SCIENCE AND INNOVATION POLICY
Principal Investigators’ Conference Summary
Steering Committee on the Science of Science and Innovation Policy
Principal Investigators’ Conference
Kaye Husbands Fealing, Alexandra S. Beatty, and Constance F. Citro, Rapporteurs
Committee on National Statistics
Division of Behavioral and Social Sciences and Education
NATIONAL RESEARCH COUNCIL
OF THE NATIONAL ACADEMIES
THE NATIONAL ACADEMIES PRESS
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Steering Committee on the Science of Science and Innovation Policy Principal Investigators’ Conference Kaye Husbands Fealing, Alexandra S. Beatty, and Constance F. Citro, Rapporteurs Committee on National Statistics Division of Behavioral and Social Sciences and Education
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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. The project that is the subject of this report was supported by grant no. SMA-1158773 between the National Science Foundation and the National Academy of Sciences. Support for the Committee on National Statistics is provided by a consortium of federal agencies through a grant from the National Science Foundation (award number SES-1024012). Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number- 13: 978-0-309-30270-8 International Standard Book Number- 10: 0-309-30270-6 Additional copies of this report are available from the National Academies Press, 500 Fifth Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242; http://www.nap.edu. Copyright 2014 by the National Academy of Sciences. All rights reserved. Cover: US Capitol Image: Architect of the Capitol Printed in the United States of America Suggested citation: National Research Council. (2014). Science of Science and Innovation Policy: Principal Investigators’ Conference Summary, Steering Committee on the Science of Science and Innovation Policy Principal Investigators’ Conference, K. Husbands Fealing, A.S. Beatty, and C.F. Citro, Rapporteurs. Committee on National Statistics, Division of Behavioral and Social Sciences and Education. Washington, DC: The National Academies Press.
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. C. D. Mote, Jr., is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council. www.national-academies.org
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STEERING COMMITTEE ON THE SCIENCE OF SCIENCE AND INNOVATION POLICY PRINCIPAL INVESTIGATORS’ CONFERENCE IRWIN FELLER (Chair), Economics Department, Pennsylvania State University (emeritus) GREGORY J. FEIST, Department of Psychology, San José State University BENJAMIN R. MARTIN, Science and Technology Policy Studies, Departments of Science and Technology Policy Research and Business and Management, University of Sussex LAUREL SMITH-DOERR, Institute for Social Science Research, University of Massachusetts-Amherst MARIE C. THURSBY, College of Management, Georgia Institute of Technology JAMES HILTON TURNER, Jr., Senior Counsel, Association of Public and Land-Grant Universities KAYE HUSBANDS FEALING, Study Director ALEXANDRA S. BEATTY, Senior Program Officer ANTHONY S. MANN, Program Coordinator v
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COMMITTEE ON NATIONAL STATISTICS 2013-2014 LAWRENCE D. BROWN (Chair), Department of Statistics, The Wharton School, University of Pennsylvania JOHN M. ABOWD, School of Industrial and Labor Relations, Cornell University MARY ELLEN BOCK, Department of Statistics, Purdue University DAVID CARD, Department of Economics, University of California, Berkeley ALICIA CARRIQUIRY, Department of Statistics, Iowa State University MICHAEL E. CHERNEW, Department of Health Care Policy, Harvard Medical School CONSTANTINE GATSONIS, Center for Statistical Sciences, Brown University JAMES S. HOUSE, Survey Research Center, Institute for Social Research, University of Michigan MICHAEL HOUT, Survey Research Center, University of California, Berkeley SALLIE ANN KELLER, Virginia Bioinformatics Institute, Virginia Tech LISA LYNCH, The Heller School for Social Policy and Management, Brandeis University COLM A. O’MUIRCHEARTAIGH, Harris Graduate School of Public Policy Studies, The University of Chicago RUTH D. PETERSON, Criminal Justice Research Center, The Ohio State University EDWARD H. SHORTLIFFE, Columbia University and Arizona State University HAL STERN, Donald Bren School of Information and Computer Sciences, University of California, Irvine CONSTANCE F. CITRO, Director JACQUELINE R. SOVDE, Program Coordinator vi
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Acknowledgments This conference was organized by a steering committee composed of expert social, behavioral, and economic scientists. The steering committee provided invaluable guidance during the course of developing the conference, in the process of securing expert presentations, and in facilitating the conduct of the conference. This multidisciplinary committee reflected many qualities of the SciSIP researcher community and the policy makers that SciSIP research is meant to inform. With heartfelt gratitude, the rapporteurs thank the following committee members: Irwin Feller, committee chair, senior visiting scientist at the American Association for the Advancement of Science, emeritus professor of economics at The Pennsylvania State University, former director of the Institute for Policy Research and Evaluation, and specialist on design, governance, and evaluation of national science systems; Gregory Feist, associate professor of psychology in personality and adult development in the Department