Transcript Session 5. Improving the Use of Performance Information for Resource Allocation in R&D: Funding and Priority Setting.

Session 5. Improving the Use of Performance
Information for Resource Allocation in R&D:
Funding and Priority Setting
National Strategy for Science and Technology (ENCYT) (I)
The National Strategy for Science and Technology (ENCYT) was elaborated by the
Spanish Government in 2006, as the backbone and the integration mechanism for
the main guidelines that should govern research and innovation policies and
programmes.
The ENCYT is the reference framework for future National and Regional R&D Plans
and its temporary horizon is 2015
This strategy stems from experience gained from previous National Plans and the
outcomes of the INGENIO 2010 initiative, which has given major impetus to science
and technology in Spain.
The ENCYT is an element of consensus: it has been drawn up in conjunction with
the key players in the Spanish Science and Technology System, representing the
State Government, the Regional Autonomous Communities, R&D&I actors (scientists
and technical experts), social partners (unions and employers), etc. After being
agreed by the Interministerial Commission for Science and Technology (CICYT) and
after being adopted at the Conference for Presidents of Autonomous Communities in
January 2007
National Strategy for Science and Technology (ENCYT) (II)
BASIC PRINCIPLES:
 To place R&D&I at the service of citizens, social welfare and sustainable growth,
with the full and equal integration of women in public life
 To make R&D&I a mean for enhancing business competitiveness
 To acknowledge and promote R&D as a key factor for creating new knowledge
National Strategy for Science and Technology (ENCYT) (III)
STRATEGIC GOALS
 To put Spain at the forefront of knowledge: fostering stability and mobility within the System,
fostering international cooperation networks, promoting consolidated research groups and scientific
organisations of excellence.
 To promote a highly-competitive business sector: stimulating the start-up of new technology-based
enterprises and public-private cooperation agreements, enhancing the research outcomes transfer to the
production System.
 To integrate the regions within the Science and Technology System: active coordination and
cooperation of information exchange, common funding instruments and shared participation modalities in
the National Plan.
 To boost the international scope of the Science and Technology System: coordinating policies,
establishing incentives to participate in the Framework Programme, helping research staff access to
international projects and networks.
 To create a favourable climate for R&D&I investment: enhancing public funding transparency,
enacting legislation in favour of developing S&T, new formulas for knowledge transfer, encouraging science
and technology sponsorship in the private sector.
 To establish suitable conditions for disseminating science and technology: creating new
communication formats that meets public demands, stimulating citizens’ entrepreneurial skills and
attitudes, setting up forums and awarding prizes to promote interest in science.
The National Plan RD&I – The Science Law
The Science Law is the keystone of the Spanish Science and Technology System
(SECYT) and it went into force in 1986: Law 13/1986 for General Coordination and
Promotion of Scientific and Technological Research.
The Science Law defined the Spanish Science and Technology System (SECYT) and is
the framework to provide with legal status and competitions to the public research
organisations (PROs), and launched the National Plan as an instrument for research
activity planning at a national level in a medium-term period.
The 6th National Plan RD&I 2008-2011 is the programming instrument of the Spanish
Science and Technology System in which the medium-term objectives of and priorities
for research, development and innovation, as defined in the Science Law. The 1st
National Plan was adopted in 1988 for the four-year period 1988-1991.
National Plan RD&I 2008-2011: Structure (I)
The 6th National Plan for Scientific Research, Development and Technological
Innovation (RD&I) for the period 2008-2011 present an structure based on four
areas:
1.
2.
3.
4.
Knowledge Generation and Capability Building Area
Area for Promoting Cooperation in R&D
Sectoral Development and Technological Innovation Area
Strategic Actions Area
The National Plan RD&I 2008-2011 provides a set of instruments grouped in six
Instrumental Strands of Action (ISA):
1.
2.
3.
4.
5.
6.
Human Resources
RD&I Projects
Institutional Strengthening
Science and Technology Infrastructures
Knowledge Use and Technological Transfer
Articulation and Internationalisation of the System
National Plan RD&I 2008-2011: Structure (II)
The National Programmes are the major instrumental actions in this 6th National
Plan. There are thirteen National Programmes:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
Human Resource Education and Training
Human Resource Mobility
Human Resource Recruitment and Engagement
Fundamental Research Projects
Applied Research Projects
Experimental Development Projects
Innovation Projects
Institutional Strengthening
Science and Technology Infrastructures
Technology Transfer, Appraisal and Promotion of Technology-Based Enterprises
Networks
Public-Private Partnership
Internationalising R&D
National Plan RD&I 2008-2011: Indicators & objectives (I)
INDICATORS
2011
Gross domestic expenditure on R&D (in % of GDP)
2,2
Expenditure on R&D by the business sector (% of the total)
60,4
Expenditure on R&D funded by the business sector (% of the total)
55
Expenditure on innovation (in % of the GDP)
3
National Budget R&D&I expenditure programme Chapters I-VII/% of total NB Total number of researchers (per thousand working
population)
1,7
Researchers in the business sector (% of the total) Annual PhD graduates (in number)
42,8
Quota of scientific production in respect of world total (%)
10.470
Scientific production in international collaboration (%)
3,6
Economic return Spanish participation in EU R&D FP(1) (%)
7,1
Patent applications at the EPO(2) (per million inhabitants)
96
Innovative enterprises in respect of total enterprises (%)
37,8
IEs(3) that have partnered with universities, public research bodies or technology centres out of total IEs that have worked in
partnerships (%)
62,5
Investment in venture capital at initial stages, as % of GDP
0,035
(1) FP: Framework Programme
(2) EPO: European Patent Office
(3) IEs: Innovative enterprises or enterprises with innovations underway or that have been unsuccessful
National Plan RD&I 2008-2011: Indicators & objectives (II)
The Plan has the following aims:
• To place Spain at the forefront of knowledge.
