MOD: Public Value Mapping: Developing a Non-Economic Model of the Social Value of Science and Innovation Policy

科学与创新政策（SIPs）旨在动员知识来支持广泛的社会愿望和价值观。然而，评估sip的分析工具和模型主要集中在经济价值上。评估科学的社会影响的分析工具往往以微观经济学为基础（例如效益-成本分析）。创新模型和相关工具的经济学假设不可避免地影响SIP的评估和选择。例如，把重点放在“科学和技术作为经济增长的引擎”上的倾向在一定程度上造成了对研究活动影响的公平分配的注意有限。不容易用经济术语表达的价值观受到的关注较少，仅仅是因为缺乏令人信服和具体的思考方式。几乎所有的观察人士，包括经济学家，都认识到一些社会价值并没有很好地反映在经济模型和指标中。SIP中经济模型的影响部分是由于在发展概念化那些不易用货币表达的与科学和创新有关的价值的方法方面进展有限。本研究的目的是进一步发展基于公共价值的SIP模型。这项工作的核心是两个基本问题：证明特定SIP合理性的公共价值观是什么？给定SIP产生支持和推进这些价值观的结果的能力是什么？本研究对这些问题进行了操作，并将其应用于SIP决策模型的开发，使用了一种研究人员称之为公共价值映射（PVM）的方法。PVM的核心假设是：(1)有可能识别公共价值，包括那些没有被经济结构很好地捕获的价值；(2)正如人们可以评估市场失灵一样，当市场和公共部门都不提供实现指定公共价值所需的商品和服务时，就会发生“公共价值失灵”；(3)创新的特征不仅体现在对经济增长和生产力的贡献上，还体现在实现的公共价值上。这项工作需要理论发展以及案例研究来推进和测试PVM模型。然后，四个案例研究（以及其他来源资助的另外三个研究）通过一个共同的分析框架相互联系起来，为分析带来多个视角。案例研究是专门设计的，以借鉴当前的PVM理论，同时也测试和改进理论。每个案例都以对所分析的公共价值观的明确陈述开始，并通过对每个案例所嵌入的独特创新过程进行建模，进而“绘制”公共价值观的进展。案例研究的整合为PVM模型增加了经验鲁棒性。一种基于广泛共享的非经济价值观——公共价值观——的创新新模式，将代表着科学和创新政策研究和分析方面的重大智力进步。本研究：(1)促进了对sip与公共价值观之间联系的理解；(2)基于创新的“流失模型”，进一步发展公共价值映射，强调创新的社会影响和创新系统创造新的有益影响的能力；(3)发展了PVM模型，为评估和设计sip提供了新的理论和经验基础。新的创新模型将为SIP分析师提供理论和方法基础，以公共价值作为成功的衡量标准，评估科学和创新投资以及制度设计决策并为其提供信息。该模型还意味着朝着开发面向公共价值的SIP决策工具迈出了关键的第一步，这些工具可以在SIP决策过程中广泛部署。

Science and innovation policies (SIPs) aim at mobilizing knowledge in support of a wide range of societal aspirations and values. However, analytical tools and models for the assessment of SIPs focus predominantly on economic values. Analytical tools for assessing social impacts of science tend to be anchored in microeconomics (e.g. benefit-cost analysis). The assumptions upon which economics of innovation models and attendant tools are based inevitably affect SIP assessments and choices. For example, the tendency to focus on "science and technology as the engine of economic growth" has contributed in part to the limited attention to equity in the distribution of the impacts of research activities. Values not easily expressed in economic terms receive less attention simply owing to the absence of compelling and concrete ways of thinking about them. Nearly all observers, including economists, recognize that some social values are not well accounted for by economic models and measures. The influence of economic models in SIP is in part explained by limited progress in developing ways to conceptualize those science- and innovation-related values not easily expressed in monetary terms. The purpose of this study is to further develop a public-values-based model for SIP. At the core of this work are two fundamental questions: What are the public values that justify particular SIPs, and what is the capacity of a given SIP to yield outcomes that support and advance those values? The research operationalizes these questions and applies them to the development of a SIP decision model using a method that the researchers term Public Value Mapping (PVM). Core assumptions of PVM are: (1) that it is possible to identify public values, including ones not well captured by economic constructs; (2) just as one can assess market failure, "public value failure" occurs when neither the market nor the public sector provides goods and services required to achieve designated public values; and (3) innovation can be characterized not only in terms of contributions to economic growth and productivity but also in terms of public values achieved. This work entails theory development as well as case studies to advance and test the PVM model. Four case studies (as well as three additional studies funded from other sources) are then inter-linked by a common analytical framework, bringing multiple perspectives to the analysis. Case studies are designed specifically to draw from current PVM theory while also testing and improving the theory. Each case begins with an explicit statement of the public values analyzed, and proceeds to "map" progress toward public values by modeling the distinctive innovation process in which each case is embedded. Integration of case studies adds empirical robustness to the PVM model. A new model of innovation based on widely shared, non-economic values--public values--would represent a major intellectual advance in the study and analysis of science and innovation policies. This study: (1) advances understanding of the links between SIPs and public values; (2) further develops Public Value Mapping in terms of a "churn model" of innovation, emphasizing the social impacts of innovations and the capacity of innovation systems to create new beneficial impacts; and (3) develops the PVM model as a new theoretically and empirically grounded foundation for assessing and designing SIPs. The new model of innovation will provide SIP analysts a theoretical and methodological foundation for assessing and informing science and innovation investment and institutional design decisions, using public values as the measure of success. The model is also meant to be a crucial first step toward developing public-values-oriented SIP decision tools that could be widely deployed in SIP decision making processes.