African Science Academy Development Initiative THE NATIONAL ACADEMIES Advisors to the Nation on...

African Science Academy

Development Initiative

THE NATIONAL ACADEMIESAdvisors to the Nation on Science, Engineering, and Medicine

Overview of the U.S. National Academies



US NATIONAL ACADEMIES Brief History



National Academy of Sciences: Early History

• The National Academy of Sciences was created at the time of the Civil War.

• The Act of Incorporation, signed by President Lincoln on March 3, 1863, established service to the nation as its dominant purpose.



National Academy of Sciences Act of Incorporation: 1863• Two important clauses:

“…shall, whenever called upon by any department of the Government, investigate, examine, experiment, and report upon any subject of science or art…”

and“…but the Academy shall receive no compensation whatever for any services to the Government of the United States.”



Consequences of Limited Government Capacity

• Conflicts among political leaders and ‘captains of industry’ over the role of government in 3 areas:–Regulations–Standards–Sponsoring/organizing science



Consequences of Limited Government Capacity [cont.]

• Corruption in the wake of the ‘spoils system’ led the scientific and professional community to push for reforms. This led to:– Creation of a professionalized, though limited

bureaucracy that was non-political, technically competent and accountable to elected officials.

– The establishment of professional associations that helped to establish a framework for professional standards and accreditation, scientific values and generation of ‘outside’ advice.• American Medical Association (1847)

• American Bar Association (1878)• National Academy of Sciences (1863); later the NRC

(1916)



INSIDE-OUTSIDE ADVICE



What Constitutes ‘Inside’ Advice?

• Executive Office professional staff attached to the White House.

• Scientific and technical staff employed within the bureaucracy.

• Contracted expertise. Advice to government under stipulated conditions for a price



What’s Outside Advice?

• National Academy of Sciences.• Scientific and professional

associations.• Non-governmentally supported

research • Specially constituted investigatory or

advisory commissions.• Government funded university

research, conducted under open-ended grants (since WWII, the vast majority of research and development in the U.S. is contracted out).



Pros and Cons of Outside Expertise• Pros:

– Independent, high standards, highly credible

– Not vulnerable to political interference• Cons:

– Needs resources– Further away from decision makers– May not understand time constraints– Agenda setting biases – why this

question?– Competition from non-science based

organizations (e.g. ideological think tanks)



Pros and Cons of Inside Expertise• Pros:

– Close to decision makers– Understand timing issues, constraints– Greater ability to interact and advise in

real time• Cons:

– External credibility– Vulnerable to political interference– Political agenda settings



KEY ELEMENTS OF THE US NAS



Our Mission

• To recognize excellence in science and technology

• To be a trusted adviser to government–On policy issues with significant

technical and scientific components

–On matters of science and technology policy



The National Academies: Advisers to the Nation

• National Academy of Sciences (1863)

• National Research Council (1916)

• National Academy of Engineering (1964)

• Institute of Medicine (1970)



The Imprimatur of the National Academy of Sciences

• All programs of the National Academies are conducted in a manner consistent with National Academies’ policies



Unique Strengths

• Stature of academies’ membership• Ability to get the very best to serve• “Pro Bono” nature of committee service• Interdisciplinary nature of studies• Quality assurance and control procedures• Reputation for independence and

objectivity



ABOUT THE US ACADEMIES



NAS, NAE, and IOM Membership 2011

• NAS: 2,600 members• NAE

2,300 members• IOM

1700 members• NRC

1400 employees



NATIONAL RESEARCH COUNCIL PROGRAM ORGANIZATION

1 The Institute of Medicine studies follow the procedures of the National Research Council.

National Research Council Governing Board

Ralph J. Cicerone, ChairWm. A Wulf, Vice Chair

E. William Colglazier, Executive Officer, Chief Operating OfficerArchie L. Turner, Chief Financial OfficerJames F. Hinchman, General CounselDev Mani, Associate Executive Officer

