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NATIONAL STRATEGIES FOR RESEARCH UNIVERSITIES

Presentation February 25, 2010, at the colloquium series sponsored by the Center of Higher Education at the University of Arizona, entitled “Higher Education and the New Economy: Crisis or Opportunity?”

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NATIONAL STRATEGIES FOR RESEARCH UNIVERSITIES

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  1. Presentation February 25, 2010, at the colloquium series sponsored by the Center of Higher Education at the University of Arizona, entitled “Higher Education and the New Economy: Crisis or Opportunity?” Nils Hasselmo, President Emeritus, University of Minnesota and the Association of American Universities (AAU) NATIONAL STRATEGIES FOR RESEARCH UNIVERSITIES

  2. The Washington Scene • “Science, the Endless Frontier” • International Competition and the Rankings of Universities • “Rising Above the Gathering Storms:” • Storm #1: International competition • Storm #2: The financial crisis My Topics

  3. President’s Science Advisor • OSTP: Office of Science and Technology Policy • PCAST: President’s Council of Advisors on Science and Technology • OMB: Office of Management and budget The Federal Scene – the executive branch

  4. John P. Holdren, Teresa and John Heinz Professor of Environmental Policy at Harvard’s John F. Kennedy School of Government and Director of the Science, Technology, and Public Policy program in the School’s Belfer Center for Science and International Affairs. • Eric Lander, Professor of Systems Biology at Harvard Medical School and Founding Director of the Broad Institute of Harvard and MIT. • Serves with Holdren and Harold Varmus, National Institutes of Health Director during the Clinton Administration, as a co-chair of the President’s Council of Advisors on Science and Technology. Recent Presidential Appointees

  5. NSF – National Science Foundation • NIH – National Institutes of Health • Department of Defense - Basic Research • Department of Energy - Office of Science • NASA - Research • Department of Health and Human Services - Student aid • National Endowment for the Humanities • National Endowment for the Arts Federal Agencies

  6. Department of State – rules concerning international students; academic and cultural exchange programs • OMB - Office of Management and Budget - indirect costs and cost sharing • Department of Commerce – technology transfer OTHER FEDERAL AGENCIES

  7. WHES – Washington Higher Education secretariat: FIFTY PLUS EDUCATIONAL ASSOCIATIONS • The Six: • ACE – American Council on Education • AACC – American Association of Community • Colleges • AASCU – American Association of State Colleges • and Universities • AAU – Association of American Universities • APLU - Association of Public and Land Grant • Universities • NAICU – National Association of Independent • Colleges and Universities THE SECRETARIAT AND THE SIX

  8. CGS – Council of Graduate Schools • AAMC –Association of American Medical Colleges • CHEA – Council of Higher Education Accreditation • COGR – Council of Governmental Relations • ETC. SOME OTHER ASSOCIATIONS

  9. The Association of American Universities (AAU) is a nonprofit organization of 62 leading public and private research universities in the United States (60) and Canada (2).  • Founded in 1900 to advance the international standing of U.S. research universities, AAU today focuses on issues that are important to research-intensive universities, such as funding for research, research policy issues, and graduate and undergraduate education. Association of American UNIVERSITIES (AAU)

  10. University of California • The University of Chicago • Clark University • Columbia University • Cornell University • Harvard University, • Johns Hopkins University • University of Michigan • University of Pennsylvania • Princeton University • Stanford University • University of Wisconsin, • Yale University. AAU Founding Universities

  11. NAS – National Academy of Sciences • NAE – National Academy of Engineering • IOM – Institute of Medicine • NRC – National Research Council THE NATIONAL ACADEMIES

  12. The G.I. Bill, 1944 • “Science, the Endless Frontier,” 1945 • Pell Grants, 1965 • The Bayh-Dole Act – Intellectual Property Rights to Universities, 1980 • “Rising Above the Gathering Storm,” 2006 Major Developments Since WWII

