The Kept University - Corporations Vampirizes Universities

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C OMMER C IA L L Y SP ON SOR ED R ESEA R C H IS P UT T IN G A T R ISK T H E P A R A MOUN T VA L UE OF H IG H ER
EDUC A T ION DISIN T ER EST ED IN QUIR Y . EVEN MOR E A L A R MIN G , T H E A UT H OR S A R G UE, UN IVER SIT IES
T H EMSEL VES A R E BEH A VIN G MOR E A N D MOR E L IK E F OR P R OF IT C OMP A N IES
ByEyalPressandJenniferWashburn
INthefallof1964atwentyoneyearoldBerkeleyundergraduatenamedMarioSavioclimbedthe
stepsofSproulHallanddenouncedhisuniversityforbendingoverbackwardsto"servetheneedof
Americanindustry."Savio,theleaderoftheBerkeleyFreeSpeechMovement,accusedtheuniversityof
functioningas"afactorythatturnsoutacertainproductneededbyindustry"ratherthanservingasthe
conscienceandacriticofsociety.Tothemodernearthissixtiesrhetoricmaysoundoutdated.Tomany
peopleintheacademicworld,however,Savio'swordsringtruertodaythanever.Althoughournational
conversationabouthighereducationremainsfocusedonissuesofdiversityandaffirmativeaction,
nothingprovokedmoredebateonmanycollegecampuseslastyearthanthegrowingtiesbetween
universitiesandbusinessandnowherewasthedebatelivelierthanatBerkeley.
OntheafternoonofApril13,aradiantdaylastspring,theBerkeleycampushardlylookedlikeasiteof
protest.Studentslayongreenlawns,soakinginthesunshine.ButinsideRoom60ofEvansHall,a
concretebuildingonthenorthernedgeofcampus,thelightsweredimandtheatmospheretense.
Theretwodozenfacultymembers,manyofthemprofessorsintheCollegeofNaturalResources,had
gatheredtopresentthedisquietingresultsofanewlyreleasedfacultysurvey.
ThefocusofthesurveywasacontroversialagreementthatBerkeleyhadsignedinNovemberof1998
withNovartis,aSwisspharmaceuticalgiantandproducerofgeneticallyengineeredcrops.Underthe
termsoftheagreementNovartiswillgiveBerkeley$25milliontofundbasicresearchinthe
DepartmentofPlantandMicrobialBiology,oneoffourdepartmentswithintheCNR.
Inexchangeforthe$25million,BerkeleygrantsNovartisfirstrighttonegotiatelicensesonroughlya
http://www.theatlantic.com/magazine/print/2000/03/thekeptuniversity/306629/
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thirdofthedepartment'sdiscoveriesincludingtheresultsofresearchfundedbystateandfederal
sourcesaswellasbyNovartis.Italsograntsthecompanyunprecedentedrepresentationtwooffive
seatsonthedepartment'sresearchcommittee,whichdetermineshowthemoneyisspent.
Thattheuniversityhadthebackingofaprivatecompanywashardlyunusual.Thatasinglecorporation
wouldbeprovidingonethirdoftheresearchbudgetofanentiredepartmentatapublicuniversityhad
sparkedanuproar.Shortlyaftertheagreementwassigned,anewlyformedgraduatestudentgroup,
StudentsforResponsibleResearch,circulatedapetitionblastingtheNovartisdealforstanding"in
directconflictwithourmissionasapublicuniversity."TheDailyCalifornian,Berkeley'sstudent
newspaper,publishedafivepartseriesonthegrowingprivatizationoftheuniversity,andacoalitionof
publicinterestgroupssentalettertoBerkeley'schancellor,RobertBerdahl,chargingthatthealliance
"woulddisqualifyaleadingintellectualcenterfromtheranksofinstitutionsabletoprovidethekindof
researchfreefromvestedinterest"thatisthehallmarkofacademiclife.Meanwhile,theCollegeof
NaturalResources,headedbyDeanGordonRausser,sentamessagetoallprofessorsurgingthemnot
tospeaktothepressandtodirectanyquestionstotheuniversity'spublicrelationsoffice.Manyviewed
thisasahushorder.
"Weareheretodiscussthepositionofthefaculty,"IgnacioChapela,aprofessorofmicrobialecology,
announcedastheApril13meetingbegan.Chapela,whowasthenthechairmanofthecollege's
executivecommittee,afacultygoverningbody,snappedonanoverheadprojectortodisplaytheresults
ofthesurvey,anddeclaredthattheNovartisdealhadlefttheCNR"deeplydivided."While41percent
ofthefacultyrespondentssupportedtheNovartisagreementassigned,morethan50percentbelieved
thatitwouldhavea"negative"or"stronglynegative"effectonacademicfreedom.Roughlyhalf
believedthattheagreementwoulderodeBerkeley'scommitmentto"publicgoodresearch,"and60
percentfearedthatitwouldimpedethefreeexchangeofideasamongscientistswithinthecollegeone
ofChapela'schiefconcerns.
"WhenIcametoBerkeley,"Chapelaexplainedtousafterthemeeting,"thepeoplewhobroughtme
hereandwhoweremyclosestcolleagueswerelargelyintheDepartmentofPlantandMicrobial
Biology.NowIknowthatanythingIsaytothesepeoplecanbeturnedaroundandhandedoverto
Novartis.SoIjustcan'ttalktothemanymore.IfIhaveagoodidea,I'mnotgoingtojustgiveitaway."
Chapela,likemanycriticsofthedeal,ishardlyaconfirmedopponentofuniversityindustryrelations.
BeforecomingtoBerkeley,hetoldus,hespentthreeyearsinSwitzerlandworkingfornoneotherthan
NovartisthennamedSandozandhecontinuestohavearelationshipwiththecompany."I'mnot
opposedtoindividualprofessors'servingasconsultantstoindustry,"hesaid."Ifsomethinggoes
wrong,it'stheirreputationthat'satstake.Butthisisdifferent.Thisdealinstitutionalizesthe
university'srelationshipwithonecompany,whoseinterestisprofit.Ourroleshouldbetoservethe
publicgood."
TheAcademicIndustrialComplex
GORDONRausser,thechiefarchitectoftheNovartisdeal,believesthatfacultyconcernsaboutthe
alliancereflectignoranceaboutboththeNovartisdealandthechangingeconomicrealitiesofhigher
education.WhenwemetwithRausserlastyear,inhisspaciousofficeintheornateneoclassical
GianniniHall,heinsistedthatthedeal,farfromviolatingBerkeley'spublicmission,wouldhelpto
perpetuatetheuniversity'sstatusasatopflightresearchinstitution.Aneconomistwhoservedonthe
President'sCouncilofEconomicAdvisorsinthe1980sandnowoperatesasidelineconsulting
business,RaussercontendsthatBerkeley'svalueis"enhanced,notdiminished,whenwework
creativelyincollaborationwithotherinstitutions,includingprivatecompanies."Inarecentarticlein
theBerkeleyalumnimagazineRausserargues,"Withoutmodernlaboratoryfacilitiesandaccessto
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commerciallydevelopedproprietarydatabases...wecanneitherprovidefirstrategraduateeducation
norperformthefundamentalresearchthatispartoftheUniversity'smission."
Rausser'sviewismoreandmorethenorm,asacademicadministratorsthroughoutthecountryturnto
theprivatesectorforanincreasingpercentageoftheirresearchdollars,inpartbecausepublicsupport
foreducationhasbeendropping.Althoughthefederalgovernmentstillsuppliesmostofthefunding
foracademicresearch(itprovided$14.3billion,or60percent,in1997,thelatestyearforwhichfigures
areavailable),therateofgrowthinfederalsupporthasfallensteadilyoverthepasttwelveyears,asthe
costofdoingresearch,particularlyinthecuttingedgefieldsofcomputerengineeringandmolecular
biology,hasrisensharply.Statespendinghasalsodeclined.BerkeleyChancellorRobertBerdahlsays
thatCalifornianowsuppliesjust34percentofBerkeley'soverallbudget,ascomparedwith50percent
twelveyearsago,andheclaimsthatotherstateuniversitieshavesufferedsimilarcuts.
