Evidence-based STI Policy Making From Japanese Perspective

May 23 , 2014 , at CAST 2014In Kunming, Yunnan Province, China

Tateo ARIMOTONational Graduate Institute for Policy Studies （ GRIPS) &

Center for R&D Strategy (CRDS) ,Japan Science & Technology Agency (JST)

1.Great Transformation of Global System2. Reshaping STI Policy and System3. Japan’s Science of STI Policy Program 4. Conclusion

Contents

3

・ Sustainable development・ Climate change, Energy & Natural resources ・ Water, Health,Food, Biodiversity・ Natural/Artificial Disasters ・ Knowledge & Aging society

Since 1989

DisastersDisasters

End of the Cold-WarICT revolution

“Globalization,Complexity & Uncertainty”

New World Order

New World Order

Climate Change Climate Change

Great Transformation Now 2014

Economic Crises

Economic Crises

STI & Univ.Reform

STI & Univ.Reform

4

・ Sustainable development・ Climate change, Energy & Natural resources ・ Water, Health,Food, Biodiversity・ Natural/Artificial Disasters ・ Knowledge & Aging society

Since 1989

DisastersDisasters

End of the Cold-WarICT revolution

“Globalization,Complexity & Uncertainty”

New World Order

New World Order

Climate Change Climate Change

Great Transformation Now 2014

Economic Crises

Economic Crises

UniversityReform

UniversityReform

The Rules of games are changing !

In the middle of the great

transformation

Shaping the new values and

leadership

Changing social norms, Public

engagement ,

Technological and social innovation

Innovation & entrepreneurship

Green new deal & smart ageing

society

Redesigning governance of ST and

Innovation;

Global, regional, national & local

Breaking the conventional thought

framework! Shaping new models,

Responsible conduct

6

“The Changing Map of Science” Nature, October 18, 2012

Others

OECD

International Scientific Unions

National Members

STS ForumESOF

WSF

International Organizations

International Societies/Academies

Groups ofResearch and

Funding agencies

The International Landscape of Science Policy Organizations & Fora

GSF

UN and related bodies

UNESCO

WHOWMOFAOITU

WIPOIAEA

Specific Committees

UN Secretary-General’s Scientific Advisory Board

High Level Groups(e.g. Ministerial, CSA meetings)

Carnegie Group( G8+5)

High Level

International Forums

GRC

OthersNESTITIP

CSTP

Others

Regional bodies

Science EuropeActive role

in the governance

High Level

APEC ASEAN

ICSUIAP IAC

IUPAP

IUPAC IAU

Others

NAS(USA)

Royal Society

(UK)

Others

Others

Others

Network,System of systems

Inter-governmental and general-purpose committee for consultations between government officials, and between officials and scientists.

Others

G8

IPCC

EC

IGFABelmont Forum

Institutions forPolicy Research

ESFRI

SPRU PRESTRathenau

OthersRAND

NISTEP

ISSCSocial Science

OthersＧｌｏｂａｌ　ｍｅｅｔｉｎｇ

　ｏｆ　ＣＳＡｓ

ＳＢＰＣ

AAAS

ＣＡＳＴ

TWAS

8

S & T and Innovation in the 21st century

○ STI for knowledge

○ STI for profit ○ STI for competitiveness ○ STI for growth ○ STI for employment ○ STI for wellbeing & quality of life ○ STI for safety, security & social cohesion ○ STI for sustainability & resilience

Redesigning science & innovation system Responsible conduct in the R&D enterprise- locally, nationally, regionally and globally -

WSC 1999 : Budapest Declaration- Science for the 21st century– ”Science for Knowledge“ and “Science in Society and Science for Society” OECD 2010 : “The OECD Innovation Strategy” WSF 2011 : ”The Changing Landscape of Science - Challenges & Opportunities ”WSF 2013 : "Science for Global Sustainable Development ” AAAS 2012 : “Flattening the World - Building a Global Knowledge Society”AAAS 2013 : “The Beauty and Benefits of Science”AAAS 2014 : “Meeting Global Challenges - Discovery and innovation” Davos 2012 : "The Great Transformation - Shaping New Models" Davos 2013 : “Resilient Dynamism”Davos 2014 : “The Reshaping of the world - Consequences for Society, Politics and Business”

