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RESEARCH, INNOVATION AND TECHNOLOGICAL PERFORMANCE IN GERMANY REPORT 200820092010 201 1 201 2201 3 201420152016 201720182019 RESEARCH, INNOVATION AND TECHNOLOGICAL PERFORMANCE IN GERMANY 4 EFI REPORT 2011 We wish to thank Prof. Dr. Henning Kagermann, Dr. Wilhelm Krull, Prof. Dr. Frieder Meyer-Krahmer, Prof. Dr. Karl Ulrich Mayer, Prof. Dr. Jürgen Mlynek, Prof. Dr. Arnold Picot, Prof. Dr. Ernst Rietschel, Prof. Dr. Barbara van Schewick, Jürgen Schlegel and Prof. Dr. Peter Strohschneider, all of whom contributed expertise to the report. In addition, we wish to thank all those persons who helped prepare the studies of the German innovation system. The Commission of Experts prepared the annual report for 2011 in the framework of a workshop that took place in June at Stanford University. We thank the workshop participants for their input and support: Prof. Marvin Ammori, Ph.D., Sanjeev Argarwal, Sven Beiker, Prof. Robert Burgelman, Brad Burnham, Chris DiBona, Stefan Durach, Prof. Dr. Bernd Girod, Gerd Götte, Matthias Hohensee, Richard Allan Horning, Michael Janssen, Johann Jungwirth, Katherine Ku, Prof. David Mowery, Ph.D., Generalkonsul Peter Rothen, Lee Schipper, Ram Srinivasan, Prof. Dr. Barbara van Schewick, Prof. Hal Varian, Ph.D., Martin Vorbach, Peter Weber, Sven Weber, Prof. Dr. Ludger Wößmann. Moreover, Dirk Kanngiesser and Daniel Zimmermann helped prepare the workshop. The Commission also wishes to thank Dafna Baldwin, Deborah Carvalho and Rossannah Reeves for providing organizational support in Stanford. Special thanks go to the Director of the Stanford Institute for Economic Policy Research (SIEPR), Prof. John Shoven, Ph.D., for his support for the work of the Commission of Experts. The Commission of Experts wishes to emphasise that the positions expressed in the report do not necessarily represent the opinions of the aforementioned persons. 5 EFI COMMISSION MEMBERS Prof. Dr. Dr. Ann-Kristin Achleitner (Deputy Chair), Technische Universität München, KfW Endowed Chair in Entrepreneurial Finance Prof. Jutta Allmendinger, Ph.D., Social Science Research Center Berlin (WZB) Prof. Dr. Alexander Gerybadze, University of Hohenheim, Center for Research on Innovation and Services (FZID) Prof. Dietmar Harhoff, Ph.D. (Chair), Ludwig-Maximilians University (LMU) Munich, INNO-tec – Institute for Innovation Research, Technology Management and Entrepreneurship Prof. Dr. Patrick Llerena, Université de Strasbourg, France, Bureau d’Economie Théorique et Appliquée (BETA) Prof. em. Dr. Joachim Luther, Solar Energy Research Institute of Singapore (SERIS), Singapore STAFF OF THE COMMISSION OF EXPERTS FOR RESEARCH AND INNOVATION This report is also the result of the highly competent and dedicated work of the staff of the offi ce of the Commission of Experts – and of the staffs of the Commission members. Staff of the EFI Offi ce Prof. Dr. Knut Blind (Head), Dr. Helge Dauchert, Rainer Frietsch, Dr. Petra Meurer, Annika Philipps, PD Dr. Ulrich Schmoch, Birgit Trogisch Scientifi c staff of the Commission members Dr. Carolin Bock (Technische Universität München, KfW Endowed Chair for Entrepreneurial Finance), Benjamin Edelstein (Social Science Research Center Berlin), Prof. Dr. Karin Hoisl (Ludwig-Maximilians University Munich, INNO-tec – Institute for Innovation Research, Techno- logy Management and Entrepreneurship), Miriam Hufnagl (Fraunhofer Institute for Systems and Innovation Research), Kerstin Rothe (Social Science Research Center Berlin), Maria Schröder (Social Science Research Center Berlin) Proof editing Sabine Baur (Technische Universität München, KfW Endowed Chair for Entrepreneurial Finance) Jana Schrewe (Lektorat Schrewe, Berlin), Alexander Suyer (Ludwig-Maximilians University Munich, INNO-tec – Institute for Innovation Research, Technology Management and Entrepreneurship), Rosemarie Wilcox (Ludwig-Maximilians University Munich, INNO-tec – Institute for Innovation Research, Technology Management and Entrepreneurship) 6 EFI REPORT 2011 CONTENTS 08 FOREWORD 11 SUMMARY 17 A CURRENT DEVELOPMENTS AND CHALLENGES 18 A 1 FINANCIAL AND ECONOMIC CRISIS 19 A 2 VENTURE CAPITAL MARKET 21 A 3 EDUCATION AND RESEARCH 27 A 4 COLLECTION OF STATISTICS ON INNOVATION-RELATED ACTIVITIES 29 A 5 HIGH-TECH STRATEGY 2020 FOR GERMANY 31 A 6 DEVELOPMENT OF THE PATENT SYSTEM 33 A 7 ELECTROMOBILITY 35 B CORE TOPICS 2011 36 B 1 FEDERALISM 51 B 2 EUROPEAN DIMENSION OF R&I POLICY 7 61 B 3 NETWORK NEUTRALITY AND INNOVATION 74 B 4 INNOVATION WITHOUT RESEARCH AND DEVELOPMENT 83 C STRUCTURE AND TRENDS 86 C 1 EDUCATION AND QUALIFICATIONS 93 C 2 RESEARCH AND DEVELOPMENT 100 C 3 INNOVATION BEHAVIOUR IN THE GERMAN PRIVATE SECTOR 109 C 4 NEW ENTERPRISES 115 C 5 PATENTS IN INTERNATIONAL COMPETITION 120 C 6 SCIENTIFIC PUBLICATIONS AND