跟踪能源技术研究的公共投资路线图（英）-IEA.pdf

Tracking Public Investment in Energy Technology Research – A Roadmap The IEA examines the full spectrum of energy issues including oil, gas and coal supply and demand, renewable energy technologies, electricity markets, energy efficiency, access to energy, demand side management and much more. Through its work, the IEA advocates policies that will enhance the reliability, affordability and sustainability of energy in its 31 member countries, 11 association countries and beyond. This publication and any map included herein are without prejudice to the status of or sovereignty over any territory, to the delimitation of international frontiers and boundaries and to the name of any territory, city or area. Source IEA. International Energy Agency Website www.iea.org IEA member countries Australia Austria Belgium Canada Czech Republic Denmark Estonia Finland France Germany Greece Hungary Ireland Italy Japan Korea Lithuania Luxembourg Mexico Netherlands New Zealand Norway Poland Portugal Slovak Republic Spain Sweden Switzerland Republic of Trkiye United Kingdom United States The European nullmmission also participates in the work of the IEA IEA association countries Argentina Brazil China Egypt India Indonesia Morocco Singapore South Africa Thailand Ukraine INTERNATIONAL ENERGY AGENCY Tracking Public Investment in Energy Technology Research A Roadmap Abstract PAGE | 3 I E A . CC B Y 4. 0 . Abstract A wide range of countries make efforts to track their entire national public energy research, development and demonstration RD the methods for collecting, classifying and validating the data; the data management and technology processes; and, finally, the dissemination. It is intended not only as a guide for countries near the beginning of their journeys towards the collection of energy RD OECD Directorate for Science, Technology and Innovation. Tracking Public Investment in Energy Technology Research A Roadmap Acknowledgements PAGE | 5 I E A . CC B Y 4. 0 . Thanks also to the IEA Communication and Digital Office for their help in producing the report, particularly to Astrid Dumond, Taline Shahinian, Isabelle Nonain-Semelin and Therese Walsh. Adam Majoe edited the manuscript. Comments and questions are welcome and should be addressed to RDDiea.org. The preparation of this report was made possible through the Clean Energy Transitions in Emerging Economies programme, which received funding from the European Commission’s Horizon 2020 research and innovation programme under grant agreement no. 952363.The preparation of this report was made possible through the Clean Energy Transitions in Emerging Economies programme, which received funding from the European Commission’s Horizon 2020 research and innovation programme under grant agreement no. 952363. Tracking Public Investment in Energy Technology Research A Roadmap PAGE | 6 I E A . CC B Y 4. 0 . Table of contents Tracking public energy research development and demonstration. 7 What does it mean to collect public RD European Commission, Energy Research and Innovation; European Commission, Energy Efficiency First; European Commission, SETIS - SET Plan Information System. Tracking public investment in energy technology research – A roadmap What does it mean to collect RDD data PAGE | 11 I E A . CC B Y 4. 0 . What does it mean to collect public RD IT information technology. Tracking public investment in energy technology research – A roadmap What does it mean to collect RDD data PAGE | 14 I E A . CC B Y 4. 0 . Lithuania case study Creating an energy RD Ministry of Energy of the Republic of Lithuania. Tracking public investment in energy technology research A roadmap Purpose PAGE | 16 I E A . CC B Y 4. 0 . Purpose Energy RD Brazilian Centre for Strategic Studies and Management. Tracking public investment in energy technology research – A roadmap Institutional arrangements PAGE | 20 I E A . CC B Y 4. 0 . Institutional arrangements The process of innovation in every country involves a significant number of actors governments, researchers, private investors, entrepreneurs, corporations and civil society. They all play an important role in generating ideas for new technologies, performing research at all stages from basic research to demonstration projects, and financing projects. They all share the common goal of bringing new technologies to the market. Capturing and understanding this complex network of institutions is a challenge in the design or redesign of a process to produce energy RDD statistics. In many cases, the institutions involved in the process are devoted to doing creative work and they are focused on increasing the stock of knowledge. They usually work under tight deadlines on challenging projects with considerable financial pressure. For this reason, it is key to design the process carefully, limiting the transfer of information to the essential and minimising the administrative burden on respondents. To overcome these challenges, governments may consider dedicating effort at the beginning of a project to ensuring the teams and individuals participating in the data collection are appropriately involved, resourced and informed to create connections and socialise the process specificities across the network. Identifying the right set of skills for the members in the working groups and establishing bidirectional communications between different institutions is essential at this point. This investment may have secondary positive impacts, and the energy RDD data process can promote or create new collaboration streams between different institutions and departments. In some cases, a specific legal framework can boost the creation of the network. The Dutch Climate Act in the Netherlands is an example, but such a regulation is not always necessary to have a strong network of institutions. 2 – Set up the framework One of the key elements of the design or redesign of the energy RDD data collection and reporting process is the team that co-ordinates the annual cycles the co-ordinating team. The co-ordinating team interacts with contacts in other institutions, making sure that the data they manage are correct and comply with international definitions. Bringing the right set of skills into this team contributes to the compilation of high-quality energy RDD statistics. Tracking public investment in energy technology research – A roadmap Institutional arrangements PAGE | 21 I E A . CC B Y 4. 