SCIENCE AND SECURITY IN A POST 9/11 WORLD

A Report Based on Regional Discussions Between the Science and Security Communities

Committee on a New Government-University Partnership for Science and Security

Committee on Science, Technology, and Law

Policy and Global Affairs

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

Washington, D.C.
www.nap.edu



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Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities SCIENCE AND SECURITY IN A POST 9/11 WORLD A Report Based on Regional Discussions Between the Science and Security Communities Committee on a New Government-University Partnership for Science and Security Committee on Science, Technology, and Law Policy and Global Affairs NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu

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Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee were chosen for their special competences and with regard for appropriate balance. This study was supported by Contract Task Order #163, between the National Academies and the National Science Foundation (NSF#: O1A-0439670) and the National Institutes of Health (NIH#: N01-OD-4-2139). Dissemination of the report was supported by The Starr Foundation. The views presented in this report are those of the committee and are not necessarily those of the funding source. International Standard Book Number 13:978-0-309-11191-1 International Standard Book Number 10: 0-309-11191-9 Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu. Suggested citation : National Research Council. 2007. Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities. Committee on a New Government-University Partnership for Science and Security. Committee on Science, Technology, and Law. Washington, D.C.: The National Academies Press Copyright 2007 by the National Academy of Sciences. All rights reserved. Printed in the United States of America.

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Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council.

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Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities Committee on a New Government-University Partnership for Science and Security JACQUES S. GANSLER (NAE), co-chair, Vice President for Research, University of Maryland ALICE P. GAST (NAE), co-chair, President, Lehigh University ARTHUR BIENENSTOCK, Special Assistant to the President for Federal Research Policy, Stanford University LOUANN BURNETT, Assistant Director of Environmental Health and Safety and Biosafety Officer, Vanderbilt University KAREN COOK (NAS), Professor of Sociology, Stanford University JOHN A. GORDON, General (ret.), U.S. Air Force GARY HART, Wirth Professor of Public Policy, University of Colorado MICHAEL J. IMPERIALE, Professor of Microbiology and Immunology, University of Michigan RICHARD A. MESERVE (NAE), President, Carnegie Institution of Washington JULIE T. NORRIS, Director Emeritus, Office of Sponsored Programs, Massachusetts Institute of Technology ELIZABETH RINDSKOPF PARKER, Dean, McGeorge School of Law, University of the Pacific Staff ANNE-MARIE MAZZA, Study Director LAUREL HAAK, Program Officer KATIE MAGEE, Senior Program Assistant ELIZABETH BRIGGS, Senior Program Associate (until 9/06) ASHA COLLINS, Christine Mirzayan Policy Fellow KATHI E. HANNA, Consultant Writer SARA D. MADDOX, Editor

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Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities Committee on Science, Technology, and Law DONALD KENNEDY (NAS/IOM), (co-chair), Editor in Chief, Science, President Emeritus and Bing Professor of Environmental Science Emeritus, Stanford University RICHARD A. MERRILL (IOM), (co-chair), Daniel Caplin Professor of Law, University of Virginia Law School SHIRLEY S. ABRAHAMSON, Chief Justice, Wisconsin Supreme Court FREDERICK R. ANDERSON, JR., Partner, McKenna, Long & Aldridge LLP MARGARET A. BERGER, Suzanne J. and Norman Miles Professor of Law, Brooklyn Law School ARTHUR I. BIENENSTOCK, Special Assistant to the President for Federal Research Policy, Stanford University BARBARA E. BIERER, Senior Vice President for Research, Brigham and Women’s Hospital JOE S. CECIL, Project Director, Program on Scientific and Technical Evidence, Division of Research, Federal Judicial Center RICHARD F. CELESTE, President, Colorado College JOEL E. COHEN (NAS), Abby Rockefeller Mauze Professor and Head, Laboratory of Populations, The Rockefeller University and Columbia University KENNETH W. DAM, Max Pam Professor Emeritus of American and Foreign Law and Senior Lecturer, University of Chicago Law School ROCHELLE COOPER DREYFUSS, Pauline Newman Professor of Law, New York University School of Law LAWRENCE O. GOSTIN (IOM), Associate Dean for Research and Academic Programs, Professor of Law, Georgetown University DAVID BROCK HORNBY, Judge, U.S. District Court, District of Maine SHEILA S. JASANOFF, Pforzheimer Professor of Science and Public Policy Studies, John F. Kennedy School of Government, Harvard University DAVID KORN (IOM), Senior Vice President for Biomedical and Health Sciences Research, Association of American Medical Colleges ROBERT A. LONERGAN, Vice President and General Counsel, Rohm and Haas RICHARD A. MESERVE (NAE), President, Carnegie Institution of Washington