Meanwhile,corporategivingisontherise,growingfrom$850millionin1985to$4.25billionless
thanadecadelaterandincreasinglythemoneycomeswithstringsattached.Onemarkedtrendisa
boominindustryendowedchairs.KmarthasendowedachairinthemanagementschoolatWest
VirginiaUniversitywhichrequiresitsholdertospenduptothirtydaysayeartrainingassistantstore
managers.FreeportMcMoRan,aminingcompanyembroiledinallegationsofenvironmental
misconductinIndonesia,hascreatedachairinenvironmentalstudiesatTulane.Initsserieson
privatizationatBerkeley,TheDailyCaliforniannotedthatbuildingsthroughouttheHaasSchoolof
Businesswere"plasteredwithcorporatelogos."OnemajorcontributortotheschoolisDonFisher,the
ownerofTheGap,whosecompanyalsohappenstobefeaturedasacasestudyinanintroductory
businessadministrationcourse.LauraD'AndreaTyson,formerlyoneofPresidentClinton'stop
economicadvisers,isnowofficiallyknownastheBankAmericaDeanofHaas.
Inrushingtoforgeallianceswithindustry,universitiesarenotjustrespondingtoeconomicnecessity
theyarealsocapitalizingonachangeinfederallaw,implementednearlytwodecadesago,thatlaidthe
foundationfortoday'sacademicindustrialcomplex.In1980concernsaboutdecliningU.S.
productivityandrisingcompetitionfromJapanpropelledCongresstopasstheBayhDoleAct,which
forthefirsttimealloweduniversitiestopatenttheresultsoffederallyfundedresearch.Thegoalofthe
legislationwastobringideasoutoftheivorytowerandintothemarketplace,byofferinguniversities
theopportunitytolicensecampusbasedinventionstoU.S.companies,earningroyaltiesinreturn.
Boththegovernmentandthebusinessworldsawuniversitiesnotmerelyascentersoflearningand
basicresearchbutassourcesofcommerciallyvaluableideas,whichiswhytheBusinessHigher
EducationForum,acoalitionofcorporateandacademicleaders,andsimilargroupslobbiedtotear
downthewallsseparatinguniversitiesfromthemarketplace.Intheyearssince,Congresshaspassed
numerousotherlawstobolsteruniversityindustryties,includinggeneroustaxbreaksforcorporations
willingtoinvestinacademicresearch.
TheBayhDoleActwasfromthebeginningcontroversial.SomeinCongressarguedthatgranting
privatecompaniestherightstopubliclyfundedresearchamountedtoanenormousgiveawayto
corporationsotherspronouncedtheactavisionaryexampleofindustrialpolicythatwouldhelp
Americacompeteinthefastmovinginformationage.WhatisundeniableisthatBayhDolehas
revolutionizeduniversityindustryrelations.From1980to1998industryfundingforacademic
researchexpandedatanannualrateof8.1percent,reaching$1.9billionin1997nearlyeighttimes
theleveloftwentyyearsago.BeforeBayhDole,universitiesproducedroughly250patentsayear
(manyofwhichwerenevercommercialized)infiscalyear1998,however,universitiesgeneratedmore
than4,800patentapplications.Universityindustrycollaborations,Rausserargues,havebrought
importantnewproductsantiAIDStreatments,cancerdrugstomarket,andhavespurredAmerica's
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boomingbiotechandcomputingindustries."TheUniversityofCaliforniaalonehasissuedoverfive
hundredpatentssinceBayhDole,"Raussersays.
Thisisapowerfulargument,butatroublingone.Inanagewhenideasarecentraltotheeconomy,
universitieswillinevitablyplayaroleinfosteringgrowth.Butshouldweallowcommercialforcesto
determinetheuniversity'seducationalmissionandacademicideals?Inhighereducationtoday
corporationsnotonlysponsoragrowingamountofresearchtheyfrequentlydictatethetermsunder
whichitisconducted.Professors,theirimageasunbiasedtruthseekersnotwithstanding,oftenown
stockinthecompaniesthatfundtheirwork.Anduniversitiesthemselvesareexhibitingamarkedly
morecommercialbent.Mostnowoperatetechnologylicensingofficestomanagetheirpatent
portfolios,oftenguardingtheirintellectualpropertyasaggressivelyasanybusinesswould.Schools
withlimitedbudgetsarepouringmoneyintocommerciallyorientedfieldsofresearch,while
downsizinghumanitiesdepartmentsandcurbingexpendituresonteaching.Occasionalreportson
thesedevelopments,includingarecent60Minutessegmentoncorporatesponsoredresearch,have
beguntosurfacebeyondtheuniversity.Butthelargerpicturehasyettobefilledout.Itisthis:
universities,oncewarybeneficiariesofcorporatelargesse,havebecomeeagercocapitalists,embracing
marketvaluesasneverbefore.
SecrecyandScience
INaclassicpaperpublishedin1942,thesociologistRobertK.Mertonlikenedthecultureofscience
moretotheidealsofcommunismthantocapitalism,becauseintellectualpropertywascommonly
sharedanddiscoverieswerefreelyexchanged."Thescientist'sclaimto'his'intellectual'property,'"
Mertonwrote,was"limitedtothatofrecognitionandesteem,"andscientificknowledgewasassumed
tobeapublicgood.
Todayscientistswhoperformindustrysponsoredresearchroutinelysign
agreementsrequiringthemtokeepboththemethodsandtheresultsof
theirworksecretforacertainperiodoftime.Fromacompany'spointof
view,confidentialitymaybenecessarytopreventpotentialcompetitors
frompilferingideas.Butwhatconstitutesareasonableperiodofsecrecy?
TheNationalInstitutesofHealthrecommendsthatuniversitiesallow
corporatesponsorstoprohibitpublicationfornomorethanoneortwo
months(theamountoftimeordinarilynecessarytoapplyforapatent),but
lengthierdelaysarebecomingstandard.Berkeley'scontractwithNovartis,
forexample,allowsthecompanytopostponepublicationforuptofour
months.Asurveyof210lifesciencecompanies,conductedin1994by
researchersatMassachusettsGeneralHospital,foundthat58percentofthosesponsoringacademic
researchrequiredelaysofmorethansixmonthsbeforepublication.
"Oneofthemostbasictenetsofscienceisthatweshareinformationinanopenway,"saysSteven
Rosenberg,oftheNationalCancerInstitute,whoisamongthecountry'sleadingcancerresearchers.
"Asbiotechandpharmaceuticalcompanieshavebecomemoreinvolvedinfundingresearch,there's
beenashifttowardconfidentialitythatisseverelyinhibitingtheinterchangeofinformation."Afew
yearsagoRosenbergconfrontedthisproblemfirsthandwhenhetriedtoobtaininformationonsafe
dosagelevelsforareagenthesoughttouseinaclinicaltrialinvolvinganexperimentalcancer
treatment.ThecompanyaskedRosenbergtosignaconfidentialityagreement,andwhenherefused,
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theywithheldtheinformation.Rosenberghasbecomesoalarmedaboutsecrecythathenowurgesall
scientistsandresearchinstitutionstorejectconfidentialityrestrictionsonprinciple.Fewhaveheeded
hiscall.A1997surveyof2,167universityscientists,whichappearedintheJournaloftheAmerican
MedicalAssociation,revealedthatnearlyoneinfivehaddelayedpublicationformorethansixmonths
toprotectproprietaryinformationandthiswasthenumberthatadmittedtodelay."Theethicsof
businessandtheethicsofsciencedonotmixwell,"Rosenbergsays."Thisistherealdarksideof
science."
NelsonKiang,aprofessoremeritusattheMassachusettsInstituteofTechnologyandatHarvard,who
recentlyorganizedanMITconferenceon"SecrecyinScience,"worriesinparticularthatstudents,
ratherthanlearningproperscientificprotocol,arebeingtaughttoaccepttheinhibitingpowerof
moneyoverscience."OnehearsofmanystudentsatMITwhocomplainaboutnotbeingabletopublish
theirthesesinatimelyfashion,"Kiangsays,"butwhenwetriedtoinvolvethemintheconference,not
asingleonewouldcomeforward,andtheyactuallyaskedusspecificallynottobenamed.Ofcourse,
it'snotsurprising.Theyfearthatiftheycomeforward,theymightgetintotroublewiththeir
supervisors."
Worsethantheproblemsofenforcedsecrecyanddelay,however,isthepossibilitythatbehindclosed
doorssomecorporatesponsorsaremanipulatingmanuscriptsbeforepublicationtoservetheir
commercialinterests.Inthesummerof1996fourresearchersworkingonastudyofcalciumchannel
blockersfrequentlyprescribedforhighbloodpressurequitinprotestaftertheirsponsor,Sandoz,
removedpassagesfromadraftmanuscripthighlightingthedrugs'potentialdangers,whichinclude
strokeandheartfailure.TheresearchersairedtheirconcernsinalettertotheJournaloftheAmerican
MedicalAssociation:"Webelievedthatthesponsor...wasattemptingtowieldundueinfluenceonthe
natureofthefinalpaper.Thiseffortwassooppressivethatwefeltitinhibitedacademicfreedom."
