ULBRECHT, J. J.
State University of New York, President, O.F.I.Technology Services, Rockville, USA, jjulbrecht@aol.com
Abstract: University-based Research Centers came into being in the early seventies to meet the following four challenges:
In the first part of this presentation, we will analyze the underlying philosophies that govern the U.S. Engineering Research Centers and the Industry/University Cooperative Research Centers. A comparison will be made with the Canadian Centres of Excellence, the British Interdisciplinary Research Centres, and the French Poles of Training Engineers. The German Institutes of the Fraunhofer Gesellschaft and the Dutch Organization for Applied Scientific Research (TNO) will be also looked at although these latter two are not a part of a university structure.
In the second part of the presentation, we will analyze the anatomy of a University-based Research Center, its origin, management, funding, and the benefits to its industrial members as well as its role in engineering education. We will also look at the role of the National Grant Agency (National Science Foundation) that provided the Center with seed funding.
Several examples of existing Centers will conclude the presentation.
Keywords: interdisciplinary, commercialization, industry, university, research
The National Science Foundation (NSF), the Grant Agency of the U.S. Government pioneered the concept of industry supported, university-based research centers by providing seed funding for the first Industry/University Cooperative Research Centers (I/UCRC) and Materials Science & Engineering Centers (MSEC) in 1972 and 1973 respectively.
Ten years later, the successful model of I/UCRC was followed by establishing the first series of State/Industry/University Cooperative Research Centers (S/I/UCRC) where the emphasis is on regional needs of both the industry as well as education. These were followed by Engineering Research Centers (ERC) in which the focus is on next-generation engineering systems.
The Canadian national network of Centres of Excellence was started by the Canadian government in 1988. Since then, about 15 networks have been established across the whole country (such as Manufacturing, Lasers, Space, Telecommunication, Materials, Information Technology, Biotechnology, Microelectronics, Robotics, etc.) involving 33 universities, 40 private companies, and four government laboratories. Centres receive government funding for about five years. During this initial period, industry contributes at least 40%. After that, the Centre must earn its way. The primary focus of the Canadian Centres of Excellence is on boosting the Canadian performance in basic and long-term applied research and on educating world-class engineers and scientists. Passing of technical knowledge from the Center to industry is also cited as one of the goals.
The first of a series of Interdisciplinary Research Centres (IRC) was set up in United Kingdom in 1987 by the then Science and Engineering Research Council (today the Engineering and Physical Sciences Research Council), a grant Agency of the British Government. As the name suggests, the emphasis is on cross-disciplinary research since the founders of these Centres believed that university researchers are unable to work together on the boundaries of scientific disciplines although many of the growth points of science occur between disciplines or involve several disciplines. About thirteen Centres are active today spanning the science spectrum from superconductivity to high-performance materials, from polymer science & technology to neural systems. Normally, each Centre is funded for six years (with 10 years being the maximum) for a total of 7-9 million pounds (approx. 2 million for equipment up front) plus one million per year. Initial industrial contribution is about 50% but, after six years, the Centre is financially self-supporting.
The French Government (Ministry of Education jointly with the Ministry of Research & Technology) started the program of Poles of Training of Engineers through Research in Diffusing Technologies (FIRTECH) in 1985. The primary goal of these Poles is to associate research with training in order to double/triple doctoral engineer production and to increase research in technology. Further, the Poles are charged with assisting small/mid-size technology-based enterprises, creating on-campus scientific parks and incubators for new private enterprises, and with creating S&T documentation and assistance to industrial enterprises. Currently, there are about 30 Poles focusing mainly on mechanics & materials, on biosciences & biotechnology, on information technology, energy engineering, and on electronics. Each Pole is funded for about 3 or 4 years, typically 60/40 government-to-industry split.
Unlike the U.S. I/UCRCs and ERCs, the Canadian Centres of Excellence, the French Poles, and the British IRCs that are all integral part of the hosting universities, the German Fraunhofer Institutes (Institutes of the Fraunhofer Gesellschaft) are adjacent to universities but not their part. Although some senior researchers in a Fraunhofer Institute might have parallel teaching appointments in the university and the Institute employs several students, the Institute itself has no formal education mission. On the other hand, the Fraunhofer Society has a long tradition of working with industry on a contractual basis and in assisting small and medium-sized companies through a variety of local, regional, and national networks involving Chambers of Commerce, technical brokerages, and technical colleges. Today, the Fraunhofer Gesellshaft operates 47 research institutes of which less than ten are located in the former East Germany. Thematically, the focus is on production technology, process engineering, materials and components, and economic studies. Out of the 8,000 employees, only about one third are scientists and engineers, a fact that documents well the orientation of the Fraunhofer Institutes on developing new technologies all the way to prototyping and process development. Government provides only about 20% of the one billion DM budget, mainly for generic research and for major equipment. The balance must be earned through contracts from industry and the public sector. It is interesting to note that more than 50% of the industrial earnings come from SMEs. Each Institute may make a profit but this must be reinvested in research and/or in buildings or other facilities.
