HOW HEALTHY IS SCIENCE IN THE ?

A Speech by Ralph J. Cicerone, President National Academy of Sciences Prepared for presentation at the Academy’s 146th Annual Meeting April 25–28, 2009

Events of 2009 President Barack Obama graciously accepted Th e new President of the United States, my invitation to address the members of the Barack Obama, has made some very strong National Academy of Sciences at our 146th positive statements on science. In his Annual Meeting. Because the visit of Presi- Inaugural address he said: “For everywhere we dent Obama (page 2, Figure 1) occurred in the look, there is work to be done. Th e state of our time scheduled for my annual address, I did economy calls for action, bold and swift . And not deliver this speech at the NAS meeting. we will act, not only to create new jobs, but to I want to recognize our 2009 Public lay a new foundation for growth. We will build Welfare Medalist, Dr. Neal Lane, for his distin- the roads and bridges, the electric grids and guished contributions to the advancement of digital lines that feed our commerce and bind science and the use of science in advancing us together. We’ll restore science to its rightful society. Truly, as Director of the National place, and wield Science Foundation and Presidential Science technology’s wonders Advisor, he has shown us how to develop to raise health care’s policy for science and science for policy. quality and lower its cost. We will harness As you know, we are planning a restora- the sun and the tion of this historic building on Constitution winds and the soil to Avenue, our permanent home since 1924. We fuel our cars and run must revitalize our home to meet the current our factories. And we and future needs of the NAS and to reaffi rm will transform our our national commitment to science. At schools and colleges tomorrow’s business meeting, I will discuss and universities to the status and potential schedule of our plans. meet the demands of Th ere is a new feature inside the NAS a new age. All this Building, a bust of Charles Darwin (page 3, we can do. All this Figure 2), as a tribute to his lasting contribu- we will do.” tions to science. When you view the bust in Ralph J. Cicerone, President, the Rotunda at the west end of the fi rst fl oor, National Academy of Sciences please read the plaque that describes it. On March 9, 2009, in his remarks on in which he mentions NAS can be viewed at signing an Executive Order regarding research www.nasonline.org/obama-education. involving human embryonic stem cells, he President Obama’s administration already said: “But let’s be clear: promoting science isn’t includes more NAS members than at any just about providing resources — it is also previous time in memory, perhaps ever about protecting free and open inquiry. It is — Steve Chu as Secretary of Energy, John about letting scientists like those here today do Holdren as Science Advisor and Director their jobs, free from manipulations or coercion, of the White House Offi ce of Science and and listening to what they tell us, even when Technology Policy, Jane Lubchenco as it’s inconvenient — especially when it’s inconve- Administrator of the National Oceanic and nient. It is about ensuring that scientifi c data is Atmospheric Administration, and Larry never distorted or concealed to serve a political Summers as Director of the White House agenda — and that we make scientifi c decisions National Economic Council. In addition, based on facts, not ideology.” Nina Fedoroff is the Science and Technology He has also spoken of the need to ensure Advisor to the Secretary of State, and Eric scientifi c integrity in government decision Lander and Harold Varmus will co-chair (with making and federal advisory committees, Holdren) the President’s Council of Advisors about education, and about the founding of on Science and Technology. Several more the National Academy of Sciences. A fi lm clip outstanding appointments are pending. Already, we have seen budgets for Fiscal Year 2009 increased by 14% at NSF and 19% for DOE’s science programs over FY 2008 although the NIH budget was held constant. Extra funds were also provided under the American Recovery and Reinvestment Act (the economic stimulus package), $10 billion for NIH, $3 billion for NSF and $1.6 billion for DOE’s Offi ce of Science.

Th e Health of Science in the United States Today, I will focus on the health of the science enterprise in our country, how to evaluate it, and what we can do to improve it. President Obama’s statements about science, his excellent appointments to related federal posts and advisory committees and the recent budget increases of federal support for Figure 1 President Obama speaking at the science are very good news and they lay the National Academy of Sciences on groundwork for the reinvigoration of science April 27, 2009. Photograph by in the United States. We must join in this Lois Finley, Event Digital. cause.

