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Policy Implications for National Innovation Strategies
EIRMA - OECD Paris 2009
Dr. Lorenz Kaiser
Head Division Legal Affairs and Contracts
Fraunhofer Gesellschaft e.V.
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Orientation for Funding
Technical pilot
plants, prototypes
R & D
100 % public
Basic research
Applied research
Development
100 % private
Universities
basic research org.
i.e Fraunhofer
Industry
Funding Rate
analogous?
i. e. 50 %?
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sFramework in force since 01.01.07-Table illustrating the aid intensities
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Forms of Activities in Research and Development
Portefolio
building
internal
research
cooperation
alliance/
clusterlicencing
spin off
Joint
Venture
contract
research
foundation
RTO
University
Company
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Research-Key Figures 2007 on Science
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sExample for sources and allocation of funding:The German Research Landscape in 2007
ZV-A2/ March 05
Market for Applied Research
HGF Hermann von Helmholtz-GemeinschaftWGL Wissenschaftsgemeinschaft Gottfried Wilhelm LeibnizAiF Arbeitsgemeinschaft industrieller ForschungsvereinigungenMPG Max-Planck-Gesellschaft
Characteristics of Research
Fundamental Research
Applied Research
Industry
(internal and external
expenditures)
HGF*
2.3Fraunhofer*
1.3
WGL*
1,1
Federal/
German
Länder
Institutes
0.9
Univer-
sities
9,2
55,4MPG*
1.3
AiF
≈ 0.25
billion €
Source: Bundesbericht Forschung 2007, Stifterverband Wissenschaftsstatistik,
Research Organizations, Federal Statistical Office Germany
* Overall Budget
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Usual Funding Models in Europe
Institutional (singular) funding
depending on the mission (100 %)
project funding
previously development sector
(to 50 %)
premarily national funding
cooperation models in
precompetitive research
(50 % to 100 %)
national european
funding for platforms
and joint ventures (0 %- 100 %)
universities research labs industry
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s Institutional Funding and
Funding for Basic Research
Precompetitive Sector
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R & D - Cooperations between Science and Industry
RTOIndustrial
PartnerUniversity
AP 1 AP 2 AP 3
Cooperation based on division of labour
and exchange of information/results
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sCooperation Model: "Annex"-Institut (Research Institute associated with a University)
basic research-projects
in focused fields
UniversityCompany donating
Funds
Conjoint
Appointment
Cooperation Contract
Annex-InstituteUniversity
institute
University
institute
University
institute
Approval
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sCooperation in a joint program (basic research without compulsory access rights for industrial partner to IP)
Mutual interest on a research field
with open end
(the "better JTI" -idea)
Company RTOJoint funded
Research program
with jointly defined
single projects
No IP access rights
for industy
information
50 % financial
contribution
50 % financial
contribution
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Product Vision - Examples
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s Project Funding and
supporting TT
Development Sector
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sR & D - cooperation in the development sector(reality or nightmare ?)
1. Recognise what the product is:
2. Locate and identify the associated markets:
3. “Speak” to the target market in language they understand:
4. Deliver a clear and consistent message
5. Describe the exploitation in terms of the Consortium as a whole:
*SPECIAL REVIEW ON PROJECT RESULTS EXPLOITATION AND DISSEMINATION ACTIVITIES;GRID
TECHNOLOGIES, FP5 PROJECTS;Held in Brussels on 14-16June 2004
RTOIndustrial
PartnerUniversity
AP 1 AP 2 AP 3
Cooperation based on division of labour
and exchange of information/results
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Contract Research as "funding" strategy ?
RTO/University
Client
3.2 Indirect state aid
3.2.1 Contract research
through RTO
3.2.2 Collaboration of
undertaking and RTO
not under Art. 87 of the
EC-treaty if (alternative)
• market price
• ful cost + profit margin
not under Art. 87 of
the EC-treaty if (alternative)
•the undertaking bears the full
costs of the project ???????
