Transport Research Market Uptake (Market-Up) Deliverable: D 2.1

Project ID: 265841

Transport Research Market Uptake (Market-up)

Deliverable: D 2.1 Characterisation of the context of RTD initiatives per sectoral area

Lead partner: UNIZA

Consortium: Project co-funded by the European Commission TIS (PORTUGAL) - Co-ordinator within the Seventh Framework Programme CLEPA (BELGIUM) EMEC (BELGIUM) FRAUNHOFER (GERMANY) BME (HUNGARY) INOVA+ (PORTUGAL) UNIZA (SLOVAKIA) UA (BELGIUM) INNOVA (ITALY)

Due Date of Deliverable: October 2011 Start Date of Project: 1 October 2010 Completion Date of Deliverable: December 2011 Duration: 24 Months

Dissemination Level PU Public X PP Restricted to other programme participants (including the Commission Services) RE Restricted to a group specified by the consortium (including the Commission Services) CO Confidential, only for members of the consortium (including the Commission Services)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Foreword

This report, FP7 Market-up project Deliverable 2.1, was prepared by the team at UNIZA with contributions from all members of the project consortium.

The key data concerning Member States was collected by the Market-up team and provided to Transport NCP‟s for validation purposes. Market-up team is particularly thankful to the NCPs from Denmark, Austria, Latvia, Portugal, Slovakia, France and Lithuania for their contribution in the review of our findings.

Opinions on main findings on barriers and particularly those faced by the transport SMEs were discussed with Technological Platforms during data collection and specific discussion topics have circulated and feedback asked for.

Main findings from D2.1 were also presented in the Review Workshop held on the 26th October in Brussels, which discussion helped to improve our analysis and to enrich the discussion on perspectives for innovation in the transport sector.

This document is set to be Public (PU), and should be referenced as: Market-up consortium (2011), “Market-up, Characterisation of the context of RTD initiatives per sectoral area - Deliverable 2.1”, Market-up project, funded by the European Commission under the 7th FP

QUALITY CONTROL INFORMATION:

Version Date Description 1 June 2011 First Draft 2 August 2011 Intermediate version, some barriers and drivers identified 3 October 2011 Draft version for Review Workshop 4- November 2011 Final version for Quality Control 5- Final December 2011 Final version upload in the system 6 February 2012 Incorporation of EC comments

Disclaimer

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

The content of the publication herein is the sole responsibility of the publishers and it does not necessarily represent the views expressed by the European Commission or its services. While the information contained in the documents is believed to be accurate, the authors(s) or any other participant in the Market-up consortium make no warranty of any kind with regard to this material including, but not limited to the implied warranties of merchantability and fitness for a particular purpose. Neither the Market-up Consortium nor any of its members, their officers, employees or agents shall be responsible or liable in negligence or otherwise howsoever in respect of any inaccuracy or omission herein. Without derogating from the generality of the foregoing neither the Market-up Consortium nor any of its members, their officers, employees or agents shall be liable for any direct or indirect or consequential loss or damage caused by or arising from any information advice or inaccuracy or omission herein.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Table of Contents

FOREWORD ...... 2 TABLE OF CONTENTS ...... 4 LIST OF FIGURES ...... 6 LIST OF TABLES ...... 7 EXECUTIVE SUMMARY ...... 8 1. INTRODUCTION ...... 21

1.1 METHODOLOGICAL APPROACH FOR WP 2 ...... 23 1.2 STRUCTURE OF THIS REPORT ...... 25 2. OVERVIEW OF ACTORS AND REGIONS AT THE EU LEVEL ...... 26

2.1 RESEARCH AND DEVELOPMENT INSTITUTIONS AT THE EUROPEAN LEVEL AND THE EUROPEAN RESEARCH AREA ...... 26 2.2 SMES INVOLVEMENT IN R&D ACROSS EU ...... 30 2.3 OVERVIEW OF R&D INVESTMENT IN EUROPE ...... 31 2.3.1 FP7 transport projects ...... 44 3. MODAL COMPETENCIES ...... 57

3.1 RAIL MODE ...... 57 3.1.1 Railway market and industry characteristics ...... 57 3.1.2 Actors and stakeholders in railway sector ...... 58 3.1.3 Funding sources and R&D investment in railway sector ...... 86 3.2 ROAD SECTOR ...... 87 3.2.1 Road market and industry characteristics ...... 87 3.2.2 Actors and stakeholders in road sector ...... 89 3.2.3 Funding sources and R&D investment in the road sector ...... 105 3.3 AIR AND AERONAUTICS ...... 106 3.3.1 Air and Aeronautics market and industry characteristics ...... 106 3.3.2 Actors and stakeholders in aeronautics ...... 107 3.3.3 Funding sources and R&D investment in aeronautics ...... 123 3.4 MARITIME TRANSPORT ...... 124 3.4.1 Maritime market and industry characteristics ...... 124 3.4.2 Actors and stakeholders in maritime sector ...... 126 3.4.3 Funding sources and R&D investment in maritime ...... 138 3.5 INLAND WATERWAYS ...... 140 3.5.1 Inland waterways market and industry characteristics ...... 140 3.5.2 Actors and stakeholders in inland waterways ...... 142 3.5.3 Funding sources and R&D investment in inland waterways ...... 154 3.6 INTERMODAL SECTOR ...... 154 3.6.1 Intermodal market and industry characteristics ...... 154 3.6.2 Actors and stakeholders in intermodal sector ...... 157 3.6.3 Funding sources and R&D investment in intermodal sector...... 171 3.7 HORIZONTAL ANALYSIS ...... 173 4. BARRIERS AND DRIVERS TO MARKET UPTAKE OF RTD RESULTS ...... 175

4.1 TIS APPROACH METHODOLOGY ...... 175 4.2 DATA COLLECTION ...... 177 4.2.1 Barriers ...... 178

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

4.2.2 Drivers ...... 181 4.2.3 Overall assessment on barriers and drivers to transport uptake ...... 184 5. BARRIERS TO THE ENTRY OF TRANSPORT SECTOR SMES IN RDT ...... 187

5.1 REVIEW OF PREVIOUS ASSESSMENT ON SME PARTICIPATION IN RESEARCH PROJECT...... 187 5.2 BARRIERS TO THE ENTRY OF TRANSPORT SECTOR SMES IN RTD ...... 192 5.2.1 SMEs in Europe: structure and trend ...... 193 5.3 LIST OF BARRIERS IDENTIFIED ...... 194 5.4 SMES IN RDT SUMMARY ...... 201 5.5 OVERALL ASSESSMENT ON BARRIERS TO SMES IN TRANSPORT FIELDS ...... 202 6. CONCLUSIONS ...... 205

6.1 MARKET-UP REVIEW WORKSHOP KEY RESULTS ...... 209 7. REFERENCES ...... 212

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

List of Figures

FIGURE 1.1: THE SECTORAL SYSTEM OF INNOVATION STRUCTURE ...... 21 FIGURE 1.2: THE REINFORCING FEEDBACK BETWEEN FUNCTIONS OF THE SECTORAL SYSTEM OF INNOVATION ...... 22 FIGURE 2.1: COMPOSITION OF THE EUROPEAN RESEARCH AREA ...... 27 FIGURE 2.2: EUROPEAN UNION RESEARCH BODIES, PROGRAMS AND INITIATIVES ...... 27 FIGURE 2.3: RESEARCH AND DEVELOPMENT EXPENDITURE, AS % OF GDP ...... 32 FIGURE 2.4: SUMMARY INNOVATION PERFORMANCE OF EU-27 MEMBER STATES ...... 34 FIGURE 2.5: CONVERGENCE IN INNOVATION PERFORMANCE OF EU-27 MEMBER STATES ...... 34 FIGURE 2.6: R&D EXPENDITURE IN NORTHERN EUROPEAN COUNTRIES ...... 35 FIGURE 2.7: R&D EXPENDITURE IN NORDIC COUNTRIES ...... 36 FIGURE 2.8: R&D EXPENDITURE IN SOUTHERN EUROPEAN COUNTRIES ...... 36 FIGURE 2.9: R&D EXPENDITURE IN ‘NEW’ MEMBER STATES ...... 36 FIGURE 2.10: SME INDICATORS IN NORDIC COUNTRIES ...... 38 FIGURE 2.11: SME INDICATORS IN NORTHERN COUNTRIES ...... 38 FIGURE 2.12: SME INDICATORS IN SOUTH COUNTRIES ...... 39 FIGURE 2.13: SME INDICATORS IN ‘NEW’ MEMBER STATES ...... 39 FIGURE 2.14: SME INVOLVEMENT IN FP7 ...... 40 FIGURE 2.15: SME INVOLVEMENT IN FP7 – REGIONAL DISTRIBUTION...... 41 FIGURE 2.16: NUMBERS OF TRANSPORT FP7 PROJECTS ...... 44 FIGURE 2.17: FP7 PROJECTS PER MILLION INHABITANTS ...... 45 FIGURE 2.18: FP7 PROJECTS IN FUNCTION OF GDP PER CAPITA ...... 46 FIGURE 2.19: FP7 PROJECTS IN RELATION TO GDP AND GERD ...... 46 FIGURE 2.20: PUBLIC R&D INVESTMENT IN TRANSPORT IN THE EU (2008) ...... 47 FIGURE 2.21: OVERVIEW OF PARTICIPATION IN DIFFERENT TYPES OF FP7 TRANSPORT PROJECTS ...... 53 FIGURE 2.22: GRAPHICAL INTERPRETATION OF OVERALL FP7 FUNDING ...... 56 FIGURE 3.1: INNOVATION SYSTEM IN THE RAILWAYS SECTOR ...... 57 FIGURE 3.2: NUMBERS OF RAILWAY FP7 PROJECTS ...... 86 FIGURE 3.3: INNOVATION SYSTEM IN THE ROAD SECTOR ...... 87 FIGURE 3.4: NUMBERS OF ROAD FP7 PROJECTS ...... 105 FIGURE 3.5: INNOVATION SYSTEM IN THE AERONAUTICS SECTOR ...... 106 FIGURE 3.6 : NUMBERS OF AERONAUTICS FP7 PROJECTS ...... 124 FIGURE 3.7: INNOVATION SYSTEM IN THE MARITIME SECTOR ...... 125 FIGURE 3.8: SHARE OF SPENDING IN MARITIME RELATED R&D ...... 138 FIGURE 3.9: THE NUMBER OF MARITIME PROJECTS IN ANALYSED COUNTRIES ...... 139 FIGURE 3.10: INNOVATION SYSTEM IN INLAND WATERWAYS SECTOR ...... 142 FIGURE 3.11: NUMBERS OF INLAND WATERWAYS FP7 PROJECTS ...... 154 FIGURE 3.12 : INNOVATION SYSTEM IN THE INTERMODAL TRANSPORT SECTOR ...... 155 FIGURE 3.13: NUMBER OF INTERMODAL FP7 PROJECTS ...... 172 FIGURE 3.14: NUMBER OF UNSPECIFIED TRANSPORT FP7 PROJECTS ...... 173 FIGURE 3.15: FP7 PROJECTS PER MODE PER COUNTRY ...... 173 FIGURE 3.16: DISTRIBUTION OF COMPETENCIES IN TRANSPORT RESEARCH ...... 174 FIGURE 5.1: FP PARTICIPATION OF SMES AS COORDINATOR ...... 190 FIGURE 5.2: GEOGRAPHICAL DISTRIBUTION OF SMES PARTICIPATION IN FPS ...... 190 FIGURE 5.3: TYPE OF PARTICIPANTS OF PROJECTS APPROVED FOR FUNDING (CUT-OFF1 TO CUT-OFF 3) ...... 192

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

List of Tables

TABLE 2.1 - EU ORGANIZATIONS WITH AN INVOLVEMENT IN R&D FUNDING ...... 29 TABLE 2.2 - RANKING OF EU MEMBER STATES ACCORDING TO R&D ACTIVITY INDICATORS ...... 33 TABLE 2.3 - LINKING R&D, TRANSPORT POLICIES AND REDUCTION TARGETS ...... 43 TABLE 2.4 – PERCENTAGE OF TRANSPORT FP7 PROJECTS AS COORDINATOR ...... 48 TABLE 2.5 - NUMBER OF INSTITUTIONS ACTIVE IN FP7 ...... 49 TABLE 2.6 – NUMBER OF INSTITUTIONS PARTICIPATING IN 10 OR MORE PROJECTS ...... 50 TABLE 2.7 – INSTITUTIONS WITH HIGHEST NUMBER OF PARTICIPATION IN FP7-TRANSPORT PROJECTS ...... 50 TABLE 2.8 - PERCENTAGE OF PARTICIPATION IN DIFFERENT TYPES OF FP7 TRANSPORT PROJECTS ...... 54 TABLE 2.9 - FUNDING OF DIFFERENT TYPES OF FP7 TRANSPORT PROJECTS ...... 54 TABLE 2.10 – OVERALL FUNDING OF FP7 PROJECTS IN WHICH THE COUNTRY IS PARTICIPATING ...... 55 TABLE 2.11 – OVERALL FP7 FUNDING DIVIDED ACCORDING TO TRANSPORT MODES ...... 56 TABLE 3.1 – ACTORS AND STAKEHOLDERS FOR RAILWAY RESEARCH IN THE EUROPEAN UNION...... 59 TABLE 3.2 – ACTORS AND STAKEHOLDERS FOR ROAD RESEARCH IN THE EUROPEAN UNION ...... 90 TABLE 3.3 – ACTORS AND STAKEHOLDERS FOR AERONAUTICS RESEARCH IN THE EUROPEAN UNION ...... 107 TABLE 3.4 - ACTORS AND STAKEHOLDERS FOR MARITIME RESEARCH IN THE EUROPEAN UNION...... 126 TABLE 3.5 - ACTORS AND STAKEHOLDERS FOR INLAND WATERWAYS RESEARCH IN THE EUROPEAN UNION ...... 143 TABLE 3.6 - ACTORS AND STAKEHOLDERS FOR INTERMODAL RESEARCH IN THE EUROPEAN UNION ...... 157 TABLE 4.1 - BARRIERS AND THEIR PROPERTIES ...... 181 TABLE 4.2 - DRIVERS AND THEIR PROPERTIES ...... 184 TABLE 4.3 – BARRIERS RANKING ...... 184 TABLE 4.4 – DRIVERS RANKING...... 185 TABLE 5.1: SME PARTICIPATION IN FPS ...... 189 TABLE 5.2 - STATISTICS ON EU-27 SMES ...... 193 TABLE 5.3 - DISTRIBUTION OF SMES IN EUROPEAN UNION...... 194 TABLE 5.4 – RANKING OF BARRIERS TO SMES ...... 203

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Executive summary

This Deliverable reports on the work undertaken in the WP2 of the Market-up project. Market uptake of transport research results (Market-up project) aims to identify barriers (both social and technical) and drivers for the market uptake of transport research results and, via this identification process, to contribute to the increased role of the transport sector in delivering a low carbon economy, looking forward to tools that enable the achievement of two main goals: a) that research results are uptake by the market and b) that European research supporting covers all actors, including the weakest ones. WP2 – Characterisation of the context of RTD initiatives per sectoral areas is targeted to obtain an overall picture of innovation systems/R&D competencies and of the existent conditions in the different transport sub-sectors. It includes a desk research component to identify actors, regions and its inter-relations, evaluate concentration of funding (modes, actors, regions) upon which a mapping of competences is drawn. An assessment of the barriers and drivers to uptake of transport results and more specifically the barriers to SME is conducted in this activity. Its key objective is to characterize the context, under which R&D initiatives are being promoted at the EU level, with the overall goal to better know the specificities of the different transport sectors enabling an easy transfer and uptake of research results. Particular focus is placed in terms of: Actors, regions and its inter-relations Concentration of funding (modes, actors, regions) Mapping of competencies Barriers and drivers to uptake of transport results Barriers to SME in R&D

In order to address these needs, the analytical framework Sectoral System of Innovation (SSI), developed within the WP1, has been used, extended with the Technological Innovation System (TIS) analysis.

Large efforts have been placed in collecting data at the EU27 level, in accordance to the SSI approach. A general overview of Actors and Regions in R&D in Europe per mode was undertaken contemplating both a European perspective and the MS level. Annexes presenting the data assessed per country /mode are integral part of this deliverable.

Mapping of competences revealed to be more complex: information on number of projects and actors in each country is available but a set of confidentiality aspects limit the access to more detailed data on budgetary information (i.e. budget share per participant / country). This leads to a situation where, some cases / countries, an entity, given its number of participations can be considered as a key actor, although the translation in budget figures

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area could result in a less predominat role. This is particularly true in case of SMEs which shares in project budgets tend to be minor than for other type of actors, as research centres.

A number of recent initiatives (ERA-NETs, Technology Platforms, EU FP projects) aim at improving transnational cooperation. However, synergies between national transport research and market uptake activities seem still to be under-exploited. Currently available datasets do not allow to accurately monitoring innovation efforts in different sub-sectors.

Mapping of competences in transport RTD confirm the general findings from previous assessments with Scandinavian and Northern European Member States (incl. France) showing best performance, while Southern European Member States and especially Member States that joined the EU in the last decade showing rather low performance.

This was particularly visible in terms of number of FP7 projects in which individual MS participate, translating the weight of those countries in the consortia composition (i.e. Germany is present in 76% of the total FP7 transport projects, UK in 65%, France in 63%). For the NMS, Poland is the country with the highest presence in FP7 projects (with 95 projects, repreenting 23% of total FP7 projects), however this is not directly translated in research budgets. Along the report some estimations on budget per country have been done, however the lack of information on contractual budgets should be understood as an improvement area if more targeted and real assessments are expected.

The discussion in the review workshop resulted in some suggestions to include an evaluation of the number of participations in function of the population and in relation to the GDP and GERD, allowing understanding different research patterns in EU.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

350 90%

76% 80% 300 65% 63% 70% 250 58% 60% 46% 200 50% 43% 43% 40% 150 34%

27% 30% 100 23% 22%

Number Number of projects per country 20% 16% 13% 13% 50 12%11% 9% 10% 6% 5% 4% 4% 3% 2% 2% 1% 1% Share of country per total FP7 Transport projects

0 1%0%

ITALY

SPAIN

MALTA

LATVIA

FRANCE POLAND

CYPRUS

GREECE

FINLAND

AUSTRIA IRELAND

ESTONIA

SWEDEN

BELGIUM

ROMANIA

SLOVAKIA

HUNGARY DENMARK SLOVENIA

GERMANY BULGARIA

LITHUANIA

PORTUGAL

LUXEMBOURG

NETHERLANDS CZECH REPUBLIC CZECH UNITED KINGDOM UNITED

The analysis of number of FP7 projects, as it could be expected, shows that countries with high number of projects are also the highly populated ones (Germany, UK, Italy, France and Poland, as the most populated NMS), however the analysis in function of country population has shown that.such relation is not direct and countries as Sweden and Austria with relatively small populations score better in number of participations than previous mentioned countries.

This turns also evident the effect of the presence of the EU associations in Belgium, turning it into the country with the most projects in relation to its population. On the opposite side, it is highlighted Romania that in terms of number of project participations is ranked as the 2nd NMS (with 45 projects representing about 11% of participations) but when seen in function of its population score in a relatively weak position.

Altough revealing interesting elements, this ratio should be interpreted with some care, in order to avoid biased conclusions, particularly in the cases of small countries with minor participations. A paradigmatic case is the situation of the smallest countries such as Malta, Cyprus and Luxembourg with minor participations (less than 10), for which the direct ratio results in an excellent ranking.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

FP7 projects per million inhabitants

350 20

18 300 16

250 14

12 200 10 150 8

100 6

4 50 2

0 0

ITALY

SPAIN

MALTA

LATVIA

FRANCE POLAND

CYPRUS

GREECE

FINLAND

AUSTRIA IRELAND

SWEDEN ESTONIA

BELGIUM

ROMANIA

SLOVAKIA

DENMARK SLOVENIA

HUNGARY

GERMANY BULGARIA

LITHUANIA

PORTUGAL

LUXEMBOURG

NETHERLANDS

CZECH REPUBLIC CZECH UNITED KINGDOM UNITED Total projects Nr of proj/Million inh

The relation of FP7 projects with GDP per capita also revealed interesting aspects particularly in relation to Poland and Romania, countries which results in terms of the number of FP7 projects per unit of GDP are aligned with the so called high developed countries (i.e. Poland with UK and Romania with Spain), but where the GDP per capita is much lower. This could interpret as countries where research efforts are mostly dependent on international collaboration.

On the other hand, the comparison in function of GERD highlights the countries that mostly depend on EU funding for research investment (mainly NMS and Greece), while in countries where GERD is higher (such as UK, Finland, France or Denmark), and despite the high number of FP7 projects, EU funding represents a minor part of the total research efforts. This is confirming that FP7 financing for transportation sector represents only a small share of the total transportation funding efforts, as it was already pointed out in other related projects such as the GHG TransporD.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

FP7 projects in relation with GDP and GERD

12 140,0

120,0 10

100,0 8

80,0 6 60,0

4 40,0

2 20,0

0 0,0

ITALY

SPAIN

MALTA

LATVIA

POLAND FRANCE

CYPRUS

GREECE

FINLAND

IRELAND AUSTRIA

SWEDEN ESTONIA

BELGIUM

ROMANIA

SLOVAKIA

DENMARK SLOVENIA

HUNGARY

GERMANY BULGARIA

LITHUANIA

PORTUGAL

LUXEMBOURG

NETHERLANDS

CZECH REPUBLIC CZECH UNITED KINGDOM UNITED FP7 proj /GDP FP7 proj /GERD

Mapping of competences shown also interesting aspects in terms of the concentration of actors and countries: with the exception of Estonia, where the number of total FP7 participations equals the number of entities involved, in all other cases, number of entities is less than the number of country participations in projects. This reveals that in average the same company is involved in several projects.

Nr of country participations/Nr of entities 4,0

3,0

2,0

1,0

0,0

ITALY

SPAIN

LATVIA

MALTA

GREECE

CYPRUS

FRANCE

POLAND

AUSTRIA IRELAND

ESTONIA

SWEDEN

FINLAND

BELGIUM

SLOVENIA

HUNGARY

SLOVAKIA

ROMANIA

BULGARIA

GERMANY

DENMARK

LITHUANIA

PORTUGAL

LUXEMBOURG

NETHERLANDS

CZECH REPUBLIC CZECH UNITED UNITED KINGDOM

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Such aspect turned more evident, when the analysis was done per single entity as below, where it can be seen the top 6 entities in FP7 projects.

% % nr of Top 6 entities in FP7 projects total coord projects FP7 DEUTSCHES ZENTRUM FUER LUFT - UND GERMANY RAUMFAHRT EV 85 20,3% 4,3% OFFICE NATIONAL D'ETUDES ET DE RECHERCHES FRANCE AEROSPATIALES 50 11,9% 1,2% STICHTING NATIONAAL LUCHT- EN NETHERLANDS RUIMTEVAARTLABORATORIUM 49 11,7% 0,7% GERMANY EADS DEUTSCHLAND GMBH 37 8,8% 1,2% FRAUNHOFER-GESELLSCHAFT ZUR FOERDERUNG GERMANY DER ANGEWANDTEN FORSCHUNG E.V 36 8,6% 1,9% NEDERLANDSE ORGANISATIE VOOR TOEGEPAST NETHERLANDS NATUURWETENSCHAPPELIJK ONDERZOEK - TNO 33 7,9% 1,0%

While the number of partners tends to be larger for the different countries involved, Germany, France and Italy show high shares of participants per project (as shown in table below with the 3 major countries per consortium) confirming again the importance of the presence of these countries in the composition of the consortiums, but also the concentration of major industrial partners in those countries.

Nr of Nr of partners % partners % BESST 66 MAAXIMUS 57 GERMANY 17 26% FRANCE 14 25% FRANCE 12 18% GERMANY 10 18% ITALY 11 17% UNITED KINGDOM 6 11% SARISTU 65 ACTUATION2015 53 ITALY 10 15% FRANCE 15 28% GERMANY 9 14% UNITED KINGDOM 9 17% BELGIUM 7 11% GERMANY 8 15% CRESCENDO 59 EBSF 49 FRANCE 23 39% FRANCE 11 22% UNITED KINGDOM 9 15% GERMANY 10 20% GERMANY 6 10% ITALY 10 20%

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Countries more dependent on a restricted number of entities are presented below:

Nr of Entity % top Nr of Entity % top projects Share 5 projects Share 5 BULGARIA 17 LITHUANIA 14 TECHNICAL UNIVERSITY OF SOFIA 3 18% VILNIAUS GEDIMINO TECHNIKOS UNIVERSITETAS 6 43% HIGHER SCHOOL OF TRANSPORT - TODOR KABLESHKOV 3 18% KLAIPEDOS UNIVERSITETAS 2 14% NATIONAL RAILWAY INFRASTRUCTURE COMPANY 2 12% 65% LITHUANIAN ROAD ADMINISTRATION UNDER THE MINISTRY1 7% OF TRANSPORT79% AND COMMUNICATIONS APPLIED RESEARCH AND COMMUNICATIONS FUND 2 12% VIESOJI ISTAIGA SOCIALINES IR EKONOMINES PLETROS1 CENTRAS7% UNIVERSITY OF ROUSSE ANGEL KUNCHEV 1 6% VIESOJI ISTAIGA KLAIPEDOS MOKSLO IRTECHNOLOGIJU1 PARKAS7% CYPRUS 9 LUXEMBOURG 6 EBOS TECHNOLOGIES LTD 2 22% DELPHI AUTOMOTIVE SYSTEMS LUXEMBOURG SA 2 33% FELDMAN ENTERPRISES LIMITED 2 22% KATCON GLOBAL SA 1 17% RESEARCH PROMOTION FOUNDATION 1 11% 78% GOODYEAR SA 1 17% 100% GEOIMAGING LTD 1 11% SIMUDYNE SARL 1 17% SCHOLAI FREDERICKOU 1 11% CENTRE DE RECHERCHE PUBLIC HENRI TUDOR 1 17% ESTONIA 7 MALTA 5 TALLINNA TEHNIKAKORGKOOL 1 14% UNIVERSITA TA MALTA 3 60% TALLINNA AUTOBUSSIKOONDISE AS 1 14% HARBOUR AIR (MALTA) LIMITED 1 20% 100% HAMA INVESTEERINGUD OU 1 14% 71% INTEGRATED RESOURCES MANAGEMENT (IRM) COMPANY1 20% LIMITED LASER DIAGNOSTIC INSTRUMENTS AS 1 14% NETHERLANDS 179 TALLINNA LINN 1 14% STICHTING NATIONAAL LUCHT- EN RUIMTEVAARTLABORATORIUM49 27% FINLAND 50 NEDERLANDSE ORGANISATIE VOOR TOEGEPAST NATUURWETENSCHAPPELIJK33 18% ONDERZOEK - TNO TEKNOLOGIAN TUTKIMUSKESKUS VTT 18 36% TECHNISCHE UNIVERSITEIT DELFT 29 16% 71% VALTION TEKNILLINEN TUTKIMUSKESKUS 9 18% AD CUENTA BV 8 4% AALTO-KORKEAKOULUSAATIO 6 12% 80% STICHTING MARITIEM RESEARCH INSTITUUT NEDERLAND8 4% WARTSILA FINLAND OY 4 8% PORTUGAL 66 MOBISOFT OY 3 6% INSTITUTO SUPERIOR TECNICO 14 21% GERMANY 320 TIS PT, CONSULTORES EM TRANSPORTES, INOVACAO10 E SISTEMAS,15% SA DEUTSCHES ZENTRUM FUER LUFT - UND RAUMFAHRT EV 85 27% INSTITUTO DE SOLDADURA E QUALIDADE 10 15% 65% EADS DEUTSCHLAND GMBH 37 12% INOVAMAIS - SERVICOS DE CONSULTADORIA EM INOVACAO5 8% TECNOLOGICA S.A. FRAUNHOFER-GESELLSCHAFT ZUR FOERDERUNG DER ANGEWANDTEN36 11% FORSCHUNG64% GMVIS E.V SKYSOFT SA 4 6% RHEINISCH-WESTFAELISCHE TECHNISCHE HOCHSCHULE AACHEN28 9% SLOVAKIA 16 AIRBUS OPERATIONS GMBH 19 6% ZILINSKA UNIVERZITA V ZILINE 10 63% GREECE 112 TECHNICAL UNIVERSITY KOSICE 2 13% CENTRE FOR RESEARCH AND TECHNOLOGY HELLAS 25 22% ZTS VYSKUMNO-VYVOJOVY USTAV KOSICE AS 2 13% 100% NATIONAL TECHNICAL UNIVERSITY OF ATHENS 23 21% LETISKO M. R. STEFANIKA - AIRPORT BRATISLAVA, A.S.1 (BTS)6% UNIVERSITY OF PATRAS 21 19% 77% VYSKUMNY USTAV DOPRAVNY 1 6% INASCO - INTEGRATED AEROSPACE SCIENCES CORPORATION12 O.E.11% SLOVENIA 21 HELLENIC AEROSPACE INDUSTRY SA 5 4% ZAVOD ZA GRADBENISTVO SLOVENIJE 6 29% IRELAND 27 UNIVERZA V LJUBLJANI 3 14% UNIVERSITY COLLEGE DUBLIN, NATIONAL UNIVERSITY OF IRELAND,8 30% DUBLIN UNIVERZA V MARIBORU 3 14% 71% THE PROVOST FELLOWS & SCHOLARS OF THE COLLEGE OF 4THE HOLY15% AND UNDIVIDEDINSTITUT TRINITY JOZEF OF QUEENSTEFAN ELIZABETH NEAR DUBLIN 2 10% UNIVERSITY OF LIMERICK 4 15% 74% DDC SVETOVANJE INZENIRING, DRUZBA ZA SVETOVANJE1 IN 5%INZENIRING, DOO IRISH EXPORTERS ASSOCIATION 2 7% SWEDEN 142 NAUTICAL ENTERPRISE CENTRE LTD 2 7% CHALMERS TEKNISKA HOEGSKOLA AB 28 20% LATVIA 5 KUNGLIGA TEKNISKA HOEGSKOLAN 21 15% RIGAS TEHNISKA UNIVERSITATE 2 40% TOTALFORSVARETS FORSKNINGSINSTITUT 20 14% 68% MARITIME ADMINISTRATION OF LATVIA 1 20% VOLVO TECHNOLOGY AB 15 11% 100% VALSTS AKCIJU SABIEDRIBA LATVIJAS JURAS ADMINISTRACIJA*MARITIME1 20% ADMINISTRATIONTRAFIKVERKET OF LATVIA - TRV MAL 13 9% TRANSPORT AND TELECOMMUNICATION INSTITUTE 1 20%

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

For the next stages, and looking particularly to the production of targeted recommendations for SMEs it is expected that some of these cases of concentration could be object of analysis (i.e. Portugal can be seen as an interesting case given the number of SME present in the top 5 compared to the other cases, mostly relying on universities and research institutes). In general it can be concluded that the analysis did not bring any surprising results and confirmed the existing assumptions on the subject; however thanks to its thoroughness and solid foundations it will form a good base for the continuation of next activities. Particularly it should be expected that a more detailed assessment of major and weaker players could be done in the course of case studies.

The analysis of barriers also confirmed the research conducted in other similar studies for other sectors, same being valid in relation to SME‟s, highlighting that transport sector does not differ substantially from other sectors. Assessment of barriers and drivers has followed the TIS (Technological Innovation Systems) methodology, being the main barriers identified classified in relation to the respective TIS function. In order to ascertain more information on the barriers and drivers, we have created a basic ranking system. This is intended to provide a better understanding of the relative importance of the different inducement and blocking mechanisms identified in the transport sector. Main barriers and drivers have been ranked according to the expected impact.

Barriers ranking Impact duration Short Long Impact severity Low • Uncertain market demand • Lack of qualified personnel, Uncertain ROI technology • Long lead times • Lack of business partners • Lack of cooperation High • Economic outlook • Lack of funds • Legal background lacks • Insufficient access to subsidies incentives • Lack of external financing • Limited access to • Lock-ins information, technological • Domination of established support enterprises • Lack of the mutual recognition of standards

The most important barriers are in the bottom right, with severe and lasting impacts. Absent or inaccessible monetary resources and external funds have the capacity to cripple the development and the uptake of new ideas. Lock-ins and the domination of incumbents (often leading to inefficient monopolies) are hard to break, especially because of the conflict of interest with the well established and leading institutions in the transport sector. Last but not least, the interoperability problems and the lack of unified standards has a profound impact on transport innovation, and is difficult to address. This is perhaps the best area where policy efforts should be concentrated to achieve considerable gains across Europe.

