Workshop on Basic Research:Policy Relevant Definitions and

Measurement

October 29, 2001

John C. Hurt

National Science Foundation

Creating, Connecting, andCollaborating: The Role of Academe

in the 21st Century

The National Science Foundation(NSF)

Is an Independent Agency of the FederalGovernment

Was established in 1950 to promote andadvance scientific progress in the UnitedStates by sponsoring scientific researchand by supporting selected activities inscience and engineering

Does not conduct research itself.

NSF-1

NSF Considers Proposals for ResearchSupport in any Field of Science

Astronomy Atmospheric

Sciences Biological Sciences Behavioral Sciences Chemistry Computer Science Earth Sciences

Engineering Information Science Materials Research Mathematical

Sciences Oceanography Physics Social Sciences

Including but not limited to:

NSF-7

Industry66%

Other 5%

NSF 3.3%

National R&D ResearchExpenditures: 1998

Federal29%

Federal29%

NSF-19

NSF Role in Federal Academic Basic Research: 1998

NSF3.5%

Non-medical Basic Rresearch

NSF52%

Other

Other

NSF22%

NIH

Total Federal R&D Basic Research

NSF Funding Profile(FY 1999)

Total = $3,690 M

Administration & Management

5%

Education & Training

18%

Research Projects58%

Research Facilities19%

NSF-27

NSF-41

NSF Vision

Discovery

LearningInnovation

Enabling the nations future throughdiscovery, learning and innovation.

People - Diverse, internationally competitiveand globally-engaged S&E workforce

Ideas - Discovery across S&E frontiers,connected to learning, innovation and serviceto society

Tools - Accessible, state-of-the-art, andshared research and education tools

NSFs Outcome Goals

Develop intellectual capital

Integrate research andeducation

Promote partnerships

NSFs Core Strategies

Innovation Elements

People Knowledge Infrastructure Tools Free Market for Ideas

What is Innovation?

Innovation is a locally driven process,succeeding where organizational conditionsfoster the transformation of knowledge intoproducts, processes, systems, and services.

Edward J. Malecki

Technology and Economic Development, 1997

Patent Citations of S&T Literature

9,49512,906

19,404

27,422

47,059

108,300

1988 1990 1992 1994 1996 1998

Source: NSF/SRS

Up ten-fold s ince 1988

Doubled s ince 1996

Science/Technology Linkage

Patents granted in theUS patent system areincreasingly linked topublic research.

Two-thirds of the citedpapers were publishedby organizationsprimarily supported bypublic funding.

Non-profit11.0%

Industry26.7%

Government Labs10.2%

Academe52.1%

The U.S. Innovation System is Evolving

Increased role of research in innovation

Demise of large corporate basic research laboratories

Increased role of newcomers and small firms

Increased role of academe (research and education)

Importance of public funding for research

Pervasive nature of information technology

University/Industry/Government PartnershipsLessons Learned

Firms that collaborate with universities report that morethan 10% of their products resulted from thecollaboration.

Industry wants universities to concentrate on researchand education, rather than development of products.

Small businesses affiliated with academe aresignificantly more successful that those that are not.

University/Industry/GovernmentPartnerships

Lessons LearnedOf 3200 universities, perhaps 6 have made significantamounts of money from their intellectual property rights.

IP rights should be pursued as a means for interaction withindustry rather than as a means for raising revenue fromcommercialization.

The lasting impact of successful state programs has beenthe development of the intellectual infrastructure forresearch and education.

University/Industry/Government Partnerships

Lessons Learned

The idea of converting science and technologyinto tools for economic growth has beenembraced by the states, but the lure of technologyprofits has been detrimental when it pulledacademe away from its primary purpose ofresearch and education.

University/Industry/Government Partnerships

Lessons Learned

Partnerships between universities andgovernments and industry/business have beenmost successful when each partner does what itdoes best, leaving the remainder of the innovationprocess to the others.

The National Science Foundation (NSF) established the Science and TechnologyCenters (STC) Program in 1987, as part of the Presidents State of the UnionAddress, to fund important basic research and education activities and toencourage technology transfer and innovative approaches to interdisciplinaryactivities. The STCs explore new areas and build bridges among disciplines,institutions, and other sectors. They offer the research community an effectivemechanism to: embark upon long-term scientific and technological researchactivities; explore better and more effective ways to educate students; anddevelop mechanisms to ensure the timely transition of research and educationadvances made into service in society.

Science and Technology Centers

Engineering Research Centers

Strategic vision for advances in a next-generation engineered system and newgeneration of engineering leaders in a global economy;

Research synthesizing engineering, science, and other disciplines, fromdiscovery to proof-of-concept;

Educational paradigm integrating research & education producing newresearch/educational culture and curriculum innovations;

Partnership with industry strengthens the ERC and achieves a more effectiveflow of knowledge into innovation to benefit the Nation;

Effective leadership; cohesive interdisciplinary team; diverse in gender, race,and ethnicity; infrastructure of space, experimental equipment ;

A commitment from the academic, industrial, and other partners tosubstantially leverage NSFs funds and sustain the ERC.