preamble - secretariatul general al guvernului€¦ · web viewnational funds, nprdi’s program...
TRANSCRIPT
ROMANIAAdvisory Services Agreement on Technical Assistance for Strengthening Planning and Budgeting Capacity and Supporting the Introduction of Performance Budgeting
OUTPUT NO. 6Institutional Strategic Plan 2019-2022 for the Ministry for Research and Innovation
September 2019
Project co-financed from the European Social Fund through the Operational Programme Administrative Capacity 2014-2020
Copyright Statement
The material in this publication is copyrighted. Copying and/or transmitting this work or portions of it without permission may be a violation of applicable laws, except for representatives of the national authority for research and development or representatives of other organizations empowered by it.
For permission to photocopy or reprint any part of this work, please send a request with the complete information to either of the following institutions: (i) the General Secretariat of the Government (1 Victoriei Square, Bucharest, Romania); or (ii) the World Bank Group Romania (31 Vasile Lascăr Street, Et 6, Sector 2, Bucharest, Romania).
This report was delivered in September 2019, under the Advisory Services Agreement on Strengthening Planning and Budgeting Capacity and Supporting the Introduction of Performance Budgeting, signed between the General Secretariat of the Government and the International Bank for Reconstruction and
Development on June 8, 2016. This corresponds to Output No. 6 under the above-mentioned agreement.
3
CONTENTSPreamble.............................................................................................................................................8
Foreword.............................................................................................................................................9
Executive Summary............................................................................................................................10
1. Introduction................................................................................................................................11
Background........................................................................................................................................11
Methodology.....................................................................................................................................11
Stage of Implementation of the ISP...................................................................................................12
2. Context.......................................................................................................................................15
3. Mission and vision......................................................................................................................21
The Mission of the Ministry...............................................................................................................21
The Vision of the Ministry..................................................................................................................21
4. Strategic Objectives, Programs, Measures and Indicators............................................................23
Strategic Objective 1: Developing the capacity for scientific research and dissemination of research results................................................................................................................................................23
Program 1.1. Physical Infrastructure for RDI...................................................................................25
Program 1.2. Human Resources for RDI..........................................................................................27
Program 1.3. International Collaborations.....................................................................................28
Program 1.4. RDI Institutions..........................................................................................................30
Strategic Objective 2: Increasing economic competitiveness through innovation.............................32
Program 2.2. Supporting private RDI investments..........................................................................35
Strategic Objective 3: Improving administrative capacity..................................................................37
Program 3.1. Institutional capacity of MRI......................................................................................38
5. Arrangements For the Implementation, Monitoring and Evaluation of the ISP............................40
6. Financial Resources.....................................................................................................................42
Annex 1a. Budgetary programs and financial sources 2019-2022 (thousand LEI).................................44
Annex 1b. Programmes, Measures, and related Budgets 2019-2022 (thousand LEI)............................45
Annex 2. Institutional Stratetic Plan (Summary table) – Provisional Values.........................................47
Annex 3. Program and measures (summary table) – Provisional values..............................................49
Annex 4. Information regarding ISP components................................................................................64
Annex 4.1. Institutional profile..........................................................................................................64
Annex 4.2. SWOT Analysis.................................................................................................................69
4
Annex 4.3. PESTLE Analysis................................................................................................................71
Annex 4.4. Policies and strategies......................................................................................................73
Annex 4.5. Organizational chart.........................................................................................................74
Annex 4.6. Relevant national legislation (legislative acts, including their subsequent modifications and completions)...............................................................................................................................75
Annex 5. Draft Regulatory Acts 2019..................................................................................................77
5
LIST OF FIGURESFigure 1. Organization of the strategic planning process at MRI level.........................................................8
Figure 2. Total RD expenditure in Romania...............................................................................................16
Figure 3. Positional analysis of the best performing areas in the Romanian RDI system (H index vs no. of publications with Romanian authors)........................................................................................................17
Figure 4. Evolution of Romanian innovation benchmark indicators, 2019................................................18
Figure 5. Quality of scientific output and public R&D investment levels...................................................19
Figure 6. Evolution of the number of researchers.....................................................................................19
Figure 7. Strategic Objective 1: Structure..................................................................................................24
Figure 8. Strategic Objective 1: Impacts and Results.................................................................................24
Figure 9. Strategic Objective 2: Structure..................................................................................................32
Figure 10. Strategic Objective 2: Impacts and Results...............................................................................33
Figure 11. Strategic Objective 3: Structure................................................................................................37
Figure 12. Strategic Objective 2: Impacts and Results...............................................................................38
Figure 13. Monitoring Cycle of the Institutional Strategic Plan 2019-2022...............................................41
Figure 14. ISP budget structure by funding sources..................................................................................42
LIST OF TABLESTable 1. Strategic Objective 1: Breakdown of financing by budgetary program........................................25
Table 2 Strategic Objective 1: Measures of the Program 1.1.....................................................................26
Table 3. Strategic Objective 1: Measures of the Program 1.2....................................................................27
Table 4 Strategic Objective 1: Measures of the Program 1.3.....................................................................29
Table 5. Strategic Objective 1: Measures of the Program 1.4....................................................................30
Table 6. Strategic Objective 2: Breakdown of financing by programs.......................................................33
Table 7. Strategic Objective 2: Measures of the Program 2.1....................................................................34
Table 8. Strategic Objective 2: Measures of the Program 2.2....................................................................35
Table 9. Strategic Objective 3: Breakdown of financing by budgetary programs......................................38
Table 10. Strategic Objective 3: Measures of the Program 3.1..................................................................39
Table 11. Annual financial allocations, by strategic objectives (thousand lei)...........................................42
Table 12. Financial allocation, by expenditure (thousand lei)...................................................................43
6
LIST OF ACRONYMSAGWP Annual Government Working Plan
BERD Total annual investment in R&D of enterprises
CERN European Organization for Nuclear Research
COP Competitiveness Operational Programme 2014-2020
EIF European Investment Fund
EIS European Innovation Scoreboard
ESIF European Structural and Investment Funds
ELI-NP Extreme Light Infrastructure – Nuclear Physics
ERA European Research Area
ERDF European Regional Development Fund
ERIC European Research Infrastructure Consortium
ESA European Space Agency
ESFRI European Strategy Forum for Research Infrastructures
ESIF European Structural and Investment Funds
EU European Union
FAIR Facility for Antiproton and Ion Research
FTE Full-time equivalent (researchers)
G(E)O Government (Emergency) Ordinance
GD Government Decision
GDP Gross Domestic Product
GoR Government of Romania
GSG General Secretariat of the Government
IFA Institute of Atomic Physics
INCD National Research and Development Institute
IPR Intellectual Property Rights
ISP Institutional Strategic Plan
MRI Ministry for Research and Innovation
MTBF Medium-Term Budgetary Framework
CNCS National Council for Scientific Research
NARD National Institute for Research and Development
NPRDI National Plan for Research Development and Innovation
7
NP2 / NP3 National Plan for Research, Development and Innovation, 2007-2013 / 2015-2020
NSA National Space Agency
NSRDI National Strategy for Research, Development and Innovation
OPC Operational Program Competitiveness 2014-2020
OPAC Operational Program Administrative Capacity 2014-2020
OPDAC Operational Program Administrative Capacity Development 2007-2013
PA Priority Axis
PPU Public Policy Unit
RAS Reimbursable Advisory Services
RCRI Romanian Committee on Research Infrastructures
R&D Research and development
RDI Research, development and innovation
RDIs Research and Development Institutes
R&I Research and innovation
RSA Romanian Space Agency
SME Small and Medium Enterprise
NSRDI National Strategy for Research, Development and Innovation 2014-2020
SOP IAC Sectoral Operational Program Increase of Administrative Capacity 2007-2013
TFEU Treaty on the Functioning of the European Union
UEFISCDI Executive Agency for Higher Education and RDI Funding
WB World Bank
8
PREAMBLEBackground
The General Secretariat of the Government (GSG) has concluded an Agreement on Technical Assistance Services with the World Bank (WB), to strengthen the capacity for planning, budgeting and monitoring policies at the level of the GSG, the Ministry of Public Finance (MPF), and the selected line ministries. In order to improve the efficiency of public spending, the technical assistance focuses on: (i) continuing the consolidation of the existing processes of development of the Institutional Strategic Plan (ISP) under the guidance of the GSG; (ii) building the intra-governmental capacity to monitor the updates and implementation of the ISP with the help of a common IT tool, developed with support from the Bank; and (iii) developing a central dashboard within the GSG, for reporting on the implementation of the major ISP priorities of the selected ministries.
The defined activities of the technical assistance result from the functional analyses of the Public Administration, which have shown that the public sector needs a better connection between planning and budgeting, given the weak connections between the resources used and the results. Therefore, the Government of Romania asked the WB to help institutionalize a process for monitoring the implementation of policies, with clear roles and responsibilities for the GSG, the MPF and the line ministries, using the methodologies, tools and processes developed according to these services. This will be an integral part of the budget reforms promoted by the Government of Romania. In order to make the strategic planning process mandatory for each Romanian ministry, GSG wants that the ISP become a standard product, developed by each ministry.
As one of the selected line ministries, the Ministry of Research and Innovation (MRI) is committed to carrying out a comprehensive reform program, covering both policies and public administration.
Methodology
Figure 1. Organization of the strategic planning process at MRI level
9
PUBLIC POLICY UNIT, SUPPORTED BY THE WORLD
BANK
STATE SECRETARIES
GENERAL SECRETARY
GENERAL DIRECTORS
WORKING GROUP
TECHNICAL COORDINATION GROUP
COORDINATION COMMITTEE
MINISTER
FOREWORDThe Institutional Strategic Plan for 2019-2022 represents a revision of the plan elaborated for the period 2018-2021 and continues the institutional objectives assumed by the Ministry of Research and Innovation (MRI) in the field of scientific research, development and innovation; it also presents clear programs and measures needed to achieve these medium-term goals, as well as a solid performance evaluation framework to estimate progress against these goals.
In line with the National Strategy for Research and Development and Innovation (NSRDI), MRI's vision is for Romania to become competitive at global and regional level through innovation, fueled by research and development, while generating well-being for its citizens. The NSRDI vision is realized through three directions of action: (1) Companies, key actors of innovation; (2) The research environment oriented to a number of strategic areas of intelligent specialization and integrated at international level; (3) Progress in strategic areas. Thus, at the national level, the CDI is positioned at the center of the reform of important sectors and becomes a determining vector of the competitiveness, restructuring and alignment of the Romanian economy with the global trends.
The strategic framework of the ISP is primarily based on the priorities and expectations presented in NSRDI 2020, National Plan for RDI III and in the Government Program and mainly aims at knowledge creation, increased international participation and increased contribution of RDI to development. economic and societal. In this regard, it is essential to predict the substantial and substantial increase in funding, as well as improved mechanisms for inter-institutional collaboration and improved governance and a better correlation in the implementation of policies regarding the exploitation of research potential.
The ISP proposes broad interventions and ambitious targets for all four strategic objectives. These have been elaborated and updated, during the last three years, by the contributions of the representatives of all the specialized departments within the MRI. The plan is also assumed at the level of the Ministry, along with the other strategic documents relevant to the sector.
However, adequate financing, from the state budget but also from European funds, is essential for the fulfillment of the proposed objectives. At the same time, it is necessary to continue efforts to strengthen administrative capacity, develop tools and strengthen the relationships between different actors at the level of the entire RDI system. Strengthening the monitoring and evaluation system, more focused on results and using evidence in decision-making are also important preconditions for the success of this strategic planning approach.
10
EXECUTIVE SUMMARYBy establishing an Institutional Strategic Plan (ISP) for the budget cycle 2017-2020 for the the MPF and the 12 selected ministries, GSG aims to strengthen the budgetary, planning and monitoring capacity of the Romanian Government1.
The ISP 2019-2022 represents a review of the plan developed for the period 2017-2020 and continues the institutional objectives assumed in the field of scientific research, development and innovation; it also presents clear programs and measures (including budgets) needed to achieve these goals over the medium term as well as a robust performance assessment framework to assess progress towards these targets.
The ISP is organized around the main areas under the responsibility of the MRI, as state authority in the field of research and innovation, as follows:
Strategic Objective 1: Developing the capacity of scientific research and dissemination of research results, aimed at increasing the quantity and quality of research results, as well as the international exposure of Romanian research.
Strategic Objective 2: Increasing economic competitiveness through innovation, aimed at promoting collaboration between the RDI sector and industry, directly related to the priorities of industrial, competitiveness and SME policies as a mechanism to support the transition of the Romanian economy from cost competitiveness to innovation-generated performance.
Strategic Objective 3: Developing institutional capacity for MRI to strengthen the Ministry's ability to carry out its policy and regulatory functions efficiently and effectively.
A description of the expected strategic objectives and estimated results, programs and expected outcomes and planned measures, correlated with the financial resources and their distribution over the implementation period, is presented in the body of the ISP below.
1 The project was initiated and developed in 2016 by the Chancellery of the Prime Minister (CPM), reorganized in 2017 under the coordination of the GSG.
11
1. INTRODUCTION
Background
The General Secretariat of the Government (GSG) has concluded an Agreement on Technical Assistance Services with the World Bank (WB), to strengthen the capacity for planning, budgeting and monitoring policies at the level of the GSG, the Ministry of Public Finance (MPF), and the selected line ministries 2. In order to improve the efficiency of public spending, the technical assistance focuses on: (i) continuing the consolidation of the existing processes of development of the Institutional Strategic Plan (ISP) under the guidance of the GSG; (ii) building the intra-governmental capacity to monitor the updates and implementation of the ISP with the help of a common IT tool, developed with support from the Bank; and (iii) developing a central dashboard within the GSG, for reporting on the implementation of the major ISP priorities of the selected ministries.
The defined activities of the technical assistance result from the functional analyses of the Public Administration, which have shown that the public sector needs a better connection between planning and budgeting, given the weak connections between the resources used and the results. Therefore, the Government of Romania asked the WB to help institutionalize a process for monitoring the implementation of policies, with clear roles and responsibilities for the GSG, the MPF and the line ministries, using the methodologies, tools and processes developed according to these services. This will be an integral part of the budget reforms promoted by the Government of Romania. In order to make the strategic planning process mandatory for each Romanian ministry, GSG wants that the ISP become a standard product, developed by each ministry.
As one of the selected line ministries, the Ministry of Research and Innovation (MRI) is committed to carrying out a comprehensive reform program, covering both policies and public administration, and the ISP is an instrument in support of this process.
Methodology
The ISP review follows a process similar to the elaboration of the strategic document, as part of the unitary methodology applied at the level of the ministries within the SIPOCA28 project. The process takes into account the structure of the ISP with its strategic objectives, programs, measures, indicators and targets set previously in the planned time horizon (4 years) and follows an update related to the 2019-2022 Medium-Term Budgetary Framework (MTBF). The review consists of:
- Comparing the registered results with those planned for the previous year; these will be based on the objectives set in the strategic and operational plans;
- Conducting an exploration of the internal and external environment of the ministry, to establish any significant changes that are necessary for the forecasts supported by the current plan, respectively: national sectoral and intersectoral strategies in force or newly emerging since the last use within the ISP; the governance program; strategic reviews (functional analysis); and country-specific recommendations;
2 Project „Extending the strategic planning system at the level of line ministries” - Cod SIPOCA 28
12
- Adding an additional year to the plan3;- Reviewing and updating the Programs and their objectives, the results (outcomes) and the
target values of the indicators;- Reviewing measures and immediate outputs and target values of indicators;- Analyzing and reviewing of the budget related to the Measures (cost of immediate
achievements) within the MTBF 2019-2022- Updating Programs budgets (as sum of the budget of the Measures).
Stage of Implementation of the ISP
Section 1
ISP 2019-2022 represents a revision of the plan elaborated for the period 2017-2020 and continues the institutional objectives assumed in the field of scientific research, development and innovation; it also presents clear programs and measures (including budgets) needed to achieve these medium-term goals, as well as a solid performance evaluation framework to estimate progress against these goals.
Section 2
The implementation of ISP 2018 was done at the level of the specialized directions within the Ministry, by carrying out the activities, in accordance with their specific tasks. Reporting of the implementation of the ISP is not institutionalized, as there is no formal system for collecting, reporting and aggregating information. Responsibilities regarding the monitoring of ISP rest with the members of the Working Group, appointed by order of the minister.
The methodology for program budgeting has not yet been formalized by an administrative act applicable to the central administration, and the budget execution is not done on the ISP budget programs.
The main problems identified in relation to reporting on the ISP implementation are related to the lack of a functional information platform for data collection.
