Mr. Chairman:
My name is Royce Engstrom. I am a Provost and Vice President for Academic Affairs at the University of South Dakota and a member of the South Dakota EPSCoR Statewide Committee, the governing body that oversees EPSCoR activities in South Dakota. I submit this testimony on behalf of the twenty-five states, the U.S. Virgin Islands, and the Commonwealth of Puerto Rico that participate in the federal EPSCoR program and the Coalition of EPSCoR/IDeA States. I have the honor of serving as the Chair of the Board of the Coalition of EPSCoR/IDeA States.
As most of you know, the Experimental Program to Stimulate Competitive Research (EPSCoR) was established at the National Science Foundation (NSF) in 1979 to assist those states that historically had not fully participated in the federal research and development (R&D) enterprise. Historically, these states were less competitive than others throughout the nation for a variety of reasons – some tended to be rural and geographically isolated; others tended to be among the states with large numbers of students who were under-represented minorities or disadvantaged economically; and some were states that traditionally invested more heavily in an agriculture and natural resource research base than technological endeavors. For these reasons, EPSCoR states did not benefit from the large federal institutional development investments made to universities and colleges as part of a national effort to broaden and strengthen the U.S. public university system and its R&D capability. Consequently, all the institutions in these states – half of the states – receive less than 10% of all NSF and all federal R&D funding.
Helping these “less research intensive” states grow to be more competitive has become more important in recent years in order to overcome the concentration of federal R&D funding in a few states and institutions, and to create a broader research community throughout the nation. Today, all states should be full participants in federal R&D efforts and federal R&D support should be available to qualified students and researchers wherever they are.
The EPSCoR program started at NSF with five states. It grew to its current number of 25 states and two territories as more states, the Congress, and the research field came to realize the need to raise the science and technology (S&T) research capabilities to new levels, and as new states realized the value of a program that emphasized research infrastructure and capacity building.
The EPSCoR program remained a very small program for the first half of its life. Its budget, federal-wide, was only $8 million in 1990 for all the states. It has only been since the mid-1990’s that we have seen real increases in funding and the extension of the program to agencies outside of the NSF. For those of us in the EPSCoR states, these have been welcome advances but we also understand that they have been extremely modest in comparison to the overall increases in total federal R&D funding. We also know that research infrastructures are not developed overnight, especially with these modest investments.
During the 1990’s, EPSCoR grew rapidly, expanding from 5 states to 25 states and two territories as Congress recognized that EPSCoR funding was successfully building S&T research infrastructure in higher education institutions in a fashion that contributed to the wealth creation process in the initial group of EPSCoR jurisdictions. Congress also expanded the program into six new agencies; the Departments of: Agriculture, Defense, Energy, the National Institutes of Health (NIH), the Environmental Protection Agency (EPA), and the National Aeronautics and Space Administration (NASA). These seven federal departments and agencies now have EPSCoR-like programs that focus on building academic research infrastructure that will ultimately contribute to the economies of EPSCoR jurisdictions in the 21st century in similar ways to how agriculture, mining, and forestry contributed to the economies in the 19th and early 20th centuries.
Let me provide an example of how the federal agencies are able to accomplish the mission of building research infrastructure and improving the competitiveness of our university researchers. At the National Science Foundation, the “center piece” of the EPSCoR effort is the Research Infrastructure Improvement (RII) awards. The awards establish a federal-state partnership, which is most clearly seen in the composition of the state steering committees, or EPSCoR State Committees. Typically, senior university officials, representatives of state government (both legislative and executive branches), and local business officials come together and develop a S&T plan for their state that focuses on those areas where researchers can become competitive for funding in federal, non-profit, or industrial competitions. The focus areas are selected because of inherent scientific quality, able faculty, and because of the likelihood of potential benefit to the states’ citizenry. As a result, EPSCoR states have entered into high-tech computing, bio-medical research, and nanotechnology. The state EPSCoR “team” then submits a RII proposal to NSF for funding support in these areas.
The RII’s are not an end unto themselves. Every researcher who is supported under the NSF RII’s is expected to apply to one of the regular S&T programs at NSF or one of the other federal R&D funding agencies before the RII award is completed. The track record of these researchers over time has been remarkable. Recently, NSF released statistics showing that since 1998 (which was the first year that NSF issued RII awards) EPSCoR states accounted for 9 of the 10 U.S. states with the greatest increase in science and engineering funding. This success has occurred in areas where EPSCoR institutions had not previously been competitive. For example, for the first time, EPSCoR institutions have used RII funding as a base to successfully compete for large-scale awards like the Engineering Research Centers and Materials Research Science and Engineering, Integrative Graduate Education and Research Traineeship Program.
