Recent Publications

(Including joint publications with other units)

Evaluating Research Efficiency in the U.S. Environmental Protection Agency
A new report from the National Research Council recommends changes in how the federal government evaluates the efficiency of research at EPA and other agencies. Assessing efficiency should be considered only one part of gauging a program's quality, relevance, and effectiveness. The efficiency of research processes and that of investments should be evaluated using different approaches.  Investment efficiency should examine whether an agency's R&D portfolio, including the budget, is relevant, of high quality, matches the agency's strategic plan.  These evaluations require panels of experts.  In contrast, process efficiency should focus on "inputs" (the people, funds, and facilities dedicated to research) and "outputs" (the services, grants, publications, monitoring, and new techniques produced by research), as well as their timelines and should be evaluated using quantitative measures.  The committee recommends that the efficiency of EPA's research programs be evaluated according to the same standards used at other agencies. To ensure this, OMB should train and oversee its budget examiners so that the PART questionnaire is implemented consistently and equitably across agencies.

Transitioning to Sustainability Through Research and Development on Ecosystem Services and Biofuels: Workshop Summary
The National Research Council’s Roundtable on Science and Technology for Sustainability hosted Transitioning to Sustainability through Research and Development on Ecosystem Services and Biofuels: The National Academies’ First Federal Sustainability Research and Development Forum on October 17- 18, 2007. The forum discussed sustainability research and development activities related to ecosystem services and biofuels. The objective of the forum was to identify research gaps and opportunities for collaboration among federal agencies to meet the challenges to sustainability posed by the need to maintain critical ecosystem services, to support the development of alternatives to conventional fossil fuels, and to manage oceans and coastal areas. The forum focused primarily on federal activities, but included the participation of representatives from the private sector, universities, and nongovernmental organizations. This book is a summary the discussions from the forum.

Improving Democracy Assistance: Building Knowledge Through Evaluations and Research
Over the last 25 years, the United States has made support for the spread of democracy to other nations an increasingly important element of its national security policy. Despite substantial expenditures, knowledge about the actual impacts of the U.S. Agency for International Development’s (USAID) democracy and governance assistance on progress toward democracy remains limited – and the subject of current debate in the policy and scholarly communities.  This report is intended to provide a roadmap to enable USAID and its partners to assess what works and what does not, both retrospectively and in the future through improved monitoring and evaluation methods and rebuilding USAID’s internal capacity to build, absorb, and act on improved knowledge.

Foodborne Disease and Public Health: Summary of an Iranian-American Workshop 
(Joint report w/ Institute of Medicine)
 The Institute of Medicine’s Food and Nutrition Board and the National Research Council’s Policy and Global Affairs Division convened a workshop in Washington, D.C., entitled Foodborne Disease and Public Health: An Iranian-American Workshop. The overall goals of this workshop were to facilitate the exchange of ideas about foodborne disease and public health and to promote further collaboration among Americans and Iranians on this topic of mutual interest. Experts invited to participate in this workshop addressed a variety of topics, ranging from the surveillance of outbreaks of foodborne illness to approaches to medical training in the Iranian and U.S. educational systems. The workshop was part of a series of cooperative efforts between the United States and Iran as the two countries have collaborated in the past on similar projects relating to foodborne disease.

Innovation in Global Industries: U.S. Firms Competing in a New World (Collected Studies)
The debate over offshoring of production, transfer of technological capabilities, and potential loss of U.S. competitiveness is a long-running one. Prevailing thinking is that the world is flat that is, innovative capacity is spreading uniformly; as new centers of manufacturing emerge, research and development and new product development follow. Innovation in Global Industries challenges this thinking. The book, a collection of individually authored studies, examines in detail structural changes in the innovation process in 10 service as well as manufacturing industries: personal computers; semiconductors; flat-panel displays; software; lighting; biotechnology; pharmaceuticals; financial services; logistics; and venture capital. There is no doubt that overall there has been an acceleration in global sourcing of innovation and an emergence of new locations of research capacity and advanced technical skills, but the patterns are highly variable. Many industries and some firms in nearly all industries retain leading-edge capacity in the United States. However, the book concludes that is no reason for complacency about the future outlook. Innovation deserves more emphasis in firm performance measures and more sustained support in public policy. Innovation in Global Industries will be of special interest to business people and government policy makers as well as professors, students, and other researchers of economics, management, international affairs, and political science.

