea ASP, LLB

Dr. R. Davis ASP, IDA Gen. L. Skantze ASP, LMI

Gen. R. Dougherty ASP, IDA Dr. A. Wheelon ASP, RND

R. Everett LLB, MTR Dr. S. Widnall ASP, LLB

Dr. J. Fox ASP, LMI C. Zraket CNA, MTR

Gen. R. Marsh MTR, SEI Dr. C. Zwick ASP, RND

Note: ASP had the most—nine—board members sitting on other boards; LLB had five; CNA, IDA,

LMI and MTR all had four; RND had two; and SEI one.

Table II.2: Trustees Sitting on the

Fiscal Year 1993 Defense Science

Board Name

FFRDC

represented

E. Aldridge, Jr. ASP

Dr. P. Pierre ASP, CNA, LLB

Dr. J. Shea ASP, LLB

Gen. R. Dougherty ASP, IDA

Dr. J. Welch LLB

R. Everett LLB, MTR

Gen. B. Randolph LLB

G. Whitesides LLB

J. Foster, Jr. LMI

Dr. A. Carter MTR

Dr. G. Heilmeier MTR

Dr. A. Jones MTR

S. Buchsbaum RND

Note: The 13 DOD FFRDC trustees represent 21 percent of the fiscal year 1993 Defense Science

Board membership. There were also four fiscal year 1993 consultants to the DSB and five past

members.

Page 7 GAO/NSIAD-95-135 Defense Research and Development
Appendix II 

Trustee Fiscal Year 1993 Summaries

Concerning Seats on Various Boards and

Prior Military Service

Table II.3: DOD FFRDC Trustees

Affiliated With Non-DOD FFRDCs

During Fiscal Year 1993 and Prior

Years

Name Affiliation Non-DOD FFRDC

Dr. A. Carter, MTR Research Associate Brookhaven National Lab,

Fermi National Accelerator

Lab

J. Foster Jr., LMI Director Lawrence Livermore

National Lab

A. Kerman, LLB Consultant Argonne, Brookhaven,

Lawrence Berkeley,

Lawrence Livermore, Los

Alamos, and Oak Ridge

National Labs

Dr. E. Martin, SEI Member, Advisory

Committee

Los Alamos National Lab

Dr. J. Palms, IDA Member, Advisory

Committee,

Member

Oak Ridge and

Los Alamos National Labs

Dr. P. Pierre,

ASP,CNA,LLB

Member, Advisory Board Los Alamos National Lab

Dr. W. Press, IDA Consultant Lawrence Livermore and

Los Alamos National Labs

Dr. B. Richter, LLB Director Stanford Linear Accelerator

Center

Dr. A. Sage, CNA Consultant Battelle Memorial Institute

R. Shannon, ASP Consultant Lawrence Livermore

National Lab, Idaho

National Engineering Lab

Dr. H. Shull, IDA Trustee Fermi National Lab

Gen. L. Welch, IDA Member, Advisory

Committee

Lawrence Livermore

National Lab

Page 8 GAO/NSIAD-95-135 Defense Research and Development
Appendix II 

Trustee Fiscal Year 1993 Summaries

Concerning Seats on Various Boards and

Prior Military Service

Table II.4: Retired Generals and

Admirals Sitting on Fiscal Year 1993

DOD FFRDC Boards

Generals

Robert Barrow Bernard Rogers

Russell Dougherty Alan Salisbury

Alexander Haig, Jr. Brent Scowcroft

Robert Herres Lawrence Skantze

Robert Marsh William Smith

Edward Meyer William Tuttle

Robert Pursley Larry Welch

Bernard Randolph

Admirals

Albert Baciocco, Jr. George Kinnear II

Huntington Hardisty Robert Long

Bobby Inman Harry Train II

Note: These 21 retired officers represent 15 percent of the total 141 DOD FFRDC trustees in fiscal

year 1993.

Page 9 GAO/NSIAD-95-135 Defense Research and Development
Appendix III 

Trustee Fiscal Year 1993 Summaries

Concerning DOD and Other Affiliations

Table III.1: Total, Current Fiscal Year

1993, and Past Affiliations for All DOD

FFRDC Trustees

FFRDC Trustee Fiscal year 1993 Past Total

ASP 22 120 85 205

CNA 29 199 126 325

IDA 20 98 65 163

LLB 17 91 56 147

LMI 18 64 40 104

MTR 21 154 89 243

RND 22 131 63 194

SEI 9 41 14 55

Subtotal 158 898 538 1,436

Less multiple countsa 17 128 69 197

Total 141 770 469 1,239

aThere were 15 trustees sitting on 2 DOD FFRDC boards, and 1 sitting on 3 boards. This

adjustment to overall totals deletes the 15 double and 1 triple count of affiliations caused by the

multiple board seats.

Table III.2: Number of Affiliations for

the 141 DOD FFRDC Trustees

Trustee affiliation

Number of

trustees Percent

1 to 5 38 27

6 to 10 59 42

11 to 15 34 24

16 to 26 10 7

Table III.3: Individual Trustees With the

Greatest Number of Affiliations Trustee FFRDC Fiscal year 1993 Past Total

Albritton, Joe MTR 25 1 26

Byrom, Fletcher CNA 21 5 26

Davis, Dr. Ruth ASP,IDA 17 7 24

Haig, A. Jr. CNA 10 13 23

Rice, Lois CNA 12 11 23

Brown, Dr. Harold RND 13 7 20

Palms, Dr. John IDA 7 11 18

Evans, Daniel CNA 14 2 16

Inman, Bobby CNA 9 7 16

Rumsfeld, Donald RND 12 4 16

Note: For the above trustees’ specific affiliations, see appendix IV.

