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1、1Session 5. Improving the Use of Performance Information for Resource Allocation in R&D: Funding and Priority SettingFrom the Central Budget Authoritys PerspectiveNowook ParkCenter for Performance Evaluation & ManagementKorea Institute of Public Finance (KIPF)2Contents1.Performance information of R&
2、D in Korea2.Issues on performance information of R&D3.Use of PI for resource allocation in R&D in Korea4.Issues on the use of PI for resource allocation in R&D31. Performance information of R&D in Korea4R&D Performance Evaluation System in KorealLaw for R&D program performance evaluation and managem
3、ent was enacted in 2019lThree evaluation systemslProgram review process (Self-Assessment)l164 programs are evaluated for 2019s performancelEvaluation process for selected programslLong-term program, big program, duplicative programs etc l27 programs are evaluated for 2019s performancelEvaluation on
4、public research institutel32 institutes are evaluated for 2019s performancelFeasibility study on big R&D programs lPrograms with more than $ 50 million budget5Performance Information of R&D Programs lInformation from program reviewslBased on checklist lContents of checklistlProgram purposelProgram d
5、esignlProgram managementlPerformance planlResults (mostly based on performance indicators) lFeedback 6Performance Indicators of R&DlFor the sake of line ministries, pools of PI for 28 program types are providedl28 programs are based on program purpose and utilization of program outputslProgram purpo
6、ses are classified into 4 categorieslR&D, HR development, international cooperation and infrastructure developmentlUtilization of program outputs is divided into 7 categorieslKnowledge promotion (basic and applied) lIndustrial development (short-term, medium/long-term development)lPublic and social
7、welfare (public service, public health and social welfare, region)72. Issues on performance information of R&D8Issues on Performance Information of R&DlHard to develop relevant performance informationlResults are realized in long termlSometimes even establishing milestone indicator is not easy, beca
8、use the process is not certain ex antelHard to evaluate R&D programs based on indicatorslPeer reviews are widely used methodlExpertise, balance and independence are requiredlNeed to find optimal mix of expert judgment and alternative method9Issues on Performance Information of R&D in KorealPI from e
9、valuation process is based on checklistlEvaluation on program results heavily relies on performance indicatorslCost-benefit indicators are rarely adopted in the evaluation process, even though they suggested in the PI poollHard to come up with relevant informationlEstablishing reliable peer review p
10、rocess is hard lExistence of strong social ties among scientists tends to hinder objective evaluation processlInfluences from line ministries may exist103. Use of PI for R&D resource allocation in Korea 11Overview of R&D Resource Allocation in KorealKorea becomes 8th country whose R&D spending excee
11、ds $10 billion in 2019lRatio of R&D spending to total government spending is 4.7% in 2019lBased on “National R&D Program Total-Road Map, strategic resource allocation occurredlIncreased spending on small scale basic research by individualslIncreased ratio of spending on the areas where spillover eff
12、ects are biglBiotechnology, Energy, Basic researchlDecreased ratios of spending on the area where private sectors capability is maturelMachinery, IT and electronics 12Changes of R&D Budget Process in Korea (1)lNational Science and Technology Council (NSTC) was established in 2019lCentralized budget
13、process for R&DlPreviously there was no systematic budget process for R&D programsl Science and Technology Innovation Bureau within Ministry of Science and Technology was established in 2019lHas authority of budget allocation of R&D programslCentral budget authority usually accepted the budget propo
14、sal from Science and Technology Innovation Bureau with little modification13Changes of R&D Budget Process in Korea (2)lMinistry of Strategy and Finance takes over the authority of budget allocation for R&D programs in 2019lScience and Technology Innovation Bureau was abolished with the inception of
15、New AdministrationlImplies strengthening the role of the central budget authority in R&D budget allocationlExpect more active use of performance information for R&D budget allocation14Strategic Resource Allocation of R&DlR&D is one of 14 areas in National Fiscal Management Plan (Medium Term Expendit
16、ure Framework)lFor FY 2019, strategic resource allocation is based on “National R&D Program Total-Road MaplRole of PI in strategic resource allocation appears to be limited15Resource allocation among R&D ProgramslPI from existing R&D evaluation systems are not actively utilized in budget allocation
17、so farlHowever, as the authority of resource allocation is transferred to the central budget authority, more active use of PI is expectedlEvaluated as lower 10% of programs in each line ministry will be in danger of 10% budget cut164. Issues on Using PI for Resource Allocation in R&D17Use of PI for
18、R&D Resource AllocationlStrategic resource allocationlResource allocation among different areas, such as education, defense, R&D and so onlResource allocation among R&D programs pursuing different goalslResource allocation among R&D programs pursuing similar goals lResource allocation among R&D prog
19、rams within spending ministries/agencies18Issues on the Use of PI for Strategic Resource Allocation in R&DlStrategic plan and PI should be consistently integratedlPI at the national level may give rough signals for strategic resource allocation when it is combined with other considerationslIt is not
20、 easy to use PI to set the priority among different areas, such as education, defense, R&D and so onlOther factors may play a bigger role19Issues on the Use of PI for Resource Allocation for R&D ProgramslSelecting appropriate units for evaluation is important to use PI for setting the priority among
21、 R&D programs pursuing similar goalslIdentifying programs pursuing similar goals is the first steplProgram review process may facilitate the processlCrosscut analysis can be used for resource allocation if relevant PI is available for each programlUsing PI for setting priority among programs pursuin
22、g different goals is not easylUse of PI for management improvement is feasiblelUse of PI for resource allocation is more complicated20Issues on the Use of PI for R&D Resource Allocation in KorealPI has not been systematically used in strategic resource allocationlUse of PI in the national fiscal man
23、agement plan need to be improvedlMore active use of PI for resource allocation is expected but it remains to be seen how effective it will belSo far, the focus is given to resource allocation within each spending ministrylUniform criteria may be adopted to strengthen use of PI21Thank You!7NaReUiYl$p
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