State Science Policies: Modeling Their Origins, Nature, Fit, and Effects on Local Universities

美国50个州都采取了旨在改善经济表现的科学和创新政策举措。这些政策旨在利用该州大学的研究能力，其逻辑是这些机构在提高该州作为技术和科学进步中心的地位以及建立该州的商业化基础设施以促进创业和公司增长方面都是必不可少的参与者。自1980年代以来，各国在科学政策方面越来越积极。不幸的是，很少有人试图系统地研究这些政策的起源及其提供的激励措施和机制的性质。国家计划的档案记录存在，但仍然难以归类。与此相关的是，很少有人关注个别国家的政策如何与国家的社会经济，制度和学术背景。最后，尽管这些政策试图利用大学并将研究推向特定方向，但人们对大学实际上如何受到影响知之甚少。为了解决这些知识差距，本研究利用多学科的理论模型，广泛的纵向数据集，以及计量经济学和案例研究方法的组合，以检查四个研究问题，国家科学政策的举措：（1）起源：当以及为什么国家采取科学和创新政策，涉及大学？(2)《自然》：如何系统地描述、分类和区分国家科学和创新政策？(3)适合：州决策者在多大程度上使他们的科学和创新政策与州和大学的独特性相匹配？4)大学效应：国家科学和创新政策举措对该州公立和私立大学产生了哪些影响？本研究制定和调查多学科的理论模型来研究国家科学和创新政策是如何形成的，这些政策如何可能被系统地描述，分类和比较，这些政策如何与国家的独特的社会经济和制度背景相适应，以及这些政策随后如何影响这些国家的组织结构，流程和大学的研究能力。因此，该项目不仅旨在了解国家和机构为什么采取行动，而且可能更根本地了解可能的国家行动的范围，背后的原因以及可能的影响。与此同时，这项研究旨在为政策制定提供信息，并为未来项目的理解和基础设施的发展提供信息。关于国家科学和创新政策的起源、性质、适用性和大学效应的问题当然不是微不足道的。国家政策举措有可能刺激创新和更广泛的经济发展，但它们对国家其他优先事项构成了权衡。国家努力发展知识市场可能会显著改变大学的激励制度和行为，从而威胁到创新的前景和美国的持续竞争力。在研究人员开始进行知情的跨州和跨机构分析之前，州政府官员将继续投资于科学和创新政策，而没有足够的信息来了解潜在的替代选择及其影响。当然，归根结底，各国感兴趣的是其政策对经济增长的影响。 有效地解决这些最终结果取决于首先理解这里概述的四个研究问题中所涉及的中间问题。本研究的目的是提供基础模型，为后续的，全面的调查国家的投资在科学和创新政策的长期经济影响。

Each of the fifty U.S. states has adopted science and innovation policy initiatives aimed at improving economic performance. These policies seek to leverage the research capacities of universities in the state, under the logic that those institutions are essential actors in both increasing the state's prominence as a center for technological and scientific progress and building the state's commercialization infrastructure to facilitate entrepreneurship and firm growth. States have become increasingly active in science policy since the 1980s. Unfortunately, there have been few attempts systematically to study the origins of these policies and the nature of the incentives and mechanisms they provide. Archival records of state programs exist but remain difficult to categorize. Relatedly, little attention has been paid to how individual states' policies relate to the states' socioeconomic, institutional, and academic contexts. Finally, although these policies attempt to leverage universities and move research in specific directions, little is known about how universities are in fact being affected. To address these knowledge gaps, this study utilizes multidisciplinary theoretical models, extensive longitudinal datasets, and a mix of econometric and case-study methods to examine four research questions regarding state science policy initiatives: (1) Origins: When and why do states adopt science and innovation policies involving universities? (2) Nature: How might state science and innovation policies be systematically described, categorized, and differentiated? (3) Fit: To what extent have state policymakers matched their science and innovation policies to their states' and universities' distinctive characteristics? 4) University effects: What impacts have state science and innovation policy initiatives had on both public and private universities in the state? This study formulates and investigates multidisciplinary theoretical models to examine how state science and innovation policies come to be formed, how those policies might be systematically described, categorized, and compared, how the policies fit with the states' distinctive socioeconomic and institutional contexts, and how the policies subsequently affect organizational structures, processes, and research capacity of universities in those states. Thus, the project is designed to build understanding of not only why states and institutions have acted the way they have but also, perhaps even more fundamentally, the range of potential state actions possible, the reasoning behind them, and their likely effects. At the same time, this study is designed to inform policy development and for the development of understanding and infrastructure for future projects. Questions about the origins, nature, fit, and university effects of state science and innovation policies are certainly not trivial. State policy initiatives hold prospects for stimulating innovation and broader economic development, but they pose trade-offs against other state priorities. State efforts to develop markets for knowledge may significantly alter university incentive systems and behaviors in ways that may threaten prospects for innovation and continued U.S. competitiveness. Until researchers begin to conduct informed across-state and across-institution analyses, state officials will continue to invest in science and innovation policies without sufficient information on the range of potential alternative choices and their implications. Ultimately, of course, states are interested in the implications of their policies on economic growth. Effectively addressing those ultimate outcomes depend upon first understanding the intermediate issues addressed in the four research questions outlined here. This study is designed to provide foundational models for subsequent, comprehensive investigation of the longer-term economic influences of states' investments in science and innovation policies.