“Science for RE-designing Science, Technology and Innovation

Trial Promotion for the “Science for RE-designing Science,
Technology and Innovation Policy” Program
Summary
March 2014
National Graduate Institute for Policy Studies
GRIPS carried out the contract research from the Ministry of Education, Culture, Sports,
Science and Technology (MEXT) from December 2013 to March 2014. The purpose of the
research is to gain the knowledge required for advancing “Science for R E-designing Science,
Technology, and Innovation Policy (SciREX)” 1), and to prepare for the new center for Science,
Technology, and Innovation Policy 2).
1)
2)
The Ministry of Education, Culture, Sports, Science and Technology (MEXT) has promoted “Science for
RE-designing Science, Technology and Innovation Policy (SciREX)” program since fiscal 2011, which aims
to prepare a system and foundation for the realization of "evidence-based policy formation": proposal of
policies effective in addressing different challenges, based on multifaceted analyses and assessments of
social and economic impacts from science, technology, and innovation.
GRIPS founded the the center for Science, Technology, and Innovation Policy on August 1, 2014, in
collaboration with concerned universities and institutions, and MEXT.
1. Foreword
1. Background to research
In order to find solutions to the various issues that today’s complex and uncertain society
faces, it is recognized that innovation which produces new value by utilizing the results of
research and development plays an important role. To effectively and efficiently make use
of limited resources and develop science, technology and innovation policy, the state of
society and the economy as well as societal needs and the current status and potential of
the policies needed to fulfill these needs must be understood and analyzed from numerous
different perspectives, and policy formulation through a logical process based on objective
evidence must be promoted.
As such, the Ministry of Education, Culture, Sports, Science and Technology established
a Steering Committee and has been promoting the “Science for RE-designing Science,
Technology and Innovation Policy” (hereinafter “SciREX”) program under the supervision
of this committee.
To do this requires the unified promotion of the following two points.
1) Academic development of SciREX through collaboration between, and a fusion of, a
wide range of academic fields that spans humanities, social science, and natural science.
2) Creation of multiple policy options based on objective evidence, and development of a
policy formation process in which policy options are selected based on various values
including communality, rationality, and level of satisfaction.
Furthermore, as well as accumulating the results gained through promoting this
program as shared assets for society, it is essential to use these results as a basis for public
participation in the formation of policy and to construct a system whereby issues are
resolved through collaborative efforts.
In order to tackle the wide range of currently existing policy issues and to identify and
establish new policy issues, it is important for an open and neutral venue for discussion to
be created with the participation of stakeholders from a diversity of backgrounds that
include not only scientists but also politicians, administrative officials, industrialists and
members of the public.
2. Aims
The aim of this research is to obtain through trial promotion 1 the knowledge required to
implement full-scale promotion of SciREX in the future.
With this in mind, the decision was made to conduct research in collaboration with
concerned parties both in Japan and overseas from the perspectives of identification and
discovery of policy issues, creation of options, and the ideal process for policy formation and
implementation.
Relevant section from the Fourth Science and Technology Basic Plan (cabinet decision, August 19, 2011)
“As well as promoting SciREX and making proposals for policy based on objective evidence and promoting
the incorporation of evaluations and verification results into policies, the government shall establish a
process to evaluate prerequisites for policies and incorporate these into policy proposals. In the
establishment of this process, participation from a wide variety of academics in the fields of humanities
and social sciences, as well as academics in natural sciences, will be sought and through these initiatives
the government shall promote the fostering of human resources that can participate in policy form ation.”
1
1
3. Details of research
(1) Discovery and identification of policy issues
In this area of research, information was compiled concerning methods and approaches
that are being implemented or considered in a range of sectors both in Japan and
overseas regarding the discovery and identification of policy issues. Visits were made to
pertinent agencies in the USA and Europe and specialists were invited to exchange
opinions in order to identify and amass knowledge that may serve as reference when
uncovering and identifying policy issues in Japan. Furthermore, conferences were held
with the participation of related parties in which the consolidation into a structured form
of methods and approaches relating to the discovery and identification of policy issues
was experimented with.
(2) Making policy options in relation to specific policy issues
Four policy issues were decided upon as the subject for research; perspectives and
issues relating to the promotion of large international projects in the field of science and
technology, ideal promotion for groundbreaking dual-use science and technology projects,
preparations for the strategic promotion of science and technology diplomacy, and science
and technology in the 2020 Olympics and Paralympics in Tokyo.
For each of these specific policy issues, a team was established to find and compile
leading research on the relevant issue as well as examples of analogous issues. These
teams also interviewed specialists in Japan and invited specialists from overseas to
participate in opinion exchanges. Furthermore, the teams also held a conference for each
issue with the participation of specialists from a wide range of backgrounds including
academics from various specialist fields and officials from government agencies, industry,
and funding agencies to thoroughly explore the issue and experiment with the creation of
policy options.
(3) Compiling cases of policy formation processes
With the ultimate target of tackling the question of how to resolve a policy issue,
various methods, approaches, and experiences from Japan and overseas were compiled to
serve as reference regarding aspects such as discussions, guidance, and consensus
building between people in political, administrative, industrial and societal sectors and
those in the fields of science and technology as well as the scope of activities that provide
their respective operational platform, and consideration was given to what would
constitute an appropriate policy formation process. Furthermore, in order to gain a
detailed understanding of the state of affairs concerning the most recent approaches to
policy formation, specialists were invited from pertinent agencies in the US and Europe
for an exchange of opinions and to share issues regarding these approaches.
(4) Knowledge and issues for the promotion of SciREX program
The results of the research conducted in (1) to (3) above were compiled to set forth the
knowledge and issues pertinent to promotion of SciREX in Japan.
