Observatory of Science, Technology and Qualifications, Portugal

4th Meeting of the Scientific Council

Lisbon

December 4, 2012

Science policy, innovation policy and

evaluation: The case of Italy

Giorgio SirilliISSiRFA - CNR

Science and technology policy in Italy

• Junior minister for Research (1963)• Ministry of Universities and Research (1989)• Ministry of industry (Economic development)• Junior minister for Innovation (2000)

Science and technology policy in Italy

A history which starts after WW2

1950s 2010s

science technology innovation competitiveness social needs

Science policy in Italy

• The neo-liberal approach after Reagan and Thatcher• The legitimation of R&D and education• The reduction of resources• Research evaluation• Evaluation of innovation measures and policies• How to address the crisis

Italy - R&D/GDP (percentage)

R&D expenditure in Italy - 2006-2011 (million euro)

Current prices

Constant values (2000)

2006 16.835 14.395 7,9 6,0 1,13 2007 18.231 15.198 8,3 5,6 1,18 2008 18.993 15.409 4,2 1,4 1,21 2009 19.209 15.238 1,1 -1,1 1,26 2010 (a) 19.539 15.405 1,7 1,1 1,26

Source: ISTAT

ANNICurrent values

Constant values (2000)

Percantage change over previous year

R&D/GDP (%)

R&D expenditure by performing sector - 2011 (million euro)

Sector R&D expenditure

Percantage change over

previous yearPercentage

Government 2.788 10,4 14,3

Privare non profit 629 -0,8 3,2

Business enperprises 10.465 2,2 53,6

University 5.657 -2,7 29,0

TOTALE 19.539 1,7 100,0

Source: ISTAT

R&D expenditure in Italian government agencies (percentage)

All agencies Five largest agencies (*)

2003 2006 2009 2003 2009 2010

Current expenditure 84,8 88,9 91,4 81,2 92,7 93,9R&S personnel 53,2 55,0 64,0 51,5 70,4 65,4Capital expenditure 15,2 11,1 8,6 18,8 7,3 6,1Land and buildings 5,7 1,8 1,2 6,8 1,2 2,5Equipment 8,1 8,8 7,1 10,2 6,0 3,5Software 1,5 0,5 0,3 1,8 0,1 0,1

Total 100,0 100,0 100,0 100,0 100,0 100,0

(*) CNR, INFN, ENEA, INAF, ISTAT, ISS

Age distribution of professors and researchers - 2010

Full professorsAverage age: 59.2

Associate professorsAverage age: 53.2

ResearchersAverage age: 45.5

Average age of professors and researchers

Full professors

Associate professors

Researchers

National Research Plan 2011 - 2013

ACTIONS• Azione 1. Sostenere la creatività e l’eccellenza in tutti i campi del sapere

• Azione 2. Ricerca di base orientata alle tecnologie abilitanti

• Azione 3. Ricerca per lo sviluppo di settori industriali innovativi

• Azione 4. Progetti integrati di Ricerca a sostegno dell’industria

• Azione 5. Sostegno alla creazione di nuove imprese ad alto contenuto tecnologico

• Azione 6. Sostegno alle piattaforme tecnologiche nazionali

• Azione 7. Distretti ad alta tecnologia

• Azione 8. Poli di eccellenza nazionale

• Azione 9. Interventi finalizzati all’attrazione e qualificazione di giovani nel settore della Ricerca scientifica e tecnologica

• Azione 10. Scuole internazionali di dottorato

• Azione 11. Riorientamento e recupero

• Azione 12. Sostegno ai post-dottorati

• Azione 13. Infrastrutture

• Azione 14. PON per le Regioni Convergenza

• Azione 15. Estensione dei progetti PON alle altre Regioni del Mezzogiorno e al Nord

• Azione 16. Migliorare il Sistema della Ricerca Italiana attraverso l’internazionalizzazione

• Azione 17. Università

• Azione 18. Enti di Ricerca

Conference of Italian University Rectors (CRUI)Motion of October 25, 2012

The situation• The General University Fund transferred by MIUR to universities

does not even allow to cover “compulsory” expenses of universities

• Over the last four years the number of professors and researchers has decreased by more than 20%

• Turnover limited to 20%• Constraint to turnover (first level – full professor)

Request to government• Abolish the reduction of 400 million euro for 2013• Re-establishment of turnover limitation to 40%• No constraint to turnover

National Committee for the Evaluation of the University System (CSVNU) – 2011 Report

• Resources available to universities have decreased since 2009• Universities have increasingly been financed by students,

enterprises, institutions (an increase of 50% between 2001 and 2009)

