management, measurement and reporting on intangible

1
Future Research Policy, Benchmarking andthe 3
Action PlanDr Mike W RogersDG ResearchM-1 and
K-2
Conference 19th Nov 2004
2

• This Presentation tries to cover these topics
• Policy Objectives
• Future orientations
• Key Dimensions
• 2004 5 expected developments
• Benchmarking
• Bulgaria and the FPs so far
• Conclusions

3
EU Policy Research Projects - Objectives

• Develop tools about research and for research
• Understand how policy is developed
• Put policy on a rational basis
• Look ahead, Foresight to develop policy (thats
  K-2)
• Create a dialogue, improve the tools and use
  them.
• Create a better knowledge base for evidence based
  policy
• Thats STRATA.
• Now it has a line in the 6FP all of its own.

4
EU Research Policy - Objectives

• Build the ERA an internal market for research,
  researchers and knowledge in an are(n)a for
  coordination of national research policies and
  innovation and related activities
• Increase investment in European research
  (Barcelona goal 3 GDP of which 2/3 from
  private sector)
• Reinforce ST excellence Boosting Europes
  global role, being the best knowledge based
  economy in the world

5
KEY DRIVER Lisbon

• (as of Spring Council 2004)
• Considerable progress made but pace of reform
  must significantly increase
• Prioritises sustainable growth and more and
  better jobs
• Mid-term review Kok Report was supposed to
  define road map for next 5 years
• RD
• Accelerated public and private investment in RD,
  public sector investment to secure greater
  leverage
• Strengthen interactions between public research
  bodies and industry
• Human resources are critical
• Calls on member states to improve the general
  conditions for RD investment and to consider
  targeted support and incentives to encourage
  greater investment by business

6
Mid Term Assessment of Lisbon

• The Kok Report, published 3 Nov 2004
• EU has failed to become the worlds most
  competitive economy IHT 4th Nov 04
• Blames the EU-25 as all failing to meet their
  obligations
• But it is very singular and economic in scope,
  Lisbon is also about
• Great Cohesion, Social progress and security and
  stability
• Members of the Lisbon Council organisation have
  claimed it is compromised by anti-reformers
• Put simply, 3 is not the whole picture and yes
  there areas of concern, as always.

7
EU Research Policy - Means

• Financial support
• Legislative measures
• Co-ordination of national policies
• Actions to stimulate initiatives by other
  stakeholders
• Benchmarking aspects include

• Creation diffusion use of knowledge
• Coherence of EU, national and regional actions
• Links between research and innovation and other
  policies

8
Financial perspectives

• Financial Perspectives 2007 2013 (Feb).
  Proposed doubling of EU research budget
• Role of EU research support complement,
  reinforce, and strengthen the impact of national
  actions (collaboration the diffusion of
  knowledge the creation of critical masses of
  financial and human resources etc.)
• FP6 introduced range of initiatives to enhance
  value added and provide structured support.
• Now necessary to go a step further

9
Future Orientations

• Commissions Communication on Future Research
  Policy (May) to launch political debate ahead of
  Proposals for FP7 (early 2005)
• 6 challenges for community research effort
  corresponding to areas of structural weakness
• PLUS 4 key dimensions and 2 new fields of
  research

10
Future Orientations (1)

• Support to trans-national collaboration between
  centres of research, universities and industry
• At the heart of EU research policy
• Adaptation of NoEs / IPs on the basis of
  experience
• Continuation of Specific Targeted Research
  Projects
• Launch large-scale Joint European Technological
  Initiatives to make major advances in specific
  fields
• Arising from Technology Platforms
• Creating PPIs public/private partnerships to
  implement research agendas for a limited number
  of key technologies (Art. 171)

11
Future Orientations (2)

• Promote excellence by stimulating competition
  between individual teams at European level
• Excellence as exclusive selection criterion for
  funding, to be identified by Peer review
• No obligation of trans-national co-operation
• Ensure a sufficient quantity of high-quality
  researchers by strengthening human resources
• Essential condition for attracting research
  investment
• EU action to promote mobility of researchers and
  improve attractiveness of research centres and
  careers in Europe
• Build on success of Marie Curie fellowships

12
Future Orientations (3)

• Research capacity also to be boosted through the
  development of research infrastructures
• First steps have been made to European
  infrastructure policy (ESFRI)
• Flexible and new methods of financial support to
  help to implement this policy
• Strengthening support for the co-ordination of
  national and regional research programmes
• Key to overcoming fragmentation of national
  efforts
• Reinforce existing mechanisms for networking and
  exchange / create new opportunities for the
  integration of national programmes (ERA-NET,
  Regions of Knowledge, Art. 169)
• Benchmarking Studies have given a basis of
  knowledge

