Technology Assessment(TA) in Japan: Experiences and Future Prospects for Institutionalization

Tatsujiro Suzuki, Go Yoshizawa, Hideaki ShiroyamaI2TA (Innovation and Institutionalization of Technology Assessment in Japan) ProjectGraduate School of Public PolicyThe University of Tokyo tatsu@pp.u-tokyo.ac.jpThis research project is sponsored by Research Institute for Science and Technology for Society (RISTEX), Japan Science and Technology Agency (JST). The project is coordinated by Science, Technology and Public Policy (SciTePP) Research Unit, Graduate School of Public Policy (GRASPP), the University of Tokyo

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Objective of the Project• To review and analyze the past and current

practice of technology assessment （ TA), and identify the barriers of institutionalization of TA in Japan.

• To develop an innovative TA technique applying the Problem Structuring Method and test its effectiveness through implementing TA for nanotechnologies.

• To propose innovative approaches to, as well as techniques for, the TA that is appropriate for the 21st century and a recommendation for their institutionalization in Japan.

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（１） Historical Analysis of so-called

“TA” activities in Japan

（２ )Development of an innovative TA methodology

（３ ) Implementation of TA: Dealing with Nanotechnologies

（４） Recommendations for new TA methodologies and Institutionalization of TA in Japan

New methodology

Research Approach

Lessons learned from Implementation of TA

Conditions for “institutionalizing TA”

in Japan We are Here!!

Functions of TA

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Provide “Bird-view” of broad societal Impact of Technology

Have dialogue and deliberation with diversified experts stakeholders, and citizens

Present Emerging Issues and Possible options to deal with them

TA Activities: Objectives and Participants

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Issue conceptualisation Decision-Oriented

Experts

Public

Stakeholders

Present future options andsolutions

Deliberate possible options and solutions

Deliberate and explore possible issues

Analyze and present problems and issues

TA Processes

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Agenda Setting Assessment Outreach

• Selection of Technology• Problem(issue) definition• Identifying Stakeholders

• Scoping• Identifying Options• Assessments• Present and compare possible options• Recommendations

• Communication with stakeholders• Publication• Link with social decision• Sharing of knowledge

AB C

I2TA Pilot Studies: Summary0. MWCNT mini-TA project (Type B-C)

▫ Limited scope with quick output1. Nano DDS Group (type B)

▫ “What are the issues associated with introduction of nano-DDS?”

▫ 3 panels (experts/stakeholders) will write reports2. Food Nanotechnology (type B-C)

▫ “How to disclose and disseminate information on food nanotechnologies?”

▫ Inventory of products, WS with consumer advisors3. Nano-Green (Eco-Housing) (type A)

▫ “What are potential needs of future housing and how can nanotechnologies meet such needs?”

▫ “Needs meet Seeds” WS with public/experts

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TA Activities: I2TA pilot projects

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Issue conceptualisation Decision-Oriented

Experts

Public

Stakeholders

Nano DDS

Food NanotechNano-Green

ＭＷＣＮＴ

Lessons/Experiences from Pilot TA Projects

• Agenda Setting is probably the most difficult task (without having a specific client)▫“Issues” in “food nanotech” project have been redefined

• Choosing “addressee” is another important task▫Hard to write a report without knowing “addressee”

• Need independent oversight over the process▫Established both internal/external auditors(advisors)▫How to establish “legitimacy” of TA?

• Outreach activities need to be emphasized more▫Create new leaflet, Newsletter, and new web-site

• Secure future funding is essential to keep expertise▫Applied for government competitive funding

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Historical Lessons :Summary• Institutional Problem:

▫ Ad-hoc assessments (not institutionalized, not named as TA) ▫ Sectionalism hindered TA practice with comprehensive views▫ Public officers attempted to establish a TA institution in the

Diet, but failed by a disconnection between stakeholders’ incentives.

• Methodological problem – “system” approach was dominant.▫ Often confused TA with technology foresight and R&D

evaluation▫ Sticking to a hard systems (‘total system’) approach made it

difficult to obtain significant outcome▫ Lack of efforts in involving wider stakeholders

• Process problem –ineffective link with policy process.▫ Lack of interests in careful agenda setting and options▫ High quality but not well linked with policy making process▫ Not carefully designed how the result is used.

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KEY QUESTIONS TO BE ANSWERED• How do you set the agenda (theme)?• Who will provide funding (stably)? • Who will conduct TA(who are the authors)?• How to establish legitimacy/independence?• How to enhance effectiveness of TA (link with social

decision)?

•What kind of institutional arrangements should work best?

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Organizational Variations in US/Europe • Parliament – OTA: US, POST: UK, OPECST:

France, TAB: German, viWTA: Flemish, STOA: European Parliament

cf. Distinguishing from the parliamentary library service

• Administrative body – DBT: Denmark• Private sectors (1) Academy of Sciences such as the NRC: US, the

Rathenau Institute: Netherlands, TA-SWISS, ITA in Austria

(2) Public interest groups such as the Woodrow Wilson Center: US

(3) Universities such as the Center for Nanotechnology in Society in Arizona State University

