黄金皓月补丁!第四章.ppt

1,Session 5. Improving the Use of Performance Information for Resource Allocation in R&D: Funding and Priority Setting From the Central Budget Authoritys Perspective,Nowook Park Center for Performance Evaluation & Management Korea Institute of Public Finance (KIPF),2,Contents,Performance information of R&D in Korea Issues on performance information of R&D Use of PI for resource allocation in R&D in Korea Issues on the use of PI for resource allocation in R&D,3,1. Performance information of R&D in Korea,4,R&D Performance Evaluation System in Korea,Law for R&D program performance evaluation and management was enacted in 2005 Three evaluation systems Program review process (Self-Assessment) 164 programs are evaluated for 2007s performance Evaluation process for selected programs Long-term program, big program, duplicative programs etc 27 programs are evaluated for 2007s performance Evaluation on public research institute 32 institutes are evaluated for 2007s performance Feasibility study on big R&D programs Programs with more than $ 50 million budget,5,Performance Information of R&D Programs,Information from program reviews Based on checklist Contents of checklist Program purpose Program design Program management Performance plan Results (mostly based on performance indicators) Feedback,6,Performance Indicators of R&D,For the sake of line ministries, pools of PI for 28 program types are provided 28 programs are based on program purpose and utilization of program outputs Program purposes are classified into 4 categories R&D, HR development, international cooperation and infrastructure development Utilization of program outputs is divided into 7 categories Knowledge promotion (basic and applied) Industrial development (short-term, medium/long-term development) Public and social welfare (public service, public health and social welfare, region),7,2. Issues on performance information of R&D,8,Issues on Performance Information of R&D,Hard to develop relevant performance information Results are realized in long term Sometimes even establishing milestone indicator is not easy, because the process is not certain ex ante Hard to evaluate R&D programs based on indicators Peer reviews are widely used method Expertise, balance and independence are required Need to find optimal mix of expert judgment and alternative method,9,Issues on Performance Information of R&D in Korea,PI from evaluation process is based on checklist Evaluation on program results heavily relies on performance indicators Cost-benefit indicators are rarely adopted in the evaluation process, even though they suggested in the PI pool Hard to come up with relevant information Establishing reliable peer review process is hard Existence of strong social ties among scientists tends to hinder objective evaluation process Influences from line ministries may exist,10,3. Use of PI for R&D resource allocation in Korea,11,Overview of R&D Resource Allocation in Korea,Korea becomes 8th country whose R&D spending exceeds $10 billion in 2008 Ratio of R&D spending to total government spending is 4.7% in 2008 Based on “National R&D Program Total-Road Map”, strategic resource allocation occurred Increased spending on small scale basic research by individuals Increased ratio of spending on the areas where spillover effects are big Biotechnology, Energy, Basic research Decreased ratios of spending on the area where private sectors capability is mature Machinery, IT and electronics,12,Changes of R&D Budget Process in Korea (1),National Science and Technology Council (NSTC) was established in 1998 Centralized budget process for R&D Previously there was no systematic budget process for R&D programs Science and Technology Innovation Bureau within Ministry of Science and Technology was established in 2004 Has authority of budget allocation of R&D programs Central budget authority usually accepted the budget proposal from Science and Technology Innovation Bureau with little modification,13,Changes of R&D Budget Process in Korea (2),Ministry of Strategy and Finance takes over the authority of budget allocation for R&D programs in 2008 Science and Technology Innovation Bureau was abolished with the inception of New Administration Implies strengthening the role of the central budget authority in R&D budget allocation Expect more active use of performance information for R&D budget allocation,14,Strategic Resource Allocation of R&D,R&D is one of 14 areas in National Fiscal Management Plan (Medium Term Expenditure Framework) For FY 2008, strategic resource allocation is based on “National R&D Program Total-Road Map” Role of PI in strategic resource allocation appears to be limited,15,Resource allocation among R&D Programs,PI from existing R&D evaluation systems are not actively utilized in budget allocation so far However, as the authority of resource allocation is transferred to the central budget authority, more active use of PI is expected Evaluated as lower 10% of programs in each line ministry will be in danger of 10% budget cut,16,4. Issues on Using PI for Resource Allocation in R&D,17,Use of PI for R&D Resource Allocation,Strategic resource allocation Resource allocation among different areas, such as education, defense, R&D and so on Resource allocation among R&D programs pursuing different goals Resource allocation among R&D programs pursuing similar goals Resource allocation among R&D programs within spending ministries/agencies,18,Issues on the Use of PI for Strategic Resource Allocation in R&D,Strategic plan and PI should be consistently integrated PI at the national level may give rough signals for strategic resource allocation when it is combined with other considerations It is not easy to use PI to set the priority among different areas, such as education, defense, R&D and so on Other factors may play a bigger role,19,Issues on the Use of PI for Resource Allocation for R&D Programs,Selecting appropriate units for evaluation is important to use PI for setting the priority among R&D programs pursuing similar goals Identifying programs pursuing similar goals is the first step Program review process may facilitate the process Crosscut analysis can be used for resource allocation