Action Plan 2015-2020 November 2015
Table of Contents 1. Introduction... 3 2. Actions... 6 3. Financing... 31 4. Monitoring and evaluation... 33 Annex. Scorecard... 40 2
1. Introduction In 2012, the Catalan Government approved the Catalonia 2020 Strategy (ECAT 2020). In line with the Europe 2020 Strategy, ECAT 2020 promotes smart, sustainable, inclusive growth through action in six priority areas: employment and training; social cohesion; innovation and knowledge; entrepreneurism; internationalisation; and green economy. In February 2014, within the framework of this strategy, the Government approved the Research and Innovation Strategy for the Smart Specialisation of Catalonia (RIS3CAT), which establishes the priorities for public R&D&I policies and actions supported by the ERDF Operational Programme in Catalonia 2014-2020 (hereafter, ERDF OP). The document entitled RIS3CAT, Research and Innovation Strategy for the Smart Specialisation of Catalonia (available at: http://catalunya2020.gencat.cat) describes a vision of Catalonia as a country with an industrial base and an open, competitive and sustainable economy that combines talent, creativity, a diversified business fabric and its own excellent research system within the framework of a dynamic, enterprising and inclusive society. The country is home to both multinational enterprises and local companies, both consolidated industries that have become international leaders and emerging technological sectors. To advance towards making Vision 2020 a reality, the measures provided under RIS3CAT focus on four strategic objectives: 1. To enhance the competitiveness of the business fabric by improving the efficiency of production processes, promoting internationalisation and reorienting established sectors towards activities with greater added value. 2. To promote new emerging economic activities through research, creativity and innovation in order to create and exploit new market niches. 3. To consolidate Catalonia as a European knowledge hub and to connect the country s technological and creative capabilities with existing and emerging sectors in the territory. 3
1. Introduction 4. To make global improvements to the Catalan system of innovation, improving the competitiveness of companies, particularly SMEs, and orienting public policies towards the promotion of innovation, internationalisation and entrepreneurship. This Action Plan develops the four strategic objectives established by RIS3CAT in fourteen operational objectives. These objectives are to: 1. Increase R&D investment as a percentage of GDP. 2. Raise the proportion of private investment in total R&D. 3. Raise the percentage of companies that implement technological innovations. 4. Increase the number of companies that take part in Horizon 2020 projects. 5. Boost the percentage of researchers working in the private sector. 6. Increase the number of start-up companies. 7. Continue participation in Horizon 2020. 8. Increase scientific production in Catalonia. 9. Raise the percentage of companies that develop or acquire R&D. 10. Boost the percentage of companies that innovate. 11. Increase the percentage of companies that innovate in cooperation with other companies or R&D&I stakeholders. 12. Increase the percentage of companies that innovate in cooperation with international companies or R&D&I stakeholders. 13. Increase the percentage of innovative companies that implement innovative activities abroad. 14. Increase the percentage of companies that use risk capital to finance investment in innovation. Sections 2 and 3 of this document describe the RIS3CAT actions and sources of finance, whilst Section 4 focuses on the monitoring and evaluation system for the Action Plan, listing its objectives and indicators. Finally, the Annex contains the RIS3CAT scorecard. 4
1. Introduction All measures in the Action Plan are cofinanced by the ERDF OP and the European Social Fund Operational Programme in Catalonia for the 2014-2020 period (hereafter, ESF OP). Accordingly, the actions, calendar and system of monitoring and evaluation are fully in line with the requirements, calendar and procedures of these two operational programmes. 5
To achieve its strategic and operational objectives, the RIS3CAT strategy establishes actions that focus on four priority pillars: Pillar 1. Promoting the seven leading sectoral areas that, due to their importance and potential, can help to generate economic recovery and reorient the Catalan economy towards a growth model that is smarter, more sustainable and more inclusive: food and drink; chemicals, energy and resources; industrial systems; design-based industries; industries related to sustainable mobility; health industries, and cultural and experience-based industries. Pillar 2. Identifying and promoting new economic opportunities in emerging sectors, based on technological capabilities (new activities generated by technological change and cutting-edge innovation) and synergies between different but related sectors. Pillar 3. A commitment to cross-cutting enabling technologies as the main instrument for transforming the production system and generating new scientific, technological and economic opportunities. The six priority cross-cutting enabling technologies in the RIS3CAT strategy are: ICTs, nanotechnology, advanced materials, photonics, biotechnology and advanced manufacturing. Pillar 4. Improving the innovation environment through the public policies implemented by the Government that affect the research and innovation system. These policies concern the digital agenda, entrepreneurship, ecoinnovation, nontechnological innovation, and training and talent. Accordingly, this Action Plan includes public actions to support research and innovation that are implemented within the framework of the RIS3CAT governance system and receive cofinancing from the ERDF or ESF operational programmes. 6
2. Actuacions Box 1. RIS3CAT: schematic diagram Pillar 1 Pillar 2 Pillar 3 Pillar 4 Leading sectors Emerging activities Cross-cutting enabling technologies Food and drink Chemicals, energy and resources Industrial systems Design-based industries Industries related to sustainable mobility Health industries Cultural and experiencebased industries These will be identified in the smart specialisation process ICTs Nanotechnology Advanced materials Photonics Biotechnology Advanced manufacturing Environment for innovation Polítiques públiques Public policies Digital agenda Entrepreneurism Eco-innovation (green economy) Non-technological innovation Training and talent RIS3CAT Action Plan measures RIS3CAT communities Specialisation and Territorial Competitiveness Projects (PECT) Emerging activities R&D cooperation projects Public-private partnerships in R&D&I Industry of Knowledge Technology transfer Innovative public procurement Strengthening the technological capabilities of research and innovation infrastructures International cooperation Industrial PhDs Development of RIS3CAT in Barcelona There follows a description of the measures included in this Action Plan at November 2015, and the budget for them. It should be noted that this budget is conditioned upon the approval of the financing mechanisms under the ERDF and ESF operational programmes. 7
