Smart specialization toolkit An overview of European regions and countries
approaches
Krzysztof Mieszkowski JRC.IPTS, S3 Platform 4 March 2014, Kraków
146 EU regions + 14 EU countries + 2 non-EU regions peer reviewed countries: 4 peer reviewed regions: 45
3
Main activities of S3 Platform in support of the countries/regions preparing RIS3
2. Peer Review workshops & trans-national learning
4. RIS3 assessment and support to REGIO
desks
3. Country- and Macro-region events and
targeted seminars at IPTS
6. Interactive tools, S3 Newsletter and Website
1. The RIS3 methodological
Guide
5. Thematic workshops &
working groups
7. Research agenda Eye@RIS3
RIS3 is an Economic Transformation Agenda
• RIS3 "Research and innovation strategies for smart specialisation"
• is a dynamic and evolutionary process – "not a structure"- deeply grounded in an entrepreneurial discovery process (not a one-off action) where Governments are rather facilitators…than in a position of command and control.
• RIS3 is for…
• innovation leaders and for those lagging behind !
= fact-based: all assets + capabilities + bottlenecks in a region, incl. external perspective, cooperation potential, global value chains
= no top-down decision but dynamic entrepreneurial discovery process uniting key stakeholders around shared vision
= all forms of innovation, not only technology-driven, existing / new knowledge
= ecosystem approach: creating environment for change, efficiency of institutions
= differentiation: focus on competitive advantages, potential for excellence, emerging opportunities, market niches
= concentration of resources on priorities, problems and core needs, for critical mass/critical potential
= synergies across different departments and governance levels (EU-national-regional); cross-sector/technology links
= place-based economic transformation: rejuvenate traditional sectors through higher-value activities
What is Smart Specialisation?
RIS3 strategy as a base for OPs
A national or regional smart specialisation strategy is in place when:
• is based on a SWOT or similar analysis to concentrate resources on a limited set of research and innovation priorities;
• outlines measures to stimulate private RTD investment;
• contains a monitoring mechanism.
A framework outlining available budgetary resources for research and innovation has been adopted.
RIS3 is a process … of «entrepreneurial discovery»
What do enterprises need?
With whom to cooperate?
Who are your customers / competitors?
Is there critical mass/ excelence?
Clients
Markets
Services
Cooperation (value chains)
Enterprises Enterprises
Enterprises
Creativity Talents
Research Knowledge
Technologies
Money
Governance – Quadruple helix – Rhone Alpes
Looking at entrepreneurial dynamics – Rhone Alpes
Looking at entrepreneurial dynamics – Rhone Alpes
RIS3
Skills & innovation capacities: entrepreneurial, innovation management, creative …
KETs for SMEs : Tech.transfer & audits, demonstrators, pilots
Fo
restr
y
Tech
no
log
ies
for m
ou
nta
in
areas
To
uris
m:
inn
ovati
ve
healt
h a
nd
sp
ort
servic
es
Bio
-Econ
om
y:
New
use o
f cellu
lose
Ren
ew
ab
