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Public RDI systems – Rationale, indicators and impact assement*
Christopher Palmberg Chief advisor, Ph.D
Tekes Strategic Intelligence
*This presentation draws on ’Finnish Finnish Impact Framework and Indicators for Science, Technology, and Innovation’ held by Tarmo Lemola in Budapest on April 27th, 2009 and Luoma et al. 2011. ’Better results, more value’. Tekes Review 288/2011
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Structure of presentation
1. What are public RDI systems and how are they legitimized?
2. What are RDI indicators, why are they needed and which are the challenges?
3. Examples of impact assement models and indicators – the case of Tekes
02-2012 DM
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1. What are public RDI systems and how are they legitimized?
02-2012 DM
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The Finnish public RDI system
PARLIAMENT
Academy of Finland
Universities
Ministry of Employment
and the Economy
VTT
Tekes
Other ministries and their institutes
Sitra Finnvera plc
Finpro Finnish Industry
Investment Ltd
Regional ELY Centres
GOVERNMENT Research and Innovation
Council Ministry of
Education and Culture
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R&D investments in some countries
Source: OECD, Main Science and Technology Indicators
09-2011 DM 36109 and 36054
5.0
4.5
4.0
3.5
3.0
2.5
2.0
1.5
1.0
0.5
0.0
Percentage of GDP
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Public sector’s share of total R&D funding in 2009
Source: Eurostat
11-2011 DM 36109 and 36054
%
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Million euros
Tekes R&D funding by sectors – from technology towards services and intangibles
Construction is included in the industrial figures.
01-2012 DM 906697 and 607668
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Why are public RDI policies needed – how are they legitimized? Traditional arguments § Market failure
• Informationl assymetries, knowledge spill-overs, externalities, over-exploitation of commons
New arguments…in response to societal challenges? § Structural system failures
• Infrastructural , institutional, network, capabilities failures
§ Transformational system failures • Directionality, demand articulation, policy coordination, reflexivity
failures
Source: Weber & Rohracher,forthcoming in 2012.
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2. What are RDI indicators, why are they needed and which are the challenges?
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What is an Research, Development and Innovation (RDI) indicator? “Indicators are quantitative representations that might reasonably be thought to provide summary information bearing on the scope, quality, and vitality of the science and engineering enterprise. They are intended to contribute to an understanding of the current environment and to inform the development of future policies”
Modified from NSB/NSF Science and Engineering Indicators
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Why are RDI indicators needed?
§ Importance of science, technology and innovation for social and economic progress – a stylized fact
§ Continuous pressure to increase resources to RDI to compete globally
§ Pressure to ascertain effective use of public resources such as taxes
§ Need to legitimate risky RDI investmnents characterized by uncertainty
§ Need to understand dynamics of scientific and technological progress
§ Need to build an evidence-base for policy
6/8/12 © Advansis Oy 2006 11
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Criteria for RDI indicators
1. Clear connection to research and innovation 2. Clear connection to the phenomenon and impact area it
represents 3. Clear policy connection 4. Transparency 5. Intuitive and easily understandable 6. Internationally comparable 7. Easy and regular updating, basis for regular statistics gathering 8. Statistically reliable 9. Good temporal, sectoral and geographical coverage 10. Clear message on the direction and distance to the target state 11. Based on solid theories or coherent frameworks
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Basic framework for assessing impacts of RDI
§ Traditional and well-studied role of RDI in creating preconditions for economic growth and renewal - other objectives and impacts known in less detail…
§ Input-activity-output model most common framework § The chain from research and innovation to socioeconomic
benefits is not linear but involves several feedback loops that provide new inputs to the process at various stages
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Key challenges in RDI impact assessment
§ Causality: the relationships between research and innovation inputs, activities, outputs, and impacts are often unclear or nonlinear.
§ Attribution: it is difficult or even impossible to separate the impact of research and innovation from other inputs and activities – the additionality problem
§ Internationality: the impacts of research and innovation are international by nature – activities and value chains are global, and both positive and negative spillovers exist.
§ Time scale: the impacts are realized both in the short and long-term.
§ Breakdown of impacts to particular socio-economic target: how to define e.g. impact on environment, public welfare or culture.
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Indicator sources – some examples
§ U.S. National Science Board/National Science Foundation: Science and Engineering Indicators
§ Other national indicator publications, including statistical agencies
§ OECD: Main Science and Technology Indicators • Indicator manuals: Frascati and Oslo manuals, Patent Statistics Manual etc.
§ EU: European Innovation Scoreboard
§ International competitiveness reports (WEF, IMD)
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Top 10 traditional RDI indicators
1. R&D expenditure as a percentage of GDP 2. Publications 3. Citations 4. Patents 5. New products and processes 6. International trade and trade balance in high-tech products 7. Young innovative companies 8. Mobility of researchers 9. Science and technology labor force 10. Growth in productivity But we also need ’blue-sky indicators, e.g. based on www
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3. How are RDI impacts being assessed – the case of Tekes?