1. RIS3CAT communities Instrument Estimated value of projects ERDF OP Managing body Beneficiaries Calendar Expected results Competitive calls for proposals for grants to finance RIS3CAT communities action plans 200 million euros 72 million euros ACCIÓ Public and private stakeholders in the research and innovation system and companies with operational bases in Catalonia 3 calls for proposals over the 2015-2017 period to accredit 15 communities over the course of the ERDF OP programming period Establishment of 15 RIS3CAT communities Increased public and private investment in R&D&I and of its impact on the production system Improved competitiveness of RIS3CAT leading sectors. Increase in the participation of Catalan R&D&I companies and organisations in EU competitive programmes and European networks, in both quantitative (resources attracted and participating bodies) and qualitative terms (strategic projects) RIS3CAT communities are groups of companies and stakeholders in the research and innovation system that promote R&D&I plans for the economic transformation of production activities. They receive accreditation from the Government of Catalonia through a competitive process that allows them to obtain grants from the ERDF OP to cofinance their action plans. Objectives To group together R&D&I companies and stakeholders that operate in similar sectors in Catalonia in order to implement the Research and Innovation Strategy for the Smart Specialisation of Catalonia (RIS3CAT). To generate agendas for economic transformation based on the adoption of R&D&I and the application of cross-cutting enabling technologies (in production activities within the framework of the RIS3CAT leading sectors). To promote medium- and long-term work plans aimed at developing joint R&D&I projects generated by the identification of shared opportunities and needs that are key to the economic transformation of the production system in RIS3CAT areas. To generate new economic opportunities and create employment. 8
Description These communities, which are formed by at least eight members, including both companies and stakeholders in the research and innovation system, submit R&D&I action plans affecting a leading sector: 1. Major industrial research and experimental development projects R&D projects focused on industry that include activities involving applied research, experimental development or the development of industrial demonstrators that are particularly relevant to the sector. Technology valorisation projects that monetise the store of knowledge accumulated by innovation system stakeholders as it is transferred to the industrial production system. Actions to evaluate and validate experimental prototypes and production systems, pilot schemes, new products or services, or advanced methods and materials. 2. Technical and scientific facilities Facilities such as laboratories and pilot plants to provide industry with tools for industrial validation. Development of equipment and instruments of major scientific facilities. These may promote or complement other facilities that already exist in different European regions with the aim of establishing strategic synergies. 3. Interregional cooperation projects in the field of innovation Actions or projects with organisations and companies in other European regions and EU countries, such as ad hoc bilateral R&D programmes, public-private partnerships (PPP), activities organised by knowledge and innovation communities (KICs), joint technology initiatives, etc. 4. Innovation projects in the fields of processes and organisation Actions developed by SMEs with the goal of improving production or supply methods or significantly improving business practices, organisation in the workplace and foreign relations. 9
2. Specialisation and Territorial Competitiveness Projects (PECTs) Instrument Estimated value of projects ERDF OP Managing body Beneficiaries Calendar Expected results Calls for competitive proposals for grants for PECTs action plans 144 million euros 72 million euros Directorate-General for Local Government Local organisations, stakeholders in the research and innovation system and not-for-profit organisations 2 calls for proposals, the first in 2015 and the second in 2017, to select 30-40 PECT projects over the course of the ERDF OP programming period Contribution to territorial balance by promoting PECTs throughout the territory Increased cooperation between stakeholders in the territory (public administrations, universities and stakeholders in the research and innovation system, companies and other organisations and stakeholders in the territory) Increase in public and private investment in R&D&I and in its impact on the production system Job creation Specialisation and Territorial Competitiveness Projects (PECTs) are initiatives promoted by stakeholders in the territory and led by local public bodies. PECTs are projects with a high degree of innovation, aimed at transforming the territory s economy. The basic characteristics of PECTs actions are as follows: They form part of a territorial strategy that enjoys wide local support. They pursue specific, cohesive objectives. They have multiple impacts on the territory, contributing to smart specialisation, improving competitiveness, creating employment and, wherever possible, establishing links with the international value chain. 10
Objectives The PECT objectives are defined by the territorial nature of the action they promote: To improve the competitiveness of the production system. To create jobs. To establish links with the international value chain. Description PECTs contribute to the smart specialisation process in Catalonia, their actions focusing on the territory in which the intervention takes place. PECTs are promoted and led by a public body in the territory, which coordinates the participating partners. The PECT governance system is regulated by an agreement amongst all the parties involved. PECTs generate critical mass and representativeness in their territory of action. Their members may include local bodies, universities, technology and research centres, companies and other players or stakeholders in the territory. PECTs promote action plans that include, basically, initiatives focused on the following activities: Support for research and innovation activities launched by companies and for the establishment and consolidation of innovative companies. Transfer and dissemination of knowledge. Development of entrepreneurship ecosystems. Development of ICT products and services. Promotion of energy efficiency and the use of renewable energy (both by SMEs and public infrastructure). Promotion and dissemination of sector and inter-sector innovation structures in the territory, or protection, promotion and development of cultural and natural heritage and improvement of the training and knowledge environment. 11