le
en
erg
y:
b
io-m
ass
RIS3 ≠ Operational Programme
OP IP 1
ERDF
RIS3
Skills & innovation capacities: entrepreneurial, innovation management, creative …
KETs for SMEs : Tech.transfer & audits, demonstrators, pilots
Fo
restr
y
Tech
no
log
ies
for m
ou
nta
in
areas
To
uris
m:
inn
ovati
ve
healt
h a
nd
sp
ort
servic
es
Bio
-Econ
om
y:
New
use o
f cellu
lose
Ren
ew
ab
le
en
erg
y:
b
io-m
ass
Hypothetical example 1:
more developed
region
Co
mp
eti
tiven
ess
of
SM
Es in
Ru
ral
Areas
RIS3 ≠ Operational Programme
OP
ERDF
National funding
Legis-lation
Regional funding
Ho
riz
on
2
02
0
Implementation drawing on a
variety of sources …
RIS3
Skills & innovation capacities: entrepreneurial, innovation management, creative …
KETs for SMEs : Tech.transfer & audits, demonstrators, pilots
Fo
restr
y
Tech
no
log
ies
for m
ou
nta
in
areas
To
uris
m:
inn
ovati
ve
healt
h a
nd
sp
ort
servic
es
Bio
-Econ
om
y:
New
use o
f cellu
lose
Ren
ew
ab
le
en
erg
y:
b
io-m
ass
Hypothetical example:
less developed
region
Co
mp
eti
tiven
ess
of
SM
Es in
Ru
ral
Areas
RIS3 ≠ Operational Programme
OP
ERDF
Legis-lation
OP
EAFRD
OP ESF
Implementation drawing mainly on Structural
Funds …
RIS3
Skills & innovation capacities: entrepreneurial, innovation management, creative …
KETs for SMEs : Tech.transfer & audits, demonstrators, pilots
Fo
restr
y
Tech
no
log
ies
for m
ou
nta
in
areas
To
uris
m:
inn
ovati
ve
healt
h a
nd
sp
ort
servic
es
Bio
-Econ
om
y:
New
use o
f cellu
lose
Ren
ew
ab
le
en
erg
y:
b
io-m
ass
Hypothetical example bis:
less developed
region
Co
mp
eti
tiven
ess
of
SM
Es in
Ru
ral
Areas
RIS3 ≠ Operational Programme
OP
ERDF
Legis-lation
OP
EAFRD
OP ESF
OP goes beyond RIS3
SM
E
co
mp
eti
tiven
ess:
incu
bato
rs,
mic
ro-f
inan
ce …
OP
ERDF
RIS3
Skills & innovation capacities: entrepreneurial, innovation management, creative …
KETs for SMEs : Tech.transfer & audits, demonstrators, pilots
Fo
restr
y
Tech
no
log
ies
for m
ou
nta
in
areas
To
uris
m:
inn
ovati
ve
healt
h a
nd
sp
ort
servic
es
Bio
-Econ
om
y:
New
use o
f cellu
lose
Ren
ew
ab
le
en
erg
y:
b
io-m
ass
Hypothetical example:
less developed
region
Co
mp
eti
tiven
ess
of
SM
Es in
Ru
ral
Areas
RIS3 ≠ Operational Programme
Legis-lation
New
prio
rit
y
OP ESF
Implementation drawing mainly on Structural
Funds …
SME competitiveness: incubators, micro-finance …
OP
ERDF OP
EAFRD
16
RIS3 guide – Key steps for developing a RIS3
Step 1 – Analysis of regional context/potential
Step 2 – Governance
Step 3 – Vision for the future
Step 4 – Selection of priorities
Step 5 – Policy mix
Step 6 – Monitoring and evaluation
Monitoring
Policy mix
Priorities
Vision
Process
Analysis
RIS3
Step 5 – Implementation,
definition of a coherent policy mix, roadmaps
and action plan
Roadmap, action plan and pilot projects:
organising and detailing rules, tools and
roles
Appropriate mix of targeted and
horizontal measures
Allowing for support to experimentation,
etc.
Which of your existing tools are BOTH
successful and contribute to reach your
goals?
Which tools do you need to overcome
identified challenges in order to reach
your goals?
Do you need to design your own tools?