2
Figure 1 Areas of research
The establishment of a central hub for SciREX is being considered in fiscal 2014, and as
such the aims of this research include having the results utilized in this process. To this
end, the decision was made to perform research into the functions and roles required in
each of three areas presumed to be necessary for a central hub – (1) Policy design, (2) Policy
analysis and impact evaluation, and (3) Actual implementation of the policy formation
process. Figure 2 below shows these three areas as well as the functionality that is likely to
be required of a platform to bind them together.
Figure 2 The three areas of research
3
2. Methods and approaches for identifying and discovering policy
issues
Having entered the 21 st century, the science and technology policy of each country has
become more prominent in terms not only of producing and creating scientific and technical
knowledge but also in terms of producing solutions to social and economic issues by
leveraging knowledge, 2 meaning that the development of methods for the identification
and discovery of policy issues and their implementation are viewed as being of great
importance. These kinds of activities are being implemented by a range of organizations
both in Japan and abroad in each sector and at every level from the national decision
making level, to the ministerial policy level, funding agency level, university and industry
level, and other levels, and a variety of methods have been developed and put to the test.
This section introduces a number of different case studies from recent years, and
arranges them into the three categories of overseas case studies, specialist
knowledge-based case studies from Japan, and stakeholder cross-pollination case studies
from Japan, and notes the approaches that were trialed and the innovation in the
implementation.
In terms of the relation to the future central hub of SciREX in Japan, the case studies
introduced here contain much useful knowledge and many clues relating to 1. Policy
design.
The following is an overview of the case studies introduced in this chapter.
In addition to "science for knowledge," the Budapest Declaration (Declaration on science and the use of
scientific knowledge) that was adopted at the World Conference on Science jointly held in 1999 by
UNESCO and ICSU also emphasizes the importance of science for peace, science for development, and
science in society and science for society. It also states the importance of putting the content of the
declaration into action through the "Science Agenda - Framework for Action."
World Conference on Science(1999), “DECLARATION ON SCIENCE AND THE USE OF SCIENTIFIC
KNOWLEDGE”, http://www.unesco.org/science/wcs/eng/declaration_e.htm
2
4
Overseas case studies
(1) Policy issue establishment methods in Europe
Against the backdrop of an economic crisis and the rise of developing countries, the
EU’s EUROPE2020 growth strategy that features enhanced contribution to society and
the economy, and the HORIZON2020 funding framework that embodies its innovation
strategy, were forged from a mix of the experience fostered through long-term
framework programs, the diverse needs and scientific and technological capabilities of
member countries, and multi-perspective citizen involvement and opinion coordination.
As a national level example, themes for the UK’s “Foresight” activities are decided
upon through deliberation in the relevant ministry based on proposals from top
ministerial officials, committees, and research conferences as well as the judgment of
the chief scientific adviser, and this process is given a high level of importance during
the formation of policy. Such multifaceted approaches from Europe were identified and
compiled for this study.
(2) Methods and approaches in the US and UK for policy issue identification and
discovery
To address the issue of energy, the US Department of Energy spent ten years from
2001 on compiling a vision and scenarios for strategic research and development with
the involvement of more than 1600 leading figures comprising individuals approaching
the situation from a research and development perspective and from a policy
perspective. “The Three Initiatives” of the Energy Frontier Research Center, the
Energy Innovation Hub, and ARPA-E were then strategically established as a funding
framework to make these scenarios a reality and a budget was established.
Furthermore, a round table (dealing with roughly 20 issues) that was established at
the National Academy of Sciences is functioning effectively as a platform for
inter-organizational and cross-departmental discussions and considerations involving
influential specialists from government, academia, and industry regarding specific
approaches to scientific and technological research and development and its
integration for the purposes of resolving socioeconomic issues.
Japanese case studies
(3) Predictions for science and technology and scenario analysis
In addition to the Delphi study (predictions from specialists regarding the time
required for development, as well as the importance of, science and technology that is
expected to become available in the future) it has conducted over 40 years since 1970,
the National Institute of Science and Technology Policy (NISTEP)3 has been working
on scenario analysis (to indicate future changes that the predicted results of scientific
and technological progress may bring to daily life from the perspective of the public)
The National Institute of Science and Technology Policy (NISTEP) is a national research institution
that was established in accordance with the National Government Organization Law under the direct
jurisdiction of the Ministry of Education, Culture, Sports, Science and Technology (MEX T) to be engaged
in the Japanese government’s science and technology policy-planning process.
3
5
and related initiatives. This has already been incorporated into the formation and
other aspects of the government’s Science and Technology Basic Plan.
(4) Method for selecting research areas at the Research Institute of Science and
Technology for Society
The areas for research and development at the Research Institute of Science and
Technology for Society (RISTEX) 4 are selected through a process that includes a
holistic survey of problems faced by society, preliminary studies of candidate areas
through interviews, refinement of proposed areas through workshops involving
stakeholders, discussions with members of the public through open forums, and prior
evaluations by influential external figures. With a limited allocation of resources, this
process was developed in order to effectively establish areas of research and
development in order to be able to make practical efforts towards resolving concrete
problems faced by society.
(5) New endeavors in a SciREX open proposal program
In order to eliminate biases and ensure comprehensiveness in themes submitted
through open proposals made by researchers and ensure that research and
development is transdisciplinary, RISTEX is attempting to elicit proposals that focus
on progression to policy implementation and organized research frameworks. At the
same time, it is trialing a multilevel open proposal process in which the inclusion of
concrete goals in proposals is encouraged and the results are fed into the subsequent
open proposal process. Through such endeavors, RISTEX is exploring what a process
that involves open proposals for research may potentially achieve for SciREX.
