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Smart Growth!Towards an Innovation Union
EU Research and Innovation Policy
Valentina Pinna
European Commission DG Research and Innovation
Eurochamber Women Network: Kaunas, 10/06/2011
Outline of the presentation:
1) EU Policy development on Research and Innovation
2) Implementation of the Innovation Union
3) EU Research and Innovation System: toward a Common Strategic Framework
4) Focus on SME support in 7 FP
EU policy developments:from Lisbon Strategy to
Innovation Union
Lisbon strategy: 2000 - 2010
European Council (March 2000)
New strategic objective (2000-2010) : “to become the most competitive and dynamic
knowledge economy in the world, able to generate sustainable growth, more and better jobs, highr level of
social protection”.
Economic-Social and Environmental dimensionOMC – strategic orientation toward common objectives
Benchmarking – good practices exchange – soft encouragement guidelines Mr Lisbon PRN
• Ever stronger global competition for investments & markets
• US and Japan lead on innovation whilst emerging economies are quickly catching up
• On current trends, China is set to overtake the EU by 2014
Evolution of World R&D expenditure in real terms, PPS in Bn € at 2000 prices and exchange rates, 1995-2008
China – excluding Hong-Kong
Why the Innovation Union?
=> Europe needs to react now!
EU - 27
US
Japan
China
South Korea
0
50
100
150
200
250
300
350
400
450
2004 2008 2012 2016
PP
S i
n B
illi
on
s €
at 2
000
pri
ces
The EU must close the innovation gap …
6• Europe 2020 Strategy (March 2010)
Smart, Sustainable and Inclusive Growth:
“Smart Growth: development of a knowledge & Innovation based economy”
• Innovation Union Flagship Initiative (October 2010)
• European Council Conclusions (4 February 2011)
EU: reference framework
Green Paper Common Strategic
Framework (post 2013)
(9 Feb. 2011)
VII RTD Framework Programme
(2008- 2013)Work - programmes 2012
The European response
Evolution of World R&D expenditure in real terms, PPS€ at 2000 prices and exchange rates, 1995-2008
EU response:
a strategic approach + structural changes
= Innovation Union
Innovation Union Flagship Initiative
• A major flagship initiative of Europe 2020• Strategic and integrated approach to research and
innovation and broader policies• Putting in place the key framework conditions to
make Europe attractive for research and innovation• Addressing major societal challenges and aiming at
competitiveness and jobs
The European approach to Innovation:
a) Societal challenges: focus on innovation to face healthy aging, energy challenges, management of natural resources, use of raw materials, Smart Cities…
b) Building on EU Strengths: a single market of 500 million consumers, European standards, Public Procurement, advanced manufacturing systems, dynamic SMEs, Creative Industries, excellence in education and research.
c) Cohesion and Inclusion: Based on Smart Specialisation
&
Social Innovation
encouraging innovation within the civil society
(including innovation coming from employees)
Key elements to keep in mind
General principles• To focus on the EU 2020 Key Priorities • Strong added value, “results driven" approach (impact) • Stimulate investments, use of financial instruments• Improve framework conditions
Focus on Research and Innovation: • Complete innovation cycle: from research to market• To tackle the Grand Societal Challenges: better coordination• Common Strategic Framework – coordination of EU instruments• Simplification: common rules, use of common IT platforms• Enlarge the basis of European research – the role of Structural
Funds (and maybe more..)
• Climate change
• Health and ageing
• Use of natural resources
• Energy security
• Clean transport
• Land use
• ….
