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S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION RIS3: IMPLEMENTATION AND POLICY MIXES AND POLICY MIXES Claire NAUWELAERS Independent expert in STI policy

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Page 1: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

S3 Platform – Peer Review Workshop

25-26 February 2014, Riga

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RIS3: IMPLEMENTATIONRIS3: IMPLEMENTATION AND POLICY MIXES AND POLICY MIXES

Claire NAUWELAERSIndependent expert in STI policy

Page 2: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

KEY Challenges RIS3KEY Challenges RIS3

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Two novelties/key benefits of RIS3:

from introspection to “extrospection” : an open view to regional policiesfrom administrative to strategic management of policy

Main challenge in implementation of RIS3:

Translate broad strategies into efficient and integrated policy mixes

Main bottlenecks to “serious” implementation of RIS3:

Policy-makers resistance to: Long-term investments (returns beyond 4-year legislature…) Genuine prioritisation (selection and de-selection!) – coping with lobbies… Cross-domains, cross-level and cross-border policies

Little evidence to identify “white spaces” between sectors, clusters, poles,…Need for more robust, systematic and systemic policy evaluations

Page 3: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Implementing RIS3Implementing RIS3

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Challenges:Overcoming path dependency and inertia:

adapting old institutions to new policy models developing unlearning capability in policy circles bringing coherence in “historical” policy mix

From «silo»-driven to «outcome»-driven policies: starting from desired outcomes rather than from instruments

machinery from incremental improvements in existing portfolios to radical

restructuring Developing systems for policy accountability focusing on effectiveness

rather than efficiency

Allowing policy experimentation (innovation!) in policy

Page 4: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

The S3 OECD enquiryThe S3 OECD enquiry

• Priorities Implicit/explicit RDTI/economic

Regional/national

• Processes Selection criteria Stakeholders involvement

Analytical and evidence base

• Policies Policy instruments Budgets

Monitoring & EvaluationSource: OECD (2013) Smart Specialisation in global value chains: designing and assessing smart specialization strategies

Page 5: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Futurepotential

Page 6: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Key findings: PRIORITIESKey findings: PRIORITIES Difficulties to ensure the validity of responses to the question

of existence of explicit and implicit priorities

Inconsistency between: i) policy documents ; ii) budgetary allocations; and iii) existence of major institutes, organizations or programmes dedicated to the priorities.

Timing issue: priorities definition / policy mix definition

Explicit priorities are more frequent for research and innovation than for economic development

Prioritization is more intense at regional than at national level

Prioritization trends are on the rise, at strategic and implementation levels

Source: OECD (2013) Smart Specialisation in global value chains: designing and assessing smart specialization strategies

Page 7: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Key findings: POLICIESKey findings: POLICIESGAP POLICY FORMULATION / IMPLEMENTATIONGAP POLICY FORMULATION / IMPLEMENTATIONNo clear link between priorities and policy mixesA strategic view on public « innovation » budget is

missingKey policy instruments:

Dedicated institutes, competence centres Thematic R&D funding programmes Cluster policies (regional level)

A-typical policy instruments: Innovation-driven public procurement Bonus system in generic funding programmes

• Monitoring and evaluation systems hardly tuned to priorities Source: OECD (2013) Smart Specialisation in global value chains:

designing and assessing smart specialization strategies

Page 8: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Policy Mix DefinitionPolicy Mix DefinitionCombination of policy instruments,

which interact to influence framework conditions,alleviate barriers and raise capabilities for

innovationInstruments: all programmes, organisations, rules and regulations with an active involvement of the public sector, which intentionally or unintentionally affect innovation

Interactions: the influence of one policy instrument is modified by the co-existence of other policy instruments in the policy mix

Influences on innovation are either direct (instruments from innovation policy field) or indirect (all policy instruments from any policy field which indirectly impact on innovation)

8Source: UNU-MERIT « policy mix » project http://ec.europa.eu/research/policymix

Page 9: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Policy mix conceptual Policy mix conceptual frameworkframework

NIS / RIS Characteristics

Broad Policy Objectives

Policy impacts

R&D policy instrument

R&D policy instrument R&D

policy instrument

R&D policy instrument

innov policy instrument

R&D policy instrument

Innov policy instrument

R&D policy instrument

Innov policy instrument

Other policy instrument

Other policy instrument

Other policy instrument

Other policy instrument

Other policy instrument

Other policy instrument

Governance

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Page 10: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Policy mix designPolicy mix design