Main steps of the process to identify specialisations – Lubelskie
Priority 3
Strenghten of innovation environment working towards the development of areas of smart
regional specialisation
General Objective
Development of chosen sectors: bio-economy, health and wellness services, IT and control engineering, and low carbon emission creating interconnected and
synergical areas of voivodship's smart specialisation
Regional INNOVATION
SYSTEM
Priority 1
Increase of ability of business entities to create or absorb and to implement
innovations in the areas of smart regional specialisation
Priority 2 Increase of ability of B+R entities
to create and commercialize knowledge in the areas of smart
regional specialisation
Main objective and priorities of the strategy – Lubelskie
Source: Lubelskie presentation, Peer review workshop, Vaasa
Roadmap and milestones – Lubelskie
2013 2014 2015 2016 2017 2018 2019 2020
Priority 1 Increase of ability of business entities to create or absorb and to implement innovations in the areas of smart regional specialisation
Priority 1 Increase of ability of business entities to create or absorb and to implement innovations in the areas of smart regional specialisation
Priority 1. Increase of ability of business entities to create or absorb and to implement innovations in the areas of smart regional specialisation
Priority 2 Increase of ability of B+R entities to create and commercialize knowledge in the areas of smart regional specialisation
Priority 3 Strenghten of innovation environment working towards the development of areas of smart regional specialisation
Priority 3 Strenghten of innovation environment working towards the development of areas of smart regional specialisation
Priority 3 Strenghten of innovation environment working towards the development of areas of smart regional specialisation
Milestone 1
Scientific environment prepared to work in
the areas of smart specialisation
Milestone 2
Innovation environment prepared to work
in the areas of smart specialisation
Priority 2 Increase of ability of B+R entities to create and commercialize knowledge in the areas of smart regional specialisation
Priority 2 Increase of ability of B+R entities to create and commercialize knowledge in the areas of smart regional specialisation
Source: Lubelskie presentation, Peer review workshop, Vaasa
The instiutions of implementation system, performed
functions and funding sources – Lubelskie Institution Performed function in the system Funding sources
Planning Organizing Motivation Control
De
cisi
on
m
akin
g le
vel Board of the Region Large influence Low influence Large influence Own funding
Steering Committee RSI WL 2020
(Marshal Office departaments, experts knowledge)
Medium influence Low influence Own funding
Innovation Council
(representatives of all stakeholders)
Medium influence
Large influence Own funding
Exe
cuti
ve le
vel
Managing Authority RSI WL 2020
(Departament of Economy and Innovation)
Large influence
Medium influence
Medium influence Own funding
Lubelskie Center for Innovation Research
(including experts knowledge)
Medium influence Medium influence
Large influence Regional Operational Programme
(RPO WL 2014-2020)
Cooperation platform
(representatives of all stakeholders)
Large influence
Large influence Own funding and/or
Regional Operational Programme for Lubelskie Voivodeship for the years 2014-2020
and/or European Social Fund and/or
Operational Programme - Innovative Economy (IE OP) for the years 2014-2020 Source: Lubelskie presentation, Peer review workshop, Vaasa
Smart incubation – intercollegiate programme of incubation and development of innovative companies in the areas of smart specialisation
Smart services – proinnovative system to meet the innovative needs of enterprises
Smart cooperation – initiative and development of network cooperation of entities in identified coperation chains of key specialisation
Smart researchers – intercollegiate programme to support young researchers conducting commercial research in the areas of smart specialisation
Smart research areas – development and promotion of a regional interdisciplinary research programme in the areas of bio-med-info for the smart regional specialisation
Smart use of local resources – development and implementation of a model of the use of local resources for bioeconomy and supplementing sectors
Planned pilot projects – Lubelskie
Source: Lubelskie presentation, Peer review workshop, Vaasa
National S3 Priorities – England
Source: England presentation, Peer review workshop, Riga
Local Priorities: LEPs & S3 (extract) – England
Local Enterprise Partnership Linkages to Industrial
Sector Strategies
Lif
e S
cie
nce
s
Aero
sp
ace
Nu
cle
ar
Oil &
Gas
Au
tom
oti
ve
Off
sh
ore
Win
d
Info
rmati
on
Eco
no
my
Co
nstr
ucti
on
Pro
f. B
us
.