Suchmeddling,thoughgenerallydifficulttodocument,maywellbecommon.Astudyofmajor
researchcentersinthefieldofengineeringfoundthat35percentwouldallowcorporatesponsorsto
deleteinformationfrompaperspriortopublication.
ThispastMay,atameetingoftheAmericanAssociationofUniversityProfessors,inBoston,agroupof
academicsgatheredtodiscussthegrowingcorporatethreattoacademicfreedomandtheapparent
reluctanceofuniversitiestodefendit.AmongthosepresentwasDavidKern,formerlythedirectorof
occupationalmedicineatBrownUniversity'sMemorialHospital.In1996,whileservingasaconsultant
toMicrofibres,aRhodeIslandcompanythatproducesnylonflock,Kerndiscoveredevidenceofa
seriousnewlungdiseaseamongthecompany'semployees.Uponlearningthatheplannedtopublish
hisfindings,thecompanythreatenedtosue,citingaconfidentialityagreementthatforbadeKernto
expose"tradesecrets."TheinformationthatKernhadgatheredhadcomefromtestsonvolunteers,
andconcernednotproprietarysecretsbutaseriousthreattopublichealth.YetBrownUniversity,too,
triedtodissuadeKernfrompublishing,warningthatthecompanymightfilesuit.Outraged,Kern
publishedanyway,andin1997theCentersforDiseaseControlofficiallyrecognizedthenewdisease,
flockworker'slung.AlthoughMicrofibresneverdidfilesuit,Kern'spositionatBrownwaseliminated.
"Universitiesshouldprotecttheirfacultyfromanyeffortstoencroachonacademicfreedom,"Kern
says."Unfortunately,withsomuchcorporatemoneyfloodingintoacademia,that'snothappening."At
theAAUPconferenceseveralprofessorssharedsimilarexperiences,andthesemayonlyhintatthe
scopeoftheproblem.
MildredCho,aseniorresearchscholaratStanford'sCenterforBiomedicalEthics,warnsthatforevery
DavidKernwhostepsforwardinsuchcases,anunknownnumberofresearchersvoluntarilytoethe
companyline."Whenyouhavesomanyscientistsonboardsofcompaniesordoingsponsored
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research,"Choexplains,"youstarttowonder,Howarethesestudiesbeingdesigned?Whatkindsof
researchquestionsarebeingraised?Whatkindsaren'tbeingraised?"Ina1996studypublishedinthe
AnnalsofInternalMedicine,Chofoundthat98percentofpapersbasedonindustrysponsored
researchreflectedfavorablyonthedrugsbeingexamined,ascomparedwith79percentofpapers
basedonresearchnotfundedbyindustry.Morerecently,ananalysispublishedintheJournalofthe
AmericanMedicalAssociationfoundthatstudiesofcancerdrugsfundedbypharmaceutical
companieswereroughlyoneeighthaslikelytoreachunfavorableconclusionsasnonprofitfunded
studies.Mightthepublicbegintoseeacademicslessasstewardsoftruththanashiredhands?
Orworsethanhiredhands:interestedparties.Moreandmore,professorsnotonlyacceptindustry
grantstoperformresearchbutalsoholdstockorhaveotherfinancialtiestothecompaniesfunding
them.Inastudyof800scientificpaperspublishedinarangeofacademicjournals,SheldonKrimsky,a
professorofpublicpolicyatTuftsUniversityandaleadingauthorityonconflictsofinterest,foundthat
slightlymorethanathirdoftheauthorshadasignificantfinancialinterestintheirreports.Michael
McCarthy,aneditorattheBritishmedicaljournalTheLancet,sayssuchlinksarenowsocommonthat
he"oftencan'tfindanyonewhodoesn'thaveafinancialinterest"inadrugortherapythejournal
wouldliketoreview.AlthoughKrimskydoesn'tbelievethatthemereexistenceofsuchtiesmakesan
academicstudysuspect,headvocatesfulldisclosure.Yetinnoneofthenearly300studiesinwhich
Krimskyfoundaconflictofinterestwerereadersinformedaboutit.
TheSecuritiesandExchangeCommissionhasalsodetectedthistrendandisnowinvestigating
numerousacademicresearcherssuspectedofengagingininsidertrading.Inacasefiledrecentlyin
Pennsylvania,theSECchargedDaleJ.Lange,aColumbiaUniversityneurologist,withpocketing
$26,000inprofitsafterLangeboughtstockinacompanythatwasabouttoreleasepromisingnew
findingsconcerningadrugtotreatLouGehrig'sdisease.Langeexpectedthestocktosoarbecausehe
hadconductedtheconfidentialclinicaltrials.
Thegrowingconcernaboutpotentialconflictsofinteresthaspromptedsomeuniversitiestoforbid
professorstoperformsponsoredresearchforcompaniesinwhichtheyholdequity.Thefederal
governmentisalsotakingsteps.In1996thePublicHealthServiceissuedguidelinesthatrequireall
academicresearcherstoreportittotheirschoolsiftheyhavereceivedpaymentsofmorethan$10,000
fromacompanyoriftheyholdatleastfivepercentofitsstock.Atmostuniversities,however,such
informationiskeptprivate,whichmeansthatfrequentlyneitherjournaleditorsnoracademicpeers
knowwhohastiestoindustryandwhohasn't.
Morethanayearbeforefenphen,theappetitesuppressant,waspulledoffthemarketbecauseit
seemedtobeimplicatedinanumberofdeaths,agroupofresearcherspublishedastudyinTheNew
EnglandJournalofMedicinewarningthatdrugslikefenphencouldhavepotentiallyfatalsideeffects.
Butthesameissuecontainedacommentaryfromtwoacademicresearchersthatdownplayedthe
healthdangersoffenphen.Bothauthorshadservedaspaidconsultantstothemanufacturersand
distributorsofsimilardrugsconnectionsthatwerenotmentioned."IwasoutragedwhenIsawthat,"
StuartRich,aprofessoratRushMedicalCollege,toldtheChronicleofHigherEducationwhentheties
wereexposed."Thestudywastheonlyscientificstudythatsaidthesedietpillskillpeople."Like
universities,somejournalshavebegunrequiringacademiccontributorstodisclosecorporatefinancial
ties.ButinastudyreleasedlastyearSheldonKrimskyandanotherresearcherexamined62,000
articlesandfoundthatthesetiesweredisclosedinonly0.5percentofthem.
Corporateunderwritingofresearchisbynomeansconfinedtothemedicalsciences.InhisbookThe
HeatIsOn:TheHighStakesBattleOverEarth'sThreatenedClimate(1997),RossGelbspan
documentshow,overthepastseveralyears,fossilfuelcompanieshavebankrollednumerousacademic
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studiesthatdownplaythethreatofglobalwarmingdistorting,Gelbspanargues,thepublicpolicy
debate.AndlastJunecontroversyeruptedattheUniversityofFloridafollowingthedisclosurethat
CharlesThomas,acriminologistattheschoolwhoadvisedthestateonprisonpolicy,hadpocketed$3
millioninconsultingfeesfromtheprivateprisonindustry,inwhichhealsoownedstock.(Thomas's
viewsonprivateprisonsarequotedfrequentlyinTheWallStreetJournalandTheNewYorkTimes,
andhehastrumpetedthevirtuesof"fullscaleprivatization"intestimonybeforeCongress.)"I'mreally
kindofastoundedthatthestateuniversitysystemwouldtoleratesomethinglikethis,"saidamember
ofthestateethicscommission,whichslappedThomaswitha$20,000fine.
SOMEwouldarguethatsuchrelationships,farfrombeingunseemly,areinkeepingwiththeutilitarian
strainthatrunsthroughthehistoryofAmericanhighereducation.Certainly,incomparisonwiththeir
Europeancounterparts,U.S.universitieshavealwaysdisplayedapragmaticbent.WhereasinEurope
universitiestookprideinpursuingknowledgeforitsownsakeandinremainingalooffromtheoutside
world,inAmericaeducatorsfromThomasJeffersontoJohnDeweyhavearguedthatuniversities
oughttobeengagedintheworld,andthatknowledgeexiststobeputtouse.WhenCongresspassed
theMorrillAct,in1862(whichgaverisetoAmerica'spubliclandgrantuniversities,including
Berkeley),itspecificallyinstructedthestatestoestablishschoolsthatwouldteach"agricultureandthe
mechanicalarts...inordertopromotetheliberalandpracticaleducationoftheindustrialclasses,"
ratherthantheclassicalcurriculum.