2 How to Take Stock of Science Nonetheless, there are constructive reasons in the United States for us to focus on our country. Our impact Are we entering a new golden age of science? at home can be large. Sadly, our nation has What is the current status of science in the fallen behind in work on scientifi c discovery United States? Gauging the health of science in some fi elds, and the education of scientists requires us to assess the level of support for at every level — from the youngest school the conduct of science, how well science is children to our most advanced postdoctoral being used for policy, how well the general students — must be strengthened. Further- public is being engaged by science, and the more as long as we use a valid framework, status of science education. Th ese broad ask appropriate questions and adopt high questions arise because our goals for science standards, science assessment, like science are similarly large: to advance science itself; itself, has no national boundaries. to foster science to create technologies and to To this end, I have in mind a new project grow economies; and to provide the scientifi c for us: let us annually assess the health of the basis for advancements in health and suste- science enterprise in the United States. What nance of the environment. should be our criteria? Must all of our answers What is the health of American science? consist of statistical data? Th is is an important question and although diffi cult to answer, it is a fair one. It is also Measures and Indicators fair to address this question to the National A healthy science enterprise depends on Academy of Sciences, because it relates adequate funding for science, public goodwill directly to our mission and to that of the toward science and scientists, and opportuni- National Research Council. We have been ties for talented individuals through educa- charged by the nation to maintain a clear tion. and informed vantage point and to form judgments about science when and where necessary. To ask this question only about “American science” might sound as if we are being provincial because in important ways, science is international or even anational, to coin a term. An illustration of this point is the presence here of two of our closest colleagues on international communication and collaboration in science: Martin Rees, President of the Royal Society and Jules Hoff mann, immediate past-president of the French Academy of Sciences. Indeed, there are approximately 35 of our Foreign Associates here today. Figure 2 Bust of Charles Darwin on display at the National Academy of Sciences. Photo by JD Talasek. 3 Federal Funding for Research federal research and development spending Th e United States government funds research depends on clear defi nitions, insightful in universities, government and national planning and careful allocations (1). In laboratories and elsewhere, through various addition, national R&D investments are much federal agencies. Two of the most important larger when corporate spending is included agencies are the National Institutes of Health as they are in international comparisons such (NIH) and the National Science Foundation as those compiled by the Organization for (NSF). Th e funding increases for Fiscal Year Economic Cooperation and Development 09 which I mentioned were most welcome (OECD). because the fraction of successful proposals in In any given year, federal science spending 2008 were at discouragingly low levels, only is a prime factor, but the health of science is 22% at NIH and 25% at NSF. Average grant also governed by other factors, for example sizes were $379,000 and $100,000 at NIH the quality of people in leading federal posts and NSF, respectively. Rigorous, competitive is critical. President Obama’s early appoint- peer review characterizes both of these grants ments are exemplary, and we look forward programs, and many nations are attempting to to similarly strong people being named to replicate their processes. When success rates the important posts that remain and to many are so low, however, some investigators (new advisory bodies. and continuing) cease to submit proposals, Federal spending for science can rise and and peer reviewers seem to become ever fall quickly, refl ecting some confl icting views. more cautious, tending to support proposals Concern over rising federal budget defi cits whose goals are incremental rather than can lead to reducing expenditures even in pathbreaking. Are these two federal agencies, the face of evidence of economic growth due which have been so fundamental to the to scientifi c research. President George H. past preeminence of American science, still W. Bush’s science advisor, Alan Bromley, in functioning to meet the current demands of summarizing why federal research for scien- science? tifi c innovation is absolutely necessary for Other important features of federal the health of our economy, said succinctly in support are its mixture of support from 2001, “No science, no surplus.” mission-oriented and investigator-driven Th e spending increases initiated by Presi- programs; support for equipment and facili- dent Obama were supported by both political ties; and for fellowships for graduate students parties. At a recent hearing of U.S. House and postdoctoral researchers. Federal funding Appropriations Committee members where for research provided by or conducted at the I testifi ed, there was wide, bipartisan support Department of Energy, National Aeronautics for science but also questions about how and Space Administration, National Oceanic much money is enough for science and how and Atmospheric Administration, Environ- much support is needed for science to stimu- mental Protection Agency, Department of late the economy. I will return to this point in Agriculture, Department of Defense and a moment. several other agencies is also very important. All of these dimensions of federal funding must be well managed; the eff ectiveness of

