fred gault unu-merit and tut-ieri - foro consultivo · fred gault unu-merit and tut-ieri workshop...
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Public policy is a process driven by government(s) influenced by interest groups◦ Possible objectives or desired impacts
Jobs and growth
Equity
Inclusiveness
Wellbeing
…
For it to work, policy has to be implemented using policy instruments
Evaluation of implemented policy is part of policy learning and it supports public discourse
A part of the process deals with science and technology (S&T) policy and innovation policy◦ The two are different
Knowledge creation ◦ Formal production of knowledge (R&D)◦ Human resource production (HQP)◦ Transfer of knowledge
Codified to other sectors - Commercialization
Tacit through mobility of HQP
Policy can support knowledge creation◦ Grants, contracts (direct)◦ Tax benefits (indirect)◦ Government budget appropriations or outlays for R&D (GBAORD)◦ Public sector performance of knowledge generation
Different implementation of policy in different sectors of the economy◦ Emphasis on public institutions (HE or Government labs)
Driven by the ministries of research and education, perhaps with finance and public works (to deliver the policy)
OECD(2002)
What is innovation?
Putting a new or significantly improved product (good
or service) on the market or finding a better way of
getting it there (transformation and delivery,
organization and business practices, or market
development or new markets). Paraphrase of Oslo
Manual para 146, 150.
Innovation only happens in a firm (could be a sole
proprietorship)
OECD/Eurostat (2005)
Policy can act on ◦ Firms, or on◦ Framework conditions
Shorter term (one mandate)
Competition policy
Trade policy
Intellectual property
Sector specific regulations (ICT)
Transparency
Corruption policy
Public innovation platforms
Longer term (greater than a mandate) Health
Education
Government
Building evaluation into policy
implementation
◦ Not every organization wants to do this
What does the government want to measure?
Impact? (economic and social?) Growth? Why do
it?
Example - the Government of Ontario and its
question put to the Council of Canadian
Academies (CCA)
The question
◦ How can the actual and potential outcomes and impacts of Ontario
government spending on innovation and scientific activities be
measured, including, but not limited to the effects on GDP in
Ontario, generation and transfer of knowledge; creation of new
ventures; and access to seed, development, and growth capital?
The CCA panel convened to answer the question examined six classes of
support programmes and likely impacts
Using existing data and the examination provides a means of setting
priorities
CCA (2013) See also www.nasonline.org/about-nas/mission/
Impact
Program Type
Knowledge
Generation
New
Ventures
Access to
Capital
Employ-
ment
GDP/
Output
Taxes Social
Direct Academic
Support
High Low n/a Mod Low Low Mod
Public & Non-
Profit
Research
Organizations
High Low n/a Mod Low Low Mod
Innovation
Intermediaries
Low Mod Mod Mod Low Low Low
Direct Business
Support
Moderate High High High Mod Mod Mod
Indirect Business
Support
Moderate Mod Mod High Mod Mod Mod
Public
Procurement
Low Low n/a High High High High
Policy intervention can target many or few areas
Broad examples of policy components are
◦ Markets
◦ People
◦ Innovation activities
◦ Public Institutions
◦ International engagement
Gault (2010)
1. Markets
1.1 Brand recognition
1.2 Lead Market
1.3 Competitive engagement
1.4 Financial Services
2. People
2.1 Labour force
2.2 Demographics and Demand for Innovation
2.3 Migration
3. Innovation Activities
3.1 Technology and Practices
3.2 User Innovation
3.3 User-driven Innovation
3.3 Open Innovation
3.4 Demand-driven innovation
4. Public Institutions
4.1 Infrastructure
4.2 Procurement
4.3 Priority Setting
4.4 Standard Setting
4.5 Public Finance
4.6 Government Direct Support
4.7 Education, training and research
4.8 Health
4.9 Monitoring and Evaluation
5. International engagement
5.1 Big science
5.2 International co-operation and development
Governance
◦ One department (Treasury for tax credits)?
◦ Whole of government? Who chairs?
◦ Co-ordination? Authority to co-ordinate?
◦ Leadership? At what level
Governance is a domain for evaluation
See www.innovationpolicyplatform.org/
◦ Information on policies and country activities, a joint OECD – World
Bank service
OECD (2012)
Evaluation approaches require different amounts of
data – in order of increasing demand
◦ Case Studies
◦ Indicators-based frameworks, scorecards and benchmarking*
◦ Econometric approaches
◦ Regression discontinuity design, matching estimation,
difference-in-difference estimation
◦ Random field experiments
CCA(2013: 23)
* See Hollanders and Janz on scoreboards, in Gault (2013)
Level at which to evaluate
◦ Co-ordination level
◦ Sub-system
◦ Project
Support for evaluation (Authority)
Data
◦ Availability, quality, timeliness, relevance…
◦ Survey, administrative, case study, linked data sets, ….
Expansion of the subject (Gault 2012, 2013)
◦ Public sector innovation
◦ User innovation (Consumers)
◦ Social Innovation
◦ Constrained innovation ‘X innovation for Y’
X = inclusive, pro poor, frugal, ….
Y = development, sustainable development, wellbeing, growth, ….
Introducing more time scales.
Consider: Inclusive Innovation for Sustainable Development
T1: Oslo innovation looks at the last three years
T2: Inclusive requires measurement after the innovation, medium term
T3: Sustainable development requires measurement some time after the
innovation
Then comes the evaluation
With three time scales, how is the evaluation designed?
The policy is to support inclusive innovation for sustainable development◦ Instruments may include
Support for inclusive employment policies
Training of staff to accept the excluded group
Support for locating the firm in a an area populated by the excluded group….
◦ But only if there is innovation which
Includes the excluded group (how is that measured?)
◦ And
Is sustainable (how and when is that measured?)
CCA (2013), Innovation Impacts: Measurement and Assessment: The Expert Panel on the Socio-Economic Impacts on Innovation Investments, Ottawa: Council of Canadian Academies. www.scienceadvice.ca
Gault, Fred (2010), Innovation Strategies for a Global Economy, Development, Implementation, Measurement and Management, Cheltenham, UK and Northampton, MA, USA: Edward Elgar and Ottawa: IDRC.
http://www.idrc.ca/EN/Resources/Publications/Pages/IDRCBookDetails.aspx?PublicationID=45
Gault, Fred (2012), ‘User innovation and the market’, Science and Public Policy, 39, 118–128.
Gault, Fred (ed.) (2013), Handbook of Innovation Indicators and Measurement, Cheltenham, UK and
Northampton, MA, USA: Edward Elgar
OECD (2002), Frascati Manual: Proposed Standard Practice for Surveys on Research and Development, Paris: OECD.
OECD (2012), Meeting global challenges through better governance: International co-operation in science, technology and innovation, Paris: OECD. www.oecd.org/sti/stpolicy/governance
OECD/Eurostat (2005), Oslo Manual, Guidelines for Collecting and Interpreting Innovation Data, Paris: OECD.
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