3. Emerging activities Instrument Estimated value of projects ERDF OP Managing body Beneficiaries Agreements with groups of R&D&I stakeholders and companies, particularly start-ups, that take part in major European R&D&I projects in their field of activity 22 million euros 10 million euros Directorate-General for Research Public and private stakeholders in the research and innovation system and companies with operational bases in Catalonia Calendar The first agreements will be signed in 2016 Expected results Creation of new production sectors and companies with high added value Conversion of industrial sectors to increase their competitiveness Extension of the market to respond to new social demands Creation of high-quality jobs Through the Horizon 2020 programme, the European Commission promotes the transformation of economic, social and production sectors that are key for maintaining the global competitiveness of the European economy in the long term: scientific research, technological advances and knowledge. The RIS3CAT strategy for dynamic development provides for the introduction of emerging activities into the production system in a process of anticipation and adaptation to technological changes and new competitive scenarios. Objectives To foster the development and growth of emerging sectors in the industrial system and promote economic growth and the creation of highly skilled jobs. To promote the creation and consolidation of new areas of knowledge that can form the basis of emerging industrial sectors. To encourage the creation of new economic sectors and the transformation of existing sectors in order to increase the long-term competitiveness of the production system. Description The programme of emerging activities fosters the development of emerging sectors in Catalonia. 12
The indispensable conditions for a sector to be considered as emerging are: - The existence of scientific and technological knowledge that forms a solid basis for the development of new technologies in the sector. - The existence of an industrial and service sector, which may be incipient, that has the capacity to grow, adapt or undergo transformation. The programme focuses on activities generated by new scientific knowledge and technological applications to which the EU has already made a clear future commitment and in which there are R&D&I stakeholders and companies in Catalonia. At an initial stage, the programme focuses on the following emerging activities: graphene and the human brain (FET-Flagship initiatives); fusion for energy; Big Data in omics technologies (Elixir - Data for Life); and the Internet of things. Catalan Government support for emerging activities is provided through agreements with groups (which include R&D&I stakeholders and companies, particularly emerging companies) recognised by the EU and which are partners in major European projects within their field of activity. The purpose of this support is to promote new activities based on innovative breakthrough technologies or processes aimed at opening up new markets or transforming existing markets. The programmes run for three years and the activities eligible for subsidies are, basically, as follows: - Valorisation of new knowledge and technology for transfer to the market. - Public-private partnership projects aimed at speeding up the market launch of new products or processes. - Demonstration platforms for new technologies in the production sector. - Mobility of scientific and technical personnel amongst science institutions and companies. - Promoting the establishment of new technology-based companies. - Specific training programmes. 13
4. R&D cooperation projects Instrument Estimated value of projects ERDF OP Managing body Beneficiaries Calendar Expected results Competitive calls for proposals 60 million euros 30 million euros ACCIÓ Companies with operational bases in Catalonia Annual calls for proposals over the 2015-2020 period Increased private investment in R&D Improved technological capacity of companies in Catalonia, especially as regards cross-cutting enabling technologies Improved position on the international market of companies in leading sectors Alignment of strategic actions by R&D&I stakeholders and companies Research and development projects with high technological challenges and great capacity to generate externalities in Catalonia, and which are unlikely to be developed exclusively in the private sector due to their high technological risk. Objectives To promote individual or cooperative R&D projects developed in Catalonia. To foster technological cooperation between companies and stakeholders in the research and innovation system, both in Catalonia and in the European and international sphere (within the framework of European programmes like Eranet and bilateral programmes with other countries). Description Projects that include differential R&D components and have substantial impact on the territory and Catalan companies. Actions should produce results with a high degree of international impact and intensive use of technology, and should be eligible for submission to international R&D calls for proposals and tenders. In the projects, value is attached to the generation of jobs and industrial investment, as well as maintenance of science and production activities in Catalonia and the participation of scientific and technological stakeholders in the R&D activities involved. 14
The minimum overall budget is 100,000 euros for individual projects, and 150,000 euros for cooperative ones. Grants are for a maximum of 50% of the R&D investment (up to a maximum of 230,000 euros). The projects, which have a duration of two years, focus on RIS3CAT priorities: application of crosscutting enabling technologies and impact on a leading sector. 15
5. R&D&I public-private partnerships Instrument Estimated value of projects ERDF OP Managing body Beneficiaries Calendar Expected results Competitive calls for proposals for the creation of mixed units and programme contracts for thematic reference networks 32 million euros 16 million euros Directorate-General for Research Universities, research centres and thematic reference networks Annual calls for proposals and programme contracts over the 2016-2022 period Increased cooperation between universities and SMEs Improved technological capacity of companies in Catalonia, especially as regards cross-cutting enabling technologies Improved position on the international market of companies in leading sectors Greater alignment of strategic actions by R&D&I stakeholders and companies This programme revolves around the concept of open innovation, which is based on eliminating barriers between the scientific and industrial sectors, fostering the transfer of knowledge and technology and creating environments and models of relation, and enabling these two sectors to enjoy fluid, dynamic cooperation. Objectives To promote direct, stable partnerships between scientific institutions and companies. To facilitate the transition from project cooperation to partnerships aimed at developing joint lines of research. To enable cooperation between research groups and SMEs. Description To promote cooperation between scientific institutions and companies, generating stable partnerships between companies (mixed units) and strengthening the thematic reference networks that exist in Catalonia. 1. Mixed units Grants for the establishment of mixed units are given through competitive calls for proposals. Mixed units consist of a laboratory or a clearly-defined physical space in which researchers from the institution and the company jointly engage in the research work. 16
