TRIPLE HELIX noms.pmd

W-20An Assessment of Sustaining and Non-Sustaining Cooperative ResearchCenters: What Happens to Triple Helix Partnerships When GovernmentFunding Ends?Lindsey McGowen, North Carolina State University, USALike other cooperative research centers around the world, Industry/University Cooperative Research Centers (I/UCRCs) aresupported by funding from government (in this case the National Science Foundation), but are expected to achieve selfsufficiencyafter a fixed term (ten years). However, there is little research-based evidence about the extent to which governmentfunded center programs are able to make this transition. This study attempts to identify the factors that predict center survivaland success after they have graduated from National Science Foundation (NSF) funding.Over the last three decades, national policy has facilitated greater collaboration in research between industry and academia(National Science Board, 2006). These legislative changes have contributed to an increase in collaborative research betweenindustry and university by reducing barriers and encouraging cross-sector collaboration (Cohen, Florida, & Goe, 1994). The goalof these policy changes is to foster an environment that is conducive to lasting partnerships between industry and university.This policy landscape is complemented by grant programs and other types of funding for R&D that is conducted jointly betweenuniversities and industry.These partnerships often take the form of cooperative research centers (CRCs) (Boardman and Gray, in press). CRCs areintended to bring the producers and users of technology, knowledge, and research together in order to speed the innovationprocess. In bridging the gap between industry and academia, CRCs produce research that is scientifically important andindustrially relevant (Gray & Walters, 1998). These Centers are intended to foster long-term cooperation between industry andacademia; having sustainability as an explicit program goal.However, relatively little research exists on the extent to which programs are able to survive a funding transition become selfsufficientor at least reduce their dependence on government funding. The majority of research on program sustainability comesfrom the public health, community development, and innovation literature. Program sustainability refers to the degree to whicha program is able to sustain itself once the initial grant funding comes to an end. It is defined as the continuation of programbenefits, activities, and infrastructure (Shediac-Rizkallah & Bone, 1998). Program sustainability occurs in context and is predictedby environmental, organizational, and program level factors. This paper applies these theories and concepts to a widely deployedexample of the "triple helix" -- cooperative research centers.In particular, it focuses on the efforts of NSF funded I/UCRCs to become self-sustaining entities, supported by industrialmembers and other stakeholders. NSF I/UCRCs are semi-autonomous research organizations housed within a universitysetting that engage in multidisciplinary collaborative research with industry member firms, in which research is directed byindustrial interest. One of the main goals of the I/UCRC program is to foster collaborative approaches to R&D that are sustainablein the long term;. In fact, the NSF explicitly states that its "investment in the I/UCRCs is intended to seed partnered approachesto new or emerging research areas, not to sustain the Centers indefinitely. The Foundation intends for I/UCRCs to graduallybecome fully supported by university, industry, state, and/or other non-NSF sponsors"(National Science Foundation, 2006).The primary purposes of the current study were: to assess the extent to which the 73 I/UCRCs that have "graduated" from theprogram over the last twenty plus years are still operating; to determine the extent to which centers demonstrated continuingfidelity to their partnership-based model; and to determine which factors predict sustainability. Both archival and interview-baseddata were used to address these goals. The current operation of graduated I/UCRCs was assessed via telephone interviews withkey center stakeholders (usually the current or most recent director). Results showed that 80% of centers that received the full10 years of I/UCRC grant support are still operating in some form today. However, there were a variety of transition strategiesused, leading to several organizational forms for graduated I/UCRCs. Results also indicate that sustained graduated centers arehighly successful, maintaining the size and scope of their programs. Presentation will highlight environmental, organizational,and program level variables also identified as predictors that differentiate successful from unsuccessful graduated I/UCRCs.Implications of these findings for program management and public policy will be discussed.References- Boardman, C & Gray, D. (in press). The New Science and Engineering Management: Cooperative Research Centers asGovernment Policies, Industry Strategies, and Organizations. In Gray, D. & Boardman, C. (Eds.) Special Issue of Journal ofTechnology Transfer, Cooperative Research Centers: Policy, Process and Outcome Perspectives.- Cohen W, Florida R, Goe WR. (1994). University-Industry Research Relationships in the United States. Pittsburgh, Pa:Carnegie Mellon University.- Gray, D.O. & Walters, S.G. (1998). Managing the Industry/University Cooperative Research Center: a guide for directors andstakeholders. Columbus, OH: Battelle Press.- National Science Board (2006). Science & Engineering Indicators 2006. Arlington, VA: National Science Foundation.- National Science Foundation (2006). Industry / University Cooperative Research Centers: Model Partnerships. Retrieved 20March 2006 from http://www.nsf.gov /eng/iucrc.jsp- Shediac-Rizhallah, M.C. & Bone, L.R. (1998). Planning for the sustainability of community-based health programs: Conceptualframeworks and future directions for research, practices and policy. Health Education Research, 13(1), 87-108.Madrid, October 20, 21 & 22 - 2010224