PERFORMANCE 124 C 7 PRODUCTION, VALUE CREATION AND EMPLOYMENT 131 REFERENCES 8 EFI REPORT 2011 FOREWORD The Commission of Experts for Research and Innovation (EFI) presents its 2011 Report. This report marks the conclusion of the fi rst working period of EFI, which was estab- lished in 2007 by the Federal Government. Over the past four years, the Expert Commission has established a new reporting system and regularly commented on progress and weaknesses in German research and innovation policy. The Commission thanks its dialogue partners in the fi elds of policy, industry and science, and in other societal areas for their constructive support and openness. Notwithstanding all of the criticism voiced in the EFI reports, the present administration and its predecessor deserve credit for initiating a growth phase, via trailblazing budget- ary allocations and great openness to the areas concerned, for research and innovation in Germany. Now, it is to be hoped that such support will survive the budgetary constraints that lie ahead. Germany cannot afford to rest or desist in its efforts in this area – it has not yet returned to a position of leadership in research and innovation. The Federal Government has initiated relevant important structural changes, such as the High-Tech Strategy of 2006 and its continuation in 2010. Most importantly, however, Ger- many’s political sector has shown that it understands the importance of research and inno- vation. And a similar conclusion can be drawn for the area of education – all parties con- cerned clearly see that education policy is always also innovation policy. At the same time, the prohibition on Federal-Länder co-operation in education is blocking progress in this area. In addition to discussing current trends and requirements for reform in the Federal Gov- ernment’s research and innovation policy, in its 2011 report the Commission focuses on four main points. In Chapter B 1, fi rstly, it discusses the tensions between Federal and Länder competen- cies in education, research and innovation policy. It calls for elimination of the prohibi- tion on competition in education policy and for introduction of consistent distribution of responsibilities between the Federal Government and the Länder for fi nancing of all non- university research institutions. In Chapter B 2 the Expert Commission considers the European dimension of research and innovation, which has been gaining importance since 2000. It recommends that the Fed- eral Government take a stronger role in the European co-ordination process – Germany must lead in the area of research and innovation, if it is to play a useful role in shaping the European Research Area. 9 In Chapter B 3, the Expert Commission comments on the discussion relative to network neutrality. For the sake of innovation, it is vital that the Internet remains open in this re- gard – and the Expert Commission would like to see the Federal Government play a more active role on behalf of network neutrality. In Chapter B 4, the Expert Commission considers the still largely ignored role of those innovators who succeed even without undertaking research activities. Innovation process- es do not conform to simple logical rules. Consequently, research and innovation policy concepts must be open, able to provide latitude for innovators without research and de- velopment (R&D) of their own. In its report, the Expert Commission again notes that the idea of introducing tax-based R&D support urgently needs to return to the political agenda. Similar priority needs to be given to providing a legal framework for business angels and venture-capital provid- ers; such a framework is still lacking. Over the past few years, a good basis has been created for the development of Germa- ny’s research and innovation sector. But if lasting growth and prosperity are to assured in Germany, research and innovation in Germany will have to be additionally and sub- stantially reinforced. Berlin, 23 February 2011 Prof. Dietmar Harhoff, Ph.D. Prof. Dr. Dr. Ann-Kristin Achleitner (Chair) (Deputy Chair) Prof. Jutta Allmendinger, Ph.D Prof. Dr. Alexander Gerybadze Prof. Dr. Patrick Llerena Prof. em. Dr. Joachim Luther 10 EFI REPORT 2011 SUMMARY 12 EFI GUTACHTEN 2011 SUMMARY CURRENT DEVELOPMENTS AND CHALLENGES A 1 FINANCIAL AND ECONOMIC CRISIS The fi nancial and economic crisis did not leave research and development activities in Germany unaffected. However, the decrease in R&D expenditures seen in 2009 proved to be considerably smaller, percentage-wise, than the decrease seen in the country’s gross domestic product. The overall macro-economic R&D intensity, i.e. R&D expenditures’ share of the gross domestic product, even rose slightly in 2009 with respect to the pre- vious year, thereby enabling Germany to surpass the U.S. in