  13. Science The Endless Frontier. A Report to the President by Vannevar Bush, Director of the Office of Scientific Research and Development, July 1945. (U.S. Government Printing Office, Washington: 1945 The “Sacred Text”

  14. “Publicly and privately supported colleges and universities and the endowed research institutes must furnish both the new scientific knowledge and the trained research workers. These institutions are uniquely qualified by tradition and by their special characteristics to carry on basic research….It is chiefly in these institutions that scientists may work in an atmosphere which is relatively free from the adverse pressure of convention, prejudice, or commercial necessity…” • “To serve effectively as the centers of basic research, these institutions must be strong and healthy. They must attract our best scientists as teachers and investigators. They must offer research opportunities and sufficient compensation to enable them to compete with industry and government for the cream of scientific talent.” • “A nation which depends upon others for its basic scientific knowledge will be slow in its industrial progress and weak in its competitive position in world trade, regardless of its mechanical skill.” “Science, the Endless Frontier”

  15. New federal agencies and programs supporting university research and graduate education, based completely on merit-review process. • Substantial investments also by states in quality research and education. • Strong support by alumni and donors. • Combination of strong, well-endowed private universities and comprehensive public flagship universities. • Vast expansion of knowledge as the basis for economic growth and national security. Since World War II

  16. Federal • State and Local • Industry • Institutional Funds • Other • All S&E R&D in Universities • For Basic Research • $31.2B • $3.4B • $2.9B • $10.4B • $3.9B • $51.9B • $39.4B Federal S&E R&D 2008

  17. Economic growth: More than half since WWII can be traced to technological innovation – much of it from government-funded, university-based research (Nobel Laureate Economist Robert Solow) • Patents: 73% of papers cited by U.S. industry patents based on publications by mainly academic scientists (Former UC President Richard Atkinson) The Impact of Federal Funding for Research

  18. Patents awarded to university faculty: from 800 in 1988 to 3200 in 2003 (Richard Atkinson) • Most disciplines and technologies of “modern life” from U.S. research universities: computer science, biological engineering, lasers, the Internet… (MIT President Susan Hochfield) Impact cont’d

  19. Federal Research Funds FY2006: • University of Arizona: $228.7M • Arizona State University: $99.7M • Northern Arizona University: $9.2M • Total Annual Economic Impact of Astronomy, Space Science, and Planetary Science FY2008: $252.8M (AASTA Report, 2008) The Arizona SCENE

  20. Best in the world but… • Can we sustain worldwide leadership in research and graduate education? • Declining state and local support. • Declining alumni and donor support – and declining revenues from endowments. • Uncertainty and complexity of federal funding. Best in the World?

  21. China has put large sums into its universities, with the nine top Chinese universities recently organizing what they have called their “ivy league” of institutions. • Germany, Korea, Japan, and India are also making similar strategic investments in building strong research universities. Other Nations

  22. Peking University • Tsinghua University • Zhejiang University • Harbin Institute of Technology • Fudan University • Shanghai Jiao Tong University • Nanjing University • University of Science and Technology of China • Xi'an JiaoTong University. “C9” – China’s Ivy League

  23. Xu Mei, the ministry's spokeswoman, said the establishment of the conference is a "helpful attempt that is conducive to the country's construction of high-quality colleges, cultivation of top-notch innovative talents and enhanced cooperation and exchanges between Chinese universities and their foreign counterparts.“ (People’s Daily, October 27, 2009). Statement from China’s Ministry of Education

