Citation
Industrial support of university training and research: implications for scientific training in the "steady state"

Material Information

Title:
Industrial support of university training and research: implications for scientific training in the "steady state"
Creator:
Gluck, Michael E.
Publisher:
U.S. Congress. Office of Technology Assessment
Publication Date:
Language:
English
Physical Description:
46 pages.

Subjects

Subjects / Keywords:
Employer-supported higher education -- United States ( LCSH )
Business and education -- United States ( LCSH )
Scientists -- Education (Higher) -- United States -- Finance ( LCSH )
Genre:
federal government publication ( marcgt )

Notes

General Note:
This report considers the implications of industrial funding of research and training for the way in which universities train new scientists during this period of "steady state."

Record Information

Source Institution:
University of North Texas
Holding Location:
University of North Texas
Rights Management:
This item is a work of the U.S. federal government and not subject to copyright pursuant to 17 U.S.C. §105.
Classification:
Y 3.T 22/2:2 Ed 8/2/pt.2/indust. ( sudocs )

Aggregation Information

IUF:
University of Florida
OTA:
Office of Technology Assessment

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Industrial Support of University Training and Research: Implications for Scientific Training in the "Steadv State" F:esearc:-i Michael E. Gluck. Ph.D. Fel!Jw. Center for Healtn and Human Pes c:..u: == J1=:-in F. ~:.enne::,' Schee! af Gcver-:iment Harvard Uni\er~1tv C:""1 ',...,, l ........ J. ,_ Pre:a~E~ f~r ~.S. Offi:a =f 7~:~rol=g~ ~sEess~ent ~nc2r C=G~ra:~ ~:-40-~.0 The :::a:~ :.r, ,_:n: ,':~-~1 :,-:r,,:L::t:r--.., r-~l .:t.t:uri=~!~5 ~n t!=:t2ct-~r.cl =g/ ~-'J.:-.= ~-.:t.t:-.~r-a:: iJ1 t:-: the ~uopcrt fr~m ~HHS Grant s:-100A. the ~n~rsw Mellon F~L~~atl=~. anc the wcr~i ng Sr:=up en H::al t:-; E:c:. er.ca Fol:. C-.'. !:h .1: ~=-:ir. ot Heal t!"': F:11:. =., F:e~earc::-, anc:: Education. Harvard Uni\ers1t~.

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Executive Summary Dur1ng the past 1~ .ears. a levelling cff cf ;o~ernme~tal s~co=r~ f:r proouc:ad a Pi1er.omenon sometimes referred to as. a .. :;taacl',' stateil for r4mer:.:an sta:=. 11 The ~te~d~ stat~ is chara=~er1:ed by new scarciti~s of er =~nstra1nts =n I

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the life =~:an~as at a i8 anc ,:1 million. The feeeral ;=.ernment prcv1~eo almcst all of t~e rema:~:er. men t. training cf ~ew 5c1entlsts-the pucli: sactcr still ma:nta1~s the most influence over resc~r:2s f=r st~cents, grad~ata and pcst-graduat~ acu:at:=ns. In 6i.d:::-..:;_ ._. :L:ooart. One ~h:r: cf ~na re:::12nts cf of benef:t t~ tne c~rncan~ 1n return for th2ir awards. 0Ge ~ssumes that res2ar:~ lii: :2::::r. ..:. ; -4 -I 4, I ii....= J .I. Ii .. ... ,_j I .. .::

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Along =ne d1rne~s:~n. trainees with i~dustr:al s~===~: apcear scmewnat less prcdL:ct::. -...e: tra1~2~s t~waro the norms of ::.ndustr~ r~t~er tnan an 1nd1cat:0G that tra1neeE whc seek ::.ncust~ial ~areer~. sci2ntifi= 1nformat1cn mav be somewhat dim1n1shad bv indu5~r:al trai~::.ng f~~~s. Althcu;h t~e data 1s cnly ~ugg2~ti~e and warrants furt~er ::.~~est::.gat:c~. Ecme '; = = 2a.r : :-1 ;T1-.:1. i ,.., .. -..... \! i ,.

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u = t _t _:-i:, ll l lO t.. :_;;:_ -p I t.::;I t --f t fl ::t ~II 0 (") ffi n er :.J f--' t ffl !LI :."1 t- :J :-J (J u1 o ,r 1 n t I c 1 : r J !.... u lll !JI Ill ct I I :J m :::i ..... n ,t, t ::1 n !J.1 !l 11 -'i n ITI :::i c1 --~ 0 -"'i P .-t t rt-111 t- t' I I :_J U !l1 1 .-t u u .,._, :J m to w ... r: : .i::, (JI !.U !.II :J lll = ll I ( I ID :J I t :.T hi r:, 1-t-r1 lll I t r fl J :J J:: II !,.: t UJ r t ll !,t.l f[J .,_,. :T LIi ::J Ill HI 3 (I ....., -\ ~I U ,t-.-. ITl :] J' T- :, U = -'i +. OJ c.... u :J III ID U. fl Ul Ill ~,:I I 1" ct-1-t -fJ !:L n !l --'i O ::J :J t, ID tt1 u r1 ... c ... .,.. ro I t w u w "i t' ...... ro !ll :J ::-:i n1 rn (fl o :.r ....., -~ ...... 1.11 111 r:: 3 3 ll ::J : 1 r-t -. m a m 3 ..... rTr.:i:ti:::ro !.:: -o m.-t ru ro n 1 n !.: t.11 n :: :::::: -t :.1 : 11 :::i - n .,__. 1 n:, 10 C Ill C rt-:: .-t -f O I t t- 1(1 !JI :"J :J t -~ ifl !.i :J t t -I : .. f" ..... ,o 1U lit Ill ct .... -0 rt .... 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IJl n ,-iii IR .... 0 ::a Ill u -+, n :J r.u ::., ,n ru l1l :1 -0 ..... .... r1 .. rtrt:.r([I n (J 3 0 ._. IU --j ru ... !l rt .... 0 :J Ill ::T ... a Ul i:.1.1 n ::J 1U ,-5 .... ru -or; 111 .... rt-.-l ru Ill ru !lJ l 11 :T ru n r: n w rt .... n :J ll.l j u It : .r ro .... -'i -:::J !J,I a. a r-t .. 0 :J rt o ro .... ..:. ... :.J ,n r-t:r ... Ill ru 3 a ... -or; .... n !t ..... (I) -. ... Cl. ru ::J n m r-t:r ... Ill u !J.1 -u m r-t ."'i .. IU Ill ,tu 3 ~ ru ro IJ\ 111 .. ro !J.I .... r-t---u m UI CJ +. r 5 .... ru -or; Ill .... r-t-I .. :J Cl. !== i_n rt, -..: 1 m ...... !JJ r--t ._. 0 :J 10 :-r .... f.J ICI C ...... :-.:, 111 ... :J rr .. l) rt m n : .. T :J 0 .~ r) ,n ---.J

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8 growth that oeaked 1n the middl2 to late 19t0s. At the heart of th::.5 e::~an5::.~n and ::.ts =Ltbseo~ter,t end are Ltni'1ersit, enrollments and federal fund:.:-,g of uni:-un1ver~1t1 resear~h grew from $234 to !1905 milli~n 1n constant 1972 dollars beti-Jeen 1 ~:3 ta 714% increase>. it only grew to d: ":" .-, C' C ......... ._. m1 l lier. ::. ,1 15 ~ear5 enc::.ng :n 1983 (a 19% 1ncrease).e Between 1?6~ an~ 1?74 f:r=t ~e;r~es gr2es awarded each vear has rema1neo about constant. Full-time enroll~ent5 1n American 1.m1 ... 'ersities are e;~pected to actLtall',' drop-off throLtgh the mi.:!dle ~f the ne:~t decade. At !east =ne cbser~er has desc~:oec the ~erioc :n tne 1960s as one ~f 11ab-and finan:es ~~r:ng the 1970s and 1980s have had 1moortant 1mol1cat1~ns for the !::1:eqe:: :1~= ;__i;-,:..:ersit:.es. ~~a-;r:1:-1gtcn~ !).C.: J t ,:.. \.II._, e Go~arnme~t Pr:nt:.~g Off:ca. Fe:ruar: 1~. :. so. 60ff1:2 of T~cnnol=gy AsEessment. U.S. Congrass. Demcgracn!: ~r?ncs an~ t~e ~::e~t:f:.c a~c Enc:neer:ng war~ Fcr=e--A TecMnl=al Memcrancum~ Was~ingtcn. :.s.: ~-~-3c~er~me~t Pr:n~:ng Off:ce. December :;ss, cc. :S-36. P~:li:~ and Be~~~mi~ 3. P. eds.~ Paeeir=~ :n Aca o~ t~a ~t?ad;-Stat~ Unier::ty, rncul:er. S~l:!rado: ~~est,:e~J Fr-~s=~ 198:::. p. ~.

