How science informs US policy

On 21 December 2018, the US National Quantum Initiative Act (NQI) was signed into law, creating a multiagency program to coordinate the federal investment and support of quantum technologies. While this was the official launch of an increased effort and coordination for quantum R&D in the United States, it was also the culmination of many years of behind-the-scenes activity to ensure the act was supportive of both the science and technology community and the interests of the United States. Much of this early work to understand the needs and opportunities in the quantum ecosystem was coordinated by the Office of Science and Technology Policy (OSTP) and spanned both the Obama and Trump administrations.

The Office of Science and Technology Policy is where policies that impact science and technology originate. In addition, OSTP plays a key role in advising how science and technology may impact policy. The interplay between these two roles is an integral part of the United States' science, technology, and research enterprise.

Established through the National Science and Technology Policy, Organization, and Priorities Act of 1976, "The primary function of the OSTP Director is to provide, within the Executive Office of the President, advice on the scientific, engineering, and technological aspects of issues that require attention at the highest level of Government."

The influence of science and technology on United States policy varies depending on who is President, but despite differences in priorities and structure, the mechanism remains the same regardless of the administration.

Nominated by the President, the OSTP Director is confirmed by the Senate, and in many administrations, the President also appoints the OSTP Director to the position of Assistant to the President for Science and Technology (APST). This appointment gives them the ability to provide confidential advice to the President on matters of science and technology and manage the National Science and Technology Council (NSTC), an interagency body that coordinates science and technology policy and federal R&D across the federal government.

The objectives and priorities that OSTP work on are determined by the Director, in close alignment with the goals of the administration. These range from direct technology-related topics, like quantum and AI, to more tangential things like research integrity and STEM workforce issues.

Regardless of the topic, OSTP is not a funding agency nor a legislative body, but more a convenor of experts that ultimately works to create reports, memos, and other documents to help coordinate efforts across agencies and help set strategic directions. One example of this cross-agency coordination is the annual R&D guidance memo to federal agencies, which coordinates budget priorities across the agencies.

Technically seated in the executive branch, the OSTP Director does report to the President, but the work of the OSTP still represents what they determine to be best for the nation and its citizens.

"And that means that it's very important that you listen to multiple voices when you're designing policy and you're designing implementation options," explains Jake Taylor, Fellow at the Belfer Center for Science and International Affairs. Taylor also served as Assistant Director for Quantum Information Science at OSTP from December 2017 until June 2020 while the NQI was being crafted and beginning to be implemented. "And so you don't just talk to individuals, citizens. You also don't just talk to companies. You also don't just talk to politicians."

He continues, "So for example, in the work that we did in quantum information science and the work that we did in high-performance computing, we would put together meetings where we'd bring in people from a wide variety of backgrounds to discuss options and the perspectives, and we would do requests for information."

And that is the core mission of OSTP: bringing all of that input together, forming recommendations, and making decisions on how to move in directions that will benefit both the science and technology community as well as the broad interests of the nation. The work of advising on policy at the highest level requires a fully informed process.

Inherently, the topics OSTP tackles are complex and multifaceted, therefore it would be a huge undertaking for the office to have experts on call for everything. In reality, the size of OSTP is relatively small in comparison to the other federal agencies, ranging in size from 60-150 people, depending on the administration-many of whom are temporarily assigned from other US agencies. The limited size requires them to bring experts in for specific topics and projects, and rely on external input from relevant stakeholders and subject matter experts. Many who provide OSTP with information and expertise do not have experience developing policies or law, but that doesn't really matter: It's more important to be able to talk about the science and technology in a way that is understandable and directed towards the focused requests of OSTP.

"Effectively communicating about research requires making clear why it matters to the person you're talking to," says Lloyd Whitman, who served for over five years at OSTP working on a wide range of topics and is currently Assistant to the Director for Science Policy and Planning at the National Science Foundation. "When you're doing research, somebody is supporting it. And that support is predicated on the hope that at some point the knowledge you create will have value. So it's important to think about what that value might be, even if the knowledge is relatively abstract and its value may not be apparent for a long time, and to be able to articulate that. That value is what is important to convey to the funders (including Congress), policy makers, and the public."

Just as citizens should contact their elected officials to voice concerns or provide input on legislation, researchers, scientists, and engineers should engage in the policy and direction-setting efforts of OSTP. It's important for those in the lab or on the manufacturing floor to help shape these policies with real-world experiences and expertise.Taylor agrees: "Yes, reaching out to your representatives in Congress is critical, very, very helpful for getting your voice heard. But in addition, reach out to those in the federal government who can at least listen to what you're interested in, and maybe point you to an upcoming request for information (RFI) or federal register notice. I really encourage SPIE Members who see challenges and see potential solutions, to respond to requests for information, and to be involved with the professional societies when they're putting together delegations to visit the executive branch."

While each administration will set its own priorities and direction for science and technology, it's important to recognize many efforts span across administrations, and not all objectives are met or result in notable accomplishments like the quantum and nanotechnology initiatives.

"I think maybe the most common mistake that I see when people are building policy around technology is the idea that there exist technological solutions to policy problems," Taylor explains. Because almost inevitably, a policy problem is a human problem. One has to recognize that policy solutions are slow, and consequently, they should be the type of thing that can last. And that means that they're going to take time to implement, and they're going to reflect a human process rather than a technological process."

Kevin Probasco is the SPIE Manager of Technical & Community Communications.