• Powerful drivers of change in economy and society
• Major global market opportunities
• Requiring EU-scale approaches
• From research to market
New needs New ideas New markets
Challenges bring opportunities to innovate
12
Tackle major societal challenges whilst creating business opportunities
Join up all key players and work together to transform ideas and research into successful innovative products or services
A pilot partnership to prolong EU citizens’ active and healthy life years by two years in 2020 has been launched (AHA)Welfare gains associated with improvements in life expectancy increased gross domestic product (GDP) at least 29–38% over the last 40 years
=> Making a success of European Innovation Partnerships
European Innovation Partnerships (I)
13
2010– Council, Parliament to discuss the concept– Member States and stakeholders invited to join– Preparation pilot on active and healthy ageing
2011– Others EIPs to follow pending discussions and
building on experience with pilot– Topics considered: water, raw materials,
agriculture, smart cities, mobility,
European Innovation Partnerships (II)
=> The first steps have been taken
14
• EU: - overall steering and policy orientations - progress report, benchmark- peer reviews of national policies - technical assistance
•Member States: - specialise smartly- apply and learn from benchmarks
• Regional and local authorities: - specialise and develop potential
Shared responsibility / Governance
=> All actors are to be involved: authorities, research community, business and citizens
Building the European Innovation Policy
Innovation Policy Components European Level
Fostering innovation in companiesTraining for innovation management (CIP)Business support services for innovation (CIP, EIB)Support to innovative SME (EIB, EIF)
Developing knowledge production7th Framework Programme for RTDCommunity Programme for Lifelong LearningEIB actions for human capital
Developing networking for innovation
Supporting clusters, poles of innovation and partnerships for innovation ( CIP)Supporting international transfer of knowledge and the international cooperation between companies (CIP)
Improving the framework conditions for innovation
Reform of State AidsPublic incentives for Innovation Venture capital schemes (EIF)Community patentInnovation in social dialogue
Using demand as a leverage for innovationEuropean competition policyEuropean trade policySetting standards by Single European Market directives
Improving governance for innovation Council of Ministers for Competitiveness
16So, it’s building up…
Validation, testingValidation, testingDEMODEMO
INNOVATION
« BUILDING »
SMEsSMEs
StandardisationStandardisation
Pilot EIPPilot EIP
DisseminationDissemination
Future EIPsFuture EIPs
ExploitationExploitation
Knowledge Knowledge TransferTransfer
ImpactImpact
17…but a lot has still to be done…
Non-technological
innovation
Regulatory
aspects
Pre-commercial procurement
Societal challenges
Social innovation
• Standards (Standardisation package next Spring, EU financial support
for a multi-annual programme to anticipate new standardisation needs)
• Public Procurements Creation of EU innovative procurement markets (17% EU
GDP) - From 2011, Member States/regions to set aside dedicated budgets for innovative procurement markets
Target 2020: €10 billion/year across the EU (~ US) - EU wide calls for proposals restricted to public procurers – First call this year: Support for pooling demand, developing common specifications, aligning procurement…
Key framework conditions: standards /1EU & MS to work on key Framework Conditions (I)
• Access to Capital Objective is to create a single market for VC in Europe to
overcome fragmentation - 2012: Commission legislative proposal for an operational framework for Venture Capital funds
• Conditions to transform ideas into job opportunities European Research Area by 2014, Single Market for Services, A
Digital Single Market, a European Market for knowledge and patents
Key framework conditions: standards /1EU & MS to work on key Framework Conditions (II)
Implementation of the Innovation Union
Implementation of the Innovation Union in practice
34 areas of action
“Fiches” for the implementation with leaders identified in different DGs
(RTD, ENTR, REGIO, EMPL, INFSO, ECFIN, MARKT, ESTAT)
Progress Monitoring toward objectives
Implementation of the Innovation Union: (I)
34 areas of intervention (based on the Innovation Union COM)
1 - Researcher Training and Careers
2 - University rating - Innovation skills/ knowledge alliances
3 - E-skills
4 - European Research Area framework - Quality of doctoral training – Career
framework 4 Researchers - Simplicity and mutual coherence of funding rules
5 - European Research Infrastructures
6 - Future EU research and innovation programmes
7- SME participation in Framework programme
8 - Evidence/ forward look for policy making - role of Joint Research Center
9 - European Institute of Tecnologies (EIT)
10 -Financial instruments –RSFF follow up – CIP follow up
Implementation of the Innovation Union: (II)
11 - Venture Capital initiative
12 - SME Finance State Aid review
13 - EU Patent
14 - Regulatory screening Standards
15 - Public procurement support mechanism
16 - Legal framework for Joint Procurement
17 - Eco-innovation
18 - Design Leadership Board
19 - Creative Industries
20 - Open access to research/ research information systems
21 - Collaborative research and knowledge transfer agreements
22 - Knowledge Markets
23 - Competition Policy
Implementation of the Innovation Union: (III)
24 – 25 - Structural Funds & their Future
26 - Social Innovation
27 - Research programme on social and public innovation
European Public Sector Innovation Scoreboard
28 - Social partner consultation - Strategy for caring sector
29 - European Innovation Partnerships
30 - Attracting international talent
31 - Scientific Cooperation
32 - Global research infrastructures
33 - Self assessment of R&I systems
34 - Innovation indicator & Scoreboard
Implementation of IU in practice: role of countries & regions
- Develop and implement National Reform Programs
- Use the Self Assessment Tool (annex to IU COM)
- Define a Smart Specialisation Strategy (contribution to EU 2020)
- Identify Areas of intervention in which different governance level (National, Regional, Local) have competences and put in place actions at local level.