WSC 1999 : Budapest Declaration- Science for the 21st century– ”Science for Knowledge“ and “Science in Society and Science for Society” OECD 2010 : “The OECD Innovation Strategy” WSF 2011 : ”The Changing Landscape of Science - Challenges & Opportunities ”WSF 2013 : "Science for Global Sustainable Development ” AAAS 2012 : “Flattening the World - Building a Global Knowledge Society”AAAS 2013 : “The Beauty and Benefits of Science”AAAS 2014 : “Meeting Global Challenges - Discovery and innovation” Davos 2012 : "The Great Transformation - Shaping New Models" Davos 2013 : “Resilient Dynamism”Davos 2014 : “The Reshaping of the world - Consequences for Society, Politics and Business”

“The Age of Transformation”

Reshaping S&T policy

Global Research Council : 2012- Science, Nov 2011: ”Rethinking the Science System” Nature, Oct 2012 : “The Changing Map of Science – Science on the move, Global Research” IAC 2012 : “Responsible Conduct in the Global Research Enterprise” ICSU : “Future Earth” 2013- EU, Vilnius Declaration 2013 : The Value and Benefits of Integrating Social Science and Humanities into Horizons 2020” World Social Science Report 2013 : “Changing Global Environments“

Global Research Council : 2012- Science, Nov 2011: ”Rethinking the Science System” Nature, Oct 2012 : “The Changing Map of Science – Science on the move, Global Research” IAC 2012 : “Responsible Conduct in the Global Research Enterprise” ICSU : “Future Earth” 2013- EU, Vilnius Declaration 2013 : The Value and Benefits of Integrating Social Science and Humanities into Horizons 2020” World Social Science Report 2013 : “Changing Global Environments“

Rethinking S&T system

OECD 2013-14 : “The Quality of Science for Policy Reports “

Global meeting of Chief Science Advisers 2014 in Auckland,NZ

United Nations Science Adv Board , 2013-

OECD 2013-14 : “The Quality of Science for Policy Reports “

Global meeting of Chief Science Advisers 2014 in Auckland,NZ

United Nations Science Adv Board , 2013-

Rebuilding trust and scientific integrity

1.Great Transformation of Global System2. Reshaping STI Policy and System3. Japan’s Science of STI Policy Program 4. Conclusion

Contents

12

Policy Making &Science Advice

　

MinistriesFunding Agencies

　　　 Implementing Organizationsuniversities, industries, national labs etc.　　

Multi-layered Governance System

of S&T and Innovation

Scientificcommunities

scientists, engineers, managers, intermediaters etc

Bottom -up

Top downProblem –

solving

Connecting and networking beyond the boundaries for creating socio-economic values

Private Companies

　 Research funding system for national innovation system in Japan

Science

Venture, Start-ups, VC/risk money

seeds to ‘exits’

backcasting

Creating new fields

Interaction Fields

Sprouting Phase

curiosity-driven

research(‘bottom-up’

research)

Diversity

mission oriented basic research

Exploratory & high risk research

”Exit” oriented R&D, prototype, demonstration & Social experiments

Economic Values

Finance,Tax,Regulations,, IPR,Standards,Social capital, culture etc.

Valley of Death

Market &Society

Scientific frontierTechnological seeds

Proofof Concept PrototypesInput Output

Ｔｅｃｈｎｏｌｏｇｙ

UniversitiesPublic

research institutes

Intellectual &Cultural valueｓ

Social &Public value ｓ

Public sectorsNGO etc.

“Cloning” DARPA （ DOD,DOH,DOE,DOEd,NIH), NSF&USAIDFP#8(2014-2020), European Technology Platform (ETP),

VINNOVA, ANR : Bridging the gap, Transformative research

“Cloning” DARPA （ DOD,DOH,DOE,DOEd,NIH), NSF&USAIDFP#8(2014-2020), European Technology Platform (ETP),

VINNOVA, ANR : Bridging the gap, Transformative research

International competition and collaboration of funding systems

Redesigning funding system for issue-driven R&D

Sci &Tech.

