Research Innovation As a Pathway to the Future

Research Innovation as a Pathway to the Future

Merrill Series on The Research Mission of Public Universities

A compilation of papers originally presented at a retreat sponsored by The Merrill Advanced Studies Center July 2015

Mabel L. Rice, Editor Technical editor: Evelyn Haaheim

MASC Report No. 119 The University of Kansas

Introduction Mabel L. Rice ...... vi Director, Merrill Advanced Studies Center, the University of Kansas

Executive summary ...... viii

Keynote address Ruth Watkins ...... 1 Provost and Senior Vice President for Academic Affairs, the University of Utah Fulfilling our Promise in the 21st Century: Integrating Scholarship, Education and Innovation Panel 1: Researchers Alexandra Thomas...... 7 University of Iowa Reinforcing the Translational Bridge: Realizing the True Promise of Research Innovations Hinrich Staecker ...... 11 University of Kansas Medical Center Building a translational research program in Neurotology at University of Kansas Medical Center

Panel 2: Research Administrator Richard Barohn ...... 15 University of Kansas Medical Center Barriers to Clinical and Translational Research & Challenges of Investigator Initiated Multi-Center Clinical Trials

Panel 3: Researchers Shane Farritor ...... 25 University of Nebraska Nebraska Innovation Studio: A University-Based Makerspace Mary Rezac ...... 31 Kansas State University Creating and Sustaining Interdisciplinary Research Groups Panel 4: Research Administrators Don Steeples ...... 37 University of Kansas Cuts and Guts: Public University Budget Hemorrhages

iii Daniel Reed ...... 43 University of Iowa The American Research University and the Iowa Experience

Panel 5: Researchers and Research Administrators Neal Kingston ...... 51 University of Kansas Shifting the Paradigm of Large-Scale Achievement Assessment or, Help! I’m Lost; Does Anyone Have a Map? Christopher Morphew ...... 58 University of Iowa The Trouble (and Opportunities) With Ed Schools in the Research University Steve Goddard ...... 62 University of Nebraska-Lincoln Social & Behavioral Sciences Research: Is now the time to invest?

LIST OF PARTICIPANTS and CREDENTIALS ...... 73

iv Introduction

Mabel Rice The Fred and Virginia Merrill Distinguished Professor of Advanced Studies and Director, Merrill Advanced Studies Center, the University of Kansas

he following papers each address an aspect of the subject of the nineteenth annual research policy retreat hosted by the Merrill Center: Research T Innovations as a Pathway to the Future. We are pleased to continue this program that brings together University administrators and researcher-scientists for informal discussions that lead to the identification of pressing issues, understanding of different perspectives, and the creation of plans of action to enhance research productivity within our institutions. This year, our retreat explored the subject of research innovation and the ways that innovation can forge a pathway to the future. Our keynote speaker for the event Iowa and Nebraska attended the 2015 re- was Dr. Ruth Watkins, Provost and Sen- treat. Though not all discussants’ re- ior Vice President for Academic Affairs at marks are individually documented, the University of Utah. In her presenta- their participation was an essential ingre- tion she approached the topic of innova- dient in the general discussions that en- tion within the context of scholarship and sued and the preparation of the final pa- education, and how the three can be inte- pers. The list of all conference attendees grated in order to fulfill our promise in is at the end of the publication. the 21st century. The inaugural event in this series of Benefactors Virginia and Fred Mer- conferences, in 1997, focused on pres- rill make possible this series of retreats: sures that hinder the research mission of The Research Mission of Public Universi- higher education. In 1998, we turned our ties. On behalf of the many participants attention to competing for new resources over more than a decade, I express deep and to ways to enhance individual and gratitude to the Merrills for their enlight- collective productivity. In 1999, we exam- ened support. On behalf of the Merrill ined in more depth cross-university alli- Advanced Studies Center, I extend my ances. The focus of the 2000 retreat was appreciation for the contribution of effort on making research a part of the public and time of the participants and in partic- agenda and championing the cause of re- ular to the authors of this collection of pa- search as a valuable state resource. In pers who found time in their busy sched- 2001, the topic was evaluating research ules for the preparation of the materials productivity, with a focus on the very im- that follow. portant National Research Council Eighteen senior administrators and (NRC) study from 1995. In the wake of faculty from five institutions in Kansas, 9/11, the topic for 2002 was “Science at a

v Time of National Emergency”; partici- issues of international research collabora- pants discussed scientists coming to the tion. The 2009 retreat highlighted re- aid of the country, such as in joint regional research collaborations, with dis- search on preventing and mitigating bio- cussion of the many advantages and con- terrorism, while also recognizing the dif- cerns associated with regional alliances. ficulties our universities face because of The 2010 retreat focused on the chal- increased security measures. In 2003 we lenges regional Universities face in the ef- focused on graduate education and two fort to sustain and enhance their research keynote speakers addressed key issues missions, while the 2011 retreat outlined about retention of students in the doc- the role of Behavioral and Social sciences toral track, efficiency in time to degree, in national research initiatives. Our 2012 and making the rules of the game trans- retreat discussed the present and future parent. In 2004 we looked at the leader- information infrastructure required for ship challenge of a comprehensive public research success in universities, and the university to accommodate the fluid na- economic implications of that infrastructure of scientific initiatives to the world of ture, and the 2013 retreat discussed the long-term planning for the teaching and increasing use of data analysis in Univer- service missions of the universities. In sity planning processes, and the impact it 2005 we discussed the interface of science has on higher education and research. and public policy with an eye toward The 2014 retreat looked at the current how to move forward in a way that hon- funding environment and approaches ors both public trust and scientific integ- which could be used to improve future rity. Our retreat in 2006 considered the funding prospects. privatization of public universities and Once again, the texts of this year’s the corresponding shift in research fund- Merrill white paper reveal various per- ing and infrastructure. The 2007 retreat spectives on only one of the many com- focused on the changing climate of re- plex issues faced by research administra- search funding, the development of Uni- tors and scientists every day. It is with versity research resources, and how to pleasure that I encourage you to read the calibrate those resources with likely papers from the 2015 Merrill policy resources of funding, while the 2008 retreat treat on Research Innovations as a Pathway dealt with the many benefits and specific to the Future.

Executive summary

Fulfilling our Promise in the 21st Century: Integrating Scholarship, Education and Innovation Ruth Watkins, Provost and Senior Vice President, University of Utah • Public research universities are powerful institutions. We have a central role in the generation and dissemination of knowledge, and our work shapes and reflects the priorities of society. We strive to prepare lifelong learners capable of thriving in the multiple careers they will likely pursue. We have the unique role of preparing future scholars who will generate knowledge, meet the needs of industry and the academy, and serve as leaders.

• At the same time, we face challenges as we redefine our role. New competitors have emerged, technological advances disrupt traditional educational models, and demographic shifts in high school graduates require change in our approaches to recruitment and enrollment. The cost of higher education has outpaced inflation, and a sharpened emphasis on accountability has required us to more honestly examine both our successes and our limitations.

• Among the most urgent issues we face as public universities are the rate of baccalaureate degree completion and time to degree. One or two of every five students beginning college at the institutions in our region leaves without earning the baccalaureate. However, the difference in outcomes for those who do complete the baccalaureate, compared to peers with high school and those with some college, is striking. Degrees matter.

• Public research universities have a distinctive and exceptional opportunity to address the completion challenge. Four strategies for advancing undergraduate student success are: Creating proactive models of pathways to completion which match our present reality and meet student needs; connecting undergraduates with our scholarly efforts through involvement with research; employing data analytics to increase student success; and creating a makerspace to attract creative and talented students, and to actively engage these students through the completion of their degrees. Reinforcing the Translational Bridge: Realizing the True Promise of Research Innovations Alexandra Thomas, Clinical Professor, University of Iowa • Debate has been ongoing regarding how to realize the potential of translational work. While gains have certainly been made, hurdles persist which prevent us from fully achieving this promise. There are many areas that we might focus on to harness the potential of translational research. I suggest three areas that we could invest in to more completely produce healthcare gains for society: reward all members on the bridge from the laboratory to the clinic, support and sustain women in science, and engage society. • Reward All Members on the Translational Bridge from the Laboratory to the Clinic: Fully including clinicians in investigations is critical on several important fronts. Fundamental research which is linked to applied research is more readily supported by the public. Further, clinicians bring back the pertinent, unanswered questions about the treatments to their laboratory colleagues, and this two-way dialogue is vital to making translational medical research

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relevant. Ways to value all members of the translational bridge include encouraging diverse research portfolios, reconsidering what is valued in promotion and tenure and revisiting how awards and leadership roles are distributed. • Support and Sustain Women in Science: Barriers to fully including women in the scientific enterprise still exist. Supporting and sustaining women in science is critical; equal pay and comparable recognition with awards still needs to be attained. We also need to make science and the environments in which it is practiced comfortable for women. Finally, we could better understand career breaks for having a family and proportionally give credit. In this we are asking science to support families which further ensures our sustainability and helps all stakeholders. • Engage Society: The ability to tell our story has never been more relevant than today, when funding is short and we need to engage society to garner support for the vital work of discovery. Scientists need to articulate the value of their work - this means when the media calls, embrace the chance to discuss our projects. While this is not innately comfortable for many of us, perhaps we should strive to make it more a part of our culture, especially at public universities? • The shared goals of better health outcomes and improved global quality of life, held by all stakeholders in the research enterprise can help move us collectively toward this vision. We might further consider that the public universities in the Midwest are uniquely situated to act on these opportunities based on our rich traditions of community and collaboration. Building a translational research program in Neurotology at the University of Kansas Medical Center Hinrich Staecker, David and Marilyn Zamierowski Professor, University of Kansas Medical Center Kevin Sykes, PhD, MPH, Clinical Research Director, Head and Neck Surgery, University of Kansas Medical Center • The treatment of inner ear diseases such as hearing loss and balance disorders has been largely neglected by the pharmaceutical industry. Problems in drug development for the inner ear include difficulty of correct diagnosis, lack of real-time pathological evaluation and inability, to date, to turn years of basic science research into a clinical product. • In the Division of Otology Neurotology at the University of Kansas Medical Center we have spent the last eight years developing a research program geared towards preclinical animal models of hearing and balance loss while in parallel developing a clinical trial infrastructure that can tackle hearing and balance clinical trials. • This requires dedicated space and staffing, a good working relationship with the institutional research infrastructure and most of all, funding. Building this kind of program takes time but it becomes self-supporting through a range of funding mechanisms and has led to the development and implementation of the first human inner ear gene therapy trial at our institution. Barriers to Clinical & Translational Research & Challenges of Investigator Initiated Multi-Center Clinical Trials

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Laura Herbelin, BSc, CCRP – Research Instructor, Department of Neurology, University of Kansas Medical Center Richard J. Barohn, MD – Chair, Department of Neurology; Gertrude and Dewey Ziegler Professor of Neurology; University Distinguished Professor; Director, Frontiers: The Heartland Institute for Clinical and Translational Research, Vice Chancellor for Research; President, Research Institute: University of Kansas Medical Center • Clinical Translation Research (CTR) requires an idea, interest/desire, talent, training, time, a team, regulatory support, space, money and study participants. A large team is needed to conduct a clinical trial, whether single site or multisite. Many clinical trials require multiple sites, especially in rare disease research (the focus of our research), in which recruitment is a challenge due to the rarity of patients.

• Sites should be chosen based on patient population, and willingness to recruit. As a member of a consortium, you may gain a foothold in conducting clinical trials. Handling of the regulatory issues is a challenge for every multi-site study. Each site may have to submit to their own IRBs for approval. However, there have been recent strides made in utilizing a single IRB on multicenter trials and there is a huge momentum at the NIH and PCORI levels to utilize a single IRB.

• There has been recently a push by the FDA for investigator-initiated studies to monitor their own studies. The budgets for investigator initiated studies rarely have the capacity to fund a robust monitoring program. Our approach represents a compromise; we do remote monitoring and have sites send a selected number of study records for review. If they are deficient, a higher level of monitoring can be activated. At KUMC, we have innovative solutions for recruitment, including the Frontiers registry, The Pioneers Community Research Re- cruitment Registry, and the Healthcare Enterprise Repository for Ontological Narration (HERON).

• Adding sites outside the US border adds a layer of complexity. European Union regulations try to unify regulatory process for studies across Europe. Using international sites is expensive for a budget on an investigator initiated trial and this needs to be factored into the budget. There are significant barriers in carrying out a multicenter trial as the coordinating site. These barriers can be overcome but it takes personnel, infrastructure, time, training and money. Leading a multicenter study takes knowledge and skill, but the rewards are great. Nebraska Innovation Studio: A University-Based Makerspace Shane Farritor, David and Nancy Lederer Professor, Mechanical and Materials Engineering, University of Nebraska • The University of Nebraska-Lincoln is creating a new makerspace called Nebraska Innova- tion Studio. Makerspaces are a growing trend across the world and some precedent for University makerspaces exists. A makerspace (sometimes referred to as a Fab Lab, Hobby Shop, or Hacker Space) is a community-oriented physical space where students and other members can build and create. The focus of a makerspace is on creativity, interdisciplinary collaboration, entrepreneurship, and education.

• Students from across campus and all community members will be allowed to join the Ne- braska Innovation Studio and build their own original projects. Nebraska Innovation Stu- dio is a both a physical space and a community. The physical space contains specialized tools & equipment (3D printers, laser cutters, computer controlled embroidery machines, machining centers, etc.) along with collaboration space that will allow students to create projects that they are passionate about. • The community will provide specialized classes that will enable the students to physically realize their own innovations. These non-degree classes will expand and improve the student’s education by allowing them to learn by doing. This experiential education will better show our students that the world is out there to be engaged and shaped. • The Nebraska Innovation Studio will strongly contribute to the dynamic multi-disciplinary innovative culture that is a goal of UNL, and will allow for an innovative experiential student learning. It will foster entrepreneurship - there are multiple examples of new products created in makerspaces across the United States. In addition, it will be an attractive facility to encourage interactions between the University and the private sector. It will house expertise and equipment to quickly make prototypes to support the “fail fast & learn” model of innovation. Creating and Sustaining Interdisciplinary Research Groups Mary Rezac, Tim Taylor Professor of Chemical Engineering, Kansas State University • It is clear that from NSF funding trends, both the number and value of projects awarded to research teams have increased dramatically in the past decades. If academic research institutions are to compete successfully for these funds, they must support their faculty members and research staff in the development of functional and efficient research teams. • There are real and perceived barriers to multi-disciplinary research within academia. In a 2004 study, the NAE concluded that there are multiple barriers to success of these research teams. It is interesting to note that the majority of the concerns relate to allocation of credit whether it be for considerations of promotion and tenure, publications, awards, or unit productivity. It would seem that active work to create a university culture that promotes and rewards members of interdisciplinary teams could go a long way to overcome these fears.

• The NAE study also surveyed principal investigators on what recommendations they would make to peers to facilitate interdisciplinary research projects. PIs believed that the single action to promote success was identification of a team leader. The leaders identified are individuals with sufficient subject area expertise to garner the respect of her or his peers while simultaneously having the managerial, organizational, motivational skills to put together and keep together a research team. Faculty members believe that leadership of interdisciplinary teams has negative consequences on short-term productivity. That leaves only full professors in a position to effectively lead large, multi-disciplinary research teams. Yet, 10 or more years into their careers, they may have received little or no training on how to succeed in this role. • If we are to transition to this new era of interdisciplinary research team success, our organizations must develop mechanisms for identify, training, and truly rewarding team leaders.

x A few mechanisms are provided for consideration: (1) provide an indirect cost return system that financially rewards the leader of a team project; (2) provide central support for personnel to support large, team projects with the completion of the reports and data collection frequent in these projects; (3) provide central support for evaluation of large, team projects; (4) develop and finance a university-wide research award that focuses on success as a team leader; (5) identify faculty members at all ranks with the skills and inclination to be successful team leaders, provide them with mentoring to improve their skills; (6) recognize the role of team leader in publicity and marketing materials. Cuts and Guts: Public University Budget Hemorrhages Don Steeples, Interim Dean, College of Liberal Arts & Sciences, University of Kansas • Since 1963, in Kansas, tuition has risen 5X faster than board and room. Tuition for an undergraduate in 1963 was $107 for 17 hours of engineering courses at KSU. When adjusted for inflation, those 17 hours would cost $832 in 2015 dollars. In contrast, the actual cost in fall 2015 at KSU will be $4,660, an increase of more than five times the inflated cost. • In Kansas, tuition has gone up 3X faster than the U.S. minimum wage. The minimum wage in the U.S. was $1.25 per hour in 1963 and in 2015 has increased to $7.25 per hour. In 1963, a student who worked for 651 hours at minimum wage could earn enough money for two semesters of tuition and of residence hall living at KSU. In 2015, a student would have to work 1,868 hours at minimum wage to provide for two semesters of tuition and residence hall living. • Since 2002, based on the Kansas experience, it seems reasonable to hypothesize that cuts in state-government funding for public universities across the U. S. have been mostly offset by tuition increases. Only two states (Alaska and North Dakota) increased funding per student between 2008 and 2013. In contrast, Arizona, Louisiana, and South Carolina decreased per-student funding by more than 40% between 2008 and 2013. During the same window of time, Kansas, Missouri, and Iowa all decreased per-student funding by between 20-30%; Nebraska decreased per-student funding by about 10%.

• Overall, state per-student funding is generally a picture of less per-student public financial support amid tuition increases. The tuition increases may or may not partially replace, totally replace, or exceed the cuts in public funding. However, decreased state support does not automatically mean tuition goes up. Louisiana and South Carolina cut per-student funding by more than 40%, but only increased tuition by about 14% and 21% respectively. The American Research University and the Iowa Experience Daniel Reed, Vice President for Research and Economic Development, University of Iowa • Universities are challenged to adapt and respond while preserving their core values in the face of exponential change. The irreducible core values that define academia are: original scholarship and research, student education and training, and societal engagement and services. Reflecting shifting societal expectations, the University of Iowa has launched initiatives to assist its faculty, staff and students in scholarship and research, technology transfer, economic development, and societal engagement. Here are a few examples: • Outreach. The University of Iowa Mobile Museum is designed to allow annual replacement and refresh of its contents, and includes displays on university research and scholarship as xi well as Iowa history, both natural and cultural. The museum travels across Iowa, visiting schools, libraries, community events, and the state fair. This statewide outreach exposes K- 12 students and Iowans to research breakthroughs and the university experience. • Research Metrics. Working with other members of the Committee on Institutional Coop- eration (CIC), the University of Iowa is analyzing its research expenditures to identify their direct and indirect impact on the state economy. By showing where research funds are spent, as well as the number of faculty, staff, and students employed by research grants and contracts, the UMETRICS data provides clear and compelling evidence of the economic impact of research funding. • Ideation Summits and Salons. To encourage transdisciplinary scholarship and collaboration, the University of Iowa regularly hosts research summits and salon events that draw from the entire faculty. By facilitating discussion among scholars and researchers across the arts, humanities, social sciences, engineering, medicine and business, our goal is to foster broad collaborations.

• Internal Funding Initiatives. The University of Iowa’s internal funding program is structured to enable scholars and researchers to explore new directions, ones where they may not have the experience or data to be competitive for external funds. It also places high priority on rewarding high risk, multidisciplinary collaborations such as those that might emerge from ideation summits. In addition, these initiatives support acquisition of new in- strumentation and facilities.

• Faculty Media Training. To aid faculty in communication, the University hosts seminars on the art of presentation, targeting both research and public audiences. We also host cohorts of faculty for intensive media training, working with professional journalists and journalism faculty. These daylong seminars include the capture and critique of brief video de- scriptions of research, discussion about how to interact with journalists, and techniques for effective communication with lay audiences. Faculty members leave the seminar with a video succinctly describing their research and its broader relevance. Shifting the Paradigm of Large-Scale Achievement Assessment or, Help! I’m Lost; Does Anyone Have a Map? Neal Kingston, Professor, Department of Educational Psychology and Director, Achievement and Assessment Institute, University of Kansas • The Dynamic Learning Maps Alternate Assessment was developed at the University of Kansas Achievement and Assessment Institute, and is designed for students with significant cognitive disabilities. We began this work with the goal of improving instruction and assessment for students with significant cognitive disabilities, but there is no reason this approach would not work equally well for all students. • We had a team of researchers scour research literature for studies about how students learn academic content in English Language Arts and Mathematics. We identified a large number of learning targets, or nodes– knowledge, skills, and aspects of cognition - foundational to both disciplines. These comprise the Dynamic Learning Maps. • We have broken down the maps to smaller mini-maps containing essential elements. Each of these mini-maps is relatively easy for a teacher to comprehend, and any individual

xii teacher only needs to be able to use at most one hundred of the mini-maps to guide instruction.