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Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities DUNCAN T. MOORE (NAE), Professor, The Institute of Optics, University of Rochester ALAN B. MORRISON, Senior Lecturer, Stanford Law School HARRIET RABB, Vice President and General Counsel, Rockefeller University PAUL RHEINGOLD, Senior Partner, Rheingold, Valet, Rheingold, Shkolnik & McCartney BARBARA ROTHSTEIN, Director, Federal Judicial Center JONATHAN M. SAMET (IOM), Professor and Chairman, Department of Epidemiology, Johns Hopkins Bloomberg School of Public Health SHEILA E. WIDNALL (NAE), Institute Professor, Massachusetts Institute of Technology DAVID S. TATEL, Judge, U.S. Court of Appeals for the District of Columbia Circuit Staff ANNE-MARIE MAZZA, Director KATHLEEN MAGEE, Senior Program Assistant

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Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities PREFACE After September 11, 2001, the National Academies organized the scientific community to identify ways in which scientists and engineers could be of most use to the country. A number of meetings and workshops were held and reports were issued advising the government on a range of subjects that included nuclear, radiological, and biological threats; human and agricultural health systems; chemicals and explosives; and information technology infrastructure. Recognizing that a robust national science and engineering research enterprise is critical to our Nation’s overall economic well-being and security, the National Academies also took a close look at how the events of September 11th might affect our research universities and institutions and organized a two-day symposium in Washington, D.C., in December 2001. During those deliberations, it became clear that over time there would be a need to assess the effects of new and proposed legislation and regulations—as well as the enforcement of existing requirements—on the conduct of research and the training of scientists at U.S. academic institutions. Subsequently, the House Committee on Science and Technology, under the leadership of Representatives Boehlert and Gordon, asked the National Academies to organize regional meetings on university campuses to gain a better understanding of whether concerns about our country’s need to protect itself from terrorist threats had resulted in policy changes that were altering our ability to attract the best and brightest scientists and engineers and to undertake and conduct leading-edge research (see Appendix A). Those meetings formed the basis of this report and the recommendations of this committee. As such, this is not a typical report of the National Academies. Rather, it is a combination of fact-finding and discussion that aims to accurately reflect the discussions held with members of the research and security communities and the committee’s deliberations. In the course of this project, we sought to hear from individuals with intimate knowledge of the security threats posed by the open and free flow of information and the movement of individuals among universities across the globe and from leaders in science and engineering research. Our report is an attempt to bridge the legitimate concerns of the national security community with the need to maintain open and vibrant research universities. We are deeply indebted to the members of the committee, who brought a range of

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Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities experience from the national security and research communities, for their thoughtful contributions to our discussions and to this report. We also would like to thank all the wonderful speakers who made presentations to the committee, and our hosts, President Susan Hockfield of the Massachusetts Institute of Technology, President Wayne Clough of the Georgia Institute of Technology, and President John Hennessey of Stanford University, and their staff Eugene Skolnikoff, Jilda Garton, Arthur Bienenstock, Pat Cooke, and Michelle Green, who assisted in organizing the three regional meetings. Additionally, we would like to thank Ruth Berkelman, Emory University, and the Southeast Regional Center for Excellence for Biodefense and Emerging Infections for their contributions to the regional meeting held at the Georgia Institute of Technology. Finally, we would like to thank the study staff—Anne-Marie Mazza, Elizabeth Briggs, Kathleen Magee, the consultant writer Kathi Hanna, and editor Sara Maddox—for all of their hard work in support of the committee. JACQUES GANSLER AND ALICE P. GAST Co-Chairs