Section 3
The Institutional Strategic Plan for 2018-2021 was composed of three strategic objectives, seven programmes and 14 measures, in the following structure:
Objectives Programs Measures
Strategic Objective 1: Developing the capacity of scientific research and dissemination of research results
Program 1.1 Physical Infrastructure for RDI
M1.1.1.1 Financing infrastructure projects of European importance
M1.1.1.2 Financing RDI infrastructures for public RDI institutions
Programme 1.2 Human resources for RDI
M1.2.1.1 Preparing young researchers
M1.2.1.2 Attracting high-skilled researchers from abroad in the public RDI organizations
Programme 1.3 M1.3.1.1 Support for international collaborations
3 See the Methodology for the elaboration, monitoring and reporting of the ISPs, and of the program budgeting , annex to the draft GD regarding the approval of the methodology for the elaboration, monitoring and reporting of the ISPs and the budgetary programs
13
Objectives Programs Measures
Internationalization M1.3.1.2 Dissemination and access to information
Programme 1.4 RDI Institutions
M.1.4.1.1 Research in fields of strategic interest for RomaniaM.1.4.1.2 Institutional support
Strategic Objective 2: Increasing economic competitiveness through innovation
Programme 2.1. Knowledge transfer
M2.1.1.1 Knowledge transfer partnershipsM.2.1.1.2 Support for innovation clusters
Programme 2.2 Supporting private RDI investments
M2.2.1.1 Implementation of risk capital instruments for RDI
M2.2.1.2 Supporting enterprises demand for innovation
Developing institutional capacity for MRI
Programme 3.1. RDI governance system
M3.1.1.1 Evidence-based RDI policyM3.1.1.2 National RDI governance system
Regarding the level of achievement of the performance indicators at the level of strategic objectives and programs:
Objectives, programs Indicators Target 2018
Achieved 2018
Strategic Objective 1. Developing the capacity for scientific research and dissemination of research results
Share of scientific publications present in the top 10% most cited publications worldwide, out of the total number of publications in the country
5,5% n.a. 4
Number of international scientific co-publications (no./1 mil. Inhabitants) 200 n.a.
Number of researchers (FTE) 16.500 n.a.
Programme 1.1. Physical Infrastructure for RDI
Number of researchers working in improved research centres 450 n.a.
Programme 1.2. Human resources for RDI
The number of new researchers (FTE) in the supported entities 550 655
Programme 1.3. Internationalization
The number of international partnerships under Horizon 2020 350 n.a.
Programme 1.4. RDI Institutions The number of ISI research publications 58 n.a.
Strategic Objective 2. Increasing economic competitiveness through innovation
The number of patents requested from EPO and USPTO (no./year) 100 353
The share of private R&D expenditure in GDP 0,35% n.a.
Programme 2.1 Knowledge transfer
The number of companies cooperating with research institutions 50 200
Programme 2.2 Supporting private RDI investments
The number of innovative enterprises (product, process, unfinished, abandoned, organizing, marketing) 4.000 n.a.
Strategic Objective 3. The total number of research projects carried out in 9.000 n.a.
4 Newest data show progress up to 2017.
14
Objectives, programs Indicators Target 2018
Achieved 2018
Improving administrative capacity Romania
Programme 3.1 Institutional capacity
The RDI governance system reformed in accordance with the NSRDI provisions YES NO
For most of the performance indicators attached to the objectives and programs, the latest data are available for 2017, therefore monitoring of impact and outcome indicators will be possible starting in 2019. For some of the indicators, partial data is available, extracted in based on the results of the projects financed through the Operational Program Competitiveness (OPC) - for example: number of projects carried out (200), innovative enterprises (74). However, bear limited relevance in the overall context. The indicators for which it was possible to collect progress data exceeded the assumed targets (based on the results of the POC projects).
The implementation of the ISP for the year 2018 was assumed at the level of the MRI through Ministerial Order, benefiting from high-level support and coordination for its implementation.
At MRI level, ISP is not yet used as a working tool for substantiating public policies and budgetary resources, in the absence of an updated regulatory framework.
15
2. CONTEXTGlobal economic outlooks5 anticipate a slowdown in the economic growth rate registered during the last few years, together with an increase in risks, reduction of investment levels and intensification of uncertainties, in many parts of the world. In the European Union, after more than six years of sustained economic growth, there is a marked slowdown in economic activity6, due to the influence of external (global) and internal factors. Against these macroeconomic conditions, the EU is nearing the end of the 2014-2020 programming period and is in the process of preparing the new post-2020 strategic and financial framework.
In the field of RDI, the European Commission (EC) has already made public its proposals for the Horizon Europe program, the successor to the Horizon 2020 program, reconfirming that research, development and innovation (RDI) will continue to be a focal point of the EU's long-term global competitiveness . Continuing the previous main directions, the future program, with a total budget of approximately 100 billion euros, will have a pronounced orientation towards results and will be more "connected" with the investments made through the Cohesion Policy, acting on three main complementary and interconnected pillars. The first pillar (scientific excellence) will support excellence research activities in fundamental research. It aims to strengthen the EU's leading position in the scientific field and to produce frontier research results. The second pillar (global challenges and European industrial competitiveness) will support research addressing societal challenges and industrial technologies in areas such as health, security, digital technologies and essential generic technologies, climate, energy and mobility, food supply and natural resources. The third pillar (Innovative Europe) will focus on intensifying revolutionary and disruptive innovation, by establishing the European Council for Innovation. The latter will provide a unique access point for high potential innovators7.
Romanian research has long been classified as underperforming and under-funded (both from public and private sources), providing limited knowledge, and with a low global impact. Several thematic evaluations8 have highlighted more or less the same recurring challenges, including fragmentation of governance, focus on fundamental research, and failure to utilize private potential, and, often, improper use of available and limited funding.
For the 2014-2020 period, the programmatic documents for the sector are the National Strategy for Research, Development and Innovation (NSRDI) 2014-2020 approved by GD 929/2014, the National Plan for Research, Development and Innovation 2015-2020 (NPRDI III), approved by GD 583/2015, with subsequent amendments and additions and the OPC - Axis 1, which provides the financing framework from the European Structural and Investment Funds (ESIF). One of the positive effects of the programming exercise 2006-2013 is a change of paradigm in the research system: the scientific production increased, and the individual and institutional behavior were oriented towards a more
5 See analyses by the World Bank: http://www.worldbank.org/en/publication/global-economic-prospects, OECD: http://www.oecd.org/economy/economic-outlook/, IMF: https://www.imf.org/en/Publications/WEO 6 EC: https://ec.europa.eu/info/sites/info/files/economy-finance/ip102_en.pdf7 https://www.consilium.europa.eu/ro/press/press-releases/2019/03/27/eu-agreement-on-future-research-and-innovation-programme/8 For example, the functional analysis by the WB (2011), The 2012 interim evaluation of NSRDI and NPRDI 2007-2013, Evaluation report regarding the Romanian RDI governance system 2007-2013, annual RIO analyses starting with 2008: https://rio.jrc.ec.europa.eu/en/country-analysis/Romania/country-report, EC analysis in the context of the European Semester starting with 2015: https://rio.jrc.ec.europa.eu/en/country-analysis/Romania/european-semester
16
competitive approach. International participation of Romanian research has also increased, compared to the past. It is worth mentioning that Romania has one of the largest scientific diasporas in the countries of the European Union.
However, the lack of resources and poor allocation have led to an abundance of underused research infrastructures and a number of doctoral students, with limited career prospects in the field of research. Despite the concerted efforts of the main decision-makers in the field of RDI, the performance of the RDI is below expectations and expected results; in the EC reports 9, Romania is still placed in the group of countries with a weak scientific basis, and the quality of the public research and innovation system is still low. Only two countries, Romania and Bulgaria, remain in this group, and the gap between Romania and the other Member States is still increasing, mainly as a direct consequence of the low share of research and development spending.
Figure 2. Total RD expenditure in Romania
Total RD expenditure (billion euros, current prices)2012 2013 2014 2015 2016 2017
2.873 2.465 2.556 3.477 3.675 4.317
RD Intensity (% GDP)2012 2013 2014 2015 2016 2017
0,49% 0,39% 0,38% 0,49% 0,48% 0,50%0,29+0,20 0,27+0,12 0,22+0,16 0,27+0,22 0,21+0,27 0,21+0,29
(Total = public sources + private sources)
Source: National Institute for Statistics, Tempo Online10
Although the target for RD expenditure (1.98-2.00% of GDP by 2020, in the structure of 1% public and 1% private funds) was assumed by Romania through the National Reform Program, given the current funding and time left, this is impossible to reach.
By the number of scientific documents generated, Romania ranks 41st in the world 11, after Egypt, Pakistan and Thailand, and 4th in Eastern Europe, after the Russian Federation, Poland and the Czech Republic. According to the Hirsch index (h-index), Romania ranks 54th in the world (h-index = 211), after Bulgaria (217), Pakistan (217) and Kenya (216), and 11th in Eastern Europe, after Estonia (234), Ukraine (225) and Bulgaria (217). Most of the works and citations for Romania, are provided by a few fields (with an order that varies from year to year): engineering, medicine, physics and astronomy, chemistry and chemical engineering, computer science, materials science, biochemistry, genetics and molecular biology.
9 European Semester, Thematic Fiche Research and Innovation, available at: http://ec.europa.eu/europe2020/pdf/themes/2016/research_innovation_201605.pdf and European Innovation Indicators System 2016, available at: http://ec.europa.eu/DocsRoom/documents/17822 10 http://statistici.insse.ro:8077/tempo-online/#/pages/tables/insse-table 11 http://www.marketwatch.ro/articol/16346/Coltul_lipsit_de_perspectiva/
17
Figure 3. Positional analysis of the best performing areas in the Romanian RDI system (H index vs no. of publications with Romanian authors)
Source: Scimago Journal & Country Rank (based on Scopus data), November 201812
Regarding the position of Romania in the "European Innovation Scoreboard"13 (EIS) indicator system, although some indicators show an improvement, the general tendency shows a decrease in performance. For example, while the percentage of doctoral graduates per thousand inhabitants and scientific co-publications had a positive trend, investments, venture capital financing, the number of innovative domestic SMEs and collaboration indicators decreased.
12 http://www.scimagojr.com/mapgen.php?maptype=bc&country=RO&y=citasxitem 13 Available at: http://ec.europa.eu/growth/industry/innovation/facts-figures/scoreboards
18
19
Figure 4. Evolution of Romanian innovation benchmark indicators, 2019
Sursa: EIS 2018, https://ec.europa.eu/docsroom/documents/30697
Performance: dark green >120%, light green 90-120%, yellow 50-90%, orange <50% red indicates decline compared to 2010.
Figure 5. Quality of scientific output and public R&D investment levels
Source: EIS 201814
In terms of innovation, Romania and Bulgaria are positioned in the "Modest Innovators" category (an aggregate indicator level below 50% of the EU average), but Bulgaria has increased its advance compared to Romania in 2018, and Romania is moving further away from the European average, registering the the steepest decline in the EU, compared to 2010 (-30% in 2018). The largest declines were recorded in three dimensions: human resources, public and private RDI investments, number of innovative SMEs. Switzerland remains the most innovative country in Europe, and Sweden remains the most innovative country in the EU (2 times less inhabitants, but 4 times more researchers than Romania). În Romania, the share of researchers15 per 1 million persons is 0.19% (the lowest in the EU), while the European average is around 0.90%.
Figure 6. Evolution of the number of researchers
Source: INS 2018, NCSR Report
The RDI system remains fragmented and highly polarized, its results being generated by a limited number of operators. Although the NSRDI 2014-2020 provides for improved institutional evaluation mechanisms, the process of implementing them remains uncertain. The SIPOCA project carried out by
14 Available at: http://ec.europa.eu/growth/industry/innovation/facts-figures/scoreboards. 15 Full-time equivalent.
20
the MRI within the Operational Program Administrative Capacity (POCA) should provide an evaluation methodology.
For the 2017-2020 period, the strategic and financial framework of the RDI sector is clearly established. Currently, the process of updating the strategic and financial framework for the next programming cycle (2021-2027) has begun, both in terms of the implementation of the national policy in the field of research, development and innovation, and in the context of the implementation of the Cohesion Policy in Romania. Until 2023, including, the RDI sector will continue to receive funding from ESIF, through the Competitiveness OP 2014-2020.
21
3. MISSION AND VISION
The Mission of the Ministry
The Ministry of Research and Innovation coordinates the implementation of the NSRDI 2014-2020 and the Government Program16 in the field of scientific research, technological development and innovation. It is also mandated to “organize and lead the national system for scientific research, technological development and innovation”.17
Drawing upon the mandate established by law18 the Mission of the Ministry for Research and Innovation is to coordinate and lead the Romanian RDI system, exercising its attributions established by law and other normative acts in its field of activity, and, as appropriate, carry out governmental policy in their fields of activity, together with line ministries.
The Vision of the Ministry
In line with the strategic vision regarding the RDI sector in Romania, as stated in the NSDRI 2014-2020 19, the vision of the Ministry for Research and Innovation is that “In 2020, Romania becomes globally and regionally competitive through innovation, fueled by research and development, while generating welfare for its citizens”.
The NSRDI vision establishes a set of principles for action, supported through three main pillars: (1) Companies become key actors of innovation through increased efficiency of RDI processes and high-quality products; (2) The RDI sector develops around a number of strategic areas of smart specialization, is integrated internationally and offers an attractive environment for the members of the global scientific community; (3) Breakthroughs in strategic areas, such as: bio-economy; information and communication technology, space and security; eco-nanotechnologies and advanced materials. Thus, at national level, the RDI is at the center of the reform of some important sectors and becomes the vector of the national re-industrialization policy20 by focusing on competitiveness clusters, as well as the key factor for the modernization of the Romanian agriculture, by optimizing food products and developing the eco-nanotechnology that preserves the properties of water, air and soil.
International competitiveness is based on excellence research at European and international level by supporting pan-European infrastructure projects and interdisciplinary research centers, such as DANUBIUS-RI, ELI-NP and ALFRED.
The strategic framework draws primarily upon the priorities and expectations stated in the National Strategy and Plan for RDI 2014-2020 and in the Government Program 2017-2020 and aims mainly on improved knowledge creation, increased international exposure and enhanced contribution of RDI to economic and societal development. To that extent, the predictable and substantial increase of financing is essential, as well as refined mechanisms for inter-institutional collaboration and improved
16 http://gov.ro/ro/obiective/programul-de-guvernare, pg. 41-43. 17 The mandate is based on GF 13/2017 regarding the organization and functioning of the MRI.18 GD no. 13/2017.19https://www.edu.ro/sites/default/files/_fi%C8%99iere/Minister/2016/strategii/strategia-cdi-2020_-proiect- hg.pdf, p.1020 Government Program 2018-2020, pg.7.
22
governance and better correlation in terms of policy implementation in relation to education and labor market.
While the cross-cutting nature of RDI is pivotal in determining future directions, a sectoral approach is also envisaged with respect to industrial specialization and priority field of public importance. Actions and resources are also directed towards areas which increase the capacity of responding to tangible and imperative social challenges, as is the case with emerging technologies. At the same time, fundamental research is at the heart of RDI strategic framework, as a source for frontier and interdisciplinary research21.
21 Based on RDI Strategy 2014-2020, pg.7.
23
4. STRATEGIC OBJECTIVES, PROGRAMS, MEASURES AND INDICATORS
Strategic Objective 1: Developing the capacity for scientific research and dissemination of research results
Taking into consideration the widening performance gap between the Romanian and the EU research systems, the need for fast-paced, substantial and systemic interventions is growing. Romania needs to capitalize on its current strengths, while addressing the vulnerabilities related to governance and underfinancing.
As such, continuing to develop the research infrastructure, focusing on a limited number of large-scale, critical projects and taking stock of the existing ones, while improving the efficiency of their use, is essential for achieving a balanced and competitive research system.
Addressing the challenges related to human resources is another key factor for improving scientific results. Capitalizing on the newest generations of PhD students resulted from the previous programming period, means increasing the attractiveness and improving the prospects of the research career. While reversing brain drain may prove too difficult to achieve, putting a stop to it and intensifying the ties with the research diaspora may provide significant positive results.
Following a positive trend in internal exposure, driven partially by the significant change in the researchers’’ performance evaluation factors and partially by increased focus on results in EU-projects financing, the international exposure of Romanian research has also improved. However incentivized by the prospects of participating in international projects, the Romanian research organizations have yet to achieve the desired results. Participation in FP7 and in other international collaborative initiatives has proven difficult, for lack of experience, information and, more importantly, resources.
At the same time, continuing the support for research in a limited number of key fields of strategic societal and economic importance, as well as the flagship projects (ELI-NP, DANUBIUS-RI, and ALFRED) is bound to contribute significantly to increasing the performance of Romanian research.