•dissemination of unprotected IP
-
and allocation of IP from the
project to the not-profit
organisations
•compensation for IP on the
basics
of market prices
The ideal situation of state aid law....3.2.2.
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sCooperation Model "Spin In" Indirect + Direct funding
product oriented research,
i.e. production methods
Subsidiary or
Branch lab:
Development
and/or
Production
Research
Institute
Company
Cooperation/licensing/
joint development
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Platform Science / Industry: joint lab with joint investment
sharing of costs. Joint use:
labs with high investments
-Microelectronics-
Company = private
Investment
of xx Mio €
and/or
equipment
Institute = Public
Investment
of xx Mio
and/or
equipment
Institutes Research-Lab
Using Proportion
i.e.
Industry
i.e. 60%
i.e.
Institute
40%
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Funding KTO‟s and TT offices (esp. at universities)
Licensing Problem: The Development Gap:
In most sectors, companies will only license fully developed technologies
• engineering, electronics, physical sciences
patent protection phase is 20 years
• Life Science longer development and clinical test series
patent protection phase can be prolonged to 25 years
Therefore: funding of KTO‟s means:
1. business model only on long term investment
2. return on invest over years is the exception
3. linking with mission and core business
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sPromotion of Spin-Offs through establishing a Connection between Know-how and Capital - Funding ?
Spin-offs
RTO
• Investment in
the form of
"IP"against
Equity
• management
support
e.g.businessplan
• Market
Capital investors
• Institutional
investors
• Other
venture capital
companies
Strategic
Investors
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sExample of an actual and successful spin offConcentrix Solar GmbH
Business
production of Concentrator-Photovoltaic-power stations for sunny splashed areas
Technology
direct sunlight is focussed with fresnel-lenses
2005 created as Spin-off
2007 first power station works
© Concentrix Solar GmbH
power station in spain
the lab in Freiburg
http://www.venturecommunity.fhg.de
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sTechnoloy award 2007Sausage nonfat
development of a process to introduce spices
into meat without the flavour carrier ‚fat„
Dipl.-Ing. Christian Zacherl, Dr.-Ing. Peter
Eisner, Dr. Klaus Müller (v.l.n.r.)
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The Never ending stories
of Funding Strategies
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Different National Models
Funding Technoloy Transfer (TT)
as sole business
esp. from universites
(Transfer offices)
Funding Spin-off Programs
incubation centres and
technology parks, funds ...
What an idea……. : patent funds
PPP: However, whatever, but always useful for politicians
open access: methods and databases
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Open Access in Fraunhofer
Fraunhofer signed the Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities 2003
Fraunhofer welcomes the OECD Recomendation 2006 concerning research data from public funding
Fraunhofer launches own Open Access Policy with recommendations for practice (July 2008)
Fraunhofer Information Center for Planing and Building in Stuttgart is operating an Information data base with an accessible research library and data base (http://fraunhofer.de/fachinfos/WissPub/openaccess/OAallgemein.jsp)
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sFraunhofer GesellschaftOpen Access
Extract of the letter Fraunhofer to OECD of July 2006:
...
Concluding, from the Fraunhofer Gesellschaft point of view, the "draft OECD recommendation concerning access to research data from public funding" (Version may 2006) and the included "Principles and Guidelines" do not interfere with its interests.
Substantial Effects ???
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Open Access in Fraunhofer
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Open Access in Fraunhofer
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Where do we go - Funding Strategies?
National:
given structures on institutional funding
(dimensions and structures statically)
basic funding programs on project funding
European
project funding on subsidiarity to national
switch to program funding (NoE, JTI, EIT, ETP)
non funded (own) intitiatives - rare - (i.e. Fraunhofer Portugal)
Abroad
only singular intitiatives
direct public funding often impossible or extremely difficult
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Paris 2009
GAME OVER
Policy Implications for
National Innovation Strategies