The laboratory is physically located at the scientific institution, whilst the company pays for most of the costs of running the facility. In Catalonia, there are several mixed units of this nature that have operated in a stable and satisfactory way for years. The parties eligible to enter calls for proposals are scientific institutions that have established agreements with a company to carry out joint research activities in the medium and long term. The grants can finance up to 50% of the necessary costs for converting and equipping laboratories and facilities to house mixed units (up to a maximum of 1 million euros). 2. Thematic reference networks There are at present in Catalonia eight thematic reference networks, selected competitively, and which operate in such fields as aquaculture, biotechnology and food technology. The networks, which take a multidisciplinary approach, are formed by various research groups working in a coordinated manner, enabling them to deliver integrated solutions to technological problems to the business sector, especially SMEs. Through contract programmes, these thematic reference networks are given grants to enable them to offer their specialised technological capabilities to SMEs, providing them with effective responses to their needs. The programme contract specifies the goals, performance indicators and financial assistance in each case. 17
6. Industry of knowledge Instrument Estimated value of projects ERDF OP Managing body Beneficiaries Calendar Expected results Annual competitive calls for proposals for subsidies in the lines of industrial seed and industrial product Non-competitive public calls for proposals in the case of financial instruments aimed at start-up companies 30 million euros 12 million euros University and Research Grants Management Agency (AGAUR) for the industrial seed and industrial product lines, and the Catalan Finance Institute (ICF) for the market line Universities, research and innovation centres and companies An annual call for proposals for each of the different lines over the 2015-2020 period Increase in technology transfer actions Increase in number of patents with origin at universities and research centres Increase in number of base technology companies emerging from the R&D&I system Increased presence of entrepreneurs in research groups The knowledge industry programme fosters two kinds of actions: - Actions to enable the valorisation and transfer of results from research conducted by universities and research and innovation centres. - Actions to encourage entrepreneurism by providing support for technology-based companies generated within the environment of these institutions. Objectives The objective of the programme is to substantially increase the valorisation of results from research and the technologies developed by research and innovation institutions, the transfer of these technologies to the existing production system and the regeneration of the production system through the establishment of new technology-based companies. Description The knowledge industry programme adopts three lines of action: industrial seed, industrial product and market. 18
1. Industrial seed This line of action focuses on the first stage of valorisation (Technological Readiness Levels TRL 1-2). The knowledge accumulated by research projects generates ideas that can be applied to new products, processes and services. A 25,000 euro grant enables the research group to carry out the first feasibility tests, to protect the knowledge generated and to plan preprototype concept and design tests. This instrument is implemented through annual competitive calls for proposals for grants worth 25,000 euros. The beneficiaries of these calls for proposals are researchers and research groups at universities, research centres and technology centres. The grant provided is complemented by entrepreneurial training programmes for one member of the team. 2. Industrial product The industrial product line of action focuses on the concept and prototype test stage (TRL 3-4- 5). At this stage, the team has to demonstrate the technical feasibility and viability of the product or process by designing and building prototypes to which the necessary tests and trials can be applied. This instrument is implemented through annual competitive calls for proposals (15-20 grants per year). Grants depend on the eligible project costs and are worth a maximum of 75,000 euros. The beneficiaries of these calls for proposals are also researchers and research groups at universities, research and technology centres. 3. Market The market line of action complements the previous two. This is a financial instrument aimed at newly-established technology-based companies (emerging companies or start-ups) whose origins lie in the knowledge and technologies developed by universities and research centres. It consists of participative loans to boost the marketing, production and growth of new companies. This finance instrument is supported by a public guarantee fund. The Catalan Finance Institute (ICF) manages credit operations. 19
7. Technology transfer Instrument Estimated value of projects ERDF OP Managing body Beneficiaries Calendar Expected results Agreements with universities and research centres (lines of action 1 and 2) and competitive calls for proposals (line 3) 56 million euros 24 million euros Directorate-General for Research Universities and research centres Competitive calls for proposals and agreements over the 2016-2020 period Increased technology transfer actions Increased income at R&D&I institutions Expansion of knowledge protection systems Increased facilities and encouragement for researchers in knowledge transfer action and public-private cooperation Through this programme, the Catalan Government provides financial support for actions that improve and optimise processes for the valorisation of knowledge, technology transfer and the protection of knowledge generated, as well as for actions to provide support and advisory services for the creation of companies. Objectives To improve instruments and processes for the valorisation and transfer of technology from Catalan scientific institutions to the economic, business and social sector. Description The programme comprises the following three lines of action: 1. Financial support for transfer structures at Catalan universities The purpose of this line of action is to provide support to universities for the implementation of plans aimed at improving and optimising internal instruments and processes for knowledge valorisation and transfer, and support to help researchers establish companies. Through agreements, such actions are financed as the creation or extension of technology or patent portfolios, the creation or improvement of systems to support valorisation, advisory and legal support services in transfer and protection processes and the provision of specialised services. Grants are worth 1-2 million euros according to the size of the university and the knowledgegenerating activity. 20