13
Key Dimensions

• Boost EUs international scientific influence -
  reinforce the EUs global role
• Stimulate research for and by SMEs
• Encourage technological innovation
• Better integration of research into society, may
  need a new social contract

14
Key Dimensions - SMEs

• Stimulation of research for and by SMEs
• Research intensive SMEs all instruments
• SME specific measures
• Strengthen collective research
• Continue cooperative research
• Support coordination of national / regional
  programmes (Art. 169)
• Complementarity with future actions of
  multi-annual programme for enterprises (early
  stage equity, guarantee schemes, etc)

15
Key Dimensions - Innovation

• Encourage technological innovation
• Adapted rules for sharing, diffusion and transfer
  of knowledge / IPR (European Patent?)
• Support of innovation related actions integrated
  in RD projects, may need new models
• Consolidation / strengthening of measures to
  support networking of more horizontal
  innovation service providers

• Promote the transfer of research results
  across Europe
• Accelerate transfer of results to the market

16
New fields

• Support European policies in the areas of
• European space policy - defined on the basis of
  the EU-ESA agreement
• Developments in the field of security

17
3 Action Plan A Systemic Approach

• Industry will invest more in RD in Europe only
  if it can expect improved returns on investment
• A drastic reappraisal of current policies and a
  major structural change towards more RD
  intensive sectors enhanced innovation in
  existing sectors
• All factors affecting performance of RI systems
  need to be addressed e.g. from research to the
  market place
• A broad range of policies need to be mobilised in
  a coherent way e.g. RDI, internal market,
  competition, Regional, etc.

18
Major developments 2004
Feb
April
March
Implementation Report - 3 Action Plan
Informal Competitiveness Council
Conference NL
European Council
Enlargement Communication Preparing the Future
Financial Perspectives 3rd Cohesion Report
May
Oct
Nov
19
Mobilisation of financial instruments
Mid-2004
Oct
Dec
Basel II accord
Proposal - Capital Adequacy Directive
Proposal - Harmonised structure for risk capital
MoU EC - EBRD
New MAP Proposal
EIB Innovation 2010 initiative
EIF Study
Pilot Action
20
Technology Platforms and Quick Start
May
Dec
Communication Preparing the Future
(Incl. Technology Platforms)
Growth Initiative report
Quick Start projects Preparatory work Budgetary
plans
Development of European Technology Platforms
21
Intellectual Property and tech transfer
(PRO-Industry)
June-Oct
Feb
IP Management Seminar (EIRMA/EARTO)
Draft guidelines (voluntary)
Validation seminar and endorsement
CREST group recommendations on IP regimes and
public support actions
Commission / Council recommendations
Support IP awareness/training activities EPO
(European IP Academy ) and others
22
Human Resources
June
End 2004
April
March
Proposal Directive Recommendations on
entry/stay third country researchers 2nd
Implementation Report ERA-Mobility Strategy
Recommendations - European Researchers
Charter
Gago HLG report
- Code of conduct recruitment of researchers
Steering Group HRM report to CREST
Expanded remit Steering Group HRM
23
Regional DimensionInvesting more and smarter
in RTDI
Feb
Mid-2004
3rd Cohesion report
Legislative proposals
Promote regional foresight
Pilot action Regions of knowledge
Mutual Learning Platform
ERA regional dimension forum
IRE network
24
OMC - Open Method of Coordination 3
Oct 03
April
June
Sept.
Oct.
CREST expert groups
Intermediary reports
Final reports
Actions Member States Commission Council
CREST synthesis report
Benchmarking Expert groups
Conference NL
Preparatory studies for 2nd cycle 2004-2005
25
Thinking about emerging ST systems

• Building upon experience, we try to learn always
• European Centres of Excellence in Acceding and
  Candidate Countries, to help to restructure the
  science and technology sectors in these countries
  and to support their economic and social
  development
• Marie Curie Host Fellowships for Transfer of
  Knowledge (Development scheme), directed at the
  reinforcement of the research potential of
  research entities in need of new knowledge and
  competences
• Return and Re-integration Mechanisms, supporting
  the reintegration of researchers after a period
  of mobility, in particular in LFR and ACC
• The Innovation in Europe (IRE) Network, a
  regional platform for the exchange of good
  practice in Innovation Policy, on mutual benefit
  and learning basis
• Whats Missing common definitions and benchmarks

26
(emerging ST systems)