(4) Advocacy groups(5) Collaboration between private firms and NGOs –

Ex. Environmental Defense - DuPont Nano Partnership Program

Possible Institutional Options in Japan

1. Government ▫ Parliamentary Organization (including Diet

library)▫ Governmental Agency (CSTP or Sector Ministries)▫ Local Governments

2. Quasi-Government or▫ Japan Science Technology Agency (RISTEX, etc.)

3. Independent Agency▫ SCJ (Science Council of Japan)

4. Non-governmental Institutions▫ University or academic institution▫ Business Association▫ NGO▫ Possibility of international TA?- Collaboration with

international framework• Network of fragmented TA

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Third Generation (3G) of TA?- Based on distributed governance•First Generation(70s-80s): US-OTA model

▫Parliamentary-centered▫Expert panel with variety of stakeholders▫Policy oriented, highly technical, authored by OTA▫Early Warning to Strategic Assessment

•Second Generation: (90s~)EU-model▫Variety of institutional arrangements (but still

associated with parliament and governments)▫Public participation with broader agenda-setting

TA (authored by citizen panel) with democratic process

▫Precautionary assessment to Constructive TA

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Third Generation (3G) of TA?•Third Generation: (2000~?) already emerging....

▫“Distributed Governance” with collective knowledge Not necessarily associated with government

institutions To meet rapidly changing societal and technological

change Need both “real-time” as well as “constructive” TA

with broad inputs▫New digital technologies may facilitates

interaction of variety of “intermediate actors” (business, NGOs, consumer groups, local governments etc.)

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Comparison of 1st, 2nd, and 3G TA

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Source: G. Yoshizawa,” Third Generation of Technology Assessment (3G-TA): Expectations for Japanese activities” (2009)

First Generation Second Generation Third Generation

Time Since 1970s Since 1990s Since 2000 (emerging)

Leading region United States Europe n/s (incl. Japan?)

Institution Parliament-centered

(Government)

Parliament-related

(Governance)

Collaborative

(Distributed governance)

Key participants Experts Selected citizens Intermediate actors as

well as general public

Guarantee of

legitimacy and

credibility

Expertise Democratic Process Societal Verification

Approach Early warning to

Strategic

Precautionary to

Constructive

Real-time and

Communicative

Methods Technical/Analytic Social/Deliberative Mixed (with ICTs)

Resources Expert Local Existing

TA Activities: Objectives and Participants

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Issue conceptualisation Decision-Oriented

Experts

Public

Stakeholders

1 G TA

2 G TA

3 G TA

3 G TA

2 G TA

Possible 3G TA model?• “GoodGuide” web site

provides product ratings of more than 70,000 consumer products online.

• “GoodGuide provides the world's largest and most reliable source of information on the health, environmental, and social impacts of the products in your home.”

• http://www.goodguide.com/

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Why 3G fits with Japan (or anywhere else)?1. 3G TA provides new institutional options

▫ Not only governmental/parliamentary institutions, 3G TA can diversify institutional options

2. Collaborative nature of 3G TA may fit with Japan’s social and political culture

▫ Less confrontational, mutually constructive nature

▫ “hard system” plus “soft system”

3. Effective inputs into social decision making

▫ Feedback mechanism for “agenda setting” and “social decision” with a help from ICT

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Future Issues• How to design the process under diversified societal

needs?▫ The process design for agenda setting needs to be further

studied

• How to secure stable funding?▫ 3G TA may provide diversified funding opportunities, but still

need public/stable funding

• How to secure the “independent” characteristics of TA institution?▫ How to design “independent” and “unbiased” TA institution?▫ What is the expertise of TA (with collective and collaborative

knowledge base)? How to secure the human resource?

• How to enhance impact of outreach activities?▫ Need to be recognized well with high prestige▫ Need to work with newly emerging policy making process in

Japan

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REFERENCES: Survey of EU/US TA Institutions

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Sponsors • Closely corresponding to the organizational

affiliation• TA organizations set in the private sector have

various financial resources• The Netherlands, the Ministry of Education,

Culture and Science • The U.S. 21st Century Nanotechnology R&D Act

of 2003 • NRC in the US is also sponsored mainly by the

federal government• Wilson Center in the US has one third of their

fund coming from the Congress

Member of the Steering Committee •Members of parliament (MPs) only: OTA,

OPECST, German committee in charge of TAB, and STOA

•MPs and external experts: POST, viWTA•Only external experts: the Rathenau

Institute, DBT, TA-SWISS and ITA

Implementing body • MPs undertake TA exercises by themselves:

OPECST• Staff in TA organizations conducts TA and takes

authorship of TA reports: OTA, POST, Rathenau and ITA

• External experts in the committee take authorship of TA reports: NRC

Cf. DBT: Various experts and stakeholders participating in the cross disciplinary working groups write report by themselves

• Contracting out to external organizations: STOA, German TAB

Addressee •Parliament: OTA, POST, OPECST, TAB•Administrative agency: the early days of

the Netherlands Office of Technology Assessment (NOTA)

cf. NOTA (then Rathenau) started reporting to the parliament as well - DBT of Denmark, ITA of Austria

•Citizens and general public: the Rathenau Institute in 1994, DBT, viWTA

Operational issues • Eyes on the political structure and culture:

different attitudes toward “independence” : OTA (Congressional control) vs. Academy of Sciences (scientific independence) vs. DBT (political balance)

• Process of the introduction: the utilization of Experimental periods and events

• TA Methods: from early warning to participation cf. Stakeholders involvement (OTA, Rathenau) vs.

joint fact finding (DBT)• TA Practitioners’ Competence and Educational

Support for Them – networking capacity cf. AAAS Science & Technology Policy Fellowship • Quality control – internal/ open process vs. peer

reviews