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

美国50个州中的每个州都采取了旨在改善经济表现的科学和创新政策倡议。这些政策寻求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显赫地位以及建设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变得越来越活跃。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和机制的性质。国家项目的档案记录仍然存在，但仍然很难归类。与此相关的是，很少有人注意到各州的政策如何与各州的社会经济、制度和学术背景相关联。最后，尽管这些政策试图利用大学并推动研究向特定方向发展，但人们对大学实际上受到的影响知之甚少。为了解决这些知识差距，本研究利用多学科理论模型、广泛的纵向数据集以及计量经济学和案例研究相结合的方法，考察了关于州科学政策倡议的四个研究问题：(1)起源：州政府何时以及为什么采用涉及大学的科学和创新政策？(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)适合性：州政策制定者在多大程度上将其科学和创新政策与州和大学的独特特征相匹配？4)大学效应：州科学和创新政策倡议对州内公立和私立大学都有什么影响？本研究构建和研究了多学科理论模型，以考察国家科学和创新政策是如何形成的，如何对这些政策进行系统地描述、分类和比较，这些政策如何与各州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州大学的组织结构、过程和研究能力。因此，该项目的目的不仅是为了建立对国家和机构为什么会这样做的理解，而且可能更根本地理解可能的国家行动的范围、这些行动背后的理由及其可能的影响。同时，这项研究的目的是为政策制定提供信息，并为未来的项目发展了解和基础设施。关于国家科学和创新政策的起源、性质、适合性和大学效应的问题当然不是微不足道的。国家政策举措有望刺激创新和更广泛的经济发展，但它们会与其他国家优先事项进行权衡。州政府发展知识市场的努力可能会极大地改变大学的激励制度和行为，可能会威胁到创新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，而对潜在替代选择的范围及其影响缺乏足够的信息。当然，归根结底，各州感兴趣的是它们的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涉及的中间问题。这项研究旨在为随后全面调查国家对科学和创新政策的投资的长期经济影响提供基础模型。

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.