RIS3 Guide: Research and Innovation Strategies for Smart Specialisation Athens, 4 September 2012 Dr Ruslan Rakhmatullin S3 Platform European Commission DG JRC (IPTS)

Building on the past 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+)

and on its achievements … Greater co-operation, transparency and strengthened expertise available in the regions Better communication between technology providers and clients (including policy-makers) General increase of innovation funding Sustainability: continuance of activities and funding

… but breaking away from the past Previous RIS have often suffered from one or more of the following weaknesses: They lack an international and trans-regional perspective, the regional innovation/economic system is considered in isolation. They are not in tune with the industrial and economic fabric of the region; there is too much public involvement in R&D which is not sufficiently business driven. There is a ‘narrow’ vision of innovation. There is a ‘picking winner's syndrome’. The best performing regions are copied without consideration of the local context.

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

… to identify areas of specialisation / differentiation But: How to say NO?  Lack of critical mass / excellence  Lack of future perspectives  Lack of mobilisation/ a shared vision of the actors  Consulting other regions (‘peer reviews’)  Evaluation of the strategies / previous experimentation (a check-list) … RIS3 is a process …

Smart Specialisation Platform Launched in 2011 to assist EU Member States and regions in their development processes for RIS3: Based in the IPTS institute in Seville Managed by a team of representatives from the DGs of the European Commission (REGIO, EMPL, RTD, ENTR, EAC, INFSO, SANCO, CLIMA, AGRI and JRC) Supported by a group of high level experts, representatives of networks and organisations Services offered: Website: Guidance on process for development of RIS3, analytical support Organises ‘peer-reviews’ of national / regional strategies Conferences, working groups, trainings …

80 registered regions … more are in the process of registering 80 registered regions … more are in the process of registering 1.Alsace (FR) 2.Andalucía (ES) 3.Aquitaine (FR) 4.Aragón (ES) 5.Bretagne (FR) 6.Canarias (ES) 7.Castilla y León (ES) 8.Catalunya (ES) 9.Centre (FR) 10.Comunidad Valenciana (ES) 11.Corse (FR) 12.Cornwall and the Isles of Scilly (UK) 13.Dolny Śląsk (Lower Silesia) (PL) 14.Emilia-Romagna (IT) 15.Freistaat Sachsen (DE) 16.Guadalupe (FR) 17.Guyane (FR) 18.Illes Baleares (ES) 19.Jihomoravský kraj (CZ) 20.Kainuu (FI) 21.Kent (UK) 22.La Réunion (FR) 23.La Rioja (ES) 24.Lombardia (IT) 25.Lubelskie (PL) 26.Lubuskie (PL) 27.Madrid (ES) 28.Marche (IT) 29.Martinique (FR) 30.Navarra (ES) 31.Niederösterreich (AT) 32.Noord Nederland (NL) 33.Nord-Pas-de-Calais (FR) 34.Northamptonshire (UK) 35.Northern Ireland (UK) 36.Oberösterreich (AT) 37.Podkarpackie (PL) 38.Pohjanmaa (Ostrobothnia) (FI) 39.Päijät-Häme (FI) 40.País Vasco (ES) 41.Picardie (FR) 42.Piemonte (IT) 43.Puglia (IT) 44.Região Autónoma dos Açores (PT) 45.Région de Bruxelles-Capitale (BE) 46.Región de Murcia (ES) 47.Sardinia (IT) 48.Skåne (SE) 49.Świętokrzyskie (PL) 50.Toscana (IT) 51.Västerbotten (SE) 52.Västra Götaland (SE) 53.Vlaanderen (BE) 54.Vest (RO) 55.Wallonia (BE) 56.Weser-Ems (DE) 57.West Midlands (UK) 58.Województwo Podlaskie (PL) 59.Sachsen-Anhalt (DE) 60. Berlin (DE) 61. Brandenburg (DE) 62. Champagne-Ardenne (FR) 63. Mazowieckie (PL) 64. Bratislava (SK). 65. Picardie (FR) 66. Buckinghamshire (UK) 67. Satakunta (FI) 68. Wielkopolska (PL) 69. Castilla la Mancha (ES) 70. Asturias (ES) 71. Norte (PT) 72. Galicia (ES) 73. Centro (PT) 74. Alto Baixo (PT) 75. North-Hungarian Region (HU) 76. Cantabria (ES) 77. Pomorskie (PO) 78. Attiki (GR) 79. Oulu (FI) 80. Languedoc-Roussillon (FR) Register here: m.jrc.ec.europa.eu/ registration m.jrc.ec.europa.eu/ registration