Thusitishardlysurprisingthat,asthehistorianDavidNobledocumentsinhisbookAmericaby
Design(1977),therapidgrowthoftheU.S.industrialeconomyattheturnofthecenturycoincided
withasurgeinuniversityindustrycollaboration.Engineeringandchemicalgiantsunderwrote
researchinexchangefortheservicesofacademicscientistsuniversitiesestablishedindustrial
researchcenterstofurnishcorporationswithpersonnelsomeschoolsevenwentintobusiness
themselves,withtheUniversityofMinnesotaoperatingitsownmineandNewYorkUniversityrunning
amacaronifactory.SuchentanglementsinspiredtheradicaleconomistThorsteinVeblentocomment
acerbicallyin1908that"businessprinciples"weretransforminghighereducationinto"amerchantable
commodity,tobeproducedonapiecerateplan,rated,bought,andsoldbystandardunits,measured,
countedandreducedtostapleequivalencebyimpersonal,mechanicaltests."
WorldWarII,however,usheredinaneraofpublicsupportforhighereducation.Theroleofuniversity
scientistsintheManhattanProjectandotherwartimeinitiativessuchasthedevelopmentof
penicillinandstreptomycinconvincedpublicofficialsthatacademicswereuniquelycapableof
undertakingcrucialresearchinitiatives.Ascorporationsslowedtheirfundingofacademicresearch,
publicmoneyfilledtherole:from1953to1968publicsupportgrewby12to14percentannually.
Whereasfundingforscientificresearchfromallsourcestotaled$31millionin1940,federalfunding
alonereached$3billionin1979,muchofitdispensedbytheNationalInstitutesofHealthandother
newagencies.Thisinfluxoffederaldollarsreflectedagrowingappreciationforthebasic,undirected
researchthatuniversitiesperform."Newproductsandnewprocessesdonotappearfullgrown,"
VannevarBush,PresidentFranklinRoosevelt'schiefscienceadviser,declaredin1944."Theyare
foundedonnewprinciplesandnewconceptions,whichinturnarepainstakinglydevelopedby
researchinthepurestrealmsofscience."
TheBayhDoleActchangedthis,andnotsimplybycreatingincentivesforcorporationstoinvestin
academicresearch.Whatisultimatelymoststrikingabouttoday'sacademicindustrialcomplexisnot
thatlargeamountsofprivatecapitalareflowingintouniversities.Itisthatuniversitiesthemselvesare
beginningtolookandbehavelikeforprofitcompanies.
TheUniversityasBusiness
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THEOfficeofTechnologyLicensingatStanfordUniversityoccupiesthethirdfloorofadrabconcrete
buildinglocatedjustoffthemainloopthatcirclesthepalmstuddedPaloAltocampus.This
unprepossessingspotisthehubofacommercialenterprisethatistheenvyofuniversitiesacrossthe
country.TheOTL'smissionistocommercializediscoveriesmadebyprofessorsandtomanage
Stanford'sgrowingpatentportfolio.Inthemainlobby,encasedinhandsomewoodenframesalongthe
walls,aredisplayshighlightingthevariouspatentsandproductstheofficehasrecentlyhelpedbringto
market.Onedescribesavalvethatcreateshighresolutionimagesonthesurfaceofasiliconchip,
anotheranewcasemanagementsystemforheartfailurethattheuniversityishopingtolicensetothe
nation'shospitals.
"We'rereceivingabouttwohundredandfiftyinventiondisclosuresayear,
roughlyoneinfourofwhichispatented,"saysJonSandelin,asenior
associateattheOTL.SandelinsaysthatStanfordearned$61millionfrom
itstechnologytransferactivitylastyearasuccesshecreditstocreatingthe
rightentrepreneurialenvironment."Youhavetounderstandinitiallythe
departmentchairmenandschooldeansweren'tthrilledbyhavingthisnew
activitythatwasdivertingtheattentionoftheirfacultyawayfromteaching
andresearch,"heexplains."Sohowdoyouoffsetthat?Youmakethem
stakeholdersyoumakethembeneficiaries."
Onceprofessorsandtheirdepartmentslearnedthattheycouldearnacut
frominventions,Sandelinsays,theybecamemoreenthusiasticabout
bringingtheirideastotheOTL.Toreinforcethemessage,theOTLconductsaggressiveoutreach,
organizingluncheswithdepartmentheadspublishinganewsletter,Brainstorm,thattoutsthelatest
facultydiscoveriesanddanglingincentivesinfrontofwouldbeinventors.In1990Stanford
establishedaResearchIncentiveFundtohelpprofessorsconvertacademicconceptsinto"prototype
products.""Gotanideaforthenextgreatwhatchmacallitbutdon'thavethefundstomovefrom
hypothesistothesis?"arecentissueofBrainstormasks."Thisfundmightjustbeyouranswer."
Traditionally,universitiesregardedpatentsasbeingoutsidetheirorbit,generallybelievingthat
proprietaryclaimswerefundamentallyatoddswiththeirobligationtodisseminateknowledgeas
broadlyaspossible.Todaynearlyeveryresearchuniversityinthecountryhasatechnologylicensing
office,andsomehavegonefurther.JohnsHopkinsMedicalSchool,forexample,hasestablishedan
internalventurecapitalfundtobankrollcommerciallypromisinglinesofresearch.TheUniversityof
Chicago,renownedforitsclassicaltradition,hascreatedanaffiliatednonprofit,theARCH
DevelopmentCorporation,whosemission,inpart,istolaunchstartupcompaniesbasedonfaculty
innovations.ThedeanofChicago'smedicalschool,GlennD.SteeleJr.,recentlyremovedmanyfaculty
departmentheadsandbluntlytoldBusinessWeekthatheplanstobegin"insinuatingtheplace...with
entrepreneurialpeople"aclearstatementthatcommercialacumenisbecominganimportant
qualificationfornewfaculty.
SURPRISINGLY,twodecadesafterBayhDolewaspassed,noindependentassessmentsofits
economicimpacthavebeenmade.ButtheAssociationofUniversityTechnologyManagers,a
consortiumofover300universitiesandresearchinstitutionsthatengageintechnologytransfer,does
publishanannualstatisticalsurveyofitsmembers.In1998alone,theAUTMreports,364startup
companieswereformedonthebasisofalicensetoanacademicinvention,bringingthetotalsince
1980to2,578.Thegroupestimatesthatoverall,universitytechnologytransferactivitiesgenerated$34
billionthatyear,supporting280,000Americanjobs.
"There'sclearlyakindoffermentgoingonatU.S.universities,"saysLitaNelsen,thedirectorof
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technologylicensingatMIT."WhenIwenttoMITasanundergraduate,in1964,theKendallSquare
areawasabunchofvacantlotswithagreasyolddiner,andthatwasit.Nowifyoulookoutmy
window,it'sbrickhighrisebuildingsfilledwithlittlestartupcompanieseverythingfromLotusdown
thestreet,toNeurometricsacrossthealley,toBiogenandSapient.Theoldmillswithbrokenwindows
havebeenrefurbishedintohightechincubators."Theclusteringofcomputerengineeringandbiotech
firmsaroundacademicresearchcentersinSiliconValleyAustin,TexasRoute128inMassachusetts
andtheResearchTriangle,inNorthCarolina,derivesinlargemeasurefromthesynergybetween
universitiesandindustrythatBayhDolehasfostered.
Nosectoroftheeconomybetterillustratesthepotentialbenefitsofthissynergythanbiotechnology,a
multibilliondollarindustrythatgrewoutofuniversityresearchlabs.GarryNolan,anassistant
professorofmolecularpharmacologyatStanford,epitomizesthenewgenerationofprofessor
entrepreneurs.AfewyearsagoNolanfoundedRigel,abiotechfirmbasedinSanFranciscothathas
pioneeredapromisingnewmethodforidentifyingtheproteinsinvolvedinasthma,allergies,immune
disorders,andotherhealthproblems."We'vealreadyattractedahundredandfiftymilliondollarsin
investmentfromvariousdrugcompaniesinterestedinourwork,"Nolansays."There'salmostno
greaterandmoreimmediatefeedbackthanwhenyoufindacommercialentityinterestedinwhat
you'redoing."
WalterPowell,asociologistattheUniversityofArizonawhohastrackedthegrowthofthebiotech
industryworldwide,believesthatthecloselinksbetweenuniversitiesandindustryareaprincipal
reasonwhyU.S.firmsnowdominatethebiotechmarketalessonAmerica'scompetitorsaretakingto
heart."You'reseeingothercountriesmovinginthesamedirection,"Powellsays,pointingoutthatthe
UniversityofMunichhasbeeninvolvedinspinningoffatleastfiveprivatecompaniesinGermanyin
thelasttwoyearsalone.LitaNelsensaysherofficeatMIThasbeenoverrunwithvisitorsfromother
countries,includingJapan,whichrecentlypasseditsownversionoftheBayhDoleAct.
