The University of Tokyo
Symposium: Reforming Science, Technology Innovation Policy Making Processand Human Resource Development
Session 2: Interdisciplinary Education Program for Science, Technology andInnovation Policy

Japan’s Initiative for the “Science of Science,
Technology and Innovation Policy” andHuman Resource Development Program
March 1, 2012
Tokyo University

Masahiro Kuroda
President, Tohoku University of Community Service and Science
Principal Fellow, Center for Research and Development Strategy (CRDS), JST
Chair, Steering Committee for the “Science of Science, Technology and Innovation Policy”, MEXTContents
1. Development of the “Science of STI Policy” inJapan
2. Human Resource Development for the “Science of
STI Policy”
–
–
–
–

–

Human resources to be developed
Core competencies
Expected educational contents
Outline of the “Hub Institutions for Fundamental
Research and Human Resource Development Program”( MEXT Promotion of the “Science of STI Policy”)
Expectations for the future developments of humanresources2

Economic and Social Structural Changes~ Progressing and Expecting ~ Changes of Demographic Factor: Total population on the earth will be more than 90
billion in the middle of 21st century. (rapid increases in the developing countries, theaging problem in the developed country).
Population in size and location, Labor mobility, Income
distribution , Fiscal balance and social security system,
international competitiveness and trade imbalance etc.

 Capital flow will be expected to mobilize and activate around the world in theborderless business society.
Increasing necessities of the international coordination among
countries in economic and diplomatic policy.

 Information Technology and development of the software will be enlarging theinformation flow around the world and expanding the perception gaps among
countries and races among different religions and histories.
Realizing the perception gaps and increasing conflicts among
countries and races

How can we develop science and technology to solve above
problems and implement the new social value in the world?

3

Why do we need to develop the “Science of Science,
Technology and Innovation (STI) Policy ” now?
 Growing expectations for Science, Technology and Innovation (STI) to cope withsocietal challenges - responding appropriately to economic and social structuralchanges.
Multifaceted analysis and understanding of the economic and social
conditions, societal challenges, and the present status and potential ofscience and technology - necessary to cope with the challenges.

Evidence-based policy formation, involving a more rational process, is required.
 Deepening the understanding the dynamic and complex process in STI, andvisualizing the social and economic impact of STI policy. The results must be
utilized in actual policy formation, ensuring transparency in decision-making in orderto provide accountability to the public.
 Making use of evidence as a shared social resource, which serves as a foundation
for public participation in policy formation.

Developing the “Science of STI Policy” to realize evidence-based policy formation.
(Source: JST-CRDS(2010), Strategic Proposal “Towards Realization of Evidence-based Policy Formation: Development of Scienceof Science, Technology and Innovation Policy” , CRDS-FY2010-SP-13.)4

Requirement for Redesign of STI Policy Formation
After the Great East Japan Earthquake
 Lost of the reliability of the scientists
 Poorness of the risk communication between government officials, academic
communities and between government and public.
 Lack of control risk information between local and central government.
 Demand for policy reappraisal to ensure a safe and secure society, stable energy
supplies and the dissemination of renewable energy.
 Renewed awareness of the limits of Science and Technology - required for areappraisal of previous policies.
 High expectations of the role of Science and Technology to address social issues
facing Japan in order to recover from the disaster and promote sustainable growthand development of the social economy.
 Need to conduct serious and objective reviews of previous policies to rethink theproper role of Science and Technology, and to identify a vision and strategy
detailing how science and technology can contribute to society.
Now is the time to promote the ”Science of STI Policy” to advance evidencebased policy formation.

5

Design Philosophy
The design of the “Science of STI policy” should be based on the following philosophies:

1. Form policy with scientific rationality
2. Realize a rational policy-forming process
3. Increase transparency of the policy-forming process and assure
public accountability
4. Make all knowledge obtained from the Science of STI policy
available to the public
5. Establish collaborations among stakeholders, so as to engage inappropriate policy formation, in accordance with defined
functional roles and responsibilities(Source: JST-CRDS(2010), Strategic Proposal “Towards Realization of Evidence-based Policy Formation: Development of Scienceof Science, Technology and Innovation Policy” , CRDS-FY2010-SP-13.)

6

Guiding Principles
The guiding principles to realize the stated philosophy are as follows:

1. Realize co-evolution of the policy formation mechanism and the “Science of STI
policy”
2. Facilitate public participation in the policy formation process by presenting
evidence-based alternative policy menu (*)
3. Develop the “Science of STI policy” through collaborations among various
natural and social scientific fields. Use the knowledge collected, accumulated andstructuralized from the “Science of STI policy” as common assets of society, toinform and guide policy formation.
4. Define the functional roles and responsibilities of government, the science
community, industries and the public regarding policy formation in order tofacilitate collaboration. Then establish a code of conduct for each party.
5. Foster human resources who can take leading roles in an innovative policy
formation process and the “Science of STI policy”. Build communities andnetworks for them. Create improved environments that enable them to be active
across organizational and national borders.
(*) “policy menu” is defined as a combination of alternative policy instruments with a description of its estimated social and economic impacts.