PAGE 10

9 wa~ :n which research un1vers1t:es function. In eccnom1~ terms. un1\ersl~:es fac? new scarc1t~; the resources at their d1scosal are more constra1nej. The term st~ad'.1 ::t.:1.t211 descr1bes one attribute :;jf tr,e rese~r::-i un1vers1tv--::.t~ resources. er more spec:1f1call~. it:: cuc~et. Hcwev2r. t~e tarm mean "::tat1c. 11 A: Omenr, anc:: Fr ager ooir.t OLtt. 11:..tr.l '.'ers: t:.e: ,:1.re n tal ::-.=:.: tudecline in college and gr3duate students. At the same t1~e +:.hat observer: ~ave noted +:.t-,e emergence cf a 11stead'1 state," at 1 east two other c:nanges ha.12 taken place that affect the :tmount and allocation of resources a/a1lable t~ Ltr1::..-er:1 t:. e:. First. there na~e been rapid breakthrougns :n the l1fe ~c::.encas =\er :~a 1 ast ten aars 1 n f 1 el :is knc:~-Jn coll ect1 ..-el .-as 01 ctec:r1nol 1~g/. :hese :ie-.. ==-ments are ::.n t~e area~ of recombinant DNA~ moncclonal antibodies~ gene synthesis. gene secuenc1ng, and their appl1:at1ons 1n cell or t1ssue culture, federal funders of future 1n~est~gat:~n. Sec:~c. tne =~mmercial ootent!als of research. Jar~!cularlv 1n t:ot~c~ncl-8Gilbert S. Gmer:n arid Deriis J. Prager, 11Fesearcr, Ur.i..-ersit:es ano the FLltLlre: C.hal l enges and OpoortLm 1 t 1 es~ 11 1 n Phi 11 i o s and '3hen, po. .::: anc: 24.

PAGE 11

10 ause bictecnnol~g1cal advances have taken olac2 almost ex~lus1 :el; ::.n un1~ers1tv labs~ firms w1sn::.ng to devel=P oiotecnnology ccmmerc::.allv or to cu::.ld :~air in-t1cn. the amount cf time and effort neceEsarv to move from ~c::.2nt1f::.c resear:~ ha~e had an 1nc2nt1~e to work with un::.versit1es to or:ng these cr=~~=~s :u1c~l~ pcrtun::.ty to profit financially and to part1cioat2 in its transfor~~t:=n :nto products that benefit the economy and the public health. As exam1~ec 1n tne re-search cited at the beginning of this pacer~ these UI F..s 1 r:c:l '-tde 2:: amo 1 as of in-ncvat::.~e organ1:at1onal forms jes1gned to l"'telc :ndu5trv meet :tE ~=mmer::al cbThe ~:E~:=ns of the Univer~ity. So far. I have suggested scme cnarac-ter::.st1=:: cf the 11:teac:J state11 and the conte:-:t in ~-Jh::.ch it nas emerged. r ... ,j.lj u~efwl t~ c~nE:~er the several act1:1t1es among wn1ch tha un1:erE::.t~ er ;over~-95anora Fsnem, The InterferJn Cr~~ace, Wash:ngt~n~ D.C.: The BrocK:ngs In;titut1on~ 1?94. p:.75-76.

PAGE 12

-i;; ...... C: 3 m :::, rt:.T !ll ,_. m rl" !.Lt ,_. -o ro 0cr rl" ~ :_1 1r1 !-:'. Ill :J !.1 rt 1--' ru !l 11 rt ,-t::: 0 Ill n : r 0 (I .. _. Ill 0 -+, .-t :-r 0 r: ,n ::r rl" 10 r: 3 n rt .. fl :J Ill !.I ::, (L l\J u ro n I t !ii r-t .. u .::.J lfl 0 +. rt ::r ro r--t-1 !U .... :J ...,_ :I ,n ro u m l .... ro ::_J n ru Ill ,-t::T ro 3 lfl ru llJ Ill r-i :-:i IU (I !II :-1 l 1 ... Ill I n :r !l :J 11-:-1 m .... !.l r--t -. i-u 10 ru !l -, 11 :_t !--::, ru Ill ... rt .. ru IJl !!l :::, n. ,-r:..r ro ..... -'i t 'i ~ J ... :J ,n u -"'i (I ,n !J_I 3 Lil \.ll l m ll -t. -h Ill -"i :1 ,1 J !I 10 I -0 0 Ill ,-ti n 0 n rt CJ !.11 ... _. rt""i !J.1 ... ::i .. :..1 ,n .. :J rt::r m Iii n .. llJ ::'J n ro IJl l.:... :J n n.1 l ... :_, ,u 3 C 17 :J CL ... lll 17 r:: lfl Ill .... l_1 :, !H 0 Cl !: rt .... IU ii IU ::I rt -0 m l Ill ( I :.:1 ::I ru I-' ::-1 !J 11 :.t (1 IU :) ... fl !J.I :J a CJ rt:::r ro l Ill fb n .-tu Ill ---t .. s .. Ill {] !J. u m n ll :J n IU :, ct -.i .1 ;t ru Ill f I :_1 r1 :r t :1 ru =1 (J --t ::r -., Ll L :J .. m l Ill ... rt ... ru m rt -, !u .... ::i .. :J [J lJ.. i: !u .. Ill ,t o 3 fb l1J rt -+r:: rtr-f{I : 111 II) n Ill -t 11 -"i Ill ... t--' l[I n rt1{1 .. -, r I :.r (J 0 ._. fl 0 :J LL !: n r-t bl hi n :-:r 0 .. w ..... -, ru Ill ru !.U n ::r n ::r !i IJl 0 rl" ::r m -"l fl! u ro 1 .... ru :J n ID :E ::r n :..r !: ::I .... IU Ill ..... .-t--u ro Ill 0 :::, :J ro ..... !J.1 u 0 < .... a. fb rt:r m ...,_ -"i u m ,tIll ro n (I .. ro Ol !ll ,_. ...... !.Lt ro !J. i.n .. .::.J ,.. r1 :_, !lJ (1 f I fl) rt u =' !.t. ru u ro rt rt l .1-lll n ... UI ... 0 :::, ljl ... :J rt:J" m u r & ,_. .... n ... ::i rt lU l 10 Ill rt :T (0 l !.Lt :J ,n ru (I +. It 1_ l n .. Ii Ill u J ..... :J rtru ro IO rt Ill _u (1 C l Ill r.: ... rt Ill u -1-. :J 0 :E t--f[I a. ,u ro r-t:..r m 10 0 m l ~J :3 ro :J rt er l1J ,_. .... ru ' m in rt n !.Lt ::i !:: Ill Ill i.u r-i !J,I (l rti ... f I !1J ::J Cl (J .. ... ::r m !i Cl ... II II.I 1:9 l ro ,_. .... :J 1f) 0 ::, rt ::r ro C ::I ..... iO -. 1(1 t- rl" .... Ul n CJ 3 3 .... r-+ 3 ro :J rt rtn ,-, f I Ill :J !'.l :J a (]. ... Ill I lO ro n u ::J fl_ Ill CJ n ... m rt--a. ro u m :::J a. Ill 0 :::, l m in rtl !JJ n :r C ::J .... ID LO ..... rt-... ro Ill -+. 0 Ul n .. 10 :, rt. -+, .... r 1 u m l r-t..., lll fb rl" ..... = ._. rl" .. m an .... ::r 0 C ,n ::r rt ::r ro .. l .... ::J -< 0 ,_. ~< ID 3 m :::, rt ...,_ ::, 0 Ul r.: 0 o 0 l r+ () -+, ,_. w CT 0 {i) rt0 ::: 0 "'CJ fD Ill 0 :::, ::I ro ,_. w :J n r-t-1 !U .... :J m ID Ill II (1 ::I rt, .... CT C rt ru CJ. ..... m n rl" ,_. -< 0 .... :J a. .... ru n rt-..... ri" D ,t::r ro Ill ID -'i IU 1,1 IU !L "'i II :_t !11 n I rl" :J" l1J ... l -, ID Ill IU w -, 11 :t (j !..: u CJ ru ,-t 111 -+, -'i n 3 r+ :::r ro -+, IU n 1(1 !i ,_. ,u 0 ro :.1 3 m ::a rt ... 0 D ...... =' 0 w rl" !J_I ~ .... !-: 1 ... Ill -'i Ill t- It 3 m ::I rt rn m :J !U 3 0 .:J ,n "TJ 0 -+, fO lil Ill n l hl Ill !:: u a 0 rt ro a. CT :. ... ::J Cl !:: Ill rl" l =:I 0 Ul rt l fU n m J[I ,-t :1 IU JI r .. _. 11 -+. lfl m !l .-. :J +. r-:i n Ill ~ll rt-rt ::r ro n .... tn 0 0 Ill !)_1 ,_. 0 -+-. ... ,-t111 ... :J m IO rt ..... ,n !L r-t Cl l Ill ( I Cl 3 m -+, -, I_) 3 I t :r IU -+. ID n 10 -... !ii -,11 n ru ""'i _, I "'CJ n ro u f[I n rJ ::I 0 3 ..... n !U :J n 0 !:: a ,_. ._ .. fl ::..T m !1J ,_. ....... ::r n n 3 rt::r ro C ::J ... ro l Ill ...... rt-[1 ro Ill TI ID n 1-t .. 10 n Ill 't -'I IU I IC w ::I ri" hl !V ::J 0. n ll ::J ,-t, !U n rt Ill --t ::r ... Ill l ro in ID w n :J Ill r: 0 1J 0 l rt... Ill !V Ill 0 n I QI ,-t !J.t t-~ ... :_1 rti Ill rt 3 m ::i 1t ,tu !! l ll 3 I 3 !U ._ ... 0 ... rtlJ -+, .... rt Ill l ro m ru !lJ n ::r !.U :::J n ll. ro .. ro ,_. 0 0 3 ro ::I rt-ru -+, -+, 0 l rt Ill .~ 0 r-= ::I ITI Ill .. rt-.... IU Ill rt :::r l n f"~ 1[] :::r -t. IU n. ro !J.1 lfl 0 n .... w ,_. Ill fl ... (0 ::I n (0 ,o !).1 ::, Cl :r t:: 3 !U :::J ...,_ rt .... ro m - :::J rt ::r m lil n .... ro ::, n m m U1 0 n ... ru rt-ro :J rt l C Ill r-t Ill ,-t : _r ro !JJ IO rt .,, ..... lll rt m in ro !1J n :J r 5 ... :: ro Ill .... r-t.... ro 10 n 0 ::J n C n rtlJI n :.r 0 ,_. !U ---l ro IO ID !.U n ::r .... :1 r-t::r 10 in n ... ro ::J n Ill 10 ......