JSPS NEDO etcJST

WPI, FIRST

New systems;

SIP & ImPACT,

Japan’s NIH

14

○

Issues to be solved;Economy, Environment, Energy, Resources,

Health, Aging, Disaster, Food etc.

Policy（ normative,

value)

Science（ objective,value free ）

SciencePolicy

Science - Policy Continuum

Code of conduct

Society(Global,Regional,National,Local)

Many issues hang on the answers to questions which can be asked science and yet, which cannot be answered by science.

○“Bridging Science and Policy” evidence-based policy making Science of STI policy ○“Bridging Science and Society” Science & Risk Communication

“Trans-Science Age”

1.Great Transformation of Global System2. Reshaping STI Policy and System3. Japan’s Science of STI Policy Program 4. Conclusion

Contents

Development of

the “ Science of STI Policy”

Evolution of Policy Making

Mechanism

Copyright (C)2011 JST All Rights Reserved.

Co-evolutionCommunication

& Trust

Feedback of Research Results

Needs,Stimulation

Co-evolutionary Development of the “Science of STI Policy” and the “Policy Making Mechanism”

Education & Training

Competitive Research

Grant

Datainfrastructure

〇 Making policy options〇 Various means of participation

Copyright (C)2011 JST All Rights Reserved.

Japan’s “Science of STI Policy” Program

Circulation of knowledge and

human resources

Circulation of knowledge and

human resources

Government ：Evolution of the

policy-making process-rational, sustainable &

Inclusive-

Government ：Evolution of the

policy-making process-rational, sustainable &

Inclusive-

Public/stakeholders ：Change in the means of public participation in

policy making

Public/stakeholders ：Change in the means of public participation in

policy making

Circulation of knowledge and

human resources

Circulation of knowledge and

human resources

Policy-oriented investigation and studies

The Steering Committee chaired by Prof.Kurodato design and supervise the entire programThe Steering Committee chaired by Prof.Kurodato design and supervise the entire program

Comprehensive management system

ScienceCollecting & Sharing

Knowledge, experiencesand Data

ScienceCollecting & Sharing

Knowledge, experiencesand Data

18

National Graduate Institute for Policy Studies (GRIPS)

National Graduate Institute for Policy Studies (GRIPS)

Joint ProgramJoint Program

• Establish a master's program and doctoral program in the “Science of STI policy”

• Guide inter-hub collaboration and promote the development of the academic discipline and community

• Establish a master's program and doctoral program in the “Science of STI policy”

• Guide inter-hub collaboration and promote the development of the academic discipline and community

The University of TokyoThe University of Tokyo

• Focused area: Public policy and engineering

• Establish an interdepartmental education program within existing postgraduate program

• Focused area: Public policy and engineering

• Establish an interdepartmental education program within existing postgraduate program

Hitotsubashi UniversityHitotsubashi University

• Focused area: Interdisciplinary innovation research with a foundation in social sciences including management and economics

• Establish a doctoral-level certificate course

• Focused area: Interdisciplinary innovation research with a foundation in social sciences including management and economics

• Establish a doctoral-level certificate course

Osaka University (Jointly with

Kyoto University)

Osaka University (Jointly with

Kyoto University)

Kyushu UniversityKyushu University

• Focused area: Ethical, legal and social issues (ELSI) in science and technology

• Establish a minor specialization as a part of existing master's programs

• Focused area: Ethical, legal and social issues (ELSI) in science and technology

• Establish a minor specialization as a part of existing master's programs

• Focused area: East Asian and regional innovation,

• Establish a specialized course consisting of interdisciplinary postgraduate subjects

• Focused area: East Asian and regional innovation,

• Establish a specialized course consisting of interdisciplinary postgraduate subjects

• Provide opportunities for gatherings : Seminars, summer-camps, etc.,

• Share characteristic curriculums of each institution etc.,

• Provide opportunities for gatherings : Seminars, summer-camps, etc.,

• Share characteristic curriculums of each institution etc.,

Japan’s Science of STI Plolicy:Japan’s Science of STI Plolicy:Network of Education and Training ProgramsNetwork of Education and Training Programs

NISTEP: Data & Analysis and JST/RISTEX: Granting program .