4 Science Education and Human Resources students. By several measures, too few college Devising a single composite score for students obtain degrees in science and American science education is not possible. engineering, and teaching methods empha- At the K–12 level, schools are controlled size details of curricula instead of scientifi c locally or by states, so there are few common reasoning. Th ere are many bright spots in national standards and practices. Th e highest K–12 and college-level education with smart, achieving children can compete with those dedicated individuals doing important work, in any other country (and this is also true one of whom is NAS member and Nobel of college-level students) but our general Laureate Carl Wieman who is conducting levels of achievement are far less satisfactory. original research on teaching methods in Uneven opportunities are very noticeable. science. For example, there are not enough eff ective American science and engineering teachers in less affl uent and minority-rich graduate programs attract many foreign schools, and the proportion of women in visitors who seek to reproduce these programs science decreases progressively at higher in their native countries (while few if any want levels of education. to replicate our K–12 system). Combining Some improvement can be seen in research and graduate education is generally completion rates of advanced high school done well in American universities yet many courses in mathematics and sciences from improvements are needed. 1990 to 2005 with best results in math and American science draws deeply from and smaller gains in chemistry and American-born people who study and work physics. However, since 2005 there seem to be here but we have also enjoyed a large advan- no further increases in these measures. tage over other nations through the emigra- Challenges to the teaching of evolution tion from other countries of students and continue. Th e latest approach is to appeal to scientists to our shores. We received many “academic freedom” in discounting evolu- gift ed people who fl ed pre-WWII Europe tion, and such measures have been or are and the Nazis, followed by others who left being discussed in eleven states. In addition Iron Curtain countries, and still others who to distributing our booklet Science, Evolution, sought opportunities here, from Britain, all and Creationism to school boards, we have of Europe, Japan, China, India and Africa, for responded to requests for letters from NAS example. Names like Einstein, Fermi, Bethe members and education offi cials in several of and von Neumann come to mind. Indeed, of these states, and we have helped NAS, NAE living American winners, 24% and IOM members to respond to eff orts to were born outside the United States. Similarly, attack science curricula. We applaud the of the scientists elected to membership in the eff orts of these individual NAS members and National Academy of Sciences in the last ten other scientists who work eff ectively at their years, 23% were foreign-born, naturalized local levels. U.S. citizens. However, recognition as Nobel American colleges and universities off er Laureates and as NAS members is usually for diverse opportunities in science both for important research from 20 years or longer science-degree majors and non-science ago. A more current indicator is that approxi- mately 65% of all current doctoral engineering

5 students in the U.S. are from foreign attitudes is available from opinion surveys. countries. Also, in recent years, approximately For example, the value of scientifi c research one third of all science doctorates awarded is seen as positive and the career of a scien- in the U.S. go to non-citizens. Th is fl ow of tist is regarded as prestigious. Over 80% of human resources to the U.S. continues but Americans say that developments in science as we place more barriers against the entry have helped to make society better; 46% say of talented people and as more opportuni- “a lot better” and only 7% say that scien- ties develop in their home countries, we will tifi c developments have not helped society. not be able to rely on their talents for long. Approximately 60% say that scientifi c research A related factor to be assessed is the value of is essential for improving the quality of international collaborations in science, both human lives (2). Also, approximately 55% of large institutional projects and those that Americans say that scientists enjoy “very great involve only individuals. prestige,” a fi gure that is near the top of all professions (3). And on specifi c issues such as Philanthropic Private Funds climate change, scientists are seen as the most Individuals and foundations provide essen- trusted source of information. Such fi gures are tial support for scientifi c research and for reassuring but are very incomplete in that they student scholarships and fellowships, the do not gauge the depth of support. most prominent being the Howard Hughes Medical Institute in biomedical research Standing of the National Academy of and biological education. Th e Kavli Founda- Sciences and the National Research Council tion provides important support in several Th e impact of our NRC reports is high now, fi elds and for the NAS’s Frontiers of Science especially amongst decision-makers in Wash- symposia. Th e Keck Foundation enables the ington. In 2005, a White House spokesman, construction of sophisticated instrumentation, referring to one of our reports, said “Th e and it underwrites our Keck Futures Initiative national academy is the gold standard of inde- (with NAE and IOM). Many NRC projects are pendent scientifi c review.” Th is same phrase is sponsored by the Carnegie Corporation, the heard from time-to-time. Another indication Sloan Foundation, the MacArthur Foundation is fairly frequent mention in Th e Washington and still others. Of concern is that resources Post, Th e New York Times and other newspa- in foundations have decreased in the past pers of both our NRC reports and of original year and that several large foundations are research fi ndings reported in the Proceed- less focused on science than they were ten or ings of the National Academy of Sciences. At a twenty years ago. recent meeting of science-academy presidents from many countries, PNAS was described as Public Attitudes Toward Science being the best journal, far and away, published and Scientists by a science academy, and our NAS member In a democracy, where public attitudes deter- editors, Editor-in-Chief Randy Schekman, mine government policies and in which Publisher Ken Fulton and our professional K–12 education is controlled locally, favor- staff work strenuously to improve it. Similarly, able public attitudes toward science and the recent announcement of NIH guidelines scientists are essential. Broad knowledge of for stem-cell research was noticed in an April

