CHAPTER 1 INTRODUCTION 1-1

Transcription

1 CHAPTER 1 INTRODUCTION 1-1

2 1.1 ABOUT THIS MANUAL Purpse and Intended Audience This dcument is intended as a "hw-t" manual fr thse invlved in, r cntemplating invlvement in, the peratin f a Natinal Science Fundatin-spnsred Engineering Research Center (ERC). Its purpse is t distill the existing knwledge and experience base regarding ERC start-up, peratin, and management int a resurce tl fr use by directrs and ther managers f prspective, new, and established ERCs. 1 The Best Practices Manual is als unusual in having been cnceived and written largely by thse wh d the jbs and have the experience current ERC managers emplying nt nly their wn experience but als the respnses t extensive questinnaires sent t thers in thse psitins acrss the ERCs. (As such, it shuld be nted, the manual is a publicatin f the cllective bdy f ERCs themselves, and nt f the Natinal Science Fundatin.) It was envisined as a "living dcument" that wuld have immediate utility and direct relevance t users' needs and cncerns. The manual is structured in a way that makes it accessible and easy t read, as well as easy t update peridically. It is available fr viewing r dwnlad n a dedicated website at The authrs wish t emphasize that this manual is nt a "ckbk" r template fr structuring and perating an ERC. As a resurce tl, it is rich in ideas and experiences; but every ERC is different and exists in a different envirnment. Each f the existing ERCs reflects that uniqueness, and NSF expects that every prspective and new ERC als will be unique Organizatinal Structure The manual is rganized by chapter accrding t management rles. A decimal numeric heading system has been used, with a separate Table f Cntents fr each chapter, t facilitate reader access t specific tpics. Chapter 2 addresses the rle f the ERC Directr and ther executives in prviding leadership and strategic directin. Chapter 3 addresses the management, bth lng-term and day-t-day, f the center's research prgrams. Chapter 4 deals with the multifaceted educatin and utreach prgrams f an ERC. Chapter 5 describes the activities invlved in industrial cllabratin and technlgy transfer, 1 Relevance f the manual t ther research center prgrams (nt nly within NSF but als thse f ther federal r state agencies) was a secndary cnsideratin. Hwever, many f the principles presented herein are applicable t any gvernment-spnsred university research center, especially ne with industry invlvement nt nly in the United States but als abrad. 1-2

3 fcusing n the rle f the Industrial Liaisn Specialist. Chapter 6 describes the many vital tasks invlved in the day-t-day administrative management f the center, including financial, persnnel, and facilities management. The fcus here is n the functins f the center Administrative Directr. Chapter 7 deals with the cmplex issues assciated with managing the NSF/ERC interface, bth frm the pint f view f NSF and frm the standpint f the ERC. The apprach taken in each chapter is similar, in that there is, first, an verview f the functinal area and its relatin t the verall center peratins. Key issues and cncerns are then identified and addressed acrss the specific functins within each sectin. Where apprpriate, an effrt has been made t differentiate these issues in terms f the different phases in the life cycle f an ERC: start-up (Years 1-3), mid-term (Years 4-7), and maturity (Years 8-10). There is a strng reliance n actual events and case studies f successes and failures t derive "lessns learned" and "tips" fr the practitiner. Attachments t sme chapters amplify material dealt with in the text f the chapter. In additin t the rganizatinal similarities, the reader will als ntice sme differences in structure and style frm chapter t chapter. These differences reflect the fact that different grups f ERC persnnel wrte the chapters. Althugh the assembled dcument was edited thrughut, the stylistic and rganizatinal individualities f the chapters were in many cases retained as being reflective f, and pertinent t, the specific cntent and functins being addressed. 1.2 ABOUT THE ERC PROGRAM The ERC Prgram began in 1985 when the Natin was facing a strng emergence f highly cmpetitive freign firms fueled by gvernment investment. There was a clear need t frm partnerships that wuld strengthen the cntributin f academic engineering t industrial cmpetitiveness. The gal then was t address these challenges by develping 25 Engineering Research Centers, each f which (a) fcused n a lng-term visin imprtant fr industrial cmpetitiveness, (b) integrated the traditinal disciplines t address systems-level engineering research, and (c) frmed university/industry partnerships in research and educatin. A cmpanin gal was t use the ERC cncept as a catalyst t stimulate a brad-based change in the culture f academic engineering by integrating academic and industrial views, prmting the integratin f research and educatin, invlving undergraduates in research, and bradening the diversity f engineering graduates. The mechanism f centers was chsen as the means t accmplish thse gals because centers can bring disciplines tgether. ERCs prvide an integrated envirnment fr academe and industry t fcus n next-generatin advances in cmplex engineered systems imprtant fr the Natin's future. Activity within ERCs lies at the interface between the discverydriven culture f science and the innvatin-driven culture f engineering, creating a synergy between science, engineering, and industrial practice. ERCs prvide the intellectual fundatin fr industry t cllabrate with faculty and students n reslving generic, lng-range challenges t prduce the 1-3