2. Promoting the establishment of offices shared by different research centres The objective behind this line of action is to provide common transfer and valorisation structures for research centres (there are at present in Catalonia forty-eight research centres accredited by the CERCA Programme). Through agreements, financial assistance is given to enable research centres to create common, shared structures to perform the functions of technology valorisation and technology, support and advisory services for researchers, legal advice, support for the protection of knowledge and any other services that might be necessary. 3. Promoting technology transfer at scientific institutions in Catalonia The objective of this line of action, which is currently at the design stage, is to provide support for processes aimed at improving the technological level of knowledge generated by research groups. A pilot scheme involving two or three scientific institutions will be launched in 2016 and, if the results are positive, calls for proposals will be announced on a two-yearly basis. 21
8. Innovative public procurement Instrument Estimated value of projects ERDF OP Managing body Beneficiaries Calendar Expected results Cofinancing of innovative public procurement by the Catalan Government and its public sector 100 million euros 50 million euros Ministry of Economy and Knowledge The Catalan Government and its public sector The entire operational period of the ERDF OP Consolidation of innovative public procurement as a habitual practice of the Government of Catalonia Administration Improved public services thanks to the adoption of innovative solutions, adapted to the new challenges facing society Increased investment in innovation (both public and private) This programme promotes strategic planning and the introduction of innovative public procurement in purchases by the Catalan Government Administration and its public sector. Objectives To improve public services by adopting innovative solutions. To rationalise public spending through strategic planning of public procurement. To promote research and innovation through Government demand. Description Gradual implementation of innovative public procurement by the Catalan Government and its public sector. At first, this will be implemented by ministries with the greatest potential to promote innovative public procurement projects and in pilot public procurement tenders for innovative technology in the health field. 22
9. Strengthening the technological capabilities of research and innovation infrastructures Instrument Estimated value of projects ERDF OP Managing body Beneficiaries Competitive calls for proposals 140 million euros 70 million euros Directorate-General for Research. Calls for proposals for singular scientific and technological infrastructure (ICTS) are launched jointly with the Spanish Ministry of Economy and Competitiveness. Universities and research centres Calendar Two calls for proposals in 2015 and a further two in 2018 Expected results Increased scientific and technological capacity of researchers at research and innovation institutions Increased participation of researchers on European and national research and innovation programmes Improved provision of technological capacity for the production system in order to respond to its needs for innovation Greater dissemination of cross-cutting enabling technologies and advanced technologies, and more intensive use of knowledge by the production system Actions to develop the scientific and technological capabilities of research and innovation infrastructure in order to make it more competitive from the standpoint of science, innovation and technology transfer. Priority is given to projects with the greatest potential to generate competitive advantage and impact on socio-economic development in the country. Objectives To increase the participation of stakeholders in the Catalan research and innovation system in Horizon 2020 and ESFRI projects and in European and international networks. To raise the impact of research and innovation infrastructure on the production system. Description Calls for proposals for grants of two types: For actions to improve research and innovation infrastructure (including singular infrastructure), particularly in the RIS3CAT priority areas. The grants are provided according to criteria of excellence and with the goal of increasing researchers capacity to participate in Horizon 2020 and ESFRI projects and in European and international networks. 23
For investment in scientific and technical equipment and minor infrastructure aimed at promoting the efficient and shared use of facilities and at providing groups and institutions with the necessary infrastructure and equipment to consolidate their international leadership. 24
10. International cooperation Instrument Estimated value of projects ERDF OP Managing body Beneficiaries Cooperation agreements Depending on regional initiatives and projects 10 million euros ACCIÓ and DGR Research groups, technology and research centres and companies with operational bases in Catalonia that take part in European initiatives and programmes Calendar 2016-2020 Expected results Increased public and private investment in R&D&I and impact on production system Increased participation of Catalan R&D&I companies and organisations in EU competitive programmes and European networks in both quantitative (resources attracted and participating organisations) and qualitative terms (strategic projects) Promotion of partnerships with other European regions, with the aim of developing projects that can be submitted to European programmes and improving the positioning of Catalonia on the European stage R&D&I processes are opening up more and more: different stakeholders (companies, technology centres, universities and R&D centres) take part in them, and they often have a global dimension. In such a context, it is vital to strengthen international cooperation ties between research and innovation stakeholders and businesses. Objectives To generate synergies and strategic complementarities with other countries and regions in the RIS3CAT priority areas, in terms of both sectors and technologies, by promoting working groups and networks of clusters, particularly through cooperative projects and the development of pilot plants and large scale demonstrators. To involve companies and research and innovation stakeholders in Catalonia in R&D initiatives and pilot projects at European level to enable Catalan companies, particularly SMEs, to benefit from access to groundbreaking R&D&I. To provide a response to the challenges facing the production system. To increase the impact of European projects on the research and innovation and production systems in Catalonia. 25
Description The programme provides support to stakeholders in the research and innovation system and to companies with operational bases in Catalonia that take part in European regional initiatives (for example, the Vanguard Initiative, the Four Motors for Europe Alliance or the Euroregion innovation strategy) and in R&D programmes and projects promoted by the EU (Horizon 2020, Clean Sky, etc.). 26