Thesurprisingtwist,however,isthatalthoughuniversitylicensingofficesarechurningoutpatents,
mostoftheseofficesarethemselvesbarelybreakingeven."Everybodywaswaitingforahundred
milliondollarsayearoutoftheirtechnologytransferoffices,"Nelsensays."Therealityisthathardly
anyschoolsearnanywherenearthat."Althoughsomeacademicachievementssuchasthediscovery
ofrecombinantDNAandthedevelopmentofthehepatitisBvaccine(developedjointlyatthe
UniversityofCaliforniaandtheUniversityofWashington)havegeneratedmillions,mosthavenot,
andNelsensaysitisimpossibletopredictwhichwillbelucrative.
Farfromrestraininguniversities,however,thedifficultyofturningaprofitseemstohavemadethem
moreaggressive.Agrowingnumberofschools,forexample,arebuyingequitystakesinthevery
companiesthatstandtoprofitfromtheirfaculties'researchapracticethatbothraisesthepotential
forconflictofinterestandisfinanciallyrisky.Inthe1980sandearly1990sBostonUniversitypoured
$85million(nearlyafifthofitsendowment)intoSeragen,abiotechfirmspecializingincancer
research,whichseveralBUprofessorshadfounded.Convincedthatthecompanywouldgenerate
windfallprofits,BUPresidentJohnSilberalsopersonallyinvestedheavilyinSeragenandpersuaded
numerousprofessorsandtrusteestodolikewise.Butfrom1991to1997Seragenlostalmost$150
million.Theuniversity,whichatonepointowned91percentofthecompany'sstock,wasaccusedof
egregiouslymismanagingtheschool'sendowmenttopropupthecompanyandtoprotectthetrustees'
investments.
Mightsuchacautionarytaledissuadeotheruniversitiesfromgoingdownthesameroad?Tothe
contrary:theUniversityofCaliforniarecentlyestablishedapolicyallowingittoacquireequitystakesin
startupsandnowownssharesinthirtycompaniescommittedtodevelopingUCtechnologies.Stanford
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tookasimilarstepin1994.
Meanwhile,universitiesaredevisingincreasinglycreativeandcontroversialwaystoraisetheir
royaltyearnings.MichiganStateUniversity,forexample,recentlytooktheunusualstepofapplyingfor
anew,slightlyalteredpatentonawidelyprescribedcancerdrug,cisplatin,thatwaspatentedbythe
universityin1979.Filingtwiceonthesameinventionisprohibited,butMSU'soriginalpatent,which
alongwithitsanalog,carboplatin,generated$160millioninroyalties,wasabouttoexpire.Thusthe
slightalteration.ThemovemayhavebeengoodforMSU'sbottomline,butdiditservethepublic
interest?MSU'sactionpreventedfourgenericdrugmanufacturersfrommarketingacheaperversion
ofcisplatin,andthesecompaniesarenowsuingMSUallofwhichpromptedBarnettRosenberg,the
drug'sdeveloperandanowretiredprofessor,tocomplainthathisworkhas"ledtothecreationofalot
ofselfish,moneyhungryuniversitypersonnel."
Stanfordhasadvancedbeyondmerepatenting.Theuniversityrecentlyinvestedmorethan$1million
todevelopitsownbrandnameproduct,SondiusXG,asoundsynthesistechnologythatitwillmarket
inconjunctionwithYamaha.Why?Becauseunlikepatents,whichexpireaftertwentyyears,brands
generaterevenueforever.MaryWatanabe,whoworkswithJonSandelinattheOfficeofTechnology
Licensing,letslipduringaninterviewthattheuniversityisalsoconsideringlaunchinga"Stanford
company."Shedeclinedtodivulgedetails.
Iftheseactivitiesappeartobeoutofkeepingwiththeuniversity'snonprofiteducationalmission,that's
becausetheyare.Inaprovocative1996articleintheUniversityofPennsylvaniaLawReview,Peter
Blumberg,thenalawstudent,arguedthattechnologytransferactivityatuniversitiesissofarremoved
fromtheuniversity'spublicmissionthatit"couldbetreatedasunrelatedbusinessincomefortax
purposes."Universities,Blumbergwrites,"enjoytheirtaxexemptionbecauseofabeliefthattheyare
producingresearchthatnoothermarketactorwouldproduceabsentapublicsubsidybasicresearch,
publishableresearch,researchthateducatesstudentsand...isusablebythewholesociety."
Intheirzealtomaximizerevenue,manyschoolsarenotonlyraisingquestionsabouttheirnonprofit
statustheyaregettingintosomeembarrassingskirmisheswiththeirownstudentsandprofessors
overtherightstopotentiallylucrativeideas.InthemostextraordinarycasetodatePeterTaborsky,a
studentattheUniversityofSouthFlorida,wounduponthechaingangofamaximumsecuritystate
prisonaftercollidingwithhisuniversityovertherightstoadiscoveryhemadeasanundergraduate.
TaborskyhadbeenworkingasaresearchassistantonaprojectsponsoredbytheFloridaProgress
Corporation,alocalholdingcompany.Attheendofthesponsoredresearchperiod,Taborskyclaims,
hereceivedpermissionfromRobertCarnahan,adeanintheCollegeofEngineering,tobeginworkon
hisownexperiments,followingadifferentapproach,whichhehopedtouseasthebasisforamaster's
thesis.ButassoonasTaborskymadehisresearchbreakthrough,whichhadobviouscommercialutility
asawaytoremoveammoniafromwastewater,FloridaProgressandUSFbothlaidclaimtohis
discovery.TheuniversityfiledcriminalchargesagainstTaborskyandspentmorethantentimesthe
amountoftheoriginalresearchgrantonoutsidelegalcounselalone.In1990ajuryfoundTaborsky
guiltyofstealinguniversityproperty,andtheStateofFloridarequiredhimtobeginservinghis
sentenceonachaingangin1996.Butthecasebecameanembarrassingmediaspectacle,andGovernor
LawtonChilessoonintervenedtoofferTaborskyclemency,whichTaborsky,onprinciple,refused.
Whywouldastateuniversitygotosuchlengths?Toprotectfutureinvestments,ofcourse.AsSeth
ShulmanarguesinOwningtheFuture,anewbookaboutintellectualpropertyintheinformationage,
theTaborskycase"underscoreswhatcanhappenwhenuniversities,beholdentoindustryforan
increasingshareofresearchdollars,letfinancialconcernsovershadowthenotionofresearchasa
sharedintellectualpursuit."
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Todayitiscommonforuniversitiestopayexorbitantlegalfeestodefendtheirintellectualproperty.
AccordingtotheAssociationofUniversityTechnologyManagersannualreport,dozensofmajor
universitiesBrandeis,WestVirginia,Tufts,andMiamiamongthemactuallyspentmoreonlegal
feesinfiscalyear1997thantheyearnedfromalllicensingandpatentingactivitythatyear.Agrowing
numberofdisputespituniversitiesagainsttheirownfacultymembers.In1996ajuryawarded$2.3
milliontotwoprofessors,JeromeSingerandLawrenceCrooks,whofiledsuitagainsttheUniversityof
Californiaforshortchangingthemonroyaltiesresultingfromtheirpathbreakingresearchonmagnetic
resonanceimaging,awidelyutilizedmedicaltestknownastheMRI.Anappealscourtfoundthatthe
universityimproperlyshelteredrevenuebydramaticallydiscountingthepatentsitlicensedto
manufacturersinexchangeformorethan$20millioninresearchfunding.
ISthiswheretheBayhDoleActwassupposedtolead?Twosummersagoaworkinggroupatthe
NationalInstitutesofHealthissuedareporttotheNIHdirector,HaroldVarmus,warningthatchanges
inthewayuniversitiesguardtheirintellectualpropertyareendangeringthefreeexchangeofbasic
researchtoolssuchasgenesequencesandreagentsthatarecrucialtoallresearch.TheNIHfound
thatthetermsuniversitiesimposeontheirresearchtools,throughtheirtechnologylicensingoffices,
"presentjustabouteverytypeofclausethatuniversitiesciteasproblematicinthe[contracts]...they
receivefromindustry."Theseincluderequirementsthatuniversitiesbeallowedtoreviewmanuscripts
priortopublicationandprovisionsextendingtheirownershipclaimstoanyfuturediscoveriesderiving
fromuseoftheirresearchmaterials.Universities,theNIHcharges,"havenodutytoreturnvalueto
shareholders,andtheirprincipalobligationundertheBayhDoleActistopromoteutilization,notto
maximizefinancialreturns.IthardlyseemsconsistentwiththepurposesoftheBayhDoleActto
imposeproprietaryrestrictionsonresearchtoolsthatwouldbewidelyutilizediffreelydisseminated.
