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RIO COUNTRY REPORT 2015: Germany RIO COUNTRY REPORT 2015: Germany Wolfgang Sofka Maren Sprutacz 2016 EUR 27870 EN This publication is a Science for Policy Report by the Joint Research Centre, the European Commission’s in-house science service. It aims to provide evidence-based scientific support to the European policy-making process. This publication, or any statements expressed therein, do not imply nor prejudge policy positions of the European Commission. Neither the European Commission nor any person acting on behalf of the Commission is responsible for the use which might be made of this publication. Contact information Address: Edificio Expo. c/ Inca Garcilaso, 3. E-41092 Seville (Spain) E-mail: [email protected] Tel.: +34 954488318 Fax: +34 954488300 JRC Science Hub https://ec.europa.eu/jrc JRC101181 EUR 27870 EN PDF ISBN 978-92-79-57805-2 ISSN 1831-9424 doi:10.2791/251237 LF-NA-27870-EN-N © European Union, 2016 Reproduction is authorised provided the source is acknowledged. How to cite: Wolfgang Sofka, Maren Sprutacz; RIO Country Report 2015: Germany; EUR 27870 EN; doi:10.2791/251237 All images © European Union 2016 except for the ERA Dashboard image on the first page by Niels Meyer licensed under CC BY 2.0 Abstract The 2015 series of RIO Country Reports analyse and assess the policy and the national research and innovation system developments in relation to national policy priorities and the EU policy agenda with special focus on ERA and Innovation Union. The executive summaries of these reports put forward the main challenges of the research and innovation systems. Table of Contents Foreword ................................................................................................................. 4 Acknowledgments ..................................................................................................... 5 Executive summary ................................................................................................... 6 1. Overview of the R&I system .............................................................................. 13 1.1 Introduction ................................................................................................ 13 1.2 Structure of the national research and innovation system and its governance ....... 15 1.2.1 Main features of the R&I system ............................................................... 15 1.2.2 Governance ........................................................................................... 16 1.2.3 Research performers .............................................................................. 17 2. Recent Developments in Research and Innovation Policy and systems ..................... 19 2.1 National R&I strategy ................................................................................... 19 2.2 R&I policy initiatives ..................................................................................... 20 2.3 European Semester 2014 and 2015 ................................................................ 23 2.4 National and Regional R&I Strategies on Smart Specialisation ............................. 25 2.5 Main policy changes in the last five years ........................................................ 27 3. Public and private funding of R&I and expenditure ................................................ 28 3.1 Introduction ................................................................................................ 28 3.2 Smart fiscal consolidation .............................................................................. 30 3.2.1 Economic growth, fiscal context and public R&D .......................................... 30 3.2.2 Direct funding of R&D activities ................................................................ 31 3.2.3 Indirect funding – tax incentives and foregone tax revenues ........................ 33 3.2.4 Fiscal consolidation and R&D .................................................................... 34 3.3 Funding flows .............................................................................................. 35 3.3.1 Research funders ................................................................................... 35 3.3.2 Funding sources and funding flows ........................................................... 36 3.4 Public funding for public R&I .......................................................................... 37 3.4.1 Project vs. institutional allocation of public funding ..................................... 37 3.4.2 Institutional funding ............................................................................... 38 3.4.3 Project funding ...................................................................................... 40 3.4.4 Other allocation mechanisms ................................................................... 43 3.5 Public funding for private R&I ........................................................................ 44 3.5.1 Direct funding for private R&I .................................................................. 44 3.5.2 Public Procurement of Innovative solutions ................................................ 48 3.5.3 Indirect financial support for private R&I ................................................... 50 3.6 Business R&D .............................................................................................. 50 3.6.1 The development in business R&D intensity ............................................... 50 3.6.2 The development in business R&D intensity by sector .................................. 52 3.6.3 The development in business R&D intensity and value added ........................ 53 3.7 Assessment ................................................................................................. 55 4. Quality of science base and priorities of the European Research Area ...................... 57 4.1 Quality of the science base ............................................................................ 57 4.2 Optimal transnational co-operation and competition .......................................... 57 4.2.1 Joint programming, research agendas and calls .......................................... 57 4.2.2 RI roadmaps and ESFRI .......................................................................... 59 4.3 International cooperation with third countries ................................................... 60 4.4 An open labour market for researchers ............................................................ 61 4.4.1 Introduction .......................................................................................... 61 4.4.2 Open, transparent and merit-based recruitment of researchers ..................... 62 4.4.3 Access to and portability of grants ............................................................ 64 4.4.4 Doctoral training .................................................................................... 65 4.4.5 Gender equality and gender mainstreaming in research ............................... 66 4.5 Optimal circulation and Open Access to scientific knowledge ............................... 68 4.5.1 e-Infrastructures and researchers electronic identity ................................... 68 4.5.2 Open Access to publications and data ........................................................ 70 5. Framework conditions for R&I and Science-Business cooperation ............................ 73 5.1 General policy environment for business .......................................................... 73 5.2 Young innovative companies and start-ups ...................................................... 74 5.3 Enterpreneurship skills and STEM policy .......................................................... 77 5.4 Access to finance ......................................................................................... 79 5.5 R&D related FDI ........................................................................................... 82 5.6 Knowledge markets ...................................................................................... 82 5.7 Knowledge transfer and open innovation ......................................................... 85 5.7.1 Knowledge Transfer Indicators ................................................................. 85 5.7.2 Policy Measures ..................................................................................... 93 5.8 Regulation and innovation ............................................................................. 95 5.9 Assessment of the framework conditions for business R&I .................................. 96 6. Conclusions ..................................................................................................... 97 6.1 Structural challenges of the national R&I system .............................................. 97 6.2 Meeting structural challenges ......................................................................... 99 References ............................................................................................................ 102 Abbreviations ........................................................................................................ 109 List of Figures ........................................................................................................ 112 List of Tables ......................................................................................................... 113 Annex 1 – List of the main research performers .......................................................... 114 Annex 2 – List of the main funding
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