Lost Crops of Africa: Volume III: Fruits
This report is the third in a series evaluating underexploited African plant resources that could help broaden and secure Africa's food supply. The volume describes 24 little-known indigenous African cultivated and wild fruits that have potential as food- and cash-crops but are typically overlooked by scientists, policymakers, and the world at large. The book assesses the potential of each fruit to help overcome malnutrition, boost food security, foster rural development, and create sustainable landcare in Africa. Each fruit is also described in a separate chapter, based on information provided and assessed by experts throughout the world. Volume I describes African grains and Volume II African vegetables.

International Collaborations in Behavioral and Social Sciences Research: Report of a Workshop
Based on the outcomes of a workshop convened by the U.S. National Committee for Psychological Science and informed by a survey of social scientists who have led cross-national projects, this National Science Foundation-funded report addresses the multiple benefits of research extending across national boundaries and describes factors common among successful collaborations. Workshop participants identified the obstacles frequently encountered and suggested ways of dealing with these challenges to enhance international collaborative research in the behavioral and social sciences. Several dimensions of collaborative processes, such as research planning, methodological issues, organizational concerns, varied training approaches, and funding needs receive critical attention in this report.

Approaches for Evaluating the NRC Resident Research Associateship Program at NIST
The NRC Resident Research Associateship Program at NIST provides two-year temporary appointments for outstanding scientists and engineers. This report describes program applicants and awardees and offers suggestions for an in-depth assessment of career outcomes. Preliminary investigation indicates that outreach efforts produce more qualified applicants than NIST has slots to fill, the pool of applicants is increasingly diverse, and many Research Associates go on to permanent positions at NIST. The agency should conduct a more thorough evaluation of the program, including an assessment of outreach to potential applicants, individuals who decline an award, the program’s impact on the careers of awardees, and the benefits of the program to NIST and the broader scientific and engineering community.

Mobilizing Science-Based Enterprises for Energy, Water, and Medicines in Nigeria
Developed in collaboration with the Nigerian Academy of Science, this report explores the ways in which science-based private enterprises can be created and encouraged in Nigeria and other developing countries to provide products and services that government is unable to supply in a timely and sustainable manner. Focusing on three critical challenges to health and development-- safe water, electrical lighting, and malaria therapy—the report identifies a sample technology to address each of these challenges with potential for commercialization in Nigeria and Africa, and uses that sample technology to identify opportunities and barriers to creating the science-based enterprises in Nigeria.

An Assessment of the Small Business Innovation Research Program at the Department of Defense
The SBIR program allocates 2.5 percent of 11 federal agencies’ extramural R&D budgets to fund R&D projects by small businesses, providing approximately $2 billion annually in competitive awards. At the request of Congress the National Academies conducted a “comprehensive study of how the SBIR program has stimulated technological innovation and used small businesses to meet federal research and development needs”. Drawing substantially on new data collection, this report examines the SBIR program at the Department of Defense and makes recommendations for improvements. Separate reports will assess the SBIR program at NSF, NIH, DOE, and NASA, respectively, along with a comprehensive report on the entire program.

An Assessment of the Small Business Innovation Research Program at the National Institutes of Health
The SBIR program allocates 2.5 percent of 11 federal agencies’ extramural R&D budgets to fund R&D projects by small businesses, providing approximately $2 billion annually in competitive awards. At the request of Congress the National Academies conducted a “comprehensive study of how the SBIR program has stimulated technological innovation and used small businesses to meet federal research and development needs”. Drawing substantially on new data collection, this report examines the SBIR program at the National Institutes of Health and makes recommendations for improvements. Separate reports will assess the SBIR program at DOD, NSF, DOE, and NASA, respectively, along with a comprehensive report on the entire program.

