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Research Universities

and the Future of America

America is driven by innovation — advances in ideas, products, and processes that create new industries and jobs, contribute to our nation’s health and security, and support a high standard of living. In the past half-century, innovation itself has been increasingly driven by educated people and the knowledge they produce. Our nation’s primary source of both new knowledge and graduates with advanced skills continues to be our research universities.

However, these institutions now face an array of challenges, from unstable revenue streams and antiquated policies and practices to increasing competition from universities abroad. It is essential that we as a nation reaffirm and revitalize the unique partnership that has long existed among research universities, the federal government, the states, and philanthropy, and strengthen its links with business and industry. In doing so, we will encourage the innovation that leads to high-quality jobs, increased incomes, and security, health, and prosperity for our nation.



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Research Universities and the Future of America America is driven by innovation — advances in ideas, products, and processes that create new industries and jobs, contribute to our nation’s health and security, and support a high standard of living. In the past half-century, innovation itself has been increasingly driven by educated people and the knowledge they produce. Our nation’s primary source of both new knowledge and graduates with advanced skills continues to be our research universities. However, these institutions now face an array of challenges, from unstable revenue streams and antiquated policies and practices to increasing competition from universities abroad. It is essential that we as a nation reaffirm and revitalize the unique partnership that has long existed among research universities, the federal government, the states, and philanthropy, and strengthen its links with business and industry. In doing so, we will encourage the innovation that leads to high-quality jobs, increased incomes, and security, health, and prosperity for our nation. 1

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a PartnerShiP for innovation security and efficiency, education, and defense and homeland security. As America pursues economic growth and other national goals, its research universities have Yet research universities now confront critical emerged as a major national asset — perhaps pressures, including unstable revenue streams, even its most potent one. This did not happen by demographic shifts in the U.S. population, accident; it is the result of forward-looking and changes in the organization and scale of re- deliberate federal and state policies. These began search, and shifting relationships between with the Morrill Act of 1862, which established a research universities, government, and industry. partnership between the federal government and Research universities also face growing competi- the states to build universities that would address tion from their counterparts abroad. While U.S. the challenges of creating a modern agricultural institutions have long attracted outstanding stu- and industrial economy for the 20th century. dents and scholars from around the world who have contributed substantially to our research The government–university partnership was and innovative capacity, other countries are rap- expanded in the 1950s and 1960s to contribute idly strengthening their institutions to compete to national security, public health, and economic for the best international students and for faculty, growth. Through this expanded partnership, basic resources, and reputation. research — the source of new ideas for the long term — would be increasingly funded by the fed- With these developments in mind, we have identi- eral government and largely concentrated in the fied a set of specific challenges and opportunities nation’s research universities. that a reasoned set of policies must address in or- der to produce the greatest return to our society, This partnership, which over time grew to our security, and our economy: include industry and philanthropy, has led to significant benefits for America’s economy and • Federal funding for university research has been quality of life. Lasers, radar, synthetic insulin, unstable and, in real terms, declining at a time blood thinners, magnetic resonance imaging when other countries have increased funding for (MRI), computers, and rocket fuel are among research and development (R&D). the countless innovations in which university re- • State funding for higher education, already search has played an essential role. And talented eroding in real terms for more than two decades, graduates of these institutions have created has been cut further during the recent recession. and populated many new businesses that have employed millions of Americans. • Business and industry have largely dismantled the large corporate research laboratories that new and CritiCal ChallengeS drove American industrial leadership in the 20th century (e.g., Bell Labs), but have not yet fully American research universities are widely recog- partnered with research universities to fill the gap nized as the best in the world, admired for their at a time when the new knowledge and ideas education and research. They have the potential emerging from university research are needed by to drive innovation in areas important to Ameri- society more than ever. ca’s future, including health and medicine, energy 2