At NIH and other agencies with EPSCoR-like programs, EPSCoR researchers are building on research infrastructure grants to compete for funding that not only advances academic science and technology, but serves the mission of these agencies in the areas of defense, environment, health, and agriculture. EPSCoR researchers are becoming increasingly adept at spinning off academic research into small companies. EPSCoR states are becoming more competitive for Small Business Innovative Research (SBIR) awards. SBIR awards have great potential to produce not just companies but high paying jobs for our states’ youth.
Many EPSCoR institutions are now actively engaged in issues related to homeland security. For example, some of our institutions are carrying out research that improves the safety of food products as they move from the field to grocery store. Other institutions are engaged in defense issues that relate to improving communication for troops in the field during combat. Still others are addressing issues related to transportation. All of these examples are intended to demonstrate that the initial federal investment in building the research capabilities of our universities through EPSCoR and EPSCoR-like programs has had a profound impact beyond our campuses.
I will now provide some specific cases, which emphasize the importance of this program to South Dakota and other EPSCoR states. The South Dakota EPSCoR REACH Committee manages the development and implementation of statewide science, engineering and mathematics research, education, and related programs. It enhances the research and intellectual capacity of South Dakota universities and colleges by building and coordinating strategic investments in human capital and physical infrastructures necessary for South Dakota to develop the capacity to make the State more competitive in research and economic development, nationally and internationally.
South Dakota has benefited tremendously from the EPSCoR program. For example, using EPSCoR as a catalyst, we have developed four major research centers that form the core of Governor Mike Rounds “2010 Initiative.” The Centers are in the areas of nanotechnology, light-activated materials, biomedical signal transduction, and vaccinology. The progress made by investigators in these areas, largely supported by EPSCoR, has resulted in an additional $20 million investment on the part of the state. In addition, we have just initiated four new Ph.D. programs to help educate future scientists for South Dakota. The clear recognition of the connection between research and economic development has been made in South Dakota, and the sustained support by EPSCoR has been absolutely key to that connection.
EPSCoR-funded science and technology dividends to South Dakota reflect an understanding that investments in infrastructure are needed for South Dakota to compete in a knowledge-based economy. Without state support, South Dakota EPSCoR would not be able to participate in most federal EPSCoR initiatives. Several of the federal programs have required a “state match”.
The South Dakota EPSCoR program has many unique features to enhance cooperation between our universities. In addition to supporting individual research projects, the program funds faculty and student exchange programs, provides interdisciplinary planning grants for cooperative scientific ventures among our universities; and offers undergraduate summer research fellowships.
We are delighted to stress that EPSCoR has had a positive influence on state economic development well beyond what was initially conceived for the program. As a focal point for technological and scientific improvement across the state, EPSCoR identified areas of priority for funding and helped to draft South Dakota’s strategic plan for scientific and technological development. In addition to the growth in basic research, we have seen a substantial increase in SBIR activity, to the point that the state has established two new offices: a system-wide Vice President for Research, and a State Commercialization Director, whose job it is to help transfer ideas from the Universities to the private sector.
Within each states’ EPSCoR program, efforts continue to identify: (1) high potential research areas in which to concentrate limited state resources and (2) barriers that must be removed to attain nationally competitive science and engineering research and education programs. A critical need for EPSCoR states is to overcome a lack of critical mass (i.e. too few faculty in a given area of research) by collaborating inside the state and with outside partners.
NSF EPSCoR is helping us ensure, through its Research Infrastructure Improvement (RII) awards and co-funding, that our states have an opportunity to develop these new fields. This is vitally important to the economy of each of our states and especially to our young people who live therein. Despite increased mobility, the vast majority of students still attend college within 100 miles of home. EPSCoR helps to guarantee that students and residents of all states have the access to high-quality education, front-line research, and the quality of life and jobs that comes with an active and competitive R&D base.
Again, the cornerstone of the NSF EPSCoR program are the Research Infrastructure Improvement awards (RIIs). These awards focus on South Dakota’s competitive academic science and technology base. The RIIs strengthen South Dakota’s ability to compete favorably for mainstream program funds at the NSF, other agencies and for private sector dollars.