6 18, 2009 editorial in Th e Post: “Th e draft Th e Vitality and Integrity of Research guidelines hew closely to those at other entities, How we conduct ourselves is a strong deter- such as the National Academy of Sciences.” Our minant of the health of our enterprise. Th e infl uence is strongest with decision-makers examples that researchers set are observed by while we are not well known to the general students, support staff , administrators and the public. public at large. Science requires honesty in We are also experiencing a higher level of obtaining, evaluating and displaying data, and activity as measured by requests for reports openness in reporting. Adhering to fairness from federal and state agencies and private in reviewing papers and grant proposals and foundations. Th is increase is not attributable extending opportunities to others are essential to change in presidential administrations parts of mentoring. A thoughtful, thorough because it started in 2008. and current guide to responsible conduct in research is presented in our new report, the Science in News and Culture third edition of On Being a Scientist (pages 8– Two years ago, I reported at the NAS annual 9, Figures 3–4). Clearly, it is hard to keep score meeting that science coverage in newspa- as to the overall behavior of the scientifi c pers was declining along with newspaper community, but I believe that misconduct is readership and circulation. Th ese trends have widely publicized when it occurs, as it should continued and worsened as has the decline be, but that constructive and generous actions of in-depth science reporting by major news are not recognized or publicized enough. magazines and television networks. Science- All of these aspects of the health of the related items have proliferated on Internet- enterprise are essential as well in creating a based blogs but their depth and impact are climate suitable for science-based innovation. of concern, and many of them originate in Our 2007 NAS/NAE report Rising Above the public-relations operations. For people who Gathering Storm presented four main lines of seek scientifi c content and who can evaluate actions that the federal government should it, the Web is a fi ne resource but it is not clear take to enhance the science and technology how the general public can stay informed enterprise so that the United States can about science through today’s news media. successfully compete, prosper and be secure Long-term implications of this pattern remain in the global community of the 21st century. unclear, and they are a cause for concern. Th ey are: vastly improve K–12 science and Th e American entertainment industry math education; increase federal support for exerts enormous infl uence over popular science and engineering research; attract the pursuits and interests both domestically and best and brightest to American higher educa- abroad. In an eff ort to provide better access tion in science and engineering; and create an to scientists and to concepts and news from environment for innovation through a combi- science, we are interacting with parts of this nation of economic, legal and immigration industry through an offi ce in Los Angeles, policies. Th at report and the subsequent work the Science and Entertainment Exchange. of committee chair Norman Augustine (NAS Th is eff ort may also teach us more about the Public Welfare Medalist, 2007) and other current and emerging views of science held by committee members helped to bring about non-scientists.