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*Developed jointly by Finnish Academy and Tekes in collaboration with external experts Copyright © Tekes 01-2010DM 196759
Capabilities and
skills of
Innovative activity
Productivity and Renewal of industries
Societal and environmental
wellbeing
Tekes objectives Impacts• Economic growthand renewal
• Culture and learning
• Welfare• Environment
• Growth and internalization• Productivity• Distribution and utilization
of new knowledge and skills
• Innovative products and servicesprocesses and methods
• Organizational development• new enterprises, business
areas and services
Outputs
• Research and innovation activity• Education• New processes and networking
Activity
• Investments in intellectual and tangible capital
• Existing capabilities and knowledge
Inputs
Tekes model for RDI impact assesment*
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Economy and economic renewal
§ Observes the effects that research and innovation activities have, or should have, on the development and renewal of the economy and the opportunities and challenges arising from this
§ Perhaps the most common and the furthest elaborated impact area of research and innovation activities, which also provides a good basis for international comparison
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Hierarchy of phenomena related to economy and economic renewal
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National prosperity
Foreign Direct Investments
High growth enterprises
Productivity of the economy
Strengthening of intangible assets
Position in global value networks
Investments in R&D&I General conditions and incentives for R&D&I
Human resources for R&D&I
Impacts
Outputs
Activities
Inputs
Continuous improivement of competitiveness
Collaboration, networks and knowledge flows Capability to innovate
Job creation
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Indicators related to economy and economic renewal
Phenomenom Indicators Na#onal prosperity GDP per capita
Overall produc#vity of the economy
Total Factor Produc2vity TFP Produc2vity renewal indicator
Foreign Direct Investments Share of Foreign Direct Investments per GDP
Strengthening of intangible assets
Share of new innova2ve products and services from business turnover. Volume and share of intangible investments
Posi#on in global value-‐networks Exports of knowledge-‐intensive sectors
Con#nuous improvement of compe##veness Development of turnover in knowledge intensive sectors (or alterna2vely in KI jobs)
Collabora#on, networks and knowledge flows Share of public and private organisa2ons having collaborated in innova2on projects
Capability to innovate Development of paten2ng, registered trademarks and designs (EPO / USPTO / TRIAD)
Investments in R&D&I
Share of R&D&I expenditure in business turnover Government direct & indirect support to business R&D Foreign direct investments in Finnish R&D&I
Human resources for R&D&I Availability of highly educated workforce
General condi#ons and incen#ves for R&D&I GDP share of VC investments at different growth stages …
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Environment
§ Many of the causality chains from the inputs of research and innovation to the impacts on the environment are at least partly known based on the knowledge on natural sciences and technologies
§ Environmental issues often have a global character – impacts are transnational
§ Environmental issues are integrated to most of the activities in business and public sectors
§ Energy is a remarkable part of this impact area as it drives economic activities and well-being in addition to its impact on the state of environment, climate change, and use of natural resources
§ The operational environment is often playing a significant role in increasing the interest to innovate and use innovations
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Hierarchy of phenomena related to environment
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State of the Finnish environment
Sustainableconsumptionof natural
resourcesBiodiversityClimate change
New information and knowledge related to
environment
Consumers' attitudesand behaviorGreen businessEnvironmentally
positive innovations
R&D&I activities directedtowards environment
Cooperation within environment related value networks and strengthening of skill
flows
R&D&I investments in sectors vital to environment
Operational environment supporting the aimsSkills and human resources
Impacts
Outputs
Activities
Inputs
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Indicators related to environment
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Phenomenom Indicators State of the Finnish environment Water systems ecological state
Climate change Green house gas emissions in Finland
Biodiversity Endangeredness of Finnish species Sustainable consump#on of natural resources
Share of renewable energy in energy produc2on
New informa#on and knowledge related to environment
Scien2fic environmental publica2ons among the top 10% most cited publica2ons worldwide as % of total scien2fic publica2ons of the country Use of environmental information in political decision making
Environmentally bening innova#ons Interna2onal patents/forwarded references of patents in the environmental sector Green business Revenue of companies in energy and environment sector
Private sector energy efficiency Consumers' aKtudes and behavior Household energy efficiency
R&D&I ac#vi#es directed towards environment (quality, challenges, extent)
Companies with innova2on opera2ons in the energy and environmental sectors Amount of environmental R&D&I activities in research institutions
Coopera#on within environment related value networks and strengthening of skill flows
Coopera2on between private sector, universi2es and research centers in environment sector
R&D&I investments on environment Private R&D&I expenditure on environment Public R&D expenditure on environment Venture capital directed towards environment
Skills and human resources No relevant indicator so far
Opera#onal environment suppor#ng environmentally benign ac#ons
No relevant indicator so far
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Summing up
§ The focus of public RDI systems is broadeding, Finland being a good example of this
§ RDI indicators remain important but RDI impact assessment is increasingly challenging
§ There is also a need for new types on real-time ’blue-sky’ indicators
§ Emerging and developing countries also need public RDI systems • What kind of systems? • Where should they focus? • How could their impacts be assessed?