• Assessments are developed based on the learning map as opposed to being based on a list of content specifications. After the tests are developed and administered, we use statistical models consistent with our learning map for the assessment. We are interested in which particular nodes a student mastered – a concept that relates directly to the map. The use of learning maps makes it much easier for teachers to personalize instruction. In addition, reports based on learning maps could be dynamic and show us student progress over time. The Trouble (and Opportunities) With Ed Schools in the Research University Christopher Morphew, Professor, College of Education, University of Iowa • Ed School certification requirements present real constraints to the research capacity of Ed Schools. The pressure to meet state requirements in a timely manner gets in the way of opportunities that students in history and physics might have to engage in time-consuming research projects with faculty or pursue a second (or third) major.

• Ed Schools tend to hire experts in education rather than experts in specific disciplines. There are disadvantages, which include being overlooked by foundations and/or review panels at federal funding agencies that are quick to cede the high ground (and funding dollars) to economists or other scholars who have Ph.Ds. in academic disciplines. • On the other hand, Ed Schools benefit from a multidisciplinary approach to research. Ed School professors, precisely because they are not trained in a single discipline, tend not to be trapped in the same methodologies and conceptual frameworks that might dominate a discipline. The recent growth in interest in schools and public education by large foundations like Gates is a second potential advantage for Ed Schools.

• Ed Schools are relatively inexpensive. Ed School researchers make less than their peers in the health sciences, business, and often less than faculty in natural and physical sciences. Start-up costs are less as well. Generally, expensive labs are not required. These cost advantages matter now and may matter more in the future. • Ultimately, the trouble with Ed Schools is both real and a product of perception. The real part is a function of Ed Schools' longstanding links to historically marginalized populations and soft, applied problems. That is not likely to change. The perception part is something that Ed School and University leaders can do something about. Social and Behavioral Sciences Research: Is now the time to invest? Steve Goddard, Associate Vice Chancellor for Research, University of Nebraska-Lincoln • Funding for traditional disciplinary SBSR is becoming increasingly more competitive due to an increasing pool of applicants and decreases in SBSR federal funding. The result, as we see across the funding landscape, is lower federal funding rates. Research funding allocated to SBSR has remained a small proportion of the overall NSF research budget, declining from 4.9% in 1998 to 4.4% in 2014. • The situation is dire for the smaller agencies that focus on SBSR. The Institute of Educational Sciences (IES), within the DoE, is likely to experience a significant cut (up to 27%). If the House has its way, ARHQ will be completely eliminated with its budget being zeroed out. xiii • Why do we conduct SBSR and what we hope to gain? Our long-term success in addressing major economic, health, energy, environmental and national security challenges depends on understanding the broader social, political and economic issues that serve as the context for addressing these matters. The answer to many of society’s problems are known, the challenge is figuring out how to change behaviors to adopt solutions to the problems ailing our society. • At UNL, we believe it is best to invest now, when the ‘market is down’, rather than wait until the ‘market is hot’. We need to move from thinking of research defined by disciplinary boundaries and expertise to research foci that require the collaboration of researchers across disciplines, bringing diverse theoretical and methodological approaches to address a common research challenge.

• We believe SBSR will continue to play significant roles in addressing our societies biggest challenges. The growth opportunities, however, are in interdisciplinary and transdisipli- nary team science approaches, rather than traditional single-investigator research projects. We are confident that our approach will position UNL as a leading institution in transdisciplinary social and behavioral science research.

xiv Fulfilling our Promise in the 21st Century: Integrating Scholarship, Education and Innovation

Ruth Watkins, Provost and Senior Vice President for Academic Affairs, the University of Utah

ublic research universities are powerful institutions. We are vital in the development of human capital, attracting and engaging hundreds of thousands of Pstudents every year working toward baccalaureate, masters and doctoral degrees. We have a central role in the generation and dissemination of knowledge, at a massive scale and across a range of disciplines and emerging interdisciplinary fields. From the land-grant institutions brilliantly conceived in the Morrill Act, to the larger community of state flagship universities, our work shapes and reflects the priorities of society (The Lincoln Project: Excellence and Access in Higher Education (2015).

• Our collective research and creative • We stand on common ground with activity solves urgent societal prob- our communities – locally, regionally, lems, promotes historical and cultural nationally and internationally – knowledge, fuels the innovations that working together on relevant issues, create jobs, and infuses meaning and promoting vitality in our neighbor- purpose in our lives. hoods, and improving quality of life. • We are instrumental in the develop- • Our innovation extends technologies ment of talent, as we contribute to the forged and founded through univer- workforce of creative thinkers and sity scholarship into the public arena, problem solvers who are capable generates jobs, and promotes healthy writers, team members, innovators, economies. citizens and leaders. Perhaps most • Our institutions are major employers, central, we strive to prepare lifelong often among the largest in our com- learners capable of thriving in the munities. multiple careers they will likely pur- Clearly, public research universities sue. As research universities, we have have noteworthy records of impact and the unique role of preparing future relevance. At the same time, we face scholars who will generate striking challenges as we redefine our knowledge, meet the needs of indus- role in the 21st century. New competitors try and the academy, and serve as – nationally and internationally - have leaders. We continue to balance af- emerged, technological advances signal fordability, access and excellence in disruption in traditional educational our institutions, even as state support models, and demographic shifts in the has declined. population of high school graduates ne-

1 cessitate change in our approaches to re- compared to peers with high school and cruitment and enrollment. The cost of those with some college, is striking (Car- higher education has outpaced inflation nevale, Rose & Cheah, 2011; Pew Educa- as our institutions adapt to declining sup- tion Research, 2014). Degrees matter. port from our state partners. A sharpened Economic vitality and innovation emphasis on accountability has required within a region are also heavily influ- us to more honestly examine both our enced by the presence of individuals with successes and our limitations. college degrees. By 2020, two-thirds of all Among the most urgent issues we jobs in the U.S. are forecast to require a face as public universities are the rate of post-secondary degree or credential (A baccalaureate degree completion and Stronger Nation, 2015; America Needs time to degree. Nationally, just over half Talent, 2015). Thus, it remains true that of students entering four-year institu- higher education – and significantly the tions earn their degrees within six years. attainment of the degree – is a powerful Students from diverse backgrounds, in- influence on both personal and societal cluding students who are the first in their advancement. family to attend college and students Despite these well-documented ben- from low-income backgrounds, are even efits, degree completion remains elusive less likely to leave college with the degree for large segments of the U.S. population. they sought. For the institutions partici- Nationally, about 40% of adults ages 25- pating in the 2015 Merrill conference, six- 64 have attained a post-secondary cre- year completion ranged from 64% to dential (certificate, associates or bacca- roughly 79%. One or two of every five laureate degree), with only 34% complet- students beginning college at our institu- ing the bachelor’s degree (National Cen- tions leaves without earning the bacca- ter for Education Statistics, 2015). The laureate. percentage of individuals from un- The completion of the baccalaureate derrepresented backgrounds earning degree has a transformative influence on baccalaureate degrees in the U.S. is signif- well-being and quality of life. Degree icantly lower; for example, only 15% of completers have higher incomes and U.S. Hispanic adults has earned a bache- lower likelihood of unemployment and lor’s degree (NCES, 2015). poverty, as well as a stronger sense of For decades, public research univer- meaning and purpose in their work lives sities have focused on enabling access for (Pew Education Research, 2014). During talented students independent of their the most recent recession, four of every backgrounds, the visionary “right to rise” five jobs lost involved a person without a emphasis of the Morrill Act. In the 21st post-secondary credential. Perhaps most century, this noble vision is incomplete surprising is that individuals who have without parallel emphasis on completion. some college but no degree experience lit- This expanded emphasis is imperative tle benefit over their peers whose formal for the renewal, relevance and continued education concludes with high school; in vitality of the public research university. contrast, the difference in outcomes for Public research universities have a those who complete the baccalaureate, distinctive and exceptional opportunity

2 to address the completion challenge. In ACCESS U, that engages them in both in- addition to large scale and scope of influ- stitutions with planning for completion ence, our missions of research and crea- from the beginning of their college ca- tive discovery, of innovation and engage- reers. ACCESS U students have academic ment, afford us unique strategies and tac- advisors and student success advocates tics to promote persistence and comple- in both institutions, and take at one tion. How can public research universi- course per semester from the U during ties, particularly those who add value the time that they are enrolled at SLCC. through a less highly selective student The concept is a welcoming, seamless ap- population, improve attainment rates? proach to college through two different How can we enlist the special attributes institutions, with a completion plan from of our institutions to advance undergrad- the outset. The goal of the program is to uate student success? prevent the loss of many talented stu- Four Strategies for Fulfilling Our dents who begin at a community college Promise as Public Research Universities with the aim of the baccalaureate, but 1. Expand Pathways to Completion who ultimately do not successfully make We have long approached under- the transition. graduate education as if there was a sin- Pathway programs with varied fea- gle path to success: recruit talented high tures exist at several institutions, includ- school students who are emotionally and ing the University of Illinois and Clem- intellectually connected to our residential son University. Key features of impactful institutions and engage these students for programs are the coordination and com- four-year plans of study through comple- munication of efforts across community tion. This traditional model applies to a colleges and four-year institutions, the segment of our students, but has not held simultaneous rather than sequential ap- true for many undergraduates and seems proach of traditional transfer, and the fo- even less applicable given the advent of cus on a shared Plan-To-Finish from the new competitors, online educational op- outset. tions, and the lower-cost attraction of 2. Exploit the Linkage of Research two-year community colleges for many and Education students who ultimately aim to attain the Perhaps the most obvious oppor- baccalaureate. Creative, proactive mod- tunity we have as research universities is els of pathways to completion are needed to to integrally connect undergraduates better match our present reality and ef- with our scholarly efforts. We believe fectively meet student needs. that scholarship informs teaching, and in A variety of pathway models are in turn, that educational efforts enlighten development across the nation. At the and enliven scholarship. Furthermore, University of Utah, we are working with we espouse that learning from scholars our partner institution, Salt Lake Com- who are active in the generation of munity College, to direct prospective U knowledge – and the opportunity to take students who would be well-served by part in the generation of knowledge – is starting at SLCC to a shared program, what makes for vibrant undergraduate education. We certainly articulate this in

3 student recruitment efforts as the funda- learning through research, opportu- mental rationale for choosing a public re- nities otherwise inaccessible. search institution over other higher edu- • As we have expanded access to learn- cation options. In reality, though, rela- ing abroad through new mechanisms, tively few undergraduates are engaged such as one- to two-week interna- in the generation of knowledge, and an tional experiences linked to courses, even smaller number are closely con- we might similarly devise ways to en- nected with faculty scholarship. It seems able every undergraduate to connect likely that first-generation students, espe- directly to the research enterprise at cially students who are working many some level, rather than maintaining a hours per week to finance their educa- one-size-fits all ideal. tion, are even less likely to benefit from • Virtually all of our institutions are en- the deep learning experience that can gaged in cluster hiring of faculty to come from involvement with research. strengthen our ability to solve urgent We also know that students who feel that societal problems, areas that cross de- they belong in a university are more partmental and college boundaries, likely to persist (Strayhorn, 2012); it’s dif- such as climate and water, behavioral ficult to imagine a better way to “belong” health, and sustaining biodiversity. at a research university than to be part of These areas are ideal for undergradu- research. How can we enable more stu- ate participation given the visibility dents to connect with their education and impact of the scholarship. As through research? Can we make this a funding is provided to support clus- part of the larger completion agenda? ters, small amounts of supplemental Many of us became interested in funding could be made available to scholarship through research with a fac- allow undergraduates to participate ulty member who demonstrated an inter- in these research efforts. Seed fund- est in our success and/or our potential. ing could enable success with larger The traditional approach of volunteering external support in these strategic ar- in a faculty research activity continues to eas. be valuable, but it cannot be the only way 3. Employ Data Analytics to Increase that research universities create opportu- Student Success nities for students to connect with the in- Large public universities have a stitution or to link education and scholar- wealth of data, largely unexamined, that ship. Three extensions of the traditional can inform our efforts to increase persis- model may enable broader participation tence and completion. We have hundreds in research. of thousands of cases from which de- • For undergraduates who are working scription and prediction of student suc- to pay for education, creating a work- cess can be analyzed, from student char- study type model specifically dedi- acteristics at the beginning of college to cated to compensate students for time course and program enrollment and se- spent with faculty on scholarship can quencing, from student engagement on open the door of opportunity and campus to student use of a learning man- agement system. Detailed data analytics

4 are perhaps the most promising element creating a sense of community and be- of the portfolio available to large research longing for students, and aligning our ac- universities for increasing completion. tions, interventions and resources ac- Many institutions are beginning to cordingly. The potential to improve out- realize the potential of data analytics to comes through analytics and innovative drive change and improve outcomes for tools that move from data to information students. A few insights from this work is significant. are offered here. At the University of 4. Extend Innovation and Entrepre- Utah, we have discovered that students neurship to Undergraduates who complete within six years perform Many public research universities differently in their academic work begin- identify technology transfer, entrepre- ning in the first semester, relative to those neurship and economic development as a who do not complete within six years. In fourth element of their missions, in con- concert with demographic characteristics cert with scholarship, education and en- and other relevant variables – such as liv- gagement. Yet the integration of this ing in the campus housing and enrolling component of our work with the student full-time, both positively associated with experience, as a tool to promote student completion - we are using first semester engagement through completion, has performance to create a “success index” been relatively unexplored. We attract and assertively engaging students from and serve many students with entrepre- the beginning of college with a Student neurial interests and creativity. These Success Advocate (a new position created students may major in any field but share to promote completion and engagement an interest in using their university expe- with the institution). Without the Student rience, while working toward their de- Success Advocates, we did not have the grees, to make something new, create a personnel in place to optimize data ana- technology, solve a problem, improve a lytics. We’ve learned that some combina- service or launch a company. Can we ex- tions of courses in the first year are more tend the university mission of innovation and less likely to be associated with com- and entrepreneurship to undergraduates, pletion (e.g., advanced writing and chem- as a strategy to both attract creative and istry are a “poison pair” for freshmen, as- talented students, and to actively engage sociated with lower overall academic per- these students through the completion of formance). And we’ve learned that we their degrees? can better serve some students through a We are exploring this possibility at pathways program in partnership with a the University of Utah, with the support community college, as outlined above. of a lead donor and other investors, As we improve our analytic capabil- through the creation of a unique resi- ities, we gain in our effectiveness in dence-maker-entrepreneur space. The providing timely guidance to students. In Lassonde Studios will incorporate space parallel, we are learning about what mat- for 400 student residences, in a variety of ters most in persistence, whether finan- types from small individual “pods” to cial assistance, academic guidance, or more traditional residence space, to large lofts for groups of students. The Studio

also houses a 20,000-square-foot “gar- and educating individuals prepared for age” for students from any major on cam- lives of impact as leaders and citizens. In pus to make prototypes, launch compa- the latter endeavor, we have the oppor- nies, or learn through presentations. The tunity and the duty to leverage our facility, particularly the garage, will be strengths as research universities to ex- the hub for innovators, makers and entre- tend our focus from access to our institu- preneurs. The garage is located on the tions to completion of the baccalaureate ground floor of the building, and will in- degree for every talented undergraduate corporate the tools necessary for student student we recruit. entrepreneurs to collaborate and begin their projects, including 3-D printers, co- References: 1. Carnevale, A. P., Rose, S. J., & Cheah, B. work space, prototyping tools and more. (2011). The College Payoff: Education, The Lassonde Studios are part of a larger Occupation and Lifetime Earnings. vision, the Lassonde Institute. The insti- Georgetown University Center on Edu- cation and the Workforce. tute provides opportunities for under- https://cew.georgetown.edu/report/the- graduates, graduate students, and faculty college-payoff/ to learn about entrepreneurship, venture 2. Lumina Foundation (2015). America Needs Talent. https://www.luminafoun- development and launching companies. dation.org/ See http://lassonde.utah.edu/directory 3. Lumina Foundation (2015). A Stronger for additional information. Nation Through Higher Education. https://www.luminafounda- As this vision progresses to reality, tion.org/stronger_nation we plan to monitor the college trajecto- 4. National Center for Education Statistics (2015). The Condition of Education. ries of undergraduates who live in the http://nces.ed.gov/programs/coe/ Lassonde Studios, participate there in 5. Pew Research Center (2014). The Rising learning opportunities, and utilize the Cost of Not Going to College. http://www.pewsocial- maker and entrepreneurial spaces in the trends.org/2014/02/11/the-rising-cost-of- garage. It is our hope that the type of en- not-going-to-college/ gaged learning that will take place in this 6. Strayhorn, T. (2012). College Students' Sense of Belonging: A Key to Educa- space will be associated with increased tional Success for All Students. New persistence and completion. York: Routledge. Summary 7. The Lincoln Project: Excellence and Ac- cess in Public Higher Education (2015). As public research universities, we Public Research Universities: Why They continually seek balance between our re- Matter. A Publication of the American Academy of Arts and Sciences. sponsibilities as the institutions charged

with the generation and dissemination of knowledge and our duties in engaging

Reinforcing the Translational Bridge: Realizing the True Promise of Research Innovations

Alexandra Thomas, MD, FACP, University of Iowa

n 2005 Elias A. Zerhouni, then director of the National Institutes of Health published a seminal essay, “Translational and Clinical Science – Time for a New Vi- Ision” in the New England Journal of Medicine.1 This work challenged stakeholders in the scientific enterprise to consider new models to “translate the remarkable scientific innovations we are witnessing into health gains for the nation.” Since then debate has continued regarding how best to realize the potential of true translational work. While gains have certainly been made, historic, structural and philosophic hurdles persist which prevent us from fully achieving this promise. Clinical Faculty Perspective work includes work investigating novel With this background, I offer one agents to treat chemotherapy-induced perspective, that of a clinical faculty neuropathy and studies looking at new member at a large public institution who circulating serum markers of breast can- has also recently served as a leader of the cer. elected faculty body at the University of Research I direct involves a collabo- Iowa, on areas we might target as we try ration of faculty from the Colleges of to take bench-top discoveries to the bed- Medicine, Pharmacology and Public side or the clinic. A significant portion of Health with the objective of utilizing the my professional time is spent on direct SEER (Surveillance, Epidemiology, and patient care. This indeed is what drives End Results program of the National my goal of participating in the conversa- Cancer Institute) data and other data tion of how we can provide ever-better sources to address questions related to care for patients with breast cancer and breast cancer treatment and outcomes. ultimately for all patients. My personal work seeks to answer ques- My personal research spans several tions which directly pertain to our pa- areas. At my institution I lead federally tients, and looks at issues that we find funded clinical trials in my discipline of frustrating in the clinic. Finally, I initiated breast oncology. I also direct industry and serve as the principal investigator for funded clinical trials and partner with la- the University of Iowa Breast Molecular boratory investigators to bring investiga- Epidemiologic Resource, which is a pro- tor-initiated studies to the clinic. One spective study of tissue and epidemio- study which is currently open for enroll- logic data for individuals who are at high ment looks at the role of inhibiting the risk for or are diagnosed with a prolifera- RET receptor in hormone receptor positive disorder of breast tissue. As of March tive breast cancer. Other translational 2015 over 1,000 patients have enrolled in

7 this registry. This has served as a re- Some argue that clinical research or in- source for bench investigators looking at cluding clinicians in research dilutes the a variety of questions in breast cancer. rigor of academic work. Notable recent externally funded work However, fully including clinicians includes examining obesity, inflamma- in investigations is critical on several in- tion and breast cancer and a study look- creasingly important fronts. Fundamen- ing at the role of novel fusion transcripts tal research which is linked to applied re- in breast cancer. search is more readily supported by the There are many areas that we might, public. Importantly, engaging those de- as a community, elect to focus on to truly livering the products of bench top inves- harness the potential of translational re- tigations to patients further provides the search. With the lens that I bring to clini- opportunity for clinicians to bring back to cal research and the healthcare enter- their laboratory colleagues the pertinent, prise, I put forth three areas that we could unanswered questions. This two-way di- invest in to more completely produce alogue is vital to making contemporary healthcare gains for society: reward all medical research relevant. Opportunities members on the bridge from the labora- to fortify this communication and value tory to the clinic, support and sustain all members of the translational bridge women in science, engage society. We include encouraging diverse research might further consider that we, at public portfolios, reconsidering what is valued universities in the Midwest, in certain in promotion and tenure and revisiting ways are uniquely situated to act on these how awards and leadership roles are dis- opportunities based on our rich tradi- tributed. tions of community and collaboration. Support and Sustain Women in Sci- Reward All Members on the Trans- ence: Some might argue that women lational Bridge from the Laboratory to have made great advances in participat- the Clinic: Since the 2005 statement by ing in the scientific enterprise. However, the National Institutes of Health Director, the barriers to fully including women re- scientific leaders have worked to em- main. We really need to look no further brace this model. An entire body of liter- than the very recent comments by Nobel ature has evolved on “team science” Laureate Tim Hunt who stated, “...let me which focuses on collaboration from tell you about my trouble with bench to bedside or clinic as well as in girls...three things happen when they are cross-disciplinary work and cross-insti- in the lab. You fall in love with them, they tutional work. Some have shown that fall in love with you, and when you criti- while such coordination can have a lead- cize them, they cry.”3 In 2013 Nature ded- time, it ultimately demonstrates higher icated an entire issue to the topic of productivity with regard to publications women in science. This publication was and inclusion of many co-authors.2 How- dedicated to a long-time editor Maxine ever meaningful opportunities for re- Clarke who for years was known for her spect of all contributions still exist. Tradi- high scientific standards and for asking, tional hierarchies in education persist. “Where are the women?”