(6) Public engagement in science and technology innovation policy
- Initiatives focusing on regenerative medicine and JAPAN Vision 2020
As one of the projects in the open proposal program for research and development
implemented by RISTEX, the Framework for Broad Public Engagement in Science,
Technology, and Innovation Policy (PESTI) aims to link the needs and opinions of the
general public to the policy formation process. This method is still under development,
but included in this project is a trial in which it was used for the creation of policy
options concerning regenerative medicine and “JAPAN Vision 2020.”
(7) Workshops for issue discovery and resolution
Keio University is leveraging the benefits of “logical left-brain thinking” and
“sensitivity-based right-brain thinking” to implement workshop-based education,
research, and other activities in order to discover latent issues not through individual
thinking but through collaboration with a diversity of people with the goal of producing
a grand vision and creating new value. This is an initiative that aims to elicit optimal
solutions to complex interlinked problems faced by people on a daily basis such as the
development of competitive products, business model construction, the handling of
unexpected circumstances, management reforms, organizational revitalization, and
RISTEX is a part of Japan Science and Technology Agency (JST). While collaborating with a wide
variety of stakeholders, RISTEX aims to bolster social systems and mechanisms that generate outcomes
valuable to the public.
4
6
the discovery of policy issues by developing critical thinking abilities and powers of
innovation, and has achieved significant results in producing human resources for
design and system orientation.
7
3. Creation of policy options
Given that only a short period of time was available for this study (December 2013 to
March 2014) and that it involved trial implementation, four policy issues were
provisionally selected and related policy options were investigated. These were;
perspectives and issues relating to the promotion of large international projects in the field
of science and technology, the ideal promotion for groundbreaking dual-use science and
technology projects, preparations for the strategic promotion of science and technology
diplomacy, and science and technology in the 2020 Olympics and Paralympics.
A team was established for each policy issue to investigate and compile leading research
as well as examples of analogous issues, interview specialists in Japan and invite
specialists from overseas to participate in opinion exchanges. Furthermore, the teams also
held conferences with the participation of specialists from a wide range of backgrounds
including academics from various specialist fields and officials from government agencies,
industry, and funding agencies.
Through these activities, the teams conducted multifaceted investigations into policy
options which included obtaining a historical overview of pertinent past and current
projects, understanding what the political, social, and economic background and
philosophy were at time the policy issues and projects in question were established, and
identifying any common features that arose.
In terms of the relation to the central hub of the SciREX program, the case studies
introduced here contain much useful knowledge and many clues relating to 2. Policy
analysis and impact evaluation .
The following is an overview of the research into the four specific policy issues.
8
Perspectives and issues relating to the promotion of large international projects in
the field of science and technology
(1) Conference regarding large international projects in the field of science and
technology – report
Large international projects offer the advantage of cross-border mobilization and
combination of funding, human resources, and data of multiple countries, but on the
other hand they entail a complex problem in that a variety of actors are involved at
home and abroad in a variety of aspects and a range of level.
As well as accumulating and analyzing the experience and knowledge of persons who
have been involved in the proposal creation, decision making and implementation
processes of large international projects that have been undertaken thus far, this
conference facilitated an understanding of issues that can be assumed will arise in the
promotion of large international projects henceforth, and it considered perspectives
and issues that are likely to be important during such promotion based on current
international discussion.
(2) Historical overview of large international projects
This section presents an overview, including the political context, of large international
projects that have been undertaken in various fields since the end of World War Two.
In doing so, the focus was placed not only on a discussion of the political situation
directly related to each project, such as International Space Station and International
Thermonuclear Experimental Reactor, but also included in the scope were changes in
the overall international political situation. The aim is to provide perspectives that
may be used when making broad-based judgments in light of the flow of history as
Japan becomes involved in large projects in the future.
Ideal promotion for groundbreaking dual-use science and technology projects
It is hoped that science and technology with the potential to be “dual use” (that is to
say, it may be used for civilian as well as defense and security purposes) may lead to
breakthroughs, provide a starting point for the creation of future business and bring
about innovation due to its rigorous and leading edge nature. On the other hand, in
consideration of the fact that Japan has a relatively small defense industry, the
development of an organizational framework that is suitable for Japan is required.
The research here looked at the example of the Defense Advanced Research Projects
Agency (DARPA) in the United States, which has delivered many results from its
long-term research and development initiatives into dual-use technologies (ex.
Internet, GPS). The requirements for the promotion of R&D projects and programs to
drive groundbreaking dual-use technologies forward were investigated through the
identification of the organizational structure and management characteristics of
DARPA.
Preparations for the strategic promotion of science and technology diplomacy
(1) Conference for strategic promotion of science and technology diplomacy – report
9
Along with advances in globalization over recent years, both developed and developing
countries have expanded diplomatic strategies that leverage science and technology for
mutual benefit. In Japan, the Council for Science, Technology and Innovation issued
recommendations in 2008 regarding the enhancement of science and technology
diplomacy, and a range of organizations such as independent administrative
institutions have subsequently implemented programs in relation to these
recommendations which has led to progress being made in the creation of international
research networks and research founding systems. However, there are no sufficient
mechanisms in terms of supporting the results, and a holistic understanding of the
current state of affairs has not yet been achieved.
As such, this conference was held with the participation of relevant parties from the
program officer level in independent administrative institutions and other
organizations that have run related programs as well as relevant parties from the
government, the private sector, and the non-profit sector in order to obtain a holistic
understanding of joint international research programs, compile the results and issues
that arose, and consider measures for dealing with these issues.
(2) Science diplomacy: initiatives at the AAAS and in the USA
This contains excerpts from a talk entitled “Science diplomacy: initiatives at the AAAS
and in the USA” given by Vaughan Turekian, Chief International Officer and director
of the Center for Science Diplomacy of the American Association for the Advancement
of Science (AAAS) that was held at GRIPS on March 2014.
