US STI Policy: Continuity and Change October 24, 2003 STEPI Forum

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US STI Policy: Continuity and Change October 24, 2003 STEPI Forum Presented at STEPI Forum Korea Science and Technology Policy Institute (STEPI) Seoul, Republic of Korea Nicholas S. Vonortas & Yongsuk Jang Center for International Science and Technology Policy (CISTP) The George Washington University CISTP

Paradigm Shifts in Techno-Economic Environment Technological Advancement ICT (IT), Biotech. (BT), New Materials, Nanotech (NT) ‘infrastructural’ & ‘fluid’ characteristics Globalization deregulation & liberalization policies advancement of transportation & ICT Industrial Governance Structure global competition (role of MNEs) network-based competition increasing role of service sector Knowledge-base Economy from ‘brick-and-mortar’ economy to KBE knowledge is recognized as the most important factor codified knowledge vs. tacit knowledge : learning capacity Theoretical Developments evolutionary/institutionalist framework induce STI policy changes CISTP

National R&D Exp. by source CISTP

Trends in Federal R&D, 1976-2004 CISTP

Federal R&D Exp. by Agency (FY2004: requested) CISTP

Federal R&D Exp. by Function (FY2004: requested) CISTP

New Player: DHS CISTP

Evolution of the US S&T Policy Mission-Oriented Science Policy: up to 1970s Mission-oriented Science-focused Technology Policy: 1980s Competitiveness Crisis Technology-focused Balanced Innovation Policy: 1990s Balanced Demand and Supply Policy Lax Antitrust / Strict IPR Revisited Mission-Oriented Policy: Bush Adm. 9/11 Attack Mission of Antiterrorism CISTP

Continuity: US Public R&D Programs Mission-Oriented Defense Health Basic Research Science Emphasis Vannevar Bush (1945) Pluralistic System Occasional National Emergencies and Needs Space (1960s) Competitiveness Crisis (1980s) Anti-terrorism (Current) Fragmented Structure DOD, NASA, DOE, NSF, NIH CISTP

Change: US Public R&D Programs Emerging emphasis of more coordination Interagency R&D Programs R&D for Combating Terrorism National Nanotechnology Initiative Networking and Information Technology R&D Molecular-level Understanding of Life Processes Plant Genomes Domestic Animal Genomes Microbe Project Environment and Energy Climate Change Environmental Observations Hydrogen Fuel R&D * Coordination at OSTP/NSTC/OMB CISTP

Continuity: US Evaluation Practices Peer Review Extensive use of expert review Qualitative evaluation Pluralism Decentralized system Evaluation practices vary at each agency Ad hoc evaluation by: task forces consulting firms academic researchers individual agencies CISTP

Change: US Evaluation Practices Need for Systemic Appraisal Accountability on Public R&D Programs Performance-based Management Performance-based Budgeting Requires Performance Measurement Mechanisms Reinforcing Implementation of GPRA President’s Management Agenda Program Assessment Rating Tool (PART) CISTP

Change: Government Performance Result Act (GPRA) CISTP

Program Purpose/Relevance/Federal Role (20%) Strategic Planning (10%) Change: Program Assessment Rating Tool (PART) OMB Guidelines for assessing all Fed. Programs (including R&D) in following four criteria: (Will apply to all Federal Programs by 2006) Program Purpose/Relevance/Federal Role (20%) Strategic Planning (10%) Program Management (20%) Program Results (50%) CISTP

First Evaluation Workshop @ The George Washington University December 4 & 5 @ The George Washington University

Need for International Evaluation Network WREN aims to expand “World Research Evaluation Network” CISTP will be the Center of new WREN Cross-Check of Evaluation Criteria Co-Development of Advanced Measurement Tools Exchange of Best Evaluation Practices Exchange of Evaluation Experts CISTP

Related References Son, Byoung-ho, et al. (forthcoming), “Priority-setting and Budget Coordination of Interagency R&D Programs in the US,” KISTEP Report, conducted at CISTP Hwang, Yongsoo, et al. (2002), “Techno-Economic Paradigm Shift and Evolution of STI Policy in Korea and the United States,” STEPI Report, conducted at CISTP http://www.stepi.re.kr/main01/output/newbook/downadd.asp?no=143 Lee, Jang-Jae, et al. (2001), “Evaluation System of the US Public R&D Programs under the GPRA,” KISTEP Report, conducted at CISTP Lee, Jang-Jae (2003), “PBM of Public R&D Programs and Implication of GPRA,” Presentation at STEPI Forum http://www.stepi.re.kr/main01/activity/forum/downadd.asp?number=413 CISTP