In relation to drivers, the last group (bottom right) contains the most powerful drivers that also possess long duration. They are mostly related to the need to change current 15

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area unsustainable operational practices across all areas, although the transport sector is perhaps even more affected than others. Peak oil, the scarcity of energy and materials will drive a profound change in the way we live, travel, and innovate. Designs will have to be modified to reflect the changes that have taken place since the industrial revolution, while consumers, becoming increasingly aware of the situation, will be increasingly driven towards more sustainable products and services, generating demand and innovations in this area. This fundamental change in mindsets should be taken advantage of when designing policy instruments to facilitate transport research in the future.

Drivers ranking Impact duration Short Long Impact severity Low Secure or increase market • Economic outlook share • Good business partners Existing regulations • Technological and management capabilities • Expected new regulations • Good cooperation High • Current high energy prices • Expected energy price • Current high material prices increases • Access to information, tech • Access to subsidies, support incentives • Increased demand for green products • Future material scarcity • Limited access to materials

More specifically in relation to barriers faced by SME the following aspects are worth to be referred: Regarding the access to the market, different barriers and difficulties affect the market uptake of SMEs research results and constitutes a strong impediment for SMEs. Furthermore, to foster the SMEs participation in R&D, funding programmes (and especially EC Framework Programmes) should include recommendations for market- oriented projects as well as incentives for SMEs to be involved in them. The problems related to cash flow are considered a major issue for SMEs, especially as the availability of credit for such companies is very difficult; unlike large companies, universities and public bodies, many SMEs cease trading due to lack of funds, i.e. awaiting payments by creditors, even though they may be very profitable. The cash problem is highly affecting the research and innovation activities performed by SMEs, which recognized many difficulties accessing finance and innovation project funding, e.g. via bank loans, government grants and subsidies, venture capital and angel capital. Focusing on the FP funding, SMEs recognized that cash problems are indirectly related to two other barriers: from one side the high costs to be supported for the proposal preparation and the other side the extended time of evaluation, acceptance and implementation of the project. Another issue relevant to highlight is the need for an adequate regulatory environment to strike the right balance for setting new standards and regulations, and to harmonise efforts: on the one hand, reliable standards can support the industry and SMEs in developing marketable products; on the other hand, setting standards can hinder 16

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

technological optimization and further improvements on innovations. These kinds of impediments are also related to the lack of governmental co-ordination at regional, national and European level and to the insufficient co-ordination of transport policy innovation and promotion policy on the other. In particular, the long-term orientation of innovation policy following the innovation cycle is difficult to bring in line with short- and medium term-oriented transport policy aims and measures. This gap is observed between national perceptions (current innovation needs of the country in general) and the agreement at the European level: thus, to deliver innovative transport solutions a significant co-ordination and collaboration among different levels (National and European) is required to foster innovation across the national transport sector and to develop a common transnational vision. Nowadays, economies rely increasingly on knowledge based competitiveness and innovation is increasingly non technological in nature. In the current knowledge society intangible assets and Intellectual Property (IP) represent an increasing value to SMEs.

Regarding the FP7 programmes structure, SMEs recognized a number of impediments. One of the main concerns is that most of the calls for proposal of Framework Programmes have closed topics, which are also a limit to the participation of SMEs that find difficult to adapt their business lines and innovation strategy to such specific research lines. There is also a perception that participation in FP7 is a too bureaucratic process and SMEs find it difficult to translate the long term nature of both the application process into clear practical results that meet the shorter time horizons, the business objective and the SME needs. Nevertheless, SMEs can sometimes have problems of being perceived as a credible partner by larger companies and organisations. Within the surface transport sector, due to the nature of car manufacture, railways and shipbuilding, large organisations tend to dominate and this makes difficult for SMEs to enter these consortia.

Ranking of Barriers to SMEs Impact duration Short Long Impact severity Low Lack of monitoring system • IPR and exploitation of for SMEs results of FP7 project Lack of Information on FP7 • Time of evaluation, Language barriers for acceptance and European funds implementation for FP7 RTD SMEs Profile as potential projects is too extended: partners for FP7 projects • Lack of qualified personnel IPR and exploitation of results High • Access to finance and • Inadequate Innovation Policy problems of cash-flow for Transport • Appropriateness of FP7 to • Regulatory aspects and weak SMEs and lack of adequate institutional co-ordination competitive frameworks for • Adoption of environmental SMEs technologies • Costs of proposal • Lack of data on the current preparation and general transport system funding cost of innovation • Access to the market

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

The most relevant and complex barriers are those located in the bottom right, with severe and long term impacts, namely inadequate innovation policy for transport (both at national and European level), regulatory aspects and weak institutional co-ordination, absent or inaccessible monetary resources and external funds, adoption of environmental technologies, lack of data on the current transport system. These barriers, having the capacity to limit the business strategy and the uptake of new ideas, are harder to overtake and in some case depend on policy negotiation and financial regulation at national and European level.

By the end of the first year, Market-up promoted a Review Workshop. From the prospective exercise carried out, some insights on the role of transport innovation that will guide the next stages of Market-up development have been identified. Main findings from the discussion refer to:

Expensive Innovation/ Long Term to recover Investment/ High Risk The transport sector stands in a Paradigm of Expensive Innovation. The entire process taken from the conceptualization to adoption of a new solution is highly resource consuming. Such an Investment has expenses since the early stages despite only achieving revenue on implementation. The Breakeven point is achieved later, as consumer habits take time to change, and the return on Investment should came much later. Such a long time for Return on Investment in an uncertain market as transportation sector means that the risk is very high and the possibilities of success are anything but comfort.

Big companies run the Innovation Agenda In this context, the Innovation agenda is run mostly by big corporations, who have the means to deal with such risk and long term investment. SMEs have their role in Innovation mainly as sub-contracted by great companies. In this aspect, the Transport Industry differs from other industries for smaller companies are usually the keenest ones in terms of Innovation while bigger companies tend to remain in their comfort zone, buying smaller companies with innovative projects. Consortiums are a way of reaching a compromise between the need for big institutions by aggregating smaller companies. However, even these are too much of a challenge for small companies.

European Union far from SMEs The EC support SME‟s innovative activities however the process is still rather difficult. Looking specifically to funding lines for SMEs in FP7, they are oriented towards the supporting to contract the research innovation and not so much aligned for SMEs undertaking own research. But if innovation is hard, expensive and risky, on the other hand, it is considered necessary and fundamental for the survival of the European Economy and Sustainable Development on along the 3 axis (Social, Economic and Environmental).

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Expectations of mobility are increasing while economic and environmental conditions impose more restrictions. These conditions turn the Efficiency into a key concept for Innovation during the coming years.

Different Paradigm is needed for Transport Innovation On the duality Disruptive vs. Incremental Innovation it was noticed that transport have a lot of room for incremental Innovation. Although it may sound that Disruptive innovation is far more important, in practice, successive incremental might go much further as there is room for trial and error, and investment is sustained by return on a short term basis. A success example for Incremental Innovation on Transports is the Low Cost Aviation, which didn‟t require such an outstanding investment although it had a very big impact on the sector. Low Cost Aviation was able to reduce prices, increase occupation rates, anticipate planning, reduce operation costs and open the service to new markets. Another field where incremental innovation for Transports is being successful and where it is still expected more is route planning for freight and passengers. Technologies like Google Earth and online-shopping for individuals and companies improve planning, route optimization and cost reduction, also giving feedback for operators on real time.

Complexity in Transport It was cleared that the sector is characterised by many certainties. Each statement only makes sense in a very particular context, as the fastest, least expensive or more efficient means of transport differ from distance, cargo, conditions or region. Therefore, finding the optimal solutions depends on a case to case analysis. This brings us to the same conclusions: intermodal solutions are fundamental, a universal mobility solution is very unlikely to be predictable and managing information can easily add value to services.

Social Changes The beginning of the 21st century is marked by its speed of change and uncertainty, and the transport sector feels a great impact. The aging of population, growth of expectations, increase of mobility, economic turbulence, new major cities in the world are some of the social changes that demand from Transport.

Think Small In a moment when bigger transports for freight and passengers is gaining momentum (e.g. New Panamax, A380) small details gain importance. Small Innovations, investment, concepts and adaptation are a way of answering more specific needs. The same reasoning might be considered by the EU, which might create some investment programs of smaller amounts for smaller companies, encouraging SMEs to have initiative for Transport Innovation.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Open Innovation Open Innovation is growing in most areas, as individual and players rather exchange information instead of keeping to themselves. This culture raises more knowledge, trust and networking bringing innovation to new standards. Although this may look opposite to standard corporate culture, most entrepreneurs are adopting this attitude and gaining much more than they have to lose. It‟s natural to expect that transport Industry keeps growing into this trend.

Overall, it can be referred that lack of available data prevented the consortium from more detailed analysis on funding in respective R&D activities in some of the EU-27 countries. The estimation of available funding for R&D activities has been conducted mainly by analysis performed on data on approved FP7 transport-oriented projects from available databases, but as mentioned this revealed to be a constraint for data analysis as information on actor level is considered as confidential. It can be concluded that the analysis did not bring any surprising results and confirmed the existing assumptions on the subject; however its thoroughness and solid foundations guarantee a good base for the continuation and fine tune of analysis in the subsequent stages. In particular it is worth to refer to the development of seven case studies on transport innovation topics and the identification and assessment of funding instruments for transport research and innovation.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

1. Introduction

The main objective of the Analytical Framework as presented in Market-up D1.1. was to provide the underlying theory to develop the rest of the project. Specific activities of WP 2 have been underlined in the analytical framework, which mentions that the focus of the information to be collected is fourfold: - Actors, regions and inter-relations - Concentration of funding (modes, actors, regions) - Mapping of competences - Barriers and drivers to uptake of transport results and barriers to SMEs.

In order to address these needs the analytical framework proposes to use the Sectoral System of Innovation (SSI), extended with the Technological Innovation System (TIS) analysis. SSI analyses innovation in an industrial sector through a system analysis, shown in general in Figure 1.1. SSI figures are provided to each of the transport modes.

Figure 1.1: The sectoral system of innovation structure [Source: Deliverable 1.1]

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

The identification of actors and their interrelationships is the main objective of the Sectoral System of Innovation analysis. The structure identifies three central sets of actors in a sectoral innovation system: the industrial system i.e. the manufacturing firms, the education and research system as an important source of research and the political system. Intermediaries are organisations that specialise in bringing the different actors in the system together. Markets as drivers of demand and the „infrastructure‟ for innovation – venture capital, standards setting etc. are also considered. Framework conditions refer to the social and political environment within which the innovation system operates. Although these characteristics make the SSI the most relevant approach for the identification of actors, the analytical framework foresees that it is complemented by a TIS approach. Such approach facilitates the development of an assessment of the strengths and weaknesses of the innovation system by considering the functions of an innovation system from the Technological Innovation System framework that are schematically presented in Figure 1.2.

Guidance of Knowledge search creation

Knowledge diffusion Entrepreneurial through networks experimentation

Market Resourse formation mobilisation

Legitimation

Figure 1.2: The reinforcing feedback between functions of the Sectoral System of Innovation [Source: Market-up project deliverable 1.1]

These factors determine the ability of the innovation system to actually deliver innovations and the selection of which innovations are supported by the innovation environment. Accordingly, their analysis was particularly important in subsequent activities where barriers and drivers to innovation are to be addressed as described in chapters 0 and 5. The SSI was guiding method to develop the base work towards the mapping of competences. Given the common sources of information data was gathered for both actors and funding schemes simultaneously, and was aggregated across thematic areas, which correspond to a general collection of information that crosses all modes of transport and the six transport fields identified for the case studies in Work Package 3 (WP 3). The six thematic areas are the following:

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

- Rail sector - Road sector - Air Transport & Aeronautics sector - Maritime sector - Inland waterways sector - Intermodal sector

1.1 Methodological approach for WP 2

Focus of this document is related with the mapping of existing competences in the transport sector in the EU 27. Emphasis is placed on current levels of EU FP7 and national RTD capacities and levels of funding with the overall objective to understand the current competences and identify weaker players in RTD.

As starting point for the analysis a review of previous projects, in particular GHG TransporD was done, as well as an inventory of R&D efforts by MS as reported in the statistics and other sources, being particularly relevant the TRKC and Era Watch national reports. From the Cordis database of FP7 transport projects and the project synopsis reports available, a compilation of all projects and participants in FP7 was done, allowing identifying key and weaker players.

Simultaneously an assessment of country information on research efforts, initiatives, programs and projects was undertaken, based on which national overviews per mode of transport were produced to be validated by NCPs focused on the following main points: a) If country play a relevant role in EU RTD in that specific mode and why b) If there are important actors and stakeholders in that country / mode worth to be identifying at EU level? c) Existence of national research funding line identified that is used in the country for R&D in that mode? d) If data presented provide a good assessment of the most important actors and stakeholders active in that mode (if fails, to indicate names) e) Request to provide additional data on R&D Investment in the country/mode (amount of projects and funds), national funding lines, outputs (patents, utility models, etc.) as resulting from R&D investment

Replies were obtained from few NCPs leading to either ranged from confirmation or update of the information (small corrections incorporated in the report). It has been remarked, that 23

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area due to the position of the NCPs in several countries, the requested information was not readily available and would require further research, only possible to obtain with dedicated funding.

Nevertheless, current mapping of competencies is considered as very completed in terms of actors and funding schemes for transport research in the EU27. However, and to ensure that Market-up ends up with the most accurate and updated data, two strategies are defined: a) up to end of the project, the contact and requests for collaboration with NCPs will be maintained, and updated versions of the mapping produced and released b) As soon as actual map is available from Market-up web site, readers will have the possibility to provide comments / corrections/ suggestions (with respective supporting material) and reliable information will be updated. Furthermore, the consortium is willing to evaluate with the EC possible actions that could be jointly promoted to create more awareness on NCPs on the relevance of their feedback.

Additionally data was presented in the review workshop, from which suggestions for indicators have been presented and incorporated in the analysis. In parallel with the mapping of competences, an assessment of barriers is performed. Such analysis starts from the TIS (Technological Innovation System) approach as defined in WP1 and above mentioned. A review of the main documents assessing R&D in SMEs published by the European Commission has been undertaken as starting point for the analysis, ensuring that efforts are not duplicated and existing reports are considered. Most relevant inputs for the assessment of barriers to SMEs have been: - Impact assessment of the participation of SMEs in the „themes‟ of FP5 and FP6 - SMEs in FP7 participation – Spring 2011 - Promoting Environmental Technologies in SMEs: Barriers and Measures - Eurostars Programme Interim Evaluation - Council of European Union official speech, November 26th 2010 meeting - Result available from EC stakeholder consultation on the Strategic Transport Technology Plan - White Paper in Transport

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

1.2 Structure of this report

In this report the mapping of existing competencies through countries of EU-27 and their industrial research in the transport sector is summarized. Data for mapping of competencies were obtained by desk analysis in Task 2.1 and Task 2.2. Collected data has been distributed to EU27 transport NCPs in order to obtain a validation feedback and use their detailed insights on the national entities involved in transport related R&D. Contacts with NCPs and with ETNA project have been promoted. The first chapters of this report highlight the overview of actors and regions at the EU level and an assessment of the transport FP7 efforts and players. An analysis of players and regions is performed for the different modes. Following chapters present the analysis on main barriers to market uptake of transport research, being this followed by the assessment on specific barriers to transport SMEs. Last chapter presents the main findings from the data analysis conducted and of the future perspectives on transport innovation as resulting from the Review Workshop. The report is composed by this main document and 5 annexes, each one presenting the data on transport competencies for each of the 27MS per transport mode: rail, road, air and aeronautics, maritime, inland waterways and intermodal transport.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

2. Overview of actors and regions at the EU level

This chapter presents an overview of information on transport R&D system stakeholders and funding. Regarding stakeholders, a general overview of main R&D institutions is presented at European level. This identification covers public entities (e.g. Ministries) but also companies, stakeholders or networks that play an important role on fostering research at an aggregate level. A more detailed analysis for the transport sector is provided, identifying key actors for transport research at European level. Detailed analysis for each Member State can be found in the Annexes of this deliverable. Following the stakeholder analysis an overview of R&D investment within the EU-27 and its Member States is given. Amongst other aspects it includes information on share of GDP spent on R&D activities and an approximate share of such investment spent in the transport sector.

2.1 Research and development institutions at the European level and the European Research Area The research institutions at the European level are, broadly speaking made up of: • Individual Member States and their key players, • European higher education institutions, • European Union research bodies, programmes and initiatives.

The diagram in Figure 2.1 attempts to depict the composition of the European Research Area (ERA) and look in more detail at the interrelations of the organisations and initiatives involved, including the three typologies listed above. To provide further detail the following simplified diagram focuses on the last point, „European Union research bodies, programmes and initiatives‟, showing different DGs involved in research and their interrelations, and specifically information relating to the European Commission‟s funding mechanisms.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Figure 2.1: Composition of the European Research Area

Figure 2.2: European Union research bodies, programs and initiatives

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

From Figure 2.2 we can see that DG Research controls the seventh framework programme and is related to both the European research Council and the European Institute of Innovation & Technology.

The European Research Council (ERC) is an independent body that assists and influences a large proportion of research in the European Union, in particular FP7. The organisation is run by the Scientific Council and supported by the ERC executive agency (ERCEA) Of course it should be made clear that the European Union funding bodies and institutions are more complex than the above model. Table below highlight most relevant EU organisations with an involvement in R&D funding. Each member state in Europe also contributes greatly to the European research area by funding research projects in their own nations. To assess the whole picture of Europe‟s research area, the European Commission‟s Innovation Union and Competitiveness report 2011 describes the extent and overall picture of EU R&D funding: “Altogether, the public sector, therefore, finances slightly more than one third of R&D expenditure in the EU and the private sector slightly less than two thirds. The government sector accounts for a large share of R&D funding in most of the EU-12 Member States91 and in the Southern European countries. More than 50 % of R&D expenditure in Cyprus, Lithuania, Romania, Poland, Bulgaria and Slovakia is funded by the government sector. Conversely, high R&D-intensive Member States such as Germany, Finland, Sweden and Denmark are characterised by a high involvement of the private sector in the financing of domestic R&D activities.” 1 With over a third of all R&D funding coming from the public sector in general, it is clear that public sector funding is very important to the current picture of EU RTD. Other two thirds is the private sector with certain key players in Europe being responsible for large amounts of R&D. According to the 2010 EU Industrial R&D Investment Scoreboard, „three EU companies feature in the top ten: Volkswagen, the biggest investor based in Europe with €5.8bn, Nokia and Sanofi-Aventis.‟ The private sector is vital for the European research area and Europe‟s economy as a whole. However, it is not just large companies and certain Member State key players that are responsible for the private sector figure. SMEs conduct a large amount of R&D, while the value may not be as much as the larger companies combined, SME involvement is vital for the future of the European economy.

1 European Commission, 2011, Innovation Union Competitiveness Report 2011: Analysis Part 1: Investment and performance in R&D – Investing in the future, p73 28

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Table 2.1 - EU organizations with an involvement in R&D funding Title of organisation Shortname European Science Foundation ESF Advisory Council for Aeronautics Research in Europe ACARE Confederation of European Business BUSINESSEUROPE (former UNICE) Competitiveness Council Scientific and Technical Research Committee CREST European Council Scientific Technology Options Assessment STOA Standing Committee on Agricultural Research SCAR Knowledge for Growth Expert Group Know-Grow or K4G Lisbon Expert Group LEG Executive Agency for Competitiveness and Innovation EACI European Parliament Committee on Industry, Research and Energy ITRE European Road Transport Research Advisory Council ERTRAC European Group on Ethics in Science and New Technologies EGE European Strategy Forum on Research Infrastructure ESFRI The Helsinki Group on Women and Science The Helsinki Group European Research Area Board ERAB Information Society Technologies Expert Group ISTAG European Institute of Innovation and Technology EIT European Research Council ERC Joint Research Centre JRC The Association for Technology Implementation in Europe TAFTIE European Industrial Research Management Association EIRMA League of European Research Universities LERU European Association for the Promotion of Science and Technology Euroscience European Heads of Research Councils EUROHORCs European Council of Applied Sciences, Technologies and Engineering Euro-CASE European University Association EUA Research Executive Agency REA European Association of Research and Technology Organisations EARTO European Intergovernmental Research Organisations Forum EIROforum European Round Table of Industrialists ERT European Trade Union Confederation ETUC

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

2.2 SMEs involvement in R&D across EU SMEs are defined by the European Commission as enterprises which employ less than 250 employees and which have an annual turnover that does not exceed 50 million euros, and/or an annual balance sheet total not exceeding 43 million euros. Within SMEs the following categories are distinguished: Micro enterprises: enterprises with 0-9 employees, whose annual turnover and/or annual balance sheet do not exceed 2 million euros. Small enterprises: enterprises with 10-49 employees, whose annual turnover and/or annual balance sheet do not exceed 10 million euros. Medium-sized enterprises: enterprises with 50-249 employees, whose annual turnover does not exceed 50 million euros, and/or an annual balance sheet do not exceed 43 million euros.

SMEs, despite their heterogeneity, share a number of characteristics that make them different from their larger counterparts. Some of these characteristics may affect the nature and the extent the behaviour of SMEs in doing research and innovation activities. Generally SMEs showed the following characteristics: The average SME is small with respect to the number of employees. On average, a large enterprise in Europe provides employment to about 1,000 people, whereas the average for SMEs is 5 people. Countries differ with respect to the average scale of their enterprises. The average SME is also small with respect to the turnover generated. On average, a large enterprise in Europe has a turnover of 319 million Euros, whereas the average for SMEs is almost 1 million Euros. In most SMEs, ownership and management are concentrated in the same hands. The entrepreneur plays a key role in his or her enterprise and his or her personal preference is usually the most influential factor regarding decisions about investments, the allocation of funds or the development of business strategies. Entrepreneurs in SMEs are very likely to suffer from important time and task pressures, which leave them with little time to reflect strategically on future activities 'beyond' the core business of the enterprise. This characteristic could imply that long-term investments, which are not clearly related to the core business, are regarded as secondary. SMEs are usually risk-averse given the relatively small economic size of these enterprises. The time to recover the extra costs of new investments is usually set at three years or less. Consequently, investments in proven technologies prevail over more innovative but risky investments. SMEs usually rely heavily on the opinion of their professional surroundings (i.e. their main supplier, accountant, bank, etc.) with which there is often a longstanding relationship. It should be kept in mind that most entrepreneurs of SMEs are usually technically trained with respect to their core business, but not for new technologies that are beyond the core business

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Transport research typically involves significant amounts of funding in order to invest into lengthy and risky investigations. Therefore, it is not always easy for SMEs to become closely involved in transport research projects, particularly in transport modes such as rail, where the industry is generally well controlled by a small number of large companies. However through specific SME networks and with increases in public funding for transport research, SMEs can have an impact on the industry and the economy by finding a position within the transport research arena. The following organisations and projects are an example of the type of initiatives aiming to support SMEs in different fields of Transport research: ITRN.ie - The Irish Transport Research Network was formed in late 2009 by a group of University based researchers. It aims to promote transport teaching and research and to act as a focus for those involved in these activities in universities and institutions of higher education, government departments and industry on the island of Ireland. STARNET - A European Network to Support the Sustainable Surface Transport SMEs. EURNEX - The EURNEX Association, developed from former FP6 Network of Excellence project, comprises of some 47 scientific institutions in the area of transport with particular expertise in rail research all over Europe. CETTRA - Actions to stimulate participation of cooperation partners in surface transport research FREIA - Towards the Networking of European Freight Villages CLEPA – CLEPA represents the official voice for the automotive supplier industry and its aim is to further strengthen the position and promote the common interests of one of the most strategic industries in the European and global economy. B2B LOCO - The revised and expanded concept of the B2B LOCO project is that enterprises collaborating with local market-oriented research units in an international network will enhance their performance and competitiveness through the participation in FP projects or exploitation of its most business practice-oriented results. SMART - SMART is a web portal that offers to all the organizations operating in the Surface-Transport sector support in being involved in RTD research projects at European level, through networking and partnering opportunities, as well as getting useful information and tools to enhance the active participation in research programmes. iCars Network – The iCars Network contributes to the deployment of Transport ICT technologies (or ITS – “Intelligent Transport Systems”) by exchanging knowledge and experience on these technologies among a wide variety of stakeholders.

2.3 Overview of R&D investment in Europe

The Lisbon European Council in March 2000 promoted an overarching discussion about a new strategic goal for the Union in order to strengthen employment, economic reform and social cohesion. One of its main pillars is the preparation of a transition to a knowledge- based economy and society by better policies for the information society and R&D.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Regardless of this common approach agreed by EU‟s Heads of State there are still important differences amongst European countries regarding R&D policy and expenditure. The Figure below represents the total share of GDP spent on R&D across Europe.

Figure 2.3: Research and development expenditure, as % of GDP [Source: Eurostat, 2011]

It is clear that countries in EU-15 tend to present higher shares of R&D expenditure, especially in Northern Europe (and France). Table below ranks European Member States according to three key indicators: total R&D expenditure, R&D Expenditure per Inhabitant and R&D Expenditure share of GDP.

The results presented above are clear: light blue cells represent Member States that joined the EU in 2004 or 2007 (mostly Eastern European countries) and systematically appear in the bottom of the ranking for all indicators. They are followed by South Europe EU-15 Member States, with the exception of Italy and Spain for „total expenditure‟, which being big economies rank relatively higher (while Luxembourg, being a small country rank relatively low in this indicator).

Regarding R&D Expenditure per Inhabitant and R&D Expenditure as share of GDP North European countries top both rankings.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Table 2.2 - Ranking of EU Member States according to R&D activity indicators Rank Total R&D Expenditure R&D Expenditure R&D Expenditure % /Inhabitants. GDP 1 Germany Sweden Finland 2 France Luxembourg Sweden 3 United Kingdom Finland Denmark 4 Italy Denmark Germany 5 Spain Austria Austria 6 Sweden Germany France 7 Netherlands Netherlands Belgium 8 Austria France Netherlands 9 Belgium United Kingdom United Kingdom 10 Finland Belgium Luxembourg 11 Denmark Ireland Czech Republic 12 Ireland Italy Slovenia 13 Portugal Spain Ireland 14 Czech Republic Slovenia Spain 15 Poland Czech Republic Italy 16 Greece Portugal Portugal 17 Hungary Estonia Estonia 18 Romania Greece Hungary 19 Luxembourg Hungary Lithuania 20 Slovenia Cyprus Latvia 21 Slovakia Malta Greece 22 Lithuania Lithuania Malta 23 Estonia Latvia Poland 24 Bulgaria Slovakia Romania 25 Latvia Poland Slovakia 26 Cyprus Romania Bulgaria 27 Malta Bulgaria Cyprus [Source: Eurostat, 2011]

While adopting its „Lisbon Strategy‟, the Council requested the Commission to prepare a structured analysis of R&D and innovation policy in the EU by providing an annual European Innovation Scoreboard. Its Summary Innovation Index is a composite of 29 indicators that

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area go beyond R&D expenditure to include aspects such as human resources or patents. Its latest results are presented in the Figure 2.4 below.

Figure 2.4: Summary Innovation Performance of EU-27 Member States [Source: European Innovation Scoreboard (EIS) 2009]

This data seems to confirm the pattern described above with Scandinavian and Northern European Member States (incl. France) showing a better performance, while Southern European Member States and especially Member States that joined the EU in the last decade showing worse performance. However, this European Innovation Scoreboard also provides indications about changes in Countries performance across time, which is represented in the next Figure 2.5.

Figure 2.5: Convergence in Innovation Performance of EU-27 Member States [Source: European Innovation Scoreboard (EIS) 2009]

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

The Figure 2.5 shows a trend for a certain convergence amongst European Countries, as those with lower levels of innovation performance tend to show higher growth rates of such performance. It also shows that Germany (DE), Finland (FI) and Switzerland (CH – not an EU Member State) are innovation leaders, as they already rank high in the innovation performance index but still show above average growth rates. Worryingly, Spain (ES), Italy (IT) and Norway (NO - not an EU Member State) both rank relatively low in the index but still present below average annual growth rates.

In addition to the analysis of the general R&D expenditure figures it is important to analyse the origin of these investments. Eurostat tracks down R&D expenditure for the following sectors: Business & enterprise, Government, Higher education and Private non-profit. The Figure 2.7, Figure 2.6, Figure 2.8 and Figure 2.9 present the share of each of these sectors for the EU-27 Member States (Source: European Innovation Scoreboard (EIS) 2009), grouped according to the four categories: three categories with EU-15 Member States: Nordic, Northern (also includes France and Austria) and South Countries; One category with Member States that joined the EU in 2004 and in 2007 („new‟ Member States).

R&D Investment - Northern European Member States

90%

80%

70%

60%

50%

40%

30%

20%

10%

0% EU-27 BE DE IE FR LU NL AU UK

Business & enterprise Government Higher education Private non-profit

Figure 2.6: R&D expenditure in Northern European Countries [Source: European Innovation Scoreboard (EIS) 2009]

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

R&D Investment - Scandinavian Member States 80%

70%

60%

50%

40%

30%

20%

10%

0% EU-27 DK FI SE

Business & enterprise Government Higher education Private non-profit

Figure 2.7: R&D expenditure in Nordic Countries [Source: European Innovation Scoreboard (EIS) 2009]

R&D Investment - South European Member States 70%

60%

50%

40%

30%

20%

10%

0% EU-27 GR ES IT PT

Business & enterprise Government Higher education Private non-profit

Figure 2.8: R&D expenditure in Southern European Countries [Source: European Innovation Scoreboard (EIS) 2009]

R&D Investment - 'New' Member States 70%

60%

50%

40%

30%

20%

10%

0% EU- BG CZ EE CY LV LT HU MA PO RO SL SK 27

Business & enterprise Government Higher education Private non-profit

Figure 2.9: R&D expenditure in „New‟ Member States [Source: European Innovation Scoreboard (EIS) 2009] 36

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

One can observe in the Figures above that in the most innovative countries (i.e. Nordic countries) R&D originated in business & enterprise is above the European average, while Government R&D is relatively lower than the average in the EU. This contrasts with most „new‟ Member States and Southern European Countries; in which business & enterprise tend to be below EU-27 average, and Government spending above the EU average. The pattern for Higher Education is less clear, while private non-profit generally accounts for a very low percentage of R&D investment in Europe.

It is also important to have an overall idea on the weight of EU-funded research in the total investment in R&D activities across Europe. European funds are generally defined as complementary to Member States‟ and companies‟ investments in R&D. The Research Framework Programme is a key source of European R&D financing, with its last programme (FP7) having been launched in 2007 with a total budget of €50 billion for the period 2007- 2013. There are also other EU financial support programmes that might provide funding for R&D activities, such as: Competitiveness and Innovation programme (which has a particular focus on SMEs and runs from 2007 to 2013 with an overall budget of €3.6 billion), Cohesion funds, Trans-European Networks.

Given the specific objectives of Market-up there are two additional elements that should be considered in this overview of R&D Investment in Europe: the role of SME‟s in R&D effort and the share of R&D spending in transport.

Within the 29 indicators of the European Innovation Scorecard there are at least 5 that might make a substantial contribution for an overview of SME‟s involvement in R&D effort across Europe: - Share of SMEs innovating in-house - Share of innovative SMEs collaborating with others - Firm renewal (SME entries plus exits) - Share of SMEs introducing product or process innovations; and - Share of SMEs introducing marketing or organisational innovations

The Figure 2.10, Figure 2.11, Figure 2.12 and Figure 2.13 below show the results obtained for the five indicators for the EU-27 Member States, grouped according to the four categories mentioned above (i.e. Nordic Countries, Northern Countries, South Countries and „New‟ Member States (Source: European Innovation Scoreboard (EIS) 2009).