Science and Security in a Post 9/11 World: A Report Based on Regional Discussions Between the Science and Security Communities
Based on a series of regional meetings on university campuses with officials from the national security community and academic research institutions, this report identifies specific actions that should be taken to maintain a thriving scientific research environment in an era of heightened security concerns. Actions include maintaining the open exchange of scientific information, fostering a productive environment for international scholars in the U.S., reexamining federal definitions of sensitive but unclassified research, and reviewing policies on deemed export controls. The federal government should establish a standing entity, preferably a Science and Security Commission, that would review policies regarding the exchange of information and the participation of foreign-born scientists and students in research.

The Biological Threat Reduction Program of the Department of Defense: From Foreign Assistance to Sustainable Partnerships 
This Congressionally-mandated report identifies areas for further cooperation with Russia and other states of the former Soviet Union under the Cooperative Threat Reduction (CTR) program of the Department of Defense in the specific area of prevention of proliferation of biological weapons. The report reviews relevant U.S. government programs, and particularly the CTR program, and identifies approaches for overcoming obstacles to cooperation and for increasing the long-term impact of the program. It recommends strong support for continuation of the CTR program.

 Energy Futures and Urban Air Pollution: Challenges for China and the United States
The United States and China are the top two energy consumers in the world. As a consequence, they are also the top two emitters of numerous air pollutants which have local, regional, and global impacts. Urbanization has led to serious air pollution problems in U.S. and Chinese cities; although U.S. cities continues to face challenges, the lessons they have learned in managing energy use and air quality are relevant to the Chinese experience. This report summarizes current trends, profiles two U.S. and two Chinese cities, and recommends key actions to enable each country to continue to improve urban air quality.

Strategic Management of Information and Communication Technology: The United States Air Force Experience with Y2K
Although Y2K did not result in major disruptions, the event is a rich source of critical lessons for strategic management of information and communication technology (ICT), many of which apply to large organizations today. Using a case study approach, this report describes lessons learned from the response of the Air Force to Y2K and makes recommendations for managing ICT complexity, aligning organizational and ICT strategies, and minimizing risk.

An Assessment of the Small Business Innovation Research Program
The SBIR program allocates 2.5 percent of 11 federal agencies’ extramural R&D budgets to fund R&D projects by small businesses, providing approximately $2 billion annually in competitive awards. At the request of Congress the National Academies conducted a “comprehensive study of how the SBIR program has stimulated technological innovation and used small businesses to meet federal research and development needs”. Drawing substantially on new data collection, this report provides a comprehensive overview of the SBIR program at the five agencies representing 96 percent of program expenditure-- DOD, NIH, NSF, DOE, and NASA--and makes recommendations on improvements to the program. Separate reports on each agency will also be issued.

Science and Technology to Counter Terrorism: Proceedings of an Indo-U.S. Workshop
This volume presents the papers and summarizes the discussions of a workshop held in Goa, India, in January 2004, organized by the Indian National Institute of Advanced Science (NIAS) and the U.S. Committee on International Security and Arms Control (CISAC). During the workshop, Indian and U.S. experts examined the terrorist threat faced in both countries and elsewhere in the world, and explored opportunities for the U.S. and India to work together. Bringing together scientists and experts with common scientific and technical backgrounds from different cultures provided a unique opportunity to explore possible means of preventing or mitigating future terrorist attacks.

An Assessment of the Small Business Innovation Research Program at the National Science Foundation
The SBIR program allocates 2.5 percent of 11 federal agencies’ extramural R&D budgets to fund R&D projects by small businesses, providing approximately $2 billion annually in competitive awards. At the request of Congress the National Academies conducted a “comprehensive study of how the SBIR program has stimulated technological innovation and used small businesses to meet federal research and development needs”. Drawing substantially on new data collection, this report examines the SBIR program at the National Science Foundation and makes recommendations for improvements. Separate reports will assess the SBIR program at DOD, NIH, DOE, and NASA, respectively, along with a comprehensive report on the entire program.

Innovation Policies for the 21st Century: Report of a Symposium
To mark the opening of a study of Comparative Innovation Policy: Best Practice for the 21st Century the Board on Science, Technology, and Economic Policy (STEP) convened a symposium providing an overview of areas to be examined in the study and topics requiring further policy attention. The event highlighted the policies and programs of leading nations and provided valuable insights into some of the common challenges of growing and supporting high-technology industry and the commercialization of public investments in R&D. This report contains a summary of the symposium proceedings and an introduction analyzing the issues and placing them in a broader policy context.

