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THE NATIONAL ACADEMIESAdvisors to the Nation on Science, Engineering, and Medicine
Overview of the U.S. National Academies
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US NATIONAL ACADEMIES Brief History
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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.
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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.”
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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
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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)
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INSIDE-OUTSIDE ADVICE
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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
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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).
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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)
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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
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KEY ELEMENTS OF THE US NAS
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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
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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)
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The Imprimatur of the National Academy of Sciences
• All programs of the National Academies are conducted in a manner consistent with National Academies’ policies
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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
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ABOUT THE US ACADEMIES
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NAS, NAE, and IOM Membership 2011
• NAS: 2,600 members• NAE
2,300 members• IOM
1700 members• NRC
1400 employees
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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
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Methods of Operation
• CONSENSUS STUDIESBalance and Composition of
CommitteesReport Review
• CONVENING ACTIVITESWorkshopsRoundtables
• OPERATIONAL PROGRAMSFellowshipsResearch/SurveysEducation and TrainingData Banks
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Positioning and Partnering
NAS/NAE/IOM
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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 *
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Volunteers are drawn from different sectors
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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
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AUTONOMY
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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
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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
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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
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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
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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
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VALUES OF AN ACADEMY
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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
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Values of the NRC
Independence
Balance
Technical Excellence
Impartiality and Objectivity
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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)
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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
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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)
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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
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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
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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?