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RDI: THE BUDGET PROCESSRDI: THE BUDGET PROCESS
Madrid, June 2008 Carmen Gil-Ruiz Gil-Esparza
Dirección General de Presupuestos
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IndexIndex
1. Introduction to the Spanish RDI System
2. The RDI policy: A priority
3. The formulation process of the draft Budget
4. The Budget documents
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INTRODUCTION TO THE INTRODUCTION TO THE
SPANISH RDI SYSTEMSPANISH RDI SYSTEM
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The Spanish System of Science & Technology
Plenary Session
Permanent
CAS
General Council
General Council
Economic and Social
Council
Universities Companies
Public investigation centres Innovation Centres and other organisations
MINISTRY OF SCIENCE AND INNOVATIONAND OTHER MINISTRIES WITH R+D+I PERFORMANCES
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The National Reform Program
Pillar 4: The R&D and Innovation Strategy (INGENIO 2010) Objectives
Increase the ratio R&D investment/GDP Raise private contribution to R&D investment Reach EU-15 average in the percentage of DGP devoted to ITCs
Measures More resources Focus on strategic actions (CENIT, CONSOLIDER, Avanz@,
Euroingenio) Regulatory reforms System to monitor & evaluate the policy
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ENCYT, National RDI PlanENCYT, National RDI Plan
The National Strategy of Science & Technology (ENCYT) Basic principles (3) Strategic objectives (6)
National RDI Plan 2008-2011: Budgetary resources
Budgetary resources of the Public Administrations for the financing of the National R+D+I Plan for the years 2008-2011 (in rates of pluriannual growth)
YEAR AGE CCAA R+D/GDP % OF PRIVATE ENTERPRISE FINANCING
2008 16 % 16 % 1,6 % 53 %
2009 16 % 16 % 1,8 5 54 %
2010 16 % 16 % 2,0 % 55 %
2011 16 % 16 % 2,2 % 55 %
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THE RDI POLICY: A PRIORITYTHE RDI POLICY: A PRIORITY
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Progress in the 2004-2008 periodProgress in the 2004-2008 period
2004 2005 2006 2007 2008
Civilian Research 2.987 3.688 4.869 6.541 7.768
% over the total policy 68,5% 73,5% 74,4% 80,5% 82,4%
Military Research 1.373 1.330 1.677 1.582 1.660
% over the total policy 31,5% 26,5% 25,6% 19,5% 17,6%
TOTAL R+D+i POLICY 4.360 5.018 6.546 8.123 9.428
CONSOLIDATED GENERAL STATE BUDGETS (M€)
INVESTIGATION POLICY (Chapters 1 to 8)
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Distinction between civil & military expenditure
Ministry of Science and Innovation
2009 budgetary forecast
Progress in the 2004-2008 periodProgress in the 2004-2008 period
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RDI expenditure distribution: MinistriesRDI expenditure distribution: Ministries
CONSOLIDATED GENERAL STATE BUDGETS RESEARCH POLICY
2008-2007 Variation 2007
Budget 2008
Budget M€ % Δ
1. CIVILIAN RESEARCH (1a+1b) 6.540,56 7.767,60 1.227,04 18,8
1.a) NON FINANCIAL EXPENDITURE 3.426,25 3.886,81 460,56 13,4
Ministry of Education and Science 1.954,46 2.176,64 222,18 11,4
Ministry of Industry, Tourism and Commerce 1.011,60 1.168,31 156,71 15,5
Ministry of Health and Consumtion 333,58 367,02 33,44 10,0
Other Ministries 126,61 174,84 48,23 38,1
1.b) FINANCIAL EXPENDITURE 3.114,31 3.880,79 766,48 24,6
Ministry of Education and Science 1.185,37 1.525,85 340,48 28,7
Ministry of Industry, Tourism and Commerce 1.928,66 2.244,66 316,00 16,4
Other Ministries 0,28 110,29 110,01 39.287,6
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RDI RDI expenditure distribution: Chaptersexpenditure distribution: Chapters
2007 Budget 2008 Budget % Δ
M€ % / total M€ % / total 08/07
I. Personnel expenses 517,20 7,9 541,92 7,0 4,8
II. Current expenses in goods and services 144,97 2,2 166,98 2,1 15,2
III. Financial expenses 0,02 0,0 0,02 0,0 0,0
IV. Current transfers 217,18 3,3 279,38 3,6 28,6
Current operations 879,37 13,4 988,30 12,7 12,4
VI. Real Investment 360,64 5,5 412,71 5,3 14,4
VII. Transfers of Capital 2.186,22 33,4 2.485,80 32,0 13,7
Capital Operations 2.546,86 38,9 2.898,51 37,3 13,8
NON FINANCIAL OPERATIONS 3.426,24 52,4 3.886,81 50,0 13,4
VIII. Financial actives 3.114,32 47,6 3.880,79 50,0 24,6
TOTAL 6.540,56 100,0 7.767,60 100,0 18,8
CONSOLIDATED GENERAL STATE BUDGETS RESEARCH POLICY
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RDI expenditure distribution: ProgrammesRDI expenditure distribution: Programmes
2007 Budget 2008 Budget M€ % / total M€ % / total
% Δ 08/07
462M. Sociological & constitutional research & studies 13,40 0,2 14,32 0,2 6,8 462N. Statistical & economical research and studies 7,16 0,1 7,61 0,1 6,3
463A. Scientific research 726,45 11,1 760,67 9,8 4,7 463B. Foster. & coord. of the scientific & technical research 1.456,52 22,3 1.905,92 24,5 30,9