PAGE 13

12 On one aide are tt-1::,se ~--Jno belle,.ie that .,a F'h.D. ir, an, ::i::.=c:c:l:r.2 --2::.;:, ... ?s a set ~f Tuncamental anc constant 5k1ll~ to :cnduct :~dependent resear:~. ~~lE to appl~ the methodol~g1es of the scholar's chosen f1el:. Fr:pcnent= ~f ~h::.E ~t1or~. on apc:l ied~ tec~n1c:al pro_~ects detracts fr=m their eCLti:::Ettl :irial e:::er:er,c:es. The alternative not::.on of graduate ~ducation ~lews the Fh.D. cegree 1n a broader conte::t. Ac:ord1ng to this theory~ the research un::.~ers1~ies~ ~ancata c:cmmer:::..?.l cc:oartun1:::.es :.n fields :1ke b1ct2chrrolog,.-. :t-ie pr: :ate .:2-:::r ;,e2C::E ind111dwalE ~ith ad~anced tra1n1n~ ::.n croer tc transform bas::.: sc::.2n:2 ::.nto ~=2pl::. ~d r-ese:'tr:;i t:,01 i::: more -:::mmon to :he or::. ..-3te :ac:t:r-. :t-.a. er.r-.a:-.:2 :~:e tr ,:'.\l :-1ee':, 2dLtC at::. or..~l e;: oeri er.ces. st i 11 ; a i n i n g a:: :1 o :s Lire to a ~-Ji de ., a r ::. et ',' = f = c i sm t i f i : ..:\pp l i c: .:\ t :. on= tr, e t ~>Jo no-tions of ;radLtate edL1caticn ma'.' be able to coe~:ist.

PAGE 14

13 The remainder ~f this pacer addres~es the emp1r1cal problam pc~a~ ata~e. Tac!~ : ~rasent~ a series cf ~arlaOles t~at jescr:be a ~~,::=-,,,,_-... ........ ~. -J' ,.,n: cipate i~ :t. In order to determine the effects of 1ndustr1al funding, one woulj want ~c e;:am1ne each item 1n the table ccntrcll1ng for un1ver~1ti2s' r~la-

PAGE 15

14 Table 1 Characteristics of Training Programs and Their Participants A. =oc::.al1:.)ti:;n to Sc::.ence Views of trainees toward industrv, academia 3nd go~er~ment. Direc:tec:lnes.s. .'erslls :ndependence of the trarn::.ng e:;perienc:e r:::..a. amount of time to do own research versus resccns1bilit::.es f=r acvi:crs' research; flexibility of trainees 1n c:hoo5::.~g r~s2ar~h topics). Accessibilty of faculty for trainees (i.e. facultv resoons::.bll::.t::.as and interests bevond teaching>~ Availability and type of funding support as a trainee. Preparednes5 for job search after training. Preparedness for funding competition for academ::.c 5c1entists. Preparedness for publishing, teaching~ anc other traditional academic activitie:. Ooenness of communications among researcners and trainees. B. 1::mt2nt t::jf the Tr-Et1n::.no E:~oer::.er,ca Field and degree of spec::.ali:aticn 1n that field. E::tent to which re:earch and training e>:peri2nces are 11ba~ic: 11 e:~tent to ~~hic::h they are 11appl ied. 11 C. Length =f Training and Career Pat~erns Length of Fh.D. prcgram:. Pc5t-~octoral fellowships: length and resocnsib1l1t::.25. Sectors ~i.e. academia~ government~ industry~ ncn-sc:entifi= :r=fessicns1 where trainee: seek and obtain emcl~~ment. The f:r5t categ~ry of var::.ables 1s the broadest. It include5 non-scient:fic skills anj c~aractaristi~~ that are in~1cators er ~etarm1nants =f how variables attemot to determine the opinions and value: trainees ac~u:re aoout the sc:entific enterprise andtheir role 1n it. Others are character1st::.c~ cf

PAGE 16

15 the training exparience hypothesized to influence these values. And st:11 others trv ta measure practical~ non-scientific skills that may ce necessarv fer the trainees~ success as scientists. The sacono group of variables 1n Table 1 descr:bes the sc:entifi: =ontant of the training a;:per i ence. Thi= incl Ltdes l earm n,~ that take: pl ace :n the clas~r~om~ :n =~nsultat:cn with a faculty advisor~ in the facultv adv1scr~s labcrator;, and wcrk1ng independently on acacemic enoeavcrs. In crjer to evaluate ecucat:onal content~ one woulj want to knew the fields a~o sk;llE :n which ~tudents and fellows receive instruction. In additi~n~ scientific investigation 1s often charact2r1:ed accorjing to its 11bas1c:11 Cjr 11aoplied11 qLtalities .. Both basic and applieo re:earc:h are ne~es-sar~ tc the proc~ss cf tec:hnologi:al 1nno~ation.11 Because f~r~s jc n=: ~ec~s-vest:;at:=n usually falls under the curview cf university labs anc cec=mes an imocrtant part of a sc:entist~~ graduate training. The first of the twc not1ons of sc:entific training pre5ented earlier would held that basi: res2ar:~ is both the ~est wa~ :moar~ ;tu~2nt5 with the ao1lit~ to conduct :ncepencen~ :nves~1;at:cn and the t~pe of research Pn.D.s are mcst lik2l~ t~ fac~ =~er the ccur~e of an acacem1c career. :ion. 11Chr:!tcpher Fr9eman~ The E::nom::~ :f =~~ws~ri~l Camor1dge~ MA: The MIT Press~ 198:~ ~c. 5-15. 12Ec:,nom1;: ~!Jelf.3re .:and tt-,e Allccat:or: cf F:a:~Ltr:a~ +er Inent:un." in !=:u:nar:I F:. ~~el:;cn~ ed., The F:.ate .anc [;,1rec::.cn of In-:enti,:e Ac~:..'it;: E;:cr,c,mi: and So:ial FActcrs~ National Bureaur cf Economic Research~ Princaton~ NJ: Princeton Univer;itv Press, 1962

PAGE 17

16 Observers of science commonly assume that the basic and appl:.2d cual1t1es of research are mLttualL' e::clLlSi','e. As Stokes ooints. oL:t~ ho~"'e';er~ a piece 1 : 1+ research can be both basic and :\ppl:.ed.13 For e::ample, rasearch ma/ helo fur ther our wnderstanding of fundamental scientific or1nc:.ples wh:le alEo ~e~eloo-ing a directed, technical application. In evaluating tne =~nte~t of resear:n and tra1n:.ng, analysts should consider separatelv the wavs :n wh1:h war~ :.s bas:.c and the wa~s 1n whicn it is applied. The third gr2u~ cf ~ariables describes the length cf the tra1n1ng ~ar:oc and the subseouent career patterns of the trainees. This includes the amc~nt of time required to earn a Ph.D.~ the proportion of trainees who do academic cost-doctor:\l fellowships, and the responsibilities and length of such fellcwshics. In addit~cn. analysts would want to knew now trainees fill soc:et\~3 ~eeds for sc::.entistE. What croocrtions seek and ac:ept indust~v jobs. r2main :~ academia. work :n government~ and end uc in a different profession? Car2er patt2r~s are not _1ust a fLmct1 en :if the tr ai ni ng e:~peri ence, but they al sc ref 1 ec::t the :hang-ing needs of each sector~ characteristics cf tne trainees and publi: ccl!::.as ing and :areer cattern~~ analyst~ would want to c~ntr~l f=r these fa:t=r~. 13Dc=rial d Stokes~ "Far:apt:::ns of ":he Nature =f Bas::.: an:: Acol::. ed s~::. ar::a 1n the Ur.:.te:j =t=-tes~ 11 in Ar-thLtr Ger-:Stenfel~~ edi-i::ir,E:c:2n:a ~::l:=, :=ar::c2::t: ... USA-Japan, New ~'erk: Pic:ac:em1c Fress, 1'78:. ;:o. 1-1:3.