Support to regions in preparing RIS3 Informal Peer Review workshops Assessment of draft and final RIS3 Seminars in Member States and Regions Website with special access for regions and interactive tools RIS3 Guide Thematic working groups

Edited by JRC IPTS in association with DG REGIO and with contributions from:  D. Foray, P. McCann, J. Goddard, K. Morgan, C. Nauwelaers, R. Ortega  Representatives of various EC DGs  S3 Platform research team Available on the S3 Platform site: The RIS3 Guide

Key steps for developing RIS3 Step 1 – Analysis of regional context/potential Step 2 – Governance Step 3 – Vision for the future Step 4 – Selection of priorities Step 5 – Policy mix Step 6 – Monitoring and evaluation RIS3 AnalysisProcessVisionPrioritiesPolicy mixMonitoring

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

Step 1 – Analysis of regional context – looking out – and potential for innovation (II)  Assess region’s positioning within the EU  Beware of global companies and value chains  Flows of knowledge and skills  Avoid ‘blind’ duplication, discover possibilities for collaboration  Combine methods (e.g. studies; interviews; interregional work groups) Outward-looking Analysis:

Step 1 – Analysis of regional context and potential for innovation (III)  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 Analysis of entrepreneurial dynamics and identification of future opportunities:

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

Step 3 – Developing an overall vision of the region’s future  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 Shared vision of the region’s potential and main directions for its international positioning:

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

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

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

The importance of communication of RIS3  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 Good communication is crucial:

= Evidence-based considering all assets and problems in a region, incl. External perspective / internal / global market (critical mass? Opportunities? excellence? cooperation? Value chains?) = No top-down decision, but dynamic /entrepreneurial discovery process uniting key stakeholders around shared vision = Mobilisation of investments and synergies across different departments and governance levels (EU-national-regional) = All forms of innovation – no only technology driven = Differentiation: SWOT analysis (all types of assets), competitive advantages, potential for excellence, opportunities = Concentration of resources on priorities, problems and core needs (no sprinkler principle, no picking the winners, yes to catalytic investments) = Place-based economic transformation: rejuvenating traditional sectors through higher value-added activities, cross-sectoral links, new market niches by sourcing-in and disseminating new technologies rather than re-inventing the wheel; exploiting new forms of innovation What is Smart Specialisation ?

(Peer) Review and update of RIS3  Need to adapt and update the strategy  Information is gathered during implementation and incorporated into an updated RIS3  Peer-review exercise: 1 st Workshop in Seville (January 2012) 2 nd Workshop in Seville (May 2012) 3 rd Workshop in the Azores (June 2012) 4 th Workshop in Pisa (September 2012) Formulating and implementing a RIS3 is a continuous process:

Peer Review and Transnational Learning 4 volunteer regions prepare presentations of their RIS3 based on template with the 6 key elements of the guide; Presentations of 4 volunteer regions are distributed in advance to ‘critical friends’ together with additional background documents (on the regions’ territorial innovation systems and experience); Peer discussion at the workshop moderated by the S3Platform. MG members involved as speakers; Feedback report prepared by S3Platform and forwarded to reviewed region: ‘feedback from the workshop’; Follow-ups in 3 and 6 months after the workshop.

Peer-review: current levels of participation 1. Seville, January regions participating coming from 10 countries 2. Seville, May 2012 – 21 regions participating coming from 11 countries 3. The Azores, June 2012 – 18 regions participating coming from 10 countries Peer-review: upcoming events 4. Pisa, Italy, September Peer Review Workshop, Nov-Dec Peer Review Workshop, Jan-Feb 2013

Thematic workshops and working groups New tool for mutual learning – will be launched in autumn 2012 Gather groups of regions/countries around common subjects linked to the RIS3 approach (the 6 steps of the guide) Liaise with other projects/activities on-going (e.g. OECD) Regions agree to develop a common position / brief / document for reflexion + schedule Discuss with the wider audience (all regions registered in the S3 Platform) Some themes: (i) profiling indicators; (ii) outward-looking dimension; (iii) multi-level governance; (iv) involvement of appropriate stakeholders; (v) entrepreneurial process of discovery

Thank you!