8 Supporting and sustaining women gage society to garner support for the vi- in science is critical, as ultimately unless tal work of discovery. I am able to deliver women are equal partners, society will be novel life-saving therapies to women to- deprived of this intellectual resource. A day that were not available just a few myriad of opportunities exist to fully in- years ago. Perhaps our community clude women in our work. Important ad- should more regularly showcase these in- vances would include rewarding women credible successes in ways that speak to equally. Equal pay and comparable non-scientists? What about the other side recognition with awards still needs to be of this story, when we use the societal re- attained. We also need to make science sources we are given poorly. Some in ac- and the environments in which it is prac- ademia have criticized the Golden Fleece ticed comfortable for women. Do we award, arguing that to succeed we need need to feminize science? No. Perhaps to have failures. Perhaps this is true to more aptly we could allow practicing sci- some extent, however the days of fund- ence to be feminine. I would argue that in ing, philanthropic or governmental, for breast oncology, I have found a discipline clearly irrelevant research are over. To which can have a very feminine aspect to maintain credibility with society we must it – can we expand that to allow it as part be excellent stewards of public and pri- of other fields, would that help lung can- vate resources. We must show society, in cer and colon cancer patients? What language they understand, that what about research in technology fields? Fi- they award us helps overcome disease, nally, we could better understand career hunger, poverty and leads to a better breaks for having a family (which also ul- quality of life. timately helps men on a variety of levels) In engaging society with our work, and proportionally give credit as one we have another opportunity to collabo- young scientist recently describes.4 In this rate across the translational bridge. Scien- we are asking science to support families, tists need to articulate the value of their which further ensures our sustainability work – but can also collaborate here with and helps all stakeholders. their clinical colleagues– who sit at the Engage Society: The eloquent Har- nexus with the public and directly under- vard scientist Stephen Jay Gould who stand the value of scientific advances. We could magnetically draw the public to should use resources wisely and with re- science explained his skill once stating, spect and take opportunities to showcase “So many scientists think that once they meaningful, transformative research in- figure it out, that's all they have to do, novations. This means when the media and writing it up is just a chore. I never calls, embrace the chance to discuss our saw it that way. Part of the art of any kind projects. While this is not innately com- of total scholarship is to say it well.”5 Per- fortable for many of us, perhaps we haps at no time has this ability to tell our should strive to make it more a part of story been more relevant than today, our culture, especially at public universi- when funding is short and we need to en- ties.

9 Conclusion goals of better health outcomes and im- The prospect of better realizing re- proved global quality of life held by all search innovations at the forefront of sci- stakeholders in the research enterprise ence holds immense promise for im- can help move us collectively toward this proved health and social outcomes. As vision. Dr. Zerhouni wrote, “We now aim to stimulate the development of a brighter References: vision for translational and clinical re- 1. Zerhouni EA. Translational and clinical science--time for a new vision. The New search, to ensure that these disciplines re- England journal of medicine. Oct 13 main powerful engines of creativity.” I 2005;353(15):1621-1623. have tried to outline several achievable, 2. Hall KL, Stokols D, Stipelman BA, et al. and also imperative opportunities to Assessing the value of team science: a come closer to fully attaining this goal. study comparing center- and Undoubtedly some barriers will need to investigator-initiated grants. Am. J. Prev. be removed, as again Dr. Zerhouni out- Med. Feb 2012;42(2):157-163. lined: “...the NIH has the responsibility to 3. Lecturer who revealed Sir Tim Hunt's work toward dissolving the artificial bar- 'sexist' comments says she has no regrets about costing the Nobel Prize winner his riers that inevitably spring up...We perse- job. The Daily Mail. June 25, 2015. vere in our determination to provide op- 4. Nicholson E. Accounting for career portunities for the research community breaks. Science. May 15 and to challenge the status quo in trans- 2015;348(6236):830. formative ways.” Certainly, the shared 5. Green M. Stephen Jay Gould. People. Vol 25, June 2,1986.

Building a translational research program in Neurotology at University of Kansas Medical Center

Hinrich Staecker, David and Marilyn Zamierowski Professor, Dept. of Otolaryngology, University of Kansas Medical Center Kevin Sykes, Director of Clinical Research, Head and Neck Surgery, University of Kansas Medical Center

ranslational research has been a common catchword in the NIH's effort to turn basic research into solutions for clinical problems. Despite a range of very suc- Tcessful programs in a range of medical specialties, the effort has not been largely successful for translational research of inner ear issues. Clinical otology currently suf- fers from a complete lack of medications to treat what really are amongst the most common neurodegenerative problems in man. Sensorineural hearing loss is almost ubiquitous by age 70 and vertigo represents one of the most common causes of primary care visits in the United States. Compared to a similar organ system, hearing loss, cochlear implantation) as a the eye, there has been little true transla- means to restore hearing. Both of these tional research despite years of basic sci- are helpful but not ideal solutions to this ence research and little understanding very common problem. Development of within our clinical subspecialty of how to medications for inner ear disease has actually make this happen. To most, been slow due to inability to biopsy the translational research means disease re- inner ear for analysis and the lack of cor- search within an animal model. In this relation between clinical hearing and ves- paper we will review our pathway to tibular testing and site of lesion within build a hearing and balance research in- the inner ear. Additionally it is only very frastructure within the department of recently that genetic testing has been Otolaryngology Head and Neck Surgery available that can identify congenital or at the University of Kansas Medical Cen- adult onset progressive hearing losses ter, and how we used that infrastructure (Shearer, DeLuca et al. 2010). to translate ongoing gene therapy re- Compared to other organ systems search into human clinical trials. pathologic evaluation of human ear tis- The World Health Organization re- sue is complex. What we know is derived cently recognized the burden of hearing from human temporal bones that have loss and estimates that 5% of the world’s undergone decalcification and histologic population is disabled by this condition evaluation often years after the active dis- (http://www.who.int/mediacentre/fact- ease process is passed. The biology of the sheets/fs300/en/). Currently we are lim- inner ear is complex and drugs that affect ited to amplification (or in case of severe in ear function often will also affect the 11 central nervous system, making systemi- be a target for a translational research cally delivered medications difficult to program. apply. Basic science research has focused, When the project was undergoing its broadly speaking, on several different re- initial development phase we decided to search strategies with translational po- target balance disorders caused by ami- tential. These include delivery of growth noglycoside ototoxicity. Patients who re- factors to maintain our ganglion integ- ceived gentamicin or other aminoglyco- rity, use of antioxidants are process fac- sides for severe infections often end up tors to protect the interview trauma and with bilateral vestibular hypofunction hair cell regeneration. despite adequate monitoring of blood Our lab has largely focused on the aminoglycoside levels. Since we know development of gene therapy technology the mechanism by which aminoglyco- for inner ear applications to help imple- sides damaged hair cells, a patient with ment some discovery research going on loss of vestibular function with a history in numerous other research groups. One of aminoglycoside usage can be identi- of the relative advantages of the inner ear fied as a target for hair cell regeneration. is that it can be locally accessed. Drugs An additional advantage of targeting the can be delivered through the middle ear vestibular system is that there is no coch- with diffusion of substances through the lear implant equivalent yet. round window or through the stapedio- Despite early successes in regenerat- vestibular ligament or when larger mole- ing hair cells in animal models of both cules are involved, through direct injec- hearing loss and vestibular dysfunction, tion into the inner ear. When we were in- numerous hurdles remained in the devel- itially looking for a translational research opment process. Moving a drug candi- project to undertake, hair regeneration date forward required calculation of dose was an easy target since we have a quan- response curves and understanding of tifiable outcomes measure, namely the the dosing relationships within the lim- number of regenerated hair cells pro- ited space of the inner ear. Additionally, duced which could then be correlated to analysis of potential downstream compli- hearing or balance function. The molec- cations and longevity of regenerated hair ular basis of hair cell regeneration has cells had to be conducted. Animal hair been established for a number of years. cell loss models and drug delivery mod- The transcription factor atonal/atoh1 is els had to be modified so that they could responsible for genesis of hair cells dur- be used in contract research organiza- ing development in vertebrates. Multiple tions where repeated experiments using researchers have demonstrated that the GMP developed vector and GLP prac- overexpression of atoh1 results in genesis tices could be carried out. The record- of hair cells that are innervated and show keeping and expense associated with this recovery of function in mammalian mod- is generally outside of the ability of the els of ototoxicity(Baker, Brough et al. basic research lab. Funding of these type 2009). Delivery of atoh1 therefore could of experiments is difficult, since it is not really discovery research and many

12 study sections think that this type of re- tients. The establishment of the hearing clin- search should be done by pharmaceutical ical trial program was overseeing by Kevin companies. However, pharmaceutical Sykes (co-author). He had an appointment companies will not pick up a potential to the institutional review board (IRB) and product until this type of data is available initially oversaw integrity data collection to them at least in an early form. and managed contacts. Our experience with In parallel to drug development efforts running device trials and having infrastruc- we had to establish a program for conduct- ture in place for hearing testing and a full- ing clinical trials for inner ear disorders. time liaison to the research office allowed us Most clinical trial organizations or sections to attract early-stage drug clinical trials for within the university hospital where clinical tinnitus and Ménière’s disease. We then trials are conducted lack the ability to evalu- added a research fellow, generally a student ate hearing and balance disorders. This is who had completed college and wanted to mainly due to the complex equipment and spend a year in clinical research, to help infrastructure needed to perform these manage the growing number of patients. In types of evaluations. As always, putting 2012 we hired a full-time research nurse new infrastructure in place requires fund- which was needed to launch the gene ther- ing. We set out to establish a hearing clinical apy clinical trial. The growth in income from trials program in 2007. Our initial efforts tar- otology clinical trials during this time is geted device trials such as cochlear implants shown in Figure 1. and implantable hearing aids. This pro- In addition to covering the otology vided the funding to cover the cost of an au- trials, putting clinical trial infrastructure diologist to perform testing and screen pa- into place has also opened opportunities

Otology Clinical Research Revenue by Year

$350,000

$300,824 $300,000 $291,868 $250,000

$200,000

$150,000

$100,000

$50,000 $35,384 $38,040 $22,720 $39,924 $38,540 $21,424 $0 $11,573 2007 2008 2009 2010 2011 2012 2013 2014 2015

Figure 1: Income derived from the KU Otology clinical trial program over time. 13 for other subspecialties within otolaryn- private institutions that make money gology to provide clinical trials and bring from clinical trials. in income to grow the academic mission. Most of the private providers of Establishing an infrastructure for com- these services focus on straightforward plex trials such as inner ear gene therapy internal medicine type clinical trials and is vital, since these are high-risk trials that are competitive because of lower over- require time-consuming applications to head costs and more straightforward the institutional IRB and prolonged con- contract negotiations with the sponsor. tract negotiations with the trial sponsor. Many of these institutions also use pri- Additional staffing is also required to vate IRBs which are often more straight- manage the flow of patients. Our current forward to navigate than a University gene therapy trial requires two pretreat- IRB. The advantage of being an academic ment visits and monthly visits for six center is that we have a large base of pa- months after delivery of the drug. Each of tients with a number of rare diseases, and these visits takes two days, therefore have infrastructure to support the testing scheduling and ensuring that audiologi- and treatment of these diseases. This is cal resources are available, especially true not only of neurotology but other when patients start to overlap, is im- subspecialties as well. Establishment of a portant. All of this cannot be done by a successful translational research program lone clinician. requires a track record and most of all, an Having put a hearing research pro- experienced and dedicated support gram together, we are now able to attract structure. the interest of both preclinical and clinical References stage research programs. The basic sci- Baker, K., D. E. Brough and H. Staecker ence lab has a subcontract with an early (2009). "Repair of the vestibular system stage pharmaceutical company that is via adenovector delivery of Atoh1: a looking at our expertise in animal model- potential treatment for balance ing to test a new nano particle for drug disorders." Adv Otorhinolaryngol 66: 52- delivery to the middle ear space. The clin- 63. Shearer, A. E., A. P. DeLuca, M. S. ical research unit is now involved with Hildebrand, K. R. Taylor, J. Gurrola, 2nd, two new phase 3 trials for tinnitus and for S. Scherer, T. E. Scheetz and R. J. Smith Ménière’s disease. It is only due to our (2010). "Comprehensive genetic testing publication record and our track record for hereditary hearing loss using of working with several contract research massively parallel sequencing." Proc Natl organization and being able to provide Acad Sci U S A 107(49): 21104-21109. clinical material for a number of trials that we are able to do this. Academic institutions generally cannot compete with

14 Barriers to Clinical and Translational Research and Challenges of Investigator Initiated Multi-Center Clinical Trials

Laura Herbelin, BSc, CCRP – Research Instructor, Dept. of Neurology, University of Kansas Medical Center Richard Barohn, M.D., Chairman, Dept. of Neurology; Gertrude and Dewey Ziegler Professor of Neurology; University Distinguished Professor; Vice Chancellor for Research; President, Research Institute, University of Kansas Medical Center

e have identified 10 barriers to overcome to conduct clinical translational research: 1) an idea, 2) interest/desire, 3) talent, 4) training, 5) time, 6) a team, W7) regulatory support, 8) space, 9) money and 10) subjects or study participants. We discuss the essential elements in overcoming these barriers, including programs initiated at KUMC for training and conducting clinical translational research. We also discuss challenges related to organizing and running a multicenter investigator initiated trial. Spectrum of Translational Research usually this study involves less than 100 Translational research has now been patients and depending on the popula- divided into at least four categories. T1 tion can be a single site or a multicenter research (Translation to Humans), in- trial. FDA Phase 3 trials are classified as a volves pre-clinical animal studies, first in pivotal efficacy trial. These trials are human safety, tolerability and pharmaco- large and often multicenter. The focus in kinetics studies. These first in human tri- T2 research is both on safety and efficacy. als are conducted first in a normal popu- T3 step is the Translation to Practice. lation but often that is carried over into a The focus of T3 research is ‘getting the population that the compound is target- word out’ and putting that medication, ing. The focus of this phase is discovery procedure or behavioral intervention into and safety. This corresponds to FDA practice, or implementation, dissemina- Phase I trials. tion and communication. In FDA terms, The T2 research (Translation to Pa- this is called post marketing Phase 4 re- tients) involves clinical trials that exam- search. ine the effects of medication on a defined The next step is T4, Translation to population. T2 research encompasses Populations phase. These are usually FDA categories of both Phase 2 and Phase community studies, policy studies and 3 trials. FDA defines Phase 2 trial as a trial population outcome studies. The focus of in which preliminary efficacy data with this final phase is to improve population additional safety data is obtained. This health. There is no FDA Phase equivalent 15 to T4 research. Finally, T5 research has 6) a team, 7) regulatory support, 8) space, sometimes been used to describe interna- 9) money and 10) subjects or study partic- tional medical research. ipants. Translational science refers to the Tools to overcome these barriers are study of methods in order to do transla- available through multiple resources at tional research. This is a new concept that medical centers, but the NIH/NCATS the NIH is now emphasizing. For exam- Clinical and Translational Science Award ple, comparing different types of recruit- (CTSA) program is foremost in supplying ment tools to see which is most effective these infrastructures to do CTR. At KU would be considered translational sci- and in our Kansas City region our CTSA ence. program is called Frontiers, the Heart-

Figure 1: Spectrum of Translational Research

Barriers (and Essentials) to Clinical land Institute for Clinical and Transla- and Translation Research tional Research. What barriers do investigators face We successfully overcame these bar- in attempting to conduct clinical/transla- riers in conducting several multi-center tional research? We have identified 10 trials. We have recently coordinated and barriers that investigators must over- completed the following FDA Phase 2 come for a successful study. In essence (T2) studies: there are also essential strategies because • Therapeutic Trial of Mexiletine in Non- if you do not have them, you cannot over- Dystrophic Myotonia FDA-IND # come the barriers to initiate and conduct 77,021(FDAOOPD – RO1-FD003454)1 Clinical Translation Research (CTR). To • Safety and Tolerability Trial of Arimo- do CTR, you must have 1) an idea, 2) in- clomol for Sporadic Inclusion Body Myo- terest/desire, 3) talent, 4) training, 5) time, sitis FDA-IND # 76,7732

16 • Phase II Trial of Methotrexate in Myas- thy FDA-IND #126318 (Investigator In- thenia Gravis FDAIND #101,306 itiated - Pharmaceutical funded) – no (FDAOOPD – RO1-FD003538)3 clinicaltrials.gov assigned yet • A Multi-Center Screening Trial of Safety • Phase II Study of Arimoclomol in IBM and Efficacy of Rasagiline in Subjects FDA-IND # 76,773 (FDAOOPD- with Amyotrophic Lateral Sclerosis RO1FD004809) – no clinicaltrials.gov (ALS) FDA-IND 104,3604 assigned yet Only the mexiletine was a positive The funding agencies for these trials trial showing a definite benefit of the have been the FDA Orphan Products Di- drug, for muscle stiffness in patients with vision (which funds rare disease re- rare genetic sodium or chloride mutation. search), the new Patient Center for Out- Even in trials which do not have a “posi- comes Research Institute (PCORI); and tive” result in favor of the drug, we learn industry, through their investigator initi- a great deal of information regarding the ated grant programs. Let’s examine the CTR process by performing such studies. barriers mentioned above and how we It is essential to publish results of nega- overcame them. tive or indeterminate trials so that health Barriers/Essentials to doing Multi- caregivers and patients can be informed. Center Trials: Interest/Talent/ By law, it is now required to enter all data Time/Training on a trial when it is complete and in clin- Dr. Francis Collins, Director of the icaltrials.gov. It is required to register all National Institutes of Health spoke at the trials in clinicaltrials.gov at the start of a Association for Clinical and Translational study and then to put the final data Science (ACTS) meeting in 2015. He re- online. ported that there was a crisis in the num- We are currently coordinating the ber of physicians doing research. How do following multicenter trials: you convince young faculty to include re- • Phase 2 Study of Rasagiline for Treat- search in their career path and how do ment of Amyotrophic Lateral Sclerosis you train young physicians to conduct re- FDA IND# 104,360 (FDAOOPD-R01- search? FD003739)5 The traditional MD/PhD pathway • Patient Assisted Intervention for Neu- usually does not lead medical students to ropathy: Comparison of Treatment in CTR and clinical trials. Rather these stu- Real Life Situations (PAIN-CONTRoLS) dents generally focus on early T1 labora- (CER-1306-02496) – a FDA Phase 4/T3 tory research. We believe that MD/PhD comparative effectiveness study.6 programs should be modified so that the • Open Label study of subcutaneous immu- PhD can be obtained in CTR. This is cur- noglobulin (SCIg) in myasthenia gravis rently being done at a few medical FDA-IND #: 15927 (Investigator Initi- schools but it may be the best pathway to ated - Pharmaceutical funded)7 get a study early in their career to pursue • Pilot Study of Acthar® Gel in Chronic CTR post residency. Inflammatory Demyelinating Neuropa- Currently in Frontiers, our NIH CTSA program, we do have a training

17 program (TL1) where a medical student trials complete and pass online Good takes a year between their first and sec- Clinical Practice (GCP) training. This will ond year to do a CTR research project become the new floor for training investi- with a mentor and obtain a Master of Sci- gators and coordinators conducting tri- ence in Clinical Research. Our TL1 pro- als. In the second phase of this initiative gram is open to Medical, Dental and competency requirements for conducting Pharm D students but we have limited clinical trials are being developed and ad- funds and train only four per year. To ditional training towards these compe- date we have had 16 students go through tencies will be proposed. This process is Frontiers TL1 program. Therefore, the expanding on an earlier joint task force number of students that can participate on clinical trial competencies.8 In addi- each year are few, but it does allow a se- tion, the NCATS/CTSA Workforce Devel- lective number of students their first opment Task Force (Richard Barohn co- foray into CTR. The MS-CR program is 33 chair), is starting to develop these new credit hours with the student thesis as the courses for clinical trials research, and project. other training modules including one for Unfortunately, historically much of community-engaged research. the training for CTR has been on the job As mentioned above, the majority of and occurs during fellowship or junior training that young investigators obtain faculty years for MDs/DOs. Through is through on-the-job training. Usually Frontiers, we have designed a core of 16 the young faculty or student will have a introductory lectures (Introduction to senior clinical investigator to serve as a Clinical Research) that we encourage mentor and the training is accomplished medical students, residents, fellows and through this mentorship. The following PhD doctoral students to take. This is of- is an example from research project, fered every Thursday night in a 1.5 hr Therapeutic Trial of Mexiletine in Non- seminar each fall. For those interested in Dystrophic Myotonia. Jeff Statland MD further education in CTR, they can take became involved with Dr. Barohn on this the courses that the TL-1 students take project immediately following medical over a longer time, 1 or 2 courses a semes- school and throughout his neurology res- ter. They can therefore obtain their MS- idency. This is unusual for a resident to CR over 2 to 5 years. This is often done by be so actively involved in a multicenter junior faculty. clinical trial. Dr. Statland ended up be- There are some new CTR training ac- coming the first author of the paper pub- tivities at NIH/NCATS. One has come lished in JAMA.9 He then did a NIH through a CTSA grant, Enhancing Clini- funded Clinical Neurotherapeutics T32 cal Research Professionals’ Training and Fellowship at the University of Rochester Qualifications (ECRPTQ), in which Tom and he is now on faculty in the Depart- Shanley, MD and Richard Barohn, MD ment of Neurology at KUMC where he is are PIs. As a result of the ECRPTQ effort, designing and implementing neuromus- it is now recommended that all investiga- cular trials. He is a KL2 scholar on the tors and coordinators involved in clinical

