4. Analysing, designing and monitoring explicit SITIpolicy instruments: A theoretical framework to organize the information in GO SPIN

Transcription

1 4. Analysing, designing and monitoring explicit SITIpolicy instruments: A theoretical framework to organize the information in GO SPIN

2 The structure of GO SPINanalytic units

3 Pathologies of instruments: policy implementation failures

4 Golden Rule for the implementation of SETIpolicies Policy or National Multiannual Plan Legal devices (for different sectors) Organizational structures different national ministries) Operational policy instruments (organized in a coherent way to generate synergies in order to obtain a particular long-term effect)

5 DESIGNING SETIPOLICIES AND SETIMULTIANNUAL NATIONAL PLANS

6 Decalogue for designing a SETI policy for sustainable development 1. Set objectives and goals of the SETIpolicy. 2. Set priorities at the strategic level of the SETIpolicy. 3. Set indicative planning strategies of the SETI policy. 4. Set normative planning strategies of the SETI policy. 5. Define what policies will govern the supply side of SETI(human and economic resources, capacity building, infrastructure). 6. Define what policies will govern the demand side of SETI(strengthening and fostering innovation through the productive and services sectors, IPRs, tax exemptions, etc.). 7. Define what policies will be established to promote networking between the supply and demand sides of SETI. 8. Define the regional and International dimensions of SETI policies. 9. Introduce prospective studies and future scenarios. 10. Define the milestones during a specific multiannual policy plan.

7 Priority setting for a SETI policy focused on solving specific societal issues Lemarchand (2005)

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9 What kind of innovation your country is capable to introduce? Technological capacity in Africa Lemarchand (2010)

10 How to design appropriate instruments to promote innovation? Acquisition of disembodied technology Lugones (2008)

11 SETILEGAL FRAMEWORK

12 SETILegal Framework The so-called legal framework might also be considered as a set of legal instruments or legal devices. This embodies the policy, or parts of it, in the form of a law, decree or regulation. Formal agreements, contracts and international SETIcooperation treaties may also be included in this category. A legal device goes one step beyond a policy by stipulating obligations, rights, rewards and penalties connected with its being obeyed.

13 EXAMPLES Examples A law for the creation of national research labs, universities, national research councils, ministry of S&T, R&D Funds, etc. or a legal framework to regulate the organization of the national innovation system. A law to regulate the imports/exports of high tech products A law to regulate tax incentives to promote innovation within the private sector A law to regulate foreign direct investments promoting the establishment of new high-tech enterprises. A law to regulate the protection of the national biodiversity and to establish norms on how foreign companies exploit the active substances available within each national territory (new rules for the protection of indigenous knowledge). Laws to foster R&D activities within the private sector and the creation of technological funds associated with the most strategic sectors of the economy (energy, mining, agriculture, industry, communication, fishing, tourism, etc.)

14 NATIONAL SCIENTIFIC, TECHNOLOGICAL AND INNOVATION ORGANIZATIONAL STRUCTURES

15 The first UNESCO inventory was published on 1950 and the last one on 1990

16 How robust is the SETI organizational structure to effectively promote research and innovation for sustainable development in the long-run?

17 Source: UIS Source: UIS Total Population: people. Total Area: 710 km 2 GDP (2012) in PPP USD : 1,630 granted patents per million inhabitants 2009: 1,961 WoS publications per million inhabitants Source: GO SPIN Source: ECLAC(2008)

18 The SETIorganizational structure or chart usually shows the distribution of responsibilities to implement the policy. Under the term organizational structure we may distinguish at least four different levels: 1. Policy planning level (policy design), 2. Promotional level (funding) 3. Implementation level (scientific research, technological development and productive innovation activities) 4. Assessment or evaluation level.