Serv
ices
Ag
ri-t
ech
Ed
ucati
on
8 G
reat
Tech
no
log
ies / K
ET
Lo
cally s
pecif
ic
Black Country
Buckinghamshire Thames Valley
Cheshire & Warrington
Coast to Capital
Cornwall & Isles of Scilly
Coventry & Warwickshire
Cumbria
D2N2
Dorset
Enterprise M3
Gloucestershire
Greater Birmingham and Solihull
Source: England presentation, Peer review workshop, Riga
The Policy Mix for Innovation – England National / Horizontal Nationally Managed
/ Delivered Locally
Locally Managed/
Locally Delivered
Policies Innovation & Research Strategy for
Growth
Industrial Strategy
Science & Innovation Strategy
(pending)
Strategic Economic Plans
ESIF Strategies
LEP Innovation Strategies &
Boards
Programmes • Public Sector Research
Establishments
• Large Scale Research Facilities
• Catapult Centres
• R & D Tax Credits
• R & D Tax Credits (SME)
• Patent Box
• UK Innovation Investment Fund
(UKIIF)
• UK Research Partnership
Investment Fund
• University Enterprise Zones
• Higher Education Innovation
Fund
• HEFCE Catalyst Fund
• Collaborative R & D
• Innovation Vouchers
• Knowledge Technology
Partnerships
• Launchpads
• SMART
• Knowledge Technology
Networks
• Small Business Research
Initiative (SBRI)
• Science Parks
• Innovation incubators
• Proof of Concept Funds
(FEI)
• Proof of Technology
Funds (FEI)
• Collaborative R & D
• Contract research
• Innovation Networks
• Public Procurement
• Knowledge Technology
Partnerships
• Innovation Vouchers
• Social Innovation
• Higher Level Skills for
Innovation (ESF)
Source: England presentation, Peer review workshop, Riga
Downstream
R&D Innovation Market Capacity Building
Horizon 2020 Frontier research (ERC, FET)
ERA-Net, JP, EUREKA … Marie Curie
KICs
ESI Funds
R&I Infrastructures and
Equipment (IP1)
National/Regional
R&I systems
IP: Investment Priorities under the R&I thematic objective of the ERDF Regulation
Upstream
Excellent R&I
Demonstration Pilots
PPPs
procurement ESFRI
Business Advisory
services
KETs (IP1)
prizes
SME instrument Skills
"Research
Excellence"
"Stairway to Excellence" Hopefully also excellence, but
"Innovation Excellence"
OPs as a tool
for smart
specialisation
selection &
verification?
1. Proximity to market: the centre of gravity of S3 is business and the development of commercial applications; so this first criterion is proposed to avoid projects that would only emphasize fundamental research and/or research infrastructure.
2.Does the activity open a new domain potentially rich in innovation and spillovers? This is the essence of discoveries (versus innovation): opening a new domain in which several innovations will occur.
3.What is the degree of collaboration, the number of partners involved? The project needs to involve a sufficiently large number of actors. Each new activity set as a priority is a collective experiment.
4. Is public funding needed? Projects that are so promising (in terms of expected private profitability) that they will be undertaken in any case should be rejected.
Selection criteria for projects
5.What is the significance of the activity for the regional economy? Some excellent projects might be too narrow in terms of their significance for the regional economy (in terms of job, number of firms, etc.). To misquote Nobel Prize winner Robert Solow: we want to see the effect of S3 in the statistics!
6.What is the capacity of the region to keep the successful activity on its space, so as to avoid the innovation here benefits elsewhere syndrome? In general new successful activities which are related to (and built on) the local innovation ecosystem are easier to keep in the region.
7.Can this activity realistically drive the region towards a leadership position in the selected niche?
8.What is the degree of connectedness of the activity vis-à-vis the rest of the regional economy? R&D domains with a greater degree of connectedness create more opportunities for structural transformations and evolution than a more isolated domain.
Selection criteria for projects
OPs should: 1.Fully support RIS3 implementation by funding
matching research and innovation with business needs within S3 priorities
2.Make an impact on an increase of the private R&D investment
3.Be close to entrepreneurial discovery process by taking inspiration for implementation instruments
4.Take into account the synergies (Horizon2020, COSME, Erasmus+, Creative Europe, CEF)
5.Take into account Macro-level strategies (Danube or Baltic)
6.…
Summing-up