Technologytransferneednotbearevenuesourcetobesuccessful."Ironically,theproliferationof
ownershipclaimsthreatensnotonlytostiflethefreeexchangeofideasbutalsotoimpedeeconomic
growth.JamesBoyle,anexpertonintellectualpropertylawatAmericanUniversity,warnsthatif
currenttrendscontinue,"creatorswillbepreventedfromcreating,"asthepublicdomainis"converted
intoafallowlandscapeofwalledprivateplots."
ControllingtheResearchAgenda
IMMEDIATELYaftertheAprilfacultymeetingatBerkeleyseveralmembersofStudentsfor
ResponsibleResearchgatheredinanoutdoorcourtyardatLaBurrita,apubjustoffcampus,toair
theirconcernsabouttheNovartisdealandtoletoffsteam."Thisplacehassomeofthecheapest
pitchersaround,"saidJesseReynolds,oneofthegroup'sleaders,asglasseswerepouredandbeers
werepassedaroundalongpicnictable.
Unlikethestudentradicalsofthesixties,thesestudentsneverintendedtolockhornswiththe
universityestablishment.Reynolds,whostudiesCaliforniawaterresources,sayshe'srelativelynewto
studentpoliticsandtopoliticsaltogether."I'mgenerallyoneofthosepeoplewhogripealotanddo
nothing,"heexplained."Butwhenthebeststateagriculturalcollegeinthecountrymakesthiskindof
leap,theworldisboundtofollow.Ireallyfearthat."
DavidQuist,asecondyeargraduatestudentinenvironmentalscience,laughedashetoldastory
illustratingtheculturethatnowpermeatestheuniversity.ThepreviousOctober,Quistsaid,atatown
hallmeetingwheretheNovartisdealwasfirstmadepublic,DeanGordonRausserinvitedconcerned
studentstoexaminethecontractforthemselves."SothenextdayIcametohisoffice,"Quistrecalled.
"Iwasgivensomematerialsandsatdowntotakenotes.Butassoonasanadministratorsawme,she
said,'Oh,no,youcan'tdothat.'"Quist'snoteswereconfiscatedandheldatthedean'sofficeforseveral
months.
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WilhelmGruissem,aprofessorintheDepartmentofPlantandMicrobialBiologywhohelpedto
negotiatetheNovartisdeal,insiststhatthenegotiationswereasopenaspossiblewithoutdivulgingthe
company'sproprietarysecrets.Butevenstudentswithinthedepartmentfeltshutout.InDecemberof
1998twentythreegraduatestudentssentalettertothefacultycomplainingthattheirviewshadnever
beensolicitedandthattheyhadbeen"forcedtorelyonrumorsandsuppositionthroughoutthe
negotiationprocess."
WhatmostconcernstheStudentsforResponsibleResearchisthatasuniversityindustrytiesgrow
moreintimate,lesscommerciallyorientedareasofsciencewilllanguish."Let'ssayyou'reagraduate
studentinterestedinsustainableagricultureorbiologicalcontrolorsomeotherareathatisnot
commercial,"Reynoldsexplained."Myguessisyou'renotgoingtocometoBerkeley,oryou'llatleast
thinktwiceaboutit."
DonaldDahlsten,theassociatedeanoftheCollegeofNaturalResources,sharesthisconcern.
"Molecularbiologyandgeneticengineeringhaveclearlyrisenasthepreferredapproachtosolvingour
problems,andthat'swheretheresourcesaregoing,"Dahlstensays."Newbuildingshavegoneup,and
thesedepartmentsareexpanding,whiletheorganismicareasofsciencewhichemphasizeamore
ecologicalapproacharebeingdownsized."DahlstenoncechairedBerkeley'sworldrenowned
DivisionofBiologicalControl.Todaythatdivision,alongwiththeDepartmentofPlantPathologyand
morethanhalfofallfacultypositionsinentomology,aregoneinpart,manyprofessorsbelieve,
becausetherearenoprofitsinsuchwork."Youcan'tpatentthenaturalorganismsandecological
understandingusedinbiologicalcontrol,"AndyGutierrez,aBerkeleyentomologist,explains.
"However,ifyoulookatpublicbenefit,thatdivisionprovidedbillionsofdollarsannuallytothestateof
Californiaandtheworld."InoneprojectGutierrezworkedon,hehelpedtohaltthespreadofapest
thatthreatenedtodestroythecassavacrop,afoodstaplefor200millionpeopleinWestAfrica.
GordonRaussercountersthatfarfromdrainingresourcesfromotherareas,theNovartisdealwill
benefitthecollegeasawhole,becauseaquarterofthemoneywillbespentoutsidetheDepartmentof
PlantandMicrobialBiology."I'msittingherewiththreesciencebuildingsthatwerebuiltinthe1920s,
thirties,andforties,"Raussersays."Ican'tgetthosebuildingsmodernizedforfirstrateresearch
withoutresources."
ChrisScott,whountilrecentlyoversawindustrycollaborationsatStanford'smedicalschool,describes
anotherreasonthatworkingwiththeprivatesectorisessential.Scottpointsoutthatforthepast
severalyearsindustryresearchershaveconsistentlybeenrankedamongthemostfrequentlycited
scientificauthors,makingacademicisolationintellectuallydeleterious.ButScott,too,recognizesthe
dangerofallowingmarketcriteriatodictatethepathsofscientificinquiry."Showmeanindustry
sponsoredresearchprojectonschistomiasisaliverparasitethatafflictspeopleintheThirdWorld
ormalariaorriverblindnessordenguefever,"Scottsays.Allthesediseasesprimarilyafflictpeoplein
developingnationswhocan'taffordtopayhighpricesformedicine,hesays,soallhavebeendropped
fromthepharmaceuticalindustry'sdocket.MildredCho,ofStanford'sCenterforBiomedicalEthics,
agrees,pointingtovaccineresearchasanotherneglectedarea."Publichealthservicessimplycan't
affordtopayhighprices,"Chosays."Ifresearchismarketdriven,itraisespotentialproblemsnotonly
fortheresearchagendabutforpublichealth."
Astheresearchagendasofuniversitiesandcorporationsmerge,thereisoneotherdanger:namely,that
universitieswillceasetoserveasplaceswhereindependentcriticalthoughtisnurtured.Anne
Kapuscinski,avisitingprofessorfromtheUniversityofMinnesotawhostudiesgeneticallyengineered
organisms,andotherscholarswemetwithatBerkeleyfearthatraisingquestionsaboutthesafetyof
geneticallyalteredcropsaprincipalresearchfocusofNovartismayprovedifficultifmoreandmore
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agriculturalcollegesturntocorporationstofinancetheirresearch.Concernsaboutgeneticengineering
aremounting,Kapuscinskinotes.AstudypublishedlastMayinNaturefoundthatthetoxinsdispersed
fromthepollenofBt(Bacillusthuringiensis)corn,aNovartisproduct,cankillnonpestinsects,
includingthemonarchbutterflyaproblemwithpotentiallyenormousecologicalimplications.Such
dangerspromptedtheFoodandDrugAdministrationtoconveneaseriesofpublichearingslast
Novemberongeneticallyalteredcrops,whoseusehasprovokedhugedemonstrationsinEuropeand
elsewhere.IgnacioChapela,oftheCollegeofNaturalResources'executivecommittee,believesthatthe
mostimportantthingNovartisstandstogainfromtheallianceislegitimacy."Thesheervalueofhaving
thelogooftheUniversityofCalifornianexttothelogoofNovartisisimmenselyvaluabletothe
companyrightnow,"hesays.
Maybesobuttheplanmayendupbackfiring.Atlastyear'sgraduationceremony,inagraphicdisplay
ofdissent,astudentspeakerplacedtheblueandorangeNovartislogodirectlyaboveBerkeley's,while
ahundredstudentsintheaudiencemockinglydonnedgraduationcapsemblazonedwiththeNovartis
logohardlythepublicexposurethecompanysought.
DownsizingtheHumanities
THEstudentsatBerkeleywerenottheonlyonesprotestingthegrowingcorporateinfluenceon
universityresearchlastspring.InMarchof1998studentsatdozensofschools,includingthe
UniversityofWisconsin,Harvard,andCornell,heldaseriesofteachinsonthesubject.AtGeorge
MasonUniversity,astateschoolinFairfaxCounty,Virginia,anothergraduationprotesteruptedas
hundredsofstudentsattachedbrightpinkbuttonsbearingtheslogan"StopDisEngagingOurFuture"
totheircapsandgowns.Thebuttons,whichweredistributedbyStudentsforQualityEducation,werea
pointedreferencetoarecentGeorgeMasonmissionstatement,"EngagingtheFuture,"whichcallsfor
increasinginvestmentininformationtechnologyandtighteningrelationsbetweentheuniversityand
northernVirginia'sboomingtechnologyindustry.