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revitalizing the PartnerShiP • Research universities must improve manage- ment, productivity, and cost efficiency in both We believe that America’s research universities are administration and academics. today a key asset for our nation’s future. They are so because of the considered and deliberate decisions • Young faculty have insufficient opportunities to made in the past by policymakers, even in difficult launch academic careers and research programs. times. Our future now depends on the willingness • There has been an underinvestment in campus of our current policymakers to follow their example infrastructure, particularly in cyberinfrastructure and make the decisions that will allow us to con- that could lead to long-term increases in pro- tinue to compete, prosper, and shape our destiny. ductivity, cost-effectiveness, and innovation in It is essential that we as a nation reaffirm, revi- research, education, and administration. talize, and strengthen substantially the unique • The cost of sponsored research is not fully partnership that has long existed among the covered by those who procure it, which means nation’s research universities, the federal that universities have to cross-subsidize sponsored government, the states, and philanthropy by research from other sources. enhancing their individual roles and the links among them and also by providing incentives • A burdensome accumulation of federal and for stronger partnership with business and in- state regulatory and reporting requirements in- dustry. In doing so, we will encourage the ideas creases costs and sometimes challenges academic and innovations that will lead to more high- freedom and integrity. end jobs, increased incomes, and the national • Doctoral and postdoctoral preparation could be security, health, and prosperity we expect. enhanced by shortening time-to-degree, raising completion rates, and enhancing programs’ effec- PrinCiPleS tiveness in providing training for highly produc- Reaffirming and strengthening the unique part- tive careers. nership that has long existed among the nation’s • Demographic change in the U.S. population research universities, the federal government, the necessitates strategies for increasing the success of states, and business will require: female and underrepresented minority students. • A balanced set of commitments by each of the • Institutions abroad are increasingly compet- partners — the federal government, state govern- ing for international students, researchers, and ments, research universities, and business and scholars. industry — to provide leadership for the nation in a knowledge-intensive world and to develop and The principles and recommendations that follow implement enlightened policies, efficient operat- are designed to help federal and state policymak- ing practices, and necessary investments. ers, universities, and businesses overcome these hurdles and capitalize on these opportunities. • The use of requirements for matching funds Strong leadership — and partnership — will be among these commitments, which provide strong needed by these parties if our research universities incentives for participation at comparable levels and our nation are to thrive. by each partner. 3

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ten StrategiC aCtionS • Sufficient flexibility to accommodate differences among research universities and the diversity of We recommend ten actions designed to accom- their stakeholders. plish three broad goals: • A commitment to a decade-long effort that Revitalizing the partnership. The first four seeks both to address challenges and to take ad- actions will strengthen the partnership among vantage of opportunities as they emerge. universities, federal and state governments, philanthropy, and the business community in • A recognition of the importance of supporting order to revitalize university research and speed its the comprehensive nature of the research univer- translation into innovative products and services. sity, spanning the full spectrum of academic and professional disciplines, including the physical, Strengthening institutions. The next three ac- life, social, and behavioral sciences; engineering; tions will streamline and improve the productivity the arts and humanities; and the professions, all of research operations within universities. of which enable universities to provide the broad Building talent. The final three actions will ensure research and education programs required by a that America’s pipeline of future talent in science, knowledge- and innovation-driven global economy. engineering, and other research areas remains Within this partnership, our research universities creative and vital, leveraging the abilities of all of — with a historical commitment to excellence, its citizens and attracting the best students and academic freedom, and service to society — must scholars from around the world. pledge themselves to a new level of partnership with government and business, strive anew to be the places where the best minds in the world want to work, think, educate, and create new ideas, and commit to delivering better outcomes for each dollar spent. 4

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Recommendation 1 Federal Action Within the broader framework of U.S. innovation and R&D strategies, the federal government should adopt stable and effective policies, practices, and funding for university-performed R&D and graduate education so that the nation will have a stream of new knowledge and educated people to power our future, helping us meet national goals and ensure prosperity and security. T O I M P L E M E N T T H I S R E C O M M E N D AT I O N : • The federal government should review and modify policies and practices governing university research and graduate education that have become burdensome and inefficient, such as research cost reim- bursement, unnecessary regulation, and awkward variation and coordination among federal agencies. • Over the next decade, as the economy improves, the federal government should invest in basic research and graduate education sufficient to produce the new knowledge and educated citizens the nation needs to reach its goals. As a core component of a national plan to raise total national R&D funded by all sources — government, industry, and philanthropy — to 3 percent of gross domestic product, Congress and the administration should provide full funding of the amount authorized by the America COMPETES Act, doubling the level of basic research conducted by the National Science Foundation, National Institute of Standards and Technology, and the Department of Energy’s Office of Science. A portion of the increase should be directed to high-risk, innovative research. Investment should also be sustained in other key areas, such as biomedical research. • On an annual basis in the President’s annual budget request, the Office of Management and Bud- get (OMB), together with the White House Office of Science and Technology Policy (OSTP), should develop and present a federal science and technology budget that addresses priorities for sustaining a world-class U.S. science and technology enterprise. And every 4 years, OSTP and OMB should review federal science and technology spending and outcomes to ensure that spending is adequate to sup- port our economy and targeted to meet national goals. We recommend that this process consider U.S. global leadership, a focus on developing new knowledge, balance in the science and technology portfolio, reliable and predictable streams of funding, and a commitment to merit review. By completing funding increases that Congress has already authorized through the America COMPETES Revitalizing the Partnership Act, the nation would ensure robust support for critical basic research programs, achieving a balanced research portfolio capable of driving the innovation necessary for economic prosperity. Together with cost-efficient regulation, this stable funding will enable universities to make comparable investments in research facilities and graduate programs. And because research and education are intertwined in uni- versities, this funding will also ensure that we continue to produce the scientists, engineers, and other knowledge professionals the nation needs. 5

