American universities are a key component of our
world-class research system, contributing to the development of knowledge and helping to
advance societal goals. Our universities are the envy of the world, built as they are on a
commitment to excellence. They have proven to be an exceptionally rich setting for the
conduct of research because they are committed to the dual purpose of generating knowledge
as well as educating the next generation of scientists and engineers. Observers of the
science and technology enterprise often look to Vannevar Bush's 1945 treatise Science—The
Endless Frontier, to explain the origins of the Federal government's commitment
to research and education. But the history of these endeavors goes back even further. The
fact that the United States has flourished, notwithstanding profound internal and external
challenges, is partly attributable to our willingness as a nation to invest significant
public resources for public goods not readily attainable by the normal workings of the
marketplace. Our earliest declaration of national purpose commits us to promoting
"the progress of science and useful arts," a commitment which we honored
immediately in 1790 with the first decennial U.S. Census. The census was followed by an
historically unprecedented and nationally funded scientific reconnaissance of our
landscape – its topography, geography, flora and fauna, wildlife, native peoples,
land routes and waterways – which enabled citizens and entrepreneurs to realize the
economic promise of our vast continent throughout much of the nineteenth century.
The manner in which we have chosen as a nation to invest in scientific and engineering
research has, not surprisingly, reflected the pluralism of our communities and the
decentralized structure of our governing institutions. The Federal government has relied
on approaches as varied as the country itself to promote science and engineering. The
advance of science and technology has often been coupled with other public objectives
– especially education. The Johns Hopkins University and Clark University, our first
explicitly research-oriented universities, were founded in 1876 and 1887. Since then,
universities have served not only as critical research locations, but as a training ground
for the next generation of scientists and engineers. The close coupling of research and
education has become a hallmark of the U.S. system of higher education, producing the
finest scientists and engineers prepared to perform cutting edge research and to manage
high-technology enterprises across a broad range of disciplines and in multiple venues.
The partnership in research that has evolved between the Federal government and
American universities has yielded benefits that are vital to each. It continues to prove
exceptionally productive, successfully promoting the discovery of knowledge, stimulating
technological innovation, improving the quality of life, educating the next generation of
scientists and engineers, and contributing to America's economic prosperity.
While the wisdom of investments in research has proven itself repeatedly over time,
each era brings with it special challenges and opportunities. Neither universities nor the
Federal government have remained immune from the historic shifts that have taken place in
the last decade, including the globalization of the economy; the growing interdependence
of the economy and scientific and technical advances; the increasing reliance of industry
on universities for the performance of basic research; and the continuing importance of
research universities to the economic prosperity of states and regions. The partnership
between the Federal government and the nation's research universities must evolve
along with these changes, making this an appropriate time to
review the fundamental principles of the partnership, renew the government's
commitment to it, and suggest how the partnership might be strengthened so that it can
continue to be effective and efficient and serve the nation into the next century.
It was in this context that the Assistant to the President for Science and
Technology, at the urging of the President's Council of Advisors on Science and
Technology, state governors, industry leaders, elected officials, and leaders in
education, issued a Presidential Review Directive in September 1996 directing the National
Science and Technology Council (NSTC) to review the government-university partnership and
recommend ways to strengthen it. As noted above, where appropriate, the findings and
recommendations emerging from this review also apply to nonprofit independent research
institutes. The NSTC was charged to assess the policies, programs, and regulations that
shape the partnership, associated educational activities, and the administration of
research. The goal was to review the principles of the partnership, promote cost-effective
university-based research, ensure fair allocation of research costs, and support the
linkage between research and education, all while maintaining appropriate accountability
for expenditure of public funds.
The review was carried out by a multiagency Task Force chaired by the Associate
Director for Science of the Office of Science and Technology Policy, with the support of a
Working Group, under the auspices of the NSTC Committee on Science. The review findings
and recommendations, documented in this report, are based on inputs from universities,
university associations, and the Federal research agencies received in response to a Task
Force solicitation. The Working Group reviewed over 40 university and university
association responses, representing hundreds of universities. The Federal Demonstration
Partnership (FDP), a cooperative agreement among 65 academic institutions (including administrators
and faculty representatives), 11 Federal agencies, and six affiliate members designed to enhance
research productivity and reduce administrative burden while maintaining appropriate stewardship
of public funds, offered valuable input and is expected to assist in implementation of the
recommendations. The Government-University-Research Roundtable of the National Academies of
Sciences and Engineering and the Institute of Medicine, is the official convener of the FDP. The
Government-University-Industry Research Roundtable, with its record of inquiry into areas of concern
to this review, also provided valuable input to this review. So did the National Science Board,
particularly on the role of the Federal government in graduate and postdoctoral education.
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