  24. Jiao Tong Rankings • Top 50: 37 US – 4 UK – 2 France – 2 Japan – 2 Canada – 1 Switzerland – 1 Denmark – 1 Sweden   • Top 20: 17 US , 2 UK (Cambridge, Oxford), 1 Japan • Harvard #1 • Germany highest: #55, Ludwig-MaximiliansUniversitätMünchen • France highest: #40, Paris VI (Université Pierre et Marie Curie) • China highest: None in top 100 • India highest: None in top 100 • Times Rankings • Top 50: 20 US, 8 UK, 2 Aus, 2 Chi, 2 Hong Kong, 3 Japan, 3 Canada, 2 France, 1 Sing, 1 Switz, 1 Netherlands • Top 20: 12 US, 4 UK, 1 Canada, 1 Aus, 1 Japan, 1 Hong Kong • Harvard #1 • Germany highest: #60, Universität Heidelberg  • France highest: #26, (Ecole Normal Supérieur) • China highest: Tsinghua, #40 • India highest: None in top 200 Jiao Tong and Times Rankings

  25. U of A: #77 (Uppsala, Sweden #76, Moscow State #77, U of Rochester #77) • ASU: #94 (U of Indiana, Blmtn #93; U of Birmingham #94, U of Sidney #94) • PAC 10: 6 in top 100 • UC, Berkeley: #3 • U of A: #134 (Paris VI and Korea Adv. Institute of S&T #132, and U of Florida at #135) • ASU: Not in top 200 • PAC 10: 3 in top 100 • Stanford #19, UC, Berkeley #22 JiAO Tong and Times Rankings of AZ and Pac-10 Universities

  26. “Over time, the primary driver of changes in the reputation scores used by U.S. News & World Report are the U.S. News & World Report rankings themselves…” (M.S. Bastedo, University of Michigan in The Chronicle, February 5, 2010). Reputation Scores

  27. A Guide to the Methodology of the National Research Council Assessment of Research Doctorate Programs, 2009; it was prepared by The National Research Council’s “Committee to Assess Research Doctorate Programs.” NRC Rankings Methodology

  28. European Union recently began development of “a more nuanced and complex rankings system…” • The International Observatory on Academic Rankings and Excellence, non-profit headquartered in Warsaw, spun off by UNESCO – “ranking the rankers.” • “Over time, the primary driver of changes in the reputation scores used by U.S. News & World Report are the U.S. News & World Report rankings themselves…” (M.S. Bastedo, University of Michigan in The Chronicle, February 5, 2010). “Rankled by Rankings”

  29. Rising Above The Gathering Storm:Energizing and Employing America for a Brighter Economic Future • Norman R. AugustineRetired Chairman and Chief Executive OfficerLockheed Martin Corporation • And • Chair, Committee on Prospering in the Global Economy of the 21st CenturyCommittee on Science, Engineering, and Public PolicyDivision on Policy and Global AffairsThe National Academies Sounding the Alarm

  30. The National Academies was asked by Senator Lamar Alexander and Senator Jeff Bingaman of the Committee on Energy and Natural Resources, with endorsement by Representative Sherwood Boehlert and Representative Bart Gordon of the House Committee on Science, to respond to the following questions: • “What are the top 10 actions, in priority order, that federal policymakers could take to enhance the science and technology enterprise so that the United States can successfully compete, prosper, and be secure in the global community of the 21st century? What strategy, with several concrete steps, could be used to implement each of those actions? CHARGE FROM CONGRESS

  31. Science and engineering have changed the very nature of work. • At the beginning of the 20th century, 38% of the labor force was needed for farm work, which was hard and often dangerous. • By 2000, research in plant and animal genetics, nutrition, and husbandry together with innovation in machinery had transformed farm life. • Over the last half-century, yields per acre have increased about 2.5 times, and overall output per person-hour has increased fully 10-fold for common crops, such as wheat and corn. Those advances have reduced the farm labor force to less than 3% of the population. • (From “Rising Above the Gathering Storm”) Changes in the Nature of Work

  32. 20th century achievements: • Electricity • Automotive technology • Aeronautics • Water supply and distribution • Electronics • Radio and television • Agriculture • Computers • Telephony • Air conditioning and refrigeration • Highways • Aerospace technology • Internet • Imaging • Household appliances • Health technology • Petroleum and petrochemical technology • Lasers and fiber optics • High-performance materials • (From “Rising Above the Gathering Storm”) Life Is Better With Engineering