18 Frontiers CTSA NIH grant and he is men- A large team is required to conduct a toring studies, fellows, residents and jun- clinical trial whether single site or multi- ior faculty on CTR. site. Team members needed include but Additional barriers facing young in- may not be limited to: principal investi- vestigators is finding time from clinical gator, co-investigators for each site and teaching duties to participate in clin- (blinded and unblinded), project man- ical research. There is a salary discrep- ager, study coordinators, clinical evalua- ancy between clinical income and income tors, biostatisticians, data manager/infor- from research work. This is not a new matics, research pharmacy, labora- problem. Dr. Francis Collins showed at tory/radiology personnel, budget/con- the ACTS meeting in 2015 an article writ- tracts, Internal Review Board (IRB), Data ten by him in 1991 regarding titled Physi- Safety Monitoring Board (DSMB)/Safety cian-Scientists: A Vanishing Breed in Monitors, patient advocacy groups, pa- which he talks about the vanishing re- tients (to serve on study design and im- searcher and this income discrepancy.10 plementation committees) and external Dr. Christopher Austin, Director of monitors. It is daunting to gather all of NCATS, frequently emphasizes that we the team members, but just as daunting is need a way to train and maintain careers coming up with the finances to pay for of all researchers, whether they be full the team. time principal investigators or team play- Barriers/Essentials to doing Multi- ers who do mainly clinical work but serve Center Trials: Sites on Team as co-investigators on trials. Analogies Another barrier that is essential to can be made to other fields, such as the overcome is determining which sites will quarterback and linebackers in football, be members of the study team. Many or the conductor and 2nd violinist in a clinical trials require multiple sites, espe- symphony, or the prima ballerina and cially in rare disease research (the focus sugar plum fairies in ballet. It is a chal- of our research), in which recruitment is lenge for both the leaders and essential a challenge due to the rarity of patients. team members to train and then remain Those sites chosen will become the sites involved in CTR. in the trial where patients will be enrolled Barriers/Essentials to doing Multi- and placed on the study drug and fol- Center Trials: Team Approach lowed throughout the study. As a leader ‘No man is an island, Entire of itself, of a multicenter trial, it is important to Every man is a piece of the continent, A part learn how to find and choose sites. of the main. If a clod be washed away by the On a current study that we are re- sea, Europe is the less. As well as if a prom- cruiting for, Patient-Assisted Investiga- ontory were. As well as if a manor of thy tion of Neuropathic pain: Comparison of friend's Or of thine own were: Any man's Treatments in Real-Life Situations, we death diminishes me, Because I am involved need to utilize up to 40 sites to aid in re- in mankind, And therefore never send to cruiting 400 patients with painful neu- know for whom the bell tolls; It tolls for thee’. ropathy. Sites should be chosen based on – John Donne if they have the patient population, and

19 whether their research team is willing to each site. You must follow FDA guide- recruit. We are often asked how a PI in lines. For instance, do you need to apply Kansas can find sites to ask to be in a trial. for an Investigational New Drug applica- This is not an easy question to answer but tion or can you do the study under ex- predominantly this is due to networking empt status? The rules for this are availa- through academic societies where one be- ble through the FDA.11 If you do apply for comes familiar with investigators over an IND, the FDA has to respond within time. A site may get in a study and can 30 days. If they do not respond in 30 days, demonstrate how well they perform in you can proceed with the study. If they recruitment and regulatory efforts and if do respond, you will most likely need to they do well, they will be asked back to modify the protocol per their request. In future studies. most cases acknowledgement from the Another tool to aid in choosing sites FDA is required before submission to the is to become a member in a consortium. IRB is allowed. If you obtain a FDA IND, At KUMC, we currently are a member of you have to file an annual updated with the following consortia: Greater Plains the FDA. Collaborative and the Vasculitis Patient Another barrier that is essential to Powered Research Network (both overcome is handling IRB approval from funded by PCORI), NeuroNEXT (funded each site. Depending upon the study and by NIH), Alzheimer’s Disease Coopera- the sites chosen to participate in the tive Study (funded by NIA), Neurologi- study, each site may have to submit to cal Emergencies Treatment Trials and the their own IRBs for approval. Recently NIH StrokeNet Nation Clinical Coordi- there have been strides made in utilizing nating Center (both supported by a single IRB on multicenter trials and NIH/NINDS). We are also a funded site there is a huge momentum at the NIH of the National Cancer Institute. By be- and PCORI levels to utilize a single IRB.12 coming a member of a consortium, it al- There are several proposed solutions to lows you to gain a foothold in conducting this barrier. First is to utilize a Central IRB clinical trials. Your experience will be- (cIRB). This has been utilized in industry come a known commodity and more for some time with commercial central likely to be asked to participate in non- IRBS but academic centralized IRBs are consortium trials. new. cIRBs generally focus on particular Barriers/Essentials to doing Multi- topic or disease (e.g., NeuroNext, NCI Center Trials: Regulatory CIRB). A second option could be utilize a A major barrier that must be over- commercial IRB (e.g. Western IRB). These come is the handling of the regulatory is- are often used for industry-sponsored sues faced in every study. Most of the is- multi-center trials. A third option is to sues are FDA regulatory issues. As the utilize an IRB Share agreement. This is a Principal Investigator (PI) at a site and joint review model and “Shared Review the lead PI for the study, you are ulti- Process” in which a lead IRB approves a mately responsible for what occurs at study; the Local Oversight IRB verifies agreement with the determination of the

20 Lead IRB, and reviews local context is- The barriers to monitoring include sues. The fourth option is to utilize a Re- supporting the infrastructure to carry out liance model. This is a single IRB of rec- the monitoring, which includes person- ord, chosen on a study-by-study basis, for nel and the finances to hire them. the life of a study, involving a “reviewing Whereas pharmaceutical companies have IRB” and “relying institutions”. The the financial resources to carry out moni- PCORnet Greater Plains Collaborative toring, investigator initiated studies us- utilizes this model. ing federal or other funds do not. The In a multicenter study the protocol budgets for investigator initiated studies must first be approved at the coordinat- rarely have the capacity to fund a robust ing site, i.e. the IRB of record. Once it is monitoring program. What we have done approved, it is then sent to the other par- in our studies is a compromise so that we ticipating sites. The IRB of record will do remote monitoring and have sites need to approve the consent forms from send a selected number of study records the participating sites prior to site activa- for review. If they are deficient, a higher tion. Once the participating sites are acti- level of monitoring can be activated. vated, they may begin enrolling study Barriers/Essentials to doing Multi- participants. The primary site acting as center trials: Recruitment the IRB of record will track annual IRB Frontiers Registry approvals and track all adverse events No investigator initiated study will and serious adverse events at all sites. succeed if you cannot recruit the subjects Barriers/Essentials to doing Multi- needed for the study, making this a major center trials: Monitoring barrier. At the University of Kansas Med- Pharmaceutical companies routinely ical Center, we have arrived at some very do FDA compliant monitoring. This in- innovative solutions. The Frontiers regis- volves having a monitor periodically go try was developed out of our NIH CTSA through the research files on subjects en- program. All patients seen in a KUMC rolled in studies to ensure all proper re- clinic are asked to sign up so they can po- search procedures are being followed. tentially be contacted to be a research FDA released a White paper in 2007 titled participant. As of January 2015, the Fron- The Food and Drug Administration’s tiers Registry contains nearly 40,000 po- Oversight of Clinical Trials (OEI-01- tential research participants that were ac- 00160) which found that investigators quired from 17 different participating conducting investigator initiated studies KUMC clinics. Use of the Registry has were deficient at monitoring their stud- continued to grow and has been used by ies.13 There has recently been a push by 49 different investigators (24 MDs and 25 the FDA for investigator-initiated studies PhDs) for 64 different protocols, a 50% in- to monitor their studies. Since then, the crease over the last year. A variety of de- FDA released a draft guidance in 2013 partments are using the registry span- that provides guidance for monitoring ti- ning KU-Wichita, KU-Lawrence and tled ‘Oversight of Clinical Investigations- UMKC. A total of 14,051 contacts have A Risk-Based Approach to Monitoring’.14 been provided to investigators. Of these,

21 3423 were contacted by investigators re- Investigators may utilize the Pioneers sulting in 188 participants enrolled in program not only to advertise their studies. This experience was recently study, and to request names and contact published by Dr. Kluding and colleagues information for potential research partic- from Frontiers.15 ipants using the results of a general med- Pioneers ical history survey, but they may also in- Another solution we have developed clude an interactive “I am interested” is the Pioneers Community Research Re- button in the description of their study. cruitment Registry, which also was de- This allows potential participants to con- veloped in our NIH CTSA Frontiers pro- tact the study team directly, and may also gram. The Pioneers Community Research include study-specific screening ques- Recruitment Registry was launched in tions. These features were launched in September 2013. The Pioneers registry is Spring 2014 and are available to investi- an online, community-based research gators to support their recruitment ef- participant registry that can be used by forts. investigators from multiple institutions HERON within the Frontiers network. There are 2 The third solution is the Healthcare primary objectives of the Pioneers Regis- Enterprise Repository for Ontological try program: 1) to provide a universal Narration (HERON). HERON is a repos- portal for anyone in the community to itory of de-identified clinical and bio- “Become a Pioneer” and agree to be con- medical data for clinical and translational tacted for future research; 2) to provide research. HERON allows users to explore an interactive website for listing studies clinical data from multiple sources, that are actively recruiting participants. housed in our EMR (Epic). Heron queries

22 can provide a count of how many pa- encapsulated (University of Iowa’s Re- tients at KUMC meet the criteria of a clin- search Pharmacy). There had to be sepa- ical trial, and can provide additional pa- rate contracts with the pharmacy, data tient observational data. HERON is coordinating center, as well as with the linked to the Frontiers Research Partici- University of Kansas Medical Center. pant Registry so that patients identified Medication had to be shipped from the through HERON that participated in the University of Iowa’s Research Pharmacy registry can be contacted. to a holding pharmacy where it had to be Barriers/Essentials to doing Multi- labeled. At that point, it could be shipped Center Trials: International Sites to the appropriate sites within Europe. Conducting clinical trials within the Last but not least, customs at times would border of the United States can be chal- not release the drug pending a customs lenging. Adding sites outside of our bor- fee. der adds an additional layer of complex- Using international sites is expensive ity that few clinical investigators are for a budget on an investigator initiated aware of. For instance, if you have a site trial and this needs to be factored into the in Canada, you have to submit to Health budget. On the other hand, these interna- Canada prior to the site initiating the tional sites may be essential to meet en- trial. Health Canada is the Canadian ver- rollment needs for a study. We could not sion of the FDA IND. There are differ- have completed our positive mexiletine ences in terminology that we face with in non-dystrophic myotonia study with- the application. Also, there is additional out the partnering of the Institute of Neu- paperwork few US clinical investigators rology in London, England, the Univer- know about when transporting drug sity of Milan in Milan, Italy and Univer- across the border for research. This infor- sity of Ontario in Canada. mation can be found at http://www.hc- Conclusion sc.gc.ca/dhp-mps/compli-conform/im- There are significant barriers in car- port-export/gui-0084_biu-uif-eng.php.16 rying out a multicenter trial as the coor- Europe adds an additional barrier. dinating site. These barriers can be over- There are European Union regulations come but it takes personnel, infrastruc- that try to unify regulatory process for ture, time, training and money. Leading a studies across Europe. However, each multicenter study takes knowledge and country often has their own additional re- skill and may not be for the timid or weak quirements. One of the most expensive at heart. But the rewards are great and if barriers to using a site in Europe is the you can overcome these many barriers need to hire a Qualified Person (QP). This discussed here, you and your team can person is hired to inspect the locations have a significant impact in CTR and be- where the drug is processed. For instance come leaders in your field. in our mexiletine study, the QP not only had to inspect the drug manufacturing plant in Israel, but also had to inspect where the drug and placebo were over-

23 Acknowledgements: We would like to acknowledge funding by a Clinical and Translational Science Award from NCATS at NIH, UL1TR000001; a Clinical and Data Research Network award from PCORI as part of the PCORNet initiative, CDRN-1306- 04631; a NeuroNEXT award from NINDS at NIH, U10NS077356; and a comparative effectiveness research project award from PCORI, CER-1306-02496.

References: 1. https://clinicaltri- 10. Collins, F.S. Physician scientists: A van- als.gov/ct2/show/NCT02336477 ishing breed, Yale Medicine, 1991-1992: 2. https://clinicaltri- 26: 5-8. als.gov/ct2/show/NCT00769860 11. Website: http://www.fda.gov/Drugs/De- 3. https://clinicaltri- velopmentApprovalProcess/HowDrug- als.gov/ct2/show/NCT00814138 sareDevelopedandApproved/Approv- 4. https://clinicaltri- alApplications/InvestigationalNewDru- als.gov/ct2/show/NCT01232738 gINDApplication/ 5. https://clinicaltri- 12. Website: http://www.hhs.gov/ohrp/hu- als.gov/ct2/show/NCT01786603 mansubjects/regulations/nprm2015sum- 6. https://clinicaltri- mary.html als.gov/ct2/show/NCT02260388 13. Website: http://oig.hhs.gov/oei/re-ports/ 7. https://clinicaltri- oei-01-06-00160. als.gov/ct2/show/NCT02100969 14. Website: http://www.fda.gov/down- 8. Sonstein, S.A., Seltzer, J., Li, R., Silva, H., loads/Drugs/.../Guid- Jones, C.T., Daemen, E. Moving from ances/UCM269919.pdf compliance to competency: A harmo- 15. Kluding PM, Denton J, Jamison TR, nized core competency framework for Brooks W, Blackwell K, Lantos JD, Wait- the clinical research professional. Clini- man LR, McMahon MB, Choudhary A, cal Researcher. 2014. 28; 17-23. Bott MJ, Greiner A, Klaus S, O’Brien- 9. Statland JM, Bundy BN, Wang Y, Rayan Ladner A, Aaronson LS, Burns J, Barohn DR, Trivedi JR, Sansone VA, Salajegheh R. Frontiers: Integration of a Research MK, Venance SL, Ciafaloni E, Matthews Participant Registry with Medical Clinic E, Meola G, Herbelin L, Griggs RC, Registration and Electronic Health Rec- Barohn RJ, Hanna MG, and the Consor- ords. Clin Transl Sci.2015; 3 Aug. http:// tium for Clinical Investigaton of Neuro- onlineli- logic Channelopathies. Mexiletine for brary.wiley.com/doi/10.1111/cts.12309/a symptoms and signs of myotonia in non- bstract?campaign=wolearlyview). dystrophic myotonia: a randomized con- 16. Website: http://www.hc-sc.gc.ca/dhp- trolled trial. JAMA 2012; 308:1357-1365. mps/compli-conform/import-export/ PMCID: PMC3564227. NIHMSID: gui-0084_biu-uif-eng.php. NIHMS429387

24 Nebraska Innovation Studio: A University-Based Makerspace

Shane Farritor, David and Nancy Lederer Professor, Mechanical and Materials Engineering, University of Nebraska

he University of Nebraska-Lincoln is creating a new makerspace called Ne- braska Innovation Studio. Makerspaces are a growing trend across the world Tand some precedent for University makerspaces exists. A makerspace (sometimes referred to as a Fab Lab, Hobby Shop, or Hacker Space) is a community-oriented physical space where students and other members can build and create. The focus of a makerspace is on creativity, interdisciplinary collaboration, entrepreneurship, and education. Students from across campus and all • It will strongly contribute to the dy- community members will be allowed to namic multi-disciplinary innovative join the Nebraska Innovation Studio and culture that is a goal of UNL. build their own original projects. Ne- • It will allow for innovative experien- braska Innovation Studio is a both a tial student learning. Disciplines from physical space and a community. The Electrical Engineering to Art to Fash- physical space contains specialized tools ion will teach non-credit courses on and equipment (3D printers, laser cutters, how to build things. The space and computer controlled embroidery ma- courses will be designed to encourage chines, machining centers, etc.) along collaboration and mixing. with collaboration space that will allow • It will foster entrepreneurship. There students to create projects that they are are multiple examples of new prod- passionate about. The community will ucts created in makerspaces across provide specialized classes that will ena- the United States. ble the students to physically realize their • It will be an attractive facility to en- own innovations. These non-degree clas- courage interactions between the ses will expand and improve the stu- University and the private sector. It dent’s education by allowing them to will house expertise and equipment learn by doing. This experiential educa- to quickly make prototypes to sup- tion will better show our students that the port the “fail fast and learn” model of world is out there to be engaged and innovation. shaped. What is a Makerspace? UNL is creating Nebraska Innova- The Recreational Center Analogy tion Studio for several reasons: Current Campus Recreational (Cam- pus Rec) facilities are a good analogy to describe a makerspace. Campus Rec is to 25

fitness what the makerspace is to creativ- will encourage interactions as members ity. Students can join Campus Rec and move from room to room. gain access to specialized equipment (e.g. The specialized rooms will include weight room, gym, pool), collaborate space for digital fabrication equipment with students with similar interests (e.g. such as 3D printers, laser cutters, water pickup basketball), and take non-degree jet cutters, 3D scanners. A computer area classes (spinning classes, rock climbing will be provided for CAD programming classes). All of this is focused on enhanc- and interaction with the digital fabrica- ing the student’s fitness. Students are not tion equipment. Other rooms will include required to participate, they only come to equipment for fabric fabrication such as Campus Rec to pursue their passions and CNC embroidery. Traditional metal and do things they love. They go to Campus woodworking machinery will also be in- Rec to improve themselves. In the same cluded. Other areas including a digital way, students will join Nebraska Innova- classroom and meeting areas will be tion Studio to gain access to specialized needed to support the Makerspace. equipment, collaborate with students of Why a makerspace? similar creative interests, and take non- There are several important reasons degree classes. why a world class makerspace is being The Campus Rec system also organ- built at UNL. izes activities across campus to encour- The Makerspace Creates Culture age fitness. It creates programs for em- The first reason to build Nebraska ployees to walk over the lunch hour or to Innovation Studio is that it will help build lose weight, and organizes Intermural a culture of innovation. The makerspace sports. Nebraska Innovation Studio will will attract students and their energy is organize activities to encourage creativ- the most important ingredient of an inno- ity, and can serve the same role with in- vative university. The students will come vention competitions and creativity sem- to Nebraska Innovation Studio by their inars. choice and to follow their passions. Stu- What will the makerspace look like? dents can then interact with faculty and The interior design and layout of the community members in a casual environ- makerspace will be important to foster ment where common interests are collaboration and innovation. An over- shared. simplified layout is described here to It is expected that the Nebraska Inno- help explain the makerspace. vation Studio will spawn other aspects of The core of the makerspace is an as- creative culture. For example, a maker’s sembly/integration and collaboration club has been formed with regular meet- space. This is an area where members will ings and an annual “Maker’s Fair” where gather to put their projects together and members can highlight their latest crea- in doing so will have the opportunity to tion. Studio members then generally sub- interact. Various rooms can then be divide into specialty groups (bike nuts, placed off the main collaboration area for furniture makers, fashion designers) to specialized equipment. This arrangement further pursue their common interests.

