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DG Research and Innovation

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1 DG Research and Innovation
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

2 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

3 EU policy developments: from Lisbon Strategy to Innovation Union

4 Lisbon strategy: 2000 - 2010 European Council (March 2000)
New strategic objective ( ) : “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 dimension OMC – strategic orientation toward common objectives Benchmarking – good practices exchange – soft encouragement  guidelines  Mr Lisbon  PRN

5 Why the Innovation Union?
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, China – excluding Hong-Kong The EU must close the innovation gap … => Europe needs to react now!

6 EU: reference framework
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) Green Paper Common Strategic Framework (post 2013) (9 Feb. 2011) VII RTD Framework Programme ( ) Work - programmes 2012

7 a strategic approach + structural changes
The European response EU response: a strategic approach + structural changes = Innovation Union Evolution of World R&D expenditure in real terms, PPS€ at 2000 prices and exchange rates,

8 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

9 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)

10 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..)

11 New needs  New ideas  New markets
Challenges bring opportunities to innovate 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 So called Grand Societal challenges such as climate change, health and the aging etc. are opportunities for SMEs. New needs  New ideas  New markets

12 => Making a success of European Innovation Partnerships
European Innovation Partnerships (I) 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

13 => The first steps have been taken
European Innovation Partnerships (II) 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, => The first steps have been taken

14 Shared responsibility / Governance
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 => All actors are to be involved: authorities, research community, business and citizens

15 Building the European Innovation Policy
Innovation Policy Components European Level Fostering innovation in companies Training for innovation management (CIP) Business support services for innovation (CIP, EIB) Support to innovative SME (EIB, EIF) Developing knowledge production 7th Framework Programme for RTD Community Programme for Lifelong Learning EIB 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 Aids Public incentives for Innovation Venture capital schemes (EIF) Community patent Innovation in social dialogue Using demand as a leverage for innovation European competition policy European trade policy Setting standards by Single European Market directives Improving governance for innovation Council of Ministers for Competitiveness

16 INNOVATION « BUILDING » So, it’s building up… SMEs DEMO
16 INNOVATION « BUILDING » Knowledge Transfer Standardisation Pilot EIP Future EIPs Impact Exploitation Dissemination DEMO Validation, testing SMEs

17 …but a lot has still to be done…
17 Regulatory aspects Societal challenges Pre- commercial procurement Non- technological innovation Social innovation

18 Key framework conditions: standards /1
EU & MS to work on key Framework Conditions (I) 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…

19 Key framework conditions: standards /1
EU & MS to work on key Framework Conditions (II) Access to Capital Objective is to create a single market for VC in Europe to overcome fragmentation : 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

20 Implementation of the Innovation Union

21 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

22 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

23 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

24 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

25 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)

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

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

28 What is “Smart specialisation”?
= 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 Smart = - evidence-based: SWOT analysis & foresight, taking all assets of a region into account, in particular industrial structures, science, technology and training capacities, skills, environment, market access, but also "difficult assets" (aging population, remote position, rough climate …), - no top-down decision, but: discovery process with stakeholders to identify potential, actors, cross-fertilisation potential, etc. - possibly using creative problem solving / brainstorming tools (= "help them discover what they know themselves") and developing the smart specialisation concept - look beyond borders: global perspective to be able to assess potential of competitive advantage compared to other specialised regions & potential for cooperation - source in knowledge, technologies etc. rather than re-inventing the wheel. Specialisation = - priority setting (not "coffee for all") - getting better (than others) with something concrete, rather than doing a little bit of everything, but without becoming a master in it - accumulation of critical mass (be it internal to the region or via external insourcing & cooperation) - not necessarily focus on a single industrial / service sector (or individual company), but cross-sectoral Canary island example on how to go about this by specializing through the adaptation of a generic technology – ICT in the tourism sector: a recently internationally awarded ERDF island project in the Balearics which is a new on-line booking system called Avanthotel. Avanthotel is an enterprising public-private partnership supported by the ERDF, within the framework of the Balearic Islands first innovation strategy promoted by the EU Commission, enabled local businesses, mainly small hotels, to align on customer demand, embrace ICTs and reconnect with a new generation of holidaymakers. In 2007 it involved over 450 companies with a total turnover of over 6m € and annual growth rates above 100%.  best way to exploit territorial potential through innovation  foster interregional comparative advantage

29 EU Research and Innovation post 2013: toward a Common Strategic Framework

30                    FP7 CIP
The European Research and Innovation system 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 Alzheimer Agriculture, Food Security & Climate change Health and Diet Cultural Heritage Ageing (More Years Better Lives) Climate Knowledge (Clik-EU) Seas and Oceans Antimicrobial resistance Urban Europe Water challenges National and Regional Funds Joint Programming SETPLAN Eureka! ERANET+ JTI Artemis Eniac Clean Sky IMI FCH ELSA ERANET EERP * NER300 * Art. 169 AAL Bonus EMRP EUROSTARS ENV ENE TRS FP7 eHealth eIdentity ICT for TT Energy efficiency HEALTH NMP SPA SEC CSH CIP JTI PPP KBBE ICT PPP Energy Efficient Buildings Future of Factories Green cars Future Internet EC Funds No text needed ICT-FET (Flag Ships) ERC SMEs and SME Associations eHealth Smart grid TT, mobility & logistics Content Large Scale Demos & trials INFRASTRUCTURES PEOPLE Fundamental Applied Development Innovation Deployment

