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Budget Cycle in French Research Development and Innovation Policies Nicole Hernandez Madrid, July 2008. Table of contents. French RDI system RDI funding and expenses Evaluation of publicly funded RDI Budget process Conclusion. Table of contents. French RDI system
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Budget Cycle in French Research Development and Innovation Policies Nicole Hernandez Madrid, July 2008
Table of contents • French RDI system • RDI funding and expenses • Evaluation of publiclyfunded RDI • Budget process • Conclusion
Table of contents • French RDI system • RDI funding and expenses • Evaluation of publiclyfunded RDI • Budget process • Conclusion
French RDI system • About 30 Research Bodies, under various status: • EPST: CNRS, INRA, INSERM, IRD, INRIA, CEMAGREF, INRETS, LCPC, INED • EPIC: CNES, CEA, IRSN, ONERA, CIRAD, IFREMER, OSEO, CSTB, ADEME, BRGM, ANDRA, IPEV, LNE, INERIS, … • Foundations, … • Research and Higher Education bodies: • 85 university • High School Engineers schools and Business schools • Private Research: Companies, Foundations ...
French RDI systemOfficial government documents • Budget process: • Constitutional Bylaw (LOLF) of 1 August 2001 on budget acts, operated since 2006 • Research: • Law of 18 April 2006 • Legislative part of the Research pact of 2005 • Higher education: • Law of 10 August 2007 • Freedom and responsibilities of universities (LRU)
French RDI systemInstitutional structures of research • High Council of Science and Technology (HCST), installed in September 2006 • National Agency for Research (ANR), created in 2005 to fund fundamental research on a project basis • Agency for the Evaluation of Research and Higher Education (AERES), installed in march 2007
French RDI systemPartnership policy • Higher Education clusters (PRES): selected after a call for proposals, since 2006 • Thematic Advanced Research Networks (RTRA): selected after a call for proposals • Thematic Centers for Research and Healthcare (CTRS / RTRS): selected after a call for proposals • Competitiveness Clusters: cooperation with private sector
French RDI systemThe three functions model Orientation and national priority setting macro-objectives and financial framework for each big domain MESR + others ministries + HCST(High Council for Science and Technology) Programming & Financing translation of general priorities into operational scientific and technical objectives, skills development, big infrastructures priorities setting, partnership, and finally resources distribution to actors ANR (National Agency of Research) and others Evaluation AERES Research Operation knowledge and technologies production, diffusion, technologies transfer Universities, Institutes, Companies
Table of contents • French RDI system • RDI funding and expenses • Evaluation of publiclyfunded RDI • Budget process • Conclusion
RDI funding and expenses Public R&D is mainly funded (95%) by public funds Private R&D is mainly funded (85%) by private funds
RDI funding and expenses Funding flows in 2005 Private Funding 20.2 Md€ 1.17 % du PIB Public Funding 17 Md€ 0.99% du PIB FUNDING 37.1 Md€ 1.2 Md€ 2 Md€ Inter. Funding Inter Funding UE Funding UE Funding 2.6 Md€ 0.7 Md€ 12.4 Md€ 18.3 Md€ 2 Md€ 0.7 Md€ Public Expenses 13,7 Md€ 0.80% PIB EXPENSES 36.7 Md€ Private Expenses 22,9 Md€ 1,34 % PIB
RDI funding and expensesPublic funding of private research Financement public de la R&D des entreprises, 2004 en millions d’euros Les aides directes comprennent les contrats de recherche et les subventions en provenance des administrations. Source : MEN-DEPP-C2
Table of contents • French RDI system • RDI funding and expenses • Evaluation of publiclyfunded RDI • Budget process • Conclusion
Evaluation of Publicly Funded RDI The three levels of assessment: • Public policies impacts Under study • Budgetary and Financial Guardianship of the body (ministry) • Scientific AERES
Evaluation of Publicly Funded RDIAERES AERES : French evaluation agency for research and higher education • Created by the 18 of April 2006 law • Installed in March 2007 • Agency council composed of • 8 qualified personalities • 14 designed members • 2 deputies
Evaluation of Publicly Funded RDIAERES • An independent agency: • Not under any pressure actions • Sealing between evaluation and decision • A legitimate agency: • Publications of professional features of the members of its board and its pool of experts • A transparent agency : • Processes and reports evaluation on the Web • Direct expertise : visiting committees
Evaluation of Publicly Funded RDIAERES Three sections: • Section 1: Evaluation of the research and higher education bodies and validation of the evaluation process for people • Section 2: Evaluation of the research teams • Section 3: Evaluation of training and diplomas of higher education
Evaluation of Publicly Funded RDIAERES • A single structure for the various evaluation field • An evaluation process connected to the contractual process • Criteria and methods conform to international standards
Table of contents • French RDI system • RDI funding and expenses • Evaluation of publiclyfunded RDI • Budget process • Conclusion
Budget process • Since 2006, the French State budget is structured in Missions, Programs and Actions, to be presented to parliament • MIRES = Inter-ministerial Mission for Research and Higher Education • 12 programs driven by 6 ministries • Each operator of a program receive funding for each action on
Budget processPerformance information • By mission, for each program: • PAP, annual performance plan, with objectives and performance indicators outline • RAP, annual performance report with objectives and performance indicators execution
Budget processTimetable Budget N-1 Vote du PLR gouvernement Analyse de l’exécution : préparation des RAP • Loi de règlement : • Projet de loi de règlement (PLR) • RAP • Certification des comptes parlement Budget N Exécution du budget par les administrations Budget N+1 • Travaux préalables : • Réunions de budgétisation • Rencontres DB / DGRI / opérateurs • Réunions DGRI / opérateurs • Conférence de performance Arbitrages politiques : Lettres plafonds € et RH Finalisation du budget : PAP Lettre de cadrage aux ministres • Débat budgétaire : • Projet de loi de finances (PLF) • Jaunes budgétaires Débat d’orientation budgétaire (DOB) Vote du PLF
Budget process Performance information • Not yet direct relationship between global funding and performance indicators • But, indirect relationship via • Evaluation (by AERES) before State contracting with Operator • Control from the board of directors by guardianship
Budget ProcessPerformance information • Today, French budgeting is Performance informed: performance information is used to inform budget decisions along with other information but there is no automatic or mechanical linkage between targets of performance results and funding • Tomorrow, it may move towards Direct/formula performance budgeting: allocation of resources directly based on results achieved, through formula/contract with specific performance or activity indicators[1]
Table of contents • French RDI system • RDI funding and expenses • Evaluation of publiclyfunded RDI • Budget process • Conclusion
Conclusion • News processes to be optimized and orchestrated • State budget process • Operators and teams evaluation and contraction • Projects funding processes • Information system (IS) to be established
The MIRES IS ProjectObjectives • Make consistent information systems of public research to consolidate information • Provide the ministry and, more generally, to all those involved in the MIRES, an information system that meets their needs steering
The MIRES IS ProjectTarget Opérateurs Partenaires OST, DEPP, DAF, DGRH Responsables de programmes DGRI, DGES Autres ministères de la MIRES SI opérateur Portail MIRES SI OST SI opérateur SI opérateur Données issues de SI Données issues des enquêtes Données de gestion Dossier unique CPER Données ES Autres données Structures Données RH Données financières Autres données Base DGRI/DGES/AERES Bases DEPP