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

7

The Role of the “Science of STI policy” in Society
Evidence-based Policy Formation
Decision-making

Policy makers, etc.

Politics

Policy Planning
University, Academy,
Industry, NPO, Civic Groups, etc.

Policy makers, University,
Academy, Industry, NPO,
Civic Groups, etc.

Actors

Proposal of Policy Alternatives

PolicyImplementation

Policy Proposal
Policy Researcher, etc.

Designing
Scientists

Society, Nature

Policy Research

Observing
Scientists

Collecting,Accumulating andStructuralizing Evidence
Compiling Statistics

Analysis Evaluation

Social Scientist, Natural Scientist
Statisticians, etc.

The “Science of STI Policy”

Observation of Evidence• Structure and dynamism of
economy, society, and nature• Overt and latent challenges tobe addressed• Societal expectations regarding
science and technology• Level of science and technology,
and its potential

8
Copyright (C)2011 JST All Rights Reserved.

Co-evolutionary Development of the “Science of STI Policy”
and the “Policy Formation Mechanism”
Feedback ofResearch Results

Developmentof the“Science of
STI Policy”

Co-evolution
Communication& TrustEvolution of
Policy Formation
Mechanism

Stimulation
Objective“Research Integrity and
Scientific Responsibility”

Normative
9
Copyright (C)2011 JST All Rights Reserved.

Expansion of Frontiers by Enhancing Participation from Related Fields

・・・

Law

Political Science
Public Administration

PhysicsNatural Sciencefor Research

Public Policy

・・・

Use of Social
Science Tools
・・・

Engineering

Economics

The “Science of STI Policy“Business
Administration

・・・

Use of Natural Science Tools
Biology・・・

Traditional STI policy
studies・・・

Sociology
Ethics

Linguistics

Expansion of frontiers by enhancing
participation from various fields

・・・

Philosophy
History

Informatics
・・・

Development of Informatics

Cultural
Anthropology
Psychology

Education
Copyright (C)2011 JST All Rights Reserved.

10Targets and Focused Areas of the “Science of STI Policy”
Social Reforms
Grasp of Societal
Expectations

DevelopTechnologies
Discoveries in Science

STI Policy

Address Societal
Challenges
Innovation

Consensus Building
Accountability

Assess and Evaluate
Policy Menu

Focused Areas

Design and construct thearena for communication
between society and STI
policy formation process

Formulate Policy Menu
(Policy Alternatives)

Societal Challenges
to be addressed

Societal Challenges
addressed by S&T

Develop the methodologies
for the realization of strategic
STI policy formation process

Societal challenges
addressed by reforms insocial systems

Identify Societal Challenges
Copyright (C)2011 JST All Rights Reserved.

11

The “Science of STI Policy” Needs to Answer Important Questions
Society

Science, Technology and Innovation (STI) System
Policy Formation Process
Understanding theSocial and Economic
Impacts of STI Policy
・How can we evaluate the impacts of STI Policy?
・What is the outcome? How to evaluate
economic and social value ?
・What are the differences in outcomes amongalternative policy instruments? How can wemeasure them? etc.

Understanding Policy
Formation Process and its
Interaction with Society
・What is the objective of STI Policy?
・ How do we identify and select societal challenges to be addressedby STI Policy ?
・What is the process of STI Policy Formation? Who are involved?
・How is it possible to build consensus in STI policy formation?
・What is the relationship between STI Policy and other policy areas?
Any synergetic effects or impediments? etc.

Understanding the
Dynamics of STI
System・What is the process involved in STI?
・Who are the main actors?
・What is needed ? (Finance, HR,
Infrastructure, Management )?
・Diffusion and adoption process of ST
・Barriers to STI・Interaction with other types ofinnovation (ex. Social innovation) etc.
・What is the government role in STI Process?

12Achievements in the Development of the “Science of STI Policy”
Public/stakeholders：

Government：

・Policy menu （policy alternatives）
・Various means of participation

Evolution of thepolicy-forming process

Change in the means ofpublic participation inpolicy formation

Utilized widely in society

Circulation ofknowledge andhuman resources

Knowledge collected and structuralized:
shared social resources

Collecting, accumulating andstructuralizing evidence

Mission-oriented
investigation
and research

Research Funding
Program

Human resources
development andfundamental
research

Circulation ofknowledge andhuman resources

Data
infrastructure
13

Copyright (C)2011 JST All Rights Reserved.