7 much of the progress since then, including Improving the Health of the Science some of the aspects of the budget increases Enterprise this year. Some current indicators of the health of As I said earlier, performing an evalua- support for science are very strong. For tion of the health of science in the United example, there is much enthusiasm for science States is a major undertaking that would on both sides of the aisle in Congress. Also, require signifi cant commitment of energy and we enjoy favorable public perceptions, but resources, and I do not know that anyone is as Representative George E. Brown, Jr. (D- doing it. Nonetheless, we should always be CA) — who long ago embraced science as aware of major developments on key fronts his congressional cause — warned in 1997, and of how to fi nd pertinent information. I political support, hence fi nancial support, for would appreciate receiving your suggestions. science “is a mile wide and an inch deep” (5). What other variables would you like to see To deepen and solidify public and political included? What other sources of information support, whether for short-term goals such are you aware of? as next year’s federal science budgets or for longer term goals such as ensuring that science is valued in public policy and educa- tion, I believe that we must engage more eff ec- tively with the public. We have a receptive, even eager public but we must demonstrate the value of science and science education in governing, in the economy, in health and in sustaining the environment. As always, our fi rst duty is to do good research while adhering to high ethical standards of openness and honesty. In the coming weeks, we will issue the report Ensuring the Integrity, Accessibility and Stewardship of Research Data in a Digital Age (6). It addresses how to maintain data integ- rity and how to provide access to data, recog- nizing diff erences between fi elds of science and types of data. Th e actions advised in this report will advance science and demonstrate a forward looking sense of responsibility amongst scientists. Another basic role for us is to maintain and strengthen the capacity of the National Research Council to respond to requests from federal and state governments and private foundations for analyses and Figure 3 On Being a Scientist, published by the recommendations on many topics in science, National Academies Press in 2009.

8 engineering and medicine. We must continue as an enthusiast. Similarly, too few people in to deliver objective and relevant reports, oft en other walks of life are personally acquainted on controversial subjects. (Aft er all, who with scientists. would request a report on a simple topic?) Arranging for Congressional visits might NAS members are needed to help to govern require some help; we scientists can recruit the NRC (along with the NAE and IOM), to deans, presidents, chancellors, alumni associa- serve on committees, to recommend other tions, and press offi cers to help us to commu- experts for similar service and to serve as nicate with members of Congress as well as reviewers of reports. with local community and business leaders. However, we have another set of challenges. Th e public in general and

Congress in particular need continual, COMMITTEE ON BEING A SCIENTIST vigorous contact with science and scientists. Members of Congress support science but also CAROLYN BERTOZZI [NAS] (Chair), Investigator, HHMI must deal with many other demands for their and Professor of Chemistry and Molecular and Cell Biology, University of California; Director, Th e Molecular Foundry, attention — federal budget defi cits, immediate Lawrence Berkeley National Laboratory, Berkeley, CA social, physical infrastructure and military JOHN F. AHEARNE [NAE], Executive Director Emeritus, needs, rising unemployment, and turmoil in , Th e Scientifi c Research Society, Research Triangle Park, NC the industrial and fi nancial sectors. Scientists FRANCISCO J. AYALA [NAS], University Professor and must do more to demonstrate the value of Donald Bren Professor of Biological Sciences, Department of investing in science. To energize the public Ecology and Evolutionary Biology, University of California, Irvine, CA and its elected representatives, scientists must ANDREA L. BERTOZZI, Professor of Mathematics, Director of talk more with them, both through scientifi c Applied Mathematics, University of California, Los Angeles, societies and as individual scientists, person- CA to-person. As one example, scientifi c and DAVID J. BISHOP, CTO/COO of LGS, Alcatel-Lucent, Murray Hill, NJ engineering societies that send postdoctoral GARY L. COMSTOCK, Professor of Philosophy, and Editor- fellows to Congress have provided critical in-Chief of the Open Seminar in Research Ethics, North support for policymakers from the scientifi c Carolina State University, Raleigh, NC FRANCES A. HOULE, Research Staff Member, IBM Almaden community, an activity that has proved to be Research Center, San Jose, CA very valuable for science, Congress, and the DEBORAH G. JOHNSON, Anne Shirley Carter Olsson fellows themselves. Professor of Applied Ethics, Department of Science, Tech- nology, and Society, University of Virginia, Charlottesville, Meeting Congresswomen and VA Congressmen at home is oft en more eff ec- MICHAEL C. LOUI, Professor of Electrical and Computer Engi- tive than visiting them in Washington. At neering, University of Illinois, Urbana, IL REBECCA R. RICHARD-KORTUM, Stanley C. Moore home, elected leaders see you as a constituent. Professor and Chair of the Bioengineering Department, Rice Former Congressman John Porter, who did University, Houston, TX so much to double the budget of the U.S. NICHOLAS H. STENECK, Director, Research Ethics and Integrity Program, Michigan Institute for Clinical and Health National Institutes of Health, once told me Research, University of Michigan, Ann Arbor, MI that few of his Congressional colleagues were MICHAEL J. ZIGMOND, Professor of Neurology and Psychi- very focused on science, but that each and atry, University of Pittsburgh, Pittsburgh, PA every one of them who had visited a science laboratory in his or her home district emerged Figure 4 On Being a Scientist, Committee roster