Science and technology in the 2020 Olympics and Paralympics in Tokyo
Based on “JAPAN Vision 2020” (unveiled in January 2014), an investigatory team
named “The Investigatory Group Concerning the Identification of Research &
Development Issues with a Dream for Transforming Society” was launched comprising
those responsible for science and technology in MEXT’s JAPAN Vision study group,
and people from the Framework for Broad Public Engagement in Science, Technology,
and Innovation Policy (PESTI), the Science Council of Japan Youth Academy and other
youth-based academia, the Center for Research and Development Strategy (CRDS),
National Institute of Science and Technology Policy (NISTEP), and the National
Graduate Institute for Policy Studies (GRIPS). Based on objective evidence, this team
attempted to link issues in science and technology that could be related to achieving
the goals and values of JAPAN Vision 2020.
10
4. The ideal policy formation process
As an initiative regarding the policy formation process, both in Japan and overseas a
range of endeavors are being undertaken at various institutions in relation to discussion,
guidance, and consensus building between people in the political, administrative,
industrial and societal sectors and in the fields of science and technology as well as in
relation to the scope of activities that provide their respective operational platform.
Here, leading examples of these were collected and organized into four categories
entitled evidence-based policy analysis and impact evaluation, linking science with society,
politics, and administration, activities of science academies, and the importance of
historical awareness. This section describes the trial-and-error process as well as the
innovation in each initiative.
In terms of the relation to the central hub of the SciREX program, the case studies
introduced here contain much useful knowledge and many hints concerning 3. Actual
implementation of the policy formation process .
The following is an overview of the case studies introduced in this chapter.
Evidence-based policy analysis and impact evaluation
(1) The significance of and issues relating to policy option creation in SciREX
― The example of technology development in dealing with diabetes and evaluation
of its socioeconomic impact ―
As part of its SciREX activities in 2013, MEXT undertook a trial regarding the
practical implementation of policy creation using the example of action against
diabetes in achieving a healthy society with a long lifespan through recognition and
prevention based on a policy vision that forms one of the pillars of the Comprehensive
Strategy on Science, Technology and Innovation (cabinet decision of June 2013).
11
In accordance with the essence of the Fourth Science and Technology Basic Plan
(2011-2015) which emphasizes the importance of evidence-based science and
technology policy in terms of resolving issues, the goal of this practical trial program
was to create an organized framework that includes a specification of what constitutes
evidence in a given situation, a methodology for interpreting evidence, a method for the
selection of policy methods to achieve the policy goals established based on this
evidence, a method to create policy options based on a pre-analysis of the
socioeconomic impact of each policy method, and the issues relating to policy option
creation. The knowledge gained through this program will provide many pointers for
the activities of the central hub henceforth.
(2) Innovation research and policy formation
“Science of science, technology and innovation policy” will be achieved through
evolution based on two driving factors; academic research concerning innovation and
the formation and implementation of actual policy. Innovation is defined not merely as
invention or discovery, but as reform that brings economic and societal value.
Innovation research should shed light on the social process of innovation, and it is
desirable that its results be leveraged in actual corporate management and policy
formation. As well as providing an overview of the approach to science for science,
technology and innovation policy from the perspective of business and economics, this
section presents issues concerning the linking of policy research to policy formation as
well as the future outlook for these issues. It discusses, for example, subjects including
how although policy and institutions have traditionally been outside the scope of
research in the field of business, they have begun to be taken into account in recent
years and how methods such as case study research can provide important clues in the
policy formation process, as well as how economics can uncover policies and the
relevant cause and effect relationships and the role economics can play in terms of
measuring this.
(3) Current state of affairs and issues concerning regional policy formation process es
for science, technology and innovation
Regional science and technology policy started to be formed in the 1980s in Japan, but
awareness of the importance of a scientific basis in this process is still not common.
This section provides an overview of the policy formation process of local authorities in
Japan using data from the Basic Survey of Regional Science, Technology, and
Innovation Policy as well as examining probable future issues.
(4) Actual examples of analytical economic research contribution to medical polic y
This section introduces information including a case study that investigates the extent
to which the elimination of the coexistence of two clinical trial frameworks in Japan
(therapeutic trials and clinical research using unapproved pharmaceuticals) could
contribute to the economic effectiveness of pharmaceuticals using the example of
pharmaceuticals developed by academia (biological products).
(5) Case study analysis of public research institutes using patent data
―AIST, RIKEN, JAXA―
12
Given that each individual researcher at a public research institution commands a
large research budget and university researchers must allocate a significant portion of
their time to teaching, public research institutions play an important role in the
formation of a national innovation system, but in comparison to private enterprises
and universities, whether this role is actually fulfilled and the extent to which quality
research is produced has not always been sufficiently verified. As such, this section
provides an understanding of the actual state of affairs regarding the number of
patents in which the three public research institutions of the National Institute of
Advanced Industrial Science and Technology (AIST), RIKEN, and the Japan Aerospace
Exploration Agency (JAXA) have been involved in development, as well as matters
such as how frequently joint research is carried out in collaboration with private
enterprise, and the correlation between patent applications and joint research.