- Support European Innovation Partnerships: play a role at territorial level (national, regional)
A TOOL BOX FOR THE MAIN STAKEHOLDERS
• Better use of incentives to leverage private R&D
• Innovation support services, in particular for dissemination and technology transfer
• Innovation poles, networks and incubators bringing together universities, research institution and enterprises
• Public procurement of innovative products and services
• Access to domestic and international finance
• New technological initiatives based on public-private partnerships
• Networks of regional or local clusters across the EU with greater involvement of SMEs
• Energy efficiency and co-generation, and the rapid spread of environmentally friendly and eco-efficient technologies
• Speed up the transposition of Internal Market directives
• Eliminate remaining obstacles to cross-border activity
• Apply EU public procurement rules effectively
• Promote a fully operational internal market of services, while preserving the European social model
A TOOL BOX FOR THE MAIN STAKEHOLDERS
• Implementation and enforcement of the Financial Services Action Plan
• Removal of regulatory, trade and other barriers that unduly hinder competition
• Redeployment of state aids in favour of support for certain horizontal objectives such as research, innovation and the optimisation of human capital
• Reduce the administrative burden that bears upon enterprises, particularly on SMEs and start-ups
• Improve the quality of existing and new regulations
• Encourage enterprises in developing their corporate social responsibility
• Strengthen economic incentives, including by simplifying tax systems and reducing non-wage labour costs
• Creation of one-stop contact points and the stimulation of national support networks for enterprises
• Reinforce entrepreneurship education and training for SMEs
• Facilitate the transfer of ownership, modernise where necessary their bankruptcy laws, and improve their rescue and restructuring proceedings
• Promotion and dissemination of innovative and adaptable forms of work organisation
What is “Smart specialisation”?
best way to exploit territorial potential through innovation foster interregional comparative advantage
= evidence-based: all assets = no top-down decision, but stakeholder discovery process = global perspective on potential competitive advantage & potential for cooperation = source in knowledge, technologies etc. rather than re-inventing the wheel
= priority setting in times of scarce resources (not "coffee for all") = getting better / excel with something specific = accumulation of critical mass = not necessarily focus on a single sector, but cross-fertilisations
EU Research and Innovation post 2013: toward a Common
Strategic Framework
Joint Programming
ERANET+
ERANETJTI Artemis Eniac Clean Sky IMI FCH
Art. 169 AAL Bonus EMRP
JTI PPP
PEOPLE
INFRASTRUCTURES
HEALTH
NMPSPA
SEC
CSH
ELSA
SETPLAN
ICT
ENV
ENE
TRS
EUROSTARS
Fundamental Applied Innovation DeploymentDevelopment
ICT-FET (Flag Ships)
ERC SMEs and SME Associations
EC
Funds
National and
Regional
Funds
The European Research and Innovation system
eHealtheIdentityICT for TTEnergy efficiency
Programmes
Instruments
New thematic initiatives
Wind Energy 6B€Solar Energy 16B€Bioenergy 9 B€Carbon Capture & Storage 13B€Electricity Grid 2 B€Sustainable Nuclear Energy 7 B€Smart Cities
PPPEnergy Efficient BuildingsFuture of FactoriesGreen carsFuture Internet
•Alzheimer•Agriculture, Food Security & Climate change•Health and Diet•Cultural Heritage
eHealthSmart gridTT, mobility & logisticsContentLarge Scale Demos & trials
Ageing (More Years Better Lives) Climate Knowledge (Clik-EU)Seas and OceansAntimicrobial resistanceUrban EuropeWater challenges
KBBE
EERP *
NER300 *
Eureka!