9 You can invite the public into your laborato- can fl ourish. We are the National Academy of ries, to meet your students, and respond to Sciences — if not us, who can more capably questions such as: What do your results mean? meet this challenge? What could they mean to the public? How does your research complement the work of REFERENCES others? Do you have any research connections with new or established businesses? Th ese 1. Allocating Federal Funds for Science and positive impacts of research are not always Technology, National Academy Press, 1995. visible from a distance. , Lew Allen, Jr., David H. Auston, Forest Baskett, Barry R. Bloom, Daniel J. Our elected leaders and the public at large Evans, Baruch Fischhoff , , also want to know what scientists are doing Shirley A. Jackson, Robert I. Levy, Richard about K–12 and college education. How have J. Mahoney, Steven L. McKnight, Marcia you created good research experiences for K. McNutt, Paul M. Romer, Luis Sequeira, students? Are you providing research jobs Harold T. Shapiro, H. and for students? Th e research community must John P. White. engage the interests of new science students, so that American science can maintain 2. VCU Life Sciences Survey 2008; leadership in certain fi elds and be strong, http://www.vcu.edu/lifesci. reliable partners in many critical international 3. Harris Poll, Harris Interactive; research eff orts. Finding and developing new http://www.harrisinteractive.com/harris_poll/ scientists requires practicing scientists to index.asp?PID=685 become more deeply involved in improving science education at all levels, including (updated data from Roper Center for Public working with precollege students and their Opinion Research, University of Connect- teachers, and exposing many more students icut). to real science and scientists. Th ese personal 4. On Being a Scientist, A Guide to Responsible interactions can raise the career aspirations of Conduct in Research, Committee on Science, young people. Engineering and Public Policy, NAS, NAE and By the measures which I have outlined, IOM, 2009. Authoring Committee: Carolyn our nation appears to be primed to provide Bertozzi, John F. Ahearne, Francisco J. Ayala, the funding, policy and goodwill that are the Andrea L. Bertozzi, David J. Bishop Gary essential scaff olding for the scientifi c enter- L. Comstock, Frances A. Houle, Deborah prise, but we must provide the rest. In fact, G. Johnson, Michael C. Loui, Rebecca R. it is only if we do our part that there will Richard-Kortum, Nicholas H. Steneck and be the broadening and deepening of public Michael J. Zigmond. engagement that is so essential for science 5. In his book Th e Politics of Pure Science, 2nd to fl ourish. So as we continue our scientifi c edition, Press, 1999, work with vitality and integrity, let us also Daniel S. Greenberg attributes that statement realize that scientists have great stories to tell to Rep. George Brown, onetime chair of the and that many people want to hear them. We House Science Committee. NAS member must tell the stories of scientifi c discovery and used this phrase in 1994. ensure that scientifi c talent is nurtured and

10 6. Ensuring the Integrity, Accessibility and Stewardship of Research Data in a Digital Age, Committee on Science and Engineering Public Policy, NAS, NAE, IOM, 2009. Authoring committee: Dan Kleppner and Philip A. Sharp, co-chairs, Margaret A. Berger, Norman M. Bradburn, John I. Brauman, Jennifer T. Chayes, Anita K. Jones, Linda P.B. Katehi, Dr. Neal Lane, W. Carl Lineberger, Richard E. Luce, Th omas O. McGarity, Steven M. Paul, Teresa A. Sullivan, Michael S. Turner, Dr. J. Anthony Tyson and Steven C. Wofsy.

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