• Financing from MIUR has dropped from 73% of the total budget in 2001 to 63% in 2009

• Investment has decreased• Student fees in the North-West universities (1,307 euro) is twice as

much as universities in the South (637 euro)

• Established in 2011• A government agency• The relationship with MIUR (Ministry of education, universities and

research)• ANVUR activities:

– Evaluation of the Quality of Research (EQR)– Habilitation of university professors and researchers (HUP)

• The cost of evaluation – EQR: 300 million euro; HUP: 160 million euro

Model: Research Assessment Exercise (RAE)Objective: Evaluation of Areas, Research structures and Departments (not of

researchers) Reference period: 2004-2010Start: 2011Actors: - ANVUR (National Agency for the Evaluation of Universities and

Research Institutes)- GEV (Evaluation Groups) (#14) (450 experts involved plus

referees)- Research structures (universities, research agencies, other)- Departments- Subjects evaluated: researchers (university teachers and PRA researchers)

ANVUR Evaluation of the Quality of Research

Timing: Final report; May 2013Impact: results expected to:

- affect the financing of research structures by MIUR (Ministry of education, universities and research) through the FFO

(General University Fund), - to be used by Research structures, in their own autonomy, to assign resources to their departments

ANVUR Evaluation of the Quality of Research

Researchers’ products to be evaluated- journal articles- books and book chapters- patents- designs, exhibitions, software, manufactured items, prototypes, etc.

University teachers: 3 “products” over the period 2004-2010Public Research Agencies researchers: 6 “products” over the period 2004-

2010

ANVUR Evaluation of the Quality of Research

GEV, university and PRA research staff, productsGEV Universities Research agencies

AreaFull professor

Assistant professor Researcher TOTAL

Researcher

Technologist

Max number of products

Mathematics and Information Science 25 968 1002 1256 3226 369 62 12075Physics 18 604 816 870 2290 262 44 8572Chemistry 23 703 963 1293 2959 338 57 11076Earth science 9 259 376 460 1095 125 21 4099Biology 38 1234 1361 2283 4878 557 94 18259Medicine 79 2186 2955 5052 10193 1165 196 38154Agronomy and Veterinary Medicine 24 821 898 1320 3039 347 58 11375Civil engineering and Architecture 28 978 1104 1520 3602 412 69 13483Industrial and Computer engineering 39 1600 1504 1961 5065 579 97 18959Ancient History Philological Literature and Arts 42 1512 1628 2256 5396 617 104 20198History, Philosophy Psychology Pedagogy 38 1478 1434 2022 4934 564 95 18469Law 37 1612 1123 2049 4784 547 92 17907Economics and Statistics 36 1580 1331 1758 4669 533 90 17477Political and Social sciences 13 437 485 775 1697 194 33 6352TOTAL 449 15972 16980 24875 57827 6609 1112 216455

ANVUR Evaluation of the Quality of Research

Methodology in the evaluation of “products”:- “direct” evaluation (bibliometric analysis, citations, impact factor)- peer-review (2 per “product”)(at least half of “products” will be evaluated through peer review)

Quality parameters:relevanceoriginalityinternationalisationfor patents socio-economic impact

ANVUR Evaluation of the Quality of Research

Scores:excellent (1.0)good (0.8)acceptable (0.5)limited (0.0)not amenable for evaluation (- 1)plagiary or fraud (-2)missing “product” (-0.5 each)

ANVUR Evaluation of the Quality of Research

Research structures provide additional information (broken down by department) on:- patents- spin-offs- incubators- consortia- archeological sites- museums- national and international mobility of researchers- funds from competitive projects (EU Framework Program, Structural

Funds, MIUR funds, etc.)- funding and co-funding from general funds used for research

purposes

ANVUR Evaluation of the Quality of Research

Started 2012A two step process:

national habilitationhiring from university

60,000 candidates70,000 applications

925 examiners185 disciplinary panels

Products sent to CINECA (November 20, 2012)

Habiltation of university professors and researchers

BibliometricsNSESSH

Journals: A, B, CMedianExaminers

Legal actionsQuestion marks

Habiltation of university professors and researchers

Some issues

• Reduction of resources for R&D and higher education• Equilibrium between current and capital expenditure• Equilibrium between autonomy and centralisation• Equilibrium between mission-oriented and curiosity-driven

research• Ageing and reduction in number of personnel • The request from industry: from research programmes to fiscal

incentives and general policies (bureaucracy, infrastructure, human resources, legality, etc.)

• Evaluation exercises: too much in a short time • Research policy, innovation policy, technology policy?• What can we expect in the future?

Thank you