4. Analysing, designing

and monitoring

explicit SITI policy

instruments:

A theoretical

framework to organize

the information in

GO����SPIN

The structure of GO����SPIN analytic units

Pathologies of instruments: policy implementation failures

Golden Rule for the implementation of SETI policies

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)

DESIGNING SETI POLICIES

AND SETI MULTIANNUAL

NATIONAL PLANS

1. Set objectives and goals of the SETI policy.

2. Set priorities at the strategic level of the SETI policy.

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.

Decalogue for designing a SETI policy for sustainable development

Pri

ori

ty s

ett

ing

fo

r a

SE

TI

po

licy

fo

cuse

d

on

so

lvin

g s

pe

cifi

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soci

eta

l is

sue

s Lem

arc

ha

nd

(2

00

5)

What kind of innovation your country is capable to introduce?

Lemarchand (2010)

Techno-

logical

capacity in

Africa

Lugones (2008)

How to design appropriate instruments to promote innovation?

Acquisition of

disembodied

technology

SETI LEGAL FRAMEWORK

SETI Legal 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 SETI cooperation 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.

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.)

Examples

NATIONAL SCIENTIFIC,

TECHNOLOGICAL AND

INNOVATION

ORGANIZATIONAL

STRUCTURES

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

How robust is the SETI

organizational

structure to effectively

promote research and

innovation for

sustainable

development in the

long-run?

Total Population: 5 312 000 people.

Total Area: 710 km2

GDP (2012) in PPP USD 327 557 000 000 000

2007: 1,630 granted patents per million inhabitants

2009: 1,961 WoS publications per million inhabitantsSource: GO����SPIN

So

urc

e:

UIS

So

urc

e:

UIS

Source: ECLAC (2008)

The SETI organizational 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.

In order to

estimate the evolution

of the complexity of

each national

organisation chart against

time we define a

“topological metrics”

In order to

estimate the evolution

of the complexity of

each national

organisation chart against

time we define a

“topological metrics”

Temporal evolution of Brazil´sSETI organization charts1968 1975

1978 1985

0.0

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

1.0

19

65

19

70

19

75

19

80

19

85

19

90

19

95

20

00

20

05

20

10

Re

lati

ve I

nd

ex

(Va

lue

20

09

=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

2009

SETI OPERATIONAL

POLICY INSTRUMENTS

SETI operational policy instruments The SETI operational 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.

Typology of programmes and instruments in strategic areas (1)

Typology of programmes and instruments in strategic areas (2)

Source: ECLAC (2008)

The cycle of returns incentives in Finland

Operational SETI policy instruments used to foster innovation at

different stages

Operational SETI policy instruments used to foster innovation at

different stages

Source: ECLAC (2008)

Source: ECLAC (2008)

Functional links between support programmes: the example of SMEs

The Argentine Technological Fund (FONTAR)

Main Sectoral Funds in Brazil (1)

Main Sectoral Funds in Brazil (2)

GO-->SPIN: TYPOLOGY OF SETI POLICY INSTRUMENTS BY OBJECTIVES AND 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.

GO����SPIN: Typology of SETI policy instruments by objectives and goals

Source: Lemarchand (2011)

So

urc

e:

Lem

arc

ha

nd

(2

01

1)

Inter American Developing Bank (IADB): Strategies

for the promotion of research and innovation in LAC

So

urc

e:

Lem

arc

ha

nd

(2

01

0)

Second tour

TAKING A LOOK TO

SPIN-LAC (the prototype)

http://spin.unesco.org.uy/

Inst

rum

en

ts p

ou

r le

s p

oli

tiq

ue

s d

e S

ITI Structure du système national de SITI

Cadre juridique des SITI

Instruments opérationnels de promotion

des activités de recherche et de

l’innovation

Catégories Inventaire

1. Niveau de la prise de décisions

Institutions, liens

relationnels et description

des grands programmes

2. Niveau de la promotion

(financement)

3. Niveau de la mise en œuvre

4. Niveau de l’évaluation

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

Accès à des textes intégraux2. Décrets

3. Réglementation

4. Accords internationaux

1. Organisés par buts et

objectifs stratégiques

Classés selon 11 types de

catégories/liste d’instruments

2. Organisés par type de

dispositif ou d’entité

Classés selon 11 types de

catégories/liste d’instruments

3. Organisés par type de

bénéficiaire

Classés selon 19 types de

catégories/liste d’instruments

Chacun des instruments de STI est 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.

Troisième tour

Merci !!

Guillermo A. Lemarchandga.lemarchand@unesco.org

galemarchand@gmail.com

For further information on GO����SPIN visit the following websites:

http://spin.unesco.org.uy/

http://www.unesco.org/new/en/natural-sciences/science-technology/sti-policy/global-observatory-on-

policy-instruments/

YOU TUBE: GO-SPIN for Science Policy 2012.wmv