It is strongly believed that there is a examples, an undergraduate photog- latent demand among many, many UNL raphy major built her own large format students for this opportunity to express cameras there. She then invented a multi- their creativity and build things. Ne- color LED-based ring flash for special- braska students are hands-on problem ized photography that is controlled by an solvers by our DNA and this makerspace embedded microcomputer. This ring will help develop this tremendous un- flash allows the photographer to dial in tapped potential. the appropriate color for the flash for The Makerspace Will Foster (Student) every picture. She now sells a number of Entrepreneurship these niche devices through an online One of the incredibly beneficial side business. effects of maker culture is that it is an in- A second Hobby Shop startup com- cubator for entrepreneurship and this en- pany was created by a graduate student trepreneurship will be built around stu- studying acoustics. This student invented dents. It is believed that UNL students a “speaker dome” that allows museum represent a huge untapped potential for visitors to stand in front of an exhibit and new businesses and innovation. The listen to information about the exhibit maker community and the facility itself without others in the museum being dis- in partnership with other efforts at turbed by the noise. These can be found NUTech Ventures and Nebraska Innova- in several museums around Nebraska. tion Campus (NIC) will mine this tre- These are simply anecdotal examples of mendous potential. makerspace inspired entrepreneurship. Maker culture is full of successful en- The Makerspace Will Support a trepreneurship stories. For example, the Business Accelerator Square card reader (www. squareup. Nebraska Innovation Studio will com), that allows you to swipe credit support a business accelerator that will cards with your cell phone, was first built focus on hardware-based startup compa- in a community makerspace in San Fran- nies. The makerspace will be a major ben- cisco. Access to the makerspace allowed efit for companies in the accelerator be- the founders to build a functional proto- cause it will allow them to quickly prototype they could then use in demonstra- type their products. The proximity of the tions to venture capital groups. This accelerator and the makerspace will in- greatly helped them raise funds and got crease the quality of companies that ap- them started building a multi-million- ply for the accelerator, potentially attract- dollar company that simplifies many ing companies to Nebraska. As stated be- lives each day. This invention itself can be fore, the makerspace would act as a hub a great benefit to all other small busi- for innovation and creativity by bringing nesses further enabling entrepreneur- together people from the business accel- ship. erator, UNL faculty, students, and staff, Several smaller scale successes are and local business. also common. The MIT Hobby Shop (an Successful startup companies often existing makerspace) is a constant hotbed constantly iterate on prototype designs of of startup prototyping. Just to name a few their products, as suggested by new 27

methods of innovation such as Steve website and a report is emailed back in a Blank’s Lean Launch Pad (LLP). For ex- few days. Or, legalzoom.com now does ample, an innovative start-up company many functions attorneys used to charge such as Dyson created over 1,000 proto- significant hourly rates to accomplish. types before it created the vacuum What will be valued in the coming econ- cleaner it took to market. Without the omy will be skills like creativity and makerspace, the process of design itera- unique cross-discipline skills such as: tion can take days or weeks when 3rd • A fashion designer that knows how to party vendors are used for fabrication. laser cut molds for a production run Having prototyping capabilities in-house of 50-100 dresses (i.e. in the makerspace), will allow entre- • An electrical engineer who can 3D preneurs to turn what can take days into print a custom circuit board enclosure hours, speeding the process and allowing overnight because she doesn’t need to startups to achieve more in less time. This coordinate with 3 other departments quick design-iterate-feedback cycle has to get this done. sociological benefits for the startup by al- • An artist who can use an Arduino mi- lowing it to: croprocessor to control an installation • achieve more and demonstrate more, piece based on the position of the per- • build momentum and give them son observing the work more control Nebraska Innovation Studio will • create a more positive and enjoyable produce these kinds of students with experience cross-disciplinary skills. • reach a marketable product quicker Hands-on courses will be taught at Overall, the makerspace when com- the makerspace. For example, the Me- bined with a business accelerator will chanical Engineering Department might produce more investable companies, teach a freshman course there like “How with an increased probability of success. to build (almost) anything” for their own New Skills Are Required for the students and/or for students from fashion Quickly Changing World design. However, it is expected that most Cross-Disciplinary Skills Are Now Re- courses will be taught by makers for mak- quired ers. For example, a computer science stu- Another important reason to create a dent might waive his membership fee by UNL student makerspace is that new offering a course like “Introduction to skills are required for a changing world. Programming the Arduino Microcontrol- This will mean that we need to change the ler” in the evenings. way we educate our students. Skills that Again, the makerspace is NOT a tra- used to be valuable are either being auto- ditional machine shop where you pay mated or can be done more cheaply in someone else to build your design. The other countries. For example, stress anal- makerspace is where YOU LEARN by ysis used to be a valuable skill for a me- creating your own design and by collab- chanical engineer. Today, stress analysis orating with and learning from your is either performed with a software pro- peers. gram or is uploaded to an India-based 28

It is strongly believed that there is a la- New technologies such as 3D printing, tent demand among many, many UNL stu- and other desktop manufacturing technol- dents for this opportunity to express their ogies, are analogous to the 2D desktop creativity and build things. Almost all printing technology that has become com- makerspaces that are built are almost in- mon over the past 30 years. Current 3D stantly oversubscribed. printers are crude and limited like old dot The makerspace will also host an matrix printers of the early 80’s. However, online forum where students can post today, we all have our own $75 ink jet about their designs and activities. This will printer that can create top quality photo- help build a community and collaboration graphs or print our airline tickets with a where others can build on the designs and custom bar code. Future 3D printers will al- best practices of their peers. low us to “print” our own products at our Customization is Now Free desktop just like we print our own family The world of product design and man- photos today. ufacturing are dramatically changing with Imagine the future of 3D printing and the advent of new digital manufacturing manufacturing. Today, if you want to buy technologies. The result of these digital your child some doll house furniture, you technologies is that customization is now can go to a place like Walmart where there free. are a few choices of mass produced prod- The twentieth century of manufactur- ucts. In the future, you might instead ing was about the assembly line and in- download some designs from a hobbyist creased access to goods through producing furniture designer in Sweden, add your large numbers of identical units at the low- child’s name to the product, and change est possible cost (e.g. you can have any the colors so they match the furniture in color Model T as long as it is black). Cheap your own home and then 3D print the doll labor, low regulation and little concern house furniture from your desktop. This about the environment favor other coun- desktop manufacturing allows for total tries in manufacturing ten million identical customization (one size fits one) design of units at minimal cost. However, new tech- products. There is no cost to added com- nology such as 3D printing allow for cus- plexity (adding your child’s name) or customization and automation of manufactur- tomization (changing the color of the furni- ing and open new niche markets that are ture). This model will fundamentally not realistic for the assembly line model of change the skills that are needed in the new manufacturing. Many believe these new marketplace (in all disciplines from engi- technologies will lead to a new world of neering to furniture designers). “desktop manufacturing” and “democra- Nebraska Innovation Studio will in- tized manufacturing” where anyone can troduce our students from all disciplines to make a small number of extremely custom this new model of customized and niche products. In this new model students from design and fabrication. all disciplines will need to know how to Experiential Learning at the Makerspace create products that are specifically cus- (Mind and Hand) tomized to individual needs. Another way the makerspace will enhance the education of UNL students is 29

that it will provide experiential learning. a part while it is being machined. These Students will do as a way to learn. It is in lessons will again better prepare them to the experience of trying to build that enter the workforce. much of their education will reside. They Summary will be better prepared to enter the work- The University of Nebraska is creat- force because they have learned im- ing a makerspace called Nebraska Inno- portant lessons that can only be taught vation Studio. The makerspace is a phys- thorough doing. ical space full of equipment that will al- The lessons learned by doing are dif- low students to build projects and ex- ferently into a student’s brain because of plore their creativity. The space will help the difficulty they presented and the build a creative culture that will lead to physical actions required to solve the innovation. Nebraska Innovation Studio problems. This is different than missing will foster a different kind of learning as five points on the forth problem of third student involvement will be from intrin- exam in a course. sic motivation. The makerspace will help Also, lessons are learned that are foster entrepreneurship and will encour- generally not taught in class. Students age cross-disciplinary collaboration. This will learn about real-world problems effort is just beginning at UNL, please such as shipping delays or how to clamp look back to check on our progress.

Creating and Sustaining Interdisciplinary Research Groups

Mary Rezac, Tim Taylor Professor of Chemical Engineering, Kansas State University

ultidisciplinary research projects are becoming increasingly common within the realm of academic research. Data suggests that more than 50% of projects M funded by NSF and at one major research institution would be included in this category. As academic institutions transition from single PI research projects to teams of researchers from numerous departments and colleges, new issues relating to fund distribution, credit accounting, and team leadership become apparent. Here, we examine the trends in multidisciplinary research projects, the perceived barriers to their success, and recommendations to overcome these barriers. Interdisciplinary teams develop While complete and precise information more complete solutions to societal about the nature of funding provided by problems. The National Academy of En- the federal government to interdiscipli- gineering has identified 14 critical areas nary research projects is not immediately of societal importance that require con- available, anecdotal information suggests certed effort in research, development, that funding agencies are shifting their and public policy if they are to be success- support to interdisciplinary projects. In- fully addressed.i These topics range from formation relating to the research fund- making solar energy economical to ing supplied by the National Science providing access to clean water to re- Foundation is publically availableii and verse-engineering the brain. The com- can provide some insight into this agen- mon thread among the topics is that they cies’ tendency in this matter. Figure 1 are interdisciplinary and complex. If so- provides the number and value of lutions to these problems are to be found, awards made by the National Science engineers must be involved. Yet, engi- Foundation from 1980 through 2003. In neers working in isolation will almost both cases, if a project was awarded to a certainly fail. Rather, they must engage single principal investigator, that project with researchers from agriculture, medi- was counted in the “individuals” cate- cine, public policy, economics, physics, gory. If the project had two or more co- biology, and numerous other fields. This PIs or a PI with one or more senior per- trend toward larger and more complex sonnel identified within the award docu- research problems has been observed for ment, the project was counted in the the past two decades. “team” category. It is interesting to note Funding agencies are shifting their that the number of awards made to indi- support to interdisciplinary projects.

viduals during the study period re- $245,000/grant. In contrast, the team mained roughly constant at about 4500. awards increased at a much faster rate, In contrast, the number of awards made from $180M to $1,150M with average to teams increased by a factor of four over awards increasing from about this same period. At the end of the study $300,000/grant to $575,000/grant. Thus, it is clear that from NSF funding trends, both the number and value of projects awarded to research teams have increased dramatically in the past decades. If academic research institutions are to compete successfully for these funds, they must support their faculty members and research staff in the development of functional and efficient research teams.

Figure 1: Research projects supported by the More detailed information is availa- National Science Foundation for fiscal years ble from an analysis of research com- 1980 – 2003. Team projects are those with pleted at the University of North Caro- two or more investigators of any title. lina, Chapel Hill. This information period, the number of grants made to in- looked at the total research funding and dividuals remained approximately twice the categorization into projects that in- that made to teams. cluded more than one investigator, prin- When the value of the NSF grants is cipal investigator, or lead principal inves- considered (Figure 2), an even more strik- tigator.iii This data is presented in Figures ing argument for the importance of team 3 and 4. As is the case with many institu- activities is observed. During the study tions, research funding has increased period, the total value of all awards made over the period of 2008 – 2014 with a sig- by NSF to individuals increased from ap- nificant uptick in 2010 as a result of proximately $450M to $1,100M. Thus, the ARRA funding. For UNC, the 2014 fund- average value of awards made to individ- ing level was approximately 18% larger uals increased from $100,000/grant to

Figure 2: The total value of research projects supported by the National Science Foundation, 1980 – 2003.

than the 2008 base. Concurrently, the na- Analysis of the data indicates that ture of the project leadership teams was funding agencies are supporting multi- also changing. During this entire period, disciplinary projects and researchers at over 55% of the funded projects at UNC successful institutions are shifting to were lead by teams of researchers. Nev- these team-lead projects. Yet, not every ertheless, the breadth of the knowledge researcher has or will navigate the transi- and expertise of the project leaders ap- tion to being a productive member of an pears to be increasing from 2008 to 2014. interdisciplinary team. Why? In Figure 4, one observes that the percent- There are real and perceived barriers age of projects with research leaders from to multi-disciplinary research within ac- more than one department increased ademia. While society, funding agencies, from 15 to 45% and the cross-college col- and university administrators may be en- laborations increased from 12 to 25%. couraging faculty members to conduct Marked increases in both of these catego- research projects as a member of a multi- ries is noted in 2010 with relatively con- disciplinary team, that transition can be stant behavior following. This suggests difficult. In a 2004 study entitled Facilitat- that the broadening of research team ing Interdisciplinary Research, the National leadership may be related to require- Academy of Engineering concluded that ments that were made by the federal gov- there are multiple barriers to success of these research teams.iv In a survey of successful academic researchers and re-

Figure 3: Total research funding at UNC, Chapel Hill, 2008 – 2014. The significant increase in funding in 2010 is the result of additional funding from the American Recovery and Reinvestment Act of 2009. 2008 Funding Figure 4: The nature of research = $678M. funding at UNC, Chapel Hill, 2008 – ernment as a part of the 2009 ARRA fund- 2014. Projects are identified as having multiple investigators (dark blue), ing initiative. If the ARRA funding was investigators from two or more aca- the motivation for this shift, the result demic departments (grey), and inves- seems to have outlived the program. tigators from two or more colleges (green).

Figure 5: Perceived barriers to multi-disciplinary research projects. Graphics adapted from NAE Facilitating Interdisciplinary Research Report. search administrators, the items identi- scorers received nearly 55% of all votes. fied in Figure 5 were deemed to be the These are (1) budget/indirect cost return, biggest barriers to success of multi-disci- (2) nothing, and (3) promotion. Perhaps plinary research projects. The categories, reassuringly, ‘nothing’ was the second from left to right, are more completely most common result. This suggests that described as: concerns with receiving ap- in this 2003 survey, faculty members had propriate credit in promotion and tenure already come to the conclusion that there decisions, concerns relating to control of were few actual barriers to team research the research budget and/or allocation of success. As the number and magnitude of indirect cost returns, lack of adequate team projects has continued to increase in space to complete the project, concerns the past decade, we can only assume that with receiving appropriate credit for this category will continue to dominate multi-author publications, other – five the feelings of faculty researchers. separate items each of which received no It is interesting to note that the ma- more than 3% of the votes, concerns with jority of the concerns relate to allocation lack of alignment of project with unit of credit whether it be for considerations strategic plans, concerns with each con- of promotion and tenure, publications, tributing unit receiving appropriate awards, or unit productivity. It would credit for activity, concerns with loss of seem that active work to create a univer- individual researcher autonomy, con- sity culture that promotes and rewards cerns with receiving appropriate credit members of interdisciplinary teams for award consideration, and finally, could go a long way to overcome these ‘nothing’ indicating that the respondent fears. felt that there were no major barriers to The NAE study also surveyed prin- interdisciplinary research activities. cipal investigators on what recommenda- Of the 14 categories evaluated, only tions they would make to peers to facili- three individually received more than tate interdisciplinary research projects. 15% of the votes. Combined, the three top Results of this survey are summarized in

Figure 6: PI recommendations to peers on the single most important step they can make to facilitate multi-disciplinary research project success. Graphics adapted from NAE Facilitating Interdisciplinary Research Report. Figure 6. Again, the y-axis indicates the area expertise to garner the respect of her frequency of response while the x-axis or his peers while simultaneously having provides the dominant category. From the managerial, organizational, motiva- left to right, the categories were: find an tional skills to identify, recruit, promote, individual willing and capable of leading facilitate, and finance a research team. the team project, learn about the new sci- These skills can be at odds with the ele- entific area into which you are entering, ments of success that have been pro- communicate with others outside your moted throughout a faculty member’s in- field to identify potential collaborators, dependent research career and, thus, are build networks with others outside your not always naturally present in any given field to find potential collaborators, train member of the research team. Further- students in the new topical area, other – more, when one considers the reward five categories none of which exceeded system historically utilized by academic 2% of the vote, nothing/no recommenda- institutions, one can understand why few tion. Based on these options, PIs believed that have voluntarily migrated to this posi- the single action to promote success was iden- tion. Indeed, when academics are re- tification of a team leader. warded on number (publications, invited The leaders identified are not simply seminars, students advised, researcher the individual with the most in-depth dollars received), activities which detract knowledge of the subject area. Indeed, in from these metrics are understandably these multidisciplinary projects, several minimized. Faculty members are clear in team members may have equally deep, their analysis that leadership of interdis- but differently focused subject area ex- ciplinary teams has negative conse- pertise. Rather, the leader that is required quences on short-term productivity. Ob- is an individual with sufficient subject viously, individuals who have short-term

evaluations (like promotion and tenure) few of the ideas of how one might recog- will avoid these leadership positions. nize and support those faculty members That leaves only the camp of full pro- who have and will serve in leadership fessors in a position to effectively lead roles within multidisciplinary projects. large, multi-disciplinary research teams. No matter how it is accomplished, it is Yet, now 10 or more years into their ca- imperative that individuals who have reers, they may have received little or no voluntarily accepted the leadership role training on how to succeed in this role. and have been successful in that role be Ah, the quandary. rewarded, recognized, and encouraged If we are to transition to this new era to continue in this pattern. Supporting a of interdisciplinary research team suc- good team leader is much easier than de- cess, our organizations must develop veloping a new one. mechanisms for identify, training, and Acknowledgements: I thank Mabel truly rewarding team leaders. The op- Rice for her kind invitation to be a part of tions on the type of rewards are as nu- the 2015 Merrill Conference and Evelyn merous as the number of team leaders Haaheim for making the experience so identified. Yet, a few mechanisms are enjoyable. Several of these opinions are a provided for consideration: (1) provide result of extensive discussions with an indirect cost return system that finan- Loretta Johnson and Stacy Hutchinson at cially rewards the leader of a team pro- K-State. I am thankful to them for taking ject; (2) provide central support for per- time to talk to me about these issues. sonnel to support large, team projects with the completion of the reports and Cited Works data collection frequent in these projects; i W. Perry, et al., Grand Challenges for Engi- (3) provide central support for evaluation neering, The National Academies Press, of large, team projects; (4) develop and fi- 2008, available at www.engineeringchal- lenges.org nance a university-wide research award ii www.nsf.gov/awardsearch that focuses on success as a team leader; iii Research.unc.edu/about/facts-rankings/re- (5) identify faculty members at all ranks search-funding Note, it is not clear pre- with the skills and inclination to be suc- cisely how ‘research funding’ has been cessful team leaders – provide members defined. It appears to include research ex- of this group with mentoring, and local penditure data but may be based on re- and external professional development search awards. training to improve their skills; (6) recog- iv Committee on Facilitating Interdisciplinary nize the role of team leader in publicity Research, Facilitating Interdisciplinary Re- search, National Academy of Sciences, Na- and marketing materials. These are but a tional Academy of Engineering, Institute of Medicine, 2004, ISBN: 978-0-039-09435-1

Cuts and Guts: Public University Budget Hemorrhages

Don Steeples, Interim Dean, College of Liberal Arts and Sciences, University of Kansas

t is universally recognized that the cost of public higher education across the United States has skyrocketed in recent decades. Post-secondary education ex- Ipenses, primarily the cost of tuition have become less affordable for much of the population. This paper begins with a direct comparison of the cost for a semester of tuition in 1963 vs 2015. For purposes of this comparison, I have drawn upon my experience as an undergraduate engineering student at Kansas State University, where I first enrolled in 1963. Trends in state support for public higher education in Kansas are reviewed, as are changes in the level of state support nationwide. After this brief review of tuition costs and legislative support, I suggest a few conclusions can be drawn. “Old-Geezer” College Tuition Ex- those 17 hours would cost me $832 in penses Vs Today 2015 dollars. In contrast, the actual cost in Since I enrolled at Kansas State Uni- fall 2015 at KSU will be $4,660, an in- versity as a freshman in 1963, I am quali- crease of more than five times the inflated fied to adopt the moniker, “Old Geezer.” cost. Similar results could be shown for Table 1 (My Geezer’s Experience) illus- The University of Kansas and many other trates how tuition and residence hall public institutions. costs at my alma mater have increased While tuition costs at KSU have since I was a freshman in 1963. My tuition climbed over 4000% since 1963, residence in 1963 was $107 for 17 hours of engineer- hall living remains affordable for most ing courses. When adjusted for inflation, segments of the population: the cost of

room and board at K-State has increased money for two semesters of tuition and of at a rate lower than general inflation. As residence hall living at KSU. In 2015, a shown in Table 1, inflation-adjusted 2015 student would have to work 1,868 hours residence hall rates were more than $400 at minimum wage to provide for two se- below the 1963 rate in current dollars. Res- mesters of tuition and residence hall liv- idence hall rates remain a bargain relative ing. Consequently, it is no longer possible to tuition at public universities in Kansas. for a student to pay for all of the costs of A closer look at decreased affordabil- a KSU degree with a minimum-wage ity is shown in Table 2 (Minimum Wage summer job combined with a few hours Comparison). The minimum wage in the per week of part-time employment dur- U.S. was $1.25 per hour in 1963 and in ing the school year. 2015 has increased to $7.25 per hour. In One of the reasons that residence hall 1963, a student who worked for 651 hours living has remained affordable is that the at minimum wage could earn enough cost of food in the U. S. has risen much

more slowly than inflation. My own un- relative to tuition, wheat is even more of dergraduate education at KSU was fi- a bargain. nanced by selling wheat from a piece of Kansas Public Higher Education land that my father let me farm when I Budget Trends was in high school. In 1963, selling 55 If we look at Table 4 (Kansas Regents bushels of wheat at the national average and K-12 Funding), we see that in the local-elevator price would provide one decade between 2002 and 2012, State semester of tuition at KSU. Based on the General Fund appropriations overall for cash price for wheat in Hays, Kansas, at public universities in Kansas increased 10:00 AM on August 6, 2015, paying for by only 4.9%. In that same period, total one semester of KSU tuition would re- expenditures from the State General quire more than a thousand bushels of Fund increased by 36.5%, with the largest wheat (Table 3, Bushels of Wheat...). percentage of increase going to Human While residence-hall living is a bargain Services (100.9%). Looking at Table 5 (In-

flation, Kansas State Funding, and Tui- funding, tuition increased by 193.6% at tion Increases) we see that from 2003 to The University of Kansas and by 170.2% 2012, inflation in the U. S. totaled 25.3%. at KSU. In that same period, State support of Kan- Clearly, the budgets of KU and KSU sas public universities actually decreased have been balanced increasingly on the by 0.1%. To make up for this decrease in backs of students. Cuts in Kansas state-

government funding have been offset by have been mostly offset by tuition in- tuition increases. Based on the Kansas ex- creases. Let’s now examine the degree to perience, it seemed reasonable to hypoth- which this is true across the whole U. S. esize that cuts in state-government fund- U.S. Public Higher-Education ing for public universities across the U. S. Budget Trends (2008-2013)