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

SMEs Indicators - Scandinavian Member States 50

0 EU-27 DK FI SE SMEs innovating in-house Innovative SMEs collaborating with others Firm renewal (SME entries plus exits) SMEs introducing product or process innovations SMEs introducing marketing or organisational innovations

Figure 2.10: SME Indicators in Nordic Countries [Source: European Innovation Scoreboard (EIS) 2009]

SMEs Indicators - Northern Member States 80

0 EU-27 BE DE IE FR LU NL AU UK SMEs innovating in-house Innovative SMEs collaborating with others Firm renewal (SME entries plus exits) SMEs introducing product or process innovations SMEs introducing marketing or organisational innovations

Figure 2.11: SME Indicators in Northern Countries [Source: European Innovation Scoreboard (EIS) 2009]

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

SMEs Indicators - South Member States 60

0 EU-27 GR ES IT PT SMEs innovating in-house Innovative SMEs collaborating with others Firm renewal (SME entries plus exits) SMEs introducing product or process innovations SMEs introducing marketing or organisational innovations

Figure 2.12: SME Indicators in South Countries [Source: European Innovation Scoreboard (EIS) 2009]

SMEs Indicators - 'New' Member States 60

0 EU-27 BG CZ EE CY LV LT HU MA PO RO SL SK SMEs innovating in-house Innovative SMEs collaborating with others Firm renewal (SME entries plus exits) SMEs introducing product or process innovations SMEs introducing marketing or organisational innovations

Figure 2.13: SME Indicators in „New‟ Member States [Source: European Innovation Scoreboard (EIS) 2009]

Regarding the specific case of European funded research, it is important to note that the European Commission, in its Decision establishing the FP7, defined target that at least 15% of the funding of the programme should go to SMEs. Accordingly, one would expect a particular emphasis in the involvement of SMEs in FP7 projects. According to the last monitoring report 14.5% (€1.578 million) of the budget has been granted to SMEs so far. According to the same report about 11,000 organisations have participated in FP7, many of which are involved in more than one FP7 Grant Agreement. In FP7, SMEs represent 35.4%

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area of these unique participating entities, which is the highest single group participating in FP7. At least 20,000 SMEs are expected to benefit from FP7 before the end of the Programme. When analysing the performance towards the target of involvement of SMEs in the FP7 is interesting to note that the most important transport-related programme (i.e. TPT) is amongst those with higher SME participation, well above the 15% level (see Figure 2.14 below).

Figure 2.14: SME involvement in FP7 [Source: European Commission, 2010: SME participation in FP7, Report, Autumn 2010]

In addition to this figure it is also important to underline that TPT ranks first in terms of share of SMEs to act as project coordinators (with 46 coordinators, representing 16.5%), which shows the deep commitment of these types of companies in transport research. A regional analysis is also available in the monitoring report, which is represented in Figure 2.15.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Figure 2.15: SME involvement in FP7 – regional distribution [Source: European Commission, 2010: SME participation in FP7, Report, Autumn 2010]

The main conclusion is that there isn‟t an apparent trend towards a concentration of higher or lower shares of SMEs involvement across regions. The most relevant exceptions to this observation might be Spain, Greece and Poland, where a large part of the countries seem to be far from reaching the 15% target. Regarding the specific contributions within the TPT programme, Belgium, Romania, Cyprus, Hungary and Slovakia shows shares of SME involvement above 40% while Poland, Sweden and Malta are below 10%.

Concerning the amount of R&D spending in Transport in the EU-27, one should start by underlining that the availability of data in such lower level of details becomes an increasingly important restriction.

In fact, the R&D system is of a complex nature and includes areas of research for which is difficult to isolate „transport related research‟ from other sectors. Notable examples of this are for instance R&D investments in ICT that might have important impacts in the transport sector or aeronautics research within military and defence industries.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

The approach undertaken by Market-up is to base its analysis in the most recent data available already addressed by other European Research Projects. In this specific case, the GHG-TransPoRD project provides an overall estimate of total transport research in the EU-27. Its estimates position transport as the largest industrial R&D investor in the EU, with an investment volume of around €40 billion in 2008. The automotive sector makes the largest contribution to this amount, representing roughly three quarters of the overall amount. Another important element to note is that industrial R&D investments in transport are highly concentrated in few main players, with 12 companies accounting for 80% of transport-related R&D investments. The face of transport R&D is changing across Europe, with new attention and rigour paid to reducing GHG emissions. However, private R&D investment has not fallen in line with the drop in sales of passenger and commercial vehicles. Technological advancements are seen to be one of the key ways in meeting Europe‟s 20-20-20 targets in the fight against climate change; furthermore transport companies also see technological advancements as a way to weather the storm, and provide an advantage over the competition. According to the TRKC website, there are almost 6000 research projects related to Transport that have either been concluded, or are still underway. As a whole, the transport research scene in the European Union is on a very large scale, including both publicly funded and corporate-funded projects. The table below shows the breakdown of different topic areas of research in Europe, taken from „GHG-TransPoRD: Reducing greenhouse-gas emissions of transport beyond 2020: linking R&D, transport policies and reduction targets‟. From the table it can be seen that the largest investment for the EU 27 falls within the Road sector, with around €10 billion being spent on technological developments to reduce GHG Emissions. Air, Maritime and Rail all fall quite some way behind in terms of investment levels. However, it is important to note that R&D investment is in line with turnover in each sector. It is also interesting to note the share of public funding in the various modes of transport: it is rather low in road transport (2.5% of the total) and higher in aviation (17%), rail (23%) and maritime (35%). Furthermore, table below also helps to show comparisons between the EU corporate R&D investment, public member states investment and EU investment by transport mode. The figures show that by far, industry is contributing the most to transport R&D, regardless of sector, member states then contribute the most R&D financing although significantly less than the corporate investment. Finally, and only slightly less than member states contribution is the EU contribution to R&D investment for transport.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Table 2.3 - Linking R&D, transport policies and reduction targets

[Source: GHG-TransPoRD Reducing greenhouse-gas emissions of transport beyond 2020]

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

2.3.1 FP7 transport projects The current number of FP7 projects focused on transport (according to data accumulated in the CORDIS databases from November 2011) per country is shown in Figure 2.16 below.

350 313 300

258 263 250 234

200 186 172 171

150 138

108 93 95 100 70 61 62 53 53 52 46 49 44 50 40 36 27 27 16 20 18 14 8 8 11 14 9 14 14 1 0 1 2 0 6 6 4 50 0 60 50 3 1 1 2 0

All Projects As coordinator

Figure 2.16: Numbers of transport FP7 projects [Source: CORDIS Database on FP7 projects]

It is obvious that highest number of selected projects is in Western European countries like Germany, France and United Kingdom. It is predictable that small countries like Luxembourg or Malta and countries that joined the EU in 2004 or 2007 like Slovakia, Latvia or Bulgaria have the lowest numbers. As it could be expected, countries with high number of projects are also the highly populated ones (Germany, UK, Italy, France and Poland, as the most populated NMS), however the analysis in function of country population has shown that.such relation is not direct and countries as Sweden and Austria with relatively small populations score better in number of participations than previous mentioned countries. This turns also evident the effect of the presence of the EU associations in Belgium, turning it in to the country with the most projects in relation to its population. On the opposite side, it is highlighted Romania that in terms of number of project participations is ranked as the 2nd NMS (with 45 projects representing about 11% of participations) but when seen in function of its population score in a relatively weak position.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

FP7 projects per million inhabitants

350 20

18 300 16

250 14

12 200 10 150 8

100 6

4 50 2

0 0

ITALY

SPAIN

MALTA

LATVIA

FRANCE POLAND

CYPRUS

GREECE

FINLAND

AUSTRIA IRELAND

SWEDEN ESTONIA

BELGIUM

ROMANIA

SLOVAKIA

DENMARK SLOVENIA

HUNGARY

GERMANY BULGARIA

LITHUANIA

PORTUGAL

LUXEMBOURG

NETHERLANDS

CZECH REPUBLIC CZECH UNITED KINGDOM UNITED Total projects Nr of proj/Million inh

Figure 2.17: FP7 projects per million inhabitants [Source: CORDIS Database on FP7 projects] Although revealing interesting elements, this ratio should be interpreted with some care, in order to avoid biased conclusions, particularly in the cases of small countries with minor participations. A paradigmatic case is the situation of the smallest countries such as Malta, Cyprus and Luxembourg with minor participations (less than 10), for which the direct ratio results in an excellent ranking More interesting is the indicator on projects in function of the GDP per capita (Figure 2.18), particularly in relation to Poland and Romania, countries which results in terms of the number of FP7 projects per unit of GDP are aligned with the so called high developed countries (i.e. Poland with UK and Romania with Spain), but where the GDP per capita is much lower. This could interpret as countries where national efforts in research are very much dependent on international collaboration.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

FP7 projects in function of GDP per capita 12

ITALY

SPAIN

LATVIA

MALTA

GREECE

CYPRUS

FRANCE

POLAND

AUSTRIA

IRELAND

ESTONIA

SWEDEN

FINLAND

BELGIUM

SLOVENIA

HUNGARY

SLOVAKIA

ROMANIA

BULGARIA

GERMANY

DENMARK

PORTUGAL LITHUANIA

LUXEMBOURG

NETHERLANDS CZECH REPUBLIC CZECH UNITED UNITED KINGDOM Figure 2.18: FP7 projects in function of GDP per capita [Source: CORDIS Database on FP7 projects]

FP7 projects in relation with GDP and GERD

12 140,0

120,0 10

100,0 8

80,0 6 60,0

4 40,0

2 20,0

0 0,0

ITALY

SPAIN

MALTA

LATVIA

FRANCE POLAND

CYPRUS

GREECE

FINLAND

AUSTRIA IRELAND

SWEDEN ESTONIA

BELGIUM

ROMANIA

SLOVAKIA

SLOVENIA DENMARK

HUNGARY

GERMANY BULGARIA

LITHUANIA

PORTUGAL

LUXEMBOURG

NETHERLANDS

CZECH REPUBLIC CZECH UNITED KINGDOM UNITED FP7 proj /GDP FP7 proj /GERD

Figure 2.19: FP7 projects in relation to GDP and GERD [Source: CORDIS Database on FP7 projects]

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

This is confirming that FP7 financing for transportation sector represents only a small share of the total transportation funding efforts, as it was already pointed out in other related projects such as in the above mentioned GHG TransporD (and STTP presentations also point to the same conclusion), as it can be seen in figure below.

Figure 2.20: Public R&D investment in transport in the EU (2008) [Source: JRC]

Country institutions‟ participation as coordinator (expressed by red coloured bars in Figure 2.16) confirmed the same trend as the country participation. The percentage of projects as coordinator per each country is shown in table below. Very low percentage can be found in Central European countries like Poland and the Czech Republic. A different situation is for example in Slovakia, where the percentage is average, mainly caused by the low number of projects in comparison with the Czech Republic, which has about 5 times more projects. The best situation is in Western European countries (Germany, France, and United Kingdom) with high percentage (about 20%) participation as coordinator. From Southern European countries, Italy has best score as coordinator. Small countries with low number of approved projects have no participation as coordinator.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Table 2.4 – Percentage of transport FP7 projects as coordinator Country As Coordinator As Coordinator [%] Austria 14 15,05% Belgium 40 21,51% Bulgaria 1 6,25% Cyprus 0 0,00% Czech Republic 1 1,89% Denmark 2 5,56% Estonia 0 0,00% Finland 6 13,04% France 61 23,64% Germany 70 22,36% Greece 11 10,19% Hungary 6 11,32% Ireland 4 14,81% Italy 49 20,94% Latvia 0 0,00% Lithuania 0 0,00% Luxembourg 0 0,00% Malta 0 0,00% Netherlands 20 11,63% Poland 3 3,16% Portugal 9 14,52% Romania 1 2,27% Slovakia 1 7,14% Slovenia 2 11,11% Spain 27 15,79% Sweden 14 10,14% United Kingdom 52 19,77% [Source of data: CORDIS Database on FP7 projects]

The number of institutions active in FP7 in a particular country is closely related to the number of approved projects. In the Table 2.5, participating institutions are divided to 5 types, according to the SSI approach. It is obvious from the table that in each country, the highest number of participants is mostly in the category of large companies from the industrial sector. It is interesting that successful countries from previous graphs and tables have more active institutions from the political system than less successful countries. For example Slovenia, which is a relatively small country, has more political institutions active in FP7 than most other larger countries. It cannot be compared with countries like Germany, but for example Slovakia, which is larger in size and population than Slovenia, has lower FP7 participation. Maybe that is the reason why Slovenian institutions are more active than those in other countries. Institutions from the category of political systems have still higher authority in Central and East European countries and that could be directly connected to the mapping of existing competencies. Otherwise, if there is a weak coordination and interest from the side of political system institutions, the results aren‟t satisfactory. This is also valid for infrastructure systems. It seems that institutions from the education and research systems are standard for FP7 participation in each country. The distribution of their coverage is corresponding to the assumptions of country specifications.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Table 2.5 - Number of institutions active in FP7 Participation in project Political Education and Industrial sector Industrial All Infrastructure Country system research SME sector Large Germany 314 13 77 10 56 158 France 311 13 73 8 61 156 United Kingdom 232 4 65 6 22 135 Italy 226 7 57 22 40 100 Non EU 169 7 66 6 26 64 Spain 161 4 52 17 23 65 Belgium 144 4 29 15 30 66 Others 120 5 61 6 7 41 Netherlands 116 4 25 6 15 66 Sweden 86 2 24 2 11 47 Austria 72 4 27 2 7 32 Greece 65 2 25 3 15 20 Portugal 60 2 21 11 16 10 Poland 57 1 35 3 5 13 Romania 48 7 17 2 9 13 Czech Republic 40 1 12 6 15 6 Finland 39 4 5 1 9 20 Denmark 30 1 8 2 4 15 Slovenia 27 8 11 5 3 0 Hungary 26 3 7 0 7 9 Ireland 21 2 5 2 1 11 Bulgaria 17 0 6 3 5 3 Lithuania 10 1 6 0 2 1 Estonia 9 0 3 2 1 3 Slovakia 8 2 4 0 2 0 Cyprus 7 0 3 1 0 3 Luxembourg 5 0 1 0 0 4 Latvia 4 2 2 0 0 0 Malta 3 0 1 0 0 2 [Source of data: CORDIS Database on FP7 projects]

Table 2.5 shows all institutions participating at least in one FP7 project. A different view can be obtained if institutions participating in numerous projects are considered. Table 2.6 shows the number of institutions per country, participating in more than 9 projects. The situation with the EU SMEs is predictable. Their participation in FP7 is rather low. Only 4 SMEs from EU-27 are participating in 10 or more projects.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Table 2.6 – Number of institutions participating in 10 or more projects Participation in 10 or more projects Political Education and Industrial sector Industrial Country All Infrastructure system research SME sector Large France 16 0 4 1 1 10 Germany 16 0 8 1 0 6 United Kingdom 15 0 11 0 0 4 Italy 10 0 7 0 1 2 Sweden 7 0 4 0 0 3 Belgium 5 1 3 0 0 1 Spain 5 0 4 0 0 1 Greece 4 0 4 0 0 0 Netherlands 3 0 3 0 0 0 Finland 2 0 1 0 1 0 Hungary 2 0 1 0 1 0 Others 2 0 1 0 0 1 Austria 1 0 0 0 0 1 Non EU 1 0 1 0 0 0 Portugal 1 0 1 0 0 0 Slovakia 1 0 1 0 0 0 [Source of data: CORDIS Database on FP7 projects]

The most favourable situation seems to be in the education and research systems, followed by large companies. In Table 2.7, the first 10 institutions with the highest number of project participations can be seen. They are led by “Deutsches Zentrum fuer Luft und Raumfahrt”, which belongs to the education and research system. This institution participates in 83 FP7-transport oriented projects. From this number, this institution is coordinator in 16 projects. Most of the projects are in aeronautics. The second and third institutions have about half that number of projects. They also belong to the education and research systems and are mostly oriented towards aeronautics.

Table 2.7 – Institutions with highest number of participation in FP7-Transport projects Institution Institution Name Institution Type Rail Road Aero MT IWW IM Other All Coordinator Country DEUTSCHES ZENTRUM FUER LUFT - UND Education and Germany 2 3 69 0 0 0 9 83 RAUMFAHRT EV Research system 16 OFFICE NATIONAL D'ETUDES ET DE Education and France 0 1 42 0 0 0 3 46 RECHERCHES AEROSPATIALES Research system 5 STICHTING NATIONAAL LUCHT- EN Education and Netherlands 0 0 44 0 0 0 2 46 RUIMTEVAARTLABORATORIUM Research system 3 EADS DEUTSCHLAND GMBH Germany LE - Industrial sector 0 0 33 0 0 0 2 35 5 FRAUNHOFER-GESELLSCHAFT ZUR Education and FOERDERUNG DER ANGEWANDTEN Germany 2 11 13 0 0 2 7 35 Research system FORSCHUNG E.V 8 NEDERLANDSE ORGANISATIE VOOR Education and TOEGEPAST NATUURWETENSCHAPPELIJK Netherlands 3 9 2 3 1 6 9 33 Research system ONDERZOEK - TNO 4 Education and CENTRO RICERCHE FIAT SCPA Italy 1 24 0 0 0 0 5 30 Research system 10 AIRBUS OPERATIONS SAS France LE - Industrial sector 0 0 28 0 0 0 1 29 3 Education and CHALMERS TEKNISKA HOEGSKOLA AB Sweden 3 12 5 3 0 2 4 29 Research system 2 RHEINISCH-WESTFAELISCHE TECHNISCHE Education and Germany 0 13 7 0 0 1 6 27 HOCHSCHULE AACHEN Research system 3 [Source of data: CORDIS Database on FP7 projects]

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Nr of country participations/Nr of entities 4,0

3,0

2,0

1,0

0,0

ITALY

SPAIN

LATVIA

MALTA

GREECE

CYPRUS

FRANCE

POLAND

AUSTRIA IRELAND

ESTONIA

SWEDEN

FINLAND

BELGIUM

SLOVENIA

HUNGARY

SLOVAKIA

ROMANIA

BULGARIA

GERMANY

DENMARK

LITHUANIA

PORTUGAL

LUXEMBOURG

NETHERLANDS

CZECH REPUBLIC CZECH UNITED UNITED KINGDOM

This concentration of partners per country is particularly visible in the large scale demonstration projects with a considerable number of project participants (mainly Aeronautics but also in large SST projects as ship building or the bus system of the future). While the number of partners tends to be larger for the different countries involved, Germany, France and Italy show high shares of participants per project (as shown in table below with the 3 major countries per consortium)

Nr of partners % Nr of partners % BESST 66 MAAXIMUS 57 GERMANY 17 26% FRANCE 14 25% FRANCE 12 18% GERMANY 10 18% ITALY 11 17% UNITED KINGDOM 6 11% SARISTU 65 ACTUATION2015 53 ITALY 10 15% FRANCE 15 28% GERMANY 9 14% UNITED KINGDOM 9 17% BELGIUM 7 11% GERMANY 8 15% CRESCENDO 59 EBSF 49 FRANCE 23 39% FRANCE 11 22% UNITED KINGDOM 9 15% GERMANY 10 20% GERMANY 6 10% ITALY 10 20%

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

By assessing at MS level it was interesting to notice that some countries participation in FP7 transport projects is highly concentrated in some entities (i.e. the 5 national entities with more FP7 projects represent more than 60% of the total country participation) while in opposite in other countries (although with a larger number of projects per entity) the number of participants per country is more diversified. Although not object of a detailed evaluation in the context of the WP2 activities, it was considered that such concentration could reveal cases where research potential is not fully exploited and /or national entities (in particular SME) are having difficulties in entering into the process. For the next stages, and in particular with the view of recommendations for SMEs, it is expected that some of these cases of concentration could be explored (i.e. Portugal is an interesting case to explore as from the top5 participants in transport research, 2 of them are SME). Countries more dependent on a restricted number of entities are presented below:

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

For the mapping of competencies it is very important to know in which types of FP7 projects the institutions are involved, whether they prefer CSA - type, R&D, or both types of projects. According to the FP7 instruments, projects can be divided into 5 types: NoE – Networks of Excellence, CP-IP – large scale integrated cooperation projects, CP-FP – smaller scale targeted (focused) cooperation projects, CSA/CA – coordinated actions projects, CSA/SA – support actions projects.

In recent calls the NoE instrument was not used and was excluded from the following analysis. The overview of participation in different types of projects is represented in figure below and Table 2.8. The relative significance of types is mostly the same in each country. The highest number is represented by R&D CP-FP projects, followed by CP-IP projects, then support-type projects (CSA/SA) and at the end there are CSA/CA projects. Differences between the last three types aren‟t so significant. In small countries like Malta with a low number of projects the order is different.

500

450

400

350

300

250

200

150

100

CP-FP CP-IP CSA/SA CSA/CA other

Figure 2.21: Overview of participation in different types of FP7 Transport projects [Source of data: CORDIS Database on FP7 projects]

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Table 2.8 - Percentage of participation in different types of FP7 Transport projects Country CP-FP [%] CP-IP [%] CSA/SA [%] CSA/CA [%] other [%] Austria 48,46% 15,38% 14,62% 13,85% 7,69% Belgium 42,81% 17,37% 24,25% 11,08% 4,49% Bulgaria 52,17% 13,04% 30,43% 4,35% 0,00% Cyprus 55,56% 0,00% 11,11% 22,22% 11,11% Czech Republic 38,89% 38,89% 18,06% 4,17% 0,00% Denmark 39,58% 20,83% 12,50% 25,00% 2,08% Estonia 60,00% 30,00% 10,00% 0,00% 0,00% Finland 51,90% 24,05% 6,33% 13,92% 3,80% France 59,84% 22,97% 8,66% 5,77% 2,76% Germany 57,32% 21,71% 10,37% 5,73% 4,88% Greece 55,95% 15,48% 14,29% 8,33% 5,95% Hungary 29,82% 12,28% 38,60% 15,79% 3,51% Ireland 41,67% 13,89% 11,11% 27,78% 5,56% Italy 55,18% 23,75% 9,29% 6,43% 5,36% Latvia 20,00% 0,00% 40,00% 20,00% 20,00% Lithuania 37,50% 0,00% 25,00% 31,25% 6,25% Luxembourg 42,86% 28,57% 28,57% 0,00% 0,00% Malta 20,00% 40,00% 40,00% 0,00% 0,00% Netherlands 51,03% 18,84% 15,07% 9,25% 5,82% Poland 52,85% 19,51% 15,45% 10,57% 1,63% Portugal 36,73% 28,57% 16,33% 13,27% 5,10% Romania 43,10% 24,14% 15,52% 13,79% 3,45% Slovakia 47,37% 5,26% 31,58% 10,53% 5,26% Slovenia 25,00% 27,78% 25,00% 19,44% 2,78% Spain 60,19% 21,36% 11,33% 5,18% 1,94% Sweden 62,65% 22,18% 3,11% 9,34% 2,72% United Kingdom 62,04% 18,10% 9,14% 7,73% 2,99% [Source of data: CORDIS Database on FP7 projects]

The EC funding for different types of projects is shown in Table 2.9. The highest value of funding is devoted to CP-FP projects, but their average funding is lower than for CP-IP projects. Even less funding goes to CSA projects.

Table 2.9 - Funding of different types of FP7 Transport projects CP-FP CP-IP CSA/CA CSA/SA Overall cost 1.043.707.748,00 € 862.302.165,00 € 65.891.443,00 € 74.722.138,00 € Overall funding 706.230.217,00 € 523.619.681,00 € 56.942.854,00 € 60.142.890,00 € Average cost 4.348.782,28 € 25.361.828,38 € 1.937.983,62 € 911.245,59 € Average funding 2.942.625,90 € 15.400.578,85 € 1.674.789,82 € 733.449,88 € Coverage[%] 67,67% 60,72% 86,42% 80,49% [Source of data: CORDIS Database on FP7projects]

Information about the distribution of funding for respective project partners participating in the projects is impossible to obtain, which is one of the largest obstacles in the process of competencies mapping. Even national contact points in each country don‟t have the information on funding available. Due to the maze of shared responsibilities among ministries, agencies and various institutions, it is almost impossible to trace it on the national level. To get at least some of insight in funding processes per country, it was possible to consider only the cumulative value of funding and costs for all projects in which the country was participating. This information is shown in Table 2.10.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Table 2.10 – Overall funding of FP7 projects in which the country is participating Country Projects Funding Projects Costs Average funding Average Costs Coverage [%] Austria 435 992 160,00 € 676 237 225,00 € 4 688 087,74 € 7 271 368,01 € 64,47% Belgium 788 901 682,00 € 1 221 028 253,00 € 4 241 406,89 € 6 564 668,03 € 64,61% Bulgaria 37 790 844,00 € 52 199 329,00 € 2 361 927,75 € 3 262 458,06 € 72,40% Cyprus 29 670 000,00 € 42 300 000,00 € 3 708 750,00 € 5 287 500,00 € 70,14% Czech Republic 398 175 512,00 € 642 403 180,00 € 7 512 745,51 € 12 120 814,72 € 61,98% Denmark 155 864 525,00 € 246 817 664,00 € 4 329 570,14 € 6 856 046,22 € 63,15% Estonia 54 230 571,00 € 81 788 822,00 € 6 778 821,38 € 10 223 602,75 € 66,31% Finland 198 341 109,00 € 307 109 642,00 € 4 311 763,24 € 6 676 296,57 € 64,58% France 1 033 295 168,00 € 1 588 219 047,00 € 4 005 020,03 € 6 155 887,78 € 65,06% Germany 1 225 488 984,00 € 1 872 992 794,00 € 3 915 300,27 € 5 984 002,54 € 65,43% Greece 504 873 710,00 € 782 449 710,00 € 4 674 756,57 € 7 244 904,72 € 64,52% Hungary 190 409 754,00 € 276 053 148,00 € 3 592 636,87 € 5 208 549,96 € 68,98% Ireland 182 990 304,00 € 291 718 906,00 € 6 777 418,67 € 10 804 403,93 € 62,73% Italy 1 000 120 671,00 € 1 544 736 423,00 € 4 274 019,96 € 6 601 437,71 € 64,74% Latvia 17 049 576,00 € 23 129 294,00 € 3 409 915,20 € 4 625 858,80 € 73,71% Lithuania 23 263 116,00 € 28 909 120,00 € 1 661 651,14 € 2 064 937,14 € 80,47% Luxembourg 23 780 000,00 € 37 380 000,00 € 3 963 333,33 € 6 230 000,00 € 63,62% Malta 50 090 620,00 € 79 893 100,00 € 10 018 124,00 € 15 978 620,00 € 62,70% Netherlands 756 520 286,00 € 1 163 135 872,00 € 4 398 373,76 € 6 762 417,86 € 65,04% Poland 516 148 430,00 € 803 738 458,00 € 5 433 141,37 € 8 460 404,82 € 64,22% Portugal 309 039 322,00 € 484 412 209,00 € 4 984 505,19 € 7 813 100,15 € 63,80% Romania 185 732 259,00 € 274 128 544,00 € 4 221 187,70 € 6 230 194,18 € 67,75% Slovakia 51 600 771,00 € 74 793 577,00 € 3 685 769,36 € 5 342 398,36 € 68,99% Slovenia 41 525 865,00 € 58 911 863,00 € 2 306 992,50 € 3 272 881,28 € 70,49% Spain 744 856 776,00 € 1 148 932 965,00 € 4 355 887,58 € 6 718 906,23 € 64,83% Sweden 719 055 024,00 € 1 123 311 940,00 € 5 210 543,65 € 8 139 941,59 € 64,01% United Kingdom 1 035 761 126,00 € 1 577 227 548,00 € 3 938 255,23 € 5 997 062,92 € 65,67% [Source of data: CORDIS Database on FP7 projects]

The total value of project funding is closely connected with number of projects and that is why the average cost of projects provides a more interesting value. Malta has the highest average funding. But as it was mentioned before, Malta has a small number of projects and does not fit the statistical pattern. The most interesting indicator is the coverage of costs. The lower values are better, because they prove that the country/institutions are participating in the funding of the projects, even if EC funding is lower and that means they are able and willing to put their own resources in R&D. From this point of view, Czech Republic data show interesting values with lowest coverage of project cost. In the next paragraphs, the mapping of competencies is continued with an analysis of each transport sector according to the SSI approach. Table 2.11 and Figure 2.22 show overall and divided funding of transport FP7 projects. Values of funding cover finished and recent FP7 projects.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Table 2.11 – Overall FP7 funding divided according to transport modes Coverage FP7-Transport FP7-Overall Sector Number Funding Cost [%] [%] [%] Rail 31 95 252 227,00 € 144 286 081,00 € 66,02% 6,78% 0,18% Road 70 259 877 416,00 € 406 889 289,00 € 63,87% 18,50% 0,49% Aeronautics 133 590 431 809,00 € 904 703 370,00 € 65,26% 42,04% 1,11% Maritime 31 95 603 645,00 € 145 761 243,00 € 65,59% 6,81% 0,18% Inland Waterways 3 12 770 000,00 € 15 010 000,00 € 85,08% 0,91% 0,02% Intermodal 41 136 466 685,00 € 203 997 492,00 € 66,90% 9,72% 0,26% Other 98 214 041 332,00 € 311 606 019,00 € 68,69% 15,24% 0,40% All 407 1 404 443 114,00 € 2 132 253 494,00 € 65,87% 100,00% 2,64% Overall FP7 Funding 53 200 000 000,00 € [Source of data: CORDIS Database on FP7 projects]

Overall FP7 funding

Rail 0,18%

Road 0,49%

Transport Aeronautics 1,11% Overall FP7 Funding 2,64% 97,36% Maritime0,18% Inland Waterways 0,02% Intermodal 0,26% Other 0,40%

Figure 2.22: Graphical interpretation of overall FP7 funding [Source of data: CORDIS Database on FP7 projects]

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

3. Modal competencies

3.1 Rail Mode The analysis performed within the rail sector provides an overview of actors and stakeholders and of concentration of R&D funding at European level. The analysis performed within the rail sector for each of the EU‟s Member States is in the Annex.

3.1.1 Railway market and industry characteristics The analysis is based on the SSI approach, and accordingly considers the three central sets of actors: industrial system, education and research system and political system. The Figure 3.1 below represents the application of the SSI to rail transport, and provides an important input to guide the organisation of information to be collected about this sector.

Figure 3.1: Innovation system in the railways sector [Source: GHG- TransPoRD Project]

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Rail transport represents a mature industrial sector, with its main infrastructure based on routes constructed in the 19th century. In terms of the industrial structure, there is a particularly strong link between infrastructure and train operations, because train control comes from the infrastructure operator. Infrastructure and operations are often part of the same firm, usually in the EU a national railway. Rail transport in Europe is very diverse from technical and infrastructural perspectives. Western and Central Europe generally has well maintained and well developed railway networks, which cannot be said for Eastern and Southern Europe, struggling with coverage and infrastructure problems. This diversity is best showcased with electrified railway networks, which operate at different voltages AC and DC varying from 750 to 25,000 volts, and signalling systems vary from country to country. 15 kV AC is used in Germany, Austria, Switzerland, Norway and Sweden since 1912, while the Netherlands use 1500 V DC, France uses 1500 V DC and 25 kV AC, and so on. All this makes the construction of truly pan- European vehicles a challenging task and, until recent developments in locomotive construction, was mostly ruled out as being impractical and too expensive, constituting a barrier not only to cross-border traffic, but also to innovation until a single European standard is enforced. The diversity is also apparent when taking a look at different gauges in use. Most countries use the standard gauge of 1,435 mm, while others, notably Spain, Portugal and the former member states of the Soviet Union have widespread broad gauge tracks (1,520 mm). The development of an integrated European high-speed rail network is overcoming some of these differences. All high-speed lines outside of Russia, including those in Spain use a standard gauge of 1435 mm tracks. Likewise all European high-speed lines, outside of Germany and Austria, use 25 kV AC electrification. This means that by 2020 high-speed trains can travel from Italy to England, or Portugal to the Netherlands without the need for multi-voltage systems. Multiple incompatible signalling systems are another barrier to interoperability. EU countries have 19 different signalling systems. A unified signalling system, called ETCS is the EU's project to unify signalling across Europe. The specification was written in 1996 in response to EU Directive 96/48/EC. ETCS is developed as part of the European Rail Traffic Management System (ERTMS) initiative, and is being tested by multiple Railway companies since 1999. All new high speed lines and freight main lines funded partially by the EU are required to use level 1 or level 2 ETCS signalling. That said, there are multiple train services operating across borders such as Thalys, Eurostar, EuroCity, TGV and Oresund train. In addition, there are lots of cross-border train services at the local level. The different standards used are usually bridged with compatible or specially made equipment (e.g. trains capable of running on different gauges, switchable overhead cables).