In1998JamesS.Gilmore,thegovernorofVirginia,promisedtoincreasestatefundsforGMUbyas
muchas$25millionayearprovidedthattheuniversitybetterservetheregion'shightechbusinesses.
GMU'spresident,AlanG.Merten,acomputerscientistandaformerdeanofthebusinessschoolat
Cornell,hardlyneededurging."Wemustacceptthatwehaveanewmandate,andanewreasonfor
beinginexistence,"heannouncedattheWorldCongressonInformationTechnology,agatheringof
industryexecutiveshostedbyGMUinthesummerof1998."Themandateistobenetworked."By
year'sendMertenhadaddeddegreeprogramsininformationtechnologyandcomputerscience,
pouredmoneyintothe125acrePrinceWilliamcampus,whosefocusisbiosciences,bioinformatics,
biotechnology,andcomputerandinformationtechnology,andsuggestedthatallstudentswouldbe
trainedtopassa"technologyliteracy"test.Amidthiswhirlwindofchange,however,otherareasfared
lesswell.Degreeprogramsinclassics,German,Russian,andseveralotherhumanitiesdepartments
wereeliminated.
Indefendingthechanges,Mertenspeaksasarealistand,it'simpossiblenottonotice,assomeone
versedinthelanguageofthebusinessworld."Therewasatimewhenuniversitiesweren'theld
accountableformuchpeoplejustthrewmoneyatthem,"hesays.Today"peoplewithmoneyaremore
likelytogiveyoumoneyifyouhaverestructuredandrepositionedyourself,gotridofstuffthatyou
don'tneedtohave.Theytakeaverydimviewofgivingyoumoneytorunaninefficientorganization."
TheprocessofmakingGMUmoreefficientwas,heconcedes,"alittlebloodyattimes,"buttherewasa
logictoit."Wehaveacommitmenttoproducepeoplewhoareemployableintoday'stechnologywork
force,"hesays.StudentsatGMUare"goodconsumers"whowantdegreesinareaswherethereare
robustjobopportunities,andtheuniversityhasanobligationtocatertothatdemand.
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Butshouldmeetingthedemandcomeattheexpenseofprovidingawellroundededucation?In
responsetoGMU'scutsinthehumanities1,700studentssignedapetitionofprotest.Inaddition,180
professorsintheCollegeofArtsandSciencessentalettertoPresidentMertenarguingthatalthough
trainingstudentsforthejobmarketwasalegitimategoal,"preciselyinthefaceofsuchanemphasison
jobsandtechnology,itismorenecessarythanevertoeducatestudentsbeyondtechnological
proficiency."KevinAvruch,aGMUanthropologistwhosignedtheletter,explains,"Auniversityshould
teachpeopletoreadandwriteandthinkcritically.Andmyguessisthat,ironically,that'swhat
corporationsreallywantaswell.IftheyneedtoteachthemLotus,theycandothatafterthey
graduate."
PerhapsbutwhathappenedatGMUisclearlypartofanationaltrend.In1995theBoardofRegents
inOhioassessedhowthestate'seducationdollarsshouldbespent.Theverdict?Eliminatefundingfor
eightdoctoralprogramsinhistory.JamesEngell,aprofessoratHarvardwhohaschairedthatschool's
steeringcommitteesondegreeprogramsinbothhistoryandliterature,andAnthonyDangerfield,a
formerDartmouthEnglishprofessor,recentlyconcludedatwoyearnationalstudyofthestateofthe
humanities.From1970to1994,theyfound,thenumberofbachelor'sdegreesconferredinEnglish,
foreignlanguages,philosophy,andreligionalldeclined,whiletherewasafivetotenfoldincreasein
degreesincomputerandinformationsciences.TheelitetopquarterofPh.D.programsinEnglishhave
twentyninefewerstudentsperprogramthantheyhadin1975.Meanwhile,humanitiesprofessorson
averageearnsubstantiallylessthantheircounterpartsinotherfields,andthegaphaswidenedoverthe
pasttwentyyears.
"Testwhatyouwillmajors,salaries,graduateprograms...theresultscomebackthesame,"Engell
andDangerfieldwriteinalengthyrecentarticleintheHarvardalumnimagazine."Sincethelate1960s
thehumanitieshavebeenneglected,downgraded,andforcedtoretrench,allasotherareasofhigher
educationhavegrowninnumbers,wealth,andinfluence."Theauthorstracethistowhattheycallthe
new"MarketModelUniversity,"inwhichsubjectsthatmakemoney,studymoney,orattractmoney
aregivenpriority.
Evensmallliberalartscollegesarerespondingtomarketdemand.AttheClaremontColleges,in
southernCalifornia,aclusterofschoolsthatincludesPomonaandHarveyMudd,anewgraduate
institutehasbeenlaunchedthatfeatures"acurriculumfocusedontheneedsoftheindustrialsector,"a
facultywithouttenure,andaneducationalmandatetotrainstudentsfor"professionalcareersin
emergingfieldsattheintersectionoflifesciencesandengineering."
Surprisingly,suchdevelopmentshavereceivedlittleattention.Sincetheearly1980sAmericanculture
hasobsessivelydebatedthecontentoftheWesterncanonwhetherShakespeareorToniMorrison,
EuropeanhistoryorAfricanhistory,shouldbetaughttoundergraduates.Inthedecadestocomea
morepressingquestionmaybewhetherundergraduatesaretaughtanymeaningfulliteratureor
historyatall.KevinAvruchsaysthattherecentrestructuringatGMUbroughthomethatlesson."It
actuallyunitedprofessorsontheleftandtheright,"hesays."Thisfacultyisoftencharacterizedas
overlyliberal,butwediscoveredthatinatleastonesensemostofusaretremendouslyconservative:
weshareanineteenthcenturyviewthatourjobistoeducatewellroundedcitizens."
TheHigherLearning.com
WHILEhumanitiesprofessorsatsomeschoolsarebattlingtosavetheirdepartmentsfrombeing
eliminated,othersarediscovering,muchtotheirsurprise,thatuniversityadministratorshavetakena
suddeninterestintheircoursematerialbecauseofitspotentialforbeingmarketedonline.Seemingly
overnightthecomputerrevolutionhastransformed"courseware"intoavaluablepieceof"content"
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thatcanbepackagedandsoldontheInternet,andonlineeducationcompaniesareracingto
collaboratewithacademicinstitutionstoexploitthisburgeoningmarket.
BerkeleyrecentlysignedadealwithAmericaOnline,theUniversityofColoradohasteamedupwith
RealEducation,andtheWesternGovernors'Associationhasfoundeda"virtualuniversity"linking
morethanthirtyschoolsintwentytwostates.MichaelMilken,theconvictedjunkbondtrader,is
investingheavilyinanInterneteducationcompanyknownasUNext.com,whichrecentlysigneddeals
withColumbiaUniversityandtheUniversityofChicago.
Inatimeofbudgetshortfallsanddwindlingpublicsupportforeducation,universityadministrators
andpoliticiansseeonlineeducationasawaytoexpandonthecheap."Justbuildingcampusesisavery
expensiveproposition,"saysE.JeffreyLivingston,theassociatecommissionerfortheUtahSystemof
HigherEducation."Governorssee[thevirtualuniversity]asawaytonotspendasmuchmoneyinthe
future,tomeetgrowth.""Distancelearning"isalsoseenasapromisingnewteachingtoolandasaway
toreachnontraditionaleducationmarkets,suchasparttimersandforeignstudents.
Agrowingnumberofprofessors,however,fearthatelectroniceducationisdestinedtotransform
teachingintolittlemorethanacommodity.Beforeauniversitycansellcoursewareonline,itmustfirst
controltherights,andthatmeans,inessence,usurpingcopyrightfromthecreatorsofthecoursesthe
faculty."Thisisgoingtobeoneofthemostimportantbattlegroundsofthefuture,"predictsEdward
Condren,aprofessorofmedievalliteratureattheUniversityofCaliforniaatLosAngeles.InJuneof
1994UCLA'sextensionprogramthelargestcontinuinghighereducationprograminthecountry
signedadealgrantingexclusivecontrol(includingcopyright)overtheproductionanddistributionof
itselectroniccoursestoOnlineLearning.net(thencalledTheHomeEducationNetwork).Despite
UCLA'smuchvauntedfacultygovernancestructure,Condrensays,therewasnopriorfaculty
consultation,andtheacademicsenatehadtowaituntilFebruaryof1998beforeitwaspermittedtosee
anyversionofthecontract."Thisisapublicinstitution,"Condrensaysangrily,"andacontractwas
enteredintowithoutanypublicannouncementthatbidswerebeingsought."