19 In order to estimate the evolution of the complexity of each national organisation chart against time we define a topological metrics

20 Temporal evolution of Brazil s SETI organization charts

21 2009 Relative Index (Value 2009=1) Index of Promoting Institutions Index of scientific publications per capita Index of energy comsumption per capita Index of GERD per capita 2012 UNESCO Division of Science Policy and Capacity Building / GO SPIN platform

22 SETIOPERATIONAL POLICY INSTRUMENTS

23 SETIoperational policy instruments The SETIoperational instruments are the levers, or actual means, through which the organizational structure ultimately implements the decisions on a day to day basis and attempts to obtain the desired effect on the variables the policy has set out to influence. Throughout the analysis of an instrument it is important to keep in mind the actors or key decision-makers who are directly involved in the design and use of a policy instrument. An instrument does not act on its own and responds to the will of the policy-makers and decision-makers using it. They induce and motivate individuals, groups, firms, institutions and organizations to behave in accordance with the guidelines and criteria established by the policies. They are the connecting link between the purpose expressed in a policy statement and its implementation in practice.

24 Typology of programmes and instruments in strategic areas (1)

25 Typology of programmes and instruments in strategic areas (2)

26 The cycle of returns incentives in Finland Source: ECLAC(2008)

27 Operational SETIpolicy instruments used to foster innovation at different stages

28 Operational SETIpolicy instruments used to foster innovation at different stages Source: ECLAC(2008)

29 Functional links between support programmes: the example of SMEs Source: ECLAC(2008)

30 The Argentine Technological Fund (FONTAR)

31 Main Sectoral Funds in Brazil (1)

32 Main Sectoral Funds in Brazil (2)

33 GO SPIN: GO-->SPIN: TYPOLOGY Typology OF of SETIPOLICY policy INSTRUMENTS instruments BY by OBJECTIVES objectives AND and GOALS goals a) Strengthening the production of new endogenous scientific knowledge. b) Strengthening the infrastructure of research laboratories in the public and private sectors. c) Human resources for research, innovation and strategic planning. Capacity-building, education and training of specialized human capital for (1) the production of new scientific knowledge; (2) development of new technologies; (3) promotion of innovation within the productive and services systems and (4) management of the knowledge society. d) Strengthening gender equality for research and innovation. e) Strengthening the social appropriation of scientific knowledge and new technologies. f) Development of strategic technological areas and new niche products and services with high added value. Promotion and development of innovation in the production of goods and services. Promotion of start-ups in areas of high technology. g) Promotion of the development of green technologies and social-inclusion technologies. h) Research and innovation eco-system: strengthening co-ordination, networking and integration processes which promote synergies among the different actors of the national scientific, technological and productive innovation system (i.e. government, university and productive sectors). i) Strengthening the quality of technology foresight studies to: assess the potential of high-value markets; develop business plans for high-tech companies; construct and analyse long-term scenarios and; provide consulting services and strategic intelligence. j) Strengthening regional and international cooperation, networking and promotion of SETI activities.

34 Source: Lemarchand (2011)

35 Source: Lemarchand (2011)

36 Source: Lemarchand (2010) Inter American Developing Bank (IADB): Strategies for the promotion of research and innovation in LAC

37 Second tour

38 TAKING A LOOK TO SPIN-LAC (the prototype)

39 Instruments pour les politiques de SITI Structure du système national de SITI Cadre juridique des SITI Instruments opérationnels de promotion des activités de recherche et de l innovation Catégories 1. Niveau de la prise de décisions 2. Niveau de la promotion (financement) 3.Niveau de la mise en œuvre 4. Niveau de l évaluation Inventaire Institutions, liens relationnels et description des grands programmes L organigramme est présenté sous forme normalisée, permettant de concevoir une «topologie des valeurs» pour mesurer le degré de complexité de chaque système national de STI et d en tirer à terme de nouveaux indicateurs de politiques. 1. Législation et instruments juridiques nationaux 2. Décrets 3. Réglementation 4. Accords internationaux 1. Organisés par buts et objectifs stratégiques 2. Organisés par type de dispositif ou d entité 3. Organisés par type de bénéficiaire Accès à des textes intégraux Classés selon 11 types de catégories/liste d instruments Classés selon 11 types de catégories/liste d instruments Classés selon 19 types de catégories/liste d instruments Chacun des instruments de STIest analysé selon les mêmes 12 dimensions, afin d assurer la comparabilité. Ils sont ensuite classés selon leurs buts et objectifs, le type de dispositif et le type de bénéficiaire.

40 Troisième tour

41 Merci!! Guillermo A. Lemarchand For further information on GO SPIN visit the following websites: YOU TUBE: GO-SPIN for Science Policy 2012.wmv