Goals of Education and Tranings• Fostering the knowledge & skills necessary to conduct science-

based policy research– Reviewing existing research, building a logical hypothesis– Verifying the hypothesis through the gathering of objective facts and data– Examining the implications based on analysis of the results

• Developing the abilities to plan, design, implement, evaluate and revise science, technology and innovation policy & system– Knowledge of the various policies, governmental interventions that have

been implemented in Japan and abroad to date, and their influences– Grasp of scientific research and the innovation process itself– Understanding and execution ability of the process of forming pragmatic

policies– Ability to debate and negotiate with relevant individuals and institutions

overseas

〇 Degree Programs (Master/Doctoral)

Program Master(in Japanese)

Doctoral(in Japanese/English)

Duration

18 months(1 year full time + 6 month part-time (for making policy research paper))

3 years(1year fulltime + 2 years part-time)

Completion Requirements

30 credits or more and policy research paper 14 credits or more, and doctoral thesis

Degree Master of Public Policy Ph.D. in Public Policy, orDoctor of Policy Studies

〇 Shot-term Training Courses for practioners

GRIPS as a Hub of Networks of STI Policy Research and Education/Training

Legislative Branch / Politician and their Staffs

Ministries/ Local Governments/Universities/Research Institutions

Industry

Overseas Universities / Research Institutions

Academic Societies

SciREX Institutions[Univ. of Tokyo, Hitotsubashi Univ.,Osaka & Kyoto Univ., and Kyushu Univ.]

Educational Programs

SciREX Joint Programs

MOUs with

Research Institute of Economy, Trade and Industry

National Institute for Science and Technology Policy and Strategies Studies (NISTPASS), Vietnam

Collaborators

GRIPS

Joint Programs

Summer Camps

1st SciREX Summer Camp hosted by GRIPS(Aug. 23-25, 2013; Tsukuba)

International Symposia

SciREX International Symposium 2012 “Past, Present and Future of Science, Technology and Innovation Policy Research” hosted by GRIPS (Dec 14, 2012)

Other Joint Programs Publishing SciREX Text, Policy Internship, and Policy Planning Workshops

Symposia, International Conferences & Workshops

Symposium “Bridging Science and Policy” (Aug

8, 2012) , Members of National Diet (DPJ, LDP, Komeito) had discussion on the STI policy

GRIPS-NISTEP Symposium “Benchmarking of Research Activities and its Implications for the Future of Japanese University System” (Oct 10, 2012)

The 10th ASIALICS Conference ”The Roles of Public Research Institutes and University in Asia’s Innovation System” (Sep. 20-21, 2013)

OECD Global Science Forum Workshop on Scientific Advice for Policymaking: the Role and Responsibility of Scientists

(Oct 22-23, 2013)

International Cooperation

GRIPS hosted Study Meeting of US National Academies’“Lessons Learned form Fukushima” Project (November 26-28, 2012)

http://nas-sites.org/fukushima/study-schedule/meeting-three/

Atsushi Sunami*, Tomoko Hamachi* and Shigeru Kitaba, "The Rise of Science and Technology Diplomacy in Japan," Science & Diplomacy, AAAS

*GRIPS

Collaboration with Industry:

Workshops jointly organized with Private Companies

GRIPS-JMA* Innovation Policy Workshop (2011 & 2012)

GRIPS-NEC Joint Workshop (2013)

*Japan Management Association

Through the intensive days’ workshop, GRIPS international students and Japanese business persons will develop projects which will be able to contribute to the sustainable development of countries in ASEAN region.

Thank you very muchfor your attention!!

Questions:Tateo Arimoto

arimoto@jst.go.jphttp://www.jst.go.jp/

　

27

Knowledge, S&TMarket & Society

DevelopedCountries

DevelopedCountries

Global

National Local

Solving Socioeconomic Problems

Public Values: Wellbeing, QOL, Energy & Envi. Security & Safety, Resilience

Corporate Values: Profit, Competitiveness, Growth, Employment, CSR

Challenges ofSustainability

and Development

Innovation Ecosystem

BRICS etc.

Finance & Taxes

Regulation

s & Standards

Human Resources

International Collaboration & Competition

Heterogeneous,

Diverse,Reverse &

FrugalInnovation

Global Innovation Ecosystem

Since 2006 ～by CRDS

Regional

BRICS etc.