Ronald D. Taylor, Associate Executive Officer

Division of Behavioral and Social Sciences and Education

Richard C. Atkinson, ChairMichael J. Feuer, Executive Director

Division on Earth and Life Studies

Peter H. Raven, ChairWarren R. Muir, Executive Director

Division on Engineeringand Physical Sciences

Wm. A. Wulf, ChairPeter D. Blair, Executive Director

National Academy of Sciences

Ralph J. Cicerone, President

National Academy of Engineering

Wm. A. Wulf, President

Institute of Medicine

Harvey V. Fineberg, President

Institute of Medicine Programs1

Harvey V. Fineberg, ChairSusanne A. Stoiber, Executive Officer

Policy and Global Affairs Division

M.R.C. Greenwood, ChairRichard E. Bissell, Executive Director

Transportation Research Board

C. Michael Walton, ChairRobert E. Skinner, Executive Director

Office of News and Public Information

William J. Skane, Executive Director

Office of Congressionaland Government Affairs

James E. Jensen, Executive Director

Office of Communications

Barbara Kline Pope, Executive Director

Report Review Committee

Robert A. Frosch, Co-ChairFloyd E. Bloom, Co-Chair

Porter Coggeshall, Executive Director

National Research Council Governing Board

Ralph J. Cicerone, ChairWm. A Wulf, Vice Chair

E. William Colglazier, Executive Officer, Chief Operating OfficerArchie L. Turner, Chief Financial OfficerJames F. Hinchman, General CounselDev Mani, Associate Executive Officer

Ronald D. Taylor, Associate Executive Officer

Division of Behavioral and Social Sciences and Education

Richard C. Atkinson, ChairMichael J. Feuer, Executive Director

Division on Earth and Life Studies

Peter H. Raven, ChairWarren R. Muir, Executive Director

Division on Engineeringand Physical Sciences

Wm. A. Wulf, ChairPeter D. Blair, Executive Director

National Academy of Sciences

Ralph J. Cicerone, President

National Academy of Engineering

Wm. A. Wulf, President

Institute of Medicine

Harvey V. Fineberg, President

Institute of Medicine Programs1

Harvey V. Fineberg, ChairSusanne A. Stoiber, Executive Officer

Policy and Global Affairs Division

M.R.C. Greenwood, ChairRichard E. Bissell, Executive Director

Transportation Research Board

C. Michael Walton, ChairRobert E. Skinner, Executive Director

Office of News and Public Information

William J. Skane, Executive Director

Office of Congressionaland Government Affairs

James E. Jensen, Executive Director

Office of Communications

Barbara Kline Pope, Executive Director

Report Review Committee

Robert A. Frosch, Co-ChairFloyd E. Bloom, Co-Chair

Porter Coggeshall, Executive Director

Notes:

National Research Council Program Organization



Methods of Operation

• CONSENSUS STUDIESBalance and Composition of

CommitteesReport Review

• CONVENING ACTIVITESWorkshopsRoundtables

• OPERATIONAL PROGRAMSFellowshipsResearch/SurveysEducation and TrainingData Banks



Positioning and Partnering

NAS/NAE/IOM



Number of Committees and Committee Members

589574586624631

594659086001

63206497

0

1000

2000

3000

4000

5000

6000

7000

FY '04 FY '05 FY '06 FY '07 FY '08

# Committees:

# Committee Members:

FOR THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2008

SOURCE: CMIS

*Excludes Liaison Representatives, PGA's associateship and fellowship panels, and TRB's technical activities.

NUMBER OF NRC/IOM COMMITTEES AND COMMITTEE MEMBERS *



Volunteers are drawn from different sectors



Number of Reports and Other Documents Produced

0

40

80

120

160

200

240

280

320

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008

132116

98 97 111138

113132 145 142 127 115 118 132

104

3941

46 52 34

45

40

4046

2839

2342

35

48

3333

35 22 28

45

4731

39

4430

31

29 1319

1817 30 43 30

33

33 39

51

43

32

4423

1920

222207 209 214

203

261

233242

281

257

228213 212

199 191

Other TypesLetter ReportsMtg SummariesStudy Reports

Year Completing Review

Nu

mb

er

of

Re

po

rts



AUTONOMY



Why is Autonomy Critical?• Scientists & technical experts cannot

operate according to professional standards without autonomy

• In bureaucracies, it protects the authority of expertise over that of incumbency (the political prerogative of the office holder).