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Recommendation 2 State Action Provide greater autonomy for public research universities so that these institutions may leverage local and regional strengths to compete strategically and respond with agility to new opportunities. At the same time, restore state appropriations for higher education, including graduate education and research, to levels that allow public research universities to operate at world-class levels. T o i m p l e m e n T T h i s r e c o m m e n d aT i o n : • State governments should move rapidly to provide their public research universities with sufficient autonomy and agility to navigate an extended period with limited state support. • As state budgets recover from the current recession, states should strive to restore and maintain per- student funding for higher education, including public research universities, to the mean level for the 15-year period 1987-2002, as adjusted for inflation. • Federal programs designed to stimulate innovation and workforce development at the state level, in- cluding those recommended in this report, should be accompanied by strong incentives to stimulate and sustain state support for their public universities, which are both state and national assets. For states to compete for the prosperity and welfare of their citizens in a knowledge-driven global economy, the advanced education, research, and innovation programs provided by their research univer- sities are absolutely essential. And the importance of these universities extends far beyond state borders; these institutions play a critical role in the prosperity, public health, and security of Real state and local appRopRiations peR full-time student in public ReseaRch univeRsities, 1987-2007 their regions and the entire nation. $12,251 However, an alarming erosion in state $13,000 Very High Research support for higher education over the past $12,000 $10,505 decade has put the quality and capacity $11,000 of public research universities at great $10,000 risk. State cuts in appropriations to public $8,050 $9,000 High Research research universities over the years 2002 $8,000 $7,289 Revitalizing the Partnership to 2010 are estimated to average 25 $7,000 percent, ranging as high as 50 percent for $6,000 some universities — resulting in the need 2000 2001 2002 2003 2004 2005 2006 2007 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 for institutions to increase tuition or to Public Research (VH) Public Research (H) reduce either activities or quality. There has been a downward trend since the late 1980s in state and local fund- While over time states should strive to ing per full-time student for public universities with high and very high levels of restore appropriations that were cut research, with the steepest decline starting in 2002. during that decade, budget challenges and shifting priorities may make this very difficult in the near term. Therefore it is equally important for states to provide their public research universities with enough autonomy to navigate what could be an extended period with inadequate state funding. Both steps — restoring state funding and increasing university autonomy — are in the long-term interests of the states and the nation. 6

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Recommendation 3 Strengthening Partnerships with Business Strengthen the business role in the research partnership, facilitating the transfer of knowledge, ideas, and technology to society, and accelerate “time-to-innovation” in order to achieve our national goals. T o i m p l e m e n T T h i s r e c o m m e n d aT i o n : • The federal government should continue to fund and expand research support mechanisms that promote collaboration and innovation. • The federal government should, within the context of also making the R&D tax credit permanent, implement new tax policies that incentivize business to develop partnerships with universities (and other research organizations as warranted) for research that results in new economic activities located in the United States. • The relationship between business and higher education should become more peer-to-peer in nature, stressing collaboration in areas of joint interest rather than remaining in a traditional customer-supplier relationship, in which business procures graduates and intellectual property from universities. • Businesses and universities should work closely together to develop new graduate degree programs that address strategic workforce gaps for science-based employers. • Collaboration among national laboratories, the business community, and universities is encouraged because the large-scale, sustained research projects of national laboratories both support and depend on the participation of university faculty and graduate students as well as the marketplace. • Universities should improve management of intellectual property to improve technology transfer. Using research support mechanisms that promote collaboration between business and universities will lead to the creation and efficient use of knowledge to achieve national goals. Tax incentives can also provide practical motivation to establish new partnerships. Although these tax policies will have a cost to the federal budget as a “tax expenditure,” it would be a relatively minor component of the cost of current proposals to make permanent the R&D tax credit. And the partnerships that result will generate new knowledge and ideas, achieving national goals in key policy areas and the economic growth and jobs that result from new activity. Meanwhile, improving university management of intel- lectual property will result in more effective dissemination of research results, generating economic Revitalizing the Partnership activity and jobs. 7