• To promote a highly competitive business community.
• To develop an all-inclusive science, technology and innovation policy; the
involvement of regional spheres in the science and technology system.
• To advance in the international dimension as a basis for the qualitative leap
forward by the system.
• To achieve an environment favourable to investment in R&D&I.
• To foster science and technology culture.
Integral Monitoring and Evaluation System (SISE): Monitoring instrument for public
policies on R&D (I)
DEFINITION
The Integral Monitoring and Evaluation System (SISE) is a tool designed for
controlling the management of public funding RD&I programmes, making them more
transparent and publicising the activities, to give the general public and Spanish
society a better understanding of the activities being financed with public funds.
The SISE is integrated in the National Plan RD&I 2008-2011 as a mechanism for
following up and evaluating research and innovation policies and is characterised by
incorporating the ex-post evaluation of the results of the R&D programmes into the
ongoing evaluation processes that every public policy should be subjected to, in
order to review current activities and identify the need for new initiatives.
Integral Monitoring and Evaluation System (SISE): Monitoring instrument for public
policies on R&D (II)
MAIN GOALS
To establish a logical framework capable of linking, on a rational, global and
hierarchical basis, the goals set out in the National Plan with the instruments
identified for achieving them.
To put in place a monitoring and evaluation system that covers administrative
aspects as well as technical and strategic aspects.
To identify a battery of indicators for each instrument that enables a simple
analysis to be made of the degree of achievement of the goals established and
assessment of the outcomes and their impact on the Spanish science and technology
system.
Integral Monitoring and Evaluation System (SISE): Monitoring instrument for public
policies on R&D (IV)
EVALUATION ACTIVITIES
• Ex ante evaluation: for selecting proposals stemming from funds for promoting RD&I
through public calls for proposals, on the basis of criteria of science and technology
excellence, as described in more detail in the section on National Plan management
• Ongoing evaluation: by installing annual questionnaires and monitoring the management of
the National Plan and the activities funded, the outcomes of which are contained in the
annual monitoring report and in the activity report of the Plan which will be produced by the
CICYT (Interministerial Commission for Science and Technology) every year and submitted to
Parliament. The system should provide information about administrative aspects (number of
projects applied for and approved, type of agents participating, authorised budget, etc.), and
monitor the results anticipated in the funding applications (number of publications, patents,
etc.) and the outcomes of each individual proposal.
• Ex post evaluation: the information will be incorporated into the SISE tool using telematic
means, enabling immediate online use. By computerising the final outcomes of the projects, it
will be possible to apply criteria of productivity, additionality, efficiency and effectiveness to
science and technology policy, and a Results Evaluation Programme (PROEVAR) will be
elaborated.
Integral Monitoring and Evaluation System (SISE): Monitoring instrument for public
policies on R&D (V)
ANALYSIS OF ACTIVITIES
The system should enable the following analyses, among others, to be made:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Reflection of the public and private effort made to perform R&D activities.
Availability and evolution of the human resources and materials.
Spain’s participation in international programmes.
Degree of cooperation between research centres.
Scientific production and its quality.
Recognition and exploitation of the scientific results.
Production of patents and utility models, paying special attention to European patents.
Visibility and impact of the R&D activities.
Productivity (in terms of added value).
Royalty revenues and payments and income from intangible property.
Imports and exports.
New technology-based enterprises, NTBE.
Number of projects in cooperation.
Subcontracting of knowledge-provider agents (universities,
PROs, technology centres) by companies.
Number of multidisciplinary projects in cooperation.
Integral Monitoring and Evaluation System (SISE): Monitoring instrument for public
policies on R&D (VI)
MONITORING INDICATORS
• Another noteworthy function of the SISE is that it enables monitoring the indicators
used internationally to measure science and technology capabilities, with special
reference to the indicators associated with the strategic goals of the National Plan
RD&I, INGENIO 2010 and the National Strategy for Science and Technology (ENCYT).
Availability and evolution of the human resources and materials.
• Analysing general indicators of the National Plan, INGENIO 2010 and the ENCYT, as
well as of the evaluation of the activities started up under them, should act as a
tool for defining and putting forward proposals for new activities and funding and
base mechanisms for the ad hoc supply of any information needed for the decisionmaking processes of the political powers.
R&D&I Activities Working Program
Dynamic update of the actions programmed through the National Plan:
National Programs
Strategic Actions
Management competences and funds allocation for National Programs and
Strategic Funds
Actions’ annual schedule
Tool for a proper coordination of every actions:
Of the mangement units at the national level
Of the national level with the Autonomous Regions
Contents
Novelties of the Plan
Structure
Funding
Management
Co-funding mechanisms between the National Government and the Regional Governments
Description of actions
Instrumental Strands of Action
Global Plan for Popular Science and Technology
Strategic Ations
Mangement competences
Management bodies
Funding
Calls’ schedule
Beneficieries’ Distribution
Identification of Actions
Working Program Funds Distribution in 2008
Total budget distribution per financial aid (%)
Subsidies
35,4
Loans
64,6
Working Program Funds Distribution in 2008
Total budget distribution per M inistry (%)
MMA
0,62
MSC
3,49
MVIV
0,04
MEC
45,33
MITYC
47,55
MFOM
2,97
Working Program Funds Distribution in 2008
Total budget distribution per type of action (%)
Others
30,5
PICODI
0,1
Foreign Affairs
16,2
ISAs
53,2