India's Changing Innovation System: Achievements, Challenges, and Opportunities for Cooperation: Reportof a Symposium
As part of its review of Comparative Innovation Policy: Best Practice for the 21st Century, the Board on Science, Technology, and Economic Policy (STEP) convened a symposium in 2006 to examine the policy changes that have contributed to India's enhanced innovative capacity. Convening leaders from the public and private sectors in India and the U.S., the symposium identified accomplishments and existing challenges in the Indian innovation system and reviewed opportunities for enhanced cooperation between the two countries. This report summarizes the symposium presentations, along with an introductory analysis of policy issues raised at the symposium and a research paper examining India’s knowledge economy.



Agricultural Water Management: Proceedings of a Workshop in Tunisia (Series: Strengthening Science-Based Decision Making in Developing Countries)
This report contains a collection of papers from a workshop---Strengthening Science-Based Decision-Making for Sustainable Management of Scarce Water Resources for Agricultural Production, held in Tunisia. Participants, including scientists, decision makers, representatives of non-profit organizations, and a farmer, came from the United States and several countries in North Africa and the Middle East. The papers examined constraints to agricultural production as it relates to water scarcity; focusing on 1) the state of the science regarding water management for agricultural purposes in the Middle East and North Africa 2) how science can be applied to better manage existing water supplies to optimize the domestic production of food and fiber. The cross-cutting themes of the workshop were the elements or principles of science-based decision making, the role of the scientific community in ensuring that science is an integral part of the decision making process, and ways to improve communications between scientists and decision makers.

Sustainable Management of Groundwater in Mexico: Proceedings of a Workshop (Series: Strengthening Science-Based Decision Making in Developing Countries)
This report contains a collection of papers presented at a workshop in Merida, Mexico --- Strengthening Science-Based Decision Making: Sustainable Management of Groundwater in Mexico. The cross-cutting themes of the workshop were the elements or principles of science-based decision making and the role of the scientific community in ensuring that science is an integral part of the decision making process. Papers included in this volume describe the groundwater resources of Mexico’s Yucatan Peninsula, approaches to managing groundwater in Mexico and governmental and scientific institutions concerned with water resources. Other papers discuss US approaches to managing scarce water resources. Participants in the workshop included representatives from leading scientific and academic institutions, federal state and local governments, non-governmental organizations and businesses.

SBIR and the Phase III Challenge of Commercialization: Report of a Symposium
Commercialization of successful SBIR awards is a key challenge for the program and represents an essential step in the program’s contribution to government missions. To better understand the challenges inherent in the conversion of promising research to useful products and processes, the National Research Council convened a conference focused on the commercialization of SBIR-funded innovations at DoD and NASA. A unique feature of the conference is that it brought together, for the first time, the program managers, small business leaders, and prime contractor personnel involved in commercializing the results of SBIR awards through procurement at DoD and NASA. These participants identified the challenges and highlighted existing and evolving best practices among successful cases in the third (or commercialization) phase of the SBIR program. The conference, captured in this report, contributed significantly to a better understanding of the obstacles and opportunities in this phase of the SBIR program and to legislation designed to address these challenges.

Enhancing Productivity Growth in the Information Age: Measuring and Sustaining the New Economy
Starting in the mid 1990s, the United States economy experienced an unprecedented upsurge in economic productivity. Rapid technological change in communications, computing, and information management continue to promise further gains in productivity, a phenomenon often referred to as the New Economy. To better understand this phenomenon, the National Academies Board on Science, Technology, and Economic Policy (STEP) initiated a project to better measure the contributions of different elements of the “new economy” (semiconductors, computers, software, and telecommunications) and to develop policies to meet the needs of these growth-enhancing industries. Accompanied by four workshop reports, this summary volume describes the steps required to better measure and sustain the benefits of this “new economy” in the sectors examined.