Informed by these assumptions, Strategic Objective 1 sets out to transpose the national strategic priorities and the Government Program in respect to achieving research excellence at EU and international level22, focusing on improving the quality of the research output. To this end, it focuses on supporting the development of competitive research organizations the through their core enabling elements: improving the RDI infrastructure, enabling the build-up of a critical mass of researchers, facilitating their exposure at international level and supporting fundamental and exploratory research project in key priority fields. These pillars build upon and reinforce each other and are the core of a functioning innovation ecosystem, capable of producing tangible positive effects for the Romanian economy and society.
22 Government Program 2017-2020, Chapter on RDI, Priority 3, pg. 42, available at: http://gov.ro/fisiere/pagini_fisiere/Programul_de_guvernare_2017-2020.pdf
24
The expected change (impact), following the implementation of the program and measures subsequent to SO1 refer to increasing the quantity and quality of research output, as well as the international exposure of Romanian research. The selected indicators reflect: a bibliometric measurement of scientific excellence (the share of scientific publications present in the top 10% most cited publications worldwide, among all national scientific publications), the number of researchers (FTE) and international scientific co-publications.
Figure 7. Strategic Objective 1: Structure
Strategic Objective 1.Developing the capacity for scientific research and dissemination of research results
Program 1.1.Physical Infrastructure
for RDI
Program 1.2.Human resources for RDI
Program 1.3.International
Collaborations
Program 1.4.RDI Institutions
Measures of Program 1.1M1.1.1.1 Financing
infrastructure projects of European importance
M1.1.1.2 Financing RDI infrastructures for public
RDI institutions
Measures of Program 1.2
M1.2.1.1 Preparing young researchers
M1.2.1.2 Attracting high-skilled researchers from abroad in the public RDI
organizations
Measures of Program 1.3M1.3.1.1 Support for
international collaborations
M1.3.1.2 Dissemination and access to information
Measures of Program 1.4
M.1.4.1.1 Research in fields of strategic interest
for RomaniaM.1.4.1.2 Institutional
support
Figure 8. Strategic Objective 1: Impacts and Results
Impacts
Increasing the quantity and quality of the research results and the international visibility of the Romanian research: (1) The intensity of the public CD expenditures will reach 0.30% in 2022, compared with 0.27% in 2015); (2) the share of scientific publications in the top 10% of the most cited publications in the world, in the total of scientific publications at the country level, will reach 6% in 2022, compared to 4.8% in 2015 (EIS 2018).
Results
(1.1.1) Increasing research capacity: the number of research infrastructures will increase, from 1,713 infrastructures in 2018, to 2,000 in 2022 (Source: erris.gov.ro)(1.2.1.) Training of new researchers: the number of researchers (ENI) will increase, from 18,046 in 2016 (INS), to 18,400 in 2022.(1.3.1.) Participation in international projects: The number of projects implemented through international partnerships will reach 600 in 2022, compared to 556 in 2018 (CORDIS). (1.4.1.) Improving the results of research in Romania: The number of Romanian journals listed by ISI will reach 60 in 2022 compared to 57 in 2018 (MRI, https://www.uefiscdi.ro/resource-84625).
25
Table 1. Strategic Objective 1: Breakdown of financing by budgetary program
Budget by programs of the Strategic Objective
Total (thousand
RON)
Total value/year (thousand RON)
2019 2020 2021 2022
P 1.1 Physical Infrastructure for RDI 1.321.866,90 489.770,57 489.596,33 162.500,00 180.000,00
P 1.2 Human resources for RDI 220.084,00 55.021,00 55.021,00 55.021,00 55.021,00
P 1.3 International Collaborations 386.380,00 90.608,00 84.996,00 120.238,00 90.538,00
P 1.4 RDI Institutions 2.573.831,00 634.081,00 634.750,00 646.000,00 659.000,00
Total SO 1 4.502.161,90 1.269.480,57 1.264.363,33 983.759,00 984.559,00
Program 1.1. Physical Infrastructure for RDI
Rationale. NSRDI 2014-2020 promotes services provided by the existing infrastructures and encourages new investments, by a) supporting projects for creating new infrastructures (laboratories, research centers, etc.) and b) supporting the development of the pan-European research infrastructures in Romania (ESFRI). Investments target priority sectors, especially in top organizations carrying out research activities, in order to optimize investments in RD equipment and to favor income generation from its utilization. The main types of projects financed include: investments in RD infrastructure (of regional, national, pan-European interest); investments in projects complementary to those existing locally; projects regarding the integration or connection of local networks to the similar / complementary RD international infrastructures. Stimulating the creation and development of innovation groups around large infrastructures, as well as maintaining and developing the National Register of RD Infrastructures is also foreseen within this measure.
Currently about 1,713 research facilities are registered in the Register of Research Infrastructures in Romania (ERRIS, https://erris.gov.ro/main/index.php), which are associated with around 8,681 research services, 215 technological services and over 23,000 equipment23. Out of the 1,200 research facilities registered, less than 10% are from the private sector. At the same time, not all of these facilities can be considered research infrastructures, within the meaning of the definitions accepted and used in the field practice, some being, in practice, equipment. ERRIS shows, however, that there is an accumulated equipment stock of extremely high value in Romania, with a high potential for scientific operation. On the other hand, there are signals that the exploitation of the equipment and the research infrastructures is deficient, either due to the lack of qualified personnel for their operation, or due to the lack of a technical support infrastructure (e.g. the consumption of electricity that is not adapted to the network of the building). These issues are highlighted in the Roadmap on the development priorities of research infrastructures, updated by the MRI in 2017. The main challenges are therefore related to:
a) the existence of qualified personnel,b) the degree of loading,c) operating costs,
23 http://sipoca27.ro/wp-content/uploads/2018/02/Situatia-infrastucturilor-existente.pdf https://www.uefiscdi.ro/resource-84625
26
d) scientific & economic results,e) the connection with the private / public environment
Objectives. P1.1 aims to achieve the following results by 2022:
(1.1.1) Investments to increase research capacity:
o The number of research facilities will increase, from 1,713 infrastructures in 2019, to 2,000 in 2022 (Source: erris.gov.ro)
Description. Program 1.1 focuses on two main lines of action, in a comprehensive effort to consolidate and expand public research infrastructure.
Measures. The measures by which the program will be implemented are summarized below. The budgets allocated to them, as well as the objectives and related monitoring indicators, are presented in the annexes to the ISP.
Table 2 Strategic Objective 1: Measures of the Program 1.1
1.1.1. Increasing the capacity utilization rate of the research facilities
M1.1.1.1 Financing major European infrastructure projects
M1.1.1.2 Financing RDI infrastructures for public RDI institutions
M1.1.1.1. Financing major European infrastructure projects refers to supporting the development of large, open pan-European research infrastructures (ESFRI) in Romania. The financing of these investments is ensured by:
- ESI funds: Competitiveness OP 2014-2020, IP-1a, Action 1.1.1 Large R&D infrastructures, type of projects: ELI-NP, DANUBIUS-RI and approved projects in the national Roadmap on research infrastructures.
- National funds: NPRDI’s Subprogram 5.4. Research, development and innovation program for river-delta-maritime systems (DANUBIUS) and Subprogram 5.5 Research, development and innovation program for IVth generation reactors (ALFRED)
M1.1.1.2. Financing RDI infrastructures for public RDI institutions refers to the development and arrangement of new laboratories or research centers or to the modernization of new research institutions and public universities. The financing of these investments is ensured through:
- ESI funds: Competitiveness OP, IP-1a, Action 1.1.1 Large R&D infrastructures; project type: Investment projects for R&D public institutions / universities; Objective: to increase R&D capacity in the domains identified within NSRDI as being a priority for smart specializations and health.
- National Funds:
a) NPRDI’s Subprogram 1.3. R&D Infrastructures
b) Financing Program for National Interest Research Facilities, which provides financing to cover the costs of maintenance, operation and security for the 29 facilities and special objectives of national interest.
27
Success factors. The critical success factors for achieving the expected change refer to:
- coordination between national and European sources of funding (in particular to avoid overlaps),- ensuring access conditions,- increased transparency.
Program 1.2. Human Resources for RDI
Rationale. One of the most severe deficiencies of the Romanian research system is related to the insufficient critical mass of researchers. Massive and long-term brain-drain, low payment and poor working conditions, lack of perspective regarding a professional career in research, are among the factors which have contributed to the current situation.
During the previous programming period efforts have been made in supporting new generations of PhD students24 and in attracting young researchers in the Romanian research organizations. Overall under-financing and insufficient opportunities have, however, determined poor results.
Objectives. P1.2 focusing on increasing the attractiveness of the research career, seeking to obtain the following results by 2022:
(1.2.1.) Human Resources for Research
o The number of researchers (FTE) will increase, from 18.046 in 2016, to 18.400 in 2022.
Description. Program 1.2 combines national and EU funding in a variety of interventions, by preparing new generations of researchers, promoting and rewarding excellence, and encouraging mobility.
Measures. The measures by which the program will be implemented are presented synthetically, in the following. The budgets allocated to them, as well as the objectives and related monitoring indicators, are presented in the annexes to the ISP.
Table 3. Strategic Objective 1: Measures of the Program 1.2
1.2.1. Human Resources for Research
M1.2.1.1 Preparing young researchers
M1.2.1.2 Attracting highly-skilled researchers from abroad in the public RDI organizations
M.1.2.1.1. Preparing young researchers aims at increasing the number and quality of human resources in R&D activities in priority sectors. The objectives are related to increasing the number of researchers and preparing new generations, boosting the attractiveness of careers in research, improving the performance of the group, creating and updating the National Register of Researchers. The financing of these investments is ensured by:
- National Funds: NPRDI’s Subprogram 1.1. Human Resources aimed at increasing the number and quality of human resources in R&D activities in priority sectors. The main types of projects funded under this measure are: doctoral and post-doctoral research projects, including industrial PhD; Research projects to stimulate young independent teams; complex reintegration programs for researchers from the diaspora (young and experienced); scholarship for young researchers; rewards for research results (articles), research scholarships ("Stefan Odobleja", "Spiru Haret", Mobilities).
24 Through EU funding (ESF), Sectoral Operational Programme Development of Human Resources 2007-2013.
28
M1.2.1.2. Attracting highly-skilled researchers from abroad in public RDI organizations and developing the concept of “brain return” targets the creation of scientific and/or technological competence cores, at European standards, within an RD institution, university or enterprise, by attracting specialists from abroad. The financing of these investments is ensured by:
- ESI Funds: Competitiveness OP, PA1-1a, Action 1.1.4. Attracting staff with advanced skills from abroad.
Projects will be conducted by the specialist from abroad, who will be hired as a scientific researcher (at least) for the duration of the project, by the host institution. This action is aimed at consolidating the RDI capacity for preparing the participation to Horizon 2020 and will concentrate on the four plus one priority sectors established by the NSRDI.
Success factors. Critical success factors for achieving the envisaged change are related to:
- Increased public funding for RDI, according to the established targets;- Absorption of the available EU funds;- Strengthening the collaboration mechanisms between MRI and Ministry of Education, through the
National Council for Scientific Research (NCSR) and the National Council for Titles, Diplomas and Certificates (CNADTCU).
Program 1.3. International Collaborations
Rationale. The international exposure of Romanian research has generally been limited, as a consequence of poor funding and lack of information and experience, doubled by the absence of any incentives for researchers to commit to the effort. Following the reforms in the respect to performance assessment and the EU funding from the previous programming period, international activities and exposure are picking up. However, this generates further need for support and additional resources dedicated to facilitating affiliation or participation to regional, European or international initiatives, programs, infrastructures etc.
The NSRDI provides funding for Romania’s participation to the Joint Programming Initiatives (JPI) 25, Joint Technology Initiatives (JTI)26, European Innovation Partnerships (EIP)27, as well as to bilateral programs and some international organizations.
At the same time, the current strategic framework supports the participation to Horizon 2020 projects, by ensuring co-financing, as well as to other types of institutional partnerships, common chairs and collaborations.
Objectives. Program 1.3 is aimed at increasing the participation of Romanian RD organizations and enterprises (especially SMEs) to Horizon 2020 and aims at achieving the following results:
(1.3.1.) Increased participation in international projects
o The number of projects implemented in international partnerships will reach 600 in 2022, compared to 556 in 2018 (Source: CORDIS).
25 http://ec.europa.eu/research/era/joint-programming-initiatives_en.html 26 http://ec.europa.eu/research/jti/index_en.cfm 27 http://ec.europa.eu/research/innovation-union/index_en.cfm?pg=eip
29
Description. Access to international databases is essential for improving research results and, consequently, new resources will aim to ensure access to information and documentation sources, creating a virtual campus and a national resource repository, promoting free access to scientific publications, and providing mobile access to resources.
GRID projects are foreseen, further development of RoEduNet28 (single project), high-speed connections to EU infrastructure; migration to high-speed connections; ensuring access to international scientific literature (ANELIS-PLUS29 project). Both RoEduNet and ANELIS-PLUS are priority projects for increasing the capacity of the Romanian CD system and its correlation and connection to international research.
Measures. Program 1.3 comprises two measures, designed to support participation in European research and to encourage international collaborations, by providing direct access to funding and information, for research organizations in Romania. The measures by which the program will be implemented are summarized below. The budgets allocated to them, as well as the objectives and related monitoring indicators, are presented in the annexes to the ISP.
Table 4 Strategic Objective 1: Measures of the Program 1.3
1.3.1. Participation in international programs
M1.3.1.1 Support for international collaborations
M1.3.1.2 Dissemination and access to information
M1.3.1.1 Support for international collaborations refers to supporting a wide range of interventions, including: supporting participation to different types of “Horizon 2020” projects and rewarding the institutional participation to these projects, encouraging synergies between “Horizon 2020” and other international RDI programs, increasing the visibility of Romanian research by participating in international research programs and organizations, integrating Romanian research into the European research area, improving bilateral and multilateral cooperation in the field of scientific research. The financing of these interventions is ensured by:
- ESI Funds: COP IP-1a, Action 1.1.3. Creating synergies with RDI actions of the EU's Horizon 2020 framework program and other international RDI programs
- National funds:o NPRDI Subprograms: 3.1. Bilateral, 3.2. "Horizon 2020", 3.3. Supporting Romanian participation
in JPI, 3.4. Supporting JTI / JU participation, 3.5 Other European and international initiatives and programs, 3.6. Support
o NPRDI Subprogram5: 5.2. Participation in international research bodies and programs (includes participation fees), 5.3. RDI Program for space technology and advanced research - STAR.
M1.3.1.2 Dissemination and access to information refers to ensuring access to international databases for Romanian researchers, building networks of R&D centers that are coordinated at national level and connected to European and international networks, and supporting participation to scientific events and RDI literature. Funding of interventions under this measure is ensured by:
- ESI Funds: Competitiveness OP, IP-1a, Action 1.1.2. Building networks of R&D centers, coordinated at national level and connected to European and international networks, and providing researchers with access to scientific publications and European and international databases; type of projects: CLOUD and big data infrastructures; ANELIS PLUS; RoEduNet
28 https://www.roedu.net/ 29 http://www.anelisplus.ro/
30
- National funds: - Scientific events subsidized from the state budget,- Subsidies for RDI literature- Support for Open Access publishing
Success factors. Critical success factors for achieving the envisaged change are related to:
- Increased public funding for RDI, according to the established targets;- Absorption of the available EU funds;
Program 1.4. RDI Institutions
Rationale. The research institutes under the Romanian Academy have the capability to internationally promote the Romanian scientific identity and to create leadership in a number of selected fields. By targeting funding to those fields/actors which have demonstrated excellence and internationalization potential, inter-disciplinary research will be supported, thus generating accumulation of knowledge, providing answers to societal problems and opening up new niches for excellence. No less important, fundamental research is crucial for preparing the future generations of researchers and specialists.
Objectives. Program 1.4 aims at maintaining and developing the niche RDI fields where RO still has a competitive advantage, so as to obtain high-level scientific results, with commercialization potential/ perspectives. As such, it aims at achieving the following results:
(1.4.1.) Increasing the output and quality of Romanian research:
o The number of ISI listed Romanian journals will increase from 57, to 60, in 2022
Description. Program 1.4 aims at supporting fundamental and exploratory research, following the principles established by NSRDI in respect to competition based-financing and bottom-up definition of research themes.
Measures. The measures by which the program will be implemented are summarized below. The budgets allocated to them, as well as the objectives and related monitoring indicators, are presented in the annexes to the ISP.
Table 5. Strategic Objective 1: Measures of the Program 1.4
1.4.1. Improving Romanian research results
M1.4.1.1 Research in areas of strategic interest for Romania
M1.4.1.2 Institutional Support
M.1.4.1.1 Research in areas of strategic interest for Romania. Interventions aim at identifying research, technology and industry niches at national, European and global level, as well as at promoting the use of international R&D resources through participation in joint European programs and organizations, in order to provide solutions to issues of strategic interest for Romania. At the same time, the purpose is to maximize the results obtained from research investments by concentrating resources towards the most performing public R&D organizations.