3.1.2 Actors and stakeholders in railway sector The table below presents the most relevant European stakeholders in the field of railway research following the structure presented in the Figure 3.5 with the railways innovation system.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Table 3.1 – Actors and stakeholders for railway research in the European Union Political System Education and Innovation Industrial System Research System Infrastructure European European Rail Research International Association Union of European Railway Railway Agency Advisory Council of Public Transport Industries (UNIFE) (ERA) (ERRAC) (UITP) Association of European Rail DG MOVE European rail Research EUREKA Agents (AERA) Network of Excellence DG RTD European Commission – ERFA (European Rail Freight (EURNEX) Joint Research Centre Association) Community of European Railway and Infrastructure Companies (CER) European Rail Infrastructure Managers

Political system The European Railway Agency‟s mandate is the creation of a competitive European railway area, by increasing cross-border compatibility of national systems, and in parallel ensuring the required level of safety. The Directorate-General for Mobility and Transport (DG MOVE) is a Directorate-General of the European Commission responsible for transport within the European Union. In addition to developing EU policies in the transport sector and handling State aid dossiers, DG MOVE manages the funding programmes for trans-European networks and technological development and innovation. DG RTD oversees European research, developing the European Union‟s policy in the field of research and technological development and thereby contributing to the international cooperation of European industry. It also coordinates European research activities with those carried out at the level of the Member States, supports the Union‟s policies in other fields such as environment, health, energy, regional development, etc, promotes a better understanding of the role of science in modern societies and stimulate a public debate about research-related issues at European level. One of the instruments used for the implementation of this policy is the multi-annual Framework Programmes for Research and Technological Development (FP RTD), which helps to organize and financially support cooperation between high schools, research centres, and industries - including small, and medium sized enterprises (SME).

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Education and research system ERRAC was set up in 2001 with the ambitious goal of creating a single European body with both the competence and capability to help revitalize the European rail sector and make it more competitive, by fostering increased innovation and guiding research efforts at European level. Within ERRAC, all major rail stakeholders are gathered. ERRAC comprises of 45 representatives from each of the major European rail research stakeholders: manufacturers, operators, infrastructure managers, the European Commission, EU Member States, academics and users‟ groups. ERRAC covers all forms of rail transport: from conventional, high speed and freight applications to urban and regional services. EURNEX comprises 47 scientific institutes in the area of transport and mobility all over Europe. The Advisory Board to direct research consists of high-level decision makers from the rail sector. Driven by operators and industries and supported by the European Commission, EURNEX provides multidisciplinary R&D organized in scientific poles of excellence.

Innovation infrastructure UITP is the international network for public transport authorities and operators, policy decision-makers, scientific institutes and the public transport supply and service industry. It is a platform for worldwide cooperation, business development and the sharing of know-how between its 3,400 members from 92 countries. UITP is the global advocate of public transport and sustainable mobility, and the promoter of innovations in the sector.

Industrial system The European Railway Agency (ERA) was set up to help create this integrated railway area by reinforcing safety and interoperability. The Agency also acts as the system authority for the European Rail Traffic Management System (ERTMS) project, which has been set up to create unique signalling standards throughout Europe. The International Association of Public Transport (UITP) is the international network for public transport authorities and operators, policy decision-makers, scientific institutes and the public transport supply and service industry. It is a platform for worldwide cooperation, business development and the sharing of know-how between its 3,400 members from 92 countries. UITP is the global advocate of public transport and sustainable mobility, and the promoter of innovations in the sector. The goal of the Union of European Railway Industries is to represent the interests of the European railway industry. Its aims are to promote European policies favorable to rail, shape a European interoperable and efficient railway system, ensure European rail supply industry leadership through advanced research, innovation and quality, Provide members with market, technical and political intelligence. The Community of European Railway and Infrastructure Companies (CER) brings together 79 railway undertakings and infrastructure companies from the European Union, the accession countries (Croatia, FYROM and Turkey) as well as from the Western Balkan countries, Norway, and Switzerland.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

EIM, the European Rail Infrastructure Managers, was established to promote the interests and views of the independent infrastructure managers in Europe, following liberalization of the railway market. EIM works to improve the development of the rail transport mode. It also acts as an advocacy organization towards the European Institutions and together with the industry. EIM provides expertise to the appropriate European bodies including the European Rail Agency (ERA).

The next pages highlight the key actors in rail research in the different Member States. For a more complete description, reader is invited to consult the annex on rail mode.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Austria BMWF (Federal Ministry of Austrian Research Centre FFG - Austrian Research Herry Consulting Science and Research) Austrian institute of Technology Promotion Agency Kuhne + Nagel GmbH Federal Ministry of Transport, (AIT) AustriaTech - Federal Agency for ÖBB Innovation and Technology IIASA Technological Measures Steyr Motors GmbH (BMVIT) Medical University of Vienna Kuratorium fuer Magna Steyr Fahrzeugtechnik AG Federal Ministry of Economy, Universiät Wien Verkehrssicherheit (Austrian & Co KG Family and Youth (BMWFJ) Technische Universität Wien Road Safety Board) Siemens Transportation Systems Technische Universität Graz RTCA Rail Technology Cluster GmbH & CO KG Paris Lodron Universität Salzburg Austria Österreichisches Forschung- und FH Joanneum Gesellschaft Forschungsgesellschaft Mobilitat Prüfzentrum GmbH Christian Doppler Research GmbH TeleConsult Austria GmbH Association HiTec – Vereinigung High Tech Vienna Model Basin Ltd Forschungsgesellschaft Mobilitat Marketing Wiener Linien GmbH & Co. KG GmbH Kompetenzzentrum - Das AMST-Systemtechnik GmbH FTW Forschungszentrum virtuelle Fahrzeug AVL List GmbH Telekommunikation Wien GmbH Forschungsgesellchaft mbH Bohler Schmiedetechnik GmbH & Interdisciplinary Centre for Co. KG Comparative Research in the Social BRIMATECH Services GmbH Sciences FACTUM Chaloupka & Risser OHG International Institute for Fischer Advanced Composite Information Design Components AG

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System A3PS - Austrian Agency for Fronius International GmbH Alternative Propulsion Systems FTW Forschungszentrum via donau - Österreichische Telekommunikation Wien GmbH Wasserstraßen-Gesellschaft mbH Miba Gleitlager GmbH Orbspace Aron Lentsch ROC Bernard GmbH SECAR Technology GmbH Test & Training International TTtech Computertechnik AG VA TECH HYDRO GMBH VENTREX Automotive GmbH Westcam Fertigungstechnik GmbH

Belgium Belgian Federal Ministry of Federal and regional ministers of Initiatives at federal and Infrastructure Infrabel (under the holding of Transport and Mobility mobility, education and innovation regional level SNCB/NMBS) SNCB/NMBS holding Universities active in freight National safety authority DVIS transport research Operators 1 incumbent SNCB/NMBS (Dienst Veiligheid & Research centres operating passenger- and freight Interoperabiliteit van de CENAERO http://www.cenaero.be trains Spoorwegen) GRT http://www.grt.be Several private rail freight NSA Institute for Mobility companies National safety authority http://www.uhasselt.be/imob

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System NSI University of Antwerp, Department Thalys, Eurostar, TGV, ICE for National investigation body of Transport and Regional international passenger on the Regulatory Service Economics high speed train network Belgian Competition Authority http://www.ua.ac.be/tpr TUC RAIL (rail infrastructure The Belgian sea- and inland Flanders Institute for Logistics building company owned by ports (VIL) http://www.vil.be/ Infrabel) Unions Cluster Transport & Logistics Private small scale work shops Federal Science Policy Office Wallonia http://clusters.wallonie. Train manufacturers like http://www.belspo.be/ be/transport-logistique/en/ Bombardier and Alstom have Vectris http://www.vectris.be/ activities in Belgium Education of builders and Consultancy parties engineers in rail infrastructure projects Antwerp Rail School, specialized advanced course organized at the University of Antwerp Bulgaria Ministry of transport, Ministry of Education, Youth and OP Transport, EU Structural Holding Bulgarian State Railways information technology and Science Funds (BDZ) (cargo and passengers communications ( also the Bulgarian Academy of Sciences transport; 100 % state owned) Managing Authority of the OP Todor Kableshkov University of National Railway Infrastructure Transport within EU Structural Transport Company (manages all rail

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Funds) Technical University of Sofia infrastructure in BG, beneficiary of Executive Agency “Railway OP Transport) Administration” Transwagon Ltd (design and Ministry of Regional production of freight wagons, Development and Public Works export oriented) Vagonoremonten Zavod - 99 AD (passenger & freight wagons, spare parts)

Cyprus Feldman Enterprises Limited (Rail mode no longer exist, but Cyprus is present in rail research)

Czech Ministry of Transport (MDCR) Czech Technical University in Innovations in the Transport / Infrastructure: Republic Railway Infrastructure Government Council for Prague - Faculty of Transportation Inovace v dopravě Administration (RIA) Research and Development Sciences Association of The Czech Railway Czech Ministry of Youth, Research Center of Railway Rolling Industry (ACRI) Education, and Sports Stock Ministry for Regional The Transport Research Centre / Manufacturers: AŢD Praha, s. r. Development Centrum dopravního výzkumu, Ministry of the Environment of v.v.i. (CDV) Operators: České dráhy, a.s. the Czech Republic University of Pardubice – Jan Czech Science Foundation Perner Transport Faculty Consultancies and Research:

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Brno University of Technology Railway Research Institute, j.s.c. / Výzkumný Ústav Ţelezniční, a.s. (VUZ) http://www.cdvuz.cz Research Institute of Railway Rolling Stock / Výzkumný ústav kolejových vozidel (VÚKV) http://www.vukv.cz Research and Testing Institute Plzen / Výzkumný a zkušební ústav Plzeň s.r.o. (VZÚ Plzeň) http://www.vzuplzen.cz/

German BMBF (Federal Ministry of 350 Universities German Research Foundation, German Federation of Industrial y Education and Research) MPG (Max Planck Society) DFG Research Associations "Otto von BMWi (Federal Ministry of FhG (Fraunhofer Society) Guericke" (AiF) for SMEs Clusters of excellence: Economics and Technology) HGF (Helmholtz Association Forum Organic Electronics in the Airbus Germany Federal Ministry of Transport, WGL (Leibniz Society) region Rhine-Neckar Eurocopter Germany Building and Urban German Aerospace Center (DLR) Cool Silicon – Energy Efficiency HDW Development (BMVBS) Bavarian Research Foundation Innovations from Silicon Saxony Meyer Werft Applied Research Network Solar valley Middle Germany Blohm und Voss Transport Systems Engineering Aerospace cluster region MTU

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Berlin (FAV) Hamburg Caterpillar MAK Foundation of Rhineland Palatinate Biotechnology cluster : cell and VW for Innovation molecule based medicine Daimler FAV - Research Network Transport Central Innovation Programme BMW and Mobility for SMEs Opel Foundation of Rhineland Palatinate Germanischer Lloyd Ford Germany for Innovation Siemens Environment & Energy Bosch Technologies Vossloh Improvement of Regional Transport consultancies: Economic Structures - Research MKmetric and Development Special Research Area Main Programme of the German Research Community Denmar Ministry of Science, Technology Roskilde University Centre Danish Agency for Science, Operators (DSB, Arriva, DB k and Innovation Technical University of Denmark Technology and Innovation Schenker Rail, Nord-Ostsee-Bahn, Danish Ministry of Transport Aalborg University Danish Council for Independent Railion) National Rail Authority University of Copenhagen Research Rail Net Denmark (Banedanmark) (Trafikstyrelsen for jernbane og Danish Transport Research Danish Council for Strategic Manufacturers færger) Institute Research Axion, Grontmij, Jupiter, etc. (see

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Danish National Research “Manufacturers”) Foundation Consultancies COWI, TetraPlan, Ramboll, etc. (see “Consultancies”)

Estonia Ministry of Economic Affairs Enterprise Estonia Foundation European Investment Bank Eesti Raudtee AS (Estonian and Communications Archimedes Foundation Cohesion Fund Railway Ltd.) Ministry of Education and INNOVE Lifelong Learning European Regional Development EVR Infra Research Development Fund (ERDF) E.R.S. Ltd Research Policy Commission Estonian Science Foundation BRS BRS (Baltic Rail Service Ltd.) Scientific Competence Council Spain The Ministry of Science & Escuela Técnica Superior de CEDEX - Centro de Estudios y Infrastructure: Adif - Administrador de Innovation Ingeniería Industrial de Barcelona Experimentacion de Obras Infraestructuras Ferroviarias The Ministry of Public Works (ETSEIB) Publicas Grupo COMSA (Construction and Transport Universidad de Zaragoza – Área de CITEF - Centro de Investigación infrastructures) Fundación de los Ferrocarriles Ingeniería e Infraestructuras de los de Tecnologías Ferroviarias Continental Rail, S.A. Españoles Transportes CTF - Centro de Tecnologías Ifercat - infraestructuras Universidad Politecnica de Madrid Ferroviarias ferroviarias Catalunya TECNUN – Universidad de Navarra CDTI – Centro para el Desarollo Ente público de gestión de Tecnológico Industrial Ferrocarriles Andaluces PTFE – Plataforma Tecnológica ETS – RFV: Red ferroviaria Vasca Ferroviaria Española

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System FFE - Fundación de Ferrocarriles INECO Ingeniaria Integral Españoles Manufacturers: Construcciones y Auxiliar de Ferrocarriles (CAF), S.A. Patentes Talgo, S.L CEMAFE - Asociación Nacional de Constructores Españoles de Material Rodante CETREN - Asociación de Acción Ferroviaria

Operators: RENFE FEVE - Ferrocarriles de Vía Estrecha (Metre Gauge railway) Eusko Trenbideak-Ferrocarriles Vascos FCG - Ferrocarrils Generalitat de Catalunya FCV - Ferrocarrils de la Generalitat Valenciana Ferrocarriles Andaluces

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Private Operators: ACS Group Continental Rail Construrail Container Train Logística y Transporte Ferroviario Acciona Rail Services Transportes Ferroviarios Especiales S.A., TRANSFESA Activa Rail Arcelor Siderail Comsa Rail Transport Pecovasa FCC - Fomento de Construcciones y Contratas Tracción Rail

Consultancies: Equipo de Técnicos en Transporte y Território

Other: MAFEX - Asociación Española de Fabricantes Exportadores de

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Material, Equipos y Servicios Ferroviarios Railgoup – Cluster of companies aiming to improve spanish railway Aefp - Asociación de Empresas Ferroviarias Privadas AYESA Ingeniería

Finland - Ministry of Education - VTT Technical Research Centre - Tekes - VR TRANSPOINT - Ministry of Employment and - Academy of Finland - TRANSFENNICA LTD Economy - Finvera - VR - Research and Innovation - Finpro - WSP FINLAND LTD Council - Sitra - Ministry of Transport and - Industry Investment Ltd Communications - Finnish Transport Agency - The Transport Safety Agency (Trafi) France Ministry for Ecology, INRETS – French National Institute OSÉO – (National Organization Infrastructure: SNCF Infra Sustainable Development, for Research on Transport and for SME‟s innovation support RFF – Réseau Ferré de France Transport and Housing Safety and financial help) Gares et Connexion (SNCF) Ministry for Economy, Finance SNCF Research CERTU – Centre for Knowledge

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System and Industry ANR – The French National of Transport, Urban Planning Manufacturers: ALSTOM Transport Ministry for Higher Education Research Agency and Public Constructions MBD Design and Research Research and Technical GART – The French Union of Innovation Networks:- PREDIT Operators: SNCF Proximités Transport Authorities programmes SNCF Voyages ADEME - French Environment SNCF Geodis and Energy Management RATP – Régie Autonome des Agency Transports Parisiens Groupe Eurotunnel S.A. (Europorte 2)

Greece MoD-GSRT Aristotle University of Thessaloniki Foundation for Research and Advanced Microwave Systems Ltd NCRT National and Kapodestrian Technology Hellas Aerosol & Particle Technology Ministry of Transportation and University of Athens Hellenic Register of Shipping Lab. / Chemical Process Communications MTC National Technical University of S.A. Engineering Research Airsealines Ministry of Mercantile Marine Athens Anatoliki S.A. Development MMM University of Patras Company Hellenic Ministry for the University of the Aegean ANCO S.A. Agencies, Commerce & Environment, Physical Planning University of Thessaly Industry and Public Works MEPPPW University of Western Macedonia ANEK Lines Ministry of Economy and University of Ioannina Anonymos Etaireia Ellinikon kai

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Finance MEF Technological Educational institute Diethnon Metaforon Proodos AE of Piraeus Arachni Olokliromenes Efarmoges Hellenic Institute of Transport Pliroforikis kai Rompotikis Epe (CERTH) Athens International Airport S.A. Research Academic Computer Dievropaiki Ektairia Symboulon Technology Institute Metaforon Anaptikis kai Pliroforikis Athena - Research and Innovation AE Center in Information, Envirocoustics A.B.E.E Communication and Knowledge Epitropi Ereunon Panepistimiou Technologies Thessalias Centre for Research and Glafcos Marine Ltd. Technology – Thessaly Hellenic Aerospace Industry Institute of Structures and Hellenic Register of Shipping S.A. Advanced Materials Hellenic Telecommunications and Telematics Applications Company Science and Technology Park of Crete Horama S.A. INASCO - INtegrated Aerospace Sciences COrporation O.E. Institute of Communication and

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Computer Systems Integrated Aerospace Sciences Corporation Intelligent Traffi c & Travel Information LTSM-Upatras Management Agency of Zakynthos National Marine Park Minoan Lines SA Neorion Shipyard PANEPISTIMIO IOANNINON PARAGON LTD Planet S.A. PROODOS SA Rotech Engineering LTD Shipping Company of Crete S.A. SPIRIT S.A. SYROS Shipbuilding and Industrial Enterprises SA TELETEL S.A. - Telecommunications and

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Information Technology. Thessaloniki Port Authority SA Traffic and Transportation Consultants (TTE)

Hungary Ministry of National Resources Budapest University of Technology National Innovation Office Operators (MÁV-START Ltd., GYSEV Ltd., National Transport and Economics, Department of Hungarian Current Research Rail Cargo Hungarian, Central Authority, Department of Railway Vehicles and Vehicle Infrastructure System European Railway Ltd., Eurocom Railway Regulation System Analysis New Széchenyi Plan, Rail Ltd., MMV Ltd., BKV Ltd. ) Rail Capacity Allocation Office Széchenyi István University, Development Action Department of Automotive and ArtemisH National Technological Infrastructure (MÁV Ltd, GYSEV Ltd., BKV Ltd.) Railway Engineering Platform Institute for Transport Sciences Manufacturers (Bombardier MÁV Ltd., Knorr- Non-profit Ltd. Bremse)

Consultancies (COWI, SpedIT, Transman)

Ireland Department of Transport Centre for Transportation Research The Science Foundation Ireland Infrastructure: C.I.E. Group National Transport Authority and Innovation for People (TRIP) (SFI) DART System (Dublin Area Rapid (NTA) at Trinity College Dublin NDP - National Development Transit), administered by Iarnród State Agencies: C.I.E. Group; Transport Study and Research Plan Éireann Iarnród Éireann; Railway Group (TSRG) at Trinity College PRTLI -Programme for Research

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Procurement Agency; Railway Dublin (TCD) at Third Level Institutions Luas - Light Rail transport system Safety Commission Civil Engineers in Transportation DTO - Dublin Transportation Transport 21 Engineering at University College Office Rail Users Ireland Dublin (UCD) Transport 21 – Infrastructure Manufacturers: UCD Urban Institute Ireland Plan State Agencies: C.I.E. Group; Rail Users Ireland‟s Iarnród Éireann; Railway Infrastructure Plan Procurement Agency; Railway Safety Commission

Operators: Iarnród Éireann Bord na Móna – freight railways Downpatrick & County Down Railway – heritage railways

Consultancy: National Transport Authority C.I.E. Group Railway Safety Commission

Italy The Ministry of Education, La Sapienza University, PRIN - Research Projects of Infrastructure: Rete Ferrovia Italiana (RFI) University and Research (MIUR) Dipartimento di Idraulica Trasporti National Relevance owned by Ferrovie dello Stato National Research Council e Strade, Rome FIRB - Fund for Investments in Ansaldo Trasporti Sistemi (CNR) Politecnico di Milano Fundamental Research

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System National Energy Agency (ENEA) Istituto Superiore di Formazione e FAR - Fund for Research Ferroviari Spa National Institute for Statistics Ricerca per i Trasporti Facilitation Manufacturers: (ISTAT) PSN - National Aero-Space Plan Ferrovie dello Stato Ministry of Environment and Ansaldo Trasporti Sistemi Territory Protection Ferroviari Spa Ministry of Infrastructures and Magliola Antonio & Figli S.p.a. Transport (MIT) Fiat Ferroviaria S.p.A. Consorzio TRAIN Operators: Long-distance passenger transport - Trenitalia is the only player (owned by Ferrovie dello Stato) Twenty-eight operators provide regional railway services (see annex) Nuovo Trasporto Viaggiatori SpA

Consultancies: TRT Trasporti e Territorio

Latvia Governmental Transport and communications AS „Rīgas vagonbūves rūpnīca” Government owned Ministry of Transport Latvian Railway (Latvijas technical school of Latgale http://www.rvr.lv http://www.sam.gov.lv Dzelzceļš) Railway center of Riga state

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System State Rail Administration technical school Passenger train (Pasaţieru http://www.vda.gov.lv/ Rail transport institute of Riga vilciens) State Railway Technical Technical University Building and repair of rolling stock Inspectorate AS „Rīgas vagonbūves rūpnīca” http://www.vdzti.gov.lv http://www.rvr.lv Transport Accident and AS „Lokomatīvju remonta rūpnīca” Incident Investigation Bureau http://www.dlrz.lv http://www.taiib.gov.l v Other SIA „LDZ Cargo” [email protected] Non-governmental organizations AS „Baltijas ekspresis” Railwaymen Association of www.asbe.lv Latvia AS „Baltijas Tranzīta serviss” Union of Latvian Railway and [email protected] Transport workers SIA „Gulbenes – Alūksnes Bānītis” Association of Latvian Transit www.banitis.lv Business SIA „RRA” www.rratrans.com Association of Latvian Transport SIA „Baltijas testēšanas centrs” Development and Education [email protected] A/S "VRC Zasulauks" vrc- [email protected]

Lithuani The Ministry of Transport and Vilnius Gediminas Technical Lithuanian Innovation Centre Lithuanian Railways (Lietuvos a

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Communications University Faculty of (Lietuvos Inovaciju Centras) Geleţinkeliai) The Ministry of Education and Environmental Engineering - Road Lithuanian State Science and Science Research Institute Studies Foundation (Lietuvos State Railway Inspectorate Vilnius Gediminas Technical Valstybinis Mokslo ir Studiju University - Transport Research Fondas) Institute National Long-Term Transport Kaunas University of Technology and Transit Development (Institute of Transport Problems – Strategy public transport) Research and Quality Control Laboratory "Problematika" Luxemb Ministère du Développement Luxinnovation PRO INNO Europe CFL-Cargo, ourg durable et des Infrastructures Institute university international Luxembourg cluster initiative CFL- Multimodal Luxembourg Lorry-Rail

University of Luxembourg Public research centre Henri Tudor Malta Rail mode is not present in the - - - country Netherla Ministry of Transport, Public Universities Government Projects Nederlandse Spoorwegen nds Works and Water Management Senter Novem Subsidie Spoorsedoorsnijdingen Prorail Ministry of Education Culture TNO Groei op he Spoor and Science Ecorys Spoorboekloos Reizen

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Ministry of Economic Affairs Panteia (NEA) Ministry of Housing, Spatial Planning and Environment Regional Assemblies Poland The Ministry of Science & Transport Faculty of the Technical Polish Agency for Enterprise Infrastructure: PKP PLK (Polskie Linie Higher Education University Warsaw Development (PARP) Kolejowe) The Ministry of Infrastructures Polish Academy of Science National Strategic Reference PKP PNI (Przedsiębiorstwo Napraw Infrastruktury) Politechnika Slaska (Silesian Framework 2007–2011 2 Manufacturers: University of Technology) National Centre for Research Bombardier Transportation Polska CNTK (Railway Scientific and and Development (NCBiR) Operators: Technical Centre) The Centre for EU Transport PKP SA (Polskie Koleje Państwowe SA) Instytut Kolejnictwa (Rail Institute) Projects (CEUTP)

Portugal MOPTC – Ministério das Obras LNEC – Laboratório Nacional de QREN – Quadro de Referência Infrastructure: Refer, EPE - Rede Ferroviária Públicas, Transportes e Engenharia Civil (Public research Estratégico Nacional Nacional – Infrastructure Manager Comunicações organisation) Associação Portuguesa para a (State owned) MEI - Ministério da Economia e IST – Instituto Superior Técnico Normalização e Certificação da Inovação (University) Ferroviária (APNCF) Manufacturers: EMEF, SA - Empresa de MCTES - Ministério da Ciência, FEUP – Faculdade de Engenharia Instituto de Soldadura e Manutenção de Equipamento Tecnologia e Ensino Superior da Universidade do Porto Qualidade (ISQ)

2 Ministry of Regional Development (2007) http://www.funduszeeuropejskie.gov.pl/WstepDoFunduszyEuropejskich/Documents/NSRO_an_20_07.pdf 80

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System IMTT – Instituto da Mobilidade (University) FCT – Fundação para Ciência e Ferroviário, SA e Transportes Terrestres Tecnologia EFACEC ADI – Agência da Inovação Operators: CP - Caminhos de Ferro Portugueses, E.P. – National Railway Metropolitano de Lisboa, E.P. – State owned metro operator Metro Porto SA

Consultancies: AMBISIG - Ambiente e Sistemas de Informação Geográfica, S.A. TRENMO, Engenharia Lda TIS.PT, Consultores em Transportes, Inovação e Sistemas, S.A. PT

Romania TI- Minister of Transport and Transport Faculty, University ANCS (NASR) - National CFR S.A - National Company of Infrastructure Politehnica of Bucharest Authority For Scientific Research Railways MECMA Ministry of Economy, Management of Production and AMCESIT - Managerial Agency SC ELECTROPUTERE SA CRAIOVA Trade and the Business Transports Faculty, Politehnica for Scientific Research, Thalesgrup Thales Rail Signalling Environment University of Timisoara Innovation and Technological Solutions

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System MECTS Ministry of Education, Department of Transports Transfer Alstom Transport S.A. Research, Youth and Sports Engineering, Faculty of Mechanics, ICERTRANS -Research Institute CFR Marfa - Freight operating AFER- Romanian Railway Craiova for Transports undertaking (National Operator); Authority Romanian Academy of Technical RECITS- National Network of CFR Calatori - Passenger OLFR- The Romanian Railway Sciences-Transport Engineering Research and Development operating undertaking (National Licensing Body Branch Centers in the field of ITS Operator); Integral Consulting R&D; National (intelligent transport systems) TFG- SC Transferoviar Grup SA

Institute for Research and GFR- S.C. Grup Feroviar Român Development (ICI) S.A. University of Craiova: Research UT- UNIFERTRANS, and Design Institute, Romania ST- Servtrans Invest SA, National Agency for Scientific SC ROMANIA EUROEST, Research, (member of the National SC RC-CF TRANS S.R.L. Network of Innovation and RT – Regio Trans Technology Transfer – ReNITT) DBS- DB Schenker CCPCT -Transportation Research VTG- VIA TERRA GROUP And Consulting Centre AIF Romanian Railway ICERTRANS -Research Institute for Industry Association Transports IPA - Institute for Design and Automatisation

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Sweden Ministry of Enterprise, energy Chalmers Automotive and Vinnova research support Bombardier Transportation and communications - transport Academy agency Sweden AB Transportstyrelsen (The board KTH (former Royal Institute of VTI research institute covering of Directors for transport) Technology) KTH Transport all transport modes Trafikverket (The agency for Platform Transport covering all modes except Maritime and Air) Ministry of Education Slovenia Ministry of Higher Education, University of Ljubljana - Faculty of Public Agency of the Republic of Manufacturers: ISKRA SISTEMI Science and Technology Maritime Studies and Transport Slovenia for Railway Transport, (directorate for technology) University of Maribor Slovenian Research Agency, Operators: Slovenske ţeleznice Ministry of Economy Institut Josef Stefan, Slovenian Competitiveness Adria Transport (directorate for Omega Consult 2006-2013, Viator & Vektor entrepreneurship) DDC Consulting and Engineering, Technology park Lubljana, Intereuropa The Ministry of Transport Technology park Pomurje, (Railway and Cableway Slovenian technology agency Consultancies Directorate) Agency for the Management of Public Railway Infrastructure Investment Office of the government for

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System local self government and regional policy Slovakia Ministerstvo dopravy, výstavby VUD - Transport Research Institute CEIT - Central European Infrastructure: ZSSK CARGO a regionálneho rozvoja SR EVPU – Elektronický výskumný a Institute of Technology - ZSSK (MDVRR SR) projektový ústav Nová Dubnica – http://www.ceit.eu.sk/ ZSR Ministry of Environment - Electrical Research Company - SAV SLCP - Slovak Productivity http://www.enviro.gov.sk - Slovak Academy of Sciences Center - http://www.slcp.sk Manufacturers: Tatravagonka, ZELSYS, Institut of competitivnes and NADSME Scheid&Bachman, Siemens, AZD innovations UKaI http://www.nadsme.sk/ Bratislava, ZOS Trenčianska univerzita A.Dubčeka national agency of SMEs support v Trenčíne Operators: DHL, ABEX Comenius University in Bratislava University of Ţilina Consultancies:

Railways Institut for research and development United Department for Transport (DfT) Engineering and Physical Sciences Rail Technical Strategy Train Operators Kingdom Department for Business Research Council (EPSRC) Knowledge and Technology Freight Operators Innovation and Skills Universities Transfer Network Rail and other Office of Rail Regulation Transport Research Laboratory EPSRC / RSSB / DfT Strategic Infrastructure Controllers The Rail Accident Investigation (TRL) Partnership Rolling Stock Owners Branch RSSB Grant Scheme Infrastructure Contractors

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Association of Train Operating Suppliers Companies Railway Industry Association Passenger Focus Railway Safety and Standard Board (RSSB)

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

3.1.3 Funding sources and R&D investment in railway sector There are several policy instruments targeting R&D and innovation in SMEs, such as the Research voucher for SMEs, Knowledge pilots, Knowledge vouchers and the Gazelle Growth programme. The Centres of Excellence programme is an initiative of the Danish National Research Foundation and has a focus on rewarding excellent basic research at universities.

Role of European funding programmes According to GHG TransPorD, total R&D investment in rail in 2008 amounted to €1.1 billion. The greatest source of this funding was the corporate ecosystem (with €845 million), while public EU FP7 holds a much smaller share (with € 20 million). Around 20% of the total funds allocated to rail research are geared toward emission reduction. Other important issues are energy efficiency, regenerative braking systems, weight reduction and hybrid technologies. FP7 has a budget of €4.17 billion for transport throughout its life cycle. Rail research is an important part of FP7, with research priorities such as increasing interoperability, intelligent mobility, increasing safety and security, and protecting the environment. Data for FP7 projects from railway sector per country are shown below.

Rail Projects 30

25 25 25 24 24

20 19 18

15 14 14

10 10 9 8 7 6 5 5 3 3 3 2 2 2 2 1 1 0 0 0 0 0 0 0

Figure 3.2: Numbers of railway FP7 projects

In the annex – Rail – data on funding sources and investments in rail research for the different MS is presented, whenever available.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

3.2 Road sector The analysis performed within the road sector provides an overview of actors and stakeholders and of concentration of R&D funding at European level. The analysis performed within the road sector for each of the EU‟s Member States is in the Annex.

3.2.1 Road market and industry characteristics The adaptation of the SSI to the road (automobile) sector is presented in the Figure 3.3 below, aiming to provide guidance to the identification of actors and stakeholders and of concentration of R&D funding at European level.

