RIS3: Research and Innovation Strategies for Smart Specialisation

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1 RIS3: Research and Innovation Strategies for Smart Specialisation Dr Ruslan Rakhmatullin (European Commission, DG JRC, S3 Platform) Lisbon, March 2013

2 Why Smart Specialisation?

3 Building on the past lessons and achievements Widespread experience of national/regional innovation strategies in the framework of the EU cohesion policy Strategy development exercises (RIS, RITTS, RISI) Inter-regional best practice demonstration (RTT, RISI2) Pilot actions (RIS+, RISI+) Greater levels of cooperation and transparency, strengthened expertise available in regions Better communication between technology providers and clients (including policy-makers) Increased funding of innovation focused activities Improved sustainability of these activities (and funding)

4 but breaking away from the past Previous RIS have often suffered from one or more of the following weaknesses: They lacked an international/trans-regional perspective, the regional innovation/economic system was often considered in isolation. They were not well aligned with the industrial and economic context of the region; there was too much public involvement in R&D (which was not sufficiently business driven). There was a narrow vision of innovation. There was a picking winners syndrome. The best performing regions were often copied without consideration of the local context.

5 Why Smart Specialisation? Knowledge for Growth expert group (DG Research) launched the concept of smart specialisation in the framework of ERA; One critical issue: fragmentation and duplication of public R&D investments; S3 stresses role for all regions in the knowledge economy, if they identify competitive advantages in specific R&I domains/clusters (not just winning sectors); Challenges: Smart specialisation has to embrace the concept of open innovation, not only investment in (basic) research.

6 the eu policy context: smart specialisation as an ex ante conditionality

7 Thematic ex-ante conditionalities (1) Thematic objectives Ex ante conditionality Criteria for fulfilment 1. Strengthening research, technological development and innovation (R&D target) (referred to in Article 9(1) ) 1.1. Research and innovation: The existence of a national or regional research and innovation (strategy) (strategic policy framework(s)) for smart specialisation in line with the National Reform Programme, to leverage private research and innovation expenditure, [which complies with the features of wellperforming national or regional research and innovation systems.] For research infrastructures only: 1.2 The existence of a multi-annual plan for budgeting and prioritisation of investments. is based on a SWOT analysis to concentrate resources on a limited set of research and innovation priorities; outlines measures to stimulate private RTD investment; contains a monitoring [and review] system. A framework outlining available budgetary resources for research and innovation; A [indicative] multi-annual plan for budgeting and prioritisation of investments linked to EU priorities [and, where appropriate, the] European Strategy Forum on Research Infrastructures -ESFRI).

8 Thematic ex-ante conditionalities (2) Thematic objectives Ex ante conditionality Criteria for fulfilment 2. Enhancing access to and use and quality of ICT (Broadband target) (referred to in Article 9(2)) (R&D target) (referred to in Article 9(1)) 2.1. Digital growth: [The existence within the national or regional innovation strategy for smart specialisation of an explicit chapter for] A strategic policy framework for digital growth to stimulate demand for affordable, good quality and interoperable ICT-enabled private and public services and increase uptake by citizens, including vulnerable groups, businesses and public administrations including cross-border initiatives. [A strategic policy framework for digital growth, for instance, within the national or regional innovation strategic policy framework for smart specialisation is in place that contains]: - budgeting and prioritisation of actions through a SWOT analysis [carried out in Alignment] consistent with the Scoreboard of the Digital Agenda for Europe; an analyses of balancing support for demand and supply of information and communication technologies (ICT) should have been conducted; indicators to measure progress [measurable targets for outcomes] of interventions in the field of digital literacy, skills, e-inclusion, e-accessibility, and e-health [within the limits of Article 168 TFEU] which are aligned with existing relevant sectoral national or regional strategies. assessment of needs to reinforce ICT capacitybuilding.

9 What is RIS3? RIS3: (National/Regional) Research and Innovation Strategies for Smart Specialisation that are: integrated, place-based, economic transformation agendas;

10 ec support: smart specialisation platform (s 3 platform)

11 Smart Specialisation Platform (S3P) Launched in June 2011 Managed by a team established at the IPTS (DG JRC, EC) in Seville Designed to assist regions and Member States in developing their RIS3 strategies Monitored by a Steering Team (incl. DG REGIO, RESEARCH, ENTR, EAC, CONNECT, SANCO, AGRI, CLIMA) Input from a Mirror Group of European high-level experts and network representatives

12 Current participation (March, 2013) Current S3 Platform members: registered regions + 6 Member States - Additional registrations in progress Further S3P objectives: - SE Europe - Country level

13 How can the S3 Platform support regions to prepare their RIS3? 7. Research agenda 1. The RIS3 Methodological Guide 6. A dedicated website with special access for regions & interactive tools 2. Peer Review workshops & transnational learning events 5. Thematic workshops & working groups 4. RIS3 assessment and support to REGIO desks 3. Outreach & Country Events (Seminars in Member States & EU Macro-regions)