The main types of projects funded are: fundamental research projects, advanced studies, frontier research projects, support of scientific results with high applicative potential, complex border projects, and exploratory workshops.
31
Funding is provided by NPRDI:
a) Program 4, Fundamental and Frontier Research to maintain and develop niche areas where Romanian fundamental research has comparative advantage
b) Program 5. Research in areas of strategic interest, which is a support-program led by institutions with a role of scientific coordination in areas of strategic interest.
M.1.4.1.2 Institutional support through complementary funding refers to the establishment and development of research institutions and competences that could be supported financially. The interventions aim at adopting international evaluation standards, supporting the participation of Romanian research institutions in international institutions and programs, identifying research, technology and industry niches at national, European and global level; the use of international CD resources through participation in joint European programs and organizations in order to provide solutions to issues of strategic interest for Romania, the achievement of visible scientific results, etc.
Implementation of institutional development plans, as well as capacity building for public R & D organizations to target and disseminate the knowledge and results of research; initiating and developing viable collaborations with partners; the provision of technical assistance and high-tech technological and scientific services in priority areas.
Funding is provided by:
o Nucleus Programs
o NPRDI - Subprogram 1.2. Institutional performance (Complex projects implemented in RDI consortia and Projects supporting excellence in RDI)
Success factors. Critical success factors for achieving the envisaged change are related to:
- Increased public funding for RDI, according to the established targets;
- Maintaining a high level of commitment across the Government for achieving the necessary reforms and achieving the assumed targets for RDI.
32
Strategic Objective 2: Increasing economic competitiveness through innovation
Strategic objective 2 is for the private sector to do research for their own benefit and also to provide the necessary means to improve the technological transfer mechanisms and the collaboration tools between research and industry. It focuses on promoting the collaborations between the RDI sector and the industry, in direct connection with the priorities of industrial, competitiveness and SME policies, as a mechanism to support the transition of the Romanian economy from cost-based competitiveness to the innovation generated performance. The financial instruments are mainly the indirect ones, such as the fiscal facilities, which do not burden the MRI budget.
Economic growth can be considered as the result of innovative activities, skilled labor and productivity growth, through research. Existing models demonstrate that investments in research and development lead to innovation and technological development.
At strategic level, both the NSRDI 2014-2020 and the Government Program for 2017-2020 have a significant focus on promoting the collaboration between the RDI sector and industry. However, in order for this to be effective, a comprehensive approach and broad reforms are necessary, at the level of the entire RDI ecosystem. While access to finance is certainly critical, so is research excellence, a favorable regulatory framework in respect to IPR protection, proper incentives and, not the least important, a good level of trust between the scientific and business communities.
NSRDI 2014-2020 sets targets for stimulating the business sector and increasing the economic impact, with a focus on areas of smart specialization, while the Competitiveness OP 2014-2020 provides for specific financial instruments, such as loans, guarantees and measures with respect to venture capital.
However, Romania's performance is well below the European average. As noted in the European Innovation Scoreboard Report 2018, the weakest relative performances are in the dimensions of "collaboration" and "entrepreneurship"30.
Figure 9. Strategic Objective 2: Structure
Strategic Objective 2.Increasing economic competitiveness through innovation
Program 2.1.Knowledge transfer
Program 2.2. Supporting private RDI investments
Measures of Program 2.1.M2.1.1.1 Knowledge transfer partnershipsM.2.1.1.2 Support for innovation clusters
Measures of Program 2.2.M2.2.1.1 Implementation of risk capital instruments
for RDI
M2.2.1.2 Supporting enterprises demand for innovation
30 Available at: http://ec.europa.eu/DocsRoom/documents/17853
33
Figure 10. Strategic Objective 2: Impacts and Results
Impacts
Increasing private investment in RDI: The share of private R&D expenditure in GDP will increase to 0.4% in 2021, from 0,29% in 2017. (NIS, 2018); (2) The number of patents requested from EPO and USPTO (no./year) will increase, from 353 in 2018 (PO Competitiveness), la 400 in 2022.
Results
(2.1.1) (2.1.1) Increasing the number of SMEs accessing results and resources of RDI organizations for improving products and services: The share of enterprises with product and / or process innovation that cooperate, in total innovative enterprises, will increase, from 17.9% in 2016, to 20% in 2022 (INS). (2.2.1) Increasing number of enterprises (especially SMEs) with intramural research: The number of innovative enterprises (product, process, unfinished, abandoned, organization, marketing) will reach 4,100 in 2022, from 2,925 in 2016 (INS).
Table 6. Strategic Objective 2: Breakdown of financing by programs
Budget by programs of the Strategic Objective
Total (thousand
RON)
Total value/year (thousand RON)
2019 2020 2021 2022
P 2.1 Knowledge transfer 127.662,46 34.994,23 34.994,23 28.837,00 28.837,00
P 2.2 Supporting private RDI investments 6.874,20 4.774,20 2.100,00 - -
Total OS 1 134.536,66 39.768,43 37.094,23 28.837,00 28.837,00
Program 2.1 Knowledge transfer
Rationale. The historical separation between the research and business/industry sectors has resulted, among others, in a lack of knowledge and skills, at the level of the RDI institutions and organizations, in what concerns the needs and expectations of the industry, the advantages of collaboration, technological transfer or capitalization of RD results.
Learning from the past programming period, NSRDI and the subsequent available resources support the extensive skill build-up at the level of the public RD organizations and the development of services in respect to research commercialization, increasing collaborations with the private sector, service-provision, increasing mobility between research and industry etc.
Objectives: Program 2.1 set out to achieve the following results by 2022:
(SO 2.1.1) Increasing the number of SMEs accessing results and resources of RDI organizations for improving products and services
• The share of companies with product and / or process innovation that cooperate, in total innovative enterprises, will increase, from 17.9% in 2016, to 20% in 2022 (INS).
Description. Program 2.1 comprises two measures, designed to support collaboration instruments and to activate entrepreneurial activities at the level of RDI institutions.
Measures. The measures by which the program will be implemented are summarized below. The budgets allocated to them, as well as the objectives and related monitoring indicators, are presented in the annexes to the ISP.
34
Table 7. Strategic Objective 2: Measures of the Program 2.1
2.1.1. Increasing number of SMEs accessing the results and resources of RDI organizations
M2.1.1.1 Knowledge transfer partnerships
M2.1.1.2 Supporting innovation clusters
M.2.1.1.1 Knowledge transfer partnerships aim at encouraging interaction between RDI institutions and the academic and business environment by supporting companies' access to the expertise and facilities of RDI institutions. At the same time, this is a means of harnessing the existing infrastructures and resources that have been acquired, developed or upgraded during the previous programming period and that can support enterprises’ needs in terms of innovation. The projects under consideration are grouped into three categories: knowledge transfer, partnership actions and access of enterprises to the research organization's units, facilities and research equipment in order to perform the necessary testing or experiments for developing new or improved products / technologies / methods.
At the same time, support is being given to the liaison offices with the industry and to the centers for technology information.
Financing of interventions is ensured by:
- ESI Funds: Competitiveness OP, PA1-1b, Action 1.2.3, aimed at fostering interaction between RDI institutions / universities and the business environment.
- National funds, NPRDI’s Program 2 – Increasing the competitiveness of the Romanian Economy through research, development and innovation, Subprogram 2.1. Bridge Grant (Transfer of knowledge to the economic agent), Demonstrative experimental project (PED), Transfer to the economic agent (PTE), Solutions (SOL) etc.;
M.2.1.1.2 Supporting innovation clusters aims at encouraging the sharing of equipment, information and knowledge, creation of networks, dissemination of information between businesses and other members of the group. The financing of interventions is ensured by:
- ESI Funds: Competitiveness OP, PA1-1a, Action 1.1.1. Large R&D infrastructures; project type: Innovation clusters.
- National funds, NPRDI’s Program 2 – Increasing the competitiveness of the Romanian Economy through research, development and innovation, Subprogram 2.1. Cluster set-up and development – Innovative cluster (CLS), Innovation cheques (CI)
Success factors. Critical success factors for achieving the envisaged change are related to:
- Increased public funding for RDI, according to the established targets;- Absorption of the available EU funds;- Strengthening cooperation mechanisms between MRI and other ministries and agencies.
35
Program 2.2. Supporting private RDI investments
Rationale. The 2019 country report31, underlines the fact that "Romania has not yet developed a coherent vision regarding the transition to activities with higher added value. Existing policies (National Strategy for Competitiveness, National Strategy for Research, Development and Innovation and Government Strategy for 2014 for developing the sector of small and medium enterprises and improving the business environment in Romania-Horizon 2020) are poorly coordinated and do not contain adequate measures for companies to advance in the value chain. Non-financial measures for start-ups and innovative small and medium-sized enterprises (which provide, for example, business support services or skills acquisition support) remain underdeveloped. The use of financial instruments with an innovation component is limited, although a number of capital instruments have been created. The combination of grants from EU funds and financial instruments is also very little used. Access to finance is one of the main problems for SMEs, especially when it comes to CD activities. In view of the interest shown by the private sector in carrying out the CD projects during the previous programming period, it is necessary to capitalize on the investments already made, while introducing new forms of support.
Objectives. Program 2.2 set out to achieve the following results by 2022:
(OS 2.2.1) Increasing the productivity of Romanian enterprises (especially SMEs) through RDI
o The number of innovative enterprises (product, process, unfinished, abandoned, organizing or marketing) will reach 4100 in 2022, from 2.925 in 2016 (Source: NIS).
Description. As established by the current strategic and financing framework, Program 3.1 comes to support private RD activities, by enabling access to funding through risk capital instruments, by encouraging the development of RDI infrastructures, stimulating enterprise demand for RDI and supporting highly innovative projects for SMEs. Measures. The measures by which the program will be implemented are presented synthetically hereafter. Their allocated budgets, as well as the associated monitoring indicators and targets are presented in the Annexes to the ISP.
Table 8. Strategic Objective 2: Measures of the Program 2.2
2.2.1. Increasing the participation of Romanian enterprises (particularly SMEs) in RDI
M2.2.1.1 Implementation of risk capital instruments for RDI
M2.2.1.2 Supporting enterprise demand for innovation
M2.2.1.1. Implementation of risk capital instruments for RDI will be supported through the Competitiveness OP, to support access to finance for innovative enterprises, especially SMEs. According to the ex-ante analysis32, venture capital funds are considered for start-ups and enterprises in the initial development cycle (entrepreneurship accelerators and seed funds) and loan portfolio with risk sharing for innovative enterprises (with 50% credit cost reduction and partial risk coverage).
The Financing of interventions is ensured by ESI funds, Competitiveness OP, PA1.
31 Available at: https://ec.europa.eu/info/sites/info/files/file_import/2019-european-semester-country-report-romania_ro.pdf 32 http://gov.ro/fisiere/stiri_fisiere/Memorandum_cu_tema_Aprobarea_evaluării__ex-ante_a_instrumentelor_financiare_utilizate_ca_instrumente_de_implementare_a_Fondurilor_Europene_Structurale_și_de_Investiții_(FESI).pdf
36
M2.2.1.2. Supporting enterprise innovation demand covers investments for enterprise R&D departments and enterprises’ demand for innovation.
The Financing of interventions is ensured by:
- ESI funds:o Competitiveness OP, PA1, Investment Priority 1a, Action 1.1.1 Large R&D infrastructures,
Investment projects for enterprise R&D departments;o Competitiveness OP, PA1, Investment Priority 1b, Action 1.2.1 Stimulating enterprise demand
for innovation, type of project: Start-up / spin-off;o Competitiveness OP, PA1, Investment Priority 1b, Action 1.2.1 Stimulating enterprise demand
for innovation, type of project: Innovative new enterprises;o OP Competitiveness PA1, Investment Priority 1b, Action 1.2.1. Stimulating company demand for
innovation, type of project: Innovative Technology Project.
Success factors. Critical success factors for achieving the envisaged change are related to:
- Absorption of the available EU funds;- Maintaining a high level of commitment across the Government for achieving the necessary reforms
and achieving the assumed targets for RDI;
37
Strategic Objective 3: Improving administrative capacity
According to the 2019 Country Report on Romania33 “The reform of the public administration system is advancing at a slow pace. This applies, in particular, to the process of decentralization and capacity building of local authorities, public consultations and evidence-based decision-making, and the implementation of e-governance measures. A solid policy monitoring mechanism is missing, and ex post evaluations are conducted ad hoc. At government level, the legal and institutional framework for a quality control function has not been formally established."
As a state authority for research and development, MRI organizes and manages the national RDI system. Although the frequent changes in the government structure have led to many changes in the implementation of the RDI policy, however, a relatively high degree of stability has been maintained at the operational level. The RDI public system is made up of national institutes of research and development, institutes of the Romanian Academy and public universities. MRI directly coordinates the national R&D institutes. At the inter-ministerial level, the correlation of the policy mix with other relevant policies is limited. The Ministry has a limited territorial representation, which, given the strategic planning of regional innovation, has led to the situation where RIS3 strategies are effectively disconnected from the RDI policy and focuses on the implementation of the available ERDF funds.
NSRDI 2014-2020 provides for an integrated "strategic orientation" mechanism, which would allow constant data collection, monitoring and periodic evaluation of its implementation. The mechanism is based on:
- Systematic data collection through various instruments (the Romanian Researchers Register, the Research Infrastructure Register, the intellectual capital reports, etc.);
- Horizon scanning system for emerging trends (especially technological trends);
- An observer of the CDI ecosystem.
Unfortunately, MRI does not have an IT system for collecting and providing system data, especially since it is also involved in the national action plan within the Open Government Partnership.34
Figure 11. Strategic Objective 3: Structure
Strategic Objective 3. Improving administrative capacity
Program 3.1. MRI institutional capacityMeasures of Program 3.1.
M3.1.1.1 Supporting the use of evidence in RDI policy making M3.1.1.2 Monitoring the national RDI system
Figure 12. Strategic Objective 2: Impacts and Results
Impacts Strategic orientation through dynamic evaluation of the national system and its
33 Available at: https://ec.europa.eu/info/sites/info/files/file_import/2019-european-semester-country-report-romania_ro.pdf 34 http://ogp.gov.ro/despre-ogp/ogp-romania-2/
38
components and reprioritization of objectives; the number of research projects carried out and monitored in real time should be at least 10,000 in 2020.
Results (3.1.1) Functional information system (data collection and aggregation of indicators)
Table 9. Strategic Objective 3: Breakdown of financing by budgetary programs
Budget by programs of the Strategic Objective
Total (thousand
RON)
Total value/year (thousand RON)
2019 2020 2021 2022
P 3.1 Institutional capacity of MRI 1.651.053,00 442.621,00 405.664,00 398.192,00 404.576,00
Total SO 3 1.651.053,00
442.621,00 405.664,00
398.192,00 404.576,00
Program 3.1. Institutional capacity of MRI
Rationale. By mandate, the MRI is responsible for organizing and leading the national system for scientific research, technological development and innovation. By law, it is the authority designated with the management and implementation of the NPRDI III and acts as an implementing body for PA1 under OP Competitiveness 2014-2020. It is, therefore, necessary, not only to ensure and maintain a high degree of professionalization in the system, but also to constantly improve the efficiency and effectiveness of the tasks performed.
Although it has passed through a number of institutional changes over time, the MRI team holds significant experience in program budgeting and management, which is an important strength to be capitalized upon.
An important component of the governance will consist in ensuring the proper functioning and coordination of the various consultative bodies35, reorganized through the Government Program 2017-2020:
- Consultative College for RDI (CC-RDI)- National Council for Scientific Research (CNCS)- National Council for Technological Transfer and Innovation - National Council for Ethics in Scientific Research, Technological Development and Innovation
(NCE)
At the level of public R & D institutions, reforms need to be implemented in terms of strengthening performance and budget monitoring.
Objectives: Program 3.1 concerns a strategic orientation mechanism.
(R3.1.1) Dynamic evaluation of the components of its national RDI system and periodic reprioritization of objectives.
o Functional IT platform (data collection and aggregation of indicators)
Description. Strengthening the administrative capacity will focus on providing the resources and tools necessary for the functioning, elaboration and implementation of the policies, programs and projects of the ministry by improving the quality of the decision-making processes. Program 3.1 will focus on reviewing and updating the architecture and processes of the RDI system. It is foreseen to ensure the IT
35 Presented in their current form, subject to change
39
integration of the MRI with the RDI system and the transparency of decision making, by publishing open data. Requires the development of the human resource by ensuring adequate training, supporting the attracting and retaining staff and improving the organizational culture.