Figure 3.3: Innovation system in the road sector [Source: GHG- TransPoRD Project]

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

The automobile is a well-structured industrial sector, which is responsible for a considerable share of the total effort in R&D across Europe. There are several important features of the automobile industry that may differentiate the innovation characteristics from other sectors. The industry has a mature structure in manufacture, characterised by competition between a few main manufacturers with low profits. EU and world production is dominated by a few large firms. Firms based in the EU are: VW-Audi, PSA Peugeot Citroën, Renault, Fiat, Daimler, BMW. Smaller brands are owned by other international companies, with the US and Japan dominating. Technological development in the industry has been mainly driven by suppliers‟ perceptions of consumers‟ requirements – required size, performance, safety, with fuel consumption having a relatively low priority for many consumers. The very extensive network of retail outlets does not have much influence on innovation. Accordingly, identification of key areas across EU Member States should focus on research departments of the Auto majors rather than their retail network (which will be present in all Member States). R&D departments are listed as a separate entity of the industry as on the one hand they would be the units to develop new technologies and innovations, but on the other hand it seems that they somehow are locked-in to continue on their preferred historic path always developing faster and more powerful cars based on internal combustion engines (ICE). The auto majors also have close links to their supplier chain or OEMs, with some OEMs such as Bosch or the tyre manufacturers, Continental, Pirelli, Michelin, Goodyear etc. being large companies also. The industry is composed not only of vehicle and component manufacturers. Service operators – logistics companies and hire companies play a significant role in forming market demand. Also energy companies play a fundamental role in the industry. Traditionally these have been the oil companies, who have been vertically integrated corporations controlling oil extraction, refining, distribution and retail sales through petrol stations. Universities and independent research institutes play a significant role in the development of new automobile technologies and should be identified under the heading of the Education and Research System. Regarding the Political System the prominent role of the European Institutions should be underlined as they are responsible for most regulation in this field. National Governments play an important role through fiscal policy, climate policy, R&D support and industry support. Regional governments have at times provided incentives for low carbon vehicles by tax relief or exemptions in congestion charging schemes e.g. the London Congestion charge. In the following sections the SSI for road is characterized in more detail in the EU-27 (European Overview) and in each Member State, focusing on actors and R&D investment. Road transport in Europe is, according to information given by Wil Botman (General Director of FIA) totally dominant over other modes of transport. An estimated 80% of all transport is performed by private road transport. Another 10% of all transport needs are fulfilled by national or municipal organisations run by the government or the cities etc. These 10% also include a considerable amount of road transport, which makes the sector even more dominant. The remaining 10% include air and waterborne transportation. This dominance is partly the answer to or the reason for the enormous interest from the general public in everything connected with road bound vehicles (12 million visitors at the annual Paris Motor Show for example). In Europe a number of well-established manufacturers (OEMs) of motor vehicles have been supplying the transport market with

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area vehicles for a long period of time. These OEMs are totally dependent on a large number of automotive suppliers, which today are responsible for more than 50% of the R&D efforts in the automotive area. The automotive suppliers do also deliver products and services to an already large and growing automotive aftermarket. There has traditionally been a considerable export of motor vehicles from Europe to the rest of the world, but this trend has been somewhat reversed lately and there is today a considerable import of both vehicles and automotive parts/systems into Europe. Several of the overseas OEMs have also established themselves as manufacturers in Europe, either through purchases of existing factories or the establishment of new facilities. The automotive manufacturers in Europe have developed a rather complicated structure of ownership, where several are majority owners of others and in some cases are also owned by overseas automotive concerns. In spite of the enormous interest from the general public for automotive products, there is today a growing resistance from the same persons and definitely not only from the environmental activists, against the pollution and other negative impacts emanating from the road transport sector. With regard to this societal pressure the automotive R&D efforts have come to focus on both increasing the energy efficiency and on decarbonising the energy consumed by the vehicles. This approach will make a considerable contribution towards the requirements of a European policy and climate change. The societal need for reliability in road transportation focuses on improving the factors, which are critical for reliable road transport. These aspects include reliability of transport schedules and urban accessibility. Both these indicators are strongly linked to economic growth and employment and aim at reducing congestions and the significant related societal costs. The societal need for safety and security in road transport focuses on reducing fatalities and severe injuries as well as reducing the amount of freight cargo lost due to theft and damage. The policy of reducing fatalities is a long-standing objective, which reflects the ongoing efforts of the European Commission, the member states and industry in reducing fatalities on the roads towards zero in the long term. The obstacles in this effort are however largely man made and includes such issues as the Vienna Agreement, which states that every road vehicle must be under the command of a responsible driver. The fact that more than 80% of the road fatalities can be traced to errors of the drivers should without such obstacles lead to the inevitable fact that driverless vehicles would be safer on the roads. Referring to the text above, another societal need for global competitiveness of the automotive industry in Europe can be identified. The aim of this need is to produce vehicles that are affordable and which meet (domestic and global) consumer‟s demands, as well as producing them in a sustainable way.

3.2.2 Actors and stakeholders in road sector An overview of the major stakeholders involved in roads research at European level is given in the table below following the structure presented in the Figure 3.3 with the road innovation system.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Table 3.2 – Actors and stakeholders for road research in the European Union Political systems Education and Innovation Industrial system research system infrastructure United Nations National road research International OEM:S organised under centres in partnership Association of Public ACEA (EUCAR) and European Commission (FEHRL) Transport (UITP) independent European Independent Vehicle EUREKA OEM:s Commission research centres in European Commission Automotive suppliers cooperation (EARPA) Ministries of Transport – Joint Research organised under CLEPA in all EU countries CEDR (Conference of Centre or under other European Directors of organisations: The national road FP 7 Roads CONCAWE, EARPA, administrations usually ERTICO, FIA and others organised under the ministries mentioned Independent national above and international road construction companies

Independent national and international road maintenance companies

As can be seen in the table above, the major operational stakeholders in the European road transport sector can be divided in two categories. Category one contains the manufacturers of the vehicles and the suppliers supporting these manufacturers and these are usually organised as private enterprises. Category two contains the organisations responsible for the construction and maintenance of the road networks. These organisations are in most cases under the control, either directly or indirectly, of the national governments through their road administrations. The operational activities in road construction and road maintenance are however normally performed by private enterprises, but the funding does in most cases come from the national governments, which make it difficult to identify the amount of funding directed to R&D and innovation.

The next pages highlight the key actors in road research in the different Member States. For a more complete description, reader is invited to consult the annex on road mode.

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Austria Bmwf (Federal Ministry Of Technische Universität Wien VCO Verkehrsclub Osterrreich Autobahnen- Und Science And Research) Technische Universität Graz Verein Schnellstrassen- Finanzierungs- Federal Ministry Of Transport, Austrian Research Centre Bundesanstalt Fuer Aktiengesellschaft Innovation And Technology Austrian Institute Of Technology Landtechnik Herry Consulting (Bmvit) (Ait) Ffg - Austrian Research Steyr Motors Gmbh Federal Ministry Of Economy, Medical University Of Vienna Promotion Agency Magna Steyr Fahrzeugtechnik Ag Family And Youth (Bmwfj) Universiät Wien Austriatech - Federal Agency & Co Kg Paris Lodron Universität Salzburg For Technological Measures Österreichisches Forschung- Und Fh Joanneum Gesellschaft Kuratorium Fuer Prüfzentrum Gmbh Christian Doppler Research Verkehrssicherheit (Austrian Teleconsult Austria Gmbh Association Road Safety Board) Avl List Gmbh Forschungsgesellschaft Mobilitat Forschungsgesellschaft Bohler Schmiedetechnik Gmbh & Gmbh Mobilitat Gmbh Co. Kg Ftw Forschungszentrum Kompetenzzentrum - Das Brimatech Services Gmbh Telekommunikation Wien Gmbh Virtuelle Fahrzeug Factum Chaloupka & Risser Ohg Interdisciplinary Centre For Forschungsgesellchaft Mbh Fischer Advanced Composite Comparative Research In The Components Ag Social Sciences (ICCR) Fronius International Gmbh International Institute For Ftw Forschungszentrum Information Design Telekommunikation Wien Gmbh A3ps - Austrian Agency For Miba Gleitlager Gmbh

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Alternative Propulsion Systems Orbspace Aron Lentsch Roc Bernard Gmbh Secar Technology Gmbh Tttech Computertechnik Ag Va Tech Hydro Gmbh Ventrex Automotive Gmbh Westcam Fertigungstechnik Gmbh

Belgium Governmental Research centres Initiatives at federal and Manufacturers of passenger Belgian Federal Ministry of L‟Institut Transport routier & cars regional level Transport and Mobility Logistique Belgique/ Instituut Volvo Ghent http://www.mobilit.fgov.be wegTransport en Logistiek België Flanders Drive Ford Belgium Genk Federal Science Policy Office (ITLB) http://www.itlb.be Volkswagen Brussels http://www.belspo.be/ CRR - Centre de Recherche http://www.flandersdrive.be Manufacturers of trucks, buses Regional governments (Flanders, Routière http://www.brrc.be/ and trailers Brussels, Wallonia) CENAERO Van Hool Provinces and communities http://www.cenaero.be Volvo Trucks Non-governmental organizations GRT http://www.grt.be Jonckheere Bus and Coach Fédération Belge des Institute for Mobility Exploitants d'Autobus et http://www.uhasselt.be/imob d'Autocars (FBAA) University of Antwerp, http://www.fbaa.be/ Department of Transport and Groupement National des Regional Economics Entreprises de Taxis et de http://www.ua.ac.be/tpr Voitures de Location (GTL) Flanders Institute for Logistics http://gtl-taxi.be (VIL) http://www.vil.be/ Fédération Belge des Cluster Transport & Logistics Transporteurs (FEBETRA) Wallonia http://clusters.wallonie.

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System http://www.febetra.be be/transport-logistique/en/ Other Universities United Nations Economic Université libre de Bruxelles Commision for Europe Université catholique de Louvain http://www.unece.org/ University of Mons International Transport Forum University of Liège http://www.internationaltrans University of Antwerp portforum.org/home.html Vrije Universiteit Brussel Katholieke Universiteit Leuven others

Bulgaria Ministry of transport, Ministry of Education, Youth and OP Regional Development, EU Litex Motors AD, Lovetch information technology and Science Structural Funds (passenger cars) communications Bulgarian Academy of Sciences (priorities: systems for Electric vehicles plant, Stara (it is also the Managing Todor Kableshkov University of sustainable public transport; Zagora Authority of the OP Transport Transport local and regional road (family and sport electric cars) within EU Structural Funds) Technical University of Sofia infrastructure) Electric Vehicles Industrial Executive Agency “Automotive Technical University Varna OP Transport, EU Structural Cluster administration” Technical University of Gabrovo Funds Ministry of Regional Angel Kanchev University of (priorities: major national and Development and Public Rousse pan-EU road infrastructure; Works intermodality) (it is also the Managing Authority of the OP Regional Development) Road Infrastructure Agency Cyprus Ministry of Communications Research Promotion Foundation Operational Programme TranSim Transportation and Works CY Sustainable Development and Research Ltd. Cyprus Department of Road School of Engineering, University Competitiveness, 2007-2013 GEOIMAGING LTD Transport of Cyprus Planning Bureau of the Ministry of Education and University of Nicosia Republic of Cyprus Culture

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Czech Department for Driver University of West Bohemia - New Manufacturers: Republic Administration Technologies - Research centre ArcelorMittal Ostrava a.s. Department for the Road http://www.zcu.cz/ntc/en/ http://www.arcelormittal.com/ost Network The Transport Research Centre / rava/AM_profile_s2_cz.html Department for Road Vehicles Centrum dopravního výzkumu, Centrum sluţeb pro silniční Department for Road v.v.i. (CDV) dopravu Transport http://www.cspsd.cz Department for Public VALEO AUTOKLIMATIZACE, k.s. Transport (pobočka Praha-Holešovice) http://www.valeorakovnik.cz Consultancies and Research: Evektor, spol. s r.o. http://www.evektor.cz/ German BMBF (Federal Ministry of MPG (Max Planck Society) German Research Foundation, German Federation Of Industrial y Education and Research) Fhg (Fraunhofer Society) DFG Research Associations "Otto Von BMWi (Federal Ministry of HGF (Helmholtz Association Clusters Of Excellence: Guericke" (Aif) For Smes Economics and Technology) WGL (Leibniz Society) Central Innovation Programme VW Federal Ministry of Transport, German Aerospace Center (DLR) For SMEs Daimler Building and Urban Bavarian Research Foundation VDA BMW Development (BMVBS) Applied Research Network Opel Transport Systems Engineering Ford Germany Berlin (FAV) Siemens Foundation Of Rhineland Bosch Palatinate For Innovation Ssp Consult Beratende FAV - Research Network Ingenieure Gmbh Transport And Mobility TWT Gmbh Science & Innovation Foundation Of Rhineland EVC Deutschland Palatinate For Innovation SSP Consult Beratende Forschungs- Und Ingenieure Gmbh Anwendungsverbund Innovative Trade And Product Verkehrssystemtechnik Berlin Strategies Gmbh Institute For Traffic Safety And ADAC

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Automation Engineering Denmar Ministry of Science, Roskilde University Centre Danish Agency for Science, Danish Transport Federation k Technology and Innovation Technical University of Denmark Technology and Innovation Danish Transport and Logistics Danish Ministry of Transport Aalborg University Danish Road Institute Association (Transportministeriet) University of Copenhagen (Vejteknisk Institut) International Transport Danmark Danish Road Directorate Danish Transport Research Danish Council for Independent (freight) (Vejdirektoratet) Institute Research COWI, TetraPlan, Ramboll, etc. Danish Road Association Danish Council for Strategic (see “Consultancies”) (Dansk Vejforening) Research Danish National Research Foundation Estonia Ministry of Economic Affairs Hama Investeeringud OU European Investment Bank Information not available and Communications (MoEAC) Cohesion Fund National Road Authority EBRD Elektriraudtee AS PPP Edelaraudtee AS Spain The Ministry of Public Works Universidad carlos III Plataforma Tecnológica ACCIONA Infrastructuras, SA and Transport (Ministerio del Fundación, Investigación y Española de Logística Integral, Asociación de Empresas de Fomento) Desarrollo en Transporte y Intermodalidad y Movilidad Conservación y Explotación de The Ministry of Science & Energía (CIDAUT) (LOGISTOP) Infraestructuras (ACEX) Innovation (Ministerio de CIDEMCO – Tecnalia Plataforma Tecnologica ACS Dragados Ciencia e Innovación) Fundación CARTIF Española de la Carretera (PTC) Ferrovial/Cintra E.T.S.I. de Caminos, Canales y Funcación Associación Española FCC Puertos de la Universidad de de la Carretera Sacyr Vallehermoso Cantabria – Grupo GITECO CEDEX –R&D Public Agency OHL E.P.S. de la Universidad Alfonso X GETINSA Aciona El Sabio BECSA Universidad de Valencia – LISSIT Eiffage Infraestructuras AYESA Ingeniería VALORIZA, Conservación e Infraestructuras, S.A.U. AEC - Asociación Española de la

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Carretera INECO Ingenieria Integral Tecniberia/Asince professional Association Finland -Ministry of Education -VTT Technical Research Centre - Tekes ICT -Ministry of Employment and -Strategic centre for science, - Academy of Finland Mobisoft Oy Economy technology and innovation of the - Finvera OEMs -Research and Innovation Finnish energy and environment - Finpro Ecocat Oy Council cluster (CLEEN Ltd) - Sitra Service / Operators -Ministry of Transport and - Industry Investment Ltd Itella Oy Communications -Finnish Transport Agency Consultants -The Transport Safety Agency Foreca Consulting Oy (Trafi) France Ministry for Ecology, INRETS – French National OSÉO – (National Organization Infrastructure: Sustainable Development, Institute for Research on for SME‟s innovation support ASFA - Association of French Transport and Housing Transport and Safety and financial help) Motorways Ministry for Economy, Finance ANR – The French National CERTU – Centre for Knowledge Sanef Groupe and Industry Research Agency of Transport, Urban Planning ASF Ministry for Higher Education Université Claude Bernard Lyon 1 and Public Constructions AREA and Research Université de Valenciennes et du Research and Technical Manufacturers: GART – The French Union of Hainaut-Cambresis Université de Innovation Networks:- PREDIT Renault V.I. Transport Authorities Strasbourg programmes Citroen ADEME - French Environment Peugeot and Energy Management Iribus Agency The Group Valeo Operators: Veolia Transport KEOLIS Consultancies RATP Group Consultancies ERT - Europe Recherche

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Transport Algoé Consultants Egis Mobilité CEESAR – The European centre of studies on safety and risk analysis Greece MoD-GSRT National Center For Scientific Foundation for Research and Hellenic Telecommunications & NCRT Research "Demokritos" Technology Hellas Telematics Applications Company Ministry of Transportation and Centre For Research And Advanced Microwave Systems Ltd Communications MTC Technology - Hellas Intelligent Traffi c & Travel Ministry of Mercantile Marine National Technical University of Information MMM Athens- Traffic and Transportation Hellenic Ministry for the Hellenic Institute of Transport Consultants (TTE) Environment, Physical Planning Research Academic Computer TREDIT - Transeuropean and Public Works MEPPPW Technology Institute Consultants for Transport, Ministry of Economy and Athena - Research and Innovation Development and Information Finance MEF Center in Information, Technology S.A Communication and Knowledge Centre For Renewable Energy Technologies Sources Centre for Research and Technology – Thessaly Institute of Structures and Advanced Materials Road Safety Institute Panos Mylonas University Of Macedonia Hungary Ministry of National Resources Széchenyi István University, National Innovation Office Operators National Transport Authority Department of Transport Hungarian Current Research (VOLÁN, BKV Ltd, UPS Hungary, Infrastructure and Municipal Infrastructure System Horváth Rudolf Intertransport Engineering New Széchenyi Plan, Road Kft, LKW Walter, public transport Széchenyi István University, Audi Development Action providers in big cities, etc. ) Hungaria Department of Internal Coordination Center for Infrastructure

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Combustion Engines Transport Development (Magyar Közút Non-profit Co., Kecskemét College- College of ArtemisH National State Motorway Management Mechanical Engineering and Technological Platform Co.) Automation Manufacturers Budapest University of (AUDI Hungaria Kft, Hungarian Technology and Economics, Suzuki Ltd, Ikarus) Department of Motor Vehicles Consultancies Institute for Transport Sciences (COWI, Trafficon, Transman) Non-profit Ltd. Ireland Department of Transport Centre for Transportation Research in the National Roads Operators: National Transport Authority Research and Innovation for Authority Bus Éireann (NTA) People (TRIP) at Trinity College Pilot Transport Research Dublin Bus Dublin Programme (2002-2006) Consultancy: Transport Study and Research Research in the National Roads National Transport Authority Group (TSRG) at Trinity College Authority Forfás Dublin (TCD) Civil Engineers in Transportation Engineering at University College Dublin (UCD) UCD Urban Institute Ireland Italy Ministry of Education, Università degli Studi di Roma 'La ISFORT - High Institute for Manufacturers (Cars): University and Research Sapienza' Transport Education and Alfa Romeo (1918-present) (MIUR) Università degli Studi di Firenze IT Research Ferrari (1947-present) Ministry of Economic Università degli Studi di Modena e FIRB - Fund for Investments in Fiat (1899-present) Development Reggio Emilia IT Fundamental Research Lamborghini (1963-present) Ministry of Infrastructures and Università degli Studi di Padova IT Industry 2015 - Sustainable Lancia (1906-present) Transport (MIT) Centro Ricerche Fiat ScpA Mobility Maserati (1926-present) Ministry of Environment and of PFT2 - Second Targeted Pagani (1999–present) Territory and Sea Protection Programme on Transport Manufacturers (Two wheeled National Research Council FAR - Fund for Research transport): (CNR) Facilitation Aprilia National Agency for New ELASIS Benelli

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System Technologies, Energy and PNR 2005-2007 Beta Motor Environment (ENEA) Consorzio per la ricerca e lo Bimota National Institute for Statistics sviluppo di tecnologie per il Borile (ISTAT) Trasporto Innovativo Cagiva Ducati Fantic Motor Ghezzi & Brian Gilera Husqvarna (owned by BMW but all production remains in Italy) Malaguti Motobi Moto Guzzi Moto Morini MV Agusta Terra Modena Vyrus Consultancies D'APPOLONIA SPA IT MIZAR Automazione S.P.A. IT FIT Consulting Srl IT

Latvia Governmental Road Transport Institute of Riga Approximately 3500 operators Ministry of Transport Technical University licensed for international road http://www.sam.gov.lv Transport and freight carriage Road Transport Telecommunications Institute of Approximately 420 operators Administration University of Applied sciences licensed for international http://www.atd.lv Riga Technical College (Rīgas passenger carriage Road Traffic Safety tehniskā koledţa) Approximately 630 operators Directorate licensed for domestic freight http://www.csdd.lv transport Latvian State Roads Approximately 30 operators

This project has been funded with support from the European Commission under Seventh Framework Programme (FP7)

Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area

Political System Education and Research System Innovation Infrastructure Industrial System http://www.lvceli.lv/ licensed for domestic passenger Latvian Road Maintenance carriage http://www.lau.lv Non-governmental organizations Data not available concerning Road Carriers Association research involvement "Latvijas Auto" http://www.lauto.lv/ Latvian Transport Union Latvian Passenger Carriers Association Lithuani The Ministry of Transport and Vilnius Gediminas Technical Lithuanian Innovation Centre State Road Enterprises a Communications (Susisiekimo University Faculty of (Lietuvos Inovaciju Centras) AB "Kauno tiltai" Ministerija) Environmental Engineering - Road Lithuanian State Science and Lithuanian Roads Association The Ministry of Education and Research Institute Studies Foundation (Lietuvos Science (Svietimo ir mokslo Vilnius Gediminas Technical Valstybinis Mokslo ir Studiju ministerija ) University - Transport Research Fondas) The Lithuanian Road Institute National Long-Term Transport Administration Kaunas University of Technology and Transit Development (Institute of Transport Problems – Strategy public transport) Transport and Road Research Institute Research and Quality Control Laboratory "Problematika" Luxemb Transport Department Institute university international Goodyear,sa RGTR (Régime général des ourg Luxembourg Katcon Global, sa transports routier University of Luxembourg Public research centre Henri Tudor Malta Malta Council for Science and University of Malta R&D Department of the Public Transport Malta (public Technology (MCST) Transport Authority organization) Ministry of Infrastructure, National Research & Innovation

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Political System Education and Research System Innovation Infrastructure Industrial System Transport and Communications (R&I) Programme (MITC) Malta Environment and Planning Authority (MEPA) Ministry of Health Public Transport Authority ™ Netherla Ministry of Transport, Public TNO Wet Bevordering Speur en Automobile Manufacturers nds Works and Water Management Dutch National Road Safety Ontwikkelingswerk (WBSO) Automobile Suppliers Ministry of Education Culture Research Institute (SWOV) Nordelijke Innovatie Bicycles and Science Rijkswaterstaat Centre for Ondersteunings Faciliteit Mopeds Ministry of Economic Affairs Transport & Navigation Subsidie duurzame CV‟s Ministry of Housing, Spatial Universities energiesparing Planning and Environment Senter Novem Innovatie Programma Rai Vereniging NOW (Netherlands Foundation for Kansenkanon Ministry of Finance Scientific Research) Innovatie Presatie Contracten Ministry of Justice & Security Automotive Technology Centre Innovatiekrediet Innovatieregling

Poland The Ministry of Infrastructure Transport Faculty of the Technical Polish Agency for Enterprise General Directorate for National The Ministry of Science & University Warsaw (Politechnika Development (PARP) Roads and Motorways (GDDKiA) Higher Education Warszawska) National Strategic Reference Politechnika Slaska (Silesian Framework 2007–2011 University of Technology) National Centre for Research Polish Academy of Science (Polska and Development (NCBiR) Akademia Nauk) The Centre for EU Transport Road and Bridge Research Projects (CEUTP) Institute (IBDIM)

Portugal MOPTC – Ministério das Obras LNEC – Laboratório Nacional de QREN – Quadro de Referência Volkswagen Autoeuropa Públicas, Transportes e Engenharia Civil (Public research Estratégico Nacional CEIIA – Centre for Innovation Comunicações organisation) Instituto de Soldadura e and Research in the Automotive MEI - Ministério da Economia e IST – Instituto Superior Técnico Qualidade (ISQ) Industry

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Political System Education and Research System Innovation Infrastructure Industrial System da Inovação (University) FCT – Fundação para Ciência e Inteli MCTES - Ministério da Ciência, FEUP – Faculdade de Engenharia Tecnologia Siemens Tecnologia e Ensino Superior da Universidade do Porto Efacec IMTT – Instituto da Mobilidade (University) Brisa e Transportes Terrestres MOBI.E – Programme for ADI – Agência da Inovação Electromobility University of Coimbra University of Aveiro Romania MTI-Ministry of Transports and UPB-CEPETET - Research, ITS ROMANIA - Romanian RO Software House Srl Infrastructure Designing, Service, Consulting Organisation for Intelligent ASTER CONSULTING RNCMNR- National Company Center for Remote Controls and Transport Systems S.C. HIDROCONSTRUCTIA S.A. for Motorways and National Electronics in Transport Area - Implementation Roads Politehnica Bucharest University - CESTRIN- Centru de Studii RA- National Administration of Transports Faculty, Department Tehnice Rutiere şi Informatică Roads for Remote Controls and Sisteme Informatice si Electronics in Transport Area Automatizari (SIAT) ICI - National Institute for Institute for Computers (ITC) Research and Development in SOPT Sectoral Operational Informatics Programme Transport Pitesti University - Faculty of Electronics and Computers Romanian Academy - The Centre for Economic Researches in Industry and Services UTCB - Technical University of Civil Engineering of Bucharest Sweden Ministry of enterprise, energy Chalmers Automotive and Vinnova research support VOLVO Cars (passenger cars) and Communications transport Academy agency VOLVO Trucks Transportstyrelsen (The board KTH (former Royal Institute of VTI research institute covering SAAB (passenger cars) of Directors for transport) Technology) KTH Transport all transport modes SCANIA (trucks) Trafikverket Platform (The agency for Transport

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Political System Education and Research System Innovation Infrastructure Industrial System covering all modes except Maritime and Air) Ministry of Education Slovenia Ministry of Transport, Slovene University of Ljubljana Slovenian Research Agency; DARS Motorway Company of the Roads Agency; University of Maribor Automobile Association of the Republic of Slovenia – Ministry of Higher Education, Car industry institute RTC Republic of Slovenia infrastructure Science and Technology Omega Consult, ACS - Automotive Cluster of SIPRONIKA (directorate for technology); DDC Consulting & Engineering, Slovenia, ISKRA SISTEMI Ministry of Economy ERTRAC platform, HIDRIA-automotive industry (directorate for CIMOS - automotive industry entrepreneurship); Intereuropa Viator & Vektor Petrol – infrastructure Telargo – consultancy Slovakia Ministry of Transport, University of Zilina – The Faculty CEIT - Central European Operators: Construction and Regional of Operation and Economics of Institute of Technology • ZSSK CARGO – Transport by Development of the Slovak Transport and Communications – automobile Republic Department of Road and Urban Ţelezničná spoločnosť Cargo Slovak Technical Standards / Transport Slovakia, a.s. (ZSSK CARGO) – Slovenský ústav technickej University of Zilina – Faculty of Autodoprava normalizácie (STN) Mechanical Engineering ČESMAD Slovakia University of Zilina – CETRA, Centre of Transport Research http://cetra.uniza.sk/ University of Zilina – Institute of competitivenes and innovations Transport Research Institute, Inc. / http://www.vud.sk/ United Department for Transport Engineering and Physical Sciences Grant for Research and Alexander Dennis (CV) Kingdom Department for Business, Research Council Development Scheme (TSB) Dennis Eagle (CV) Innovation and Skills. Several Universities Collaborative Research & Ford (CV) Society of Motor Manufacturers Transport Research and Development Projects (TSB) Land Rover (CV)

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Political System Education and Research System Innovation Infrastructure Industrial System and Traders Association Development Small Business Initiative (TSB) Leyland Trucks (CV) Technology Strategy Board Transport Research laboratory Knowledge Transfer Networks Optare (CV) (TSB) (TRL) Knowledge Transfer Vauxhall (CV) Office for Low Emission Partnerships Opel (CV) Vehicles Regional Growth Fund Aston Martin (Car) Manufacturing Insight R&D Relief for Corporation Tax Bentley (Car) Highways Agency Caterham (Car) Department for International Honda (Car) Development Jaguar (Car) Land Rover (Car) Lotus (Car) LTI (Car) Mclaren (Car) MG Motor UK (Car) MINI (Car) Morgan (Car) Nissan (Car) Rolls Royce (Car) Toyota (Car) Vauxhall / Opel (Car) Automotive Manufacturers Suppliers Haulage Firms

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3.2.3 Funding sources and R&D investment in the road sector The funding for RTD activities in the vehicle areas mainly comes from industry (estimated to 65% of the funding) while the remaining 35% can be traced to national and regional funding as well as EU funding. Most of these research funds cannot however be specifically located to road transport activities, since for example research in the area of energy transfer (use of biofuels and fuel cells) can be applied in all the transport mode areas. The most specific road transport RTD initiative launched recently is the €5 billion Green Cars research program. Not even this effort can however be said to cover only road transport, because there are many spin off effects for other areas foreseen. Data for FP7 projects from road sector per country are shown in Figure 3.4.

Road Projects 70

60 58

51 50 46 46

39 40 32 30 27 25 24

20 17 16 13 14 11 9 10 8 7 7 7 4 5 2 3 1 0 0 0 0 1 0

Figure 3.4: Numbers of road FP7 projects

In the annex – Road – data on funding sources and investments in road research for the different MS is presented, whenever available.

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3.3 Air and Aeronautics The analysis performed within the aeronautics sector provides an overview of actors and stakeholders and of the concentration of R&D funding at European level. The analysis performed within the aeronautics sector for each of the EU Member States is in the Annex.

3.3.1 Air and Aeronautics market and industry characteristics The sectoral innovation system for the aviation industry is shown in the Figure below. Aviation is traditionally a high technology industry in which many of the major developments have come from military applications (the turbojet is a good example). Engines form the most significant sub-system, with separate manufacturers who sell their engines for use on competing airframes. There is also an exceptionally strong emphasis on safety, with regulation of testing for new aircraft and components, operation of aircraft and maintenance of aircraft and engines. Since aviation is an international industry, an international regulatory authority – the International Civil Aviation Organization (ICAO) agrees standards of operation and international policy.

Figure 3.5: Innovation system in the aeronautics sector [Source: GHG- TransPoRD Project]

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The industry is dominated by a very few airframe and engine manufacturers, who all compete in a global market. EADS (including Airbus), Boeing, Dassault, Finmeccanica (Alenia), Bombardier and Embraer are the main airframe manufacturers, with Russian and Chinese manufacturers mainly active in their internal markets. Rolls-Royce, General Electric and Pratt & Whitney are the main manufacturers of turbofan engines for large civilian aircraft. Thus the industry is highly concentrated in a few large firms, who usually have both civilian and military products. Regarding the Education and Research System one should consider the relevant role of military research which is different from the other modes of transport. On the political side one should consider the role of ICAO but also an increasingly important role for air traffic systems regulators and national governmental agencies responsible for aviation. However, an increased role of EU Institutions is also to be expected.

3.3.2 Actors and stakeholders in aeronautics The most important actors and stakeholders of aeronautics research in Europe are presented in Table 3.3 below following the structure presented in the Figure 3.5 with the aeronautics innovation system.

Table 3.3 – Actors and stakeholders for aeronautics research in the European Union Political System Education and Innovation Industrial System Research System Infrastructure ICAO EATRADA - the ACARE Aircraft Manufacturers European ATM ECAC FP 7 ASD, Airbus/EADS Research And European Commission3 Development EU CleanSky Alenia Association EASA EU SESAR Augusta-Westland DLR - German EUROCONTROL TEN-T funding for Engines and System Aerospace Center investments in air Components NLR – Netherlands navigation services ASD, Rolls-Royce, MTU National Aerospace EUREKA ,SNECMA Laboratory Airports JRC – Joint research Centre ACI Airlines IATA, AEA, EBBA, ELFAA

3 To a large extent the European Commission also represents here the European legislators, i.e. the European Council and the European Parliament, being the technical arm responsible for proposing and implementation. 107

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Political System The political system is characterized by the presence of global and regional international regulators, which is not surprising given the international character of air transport. ICAO is the most important international regulatory entity and ECAC is a sister organisation that gathers European ICAO Members. These institutions are responsible for setting standards that regulate the industry globally, being UN-based Governmental bodies. However, the European Commission is becoming an increasingly important international regulator, particularly on fields related with passenger rights, safety and security and environmental protection. In addition the European Commission is the main responsible for European R&D funding mechanisms. EASA and EUROCONTROL are two European bodies which address specific topics: EASA is a technical agency that follows implementation of aviation safety and security regulations in the EU; EUROCONTROL is responsible for air traffic management.

Education and Research System Concerning the education and research system it is worth underlining the presence of an association representing the European ATM Research and Development entities and two reference laboratories: the German Aerospace Centre and the Dutch National Aerospace Laboratory. These are identified because of their particular relevance for aviation research at European level. There is a wide range of relevant national organisations that will be identified in each country section.

Innovation infrastructure Regarding the innovation infrastructure it can be summarized by identifying on the one hand, ACARE, which is the technology platform that discusses the strategy agenda for the European aviation sector. The remaining actors identified are three relevant financing instruments with different characters: the FP7 co-finances R&D activities in virtually all sectors including aviation; EUREKA funds market oriented projects and runs specific initiatives for SMEs; and the TEN-T funding envisages the modernisation of air navigation services in Europe.