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Discovery and Progress Protecting Earth’s Ozone Shield T he ozone layer is an important compo- nent of Earth’s upper atmosphere that protects human health. Ozone absorbs medium-wavelength ultraviolet rays from the Sun, providing a protective barrier from harmful radiation that contributes to the development of skin cancer and cataracts in hu- mans. Important work from American research universities has shown that the ozone layer is directly endangered by human activity — specifi- cally by chlorofluorocarbon (CFC) gases released into the atmosphere by aerosol cans, older Scientists release a balloon from McMurdo Station in Antarctica carrying instruments that measure ozone model refrigerators, and other sources. depletion in the stratosphere. In 1970, Dutch atmospheric chemist Paul the environmental and health concerns raised by Crutzen, then affiliated with Oxford Univer- the hypothesis, the use of CFC gases in aerosol sity, demonstrated that nitric oxide reached cans was banned in the United States in 1978. the stratosphere and could deplete the ozone layer. Building on this work, Mario Molina of Seven years later, in 1985, a team of British the Massachusetts Institute of Technology and scientists announced that they had discovered F. Sherwood Rowland of the University of ozone depletion over Antarctica, proving the California, Irvine, who had studied Rowland–Molina hypothesis correct. A global the properties of CFC gases, response to the crisis followed, with interna- hypothesized that these gases tional agreements in 1985 and 1987 providing could deplete the ozone layer specific means for reducing the production and as well. Based on their re- use of ozone-depleting substances. Fully in force search, Molina and Rowland by 1989, the Montreal Protocol on Substances published an influential article That Deplete the Ozone Layer relied on scien- in the journal Nature in 1974 tific findings from American research universi- that predicted the destruction of ties to build an international consensus on the ozone layer through the break- action to phase out the use of ozone-depleting down of CFC gases in the upper atmo- substances. Had these steps not been taken, sphere. Two years later, a National Academy of nearly two-thirds of Earth’s protective ozone NASA image of ozone hole over Sciences report found strong scientific evidence would have been destroyed by 2065, according Antarctica, 1985. to support the Rowland–Molina hypothesis, to a team of atmospheric chemists from NASA, leading the United States and other govern- Johns Hopkins University, and the Netherlands ments to restrict use of CFC gases. In response to Environmental Assessment Agency. 8

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Recommendation 4 Improving University Productivity Increase university cost-effectiveness and productivity in order to provide a greater return on investment for taxpayers, philanthropists, corporations, foundations, and other research sponsors. T o i m p l e m e n T T h i s r e c o m m e n d aT i o n : • The nation’s research universities should set and achieve bold goals in cost containment, efficiency, and productivity in business operations and academic programs. Universities should strive to limit the cost escalation of all ongoing activities — academic and auxiliary — to the inflation rate or less through improved efficiency and productivity. In addition to implementing efficient business practices, universities should review existing academic programs from the perspectives of centrality, quality, and cost-effectiveness, adopting modern instructional methods such as cyberlearning. Universities should also encourage greater collaboration among research investigators and among research institutions, particularly in acquiring and using expensive research equipment and facilities. • University associations should develop and make available more powerful and strategic tools for finan- cial management and cost accounting that enable universities to determine the most effective ways to contain costs and increase productivity and efficiency. As part of this effort, they should develop metrics that allow universities to communicate their level of cost-effectiveness to the general public. • Working together with key stakeholders, universities should intensify efforts to educate key audiences about the unique character of U.S. research universities and their importance to state, regional, and national goals, including economic prosperity, public health, and national security. By increasing cost-effectiveness and productivity, institutions will realize significant cost savings in operations that may be used to improve their performance, allowing them to shift resources strategi- cally and/or reduce growth in their need for resources such as tuition. Many institutions have already demonstrated that significant cost efficiencies are attainable. If research universities can take action, states and the nation will realize greater returns on their investments, and the savings associated with cost containment and greater productivity can then be deployed to other priorities such as constraining tuition increases, increasing student financial aid, or launching new programs. Revitalizing the Partnership 9

