consejo superior de investigaciones científicas instituto de políticas y bienes públicos (ipp) 1...
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1Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
The emerging role of Public-private partnerships in Spanish
S&T and innovation policies
Luis Sanz-Menéndez
Ministry of Education and ScienceCSIC Institute for Public Goods and Policies
OECD Working Party of Senior Budget OfficialsSymposium on Evaluating Innovative Approaches to Public Service DeliveryMadrid, 30-31 October 2007
2Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Outline of the presentation PPPs in the context of Research and Innovation Policies Features of the research and innovation system Former PPPs initiatives prior 2004 OECD Review of the PPPs in Spain (2004) Background and rationales for new PPPs Responses to the OECD Review: CENIT
3Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
The “context” of research and innovation policies confronting PPPs
Evolution and changing targets of science, technology and innovation policies Research direct performance Mission oriented and applied technologies Indirect measures (incentivating private
investments)
Production, diffusion and utilization of knowledge as central factors for economic growth, social welfare and sustainability
4Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Profiling the Spanish Innovation System
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GD
P p
er c
apita
Ann
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row
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Ann
ual M
FP
gro
wth
Inte
nsity
of R
&D
exp
endi
ture
s
Inte
nsity
of b
usin
ess
R&
D e
xpen
ditu
res
Inte
nsity
of p
ublic
R&
D e
xpen
ditu
res
Pop
ulat
ion
of p
rofe
ssio
nals
and
tech
nici
ans
Pop
ulat
ion
of b
usin
ess
rese
arch
ers
Gra
duat
ion
rate
at P
hD le
vel i
n S
&E
Sci
entif
ic a
nd e
ngin
eerin
g pu
blic
atio
ns
Sha
re o
f S&
E a
rtic
les
in li
fe s
cien
ces
Sha
re o
f S&
E a
rtic
les
in p
hysi
cal s
cien
ces
Den
sity
of i
nnov
ativ
e fir
ms
Con
cent
ratio
n of
"tr
iadi
c"pa
tent
fam
ilies
Bus
ines
s fu
ndin
g of
pub
lic R
&D
Bus
ines
s fu
ndin
g of
hig
her
educ
atio
n R
&D
Firm
co-
oper
atio
n w
ith u
nive
rsiti
es
Firm
co-
oper
atio
n w
ith g
over
nmen
t
Bre
adth
of i
nter
natio
nal c
oaut
hors
hip
ties
Sha
re o
f pat
ents
with
fore
ign
co-in
vent
ors
Con
trib
utio
n of
fore
ign
affil
iate
s to
R&
D
Inte
nsity
of v
entu
re c
apita
l inv
estm
ents
Sha
re o
f tec
hnol
ogy
inte
nsiv
e ex
port
s
Performance range of OECD countries Performance range of G7 countries Spain
Macro-economic performance
R&D activities
Human resources in
S&T
Scientific output
Innovative output
Science-industry linkages
International linkages
Technological entrepreneurship
& industrial structure
5Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Situation and evolution of R&D and innovation in Spain
R&D effort still low but growing fast, GERD/GDP: 1.10% (2003); 0.82% (1997)Industry financed R&D also growing [48,4% (2003); 44,7% (1997)], but still far from the EU averageSignificant contribution of business to the funding of HERD and GOVERD
6Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Share of HERD and GOVERD financed by industry
Share of HERD financed by industry
Spain
Total OECD
EU-15
0.0
2.5
5.0
7.5
10.0
12.5
1981 1984 1987 1990 1993 1996 1999 2002
Share of GOVERD financed by industry
Spain
Total OECD
EU-15
0.0
2.5
5.0
7.5
10.0
12.5
1981 1984
1987 1990 1993 1996 1999
7Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Situation and evolution of R&D and innovation in Spain
Innovative firms: 20,6% (2002), but improving Innovative firms in Spain cooperate in innovation less than in other European countriesSize of companies is positively correlated with innovation cooperationSuppliers are the main source of innovation information for SME, while Universities play a significant role for larger companies
8Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Innovative firms cooperating in innovation (%), 2000
15,4 15,4
20,2
30,3
18,017,1 17,1
18,5 19,1
16,5
19,8 19,8
22,6
26,3
19,9
7,4 7,48,4
5,3
7,9
11,9 11,9
21,6
13,7 13,7
15,8
13,6
30,8
26,6
19,1
16,3
12,8
26,6
24,4
18,2
0,0
5,0
10,0
15,0
20,0
25,0
30,0
35,0
10 to 49 50 to 99 100 to 249 250 and more Total 2000
Other firms same group Customers Suppliers Competitors
Consultancy and experts Universities Gov. Research Centres
9Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Challenges and opportunities of the Spanish innovation system
Industrial structure is dominated by services, low and medium technology industries and SMEsPROs (specially universities) are the biggest knowledge producers and a reservoir of S&T capabilities (70% of all researchers)
10Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Other features of the R&D and innovation policy environmentInstitutional fragmentation of S&T policy domains: Various Ministries of the central government involvedRegional governments (17) also play a very active role in S&T and innovation policiesS&T and innovation action is developed under then umbrella of the National R&D and Innovation Plan, resembling EU RTD FP
11Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Policy targets and implementation
Therefore promoting “technology transfer” from PROs to industry and fostering sustained “cooperation between industry and science” has been part of the underlining rationales and explicit objectives of S&T and innovation policies…but: historically too much fragmentation in the programs and policy initiatives, because of the dominant bottom-up policy model
12Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Types and cases of PPPs for R&D and innovation:1. Public funding for RTD&I in a context of increasing
relevance of PP collaboration2. Constructing and supporting a common pool of
resources for technological services and innovation and under PPP
3. Competence RTD centers in specific technology areas
4. Steering Public research activities under PPPs 5. Clustering and Agglomeration strategies under PPPs6. Changing the R&D regulatory environment to
encourage PPPs and blurring boundaries between public and private
7. New commercialization, start ups and spin off strategies of PROs
8. PPPs for strategic private funding of RTD of general interest areas
13Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
General features of the PPPs for research and innovation before 2004 Small size of the projects supported Limited timeframe of the
cooperation Multiple instruments and
Fragmentation Stretching of traditional instruments
of public policy Bottom up initiatives from the
societal actors
14Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
As a way of balance before 2004
Many initiatives and experiments, but not canonical PPPs programsSome of the most interesting cases are bottom-up initiatives, but have been taken on board by governments
15Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Problems and opportunities in 2004 (I)
A new, or an evolved, policy rationale is driving the innovation system into more PPPs (new conditions for a more intelligent public funding)New initiatives from below (firms and PROs) and experiments that implies a “societal demand” of PPPs approaches are emergingPolitical opportunity: 25% of R&D budget increase expected next 4 years.
16Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Problems and opportunities in 2004 (II)
A more pro-business view of S&T and innovation policies favours the development of PPP, but the institutional architecture of S&T&I policies (Ministries of Education & Science versus Industry & Technology) often creates important constraints because of the “customer-client view” of the Ministries in the context of distributive politics
17Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Problems and opportunities in 2004 (III)
International diffusion of PPPs for innovation policy is a relevant factorNeed of “policy entrepreneurs” and “strategic research actors” (with negotiating skills) to overcome the pervasive battles over distributive politics within inappropriate institutional environments and to built an “advocacy coalition” for PPPs OECD could play a role in shaping the outcome
18Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
The impact of the OECD evaluation
End 2003: the Spanish authorities requested the cooperation from OECD to evaluate the current practices of PPP for Research and Innovation (CSTP-TIP)The Review was developed in 2004 and published early 2005.Mid 2005: The Spanish Government launched (in the context of National Reforms Program) INGENIO 2010, including the CENIT Programme (Strategic Consortia for Technological Innovation)
19Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
OCDE(2005): “…the Spanish system of research and innovation has now reached a sufficient level of sophistication for a new approach to the promotion of science-industry relationships to be successfully experimented […] adapting the model implemented in diverse OECD countries to the Spanish conditions.”
Australia Austria France The Netherlands
Sweden
Co-operative Research Centres (CRCs) Programme
Kplus, Kind/Knet
Research and Technological Innovation Networks (RRITs)
Leading Technology Institutes (LTIs)
Competence Centers
Other countries experiences
CENIT (Consorcios Estratégicos Nacionales de Investigación Tecnológica)
Results of the OECD PPP review
20Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
CENIT Background and Rationale (1)
Strong role of universities and PRO in the Spanish Research and Innovation system Industrial structure: large share of low-medium tech industries, large share of SMEs, large share of MNCs, Large share of service economy
21Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
CENIT Background and Rationale (2)
Fostering sustained cooperation between industry and science, that is... over a longer period (min. 5 years)... on an institutional basis (but flexible)... with an ambitious researchprogramme (significant budget)
22Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Goals of PPPs for Research and Innovation
Encouraging existing firms to engage in more radical types of innovationPromoting technology-based start-upsIncreasing the role of the Public Research sector in providing a research base to be utilized co-operatively with industry...but: multi-purpose programmes with many goals - problem of target setting!
23Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Description of the Programme – CENIT
since 2005fostering long-term collaboration between enterprises and public research institutionsDespite some technology areas mentioned, no ex-ante setting of thematic prioritiesCompetitive selection process (public calls)First call subsidies for 200 M€ (16 projects)Second call: Subsidies for
24Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
TRADITIONAL INSTRUMENTS
One shot projects Small duration (1-3 years) and limited scope Support mainly based on soft loans
Low commercial risk RTD Limited behavioral additionality and leverage of private investments
CÉNIT Thematic lines of research Long duration and bigger size Bigger role of public subsidies
Research with more commercial risk Bigger leverage of private funding and behavioral additionality
National R&D&I Plan 2001-2003: 60K € subsidy + 116K € repayable
loans per projects
CENIT Projects:10-20 Million euros per project
CENIT PP collaboration programme versus previous instruments
25Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Long Term Research Contractual Agreements between firms and research groups in PROs for a joint research programme
Minimum size: 4 firms (2 SME) and 2 PROs Minimum duration: 4 years extendible Minimum budget of the project: 5 M euros per year Financial rules:
i) Minimum contribution of private sector: 50%ii) Minimum participation of PROs and TICs: 25%
Expected Budget of the CENIT programme: 1,000 M euros in 4 years (half private).
CÉNIT Programme: General features
26Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Elements of good practice (1)Implementing a sound concept of PPPs based on international experienceTargeting systemic failures instead of specific sectorsApplying a flexible, bottom-up approachClear governance structure (caveats!)Ensure quality through selection criteria and processes
27Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Elements of good practice (2)Long-term commitment and additionallity (trust, behavioral additionality)Clear delineations to other sources of public supportCatalyst of change for setting new standards in evaluation and policy learningDiversified portfolio and broad participationLinkages and visibility
28Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
Challenges of PPPs instruments for RTD and innovation ins SpainSynergies and overlaps with other instruments? How many new projects?Future after the funding? Governing structures of the projects Sustainability and transformation into joint research centersDifficulties of measuring efficiency and additionality. Evaluation
29Consejo Superior de Investigaciones CientíficasInstituto de Políticas y Bienes Públicos (IPP)
OECD Symposium on Evaluating Innovative approaches to public service delivery, Madrid 30-31 October 2007
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