• Where experts have autonomy, decision-making is based on science, driven by facts and therefore more likely to be in the public interest



Committee Members Serve as Individuals

• Committee members carefully chosen with respect to background, knowledge, and experience and with regard to bias and conflict of interest

• Members serve as individuals, not as representatives of organizations or interest groups

• Members are expected to contribute their expertise and good judgment in the conduct of the study



Impartiality and Objectivity

• NRC Committees are expected to be fair and evenhanded in the conduct of their studies. – All parties at interest should get due

process– All responsible arguments and

alternatives should be considered– Standards should be applied

consistently to evaluating arguments and alternatives

– Evidence should not be used selectively– Expect judgments and opinions should

be identified as such



Quality Management

• While NRC committees are responsible for the substance of their reports, the report must meet quality standards set by the Academy

• All reports subject to independent review, which is considered an integral part of the project



The Role of the Staff

• In most successful projects, a close partnership is formed between the committee and its supporting staff

• Staff can help the committee in virtually any way to complete the study in a timely, cost-effective way

• Staff not there to impose their own ideas on a committee



VALUES OF AN ACADEMY



What Are Values?

• Values are traits or qualities that are considered worthwhile by an organization

• Values already exist in every workplace (real and preferred)

• Effective organizations identify and develop a clear concise and shared meaning of values/beliefs, priorities, and direction (Once seen as the first step of strategic planning)

• Once defined, values impact every aspect of an organization



Values of the NRC

Independence

Balance

Technical Excellence

Impartiality and Objectivity



Why Values Are Important• Because values define what is important

to the institution• Values provide the means (standards) to

evaluate an organization’s accomplishments

• Values can be an important source of motivation

• Guide ways one filters new information• Guides the development of new policies • Helps an organization identify priorities for

growth/ action/ change• Help organizations evaluate certain types

of trade-offs (e.g. time versus money)



Guide For Policy/Action• Innovation• Behaviors Consistent with this value

– Willingness to think creatively– Willingness to take on new challenges

and try new things– Emphasis the sharing best/ cutting

edge practices• Behaviors not Consistent

– Creating “red tape” blocking new ideas– “We have always done it this way”– Showing fear of or reluctance to

change



Examples Of Values

• Professionalism and Commitment; Excellence; Integrity; Relevance (GAAS Strategic Plan)

• To uphold truth, integrity, honesty, and accountability; to nurture excellence, innovativeness, and responsible professionalism; to espouse the culture of tolerance and be sensitive to matters of equity; be at the forefront of providing scientific leadership through meritocracy (KNAS Strategic Plan)



Six values that NRC recently determined are important to the organization

• Independence – not part of the federal government; operate in a way to ensure that committees are free from external pressure; without regard to politics or special interests

• Objectivity – processes in place for avoiding conflicts of interest to ensure that we provide impartial, unbiased advice

• Integrity – meticulous study process to ensure the findings are supported by evidence

• Truth – base all findings, conclusions, and recommendations on the best available data

• Evidence – using science to seek solutions• Expertise – mobilize the best and brightest

minds



An Example of How the US-NAS Builds Values into its Operations• Independence, Objectivity

– Careful screening process to ensure balanced committees -- including bias and conflict of interest disclosure

– All committee appointments made by President of the NRC – no external appointments (e.g. sponsors)

– Committees allowed to close doors to deliberate

– Rigorous peer-review process



The Value Development Process

• What values are important to your Academies?

• Why they are important?• What is the evidence that the

organization already possesses this value?

• Could new policies and procedures be introduced that would reinforce this value?

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