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Discovery and Progress Forensic DNA Analysis F orensic DNA analysis — familiar to many from TV crime shows such as CSI: Crime Scene Investigation — pro- duces reliable evidence used in criminal investigations and trials, helping to identify the guilty and exonerate the innocent. The technique, which depends on a process called polymerase chain reaction (PCR), became pos- sible and practical because of discoveries at American research universities. Thomas Brock of Indiana University stands next to Mushroom Spring in Yellowstone National Park, one of PCR works by repeatedly copying DNA, which the hot springs where he and his colleagues found the is composed of two strands that fit together to bacterium Thermus aquaticus. form the now well-known double helix. First, polymerase available that could endure the the DNA is “unzipped” into two strands — a high temperatures needed to unzip the DNA, process that uses high heat — and then a copy a step that happens repeatedly during the PCR of the segment of interest is made using an process. To make it possible to do PCR quickly enzyme called DNA polymerase. This process and reliably on a broad scale, Mullis and his is repeated multiple times to generate copies colleagues drew on two discoveries by univer- of the DNA sequence; sity researchers. having many copies of the sequence allows it to be In 1969, Thomas Brock and Hudson Freeze of read clearly and reliably. It Indiana University had isolated the heat-loving is then possible to deter- bacterium Thermus aquaticus from thermal mine whether the DNA springs in Wyoming and California. In subse- sequence in a piece of quent work in 1976 at the University of Cincin- evidence — say, the root of nati, John Trela and his coworkers isolated a human hair — matches the DNA polymerase enzyme from Thermus that of a suspect or victim. aquaticus. Harnessing this enzyme — which continues to function despite the high heat Kary Mullis invented PCR used in the unzipping stage of the PCR cycle — in 1983 while working for allowed the Cetus researchers to turn PCR into Cetus Corporation, but an automated process, an advance that made at first the process was the technology useful in the criminal justice slow and impractical for system, the Human Genome Project, and a wide use, because there wide range of biotechnology applications. was no version of DNA 10

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Recommendation 5 A Strategic Investment Program Create a Strategic Investment Program that funds initiatives at research universities critical to advancing education and research in areas of key national priority. T O I M P L E M E N T T H I S R E C O M M E N D AT I O N : • The federal government should create a new Strategic Investment Program to support initiatives that advance education and research at the nation’s research universities. This should be designed as a “living” program that responds to changing needs and opportunities; as such, it will be composed of term-limited initiatives requiring matching grants in critical areas that will change over time. We recommend that the program begin with two 10-year initiatives: an endowed faculty chairs program to facilitate the careers of young investigators and a research infrastructure program initially focused on advancing campus cyberinfrastructure, but perhaps evolving later to address emerging needs for physical research infrastructure. Federal investments in these initiatives would be intended for both public and private research universities, and they would require institutions to obtain match- ing funds from states, philanthropy, business, or other sources. We recommend that the federal gov- ernment support these first two initiatives in the Strategic Investment Program at $7 billion per year over the next decade. These funds will leverage an additional $9 billion AVERAGE AGE OF FIRST-TIME RO1-EQUIVALENT PRINCIPAL INVESTIGATORS, 1980-2007 per year through matching grants 45 from other partners. 44 • Universities should compete for MD PhD MD-PhD 43 funding under these initiatives, bringing in partners — states, 42 business, philanthropy, and others — that will support projects by 41 providing required matching funds. 40 This program will develop and 39 enhance the human, physical, and 38 cyberinfrastructure necessary for cutting-edge research and advanced 37 education. The investment in rap- 1980 1985 1990 1995 2000 2005 Strengthening Institutions idly evolving cyberinfrastructure will In the biomedical sciences, fewer recent doctorates are obtaining tenure-track increase productivity and collabora- faculty positions and, as this figure shows, the average age at receipt of one’s first NIH research grant has increased to over 43 years old. tion in research and may also increase productivity in administration and education. Also of critical importance is the endowment of chairs, particularly for promising young faculty, during a time of serious financial stress and limited faculty retirements. This initiative will ensure that we are building our research faculty for the future, so that the nation can reap the rewards of their work over the long term. 11