The funding trends across the U. S. in not partially replace, totally replace, or the period from 2008 to 2013 have varied exceed the cuts in public funding. greatly (Figures 1-4). Only two states Declining public financial support (Alaska and North Dakota) increased for higher education on a per-student ba- funding per student during the period. In sis has led to increased tuition costs in contrast, Arizona, Louisiana, and South Kansas and surrounding states. In the Carolina decreased per-student funding face of this fact, administrators will be by more than 40% between 2008 and forced to make difficult, but wise, deci- 2013. During the same window of time, sions on where to apply budget cuts at Kansas, Missouri, and Iowa all decreased their institutions. This will necessitate a per-student funding by between 20-30%; thoughtful review of resource deploy- Nebraska decreased per-student funding ment...as well as the development of a by about 10%. healthy dose of intestinal fortitude. As we have seen above, when the Kansas state government reduced fund- Conclusions ing, the Kansas Board of Regents re- Since 1963: sponded by approving tuition increases 1. In Kansas, tuition has risen 5X that were essentially designed to fill the faster than board and room funding gap. Several other states fol- 2. In Kansas, tuition has gone up 3X lowed a similar path. For example, Ari- faster than the U.S. minimum wage zona cut per-student funding by about 3. Students can no longer pay for col- 48% and increased tuition by 80%. Wis- lege with just a summer job consin, Pennsylvania, Montana, New Mexico, and Kentucky all had tuition in- Since 2002: creases of more than 60% between 2008 1. Kansas’ state budget has gone up and 2013. (At the opposite end of the 8X faster than its support of higher- spectrum are Louisiana and South Caro- education lina, which cut per-student funding by 2. Only two U.S. states have increased more than 40%, but only increased tuition per-student funding since 2008 by about 14% and 21% respectively.) 3. Tuition increases do not necessarily Overall, state per-student funding is offset decreased state support generally a picture of less per-student 4. Decreased state support does not public financial support amid tuition in- automatically mean tuition goes up creases. The tuition increases may or may

The American Research University and the Iowa Experience

Daniel Reed, Vice President for Research and Economic Development, University of Iowa

e humans are not particularly good predictors of change, particularly exponential change. We tend to extrapolate tomorrow from today, and in the W near term, that is a safe and reasonable expedient. However, the pace of change is accelerating, with ever greater global connections and shifting social expectations. Thus, one would be surprised if these economic and social changes did not have equally profound implications for the role and function of the American research university – and they have. The litany of public higher education knowledge economy are reshaping social woes -- rising tuition and student debt, expectations. declining state support, sequestration Compounded by the consilience of battered federal research budgets, globalization and the accelerating tech- mounting compliance and reporting bur- nological and scientific change, each year dens, escalating deferred maintenance now brings disruptions that once defined concerns, and heightened political scru- generations. Universities, like our other tiny – grows ever longer, framed by shift- organizational structures, are now chal- ing societal expectations and a rising cho- lenged to adapt and respond, while pre- rus of questions about educational value serving their core values. propositions. These public higher educa- Telling the Future the Past tion issues must be considered in the As Figure 1 suggests, the history of broader socioeconomic context. U.S. higher education is one of punctu- The lingering effects of the 2008 ated equilibrium. The current structure of global recession, rising wage and income the American research university origi- disparities in the United States, the Euro- nated in the postbellum 1940s and 1950s. pean Union’s uneasy and politically That is, it is a quite recent invention, with fraught economic confederation, and the structures and programs created and unknowable true state of China’s falter- funded in large part for economic benefit ing economic growth all cast long shad- and national security. The Colonial Era. ows. Political instabilities, wars, sectarian The nine “colonial colleges” were and ethnic persecution and violence, and founded before the U.S. Revolutionary refugee flight define international politi- War and included all of the current Ivy cal debates. Urbanization, global commu- League schools (except Cornell) plus Rut- nications, talent mobility, and the global gers (then Queen’s College) and William

Figure 1 An abbreviated history of U.S. universities and Mary. Harvard, the oldest, was lace was necessary for the successful per- founded in 1636 and was later named af- petuation of democracy, noting, “When- ter clergyman John Harvard when he be- ever the people are well-informed, they queathed his library and half of his estate can be trusted with their own govern- to the college. ment.” Despite these secular extensions, Many of these institutions were cre- the notion of education for practical pur- ated to provide instruction to future suits was a decidedly secondary, often ir- clergy of various denominations. As Har- relevant consideration. This remained the vard noted in a 1643 brochure, the col- status quo until the U.S. Civil War and lege’s purpose was “To advance Learn- the first major expansion of the Federal ing and perpetuate it to Posterity; dread- role in university life. ing to leave an illiterate Ministry to the Land Grants and the Morrill Act. In Churches.” Curricula were derived from 1862, Vermont Representative Justin the classic English model, itself an evolu- Smith Morrill introduced a bill to grant tionary variant of the medieval trivium each state 30,000 acres of public land for (grammar, logic and rhetoric) and quad- each Senator and Representative (based rivium (arithmetic, geometry, astronomy on the 1860 census). Proceeds from the and music) with Latin and Greek fluency. land sales were to be invested in an en- Following these early universities, dowment to support colleges of agricul- and reflecting the growth and dispersion ture and mechanical arts in each of the of the U.S. population, additional univer- states. In response, 37 states developed sities were created after the U.S. Revolu- land-grant universities between 1862 and tionary War, including the University of 1870. For the first time, practical training Virginia (founded by Thomas Jefferson) became a major focus of U.S. higher edu- and the North Carolina at Chapel Hill. cation. The land-grant concept was fur- Jefferson argued that an educated popu- ther expanded by the Smith-Lever Act of

1914, which created the agricultural co- National Institutes of Health, the Depart- operative extension service. ment of Energy, and the Department of Throughout the late nineteenth and Defense. early twentieth centuries, Congressional The G.I. Bill. The Servicemen’s Re- intent to provide economically useful in- adjustment Act of 1944 – commonly formation to the citizens of a largely known as the GI Bill of Rights – further agrarian society via on-site university transformed American higher education. and engagement programs was pointed It provided for college or vocational edu- and clear. The result was a striking trans- cation for returning World War II veter- formation in agricultural practice among ans, a year of unemployment insurance small farmers, and a personal awareness and authorized loans for business starts of university engagement. The land-grant and housing purchases. The economic institutions evolved from their early and social effects of the G.I. Bill were pro- practice to encompass a broad-based ed- found. ucational mission that encouraged both Millions of degree seekers appeared the life of the mind and practical skills. on college campuses, forcing a dramatic Vannevar Bush and World War II and unprecedented expansion of college Science. World War II saw the dramatic facilities and infrastructure. Enrollments rise of university-led engineering and sci- often doubled in only a year or two. The ence as technological enablers of defense influx of students also transformed col- capabilities. In his seminal July 1945 lege culture and expectations; a battle- memorandum, Science, The Endless Fron- hardened veteran had rather different ed- tier, Vannevar Bush argued cogently and ucational expectations than a naïve 18- persuasively that Federal investment in year-old scion of privilege. Over two mil- science was crucial, noting that “… with- lion veterans received college educations out scientific progress no amount of achieve- in the war’s aftermath, and the number of ment in other directions can insure our U.S. college degrees awarded doubled health, prosperity, and security as a nation in between 1940 and 1950. the modern world.” Sputnik and the NDEA. In response Bush had originally argued for a sin- to the Soviet Union’s 1957 launch of Sput- gle science, integrated agency that in- nik I, the U.S. passed the 1958 National cluded basic, defense, and medical re- Defense Education Act (NDEA). The search. After a tortuous political debate, NDEA was intended to increase the num- the National Science Foundation (NSF) ber of trained scientists and engineers was created in 1950 to “promote the pro- able to compete with the Soviet Union. As gress of science; to advance the national such, it included support for college health, prosperity, and welfare; and to secure loans, greater investment in science, the national defense.” Today, NSF is but mathematics, and foreign language in- one of a portfolio of funding agencies that struction in primary and secondary includes both basic research and so- schools, funding for graduate fellowships called mission agencies, including the and vocational-technical training. In its

own way, the NDEA was as transforma- and training) and fulfillment (societal en- tive as the G.I. Bill, elevating Federal sup- gagement and services). In each domain, port for education generally and scien- the modern trivium explores the human tific education in particular as a national condition, matter and the universe, and competitive priority during the Cold life and nature. Put another way, public War. It changed the formula for Federal research universities create new funding of university education and ad- knowledge, transfer insights and ideas, vanced science and engineering research and deliver solutions to societal problems within universities, rather than in sepa- The American research university rate institutes. has changed radically and repeatedly The astonishing intellectual and eco- over the past century. It emerged from nomic output from state and federal in- the Cold War as a federally funded investment in higher education is perhaps strument of social change, economic com- unrivaled in history, and it has made the petitiveness, and national security. There U.S. a magnet for the best and brightest is no reason, indeed ample precedent to minds on the planet. Against that back- the contrary, to believe that it will not drop, we now see declining state support continue to evolve rapidly and radically. and rising tuition costs, with selective In this spirit, I humbly posit the following student disenfranchisement. Concur- principles to guide our future, illustrated rently, constrained research budgets in Figure 2. have shattered the decades-old expecta- Accelerating Change. The pace of tion that our best and brightest scholars societal, technological, and economic and researchers would have the freedom change continues to accelerate. Universi- and financial support to explore and dis- ties must be equally nimble, recognizing cover. that we are the citizen’s instrument and Quo Vadis: The Global Era must demonstrate our differential value What is the balance between intellec- to our constituents. tual inquiry and practical engagement? Knowledge and Skills Enhance- What is engaged scholarship? What are ment. A corollary of accelerating change the “mechanical and industrial arts” for is a shift in the episodic nature of univer- the 21st century? What are verities, the in- sity education. No longer will the tellectual and operational truths that now knowledge and skills acquired at age 20 dance as shadows in Plato’s Cave? What last a lifetime. They must be refreshed is the 21st century public research univer- continually. University educational de- sity? livery must adapt accordingly, in recog- Any societal compact reification be- nition that a mid-career worker wants gins with identifying the irreducible core new knowledge and skills, not neces- – the essential values that define aca- sarily a degree. demia. Quite clearly, these are unfettered Universal Franchise. In a knowledge discovery (original scholarship and re- world, advantage accrues to those research), transference (student education gions that most effectively and efficiently attract, educate, and empower

Organizational Nimbleness. As needs and opportunities shift, marshalling resources to adapt and respond, depends on flexibility and willingness to adjust organizational structures. Disciplinary Fu- sion. Complex problems are rarely amenable to simplistic, isolated solutions, yet university structures reward individual excellence and depth and often punish

Figure 2 University futures and organizational change collaborative exploration and breadth. Addressing knowledge workers, without regard to the biggest challenges of the 21st century ethnicity, national origin, socioeconomic requires catholic, multidisciplinary teams status, sexual orientation, gender, reli- – scholars, government leaders, and in- gious beliefs, or politics. Talented people dustry experts – who can share ideas, have always been and forever will be in skills, and insights, without disciplinary short supply, but all of our citizens must silos. be mobilized, not just the wealthiest or Societal Engagement. The key les- the most privileged. son from university history is repeated

Figure 3 University of Iowa Mobile Museum

rebalancing of values – scholarship and by Winnebago Industries and shown in knowledge acquisition as intrinsic goods Figure 3, travels across Iowa, visiting and their application to practical prob- schools, libraries, community events, and lems and individual needs. Witness the the state fair. This statewide outreach ex- transformative effects of the Morrill Act, poses K-12 students and Iowans to re- the G.I. Bill, the NDEA and the Civil search breakthroughs and the university Rights Act. We must protect our core val- experience. ues while also engaging society to ad- Research Metrics. Working with dress pressing problems. other members of the Committee on In- Global Perspective. We are each cit- stitutional Cooperation (CIC) – the Big izens of the world, affected by and affect- Ten plus the University of Chicago – the ing our global partners, despite our U.S. University of Iowa is analyzing its re- tendencies for isolationism. We must ed- search expenditures to identify their di- ucate our students and our citizens for rect and indirect impact on the state econ- global citizenship, and give them an un- omy. The UMETRICS project is a CIC-led derstanding of diverse cultures, lan- initiative that builds on insights and guages, and processes. ideas from the federal STARMETRICS in- The Iowa Experience itiative. By showing where research Reflecting shifting societal expecta- funds are spent, county by county, as tions, the University of Iowa has well as the number of faculty, staff, and launched several initiatives to assist its students employed by research grants faculty, staff and students in scholarship and contracts, the UMETRICS data pro- and research, technology transfer, eco- vides clear and compelling evidence of nomic development, and societal engage- the economic impact of research funding. ment. The following examples are just a Figure 4 illustrates county-by-county few of these broad ranging initiatives. UMETRICS data. Outreach and Mobile Museum. The Ideation Summits and Salons. Tra- University of Iowa Mobile Museum1 is a ditional academic scholarship and re- partnership among the University’s Mu- search reward deep specialization and seum of Natural History and Old Capitol expertise, an accelerating trend driven by Museum, the Office of the State Archeol- the knowledge explosion and research ogist, and the Office of the Vice-President funding competition. To encourage for Research and Economic Develop- transdisciplinary scholarship and collab- ment. Designed to allow annual replace- oration, the University of Iowa regularly ment and refresh of its contents, the mo- invites hosts research summits that draw bile museum includes displays on uni- from the entire faculty. By facilitating dis- versity research and scholarship as well cussion among scholars and researchers as Iowa history, both natural and cul- across the arts, humanities, social sci- tural. The 38-foot long RV, custom built

1 University of Iowa Mobile Museum, http://discover.research.uiowa.edu/mobile-museum 48

Internal Funding Ini- tiatives. The University of Iowa’s internal funding program3 is structured to enable scholars and researchers to explore new directions, ones where they may not have the experience or data to be competitive for external funds. It also places high priority on rewarding high risk, multidisciplinary collaborations such as those that might emerge from ideation summits. In addition, these initiatives support acquisition of new instru- mentation and facilities. Faculty Media Train- ing. The accelerating pace Figure 4 University of Iowa UMETRICS Research Expenditures within Iowa of scientific and technical discovery, with ever more ences, engineering, medicine and busi- frequent public policy implications, to- ness, our goal is to foster broad collabora- gether with rising scrutiny of publicly tions. funded research, makes it essential that In addition to ideation events, the Uni- we in academia communicate our work, versity also hosts salon events2 to discuss its importance, and its relevance, in acces- challenging societal issues, drawing on sible and easily understandable ways. To the diverse perspectives and expertise of aid faculty in communication, the Uni- faculty. Example topics include the inter- versity hosts seminars on the art of play of social norms, political power and presentation, targeting both research and biology on vaccinations and the spread of public audiences. disease; evolving notions and expecta- We also host cohorts of faculty for in- tions for privacy in the digital age; and tensive media training, working with political caucuses and communication in professional journalists and journalism presidential elections. faculty. These daylong seminars include the

2 University of Iowa Salon Events, http://re- 3 University of Iowa Internal Funding Initiatives, search.uiowa.edu/impact/news/ideas-intersections- http://research.uiowa.edu/researchers/find-fund- dinners-bring-together-scholars-researchers-and-art- ing/internal-funding-initiatives-ifi ists 49

capture and critique of brief video descrip- • UIRP, the University of Iowa Research tions of research, discussion about how to in- Park, which hosts startups and other busi- teract with journalists, and techniques for ef- nesses fective communication with lay audiences. • JPEC, the John Pappajohn Entrepreneurial Faculty members leave the seminar with a Center, which trains students and faculty video succinctly describing their research in business skills and Lean Launchpad and its broader relevance. business planning Faculty Fellows. The Office of the Vice Reaffirming the Dream President for Research and Economic Devel- We face deep societal challenges – pov- opment (OVPR&ED) hosts several faculty erty, inequality, injustice, health and wellness, fellows. Each fellow spends approximately environmental sustainability, and economic half of their time in the OVPR&ED for a pe- uncertainty – and it is tempting to embrace a riod of two-three years, working on targeted psychology of diminished expectations. How- projects and serving as ambassadors to the ever, we also have unprecedented opportuni- campus community. In addition to gaining ties, where the potential answers to age-old administrative insight and experience, each questions are tantalizingly close. fellow brings faculty perspectives and ideas A great public research university is many that help shape research and economic de- things, derived from the three adjectives (great, velopment policy. public and research) and the noun (university): Entrepreneurship and Economic Devel- • A tabula rasa for dreams opment. The University of Iowa’s economic • A magnet for global talent development mission is central to its role as a • A crucible of discovery and innovation public research university. The economic de- • An engine of the knowledge economy velopment enterprise4 includes five interlock- • A framer of the crucial debates ing elements: • A transformative societal force • UIPartners, which works with small businesses across the state to help them remain It is time to frame and engage the debate, competitive to articulate our aspirations, and galvanize our- • UIVentures, which assists faculty entrepre- selves to collaborative action. Our future, and neurs with business planning and startup that of the country, depends on it. funding Quo vadis? The future, of course. • UIProtolabs, which helps companies and entrepreneurs across the state build proto- Acknowledgments types of new projects, an essential step to My deep thanks to Susan Graham (UC Berkeley), Anita Jones (Virginia), Fred demonstrating business viability Schneider (Cornell) and others for in- • UIRF, the University of Iowa Research sightful comments on early drafts of this Foundation, which licenses university in- essay. ventions to both extant companies and entrepreneurial startups

4 University of Iowa Economic Development, http://research.uiowa.edu/business 50

Shifting the Paradigm of Large-Scale Achievement Assessment or, Help! I’m Lost; Does Anyone Have a Map?

Neal Kingston, Professor, Dept. of Educational Psychology; Director, Achievement and Assessment Institute, University of Kansas

had to get to the Lied Lodge in Nebraska City yesterday. But knowing where I was going was not enough. II did not want to be like Daniel Boone, the famed frontiersman and explorer who when asked if he was ever lost said, “I can't say as ever I was lost, but I was bewildered once for three days” (Faragher, 1993, p. 65). I actually knew a bit more than where I was going – I knew I was starting in Lawrence, Kansas. I knew even more than that. I knew I have to head west to Topeka then north to Nebraska City. But frankly that was not enough; I really needed a map. Or better yet, a GPS, because there could be detours or traffic jams.