Measures. The measures by which the program will be implemented are summarized below. The budgets allocated to them, as well as the objectives and related monitoring indicators, are presented in the annexes to the ISP.
Table 10. Strategic Objective 3: Measures of the Program 3.1
3.1.1. MRI Institutional Capacity
M3.1.1.1 Evidence-based decision-making in RDI policy
M3.1.1.2 Monitoring the national RDI system
M.3.1.1.1 Evidence-based decision-making in RDI policy refers to the elaboration of regulations and normative acts regarding the organization and functioning of the MRI, the development and functioning of the regional network of observers, the support of the consultative bodies in the field of the RDI and the implementation of the Sector Plan for the RDI.
The financing of the interventions is ensured by:
- National funds: MRI budget
M.3.1.1.2 Monitoring of the national CDI system refers to the implementation of the integrated information platform and the development of support projects for the management of the CDI system.
The financing of the interventions is ensured by:
- National funds: NPRDI III Subprogram 1.4. Support- ESI Funds: OP Administrative capacity, projects SIPOCA 27, SIPOCA 393, SIPOCA 592 etc.
The critical success factors for achieving the envisaged change are related to:
- Ensuring organizational stability;
- Maintaining consistency in the mandate and priorities of the ministry and the institutions under its subordination and/or coordination.
-
40
5. ARRANGEMENTS FOR THE IMPLEMENTATION, MONITORING AND EVALUATION OF THE ISP
The Institutional Strategic Plan will be implemented in correlation with the annual budgetary planning and execution, taking into consideration the multiannual budgetary and strategic planning framework that covers four years. Thus, the ISP will serve as basis for substantiating the budget for the following year and, in turn, it will be updated based on the past year performance in spending the allocated resources.
The Institutional Strategic Plan takes into account the provisions of the NSRDI and correlates with the Government Program and the Annual Government Work Plan, so that the activities and projects are monitored and, if necessary, adapted to allow the expected results to be achieved.
Within the MRI, the responsibility for preparing the Annual Operational Programs for the ISP implementation will fall under the responsibility of the WG and of all the ministry directions and will be coordinated by the designated Secretary of State. The team is also responsible with the monitoring and first-level reporting to decision-makers (State Secretaries, Minister). The team will be comprised of representatives from all structures that have responsibilities in the ISP implementation, appointed through an Order of the Minister.
Monitoring: A monitoring framework for the follow-up processes constituting the actions is set out in the ISP sections and summarized in the annexes. This provides information on indicators and targets for different levels of planning.
Evaluation: The details of impact and result indicators suggested for performance evaluation are also found in the previous sections of the ISP.
Currently, at MRI level, the practice and experience in the budgeting of the programs, as well as in the monitoring and evaluation are sufficiently developed, to ensure a proper implementation and monitoring.
Data collection and management: A strategic planning and performance assessment application has been developed, with the proposed ISP structure model. The application is developed by the central government (GSG) and will be used to collect data and present them in a structured way, namely Project, Measure, Program and Strategic Objective. The data collection at the MRI level is conditioned by the existence of the functional information platform provided for in the strategic objective 3 of the ISP.
Reporting frequency: As per the methodology for the ISP elaboration36, input and process indicators will be monitored quarterly, output indicators will be monitored every semester, outcome and impact indicators will be monitored annually. Input and process indicators, not included in the ISP, should be established at action/project level (in the Operational Plan) and monitored on an ongoing basis, along the implementation).
36 According to the Methodology for the elaboration of Institutional Strategic Plans at the level of central public administration institutions, elaborated on the basis of GD no. 1807/2006 and GD no. 158/2008 https://sgg.gov.ro/new/wp-content/uploads/2016/09/ANEXA-2-3.pdf. At the time of drafting the ISPI, a proposal regarding the updating of the Governmental Decisions mentioned above is under development.
41
In order to generate as little administrative burden as possible for the monitoring team, it is advisable that indicators should be collected from public, official sources (NIS, Eurostat, WB, other national or international institutions and organizations), whenever possible. At the same time, data collection for any other parallel monitoring or evaluation exercises (such as those conducted for national strategies and plans) should feed into the ISP monitoring and evaluation, as much as possible.
Transparency and communication is also important for the reporting of results. The center of the Government, the Parliament, as well as other stakeholders, public or private, should be allowed and encouraged to learn about the progress achieved in delivering the results, the challenges encountered and the necessary steps ahead. In this context, the ISP should be a useful and powerful communication tool.
Internal communication is essential in respect to the implementation of the ISP and it should be used as means for sharing information among the different direction and task groups at the level of the ministry.
ISP evaluation and revision: As per the methodology, yearly revisions of the ISP are recommended, so as to align the projected priorities, programs and measures to the respective political priorities and overall context, and to update indicators and targets. A diagram of the ISP monitoring cycle is presented below:
Figure 13. Monitoring Cycle of the Institutional Strategic Plan 2019-2022
A complete exercise of strategic planning will be done once every four years. In the meantime, between April and June, the Ministry of Research and Innovation, through the ISP working group, will prepare an annual update to establish if any changes are necessary to the ISP. This will focus on:
- Comparing achieved outcomes against those planned for the previous year;- Updating the context, identifying any major changes in the assumptions used for the current
plan; - Adding one additional year in to the plan, updating any necessary programs and measures.
As such, the timespan of future ISPs should cover the following periods:
42
BI-ANNUAL ANALYSIS OF RESULTS R: RESULT, OUTPUT
AND INPUT INDICATORS REZULTAT, PRODUS ȘI INTRARE
TRIMESTER ANALYSIS: PROCESS/OUTPUT AND
INPUT INDICATORS
TRIMESTER ANALYSIS: PROCESS/OUTPUT AND
INPUT INDICATORS
TRIMESTER ANALYSIS: PROCESS/OUTPUT AND
INPUT INDICATORS
TRIMESTER ANALYSIS: PROCESS/OUTPUT AND
INPUT INDICATORS
ANNUAL ANALYSIS OF RESULTS: ALL
INDICATORS
OCT.JUL.APR.IAN.
ISP Timespan2019 2019-20222020 2020-20232021 2021-20242022 2022-2025
The revision exercise should be completed by the 30th of May of every year, so as to provide the necessary input for the future budgetary exercise.
43
6. FINANCIAL RESOURCESThe Institutional Strategic Plan of the Ministry of Research and Innovation comprises three strategic objectives, with 7 budget programs. The measures are implemented through the MRI.
The implementation of the ISP will be ensured through the national budget and EU funding. Expenditure limits are those established by the Fiscal-Budgetary Strategy for 2017-2019. As such, the validity of the budgetary programs is linked to the overall budgetary performance framework. At the same time, EU funding is not entirely definitive.
During the projected period (2019-2022), the strategic objectives and budgetary programs within the ISP will amount to 6.28 bn lei.
Figure 14. ISP budget structure by funding sources
72%
2%
26%
ISP budget 2019-2022
SO1. Developing the RDI capacity and dissemination of research resultsSO2. Increasing economic competitiveness through innovationSO3. Improving adminis-trative capacity
Table 11. Annual financial allocations, by strategic objectives (thousand lei)
Strategic objectives TOTAL 2019 2020 2021 2022
SO1. Developing the RDI capacity and dissemination of research results
4.502.161,91 1.269.480,57 1.264.363,33 983.759,00 984.559,00
SO2. Increasing economic competitiveness through innovation
134.536,66 39.768,43 37.094,23 28.837,00 28.837,00
SO3. Improving administrative capacity 1.651.053,00 442.621,00 405.664,00 398.192,00 404.576,00
Looking at the distribution of strategic objectives, most of the funds are allocated to the Strategic Objective 1, namely the financing of major projects of strategic importance, the consolidation of the material basis for RDI and the development of human resources in the RDI system. Strategic Objective 3 has the second largest share of budget allocations, targeting the functioning of the MRI and the institutions under its subordination or coordination, as well as the development of the national RDI
44
system. The Strategic Objective 2, focusing on financing the business environment and stimulating RDI activities of enterprises, has the lowest share in the budget estimated for the period 2019-2022, as it also uses indirect financing instruments, outside the MRI budget (such as fiscal incentives).
Table 12. Financial allocation, by expenditure (thousand lei)
Expenditure category / funding sources 2019 2020 2021 2022
State budget 1.781.524 1.780.000 1.855.214 1.526.328
Expenditure for personnel, good and services financed from the state budget 12.264 13.490 14.839 16.323
Expenditure for goods and services financed from the state budget 5.177 5.365 5.797 5.826
Expenditure for personnel, good and services financed from the state budget 17.441 18.855 20.636 22.149
All other expenditure financed from the state budget 1.764.083 1.761.145 1.834.578 1.504.179
Other transfers 1.387.514 1.381.406 1.400.000 1.400.000
FEN 375.000 400.000
From a managerial and organizational perspective, the transition to program-based budgeting is the main challenge during the life-cycle of the ISP, particularly bearing in mind the fact that this process needs to be coordinated, implemented and streamlined from the center of the government, with political support and commitment and in collaboration with the Ministry of Finance.
45
ANNEX 1A. BUDGETARY PROGRAMS AND FINANCIAL SOURCES 2019-2022 (THOUSAND LEI)
Budgetary programsTotal
,000 RON
Total value/year
,000 RON
Financing sources /annual values ,000RON
State budget Co-fin FEN FEN POC
2019 2020 2021 2022 2019 2020 2021 2022 2019 2020 2021 2022 2019 2020 2021 2022 2019 2020 2021 2022
P1.1. Physical infrastructure for RDI
1.321.866,91 489.770,57 489.596,33 162.500,00 180.000,00 156.359,00 156.359,00 162.500,00 180.000,00 111.697,00 85.081,60 - - 221.714,57 248.155,73 - - 344.100,00 373.314,00 - -
P1.2. Human resources for RDI
220.084,00 55.021,00 55.021,00 55.021,00 55.021,00 55.021,00 55.021,00 55.021,00 55.021,00 - - - - - - - - - - - -
P1.3. International collaborations
386.380,00 90.608,00 84.996,00 120.238,00 90.538,00 90.608,00 84.996,00 120.238,00 90.538,00 - - - - - - - - - - - -
P1.4 RDI Institutions 2.573.831,00 634.081,00 634.750,00 646.000,00 659.000,00 634.081,00 634.750,00 646.000,00 659.000,00 - - - - - - - - - - - -
TOTAL SO1 4.502.161,91 1.269.480,57 1.264.363,33 983.759,00 984.559,00 936.069,00 931.126,00 983.759,00 984.559,00 111.697,00 85.081,60 - - 221.714,57 248.155,73 - - 344.100,00 373.314,00 - -
P2.1. Knowledge transfer
127.662,46 34.994,23 34.994,23 28.837,00 28.837,00 28.837,00 28.837,00 28.837,00 28.837,00 - - - - 6.157,23 6.157,23 - - 6.157,23 6.157,23 - -
P2.2. Supporting private RDI investments
6.874,20 4.774,20 2.100,00 - - - - - - - - - - 4.774,20 2.100,00 - - 4.774,20 2.100,00 - -
TOTAL OS2 134.536,66 39.768,43 37.094,23 28.837,00 28.837,00 28.837,00 28.837,00 28.837,00 28.837,00 - - - - 10.931,43 8.257,23 - - 10.931,43 8.257,23 - -
P3.1. MRI Institutional capacity
1.651.053,00 442.621,00 405.664,00 398.192,00 404.576,00 411.963,00 378.978,00 398.192,00 404.576,00 4.893,00 4.249,71 - - 25.765,00 22.436,29 - - - - - -
TOTAL OS3 1.651.053,00 442.621,00 405.664,00 398.192,00 404.576,00 411.963,00 378.978,00 398.192,00 404.576,00 4.893,00 4.249,71 - - 25.765,00 22.436,29 - - - - - -
46
ANNEX 1B. PROGRAMMES, MEASURES, AND RELATED BUDGETS 2019-2022 (THOUSAND LEI)
Code Strategic Objective /
Program / Measure
Value ,000 RON
Value/year ,000 RON State budget ,000 RON Co-fin FEN ,000 RON FEN ,000 RON POC
2019 2020 2021 2022 2019 2020 2021 2022 2019 2020 2021 2022 2019 2020 2021 2022 2019 2020 2021 2022
OS1 Developing the capacity for scientific research and dissemination of research results
4.502.161,91
1.269.480,57
1.264.363,33
983.759,00
984.559,00
936.069,00
931.126,00
983.759,00
984.559,00
111.697,00
85.081,60
-
-
221.714,57
248.155,73
-
-
344.100,00
373.314,00
-
-
P1.1. Physical infrastructure for RDI
1.321.866,91
489.770,57
489.596,33
162.500,00
180.000,00
156.359,00
156.359,00
162.500,00
180.000,00
111.697,00
85.081,60
-
-
221.714,57
248.155,73
-
-
344.100,00
373.314,00
-
-
M1.1.1.1 Financing infrastructure projects of European importance
406.561,47
202.395,00
181.666,47
2.500,00
20.000,00
2.395,00
2.395,00
2.500,00
20.000,00
65.546,00
35.853,87
-
-
134.454 143.418 0 0
210.688,43
219.348,13
-
-
M1.1.1.2 Financing RDI infrastructures for public RDI institutions
915.305,44
287.375,57
307.929,87
160.000,00
160.000,00
153.964,00
153.964,00
160.000,00
160.000,00
46.151,00
49.227,73
-
-
87.261 104.738 0 0
133.411,57
153.965,87
P1.2. Human resources for RDI
220.084,00
55.021,00
55.021,00
55.021,00
55.021,00
55.021,00
55.021,00
55.021,00
55.021,00
-
-
-
-
-
-
-
-
-
-
-
-
M1.2.1.1 Preparing young researchers
220.084,00
55.021,00
55.021,00
55.021,00
55.021,00
55.021,00
55.021,00
55.021,00
55.021,00
M1.2.1.2 Attracting high- skilled researchers from abroad in the public RDI organizations
-
-
-
-
-
-
-
-
-
P1.3. International collaborations
386.380,00
90.608,00
84.996,00
120.238,00
90.538,00
90.608,00
84.996,00
120.238,00
90.538,00
-
-
-
-
-
-
-
-
-
-
-
-
M1.3.1.1 Support for international collaborations
370.680,00
87.408,00
81.896,00
115.538,00
85.838,00
87.408,00
81.896,00
115.538,00
85.838,00
M1.3.1.2 Dissemination and access to information
15.700,00
3.200,00
3.100,00
4.700,00
4.700,00
3.200,00
3.100,00
4.700,00
4.700,00
P1.4 RDI institutions 2.573.831,00
634.081,00
634.750,00
646.000,00
659.000,00
634.081,00
634.750,00
646.000,00
659.000,00
-
-
-
-
-
-
-
-
-
-
-
-
M1.4.1.1 Research in fields of strategic interest for Romania
2.126.500,00
522.750,00
522.750,00
534.000,00
547.000,00
522.750,00
522.750,00
534.000,00
547.000,00
47
Code Strategic Objective /
Program / Measure
Value ,000 RON
Value/year ,000 RON State budget ,000 RON Co-fin FEN ,000 RON FEN ,000 RON POC
2019 2020 2021 2022 2019 2020 2021 2022 2019 2020 2021 2022 2019 2020 2021 2022 2019 2020 2021 2022
M1.4.1.2 Institutional support 447.331,00
111.331,00
112.000,00
112.000,00
112.000,00
111.331,00
112.000,00
112.000,00
112.000,00
OS2 Increasing economic competitiveness through innovation
134.536,66
39.768,43
37.094,23
28.837,00
28.837,00
28.837,00
28.837,00
28.837,00
28.837,00
-
-
-
-
10.931,43
8.257,23
-
-
10.931,43
8.257,23
-
-
P2.1 Knowledge transfer 127.662,46
34.994,23
34.994,23
28.837,00
28.837,00
28.837,00
28.837,00
28.837,00
28.837,00
-
-
-
-
6.157,23
6.157,23
-
-
6.157,23
6.157,23
-
-
M2.1.1 Knowledge transfer partnerships
115.348,00
28.837,00
28.837,00
28.837,00
28.837,00
28.837,00
28.837,00
28.837,00
28.837,00
- -
-
-
M2.1.2 Support for innovation clusters
12.314,46
6.157,23
6.157,23
-
-
6.157,23
6.157,23
6.157,23
6.157,23
P2.2. Supporting private RDI investments
6.874,20
4.774,20
2.100,00
-
-
-
-
-
-
-
-
-
-
4.774,20
2.100,00
-
-
4.774,20
2.100,00
-
-
M2.2.2.1 Implementation of risk capital instruments for RDI
4.100,00
2.000,00
2.100,00
-
-
2.000,00
2.100,00
2.000,00
2.100,00
M2.2.2.2 Supporting enterprise demand for innovation
2.774,20
2.774,20
-
-
-
2.774,20
-
2.774,20
-
-
-
OS3 Improving administrative capacity
1.651.053,00
442.621,00
405.664,00
398.192,00
404.576,00
411.963,00
378.978,00
398.192,00
404.576,00
4.893,00
4.249,71
-
-
25.765,00
22.436,29
-
-
-
-
-
-
P3.1. Institutional capacity of MRI
1.651.053,00
442.621,00
405.664,00
398.192,00
404.576,00
411.963,00
378.978,00
398.192,00
404.576,00
4.893,00
4.249,71
-
-
25.765,00
22.436,29
-
-
-
-
-
-
M.3.1.1.1 Evidence-based RDI policy
451.127,00
131.975,00
98.990,00
108.339,00
111.823,00 131.975,00 98.990,00 108.339,00 111.823,00
M3.1.1.2 National RDI governance system
1.199.926,00
310.646,00
306.674,00
289.853,00
292.753,00 279.988,00 279.988,00 289.853,00 292.753,00 4.893,00 4.249,71 0,00 0,00 25.765,00 22.436,29 0,00 0,00
Total ISP 6.287.751,56 1.751.870,00 1.707.121,56 1.410.788,00 1.417.972,00 1.376.869,00 1.338.941,00 1.410.788,00 1.417.972,00 116.590,00 89.331,31 - - 258.411,00 278.849,2
5 - - 355.031,43 381.571,23 - -
48
ANNEX 2. INSTITUTIONAL STRATETIC PLAN (SUMMARY TABLE) – PROVISIONAL VALUES
Objectives, programs, indicators M.U Baseline Target 2021 Target 2022
Strategic Objective 1. Developing the RDI capacity and dissemination of research results
Impact indicator 1: Intensity of public RDI expenditure (% of GDP) % 0,27% (2015) 0,30% 0,30%
Impact indicator 2: Share of scientific publications present in the top 10% most cited publications worldwide, out of the total number of publications in the country % 4,8% (2015)37 5,5% 6%
Program 1.1. Physical infrastructure for RDI
Result 1.1.1. Investments in the research capacity
Result indicator: Number of RDI facilities No. 1713 (2018) 1900 2000
Program 1.2. Human resources for RDI
Result 1.2.1. Human resources for RDI
Result indicator: Number of researchers (FTE) No. 18.046 (2016)38 18.200 18.400
Program 1.3. International collaborations
Result 1.3.1. Participation to international projects
Result indicator: Number of international projects No. 556 (2018) 580 600
Program 1.4. RDI Institutions
Result 1.4.1. Improving research results in Romania
Result indicator: Number of ISI listed Romanian journals No. 57 (2018) 58 60
Strategic Objective 2. Increasing economic competitiveness through innovation
Impact indicator 1: Number of EPO, USPTO patents requests (number/year) No./year 353 (2018) 400 400
37 European Innovation Scoreboard https://ec.europa.eu/docsroom/documents/30282 38 INS: Tempo Online, Employees from the research-development activity - full-time equivalent, by performance sectors and occupations, total, researchers, 2016
49
Objectives, programs, indicators M.U Baseline Target 2021 Target 2022
Impact indicator 2: Share of private R&D expenditure in GDP (BERD) % 0,29%39 (2017) 0,35% 0,4%
Program 2.1. Knowledge transfer
Result 2.1.1. Romanian enterprises with intramural research
Result indicator: Share of innovative enterprises, with product and/or process innovation, cooperating, in total innovative enterprises
% 17,9 (2016) 20% 20%
Program 2.2. Supporting private RDI investments
Result 2.2.1. Increasing the number of SMEs accessing results and resources of RDI organizations
Result indicator: Innovative enterprises (product, process, unfinished, abandoned, organizing, marketing) No. 2.925 (2016)40 4.000 4.100
Strategic Objective 3. Improving administrative capacity
Impact indicator 1: Total number of RDI projects in Romania No. 8.051 (2016)41 9.000 10.000
Program 3.1 Institutional capacity of MRI
Result 3.1.1. Digitalization of the public RD system
Result indicator: Functional IT platform No. 0 1 1
39 INS http://www.insse.ro/cms/sites/default/files/field/publicatii/activitatea_de_cercetare_dezvoltare.pdf 40 INS Tempo Online, Întreprinderi inovatoare (produs, proces, nefinalizate, abandonate, organizare, marketing) pe activități si clase de mărime, total, 201441 NIS Tempo Online, Projects for the research-development activity, according to NABS, in total, 2016. The research-development project is a means to reach an objective of a program, with its own well-established purpose, which is expected to be completed in a specific period, using the allocated resources and to which a set of rules, objectives and activities is attached. The grant is a specific form of non-reimbursable financing, on a competitive basis, for research of the scientific topics of national interest, with a pronounced character of originality.