11. Industrial PhDs Instrument Estimated value of projects ESF 2014-2020 Managing body Beneficiaries Public calls for proposals According to project To be announced Catalan Government Secretariat for Universities and Research PhD students Calendar 2015-2023 Expected results Increased number of PhDs entering the production system Increased transfer of knowledge to the production system Improved competitiveness and internationalisation of Catalan industry The entry of PhDs into the production system is key to improving management of knowledge at organisations and to advancing towards an economic model that is smarter, more sustainable and more inclusive. Industrial PhDs act as bridges for knowledge transfer. Recruitment of talent and highly qualified people by companies helps to strengthen relations between the industrial system and the universities and research centres and to make the economy more competitive. Objectives To help to increase the competitiveness and internationalisation of Catalan industry. To strengthen cooperation and synergies between the universities and research centres on the one hand and the industrial system on the other. To promote the entry of PhDs into the production system. To increase knowledge transfer to the production system. To improve tools for attracting the talent that the country generates. Description Through public calls for proposals, the Catalan Government provides financial support for industrial PhD projects. The research projects undertaken by industrial PhDs are conducted within the framework of cooperation agreements between a university (or CERCA centre) and one or more companies. Doctorands are provided with a thesis director from the university or CERCA centre and a mentor appointed by the company. The time that doctorands devote to their research projects is divided between the company and the university. 27
The doctoral students take part in training programmes in which they learn cross-cutting skills (leadership, coordination and management of R&D&I projects; transfer of research results; entrepreneurship; intellectual property; and so on) and receive a travel grant to enable them to attend congresses and conferences related to the research project and to make study visits to other offices of the company or universities outside Catalonia. The Industrial PhD programme enables companies to gain access to leading research groups and to use their infrastructure, as well as to obtain financial support and benefit from tax deductions and credits. The universities are enabled to transfer their technology and knowledge to the production system and strengthen their ties with the business world. Finally, the doctorands are able to train in a highly innovative environment with dual supervision academic and business under the terms of a three-year employment contract with a range of advantages, such as free enrolment and travel grants. 28
12. Development of RIS3CAT in Barcelona Instrument Estimated value of projects Managing body Beneficiaries Actions promoted by Barcelona City Council under the cooperation agreement with the Government of Catalonia for the development of RIS3CAT within the framework of the ERDF OP 80 million euros Barcelona City Council Depending on actions. Calendar 2016-2019 Expected results Generation of new economic activity and improved competitiveness of companies Improved quality of life in cities Consolidation of the Barcelona brand as a hub for digital innovation and a world reference in urban innovation Consolidation of the city of Barcelona as a reference living lab in Catalonia, Europe and the world The cooperation agreement between the Government of Catalonia and Barcelona City Council for the development of RIS3CAT within the framework of the ERDF OP establishes three programmes of actions: 1. Entrepreneurial and innovative ecosystem for economic development. 2. Smart City Initiative for the development of urban public services. 3. Innovative public procurement. Objectives To increase the sustainability of the SME system through support for innovation and entrepreneurship. To improve public services by developing new solutions to urban challenges. To create quality jobs. To enable Barcelona to lead the development of smart cities in Catalonia. To enable Barcelona to lead moves towards innovative public procurement as regards solutions to urban challenges. 29
Description The main lines of action in the programme to promote an entrepreneurial and innovative ecosystem for economic development are: Innovation ecosystem and Internet of Things applied to industry Support for the digital economy. Entrepreneurial ecosystem and support for economic development. Innovation in the field of culture. The main lines of action in the Smart City initiative are: Innovation in the field of the Internet of Things applied to urban services. Innovation in the field of sustainable mobility. Innovation in the application of technology and the urban management of tourism. Applied innovation. The main line of action in the innovative public procurement programme is: Innovation applied to the challenges facing the city and municipal public services. 30
3. Financing 3.1. Framework RIS3CAT forecasts that, if the prospects for economic recovery do not change, from 2016 both the public and the private sector will gradually intensify their R&D investment efforts with the goal of reaching 2% of GDP by the year 2020. The main factors that will help to consolidate R&D&I as a driver for growth and competitiveness over the coming years are as follows: 1. Increase in ERDF OP resources. The increase in ERDF OP resources allocated to Catalonia over the 2014-2020 period and their strategic reorientation towards research and innovation, the RIS3CAT priorities and public-private partnership strategic projects will lead to greater public and private investment in R&D&I. 2. Increase in the EU s R&D&I resources. The increase in European resources devoted to research and innovation (particularly within the framework of the Horizon 2020 programme) offers stakeholders in the Catalan R&D&I system new opportunities to become partners in major European projects aimed at providing responses to the great challenges that face society (population ageing, climate change, etc.). RIS3CAT provides a series of tools to enable the knowledge acquired by stakeholders in the R&D&I system taking part in these projects to have an impact on the competitiveness of the economic system and generate new economic opportunities. 3. Increase in private investment in R&D&I. It is expected that, in the medium term, private investment in R&D&I will increase thanks to economic recovery and the impact of RIS3CAT actions. RIS3CAT promotes a model for innovation based on public-private cooperation, in which public investment acts as a lever for private investment, through grants, (such as those for RIS3CAT communities, R&D cooperation projects and PECTs), financial instruments that enable the establishment and growth of emerging technology companies (such as the market line in the Knowledge Industry Programme) and innovative public procurement. 31