Page 10 GAO/NSIAD-95-135 Defense Research and Development
Appendix III 

Trustee Fiscal Year 1993 Summaries

Concerning DOD and Other Affiliations

Table III.4: Total DOD FFRDC

Affiliations by Category Category Total ASP CNA IDA LLB LMI MTR RND SEI

DOD 

FFRDC 220 32 40 30 27 24 31 25 11

Non-DOD FFRDC 23 3 2 6 8 1 2 0 1

University 84 12 31 10 12 4 7 7 1

University with DOD R&Da 126 17 31 12 15 1 32 15 3

Private sector 528 70 144 55 23 41 91 88 19

Private sector with DOD 83 14 13 6 10 10 14 9 7

Federal government 132 18 20 9 24 3 31 24 3

Military 201 37 36 29 26 18 30 15 10

Other 39 5 8 6 2 2 5 11 0

Totalb 1,436 205 325 163 147 104 243 194 55

aResearch and development (R&D). There are 197 duplicate affililiations resulting from trustees

sitting on more than 1 board. Therefore, there are only 1,239 total individual affiliations.

Table III.5: Current Fiscal Year 1993

DOD FFRDC Affiliations by Category Category Total ASP CNA IDA LLB LMI MTR RND SEI

DOD

FFRDC 196 32 34 26 24 21 25 24 10

Non-DOD FFRDC 10 2 1 1 5 0 0 0 1

University 49 7 18 6 5 4 3 5 1

University with DOD R&D 77 10 19 7 9 1 20 9 2

Private sector 396 45 97 43 19 32 73 71 16

Private sector with DOD 51 8 7 5 5 4 9 8 5

Federal government 27 2 6 0 7 0 8 2 2

Military 64 10 11 7 15 1 12 4 4

Other 28 4 6 3 2 1 4 8 0

Totala 898 120 199 98 91 64 154 131 41

aThere are 128 duplicate affililiations resulting from trustees sitting on more than 1 board.

Therefore, there are only 770 current fiscal year 1993 individual affiliations.

Page 11 GAO/NSIAD-95-135 Defense Research and Development
Appendix III 

Trustee Fiscal Year 1993 Summaries

Concerning DOD and Other Affiliations

Table III.6: Past DOD FFRDC

Affiliations by Category Category Total ASP CNA IDA LLB LMI MTR RND SEI

DOD

FFRDC 24 0 6 4 3 3 6 1 1

Non-DOD FFRDC 13 1 1 5 3 1 2 0 0

University 35 5 13 4 7 0 4 2 0

University with DOD R&D 49 7 12 5 6 0 12 6 1

Private sector 132 22 47 12 4 9 18 17 3

Private sector with DOD 32 6 6 1 5 6 5 1 2

Federal government 105 16 14 9 17 3 23 22 1

Military 137 27 25 22 11 17 18 11 6

Other 11 1 2 3 0 1 1 3 0

Totala 538 85 126 65 56 40 89 63 14

aThere are 69 duplicate affiliations resulting from trustees sitting on more than 1 board. Therefore,

there are only 469 past individual affiliations.

Page 12 GAO/NSIAD-95-135 Defense Research and Development
Appendix IV 

Trustee Fiscal Year 1993 Affiliations by

Category

Introduction Included in this appendix are the current fiscal year 1993 and prior years’

affiliations for each of the 141 DOD FFRDC trustees at the (1) ASP, (2) CNA,

(3) IDA, (4) LLB, (5) LMI, (6) MTR, (7) RND, and (8) SEI.

The affiliations listed were taken from the biographies provided by each

DOD FFRDC, the 1994 Who’s Who in America, and the Standard & Poor’s and

Compact Disclosure data bases on 46,000 private sector companies’ key

personnel. The affiliations shown were also limited to those associated

with (1) DOD and non-DOD FFRDCs; (2) private sector firms, including those

receiving the most fiscal year 1993 DOD prime contracts; (3) universities,

including those receiving the most fiscal year 1992 and 1993 DOD research

and development funds; (4) the federal government; (5) command

positions in the armed services; and (6) other relevant affiliations.

Individual lists of affiliations were sent to each trustee for verification, and

the data corrected as indicated by their replies. For each trustee, all

current fiscal year 1993 affiliations are shown first (in bold type), followed

by all the prior years’ affiliations.

Page 13 GAO/NSIAD-95-135 Defense Research and Development
Appendix IV 

Trustee Fiscal Year 1993 Affiliations by

Category

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Trustee Fiscal Year 1993 Affiliations by

Category

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Trustee Fiscal Year 1993 Affiliations by

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Appendix V 

Major Contributors to This Report

National Security and

International Affairs

Division, Washington,

D.C.

Charles F. Rey, Assistant Director

Marilyn Mauch, Assistant Director

Roy B. Karadbil, Evaluator-in-Charge

Charles W. Malphurs, Evaluator-in-Charge

Jai E. Lee, Senior Computer Specialist

Shirley B. Johnson, Evaluator

Stacy Edwards, Evaluator

(705087) Page 55 GAO/NSIAD-95-135 Defense Research and Development
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