Linking science with society, politics, and administration
(6) Status of global research into ideal scientific advice
Global research into ideal scientific advice has seen particular acceleration over recent
years. In April 2013, the OECD’s Global Science Form begun an investigation into the
role and responsibility of scientists, and in October 2013 a two-day workshop was held
co-hosted by GRIPS and GSF in which 19 countries participated. Along with the APEC
conference in June of the same year, the first ever meeting of chief scientific advis ers
and equivalents from participating countries was held, and in August 2014 the first
ever global conference of chief scientific advisers is scheduled to be held in Auckland
more than 40 countries and 200 participants. It has also been decided that exactly
what constitutes the ideal scientific advice will be discussed at the OECD ministerial
conference in 2015. Chief scientific advisers have traditionally played a large role in
the US, UK, Australia, and other countries, and this position was created in 2009 in
New Zealand, in the EU in 2011, and in October 2013 a scientific advisory board was
created for the Secretary-General of the United Nations. It can be assumed that
discussion regarding the establishment of a chief scientific advisor in each country or
an equivalent position and their global network (system of systems) will continue, and
it is believed that this will form an important foundation for the practical activities of
SciREX in the future.
(7) Various initiatives for communication in science
―Historical background and main case studies relating to public participation in
policy formation ―
Communication in science does not involve merely conveying events that have
happened in the world of science; it has thus far developed and transformed while
closely tracking changes in social and political conditions, and as such, a prior
comprehension of the historical circumstances and background to these things is
crucial in understanding the future of communication in science. This section provides
an overview of these circumstances and the background with a focus on the UK, which
is a source of many leading case studies. With regards to specific instances of public
participation in policy decisions, it also examines methods other than voting and
opinion surveys used by national and local authorities to gain an understanding of
13
public opinion that have started to be implemented over recent years, as well as
providing an overview and explanation of the techniques used.
(8) Evidence-based policy formation through joint fact-finding
―The theory and practice of regional joint fact-finding―
This section provides an overview and introduction to the methodology for joint
fact-finding, which identifies scientific information and evidence to form a basis for
common understanding between stakeholders with conflicting interests through
collaboration between stakeholders, specialists, and other parties, and makes
proposals concerning the wide scope of its potential use through actual examples and
demonstrative experiments performed both in Japan and overseas.
(9) The role of AAAS as a boundary organization that links science to politics, society,
and the world
The American Association for the Advancement of Science (AAAS) fulfills the role of
bridging four main gaps comprising those between 1) science and overall society, 2)
different fields of science, 3) scientists and policy makers, and 4) science in the USA
and science in the rest of the world.
In order to bridge the gap described in 1), the AAAS has established the Center for
Public Engagement to implement exercises in engagement between scientists and
citizens as well as to promote discussion between scientists and the public with
regards to the benefits, limitations, and indicators provided by scientific knowledge.
For 2) it publishes the magazine “Science” and collaborates with the National Academy
of Sciences (NAS), and for 3) it holds an annual science policy forum for concerned
parties from government, scientists, and those involved in research foundations. To
address 4) AAAS is internationalizing its annual general conference, in which 50
countries currently participate.
(10) Public participation in science, technology, and innovation policy and
communication activities in different countries
Science communication, which links society and science, has a wide variety of actors
including not only the public and those from the field of science, but also government,
enterprise, NPOs and sociologists. In countries such as the UK, independent
“boundary organizations” that link these diverse actors are well established and are
yielding results. This section compiles and analyzes case studies relating to activities
at such organizations, and sets forth knowledge that can be used in the formation of
new networks and communication in Japan.
(11) Function of European Future Centers
In the process of policy formation, it is important to understand the situation in which
the “end-users” of a policy find themselves as well as to solicit ideas for resolving
problems from people with different perspectives, meaning that constructive dialog in
the venue where this takes place is essential.
In Europe, there exist multiple administrative agencies that run organizations called
Future Centers, which are dedicated to accumulating the skills for running a venue for
dialog. This section focuses on three slightly differing types of Future Center, and
14
introduces examples of the functions that they possess as well as setting out the
knowledge that can be used “on the ground” during policy formation in Japan.
Activities of science academies
(12) Policy option creation method at NAS
The USA’s National Academy of Sciences (NAS) was established as an institution to
provide advice on science and technology to government. In order to provide truly
useful advice, it (1) has a balanced structure of staff members who have no conflicting
interests, (2) has a wide-ranging review process, (3) publishes survey results
(consensus reports and workshop reports), and (4) has established the foundation for
methods to respond to large-scale disasters, and these have been put to the test in
situations such as hurricanes, the oil spill in the Gulf of Mexico, and the nuclear
accident at the Fukushima Nuclear Power Plant. Furthermore, more importance is
placed on “convening activities” (platforms for specialists and other parties from
academia, government institutions, industry, and NPOs to come together for
discussion), which produce predictions and opinions regarding a given theme in a
relatively short space of time, than on official advisory processes. Under the banner of
science and technology to resolve social issues, NAS has held conferences on national
security after the 9/11 terror attacks as well as conferences regarding resilience with
regards to radiation and nuclear power, and as such it can be considered a valuable
source of reference in the reform of Japan’s policy formation mechanism.
(13) Domestic and overseas initiatives in academy activities by young researchers
―Building superior science and technology policy through continuous participation
across the generational spectrum ―
With an awareness of the importance of creating a policy formation process that gains
support across the generational spectrum, the young academy of Japan that has been
established at the Science Council of Japan has started dynamically laying the
groundwork for this and is proposing problems to be dealt with over a wide range of
areas. This work involves taking into account how scientific progress and society
interact while undertaking a holistic investigation into subjects including ensuring
diversity in foundation research and a new concept of evaluation, producing scientists
for the next generation, and the necessity of education systems that emphasize natural
sciences and cultural education, and as such, high expectations have been placed on
future SciREX collaboration activities.
The importance of historical awareness
(14) Historical awareness in the policy formation process
Reinterpreting science, technology, and innovation policy as a historical case study
from the generation in question means reinterpreting policy study itself as the subject
of a wide-ranging field of study in a way that is not constrained by the results of
specialized research into individual areas. It must go further than knowledge and facts
and include the power of a narrative that facilitates a vivid depiction of the way a
policy should be. Sociology has been given the ultimate purpose of providing
15
intellectual feedback to society, and policy studies in this field requires historical
research recast as a comprehensive field of study as well as research into the history of
the generation in question to take this and remake it into a new form.
