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 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

National Plan RD&I : Structure (I) The 6th National Plan for Scientific Research, Development and Technological Innovation (RD&I) for the period present an structure based on four areas: 1.Knowledge Generation and Capability Building Area 2.Area for Promoting Cooperation in R&D 3.Sectoral Development and Technological Innovation Area 4.Strategic Actions Area The National Plan RD&I provides a set of instruments grouped in six Instrumental Strands of Action (ISA): 1.Human Resources 2.RD&I Projects 3.Institutional Strengthening 4.Science and Technology Infrastructures 5.Knowledge Use and Technological Transfer 6.Articulation and Internationalisation of the System

National Plan RD&I : Structure (II) The National Programmes are the major instrumental actions in this 6th National Plan. There are thirteen National Programmes: 1.Human Resource Education and Training 2.Human Resource Mobility 3.Human Resource Recruitment and Engagement 4.Fundamental Research Projects 5.Applied Research Projects 6.Experimental Development Projects 7.Innovation Projects 8.Institutional Strengthening 9.Science and Technology Infrastructures 10.Technology Transfer, Appraisal and Promotion of Technology-Based Enterprises 11.Networks 12.Public-Private Partnership 13.Internationalising R&D

National Plan RD&I : Indicators & objectives (I) INDICATORS2011 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 (%) 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 GDP0,035 (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 : 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) 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 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. DEFINITION

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. 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 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 decision- making processes of the political powers.

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 R&D&I Activities Working Program

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 Contents

Working Program Funds Distribution in 2008