Table Of Content

',.^;;''¥''. H^i^:- n the National Interest The Federal Government t ancT - Research-Intensive Universities A Report to the Federal Coordinating Councilfor Science, and Engineering, Technology ^ from The Ad Hoc Working Group on Research-Intensive Universities -^ and the Federal Government Q 180 December 1992 U5 F27 1992 FCCSETMEMBERS Chairman TheHonorableD.AllanBromley AssistanttothePresidentlorScience& TechnologyandDirector.Officeof ScienceandTechnologyPolicy Members TheHonorableManuelLujan,Jr. The Federal Coordinating Council for Science, SecretaryoftheInterior and Engineering Technology TheHonorableDonaldJ.Atwood,Jr. DeputySecretaryofDefense TheHonorableEdwardMadigan X SecretaryofAgriculture he Federal Coordinating Council for Science, Engineering and Tech- TheHonorableIvanSelln nology was established in 1976 to address science and technology CChoamimrimsasni,oNnuclearRegulatory policy issues affecting multiple Federal agencies. The Council is an im- R&D TheHonorableWendellL.WlllkleII portant means for coordinating Federal programs and other multi- ActingDeputySecretaryofCommerce agency science and technology activities. It also provides a mechanism TheHonorableArthurJ.Rothkopf for focusing attention on science, engineering and technology policy is- DeputySecretaryofTransportation sues within the Federal agencies. TheHonorableNancyR.Rohrbach ADsespiasrttanmtenStecorfeLtaabroyrforPolicy The Council is chaired by the Director of the Office of Science and TheHonorableAnthonyJ.Principl Technology Policy and is comprised of Cabinet members or their DeputySecretary deputies from the major Federal Departments and the heads of Federal DepartmentofVeteransAffairs science agencies. In Fiscal Year 1992, these departments and agencies TheHonorableLouisW.Sullivan R&D SecretaryofHealth collectively accounted for approximately $74 billion in Federal andHumanServices expenditures. TheHonorableFrankG.Wisner UnderSecretaryforInternational The interagency nature of the Council makes it a critical body for SecurityAffairs,DepartmentofState the planning, budgeting, and coordination necessary to set government- TheHonorableJamesD.Watklns R&D SecretaryofEnergy wide priorities on cross-cutting initiatives and to ensure efficient R&D TheHonorableAlfredDelllBovl use of Federal resources. The Council has established seven high- UHonudseirnSgecarnedtaUrryb,aDneDpeavretmleonptmeonft level, interagency standing committees spanning broad areas of science and TheHonorableLamarAlexander technology. SecretaryofEducation In close cooperation with the Office of Management and Budget, TheHonorableRichardAustin Administrator.GeneralServices the Council and its committees develop coordinated, integrated Administration strategies, programs, and budgets for Federal research and development TDihreectHoorn,oOrfafibcleeofRilc^haanradgeGm.eDnalrman in high priority, cross-cutting areas ofscience and technology. The areas andBudget include: global change, high performance computing and communica- TheHonorableDanielS.Goldin tions, biotechnology, advanced materials and processing, and mathe- Administrator,NationalAeronauticsand SpaceAdministration matics and science education. Interagency groups also are examining TheHonorableWilliamK.Reilly topics ranging from coastal ocean science, genome patenting, and Administrator,Environmental natural disaster reduction to the structure of international science and ProtectionAgency TheHonorableBrentScowcroft technology agreements. In each case, the goal is to achieve consensus AssistanttothePresidentforNational that can then guide the actions ofparticipating agencies. SecurityAffairs TheHonorableWalterE.Massey Director,NationalScienceFoundation L n the National Interest The Federal Government and Research-Intensive Universities A Report to the Federal Coordinating Councilfor Science y and Engineering, Technology from The Ad Hoc Working Group on Research-Intensive Universities and the Federal Government X CO L13RARV December 1992 EXECUTIVE OFFICE OF THE PRESIDENT OFFICE OF SCIENCE AND TECHNOLOGY POLICY WASHINGTON, D C 20506 December 10, 1992 Dear Mr. President: As Chairman of the Federal Coordinating Council for Science, Engineering and Technology, I have the pleasure of transmitting to you the report In the National Interest; The Federal Government and Research-Intensive Universities. This is a worthy companion to the report from the President's Council of Advisors on Science and Technology titled Renewingthe Promise: Research-Intensive Universities and theNation which I transmitted , to you on November 23. Taken together, these reports provide an unprecedented and invaluable perspective on the government-university relationship, representing as they do both Federal and private sector viewpoints. The importance of research-intensive universities to the nation derives from their joint mission, namely providing education at the most advanced levels and performing much of the fundamental research upon which our technological progress ultimately depends. The two reports should be central to national discussions about the current needs and future roles of those institutions. Forthefirst time, representatives ofseventeen research-supportingFederal agencies worked together to develop ajoint perspective on that relationship. Also for the first time, PCAST