In the Netherlands, the Organization for Applied Scientific Research (TNO) has even looser ties with universities than have the Fraunhofer Institutes. Chartered by the Dutch Government to provide assistance to SMEs as well as to large corporations, TNO has no educational component. However, its individual Institutes often form partnerships with universities that enable an effective flow of novel technologies from academia to industry.
Industry supported university research centers are not limited to America and Europe. Japan has its Joint Research Centers, the Republic of Korea operates two types of Centers: Science Research Centers and Engineering Research Centers, and even more are active in Australia: Key Centres of Teaching and Research, Special Research Centres, and Cooperative Research Centres.
|
CENTER |
Number of Centers |
NSF annual Funding ($M) |
Industrial Funding ($M) |
Year of initiation |
|
Engineering |
21 |
50 |
90 |
1985 |
|
Science & Technology |
26 |
61 |
35 |
1987 |
|
Industry/ University |
53 |
4 |
60 |
1973 |
|
Materials |
29 |
44 |
85 |
1972 |
|
TOTAL CENTERS |
170 |
200 |
||
|
TOTAL NSF |
3000 |
The I/UCRC are centers that encourage highly leveraged industry/university cooperation by focusing on fundamental research recommended by their Industrial Advisory Boards. Each Center is established to conduct research that is of interest to both industry and the university, with a provision that industry takes over full support of the center within five years.
State/Industry/University Cooperative Research Centers, while extending the I/UCRC model, are focused more actively on regional and local economic development. While diversity is encouraged, each Center is required to carry out at least the following tasks:
The funding of these Centers is based on an agreement between NSF and a Regional Authority (such as State Government). Initial awards are for four years with a possible extension for an additional four years based on a joint review of the Center's progress. NSF provides funding annually at a level between $150K and $300K with matching finds from the regional (State) authority and local industry.
Engineering Research Centers focus on major cross-disciplinary programs in leading edge engineering systems important for industrial competitiveness. The ERCs have been established to work in close collaboration with industry to improve industrial input into research and education programs and to speed up the transfer of knowledge into engineering systems important to industry. The ERCs have major educational programs designed to improve the contribution of engineers to industrial competitiveness, and research projects organized to promote cross-disciplinary team work.
All Centers have four goals in common:
How does a Center begin?
A professor with good scientific credentials, organizational skills, and entrepreneurial enthusiasm has an idea;
He or she sends a letter-proposal to NSF along with a letter of support from the University management and letters of commitment from several industrial companies;
NSF reviews the proposal and provides an operating grant of $50 to $75K annually over five to ten years.
NOTE: Unlike in the U.S. where the initiation of a new Center is a result of a free competition, the Centers in Germany, France, and Great Britain are selected from among existing research teams by the funding agency.
How does the Center grow?
As the research of the Center becomes better known, more industrial companies are recruited to join the founding members;
Each member company pays an annual fee proportional to its sales;
After five to ten years, NSF funding ceases but NSF continues participating by providing a contribution equal to an average industrial fee.
Center management:
The Center Director might be, at least initially, the Founding Professor later replaced by a professional manager with industrial experience;
The Center Director reports to University Management, usually to the Dean;
The Academic Policy Committee, composed of Deans and other top university officials, overseas the adherence of the Center to the academic policies of the university;
The Industrial Advisory Board is composed of representatives of industrial companies participating in the Center. The Committee advises the Director on
Benefits to the University:
Students and professors are exposed to industrial needs and practices;
Students establish personal contacts with potential future employers;
University will leverage research funds from industry for projects that would otherwise be beyond its reach.
Benefits to industry:
By pooling their scarce resources, the industrial members will have generic, pre-competitive research performed by highly qualified researchers;
The industrial members gain advanced access to critical knowledge thus capitalizing fully and quickly on the fruits of research;
The industrial members can preview their potential future employees;
Industry is forced to take a long-term view of its needs.
The continuing role of NSF:
NSF looks annually at
NSF carries out annual audits of financial records;
NSF evaluates annually structural changes.
Results:
Fifty Industry/University Cooperative Research Centers in operation with 900 faculty and 900 students participating;
Centers cover 14 science and engineering disciplines;
700 industrial companies form the industrial membership;
$4M of public money leveraged $60M of industrial funds;
About $50M annually of industrial "follow-on" investments.