Industrial System The industrial system is largely influenced by EADS/Airbus, which is a dominant international corporation that produces aircraft and is active in other sectors of aeronautics and defence. The AeroSpace and Defence (ASD) Industries Association of Europe represents the interests of several industrial players, including both aircraft manufacturers and engines and system components suppliers. It seems, that ASD is not fostering neither a specific R&D agenda, nor the promotion of specific common research initiatives across its members. Most European airports and infrastructure managers are represented at EU and international level by Airport Council International (ACI) while airlines have different representative organisations: IATA, which is a global body where conventional airlines convey, AEA that gathers European conventional airlines, EBBA that represents business aviation and ELFAA which is the European voice of low cost carriers. Usually these umbrella organisations are not deeply involved in research activities.

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The next pages highlight the key actors in road research in the different Member States. For a more complete description, reader is invited to consult the annex on air and aeronautics mode.

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Political System Education and Research System Innovation Infrastructure Industrial System Austria BMWF (Federal Ministry of Paris Lodron Universität Salzburg Ffg - Austrian Research AC2T Research Gmbh Science and Research) Austrian Research Centre Promotion Agency Aerospace & Advanced Federal Ministry of Transport, Austrian Institute Of Technology Austriatech - Federal Agency For Composites Gmbh Innovation and Technology (Ait) Technological Measures Diamond Aircraft Industries (BMVIT) Technische Universität Wien Forschungsgesellschaft Mobilitat Gmbh Federal Ministry of Economy, Technische Universität Graz Gmbh Amst-Systemtechnik Gmbh Family and Youth (BMWFJ) Medizinische Universitaet Wien Hitec – Vereinigung High Tech Fischer Advanced Composite Fh Joanneum Gesellschaft Marketing Components Ag Christian Doppler Research Magna Steyr Fahrzeugtechnik Association Ag & Co Kg Dau Ges.M.B.H. & Co. Kg. Tttech Computertechnik Ag Research Center For Non Destructive Testing Gmbh Vereinigung High Tech Marketing Westcam Fertigungstechnik Gmbh Orbspace Aron Lentsch Herry Consulting Austrian Airlines Lauda Air Österreichisches Forschung- Und Prüfzentrum Gmbh Belgium The government/regulator Universities, Highschools, Initiatives at federal and Airports: provider of infrastructure Belgian Federal Ministry of Secondary schools regional level Antwerp International Airport Transport and Mobility KHBO Vlaams Brussels Airport Belgian Civil Aviation VTI – Oostende Luchvaartsopleidingscentrum Charleroi Airport Administration (the VLOC (VLOC) Kortrijk-Wevelgem Directoraat- generaal Katholieke Universiteit Leuven others International Airport Luchtvaart – DGLV) VDAB/KHBO Liège Airport Regulatory Service for Aviapartner Ostend-Bruges International

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Political System Education and Research System Innovation Infrastructure Industrial System Railway Transport and for Sabena flight academy Airport Brussels Airport Operations … others Vlaamse Luchthaven Research centres Airlines: provider of transport Commissie (VLC) CENAERO - Centre d'Excellence services and also complementary Federal Science Policy Office en Recherche aéronautique services such as check-in (and http://www.belspo.be/ GRT http://www.grt.be sometimes the airline does its own Air traffic control University of Antwerp, ground handling) Belgocontrol Department of Transport and Abelag Aviation Eurocontrol Regional Economics Brussels Airlines http://www.ua.ac.be/tpr Jetairfly Customs Flanders Institute for Logistics Thomas Cook Airlines Belgium NGOs (VIL) http://www.vil.be/ TNT Airways Advisory Council for Cluster Transport & Logistics VLM Airlines Aeronautics Research in Wallonia http://clusters.wallonie. others Europe (ACARE) be/transport-logistique/en/ Ground handling agent: http://www.acare4europe.org providers of ground handling / services such as baggage handling, de-icing, catering, Other modes: connecting the airport to its catchment area Airplane maintenance Sabena technics others Fuel providers Retailers in the airport buildings Cargo-specific: Agents Shippers Forwarders Cargo handlers Customs brokers Terminal operators (handling 111

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Political System Education and Research System Innovation Infrastructure Industrial System and storage) Bulgaria Ministry of transport, Tehnical University Sofia Solar Terrestrial Influences Data not available information technology and National Military University “Vasil Laboratory, Bulgarian Academy communications Levski”, Aviation Faculty of Science (STIL-BAS) Directorate General "Civil Bulgarian Academy of Sciences, Aviation Administration" Hydro- and aerodynamics centre - Varna Cyprus Ministry of Communications Ministry of Education Hermes Airports Ltd and works Scholai Frederickou Cyprus Airways Department of Civil Aviation Frederick Research Center Planning Bureau Czech Ministry of Transport (MDCR): Vyzkummy a Zkusebni Letecky Evektor, spol. s r.o. Republic Civil Aviation Department Ustav (VZLU), a.s. http://www.evektor.cz/ Czech Technical University in Aeronautical Research and Test Prague– CVUT v Praze Institute / Výzkumný a Centrum leteckého a kosmického zkušební letecký ústav, a.s. výzkumu - pracoviště Praha, http://www.vzlu.cz Fakulta strojní ČVUT v Praze – AERO Vodochody a.s odbor letadel Letov Letecka Vyroba s.r.o. Brno University of Technology Aircraft Industries, a.s UNIS, spol. S.r.o German BMBF (Federal Ministry of MPG (Max Planck Society) German Research Foundation, German Federation of Industrial y Education and Research) FhG (Fraunhofer Society) DFG Research Associations "Otto BMWi (Federal Ministry of HGF (Helmholtz Association Clusters of excellence: von Guericke" (AiF) for SMEs Economics and Technology) WGL (Leibniz Society) Aerospace cluster region EADS/Airbus Germany Federal Ministry of Transport, German Aerospace Center (DLR) Hamburg Eurocopter Germany Building and Urban Bavarian Research Foundation Central Innovation MTU Aero engines Development (BMVBS) Applied Research Network Programme for SMEs MBB Transport Systems Engineering VCS AKTIENGESELLSCHAFT Berlin (FAV) ROLLS-ROYCE DEUTSCHLAND Foundation of Rhineland LTD&CO KG Palatinate for Innovation

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Political System Education and Research System Innovation Infrastructure Industrial System FAV - Research Network Transport consultancies: Transport and Mobility MKmetric Denmar Ministry of Science, Roskilde University Centre Danish Agency for Science, SAS, Danish Air Transport A/S, k Technology and Innovation University of Copenhagen, Technology and Innovation Cimber Sterling, MAERSK Star Danish Ministry of Transport Aalborg University Danish Council for Independent Air (Transportministeriet) Danish Transport Research Research Danish Transport and Logistics Danish Transport Authority Institute Danish Council for Strategic Association (Trafikstyrelsen) Technical University of Denmark Research COWI, TetraPlan, Ramboll, etc. Danish National Research (see “Consultancies”) Foundation Terma A/S Estonia Ministry of Economic Affairs Tartu Aviation College (TAC) Archimedes Foundation Laser Diagnostic Instruments and Communications (MoEAC) Department of Mechatronics of AS Tallinn University of Technology AS Air Maintenance Estonia (AME) Spain The Ministry of Public Works ETSIA (Aeronautical Technical Grupo AENA Aeropuertos Grupo AENA Aeropuertos and Transport University of Madrid UPM) Españoles y Navegación aerea. Españoles y Navegación aerea. The Ministry of Science & University of Seville AECA – Spanish Airline INECO Ingenieria Integral Innovation Polytechnic University of Valencia Association (La Asociación SENASA - Servicios y Estudios Ministry of Transport, Tourism Española de Compañías para la Navegación Aérea y la and Communications Aéreas) Seguridad Aeronáutica S.A Ministries of Economic GROUPEAD Development and Defence AESA – Agencia Estatal de Other Seguridad Aerea Asociación de Compañías Españolas de Transporte Aéreo (ACETA) La Asociación de Líneas Aéreas de España (ALA) Associations of Operations Companies (AOC) Finland Ministry of Education VTT Technical Research Centre Tekes Engines & System Components Ministry of Employment and LAPPEENRANTA UNIVERSITY OF Academy of Finland Stresstech OY, Patria,

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Political System Education and Research System Innovation Infrastructure Industrial System Economy TECHNOLOGY Finvera Vaisala Research and Innovation Aalto University Finpro Service / Operators Council Sitra Blue1, Finnair Ministry of Transport and Industry Investment Ltd Airports Communications Finavia The Transport Safety Agency (Trafi) France Ministry for Ecology, INRETS – French National OSÉO – (National Organization Infrastructure: Sustainable Development, Institute for Research on for SME‟s innovation support The Union of French Airports Transport and Housing Transport and Safety and financial help) ADP – Paris Airports Ministry for Economy, Finance ONÉRA - French National Research and Technical Manufacturers: and Industry Aerospace Research Centre Innovation Networks:- PREDIT Airbus France SAS Ministry for Higher Education ANR – The French National programmes Snecma SA, Turbomeca SA and Research Research Agency (SAFRAN Group) GART – The French Union of Universite des Sciences et Dassault Aviatio SA Transport Authorities Technologies de Lille - Lille I Daher Aerospace SAS DGAC – French Civil Aviation Ecole Centrale de Lyon Thales Avionics SA Authority ISAE (Institut Supérieur de Eurocopter SAS l‟Aéronautique et de l‟espace) MBDA France SA Aerospace Engineering Operators: Universities in Toulouse Air France – KLM Airlinair Consultancies: Air France Consulting AeroConseil Collet Consulting GD Consultants Greece MoD-GSRT University of Patras Foundation for Research and AVITRONICS RESEARCH NCRT Aristotle University of Technology Hellas Advanced Microwave Systems Ministry of Transportation and Thessaloniki INFORMATICS AND Ltd Communications MTC National and Kapodestrian TELEMATICS INSTITUTE Aerosol & Particle Technology Hellenic Ministry for the University of Athens INSTITUTE OF APPLIED AND Lab. / Chemical Process

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Political System Education and Research System Innovation Infrastructure Industrial System Environment, Physical National Technical University of COMPUTATIONAL Engineering Research Planning and Public Works Athens- Ship Design Laboratory MATHEMETICS (IACM) Airsealines MEPPPW Hellenic Institute of Transport Anatoliki S.A. Development Ministry of Economy and Company Finance MEF ANCO S.A. Agencies, Commerce & Industry Athens International Airport S.A. Dievropaiki Ektairia Symboulon Metaforon Anaptikis kai Pliroforikis AE Envirocoustics A.B.E.E Hellenic Aerospace Industry INASCO - INtegrated Aerospace Sciences COrporation O.E. Institute of Communication and Computer Systems Integrated Aerospace Sciences Corporation Planet S.A. PROODOS SA Rotech Engineering LTD SPIRIT S.A. Hungary Ministry of National Resources Budapest University of National Innovation Office Infrastructure National Transport Authority, Technology and Economics, Hungarian Current Research (Budapest Airport Ltd., Directorate for Air Transport Department of Aircraft and Ships Infrastructure System HungaroControl Ltd.) Nyíregyháza College Technical New Széchenyi Plan, Air Manufacturers and Agricultural Department, transport Development Action (Aircraft Technik Hungary Ltd., Transportation and Hungarian Aircraft Technology Infotechnology Faculty & Service Ltd., Sulzer Zrínyi Miklós National Defense Hungaerotech Ltd.)

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Political System Education and Research System Innovation Infrastructure Industrial System University, Aviaton and Defense Consultancies Institute (Chapman Freeborn Air Market Institute for Transport Sciences Ker. Tanácsadó Kft, Air Non-profit Ltd. Budapest Club Kft, Marsh Ltd., Avicraft Ltd.) Ireland Department of Transport Centre for Transportation Pilot Transport Research Manufacturers National Transport Authority Research and Innovation for Programme (2002-2006) BOMBARDIER, BELFAST (NTA) People (TRIP) at Trinity College Federation of Aerospace EIRE COMPOSITES Dublin Enterprises of Ireland (FAEI) HONEYWELL ENGINES, Transport Study and Research Irish Aeronautics & Space SYSTEMS & SERVICES Group (TSRG) at Trinity College Research Network (IASRN) MOOG Dublin (TCD) SR TECHNICS, DUBLIN – Heavy Civil Engineers in Transportation Aircraft Maintenance Engineering at University College AIR ATLANTA – Heavy Aircraft Dublin (UCD) Maintenance UCD Urban Institute Ireland SHANNON AEROSPACE - Queen‟s University Belfast Airframe maintenance and University of Limerick. overhaul NUI-Galway, PWAI University College Cork LUFTHANSA AIRMOTIVE IRELAND IT Aeronautics AIRCRAFT MANAGEMENT TECHNOLOGIES AIRTEL ATN SKYTEK COMPUTING Italy Ministry of Education, Polytechnic University of Turin ISFORT - High Institute for Industry University and Research University of Pisa Transport Education and AgustaWestland (MIUR) University of Padua Research / Istituto Superiore di Alenia Aeronautica Ministry of Economic Sapienza University of Rome Formazione e Ricerca per i Avio Development University of Bologna UNIBO Trasporti Elettronica Ministry of Infrastructures and FIRB - Fund for Investments in Galileo Avionica

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Political System Education and Research System Innovation Infrastructure Industrial System Transport (MIT) Fundamental Research / Fondo Finmeccanica National Agency for New per gli Investimenti della Microtecnica Technologies, Energy and Ricerca di Base Selex Comms Environment (ENEA) Industry 2015 - Sustainable Selex Sistemi Integrati National Institute for Statistics Mobility / Industria 2015 - (ISTAT Mobilità sostenibile ENAC (regulator) PFT2 - Second Targeted Programme on Transport / Progetto Finalizzato Trasporti 2 FAR - Fund for Research Facilitation / Fondo per le Agevolazioni alla Ricerca PSN - National Aero-Space Plan / Piano Aero-Spaziale Nazionale The Italian Aerospace Research Centre (CIRA) • National Research Council (CNR) Latvia Ministry of Transport Riga Technical University, SIA „Aeronavigācijas serviss. AERCOM Civil Aviation Aviation Institute Mācību centrs” Transport Accident and http://www.ai.rtu.lv Incident Investigation Bureau Riga Technical University, State Joint Stock Company Institute of Materials and Latvian Air Traffic Control Structures Latvian University, Institute of polimer mechanics AVIATEST LNK (research centre) Lithuani The Ministry of Transport and Vilnius Gediminas Technical Lithuanian Innovation Centre JARZEMSKIS IR EKSPERTAI a Communications University Faculty of (Lietuvos Inovaciju Centras) Industry The Ministry of Education and Environmental Engineering - Lithuanian State Science and Helisota (technical Science Road Research Institute Studies Foundation (Lietuvos maintenance) Civil Aviation Administration Vilnius Gediminas Technical Valstybinis Mokslo ir Studiju Kaunas Aviation Plant

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Political System Education and Research System Innovation Infrastructure Industrial System University - Transport Research Fondas) Termikas Institute National Long-Term Transport Kaunas University of Technology and Transit Development Association of Lithuanian Aviation (Institute of Transport Problems Strategy Industry Companies – public transport) Agency for International Research and Quality Control Science and Technology Laboratory "Problematika" Development Programmes - Antanas Gustaitis Aviotion AISTDP Institute Luxemb Department of Transports National Research Fund Luxinnovation (National Agency VDITZ - Future Technologies ourg Directorate of Civil Aviation for Innovation and Research) Division (DAC) Luxembourg Aerospace Administration of Air Industries (LAI) Asbl Navigation (ANA) DKE Aerospace Lux AES Malta Malta Council for Science and University of Malta R&D Department of the Public Infrastructure Technology (MCST) Transport Authority Malta International Airport Ministry of Infrastructure, National Research & Innovation Operators Transport and (R&I) Programme Air Malta Communications (MITC) Malta Council for Science and Medavia Malta Environment and Technology Industry Planning Authority (MEPA) Lufthansa Technik Malta (LTM) Ministry of Health Malta Air Traffic Services Public Transport Authority ™ Netherla Ministry of Transport, Public National Aerospace Laboratory Kennis en Innovatie Agenda Infrastructure nds Works and Water KiM – Netherlands Institue for Luchtvaart Amsterdam Airport Schipol Management Transport Policy Analysis Strategische Operators Ministry of Education Culture TNO (Research Organisation for Onderzoeksprogamma KLM and Science Applied Natural Sciences) Vliegtuigontwikkeling (SOV) Engineering companies Ministry of Economic Affairs TU Delft Civiele Vliegtuigontwikkeling Atkins Nedtech Ministry of Housing, Spatial University of Twente (CVO) SDSE Planning and Environment NL Agency Innovation / Industry

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Political System Education and Research System Innovation Infrastructure Industrial System Aerospace Royal Ten Cate Fokker Eldim Maintenance KLM engineering & maintenance Fokker services Nayak Poland The Ministry of Infrastructure Transport Faculty of the Polish Agency for Enterprise Polish Airports State Enterprise (Ministerstwo Infrastruktury) Technical University Warsaw Development (PARP) (PPL) The Ministry of Science & (Politechnika Warszawska) National Strategic Reference LOT Polish Airlines (Polskie Higher Education Politechnika Slaska (Silesian Framework 2007–2011 Linie Lotnicze LOT S.A.) (Ministerstwo Nauki i University of Technology) The Centre for EU Transport Wizz Air Hungary Airlines Ltd., Szkolnictwa Wyższego) Polish Academy of Science Projects (CEUTP) Ryanair, and other cheap flights Civil Aviation Office (Urząd (Polska Akademia Nauk) Aviation clusters: Aviation operators Lotnictwa Cywilnego) Institute of Aviation (Instytut Valley, Aviation Cluster of Polish Air Navigation Agency Lotnictwa) Wielkopolska, Aviation Mazovia, (PATA) Silesian Aviation Cluster, Polish Air Navigation Service Lubelski Aviation Cluster Agency (PAZP) Portugal MOPTC – Ministério das Obras IST – Instituto Superior Técnico QREN – Quadro de Referência Infrastructure: Públicas, Transportes e (University) Estratégico Nacional ANA-Aeroportos Comunicações FEUP – Faculdade de Engenharia Instituto de Soldadura e NAV- Air Navigation services MEI - Ministério da Economia da Universidade do Porto Qualidade (ISQ) Operators: e da Inovação (University) FCT – Fundação para Ciência e TAP MCTES - Ministério da Ciência, Universidade da Beira Interior Tecnologia Portugália Tecnologia e Ensino Superior (University) SATA INAC – Instituto Nacional de Others: Aviação Civil OGMA ADI – Agência da Inovação GMVIS SKYSOFT CRITICAL Group INESC

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Political System Education and Research System Innovation Infrastructure Industrial System MOTORAVIA PEMAS Deimos Edisoft ActiveSpace Technologies Spin.Works Optimal Structural Solutions SET SA Romania MTI-Ministry of Transport and SSCA- Şcoala Superioară de PNCDI I, PNCDI II, CEEX Producers(Industry): Infrastructure of Romania Aviaţiei Civilă ROSA - Romanian Space Avioane Craiova Sa RCAA-Romanian Civil Aviation RAS- S.C. Regional Air Support Agency Electronic Equipments And Authority, S.R.L INCAS - National Institute for Systems (Ees) Bucharest RATSA- Romanian Air Traffic SS-Sion Security Aerospace Research 'Elie S.C. Aerofina S.A Services Administration, FPS- Formation Picarde de Carafoli' S.C. Aerostar S.A. GDATI-General Directorate of Securite RCAS-The Research Centre for Sc. D.M.Tech Eco S.R.L. Accident Transport AR - Aeroclub of Romania Aeronautics and Space Sc Aero Tehnologie Investigation, FAE-Faculty of Aerospace INAv - Institute for Aviation Tarom - Romanian National Air The National Transportation Engineering, Bucharest ARA- Romanian Aviation Transport Company Safety Board / Aviation ARA- Romanian Aviation Academy Other Managers of airports. Academy STRAERO – Institute for SIMULTEC – Simulatoare UPB – University Politehnica Theoretical and Experimental pentru Aviatie S.A. Bucharest, Faculty of Aviation Analysis of Aeronautical ELAROM – Electronica pentru Structures S.A. Aviatie S.A. CPCA – Centrul deProiectare si Consulting pentru Aviatie S.A Sweden Ministry of enterprise, energy Ministry of Education Vinnova research support SAAB Air (Linkoping) and communications Chalmers Automotive agency SAS Maintenance and Transportstyrelsen (The board and transport Academy VTI research institute covering Modification workshop (Arlanda of Directors for transport) KTH (former Royal all transport modes Airport) Luftfartsverket (The agency Institute of Technology) KTH National Aeronautical Program Volvo Aero Corporation for Air Transport) and Air) Transport Platform (NFFP) Aeronautical development and

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Political System Education and Research System Innovation Infrastructure Industrial System demonstration program (FLUD) Slovenia Ministry of Higher Education, University of Ljubljana - Faculty Slovenian Research Agency; Infrastructure: Science and Technology of Maritime Studies and Slovenian Competitiveness Aerodrom Ljubljana (Ljubljana (directorate for technology); Transport; 2006-2013; Joţe Pučnik Airport) Ministry of Economy University of Maribor; CEATS (directorate for Institut Josef Stefan; Slovenian ool and Die Manufacturers: entrepreneurship); Development Centre (TECOS) HELIAIR CENTER D.O.O. The Ministry of Transport MEDICOP D.O.O. (Civil Aviation Directorate) Operators: Adria Airways Intereuropa HYB proizvodnja hibridnih vezij, d.o.o. Viator & Vektor Slovakia Ministry of Transport, University of Zilina Slovak Research and Letisko M.R.Štefánika Bratislava Construction and Regional The Faculty of Operation and Development Agency (APVV) – Airport Bratislava, a.s. (BTS) Development of the Slovak Economics of Transport and Republic /Ministerstvo Communications – dopravy, výstavby a Department of Air Transport regionálneho rozvoja Faculty of Mechanical Slovenskej republiky (MDVRR CETRA, Centre of Transport SR) Research http://www.telecom.gov.sk Aviation Training and Slovak Technical Standards / Educational Centre Slovenský ústav technickej Institute of competitiveness normalizácie (STN) and innovations http://www.sutn.sk/ Technical university of Košice – Faculty of Aeronautics United Department of Transport Engineering and Physical Small Business Research Thales Avionics Kingdom Department of Business, Sciences Research Council Initiative (SBRI) Rolls-Royce plc Innovation and Skills (EPSRC) Technology Strategy Board ABAQUS UK National Aerospace University of Bristol Competitions Advanced Composite Group

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Political System Education and Research System Innovation Infrastructure Industrial System Technology Strategy Group University of Glasgow National Aerospace Technology AIRBUS Operations Ltd Aerospace / Defence / University of Cambridge Strategy Group Airbus UK Ltd Security Group University of Oxford Alstom Power Ltd UK University of Birmingham AMRC (Manufacturing) Ltd UK University of Bradford AOS Technology Ltd UK University of Cranfield Artisan Software Ltd UK University of Glasgow BAE SYSTEMS (Operations) University of Hull Limited University of Leicester Blastech Ltd University of Manchester CAE (UK) Plc University of Nottingham Cambridge Flow Solutions Ltd University of Reading Contour Premium Aircraft University of Sheffield Seating University of Southampton Curtiss-Wright Controls (UK) University of York Ltd Aircraft Research Association GE Aviation Systems Ltd GKN Aerospace QinetiQ Ltd SCITEK Consultants Ltd SEMELAB PLC Sensor Highway Limited Shell Aviation Ltd Short Brothers Plc Vivid Components Ltd Westland Helicopters Ltd

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3.3.3 Funding sources and R&D investment in aeronautics According to the GHG TransPoRD project the overall R&D investments in air transport in 2008 (civil aeronautics only) have been estimated to reach some €5.7 billion, most of which arising from Corporate R&D investment (€4.75 billion). Public EU FP7 financing amounts for €350 million while national public R&D investment from Member States is estimated to be around €620 million. Part of the Seventh Framework Programme (FP7) is devoted to responding to the challenges of making transport more sustainable. Over the course of seven years (2007-2013), it will use EUR 4.16 billion to develop safer, greener and smarter pan-European transport systems that will benefit all citizens, respect the environment, and increase the competitiveness of European industries in the global market. Aeronautics and Air Transport (AAT) is the most important programme line within FP7, focusing on reduction of emissions, work on engines and alternative fuels, air traffic management, safety aspects of air transport, and environmentally-efficient aviation. The AAT line covers roughly €2.3 billion, i.e. more than 50% of the total direct investment in transport research in FP7. In addition to the FP7 European related funds also include the support to the Clean Sky JTI (Joint Technology Initiative), which is a Public-Private Partnership between the European Commission and the industry. Its mission is to develop breakthrough technologies to significantly increase the environmental performances of airplanes and air transport, resulting in less noisy and more fuel efficient aircraft, hence bringing a key contribution in achieving the Single European Sky environmental objectives. Clean Sky JTI was born in 2008 with a budget of €1.6 billion, contributed to on a 50/50 basis by the Commission (in cash) and the aeronautical industry (in-kind contribution).

Data on FP7 projects in the aeronautics sector per country are shown in Figure 3.6.

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Aeronautics Projects 140

120 115

98 100 87

80 72 68 60 58 60 50 42 39 38 40 35

21 22 22 18 20 14 10 6 5 4 4 2 2 2 1 2 0 1 0

Figure 3.6 : Numbers of aeronautics FP7 projects

Another important initiative is the SESAR Joint Undertaking (JU), which is an initiative of the European Commission to develop the new generation European air traffic management system. Given the complexity of the programme, a legal entity was founded by the European Commission and EUROCONTROL, to coordinate and concentrate all relevant research and development efforts in the Community. The total estimated cost of the development phase of SESAR is € 2.1 billion, to be shared equally between the Community, EUROCONTROL and the industry (€700 million Community, €700 million EUROCONTROL, €700 million industry).

In the annex – Air – data on funding sources and investments in aeronautics research for the different MS is presented, whenever available.

3.4 Maritime Transport The analysis performed within the maritime sector provides an overview of actors and stakeholders and of the concentration of R&D funding at European level. The analysis performed within the maritime sector for each of the EU Member States is in the Annex.

3.4.1 Maritime market and industry characteristics The shipbuilding industry has four main sectors: commercial (bulk cargo, container, ferry and cruise), military, offshore energy and leisure (sail and motor yachts). The leisure market is not considered here as it is not seen as a relevant mode of transport. Since knowledge of shipbuilding technology is widely diffused, EU shipyards have concentrated on either military or specialist ships or marine systems.

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Figure 3.7: Innovation system in the maritime sector [Source: Market-up]

The shipbuilding industry can be divided into shipyards, engines and systems suppliers with an extensive range of engineering consultancies for design. The industry is very mature and concentrated for large ship construction. The large shipbuilders have access to an extensive and effective innovation infrastructure, mostly within the companies themselves or through established industry consultancies. Figure 3.7 presents an overview of the SSI in the maritime sector. A particular feature of shipping is the complex pattern of ownership and insurance. Ships are often not built for a shipping line, but for leasing intermediaries. All ships have to be insured for each voyage and the risk is aggregated through the Lloyds insurance market. This has

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area had a major historical influence on innovation, because Lloyds developed the classification society system, under which classification societies in the major shipbuilding countries specify standards of construction and maintenance. Ships are required to be classified to be insured. A further important feature of standards setting is the International Maritime Organisation (IMO). Since shipping is an international activity, the IMO agrees on standards for operation and also applies international environmental policy. In the maritime sector therefore, there is a regulatory (sub) system which forms an important and distinct part of the innovation system. The infrastructure in shipping consists of ports, waterways and coastal navigation aids. Navigation requirements and the „rules of the road‟ for ship operations at sea are agreed through the IMO. Ports and waterways, in particular the Panama and Suez canals but also e.g. the Elbe river for access to the port of Hamburg determine overall dimensions for some ships. However, this infrastructure does not impose complex technological standards on ship construction. The research system consists of national research institutes and universities, which undertake applied research in areas such as hull forms and propeller development. Engines and ship systems are mainly developed within the industry.

3.4.2 Actors and stakeholders in maritime sector The Waterborne Community is composed of representatives from Industry (Manufacturers, Users & Service Providers), Society (Regulatory, Research & Education Organisations, and Unions) and Public Authorities (Commission & Members States). The most important actors and stakeholders of maritime research in the European Union are presented in Table 3.4 below following the structure presented in Figure 3.7 with the maritime innovation system.

Table 3.4 - Actors and stakeholders for maritime research in the European Union Political System Education & Innovation Industrial System Research Systems Infrastructure European Commission Research Institutes FP7 (Various Marine Equipment EMSA Maritime Universities Programmes) Waterborne TP IMO Testing Centres TEN-T Shipyards National Research MARTEC ERA-NET Ship-owners Programmes Life + Inland Shipping TRKC Marco Polo II Classification Societies TEN-E Trade Unions Leonardo Di Vinci Ports & Terminals CIP IEE Dredging Leisure Craft Offshore Renewables

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Political System Education and Research System Innovation Infrastructure Industrial System BMWF (Federal Ministry of Technische Universität Wien FFG - Austrian Research ACR Electronics Austria Science and Research) Austrian Research Centre Promotion Agency Bachmannn electronic Federal Ministry of Transport, Austrian institute of Technology AustriaTech - Federal Agency Böhler Innovation and Technology (AIT) for Technological Measures Bosch (BMVIT) via Donau - Österreichische Bst Brandschutztechnik Federal Ministry of Economy, Wasserstraßen-Gesellschaft mbH ESTET Stahlbau Family and Youth (BMWFJ) Frequentis Kuenz Liebherr Fipro Schneider Electric Power Drives Secu-tech Siemens Österreich Steyr Motors Thermax VA Tech Hydro Herry Consulting Belgian Federal Ministry of UA – University of Antwerp Initiatives at federal and Shipping lines Belgiu Transport and Mobility (University) regional level CMA-CGM m Flemish Ministry of Mobility VUB – Free University of Brussels IWT K-line and Public Works UGent- Ghent University FWO Maersk Federal Science Policy Office KUL others http://www.belspo.be/ Université de Liège Dredging Flemish Ministry of Innovation Université Libre de Bruxelles DEME Flemish Ministry of Education University of Mons Jan de Nul Flemish Ministry of Economy Université Catholique de Louvain Operators Federal Ministry of Economic University College of Ghent Port of Ostend Affaires Katho Port of Zeebruges KDG Port of Ghent PHL Port of Antwerp Lessius Consultancies West-Vl

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Political System Education and Research System Innovation Infrastructure Industrial System KHBO KHK Artesis hogeschool Antwerp Maritime Academy Portilog Others Research centres: GRT http://www.grt.be Institute of Transport and Maritime Management Antwerp (ITMMA) University of Antwerp, Department of Transport and Regional Economics Flanders Institute for Logistics (VIL) Ministry of transport, Technical University Varna OP Transport, EU Structural Bulyard Shipbilding Industry Bulgar information technology and Naval Academy Funds (priorities: improvement EAD ia communications (it is also the Bulgarian Academy of Sciences, of the maritime and inland- Bourgas Shipyards Managing Authority of the OP Hydro- and aerodynamics centre waterway navigation; Bulgarian National Association Transport within EU Structural - Varna intermodality) of Shipbuilding and Ship repair Funds) Marine Cluster Bulgaria Maritime Administration Executive Agency Ministry of Communications Maritime Training Centre Cyprus Shipping Chamber Cyprus and Works (Cyprus) Ltd Cyprus Union of Shipowners Department of Merchant Odeseas Maritime Training Famalift (Cyprus) Shipyard Ltd Shipping Centre Bernhard Schulte Cyprus Ports Authority Cyprus University of Technology Shipmanagement Columbia Shipmanagement Ltd Marlow Navigation Co. Ltd. InterShip Navigation Co. Ltd.