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Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities ACKNOWLEDGMENTS The committee gratefully acknowledges the contributions of the following individuals who made thoughtful presentations before it: James R. Baker, Jr., University of Michigan; Hon. Stewart A. Baker, Department of Homeland Security; Timothy D. Bereznay, Federal Bureau of Investigation; Suzanne Berger, Massachusetts Institute of Technology; Ruth L. Berkelman, Emory University; Gary K. Bertsch, University of Georgia; Hon. Lincoln P. Bloomfield, Jr., Palmer Coates LLC and Akin Gump Strauss Hauer & Feld LLP; Joanne P. Carney, American Association for the Advancement of Science; George M. Church, Harvard University; Raymond J. Clark; University of California, San Diego; Rachel Claus, Stanford University; Michelle Van Cleave, Office of National Counterintelligence; G. Wayne Clough, Georgia Institute of Technology; Richard Compans, Emory University School of Medicine; Stephen E. Cross, Georgia Institute of Technology, Georgia Tech Research Institute; Robert Cook-Deegan, Duke Institute for Genome Sciences and Policy Center for Genome Ethics Law and Policy; Dennis M. Dixon, Bacteriology and Mycology Branch Division of Microbiology and Infectious Diseases HHS/NIH/NIAID; Hon. Sue E. Eckert, Brown University; C.W. Francis Everitt, Stanford University; Peter A. Freeman, National Science Foundation; Frank Gaffney, Center for Security Policy; Jilda Diehl Garton, Georgia Institute of Technology; Hon. Paul Gilman, Oak Ridge National Laboratory; David J. Goldston, House Committee on Science, U.S. House of Representatives; Gigi Kwik Gronvall, University of Pittsburgh; John Hamre, Center for Strategic and International Studies; Elisa D. Harris, University of Maryland; Siegfried (Sig) Hecker, Stanford University; John L. Hennessy, Stanford University; Susan Hockfield, Massachusetts Institute of Technology; Sheila S. Jasanoff, Harvard University, Richard A. Johnson, Arnold & Porter, LLP; Wendy J. Keefer, Bancroft Associates PLLC; Donald Kennedy, American Association for the Advancement of Science, Stanford University; Genevieve J. Knezo, Library of Congress; Gary LaFree, University of Maryland; Lisa M. Lee, Centers for Disease Control and Prevention; Richard K. Lester, Massachusetts Institute of Technology; Carol D. Linden, Department of Homeland Security; Gretchen L. Lorenzi, Federal Bureau of Investigation; Hon. John H. Marburger, III, Executive Office of the President; Grace L. Mastalli, Department of Homeland Security; Hon. David McCormick, Department of Commerce; Gary W. Miller, Emory University; Patrick Mulloy, U.S.-China Economic and Security Review Commission; Hon.

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Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities Ernest J. Moniz, Massachusetts Institute of Technology; Randall S. Murch, Virginia Tech-National Capital Region; Michael Nacht, University of California, Berkeley; Amy P. Patterson, National Institutes of Health; Hon. William J. Perry, Stanford University; Gregory J. Pottie, University of California, Los Angeles; David Relman, Stanford University; Judith V. Reppy, Cornell University; Shankar Sastry, University of California, Berkeley; Dana Shea, Library of Congress; Janet Shoemaker, American Society of Microbiology; Howard J. Silver, Consortium of Social Science Associations; Mark F. Smith, American Association of University Professors; Tobin Smith, Association of American Universities; Eugene B. Skolnikoff, Massachusetts Institute of Technology; Debra W. Stewart, Council of Graduate Schools; Michelle Van Cleave, Office of the National Counterintelligence Executive; Charles M. Vest, Massachusetts Institute of Technology; William J. Wepfer, Georgia Institute of Technology; Hon. R. James Woolsey, Booz Allen Hamilton, Inc.; Barbara Yoder, University of California; Amy Zegart, University of California, Los Angeles; and Carol Zuiches, University of Washington. Acknowledgment of Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Academies’ Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the process. We wish to thank the following individuals for their review of this report: Nancy Connell, New Jersey Medical School; Gerald Dinneen, Honeywell Inc., (Retired); Sidney Drell, Stanford University; Gerald Epstein, Center for Strategic and International Studies; David Goldston, Princeton University; Robert Hardy, Council on Government Relations; Robert Sparks, California Medical Association Foundation; Myron Uman, consultant; Mitchell Wallerstein, Syracuse University; and Nancy Wray, Dartmouth University.

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Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Anita Jones, University of Virginia, and Alexander Flax, consultant. Appointed by the National Academies, they were responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.

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Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities CONTENTS     SUMMARY   1 I.   INTRODUCTION   17 II.   POLICIES FOR OPENNESS AND INFORMATION CONTROL   27 III.   THE INTERNATIONALIZATION OF U.S. SCIENCE AND ENGINEERING   49 IV.   BIOSECURITY AND DUAL-USE RESEARCH IN THE LIFE SCIENCES   57 V.   RESEARCH PRIORITIES   69 VI.   PARTNERSHIPS FOR SCIENCE AND SECURITY   77     APPENDIXES   85 A   Letter to Honorable John H. Marburger   87 B   Previous Reports Regarding Science and Security   89 C   References   92 D   Committee Member Biographies   97 E   Meeting Agendas   109

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