Implementing the Stockholm Convention on Persistent Organic Pollutants: Summary of a Workshop in China (Series: Strengthening Science-Based Decision Making in Developing Countries)
This report summarizes a workshop --- Strengthening Science-Based Decision-Making: Implementing the Stockholm Convention on Persistent Organic Pollutants held June 7-10, 2004, in Beijing, China. The presentations and discussions summarized here describe the types of scientific information necessary to make informed decisions to eliminate the production and use of Persistent Organic Pollutants (POPs) banned under the Stockholm Convention, sources of information; scientifically informed strategies for eliminating POPs, elements of good scientific advice, such as transparency, peer review, and disclosure of conflicts of interest; and information dealing with POPs that decision makers need from the scientific community, including next steps to make such science available and ensure its use on a continuing basis.

Innovation Inducement Prizes at the National Science Foundation
Following a congressional directive in its FY 2006 Appropriations Act, the National Science Foundation asked the STEP Board to "propose a plan for administering prizes to individuals or teams that achieve novel solutions to specified social or research needs or capitalize on recognized research opportunities." A committee under the STEP Board concluded that an ambitious program of innovation inducement prize contests would be a sound investment in strengthening the infrastructure for U.S. innovation and that NSF, although inexperienced, is well suited to designing an experimental program that could add substantially to understanding regarding the appropriate goals of such contests, the motivations of participants and sponsors, and the rules and conditions that contribute to successful contests. The committee recommends that NSF start off with a series of small-scale prizes ($200K - $2M) in diverse areas while beginning to plan for much more ambitious contests ($3M-$30M) that would address significant economic or social challenges and be conducted over several years. The report addresses many of the generic issues that arise in administering innovation prize contests (types of contests, eligibility to participate, disposition of intellectual property rights, and decisions regarding awards) and explores 7 research and technology fields that might lend themselves to prize contests.

Science and Technology in Kazakhstan: Current Status and Future Prospects
Kazakhstan has an ambitious program to increase its technological competitiveness in the global market place during the next few years, but achieving success will depend in large measure on the effectiveness of upgraded science and technology (S&T) capabilities. This report identifies important opportunities and limitations in the education system, research and development (R&D) institutions, production companies, and service organizations to help governmental organizations in Kazakhstan with strong interests in S&T chart the future course of the country.




U.S.-Russian Collaboration in Combating Radiological Terrorism
The International Atomic Energy Agency reports numerous incidents of illicit trafficking in radioactive materials, including ionizing radiation sources (IRSs) used in medical, agricultural, and industrial applications. This report assesses the threats posed by inadequately protected IRSs in Russia and recommends steps to enhance the effectiveness of DOE’s current cooperative program with Russia. These continuing DOE’s current program of quick security fixes and developing a comprehensive plan to work with Russian counterparts to reduce overall risk, within the context of a comprehensive Russian program for ensuring adequate life-cycle management of IRSs.



Beyond Bias and Barriers: Fulfilling the Potential of Women in Academic Science and Engineering
Women scientists and engineers face barriers to success in every field of science and engineering, a record that deprives the country of an important source of talent. Without a transformation of academic institutions to tackle such barriers, the future vitality of the U.S. research base and economy is in jeopardy. Eliminating gender bias in academia requires overarching reform now, including decisive action by university administrators, professional societies, federal funding agencies and foundations, government agencies, and Congress. If implemented and coordinated across public, private, and government sectors, the recommended actions will help to improve workplace environments for all employees while strengthening the foundations of America's competitiveness.


Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future
In a world where advanced knowledge is widespread and low-cost labor is readily available, U.S. advantages in the marketplace and in science and technology have begun to erode. A comprehensive and coordinated federal effort is urgently needed to bolster U.S. competitiveness and pre-eminence in these areas. This congressionally requested report by a pre-eminent committee makes four recommendations along with 20 implementation actions that federal policy-makers should take to create high-quality jobs and focus new science and technology efforts on meeting the nation's needs, especially in the area of clean, affordable energy: 1) Increase America's talent pool by vastly improving K-12 mathematics and science education; 2) Sustain and strengthen the nation's commitment to long-term basic research; 3) Develop, recruit, and retain top students, scientists, and engineers from both the U.S. and abroad; and 4) Ensure that the United States is the premier place in the world for innovation. Some actions will involve changing existing laws, while others will require financial support that would come from reallocating existing budgets or increasing them.