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Recommendation 6 Full Federal Funding of Research The federal government and other research sponsors should strive to cover the full costs of research projects and other activities they procure from research universities in a consistent and transparent manner. T o i m p l e m e n T T h i s r e c o m m e n d aT i o n : • The federal government and other research sponsors should strive to support the full cost, direct and indirect, of research and other activities they procure from universities so that it is no longer necessary to subsidize these sponsored grants by drawing on resources intended to support other important university missions such as undergraduate education and clinical care. Both sponsored research poli- cies and cost-recovery negotiations should be developed and applied in a consistent fashion across all federal agencies and academic institutions, public and private. Over the past two decades, universities have had to cover an increasing share of the costs of research that the government has procured but not fully supported. If the government covers the full costs of research it procures, universities will be able to hold steady or reduce the amount of research fund- ing they contribute from other sources, such as tuition revenue or patient clinical fees. Consequently, universities will be able to allocate their resources from other sources more strategically, directing them to the programs and purposes for which they were originally intended. This change will entail no net change in cost to the federal government, since federal coverage of a higher portion of indirect costs would, at the margins, shift part of federal research funding from direct to indirect costs. Strengthening Institutions

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Recommendation 7 Reducing Regulatory Burdens Reduce or eliminate regulations that increase administrative costs, impede research productivity, and deflect creative energy without substantially improving the research environment. T o i m p l e m e n T T h i s r e c o m m e n d aT i o n : • Federal policymakers and regulators (OMB, Congress, agencies) and their state counterparts should review the costs and benefits of federal and state regulations, eliminating those that are redundant, ineffective, inappropriately applied to the higher education sector, or that impose costs that outweigh the benefits to society. • The federal government should also make regulations and reporting requirements more consistent across federal agencies so that universities can maintain one system for all federal requirements rather than several, thereby reducing costs. Reducing or eliminating regulations can reduce administrative costs, enhance productivity, and in- crease the agility of institutions. Minimizing administrative and compliance costs will also provide a cost benefit to the federal government and to university administrators, faculty, and students by freeing up resources and time to support education and research efforts directly. With greater resources and free- dom, universities will be better positioned to respond to the needs of their constituents in an increas- ingly competitive environment. Although the staff time to review regulatory and reporting requirements has a small cost in the near term, the savings to universities and federal and state governments over the long run will be substan- tial. It is not feasible to estimate the savings in advance of a review, but we believe they could run into the billions of dollars over the next decade. Strengthening Institutions

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Discovery and Progress Making the Web Easy to Navigate T he first widely-used promoted the development World Wide Web of the National Informa- browser, NCSA tion Infrastructure, better Mosaic, heralded known as the “informa- the beginning of a new era tion superhighway.” This in the development and legislation facilitated the use of the Internet. In 1991 work of researchers Marc the Internet was largely a Andreessen and Eric Bina, network connecting federal who developed the Mosaic agencies, universities, and browser at the National companies that was accessi- Center for Supercomput- ble only to those capable of ing Applications (NCSA) at navigating its cumbersome the University of Illinois at interface through dial-up Urbana–Champaign. connections. That changed Released publicly in 1993, with the development of Mosaic revolutionized how the Mosaic browser, a uni- users accessed information on the Web and versity invention that transformed use of the provided many of the fundamental tools of Web by making it easier for people to navigate. Web browsing we still use today, such as the Funding provided under the High Performance “back” button, bookmarks, and the address Computing and Communication Act of 1991 bar. Although Mosaic ceased development in 1997, it influenced the development of later browsers such as Internet Explorer, Mozilla Firefox, and Google Chrome. Through Mosaic, and later through other browsers whose technology built upon Mosaic, the Web empowered individuals and stimu- lated online commerce. In recent years it has exploded into a major source of economic growth, technological innovation, and social interaction. It is not hard to see that the Web has changed the world, and a university’s A screen shot of the Mosaic home page development of the first popular Web browser from 1997, viewed in the Mosaic played an essential role in that transformation. browser window. 14

