Ex ante conditionality RIS3: Monitoring

Transcription

1 Ex ante conditionality RIS3: Monitoring European Commission GDANSK, 30 October 2013

2 Webster's dictionary: Monitoring definition "Monitor - to watch, observe, listen to, or check (something) for a special purpose over a period of time" Słownik języka polskiego: 1. «stały nadzór nad jakimś obiektem chronionym» (NIE) 2. «stała obserwacja i kontrola jakichś procesów lub zjawisk» (TAK) Guide on Smart Specialisation:??? (to nic nadzwyczajnego)

3 Ex ante Thematic Conditionality 1 contains Monitoring mechanism Thematic Objectives Ex ante conditionality Criteria for fulfilment 1. Strengthening research, technological and innovation (R&D target) (referred to in Article 9(1)) 1.1. Research and Innovation: The existence of a national or regional smart specialisation strategy in line with the National Reform Programme, to leverage private research and innovation expenditure, which complies with the features of well-performing national or regional research and innovation system 1) A national or regional smart specialisation strategy is in place that: is based on a SWOT or similar analysis to concentrate resources on a limited set of research and innovation priorities; outline measures to stimulate private RTD investment; contains a monitoring mechanism. A framework outlining available budgetary resources for research and innovation has been adopted. 3) An indicative multi-annual plan for budgeting and prioritization of investments linked to EU priorities, and where appropriate, the European Strategy Forum on Research Infrastructures ESFRI has been adopted. Política Regional de Cohesión

4 Criteria for fulfilment Assessment Grid A national or regional research and innovation strategy for smart specialisation is in place The relevant operational programme contains a reference to the name of the framework and indicates where it of its different elements are published (in a form of a link) that: is based on a SWOT or similar analysis to concentrate resources on a limited set of research and innovation priorities: there is evidence that a SWOT or a similar analysis has been conducted in order to establish priorities for investment; there is a description of the methodology used for the analysis; There is a description of the prioritization/elimination process, including the involvement of stakeholders, and of its results. Outlines measures to stimulate private RTD investment: There is a description of the policy-mix planned to be used for the implementation of smart specialisation and indication which programme/instrument will be used for their funding; There is an explanation on how these measures are tailored to the needs of enterprises, in particular SMEs (e.g. description of the entrepreneurial discovery process used for the strategy developments) and other private R&I investors and/or which other measures are undertaken to incentivise private research and innovation investments. YES/NO Criteria fulfilled? Elements of non-fulfilment

5 Assessment Grid Criteria for fulfilment A national or regional research and innovation strategy for smart specialisation is in place The relevant operational programme contains a reference to the name of the framework and indicates where it of its different elements are published (in a form of a link) that: Contains a monitoring mechanism: There is a description of the methodology, including the chosen indicators, and governance structure of the monitoring mechanism. There is a description of how the follow-up to the findings of the monitoring will be ensured. A framework outlining available budgetary resources for research and innovation has been adopted. The relevant operational programme contains a reference to the name of the framework and indicates where it is published (in a form of a link) A framework outlining available budgetary resources for research and innovation has been adopted, indicating various sources of finance (and indicative amounts) (EU, national and other sources as appropriate). Regional YES/NO Criteria fulfilled? Elements of non-fulfilment

6 Methodological aspects Monitoring systems Evaluation systems Indicators

7 Objective: to verify that: - activities are planned, Monitoring systems - funds are correctly used - spent on delivering planned outputs - results indicators evolve in the desired direction (RIS3 Guide p.59) Usually carried out by agents responsible for implementation. Includes context, output and results indicators

8 Evaluation systems Objective: assessing the effectiveness of the actions undertaken, and the modalities through which the effects have been achieved Usually carried out by independent experts, in close contact with those responsible for the policy. Data from the used indicators are employed for the evaluation.

9 Indicators Cohesion for the period must be strongly orientated towards results in order to contribute to the Union strategy for smart, sustainable and inclusive growth Definition and selection of a set of indicators for monitoring and evaluation of RIS3 must come from a structured, and evidence and data based approach; as well as through the use of a set of methodological criteria Kinds of indicators: Outputs and Results

10 Indicators Criteria for the selection of indicators (Atkinson et.al, 2002; Barca and McCann (2011): Reasonable: able to capture the different aspects and objectives of the policy interventions. Normative: having a clear and accepted normative interpretation. Robust: reliable, statistically and analytically validated, and complying, as far as practicable, with international standards. Responsive to policy: linked in as a direct way as possible and potentially affected by the policy. Feasible: built, as far as practicable, on available underlying data. Debatable: timely and openly available to a wide public.