PAGE 18

17 The pr2vicus section suggested a methodology for emo1ri:all~ je~erm1n:~g how relationships ~itn industry may affect the training of scienti;ts. The:=~-seouenc2s of UIPs for training may be especially relevant during the =urrant period if the\' help Ltr.:.,:ers:.ties acc:omodate the 11stead/-state.11 In th:. :se.c:~:.on and the two maJ~r sections that fellow~ I lock at eac~ grcuo cf ~ar1abl2s la1c OLlt in :able 1. To tt-1e e!{tent oos.sible~ I draw upon m--., emo1r1c:~l an a!.=:= ;:f the magnit~de and ccnsequences cf 1ndustr:.al suoport for l:.fe sc:2nc2 tra1~:.~g at thc5e uni~ers:.t:.~s rec21~1ng the most federal P and D funds. al:c s~~ges~ some extens:.cns cf theEe data~ exploring the complexities and subt!et1es =f :~e training and research endeavors 1n universities. For a trainee who has comoleted his er her preliminary coursework. I prcocse :hat the 1ndiv:.dual lab 1s the organ1:at1onal unit in ~hi=h t~e tulk cf soc!al!:at:c~ t~ the norms of science takes olac2 anc that the fac~!t~ aj\~cr is the or:~ar~ actor 1n th1: proc2ss. The lab sit5 at the :unc~~r2 =i ~ne ~n:~-resear:h~ teaching and adv:sor; ~1ssions. c.,.,. '-' ... ,::eterm! n in,;: of labor with:n t~e lab~ the faculty advisor twhc also usual!~ wears t~2 nat :f own examcle. aj::.Ecri also 1moart trainees' with 2th1cal sta~oar~s fer the ::n-ind~str~al work. Acviscrs ar~ wnl1kel~ tc jeterm:ne all =f tra1nees' ~~c:al::aticn. Students anc fellows likel~ enter their labs w:.th scme s=:2nti~1: at-member:. ~~hem -'-1-,,::i,,' \.I._. 1 perc21 ;e t~ mesh well with their own personalities and crac~n-

PAGE 19

18 ceived attitudes. However, these poss1b1lit1es do not invalidate the pr:marv importance of the lab and advisor in the soc1ali:ation process. This hvpothesis about scc1ali:aticn is consistent with the data discussed below~ and as I show. it is useful 1n understanding the implications cf UIRs fer the training of new scientists. UIFs bcund the1r ootent1al consecuences for the training cf st~dents a~t fel-ersities~ 1ncustry frequently provides training sup~crt, but the public sact~r remains raspons1ble for the vast majority of funds for the traini~g cf scientists. The data also reveal that trainees' relationships with :ndustrv :an take ~everal d:fferent forms. This emoir:cal ev:dence =cmes from two ~our:?s. The +i~!t :s a 1994 survev of 106 firms k~own to concu:t ~r succor~ r~saar=~ :n bicta:hn~lQgV~ and the sec:nc 1s a 1985 survev of 093 life ~c1enc~ ;racuate stu-dents and pest-doctoral fellows from six un1vers1t1es. The design cf eac~ ~ur-vev and ~he samcl1ng methodology cf each is reported elsewher~.14 ~maller companies affer2d tra:ning support. Table: summar1:as t~e ~a;n1tude ~f this ;uop:rt. T~a three gets cf astirnatss (~epr~sent~~ b~ the three r:~s :~ the 14BlLlinentMl, et ~, -lo 19S~a -~nd 19E6b. Gl :.tc:k et al, 1987.

PAGE 20

19 firms. In 1984 b1ctech~olcgy firms pro~lded between 173~ and :665 tr31ning grants and scholarsh10; t life science graduate stucents and fellows at a ~est of between $8 and s:4 milli=n. The best guess est:mates for these f1guras are 2301 grants and scholarships at a cost of $15 m1ll1on. in Table 2 indicates that support frcm industry repr~senti betwee~ 15 and:! sciencas. and bet~een 4 and 1: per:ant cf funds +er such ;ucpcrt. As data fr:m necessarily reflect trainees who do not get direct industry supp~r~ themselves~ but who work in the labs cf faculty advisors whose research :5 sup~orted b~ i~-dustri al f ur.ds. Table 2 Magnitude of Biotechnology Industry Support of University Life Science Training in 1984: Estimates from the Industry Survey Number ~f Total Fund~ A~~r3ge Training Grants Provided for Award & Scholarsh:ps Train:ng Gra~t5 Si:2 Provided t Schclar1:n::.;n; ';,.:'\~'Jar::'.1 ($-m1!l::.cm'::) Min::.mum Estimate (Assumes no ncnresccnce~t= suopcrt tra::.~ing) Middle EstlmatE (Assumes nonre-spcnce~t~ ~uppcrt t~ai~ing at same ratas a~ re~c=~cent:) M~.;; i mLtm E'.:t::. mate (Assume: all nonrespcncents 5ucccrt tr3in1~;)

PAGE 21

20 The figures al~o show that on average industry awards ara smaller ~han .. government awards. Government awards in 1984 ranged from !1:~385 for ~redcc-toral grants to $22~425 for post-doctoral trainees. Di~:ding the fi;ur~s ln the previous p~ragraoh suggest that on average industry awards run betwen $45~1 and $9181 with a be5t guess of about $6700. It is difficult to draw conclusions from ~he ~maller si:e cf i~du~trial training grants and scholarhships. First~ there i5 no evi~e~ce that gov~r~~ent rec:pients of public training awards may be limited in the amounts of money they can receive from sources other than the government award for family resour:es~ the recipients of industrial funds problably do not face such constraints. They ma\ supplement in~ustrv awards with funds from ether sources. In add:ticn. firms mav v:ew these grants as a means to search out talented trai~ees f:r ~o~-sible recru:tment or~ in some cases, t~ solve :ndustriallv cefinec tac~~::al problems thr~ugn trainees~ re~earch~ rather than as a means of payi~g f~r a student~s entire education. Hence~ industry mav tend to give smaller 3ward5. This ev:denca abcut the prevalen~a cf industrial supper~ ~arallels i~-for~ation c~llec~2d in a ~urvev ~f 1:38 facult~ at research intensive~~:;-er5ities.15 While~~ per:~nt of facultv ~ho do work :n t1otechnolc;; rEcei~e rese~r=~ succort from industry~ mc5t of these faculty ~t:11 ~ecE~.e :he :ulk ~f 1 ':Bl 1-tmer. thal et -.:'tl. 1986b.

PAGE 22

21 facLtl t,,.-rece-Le more than 60 percent of al 1 their re:2.:l.r1:h SLtppc,rt from in-dustry. Among chemists and engineers, the prcporticns are somewhat higher~ but the trend r-emains the s~.me. Of these fac:Ltl t,-, 45 percamt r:c:1 ';e resear:h sq:-pert +rem 1ndu:try, and 15 percent receive more than bO percent of their funds +rem or:vate firms. Data from the survey of tra:nees indicate that 19 oer:ant ~f stu~~nts ~r fellow~ :n the jecartments and schools surveyed r2c21~e resear~n, sa!arv, train-funds from private tirms. The remaining 66 percent have neither type of industry :nvol~ement. Th:s =!aasification nas an analytical apoeal since :t =ate~~r::aE ~rai~ees cal acpeal E1nc:: eno~gh respondents fr=m the sur~ev fall intc aac~ cf tha ~~rae categories t= allow statistical comparisons of the groups. Hcwever~ ~tudents and fellows ha~e involvements that are not captured by the three categcries. As Tabla: shcw5. scme rasccndents consult with 1ndustr~, helo t~a:n ~c:e~t~~ts frcrn ;:;r:.:atg +1r:ns~ or collabcratE :.nformalL' with induEtr.. These dat.~ cc:nt to the j1vers1tv cf form: that UIPs can take besides 1~dustr:al grants t~ s~cpert tr-a::. nee= ::r rsl .a-ticnsh:p5 r~ccrtad bv resooncents to ~his s~r\ev~ gar~er 2c~:tv :n or;an1:ations ~hat ccmmerc1ali:2 resear:n on its =ampws. form an 1ncependent research consortium or center. Each of these means cf

PAGE 23

.-,.-, .:...:. uni~ersitv-industry cooperat1on is likely to have it: own set of conseq~ences for involved parties. Hence, in trying to provide a fuller anal~=i~ cf the af-feet: of lndustrial relationships en univer~:ty training than is possible with current data~ one should explicitly control for the detailed organ1:at~cnal ccnte::t :r1 which the relatior1ship occ:Ltrs . Table 3 Industry Involvements of Students and Fellows Receive5 Research~ Salary, Training Grants or Scholarship Support Di rectl -_,, from IndLtstr-,.1 Prccor~~cn =f the ~hole Samele
PAGE 24