A reform is needed of current programmes
Recommendations of FP7 interim evaluation (and other evaluations)
• Unclear objectives (e.g. regarding innovation)• Need for simplification: reduce administrative burdens,
time to grant• Complexity: Too many different instruments and funding
mechanisms• Need for broader participation: further boost participation
of SMEs, new Member States, female researchers & innovators
• Increase impacts from EU support
Towards a Common Strategic Framework• Bringing together the instruments
• Framework Programme (FP7), • Competitiveness and Innovation Programme (CIP), • European Institute of Innovation and Technology (EIT)
• To focus on challenges requiring an EU response• Tackling major societal challenges• Increasing competitiveness• Raising excellence in the research base
• Simplification of the Framework• Rationalised toolkit of instruments • More standardised rules, remove needless variations• Common entry points, IT platforms etc.
• Clearer complementarities with MS funding & with EU Cohesion Policy funds
Tackling societal challenges
• How to focus on societal challenges, which priorities (climate change, energy sec., ageing, resource effic.)
• Role for European Innovation Partnerships (learning from experience with pilot Partnership)
• Role for Joint Programming Initiatives (increasing efficiency of public programmes)
• Better support for policy making and more citizen involvement
Strengthening competitiveness
• Supporting the full innovation cycle (from research to market uptake)
• Strengthen participation of industry (role for public private partnerships)
• Support for SMEs (better targeting, more adapted schemes)
• Broader support (non-technological innovation)
• New financial instruments (building on RSFF)
• New types of support (incentives for public procurement, use of prizes)
A broad debate based on the Commission Green Paper
Next generation of Research and Innovation funding
To be launched in 2014.
Steps:
• 9 Feb. 2011 : Green Book and Public Consultation on the Common Strategic Framework for Research and Innovation funding at EU level
• Feb - May 2011: Consultation with all the stakeholder
Deadline for contributions by 20 May 2011
--- > 10 June 2011: Major event to conclude consultation
• End June 2011: Commission proposal for the next (MFF)
Multiannual Financial Framework
• End 2011: Commission proposal on CSF funding for the future financial cycle
Timeframe• Follow up: – Commission Analysis of stakeholders contributions – An event to conclude the consultation (10 June 2011)– Inputs to the Commission proposal
• Commission proposal:– EU Budget post 2013 (June 2011)– Common Strategic Framework (end 2011)
• Legislative decision on the Common Strategic Framework by the Council and the European Parliament (2012-13)
=> Common Strategic Framework (from 2014)
Thank you for the attention
To participate in the debate:
http://www.ec.europa.eu/research/csfri/
Focus on AHA Pilot EIP
Focus on European Innovation Partnership:
Active & Healthy Ageing
Innovation Union European Council, 4 Feb 2011
“Innovation contributes to tackling the most critical societal challenges we are facing. …ensure that innovations with a societal benefit get to the market quicker…. pilot Innovation Partnership on active and healthy ageing is an important step...”
The role of ICT and of the Digital Agenda
• ICT unlocks and catalyses active & healthy ageing solutions: integrated care, personalised medicines, smart health monitoring, social communication, “active & healthy living 2.0”, …
• Digital Agenda for Europe: research & innovation priority; actions on e-health interoperability, m-health, ambient assisted living, digital literacy, accessibility, …
Objectives and headline targetA triple win for Europe• Enabling EU citizens to lead healthy, active and
independent lives until old age • Improving the sustainability and efficiency of social and
health care systems • Developing and deploying innovative solutions, thus
fostering competitiveness and market growthOverarching goal by 2020 • Increasing the number of healthy life years (HLYs) by 2
in the EU on average
basic research applied research validation piloting take-up
researchers
industry
hospitalscare institutions
care insurers
health/social careprofessionals
family/informal care
elderly
lack of evidence
lack of user involvement
fragmented funding
no
t willin
g to
inn
ovate
lack of funding
lack of training
What the EIP can do
What the EIP IS NOT:
• a new funding instrument
• a new R&D programme
JOINING UP
BRIDGING GAPS
BETTER FRAMEWORKCONDITIONS
FACILITATINGSCALING UP