I am an educational researcher – a psychometrician, not a geographical car- tographer. Psychometricians apply statistical models to assessment responses and summarize those responses in a way that facilitates valid inferences about psycho- logical and educational constructs underlying those assessments. In the field of psychometrics, the science of testing, at best we use road signs, or lists of standards that a child must master. Road signs are not sufficient. Unfortunately, there has been little direct connection between the subject matter we assess and statistical methods we have used to analyze test results and build test forms. We have one set of methods for identifying the content we put on our tests and a completely unrelated set of methods for analyzing and producing results. Those Figure 1. Section of Google Map showing geographical relationship between Lawrence, results are shared on a numerical scale KS and Nebraska City, NE. with no inherent meaning, such as 200 – 51

800, or 1 – 36, or 120 – 170, which are the disabilities – the approximately 1% of stu- score scales for the SATs, ACTs, and dents with the greatest intellectual chal- GREs respectively. lenges. These children are often invisible What does a student with a score of within their greater communities, being 340 on the SAT Mathematics test know? educated in separate classrooms and of- Do two students with the score of 27 on ten in separate residential facilities. Most the ACT know the same things? And suffer from either intellectual disabilities, while the examples I gave are for admis- usually with IQs below 55, severe autism, sion tests that are not intended to provide or other conditions that interfere with feedback to improve student learning, the their ability to process information. same thing is true about tests intended to About ten percent of the alternate assess- provide such information, such as K-12 ment population have no formal commu- state tests or tests used to certify examinee nication systems. There is high co-mor- knowledge. bidity with single and multiple physical Just like maps can help us navigate in disabilities including motor control, deaf- the physical world, maps, could help us ness, and blindness. navigate the cognitive world. The DLM was administered for the The Dynamic Learning Maps Alter- first time in spring 2015 to 15 of 18 states nate Assessment was developed at the that have collaborated in building the as- University of Kansas Achievement and sessment. We expect some additional Assessment Institute working closely states will use DLM next year. with The Center for Literacy and Disabil- There are a number of key principles ity Studies at the University of North Car- underlying the development of the DLM olina Chapel Hill Medical School. Alternate Assessment, but today I will fo- Alternate Assessments are designed cus on the use of learning maps. for students with significant cognitive

Figure 2. Mathematics learning map 52

Figure 3. 7th Grade mathematics portion of the learning map We had a team of about a dozen re- they wanted to take it home after our researchers spend more than two years view session and start using it in their scouring the research literature for stud- classrooms. ies showing what we know about how While we collected the maps and did students learn academic content in Eng- not allow this at the time, we did create lish Language Arts and Mathematics. We additional structures within the map to had a handful of experts and hundreds of help all teachers with their understand- practicing educators review the maps. We ing. Within each of English Language identified a large number of nodes – Arts and Mathematics, we identified nine knowledge, skills, and aspects of cogni- conceptual areas, such as constructing un- tion: 159 that were foundational to both derstandings of text and calculating accu- disciplines, 1,850 in English Language rately and efficiently using simple arith- Arts and 2,554 in mathematics. We identi- metic operations. A subset of the map fied about 10,000 connections or path- nodes were identified as Essential Ele- ways among the nodes. Figure 2 shows ments particularly important learning tar- the current version of the mathematics gets. learning map. For each Essential Element we identi- When looked at in its entirety the in- fied common learning pathways includ- formation in the maps is hidden. Even ing nodes that supported mastering the broken down it appeared overwhelming, targeted essential element. Here is an ex- as you can see from them section on con- ample related to the Essential Element, structing understandings of text. “Identify two related points the author Smaller areas, such as nodes related makes in an informational text” – ELA to the 173 nodes and 243 connections EE.RI 3.8. On the left we see where in the within grade 7 mathematics are much map those nodes reside. On the right we more manageable, but still too compli- have highlighted several important cated to identify detail and facilitate nodes. teacher usage. Finally we pull out one or more We were sure it would be off-putting nodes at each of five levels. In this case we to educators and we would have to hide have two initial precursor nodes “Notice it inside the code in our software. Luckily what is new” and “Recognize same;” one the educators who reviewed the map con- distal precursor, “Determine similar or vinced us that we were wrong. In fact, 53

different based on physical characteris- shows the teacher how she or he can do tics;” one proximal precursor, “Identify that. relationships between concrete facts or For more than a decade K-12 school details;” the targeted essential element, assessments have been embedded in “Identify two related points made by the high-stakes accountability systems. This author of an informational text;” and a has led to an epidemic of teaching to tests successor skill, “Identify one or more rea- not designed to be taught to. Moreover sons supporting a point in the text.” schools stop new instruction well in ad- Now we have broken down the map vance of annual testing and focus on test to areas around each 538 English Lan- preparation. guage Arts and 172 Mathematics essential The best test preparation should be elements. Each of these mini-maps is rel- good instruction. We must return to a atively easy for a teacher to comprehend, paradigm of INSTRUCTION driving as- and any individual teacher only needs to sessment, rather than the other way be able to use at most one hundred of the around. To this end, assessments must be mini-maps to guide instruction. developed based on the learning map as With these maps our teachers are less opposed to being based on a list of con- likely to get lost! Once they decide where tent specifications. To ensure this we cre- they are going and determine where they ated Essential Element Concept Maps to are starting they have information about guide our test developers. These concept the route they should take. And if the spe- maps include the five level mini-maps, cial needs of a particular child means that but also identify key vocabulary, and pro- child needs to take a detour from the most vide one or more templates for creating common learning pathway, the map assessment tasks for the measured nodes.

Figure 4. Key nodes related to identifying two related points made by the author of a text.

After the tests are developed and ad- morning dew in my neighborhood. If the ministered we need to use statistical mod- sprinkler was not on but it rained there is els consistent with our learning map. This an 80% chance the grass will be wet – the means we cannot simple add up the num- other 20% of the time it will have dried by ber of items a student responded to cor- morning. If the sprinkler came on but it rectly. We are not interested in a total did not rain, the probability of a wet lawn score. Instead we are interested in which is .9 – the sprinkler comes on late enough particular nodes a student mastered – a so it is not likely it would be dry by the concept that relates directly to the map. time I leave the house, even on a sunny We need a different statistical ap- warm morning. Finally, if the sprinkler proach such as Bayesian network analy- was on AND it did rain the probability of sis. Let me give you an example of how a wet lawn is .99. that would work. What I want to know is if my lawn is Let’s say I would like to know if it wet in the morning, what is the probabil- rained last night. Simple, you might say, ity that it rained? just look out the window and see if your Sir Thomas Bayes, an English Presby- lawn is wet. But it is more complicated terian minister and statistician who lived than that. There is a relationship among in the early 1700s comes to our rescue. three potentially observable events: Though he never published his notes, a • Did it rain last night? remarkable theorem he invented was dis- • Was my sprinkler on? covered after his death. That theorem is as • Is my grass wet? follows. Based on our prior knowledge we We want to know the probability it can add probabilities to these three rained given the lawn is wet, but what we events. In this case perhaps we know the probability of it raining in Lawrence on any random summer night. Let us say �(�|�)��(�) that probability is .2. �(�|�) = I must admit, my wife turns the have is the probability the�(�) lawn is wet sprinkler system on and off at our house. given it rained. Bayes theorem lets us cal- She also pays much better attention to culate the desired probability, which is weather forecasts than I do. If it is not go- .36. ing to rain she turns on the sprinkler 40% of the time – she does not want it on 100% of the time as that would be wasteful or The same logic applies. 016038when we are even damage the lawn. However one per- �(� = ��|��=�)=� = .3577 trying to estimate the probability. 44838 a stu- cent of the time she forgets to turn it off dent has mastered a node in the learning when it is going to rain. map given we know which of the three Finally I have a table of conditional test items the student answered correctly. probabilities of the grass being wet. If the This is significantly more difficult than in sprinkler was off and it did not rain the the rain example, both because we cannot probability of a wet lawn is 0 – there is no

directly observe node mastery and be- In addition, reports based on learn- cause we have such a large number of ing maps could be dynamic and show us nodes for which probabilities must be es- student progress over time. timated. Finally, although we started our Luckily, there is a family of statistical learning map with the goal of improving estimation methods we can use to esti- instruction and assessment for students mate mastery probabilities for large num- with significant cognitive disabilities, bers of observable and non-observable there is no reason this approach would nodes. It is called Markov Chain Monte not work equally as well for all students. Carlo estimation, often abbreviated We have had one follow up grant to MCMC. We can do that with multiple expand the map in mathematics to make

Figure 5. Section of prototype score report where shading indicates level of mastery attained nodes each with multiple connected it cover the K-12 content necessary for all items. students and to provide better map visu- Once we have estimated mastery of alization tools. We have just applied for nodes we can provide reports that, based another grant that would complete the on focus groups we have had with par- build out of the map in English Language ents and educators, provide information Arts and expand the mapping software that is concrete, understandable, and ac- capabilities to allow the tagging of in- tionable. No more trying to figure out structional resources, professional devel- what it means for your child to have a opment materials, and formative assess- score of 27. ments to the nodes (or groups of nodes) in These reports can even suggest what the map. This could allow commercial en- next area of study would best serve as a tities to license the map and software to next instructional focus – either for the deliver their own content. A third recent class as a whole or for any individual stu- NSF grant application would allow us to dent. That is, the use of learning maps map out the components of the data sci- makes it much easier for teachers to per- ences at KU. Also, a medical certification sonalize instruction.

organization has expressed interest in us- foundation (Bill and Melinda Gates Foun- ing this approach in the determination of dation) and a consortium consisting of 18 clinical judgment skills. state departments of education. This lat- Maps organize information in ways ter source of funding appears to be under- familiar to most people. The map meta- recognized and underutilized by research phor is powerful. The possibilities of this universities. approach cross disciplines. Of important note in these times of References: diminishing federal research support in 1. Faragher, J.M. (1993). Daniel Boone: the social sciences, this line of research The life and legend of an American pi- has been supported by a federal agency oneer. New York: Holt Paperbacks. (U.S. Department of Education), a large

The Trouble (and Opportunities) With Ed Schools in the Research University

Christopher Morphew, Executive Associate Dean for Research and Innovation; Professor, College of Education, University of Iowa

emoaning and Diagnosing Ed Schools David Labaree, writing in 1996 in his influential essay The trouble with Ed Schools B (which he later expanded into a book of the same name) diagnoses the problems that Schools or Colleges of Education have faced, both historically and currently. Ed Schools, he points out, have seemingly always been a punching bag for the average citizen and state legislator, who likes their local public school and teachers, but have no respect for the state of public education in general, nor the institutions that produce teachers. Ed Schools, he writes, have responded to coercive market and government pressures only to discover that, in doing so, they put themselves in the unenviable but necessary position of catering to stig- matized populations that results in indictment by association. Ed Schools have played into the perception that they take in low quality students, and produce low quality graduates who don't benefit from the social mobility a college degree in the same way as do the graduates of engineering and business schools. At the time Labaree was writing, an in- at a lower cost than many other parts of the fluential group of Ed School leaders (includ- university. ing deans) had penned several essays be- I find Labaree's work particularly illu- moaning and excoriating Ed Schools for their minating and will use his short essay as a failure to modernize, establish connections springboard to discuss what I see as the chal- with public schools, and push for education lenges and opportunities for Ed Schools in reform. This was the last straw; even Ed Research Extensive Universities, like those Schools' leaders had piled on to the band- that bring together scholars and administra- wagon. Yet, Labaree's essay isn't all doom tors to the Merrill Advanced Studies Retreat and gloom. After explaining why Ed Schools each year. In the process, I will explain why I -- rightfully in many cases -- deserve their think Ed Schools -- for all of their real prob- reputation, Labaree points out several fea- lems -- may be positioned quite strategically tures of Ed Schools that present an oppor- in the modern research university. tunity in the current political and social envi- The Trouble with (Research in) Ed ronment. These features include a degree Schools with a job opportunity formally attached, a Unlike some other parts of the uni- head start on conducting practical research versity that seem well-suited for produc- about an institution that everyone cares ing high quality scholarship, the Ed about, and a history of delivering education School is organized in a way that, to some

extent, gets in the way of doing research. clinical experiences must be worked out Unlike degree programs in history or with partner schools, supervised, and physics, teacher preparation and admin- evaluated frequently and this requires re- istrator licensure programs are subject to sources -- including faculty time -- that the accreditation whims of state legisla- otherwise might be used for the research. tors and entities like boards of educa- Research universities don’t hire scholars tional examiners who make greater and to supervise students’ clinical experi- greater demands -- some justified, others ences, but Ed Schools must find ways to not so much -- of undergraduate and engage faculty in these clinical experi- graduate degree programs linked to cer- ences and that can be difficult. Finally, tification. These demands include spe- the typical requirement that certification cific coursework with defined objectives, programs be staffed with instructors who clinical hours spent in the K-12 building have practical experience as principals or or classroom, and requirements that in- superintendents greatly restricts the la- structors have experience as teachers, bor pool from which Ed Schools might principals, or superintendents. hire their faculty. It is significantly more These certification requirements pre- difficult to identify and hire a promising sent real constraints to the research ca- junior scholar who has experience as a pacity of Ed Schools. First, they reduce high school principal than to hire a new the ability of Ed School professors to con- Ph.D. with an ambitious research agenda struct a curriculum that prepares stu- who has never worked in a school. dents to be teachers and administrators An additional problem consistent and simultaneously take advantage of with both Labaree's diagnosis and prob- the research university infrastructure. lematic for research productivity in Ed The pressure to meet state requirements Schools is the fact that Ed Schools tend to in a timely manner gets in the way of op- hire experts in education rather than ex- portunities that students in history and perts in specific disciplines. That is, the physics might have to engage in time- typical professor in an Ed School is a consuming research projects with faculty graduate of, for example, an educational or pursue a second (or third) major. This psychology program, not a psychology is true, as well, of the graduate students program. Likewise, the historians and so- in programs tied to certification, many of ciologists of education were more than whom might be interested in working di- likely trained in other Ed Schools, rather rectly with faculty on research projects, than in history or sociology Ph.D. pro- but cannot step away from their teaching grams. This isn’t to say that these scholars or administrative positions to pursue a can’t function as high quality psycholo- degree full-time because doing so would gists or historians. They can and do. But put them at a competitive disadvantage there are disadvantages -- when pursuing on the job market once they graduate. grants or engaging with professional as- Second, the clinical expectations pre- sociations linked to disciplines -- that ac- sent real challenges for the students and company being trained in Ed Schools ra- professors in Ed Schools. High quality ther than in Colleges of Liberal Arts and

Sciences. These disadvantages include foundations like Gates is a second poten- being overlooked by foundations and/or tial advantage for Ed Schools. Not only review panels at federal funding agencies has Gates' interest in schools and school that are quick to cede the high ground reform opened up funding opportunities (and funding dollars) to economists or for research on public education, it has other scholars who have PhDs in aca- also shone a spotlight on education re- demic disciplines. search. Gates' coattails are long and its in- Research Opportunities In Ed terest has spurred other large and small Schools foundations to focus their sights on Labaree ends his essay on an opti- schools and educational reform as well. mistic note, extolling the opportunities Ed School researchers are in a good posi- available to Ed School as a result of their tion to secure funding and highlight their connections with schools and their expertise. Potential rivals are many; par- unique histories. I share his sentiment rel- ticularly scholars from disciplines like ative to Ed Schools’ research opportuni- economics who have convinced many ties. funders that their methods and ap- First and foremost, Ed Schools bene- proaches are more suitable than Ed fit from a multidisciplinary approach to Schools' researchers for diagnosing the research. This advantage is the result of trouble with schools. Ultimately, though, the same handicap that I identify above: much of the best work on schools will be the likelihood that Ed School scholars are done by Ed Scholars because of their inti- trained in other Ed Schools, rather than in mate and unique knowledge of how disciplines in the arts and sciences. Ed schools are organized and function. School professors are trained to think Finally, Ed Schools have an intra-in- about education-related problems first stitutional advantage that Labaree and foremost. While they are trained as acknowledges and that I believe should sociologists or counselors, their Ed be exploited by more strategic university School training allows them to consider leaders. Ed Schools are relatively inex- questions from a perspective that incor- pensive. This advantage is manifested in porates at least one discipline and funda- several ways. Faculty salaries are one mental knowledge about schools as insti- part of the algebra. Ed School researchers tutions. Ed School professors, precisely make less than their peers in the health because they are not trained in a single sciences, business, and often less than fac- discipline, tend not to be trapped in the ulty in natural and physical sciences. same methodologies and conceptual Start-up costs are less as well. While en- frameworks that might dominate a disci- gineering faculty and those in the health pline. A focus on schools and the prob- sciences may require start-up packages lems that affect them also contributes to approaching or exceeding hundreds of Ed Scholars’ willingness to embrace col- thousands of dollars, a generous start-up laborative research projects. package for a junior faculty member in an The recent growth in interest in Ed School might be one-fifth that size or schools and public education by large

less. The start-up costs mirror the research costs of Ed School scholars. Gener- ally, expensive labs are not required (though some Ed School researchers who study child development or use sophisti- cated methods that require expensive computer hardware and software may require access to physical labs). These cost advantages matter now and may matter more in the future. As provosts struggle with the cost of the arms race in the sciences, some may (and should) come to the conclusion that competing for smaller grants that incur smaller costs may be part of a winning strategy to build research capacity and pockets of excellence on campus. Ultimately, the trouble with Ed Schools is both real and a product of perception. The real part is a function of what Labaree describes as Ed Schools' longstanding links to historically marginalized populations and soft, applied problems. That is not likely to change. The perception part is something that Ed School and University leaders can do something about.

Social and Behavioral Sciences Research: is now the time to invest?

Steve Goddard, Associate Vice Chancellor for Research, University of Nebraska-Lincoln Dan Hoyt, Director, Social and Behavioral Sciences Research Consortium, University of Nebraska

ocial and behavioral sciences are broad, interrelated fields of study. The core social sciences consist of anthropology, economics, geography, sociology, and po- Slitical science. Researchers in the social sciences often use methods similar to the natural sciences as tools for understanding human behavior in societal contexts. The behavioral sciences consist of education, psychology, social neuroscience, communication and cognitive science, and researchers in these fields often use empirical data to investigate the decision processes and communication strategies. Within the structure of universities we also find social and behavioral scientists located across a broad range of academic units including agricultural economics, demography, educational psychology, health and nutrition, and public health. Researchers in both groups frequently engage a combination of basic and applied research, with the applied research typically involving interventions designed to improve health and related outcomes. The National Science Foundation grants range in value from $10K to $7M. (NSF) and the National Institutes of The following list of selected active Uni- Health (NIH) fund the majority of social versity of Nebraska-Lincoln (UNL) and behavioral sciences research (SBSR) grants illustrates this range: in the U.S., though agencies such as the • Doctoral Dissertation improve- Department of Education (DoE), the De- ment grant (NSF): $11,997 partment of Defense (DoD), the Depart- • Alcohol, Trauma and Intrusions ment of Agriculture (USDA), the Center (NIH): $128,916 for Disease Control and Prevention • Intelligent Support to Deterrence (CDC), the National Institute of Justice Operations (DoD): $99,811 (NIJ) and the Administration for Chil- • Redesigning Science Surveys dren and Families. The Agency for (USDA): $115,000 Healthcare Research and Quality • Ecological Model of Latino Youth (AHRQ) are also well known supporters (NSF): $339,935 of SBSR. Nationally, SBSR receives • Randomized Trial in Rural Edu- $921M in federal funding. While signifi- cation (DoE): $2,999,994 cant, this amount pales in comparison to • Native American Substance Abuse the $40.1B of federal funding for all sci- Prevention (NIH): $3,762,799 ence and engineering. Typical SBSR 62

Table 1: SBSR funding by state, agency, and top universities in the region. Table 1 provides a breakdown of fed- This is important because funding for tra- erally supported SBSR by State in Iowa, ditional disciplinary SBSR is becoming Kansas, Missouri, and Nebraska (Consor- increasingly more competitive due to an tium of Social Science Associations, State increasing pool of applicants and de- Fact Sheets, n.d.). As shown in Table 1, creases in SBSR federal funding. The re- each of the major universities in these sult, as we see across the funding land- four states have well-funded SBSR pro- scape, is lower federal funding rates. grams, with diverse funding portfolios. While it is true that overall research funding has declined in real dollars over

Table 2: NSF funding by directorate from FY 1998 through FY 2014

the past decade, SBSR has been particu- ample, the House Commerce, Justice, Sci- larly hard hit. Consider for example the ence and Related Agencies (CJS) Appro- NSF research funding trends from 1998 priations Subcommittee FY16 report through 2014, as shown in Table 2. NSF (2015) includes the following problematic research funding (excluding educational, language impacting social science fund- equipment, and operations) has in- ing: creased from approximately $3.5B in FY “The Committee directs NSF to ensure 1998 to approximately $6.1B in FY 2014 that Mathematical and Physical Sci- (Todd, 2014). However, the research ences; Computer and Information Sci- funding allocated to SBSR has remained ences and Engineering; Engineering; a small proportion of the overall NSF re- and Biological Sciences comprise no search budget, declining from 4.9% in less than 70 percent of the funding 1998 to 4.4% in 2014. within Research and Related Activi- Changes in federal funding from FY ties.”

Table 3: Funding by agency for FY 2014 and FY 2015, with percent change noted.