Taken together. the5e dat3 sugge5t that trainees' sociali:ation to science takes olace in an enviornment where industry ha5 a presence through diract financial support and a variety of other types of relaticnsh105. Ccn~:t1cns Placed on !ndustr1al Support of Trainees. Data from tha sur~e~ of trainee~ also yield evidence about the degree to which an industr:all~ funded training e!:perience allows a :cientist to develop tt-1e abilit....-ta ::c:,r:dL:c:t ii,dependent research as coccsed to constraining the trainee's c:hc:ca cf resear:h topics ar first jobs. In examining ccnstraihts placed en trainees~ :tis im-portant to compare the conditions attached to industrial gupport with the limitat1ons imposed by public sponsors. Even if firms constrain the ben2f:ciaries of their suopcrt~ their excectaticns mav oe n= more :tringent than these of federal agencies. Indeed~ at some future point. pcl1c; ma~ers may wish to consider the quast1cn cf hew conditions olaceo en publ:c train:n; funds affeet awarcees' ~cc1ali:ation tc ~cience. Go~ernment training gra~ts an~ fell~wshics reouire rec:oients to 1'pav backl' their :uo::iort. b',' dc:.ng researc:n er b-.. :~ac::irng. Ho~-.Je.-er~ l:.fa :c:.an:a ~-Jational P2~ear=~ Ser~:.ce Awards given by the National In~t1t~tes cf ~ealtn and other tederal agencies do not restrict recio1ents' rasear=h tco1cs. !~dust~ial s~onsors,. on the ether r,and~ ma/ plac:: c::mc:iti~ns Ltp~r. tr.Ei::.nees the'; ~i..~pport. students and fellows ~c perform other services of benefit t~ the ccmpanv. E:~-ces~1ve cbligaticns may make an :.ndustrial training 2xper1ence cualitatively

PAGE 25

24 different (oerhaos more narrowly focused) than a government supported education. This analysis cf ootential restrictions concentrates on training grants and scholarships 5ince they seem the least likely form of industry sucpcrt t~ ha'.'e conditions or restrictions attached. Firms~ likel,1 to e~~pect sc::me direct retL:rrj en its in.1e:tment in re:earch project;, anc:1 5-.: had policies regarding the recuirements that firms may make upon graduate students they support. Both 5chcols indicated that :ndustrv cannot requ:re trainees tc oerform anv of the tasks ~en-ticneo :n the preceding paragraph. Of ~he 43 student: and fellows responding to the student survev whc receive training grants er scholarships~ three reported that research spcnsorE expect !hem to work on problems defined by the firm. Three are recu1red to wcrk for the +irm curing the ;ummer~ ano one 1s exoected tc work fer the ==mpa~v after c~mplet:ng ~raining. Nine ~aid that thev are recu1red t~ cerf=r~ ::cme ott-12r .Etc:ti,,it\ that might direct1..,, benefit the firm. In t;:;tal fifteer. :r:-di.-:dLi..:ds. =r :::: percer,t of the :tLidents and fellows rec::1s.ir:c training ~r,!,.r:t:: 16The s1;~ Ltri1ver'.:ities are: Har:ard~ St.anford~ MIT~ Un1-.,~rs1t-,1 of Penn~y1-.-~~ia~ Jenn~ Hockins~ and UCLA.

PAGE 26

one of the above restrictions en their support. These figures confirm results frcm the survey of firms which indicate that 32 percent of firms that suopcrt life science graduate students imoose at least one cf the restrictions en recipients cf such funds. The cata suggest that industry suppcrt of training 1s net a s1mcle sub stitute fer government support. A considerable oort1on of funds for training (and presumably most fer research) provided by industry come with Ecme ccnditicns attacned. Cursory analysis :nd1cates that these ~onc:t:Gns =iff2r some what from these imocsed by governmental agencies~ which generallv de not limit the students~ chotce of research topics, their use cf summer time~ er the1r subr sequent career plans beyond requiring that they spend some time doing the re-search or teacning that most plan do de anvway. Hcwe\er~ as suggest?d at the outset~ a more :n-decth analysis is necessary to determine if scme public sue-may alter the training experience. For example~ if some agencies fund graduate training in a very specific field er 1f they require pr~spective awardees to fear an :ndu~tr:ally fundeo educat:=n may become. perti~e the tralnee must accu1re to fulfill these rescon~lb1lit:es. !n addi-tion~ as the nomenclature imolies, the ad~iscr is re~pons1ble for reviewing the

PAGE 27

26 trainee's dissertation or post-doctoral research. Acces5:b1l1tv cf the acv1sor is an :nd:c3tor cf how well he er she can fulfill his integral rcle :n the soc:al1:ation orocess. The data on UIRs in biotechnology shed some l1gnt en the 1mol1cat:ons of relaticnshios w:th industry on training and scc1al1:at1cn to sc:enca :n part:~ular. The :nfor:'Tlat1on presented in Table::, from the SLtr.-e'/ of trainees ::t-:c~-J= a strong c=rrelat1cn between student and faculty financ:al suGport fr~m pr:~ate firms. Gf the 1? cercant cf tra:nees wnc recai~e researcn_ s~hclarshic or salar~ supccrt from industry~ ~8 percent indicate that the:r aov1sors also receive research support from industry. This suggests that the ad~isors may be re:pons1ble for connecting the student er fellow with his potential benef~ctor or that t!-:e pr~ser,ce cf l ndi_:::tr: al f LtnC:i ng for the f ac:1.:l t; memo er :1l.:\\' ::""2at2 t!ie opport:.m:t; fer a trainee t:, c::,n:1der the mer:.t: of SLtc~, Ltch :L~pi:ort f::r r-.:.m-:Self. vironment hosp:taole to 1ncustr1al c:oaoerat1on, thev may also sugges~ fac~lty memcer~ ~nc5e c:mm:~~ents to crivate firms limit the amount of time thev ~a.~ ava::Btle t~ fulfill their ed~~ational re~pcn~1bilities. ~ata frcm the ~ur~~\ rec?1ving r2s2arc~ f~n~s frcm pri~ate firms. Faculty with :nd~~trial r?5ear:n su~pcrt al~c reocrt mere hours of stucent contact aac:h week than de ~r=fesscrs without incustrial ~uppcrt although this differant 1s net statistic!ll~ si; nificant at the .05 level.

PAGE 28

27 Despit2 the$e results~ 1ndustr1al res2ar:h funding ma; st:11 lea: t~ a lessened commitment to educ3tional respcns1bilit1es.17 Howe~er~ t~e ==~:t:~? association between industry funding and uni~ersity responsib:l:tie~ =r=Cibl: reflec~s the fact that pr1~ate firms fund the most or~auct1~e facult~. T~:= suggasts that students 1n laboratories with 1ndustr1al support mav be :n most educat1onallv vital university environments. Another faculty activity that may influence the social::at1cn =f new sc:antists 3nd the ac=2s:ibil1tv cf facult; fer trai~ees :s ec~:t ...... -i--'~-.... i-. ll-"--: -' _:\ pri'.'ate firm. This t'/pe of UIF: ma, resLtlt from facLtlL' effort: to i::::mmer:::.:i.l::: their cwn research.18 A professor who owns stock in a firm related t~ his ~r her own research has r?spons1bilities and interests more close!~ tied to tne financ::.al succass ~f the firm than does a orofesscr onl~ rec~i~i~g r~s2!rch sue-One might hypcthes1:e ~hat the potential :nflue~~e :f '_,__ :\-._j I prcfoL:nc:: th,:(n when fac:Ltl t anl ',' rece1 -..,e research s1.toport. In.-ol .-ec: +aci_!.i t,, .. ma/ fac2 =onflict~ ~f ==mm1tment. In addition~ if the involve~ firms or:~::e ~we-port fer th2 rasaarch an~ train::.ng Jf 5tujent~ an~ +ell=ws :~ the :abs=~ 17To e::acriine tr,i s C::Ltest::. on fLtrther c:,ne ~cLil d need to knew the :-iumber =f ~rofe~si~nal activities ::\nd hour3 cf stujent contact fac~lt., w1tn 1nd~tr1al support ~c~ld have re~crt?t in ~he abs2nc9 cf 1nc~~tr13l EL:~:rt. 18Her.r,, Et:kowi t:. "Entrepreneurial S~ienti sts and Er,tr-eo!"'enur: al '.Jni v er-::i t::. :?: :n ,:;merican Academic Science." Min~r,'a, 21~ 2::::: (1. Der-ek C. Pck~ 11Bal ::\nci :,~ F:e:c=::Jn=-:bi lit'.' :;nd Innc-.,ation, 11 Chance, (September l
PAGE 29

.28 interest. E:nce they could profit ~ersonally from the work of trainees. In this situaticri!' tac::..tlt',' c:ollld be tempted to direct stLtdents 1r.to pro_1ect: that ser;e their compan:.es' purposes~ rather than the career or educ~ticnal goals of the stLtdent. The data :ugge:t the e!~istence of the:e ri:ks :.n :mall riLtmbers. Of bictechnol:gy faculty responding ~o the faculty survev~ onlv 8 ~er=?nt reccrtao owning Etcck in a firm whose croducts or services are baseo on their own re-sear:h. Among :hemist: and engineers, the figure 1s o perca~t. In the samole of trainees! hcwever, 14 percent cf the students and fellows report that their facult~ advisor~ own stock in biotechnology firms~ while another 55 percent do not know if their advisers hold such equity. Of those answering affirmat:vely, 7 per:ent re~~i~e re:earch suppcrt frcm the company~ and 3 per~~~t ;et :alarv~ training ;rant~ ~r 5cholarsh1p~. Amcng th:.~ ~elected ;rc~p :f ~n:.~er::t1es~ a subs:ant:.al mi~cr1tv cf 5tudents and fellows work with facul~; whc ~olj ecu1ty in compan1e: r2latad to the research~ and a verv small number of students er fellcws are :::uoccrted b-,; sLtch companies. An anal.1s::.: :;f how eaLt:.t-.., holding atfec~:: the amcL1.nt ,:::,f t:.me fa::..:lt; hol~er= reccrt in~olvemen~ in the :ame number of univers:t; or pr~fess:.onal ac-Henc:, e::.:ept fi:I"' the ::mall r1L:mber of ~ases 1n ~Jhic::h ecn.11ty hcl,:::lirig facult; face cotential c~nflict: of interest~ the dat3 reveal minimal risk~ tc