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Recommendation 8 Reforming Graduate Education Improve the capacity of graduate programs to attract talented students by addressing issues such as attrition rates, time-to-degree, funding, and alignment with both student career opportunities and national interests. T o i m p l e m e n T T h i s r e c o m m e n d aT i o n : • Research universities should restructure doctoral education to enhance pathways for talented un- dergraduates, improve completion rates, shorten time-to-degree, and strengthen the preparation of graduates for careers both in and beyond the academy. • Research universities and federal agencies should ensure, as they implement the above measures, that they improve education across the full spectrum of research university graduate programs — including the social and behavioral sciences, the humanities, and the arts — because of the increasing breadth of academic and professional disciplines necessary to address the challenges facing our changing world. • The federal government should significantly increase its support for graduate education through balanced programs of fellowships, traineeships, and research assistantships provided by all science agencies that depend upon individuals with advanced training. • Employers — businesses, government agencies, and nonprofits — that hire master’s- and doctorate- level graduates should more deeply engage programs in research universities by providing internships, student projects, advice on curriculum design, and real-time information on employment opportunities. The number of federal fellowships and traineeships cumulative 10-yeaR completion Rates foR doctoRal should be increased to support 5,000 new gradu- students enteRing 1992-1994, by bRoad field ate students per year in science and engineering, 70 70 an investment amounting to $325 million in year 60 60 Completion Rate (%) Completion Rate (%) 1 and climbing to a steady-state expenditure of 50 50 $1.625 billion per year. This funding is not de- 40 40 30 30 signed to increase the overall numbers of doctoral 20 20 students per se, but to provide incentives for stu- 10 10 dents to pursue areas responding to national needs 00 and to shift support from research assistantships to 33 44 55 66 77 88 99 10 10 mechanisms that strengthen doctoral training. Im- Year Year plementing other aspects of our recommendation Engineering Life Sciences Engineering Life Sciences will save money for the federal government, uni- Mathematics & Physical Sciences Social Sciences Mathematics & Physical Sciences Social Sciences Humanities Humanities versities, and students. Improving completion rates and reducing time-to-degree in doctoral programs, Overall, 57 percent of doctoral candidates complete their degrees Figure 5.8.1.eps 64 by the end of 10 years,igurea5.8.1.eps percent in engineering F with high of for example, will increase the cost-effectiveness of and a low of 49 percent in the humanities. federal and other investments in this area. On the whole, improving pathways to doctoral degrees will ensure that we draw strongly from among Building Talent the “best and brightest” across fields that are critical to our nation’s future. Strengthening preparation of doctorates for a broad range of careers, not just those in academia, assists students in their careers, along with employers who need their staff to be productive in the short term. 15

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Discovery and Progress Providing Data on U.S. Households T he Panel Study on Income Dynamics collected data on more than 70,000 individuals (PSID), which collects data on a rep- over the past four decades. resentative sample of the U.S. popula- PSID has proved essential to understanding tion over time, is the longest-running long-term trends in Americans’ labor market household survey of its kind. PSID has helped participation, family connections, and eco- researchers and policymakers stay in touch with nomic well-being. Last year, for example, the the status of individuals and families — includ- study found that 23 percent of families had ing their income, social connections, and health no savings at all in liquid assets such as sav- — for more than 40 years. The survey was ings or checking accounts. Researchers from developed at an American research university universities across the country use the survey’s with federal funding. data to investigate issues as diverse as the use PSID began in 1968 at the University of Michi- of food stamps by different age groups, the gan with a survey of 5,000 households. The effect of childhood relationships on future job survey questions were designed to gather a performance, and the health effects of losing wide range of information about each house- one’s job. By enabling this kind of research — hold — from family members’ income and which has both informed the development of education levels to the number of rooms in laws and helped policymakers understand the the house. Over impact of their work — American universities time, the study have contributed an essential data resource for has expanded and the social sciences and the public. evolved. The study now surveys over 9,000 families ev- ery 2 years and has 16

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Recommendation 9 STEM Pathways and Diversity Secure for the United States the full benefits of education for all Americans, including women and underrepresented minorities, in science, mathematics, engineering, and technology. T o i m p l e m e n T T h i s r e c o m m e n d aT i o n : • Research universities should engage in efforts to improve education for all students at all levels in the United States by reaching out to K-12 school districts and by taking steps to improve access and completion in their own institutions. • Research universities should assist efforts to improve the education and preparation of those who teach science, technology, engineering, and mathematics (STEM) subjects in grades K-12. Universities should also strive to improve undergraduate education, including persistence and completion rates in STEM. • All stakeholders — the federal government, states, local school districts, industry, philanthropy, and universities — should take urgent, sustained, and intensive action to increase the participation and success of women and underrepresented minorities across all academic and professional disciplines, especially in science, mathematics, and engineering. Our nation’s greatest asset is its people. Improving the educational success of our citizens at all levels improves our democracy, our culture and society, social mobility, and both individual and national economic success. As career opportunities in science, technology, engineering, and math continue to expand at a rapid pace, recruiting more underrepresented minorities and women into STEM careers and ensuring that they remain in the pipeline is essential not only for meeting the workforce needs of an increasingly technological nation, but also for obtaining the intellectual vitality and innovation nec- essary for economic prosperity, national security, and social well-being. peRcentage of 2004 fReshmen at 4-yeaR institutions who aspiRe to stem majoRs who then completed stem degRees in 4 and 5 yeaRs, by Race/ethnicity 45 40 35 30 25 20 15 10 5 Building Talent 0 4-Year Completion 5-Year Completion White Asian American Latino Black Native American Latino, Black, and Native American students have significantly lower completion rates after 4 and 5 years of study in STEM fields than white and Asian American students. 17

