Enhancing the Security and Integrity of America’s Research Enterprise Kelvin K. Droegemeier, Director The White House Office of Science and Technology Policy www.whitehouse.gov/ostp www.ostp.gov @WHOSTP Photo credit: Lloyd Whitman
AN AMAZING TIME IN AMERICAN S&T nsf.gov US Department of Energy US Department of Energy NOAA/NSSL Human Brain Project 2
UNDERPINNED BY AMERICAN VALUES • Freedom to discover and create • Openness & reciprocity • Sharing of results • Free market system to move research outcomes to practice for the benefit of society • Our Nation’s Values 3
WE CAN HAVE ALL THESE THINGS…PLUS FUNDING AND TALENT… nsf.gov US Department of Energy US Department of Energy NOAA/NSSL Human Brain Project 4
…BUT IF THE ENVIRONMENTS IN WHICH RESEARCH TAKES PLACE DO NOT REFLECT AND PROTECT OUR VALUES, WE HAVE A PROBLEM! College.mayo.edu Gradschool.fsu.edu 5
OSTP HISTORY
OSTP MISSION
OSTP MISSION
OSTP AND OMB SET FEDERAL AGENCY R&D PRIORITIES
R&D PRIORITY AREAS American Security : Advanced military capabilities, critical infrastructure resilience, semiconductors, and critical minerals. Industries of the Future : Artificial intelligence (AI), quantum information science, 5G connectivity, and advanced manufacturing. Energy and Environmental Leadership : American energy resources, ocean science and technology, and Earth system predictability. Health and Bioeconomic Innovation: Biomedicine, bioeconomy, and Veteran health and wellness. American Space Exploration and Commercialization: In-space resource utilization, manufacturing and assembly, fuel storage and management, and advanced space-related power and propulsion capabilities.
CROSS-CUTTING PRIORITY AREAS Build and leverage a diverse, highly skilled American workforce Create and support research environments that reflect American values Support transformative research of high intellectual risk and potentially high reward Leverage the power of data Build, strengthen, and expand strategic multisector partnerships
Motivation: Some Motivation: Some individuals and foreign governments individuals and foreign governments pose pose risks to the risks to the American research American research enterprise enterprise Risks to the Integrity of the Research Enterprise Violations of responsible and ethical conduct of research • Actions that undermine peer review and grant award processes • Actions that endanger the trust placed in researchers by the American taxpayer • Risk to National Security Hidden diversions of research and/or resources that threaten U.S. leadership in • emerging science and technology Risk to Economic Security Hidden diversions of research and/or resources that weaken the innovation base and • threaten economic competitiveness 12
Integrity of the research enterprise rests upon core Integrity of the research enterprise rests upon core principles and values principles and values • Openness and transparency enable productive collaboration and help ensure appropriate disclosure of potential conflicts of interest and commitment. • Accountability and honesty help acknowledge errors and correct behaviors that can hamper progress. • Impartiality and objectivity protect against improper influence and distortion of scientific knowledge. • Respect helps create an environment where all can be heard and contribute. • Freedom of inquiry allows individual curiosity to guide scientific discovery. • Reciprocity ensures scientists and institutions exchange materials, knowledge, data, access to facilities and natural sites, and training in a way that benefits collaborating partners proportionally. • Merit-based competition helps ensure a level playing field where the best ideas and innovations can advance. The principles and values that underpin the integrity of the research enterprise The principles and values that underpin the integrity of the research enterprise comport comport with American values. with American values. 13
July 16, 2020: https://www.foxnews.com/opinion/coronavirus-china-science-kelvin-droegemeier 14
Individuals, institutions, and governments share Individuals, institutions, and governments share responsibility for integrity in the research enterprise responsibility for integrity in the research enterprise Principles of integrity for responsible Principles of integrity for responsible individuals and institutions: governments, reflected in U.S. government policy: Openness and Transparency Openness and Transparency Accountability Accountability Impartiality and Objectivity Freedom of inquiry Honesty Reciprocity Respect Merit-Based Competition Behaviors that violate these shared principles jeopardize the Behaviors that violate these shared principles jeopardize the integrity of the research enterprise. integrity of the research enterprise. 15