  33. South Korea: 38% of all undergraduates receive their degrees in natural science or engineering. France, 47%. China, 50%. Singapore, 67%. • The United States:15%. • Some 34% of doctoral degrees in natural sciences (including the physical, biological, earth, ocean, and atmospheric sciences) and 56% of engineering PhDs in the United States are awarded to foreign-born students. • In the US science and technology workforce in 2000, 38% of PhDs were foreign-born. • Estimates of 2-, 3-, or 4-year degrees in 2004: • China :350,000 engineers, computer scientists, and information technologists • United States: About 140,000. • About one-third of US students intending to major in engineering switch majors before graduating. • There were almost twice as many US physics bachelor’s degrees awarded in 1956, the last graduating class before Sputnik, than in 2004. • More S&P 500 CEOs obtained their undergraduate degrees in engineering than in any other field. • (From “Rinsing Above the Gathering Storm”) What’s Happening? Higher Education

  34. In 2001 (the most recent year for which data are available), US industry spent more on tort litigation than on research and development. • In 2005, only four American companies ranked among the top 10 corporate recipients of patents granted by the United States Patent and Trademark Office. • Beginning in 2007, the most capable high-energy particle accelerator on Earth will, for the first time, reside outside the United States. • (From “Rising Above the Gathering Storm”) • Federal funding of research in the physical sciences, as a percentage of gross domestic product (GDP), was 45% less in FY2004 than in FY 1976. • The amount invested annually by the US federal government in research in the physical sciences, mathematics, and engineering combined equals the annual increase in US healthcare costs incurred every 20 days. what’s happening? Research

  35. Our culture has always considered higher education a public good—or at least we have seemed to do so. • That was a primary reason for the creation • of the land-grant college system; • of universal primary and secondary schooling; • of a system of superior state universities; • of scholarships to needy students; and • of the Serviceman’s Readjustment Act of 1944—the GI Bill; and • of the National Defense Education Act (NDEA). Education as a Private Good?

  36. Other nations are strengthening their own programs and institutions. • Their strategies include: • the willingness to increase public support for research universities, • to enhance protections for intellectual property rights, • to promote venture capital activity, • to fund incubation centers for new businesses, and • to expand opportunities for innovative small companies. Other Nations Are Following Our Lead

  37. State, Local and Net Tuition Revenue Supporting General Operating Expenses ofHigher Education, U.S., Current Dollars: • Total: 130.3B • All State Sources:$80.7 Billion – 62% • Net Tuition:$41.6 Billion – 31.9% • Local Taxes:$8.0 Billion – 6.1% Source: State Support for Higher Education Database (SSDB) STATE AND LOCAL FUNDING FOR HIGHER EDUCATION (SHEEO)

  38. State and Local Government Commitments to Higher Education: • 1984 - $25.7 • 1994 - $39.9B • 2004 - $69.4B • 2008 - $88.7B • 2009 - $86.5B plus $2.3B stimulus money = $88.8B TRENDS IN State and Local Government Funding for Higher Education

  39. Since 1984, FTE enrollment at public institutions of higher education has increased from 7.4 million to 10.8 million. • Educational appropriations per FTE fell to $6,573 in 2005 (2009 dollars), a 25-year low in inflation-adjusted terms. • Between 2005 and 2008, educational appropriations per FTE recovered, growing to $7,220 in 2008, but dropped 4.0% to $6,928 in 2009. Long-Term Enrollment Increases and reductions in funding per FTE

  40. Average Endowment Loss: -18.7% • Harvard: - 29.8% - to $25.7B from $36.6B • University of Texas: - 24.8% - to $12.2B from $16.2B • University of Michigan: - 20.7% - to $6B from $7.6B (National Ass’n of College and University Business Officers and the Commonfund) Endowment Losses, 2008-2009