3. Financing 3.2. Financing RIS3CAT promotes R&D&I projects to a total value of more than 800 million euros. The funding for these projects comes from different sources, both public and private. Public financing for projects supported by RIS3CAT is nearly always more than 50% and in some cases (such as those for strengthening the technological capabilities of research and innovation infrastructure) comes close to 100%. Box 2. Financing of actions by the ERDF and ESF OPs Instruments Estimated value of projects ERDF OP ESF OP RIS3CAT communities 200 million euros 72 million euros PECTs 144 million euros 72 million euros To be determined To be Determined Emerging activities 22 million euros 10 million euros Not foreseen R&D cooperation projects 60 million euros 30 million euros Not foreseen Public-private cooperation in R&D&I 32 million euros 16 million euros Not foreseen Industry of knowledge 30 million euros 12 million euros Not foreseen Technology transfer 56 million euros 24 million euros Not foreseen Innovative public procurement 100 million euros 50 million euros Not foreseen Strengthening the technological capabilities of research and innovation infrastructures 140 million euros 70 million euros Not foreseen International cooperation Industrial PhDs Depends on the project Depends on projects 10 million euros Not foreseen Not foreseen RIS3CAT implementation in Barcelona 80 million euros 40 million euros 1 RIS3CAT community and PECT projects are eligible for financing from the ESF To be determined To be determined 32
4. Monitoring and evaluation 4.1. Overview The RIS3CAT Steering Committee is the body responsible for coordinating and implement monitoring and evaluation of the Action Plan. Based on the four RIS3CAT strategic objectives, the Action Plan establishes fourteen operational objectives and the targets to be achieved. The RIS3CAT governance system provides for continuous review of the Action Plan based on the results obtained from the monitoring indicators, factors affecting the context and the results obtained from evaluation (see Box 3). 2 Box 3. Monitoring and evaluation of the RIS3CAT Action Plan 2 For a more detailed description of the functions of the RIS3CAT Executive Committee and governance system, see the document entitled RIS3CAT, Research and Innovation Strategy for the Smart Specialisation of Catalonia, available at: http://catalunya2020.gencat.cat. The Technical Monitoring Commission for the Barcelona City Council-Government of Catalonia agreement for the development of RIS3CAT within the framework of the ERDF OP monitors and coordinates actions by Barcelona City Council within the RIS3CAT framework. 33
4. Monitoring and evaluation 4.2. Monitoring The RIS3CAT Steering Committee, with the support of the Technical Committee, is responsible for monitoring the Action Plan. This monitoring consists of a continuous process of gathering and processing data on progress towards achieving the operational objectives and the degree to which the actions have been implemented. Monitoring is based, in the main, on two types of indicators: Outcome indicators, which measure progress towards the operational objectives established in the Action Plan; and Output indicators, which provide information about the contribution of measures established in the Action Plan towards accomplishing ECAT 2020, the Europe 2020 strategy and the strategy for smart specialisation. This quantitative information is complemented by qualitative data, obtained from questionnaires or from working groups in which the stakeholders involved and external experts take part. 4.2.1. Outcome indicators Outcome indicators reflect changes in variables which the RIS3CAT Action Plan is designed to affect. Accordingly, all RIS3CAT actions should contribute to achieving one or other of the operational objectives (see Box 4). Any evolution of indicators that is different from that desired may indicate a lack of effectiveness of the actions, an inappropriate selection of indicators or changes in the environment that affect the achievement of objectives. The evaluation process enables the impact of the actions on the evolution of the indicators to be measured. We should remember that outcome indicators reflect the evolution of variables for all potential beneficiaries of the actions, not only direct beneficiaries. Accordingly, the sources used for these indicators are official statistics, administrative data and specific surveys. 34
4. Monitoring and evaluation Box 4. Operational objectives and indicators of the RIS3CAT Action Plan Indicator Operational objective Starting point Figure Year Source 1. R&D as % of GDP 2% 1.5% 2013 INE 2. % of private sector spending in total R&D 67% 56.6% 2013 INE 3. % companies that introduce technological innovations 20% 14.39% 2011 2013 INE 4. Number of companies that take part in Horizon 2020 Programme projects (base 100) 113 100 2015 CDTI 5. % researchers employed in the private sector 42% 37.8% 2013 INE 6. Number of emerging companies (start-ups) DEMO 7. % participation in Horizon 2020 2.45% 2.45% 2015 CDTI 8. Standardised impact of scientific production in Catalonia 1.53% 1.44% 2006 2010 SCImago 9. % companies that develop or have acquired R&D 22% 19.6% 2014 Innovation Barometer 10. % companies that innovate 60% 56.8% 2014 Innovation Barometer 11. 12. % companies that innovate in cooperation with other companies or R&D&I stakeholders % companies that innovate in cooperation with international companies or R&D&I stakeholders 55% 52.4% 2014 Innovation Barometer 60% 56.3% 2014 Innovation Barometer 13. % innovative companies that implement innovative activities abroad 30% 26.4% 2014 Innovation Barometer 14. % companies that use risk capital to finance investment in innovation 2.5% 1.6% 2014 Innovation Barometer 2. Calculated by ACCIÓ based on INE data. 3. Percentage of the total companies with more than nine employees. 4. Number of beneficiary companies (may have participated in one or more projects). 5. Percentage of total research personnel in Full-Time Equivalent (FTE), calculated by ACCIÓ based on INE data. 9-14. Innovation barometer, designed by ACCIÓ. 9-10. Percentage of the total companies with more than nine employees. 11-14. Percentage of total Innovative companies with more than nine employees. Data on R&D investment as a percentage of GDP, private-sector R&D investment, the percentage of companies that introduce technological innovations and the percentage of researchers employed in the private sector is compiled from official statistics, namely the National Institute of Statistics (INE). A second type of source is administrative data, including data on participation in the Horizon 2020 Programme, which is gathered by the Centre for the Development of Industrial Technology (CDTI); standardised data on the impact of scientific production, provided by SCImago; and data on emerging companies, which is compiled by the Government of Catalonia s Ministry for Business and Labour. 3 Finally, data on innovation at companies is provided by the Innovation 3 Data on emerging companies is not yet available. 35