Promotion of Science of STI(Science, Technology and Innovation) Policy

Draft Budget for FY2012: 1,077 million yen（Budget for FY2011: 802 million yen）（※Including estimated amount of JST budget）

Current Conditions and Issues

・Difficulty of assessing the impacts and effects of Public R&D investment scientifically.
・Data infrastructure is insufficient for evidence-based policymaking for STI.
・Professional STI policymakers who understand the overall policy area are scarce and their career path is unclear.

In order to realize “evidence-based policymaking” and to devise effective policies for solving issues based on
measuring and understanding economic and social conditions from various viewpoints, the improvement ofsystems and infrastructure, and the promotion of related research and human resources development for the
Science of STI Policy should be conducted.
Steering committee
Constructing the system for promoting theScience of STI Policy 【MEXT】

Launching research funding program for
the Science of STI Policy 【JST】

MEXT, etc.

Circulation ofknowledge
and human
resources

University, etc.
Sociology

Informatics

Strengthening capacityof core functions of STI
Core functions related to index and informationindex and information【MEXT/NISTEP】

Centers
Formation of centers for research andhuman resource development in the fieldof Science of STI Policy 【MEXT】

Public Policy
Economics

Public researchorganization

Enhancing policy-oriented investigation research for STI policy 【NISTEP】

14* Tentative translation

Contents
1. Development of the “Science of STI Policy” inJapan
2. Human Resource Development for the “Science of
STI Policy”
–
–
–
–

–

Human resources to be developed
Core competencies
Expected educational contents
Outline of the “Hub Institutions for Fundamental
Research and Human Resource Development Program”( MEXT Promotion of the “Science of STI Policy”)
Expectations for the future developments of humanresources15

Human Resources to be Developed
1. Researchers who expand the frontier of “Science of STI
policy” as scienceEx.) Researchers who specialize in the “Science of STI Policy” and expand the frontier.

2. Policy-makers who proceed evidence-based STI policyformation with scientific perspectives
Ex.) Policy-makers for STI Policies / Personnel to conduct research strategies andcorporate planning in universities and public research organizations.

3. Personnel who contribute to connect the “Science of STI
Policy,” other academic disciplines and the societyEx.) Personnel who involve in STI Policy formation actively in universities, researchorganizations, private companies, and NPOs, as well as play active role based on eachspecialization in natural and social sciences and humanities. The public who understandpolicy and research outcomes and participate in the process of policy-formation throughdemocratic means.
16Core Competencies of Human Resources for the “Science of STI Policy”
III. Knowledge and skills
for specified area

IV. Practical learning related
to policy-formation andimplementation

II. Understanding of STI
I. Understandingof STI Policy andpolicy-formation
process

3. Formulate alternative policy options andestimate impacts of the alternatives.

V. Basic methodology
for research

4. Conduct decision
making, based onleaderships, evidences
Policy Formulationand consensus, under
2. Discover and select societal
appropriate code ofissues to be addressed by STI
Discovery of Societal
policyDecision Making conducts.
Challenges

1. Observe evidences,
construct theories and models
to explain the evidences andsynthesis themObservation/Analysis/
Evaluation

Policy Implementation

Dynamics of Society and Nature

5. Conduct management
and evaluation,
informed by evidences.

17

17

Expected Educational Contents<Examples of contents>

I. Understanding of STI Policy and policyformation process

II. Understanding of STI-Basic concept of Policy-formation-System of policy-formation （Funding System,
University-industry-cooperation, Intellectual property,
Ethics etc）
-Tools for policy-formation（Policy evaluation,
Evaluation of R&D, Technological forecasting etc）
-Benchmarking of STI policy in the world

Knowledge for the history, current stage andprospects of the development of S&T-Trends in S&T（Life science, Nanotechnology,
Environment science etc）
-Understanding of basic concept and structure of
Natural sciences and Engineering

Understanding of activities, process and system
of STI

Understanding the relations between the economy andsociety and STI from the economic, historical, socialand ethical point of view)

III. Knowledge and skills for specific area
Basics and theory- Economics, Business Administration, Sociology, History,
Ethics, Law, Politics, Public administration etc.,

Empirical methodology- Quantitative method （Econometrics, Bibliometrics etc）
-Qualitative method（Case Study, Social Research Methods etc）

Issues and domain oriented knowledge

IV. Practical learning related to policyformation and implementation
V. Basic methodology for research- Issues (such as energy and medical) and domains (such as
life-science, and nanotechnology) oriented knowledge andskillsInternship, etc.,

Methodology for research, Thesis/Research Project etc.,18Outline of the “Hub Institutions for Fundamental Research andHuman Resource Development Program”( MEXT Promotion of the “Science of STI Policy”)• The aim of the program: to support universities (“HubInstitutions”) to– Develop research personnel to advance the “Science of STI Policy”,
and human resources to facilitate its social implementation,– Establish graduate programs with multidisciplinary curricula orcoursework, incorporating social sciences and humanities and naturalsciences, and– Establish a network structure joining hub institutions in order toenable nationwide, systematic HR development.