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Political System Education and Research System Innovation Infrastructure Industrial System Czech Inland Country Republ ic BMBF (Federal Ministry of Institut Fuer German Research Foundation, German Federation Of Germa Education and Research) Seeverkehrswirtschaft Und Dfg Industrial Research ny BMWi (Federal Ministry of Logistik Central Innovation Programme Associations "Otto Von Economics and Technology) Mpg (Max Planck Society) For Smes Guericke" (Aif) For Smes Federal Ministry of Transport, Fhg (Fraunhofer Society) Germanischer Lloyd Hdw Building and Urban Hgf (Helmholtz Association Meyer Werft Development (BMVBS) Wgl (Leibniz Society) Blohm Und Voss German Aerospace Center (Dlr) Mtu Center Of Maritime Technologies Caterpillar Mak E. V. Flensburger Schiffbau- Bundesanstalt Fuer Gesellschaft Mbh Co. Kg Gewaesserkunde Hamburgische Schiffbau- Entwicklungszentrum Fuer Versuchsanstalt Gmbh Schiffstechnik Und Jos. L. Meyer Gmbh Transportsysteme E.V. Transport Consultancies: Mkmetric Uleme E.E.I.G Ministry of Science, Roskilde University Centre Danish Agency for Science, Danish Transport Federation Denma Technology and Innovation Technical University of Denmark, Technology and Innovation Danish Transport and Logistics rk Danish Ministry of Transport University of Copenhagen, Danish Shipowners‟ Association Association (Transportministeriet) Aalborg University Danish Council for Independent J. Lauritzen A/S (ship owning), Danish Maritime Authority University of Southern Denmark, Research FORCE Technology (Sofartsstyrelsen) Department of Maritime Danish Council for Strategic COWI, TetraPlan, Ramboll, etc. Research and Innovation Research (see “Consultancies”) Svendborg International Maritime Danish National Research Danish Centre for Maritime Academy Foundation Technology Danish Transport Research Institute

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Political System Education and Research System Innovation Infrastructure Industrial System Minister of Transport and Tallinn University of Technology Port of tallin.Ltd MEC Estoni Communications EE Saarte Liinid, Ltd Reneko AS a Tallinna Tehnikakõrgkool/ University of Applied Sciences EE The Ministry of Public Works InnovaMar – Fundación Insituto Plataforma Tecnológica Albors Galiano Portales Spain and Transport (Ministerio del tecnologico para el desarrollo de Maritima española Altum Ingenieria y Servicios Fomento) industrias maritimas Centro Tecnológico Naval y del CTN Asociación Centro Ministry of Transport, Tourism Escuela técnica superior de Mar Tecnológico Naval y del Mar and Communications Ingenieros navales Fundación Centro Tecnológico Asociación Clúster del Naval Universidad Politecnica de Madrid SOERMAR Gallego (ACLUNAGA) CENIT (Centro de Innovación Asociación de Ingenieros del Transporte) Navales y Oceánicos de España IME Instituto Maritimo Español (AINE) CEHIPAR Canal de Experiencias ANAVE Asociación de Navieros Hidrodinámicas de el Pardo Españoles Fundación LEITAT (RTD Agent) ANEN Asociación Nacional de Fundación INASMET – Tecnalia Empresas Náuticas (RTD Agent) ACCIONA Compañía Transmediterranea S.A GEFCO ESPAÑA SA INDRA PYMAR Pequeños y medianos astilleros Ministry of Education VTT Technical Research Centre Tekes Shipowners Finlan Ministry of Employment and Centre for Maritime Studies in Academy of Finland Finnish Shipowners´ d Economy the University of Turku. Finvera Associations Research and Innovation University of Aalto Finpro Shipbuilding Council Helsinski University of Sitra Wärtsilä Ministry of Transport and Technology Industry Investment Ltd STX Finland Cruise Oy Communications Maritime Institute of Finland Machine Technology Centre Ltd Ports (Koneteknologiakeskus Turku Finnish Port Operators Oy) Association

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Political System Education and Research System Innovation Infrastructure Industrial System Finnish Metals and Engineering Other Competence Cluster Finnish Waterway Association Ministry for Ecology, INRETS – French National OSÉO – (National Organization Infrastructure: France Sustainable Development, Institute for Research on for SME‟s innovation support UPF – French Ports Union Transport and Housing Transport and Safety and financial help) Manufacturers: Ministry for Economy, Finance CETMEF – Knowledge Centre for Research and Technical DCNS Group and Industry Maritime and Inland Waterways Innovation Networks:- PREDIT CMN Group Chambre Arbitrale Maritime ANR – The French National programmes Piriou de Paris Research Agency Operators: GART – The French Union of The University of Nantes CMA-CGM Transport Authorities Marfret AFDM – The French Maritime A.B.C.R.M. Law Association Gazocéan SNCMare SeaFrance Consultants: Societe Marine de Service et d'Equipement Naval – SMS MoD-GSRT Aristotle University of Foundation for Research and GAC SHIPPING SA, Greece NCRT Thessaloniki Technology Hellas THESSALONIKI'S BRANCH Ministry of Transportation and National and Kapodestrian Hellenic Register of Shipping ENVIRONMENTAL Communications MTC University of Athens S.A. PROTECTION ENGINEERING Ministry of Mercantile Marine National Technical University of S.A. MMM Athens- Ship Design Laboratory GREEK CIMAC ASSOCIATION Hellenic Ministry for the University of Patras (ASBL) Environment, Physical University of the Aegean Advanced Microwave Systems Planning and Public Works University of Thessaly Ltd MEPPPW University of Western Macedonia Aerosol & Particle Technology Ministry of Economy and University of Ioannina Lab. / Chemical Process Finance MEF Technological Educational Engineering Research institute of Piraeus Airsealines Hellenic Institute of Transport Anatoliki S.A. Development

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Political System Education and Research System Innovation Infrastructure Industrial System Research Academic Computer Company Technology Institute ANCO S.A. Agencies, Athena - Research and Commerce & Industry Innovation Center in Information, ANEK Lines Communication and Knowledge Glafcos Marine Ltd. Technologies Hellenic Register of Shipping Centre for Research and S.A. Technology – Thessaly Minoan Lines SA Neorion Shipyard PANEPISTIMIO IOANNINON PARAGON LTD Planet S.A. PROODOS SA Rotech Engineering LTD Shipping Company of Crete S.A. SPIRIT S.A. SYROS Shipbuilding and Industrial Enterprises SA Thessaloniki Port Authority SA Traffic and Transportation Consultants (TTE) General Inspectorate of Institute of Transport Sciences, - Fluvius Shipping and forwarding Hunga Transport Budapest – Hungary (KTI) Ltd ry Budapest University of Dunaharaszti Shipbuilding and Technology and Economics repairing Co Irish Maritime Development Science, Technology and Port and Shipping Services Infrastructure: Irelan Office (IMDO) Innovation Strategy Sector. Dublin Port d The Maritime Safety the Marine Institute, PhD at the Ports and Maritime Logistics Operators: Directorate (MSD) International Maritime Studies Shipping Services and Maritime The sector is made up of a Marine Survey Office (MSO) Institute (National College of Commerce wide range of specialist Marine Radio Affairs Unit Ireland) services to, or conducted by,

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Political System Education and Research System Innovation Infrastructure Industrial System (MRAU) ship-owners, operators and Maritime Safety Policy managers. Division (MSPD) Consultancies: Forfás STS - Strategic Transport Solutions International Ministry of Education, University of Genoa PRIN - Research Projects of Consultancy: Italy University and Research National Relevance / Progetti di CETENA - Ship Research Centre (MIUR) Ricerca di Rilevante Interesse / Centro per gli Studi di Tecnica Ministry of Economic Nazionale Navale Development PNR 2005-2007 - National Ministry of Infrastructures and Research Programme / Transport (MIT) - Directorate Programma Nazionale della of Maritime Transport and Ricerca 2005-2007 Inland Waterways FIRB - Fund for Investments in Ministry of Environment and Fundamental Research / Fondo of Territory and Sea per gli Investimenti della Protection Ricerca di Base National Research Council PGT - Master Plan of Transport (CNR) and Logistics / Piano Generale National Agency for New dei Trasporti e della Logistica Technologies, Energy and Ministry of Environment and of Environment (ENEA) Territory and Sea Protection National Institute for Statistics ISTAT (ISTAT) Ministry of Transport Latvian Maritime Academy Latvian Maritime Academy Port authorities Latvia Maritime Administration of Riga Shipyard Freeport of Riga Authority Latvia Maritime Administration of Liepaja Port Special Economic Marine and Inland Waters Latvia Zone Authority Administration Ventspils Free Port Authority Navy Pavilosta Port Authority Roja Latvian Coast Guard Service Port Authority

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Political System Education and Research System Innovation Infrastructure Industrial System Border Guard Service Mersrags Port Authority Lielupe Port Authority Skulte Port Authority / Salacgriva Port Authority / Engure Port Authority Manufacturers Ship building (Riga Ship Yard, Tosmare, Ship Yard, Bolderaya Ship Yard, Mangali Ship Yard) Ministry of transport and Lithuanian Maritime Academy Klaipeda Science and Lithua HARBORT LTD communications of (LMA) Technology Park nia Lithuanian Shipowners the Republic of Lithuania Lithuanian Maritime Foundation Agency for international science Association Maritime Safety Coastal Research and Planning and technology development Administration Institute in Klaipeda University programmes in Lithuania Klaipėda State Sea Port Vilnius Technical University. Luxem There is no maritime research Luxembourg has a maritime bourg program in Luxembourg shipping register and a register of inland vessels Malta Council for Science and University of Malta R&D Department of the Public Infrastructure Malta Technology (MCST) Transport Authority Transport Malta (Ports and Ministry of Infrastructure, National Research & Innovation Yacthing Directorate, Merchant Transport and (R&I) Programme Shipping Directorate) Communications (MITC) Malta Council for Science and Note: privatisation process of Malta Environment and Technology (MCST) yacht marinas and ports since Planning Authority (MEPA) Malta Shortsea Promotion 2010 Ministry of Health Centre Private operators Public Transport Authority ™ Medsea Shipping Agency: Provide a comprehensive service in the shipping industry Maltafreeport

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Political System Education and Research System Innovation Infrastructure Industrial System Ministry of Transport TU Delft Innovation Performance Ship-owners Nether Public Works and Water Netherlands Foundation for Contracts Shipbuilders lands Management Scientific Research Maritime Innovation Forum Marine Equipment Ministry of Education, Culture Senter Novem Maritime Innovation Manufacturers and Science Energy Research Centre of the Programme Offshore Ministry of Economic Affairs Netherlands Renewables Ministry of Housing, Spatial KiM – Netherlands Institute for Fisheries Planning and Environment Transport Policy Analysis Inland Shipping MARIN Classification Societies TNO Trade Unions Panteia (NEA) Ports & Terminals Dredging Leisure Craft

The Ministry of Infrastructure Transport Faculty of the Polish Agency for Enterprise CTO - Ship Design and Poland The Ministry of Science & Technical University Warsaw Development (PARP) Research Centre (Centrum Higher Education Gdansk University of Technology National Strategic Reference Techniki Okrętowej S.A.) The Ministry of Environment Polish Academy of Science Framework 2007–2011 Shipbuilding comapnies: - Maritime Offices in Gdynia, Maritime Institute in Gdańsk The Centre for EU Transport Stocznia Gdynia SA, Stocznia Slupsk and Szczecin Projects (CEUTP) Gdanska SA, Stocznia Szczecinska Nowa SA. and other private companies

MOPTC – Ministério das Obras IST – Instituto Superior Técnico QREN – Quadro de Referência Infrastructure: Portug Públicas, Transportes e (University) Estratégico Nacional APL – Lisbon Port al Comunicações FEUP – Faculdade de Engenharia Instituto de Soldadura e APSS – Setúbal Port MEI - Ministério da Economia da Universidade do Porto Qualidade (ISQ) APDL – Leixões Port e da Inovação (University) FCT – Fundação para Ciência e APS – Sines Port MCTES - Ministério da Ciência, Escola Superior Náutica Infante Tecnologia Operators: Tecnologia e Ensino Superior D.Henrique PSA – Port Singapore Authority IPTM - Instituto Portuário e UNIVERSITY OF Liscont dos Transportes Marítimos, AZORES/MARINE ENVIRONMENT TCL

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Political System Education and Research System Innovation Infrastructure Industrial System I.P. & TECHNOLOGY LAB. ETE Group ADI – Agência da Inovação Manufacturing: Ministry of Defense Lisnave Estaleiros Navais Viana do Castelo (ENVC) Associação das Indústrias Navais Other 'PSA Sines - Terminais de Contentores, S.A. 'TecnoVeritas Services of Engineering & Systems Technology Ltd Ministry of Transport and "Mircea cel Batran" Naval RONOMAR Innovation Centre S.C. ICEPRONAV SA Romania Roman Infrastructure Academy ROMNAV Braila SA – Romania ia Romanian Naval CERONAV - Romanian Maritime Bureau Veritas SRL – Romania Authority (ANR) Training Centre Administration of Navigable Constanta Maritime University Canals (CN ACN SA) River Administration of Lower Mircea cel Batran" Naval Danube Galati Academy National Company Maritime Ports Administration Constanta (MPAC). Ministry of enterprise, energy KTH (former Royal Institute of Vinnova research support Eriksberg Shipyard Swede and communications Technology) KTH Transport agency Kockum Shipyard n Transportstyrelsen (The board Platform VTI research institute covering Karlskronavarvet (affiliated with of Directors for transport) VTT all transport modes Kockum) Sjöfartsverket (The agency University of Gothenburg for transports on water) Ministry of Education Ministry of Higher Education, University of Ljubljana - Faculty Public Agency of the Republic Seaport: Sloven

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Political System Education and Research System Innovation Infrastructure Industrial System ia Science and Technology of Maritime Studies and of Slovenia for Railway Luka Koper, d.d. (directorate for technology) Transport Transport, Shipyard: Ministry of Economy University of Maribor Slovenian Research Agency, Shipyard Izola (directorate for Institut Josef Stefan, Slovenian Competitiveness Shipping: entrepreneurship) 2006-2013, Intereuropa The Ministry of Transport Technology park Lubljana, Viator & Vektor Slovenian Maritime Technology park Pomurje, Fersped Administration Slovenian technology agency Eurošped 2001 Slovak ia Department for Transport UK Universities (e.g. Newcastle, Marine Industries Leadership Marine renewable devices United Department for Energy & Strathclyde, Southampton, etc) Council Marine Equipment Kingdo Climate Change University College London Shipbuilding m Department for Business, Research Centres Marinas Skills and Innovation Security and safety equipment Department for Environment Shipping operators and Rural Affairs Ports and terminals UK Trade and Investment Business services (insurance, Department for Education and finance, law, etc.) Skills Offshore and coastal Maritime and Coastguard infrastructure Agency Abstraction (fisheries, aquaculture, etc) Drewry Shipping Consultants

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3.4.3 Funding sources and R&D investment in maritime Recent work by the European shipbuilding industry points to Research, Development & Innovation expenditures in the range of 9-11% of the turnover. An estimated 1 to 2 per cent is spent on the “R” (basic and industrial research), involving the maritime universities and research institutes as well. In the offshore industry this part is likely to be higher, as well as in major parts of the marine equipment sector and the naval sector. Other sectors may have lower percentages of “R” expenditure. The turnover of the European maritime industry, largely represented in WATERBORNE TP, is well over €200 bn. Only the (major) part of this turnover that is spent on hardware investment, as opposed to consumables and operational costs, is relevant in terms of the implementation of the WSRA. Furthermore the turnover figures have to be corrected for double accounting between the various actors. Taking this into account one can reasonably assume that given an average of 1.5% of the relevant turnover of the maritime cluster, yearly €1.5 bn is spent on Research (R). Companies will have to at least maintain this level of expenditure in the future to keep world leadership. In order to create the European maritime future as outlined in the WATERBORNE TP Vision 2020 document, waterborne stakeholders expect that an extra effort will have to be made on specific complex and high risk issues. Given that the cyclical nature of any downturn leads to increased competition. This can only be countered by increased Research now, leading to innovative European products and processes when they are needed. A conservative effort would be an increase with 10 to 15 per cent, leading to an estimated €1.65 billion to €1.75 billion spent for Research per annum4. It should not be forgotten that the funding for RDI activities, including Research, comes in the vast majority from private sources. National maritime research programmes, regional and EU programmes offer important incentives through co-financing.

EU 4%

National 15%

Private 81%

Figure 3.8: Share of spending in maritime related R&D

4 Waterborne TP Implementation Route Map, Issue 2, May 2011, p.14 138

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In the FP7 covering the years from 2007 to 2013, the Transport theme amounts to € 4.2 billion for all transport modes. Assuming a funding of € 1.3 billion to € 1.4 billion for surface transport and an equal allocation of these funds over the modes, this provides around €450 million for waterborne transport over the entire period i.e. around €70 M per annum. From different reports (including ERA.Net MARTEC) and sources, it appears that the EU27 members‟ national funding of maritime research could amount up to €260 M per annum. Assuming that €1.7 billion needs to be financed every year for the implementation of the ambitious WSRA, Figure 3.8 presents the respective shares of the funding sources. European funds are predominantly used to support Pre-Competitive, Fundamental and Scientific Research, while Applied Research “close to market” is largely financed by private equity. To level the burden and to stimulate cross-border multi-party Research, an increase in National funding should be advocated5. Numbers of FP7 projects from maritime sector per each country are shown in Figure 3.9.

Maritime Projects 25 22

20 18 18 17 15 15 14 14

10 10 10 10 9 9 8 6

5 4 3 3 3 2 2 2 1 1 1 0 0 0 0 0 0

Figure 3.9: The number of maritime projects in analysed countries

In annex – Maritime, national funding instruments are presented.

5 Waterborne TP Implementation Route Map, Issue 2, May 2011, p.15 139

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3.5 Inland waterways The analysis performed within the inland waterways sector provides an overview of actors and stakeholders and of concentration of R&D funding at European level. The analysis performed within the inland waterways sector for each of the EU Member States is in the Annex.

3.5.1 Inland waterways market and industry characteristics The inland navigation vessel industry has four sectors: commercial (wet bulk cargo, dry bulk cargo, containers cargo and cruise), leisure, ferryboats and river police. We consider in this overview the commercial freight sector (wet bulk, dry bulk and containers), using self- propelled cargo vessels, coupled units and push convoys. In most cases, one vessel represents one owner (or one family), but with a trend towards increasing the size of the vessel. This applies first of all for Belgium, The Netherlands and for the Navigation of the Rhine. Nevertheless, shipping companies (owning more than one vessel) and own-account transportations are also present in the market. Cooperatives between individual owners are set up more frequently after the full deregulation of the market. Fleet ownership is concentrated in a limited number of countries (Dutch, German and Belgian, representing 89% of total tonnage). It is common practice that vessels‟ hulls are built in the Asian countries. Completion of the vessels is taken care of in Europe (e.g. the wheelhouse and engines). Only a small number of European yards still build the complete vessel. The industry can be divided into shipyards, marine equipment suppliers with a range of engineering consultancies for design. Nevertheless, the single ship captain owners mainly work with local (European) parties rather than go abroad themselves to work with foreign yards. Vessels are assigned a vessel number (“Europe Number”). From 2007 on, this is referred to as the unique European Number of Identification. This number is used in case the vessel is being registered, for example in case of calling at a port. Vessels are also classified into the CEMT-class (Conférence Européenne des Ministres de Transport), giving a typology to vessels related to the capacity of the inland waterway. As such, this classification system affects innovation in the inland navigation sector, as the development of the vessels is adapted to the infrastructural limitations and regulations. The infrastructure in inland navigation consists of ports, waterways, hinterland terminals and individual companies using inland navigation and navigation aids (for example: river information systems). Navigation requirements are determined by local waterways administrators, the ports, CCNR and DC. Formal documents that are needed to carry out inland waterway transport depend on the sailing area, the type and characteristics of the vessel and specific circumstances. Innovations in the inland navigation sector are mainly focused on improving efficiency, limiting emissions and operational matters and not on fundamental changes to the nature of the vessel. Financing inland navigation is a special niche for the banking sector, because the inland navigation sector is perceived as capital intensive, high risk and a small sector. As such, it is not straightforward that banks generate interest for the sector and so not all banks are

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area specialised or are giving loans to individual ship owners. This applies also to insurance of inland navigation vessels. On the European level there are several important groups of actors; the national governments and their representatives, the river commissions, the EU-institutions and interest groups. Because of the European enlargement more actors joined the policy making process. The Figure 3.10 below represents the sectoral innovation system for the Inland Waterways sector. The structure of the SSI reflects the complexity of this system, with an important role for transnational regulatory bodies in the political system, duplicated by a „Regulatory system‟. Regarding the innovation infrastructure it is important to note that it targets particularly ship owners, as well as the European certification processes. Inland navigation retains a small share in the overall freight traffic in the EU, however it is highly significant in regions with navigable waterways and set to become even more important. As mentioned above the industry has four sectors: commercial (wet bulk cargo, dry bulk cargo, containers cargo and cruise), leisure, ferryboats and river police, but this work will focus on the commercial freight sector (wet bulk, dry bulk and containers), using self-propelled cargo vessels, coupled units and push convoys.

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Figure 3.10: Innovation system in inland waterways sector [Source: Market-up]

3.5.2 Actors and stakeholders in inland waterways The structure of the actors and stakeholders for inland waterways happen to be similar to the one for maritime transport, and consequently it makes sense to speak of a „Waterborne Community‟. Indeed the technological platform is the same for both modes of transport. In general this community is composed of representatives from Industry (Manufacturers, Users & Service Providers), Society (Regulatory, Research & Education Organisations, Unions) and Public Authorities (Commission & Members States). The most important actors and stakeholders of inland waterways research in the European Union are presented in Table 3.5 below following the structure presented in Figure 3.10 with the inland waterways innovation system.

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Table 3.5 - Actors and stakeholders for inland waterways research in the European Union Political System Education & Innovation Industrial System Research Systems Infrastructure European Commission EDINNA FP7 (Various Marine Equipment Programmes) River Commissions Waterborne TP TEN-T Interest groups Shipyards Life + UNECE Ship-owners Marco Polo Inland Shipping Eureka Classification Societies Trade Unions Ports Terminals Dredging Leisure Craft

Political System On the European level, there are several important groups of actors; the national governments and their representatives, the river commissions, the EU-institutions and interest groups. Because of the European enlargement more actors joined the policy making process. The river commissions are setting technical and legal standards for the navigation in their respective river basins. The two most important river commissions are the CCNR (Central Commission for Navigation on the Rhine) and the DC (Danube Commission). Next to riparian countries the CCNR also includes Belgium and the DC includes Russia because of historical reasons. Both river commissions are responsible for the preservation of the freedom of the river and offer a separate legal regime on several issues. Other river commissions are the Mosel Commission and the international Sava River Basin Commission. The interest groups are formal partner with the river commissions and with the European Commission. They represent the interest of various segments of the inland navigation sector at European level at the industry level. The most important are EBU (European Barge Union), ESO (European Shipping Organisation) and IVR (Internationale Vereniging van het Rijnschepenregister[1]). These interest groups give nautical-technical expertise to the European institutions and lobby actively to put issues on the policy agenda. They exist of representatives of several national interest groups such as the Dutch CBRB (Central Bureau for the Rhine and inland navigation) which is a member of EBU. The ESO includes for instance the VBR (Association of Belgian Ship owners). The main difference between EBU and ESO is that the latter exists out of vessel owners that are active as a skipper in contrast

[1] International Association for the representation of the mutual interests of the inland shipping and the insurance and for keeping the register of inland vessels in Europe 143

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area with EBU where the majority exists out of passive ship owners and vessel charterers. The IVR focuses on legal issues and strives to uniform or standardize the different legal regimes. Next to the non-governmental interest groups, INE (Inland Navigation Europe) also promotes inland navigation towards European policy makers and towards the public opinion. INE includes several promotion agencies (such as the Flemish Promotion Inland Navigation) on the national level and delivers practical and relevant information to the sector in order to facilitate and stimulate inland navigation. The inland navigation industry is furthermore represented by the ETWF (European Transport Workers‟ Federation) and the EFIP (European Federation of Inland Ports). On the Pan-European level the UNECE (United Nations Economic Commission for Europe) is also active in the unification of inland navigation policy and offers a larger assembly than the EU. The most recent UNECE treaties are the ADN (Accord Européen Relatif au Transport International des Marchandises Dangereuses par Voies de Navigation Intérieures) and CMNI (Convention de Budapest Relatif au Contrat de Transport de Marchandises en Navigation Intérieure) which installs single Pan-European regimes for dealing with dangerous goods and for international transport contracts. The variety of organisations sometimes lead to uncertainty in regulation, stated as: “Potential uncertainties as to the applicability of EU legislation to navigation on the Rhine, governed by the Mannheim Convention, which precedes EU legislation and involves a third State (Switzerland), are being resolved by progressive harmonization between the two regimes and close cooperation between the EC and the CCNR” (UNECE, 2011) For example, directive 2006/87/EC is “intended to promote European river transport by improving the technical harmonisation of vessels. It is designed to lay down a high level of safety equivalent to that for shipping on the Rhine. To achieve this, it provides for the introduction of a Community certificate for inland waterway vessels in each Member State, to be issued by the competent authorities, authorising them to operate on Community waterways including the Rhine.” All these interest groups and (Pan-)European institutions are involved in the NAIADES program of 2006 and show also special interest in R&D for example the RIS (River Information System).

Education and research system The main driving force in education on a European level is EDINNA (Education in Inland Navigation), a PLATINA project funded under 7th Framework Programme for RTD. The research system consists of national research institutes and universities. The DELFT University of Technology is active in various fields of innovation in the inland shipping sector, ranging from economic and environmental assessment to conceptual ship design issues. Education in logistics (including the use of inland navigation) is offered at secondary schools, high schools and universities.

Innovation Infrastructure Within the innovation infrastructure, the most important financing instruments for inland waterways research are within the European Commission‟s Framework Programme (FP7), complemented by the Trans-European Networks for Transport, Life+ and Marco Polo 144

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area programmes. Eureka is particularly important for providing assistance for market oriented research and runs SME-specific programmes.

Industrial system The infrastructure in inland navigation consists of ports, waterways, hinterland terminals and individual companies using inland navigation and navigation aids (for example: river information systems). Navigation requirements are determined by local waterways administrators, the ports, CCNR and DC. Formal documents that are needed to carry out inland waterway transport depend on the sailing area, the type and characteristics of the vessel and specific circumstances.

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Political System Education and Research System Innovation Infrastructure Industrial System BMWF (Federal Ministry of Technische Universität Wien FFG - Austrian Research INDUSTRIE-LOGISTIK-LINZ Austri Science and Research) Austrian Research Centre Promotion Agency GMBH & CO KG a Federal Ministry of Transport, Austrian institute of Technology AustriaTech - Federal Agency BOEHLER SCHMIEDETECHNIK Innovation and Technology (AIT) for Technological Measures GMBH & CO KG (BMVIT) via Donau - Österreichische TUV AUSTRIA SERVICES GMBH Federal Ministry of Economy, Wasserstraßen-Gesellschaft mbH FRONIUS INTERNATIONAL Family and Youth (BMWFJ) GMBH DONAU TRANSPORTENTWICKLUNGS- GESELLSCHAFT MBH Herry Consulting TeleConsult Austria GmbH Vienna Model Basin Ltd Wiener Linien GmbH & Co. KG K.T.A. Zwijndrecht – Initiatives at federal and Ship owners Belgiu Governments CENFLUMARIN regional level Shipping agents m Federal government (Belgian VDAB Shipyards Shippers: often owners of the Federal Ministry of Transport Others K.T.A. Zwijndrecht – goods, sometimes also own and Mobility) CENFLUMARIN ships Federal Science Policy Office Research centres Shipyards: equipping new ships http://www.belspo.be/ GRT http://www.grt.be and repairs Regional governments University of Antwerp, On-shore service providers Department of Transport and The river commissions Bunkering service providers Regional Economics Central Commission for http://www.ua.ac.be/tpr Navigation on the Rhine Flanders Institute for Logistics (CCNR) (VIL) http://www.vil.be/ Danube Commission (DC) Cluster Transport & Logistics Mosel Commission (MC) Wallonia http://clusters.wallonie. Sava River Basin Commission be/transport-logistique/en (SRBC)

Other international organizations United Nations Economic

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Political System Education and Research System Innovation Infrastructure Industrial System Commission for Europe (UNECE) Interest groups European Barge Union (EBU) European Shipping Organisation (ESO) Internationale Vereniging van het Rijnschepenregister (IVR) Inland Navigation Europe (INE) European Transport Workers‟ Federation (ETWF) European Federation of Inland Ports (EFIP) Ministry of transport, Technical University Varna OP Transport, EU Structural Rousse Shipyard (privatised by Bulgar information technology and Naval Academy Funds German Company) ia communications Bulgarian Academy of Sciences, priorities: improvement of the Bulgarian River Shipping (it is also the Managing Hydro- and aerodynamics centre maritime and inland-waterway J.S.Co. (freight transport, state Authority of the OP Transport - Varna navigation; intermodality owned) within EU Structural Funds) Rubiships Ltd (freight transport, Agency for Exploration and private company) Maintenance of Danube River

Cyprus Ministry of Transport - The Transport Research Centre / Consultancies and Research: Czech Directorate of Waterways Centrum dopravního výzkumu, Advanced Engineering s.r.o. Republ Ministry of Transport - v.v.i. (CDV) ic Department of Navigation VYSOKÉ UČENÍ TECHNICKÉ V BRNĚ - Ústav vodního hospodářství obcí BMBF (Federal Ministry of Institut Fuer German Research Foundation, German Federation Of Germa Education and Research) Seeverkehrswirtschaft Und Dfg Industrial Research ny

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Political System Education and Research System Innovation Infrastructure Industrial System BMWi (Federal Ministry of Logistik Central Innovation Programme Associations "Otto Von Economics and Technology) Mpg (Max Planck Society) For Smes Guericke" (Aif) For Smes Federal Ministry of Transport, Fhg (Fraunhofer Society) Germanischer Lloyd Hdw Building and Urban Hgf (Helmholtz Association Meyer Werft Development (BMVBS) Wgl (Leibniz Society) Blohm Und Voss German Aerospace Center (Dlr) Mtu Center Of Maritime Technologies Caterpillar Mak E. V. Flensburger Schiffbau- Bundesanstalt Fuer Gesellschaft Mbh Co. Kg Gewaesserkunde Hamburgische Schiffbau- Entwicklungszentrum Fuer Versuchsanstalt Gmbh Schiffstechnik Und Jos. L. Meyer Gmbh Transportsysteme E.V. Transport Consultancies: Mkmetric Uleme E.E.I.G Ministry of Science, Roskilde University Centre Danish Agency for Science, Danish Transport Federation Denma Technology and Innovation Technical University of Denmark, Technology and Innovation Danish Transport and Logistics rk Danish Ministry of Transport University of Copenhagen, Danish Shipowners‟ Association Association (Transportministeriet) Aalborg University Danish Council for Independent J. Lauritzen A/S (ship owning), Danish Maritime Authority University of Southern Denmark, Research FORCE Technology (Sofartsstyrelsen) Department of Maritime Danish Council for Strategic COWI, TetraPlan, Ramboll, etc. Research and Innovation Research (see “Consultancies”) Svendborg International Maritime Danish National Research Danish Centre for Maritime Academy Foundation Technology Danish Transport Research Institute Estoni a Spain Ministry of Education VTT Technical Research Centre Tekes Shipowners Finlan Ministry of Employment and Centre for Maritime Studies in Academy of Finland Finnish Shipowners´ d

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Political System Education and Research System Innovation Infrastructure Industrial System Economy the University of Turku. Finvera Associations Research and Innovation University of Aalto Finpro Shipbuilding Council Helsinski University of - Sitra Wärtsilä Ministry of Transport and Technology - Industry Investment Ltd STX Finland Cruise Oy Communications Maritime Institute of Finland - Machine Technology Centre Ports Finnish Transport Agency Ltd (Koneteknologiakeskus Finnish Port Operators Turku Oy) Association - Finnish Metals and Other Engineering Competence Finnish Waterway Association Cluster Ministry for Ecology, INRETS – French National OSÉO – (National Organization Infrastructure: France Sustainable Development, Institute for Research on for SME‟s innovation support VNF – Waterways of France Transport and Housing Transport and Safety and financial help) Operators: Ministry for Economy, Finance CETMEF – Knowledge Centre for CERTU – Centre for Knowledge CFNR Group and Industry Maritime and Inland Waterways of Transport, Urban Planning Consultancies Ministry for Higher Education ANR – The French National and Public Constructions and Research Research Agency Research and Technical GART – The French Union of University of Nantes Innovation Networks:- PREDIT Transport Authorities programmes VNF – Waterways of France VNF – Waterways of France Greece Ministry of National Resources Budapest University of National Innovation Office Operators Hunga National Transport Authority, Technology and Economics, Hungarian Current Research (Balaton Shipping Co., ry Shipping Authority Department of Aircraft and Ships Infrastructure System MAHART-Passnave Ltd., BKV Department Institute for Transport Sciences New Széchenyi Plan, Inland Co., etc. ) Non-profit Ltd. waterway transport Infrastructure Development Action (MAHART Szabadkikötő Ltd., Kenese Marina-Port Ltd., Dunaferr Kikötő Kft, etc.) Manufacturers (MAHART Tiszayacht Ltd., Schäfer Yacht Ltd., FlyYacht