4. Monitoring and evaluation Barometer, compiled by the Government of Catalonia s Ministry for Business and Labour based on a survey of a sample of companies in Catalonia. 4.2.2. Performance indicators Data on the actions that receive cofinancing from the ERDF OP (as regards both projects and beneficiaries) are gathered through the ERDF OP information system (SIFECAT). Based on this data, the RIS3CAT monitoring system establishes three categories of performance indicators: - Innovation and knowledge. - Sustainable growth. - Smart specialisation. Performance indicators enable actions that have been implemented to be linked to the operational objectives established by the Action Plan, ECAT 2020 priorities and smart specialisation areas and technologies. The estimated impact of the actions in each of these areas is analysed as part of the evaluation process. The innovation and knowledge indicators provide essential information for analysing the contribution of measures included in the Action Plan towards achieving the RIS3CAT operational and strategic objectives focused on improving the research and innovation system and, more specifically, intensifying cooperation between stakeholders in the research and innovation system and companies, the creation of emerging technology companies, the valorisation of knowledge and technology and its application in the production system, and internationalisation. Box 5 presents these indicators, which are compiled for each of the projects implemented within the RIS3CAT framework. 36
4. Monitoring and evaluation Box 5. Performance indicators for innovation and knowledge Indicator Public and private investment in R&D&I Collaborative R&D&I projects Projects to improve processes and management Innovative public procurement projects Companies that use platforms and infrastructure cofinanced with the ERDF Emerging companies (start-ups) Patent applications and registrations Brands created and registered Companies that innovate Projects complementary to Horizon 2020 projects and those of other European competitive programmes Definition Public and private investment in RIS3CAT actions, number of projects, number of R&D&I stakeholders, number of researchers and number of companies Public and private investment in collaborative R&D&I projects, number of projects, number of R&D&I stakeholders, number of researchers and number of companies Investment in projects to improve processes and management, number of projects, number of R&D&I stakeholders, number of researchers and number of companies Budget for innovative public procurement projects, number of contracts number of R&D&I stakeholders, number of companies Companies that use or commission infrastructure and facilities cofinanced with the ERDF Spin-offs and other technology-based companies established as a result of RIS3CAT projects Patents applied for or registered by R&D&I stakeholders and companies as a result of RIS3CAT projects Brands created or registered by R&D&I stakeholders and companies as a result of RIS3CAT projects Companies that innovate as a result of RIS3CAT projects RIS3CAT projects linked to Horizon 2020 projects and those of other European competitive programmes The indicators on sustainable growth are key for analysing the contribution of the Action Plan measures to the competitiveness of the production system, entrepreneurism and the efficient use of resources and, therefore, to a more sustainable economy. Box 6. Performance indicators for sustainable growth Indicator Jobs created People that receive training within the framework of RIS3CAT projects Companies with increased revenues Definition Jobs created within the framework of RIS3CAT actions People that receive training within the framework of RIS3CAT actions Companies that increase their revenues as a result of RIS3CAT projects Companies with increased exports Companies with new international business opportunities Companies that increase productivity Companies that have introduced innovations to reduce water consumption Companies that have introduced innovations to reduce energy consumption Companies that have introduced innovations to reduce CO2 emissions Companies that increase their exports as a result of RIS3CAT projects Companies that with new international business opportunities as a result of RIS3CAT projects Companies that reduce costs as a result of RIS3CAT projects Companies that introduce measures to improve efficiency and saving in the use of resources through participation in RIS3CAT projects Companies that have introduced innovations to reduce waste (recycling, eco-design) Projects linked to the circular economy RIS3CAT projects that contribute to the circular economy In accordance with RIS3CAT, Research and Innovation Strategy for the Smart Specialisation of Catalonia, the document approved by the Catalan Government in February 2014, the smart specialisation of Catalonia will gradually take shape through 37
4. Monitoring and evaluation joint strategic initiatives launched by companies and stakeholders in the research and innovation system within the framework of the seven leading sectors and the six RIS3CAT technologies. It is, therefore, essential that projects launched within the RIS3CAT framework should be monitored both by sector and by technology. Box 7. Smart specialisation indicators, by sector and by RIS3CAT technology Indicator Projects Total investment Private investment in R&D&I Public investment in R&D&I Companies that take part in projects Technology and research centres that take part in projects Researchers that take part in projects Start-ups The indicators for each project or operation under the ERDF OP are entered into the SIFECAT system. These indicators are presented in aggregate form for each individual action and for all actions in the Action Plan. Whenever possible, moreover, the 2023 target for all relevant indicators for each action is also entered into SIFECAT. 4.3. Evaluation and review The management bodies of Action Plan measures are responsible for drawing up the evaluation plan for each action. The evaluation plans for actions must meet certain minimum requirements, established by the RIS3CAT Steering Committee. In all cases, the stakeholders involved in implementing projects and external experts must take part in this process. At the behest of the RIS3CAT Steering Committee and with the support of external experts, the RIS3CAT Technical Committee makes an overall evaluation of the Action Plan, based on analysis of data collected during the monitoring process and from the evaluation of each individual action. 38
4. Monitoring and evaluation The results from monitoring and evaluating the different actions and the Action Plan as a whole are key to redesigning the actions established under the Action Plan and improving its efficiency and economic and social impact. 39
Annex. Scorecard The scorecard is an essential tool for monitoring the RIS3CAT actions and in the decision-making processes of bodies responsible for managing actions and the RIS3CAT Steering Committee. This scorecard is created by a computer application, SIFECAT, which is linked to the ERDF OP and which will allow access to the relevant information about the implementation of the Action Plan measures, presented graphically. There follow a summary of the main screens in the scorecard, which were at the design stage as this document was closed. The objectives of the indicators are established for the end of the ERDF OP programming period in 2023. 40
Annex. Scorecard Box 1. Operational objectives 41
Annex. Scorecard Box 2. Performance indicators for innovation and knowledge 42
Annex. Scorecard Box 3. Performance indicators for sustainable growth 43
Annex. Scorecard Box 4. Indicators for smart specialisation 44