(15) A range of initiatives viewed from a historic perspective
In order to form and implement effective, evidence-based policies, it is essential that in
the policy formation process policymakers have a holistic view of historical trends
relating to a given policy issue, as well as having the education and capabilities to
interpret this in the context of the current policy framework and the overall social
system while maintaining a clear awareness of a policy’s importance. The necessity of
this kind of historical awareness was emphasized in NISTEP workshop that was held
in March 2014.
This section introduces initiatives such as the compilation, publication and utilization
of resources such as the recently completed NISTEP resource allocation/important
initiative database, interview materials, and materials relating to the activities of
relevant organizations, and sets forth issues in terms of incorporating a historic
perspective into the policy formation process.
(16) Science and technology friction between Japan and the USA in the 1980s
―The era of “Japan as number one”―
The economic friction in the 1980s between Japan and the USA was the biggest
diplomatic ordeal experienced by post-war Japan. The trade friction transformed into
technological friction and had a large impact on Japanese science and technology
policy as well as institutional frameworks, but the actual situation at the time is not
well known. This section discusses how Japan responded to the aggressive stance of
US industry, academia, and government that accused Japan of “freeriding” on
foundation research, as well as how Japan responded and the measures taken during
the negotiations between Japan and the USA in a period which saw dramatic changes
to the structure of the global economic system and knowledge.
(17) Co-evolution of policy and IT in patent administration
This section discusses how a co-evolution process between patent inspection activities
in patent administration and advances made in IT in which technological progress
promotes the streamlining of, and brings substantive change to, patent inspection
activities. It also highlights the importance of the development of foundation
technologies in the evolution of the policy formation process.
16
5. Conclusion
1．Knowledge and points gained from this research
(1) Increasing importance of discovery and identification of policy issues
As the socioeconomic climate becomes increasingly complex and diverse, and as we face
many fluid and highly challenging problems, it can be said that we have now reached a
stage where the discovery and identification of policy issues in the policy planning and
proposal process are extremely important and complicated.
(2) Diverse approaches to policy issue discovery and identification
Many methods have been developed with regards to policy issue discovery and
identification including qualitative and quantitative approaches as well as forecasting
and backcasting, and there is a necessity to combine and utilize these.
(3) Diversity of people bearing the responsibility for policy issue discovery and
identification
With regards to policy issue discovery and identification, there is a wide diversity with
regards to the people who bear responsibility, and these people may have a background
of specialist knowledge and experience, create new concepts through interactions
between specialists, and place importance on cross-pollination between a broad
diversity of stakeholders.
(4) The importance of a holistic perspective in selecting policy issues
As well as clearly establishing the significance of a policy issue in the overall policy
framework in consideration of its aims and scale, it is important that involved parties
share this holistic perspective. Furthermore, it is necessary to consider the time spent
on the overall policy formation process as discussed next.
(5) Common awareness of the time span for policy option creation between scientists
and policymakers
Whereas in some cases the time required for the creation of scientific data and new
social and economic analysis methods must be measured in units of years, in many
cases policymakers are required to complete their investigation in a very short space of
time. As such, it is necessary to give sufficient consideration to this and ensure that
both scientists and policymakers are on the same wavelength in terms of awareness of
time and share a common understanding in their collaboration.
(6) Formation and maintenance of a venue for diverse stakeholder discussion in the
policy option creation process
In order to create accurate policy options according to policy issues, a venue must be
created that enables ongoing debate between the relevant stakeholders in which the
participants can share their aims and give independent views and opinions free of the
influence of vested interests. As such it is also important to create networks that lead
17
to the formation of such venues and build relationships of trust between the diverse
parties involved.
(7) Characteristics and cross-pollination between science and policy
Because the fields of science and policy have fundamentally different values, it is
necessary to create rules and approaches that respect the culture of both sides when
attempting to link the two fields together. Through experiences such as climate change
and the BSE problem, discussion at the national level and at international
organizations over the past twenty years has been gradually defining a scope for this
in the form of guidelines and rules that stipulate the responsibilities and roles of both
fields. Both the political and administrative groups which decide upon and implement
policy and the scientific groups that create and provide evidence-based options must
share an understanding of this scope, and collaborate and co-evolve in an effective and
sound manner backed up by an accurate understanding of international trends.
(8) The role of organizations and mediators that link science and policy
The field of science has always focused on value neutrality and objectivity, whereas
policymaking aims to reflect a certain set of values belonging to a diversity of people or
society. This means that the values and cultures found in these fields differ, and it is
thus important to form networks between the fields, build relationships of trust, and
create a space and the conditions for an ongoing dialog. It is also important for such a
space to function as a venue for the creation of policy options for each individual policy
issue while enabling ongoing dialogue and mutual respect between those on the science
side and those on the policy side.
The need for organizations and functions that link science and policy have increased
both in Japan and overseas in recent years, and it is important to ensure continued
stability and production of human resources for such organizations.
(9) Importance of historical awareness and the current position
In “science for policy,” the collection and accumulation of individual practical case
studies in the policy formation process as well as their dissemination is very important
as it promotes the development and maturation of science. Furthermore, it allows a
holistic view of the entire policy formation process, and it clarifies the current position
in the formation process for each individual policy. It is hoped that those in charge of
policies will make continuous efforts to cultivate their worldview and historical
thinking abilities, and possess the ability to gain a clear realization of the relevance of
the policy issue that they are responsible for.