and FCCSET are co-publishing related reports developed along parallel lines. The FCCSET report provides the perspectives of the individual agencies, as well as a coordinated interagency view, on the government-university relationship; comments on a number of current issues affecting that relationship; and makes a series of recommendations that are generally in consonance with those of the PCAST report. I am confident that the two reports, taken together, will have a significant and far-reaching impact on many matters affecting the relationship. The agency representatives who participated in the FCCSET Working Group are listed in the report. I would like to thank all of them, and particularly Dr. Walter Massey, who chaired the Group so effectively. Sincerely Yours, — ^ D. Allan Bromley | Director The President The White House Enclosure NATIONAL SCIENCE FOUNDATION WASHINGTON, D.C. 20550 December 8, 1992 nsf^ OFFICEOFTHE DIRECTOR Honorable D. Allan Bromley Assistant to the President for Science and Technology Room 358 Old Executive Office Building Washington, D.C. 20500 Dear Allan: It is my pleasure to transmit to you, In the National Interest: The Federal Government and Research-Intensive Universities, a report by the FCCSET Ad Hoc Working Group on Research- Intensive Universities (WGRIU) and the Federal Government. This report constitutes a landmark: seventeen agencies have developed a Federal government perspective on its relationship with research-intensive universities both now and for the future, an unprecedented achievement. This report conveys three key themes. First, it describes the broad, complex, and interdependent relationship that has developed between research-intensive universities and the Federal government. Second, it identifies critical trends and issues that are affecting this relationship. And third, it reaffirms principles and makes recommendations whose purpose is to assure that the relationship between the Federal government and the research-intensive universities is maintained, nurtured, and enhanced. The strength ofthis report is directly attributable to the personal attention demonstrated by each ofthe agencies in developing a common set ofrecommendations. The report is further enriched ~ by the individual agency perspectives papers a reflection of the diversity of the Federal government's relationship with research-intensive universities. This document provides a basis for pursuing and nurturing this relationship with the research-intensive universities well into the next century. I appreciate the opportunity to have chaired this effort in David Keams' absence. The process has been valuable from an interagency perspective and I believe we have all learned a great deal from it. Sincerely, Walter E. Massey Director 111 IN THE NATIONAL INTEREST The Federal Government and Research-Intensive Universities A Report to the Federal Coordinating Council for Science, Engineering, and Technology from The Ad Hoc Working Group on Research-Intensive Universities and the Federal Government Table ofContents Page Membership vii The Charge ix Introduction 1 Origins and Nature ofthe Relationship 3 Issues and Challenges 5 The Conduct ofResearch 6 Education and Development ofthe Talent Pool 8 Dissemination and Utilization of Knowledge 9 Accountability and Administrative Burdens 9 Issues forFurtherAttention 10 Conclusion 11 APPENDICES A: The RIUs in the Academic System: Data Overview 13 B: Agency Perspectives 23 Introduction 25 Agency for International Development 25 Department ofAgriculture 27 Department ofCommerce 31 Department ofDefense 34 Department ofEducation 36 DepartmentofEnergy 38 DepartmentofHousing and Urban Development 40 Department ofthe Interior 41 Department ofState 42 Department ofVeterans Affairs 44 Environmental Protection Agency 46 National Aeronautics and Space Administration 47 National Endowment for the Humanities 50 National Institutes ofHealth 52 National Science Foundation 56 FEDERAL COORDINATING COUNCIL FOR SCIENCE, ENGINEERING, AND TECHNOLOGY Ad Hoc Working Group on Research-Intensive Universities and the Federal Government Chairman David T. Keams, DepartmentofEducation ViceChairmen Bemadine Healy, National InstitutesofHealth Walter E. Massey, National Science Foundation* Members John Boright, DepartmentofState Sidney L. Jones, DepartmentofTreasury ChristopherJehn, DepartmentofDefense John Schrote, Department ofthe Interior K. Jane Coulter, DepartmentofAgriculture John Knauss, Department ofCommerce Jay Moskowitz, DepartmentofHealth and Human Services John Sommer, Department ofHousing and Urban Development Elaine E. Joost, Department ofTransportation William Happer, DepartmentofEnergy Carolyn Reid-Wallace, DepartmentofEducation Elizabeth Short, DepartmentofVeterans Affairs RogerCortesi, Environmental Protection Agency J. Thomas Ratchford, Office ofScience and Technology Policy Richard Bissell, Agency forInternational Development Robert W. Brown, National Aeronautics and Space Administration CelesteColgan, National Endowmentforthe Humanities MartaCehelsky, National Science Foundation ExecutiveSecretary AngelaM. Phillips, National Aeronautics and Space Administration FCCSET Directorate Vickie Sutton, AssistantDirector Charles H. Dickens, Executive Secretary *In Dr. Keams' absence. Dr. Massey servedasactingChairmanofthisactivity.' Vll