465A. Health related research 333,80 5,1 417,25 5,4 25,0 466A. Education related research & evaluation 5,52 0,1 5,76 0,1 4,4
467A. Astronomy & astrophysics 15,93 0,2 18,83 0,2 18,2 467B. Research, development & experim. in Transp. & Infr. 14,30 0,2 98,57 1,3 589,1
467C. Technological-industrial R&D 2.146,98 32,8 2.553,93 32,9 19,0 467D. Agrarian research and experimentation 71,16 1,1 83,16 1,1 16,9 467E. Oceanographic & fishing research 52,12 0,8 68,05 0,9 30,6 467F. Geologic-mining and environmental research 66,52 1,0 76,33 1,0 14,7
467G. Information Society R&D 687,75 10,5 845,68 10,9 23,0 467H. Energy, technology and environment research 123,87 1,9 111,06 1,4 -10,3 467I. Technological innovation in telecommunications 819,07 12,5 800,45 10,3 -2,3
TOTAL CIVIL RESEARCH 6.540,56 100,0 7.767,60 100,0 18,8
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THE FORMULATION PROCESS OF THE THE FORMULATION PROCESS OF THE DRAFT BUDGETDRAFT BUDGET
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STABILITY PROGRAM
BUDGETBUDGET
Stability objective and expenditure’s limitStability objective and expenditure’s limit
Budgetary scenario
Cycle reportCycle report
Pluriannual frameworkPluriannual framework
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Stability objective and expenditure’s limit (1)Stability objective and expenditure’s limit (1)
Cycle report enclosed to the stability objective’s proposal It sets the situation of the economy in the economic cycle Produced by the Ministry of Economy and Finance with
information provided by: National Institute of Statistics (INE) National Central Bank (BE) International institutions’ forecasts
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BUDGET
PASS
NO PASSPARLIAMENT
FISCAL &FINANCIAL
POLICY COUNCIL
NAT. COMMISSIONOF LOCAL
ADMINISTRATION
CONSISTENT WITH THE STABILITY PROGRAM
GOVERNMENT
Stability objective and expenditure’s limit (2)Stability objective and expenditure’s limit (2)
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• Medium term planning instrument (3 years)
• Prior to the Budget
• Expenditure and revenue scenario
• Organic distribution of the available resources and development through pluriannual programs
Budgetary scenariosBudgetary scenarios
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• The scenario are developed in pluriannual programs (objectives, actions, resources, investments and performance indicators)
• Approved by each Minister• Sent to the Minister of Economy and Finance for the development
of the general scenario• Programs for the ministries and for the administrative managing
bodies• Programs for the public companies
Budgetary scenariosBudgetary scenarios
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STABILITY OBJECTIVE AND EXPENDITURE’S LIMITSTABILITY OBJECTIVE AND EXPENDITURE’S LIMIT
BUDGETARY NEGOTIATIONBUDGETARY NEGOTIATION
COUNCIL OFMINISTERS
COUNCIL OFMINISTERS
COMMISSION OFEXPENDITURE POLICIES
COMMISSION OFEXPENDITURE POLICIES
COMMISSIONS OFPROGRAMS ANALYSIS
COMMISSIONS OFPROGRAMS ANALYSIS
COUNCIL OFMINISTERS
COUNCIL OFMINISTERS
Establishment of the budgetaryframework
Criteria and priorities
Endowment of resources
BUDGETBUDGET
STABILITY PROGRAMSTABILITY PROGRAM
Ministry of Finance(DGP)
Managing bodies(OP)
Budgetary process. Participant bodiesBudgetary process. Participant bodies
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Budget developmentBudget development
Art. 36 LGP (General Budgetary Law)1. Fixment of the maximum non financial expenditure2. Procedure established by Ministerial decree by the MoF
MoF criteria, limits, priorities. Commission of Expenditure Policies Ministries and governmental bodies with differentiated budgetary endowments
send their budget proposals The expenditure and the revenue budget proposals of the administrative
agencies & bodies and of the bodies appointed to them are sent by the respective Ministries
The current, capital & financial accounts of the public companies & foundations are sent by the respective Ministries
Every budget proposal is sent together with an annual objective report for every policy program
3. Resources budget developed by the MoF4. Informatic proceedings and deadlines set by the MoF5. Draft presented to the Government by the MoF
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Budget draw up Ministerial decreeBudget draw up Ministerial decree
It defines the budgetary structures It defines the functions and composition of the participant organs
Commission of Expenditure Policies Commissions of Programs Analysis Commission of Income Budgetary Commissions
Documentation and terms of remission
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COMMISSION OF EXPENDITURE POLICIES
- Minister of Economy and Finance (President)- Ministers- Finance and Budget Secretary of State (Secretary)
PARTICIPANTS
- Specify expenditure priorities to fufill theGovernment's budgetary objectives.