2014 to FY 2015, shown in Table 3, have In general, agencies and programs hit SBSR particularly hard. For example, that support SBSR would fare quite DoE, ARHQ, and the Department of Jus- poorly in the bill. Among the many chal- tice (DoJ) are strong supporters of SBSR, lenging provisions, the bill seeks to (i) and each experienced a budget cut. Fund- limit support for social science research at ing directives for NIH and NSF include NSF, (ii) enable potentially deep cuts to language for specific funding priorities the National Institute of Justice and Bu- that impact SBSR funding. reau of Justice Statistics, and (iii) degrade Fiscal Year 2016 looks to be even the American Community Survey within worse. At the time of this writing, Con- the Census Bureau (Consortium of Social gress has not yet approved a FY16 budget Science Associations, 2015). (or even a Continuing Resolution), but The House report states: early indicators indicate Congress is tak- “Social, Behavioral and Economic (SBE) ing aim at SBSR funding in FY16. For ex- Sciences—Long-standing congressional concerns persist about the merit 64

of activities funded through NSF’s SBE Institute of Educational Sciences (IES), Directorate. In order to address these within the DoE, is likely to experience a concerns, NSF must ensure that SBE significant cut (up to 27%). If the House awards are consistent with NSF’s scien- has its way, ARHQ will be completely tific quality standards and aligned to eliminated with its budget being zeroed national interests. The Committee rec- out. ognizes the intrinsic value in SBE sci- At this point, one might wonder why ences and the direct responsiveness of any university would consider investing SBE activities to Committee priorities, additional resources in SBSR. To answer including studies on the effects of this question, one must remember why youth exposure to media violence and we conduct SBSR and what we hope to the collection of data for STEM educa- gain. Our long-term success in address- tion indicators.” ing major economic, health, energy, envi- Table 4 provides a summary of the ronmental and national security chal- U.S. House and Senate versions of FY lenges depends on understanding not 2016 funding bills. Potential impacts on only their technological and scientific SBSR are not fully exposed by overall complexities, but also the broader social, funding levels in NSF and NIH, but the political and economic issues that serve

Table 4: Proposed congressional changes in funding by agency for FY 2016. impact becomes more visible when one as the context for addressing these mat- starts to read the details of the bill. For ex- ters. For example, we all know we should ample, House language on funding does eat balanced diets and exercise regularly, not specify budgets for each directorate, yet few of us do either. The answer to but it includes language mandating the many of society’s problems are known, percentage of funding for certain classes the challenge is figuring out how to of research, and specifies targeted initia- change behaviors to adopt solutions to tives, that would result in reductions in the problems ailing our society. funding for the Social, Behavioral and At UNL, we believe it is best to invest Economic Sciences Directorate (SBE). The now, when the ‘market is down’, rather situation is much more dire for the than wait until the ‘market is hot’. But we smaller agencies that focus on SBSR. The must make wise investments, so that we 65

are prepared for future funding opportu- throughout multiple phases of the re- nities and challenges. We need to move search process.” (Aboelela, Larson, from thinking of research defined by dis- Bakken, et al., 2007) ciplinary boundaries and expertise to re- National funding agencies, such as search foci that require the collaboration NSF and NIH, have greatly increased the of researchers across disciplines, bringing portions of their budgets allocated to- diverse theoretical and methodological ward creating interdisciplinary research approaches to address a common re- programs. For example, the NSF Rebuild- search challenge. ing the Mosaic initiative promotes inter- As societal problems have become disciplinary, data intensive, and collabo- more complex, it has become widely ac- rative research with four crosscutting cepted that we need new ways to address themes: today’s research challenges. Thus, the • Population Change: Fundamental to past decade has been marked by a steady Unpacking Key Research Problems; transition from funding traditional disci- • Disparities: Sources and Conse- plinary-based research to increased fund- quences; ing of interdisciplinary research projects. • Understanding: Brain, Behavior, Before addressing the impacts of that Communication, Learning and Lan- transition, it is important to define the guage; and term. • Technology: New Media and Social “Interdisciplinary research is a mode Networks. of research by teams or individuals The Interdisciplinary Behavioral and that integrates information, data, Social Science Research (IBSS) competi- techniques, tools, perspectives, con- tion promotes the conduct of interdisci- cepts, and/or theories from two or plinary research by teams of investiga- more disciplines or bodies of special- tors. Emphasis is placed on support for ized knowledge to advance funda- research that involves researchers from mental understanding or to solve multiple SBE disciplinary fields and that problems whose solutions are beyond integrates scientific theoretical ap- the scope of a single discipline or area proaches and methodologies from multi- of research practice.” (Committee on ple SBE disciplinary fields. Facilitating Interdisciplinary Re- Importantly, interdisciplinary fund- search, Committee on Science, Engi- ing opportunities are not limited to SBSR neering, and Public Policy, 2004). directorates. Aboelela et al. define interdisciplinary • Secure and Trustworthy Cyberspace research as being (SaTC): The National Science and “based upon a conceptual model that Technology Council (NSTC) with the links or integrates theoretical frame- cooperation of NSF issued a broad, works from those disciplines, uses coordinated Federal strategic plan for study design and methodology that is cybersecurity research that “requires not limited to any one field, and re- a dedicated approach to research, de- quires the use of perspectives and velopment, and education that lever- skills of the involved disciplines ages the disciplines of mathematics 66

and statistics, the social sciences, and “The broad goal for the IR pro- engineering together with the com- gram therefore, was to change aca- puting, communications and infor- demic research culture, both in the mation sciences”. (NSF Program So- extramural research community licitation NSF 15-575, 2015). and in the extramural program at • Critical Techniques and Technologies the NIH, such that interdisciplinary for Advancing Foundations and Ap- approaches are facilitated. The In- plications of Big Data Science and En- terdisciplinary Research Program gineering (BIGDATA): “The BIG- included initiatives to dissolve aca- DATA program seeks novel ap- demic department boundaries proaches in computer science, statis- within academic institutions and tics, computational science, and increase cooperation between insti- mathematics, along with innovative tutions, train scientists to cultivate applications in domain science, in- interdisciplinary efforts, and build cluding social and behavioral sciences, bridges between the biological sci- geosciences, education, biology, the ences and the behavioral and social physical sciences, and engineering sciences. Collectively, these ef- that lead towards the further devel- forts were intended to change aca- opment of the interdisciplinary field demic research culture so that inter- of data science.” (NSF Program Solic- disciplinary approaches and team itation 15-544, 2015). science are a normal mode of con- • The NIH has taken a bolder approach ducting research and scientists who to interdisciplinary research (IR): pursue these approaches are ade- “Health research traditionally has quately recognized and rewarded.” been organized much like a series of (NIH Office of Strategic Coordina- cottage industries, lumping re- tion — The Common Fund, n.d.). searchers into specialty areas, • The NIH Office of Behavioral and So- where their efforts remain discon- cial Sciences Research seeks to ad- nected from the greater whole by dress the “complexity inherent in be- artificial barriers constructed by havioral and social phenomena, re- technical and language differences ferred to as systems science method- between different disciplines and ologies” and “promote interdiscipli- departmentally-based specialties. nary collaboration among health re- But, as science has advanced over searchers and experts in computational the past decade, two fundamental approaches to further the development themes are apparent: the study of of modeling- and simulation-based human biology and behavior is a systems science methodologies and wonderfully dynamic process, and their application.” (NIH Funding Op- the traditional divisions within portunity Announcement PAR-15- health research may in some in- 047, 2014) stances impede the pace of scientific Similar language is found in their health discovery.” disparities research programs:

“Research on the causes and solutions In the Spring of 2012, UNL began to to health and disabilities disparities in explore new methods, beyond interdisci- the U. S. population. Health disparities plinary teams, to solving complex SBSR between, on the one hand, racial/ethnic challenges by forming and funding trans- populations, lower socioeconomic clas- disciplinary teams. Transdisciplinary Re- ses, and rural residents and, on the search is defined as “research efforts con- other hand, the overall U.S. population ducted by investigators from different are major public health concerns.” “Ap- disciplines working jointly to create new plications that utilize an interdiscipli- conceptual, theoretical, methodological, nary approach, investigate multiple levels and translational innovations that inte- of analysis and/or employ innovative meth- grate and move beyond discipline-spe- ods such as systems science or commu- cific approaches to address a common nity-based participatory research are problem” (Harvard Transdisciplinary particularly encouraged.” (NIH U.S. Research in Energetics and Cancer Cen- National Library of Medicine, n.d.) ter, n.d.). Before the federal funding agencies Based upon an assessment of where started creating these ‘new’ programs, we had potential to expand collaborative UNL was investing heavily in interdisci- research, our first step was to launch the plinary SBSR. In 2004, the Nebraska Cen- Minority Health Disparities Initiative ter for Research on Children, Youth, Fam- (MHDI) a transdisciplinary initiative ilies and Schools (CYFS) was established. with a focus on research, outreach, and The mission of the CYFS is “to advance training on health disparities (UNL Mi- the conduct of high-quality interdiscipli- nority Health Disparities Initiative, n.d.). nary research to promote the intellectual, The investigators associated with this in- behavioral, and social-emotional devel- itiative have been successful in obtaining opment and functioning of individuals significant funding from NIH, with mul- across educational, familial and commu- tiple $3M+ R01 awards ranging from re- nity contexts” (Nebraska Center for Re- search on HIV Injection Risk Networks in search on Children, Youth, Families and Rural Puerto Rico to a Randomized Con- Schools, n.d.). Investments in interdisci- trol Trial of a Culturally-Based Substance plinary SBSR faculty, centers, and other Abuse Intervention for Aboriginal Youth. activities continues to this date, with the MHDI also received funding from NSF most recent high profile initiative being for a summer REU program that aims to the Substance Abuse and Violence Initia- train the next generation of scientists in tive (SAVI), which began in 2010. SAVI minority health disparities and social net- brings together an interdisciplinary team work analysis. to address the complex intersection be- Shortly after that, UNL began the tween substance abuse and violence formation of the Center for Brain, Biology (Substance Abuse and Violence Initiative, and Behavior (CB3). CB3 is a transdisci- n.d.). plinary center that brings together distinguished UNL faculty in the social, behav-

ioral and biological sciences and engi- was to enhance infrastructure by winning neering (UNL Center for Brain, Biology a $300,000 NSF grant to launch the Cen- and Behavior, n.d.). It also represents a tral Plains Research Data Center (RDC). unique partnership between academics The RDC is established in collaboration and athletics at the UNL, with CB3 mov- with the U.S. Census Bureau’s Center for ing into a new expansion of Memorial Economic Studies and includes partner- Stadium in early 2014. This center’s mul- ship with the University of Nebraska tidisciplinary environment enables di- Medical Center, Iowa State University, verse studies to expand our understand- the University of Iowa and the University ing of brain function and its effects on hu- of South Dakota (UNL Central Plains Re- man behavior. An early and significant search Data Center, 2014). The center will focus is on minor traumatic brain injury, be joining a network of 18 such centers in which many athletes sustain in the form the U.S. that are jointly funded by the of concussions. More broadly, the center Census Bureau and the National Science offices and labs house researchers who Foundation. Slated to open in fall 2015, are at the forefront in the study of genet- this Federal Statistical Research Data ics, neuroscience, physiology, cognition Center provides researchers in the social, and other areas of brain science. behavioral, health and life sciences across The SBSR Initiative at UNL began in the region a secure environment that al- June of 2012 when the UNL Vice Chancel- lows access to restricted-use data from lor for Research, Prem Paul, charged a the Census Bureau, National Center for faculty task force with answering several Health Statistics, Bureau of Labor Statis- interrelated goals (UNL Social and Be- tics, National Center for Education Statis- havioral Sciences Research Initiative Task tics, Department of Transportation, De- Force Report, 2014): partment of Housing and Urban Devel- • enhance research excellence in the opment and other federal sources. The social and behavioral sciences at center will provide access to a wealth of UNL, federal and regional data available on • enhance competitiveness of UNL fac- campus producing unique opportunities ulty in the social and behavioral sci- for enhancing social and behavioral re- ences for extramural funding, search. • identify gaps in faculty expertise that Building upon the recommendations must be addressed to build success- outlined in the SBSR Initiative task force ful teams of social and behavioral report, which was delivered in the spring science researchers, and of 2014, the UNL Office of Research and • identify infrastructure or other needs Economic Development established the to assist social and behavioral sci- Social and Behavioral Sciences Research ences faculty to be more productive Consortium (SBSRC) [UNL Social and and competitive for extramural Behavioral Sciences Research Consor- funding. tium, n.d.]. The task force report high- A significant first accomplishment lighted areas of SBSR strength on cam- associated with the UNL SBSR Initiative

pus, but noted the need to enhance con- It was clear from the SBSR Initiative nections and collaborations. This was a task force report that another need was to primary motivation in the branding of create a central assessment and referral this effort as a “consortium”, highlight- mechanism. The report made it clear that ing a primary goal to bring social and be- more effort needed to be invested in in- havioral scientists together to address forming faculty about existing SBSR re- common research challenges regardless sources. Again highlighting the ‘consor- of department, college, or even campus tium’ element of the SBSRC, a core activ- affiliation. ity in the initial year is to create a compre- SBSRC’s mission is to facilitate the hensive inventory of UNL SBSR re- growth of social and behavioral research sources and expertise. These data will through coordinated activities that in- then be used to build a referral network clude: that will facilitate and support team re- • building a referral network for ex- search. SBSRC will identify new opportu- isting resources, nities for collaboration, provide seed • enhancing research capacity, funding, coordinate external funding op- • providing seed and voucher sup- portunities and provide mentoring for port, new faculty. In this effort, SBSRC will • identifying and building research work closely with existing initiatives and collaborations, and centers, including seed funding in the • providing mentoring for new inves- form of vouchers for faculty to work with tigators. existing research support units. An initial project in the center will be The SBSR Initiative task force report to use network science analyses to assess also identified areas of research infra- the type and extent of current interdisci- structure that needed to be supported plinary collaborations. The SBSRC is and/or enhanced to facilitate the growth mapping all grant activity over the past 4 of new social and behavioral collabora- years that includes SBSR faculty. This tions. Accordingly, a first activity of the analysis will be complemented by a sec- SBSRC was to submit a University of Ne- ond science network mapping of areas of braska Research Initiative grant for en- research specialization and publications hanced core facility support for social for the SBSR faculty. Combined, these and behavioral research. This grant was analyses provide a baseline assessment of funded at the start of the fiscal year and current interdisciplinary and transdisci- the SBSRC is in process of developing ad- plinary collaborations as well as identify ditional research infrastructure support- opportunities for future collaborations. ing social and behavioral research. This work will also assist us in identify- It is important to note that we have ing areas where strategic faculty hires started this strategic investment with a could greatly enhance our ability to build strong base of social and behavioral sci- interdisciplinary teams positioned to re- entists who were recruited to UNL spond to funding opportunities. through collaborative efforts of academic departments, colleges, and the office of

research. In addition, there are existing Related Agencies Appropriations Act.” campus research centers with major so- (accessed August 17, 2015): cial and behavioral research foci, includ- http://www.cossa.org/wp-content/up- loads/2015/05/FY-2016-House-CJS-Analy- ing the Nebraska Center for Research on sis-19May2015.pdf Children, Youth, Families and Schools, Consortium of Social Science Associations. the Center for Children Families and the “State Fact Sheets”, (accessed August 17, Law, and the Public Policy Center. The 2015): http://www.cossa.org/re- new investments in MHDI, CB3 and the sources/state-fact-sheets/ RDC enhance this base of SBSR initiatives Harvard Transdisciplinary Research in Ener- and centers. The referral, coordination, getics and Cancer Center. (n.d.). “Defini- and supplemental services provided tions” (accessed August 17, 2015): through SBSRC add the final element in http://www.hsph.harvard.edu/trec/about- us/definitions the plan to increase SBSR funding in this House Commerce, Justice, Science and Re- competitive research environment. lated Agencies (CJS) Appropriations Sub- In summary, is now the time to in- committee FY16 Report. (2015). (accessed vest in social and behavioral science re- August 17, 2015): http://appropria- search? Obviously at UNL the answer is tions.house.gov/uploadedfiles/hrpt-114- yes! We believe SBSR will continue to hr-fy2016-cjs.pdf play significant roles in addressing our NIH Funding Opportunity Announcement societies’ biggest challenges. The growth PAR-15-047. (2014). “Systems Science and opportunities, however, are in interdisci- Health in the Behavioral and Social Sci- ences (R21)” (accessed August 17, 2015): plinary and transdisciplinary team sci- http://grants.nih.gov/grants/guide/pa- ence approaches, rather than traditional files/PAR-15-047.html single-investigator research projects. We NIH Office of Strategic Coordination — The are confident that our approach will po- Common Fund (n.d.). “Interdisciplinary sition UNL to be a leading institution in Research Overview” (accessed August 17, transdisciplinary social and behavioral 2015): https://commonfund.nih.gov/Inter- science research. disciplinary/overview NIH U.S. National Library of Medicine. References (n.d.). “Behavioral and Social Science Re- Aboelela SW, Larson E, Bakken S, et al. search on Understanding and Reducing (2004) “Defining interdisciplinary re- Health Disparities Grants” (accessed Au- search: conclusions from a critical review gust 17, 2015): of the literature.” Health Serv Res. 2007; http://www.nlm.nih.gov/ep/healthdisp.ht 42:329–346. ml Committee on Facilitating Interdisciplinary NSF Program Solicitation 15-544. (2015). Research, Committee on Science, Engi- “NSF Critical Techniques and Technolo- neering, and Public Policy (2004). Facili- gies for Advancing Foundations and Ap- tating interdisciplinary research. National plications of Big Data Science and Engi- Academies. Washington: National Acad- neering (BIGDATA).” (accessed August emy Press. 17, 2015): https://www.nsf.gov/mo- Consortium of Social Science Associations. bile/fund- (2015) “COSSA Analysis of the FY 2016 ing/pgm_summ.jsp?pims_id=504767 House Commerce, Justice, Science and 71

NSF Program Solicitation 15-575. (2015). UNL Minority Health Disparities Initiative. “NSF Secure and Trustworthy Cyber- (n.d.). (accessed August 17, 2015): space (SaTC)”. (accessed August 17, http://mhdi.unl.edu 2015): https://www.nsf.gov/fund- UNL Nebraska Center for Research on Chil- ing/pgm_summ.jsp?pims_id=504709 dren, Youth, Families and Schools. (n.d.). Todd, Michael. (2014). “How Much NSF (accessed August 17, 2015): Funding Goes to Social Science?” Social http://cyfs.unl.edu/cyfs/about Science Space. (accessed August 17, 2015): UNL Social and Behavioral Sciences Re- http://www.socialscienc- search Consortium. (n.d.). (August 17, espace.com/2014/03/how-much-nsf-fund- 2015): http://sbsrc.unl.edu ing-goes-to-social-science UNL Social and Behavioral Sciences Re- UNL Center for Brain, Biology and Behavior. search Initiative Task Force Report. (n.d.). (accessed August 17, 2015): (2014). 0(accessed August 17, 2015): http://cb3.unl.edu http://research.unl.edu/facul- UNL Central Plains Research Data Center. tyretreat14/wp-content/up- (2014) “Research Data Center expands loads/sites/19/2014/04/SBSRI-Task-Force- possibilities” (August 17, 2015): Report-Final.pdf http://research.unl.edu/researchnews/sep- UNL Substance Abuse and Violence Initia- tember2014/rdc-expands-research-possi- tive. (n.d.). (accessed August 17, 2015): bilities/ http://psychology.unl.edu/savi/about-savi .

RETREAT PARTICIPANTS 2015

Keynote Speaker Ruth Watkins, Provost and Senior Vice President for Academic Affairs, University of Utah Iowa State University Wolfgang Kliemann, Associate Vice President for Research Kansas State University Mary Rezac, Tim Taylor Professor of Chemical Engineering; Director, Center for Sustainable Energy The University of Iowa Daniel Reed, Vice President for Research and Economic Development Christopher Morphew, Executive Associate Dean for Research and Innovation Alexandra Thomas, Clinical Professor, Hematology, Oncology and Bone Marrow Transplantation; Co-Director, Breast Multidisciplinary Oncology Group The University of Kansas Mabel Rice, Fred and Virginia Merrill Distinguished Professor of Advanced Studies; Director, Merrill Advanced Studies Center Don Steeples, Interim Dean, College of Liberal Arts and Sciences Richard Barohn, Vice Chancellor for Research, KUMC John Colombo, Director, Life Span Institute Neal Kingston, Director, Achievement and Assessment Institute Julie Nagel, Executive Director of Corporate Partnership Hinrich Staecker, David and Marilyn Zamierowski Professor, Otolaryngology Head and Neck Surgery Deb Teeter, University Director, Office of Institutional Research and Planning James Tracy, Vice Chancellor for Research University of Nebraska-Lincoln Steve Goddard, Associate Vice Chancellor for Research Shane Farritor, David and Nancy Lederer Professor, Mechanical and Materials Engineering

Notes

The University of Kansas prohibits discrimination on the basis of race, color, ethnicity, religion, sex, national origin, age, an- cestry, disability, status as a veteran, sexual orientation, marital status, parental status, gender identity, gender expression and genetic information in the University’s programs and activities. The following person has been designated to handle inquiries regarding the non-discrimination policies: Director of the Office of Institutional Opportunity and Access, [email protected], 1246 W. Campus Road, Room 153A, Lawrence, KS, 66045, (785)864-6414, 711 TTY. 74