Inspiration and Suggestion from Japan’s Science and Technology Planning Evaluation Experience

Science and technology planning plays an important role in guiding the future direction of science and technology development, standardizing science and technology management, and optimizing the allocation of science and technology resources. Since Japan promulgated the “First Phase of Basic Plan for Science and Technology” in 1996, it has launched six basic plans for science and technology, and has been exploring and improving the corresponding evaluation system. some experience. The research group of the Research Institute of Innovation Strategy of China Association for Science and Technology “Research on Science and Technology Policy of the United States, Britain and Japan under the New Situation” reviewed the relevant experience of Japan in the practice of science and technology planning and evaluation, and put forward suggestions for improving the implementation mechanism of my country’s science and technology evaluation. It is now compiled for reference.

1. Relevant experience in Japanese science and technology planning assessment

First, the target system of science and technology planning is relatively complete, and a targeted planning evaluation framework is constructed based on this.

Since the “Third Phase Basic Plan for Science and Technology” in Japan, the planning and formulation work has gradually matured. In addition to setting relatively macro strategic goals in the plan, the strategic goals have been further refined, and key areas such as life sciences and information and communication have been selected as key areas. Important development areas for scientific research investment in the next five years.

After the “Fourth Phase of the Basic Plan for Science and Technology”, it further clarified the key topics, formulated “systematic tasks” and “key tasks” for scientific and technological development, and implemented systematic evaluations around macro-system goals in planning and evaluation. Thematic assessments in focus areas. The system evaluation mainly focuses on the systematic issues of “system reform, basic research, talent cultivation, etc.”, and the “Special Investigation Committee for the Promotion of Science and Technology Innovation Policy” under the Comprehensive Science and Technology Innovation Conference (hereinafter referred to as CSTI) is specifically responsible for implementation; thematic evaluation It mainly involves “energy strategy topic”, “next-generation infrastructure topic”, “rejuvenation and regeneration strategy”, “regional resource strategy”, etc., and the “special investigation meeting on important issues” under CSTI is specifically responsible for implementation. CSTI’s special investigation meeting on scientific and technological innovation policy promotion and special investigation meeting on important topics divide the work and focus on each other, and they are carried out from two different dimensions: system and thematic.

The second is an evaluation mechanism with extensive participation of multiple subjects, and the evaluation work has a strong democratic, neutral and scientific nature.

Through the combination of “top-down” deliberation and “bottom-up” evidence support, a planning evaluation mechanism with extensive participation of multiple subjects is constructed.

In terms of “top-down”, CSTI is a cabinet-level scientific and technological decision-making consulting agency with strong macro leadership. Based on a medium and long-term perspective, CSTI organizes and implements evaluation work from a “top-down” perspective. The Special Investigation Committee for the Promotion of Science and Technology Innovation Policy under CSTI is specifically responsible for the deliberation of the evaluation investigation. According to the evaluation results, CSTI can put forward opinions and suggestions to the responsible provinces and departments, and timely guide and improve its promotion of the “Science and Technology Basic Plan”.

In terms of “bottom-up”, the evaluation work is widely participated by relevant ministries and agencies including the Ministry of Education, Culture, Sports, Science and Technology, government think tanks, the scientific community, and the industrial community. For example, the Ministry of Education, Culture, Sports, Science and Technology (Science and Technology Academic Review Council) has established a special committee for basic plans to promote the implementation of the Basic Plan for Science and Technology and provide decision support for CSTI’s assessment of the implementation of the Basic Plan for Science and Technology. Various survey reports completed by government think tank Science and Technology Promotion Agency Research and Development Strategy Center (JST-CRDS), Science and Technology Promotion Agency’s Social Technology Research and Development Center (JST-RISTEX), Ministry of Education, Culture, Sports, Science and Technology Institute of Science and Technology Academic Policy (NISTEP), etc. The book has a relatively systematic investigation and data intelligence on the scientific and technological situation in Japan and abroad, providing strong data support for policy evaluation.

The Japan Academic Conference, the highest academic institution in the Japanese scientific community, extensively collects and absorbs the opinions and suggestions of societies and scientists from the bottom up, and makes neutral and professional policy suggestions to the government. At the same time, it is a special agency of the Cabinet Office. Independent of other administrative departments, the person in charge directly attends CSTI and can directly participate in the final decision-making of the assessment. In the evaluation and demonstration meeting organized by CSTI, it maintains close contact with the economic group in the industry – Jing Tuan Lian, and specially organizes meetings to exchange opinions with Jing Tuan Lian. Opinions from industry and economic circles are also actively reflected in the evaluation work.