- Analyse budgetary policies, publicexpenditure actions, aimed objectives and theavailable resources & establish allocationcreteria.
PURPOSE
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PROGRAMS ANALYSIS COMMISSIONS
- Finance and Budget Secretary of State (President)
- Budget and Expenditure General Secretary (Coordinator)
- Ministries´ representatives
- Representatives of the General Budget Office (DGP)
PARTICIPANTS
- Analysis of the expenditure programs,their objectives and the fulfillment of thoseobjectives- Cost forecast and financial endowmentsneeded
PURPOSE
As many as Ministries
COMMISSIONS
PROGRAMS ANALYSIS COMMISSIONS
PARTICIPANTS
- Finance and Budget Secretary of State (President)
- Budget and Expenditure General Secretary (Coordinator)
- Ministries' representatives
- Representatives of the General Budget Office (DGP)
COMMISSIONS OF PROGRAMS ANALYSIS
PARTICIPANTS
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THE BUDGET DOCUMENTSTHE BUDGET DOCUMENTS
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GENERAL STATE BUDGETS
DOCUMENTATION THAT IS PRESENTED BEFORE THE CONGESS & SENATE
RED SERIES G.S.B. Law
GREEN SERIES Auxiliary Information
YELLOW SERIES Mandatory Information
GREY SERIESOptional & complementary
information
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GENERAL STATE BUDGETS
DOCUMENTATION PRESENTED BEFORE CONGRESS & SENATE
RED SERIES (G.S.B. Law)
- Text of the Law.- Budget of Incomes.- Budget of Expenses by Programs; Memories of Objectives.- Binding Projects of Investment Annexes- Annexes of Projects financed by the ICF.- Financial statements and Accounts of Public Organisms.- Current and Capital Accounts.- Summaries of Incomes and Expenses.
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GENERAL STATE BUDGETS
DOCUMENTATION PRESENTED BEFORE CONGRESS & SENATE
GREEN SERIES (auxiliary information)
-- Annexes with the organic and economic development of the incomes and expenses states.
- Annexes of Real Investments and the pluriannual programming.
- Annexes of Personnel.
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GENERAL STATE BUDGETS
DOCUMENTATION PRESENTED BEFORE CONGRESS & SENATE
YELLOW SERIES (mandatory information)
- Financial and Economic Report.
- Memory of Fiscal Benefits
- Memories
- Consolidated General State Budgets.
- Annex of Financial Flows Spain - European Union.
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GENERAL STATE BUDGETS
DOCUMENTATION PRESENTED BEFORE CONGRESS & SENATE
GREY SERIES (optional and complementary information)
- Report on the Cession of Tributes to the Autonomic Communities.
- Liquidation of the previous Budget.
- Advance of the Liquidation of the effective budget.
- Operation Expenses and Investments of the Bank of Spain.
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Objectives reports: An exampleObjectives reports: An example
Program 463B: « Promotion and coordination of the scientific and technical research »
Structure:1. Description and purposes
2. Activities (promotion of Human Resources, international cooperation activities, National RDI Plan, National Museum of Science and Technology…)
3. Executive bodies (4)
4. Objectives and fulfillment indicators: 11 objectives, each of them with its own group of indicators
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Objectives reports: An exampleObjectives reports: An example
INDICATORS
2006 2007 2008
Budgeted Done BudgetedForeseen execution
Budgeted
New aids for the instruction of research personnel (FPI)(Number)
950 818 902 1.000 1.000 New incorporations of doctors to R+D centers by
means of contract (Ramón y Cajal and Juan de la Cierva)
(Number) 600 553 1.500 570 550 New incentives to the creation of stable positions ( I3
and Severo Ochoa) (Number) 306 222 376 350 300
Requests granted on the total presented(Percentage) 25,00 26,80 25,00 27,00 25,00
Investigators who take part in this objective, on the total of investigators of the public R+D system
(Percentage) 3,10 s.d. 3,10 s.d. s.d. Investigators of the public R+D system on the active
population(Percentage) 4,80 s.d. 5,00 s.d. s.d.
OBJETIVE / ACTIVITY: Increase and improvement of human resources
Recommended