50
ANNEX 3. PROGRAM AND MEASURES (SUMMARY TABLE) – PROVISIONAL VALUES
Measures
Output Indicator Unit/Target Values42
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
P1.1. Physical infrastructure
(1.1.1) Increasing the capacity utilization rate of the research facilities
M1.1.1.1 Financing infrastructure projects of European importance Competitiveness OP, IP-1a, Action 1.1.1 Large R&D infrastructures, type of projects: ELI-NP, Danubius-RI and projects approved in the National Roadmap for Research Infrastructures aim at financing the large pan-European research infrastructures on ESFRI list, which can be included as thematic area of future research in the fields of smart specialization research or health, according to NSRDI. In this case, there is the ELI-NP project that was financed in SOP IEC and will continue with the second stage with funding from COP. Another project proposal is the International Center for Advanced Studies on River-Delta-Maritime Systems (Danubius-RI), proposed to be funded under the COP after its inclusion in the ESFRI list in 2016. Subprogram 5.4 The RDI Program for River-Delta-Maritime Systems (DANUBIUS) aims at: developing RDI activities in order to strengthen competencies in the field of river-delta-maritime systems; the preparation of RDI activities to be carried out in the future pan-European research infrastructure, increasing the RDI potential in Romania, promoting cooperation within and outside the consortium, etc. The types of funded projects include: RDI projects, experiments, models, measurements and specific analyzes, research-support projects, management-support projects.
Major projects financed (Number) 1 2 1 1
Large projects financed (Number) 2 3 3 3
Subprogram 5.5. Research, development and innovation program for 4th generation reactors – ALFRED
Projects financed (Number)
1 1 1 1
42 Cumulative target values for the reference period, unless otherwise specified. In other words, the target for 2022 represents the value reached throughout the 2019-2022 period.
51
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
The final objective of the research and development program is to demonstrate and introduce the technology of fast cooled reactors with lead - LFR, on the market of electricity producers or other energy applications.ALFRED is an innovative system based on generation 4 lead-cooled fast reactor technology, which meets all the advantages presented above and is present in European strategic documents within the European Research Area such as: SNETP (Sustainable Nuclear Energy Technology Platform) through the ESNII program (European Sustainable Nuclear Industrial Initiative) and SET Plan (Strategic Energy Technology Plan), or in the world perspective documents within the GIF-Generation IV Forum and of the international agencies of profile: NEA / OECD and IAEA-Vienna. The activities supported by the state aid fall into the R&D category, having an impact on the following markets: the energy market, the research market, the nuclear industry market (services and products).The duration of the state aid scheme that will enter into force from the date of its publication in the Official Journal, Part I, is until December 31, 2020, and the payment of the aid to the beneficiaries of the scheme can be made until December 31, 2023.
0 (2019)
M1.1.1.2 Financing RDI infrastructures for public RDI institutionsOP Competitiveness, PI-1a, Action 1.1.1 Large R&D infrastructures, investment projects for public R&D institutions / universities aim to increase the R&D capacity in the areas identified within NSRDI as priority for smart specializations and health. This type of project aims to increase research capacity by supporting participation in research infrastructures of European interest, mentioned in the Roadmap approved by the European Strategy Forum on Research Infrastructures (ESFRI) and by creating or upgrading national or regional infrastructures, as they were selected from Romania's list / Roadmap for research infrastructures for the period 2017-2025.Financing is given only to projects focused on the following priority thematic research areas: Smart specialization (Bioeconomy, ICT, Space and Security, Energy, Environment and Climate Change, Eco-Nanotechnologies and Advanced Materials) and Health, as a priority area of national interest. The investments are given for facilities (fixed or mobile laboratories, new or upgraded research centers) and / or for endowment with research equipment and tools.NPRDI’s Subprogram 1.3 RD Infrastructures is directly targeted at improving the
Public infrastructures supported (Number)
(8, 2018) 9 9 9 9
Large investment projects (Number)
1 2 4 4
52
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
integrated development and efficient use of the available public research material base. As per the NPRDI, investments should be targeted towards priority sectors, particularly in the best performing research organizations, so as to optimize investments in RD equipment and favour revenue generation from their utilization.The Program for Financing New Research Facilities of National InterestThese facilities are considered to be of national interest because they ensure that all researchers have access to the facilities available to them, but have maintenance and operating costs that cannot be covered by the funds allocated to research projects, additional sources of financial support being needed. The research activity that is carried out allows for the achievement of results that ensure the connection of the Romanian research to the European and international scientific community in avant-garde areas, knowing that the research and the technological development lead to the increase of labor productivity and competitiveness.These special facilities and objectives of national interest represent support facilities for research in strategic areas of the national economy, comparable to those at the global level and leading to high-performance research. At the same time, they provide adequate scientific, technical and logistic support and are also accessible to other users interested in carrying out their research activities, developed on their own or in collaboration, as they have documents certifying the quality of services, which are issued by competent bodies, approved by the regulatory authority in the field, having also both proven capabilities over the years and prospects for use in future research.
P1.2. Human resources for RDI
(1.2.1.) Increasing the number of researchers
M1.2.1.1 Preparing young researchers Subprogram 1.1 Human Resources of NPRDI43 aims at increasing the number and the quality of human resources in RD activities in priority sectors. The objectives envisaged by the subprogram refer to increasing the number of researchers and preparing new generations, increasing the attractiveness of the research career, improving group performance, creating and updating the National Researchers’ Registry.
PhD programs supported (Number)
15 15 15 15
43 NPRDI pg. 17
53
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
Main types of projects financed under this measure are: PhD and Post-Doc Research Projects, including industrial PhD; Research projects for stimulating young independent teams; complex programs for reintegrating researchers from the diaspora (young and experienced); Young Researcher Scholarship; rewarding research results (articles), research scholarships ("Stefan Odobleja"; Spiru Haret").
M1.2.1.2 Attracting high- skilled researchers from abroad in the public RDI organizationsAttracting highly-skilled researchers from abroad in the public RDI organizations and developing the concept of “brain return”, financed through POC PA1 – 1a – Action 1.1.4 targets the creation of scientific and/or technological competence cores, at European standards, within an RD institution, university or enterprise, by attracting specialists from abroad. Projects are conducted by the specialist from abroad, who is hired as a scientific researcher (at least) for the duration of the project, by the host institution. This action is aimed at consolidating the RDI capacity for preparing the participation to Horizon 2020 and concentrates on the four plus one priority sectors established by the NSRDI.Allotted funds are fully contracted and projects are under implementation.
Specialists from abroad hired in supported projects
(Number) (40, 2018)
45 46 48 50
P1.3. International collaborations
(1.3.1) Increased participation in international projects
M1.3.1.1 Support for international collaborationsCompetitiveness OP, PI-1a, Action 1.1.3 Creating synergies with RDI actions of the EU's Horizon 2020 framework program and other international RDI programs is aimed at supporting RDI projects that participate directly in H2020 competitions, complementing the proposed activities of the objectives of some calls for H2020 competitions or addressing the strengthening of the administrative capacity of RDI institutions in Romania in order to develop applications for European and global projects and calls.The following types of projects are funded:- Research and innovation projects for both research organizations and enterprises (CO-ECSEL, COMPLEMENT, RO-EIT, RO-ERIC, FINALIST-SMEs)- Support projects for research organizations (Support Centers)
Projects with Romanian participation (Number)
197300 340 340 340
Financing organizations supported (Number) 1 1 1 1
Support Centers at Horizon 2020 applications
and other international programs (Number)
10 15 20 20
Agreements signed (Number)
16 16 16 16
54
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
- Investment projects for R&D infrastructure for research organizations (ERA chairs, Teaming)NPRDI Subprogramme 3.1 Bilateral is aimed at bilateral or multilateral cooperation in the field of scientific research, strengthening the national RDI system by intensifying international cooperation - launching joint thematic calls in partnership with other countries, joint research activities, joint research teams, in order to access other funds available from international research-development programs, strengthening scientific cooperation between Romania and partner countries through financing joint research projects.NPRDI’s Subprogram 3.2 "Horizon 2020" aims at supporting participation in Horizon 2020 projects, strengthening the national RDI system by enhancing collaboration in European excellence research, increasing Romania's visibility in the field of research and innovation. The projects under Horizon 2020 for which participation is supported include: GEOTERMICA, FET Flagship ERA-NET, QuantERA, MANUNET III, EuroNanoMed III, RI-LINKS2UA, ERA4CS, ACT, ProSafe, NEURON, FACCE-SURPLUS, CoBioTech, SUSFOOD 2 , BIODIVERSA 3, CORE Organic Cofund, 4 PRIMA CSA, SYNAMERA, ERA-GAS, WaterWorks 2015, ENSUF - ERA-NET co-fund Smart Urban Futures, INNOVOUCHER, Columbus, Net Smart Grids Plus, ERA-NET Smart Cities and Communities, Waterworks 2014.NPRDI’s Subprogram 3.3 Supporting the Romanian participation in the JPI supports the integration of Romanian research into the European research area in the fields covered by the Joint Programming Initiatives (JPI), and the participation of Romanian research organizations in identifying common solutions / measures for the societal challenges that affect European communities differently. The main types of projects used are: RDI projects - projects selected for financing following joint calls; support projects.NPRDI’s Subprogram 3.4. Supporting JTI / JU participation is intended to support the participation of Romanian entities in joint technology initiatives; creating favorable conditions for investment in knowledge and innovation at national level, boosting European competitiveness, growth and employment. The main types of projects used are:- demonstrative, integrated, innovative projects of the Joint Undertaking – they are generally run throughout the Joint Undertaking, in which the legal entities participate as "members", "associates", "key partners", etc., which are selected following specific applications / participation requests;
Transnational participations (Number/year)
28 28 28 28
55
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
- RDI projects and specific support – are usually run for a limited period, being selected by the Joint Undertaking following open calls and proposal competitions.NPRDI’s Subprogram 3.5 Other European and international initiatives and programs have as objectives: to support Romanian participation in European and international initiatives: EUREKA, EUROSTARS, NATO, art. 185 TFEU and the like; stimulating the technological and economic performances of Romanian companies by financing those entities that have the capacity to transform ideas into innovative products and technologies with real market potential; the realization by new economic operators of new products and technologies based on research results and potential for commercial exploitation in the domestic and international market; stimulating SMEs to consider innovation as a development strategy, both by developing their own research capabilities and by accessing the experimental facilities available in research entities in Romania; to support cooperation between research organizations and industry so that they collaborate at all stages, namely: idea, concept, design, experimental model, prototype, testing, technological design, serial production, promotion, marketing and sales of innovative products with great value added; strengthening enterprise innovation capacity to create new products / systems / technologies / based on the exploitation of research results.These types of projects follow the format required by the European program to which it is addressed and updated as necessary:- Traditional EUREKA project;- EUREKA-Cluster Project;- EUROSTARS project;- NATO-STO (Science and Technology Organization) projects;- NATO-SPS (Science for Peace and Security) projects;- specific projects as foreseen in the European programs under Art. 185 TFEU.NPRDI’s Subprogram 3.6 Support helps the formation of consortia with international partners, stimulates participation and supports Romania's representation in international research organizations, programs and initiatives (e.g. Horizon 2020, EUREKA, NATO, COST, EIT, EIP, JPI, JTI, etc.). The main types of projects used are:- support projects for the participation of Romanian representatives in meetings of European and international organizations, bodies and initiatives;
56
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
- support projects for the organization in Romania of meetings of European and international research organizations, bodies and initiatives in which Romania is represented;- support projects for organizing or participating in preparatory activities to form consortia for the submission of new European projects (Horizon 2020);- support projects to stimulate participation in pan-European and international R&D initiatives, including European Innovation Partnerships (EIP, JPI).- awards given to Romanian participants in Horizon 2020 projects as project and / or project coordinators.NPRDI’s Subprogram 5.2. Participation in international research bodies and programs aims at: increasing the visibility of Romanian research by participating in international research bodies and programs in the nuclear field and elementary particles; strengthening scientific and industrial cooperation, knowledge transfer and cutting-edge technologies at European and international level in nuclear and particulate matter; promoting industrial innovation in the nuclear energy sector; obtaining nuclear technologies by strengthening the collaboration between Romania (through the Institute of Atomic Physics - IFA Bucharest) and partner organizations at international level (e.g. CEA - Atomic Energy and Alternative Energy Commission of France); providing an efficient communication platform between Romanian research, educational, industrial and economic institutions and international research bodies in the nuclear field and elementary particles.The subprogram comprises the following modules:- EURATOM-RO: nuclear fusion, nuclear fission and radioprotection;- CERN-RO: elementary particle physics, high-energy nuclear physical physics with radioactive beams;- FAIR-RO: the physics of antiprotons and ions, nuclear physics with high energy, physical with radioactive beams;- CEA-RO: nuclear energy, alternative energies and applications;- F4E-RO: Fusion for energy.These types of projects are adapted to the types of projects within the European programs:
57
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
- research and development projects (F4E, CERN-RO, FAIR-RO, CEA-RO, etc.);- R&D projects - Jointly funded projects from the state budget and partner organizations at international level (e.g. CEA);- management support projects (F4E, CEA-IFA, others similar).NPRDI’s Subprogram 5.3. R&D and Innovation Program for Space Technology and Advanced Research - STAR. The STAR Program for Supporting Participation in the Programs and Activities of the European Space Agency is initiated, approved and under implementation for the period 2012-2019, according to the provisions of Art. 6 par. (1) of the Law no. 262/2011, and will be supported in the current multi-annual strategic planning and financing cycle until 2019. According to the provisions of art. 6 par. (2) of the Law no. 262/2011, ROSA ensures the management of the program, its implementation being made with the specific instruments established by orders and instructions issued by the state authority for research and development.