PAGE 30

29 the socialization of trainees due to the industrial involvements of their faculty adv1sors. Scientific F'rodLtc:ti'.-':.t:. Part cf the sociali:at::.on procasE. in.1cLes learr,ing hew tc share scientific: results with the commLlnit-.--of 1:>ne's peers. In add:t::.on tc learning how to write scientific oapers and choose appr=criata journals er forums for their presentations, publishing is one accepted measura of aca~em::.c productivity. Authorship aids trainees (and all academ::.c worr; that sc::.entists involved with private fLlrms may display lass commitment to traditional academic activitie:.1 Other: suggest that industrial support will actually increase the academic productivity of re:earchers.20 Enhanceo academic prcductivitv cculd give students and fellows receiving in~ustrial support a =cm-pet:. t::. -.e ecge in seeking -~obs or grants. A 1 ess 1mpres:i ;e record :oL:l d :,a,...-e the =~pcsite effect. To ascerta1n wnether industrv involvement i~ associated with the number cf papers students and fellows publish~ the trainee 5urvev asked how many arti:lEs resccnoents have authore~ or co-authored in referreed Journals. Those ~1t~ dir~c~ support from industr; report significantlv fewer (o<.01) fewer cubli:3-19Bck 1 S:84. Ni~h=las Wade. The Sc:ance Bus1~ess~ New York: ~'ts ,-,.,.. 1 +-. I .. _. .. ._., 20D. C. Pel: anc F. Andrews~ Scientist~ 1n Oraan::ati=ns: Produc~1~2 :11~ates for Researcn and De~elopment~ New York: John Wilev and Sen~~ !960.

PAGE 31

30 whose facultv adviosrs receive funds from industry (3.91). The differenc2 1n average publications betweeen these who are uninvolved with industr~ and those whose advisors receive support is not statistically significant. Mult1var:ate analysis confirms this pattern. ln an crdinarv least souares regression, onlv cne factor was significantly related to putlicat:cns--~1rect industry supoort of research~ salary~ training grants or schclars~1ps. Other variaoles 1ncludea in the model were: the faculty advisor's relati=nsh1;s wit~ incustrv~ whether the respondent is a graduate studetn er post-~octoral fell~w. the ~ear the respondent entgerd graduate school, the responde~t's sex~ wnether the respondent does research involving any of the new bictechnclog1es, and whether the resocndent does most of his er her research in a medical scnccl set-ting.21 ma'.,' suoport mer: applied research that lead: to fewer academic pL:tli=at:or,s :~1ar. does work supported by other ~ources. However~ similar analy5es of publi:ations reported by fa:~lty respondents to that survey reveals that faculty members 215inc~ cne woLtld e::oect nL1mber5: of pLtbl:.c:ations t:1 l::e diEtrib1_1tec:: 1ri a P::=s~n fa~h1Jn. ~he regression model used tc acoro::1mate this cr~:ess w3s cf tha f~rm: !G(l+P1)=a + X1B + ~1 where P, is t~e nwmber of ar~:cles ;u=l:~hed by ~-e::-::JOndent i, X, is the -..-ector-cf cr1aracter-istic:s de:cr-:.bed iri t~e ta:1t~ i::, is a ~ormallv c1stributed disturbance term~ and~ and n are e~t1mated parameters. See Jen-_: HaLtsman~ Brcnw~n H. Hall and Z::. Griliches. uE,:::ncmetric Models for COl.:nt D.ata Wi t:i ar. Appl 1cation to the F'.atents-F~~,.o F~elationsh1p, 11 Ec:or:c:met:i-: c:a, 54:2 (Jul: 1984~ 909-938.

PAGE 32

31 publ1cat1on, we would expect faculty with industry support to publish less as wel 1. A second ootential e::planat1on fer the lower PLtbl!cation rates ;::f :tLtCer:ts with oirect industrial support is that the most academically productive stwdents and fellcw5 5eek and obtain other sources cf funds. Thi~ lnterpratat::~ :s al~o consistent with the dispar1tv between faculty and trainee cucl:c3t:=n;. Cne facult; ha~e probably already cemon~trated some comm:tment tc acadam:: ac-tivities like publishing by securing a university position. The talents of trainees may vary more. Some may want jobs in industry er other sectorg where publishing 1s not as highly valued as it is in academia. Although the e:::sting data ~o net 3llcw one to cistinguish with certainty between these alt2r~at:ve interpretat:cns of the findings~ the second 5eems more :cnsistent w:th the result5 cre5ent~d here. Another form cf scientific productivity 1s patenting. Li~e publ1:at::n~, patentE are a means of sharing scientific results. They are al~o de5ig~ad t= and pc=::t-doct::r al re:2arc~1 and training C::OLtl d anc::::Ltr age ==mmer :: al pr :C:L.;:::":: ,: t ~ among ~r31nees~ cErhao~ b~ $ensiti:inc them to c::cmmer=:al accli:aticns :f th21r res2ar:h. rat3 frcm the ~urvev of trainees :no:cate tnat thi5 ~ffec~ ma~ cc:~r. plication: resultad frcm their work <1: ~grsu~ 4 percEnt~ p<.01). Of thosa who lac~ direct succ~rt but who:e faculty advisors ;et incu5tr1al fund5~ 8 percen~

PAGE 33

32 reported patent: or patent applicatlons, a greater proportion than among these with no involvements (o=.08). Students and fellows reported trade secret~22 less trequently than patentE: 4 percent of those with direct ~uccort-: per=Ent of those whcse facultv advisors get support, and: cercent of those w:th ne:tner type =f support. These difference are not statistical!~ Slgnlfi:a~~. These data suggest that life science students and fellows are ==~t~ibut:n; somewhat to potentiall~ pr~fitacle research results and that the frequencv ~ith wh:ch they report patents and trade secrets mav incr2aEe w:th the level :f :n-dustrv involvement. In addition, since the trainee surv2v only asked raspcn dents about their own commercial productivity, trainees' contributions to their faculty advisors' patents and trade secrets remain unmeasured. Hence~ the patent and trade secret figures above are likely to undere5t:mata the ?::~a~t that st~~ent5 and fellows ccntribute tc re~earc~ with ccs5itle ccmmeri:al utilit;-and could al5o understate the relat:=nshio tetween i~dustr:al g~cccrt of research anc train:ng and the commercial prGductivit~ cf trainee ras2arcn. Taken together~ these results support the nct1cn that :ncustrial fu~c:ng :n a latcrat~rv ma~ add a c=mmer=:al component to soc:ali:ati~~ cf tr3:nee~. Secrec~. A c=mm1tment to the open commun::ation cf s~ientif:: :nfcr~ati=n is an 1mpcrtant academic norm. Since it i~ vital to th2 acucat:onal :r=c~s~ :t-220ne can cefine trade ~ecrets as a~cther measura =f ccmmerc1al pr=ductivit~. Unlike catents. nowever~ t~e owners of ~rade 5ecret~ de net a1~~em1nate them among the sc:entif:= =ommun:tv.

PAGE 34

._,._, ersity seek5 to impart to new scientists.23 Industrial suopcrt cf research and training may create conflict between a firm's need tc protect the prcpietarv val Lle of resear!::t1 it sponsors and this academ1 c: norm of ccen 1 r,tel l ectLtal e::change amc~g s=12nt1sts. The data on publications rev1ewec above suggests an assoc1at:cn tetween involvement with industry and student ~ubl!=at:ons ~er:~~ =f further :r.:e:t1;at1on. r~..,o other item: from the triunee sur--..'e'; :L:gge:t that :.n low resconse rates to the:e two questions (47 and 58 percents cf those answering the 'aLtr'..-'e',-') fLttL1re empirical work shoLtld e~:amine in greater :ietail how induS:trial funding affects intellectual exchange ~mong scientists and trainees. As the j1scuss1on above demcnstrat2~~ it 1s ~omet1me: diffi:u!t t~ :is-tingu:sh between trainees' socialization to sc:ence and the actual sc1en~:f1= skills and kncwledge they acquire. The data at mv disposal allow little :f anv oppcrtunit~ to look +er any associations between industrial :nvol~ement and the spec:fi~ :c:~nt1f1: t~c1cs stujied ty train~es. The surveys di: net :=ll?ct thi: :.n-f1:rmat1cn. Howe'1er~ I can 1.tsefull.,.-tLtrn 111; at"':ent::.i:::m to the b,;sic anc applied ~ual:tia~ cf work c=nducted labs with industrial f~nding. Pas:: :,r,:I Acc:l:ac:: Wcr~: . F:e:earch ~~ith basic CLlalities e'~:end:: -h:r.damer:t2.l 23A. Bartlett Giamatti 11The Uni '.lers::. t.:, IndL:str,' and C~ooerati.re F:e:Searc:h, 11 Eci en,:~, 218, 1:78 ( 198::).