11 Context Indicators Datum which provides simple and reliable information describing a variable relative to context. Gives information about a situation and its evolution in a country/region, or an area relevant to the assistant policy. Must highlight the specificities of a local context. Should make possible to score the region against the average score of its Member State or other similar regions.

12 Output Indicators Are policy actions deliverables whose intended tasks is to lead to results Describes the physical" product of spending resources through policy interventions. Baselines zero, quantified cumulative targets Intervention logic: how should this amount of resources spent on these outputs contribute to change in result indicator

13 Stronger Result Focus in Programme Design New Focus on Results: What do you want to change? What indicator can capture this change? What is the baseline (the situation before the programme)? How will the outputs of the programme contribute to change? Results relate to change in the region/sector not just for supported entities Regional 13

14 Result Indicators Capture what you want to change Should have a baseline, indicating the situation before the start of the policy intervention Targets quantitative or qualitative Regular monitoring to prompt policy debate (not sanctions) Intervention logic: - how should this amount of resources - spent on these outputs contribute to - change in result indicator Regional 14

15

16 Example: Investment priority: promoting business investment in R&I (TO Strengthening RTDI) Specific Objective: To increase co-operation between enterprises & research institutes Result Indicator: Share of enterprise clients in sales revenue of research institutes (Baseline: 14%; Target: 25% by 2022) Action: Research vouchers for enterprises must be spent in research centres Output Indicator: Number of enterprises cooperating Regional 16

17 Objectives Expected results Programme Aims Outputs Short-term results Medium/Long-term results Increase awareness of a set of new technologies Improve the skill basis of a set of industries Increase science-industry links Awareness campaign, visits to fairs, advisory services Training sessions, staff exchanges Student placements, academic-industry cooperation projects or networks Adoption of technologies Improved technical competencies of staff, increase effectiveness of in-house R&D Improved skill, technical competence and knowledge base, change of behaviours, increase in prototypes Improved business performance; continuing awareness and adoption of related technologies Improved innovation performance, increased technological absorptive capacity New products and services based on innovation, increased quality of production Increase of research activity in a region Research subsidies to enterprises or universities/research Centres Increase in research expenditure in firms, increase in patents or publications Improved innovation performance, enhanced reputation Stimulate the start-up of new technology-based companies Possible indicators RIS3 Guide p. 61 Finance and information for future entrepreneurs, Incubation Number of visits, of placements, of projects, of incubated start ups, amount of funding for future entrepreneurs etc. Creation of new high-tech companies Number of new enterprises created, number of enterprises having adopted a new technology, number of staff reporting new working behaviours etc. Regional Long-term growth and sustained development of new high-tech industrial sectors Increase rate of productivity Increased share of turnover based on innovation, increased export share, new products on the market, growth of employment in knowledge intensive sectors, R&D expenditure per worker etc.

18 How to fulfil the criteria of the monitoring mechanism of RIS3? By answering the following questions: Which methodology has been employed for the setting up of monitoring mechanism? How do indicators address the pursued specific objectives? How these may reflect the change envisaged and its contribution to the expected results? Who, how and when is going to be in charge of the RIS3 monitoring and its follow-up? Regional

19 References Atkinson, T., Cantillon, B., Marlier, E. and Nolan, B. (2002) Social Indicators: The EU and Social Inclusion, Oxford University Press: Oxford. Barca, F., and McCann, P., (2011) Methodological note: Outcome Indicators and Targets Towards a Performance Oriented EU Cohesion. European Commission (2006) Evaluation Methods for the European Union's External Assistance, Evaluation Tool, volume 4: Luxembourg. European Commission (2013), Programming Period Monitoring and Evaluation of European Cohesion. European Regional Development Fund and Social Fund, Draft Guidance Document. European Commission (2012a) Guide to Research and Innovation Strategies for Smart Specialisation (RIS3), Publication Office of the European Union: Luxembourg. European Commission (2012b), Programming Period Monitoring and Evaluation of European Cohesion. European Regional Development Fund, European Social Fund, Cohesion Fund. Guidance Document on ex-ante evaluation. Other guide documents for the funding period : :

20 Thanks for your attention! Regional 20