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KEYNOTE ADDRESS
Making Research a Part of the Public Agenda
George E. Walker, Vice President for Research
and Dean of the Graduate School, Indiana University
Introduction
It is
a pleasure to be with you at this year's Merrill Summer Conference.
Since this is a working, interactive conference, I will try to present
my remarks in a way that will stimulate later discussion and new
ideas.
First
of all, let's assume that those of us here today are a group made
up of representatives from research universities or from federal,
state, or private sector organizations. Let's assume also that we
have fairly extensive knowledge about research universities and
the potential of their research-educated students and faculty to
make important contributions to the quality of life of citizens,
start new businesses and enhance existing businesses, promote economic
development, attract new companies (and hence jobs and tax base
to individual states), and so forth.
Let us
further assume that each of our institutions currently has experience
partnering with industry and has already produced papers (distributed
to appropriate stakeholders) that highlight the importance of research
carried out on our campuses, and that these informational materials
have been used to educate the state legislature, industry, boards
of regents or trustees, and the general public.
Moreover,
let's assume that each of the institutions represented here has
active state and federal relations efforts to coordinate outreach
with government agencies and legislatures, and an office (often
the vice president for research or an arm's length foundation) to
coordinate activities with industry. Probably the president's or
chancellor's office coordinates activities involving boards of regents
or trustees, alumni, a state higher education commission, and research
promotion, perhaps with the help of a vice president for external
affairs and a director of alumni relations.
Establishing
vigorous, informed, cooperative efforts that promote the value of
university research in all of these areas is a crucial first step
that I will assume the institutions represented here have already
taken--but I will make some suggestions regarding strengthening
and broadening these efforts.
My presumption
is that you all agree with me that in terms of support, respect,
and priority setting, university research is not yet where it needs
to be on the public agenda. What we need to do is discuss additional
steps we can take to strengthen research as a multifaceted benefit
to society and therefore an essential part of the public agenda.
In my
remarks, I will not quote statistics showing the benefits of research
to stakeholders, although we need to use the quantitative measures
and studies that are available. My comments will be divided into
four parts:
- Background: Some simple
questions whose answers may guide our discussion
- Practices that we have
initiated in the past few years at Indiana University
- Successes and suggestions
- Questions for future
consideration and discussion.
Background
General Comments
The future
belongs to those who can forcefully cooperate and meet important
goals of the agenda setters. Success requires a long-term initiative
that must be consistent, must survive the accountability/ assessment
test, and must avoid pitting different research institutions against
each other--and avoid pitting major stakeholders against each other.
The efforts we make must be sincere. Success can be achieved through
these means, and is being achieved every day at many research institutions.
To use the example of my own institution, at Indiana University
external grants and contracts funding will increase by nearly $100
million this year.
But how
exactly does this kind of success come about?
First,
let's examine the role of faculty in bringing the research agenda
to the public. Faculty members can play a vital role in advocating
the importance of research because of their infectious enthusiasm
and in-depth knowledge of their discipline. However, not all faculty
are effective spokespersons for research and, quite frankly, not
all research is going to be highly valued by a given public. We
have to know what "sells" and focus on that. Let me quickly
say, though, that this approach carries a caveat: we need to be
alert to faculty backlash. Some faculty members may complain that
certain research (particularly research of obvious direct importance
to industry and economic development) gets too much attention, to
the detriment of other research, teaching, and the academic mission
in general. It's very important that there be appropriate hope in
all disciplines. Good faculty morale is essential, and a sense of
cooperation and interdependence contributes strongly to that. To
offer again an illustration from Indiana University, the interdependence
of research success across departments is highlighted by the fact
that the humanities research centers care about the funding health
of the Indiana University Cyclotron Facility--they know that "resources"
generated by the Cyclotron are a significant source of funding for
their own centers.
Now, here are a few preliminary,
background questions that are important to address before we can
fully understand the task of promoting the research mission of our
universities:
- Who is the public?
- How does the public rate
the importance of university research?
- How do we know how the
public rates research?
- Why do we care?
- Why do we need to pay
special attention to research and research support?
- How do we act when we
make choices internally to support research?
- Who
is the public?
From a university's standpoint, the public may be said to include
citizens; federal, state, and community elected and appointed
officials; industries; university donors and alumni; and students
and parents.