PAGE 35

34 fundamental sciance to create useful products or processes. As discussed ear lier in th15 paper, basic and applied science are not mutually exclusive. The data on UIRs :n biotechnology offer some indirect ev:~ence that industrially funded work is more applied than that supported by ether sources, but the~ yield little 1nf~rmat::.on about the degree to which UIF:s als~ e:~ter,c fLtndamer;tal sc::.entifi= wnder5tanding. Since resaarch forms the basi~ for the tra1n1~g =f ad~anced gra~wat2 student5 and post-dcctcral fellows~ the =ual::.t:as cf sue~ labcratcr_; res2:1r:h also re-fleet~ at !east 1n part, the :!"',arac:ter:::-::=:: ::f train:ni :n that laboratory. While tha average length cf grants a~arded by NIH is 3.2 years24, data frcm the survey of biotechnology companies shews that the average length cf academic projects sponsored by just ever half of all firms durat~~n seem l:kaly tc be applied in nature, perhap~ undertaken to Eol~e spec:fic technological problem~ nec~~sary to manufacture and markat a ~rcd~:t. Project~ that are largely de~1gned to further ba~ic scientific understan~:ng are ant1=:cat2 result:: from such inve:tigat1cn. Moving +rem the cualit:e~ cf reEearch to these ~f tra1~:~;~ t~e :ec-cme~ the same a~ that un~erlving obl1gaticns atta:hed t= 1~cu~~r:al tra1~ing 24Tr:cmas D. Morri::, 11C1..:rrar.t Organi::tti=nal StntctLtre of -i:he i'Jatior.al Inst:t~_tt~s =t 1-te::,lth," in Ir.stitLtte ,=f Medi:=ine, Fe:p=r.d1:--:,:; tc He.:-.1:~i Need: an.: a=~e~t:~:= Qc=or~u~it~: Org;~::~t:=~a: Structure cf the ~IH, Wa~hington, D.C.: ~l=-.ti :ir.al Academ/ Press, 1984.

PAGE 36

3:: suppcrt--the tension between independence and directedne5s in trainees~ educa tion. The narrow focus connoted by applied research may not all=w trainees t~ accu1re kncwleoge, techniques and practice ~eces5ar; to ccndwct inje~s~dent sc1antific r9searcn in the future. At the same time~ hcwe~er. a labcrator~ engaged :n applied work mav not shun fundamental science. The real cwe5t:cn ma; b~ whether a lab conducting industrial er ether appliad resear=~ is =p9n to ;ur-suing leads that mav extend basic sc1entifi: understanding. scientific result~, training in a lab conducting applied res2arch neec net deorive new gc1ent1sts cf exposure to the broad skills nec2isary to conduct independent, basic research. Regular purs~1t of the basic implications cf applie~ r2sear:h. ho~e~ar. requires ~ere than 1nt2llectual :ommitment~ The =erend~~it=us na:~ra ~f sc1enc2 suggests that l~ck ma~ pla; some part. In addition~ f1~3nc1al ra~our:as ar~ neca:sar',' ~o toll ow scientific:: leads. DLtring the period cf 11:t:ad'_i state~ 11 :Ltch fund~ may net as raadilv available as 1n earlier times. Faculty may ~ct encourage 1tucsnts :n their labs to oursue tangential leao~ ~s :=mmcnl\ as thev mi;ht ha~e !5 ~?ars age. Ov~r l'"ialf cf th:: samola reported their t.rair.::.ng ~o be e~:c:ellent!' alid anothar 45

PAGE 37

36 percent :"'ated it as gooo or very good. The difference in mean ratings between those who rece1ve direct industrial support and other raspondents was not statistic::all..,.-:ignificant. On the basis cf this :imp!e mea:Ltre~ indL:st:---~, sLtPpert cf trainees does not seem to be associated (pcsitivel; er negativel;J with students' cverall assessments cf the quality of the:r tra1n1ng. Unf~rtunatelY~ the surys~ offers little additional insight intc the :=~tent cf t~e training ev-per12n:a. The third categ6ry of variables potentiallv affec~ac bv UIRs incl~~== the amount of time new sc:entists spend in training as well a~ tha tvpes cf emplc;ment they obtain subsequently. It is difficult to h~pcthesi:e anv 1mp~rtant i~-plic~t:ons cf industrial funo1ng for the amount cf time tr3!~ees scene as 5twsome mer;t:=n here--the ~r~trac~ec p~st-d=ctcral fell~w:hip. Some obser-..er:: ha'.1e sL11;gested that retrencr:mer.t ir. fac:'..11t, !""iir:r1g !-,a= lee: to the =~~at:cn cf a bcdv cf Ph.D. scientists who work in uni~ersit~ labs to be ccst-o=ct~ral fellows be~ond the usual lengtn time +=r ~uch appc:nt-2:,Al!::ert H. Teic:h~ 11F:esearch Centars and Non-Facult/ Fe:2ar::hers: A New Rcademlc: F~~le," ir, Don Phillip:; and Benjamin S. F'. Shen, 1982.

PAGE 38

37 numcer is no dcubt due in large mea=ure to the fact that these non-faculty researc:hers are probabl/ not called "post-doctoral fellcws" after a certair. length of time and thus jid not r2ceive (or return> the trainee cuest:.=nna1r~. However~ this stat1st1c does point out the need to gather reliable data atcu: t~e extent of this ohencmenon. Such information 1s ~ecasEar; to draw an~ uEaful im-pli:ations of protracted post-doctoral fellowships for American =Cier.c:. Returning to UIP~~ 1nvol~ement in industry supported research anc training m~.-,--af f ec-: the =3reer oat terris of sc:. entl =ts. It mac_ ... make emp 1 c_..-;11ent :. ;-, :. r;-du:try more appealing to :tudents. The survey of trainees attempted~~ assess this potential effect in the life sciences by asking res~ondents to ir.di:ate whether they intend to seek their first job in academia~ industry, ;overnment er some otner sector. As Table 4 shows~ students and fellows who recai~= d:.ract industr~ ~upport ~r whose faculty advisors receive ~ucport appear ~im:.!ar :n their :areer plans to the!r coLtnterparts withoLlt these e::pc,sL:ras tc :.r.C:Lt=tr.-. The bulk of students and fellow anticipate academic careers with about 1S ;ercent plann:.ng industry Jcbs. Students and fellows who rec21ve direc~ ~uppcrt are ~l!;ht!; mer~ l1kalv t19 percent of this group) tc :.n~i~ata an :n~e~t:i=n to inci:ate an :~tantion t~ work in :industrv. Neither cf these jfffaranc~s, ~cw-e~er. :s ~tati~ti~ally s1gn:.ficant. The ult:mate benavi=r of st~dent~ coul~ differ fr:m their statad inten-ticns. A lcngitucinal ~tudy cf scientists' caraer patterns beyond graduate school wcL:ld -:iel,:i t.is2fLtl information. Nevertheless~ e:~pectat:ions that 1ridLl5tr"/

PAGE 39

38 support cf un1~ersitv re5earch and training will encourage large numbers cf .. .,,::i.,-.: .,._, .r talented trainees to forsake academic careers do not seem Justified~ at lea!t amcng the un1vers1tie5 and departments surveyed. Table 5 Training UIRs and the Career Choices of Students and Fellows Nin each category "Where do .-GLt e;:oec:t yoLtr ti r-st ( cir ne::t :i +Ltl 1-ti me _ioti tc be11 { pr:,-porti cns: Uni ..-ersi t; lndt.t:tr.Gc-.,ernment Ott-,er Recei '.-1es Direct IndLts-tr-,' Support 132 -= i '-10 . .01 05 Fact..tl t'r' Ad'li sor F:ecai ','e5 IndLtstr-.,, Sucpc:,rt 104 "":'C' / ,._ 17 03 OS Has r-Jei ther IndLi:tr., In--.,cl .1ement 4c:;; ""' .78 14 (\~ .o:: The emoir1cal evidence reviewed abo~e helcs 1llum1nate the pr~cass cf training ~c:ent:st~ :ur:ng a period of steac~ state as wel! as the 1mpac~ =f scientist~ :n tn2 life sc:ences in uni~er-s:ties--between SB and $:4 million. !n the most research intensi~e universities~ 19 per=ant of life sc1enca students an~ fellows receive such support in the fcrm cf training grants and

PAGE 40

,39 scholarships. Another 15 percent receive indirect support frcm industry through their faculty advisor's research budget. The magnitude of this suopcrt is also one of its greatest benefits. It helps to finance the training of new scientists. While such support may be an important ccntribut:o~ at the mar;in. however~ it is imoartant tc keep in mind that government provides the bulk cf all training tune~. In 1984, industrial support represented between~ and 1: perc2nt of all direct training grants and scholarships fer graduate stu~ents and pc,st-c::cct:r al tel kws sector. in the life sc:encas. The r2mainder came from tne ',i-,, ,-,._ ...... .1..,,. Industrial training support is also associated with potential commercial benefits. Life ~c::ence students and fellows who receive direct industry supper~ re5ulting +rem th~ir research than are trainees without 5uch relati=nships w1~h industry. While the proportions of these gro~ps who repcrt traoe secrsts resulting +rem their work di~play a similar pattern, the differences are ~ct statistical!; a1gnificant. Hence, trainees with industrial support are produc-ing resear=h r2sults that either the faculty advisor~ un1vers1tv er spcnscr:~; firm believes may ~ield profitable products or research. In the life sci2nc2s~ this chencmencn r2flects the emergence cf new technol~g:es in univer5it; as co-posed to :ncu~trial labs. UIP~ involving stucents and fellows ~er~e ths d~al purposes cf furthering scienti+i= rasear=h and develooment ~hile tsacning trainees :he tecnnolcg1as cur~ent in academic and industrial sc1enca. Deso1te these benefits~ however~ the evidence indicates that industr:al training supper~ differs from that proviced by the government in beth the

