Diapositiva 1

1
Session 5. Improving the Use of Performance
Information for Resource Allocation in RD
Funding and Priority Setting
2
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 RD 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, RDI 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

3
National Strategy for Science and Technology
(ENCYT) (II)

• BASIC PRINCIPLES
• To place RDI at the service of citizens, social
  welfare and sustainable growth, with the full and
  equal integration of women in public life
• To make RDI a mean for enhancing business
  competitiveness
• To acknowledge and promote RD as a key factor
  for creating new knowledge

4
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 RDI
  investment enhancing public funding
  transparency, enacting legislation in favour of
  developing ST, 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.

5
The National Plan RDI 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 RDI 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.

6
National Plan RDI 2008-2011 Structure (I)

• The 6th National Plan for Scientific Research,
  Development and Technological Innovation (RDI)
  for the period 2008-2011 present an structure
  based on four areas
• Knowledge Generation and Capability Building Area
• Area for Promoting Cooperation in RD
• Sectoral Development and Technological Innovation
  Area
• Strategic Actions Area
• The National Plan RDI 2008-2011 provides a set
  of instruments grouped in six Instrumental
  Strands of Action (ISA)
• Human Resources
• RDI Projects
• Institutional Strengthening
• Science and Technology Infrastructures
• Knowledge Use and Technological Transfer
• Articulation and Internationalisation of the
  System

7
National Plan RDI 2008-2011 Structure (II)

• The National Programmes are the major
  instrumental actions in this 6th National Plan.
  There are thirteen National Programmes
• 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 RD

8
National Plan RDI 2008-2011 Indicators
objectives (I)
INDICATORS 2011
Gross domestic expenditure on RD (in of GDP) 2,2
Expenditure on RD by the business sector ( of the total) 60,4
Expenditure on RD funded by the business sector ( of the total) 55
Expenditure on innovation (in of the GDP) 3
National Budget RDI 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 RD 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
9
National Plan RDI 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 RDI.
• To foster science and technology culture.

10
Integral Monitoring and Evaluation System (SISE)
Monitoring instrument for public policies on RD
(I)
DEFINITION

• The Integral Monitoring and Evaluation System
  (SISE) is a tool designed for controlling the
  management of public funding RDI 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 RDI
  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 RD 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.

11
Integral Monitoring and Evaluation System (SISE)
Monitoring instrument for public policies on RD
(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.

12
Integral Monitoring and Evaluation System (SISE)
Monitoring instrument for public policies on RD
(IV)
EVALUATION ACTIVITIES

• Ex ante evaluation for selecting proposals
  stemming from funds for promoting RDI 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.

13
Integral Monitoring and Evaluation System (SISE)
Monitoring instrument for public policies on RD
(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 RD activities.
• Availability and evolution of the human resources
  and materials.
• Spains 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 RD 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.

14
Integral Monitoring and Evaluation System (SISE)
Monitoring instrument for public policies on RD
(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 RDI, 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 decision-making
  processes of the political powers.

15
RDI 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

16
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

17
Working Program Funds Distribution in 2008
18
Working Program Funds Distribution in 2008
19
Working Program Funds Distribution in 2008