14 The RIS3 Guide The most recent (May 2012) version is available from the S3 Platform website: PART I: THE POLICY CONTEXT PART II: THE RATIONALE PART III: RIS3 DESIGN IN A NUTSHELL Annex I A step-by-step approach to RIS3 design Annex II Delivery instruments and horizontal approaches Annex III Guidance for expert assessment

15 RIS3 as a process Step 1 Analysis of regional context/potential Analysis Step 2 Governance Monitoring Process Step 3 Vision for the future Step 4 Selection of priorities Step 5 Policy mix Policy mix RIS3 Vision Step 6 Monitoring and evaluation Priorities

16 Step 1 Analysis of national context and potential for innovation (I) A broader definition of innovation, not just RTD-oriented; Assess existing assets; Identify competitive advantage(s); Detect emerging niches for smart specialisation; Combine methods (e.g. regional profiling, SWOT approach, surveys);

17 Step 1 Analysis of national context looking out and potential for innovation (II) Outward-looking Analysis: Assess country s/region s positioning within the EU Be aware of global companies and value chains Examine existing flows of knowledge and skills Avoid blind duplication, instead aim to discover mutual opportunities for collaboration Combine methods (e.g. studies; interviews; interregional work groups)

18 Step 1 Analysis of regional context and potential for innovation (III) Analysis of entrepreneurial dynamics and identification of future opportunities: Different types of actors Spirit of the entrepreneurial environment Involvement of entrepreneurial actors in the regional economy Firms, but also Universities, Technology Centers, Venture Capitalists, Regional Development Agencies.. Identify economic differentiation potential Combine methods consultation with firms, clusters; technological audits; foresight studies

19 Step 2 Governance: Ensuring participation and ownership A wider engagement of stakeholders: Include the demand-side perspective Quadruple Helix Collaborative leadership Boundary spanning individuals and organisations Dedicated Steering Group/ Knowledge Leadership Group, Management Team, Working groups

20 Step 3 Developing an overall vision of the region s future Shared vision of the region s potential and main directions for its international positioning: Formulate different scenarios based on analyses and debate where your region wants to go Produce a positive tension towards the future Guarantee long-term engagement of stakeholders Mobilising power

21 Step 4 Identification of priorities Decision-making step where top-down meets bottom-up: Focus on a limited number of areas with potential for smart specialisation as emerged from entrepreneurial discovery Areas where the region/country hopes to excel Pay attention to horizontal priorities (Key Enabling Technologies, social innovation, etc.) Avoid capture by interest groups

22 Which horizontal issues & policy delivery instruments could be considered? Green Growth: Eco-innovation & Energy efficiency Digital agenda: enabling knowledge flows throughout the territory (connected regions) Clusters for regional growth Innovation-friendly business environments for SMEs Public sector innovation Stronger focus on financial engineering Public Procurement for market pull: pre-competitive PP to open new innovation friendly market niches Lifelong Learning in research and innovation: support knowledge triangle (KICs) and universityenterprise cooperation Key Enabling Technologies (KETs): systemic potential to induce structural change Research infrastructure/centres of competence Creativity and cultural industries: innovation beyond technology and outside manufacturing Social Innovation: new organisational forms to tackle societal challenges

23 Example: Why should Region N consider KETs in its smart specialisation strategy? KETs include nanotechnology, micro- and nanoelectronics (including semiconductors, advanced materials, biotechnology and photonics). KETs are knowledge-intensive and associated with high R&D intensity, rapid innovation cycles, high capital expenditure and highly-skilled employment. They bear enormous market potential: The overall global market volume will most likely increase from USD 840 billion to USD 1300 billion. They are multidisciplinary, cutting across many technology areas with a trend towards convergence and integration. KETs have been singled out by the European Commission in the proposal for the new Cohesion Policy as one of the investment priorities of the European Regional Development Fund (ERDF) as a relevant investment for the smart growth of regions. KETs are seen as the route to new and better products and processes, capable of generating economic growth and employment and strengthening the competitiveness of the EU economy. KETs can spur innovation, increase productivity, give rise to new applications and help tackle societal challenges.

24 Step 5 Definition of a coherent policy mix, roadmaps and action plan Organising and detailing rules and tools: Roadmap will include: Action plan target groups, objectives, timeframes, indicators, sources of funding and budget allocations Pilot projects experiment with new policy mixes, obtain inputs for updating RIS3 strategies

25 Step 6 Integration of monitoring and evaluation mechanisms Mechanisms integrated in the strategy: Monitoring to verify the correct and efficient implementation of activities; Evaluation to verify if and how strategic goals are met; Importance of ex ante setting of measurable targets and output/outcome indicators;

26 The importance of communication of RIS3 Good communication is crucial: To ensure RIS3 endorsement by all stakeholders; To engage new stakeholders To inform the general public; Communication is needed at every stage of the process

27 (Peer) Review and update of RIS3 Formulating and implementing a RIS3 is a continuous process: Need to adapt and update the strategy; Information is gathered during implementation and incorporated into an updated RIS3; Peer review exercise;

28 what has been done so far?