4 knwledge base needed fr steady advances in technlgy and their speedy transitin t the marketplace. ERCs als integrate engineering educatin and research and expse students t industrial views in rder t build cmpetence in engineering practice and t prduce engineering graduates with the depth and breadth f educatin needed fr success in technlgical innvatin and leadership thrughut their careers. The interface between research and educatin in an ERC is seamless at bth the undergraduate and graduate levels, prducing curriculum innvatins derived frm the systems fcus f the ERC's strategic gals. ERCs can be a platfrm frm which spring interdisciplinary, systemsriented graduate degrees and ptins preparing students fr careers in bth industry and academe. Thus, graduates assciated with ERCs enjy the capacity t cntribute t the Natin's glbal future thrugh a rich spectrum f career paths at the cutting edge f technical prgress and innvatin. ERCs als emphasize utreach in research and educatin that allws faculty, cllege-level undergraduate and graduate students, and pre-cllege students and their teachers t be invlved in the ERC. ERCs are established by NSF as a result f peer-reviewed cmpetitins generated by prgram annuncements. They are supprted by funds frm NSF, industrial partners, the hst academic institutins, and in sme cases the hme states and ther gvernmental funding agencies. While NSF prvides significant funds fr each center, an ERC must identify and btain substantial supprt frm the ther surces. This nvel apprach t funding a majr research prgram is illustrated in Figure 1-1. Figure 1-1: Primary Supprters f an ERC NSF INDUSTRY UNIVERSITY Catalyst/Integratr Active Participant Lng-Term Cmmitment Base Funding Management Guidance Evaluatin Catalyst fr Partnerships Advisr n Research, Educatin, and Testbeds Funding Supprt Cllabrative Research Prjects Research Facilities and Resurces Culture Change Recgnitin fr Tenure and Prmtin Nurturing f Students NSF's supprt acrss all ERCs ranges frm $1.0 M t $3.6 M per year; the average ERC award is currently $2.5 M per year (FY 02). The average annual ttal perating cst f an ERC currently is $9.3 M, and the range is frm $3.6 M t $23.1 M. Rughly 30 percent f an ERC's annual budget 1-4

5 cmes frm NSF and anther 30% frm industry; the remainder cmes frm ther Federal agencies (20%), the hst university (10%), and state and lcal and ther surces (10%). Currently (FY 02), NSF supprts 19 ERCs pursuing specific research fci in fur brad areas, as listed belw. (As f January 2002, 13 ERCs are self-sustaining after the cnclusin f NSF supprt.) Fr further details, see NSF s ERC Prgram hmepage at BIOENGINEERING ERC fr the Engineering f Living Tissues (est. 1998) Gergia Institute f Technlgy (lead institutin) in partnership with Emry University Marine Biprducts Engineering Center (est. 1998) University f Hawai i at Mana (lead institutin) in partnership with the University f Califrnia at Berkeley Center fr Cmputer-Integrated Surgical Systems and Technlgy (est. 1998) Jhns Hpkins University (lead institutin) in partnership with the Brigham and Wmen's Hspital, Carnegie Melln University, the Jhns Hpkins University Hspital, MIT, and Shady Side Hspital Bitechnlgy Prcess Engineering Center (est. 1985) Massachusetts Institute f Technlgy VaNTH ERC fr Biengineering Educatinal Technlgies (est. 1999) Vanderbilt University (lead institutin) in partnership with Nrthwestern University, the Harvard University-MIT Divisin f Health Sciences and Technlgy, and the University f Texas at Austin Engineered Bimaterials Engineering Research Center (est. 1996) University f Washingtn DESIGN AND MANUFACTURING ERC fr Envirnmentally Benign Semicnductr Manufacturing 2 (est. 1996) University f Arizna (lead institutin) in partnership with Arizna State University, the University f Califrnia at Berkeley, Crnell University, MIT, and Stanfrd University Center fr Advanced Engineering f Fibers and Films (est. 1998) Clemsn University (lead institutin) in partnership with MIT 2 An ERC jintly supprted under a Memrandum f Understanding between NSF and the Semicnductr Research Crpratin. 1-5