  41. 1. Ten Thousand Teachers, Ten Million Minds Increase America's talent pool by vastly improving K-12 mathematics and science education. 2. Sowing the Seeds Sustain and strengthen the nation's commitment to long-term basic research. 3. Best and BrightestDevelop, recruit, and retain top students, scientists, and engineers from both the United States and abroad. 4. Incentives for InnovationEnsure that the United States is the premier place in the world for innovation. “Rising Above the Gathering Storm”: Recommendations

  42. Given by Senators Lamar Alexander, Tennessee, and Barbara Mikulski, Maryland, from the Senate Subcommittee on Commerce, Justice & Science of the Senate Appropriations Committee, and Congressmen Bart Gordon, Tennessee, and Ralph Hall, Texas, from the House of Representatives Committee on Science and Technology: • “…assess the organizational, intellectual, and financial capacity of public and private American research universities relative to research universities internationally…” NEW Congressional Charge, 2009

  43. Presidential commissions on education have been relatively common : • “The Truman Report,” 1947 • President Eisenhower's “Committee on Education Beyond the High School,“ 1956 • President Kennedy's“Task Force on Education,” 1960 • President Regan's“National Commission on Excellence in Education,“ which produced A Nation at Risk, 1983 Presidential Commissions

  44. The Spellings Commission opens its report by stating that “higher education in the United States has become one of our greatest success stories” but recently, as the commission bluntly states in its preamble, “[foreign higher education systems] are passing us by a time when education is more important to our collective prosperity than ever.” The commission emphasizes the relationship between industry, education, and the government. The “Spellings Commission”

  45. Renewing the Partnership: Thoughts on the Current Status of American Research Universities. A Presentation to the National Academy’s Board on Higher Education and the Work Force, November 16, 2009, by Robert Berdahl, President, AAU. • Association of American Universities: Policy Recommendation for President-Elect Obama, December 2008. Recent AAU reports and recommendations

  46. Principle 1: Open competition with a rigorous merit review process. • Principle 2: The federal government should fairly reimburse universities for the costs of research. • Principle 3: Consistent with the need for accountability, researchers should be freed from as many unnecessary administrative and reporting responsibilities as possible so that more of their valuable time can be devoted to research and teaching. • Principle 4: Any allocation of funds from the federal government in support of public research universities should not be a substitute for state funds. aau “Principles”

  47. Suggestion 1: A plan for consistent funding of research agencies. • Suggestion 2: A program of general support for research universities. • Suggestion 3: A program for facilities and equipment. • Suggestion 4: A program for supporting young faculty, including an expanded program of career awards. aau “Suggestions” for Sustaining research Universities

  48. PROVIDE SUSTAINED AND BALANCED GROWTH FOR BASIC SCIENTIFIC RESEARCH. • LAUNCH A MAJOR SCIENCE, TECHNOLOGY, ENGINEERING AND MATHEMATICS (STEM) EDUCATION INITIATIVE. • HARNESS THE FEDERAL GOVERNMENT'S INNOVATION AND SCIENTIFIC AND ENGINEERING RESOURCES TO ADDRESS THE MAJOR ENERGY AND ENVIRONMENTAL CHALLENGES FACING OUR NATION. ACROSS FEDERAL RESEARCH agencies

  49. Promote increased commercialization of promising university discoveries, university-industry collaborations, and new campus-based entrepreneurial education programs. Department or Commerce

  50. PROVIDE STRONG SUPPORT FOR THE MINERVA INITIATIVE AND TO WORK WITH THE NATIONAL SCIENCE FOUNDATION TO IMPLEMENT AND OPERATE THE PROGRAM. • EXPAND THE DOD NATIONAL DEFENSE EDUCATION PROGRAM (NDEP – STEM for future scientists in DOD labs). DEPARTMENT OF DEFENSE

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