The annual EPSCoR program solicitation, next scheduled for release in fall 2005 will allow states to request up to $3 million a year for three years. Consequently, we urge the subcommittee to continue support for EPSCoR by appropriating $120 million in FY 2006 funding for the NSF EPSCoR core program in the NSF Education and Human Resources Directorate. This funding will: (1) allow the NSF EPSCoR program to implement its expanded core program to continue building our infrastructure and expertise in areas of scientific importance to the states and nation; and (2) increase co-funding and assistance to our states so that the number of scientists and engineers in the EPSCoR states and universities that receive competitive federal R&D support continues to grow. In this regard we are particularly supportive of NSF efforts to increase our participation in large-scale initiatives such as the materials science initiatives, nano-scale initiatives, information technology, and the new large-scale centers for learning and teaching.
In addition to infrastructure, there is a component in the NSF EPSCoR called co-funding. This is designed to help EPSCoR researchers obtain research support from the regular NSF funding streams. The co-funded projects are supported by a combination of funds from the EPSCoR program itself and also from funding in the NSF Research Directorates. NSF plans to continue and expand co-funding, which we also support, but again, we do not want co-funding to divert resources from the critical need for infrastructure development that is supported in the Research Infrastructure Improvement (RII) awards.
On behalf of the Coalition of EPSCoR/IDeA states, please know that the relatively modest NSF investment in EPSCoR plays a unique role in developing a truly nationwide science and technology capability. A strong EPSCoR is a sound investment for our nation’s future.
Office of Academic Affairs
University of South Dakota
414 East Clark Street, Vermillion, SD 57069
Phone: (605) 677-6651; FAX: (605) 677-6497
E-mail: rcengstr@usd.edu
Provost and Vice President for Academic Affairs, University of South Dakota, 2005-present
Vice President for Research and Dean of Graduate Education (various titles), 1996-2005.
Chair, Department of Chemistry, 1984-1995.
Professor of Chemistry, 1979- present.
University of Wisconsin, Madison, Analytical Chemistry, Ph.D. 1979
University of Nebraska, Omaha, Chemistry, B.S. 1975
Engstrom has been heavily involved with the National Science Foundation Experimental Program to Stimulate Competitive Research (NSF EPSCoR) Program, both on the state and national levels.; this program is aimed at developing research capacity and competitiveness in states that historically do not receive much federal grant funding.
Another national organization in which Dr. Engstrom has been very active is the Council on Undergraduate Research (CUR), which he has served as President, Secretary, and Chemistry Councilor for many years. CUR is a national professional organization whose mission is to promote research by undergraduate students in the sciences, mathematics, and engineering at primarily undergraduate institutions.
Engstrom has served in several temporary positions, including Visiting Research Professor at the University of Indiana (sabbatical program), Director of the South Dakota Math, Science, and Technology Council, and Regent’s Fellow in the South Dakota Board of Regents Office.
Honors received include the Burlington Northern Award in Teaching Excellence and the Ernest Buckley Award for Overall Excellence in Research.
Dr. Engstrom has participated in the following federally-funded projects during the Fiscal Years 2003-2005:
REU Site: Excavation and Reconstruction of a Northern Plains Bison Kill Site, National Science Foundation, 2002-2005, $155,778. This project was an interdisciplinary undergraduate research project focusing on anthropology. (Co-Principal Investigator)
Statewide Partnership to Support Technology Innovation and Entrepreneurship in South Dakota, National Science Foundation, 2002-2005, $598,247. (Co-Principal Investigator)
EPSCoR Centers Development Initiative (CDI), National Science Foundation, 2001-2004, $1,713,836. This project was aimed at providing technical assistance to EPSCoR states in their efforts at building nationally competitive research centers.
South Dakota EPSCoR Rushmore Initiative for Excellence in Research, National Science Foundation EPSCoR, 2001-2004, $2,293,628 (USD portion). This project was the Research Infrastructure Initiative for South Dakota’s EPSCoR program. (Co-Project Director)
REU Site: Tracing the Lewis and Clark Expedition, National Science Foundation, 2001-2004, $173,605. This was an interdisciplinary undergraduate research program at the University of South Dakota. (Co-Principal Investigator)