PAGE 41

40 restrictions placed on recipients and the scientific content of the training ex perience. About a third of all recipients of industrial training grants or scholarships resocnd1ng to the trainee survey report that they must perform some activity of direct benefit to the sponsoring firm. A cursorv compar1son indi cates that these !Jbligations ma make an ind1.15tr:.all'.' fLm::ec:: tra:.ninc; e.-:cer:.ence more restrictive for students and fellows than one funded by government training grants. There is no ev1~ence about how such restrictions affect a trainee's ability to c=nduct incecendent research as ~ne e::cects ~f Fh.D. Ec:~~tistE. The relativelv short duration of industrially funded research 1n universities an~ the commercial potential of such work suggests that training and research supported by private firms is also more applied in nature than that funded by the puolic ~ec~or. Little ~videnc~ ex:.sts about the bas:.c cualit1~s of i~~~!triallv SLlpc::rted research anc:: trair,ing, altho1.1gh th:.: characteri::t1c:: ma/ ~eper;d or: tt-1e degree to wh:.ch faculty advisers encourage the lab tc pur::ue funcamental :cience that evolve= tram industrially funded work. AlthoL1gh inc:u::trialh s1.tpported trainrng e}~perieric2s do r;ot seem t: be abl~ !=hencmena ~~Jcrth'-' of clcse c:c1nsioeraticn. In a tew c::1ses ::.ndList:--:.al t.ra::.ning gr3nts anc ;cholarships may be a~scciatad w1th in=reasec lave!s :f trace vest:.gati~n. A related finoing 1nd:.cat2s that ~rainees with 1r:~ustr1al Ewcccrt may puoli5h s1;ri1fi=lntly less than those without th::.:: pr:.vata fwnc1n;. These result5 may reflect a predilection ~n the part of tra1nees lnvolved with firms

PAGE 42

41 to publish less rather than indicate an actual effect of indu:trial funding. This -finding al:o contrad1cts a :im1lar analysis of facLtlt'.,' pLttJl1:hing beha.:.=r. Finally~ at least 14 percent cf trainee~ responding to cur surve; :nci=3tet t~at their tacult; aov:sors hold equity in a firm whose procucts or ser~1c2: are based en their cwn re:earch. An extremely ~mall number cf these :ra:~ee: a:~c receive researci~ ~alarv or training support fr~m the c:mpanv~ thus ;c::ng a potential c~r,tiic't of interest tc:r the facLtlt; aC'iiscr wt-io coLtl:: c:r-ect the trainees for the benefit cf the :cmoany rather than for the ben2f:t o+ t~e trainees' edu:ation: and careers. The potential presence of these risks is tempered by at least two im portant pc:nts. First, if they occur~ they de not appear with Great frequency. marginal c=ntribut:on t= the total training effort in un1~er:1t:e5. If ~hes2 ri~k5 ~c:ur~c a~o~; a majority of training grant or 5ch=lar~hic r~c:p1ents~ ~r Secor.c~ L.:n:. ... :?rs::.t, polic', may be able tc !tmel:.urate ~ome c:;f +;h~ ri=~-= t~-~t volvamen~ =~ 5tujents and fellows ~1~h ::.ndustr~~ and in scme =~=e~ ~r:h::.bit certa1 n t_,;Je: :+ t:eria-. .. 1 or al tcgether. F:r e:: ample~ they ma.' w1 =h t: c=nsi cer limitation~ =n t~~:~ee 1n~olvement with firm$ in which a facult; me~tgr holes a sig~ificant financial interest. The survey cf university adm1n15tratcr~ sug-

PAGE 43

4,..., .,;;, gests that many in5titutions have already adopted guidelines promot:n~ ~pan com-muni:ation of research and the disinterested oursuit of ~ncwledge. In ma~y cases, these policies are quite specific 1n their proscrictions. However~ a prel!minar( analysis of data +rom the facult~ anc trainee survev i~d1cates that or content =f the poli=ies.2 Because universities are dec~nt~ali:2d 1nstitwticGs an~ t~cJu!e the training e~per1ence revolves ar=une the lab and the sider the mechanisms at its disposal to publici:e guidelines they adopt and indirectl; to insure ccmpliance. A full analysis of potential policies and enf=rcement mechanisms a university might adopt would vary by institution a~d alsc ~E Bv ~aJ ~n coGclusicn~ there are a f?w other 1s5ues that ar1!e fr~m t~l! other risks to acacem1a commonl~ mentioned in jiEcuss1ons 30cut the 1mpli:at:=n~ of industrial f~nd1ng. Students and tell:ws who recei~e 1ndustr1al +wnding are ccll2agues. ~he e~1~2nc2 a:~wallv ind1:ates that :ndu!tr:all~ ~uppcr:ad !abs 2651 l\Ck pp. ,-,:: 1 --"':'C' .. ...............

PAGE 44

43 The =ec:wnd issLte concerns the proper definition af a ur2:ear:i"; :.tni...-er:it-.,,." In order to underS:tand htlly the implications of indLtstrial fLmding tar grac:..tate training, it ma/ be nec2S:sar ... to e::am1ne a broad range ,.:,f i.:ni-. .-er:itie:. Thi~ caper ha:: oef~ned a research university accoroing to the amount of tederal P and D funds it receives. The data en UIP: in biotechnclo;y anal;:ed by the author ccme +rem the top such :chools. The stwdent and fell=w sur~ey represents si:: ~f the ten schools with the most funds. Using th:~ same definition~ another survey gathered infcrmaticn fr~m administr3t~r~ at the t~p 100 schools, and a third collected data from faculty at the t=p 40 campuses. lmplic:t in this anal~::i5 is the assumption that the most research intensive schools have the best training programs, and that they train the future "leader:" ct their :c:.er.t:f:c fields. The '.-'aLie: and 2;~per1enc2S: :;f :hS?:2 :;-:-,:,:,me. However~ an examination of only the=2 schools may be too narr~w. Theim-pact cf 1~d~st~ial funcing ma; be greatest at those institutions with fewer fgd-eral func:::. They ma; fac? greater :ompetiti~n for 5tudenti an~ mere=+ an in-centi~e to :e~k lndu~trial sucpcrt than the =chool~ with the mc=t f~cera! reThe ~hird i:s~a ccncerns how analyst: generali:e from cne 5c12ntifi: dis-cicline tc ancther. At any point in time, the opportunities and resources

PAGE 45

44 available to chemistry and engineering may be quite different than these available to the life sc:ence5. Even within the life sciences~ research funds and career ~ppcrtLtni ti es ma'.' vary. The constraints of 11stead'; state" as ~.-Jell as :he commercial incentives fer indu:trial investment may not be as great in ~cme fiel~s as in ethers. Hence~ the data presented in thi~ paper may be at =n=~ too general and too specific. They may mask important distinctions ~ithin the l1f~ sciences~ and they may present little 2vidence relevant to the ~hys:cal scian=es or engineering. Fwture work may wish to address these short:omings. The +ourth is:-Lle, which ma:/ be the most important4 c::mc:erns. pLtblic pclic::.-. As suggested throughout thi5 paper, the public sector is actively involved in the re5earch university. Indeed, governmental intervention ma~ be an ac-prci:riate wa,, ~c, amel ::.orate :ome of the detrimental effectS: of the ":t:ac:.sc 1 en t. :-t::. A~ I 5u;ge5~ed fer university policy~ th9 analyses :n this paper may have impl1:3tions for ano insights 1ntc public policy~ but they de ~ot ;1eld specific poli::::-,, recc:mmendat1~ns. SLtch recommendations recLiire detailed anal/ses stat!5ti:al anal~ses of un1versitv training presented in this paper. The Amer:c~n researcn university is an evolving institu:icn. It !hews may be :uch a development. Industrial sucport is an important marginal c~ntrituticn to the training system~ but government remains responsible fer t~n:ing

PAGE 46

45 the bulk of all scientific training. Industrial support may also helo those trainees with an interest in the application and development cf science tc acquire the skills useful fer their careers. While industrial funds are nc Eimcle substitute +or goernment fund~, there is no evidence that such relaticnsh1cs with the pr1.,.at2 sectc,r b..-tr,em:el-.,-e~ diminish a trainee~$ abiliL' to ccmdLt=~ independent or basic research. To avoid these and other ris~5, anal;st~ snculd cont:nue to monitor the impact of university-industry cooperaticn~ a~:~~:~-ersitie~ shculd ~ee~ mechanisms to insure that they work within the cubl:: :n-ter2st.


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