• Program Period:– The hub institutions will start their programs during fiscal year 2013.
(Admission processes will be starting during fiscal year 2012.)– Total period: Fifteen years unless otherwise stipulated.

19(Provisional Translation)

Outline of the “Hub Institutions for Fundamental Research andHuman Resource Development Program” (contd.)( MEXT Promotion of the “Science of STI Policy”)
Types of hub institutions selected:• A “Hub of Institutions” (GRIPS):– Take a leading role to advance the “Science of STI Policy”,– Establish human resource development programs incorporating
multidisciplinary curricula to foster human resource capable of enhancing
the Science and demonstrating initiative in global society, and– Assume a leadership in coordinating all other hub institutions.

• “Field Pioneering Hub Institutions” (The University of Tokyo,
Hitotsubashi University, Osaka University [Jointly with Kyoto
University], and Kyushu University):– Establish human resource development programs independent of existing
programs and leverage strengths in their respective fields of expertise toenhance the “Science of STI Policy”,– Foster human resource capable of enhancing the Science and demonstrating
initiative in global society, and– Facilitate inter-hub coordination by assisting the Hub of Institutions.
20(Provisional Translation)

Outline of the “Hub Institutions for Fundamental Research andHuman Resource Development Program” (contd.)( MEXT Promotion of the “Science of STI Policy”)
GRIPS

The University of Tokyo•Focused area: Public policy
and engineering•Establish aninterdepartmental education
program within existing
postgraduate program

Hitotsubashi University
・Focused area:

Interdisciplinary innovation
research with a foundation insocial sciences including
management and economics
・Establish a doctoral-level
certificate course

National Graduate Institutefor Policy Studies

・Establish a master's program anddoctoral program in the “Scienceof STI policy”
・Guide inter-hub collaborationand promote the development of
the academic discipline andcommunity

Joint Program• Provide opportunities forgatherings : Seminars,
summer-camps, etc.,• Share characteristic
curriculums of each institutionetc.,

Osaka University(Jointly with
Kyoto University)•Focused area: Ethical, legal andsocial issues (ELSI) in science andtechnology•Establish a minor specialization
as a part of existing master's
programs

Kyushu University•Focused area: East Asianand regional innovation,•Establish a specialized
course consisting ofinterdisciplinary
postgraduate subjects(Provisional Translation)

21

Expectations for the Future Developments of Human Resources

1. Build open platform to promote collaborations andexpand networks:– Among Natural Sciences: to understand diversified
and complex nature of S&T– Social Sciences and Natural Sciences: to understandthe process of STI in Social Systems– Science Community and Policy makers: to grasp
policy needs to enhance the feedback to policy
formation process– Industry and Society: Accountability and Consensus
Building– International
22

Collaborations and Networks for the “Science of STI Policy”

Co-development ofcurriculums
Joint programs
Exchanges of faculties andstudents

Various Stakeholders（Citizens,
Industries, NPO etc）

Providing opportunities forpresenting papers
Exchanges with researchers in otherareas
Open Network to increasebroad interests in the “Scienceof STI Policy”, throughSymposiums, Seminars
Websites, SNS etc.,

23

Expectations for the Future Developments of Human Resources (contd.)

2. Diversified career paths to promote human andknowledge circulations
Academia

PublicSectorHuman and Knowledge
Circulation

NPO
Media
Citizens etc.,

Industry24

Expectations for the Future Developments of Human Resources (contd.)
3. Define the functional roles and responsibilities of government, the science community,
industries and the public regarding policy formation in order to facilitate proper
collaboration.
Ref.) UK Department of Business, Innovation, and Skills, "Principles of Scientific Advice toGovernment"（ March 24, 2010）.
Independence

Academic Freedom
Professional Status & Expertise

Respect & Value
Democratic Mandate of
the Government

Transparency
and Openness

Respect & Value
When the policy is not consistent with
scientific advice, the government shall・publicly explain the reasons・accurately represent the evidence

Government
Prejudice and Political Interference

Scientific
Advisers“ Scientific advisers should respect the democratic mandate of the Government to take decisions based ona wide range of factors and recognize that science is only part of the evidence that Government must 25
consider in developing policy.”