Optimizing the Nation's Investment in Academic Research A New Regulatory Framework for the 21st Century (2016) / Chapter Skim
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2 Partners in Research and Oversight
2 Partners in Research and Oversight
Pages 33-52
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From page 33... ...
Upon extensive reflection, and with visionary institutional thinking and considerable debate, a partnership was forged that was decentralized (rather than embedded, for example, within a single ministry of science and technology) , merit based (awarding research funds on the basis of peer evaluation and determination of scientific quality and significance rather than, for example, on geographical dispersion or seniority of applicants)
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From page 34... ...
These institutions are the product of an extraordinary confluence of factors: "…the right values and social structures, exceptionally talented people, enlightened and bold leadership, a commitment to the ideal of free inquiry and institutional autonomy from the state, a strong belief in competition among universities for talent, and unprecedented, vast resources directed at building excellence to create an unparalleled system of higher learning." 4 A 2014 study evaluating 500 of the world's universities largely on research performance identified 16 of the top 20 as U.S. institutions, and 32 U.S.
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From page 35... ...
U.S. research universities provide a trained workforce with direct experience in research -- devising new lines of inquiry, conducting experiments, analyzing outcomes, generating new knowledge -- that equips graduates not only for careers in science and engineering but also in the rapidly changing knowledge industries, and indeed for leadership in any field.
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From page 36... ...
Atkinson and Pelfrey indicate that approximately 80 percent of leading industries today are the result of research conducted at academic institutions. 11 For example, federally supported research in fiber optics and lasers helped create the telecommunications and information technology industries that now account for one-seventh of the U.S.
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From page 37... ...
By some measures, research institutions are a special few. Among nearly 5,000 institutions of higher education in the United States, 108 are classified as research institutions with very high research activity.
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From page 38... ...
(Continued) 17 For a map of the distribution, see "Federal Science Funding Information Factsheets," Federation of American Societies for Experimental Biology, 2014, accessed August 12, 2015, http://www.faseb.org/Policy-and-Government-Affairs/Become-an-Advocate/FederalScience-Funding-Information-Factsheets.aspx.
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From page 39... ...
Over the many decades that the federal government has invested in research, priorities have changed. During the Cold War and particularly after the Soviet launch of Sputnik, federal support of research increased substantially.
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From page 40... ...
21 University support has become more necessary, as the limit on federal reimbursement for administration (capped at 26 percent since the early 1990s) 22 does not permit universities to recoup the full cost 21 National Center for Science and Engineering Statistics, National Science Foundation, 2014, accessed August 12, 2015, http://www.nsf.gov/statistics/.
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From page 41... ...
©2014, AAAS. THE IMPORTANCE OF REGULATIONS TO FEDERALLY FUNDED RESEARCH Increases in funding for academic research have been accompanied by consistently increasing federal oversight.
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From page 42... ...
Office of Research Integrity, which receives and reviews the institutional files and actions in all cases of scientific misconduct in research funded by a PHS agency, publishes its findings whenever it finds a researcher guilty of scientific misconduct. Federal oversight of scientific research extends to public safety.
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From page 43... ...
Export Controls, International Traffic in Arms Regulations, Select Agent Rules, and Dual Use Research of Concern policies are all examples of regulations designed to address public safety concerns. Expenditures of taxpayer dollars should not occur without adequate accountability.
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From page 44... ...
Further, incomplete and conflicting guidance on how to comply, as well as audit practices that depart from stated agency policies, have created uncertainty and confusion for researchers and universities. 27 Regardless of whether the data indicates a dramatic escalation in the number of regulatory changes or whether it is consistent with a long-term trend, the pattern is concerning.
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From page 45... ...
In recent testimony before the Senate Committee on Health, Education, Labor, and Pensions, Vanderbilt Chancellor Nicholas Zeppos, stated that Vanderbilt spends "approximately $146 million annually on federal compliance," which represents about "11 percent of our non-clinical expenses." Dr. Zeppos further noted that "as a major research institution with nearly $500 million annually in federally supported research, a significant share of this cost is in complying with researchrelated regulations." 28 28 Recalibrating Regulation of Colleges and Universities: A Report from the Task Force on Government Regulation of Higher Education: Hearing Before the Committee on Health, Education, Labor, and Pensions, United States Senate, 114th Cong.
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From page 46... ...
, this number has increased to 5.8 year." See "Sustaining Discovery in Biological and Medical Sciences: A Discussion Framework," Federation of American Societies for Experimental Biology, 2015, accessed September 9, 2015, http://www.faseb.org/Sustaining Discovery/Home.aspx. The specific regulatory changes referred to in the graph are as follows:
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From page 47... ...
NEH, 2001, Misconduct in Science (Federalwide Policy, 2000) 2002 CIPSEA Confidential Information Protection and Statistical Efficiency Act (OMB Implementation Guidance 2007, Title V, E Government Act of 2002)
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From page 48... ...
Public Health Security & Bioterrorism Preparedness & Response Act of 2002; companion to the USA PATRIOT Act (2001) 2003 Consolidation of Agencies' Governmentwide Debarment & Suspension Common Rule (2003)
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From page 49... ...
National Institutes of Health Public Access Policy (2008, Consolidated Appropriations Act of 2008, Division G, Title II Section 218) Nuclear Regulatory Commission Order Imposing Fingerprinting and Criminal History Records Check Requirements for Unescorted Access to Certain Radioactive Materials (February 2008, Section 652, Energy Policy Act of 2005)
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Nuclear Regulatory Commission - Statement concerning the Security and Continued Use of Cesium-137 Chloride Sources (July 2011) America Invents Act 2011 Patent Regulatory Changes (2012)
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Public Health Service, The Newborn Screening Saves Lives Reauthorization Act of 2014 (December 2014) SOURCE: Courtesy of the Federation of American Societies for Experimental Biology, 2015.
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From page 52... ...
30 As investigators typically receive research funding from multiple federal agencies, they and their administrative staff often spend unnecessary time, energy, and resources complying with agency rules, regulations, and policies that address common core issues and concerns but with different sets of requirements. As noted in the 2014 National Science Board report, "This overall lack of harmonization often comes at a high cost to investigators and institutions in the form of lost productivity and cost of administrative personnel." 31 This is a diversion not only of time and effort but also of expertise.
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