0 . In most countries, the unit in charge of the co-ordination of data collection and reporting usually belongs to the primary ministry for energy topics the Ministry of Energy or similar. For instance, this is the Ministry of Economy, Trade and Industry in Japan and the Ministry of Petroleum and Energy in Norway. Nonetheless, depending on the capacity of the ministry to dedicate resources to this type of project, in some cases, a big part of the work is done by the national energy agency. This agency is often an institution that depends on the primary ministry for energy topics and has the duty of providing technical advice on energy issues. Even if the collection and reporting are co-ordinated by the ministry responsible for energy topics, the process requires awareness of the related data collection activities and potential collaboration with other ministries, such as that responsible for science and innovation or the national statistics office, which often compiles general RDD statistics across domains, for example in their submission of data on Government Budget Allocations for RD to the OECD. These RDD statistics generally consider energy as a high-level socio-economic objective, might have a different definition and boundaries for the data e.g. excluding demonstration that does not qualify as RD and may not provide any disaggregation by technology. It is, therefore, generally difficult to align the energy RDD data process with cross-sectoral RD statistical work, although some countries have worked to define an integrated approach. When this alignment happens, there might be benefits of appointing a team in the ministry responsible for science and innovation instead of the ministry responsible for energy to co-ordinate the compilation of the energy RDD statistics. For instance, in Hungary, the co-ordinating team in charge of compiling the statistics and submitting the questionnaire to the IEA directly is the National Research, Development and Innovation Office. The staff of this ministry might need training on energy technologies, but they will likely be well aware of the broader national RDD landscape and familiar with RDD statistics. In fact, in the case of Spain, even though the questionnaire is submitted to the IEA by the Ministry for the Ecological Transition and the Demographic Challenge, which acts as a central focal point for the IEA, the energy RDD questionnaire is completed by the Ministry of Science and Innovation. Every year, the co-ordinating team interacts with data contacts from other institutions, so it is important to raise this need from the beginning of the project and include the time dimension in the analysis. As the effort from each institution may vary considerably but predictably along the annual cycle, the institutions can plan and allocate the resources required and avoid issues from placing a burden on overloaded people. Tracking public investment in energy technology research – A roadmap Institutional arrangements PAGE | 22 I E A . CC B Y 4. 0 . The number of full-time equivalents FTEs needed in each of the institutions and the co-ordination team varies greatly from country to country. It is extremely dependent on the type of data collection, the availability of data, the maturity of the process and the number of institutions to co-ordinate. In general, governments may consider sizing the team for the annual cycle and allocate more resources for specific periods when there is a redesign of the energy RDD data process, such as increasing the scope and coverage of the existing process or creating a new collection process from scratch. Additional resources might be needed to carry out data revision activities for past years as well. Once the co-ordinating team is set up, the government may consider training on both energy technologies and statistical methods for the team members. Even if the good distribution of tasks according to the skills of the team members can guarantee the success of the data cycles, this is often a sector with a high staff turnover. For this reason, it is especially important to make sure that knowledge is shared across the team and that training materials are available to deal with this turnover without disrupting the cycle. Additionally, there is a continuous risk of the restructuring of ministries due to changes in the political landscape. This restructuring can lead to the data collection process not being allocated to any ministry or it being moved to a completely different section or department. For this reason, to avoid a break in the data collection it is essential to involve higher management to show the value of the data collection and ensure its prioritisation and document the process properly so that it can be transferred to another team more easily. Austria is an example of a country that has externalised the co-ordinating team using a competitive mechanism. Austria case study Externalising the data collection The responsibility to collect and report energy RDD data in Austria lies with the Austrian Federal Ministry for Climate Action, Environment, Energy, Mobility, Innovation and Technology. However, instead of dedicating internal resources to the collection and reporting process, the ministry has externalised this activity. The contract specifies the outputs and quality required and provides the awardee with the resources to undertake the tasks needed to collect the data, with the requirement to minimise the burden on respondents. Currently, the Austrian Energy Agency is carrying out work to collect, process and validate the energy RDD statistics. The Austrian Energy Agency is an energy research and policy organisation through which a group of institutions co-operate, such as the federal and provincial administrations and important corporations from Tracking public investment in energy technology research – A roadmap Institutional arrangements PAGE | 23 I E A . CC B Y 4. 0 . a variety of economic sectors. The board of directors comprises the federal minister dealing with environmental affairs, the federal minister charged with energy affairs and the chairman of the provincial governors. The Austrian Energy Agency has been doing this activity for the last 18 years. Each cycle, the Austrian Energy Agency dedicates around 0.3-0.4 FTEs to this process. The main effort is dedicated to validation, analysis and data dissemination and preparing a 100-page report for the ministry and presenting it at different forums. The data collection is done differently for each institution and includes structured surveys, unstructured Excel files and extractions from private and public databases. This heterogeneity makes it difficult to develop a conventional legal framework to formalise the relationships between different institutions. However, the general interest in appearing in the national statistics, and the fact that the cycle has been repeated for many years, has resulted in a robust process with high coverage. Additionally, there is an important effort by the Austrian Energy Agency to perform a continuous screening of the institutional landscape to quickly identify new actors in the energy RDD arena. Source Austrian Energy Agency. 3 – Map partners and data sources Drawing the full landscape of the national energy RDD institutions and datasets is necessary to make sure that the compiled energy RDD statistics are complete. Additionally, the results of the analysis provide key information for designing the collection, classification and validation process. Once the team for co-ordinating the energy RDD data collection and reporting is created, their first task is usually to screen the entire energy RDD ecosystem. The co-ordinating team may consider tracking the energy RDD money flows to make sure that all the institutions are identified and considered. In most cases, it is easier to use a top-down approach because the number of institutions involved in energy RDD funding is much smaller than the number of performers doing RDD. Tracking public investment in energy technology research – A roadmap Institutional arrangements PAGE | 24 I E A . CC B Y 4. 0 . Typical institutional landscape of an energy RDD funding ecosystem IEA. CC BY 4.0. In general, the functions along the flow of the public funds for energy RDD are split among different institutions. An institution dealing with national finance prepares the annual budget for all public institutions. A part of this budget is a