18
2．Towards full promotion of SciREX
(1) The importance of full promotion of science for policy
1) A significant turning point for the world system
The main theme of the 2014 Global Economic Forum (Davos Conference) was set as
“Reshaping of the World: Consequences for Society, Politics and Business.” The overall
theme of the conference was the recognition of the fact that the power of the large
reforms currently occurring worldwide in terms of politics, economics, society, and
technology are gradually causing a drastic transformation in human daily life, society,
and organizational frameworks, and that humanity must approach this never before
seen challenge with insight. As well as the Davos Conference, vibrant global platforms
relating to science, technology and innovation policies and strategies have been held
with a similar purpose in recent years, and these include the OECD, ICSU
(International Council for Science), STS (science, technology, and society) forums,
world science forums (UNESCO, ICSU, etc.), American Association for the
Advancement of Science (AAAS), and the Euroscience Open Forum (ESOF).
In this complex and uncertain age, the consideration of a comprehensive vision for
science and technology, methods and perspectives for the selection of important areas
and themes in terms of investment in research and development, and the ideal
framework for promoting these things from a mid-to-long term perspective are
important strategic issues for every country. Furthermore, in order for developed
countries to ensure continued societal support for science and technology against a
backdrop of extremely tight fiscal conditions, new mechanisms must be implemented
in relation to the systems and frameworks that can deliver socioeconomic and other
value through research and development systems, management, evaluation methods,
and investment with the aim of improving return on investment in research and
development (as expressed in the editorial of the 11 November 2011 edition of Science
magazine and the 16 February 2012 edition of Nature magazine.)
2) The Budapest Declaration: the commitment of science and technology and its contract
with society in the 21st century
With the end of the Cold War a quarter of a century ago and the opening of the
Internet to public use, globalization jumped forward and science and technology
developed a broader front-line to include matters such as climate change, energy and
the environment, resources, water, disease and medicine, food, and counterterrorism.
The world is now witnessing a global process of trial and error concerning how to tackle
these complex and vague problems, and trust in science and technology has frequently
been shaken.
Against this backdrop, a World Conference on Science was held in Budapest,
Hungary in 1999 by UNESCO and ICSU to address the serious problem of being
unable to gain the continued support of the public in the 21 st century if science and
technology continues to advance in a linear fashion as it did in the 19 th and 20th
centuries.
At the conference, a debate was held over the course of a week and the Budapest
Declaration was made based on four pillars; science for knowledge, science for peace,
19
science for development, and science in and science for society. This declaration was
held up as an expression of the commitment of science and a contract between science
and society in the 21st century, and after the passage of a decade and a half, it is now
gradually penetrating the foundations of science and technology policy in every
country.
On the other hand, it also placed a large question mark against the fundamental
methods, institutions, and scope of modern science and technology that have been
developed in the west over the last few hundred years as well as ideals relating to
universities and associations.
3) Diversification of expectations for science and technology: science, technology, and
innovation
In 2004, the USA’s Council on Competitiveness revealed its vision for an “Innovate
America” through the Palmisano Report, and stimulated interest in innovation around
the world. Since this time there has been a growing trend towards making innovation
the cornerstone of national policy and corporate strategy, and science and technology
policy in many countries has expanded its reach to include innovation. The
frameworks and institutions that form the foundation of current science and
technology activities, such as universities, public research institutions, research
funding, research evaluation methods, and associations have been built up over the
more than two hundred years from start of the 19 th century to the present day, but
these are now approaching a large turning point in the face of rapidly accelerating
globalization and the rise of developing countries.
Furthermore, the knowledge structure and functions of the methods of modern
science and technology appear to be undergoing a gradual paradigm shift from the
previous foundation of reductionism, specialization, and separation towards knowledge
integration, systemization, and design creation. In order to create value for society and
markets, the development of new mechanisms for scientific and technological research
and development as well as a fundamental review of the ideals for education and
production of human resources are issues that must be addressed.
In order to deal with a drastic change in the relationship between science and
technology, society, politics, and administration that has been in existence for several
hundred years, the promotion of science for use in evidence-based science, technology
and innovation policy is in the spotlight. In the chain of processes from the discovery
and identification of policy issues to the creation of policy options, hopes are being
places on the development of new methodologies, and data gathering and analysis
techniques and the development and securing of human resources as well as
collaboration across different sectors, organizations, and countries.
It is hoped that this process of dynamic cross-pollination and feedback among
science and technology, politics, administration, and society will bring co-evolution and
the creation of high quality science, technology, and innovation policy and strategy
that has the potential to be actually implemented. It is also hoped that this Trial
Promotion for the “Science for RE-designing Science, Technology and Innovation
Policy” Program research performed by GRIPS at the request of MEXT can provide a
valuable first step in the development of this field henceforth.
20
(2) Desired functions of a central hub of SciREX in Japan
1) From the start of the policy issue discovery and identification process, the participation
of parties such as policymakers, scientists, and stakeholders is essential, and it is
necessary to carry the investigation forward through discussion between these
concerned parties (co-design). While it is necessary to provide an environment in which
policy issues can be discovered and identified effectively, in order to be able to provide
this, it is fundamentally necessary to build and maintain a network of parties such as
policymakers, officials, universities, public research institutes, industry, academic
collaboration associations, and NPOs, exchange information about the current status of
and problems faced by society and the economy as well as historical trends and future
issues, share awareness of problems and foster relationships of trust
2) As well as clearly identifying the policymakers’ place in the organization and the
significance of a policy issue in the overall policy framework in consideration of its aims
and scale, it is important that this be shared between involved parties to effectively and
efficiently take forward the analysis of policy methods and the creation of policy options
required to address the policy issue.
3) In the discovery and identification of policy issues, it is necessary for the involved
parties to have a common awareness of methods, responsible persons, and the fact that
policy issues can exist anywhere and from a range of perspectives.