• Objectives of a possible scheme
• Supporting research organisations through the
  support of human resource development, exchanges
  and networking in Candidate Countries and
  Community LFRs.
• Specific in its objective, to help exploit the
  full potential of the enlarged EU, it should have
  a significant budget and be a highly visible
  instrument demonstrating the political
  determination.
• The main objective of the new instrument should
  be to strengthen the research potential of
  research groups and institutions currently
  under-used or in need of new knowledge, from all
  European countries and regions,
• Special emphasis on new Member States, Less
  Favoured Regions (LFRs) and Candidate Countries,
  like Bulgaria
• focus on expanding and strengthening the
  collaboration of these research groups with other
  EU research centres, in order to increase their
  international recognition, leadership potential
  and the quality of their scientists.
• Building foundations for their long-term,
  sustainable development, visibility and
  facilitate their participation as equal partners
  in the EU/international research arena.

27
What could a scheme do for you?

• Exchange experience and know-how through
  secondment of researchers
• Provision of visiting professorship/leading
  scientist and/or post-doc positions,
• Allowing recruitment of researchers from another
  EU or 3rd country
• brain return measures, the recruitment of
  diaspora
• boosting training of researchers
• Organisation of workshops and conferences
• facilitate knowledge transfer at national and
  international level
• Attendance of more junior researchers from EU
• Participation at international conferences or
• Short term training events, wider appeal
• Transfer of knowledge purposes
• Exposure to more international environment.
• Dissemination and promotional activities
• Ensure increased visibility

28
Issues of Common Interest

• Framework Programme
• IPR rules
• Specific measures for SMEs
• Innovation support actions / services
• IPR guidelines (PRO-Industry cooperation)
• Competition policy / State aid
• Measuring and Reporting on RD and other forms of
  intellectual Intangible capital

29
Realisation

• Whats missing?
• Any sort of critieria about progress
• How does knowledge gained percolate into a
  Scheme
• How does the improvement of the QC spill over
• What are the benefits and costs of the local,
  regional and national science system
• RECORD provides an ideal tool set of self, group,
  net, cluster, regional, national and independent
  benchmarking which if used at Evaluation AND
  during progression, defines progress

30
Bulgaria

• Recognised RTDI needs underpins Industry as
  pre-requisite for EU entry
• Bulgaria operates a Science Fund, Technology
  Fund, and subsidises employment of graduates.
• BFIA can buy foreign RD intensive companies
• Technology Development Credit Schemes finance
  SMEs especially
• Total incremental RD spend for 2004-2013 is
  500M, about ½ financned by foreign loans
• First Innovation Forum (ARC) 22 OCT 2004,
  complements the recent 'Permanent Research
  Seminar on Innovation'.

31
How is Bulgaria Doing

Trendchart 2003
32
And next door, Roumania?
Trendchart 2003
33
Bulgaria and the FPs
34
All trends show rising involvement
35
Bulgaria in FP6 To-day

• Participation in SMEs actions
• Submissions 950
• Evaluated 460 (gt50)
• Funded 75 just around 8
• Vertical Actions
• Validated Submissions 258
• Retained for funding 43
• Success rate 43 - over 20

36
Bulgaria and EU RTD A decade of Progress

• After a doldrum few years, in 1999 Bulgarian
  academics and enterprises discovered the
  Partnership service, 2003 level 15x that of 1992
• Projects jumped from ca 100 annually to 1999, to
  over 200 annually 2000 onwards
• CORDIS Visibility Footprint jumped by a factor of
  10 also, to 1300 pages by 2003
• 3Qs 2004 evidenced by continued high growth
• Lamentable performance in exploitable results
  beginning to be reversed though NOT ALONE
• 2007 should reach 500 live projects annually!

37
Summary of Whats Up-Policy

• RTDI moves up the political Agenda, no change in
  assignation of Commissioner for RTD
• RTDI EU funding will increase radically
• New Instruments and processes have to be devised
• Multiple/Diverse structures may result, not just
  EC funding
• Systemic approach to Europe
• Sustainability and Social Model essential keys

38
(Context) Whats Up - BG

• Bulgaria is rapidly improving its EU RTDI profile
• Many indicators though need to be addressed and
  accelerated, Some are moving ahead quite well
• OMC and new instruments will need increased
  Benchmarking, RECORD is part customised already
• Benchmarking INTERNAL Tool for YOU 1st 4most!
• Evaluation may see continuous benchmarking as a
  key tool, but use has to be pushed by all
  concerned
• International credibility can be flagged by
  benchmarking but only earned by results.
• Benchmarking of management will be critical to
  deliver research to innovation to products and
  services
• Ten steps forward can be negated by one backward
  policies need to be systemic and mutually
  reinforcing