31 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

32 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

33 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

34 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)

35 A broad debate based on the Commission Green Paper

36 Next generation of Research and Innovation funding
To be launched in Steps: • 9 Feb : 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

37 Timeframe Follow up: Commission proposal:
Commission Analysis of stakeholders contributions An event to conclude the consultation (10 June 2011) Inputs to the Commission proposal Commission proposal: EU Budget post (June 2011) Common Strategic Framework (end 2011) Legislative decision on the Common Strategic Framework by the Council and the European Parliament ( ) => Common Strategic Framework (from 2014)

38 Thank you for the attention
To participate in the debate:

39 Focus on AHA Pilot EIP

40 Focus on European Innovation Partnership: Active & Healthy Ageing

41 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...”

42 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, …

43 Objectives and headline target
A 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 growth Overarching goal by 2020 Increasing the number of healthy life years (HLYs) by 2 in the EU on average


45 lack of user involvement not willing to innovate
elderly lack of evidence lack of user involvement fragmented funding not willing to innovate lack of funding lack of training family/ informal care health/social care professionals hospitals care institutions care insurers industry researchers basic research applied research validation piloting take-up

46 a new funding instrument

47 EIP AHA in relation to programmes
Joining up / Bridging gaps / Scaling up / Framework conditions FP7 Public Health Programme Food FP7 Health JPIs eHealth action plan Policy Areas FP7 Natio Struct CIP eHealth eHealth ural nal Funds EIB ESF funds Ageing well action plan CIP ICT & FP7 ICT & AAL Ageing well Ageing well Time to market

48 EIP AHA: possible areas of work
Integrated Care Prevention and Personalised Medicine Active and Independent Living

49 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

50 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

51 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

52 Milestones 26 Nov 2010 - Competitiveness Council Conclusions
26 Nov 2010 to 28 Jan 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

53 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

54 Further information

55 Focus on SME support programs

56 SME according EU definition
How to check if you are a Micro, a Small or a Medium size enterprise: Categories of SMEs Staff AWU (Annual Work Unit) Annual Turnover Annual Balance Sheet Medium < 250 ≤ 50 million € ≤ 43 million € Small < 50 ≤ 10 million € Micro < 10 ≤ 2 million €

57 3. SME population in research and innovation
Basic SMEs 70% Technology adopting enterprises 20% % Leading Technology users <10% Technology pioneers 1% The typology used indicates that SMEs are diverse in their natures and aspirations: about 70%, the vast majority of SMEs, undertake no or little R&D. For them innovation is not about technological revolution, but about a permanent process of evolution, involving suppliers and customers. At the other extreme, a very small number, 1%, is involved in leading-edge research.  Research is the very life blood of entrepreneurial success. In between these extremes, some 30% of SMEs regularly develop, apply or acquire technology. That is a large number - of the order of three million enterprises in EU-15.  These are the companies with high growth potential. The <13% of SMEs which the typology indicates as technology-based innovators (“leading technology users”, “ technology pioneers”) number about 1.3 million EU-15 firms. Other data: 90% of SMEs are micro-enterprises – with fewer than 10 employees . The average European company has just five workers. 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 Source: EURAB’s report on “SMEs and ERA”

58 FP7 - Opportunities for SMEs
R&D-performing SME R&D Outsourcing SME Capacities Research for the benefit of SMEs Cooperation FP7 Participation in Joint Programmes of Member States

59 7 FP Structure: Capacities Programme
Cooperation – Collaborative research Ideas – Frontier Research People – Marie Curie Actions Capacities – Research Capacity + Updated per Lars Aggerbeck 10/10/2006 JRC non nuclear research Euratom direct actions – JRC nuclear research Euratom indirect actions – nuclear fusion and fission

60 7PQ “ COOPERATION ” Budget 2007/2013 Cooperation: 10 themes 32 413
(million €) 32 413 Total Budget 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 2 350 Updated 3/10/2006 5. Energy 1 890 6. Environment and Climate Change 4 160 7. Transport and Aeronautics; 623 8. Social Economic Sciences and Humanities; 1 430 9. Space 1 400 10. Security

61 The overall cumulative budget share of SMEs in FP7 should rise
What about SMEs? 61 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. The overall cumulative budget share of SMEs in FP7 should rise 15.4% (end of 2012) 14.3% (1st January 2011)

62 CAPACITIES: Research for the benefit of SMEs: Objectives
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

63 Capacities Research for the benefit of SMEs
Research 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

64 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

65 Research for the benefit of SMEs
Investing in Research SMEs SME Associations RTD-Performers Results & IPR Other enterprises, End users

66 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)!

67 FP7: opportunities for SMEs

68 Number of partners Minimum 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. 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.

69 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

70 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)

71 Further Information Research for the benefit of SMEs: SME TechWeb:
CORDIS: SME TechWeb: National Contact Points

72 EUREKA Secretariat:
For more information EUREKA Secretariat:

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