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Discovery and Progress A Sustainable Cancer Treatment N ature provides researchers with many compounds that can potentially be used as drugs or precursors to drugs to treat a wide variety of human illnesses. Occasionally the harvesting of these natural compounds comes at a cost to the environ- ment, as happened with the development of Taxol, a breakthrough drug in the treatment of ovarian, breast, and lung cancer. Taxol was isolated from the bark of the Pacific yew tree, a threatened species that is home to another threatened species, the spotted owl. Produc- tion of Taxol initially required harvesting enor- mous quantities of bark from the trees, leading to their destruction and a loss of habitat for spotted owls. In response, chemist Robert Holton of Florida State University set out to find a method of producing Taxol that did not kill the Pacific yew trees. While others were looking for a completely synthetic alternative, Holton focused on finding a semi-synthetic method. After years of research, in 1991 Holton suc- ceeded in developing a method that used only the needles and twigs from English yew trees, leaving the trees themselves to thrive. Taxol continues to be hailed as a fundamental anti- cancer tool, and research conducted at Ameri- can universities resulted in an environmentally sustainable method for its preparation. Spotted owl perching in a Pacific yew tree, old growth forest, Oregon. 18

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Recommendation 10 International Students and Scholars Ensure that the United States will continue to benefit strongly from the participation of international students and scholars in our research enterprise. T o i m p l e m e n T T h i s r e c o m m e n d aT i o n : • Federal agencies should ensure that visa processing for international students and scholars who wish to study or conduct research in the United States is as efficient and effective as possible consistent with homeland security considerations. • To ensure that a high proportion of non-U.S. doctoral researchers remain in the country, the federal government should streamline the processes for these researchers to obtain permanent residency or U.S. citizenship. The United States should consider taking the strong step of granting residency (a green card) to each non-U.S. citizen who earns a doctorate in an area of national need from an accredited research university. The Department of Homeland Security should set the criteria for and make selections of areas of national need and of the set of accredited institutions, in cooperation with the National Science Foundation and the National Institutes of Health. • The federal government should proactively recruit international students and scholars. The United States has benefited significantly over the past half-century and more from highly talented individuals who have come to this country from abroad to study or conduct research. Today, there is in- creasing competition for these students and researchers both in general and from their home countries. It is in our nation’s interest to attract and keep individuals who will create new knowledge or convert it to new products, industries, and jobs in the United States. doctoRate awaRds to tempoRaRy visa holdeRs by majoR field of study, 2009 70% 60% 55.2% 50% 42.4% 40% 30.1% 30% 27.2% 21.8% 20% 14.8% 8.7% 10% 0% Engineering Physical Life Social/ Humanities Education Other Sciences Sciences Behavioral Non-S&E Sciences Fields Building Talent The number of doctoral degrees awarded to temporary visa holders (international stu- dents), shown here by field, isFigure 5.10.1.eps particularly high in the physical sciences and engineering. 19

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Discovery and Progress Protecting Against Terrorism at U.S. Ports S ince the terrorist attacks of September the chemical composition of concealed 11, 2001, a major security concern materials. Bertozzi had been working on NRF has been that a terrorist group would imaging for over a decade when the 2001 try to smuggle nuclear or chemical attacks galvanized efforts to protect the weapons, or materials that could be used to nation against further attack. Private and make them, in one of the 10 million to 15 government funding helped to establish a million cargo containers that enter U.S. ports company dedicated to developing NRF as every year. A new imaging technology that a method to image cargo. had its beginnings at an American university Using rays that can penetrate even lead-lined may enable rapid security screening of these vessels, this technology allows for fast, easy containers without the need to physically identification of the materials inside sealed inspect each one. containers. The continued development of Nuclear resonance fluorescence imaging, NRF imaging may provide an efficient way to which is being developed by researcher Wil- scan cargo entering American ports, improv- liam Bertozzi of the Massachusetts Institute of ing security without disrupting the pace of Technology, uses gamma rays to determine international trade. 20