4) In the discovery and identification of policy issues, it is important for concerned parties
to have a clear awareness of the shortest and longest time required until a policy is put
into action. It is necessary to constantly take into consideration the length of time
taken from selecting policy issues, formulating a budget, reforming framework, and
performing research and development and taking action based on the results of this to
resolving the issue. Such examples include:
・Things that are measured in units of a few months, such as compiling a budget
request for the next fiscal year, budget implementation plans
・Things that are measured in units of 1-2 years such as the creation of annual
operations plans
・Things that are measured in units of a few years, such as the formation of a basic plan
for science and technology and things that require the collection, accumulation, and
analysis of a vast quantity of data.
5) It is necessary to gain an understanding of the modern society that forms the backdrop
for the issue to be addressed by a policy as well as the main actors (politics,
administration, companies, public, overseas, etc.) and trends and other aspects of
science and technology.
6) There exists an “innovation ecosystem” framework at the regional, national, and global
level that views as a complete system the cross-pollination between universities that
create knowledge and organizations such as the companies that constitute the final
distributors of innovation, as well as the social systems and institutions that have an
effect on and are affected by these things. It is important to have a structural and
21
dynamic understanding of science, technology, and innovation policy within the
framework of this concept.
7) In the process of discovering and identifying policy issues it is important to have a
mechanism for a variety of stakeholders to participate without departing from the scope
of their own activities, and it is hoped that such a mechanism can provide a forum for
people with a range of ideas to come together and interact. In such situations, those
involved in the study humanities and social science will also play an important role.
8) Many methods have been developed with regards to policy issue discovery and
identification including qualitative and quantitative approaches as well as forecasting
and backcasting, and there is a necessity to combine and utilize these. In order to put
into practice the discovery and identification of policy issues with an appropriate
method, it is necessary for policymakers to have an understanding of the trends of the
universities, research institutions, researchers, and details of research that are
attempting to deal with these issues.
9) It is necessary to create rules and approaches that respect different values when
attempting to link the two fields of science and technology. Through experiences such as
climate change and the BSE problem, discussion at the national level and at
international organizations over the past twenty years has been gradually defining a
scope for this in the form of guidelines and rules that stipulate the responsibilities and
roles of both fields. Both the political and administrative groups which decide upon and
implement policy and the scientific groups that create and provide evidence-based
options must share an understanding of this scope, and collaborate and co-evolve in an
effective and sound manner backed up by an accurate understanding of international
trends.
10) The field of science has always focused on value neutrality and objectivity, whereas
policymaking aims to reflect a certain set of values belonging to a diversity of people or
society, so the values and cultures found in these fields differ and it is thus important to
form networks between the fields, build relationships of trust, and create a space and
the conditions for an ongoing dialog. It is also important for such a space to function as
a venue for ongoing dialog and the creation of policy options for each individual policy
issue while enabling mutual respect from those on the science side and those on the
policy side.
11) The need for organizations and human resources that link science and policy has
increased both in Japan and overseas, and it is important to ensure continued stability
and development of human resources for such organizations. When approaching this,
efforts must be made to create interactions between human resources and networks
through collaboration between the fields of government, industry, and academia
domestically and with pertinent institutions overseas for the purposes of proactive
career progression from the perspective of the development of diverse human resources.
It is also important to promote the advancement and participation of young and
mid-career human resources.
22
12) In “science for policy,” the collection and accumulation of individual practical case
studies and their dissemination in the policy formation process is very important as it
promotes the development and maturation of science. Furthermore, it allows a holistic
view of the entire policy formation process, and it clarifies the current position in the
process when it is implemented for the formation of each individual policy.
Policymakers cultivate their worldview and historical thinking abilities on a daily basis,
so it is hoped that they will possess the ability to gain a clear realization of the
relevance of the policy issue that they are responsible for.
13) It is important to take a holistic and consistent approach through to the point of policy
option creation by discovering and identifying policy issues to address having first
considered factors such as science and technology and the socioeconomic circumstances,
as well as to perform analysis, impact evaluation, and other such actions in a way that
is appropriate to the policy issue in question. Having achieved this, it is subsequently a
matter of politicians and administrators selecting policies that satisfy certain criteria
from those proposed, creating and finalizing a concrete proposal, creating a budget, and
implementing any required framework reforms.
14) By going through the PDCA cycle intrinsic to this dynamic cross-pollination between
science and technology and society, administration, and politics, it becomes possible to
propose and implement plans for science, technology and innovation of a higher quality.
15) Global warming, which has become an international political problem, is an archetypal
example of society, politics, and administration taking action after the discovery and
identification of a policy issue through evidence-based advice founded on accumulated
scientific proof through the long-term measurement activities of scientists.
Furthermore, the IPCC – an intergovernmental panel on climate change which has
great international influence regarding the setting of CO 2 reduction goals and other
targets – can be held up as a model for intermediate organizations that link science
with society, politics, and administration.
23
Appendix: Charts referenced in this research
1. Linking science and policy
1) Co-evolution through new linkage between the policy formation mechanism and
“science for policy”
2) Mechanism for linking science and policy
24
3) Sustainable cycle of policy formation process
―Roles and responsibilities of scientists and policymakers in society―
4) Four idealized roles for scientists in decision-making
25
5) The International Landscape of Science Policy
26
2． Historical awareness
1) Transition of science & technology and university systems over the last 200 years
27
3. Holistic overview of science, technology, and innovation policy
1)
Structure of promotion for science, technology, and innovation policy
2)
Three-level structure for the promotion of SciREX
28
4. Innvation Ecosystem
1) Innvation Ecosystem
2) Global Innovation Ecosystem
29
5．Methods for identifying and discovering policy issues
30