InadditiontobeingarenownedChaucerscholar,Condrenisanauthorityonintellectualpropertylaw.
Forthepasttwentyfiveyearshehasservedasanexpertwitnessinanumberofhighprofilecourt
cases,andhetestifiedforthewinningsideinFalwellv.Flynt."Inmyopinion,"hesays,"theUCLA
extensionprograminitselectronicofferingsisoperatingillegally.Itdoesnothavethecopyright
assignmentfromthefacultywhoowntherightstothecourses."Indeed,professorshavehistorically
beenconsideredtheintellectual"authors,"andthusthecopyrightholders,oftheirwork,saysDavid
Noble,ahistorianatYorkUniversity,inToronto,wherefacultymembersrecentlywagedasuccessful
battletoprotecttheircopyrightsfromchallenge.TheBayhDoleActallowsuniversitiestopatentthe
intellectualdiscoveriesoftheirfacultymembersandtoshareintheroyalties,butcontrollingcopyright
isradicallydifferent,Condrensays,because"itwouldunderminethelegalprotectionthatenables
facultytofreelyexpresstheirviewswithoutfearofcensorshiporappropriationoftheirideas."
Professorsalsofearthatuniversitieswillusedistancelearningnottoenhanceeducationbutto
eliminateteachingpositions.It'salegitimateconcern.TheNewSchoolforSocialResearch,inNew
YorkCity,nowhiresunemployedPh.D.stodesignonlinecourses,paysthemaflatfee,andthen
requiresthemtosignawaycopyrightsothattheschoolcanassignthecourseastheyseefit.Educause,
aconsortiumofover1,600academicinstitutionsandmorethanahundredandfiftycorporations,in
1994launchedaNationalLearningInfrastructureInitiativethatproducedadetailedstudyofwhat
professorsdo,breakingdownwhichdiscreteteachingfunctionscanbeautomatedoroutsourcedfor
"productivityenhancement."WilliamMassyandRobertZemsky,educationscholarsbasedatStanford
andtheUniversityofPennsylvaniarespectively,argueinarecentEducausepaperthatuniversities
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needinformationtechnologytocontroltheirbudgets."Withlaboraccountingforseventypercentor
moreofcurrentoperatingcost,"theyassert,"thereissimplynootherway."
Thefuturetheprofessorsfearhasalreadyarrived.DavidNoble,citingfiguresfromtheU.S.National
CenterforEducationalStatistics,notesthatevenbeforethecomputerrevolution,whilespendingon
instructiondeclinedby9.5percentatpublicuniversitiesfrom1976to1994,expendituresonresearch
increasedby21percent.TheAmericanAssociationofUniversityProfessors,examiningchangesinthe
academicworkforce,notesthatfrom1975to1995theshareoffulltimefacultypositionsdeclined
whiletheuseofparttimefacultymorethandoubled."Intheendstudentswerepayingmorefortheir
classesandgettingless,"Noblearguesinarecentpaper,"DigitalDiplomaMills,"thatlinksthegrowth
inonlinelearningtotheincreasinglycommercialfocusofuniversities.Atleastsomestudentsseemto
agree.InMayof1996,attheUniversityofUtah,JeffCasperandHeatherFortunawereelected
presidentandvicepresidentofthestudentbodyafterrunningundertheslogan"GetReal"and
campaigningagainstthevirtualuniversity."Itookaclassinoneofmymajorswherethebulkofthe
instructionwasdonethroughcomputer,"Fortunaexplained,"anditwasthemosttediousthingthatI
everhadtodealwith.IlearnedverylittleincomparisonwiththeexperiencesI'vehadinsidethe
classroom."
IThasbeenthefateofAmericanhighereducationtodevelopinapreeminentlybusinesslikeculture,"
thehistorianRichardHofstadterwrotein1952.Throughtheyears,Hofstadteracknowledged,
America'suniversitieshadfosteredthenation'stechnologicalandeconomicdevelopment.Buttoo
often,helamented,highereducationinAmericawasjudgedonpurelypragmaticgrounds."Education
isjustifiedapologeticallyasausefulinstrumentinattainingotherends:itisgoodforbusinessor
professionalcareers,"hewrote."Rarely,however,doesanyonepresumetosaythatitisgoodforman."
SomewouldarguethatHofstadter'svisionofhighereducationisanunaffordableluxury.Intoday's
informationageideashavebecomeprizedcommodities.Still,evenontheutilitariangroundsthat
traditionalistslikeHofstadterwouldscorn,preservingthedistinctionbetweenhighereducationand
businessisvitallyimportant.
Forifcommercialcriteriaareallowedtoprevail,schoolsnotonlyriskshrinkingtheireducational
missiontheyriskceasingtobecentersoftechnologicalinnovationaswell.PaulBerg,aNobelPrize
winningbiochemistwemetwithatStanford,tellsastorythatdramaticallyillustrateswhy.Berg,
seventythree,isaseminalfigureinthebiotechrevolution,havinglaidthegroundworkforsplicing
DNAtomakehybridmolecules.(StanleyCohenandHerbertBoyerbuiltonBerg'sworktocreatethe
firstrecombinantDNAclone.)Hisdiscoverypropelledthebilliondollarindustrythatisnowhailedas
amodelofuniversityindustryrelations.ButBergpointstoanunderlyingirony."Thebiotech
revolutionitselfwouldnothavehappenedhadthewholethingbeenleftuptoindustry,"hesays.
"Venturecapitalpeoplesteeredclearofanythingthatdidn'thaveobviouscommercialvalueorshort
termimpact.Theydidn'tfundthebasicresearchthatmadebiotechnologypossible."Bergrecallsthat
shortlyafterhisownpathbreakingdiscoveryhegaveaseminarattheMerckpharmaceuticalcompany,
wherehemetayoungscientistwhohadbeenpursuingthesameidea.Whenthisscientistencountered
someobstaclesaftersixorsevenmonths,Merckpreventedhimfromcontinuingtoworkonthe
project."EventhoughMerckwaswidelychampionedforitssupportofresearch,theywouldn'tlethim
gobeyondacertainpoint,"Bergsays,"andthatisjustoneofthelimitationsofcorporateresearch."
Thefreedomofuniversitiesfrommarketconstraintsispreciselywhatallowedtheminthepastto
nurturethekindofopenendedbasicresearchthatledtosomeofthemostimportant(andleast
expected)discoveriesinhistory.Today,asthelinebetweenbasicandappliedsciencedissolves,as
professorsareencouragedtothinkmoreandmorelikeentrepreneurs,aquestionarises:WillthePaul
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Bergsofthefuturehavethefreedomtoexploreideasthathavenoobviousandimmediatecommercial
value?Only,itseems,ifuniversitiesclingtotheirtraditionalidealsandmaintainadegreeof
independencefromthemarketplace.Thiswillnotbeeasyinanageofdwindlingpublicsupportfor
highereducation.Butthenation'stopflightuniversitiescanleadthewaybycollectivelyestablishing
newguidelinesdesignedtopreserveacademicfreedominalltheirinteractionswithindustry.These
couldincludeforbiddingprofessorsfromhavingdirectfinancialtiestothecompaniessponsoringtheir
researchbanninguniversitiesthemselvesfrominvestinginthesecompaniesprohibitingpublication
delaysofmorethanthirtytosixtydaysandanyothereditorialconstraintsandminimizingproprietary
restrictionsonbasicresearchtools.Inaddition,universitiescoulddomoretomakethecasefor
preservingpublicsupportforhighereducationwhilerefusingtotailoreithertheresearchagendaor
thecurriculumtotheneedsofindustry."Thebestreasonforsupportingthecollegeandtheuniversity,"
Hofstadterwrote,"liesnotintheservicestheycanperform,vitalthoughsuchservicesmaybe,butin
thevaluestheyrepresent.TheultimatecriterionoftheplaceofhigherlearninginAmericawillbethe
extenttowhichitisesteemednotasanecessaryinstrumentofexternalends,butasanendinitself."
Thisarticleavailableonlineat:
http://www.theatlantic.com/magazine/archive/2000/03/thekeptuniversity/306629/
Copyright2015byTheAtlanticMonthlyGroup.AllRightsReserved.
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The Kept University - Corporations Vampirizes Universities

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