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1) Challenges for RIS2) Policy Objectives and RIS3 priorities3) Gaps between Challenges and

Objectives 4) Instruments (various policy domains)5) Gaps between Objectives and

Instruments6) History (inertia!)7) Actors (stickiness, agility, hidden

agendas…)8) Balances within policy portfolio9) Interactions (positive, negative)10)Governance (horizontal, vertical)

Page 11: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Two complementary views Two complementary views on policy mixeson policy mixes

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1. Routes and Balances – macro view

What is the balance of instruments from

various domains in a portfolio, and with

which policy objectives are these better

aligned ?

2. Interactions – micro view

How do various policy instruments interact

within a portfolio of policies ? Final

effect ?

Page 12: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Different regions require Different regions require different strategiesdifferent strategies

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  Type of region

Main strategyBuilding on current advantages (science

push/technology-led or a mix)

Supporting socio-economic transformation

Catching-up: towards the creation of knowledge-

based capabilities

Knowledge hubsKnowledge and technology

hubs

Knowledge-intensive city/capital districts

Industrial production zonesUS States with average S&T

performance Service and natural

resources regions in knowledge-intensive

countries

Medium-tech manufacturing

and service providers

Traditional manufacturing regions

Non S&T-driven regions

Structural inertia or de-industrialising regions Primary sector-intensive

regions Source: Regions and Innovation Policy OECD 2011

Page 13: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Different regions require Different regions require different strategiesdifferent strategies

13Source: Regions and Innovation Policy OECD 2011

No external connection

Single external connection

Multiple external connections

Centralised RIS

Build hinge through hub

Build multiple global

connections

Regional networking

Decentralised Dense RIS

Find external connection/get a

global perspective

Build multiple global

connections

Anchor global firms regionally

Decentralised Sparse RIS

Change system/path-breaking grand

project

Increase regional networking/build global connections

Increase regional

networking/prepare for

global linkages

Page 14: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Key issues for building smart Key issues for building smart and efficient policy mixesand efficient policy mixes

14Source: Regions and Innovation Policy OECD 2011

• Value of integrated (“packaged”) policy instruments

• Finding the right balance between instruments addressing firms in isolation v. systemic relations; fostering internal v. external connections

• Drawing effectively on interactions between several areas of policy

• Vital component of policy mixes: human resources for innovation and associated policies to attract and retain talent

• Putting more weight on demand-side policy instruments, in particular by introducing innovation-oriented public procurement

Page 15: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

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Policy Domains dependPolicy Domains dependon each otheron each other

InnovationPolicy

Legal/IPRPolicy

Labour MarketPolicy

EducationPolicy

SciencePolicy

CompetitionPolicy

DefencePolicy

MacroeconomicPolicy

SectorPolicies

Monetary/FiscalPolicies

RegionalPolicy

Industry/TradePolicy

R&DPolicy

HealthPolicy

EnvironmentalPolicy

InfrastructurePolicies

Page 16: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Policy InteractionsPolicy InteractionsInteractions between policies:

positive and complementary, with one amplifying the effect of the other in terms of impacts on innovation

negative and interfering destructively, with one attenuating the impact of another

neutral and functioning quite independently, with impacts also independent

One policy problem One new instrument ?the extensive implementation of new instruments bears increased risks of substitutive effects or unwanted interferences 16

Page 17: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

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Example: stimulating start-ups Example: stimulating start-ups versus supporting academic researchversus supporting academic researchGO Bio Programme Germany: grants for university researchers to advance research towards marketable products and start a university spin-off (~30 m€)

Initiative for Excellence: Funding of top-level academic research at German Universities - selecting 10 top-level Universities, funding of special research programmes, both providing additional research funding (~1.9 b€)

leading university institutes in biotechnology were successful in acquiring IfE money - researchers focus on academic careers, little demand for Go Bio

Page 18: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

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ROUTE 1: promote establishment of new innovative firms

ROUTE 2: stimulate further innovation in innovative firms

ROUTE 3: stimulate innovation in non-innovative firms

ROUTE 4: attract innovative firms from abroad

ROUTE 5: increase innovation in cooperation with public sector

Mapping types of instruments versus routes

Defining broad routes Defining broad routes to increase innovationto increase innovation