- How
does the public rate the importance of university research?
The public sees the benefits of research, but also suspects
that research takes away from teaching and learning. In other
words, the public has mixed views on the value of university research.
- How
do we know how the public rates research?
There are numerous marketing studies germane to the issue. Also,
we can tell a lot from the actions and public statements of the
various organizations and persons who have a stake in university
research.
- Why
do we care?
We must care how the public feels about research because only
with that attitude can we begin to improve the current situation,
and establish university research as a high priority on the public
agenda.
- Why
do we need to pay special attention to research and research support?
Answers to this may seem obvious, but let's
take a look at them: Research is a major part of our mission.
It facilitates learning--through the inspiration of teachers who
are working at the forefront of knowledge and who bring their
excitement into the classroom, and through the opportunity for
students to become involved in research themselves. It provides
many services to the state. It is essential to attracting and
retaining outstanding faculty. It is crucial to the prestige of
our universities. And, arguably, it is a significant financial
resource for the university.
- How
do we act when we make choices internally to support research?
These are the actions we should bring into
focus: First, we need to build on the faculty strengths we already
have. Second, we must make the best use of our academic environment
and administrative decisions to attract and retain outstanding
faculty. Third, we need to build strength in areas that we have
reason to think will be supported nationally. And fourth, we must
ensure that state organizations and industry have genuine opportunities
to provide input into our decisions regarding research--before
we go to them for resources.
Recent
Initiatives at Indiana University
If you've
already been singing a long time and you wish to sing better, you
most often have to go back to the basics; for example, you may have
to learn to breathe differently and develop stronger and more disciplined
breath support. If we want research to be a higher priority in the
public sector, we not only have to present the positive arguments
for research support, but we have to eliminate the perceived negatives
and get the energetic support of members of the public to be our
spokespersons. These members of the public can include undergraduates,
citizen groups, industry, entrepreneurs, and powerful members of
the legislative and executive branches. I would also include the
trustees in this group. The university president's strong leadership,
vision, and dedication to creating the right environment for the
support of research is absolutely essential.
I'll mention here a
few initiatives that Indiana University and other institutions
have taken along these lines.
a. Programs for Undergraduates
1. President's Summer
Undergraduate Research Initiative. This program is a widely
available opportunity for undergraduate research using graduate
students and faculty as mentors, and including opportunities
to attend national conferences to report the research results.
We believe that in the future there will
be increased funding from federal agencies for undergraduate
research (which is tied in with the graduate student learning
experience), and we intend to compete strongly for these funds.
2. Scholarship
of Teaching. This faculty initiative supports and publicizes
research and scholarship on teaching. "Scholarship"
implies a reflective habit of mind; and in keeping with that
outlook, this initiative is designed to improve disciplinary
research as well as provide insights into teaching.
3. Marketing Strategy.
A marketing strategy should be a cohesive set of efforts that
will convince students that the prestige of the institution
depends significantly on research, and that research of high
quality therefore increases the value of their degree.
As a result of our marketing
strategy over the past few years, Indiana University's undergraduate
students have specifically requested that their tuition be increased
an additional one percent, with that money being invested in
hiring additional faculty to both teach and do research. The
students monitor how this additional money is spent.
Undergraduates are excellent
representatives to the trustees and to federal and state offices
on the role of research in creating a more fertile learning
environment.
b. Graduate Students
You may believe that
graduate student support is a given and that no special efforts
are needed for graduate students to be enthusiastic supporters
of additional funds for research. I find that this is not entirely
true. It is clear in the national news, and probably your experience
as well as mine, that there are important issues to be addressed,
involving faculty mentoring, training of graduate students as
teachers, and fair compensation. The competitiveness of today's
job market and special efforts to make students more successful
in that market also are very important factors.
Initiatives we have used
to earn graduate student trust and generate enthusiasm include
day care; health insurance; a graduate placement center; a strengthened
Graduate Student Organization (GSO); participation in the national
Preparing Future Faculty program sponsored by the Pew Charitable
Trusts, the Association of American Colleges and Universities,
and the Council of Graduate Schools; more representation in
faculty governance; and a graduate student presence on key university
committees.