29 Main activities of the S3 Platform to support the EU Member States and Regions preparing RIS3 7. Research agenda 6. A dedicated website with special access for regions & interactive tools 1. The RIS3 Methodological Guide 2. Peer Review workshops & transnational learning events 5. Thematic workshops & working groups 4. RIS3 assessment and support to REGIO desks 3. Outreach & Country Events (Seminars in Member States & EU Macro-regions)

30 Past Thematic Workshops Thematic Workshop: "SMEs and Smart Specialisation", Brussels (BE), 8 November 2012, more info: Thematic Workshop: "Economic Indicators and Monitoring and Evaluation Tools for Smart Specialisation Strategies (RIS3)", Groningen (NL), January Further info can be found at: Thematic Workshop "The Role of Universities in Smart Specialisation", Seville (ES), February 2013, more info:

31 Current S3P peer-review approach Main characteristics: Emphasis on learning together and from each other; Participants switch roles (a region can be peer-reviewed as well as it can act as a peer-reviewer or a critical friend within the scope of same event); Concentrating peer-learning in space & time less formal and more open to interaction; Integrating expertise/knowledge from a variety of sources: collaborative contribution from peers, academic experts, European Commission services, external organisations (OECD, World Bank, etc.)

32 Peer review numbers PAST EVENTS: FUTURE EVENTS: Seville (Andalusia), January regions participating coming from 10 countries - 6 CONV regions Seville (Andalusia), May regions participating coming from 11 countries 4 CONV regions Ponta Delgada (the Azores), June regions participating coming from 10 countries 11 CONV regions Pisa (Tuscany), September 2012 around 30 regions Strasbourg (Alsace), 3-4 December 2012 around 30 regions Palma de Mallorca (the Balearic Islands), 7-8 February regions Brno (South Moravia), March 2013 (25 regions) Vaasa (Ostrobothnia), May 2013 Crete (Greece), end of September 2013 (tbc)

33 the next peer review workshop Vaasa (Ostrobothnia, Finland) Theme: Stakeholder Engagement and the RIS3 Governance May 2013 registration is now open:

34 Who are we?

35 Institute for Prospective Technological Studies (Joint Research Centre, EC) Sustainable development European Integrated Pollution Prevention and Control Bureau Sustainable Production and Consumption Climate Change, Energy and Transport Transport Sector Economic Analysis Integrated Climate Policy Scenarios Energy Sector Economic Analysis Research and innovation Economics of Industrial Research and Innovation ERA policies Regional Economic Modelling Smart Specialisation Platform Information society Role of the ICT industry in the evolving Knowledge Economy ICT Applications for Society Techno-economic Foresight for the Information Society Agriculture and Rural development Sustainable Agriculture and Rural Development: the socio-economic dimension Support to Agricultural Trade and Market Policies New Technologies in Agriculture- their agronomic and socio-economic impact

36 Knowledge for Growth Unit (IPTS, European Commission) objectives: to assess the impact of innovation policies and various business innovation factors (R&D, physical capital, human capital, etc.) on company performance, on sectoral dynamics as well as on economic growth and employment to analyse the barriers to the development of the European Research Area, in particular, reforms in Universities, mobility of researchers, R&D specialisation and transnational cooperation between national research programmes to provide the EU with evidence supporting the improved use of structural funds for research & innovation projects, for helping people to acquire the necessary skills, for infrastructures and for implementing smart specialisation strategies to combine effectively foresight competences to identify scenarios and priorities for research and innovation funding, for joint programming or for international collaboration, with economic modelling in order to assess the potential impact of those scenarios and priorities.

37 Call for Papers: Journal of the Knowledge Economy Editor-in-Chief: Elias G. Carayannis The Special Issue will focus on RIS3 for Growth: Towards Mode 3 Smart Specialisation Strategies Embedded in Quadruple Innovation Helices as Sustainable, Intelligent and Inclusive Growth Drivers. The deadline for submissions is May 31, This call addresses: 1. empirically based research on the on-going S3 experiment; 2. theoretically or conceptually based analysis and discussion with relevance for S3, as well as, 3. empirical studies of Quadruple Helix processes or strategies which may be seen as relevant to the future development of S3.

38 Open Research Positions Code: 2013-SVQ-J CAT 40 - SEVILLE Economics of Industrial Research and Innovation Deadline: 14/04/2013 Code: 2013-SVQ-J CAT 30 - SEVILLE ICT for Social Innovation and Social Inclusion Deadline: 14/04/2013 Code: 2013-SVQ-J CAT 40 - SEVILLE Key Enabling Technologies Techno-Economic Analysis Deadline: 14/04/2013 Code: 2013-SVQ-J CAT 40 - SEVILLE Economic Modelling and Policy Analysis Deadline: 02/04/2013 Code: 2013-SVQ-J CAT 30 - SEVILLE Smart Specialisation Platform (S3 Platform) Deadline: 14/04/2013 Code: 2013-SVQ-J CAT 30 - SEVILLE Digital Economy Research Programme Deadline: 02/04/2013

39 thank you for your attention! questions or suggestions?