Page 19: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Prioritizing between routesPrioritizing between routes

Defining priorities between routes should ideally be informed by:

NIS/RIS SWOT analyses Policy reviews and evaluation Intelligent trans-national benchmarking practices

In reality, often product of: Policy fashions or fads, EU “standards” Naive imitation strategies from trans-national

observations Pressure of lobbies: priorities as addition of

narrow specific interests Parallel views between “science” and

“economy” ministries

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Page 20: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Prioritizing between routesPrioritizing between routes

Evolution of priorities amongst the routes characterised by:

History weight: stickiness of main policy orientations – stability of structures – path dependency

Cumulative processes: attention to new routes adds up to previously retained routes

Changes in the RIS: need for radical changes ? need for a threshold of changes to be effective ?

Condition: High degree of strategic policy intelligence AND/OR radical shifts in NIS/RIS

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Page 21: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

ExamplesExamples RoutesRoutes Belgium

Route 5 (cooperation) covered by a large set of instruments Route 4 (FDI): most heavily influenced by non-innovation policies Route 3 (non-innovative firms): less attention, most difficult, big prospect

for competitiveness. Use of instruments from economic and industrial policy, but also from the education and training spheres. Coordination of policies is needed !

Denmark Route 2 (large R&D performing firms) in high-tech sectors: priority of

Globalisation Strategy Neglect of the potential of SMEs in other sectors ? (Routes 3 and 5)

Rhône-Alpes Initial focus on Route 3 (increase technological absorptive capability) Routes 5 (cooperation) is a continuing, traditional focus for French regional

policy Shift towards “Routes of Excellence” Route 2 (R&D-performing firms)

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Page 22: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Portfolios composition Portfolios composition associated to routesassociated to routes

No standard portfolio by route – but some typical menus

Similar instruments with different characteristics contribute to different routes (e.g. conditions for R&D grants; various types of tax incentives)

Systemic instruments and mini-mixes span through many routes

Often limited view on range of instruments linked to routes (“one problem” – “one response”)

When made explicit, limited to innovation policy domain

Subject to trade-offs : broadening versus deepening R&D efforts / excellence versus cohesion

Other horizontal priorities run across the Routes:Thematic; internationalisation; human resources 22

Page 23: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

PolicyPolicy governancegovernance aspectsaspects

What strategies are available to meet the need for coherence and coordinated implementation of policy mixes?Strategic statements… to provide clear

signal and roadmap to all involved stakeholders (goals, indicators…)

High level coordination bodies…with high-level political support and involving quadruple helix stakeholders

‘Mini-mixes’: smaller scale, packaged set of instruments designed as coherent whole, addressing various aspects of innovation

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Page 24: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Industrial restructuring: Industrial restructuring: two approaches with different impacts two approaches with different impacts

on policy mix design on policy mix design

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0

1

2

3

4

5

6

7

8

9

10

Low-techmanufac-

turing

Medium-techmanufac-

turing

High-techmanufac-

turing

Knowledgeintensiveservices

Otherservices

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5

10

15

20

25

30

35

40

45

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R&D Intensity

Share in total production

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R&D intensification approachHigh-tech industry approach

Page 25: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

High-tech industry approachHigh-tech industry approach Identifying right target sectors

Involving national and regional levels

Bottom-up definition of research agendas

Sequencing public support by target groups

Involving non-R&D policies early, incl. regulation issues

Harmonising technology-focused and generic R&D policies

Establishing research infrastructures, esp. in basic research

Connecting actors and encouraging industry-science links

Addressing skill demands

Encouraging internationalisation early

Following a long-term view, but being flexible to address new

challenges25

Page 26: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

R&D intensification approachR&D intensification approach Identifying barriers to R&D/innovation

Developing a coherent industrial restructuring strategy and

programme

Harmonising R&D policy with economic strategy

Providing effective incentives for firms to invest in R&D

Offering a favourable business environment

Ensuring human capital supply

Developing domestic demand for innovation

Encouraging internationalisation

Adapting policy to changes in the environment

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Page 27: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Mini-mixesMini-mixesProgrammes that package different instruments (funding mechanisms - programme objectives - delivery mechanisms- target groups) and/or routes, into one coherent initiative. Designed in such a way that the elements complement each other to achieve a specific policy goal (e.g. innovation in bio-tech) or support a specific target group (e.g. NTBFs).