The GSO meets once
or twice a year with the Board of Trustees to communicate their
concerns and our successes. This has been an important and positive
experience for both the Trustees--in their commitment of support
for research and graduate education--and for the graduate students.
c. Trustees
Even those trustees who
clearly understand the importance of the research mission must
find assurance that support for research will not, for example,
result in tuition costs getting out of hand, potentially making
college inaccessible for lower and middle-income families. Many
trustees will be concerned that research is draining resources,
including faculty time, from undergraduate education. Strong
support for research by undergraduate and graduate students
at trustee meetings is therefore crucial. Sharing relevant data
with trustees and keeping them apprised of initiatives is, in
my opinion, essential.
Some worry that trustees
will be tempted to micro-manage if they have access to too much
information. But if trustees don't have information, they may
think there is something to hide, or that the administration
doesn't have the information needed to make good management
decisions. Indiana University has developed an extensive database
on graduate students that includes information on progress toward
degree and job placement, and we also maintain departmental
data on faculty teaching and research productivity. These data
are made available to the Board of Trustees when and as the
President directs.
The Trustees were
directly involved in our Strategic Directions program, which
provided $20 million in seed money for initiatives that were
deemed valuable contributions to the university's missions and
likely to be sustained in future years. The Trustees have also
cooperated with the President in providing matching funds for
endowed professorial chairs, as well as incentives for building
a graduate student fellowship endowment. Individual trustees,
as well as the Trustees as a group, have been very active in
presenting the university's case to the legislature and to the
executive branch. They have also consistently given new research
initiatives the highest priority within the university. An example
on our campus is the proposed $80 million interdisciplinary
Science Building.
d. Citizens, alumni,
parents
One continuing initiative
that has been successful for Indiana University is called Hoosiers
for Higher Education (HHE). HHE is a large grass roots organization
that recruits alumni to educate the general public about Indiana
University and higher education issues, and mobilizes these
volunteers to maintain contact with elected officials representing
the district in which they reside. The point here is to organize,
educate, and then use a large number of private citizens to
carry the university research massage--
among other key messages in higher education--to others at the
grass roots level.
e. Industry
and venture capitalists
In addition to the usual
partnerships with industry that arise from research or intellectual
property transactions, universities also provide industry with
a workforce of high quality. Further, a prestigious research
university acts as a drawing card for attracting prospective
employees to the state.
Some particular initiatives
that we at Indiana University have found useful include:
IRLP. The Industrial Research
Liaison Program provides business assistance and information
services to Indiana's business and industrial communities, governmental
units, and economic development agencies. These services include
research and development assistance, proposal writing, and grant
administration assistance; business and scientific information
retrieval services; solutions to applied research problems;
and opportunities for increased collaboration between Indiana
University faculty and economic development organizations.
ARTI. The Advanced
Research & Technology Institute is a private, not-for-profit
agent of Indiana University. In addition to the Indianapolis
corporation headquarters, ARTI maintains offices in Bloomington
and cooperates with faculty on all eight Indiana University
campuses. By partnering through ARTI, Indiana businesses have
access to the university's best strategists and scientists,
cutting-edge laboratories, communication tools, and information
technologies. ARTI helps put research and development to work
in new and powerful ways that are both practical and economical.
Venture Capital Funds.
Recently, a venture capital fund has been formed to invest
in potential spin-offs of university research in the Midwest.
The fund, already fully capitalized, is run by experienced and
successful professionals in the venture-capital field, one of
whom is a former vice president for finance at Indiana University.
We have decided to expand
our economic development activities to include more opportunities
for each of the Indiana University campuses to facilitate university
partnerships with small and medium-sized businesses throughout
the state and, when asked, to provide "white papers"
for state policymakers
f. State and federal
elected officials and federal funding agencies
Indiana University has
had an active ongoing relationship with elected officials through
our federal and state relations offices. I am sure your institutions
do also. Our program is based on priorities set internally by
a Federal Relations Committee, using a holistic approach that
involves knowing the university's diverse strengths and priorities,
and influencing federal legislation and agencies to fund programs
that will strengthen both primary and emerging research areas.
Program officers must know in detail that funds provided to
Indiana University will result in excellent research, will be
strongly leveraged by the university, and will most often result
in sustainable programs so that a grant is not money wasted.