EIP AHA in relation to programmes
Polic
y Ar
eas
FP7 ICT & Ageing well
FP7 eHealth
AALCIP ICT &
Ageing well
CIP eHealth
Ageing well action plan
eHealth action plan
Public Health Programme
Structural
FundsEIBESF
JPIs
FP7 Health
National
funds
Time to market
FP7 Food
Joining up / Bridging gaps / Scaling up / Framework conditionsJoining up / Bridging gaps / Scaling up / Framework conditions
EIP AHA: possible areas of work
Integrated Care
Integrated Care
Prevention and
Personalised Medicine
Prevention and
Personalised Medicine
Active and Independent
Living
Active and Independent
Living
EIP in practice – example of fall prevention• 1/3rd of elderly fall at least once per year, many lose
independence• We have devices for balance monitoring, physical/cognitive
training, personal medication advice, …• But: not enough fall prevention innovation reaches the
elderly• The EIP could:
– Join up actors for a common strategy starting from today’s practice– Bring together public and private insurance providers and financiers to
bridge gap between investment and returns – Aggregate evidence to guide procurement– Partner standardisers, industry and users on interoperability– Connect researchers to citizens, carers and procurers to define world-
class multi-disciplinary fall prevention
EIP in practice – example of multiple chronic diseases• Multiple chronic conditions (heart failure, diabetes,
depression, hypertension) affect 80% of people over 65
• Tele-monitoring technologies enable: – Hospital re-admissions to be reduced 20%
– Heart failure mortality to be reduced by 30%
– Care efficiency to be increased by 30%
• Need to overcome barriers – Common guidelines for procurers in social and healthcare
– Partnering to scale up successful regional pilots
EIP Steering Group
• Light and efficient structure• High level representatives of key
stakeholders– Member States, European Parliament– Key initiatives (JPIs, AAL JP)– Demand side (elderly, patients, regions, NGOs)– Supply Side (industry, SMEs, service providers, research)
• Framework for voluntary coordination• Delivers Strategic Implementation Plan
– Identify key areas of action for innovation in active & healthy ageing– Identify barriers and actions
Milestones
• 26 Nov 2010 - Competitiveness Council Conclusions
• 26 Nov 2010 to 28 Jan 2011 - online public consultation
• 4 Feb 2011 – European Council Conclusions
• May 2011 – start of Steering Group
• Summer 2011 Light assessment of the governance
• Autumn 2011 Strategic Implementation Plan to Council
• End 2011 – taking stock of pilot
EIP and Regions• Regions key players in Active and Healthy Ageing & in EIP– Large scale innovation initiatives– Key investors
• EIP essential for dissemination of evidence and best practice to regions
• Structural funds a key possible funding source for regions to invest in innovation
• Triple win strategy for smart specialisation in ageing well innovation
Further information
http://ec.europa.eu/active-healthy-ageing
Focus on SME support programs
SME according EU definition
Categories of SMEs
Staff AWU(Annual Work
Unit)
Annual Turnover
AnnualBalance Sheet
Medium < 250≤ 50
million €≤ 43
million €
Small < 50≤ 10
million €≤ 10
million €
Micro < 10≤ 2 million
€≤ 2 million
€
How to check if you are a Micro, a Small or a Medium size enterprise:
0
10
20
30
40
50
60
70
Basic SMEs
70%
Technology adopting
enterprises
20%
Leading Technology
users
<10%Technology
pioneers 1%
%
None or few R&D activities
Adapting existing technologies – low innovative SMEs
Developing or combining existing technologies on an
innovative level
High Level research activities
3. SME population in research and
innovation
Source: EURAB’s report on “SMEs and ERA”
R&D-performing SME
R&D Outsourcing SME
CooperationCapacities
Research for the benefit of SMEs
FP7 - Opportunities for SMEs
FP7
Participation in Joint Programmes of Member States
+
Ideas – Frontier Research
Capacities – Research Capacity
People – Marie Curie Actions
Cooperation – Collaborative research
JRC non nuclear research
Euratom direct actions – JRC nuclear research
Euratom indirect actions – nuclear fusion and fission
7 FP Structure: Capacities
Programme
Cooperation: 10 themes
Budget
(million €)
1. Health 6 100 2. KBBE – Food, Agriculture, Biotech 1 935 3. ICT 9 050
4. Nanosciences, nanotechnology, new materials and Industrial technologies
3 475
5. Energy 2 350
6. Environment and Climate Change 1 890
7. Transport and Aeronautics;
4 160
8. Social Economic Sciences and Humanities;
623
9. Space 1 430
Total Budget
32 413
10. Security 4001
7PQ “ COOPERATION ”Budget 2007/2013
61What about SMEs?