Developing Countries

Developing Countries

28

I. Basic ConceptI. Basic ConceptI. Basic ConceptI. Basic Concept1. Unprecedented Crises of Japan and Change of the World 2. 1st-3rd Basic Plans’ achievements and problems

3. S&T policy to S&T and innovation policy; Issue-driven beyond discipline-based

1 ． Basic principle

2 ． Realization of Recovery and Reconstruction from the Disasters

3. Promotion of green innovation

4 ． Promotion of life innovation

5 ． System reforms to promote STI　

1 ． Basic principle

2 ． Realization of Recovery and Reconstruction from the Disasters

3. Promotion of green innovation

4 ． Promotion of life innovation

5 ． System reforms to promote STI　

1 ． Basic principle

2 ． Promotion of measures to attain key challenges

3 ． System reforms to attain key challenges (same as II.5)

4 ． Strategic development of globally integrated activities　 “ East Asian Science and Innovation Area (e-ASIA)”

1 ． Basic principle

2 ． Promotion of measures to attain key challenges

3 ． System reforms to attain key challenges (same as II.5)

4 ． Strategic development of globally integrated activities　 “ East Asian Science and Innovation Area (e-ASIA)”

IIII. . Realization of Sustainable Growth Realization of Sustainable Growth into the Future and Social Developmentinto the Future and Social Development

IIII. . Realization of Sustainable Growth Realization of Sustainable Growth into the Future and Social Developmentinto the Future and Social Development III. Addressing key challenges facing JapanIII. Addressing key challenges facing JapanIII. Addressing key challenges facing JapanIII. Addressing key challenges facing Japan

1. Basic principle

2. Thorough enhancement of basic research

3. Development of human resources to support science and technology

4. Developing international-level research environment and infrastructure

IV. Enhancement of basic researchIV. Enhancement of basic researchand human resources developmentand human resources developmentIV. Enhancement of basic researchIV. Enhancement of basic researchand human resources developmentand human resources development

1. Basic principle

2. Deepening relations between society and science/technology innovation

3 ． Promoting effective STI policy

4 ． Expanding R&D investment

V. Science and societyV. Science and society- Development of policies together with society - - Development of policies together with society -

V. Science and societyV. Science and society- Development of policies together with society - - Development of policies together with society -

The 4th Basic Plan for Science and Technology, Government of Japan, August 2011 after 3.11.

“Bridging science & society”*Public participation *Addressing ethical, legal and

social issues(ELSI) & technology assessment (TA)

*Science & risk communication“Promoting Science of STI

Policy”

Issue-drivenR&D strategy

*Recovery & reconstruction*Green innovation *Life innovation*System reform

principles regarding the roles and responsibilities of

science and government in policy making

1.The role of scientific advice in policy making2.Seeking scientific advice in a timely and pertinent manner3. Ensuring the independence of science advisers4. Awareness of responsibility as scientific advisers 5. Achieving broad perspectives and balance6. Ensuring the quality of advice and integrating viewpoints7. Proper handling of uncertainty and diversity8. Free disclosure of scientific knowledge9. Even-handed treatment of scientific advice by the government10.Ensuring transparency of the scientific advice process 6

T. Arimoto & Y. Sato,Science , Sept 7, 2012

Growing expectations for Science, Technology and Innovation (STI) to cope with societal challenges - responding appropriately to economic and social structural changes.

Evidence-based STI policy making, involving a more rational, sustainable and inclusive process, is required.

Deepening the understanding the dynamic and complex process in STI, and visualizing the social and economic impact of STI policy. The results must be utilized in actual policy formation, ensuring transparency in decision-making in order to provide accountability to the public.

Making use of evidence as a shared social resource, which serves as a foundation for public participation in policy making.

Developing the “Science of STI Policy” to realize evidence-based policy making.

Multifaceted analysis and understanding of the economic and social conditions, societal challenges, and the present status and potential of S&T - necessary to cope with the challenges.

Why do we need to develop the “Science of Science, Technology and Innovation (STI) Policy ” now?

(Source: JST-CRDS(2010), Strategic Proposal “Towards Realization of Evidence-based Policy Formation: Development of Science of Science, Technology and Innovation Policy” , CRDS-FY2010-SP-13.)