6 ERC fr Particle Science and Technlgy (est. 1994) University f Flrida Center fr Recnfigurable Machining Systems (est. 1996) University f Michigan EARTHQUAKE ENGINEERING 3 Pacific Earthquake Engineering Research Center (est. 1997) University f Califrnia at Berkeley (lead institutin) in partnership with Califrnia Institute f Technlgy, Stanfrd University, University f Califrnia at Davis, University f Califrnia at Irvine, University f Califrnia at Ls Angeles, University f Califrnia at San Dieg, the University f Suthern Califrnia, the University f Washingtn, and nine affiliate institutins Mid-America Earthquake Center (est. 1997) University f Illinis at Urbana-Champaign (lead institutin) in partnership with Gergia Institute f Technlgy, the University f Memphis, MIT, St. Luis University, Texas A&M University, and Washingtn University Multidisciplinary Center fr Earthquake Engineering Research (est. 1997) Headquartered at the University at Buffal, in partnership with Crnell University, University f Delaware, University f Nevada at Ren, and University f Suthern Califrnia, as well as ther cllabrating institutins and private entities thrughut the U.S. MICROELECTRONIC SYSTEMS AND INFORMATION TECHNOLOGY Center fr Neurmrphic Systems Engineering (est. 1994) Califrnia Institute f Technlgy Packaging Research Center (est. 1994) Gergia Institute f Technlgy Center fr Wireless Integrated MicrSystems (est. 2000) University f Michigan, Ann Arbr (lead institutin) in partnership with Michigan State University and Michigan Technlgical University Center fr Subsurface Sensing and Imaging Systems (est. 2000) Nrtheastern University (lead institutin) in partnership with Bstn University, Rensselaer Plytechnic Institute, University f Puert Ric at Mayaguez, Lawrence Livermre Natinal 3 The Earthquake Engineering Research Centers (EERCs) were established under a special prgram in 1997 t further knwledge and technlgy fr earthquake hazard mitigatin. 1-6

7 Labratry, Massachusetts General Hspital, Brigham and Wmen s Hspital, and Wds Hle Oceangraphic Institutin Integrated Media Systems Center (est. 1996) University f Suthern Califrnia Center fr Pwer Electrnic Systems (est. 1998) Virginia Plytechnic Institute & State University (lead institutin) in partnership with Nrth Carlina A&T State University, University f Puert Ric at Mayaguez, Rensselaer Plytechnic Institute, and University f Wiscnsin at Madisn Cmpetitin fr new ERCs is nw held peridically, usually every tw years. ERCs receive NSF funding fr up t 10 years, dependent upn renewal reviews cnducted in the third and sixth years. At the end f their life-cycle as NSF-supprted Engineering Research Centers, NSF expects ERCs t becme self-sustaining with supprt frm their members, universities, state gvernments, and ther federal gvernment agencies. Teams may emerge frm parts f self-sufficient ERCs and enter cmpetitin fr supprt as new ERCs. These ERCs recmpete n an equal fting with all ther applicants. It is evident that the range f technlgy areas cvered by the ERCs is quite brad. These centers are having a significant impact n U.S. industry thrugh the transfer f knwledge and technlgy as well as thrugh their graduates. Mre than 500 U.S. cmpanies were members f ne r mre ERCs in As f Fall 2001, a ttal f 354 patents had been awarded t ERCs, 1,453 sftware licenses had been issued t cmpanies, and 74 cmpanies had been frmed as spinffs f ERC research, emplying 813 peple. Als as f Fall 2001, the cumulative ttals fr degrees granted t ERC students were: 2,383 PhD, 2,450 MS, and 2,541 BS degrees. In recent years, rughly fur percent f all engineering dctral degrees granted annually in the United States are awarded t ERC students. Thus, the ERC interdisciplinary, industry-riented systems apprach t engineering is spreading rapidly thrughut industry and academe. The ERCs are fulfilling NSF s expectatin that they serve as change agents fr academic engineering prgrams and the engineering cmmunity at large. The participants in the ERC Prgram wh have authred this manual hpe that it will serve as a further vehicle fr disseminating the ERC apprach t engineering research and educatin, which we believe is highly beneficial and healthy fr bth academe and industry, thrughut the American engineering enterprise. 1-7