International International science science is is frontier frontier science cience • Enables cutting-edge research that no nation can achieve alone • Strengthens scientific and diplomatic relations • Leverages resources, including funding, expertise, and facilities • Trains a robust S&T workforce capable of solving global problems In April 2019, a global collaboration of scientists at 60 institutions • International students and scholars operating in 20 countries and regions captured the first ever contribute significantly to the U.S. research image of a black hole. enterprise Photo credit: NSF, The Event Horizon Telescope Collaboration. (https://eventhorizontelescope.org/) Elizabeth E. Lyons, E. William Colglazier, Caroline S. Wagner, Katy Börner, David M. Dooley, C. D. Mote Jr., and Mihail C. Roco, “How Collaborating in International Science Helps America ” Science & Diplomacy , Vol. 5, No. 2 (June 2016). 16
Key Question Key Question How can America best protect its research assets and capabilities while also ensuring an appropriate degree of openness that is vital for research to thrive? 17
National Science and Technology Council (NSTC) National Science and Technology Council (NSTC) NSTC Chaired by the President OSTP Director presides in place of the President Executive Director Committee on Committee on Committee on Committee on Committee on Committee on STEM Homeland & Environment Science Technology S&T Enterprise National Security Education 18
U.S. U.S. government coordination to address key areas that government coordination to address key areas that impact the American research enterprise impact the American research enterprise On May 6, 2019 The White House Office of Science and Technology Policy established the Joint Committee on the Research Environment (JCORE) through the National Science Technology Council to address four critical issues related to the research enterprise. Committee on Science Committee on S&T Enterprise Reducing Rigor, Integrity & Safe, Inclusive Research Reproducibility in Research Administrative Security Research Environments Workload
Examples of behaviors Examples of behaviors that that increase increase risk isk and and can can harm arm the the research enterprise research enterprise Irresponsible Conduct that Violates Funding Agency and Institutional Policies: Potential Impacts: • Failures to disclose: Distorted decisions about appropriate use of • • Financial conflicts of interest taxpayer funds Hidden transfers of information, know-how, • • Conflicts of commitment data, and time • External employment arrangements Diversion of proprietary information and • • Financial support that overlaps with U.S. funding pre-publication data to foreign entities • Shadow laboratories or other parallel research Loss of Federal research funding , or need to • activities replace key personnel Damage to the reputation of research • • Diversion of intellectual property institutions and researchers • Peer review violations Reputational, career, and financial • detriment to individuals Loss of taxpayer and public trust in the • Examples of Behaviors that May Violate Laws: research enterprise • Theft or diversion of materials and intellectual capital • Grant Fraud 20
Case Case study study 1: U 1: Undisclosed ndisclosed conflicts onflicts of of interest interest and and commitment commitment Former chief of eye genetics at the Shiley Eye Institute at University of California San Diego Health: Received $10 million in NIH grants during 11 years at UCSD • Founded U.S. pharmaceutical R&D company Calcyte Therapeutics • Impacts: Undisclosed founder and primary shareholder of a • Unreported Conflict publicly traded Chinese biotech company that Distorts decisions • of Interest specialized in the same work he performed at UCSD about appropriate use of taxpayer funds Multiple undisclosed subsidiaries and additional • Unreported Conflict companies in the U.S., China, and the Cayman Hidden transfers of • of Interest Islands information, know- Unreported Conflict Undisclosed member of a foreign government • how, data, person- sponsored talent recruitment program. of Commitment time Researcher resigned from U.S. institution. Source: https://inewsource.org/2019/07/06/thousand-talents-program-china-fbi-kang-zhang-ucsd/ 21
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