In addition, private science and technology think tanks such as the Mitsubishi Research Institute were directly entrusted by the Cabinet Office to carry out relevant data collection, research, and questionnaire surveys, and the completed Evaluation Report was submitted to CSTI for consideration. These evaluation contents and evaluation data can be freely browsed and downloaded on the official website, which is highly transparent and standardized.

Third, the old planning evaluation work and the new planning formulation work are closely integrated and seamlessly connected, and the evaluation work directly serves the new phase planning formulation work.

Japan’s understanding of the positioning of the evaluation work is more pragmatic. The evaluation of the implementation of the old plan focuses on identifying problems that need improvement, rather than publicizing achievements and achievements, and aims to set the strategic goals and key areas of the new plan. Provide preliminary evidence. Judging from the connection process between the evaluation of Japan’s “Fourth Phase of Science and Technology Basic Plan” (hereinafter referred to as “Fourth Phase”) and the formulation of the “Fifth Phase of Science and Technology Basic Plan” (hereinafter referred to as “Fifth Phase”), the two types of work In close contact, there is a situation where cross-synchronization is carried out. During the evaluation of “Phase IV”, when part of the evaluation report was completed, the formulation direction of “Phase V” and the main issues to be solved were considered simultaneously.

For example, on February 26, 2014, when the “Special Investigation Meeting on the Basic Plan” started the evaluation and review of the “Energy Strategy Project” for the “Fourth Phase”, it put forward specific suggestions for the formulation of the “Fifth Phase” plan. While deliberating on the special environmental assessment report in the Fourth Phase, an investigation was also conducted on the formulation of the Fifth Phase. Suggestions. On the one hand, this approach can combine the evaluation work with the new policy formulation work, and the countermeasures and suggestions can be in-depth and specific, and the problems discovered in the evaluation work can be echoed by the specific countermeasures of the next basic plan, forming an effective connection with each other. , Continued promotion is conducive to ensuring the continuity of the policy.

2. Implications and suggestions for the evaluation of China’s science and technology planning

The first is to further refine the strategic objective system of science and technology planning, and improve the evaluability of science and technology planning.

The evaluation work of science and technology planning should be directly based on and serve the science and technology planning itself. Therefore, whether the design of science and technology planning texts is assessable and the operability of implementation is the key. In order to improve the implementability of science and technology planning, Japan has further refined its strategic goals into “big policy goals”, “medium policy goals” and “individual policy goals” since the “Third Phase Basic Plan for Science and Technology”, and organized the goal system. Combined with key research and development topics, clear research and development goals and achievement goals are formulated, thereby providing a basic target reference system for subsequent evaluation work, and the corresponding evaluation work also has a relatively clear benchmarking. In this regard, it is suggested that in the formulation of scientific and technological planning, my country should fully consider the evaluability of evaluation work, set up a more detailed planning index system, and improve the operability of planning evaluation and implementation.

The second is to improve the planning evaluation mechanism with the participation of multiple subjects, strengthen the evidence-based evaluation work, and improve the transparency and scientificity of evaluation.

Japan’s scientific and technological planning evaluation work is carried out through the overall coordination of the cabinet, the participation of multiple subjects of government, industry and academia, and the support of a large number of basic data and evidence-based support. The scientific and technological evaluation is relatively neutral, scientific and normative. The significance of the evaluation work to the next decision-making is mainly its professionalism, independence and objectivity. It is recommended to build a more flexible and diverse evaluation form, to attract more experts to participate in the evaluation work in a timely manner, to give full play to intellectual resources such as government think tanks, well-known private think tanks, etc. Comparing basic data such as data to improve the scientific nature of the evaluation work; further attracting a wider range of diverse subjects from all walks of life such as government, industry, academia and other sectors to actively participate in the evaluation work to enhance the neutrality and democracy of the evaluation.

The third is to further strengthen the research on evaluation research methods, cooperate with specific evaluation mechanisms, and build a more flexible evaluation method suitable for my country’s actual situation.

The traditional methods commonly used in the evaluation of science and technology planning include questionnaire survey, expert interview, technical system sorting, evaluation index system survey, international comparison survey, technology foresight, etc. These research methods have a relatively mature practical application basis, and are widely used in basic data and evidence collection in scientific and technological evaluation or new policy formulation, problem awareness, and future work forecasting. In order to effectively complete the scientific and technological planning evaluation work, it is necessary to combine the specific evaluation content, comprehensively use a variety of methods, and comprehensively analyze and draw conclusions. With the rapid development of my country’s science and technology planning practice, it is necessary to increase the methodological research on science and technology planning evaluation, especially the use of big data, artificial intelligence analysis and simulation and other analysis methods, in order to better serve the quality and implementation effect of our science and technology planning.

Source: Innovation Research Report of China Association for Science and Technology Innovation Strategy Research Institute

Issue 17 (total issue 512) 2022-6-7

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