of Psychology at San José State University, founding president of the International Society for the Psychology of Science and Technology, and founding editor-in-chief of the Journal of Psychology of Science & Technology; Benjamin Martin, professor of science and technology policy studies in SPRU (Science and Technology Policy Research), University of Sussex, specialist adviser to the House of Lords Select Committee on Science and Technology, and editor of Research Policy; Laurel Smith-Doerr, professor of sociology and director of the Institute for Social Science Research, University of Massachusetts-Amherst, and specialist on interdisciplinary research and organizations; Marie Thursby, Hal and John Smith chair in entrepreneurship at the College of Management, Georgia Institute of Technology, specialist on multinational R&D, technology entrepreneurship, and technology transfer; and James Turner, Jr., senior counsel and director of the energy program at the Association of Public and Land-grant Universities, who spent 30 years working with the House of Representatives’ Committee on Science and Technology as chief counsel, technology staff director. Although the steering committee members played a central role in designing and conducting the workshop, they did not actively participate in writing this summary. We also recognize the excellent work of the staff of the NRC for support in developing and organizing the conference, particularly Anthony Mann, program coordinator for the Committee on National Statistics. This conference summary has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published summary as sound as possible and to ensure that the summary meets institutional standards for clarity, objectivity and responsiveness to the charge. The review comments and draft manuscript remain confidential to protect the integrity of the process. We wish to thank the following individuals for their review of this workshop summary: Norman H. Bradburn, NORC, The University of Chicago; and Stephanie S. Shipp, Social and Decision Analytics Laboratory, Virginia Bioinformatics Institute, Virginia Tech. vii
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ACKNOWLEDGMENTS Although the reviewers listed above have provided many constructive comments and suggestions, they did not see the final draft of the workshop summary before its release. The review of this summary was overseen by Sallie Keller, Virginia Bioinformatics Institute at Virginia Tech. Appointed by the National Research Council, she was responsible for making certain that an independent examination of this summary was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this summary rests entirely with the rapporteurs and the institution. Kaye Husbands Fealing, Study Director Steering Committee on the Science of Science and Innovation Policy Principal Investigators’ Conference viii
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Contents 1 Introduction and Background 1 Organization of the Conference and This Summary, 4 History of SciSIP, 5 2 Opening Sessions 9 Setting the Stage, 9 Perspectives of Science and Innovation Policy Makers, 12 3 Project Descriptions: Incentives, Governance, and Innovation 23 Manufacturing Location Decisions and Innovation, 23 The Effects of Funding Policies on Human Stem Cell Science, 25 Economic Spillovers from Science, 26 The Impact of Open-Access Institutions and Policy on Life Sciences Research, 27 Communication, Collaboration, and Competition, 29 Generic Drugs and Incentives for Research and Development, 30 Patent Rights in the Soviet Union, 31 Culture and National Innovation Rates, 32 Impact of Science Funding, 34 Venture Philanthropy, 36 Evidence on Patent Pools Under the New Deal, 37 Effects of Changes in Federal Funding on the Biomedical Sciences, 37 Extracting and Assessing the Public Values of Science and Innovation Policies, 39 4 Project Descriptions: Work and Collaboration 43 Social and Cognitive Processes in Team Innovation, 43 Optimizing Example Distance to Improve Engineering Ideation, 44 Lab-Based Socio-Technical Collaborations, 46 The Value of Science, 47 Highly Creative Researchers, 49 Privacy at an Interdisciplinary Research Institute, 51 Ethnic Composition of Research Teams, 52 Scientists’ Career Choices and Trajectories, 54 Skilled Immigrants and Innovation, 55 Foreign-Born Students Who Return to Their Home Countries, 56 U.S. Researchers in International Collaborations, 57 Indigenous Bioscientists, 58 Organizational Size and Discontents, 59 Community Ecology for Information Technology (IT) Innovation, 60 ix
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CONTENTS 5 Project Descriptions: 21st Century Data 63 Data Mining and Information Extraction, 63 The U.S. Patent Inventor Database, 64 The Role of Principal Investigator and Institutional Characteristics in Shaping Data-Sharing Behavior, 64 Energy Policy for the Poor, 65 Retractions and Scientific Communities, 66 Interdisciplinarity, 67 Survey on Global Value Chains, 68 A Quality-Adjusted Price Index for Clinical Trials Research, 69 Mapping Academic Patents to Papers, 70 The NSF Portfolio Explorer, 71 Measuring Interdisciplinarity, 72 6 Perspectives on the Science of Science Policy 73 Modern Computing, 73 Transformation in Science, 74 A Federal Perspective, 75 Big Data, Science Metrics, and Science Policy, 75 Science, Technology, and Innovation Policy in Japan, 77 Wrap-Up Thoughts, 78 References 81 Appendixes A Conference Agenda and Participants 89 B Lists of SciSIP Awards, 2007 through 2013 103 x