M1.3.1.2 Dissemination and access to informationCompetitiveness OP, PI-1a, Action 1.1.2 Building networks of R&D centers, coordinated at national level and connected to European and international networks and providing researchers with access to scientific publications and European and international databases; project type: CLOUD and big data infrastructures; ANELIS PLUS; RoEduNet.CLOUD and big data infrastructures. This will contribute to the development of CLOUD-type infrastructures using private CLOUD solutions, but also encouraging projects that develop infrastructure solutions that can be plugged into other Cloud resources in a hybrid model.RoEduNet. This action will help to increase the Romanian researchers' national and international level of connection and at the same time will contribute to the development of specialized infrastructures to support large and complex research projects. RoEduNet is the national network for education and research in Romania. At the national level, RoEduNet provides data connections for research institutions in Romania, universities, schools and high schools, university hospitals, libraries and several museums and cultural institutions. The objectives are: expanding and diversifying the international connectivity of the RoEduNet network, Increasing the capacity to connect research centers at national level.
Implemented projects (Number)(2, 2018) 4 5 6 6
Scientific events supported by the state budget
(Number/year) 91
110 120 120 120
58
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
Scientific manifestations subsidized from the state budget, subsidies for RDI literature.
P1.4. RDI Institutions
(1.4.1) Improving research results in Romania
M1.4.1.1 Research in areas of strategic interest for RomaniaPNCDI - Program 4. Fundamental and border research to maintain and develop the niche areas where Romanian fundamental research has a comparative advantage ensures the financing of exploratory research projects, complex border research projects and ERC-Like research projects", aiming at developing fundamental research in the priority areas established by NSRDI 2020, increasing Romania's contribution to the SEC, developing emerging themes; adopting international evaluation standards for fundamental research projects.The main types of funded projects are: fundamental research projects, advanced studies, border research projects, supporting scientific results with high applicative potential, complex border projects, exploratory workshops.NPRDI - Program 5, Research in areas of strategic interest, support program led by institutions with the role of scientific coordination in areas of strategic interest.The program aims to:
- supporting the participation of the Romanian research institutions in the international scientific institutions and programs in order to increase the national research capacity in the fields of strategic interest;
- identifying research, technological and industrial niches at national, European and global level;
- using international R&D resources through joint participation, within European scientific organizations and programs, in solving problems of strategic interest for Romania;
- obtaining visible and impactful scientific results, through international cooperation, transfer of knowledge and technologies with strategic applications;
- promoting industrial innovation in the sectors of strategic interest, developing and diversifying research applications in industrial activities;
Major projects supported (Number/year)
4 4 4 4
59
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
- - efficient communication between the research, educational, industrial and economic institutions in Romania, by popularizing the scientific results in the fields and sectors of strategic interest.
M.1.4.1.2 Support for high-level researchNPRDI’s Program 4 Fundamental and frontier research to maintain and develop niche areas where Romanian fundamental research has comparative advantage provides funding for exploratory research projects, complex border research projects and ERC-like research projects, aimed at developing the fundamental research in the priority areas set by NSRDI 2020, increasing Romania's contribution to the ERA, developing emerging themes; the adoption of international assessment standards for fundamental research projects. The main types of financed projects are: fundamental research projects, advanced studies, frontier research projects, supporting scientific results with high applicative potential, complex frontier projects, exploratory workshops.
Projects supported (Number)200
200 400 600 800
P2.1. Knowledge transfer
(2.1.1) Increasing the number of SMEs accessing results and resources of RDI organizations for improving products and services
M2.1.1 Knowledge transfer partnershipsCompetitiveness OP, PA1-1b, Action 1.2.3 aims to foster interactions between RDI institutions / universities and the business environment. This action seeks to encourage the interaction of higher education institutions and R&D institutions with the business environment by funding enterprise access to extensive expertise and facilities of research organizations in order to market research results towards businesses that are developing market-driven businesses. To this end, partnerships will be established between research organizations and businesses / business groups interested in acquiring knowledge, including skills and competencies that will meet the strategic development needs of business and provide innovative solutions for product and process acquisition, new / improved technologies identified by businesses as being required by the market. NPRDI’s Subprogram 2.1 Transfer of knowledge to the economic agent, Transfer to the enterprise, Implementation at the economic agent level, Technological platforms, Group development and management, competitions, etc.
Enterprises collaborating with public institutions
(Number)80 90 110 110
SMEs financed (Number) 432 600 600 600 600
Technological Transfer entities in support of
competitiveness (Number)
60 60 60 60
60
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
The program has the following objectives:- stepping up partnerships for industrial research and business development activities funded by the business sector;- achieving new or significantly improved products / technologies / methods / services and introducing them into the productive chain;- climbing on value chains by increasing the value added and raising technological levels in enterprises;- completing value chains – from primary suppliers to the sale of finished goods;- promoting innovative business culture;- promoting common agendas and strategic development plans;- optimizing the use of research resources (infrastructure and personnel);- boosting national and international patenting;- concentration of investments (maximizing the value of the money invested);- training research staff in enterprises, hiring research staff.NPRDI’s Subprogram 2.2 Technological Transfer in support of competitiveness aims to increase the supply of information and brokerage services and to provide support for administrative capacity and intellectual property management.The main types of projects used are: the liaison office with the industry and technology information center.
M2.1.1.2 Supporting innovation clusters Competitiveness OP, PA1-1a - Action 1.1.1. Large R&D infrastructures; project type: Innovation clustersThe measure contributes to the development of R&D capacity within the supported clusters (including by strengthening the role of R&D partners in clusters and attracting new R&D cluster entities), to stepping up innovation activities (e.g. by introducing new products - goods or services - and processes on the market) and to increasing their economic competitiveness (by increasing aggregate turnover, aggregate exports value or other economic indicators). Also, the creation of new highly qualified cluster jobs is envisaged. The funding covers investments for the development of new joint R&D
Clusters supported (Number)
4 4 4 4
61
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
facilities in innovation clusters and / or the upgrade of existing joint R&D facilities, innovation activities (obtaining, validating and protecting patents and other intangible assets belonging to the cluster, detaching highly qualified personnel, the purchase of innovation advisory services and the acquisition of innovation support services), as well as exploitation activities to support cluster operations (cluster animation and promotion, cluster facility management, training programs, workshops, conferences).
P2.2. Supporting private RDI investments
(2.2.1) Increasing the participation of Romanian enterprises (particularly SMEs) in RDI
M2.2.1.1 Implementing risk capital instruments for RDICompetitiveness OP, PA1-1b. Action 1.2.2 Credit instruments and risk capital measures in favor of innovative SMEs and research organizations responding to market demandsThe State aid and de minimis scheme in the form of risk capital investments for SMEs target beneficiaries who meet at least one of the following criteria:- the beneficiary or one of its shareholders / associates has registered or is in the process of registering at least one technological right (such as patent, utility model, industrial design right, copyright for a computer program, etc.) and financial support is directed towards actions aimed at supporting the implementation of the same technological right;- the beneficiary or one of its shareholders / associates has received a research, development or innovation prize awarded by an EU institution or a body competent at EU / national / regional level and the financial support is directed towards actions to support the implementation of the same prize; or- the beneficiary is an innovative enterprise financially, during the audit of the current tax period, as certified by an external auditor;- the beneficiary intends to use innovation funding as defined in the "Oslo Manual - Guide to the Collection and Interpretation of Innovation Data", 3rd ed., chapter 3.
Enterprises supported (Number) 0 15 20 20
M2.2.1.2 Supporting enterprise demand for innovationCompetitiveness, PA1, PI-1a, Action 1.1.1 Large R&D infrastructures, Investment projects for enterprise R&D departments Investments in the development of enterprise R&D departments aim to encourage
Start-ups / spin-offs created (Number)* 100 150 200 200
Patent requests (Number)*
150 180 200 200
62
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
increased RDI capacity in order to boost the level of innovation and market competitiveness of enterprises and improve private RDI investment. When the enterprise is part of a cluster, investing in RDI will also help to increase cluster potential, especially in those economic sectors that are competitive or have growth potential at the level of the communities where these businesses operate. This type of project will support initial investments for: the construction of new R&D departments (laboratories / R&D centers, etc.), mandatorily accompanied by the provision of equipment and research tools; modernization, extension, consolidation, change of destination of the existing R&D departments, compulsorily accompanied by equipment and research tools; the purchase of research equipment and tools.Competitiveness OP, PA1-1b, Action 1.2.1 Stimulating enterprise demand for innovation; project type: Start-up / spin-offFunding has the objective of making products, new / significantly improved technologies / processes for production and marketing purposes.Competitiveness OP, PA1-1b, Action 1.2.1 Stimulating enterprise demand for innovation; project type: Innovative start-upsThe objective is to stimulate innovation in new innovative start-ups that develop new or substantially improved products and / or processes for production and marketing purposes. The specificity of this type of project consists in capitalizing on research-development results or patented ideas as a starting point for the development of those products (goods or services), processes, technologies identified by the applicant as being required by the market based on firm pre-contracts held by the applicant.Competitiveness OP, PA1-1b, Action 1.2.1. Stimulating enterprise demand for innovation; type of project: Innovative Technology ProjectThis action is aimed at encouraging private RDI investment by increasing the number of enterprises that aim to bring innovation into their own business through projects that develop new or substantially improved products and / or processes or technologies for production and marketing purposes, based on research.This action is addressed to large, medium or small enterprises (including micro-enterprises) in Romania that run R&D activities, but don’t have R&D as main activity.The innovative technology project aims to achieve a process or product innovation (goods
Enterprises introducing new products / processes
(Number)*80 85 95 100
Enterprises supported (Number)*
50 70 90 100
63
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
and / or services), which is based on research conducted within the project.
P3.1. RDI governance system (ministry - funding agencies - national institutes)
(3.1.1) Improving efficiency and effectiveness
M.3.1.1.1 Evidence-based RDI policySupporting the development and implementation of evidence-based public RDI policy will be achieved by:
- Developing the organizational and regulatory framework- Supporting the regional observatories network- Supporting the consultative bodies (their budget)- Sectoral plan
Regional observatories supported (Number) 8 8 8 8
M3.1.1.2 The management of the national RDI systemNPRDI’s Subprogram 1.4. Support provides indirect support tools necessary for the proper functioning of the national R&D system (including the development of human resources specialized in the management and marketing of research results). Mainly but not exclusively, the following types of projects will be used:- competence centers (science and technology specialization projects and related support areas: RDI, intellectual property, technology transfer, technology brokers, marketing, etc.);- procurement projects - modernization and automation of administrative capacity for the management of R&D activity;- support projects for substantiating RDI policies, for scientific information and documentation, for the communication and popularization of science.Subprogram 3.6. Support provides assistance for the formation of consortiums with international partners and for stimulating participation and supporting the Romania’s representation in international research organizations, programs and initiatives.The project "Developing the administrative capacity of MRI to implement some actions established in NSRDI 2014-2020" (SIPOCA 27) aims at adapting the structures, optimizing the process and preparing the human resources within ANCSI for the implementation and
National registries (Number)
0 1 4 4
64
Measures
Output Indicator Unit/Target Values
Output indicator(M.U., baseline)
Target 2019
Target 2020
Target 2021
Target 2022
implementation of evidence-based public policies, in order to correlate strategic planning with program budgeting.Funding is given for:- establishing an Integrated Information Technology Platform for RDI (ITP-RDI), which performs activities of collecting, aggregating, processing and distributing information.- Achieving the strategic guidance mechanism, based on entrepreneurial discovery and increasing the degree of integration of the RDI system in the national economy, in response to the need to improve the monitoring and evaluation process of NSRDI.- Staff training and skills achievement for substantiating and implementing program budgeting.
65
ANNEX 4. INFORMATION REGARDING ISP COMPONENTS
Annex 4.1. Institutional profile
Subordinated institutions and organizationsThe national research system
The Ministry of Research and Innovation organizes and manages the national system of scientific research, technological development and innovation. The national research and development system is made up of all the units and institutions of public and private law with legal personality, which have as their activity the research - development.
The following categories of units and institutions are included in the national research and development system:
A. Public law units and institutions:
i. Institutes, centers or research and development stations organized as public institutions;
ii. Institutes or research and development centers organized within national societies, national companies and autonomous regions or central and local public administration;
iii. International research and development centers established on the basis of international agreements;
iv. Other public institutions or their structures, which have as their object the research - development.
B. Private law units and institutions:
v. Research and development units organized as trading companies;
vi. Commercial companies, as well as their structures that have in the object of activity the research-development;
The research, development and innovation system (RDI) in Romania comprises 263 public RDI organizations and about 600 companies. Of the public organizations, 56 are authorized public universities, 46 are national institutes of research and development (of which 43 coordinated by MRI), and 65 are research institutions and centers of the Romanian Academy. The National Network for Innovation and Technological Transfer (ReNITT) comprises 50 specific organizations: technology transfer centers, technology information centers, technology and business incubators, 4 science and technology parks.
From this system, a distinct entity is the research and development system of national interest, which includes the following categories of public law units, with legal personality:
- national institutes of research and development;- institutes, centers or research stations of the Romanian Academy and research and
development of the branch academies;- accredited higher education institutions or their structures;- institutes or research and development centers organized within national societies, national
companies and autonomous regions of national interest.