At the federal level,
top university officials periodically visit the Indiana Congressional
delegation in Washington regarding special requests for earmarks,
most often involving research. We also ensure that university
representatives are seen as national leaders in lobbying for
more Congressional support for the federal funding agencies.
This can best be done if our people have leadership roles in
the national higher education associations such as the Association
of American Universities, the National Association of State
Universities and Land Grant Colleges, the Association of Graduate
Schools, and the Council of Graduate Schools. I remember testifying
on behalf of the National Science Foundation and the National
Institutes of Health before a House committee with the directors
of those two agencies on either side of me. This kind of opportunity
has significant long-term advantages for the universities and
the agencies involved.
At the state level,
we utilize the various public stakeholders to supplement our
vigorous state relations efforts. In this, as in other arenas,
cooperation among higher education institutions in the state
is crucial. In particular, common goals and initiatives involving
Purdue University and Indiana University are important to both
institutions.
We also use as many
opportunities as possible to talk with legislators, trustees,
and industry leaders about the importance of funding the research
university, and the centrality of research to state economic
development and quality of life. An example of such an opportunity
is our annual Smithsonian Program, which brings legislators,
trustees, business owners, and university personnel together
in Washington, D.C. The invitees learn of opportunities for
Indiana business around the world, visit several trade-important
embassies for meals and discussion, and meet with the Indiana
Congressional delegation.
I should mention here
that Indiana University has a similar broad-based approach to
fund raising from private corporations, foundations, and donors.
But that's another talk, and would be better presented by other
members of our administrative team, in particular Curt Simic,
President of the Indiana University Foundation.
Successes and Suggestions
I'll mention just a couple
of the recent successes Indiana University has had at the state
level:
Twenty-First Century Fund.
This fund, created in January 2000 by Indiana Governor Frank
O'Bannon, provides $25 million per year to nurture the state's
growing research and development sector. In the first round
of funding, more than $15 million was awarded to 12 groups that
partner Indiana universities and researchers with Indiana companies.
An important point is that the creation of the Twenty-first
Century Fund was urged and promoted by an independent Health
Industry Forum; many of the projects that have received funding
to date involve research on new health-related treatments and
technologies.
Proton Therapy Project.
This project has received $10 million from the state of Indiana
and $2 million from Congress. These funds will be used to create
the Midwest Proton Radiation Institute, housed at the Indiana
University Cyclotron Facility, to provide cancer treatment using
advanced proton therapy techniques. This project was funded
because of the efforts of external supporters who saw its benefit
to citizens and its value as an economic development initiative.
Questions for Future Consideration
and Discussion
I suggest that the questions
listed below are helpful no matter what stage an institution is
at in its development of the research mission. We all need to keep
them in mind on a continuing basis. The questions also serve as
an excellent ground for productive discussion within and among universities:
- What are your recent outstanding
successes? Failures? What do you learn from these efforts in terms
of strategies for the future?
- How accountable are you
to your stakeholders and potential
- champions?
- How do you currently use
your faculty, students, parents, grass roots organization, alumni,
trustees, industrial and other private sector leaders, federal
and state relations team, and key state and federal legislators
to influence others?
- What resource, organization,
or new initiatives are needed internally and externally
to make a still better case for research support?
- Does your institution sincerely use
current research and public funds so that additional requests
will be greeted with a sympathetic initial response?
- Does your university aggressively cooperate
with potential stakeholders?
Conclusion
I hope
these remarks and questions will stimulate our discussion. In summary,
before we can expect research to be higher on the public agenda
we need to know and respond to the public's agenda for us. We must
pay particular attention to the undergraduate learning environment
and take the proper steps to improve it in tangible ways that allow
stakeholders to see research as a positive contribution to teaching
and learning (as opposed to a competitor to teaching). The understanding
that we are mentors of the next generation of citizens whether we
are teaching others in the classroom or in the research laboratory
is crucial.
Of course,
the reflective nature that is so necessary to teaching is also crucial
in research and in cooperating with external stakeholders. The attitude
of the faculty (the Ph.D. holders) as stewards of knowledge in their
discipline (both in disseminating and creating new knowledge) could
go a long way in creating a positive atmosphere in dealing with
the improvement of the public's knowledge base and opportunities
resulting from research. Then the public will be able and willing
to "carry our water" more effectively than we could do
ourselves and research will have a higher priority on the public
agenda.
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