• WPs 2011: 46 SME-friendly activities, expecting to lead to 15.7% to SMEs.
• WPs 2012: 91 research SME-dedicated topics, expected to lead to 18.5% to SMEs.
14.3%
(1st January
2011)
15.4% (end of 2012)
The overall cumulative budget share of SMEs in FP7 should rise
Strengthen the innovation capacities of SMEs to develop new products and markets by
outsourcing of research:
Increase their research effort
Acquire technological know-how
Extend their networks (internationalisation)
Improve exploitation of research results
CAPACITIES: Research for the benefit of SMEs: Objectives
Capacities Research for the benefit of
SMEsResearch for SMEs:
Low to medium technology SMEs with little or no research capability
Research intensive SMEs that need to outsource research to complement their core research capability
Research for SME associations:
SME associations representing their members and their common technical problems
bottom-up approach, no thematic focus
Important: Economic benefit for
SMEs!Research for SMEs: Clear exploitation potential and economic benefits for the
SMEs involved (investment in research, innovation, market opportunities )
Strengthening the competitiveness of the SMEs
Research for SME associations: Clear exploitation potential and economic benefits for the
SMEs members of the associations involved Improve industrial competitiveness
Research for the benefit of SMEs
SMEsSME Associations
RTD-Performers
Investing in Research
Results & IPR
Other enterprises, End users
Research for the benefit of SMEs
SMEs invest in R&D
“Customer-seller” relationship between SMEs/ SME associations and RTD-performers.
SMEs/ SME associations invest in the RTD project and outsource part of the research activities to "RTD performers”.
RTD performers invoice their services to SMEs/ SME associations.
EC contributes substantially, but not all (cofinancement)!
Joint EU/Member States initiative (JP)
Optimized participation of SMEs
(15% target) SME specific measures
Dedicated scheme with special emphasis
on SMEs
Article 185 TUE for research performing
SMEs
"Cooperation" "Capacities" "People" "Capacities"
R&D performing SMEsR&D acquiring
SMEs Mainly R&D
performing SMEsR&D performing SMEs
Thematic areasnot SME specific
Bottom-up approach, Market oriented
Industry-acedemia pathways
Bottom-up approach, Market oriented
* Collaborative Projects,
* Specific SME calls, * Support Actions for each Theme
* SME Research projects, * SME Associations Research projects, * SME NCPs
ERANETS (Cornet, Era-SMEs)
EUROSTARS
Community Actions
FP7: opportunities for SMEs
Number of partnersMinimum requirements, coordination
Research for SMEs
At least three (3) independent SME participants, established in three different Member States (3 MS) or Associated countries.
At least two (2) RTD performers. Other enterprises and end-users optional.
Research for SME associations
At least three(3) independent SME association/groupings, established in three different Member States (3 MS) or Associated countries, or one (1) European SME association/grouping.
At least two (2) RTD performers. Other enterprises and end-users with at least 2 SMEs.
SMEs or SME associations may entrust coordination to a partner in the consortium specialised in professional project management.
Research for the benefit of SMEs
Research for SMEs
Research for SME associations
Duration 1-2 years 2-3 years
Number of partners
5-10 10-15
Total budget € 0.5 – 1.5 Million € 1.5 – 4 Million
Activities R&D, demonstration, management, other activities
R&D, demonstration, management, other activities
Funding rates
R&D: maximum of 50 % of the total eligible costs
Exception: SMEs, non-profit public bodies, secondary and higher education establishments and research organisations: maximum of 75 %
Associations may meet the criteria for SMEs
Demonstration activities: maximum of 50 % Management activities: maximum of 100 % Other activities: maximum of 100 %
(e.g. training, coordination, networking, dissemination)
Further InformationResearch for the benefit of SMEs:http://cordis.europa.eu/fp7/capacities/research-sme_en.html
CORDIS: http://cordis.europa.eu/fp7
SME TechWeb:
http://ec.europa.eu/research/sme-techweb/index_en.cfm
National Contact Points http://cordis.europa.eu/fp7/ncp.htm