66
National consultative councils and colleges of MRI
# Name Financing
1 Consultative College for RDI State budget
2 National Council for Ethics in Technological RD and Innovation State budget
3 National Council for Technological Transfer State budget
4 National Council of Scientific Research State budget
Institutions in subordination of MRI
# Name Financing
1 National Space Agency Own resources
2 Institute of Atomic Physics Own resources
RDI, technological development and innovation institutions and units under the authority of MRI
# Name Financing
1 SC "Institutul de Cercetări în Transporturi INCERTRANS" - S.A Own Resources
2 Institutul de Cercetare-Proiectare Rulmenţi şi Organe de Asamblare - ICPROA-S.A. Braşov Own Resources
In addition, 44 national research and development institutes (INCD) operate under the coordination of the Ministry of Research and Innovation. INCD are entities currently organized according to Law no. 324/2003 for the approval of the Government Ordinance no. 57/2002 regarding scientific research and technological development. These represent a form of institutional organization specific to the research-development activities, established in order to ensure the development of these activities, as well as to strengthen the scientific and technological competence in the fields of national interest, established in accordance with the Romanian Development Strategy. The INCD list is presented below:
1. 1. National Institute for Research and Development for Optoelectronics - INOE 2000 Bucharest2. 2. The National Institute for Turbomotor Development - COMOTI Bucharest3. 3. National Institute for Research and Development in the Field of Geology, Geophysics,
Geochemistry and Remote Sensing - IGR Bucharest4. 4. National Institute for Research and Development for Textiles and Leather - INCDTP Bucharest5. 5. National Institute for Research and Development for Agricultural Machinery and Installations
for Agriculture and Food Industry - INMA Bucharest
67
6. 6. The National Research and Development Institute for Nuclear Physics and Engineering "Horia Hulubei" - IFIN-HH Bucharest
7. 7. National Institute for Research and Development for Laser, Plasma and Radiation Physics - INFLPR Bucharest
8. 8. National Institute for Research and Development for Technical Physics - IFT Iasi9. 9. National Institute for Research and Development for Materials Physics - INCDFM Bucharest10. 10. National Institute for Research and Development for Earth Physics - INCDFP Bucharest11. 11. National Institute for Chemical-Pharmaceutical Development - ICCF Bucharest12. 12. National Research and Development Institute for Electrochemistry and Condensed Matter -
INCEMC Timisoara13. 13. National Institute for Research and Development for Marine Geology and Geoecology -
GEOECOMAR Bucharest14. 14. National Institute for Research and Development for Biological Sciences - INCDSB Bucharest15. 15. National Institute for Research and Development for Microtechnology - IMT Bucharest16. 16. National Institute for Research and Development for Cryogenic and Isotopic Technologies -
ICSI Râmnicu Vâlcea17. 17. National Institute for Research and Development for Isotopic and Molecular Technologies -
INCDTIM Cluj-Napoca18. 18. National Institute for Research and Development for Electrical Engineering - Advanced
Research - ICPE-CA Bucharest19. 19. National Institute of Aerospace Research "Elie Carafoli" - INCAS Bucharest20. 20. National Institute for Research and Development for Mechatronics and Measurement
Techniques - INCDMTM Bucharest Institutul Naţional de Cercetare-Dezvoltare şi Încercări pentru Electrotehnică - ICMET Craiova
21. National Institute for Research and Development for Industrial Ecology - ECOIND Bucharest22. National Research and Development Institute for Petroleum Equipment - IPCUP Ploiesti23. National Institute for Research and Development in Welding and Material Testing - ISIM Timişoara24. National Institute for Research and Development for Metals and Radioactive Resources - ICPMRR Bucharest25. National Institute for Research and Development for Chemistry and Petrochemistry - ICECHIM Bucharest26. National Institute for Research and Development for Nonferrous and Rare Metals - IMNR Bucharest27. The National Institute for Research and Development for Mining Security and Explosive Protection - INSEMEX-S.A. Petrosani28. National Institute for Energy Research and Development - ICEMENERG Bucharest29. National Institute for Research and Development in Construction and Urbanism and Sustainable Territorial Development - URBAN-INCERC30. National Institute for Research and Development for Communications - Bucharest-INSCC Bucharest31. National Institute for Research and Development for Labor Protection "Alexandru Darabont" - INCDPM Bucharest32. National Institute for Research and Development for Environmental Protection - Bucharest
68
33. National Institute for Research and Development in the Field of Pathology and Biomedical Sciences "Victor Babeş" Bucharest34. National Institute for Research and Development for Food Bioresources - IBA Bucharest35. National Institute for Research and Development for Pedology, Agrochemistry and Environmental Protection - ICPA Bucharest36. National Institute for Agricultural Research and Development - Fundulea37. National Institute for Research and Development for Biotechnologies in Horticulture - Ştefăneşti Argeş38. National Institute for Research and Development for Animal Biology and Nutrition - IBNA Baloteşti39. National Research and Development Institute for Potato and Sugar Beet Brasov40. National Institute for Research and Development in Tourism - INCDT41. National Institute for Research and Development "Danube Delta" - INCDDD Tulcea42. The National Research and Development Institute for Marine Research "Grigore Antipa" - INCDM Constanţa43. National Institute of Forestry Research-Development "Marin Drăcea"
Internal Environment
RDI policy
The public policy is set out in the National RDI Strategy 2014-2020
The strategic objectives of NSRDI are as follows:
1. Increasing the competitiveness of the Romanian economy through innovation. The goal is to develop companies' ability to absorb state-of-the-art technology, adapt these technologies to the needs of serving markets, and develop technologies or services that enable them to progress on value chains.
2. Increasing the Romanian contribution to the progress of frontier knowledge. The strategy supports the increase of the international visibility of research and experimental development in Romania. The RDI activities at the frontier of knowledge imply the formation of a critical mass of researchers in the most promising areas, the maintenance of niche areas, international standards for research projects, and far-reaching scientific initiatives such as those developed around major infrastructures.
3. Increasing the role of science in society. Science and technology become relevant to society when their effects are felt in the everyday life of the citizens. The strategy aims to solve societal problems through innovative solutions.
By the National RDI Strategy 2014-2020, a number of priority fields were set:
1. Smart specialization priorities, involving the definition and consolidation of areas of high competence with real or potential comparative advantages that can make a significant contribution to GDP. These are:
- bio-economy;- Information and communication technology, space and security;- energy, environment and climate change;- eco-nano-technologies and advanced materials.
69
Smart specialization priorities have been established taking into account the potential of candidate areas to add economic value to research results and the existence of a critical mass of human and material resources as prerequisites for growth.
2. Priorities with public relevance, aimed at allocating resources in areas where research and technological development respond to concrete and pressing social needs.
- Health. In this area, research and experimental development have an essential contribution, influencing not only individual and general well-being, but also the economic prospects of a society.
- Heritage and cultural identity. The domain covers a wide range of scientific research topics, from the social impact of science and technology, to the development of the education system consistent with the core objectives of the European Union.
- New and emerging technologies. The direction is geared towards the pre-commercial public acquisition of innovation, supporting the strategically relevant opportunities.
3. Fundamental research remains a priority within SN-CDI - including humanities and socio-economic disciplines - as a source for frontier and interdisciplinary research.
The RDI policy main lines of action are as follows:
- Capacity and performance of the CD & I system (institutions, staff, material base);- Stimulation of private investment in CD & I;- Participation in the European Research Area.
The main implementation tools of the strategy are:
1) National RDI Plan 2014-2020 (NPRDI III).2) Core programs dedicated to national research institutes.3) Competitiveness Operational Program - Priority Axis 1 Research, Technological Development
and Innovation for Business Support and Competitiveness 4) Fiscal Facilities for RDI5) Regional Operational Program 2014-2020 - Priority Axis 1 "Promoting Technological Transfer"
Programs of the Romanian Academy.
However, there are only instruments 1-3 and, in part, 4 in the decision-making area of MRI.
RDI policy - medium-term priorities
Current Goals of RDI Policy
1. Integrating R & D policy into the "competitiveness - innovation - RD" public policies policy and the adequate funding of the CD & I system.
2. Strategic monitoring and reorientation mechanisms based on factual evidence.
Direction of action specific to the current stage
Priority: Putting business entrepreneurial processes into operation to maximize the role of CD & I on value chains. RDI provides the company's sustainable competitive advantage with a positive influence on sectoral and national economic competitiveness. Certain decisions (eg on "targeted" competitions) should be replaced by entrepreneurial decisions on the timeliness and timeliness of launching a business.
70
Annex 4.2. SWOT Analysis
Sector / Organization Strong points Weak points
RDI The existence of sectors with competitive potential
Existence of major projects of European interest and their funding commitments
Possibility to use the infrastructures developed during the 2007-2013 programming period
The existence of a new cohort of young doctoral students
Budget-based approach The availability of European
funds, both for the public and for the private sector
Existence of tax benefits for RDI
Lack of predictability of funding Under-funding of the RDI sector Lack of interest for collaborative RDI
projects from the private environment Lack of human resources, due to lack of
career attractiveness in the CDI field Lack of private investment in RDI Insufficient development of competitive
economic agglomerations at regional / local level
Unattractive business infrastructure
RDI governance Poor coordination mechanisms Regulatory and funding framework that
requires improvement
Overall administrative capacity
The experience of the 2007-2013 funding cycle
Continuity of strategic programming
Organizational instability Human resources shortage
Sector / Organization Opportunity Probability
RDI Developing sectors with competitive potential Medium
Attracting foreign investment Medium
Absorption of EU funds Big
Amendments to the regulatory framework on the remuneration of publicly funded staff and the hiring of project- based staff
Big
Overall administrative capacity
European-funded projects to attract specialized human resources
Big
Developing sectors with competitive potential Medium
71
Sector / Organization Threat Probability Impact
RDI Lack or decrease of funding for RDI Big Big
Elimination of tax advantages for RDI Medium Big
RDI governance Lack of political will to improve the governance system
Medium Big
Political involvement in managerial structures Big Big
Overall administrative capacity
Persistence of organizational instability Big Big
Inefficient collaboration with the other institutions and authorities involved in the implementation of RDI public policies
Big Big
72
Annex 4.3. PESTLE Analysis
Factor Impact Probability Implications Measures to reduce / eliminate risksMeasures to capitalize on
opportunities
POLITICAL FACTORS (P)
A democratic state with solid and stable principles
Positive Big Attractive environment for RDI
Promoting the advantages that Romania has in terms of RDI activities
Frequent political changes at government level
Negative Big The uncertainty of strategic directions, the prolongation of decision-making processes, unfocused efforts
Transparent political assumption of national prioritiesMulti-annual budget on programs
The interest of the main political forces towards the support of RDI
Positive Big Suitable conditions for implementing NSRDI / NPRDI 2014-2020
Ensuring optimal funding for the sector, in line with the commitments made at national and European level
ECONOMIC FACTORS (E)
Financial instability / crisis, against the backdrop of unsustainable growth, lower revenues collected to the state budget and rising public spending (repeating the 2008 scenario)
Negative Medium Reduced RDI fundingDelay / abandonment of ongoing projects
Cancelling private investment in RDI
Avoiding pro-cyclical measuresLimiting measures with a potential negative impact on the business environment (e.g. raising the minimum wage)Improve the collection of revenues to the state budgetCompliance with the agreed fiscal and budgetary framework and prudentiality rules.
High costs and risk associated with RDI activities
Negative Big Lack of private investment in RDI
Implement measures to support private investment in RDI, including venture capital
SOCIAL FACTORS (S)
Continuing „brain drain” Negative Big Lack of human resources in RDI
Implementing measures to increase career attractiveness in the field of RDI
Attracting the cohort of young doctoral students to a career in RDI
Positive Small Lack of human resources in RDI
Implementing measures to increase career attractiveness in the field of RDI
TECHNOLOGICAL FACTORS (T)
Using the infrastructure Positive Medium Increase in CDI Implementing measures to support
73
Factor Impact Probability Implications Measures to reduce / eliminate risksMeasures to capitalize on
opportunities
developed through EU funding 2007-2013
production RDI activities in already developed / upgraded centers
Carrying out major RDI projects
Positive Big Increase in CDI production
Securing funding
Developing of IT systems to ensure the governance of the RDI system
Positive Big Improving the efficiency and quality of RDI
Securing funding
LEGAL FACTORS (L)
The instability and complexity of the regulatory framework
Negative Big Heady and rigid normative framework with numerous interconnected acts, contradictions and blurring; Generates uncertainty in high administrative costs
Continuing the process of de-bureaucracy
Changes in the regulatory framework regarding the remuneration of publicly funded staff and the hiring of temporary staff in projects
Positive Big Increased administrative capacity Motivated personnel
Supporting and accelerating the adoption of the envisaged measures
ENVIRONMENTAL FACTORS (E)
Orientation of industry and economy to green technologies
Positive Big Rising demand for RDI in the field
Implementation of measures to increase private investment in RDI and private R & D demand
74
Annex 4.4. Policies and strategies
Policies Strategies
EU State Aid Policy44
EU Industrial Policy45
EU Innovation Union Policy46
EU Cohesion Policy47
Europe 2020 Strategy48
European Semester49
Strategy for the public administration consolidation 2014-2020
National Competitiveness Strategy 2015-2020 (GD no.775/2015)50
National Strategy51 for RDI 2015-2020 (GD no. 929/2014)
National Plan for RDI 2015-202052 (GD no. HG 583/2015)
National Reform Plan53
44 http://ec.europa.eu/competition/state_aid/overview/index_en.html . 45 https://ec.europa.eu/growth/industry/policy/eu_en . 46 http://ec.europa.eu/research/innovation-union/index_en.cfm . 47 http://ec.europa.eu/regional_policy/index_en.cfm . 48 https://ec.europa.eu/info/strategy/european-semester/framework/europe-2020-strategy_en . 49 https://ec.europa.eu/info/strategy/european-semester_en.50 http://legislatie.just.ro/Public/DetaliiDocumentAfis/171941 . 51 http://www.research.gov.ro/ro/articol/3978/politica-cdi-strategia-nationala-de-cercetare-dezvoltare-si-inovare-2014-2020.52 http://www.research.gov.ro/ro/articol/1434/programe-nationale . 53 https://ec.europa.eu/info/publications/2016-european-semester-national-plan-romania_en .
75
Annex 4.5. Organizational chart
Organizational chart of the Ministry for Research and Innovation, as per GD 13/2017, with subsequent modifications54:
54 http://www.research.gov.ro/uploads/minister/hg-13-2017.pdf
76
Annex 4.6. Relevant national legislation (legislative acts, including their subsequent modifications and completions)
General legislation in the field of research
- Government Ordinance no. 57/2002 on scientific research and technological development - (OG 41/2015), with the subsequent modifications and completions
- National strategy for research, development and innovation 2014-2020, with subsequent modifications and completions - (GD 929/2014)
- Law of national education, as subsequently amended and supplemented - (Law 1/2011)- Government Ordinance 57/2002 on scientific research and technological development - (OG
57/2002)- Law 319/2003 on the Status of research and development personnel - (Law 319/2003)- Evaluation and classification for certification of institutions from the national research and
development system - (GD 1062/2011)- Decision no. 97/2016 regarding the approval of the Methodological norms for the evaluation in
order to certify the units and institutions of the national research-development system- Law 206/2004 on good conduct in scientific research, technological development and innovation
- (Law 206/2004)- Grant program for research and development and innovation "Grant for young researchers
REGELE CAROL I" - (GD 403/2017)
Legislation of the MRI
- Organization and functioning of the MRI, with subsequent modifications and completions - (GD 13/2017)
- Regulation on the organization and functioning of the MRI - (WTO no. 463/2018)- Code of Ethics and Professional Deontology of MRI staff - (WTO no. 745/2017)
National RDI Plan
- The national plan for research and development and innovation for the period 2015 - 2020 (NPRDI III) - (GD 583/2015), with the subsequent modifications and completions
- Expenditure categories for research-development and innovation stimulation activities, financed from the state budget - (GD 134/2011)
- Decision no. 1265/2004 for the approval of the Methodological Norms regarding the contracting, financing, monitoring and evaluation of the programs, research-development and innovation projects and of the actions included in the National Plan of research-development and innovation
Secondary legislation for the RDI system
- Framework regulation for the organization and functioning of INCDs - (GD 637/2003)- Establishment, operation, evaluation, accreditation and support of entities from the innovation
and technological transfer infrastructure - (GD 406/2003)- Tax exemption for all personnel involved in RDI activities - Law 136/2017 regarding the approval
of the Government Emergency Ordinance no. 32/2016 for the completion of Law no. 227/2015 regarding the Fiscal Code and the regulation of financial-fiscal measures (Law 136/2017)
- Procedure for applying the tax exemption for personnel involved in RDI activities - Common Order MFP / 2326/29 August 2017 - MRI / 2855/29 August 2017 regarding the establishment of
77
the procedure for granting the fiscal facility provided in art. 60 point 3 of Law 227/2015 on the Fiscal Code (Common Order MFP / 2326 - MRI / 2855/2017)
- Decision no. 1266/2004 for the approval of the Methodological Norms regarding the contracting, financing, monitoring and evaluation of the projects from the sectoral research-development plans
- Decision no. 1023/2015 for the approval of the Methodological Norms regarding the evaluation, contracting, financing and monitoring of the research-development core-programs
- Decision no. 327/2003 regarding the ceilings based on which the direct wage costs are calculated for the financing contracts concluded from budgetary funds
- Regulations of the Advisory Councils (OMCI 211-214 / 17.04.2017)- Government Ordinance 62/1999 establishing UEFISCSU - (OG 62/1999)- Government Emergency Ordinance 74/2010 establishing UEFISCDI - (GEO 74/2010)- Regulation of organization and functioning of UEFISCDI - (OM 5804/2016)-
78
ANNEX 5. DRAFT REGULATORY ACTS 2019 submitted by the Ministry of Research and Innovation in the Annual Government Working Plan (AGWP) for 2019
No. Draft Regulatory Act proposed in the AGWP Estimated date for discussion in Government Meeting
1. Government Decision on the modification and completion of the annex to Government Decision no. 637/2003 approving the framework Regulation for the organization and functioning of the national research-development institutes
February 2019
2. Government Decision to amend and supplement GD No. 786 of September 10, 2014 on the approval of the List of special facilities and objectives of national interest, as subsequently amended and supplemented
March 2019
3. Government Decision to amend and supplement GD 403/2017 on the approval of the Grant Program for research, development and innovation "Grant for young researchers REGELE CAROL I"
March 2019
79
Competence makes a difference!Project selected under the Administrative Capacity Operational Programme,
co-financed by the European Union from the European Social Fund