Often across different governance boundaries

Thesis: mini-mixes have a more ‘synergetic’ approach and might therefore be more effective and have fewer internal conflicting influences

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Page 28: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Mini-mix example: Technopartner NLMini-mix example: Technopartner NL

Integrated programme to support technology-based start-upsTechnoPartner Seed capital facilityTechnoPartner Knowledge Exploitation Subsidy Arrangement (SKE) (pre-seed funding for R&D etc.)Patent support facility (legal & strategic advice)TechnoPartner platform (exchange of experience)Business Angel Programme (management support)Institutional pillar (strategic intelligence)

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Page 29: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Mini-mixesMini-mixes success factorssuccess factorsRequire some form of stakeholder involvement and/or

expert opinion; Governments thus need to develop / mobilise the strategic intelligence for such a process;

In cluster type mini-mixes, consider tax-payers perspective and ensure open and transparent process

Systematic review of existing mechanisms necessary

No single recipe for the implementation of such mini-mixes, this is context - specific

The evaluation and monitoring of mini-mixes is an area that needs further development

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Page 30: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Which policyWhich policy instruments?instruments?

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Target of supportForm and focus of innovation support services for SMEs

Reactive tools providing inputs for innovation

Proactive tools focusing on learning to innovate

Global connections

Excellence polesCross-border technology centresFunding for international R&D or innovation projects

International technology transfer schemes Mobility schemesSupport for global networking of firmsCross-border innovation vouchersLead market initiatives

Regional systemCollective technology or innovation centres

Cluster policiesProactive brokers, match-makersInnovation vouchers Support for regional networking of firmsSchemes acting on the culture of innovation

Individual FirmsIncubators with “hard” supportTraditional “reactive” technology centresSeed and venture capital fundsR&D subsidies or tax incentives

Management adviceIncubators with “soft” support“Proactive” Technology centresAudits, monitoring of needsInnovation CoachInnovation management trainingTechno-economic intelligence schemes

Source: Regions and Innovation Policy OECD 2011

Page 31: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Which policyWhich policy instruments?instruments?

31Source: Regions and Innovation Policy OECD 2011

Page 32: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

Adapt governance structures

• Improve coordination• Improve governance mechanisms (incl. agenda, formulation etc.)

Strengthen human capital

Create an innovation culture

• Interest of science among youth and society• General awareness• Rewards, awards, prizes

Improve actors’interactions

Improve actors’competencies,

investments and incentives to innovate

Improve policy governance

Evaluate the impact of innovation policies

• Monitor innovation• Feed back into policy

Improve supply of skills for innovation

• Education systems and participation to HE• Supply the right mix of non S&T skills / S&T skills • PhD and Postdocs• Broaden access to S&T studies and ensure equity

Ensure good employment

conditions and LLL• Attractiveness of researchers careers• Sectoral mobility• Opportunities of LLL

STI platforms and infrastructures

• Physical infrastructures (incl. ICT)• Industry-science (incl. technology platforms, science parks etc.)• Clusters and CoE • Open innovation

Valuation and circulation of

knowledge• IPRs• Knowledge markets

Adjusting to globalisation

• Internationalisation of domestic firms • Attract FDI and foreign firms• International mobility of human capital

Public research• Additional funding• Revision of funding mechanisms• Reform of PROs• Strengthen public research infrastructures

Business R&D• Additional funding • Stimulate private investments in R&D• Provide non financial support

Public sector innovation• e-government and public services delivery• Public administrations and govt demand for innovation

Private sector innovation

• Additional funding • Stimulate private investments in innovation• Provide non financial support

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32Source: OECD Innovation Policy Platform

Which policyWhich policy instruments?instruments?

Page 33: S3 Platform – Peer Review Workshop 25-26 February 2014, Riga 1 RIS3: IMPLEMENTATION AND POLICY MIXES RIS3: IMPLEMENTATION AND POLICY MIXES Claire NAUWELAERS

RIS3 “smart” implementationRIS3 “smart” implementationCoherence, Coordination, Communication

Tailoring policy goals and priorities to regional situation

Tailoring policy mixes to policy goals: Macro balances in policy mixes

Micro synergies within policy mixes

Think and act cross-domains, cross-actors, cross-levels, cross-borders

Use of Strategic Policy Intelligence Tools

Monitoring and evaluation targets, indicators, analyses

Outcome-oriented and evidence-based policy implementation

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