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Political System Education and Research System Innovation Infrastructure Industrial System Ltd.) Consultancies (Seacargo Shipping Co., Periplus 24 Ltd.) Department of Transport Centre for Transportation Research in the National Roads Infrastructure: Irelan National Transport Authority Research and Innovation for Authority Inland Waterways Association d (NTA) People (TRIP) at Trinity College Pilot Transport Research of Ireland (IWAI) Dublin Programme (2002-2006) The heritage council Transport Study and Research Group (TSRG) at Trinity College Dublin (TCD) Civil Engineers in Transportation Engineering at University College Dublin (UCD) Ministry of Education, University of Genoa ISFORT - High Institute for Infrastructure Italy University and Research Transport Education and Navigli Lombardi s.c.a.r.l. (MIUR) Research / Istituto Superiore di Province of Ferrara Ministry of Economic Formazione e Ricerca per i (Both organisations involved in Development Trasporti the WaterWays forward Ministry of Infrastructures and FIRB - Fund for Investments in programme) Transport (MIT) Fundamental Research / Fondo Ministry of Environment and per gli Investimenti della of Territory and Sea Ricerca di Base Protection Industry 2015 - Sustainable National Research Council Mobility / Industria 2015 - (CNR) Mobilità sostenibile PFT2 - Second Targeted Programme on Transport / Progetto Finalizzato Trasporti 2 FAR - Fund for Research Facilitation / Fondo per le Agevolazioni alla Ricerca

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Political System Education and Research System Innovation Infrastructure Industrial System Latvia Ministry of transport and Vilnius Technical Universities. Lithuanian Maritime Foundation Lithua communications of Coastal Research and Planning nia the Republic of Lithuania Institute in Klaipeda University Luxinnovation Belgian group DEME Luxembourg Marine Services, Luxem Commissioner for Maritime Affairs Institute university international French group Bourbon CFL- Multimodal bourg of the Ministry of Economy and Luxembourg Jan De Nul Group Foreign Trade University of Luxembourg Malta Ministry of Transport TU Delft The „Blue Road‟ Container Operators Nether Public Works and Water Netherlands Foundation for Subsidieregeling Innovatie Dry Loading Operators lands Management Scientific Research Binnenvaart Passenger Transport Ministry of Education, Culture Senter Novem Het eductatieprogramma Tank Operators and Science Energy Research Centre of the binnenvaaart Towing and special operators Ministry of Economic Affairs Netherlands Small Business Innovation Shipbuilders Ministry of Housing, Spatial KiM – Netherlands Institute for Research Kleine Vaarwegen Marine equipment Planning and Environment Transport Policy Analysis manufacturers MARIN Classification Societies Onderwijs Zentrum Binnevaart Expertise & Innovatie Centrum Binnenvaart Panteia (NEA) The Ministry of Infrastructure Transport Faculty of the Polish Agency for Enterprise Seaports authorities Poland (Ministerstwo Infrastruktury) Technical University Warsaw Development (PARP) The Ministry of Science & (Politechnika Warszawska) National Strategic Reference Higher Education Gdansk University of Technology Framework 2007–2011 (Ministerstwo Nauki i (Politechnika Gdańska) Szkolnictwa Wyższego) Polish Academy of Science The Ministry of Environment (Polska Akademia Nauk) (Ministertwo środowiska) Maritime Institute in Gdańsk National Water Management

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Political System Education and Research System Innovation Infrastructure Industrial System Authority (Krajowy Zarząd Gospodarki Wodnej) Regional Water Management Boards (Regionalne zarządy Gospodarki Wodnej) Portug al Ministry of Transport and "Mircea cel Batran" Naval CERONAV - Romanian Maritime S.C. ICEPRONAV SA Romania Roman Infrastructure Academy Training Centre ROMNAV Braila SA – Romania ia Romanian Naval Bureau Veritas SRL – Romania Authority (ANR) National Company Maritime Administration of Navigable Ports Administration Constanta Canals (CN ACN SA) (MPAC). River Administration of Lower Danube Galati Ministry of enterprise, energy KTH (former Royal Institute of Vinnova research support A large number of smaller Swede and communications Technology) KTH Transport agency shipyards and in addition, in n Transportstyrelsen (The board Platform VTI research institute covering some cases, major ones like of Directors for transport) all transport modes Kockums and Karlskronavarvet Sjöfartsverket (The agency for Chalmers Automotive and Waxholmsbolaget operating transports on water) transport Academy small ships in the Stockholm Ministry of Education Archipelago AB Göta kanalbolaget is maintaining and improving the installations of the Göta Kanal as well as providing services for the operators of boat traffic on the canal and related services Ministry of Higher Education, University of Ljubljana - Faculty Public Agency of the Republic Seaport: Sloven Science and Technology of Maritime Studies and of Slovenia for Railway Luka Koper, d.d. ia (directorate for technology) Transport Transport, Shipyard: Ministry of Economy University of Maribor Slovenian Research Agency, Shipyard Izola

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Political System Education and Research System Innovation Infrastructure Industrial System (directorate for Institut Josef Stefan, Slovenian Competitiveness Shipping: entrepreneurship) 2006-2013, Intereuropa The Ministry of Transport Technology park Lubljana, Viator & Vektor Slovenian Maritime Technology park Pomurje, Fersped Administration Slovenian technology agency Eurošped 2001

Ministry of Transport, Maritime School in Bratislava Infrastructure: Slovak Construction and Regional University of Zilina – The Faculty Slovenská plavba a prístavy a.s. ia Development of the Slovak of Operation and Economics of (SPAP) Republic Transport and Communications – Slovenský vodohospodársky Ministry of Education, Science, Department of Waterway podnik, š.p. (SVP) Research and Sport of the Transport Operators: Slovak Republic University of Zilina – CETRA, Slovenská plavba a prístavy a.s. Ministry of Environment of the Centre of Transport Research (SPAP) Slovak Republic University of Zilina – Institute of Consultancies and Research: Slovak Technical Standards competitivenes and innovations Water Research Institute Water Research Institute Department for Environment N/A N/A Equipment Manufacturers United and Rural Affairs Classification Societie Kingdo Association of Inland m Navigation Authorities

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3.5.3 Funding sources and R&D investment in inland waterways On the EU level for the projects in inland waterways sector the EU Framework Programme funding is the EU‟s main instrument for funding research and technological development activities. On the member state level, typically, national, regional or local government funds are available for R&D in the sector. Regional and local financing is often focused on infrastructure development projects. Also, companies working in the sector are financing R&D activities related to their business interests. Data for FP7 projects from inland waterways sector per country are shown in Figure 3.11.

IWW Projects 3,5

3 3 3 3 3

2,5

2 2 2 2 2

1,5

1 1 1 1

0,5

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Figure 3.11: Numbers of inland waterways FP7 projects

In annex – Inland Waterways Transport, the overview on national funding per MS is provided.

3.6 Intermodal sector The analysis performed within the intermodal sector provides an overview of actors and stakeholders and of concentration of R&D funding at European level. The analysis performed within the intermodal sector for each of the EU Member States is in the Annex.

3.6.1 Intermodal market and industry characteristics Since intermodal transport involves two or more sectors, it can be considered as a set of combinations of transport modes. However, this is misleading, where there are actors with a specialisation in intermodal transport. Here, the analysis will concentrate on rail-road intermodal innovation, since the case study in WP3 will address rail-road transport.

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The Figure 3.12 below represents the application of the SSI to intermodal transport, and provides important input to guide the organisation of information to be collected about this sector.

Figure 3.12 : Innovation system in the intermodal transport sector [Source: Market-up]

A particular feature of intermodal transport is the position of intermodal terminal operators and handling equipment. Standards for equipment and software interfaces have to be developed and accepted for intermodal transport to be possible. Such standards have been determined by the characteristics of the transport systems involved and innovation is often developed by transport operators and transport equipment suppliers. However, there is also a major area of innovation in the application of ICT to logistics (Anderson and Leinbach,

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2007)6. This is in provided value added services to customers around the transport function itself e.g. freight tracking systems, E-markets for transport procurement, EDI (Electronic Data Interchange). Such changes have been developed in response to customer requirements, which illustrates the importance of developments in other commercial markets for transport as an intermediate product. Innovation in rail-road transport is often dependent on policy e.g. the requirements for RoLA rail transport through the Alpine corridors. Intermodal transport is also often seen as the only way to promote a change in the modal split away from road transport and is a major feature of EU transport policy. Intermodal transport (IT) belongs to progressive transportation systems, which were developed by connecting advantages of single kinds of transport. That way, IT networks aim to support cargo transportation from the production place to the place of usage (door-to- door). In the last few years a lot of political energy has been placed in the development and expansion of IT in order to allow a more efficient functioning of the transport sector. Within such effort progress has been promoted in several sub-sectors of intermodal transport chains, such as palletisation, collection service and systems of joint loading and unloading which is used mainly on railways. IT is generally defined as cargo traffic in one transportation unit that along its movement uses at least two different means of transport. The collocation intermodal transport is in scientific literature, rulings, contracts or other documents consecrated by many definitions which are affected by approach or problems (technical, economical or transport-political). Most of definitions contain 4 items. Transportation case (unified transportation unit), Transportation chain (connection of means of transport), Continuous transportation (during reloading stays cargo in unified transportation unit and that unit is handled), and Multimodality. Four major functions define an intermodal transport chain: Composition: The process of assembling and consolidating freight at a terminal that offers an intermodal interface between a local/regional distribution system and loads of freight coming from different suppliers is assembled at distribution centres so they can be forwarded to high capacity modes such as rail and maritime shipping. The dominant mode for such a process tends to be trucking as it offers flexibility and door-to-door services. Activities such as packaging and warehousing are also included in the composition process, which is closely linked with the function of production. Connection: Involves a consolidated modal flow, such as a freight train or a containership (or even fleets of trucks), between at least two terminals, which happens on the realm of national or international freight, distribution systems. The

6 Anderson W. P. & Leinbach T.R. (2007) E-commerce, logistics and the future of globalized freight pp. 167-188 in T.R. Leinbach and C. Capineri (eds.) Globalized Freight Transport, Edward Elgar, Cheltenham UK and Northampton, USA. 156

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efficiency of a connection mainly derives from economies of scale, such as double stacking or post-panamax containerships. Interchange: The major intermodal function takes place at terminals whose purpose is to provide an efficient continuity within a transport chain. Those terminals are dominantly within the realm of national or international freight distribution systems, with ports being the most notable example. Decomposition: Once a load of freight has reached a terminal close to its destination it has to be fragmented and transferred to the local/regional freight distribution system. Commonly referred as the “last mile” and often represents one of the most difficult segments of distribution. This function, which is linked with the function of consumption, dominantly occurs within metropolitan areas and involves unique distribution problems also known as urban logistics.

3.6.2 Actors and stakeholders in intermodal sector Definition of actors and stakeholders in intermodal sector is influenced by the others transport sectors. Usually intermodal actors and stakeholders are also interesting in other transport areas. The most important actors and stakeholders of intermodal research in the European Union are presented in the Table 3.6 below following the structure presented in the Figure 3.12 with the intermodal transport innovation system.

Table 3.6 - Actors and stakeholders for intermodal research in the European Union Political systems Education and Innovation Industrial system research system infrastructure United Nations European International UIRR Commission Association of Public European EIA Transport (UITP) Commission CPN EUREKA Ministries of FIATA Transport in all EU European countries Commission – Joint IATA Research Centre IRU FP 7 UIC

Industrial system Companies active in the area of intermodal transport are mostly connected in two main networks which are directly involved in intermodal transport:

UIRR (International Union of Combined Road-Rail Transport) Created in 1970, initially in the form of a de facto association, the International Union of Combined Road-Rail Transport Companies, abbreviated as UIRR, took on the form of a co- operative limited company under Belgian law in 1991.

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It has 18 member companies and has a working structure that is classical for a commercial company of this type, that is to say a General Meeting of Shareholders, a Board of Directors, member companies, and internal working committees or committees working in cooperation/consultation with external entities. UIRR was involved in several R&D projects from FPs and Marco Polo (BRAVO, NEW OPERA, TRACEBACK, SINGER, LUNA, INSECTT, FASTLINK, SLMU, LEMURE and OCRA)

European Intermodal Association (EIA) The European Intermodal Association (EIA) is an international independent platform promoting sustainable intermodal mobility in Europe by combining innovative rail, waterway, road, air and maritime transport solutions. The EIA was founded in 1993 and is the first neutral European Intermodal Organization open to all transport modes recognised by the European Commission, while it has an NGO status within the UN and ITF (former ECMT/OECD). It has now more than 90 members; market leaders in the transport industry and related business, throughout Western and Eastern Europe including USA and China. Companies from the area of intermodal transport could be also connected in following networks which are not directly involved in intermodal transport: CPN (Cargo Partner Network), FIATA (International Federation of Freight Forwarders Associations), IATA (International Air Transport Association), IRU (International Road Transport Union), UIC (International Union of Railways)

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Political System Education and Research System Innovation Infrastructure Industrial System BMWF (Federal Ministry of Uni Innsbruck Ffg - Austrian Research Cargotechnologies Gmbh Austri Science and Research) Via Donau - Österreichische Promotion Agency Wiener "Transport a Federal Ministry of Transport, Wasserstraßen-Gesellschaft Mbh Austriatech - Federal Agency Infrastructure Needs Innovation and Technology Österreichisches Forschungs- For Technological Measures Assessment" Bürobetriebs (BMVIT) Und Prüfzentrum Arsenal Rtca Rail Technology Cluster Ges.M.B.H. Federal Ministry of Economy, Ges.M.B.H. Austria Tina Vienna - Transport Family and Youth (BMWFJ) Forschungsgesellschaft Mobilitat Strategies Gesm.B.H. Gmbh Intema Consult Marketing Austrian Research Centre Dienstleistungs Gesmbh Austrian Institute Of Technology Donau Transportentwicklungs- (Ait) Gesellschaft Mbh Technische Universität Wien Eveco Software Gmbh Technische Universität Graz Herry Consulting Paris Lodron Universität Salzburg Kuhne + Nagel Gmbh ÖBB Österreichisches Forschung- Und Prüfzentrum Gmbh Teleconsult Austria Gmbh Governmental bodies See individual mode sections See individual mode sections Intermodal terminals Belgiu 7 Belgian Federal Ministry of m Antwerpen ATO, Antwerp Transport and Mobility Antwerpen Cirkeldyk, Antwerp Federal Science Policy Office Antwerpen Combinan, Antwerp Federal Ministry of Economic Antwerpen Main-Hub, Antwerp Affaires Antwerpen Zomerweg, Antwerp Flemish Ministry of Mobility Athus Container Terminal, and Public Works Athus Flemish Ministry of Innovation Charleroi Dry Port, Charleroi Flemish Ministry of Education Genk Euroterminal, Genk Flemish Ministry of Economy Liège Logistics Intermodal,

7 Source: KombiConsult database, http://www.intermodal-terminals.eu/database/, 13.07.2011 159

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Political System Education and Research System Innovation Infrastructure Industrial System Rail transport Grâce-Hollogne SNCB/NMBS holding Mouscron Dry Port, Mouscron DVIS Muizen Dry Port, Muizen NSA (National safety Renory Port, Angleur authority) Road operators NSI (National investigation Approximately 8700 licensed body) operators with ~55.5 thousand Regulatory Service (supervise trucks that can participate in the market, guard the the road leg of intermodal interests of the users and the freight carriage market general public) Rail operators Belgian Competition Authority SNCB/NMBS operating (Promoting and safeguarding passenger- and freight trains an active competition) Several private rail freight Belgian sea- and inland ports companies Unions Shipping lines CMA-CGM K-line Maersk others Ports Non-governmental organizations Fédération Belge des Exploitants d'Autobus et d'Autocars (FBAA) Groupement National des Entreprises de Taxis et de Voitures de Location (GTL) Fédération Belge des Transporteurs (FEBETRA) Ministry of Transport and UNIVERSITY OF ROUSSE ANGEL OP Transport, EU Structural Dockx Logistics (based in Bulgar Communications KUNCHEV Funds (priorities: Intermodality) Belgium) ia

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Political System Education and Research System Innovation Infrastructure Industrial System Ministry of Education APPLIED RESEARCH AND COMMUNICATIONS FUND EBOS TECHNOLOGIES LTD Cyprus (participation in 2 FP7 intermodal projects: E- FREIGHT and SKEMA) Ministry of Transport - The Transport Research Centre / Infrastructure Czech Combined Transport Centrum dopravního výzkumu, ČD Cargo, a. s. Republ v.v.i. (CDV) Česko-saské přístavy s.r.o. ic Operators METRANS, a.s. ČSKD INTRANS s.r.o. BOHEMIAKOMBI spol. s r. o. MAERSK CZECH REPUBLIC s. r. o. Argo Bohemia s. r. o. ERS Railways BMBF (Federal Ministry of RHEINISCH-WESTFAELISCHE German Research Foundation, German Federation of Germa Education and Research) TECHNISCHE HOCHSCHULE DFG Industrial Research ny BMWi (Federal Ministry of AACHEN Central Innovation Programme Associations "Otto von Economics and Technology) MPG (Max Planck Society) for SMEs Guericke" (AiF) for SMEs Federal Ministry of Transport, FhG (Fraunhofer Society) Germanischer Lloyd Transport consultancies: Building and Urban HGF (Helmholtz Association Bundesverband MKmetric Development (BMVBS) WGL (Leibniz Society) Güterkraftverkehr Logistik und FRAPORT GmbH German Aerospace Center (DLR) Entsorgung (BGL) e.V. Port of Hamburg Bavarian Research Foundation STUDIENGESELLSCHAFT FUR Port of Bremerhafen Applied Research Network DEN KOMBINIERTEN VERKEHR Port of Wörth Transport Systems Engineering E.V. Port of Duisburg Berlin (FAV) Port of Karlsruhe Foundation of Rhineland INSTITUT FUER Palatinate for Innovation SEEVERKEHRSWIRTSCHAFT FAV - Research Network UND LOGISTIK

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Political System Education and Research System Innovation Infrastructure Industrial System Transport and Mobility KOMBICONSULT GMBH TSB INNOVATIONSAGENTUR BERLIN GMBH HACON INGENIEURGESELLSCHAFT MBH Ministry of Science, Roskilde University Centre Danish Agency for Science, Danish Transport Federation Denma Technology and Innovation Technical University of Denmark Technology and Innovation Danish Transport and Logistics rk Danish Ministry of Transport Aalborg University Danish Road Institute Association (Transportministeriet) University of Copenhagen (Vejteknisk Institut) International Transport Danish Road Directorate Danish Transport Research Danish Council for Independent Danmark (freight) (Vejdirektoratet) Institute Research COWI, TetraPlan, Ramboll, etc. Danish Road Association Danish Council for Strategic Operators (DSB, Arriva, DB (Dansk Vejforening) Research Schenker Rail, Nord-Ostsee- Danish National Research Bahn, Railion), SAS, Danish Air Foundation Transport A/S, Cimber Sterling, MAERSK Star Air -Ministry of Economic Affairs Hama Investeeringud OU European Investment Bank Eesti Raudtee AS (Estonian Estoni and Transportation Enterprise Estonia Foundation Cohesion Fund Railway Ltd.) a Ministry of the Environment Archimedes Foundation European Regional EVR Infra Estonian Road Administration INNOVE Lifelong Learning Development Fund (ERDF) E.R.S. Ltd Development BRS (Baltic Rail Service Ltd.) Estonian Science Foundation ESTMA The Ministry of Public Works Universidad Pontificia ICAI / CENIT (Centro de Innovación COMBIBEIRA (Sociedad Ibérica Spain and Transport (Ministerio del ICADE Comillas Madrid del Transporte) de transporte Intermodal) Fomento) Universidad Politécnica de COMBITRANS (Transporte Ministry of Transport, Tourism Valencia Intermodal Fercam) and Communications Fundación Instituto Valenciano INTERCONTAINER- de Estudios del Transporte INTERFRIGO (ICF) (IVET) Logistica Mediterranea Cargo Universidad de Zaragoza Grupo TRANFESA de Investigación en transporte y Unidad de Trasnporte

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Political System Education and Research System Innovation Infrastructure Industrial System Logísitica Combinado de RENFE Universidad de Granada DRAGADOS S.P.L. Universidad Complutense de FLOTA SUARDÍAZ Madrid GRANDI NAVI VELOCI Universitat Autonoma de GRIMALDI GROUP (NAPOLES) Barcelona GRUPO BOLUDA MAERSK MEDITERRANEAN SHIPPING COMPANY NAVIERA DEL ODIEL S.A. NAVIERA O Y L VAN BON SHIPPING - Ministry of Education - VTT Technical Research Centre - Tekes - TRANSFENNICA LTD Finlan - Ministry of Employment and - University of Turku - Academy of Finland - WSP FINLAND LTD d Economy - Finvera - FINNCARRIERS OY AB - Research and Innovation - Finpro - STRAIGHTWAY FINLAND RY. Council - Sitra - SITO OY - Ministry of Transport and - Industry Investment Ltd - Mobisoft OY Communications - Finnish Transport Agency - The Transport Safety Agency (Trafi) Ministry for Ecology, INRETS – French National OSÉO – (National Organization Infrastructure: France Sustainable Development, Institute for Research on for SME‟s innovation support VNF – Waterways of France Transport and Housing Transport and Safety and financial help) UPF – French Ports Union Ministry for Economy, Finance ANR – The French National CERTU – Centre for Knowledge SNCF Infra and Industry Research Agency of Transport, Urban Planning Operators: Ministry for Higher Education ADEME - French Environment and Public Constructions SNCF and Research and Energy Management Agency Research and Technical RATP GART – The French Union of Innovation Networks:- PREDIT Novatrans Transport Authorities programmes Consultancies PREDIM - Platform for Research NESTEAR

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Political System Education and Research System Innovation Infrastructure Industrial System and Experimental Development of Multimodal Information. MoD-GSRT Aristotle University Of Foundation For Research And Hellas Transport Shipping Greece NCRT Thessaloniki Technology Hellas International Transport Sa Ministry of Transportation and National And Kapodestrian Hellenic Register Of Shipping K-Net S.A. Communications MTC University Of Athens S.A. Anco S.A. Agencies, Commerce Ministry of Mercantile Marine Athens University Of Economics & Industry MMM National Technical University Of Traffic And Transportation Hellenic Ministry for the Athens Consultants (Tte) Environment, Physical University Of Piraeus Tredit - Transeuropean Planning and Public Works Mercant Marine Academy Consultants For Transport, MEPPPW Mekedonia Development And Information Ministry of Economy and Hellenic Institute Of Transport Technology S.A Finance MEF Athena - Research And Zenon S.A. Robotics And PREFECTURE OF HERAKLIO Innovation Center In Informatics Information, Communication And Gac Shipping Sa, Thessaloniki's Knowledge Technologies Branch Centre For Research And Thessaloniki Port Authority S.A. Technology – Thessaly Anco S.A. Agencies, Commerce Institute Of Structures And & Industry Advanced Materials Anonymos Etaireia Antiprosopeion Emporiou Kai Viomichanias Systema S.A. Ministry of National Resources Budapest University of National Innovation Office Operators (MÁV-Cargo Ltd., Hunga Technology and Economics, Hungarian Current Research GYSEV-Cargo Ltd., Waberers ry Department of Transport Infrastructure System Holding Ltd., EUROSPED Economics New Széchenyi Plan, Ltd.,etc. ) Budapest University of Intermodal transport Infrastructure (Hungarokombi Technology and Economics, Development Action Ltd., BILK Kombiterminál Ltd., Department of Transport MÁV Kombiterminál Kft.) Technology

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Political System Education and Research System Innovation Infrastructure Industrial System Department of Transport Centre for Transportation The Science Foundation Ireland European Containers (ECS) – Irelan National Transport Authority Research and Innovation for (SFI) TIBBETT & BRITTEN d (NTA) People (TRIP) at Trinity College NDP - National Development (IRELAND) LTD State Agencies: C.I.E. Group; Dublin Plan Dockx Logistics Iarnród Éireann; Railway Transport Study and Research PRTLI -Programme for Transport Matters Ltd Procurement Agency; Railway Group (TSRG) at Trinity College Research at Third Level Safety Commission Dublin (TCD) Institutions Civil Engineers in Transportation DTO - Dublin Transportation Engineering at University College Office Dublin (UCD) Transport 21 – Infrastructure UCD Urban Institute Ireland Plan Rail Users Ireland‟s Infrastructure Plan The Ministry of Education, La Sapienza University, PRIN - Research Projects of Operators: Italy University and Research Dipartimento di Idraulica National Relevance / Progetti di Express-Interfracht Italia S.r.l – (MIUR) Trasporti e Strade, Rome Ricerca di Rilevante Interesse supply chain management National Research Council Politecnico di Milano Nazionale Intermodaltrasporti S.r.l - (CNR) Consorzio TRAIN FIRB - Fund for Investments in Servizio Trasporti Combinati National Energy Agency Istituto Superiore di Formazione Fundamental Research / Fondo Canil S.p.A (ENEA) e Ricerca per i Trasporti per gli Investimenti della Consultancy: National Institute for Statistics Ricerca di Base VECTOR Port & Transport (ISTAT) FAR - Fund for Research Solutions SAS di Andreas Ministry of Environment and Facilitation / Fondo per le Nigulis Territory Protection Agevolazioni alla Ricerca TRT Ministry of Infrastructures and PSN - National Aero-Space Plan ISIS (mostly urban) Transport (MIT) / Piano Aero-Spaziale Nazionale

Ministry of Transport See individual mode sections See individual mode sections Road Latvia Latvian ports, transit and More than 30 hauliers that logistics council specialize in container transport Association of Latvian Transit Approximately 4130 licensed Business operators that can participate

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Political System Education and Research System Innovation Infrastructure Industrial System in the road leg of intermodal freight carriage market Rail SIA „LDZ Cargo” [email protected] AS „Baltijas ekspresis” AS „Baltijas Tranzīta serviss”

Freeport of Riga Authority (Rīgas Brīvostas pārvalde) http://www.rop.lv/ Liepaja Port Special Economic Zone Authority (Liepājas Speciālās ekonomiskās zonas pārvalde) http://www.portofliepaja.lv/ Ventspils Free Port Authority (Ventspils brīvostas pārvalde) http://www.portofventspils.lv Rezekne Special Economic Zone (Rēzeknes speciālā ekonomiskā zona) The Ministry of Transport and VILNIAUS GEDIMINO Lithuanian Innovation Centre port of Klaipėda Lithua Communications (Susisiekimo TECHNIKOS UNIVERSITETAS (Lietuvos Inovaciju Centras) SUSISIEKIMO PASLAUGOS nia Ministerija) Lithuanian State Science and (MESP) The Ministry of Education and Studies Foundation (Lietuvos Science (Svietimo ir mokslo Valstybinis Mokslo ir Studiju ministerija ) Fondas) Klaipeda State Seaport National Long-Term Transport Authority and Transit Development Strategy

Transport Department Luxinnovation PRO INNO Europe CFL-Cargo, Luxem

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Political System Education and Research System Innovation Infrastructure Industrial System bourg Institute university international Luxembourg cluster initiative CFL- Multimodal Luxembourg Katcon Global, sa Lorry-Rail University of Luxembourg Goodyear,sa RGTR (Régime général des Public research centre Henri transports routier Tudor Malta Council for Science and University of Malta R&D Department of the Public Operators: Malta Technology (MCST) Transport Authority Tubeline Limited Ministry of Infrastructure, National Research & Innovation Medsea Shiping Agency Transport and (R&I) Programme INTEGRATED RESOURCES Communications (MITC) MANAGEMENT (IRM) COMPANY Malta Environment and LIMITED Planning Authority (MEPA) Ministry of Health Public Transport Authority Ministry of Transport, Public KiM – Netherlands Institue for See individual mode sections See individual mode sections Nether Works and Water Transport Policy Analysis lands Management TNO (Research Organisation for Ministry of Education Culture Applied Natural Sciences) and Science Universities Ministry of Economic Affairs Senter Novem Ministry of Housing, Spatial NOW (Netherlands Foundation Planning and Environment for Scientific Research) Panteia (NEA) The Ministry of Infrastructure Transport Faculty of the Polish Agency for Enterprise Infrastructure: Poland The Ministry of Science & Technical University Warsaw Development (PARP) PKP PLK (Polskie Linie Higher Education Politechnika Slaska (Silesian National Strategic Reference Kolejowe) University of Technology) Framework 2007–2011 PKP PNI (Przedsiębiorstwo Polish Academy of Science National Centre for Research Napraw Infrastruktury) ILIM and Development (NCBiR) Manufacturers: The Centre for EU Transport Bombardier Transportation Projects (CEUTP) Polska Operators:

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Political System Education and Research System Innovation Infrastructure Industrial System PKP SA (Polskie Koleje Państwowe SA) Gdanks Container Terminal Baltic Container Terminal MOPTC – Ministério das Obras IST – Instituto Superior Técnico QREN – Quadro de Referência Parque Expo Portug Públicas, Transportes e (University) Estratégico Nacional OTLIS al Comunicações FEUP – Faculdade de Engenharia Instituto de Soldadura e TRENMO, Engenharia Lda MEI - Ministério da Economia da Universidade do Porto Qualidade (ISQ) TIS.PT, Consultores em e da Inovação (University) FCT – Fundação para Ciência e Transportes, Inovação e MCTES - Ministério da Ciência, LNEC – Laboratório Nacional de Tecnologia Sistemas, S.A. PT Tecnologia e Ensino Superior Engenharia Civil (Public research Card4b IPTM - Instituto Portuário e organisation) CRITICAL SOFTWARE SA dos Transportes Marítimos, OPT, SA I.P. ADI – Agência da Inovação Metropolitan Transport Authorities of Lisbon and Porto Ministry of Transport and ICI - National Institute for ITC - Institute for Computers S.C. SIVECO ROMÂNIA S.A. Roman Infrastructure Research and Development in S.C. BIP S.A. - S.C Bucuresti CN-APMC - National Company - ia Informatics International Proiect S.A. Maritime Ports Administration S.C. INCERTRANS S.A. - Technical Sciences Association from Constantza Research Institute in Transports of Romania S.C. INTERMODAL S.R.L. URBAN PROIECT - National ASOCIATIA CENTRUL ASITRANS S.A. institute for research and NATIONAL DE PROMOVARE A URTP (Uniuni Romane de development in urbanism and TRANSPORTULUI INTERMODAL Transport Public) territory management INCERC - National institute for building research University of Craiova Ministry of enterprise, energy Chalmers Automotive and Vinnova research support Oresund Logistics based in the Swede and communications transport Academy agency south of Sweden, but also n

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Political System Education and Research System Innovation Infrastructure Industrial System Transportstyrelsen (The board KTH (former Royal Institute of VTI research institute covering covering part of the Danish of Directors for transport) Technology) KTH Transport all transport modes intermodal transports Trafikverket (The Swedish Platform CCI Intermodal Sweden AB Transport Administration) Sjöfartsverket (The Swedish Maritime Administration) Luftfartsverket (The Swedish Cicil Aviation Administration) Ministry of Education Ministry of Higher Education, University of Maribor Slovenian Research Agency, Railway infrastructure: Sloven Science and Technology University of Ljubljana, Slovenian Competitiveness Slovenske zeleznice, ia (directorate for technology) Omega Consult 2006-2013, Adria transport, Ministry of Economy DDC Consulting and Engineering, Terminals: (directorate for Rail/Road/Sea- entrepreneurship) Koper Luka KT, The Ministry of Transport Rail/Road- Ljubljana Moste, Maribor Tezno KT, Celje Cargo Operator: Adria Kombi Eurošped 2001 Fersped Viator & Vektor Consultancies: KombiConsult Ministry of Transport, University of Zilina – The Faculty CEIT - Central European Operators: Slovak Construction and Regional of Operation and Economics of Institute of Technology ZSSK CARGO – Transport by ia Development of the Slovak Transport and Communications – automobile / Ţelezničná Republic Department of Road and Urban spoločnosť Cargo Slovakia, a.s. Slovak Technical Standards Transport (ZSSK CARGO) – Autodoprava Railway Regulatory Authority University of Zilina – Faculty of ČESMAD Slovakia

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Political System Education and Research System Innovation Infrastructure Industrial System Mechanical Engineering Intermodal promotion center University of Zilina – CETRA, Consultancies and Research: Centre of Transport Research University of Zilina – Institute of Zväz logistiky a zasielateľstva competitivenes and innovations Slovenskej republiky Transport Research Institute, Inc. (VUD) Department for Business Transport Research Laboratory See individual mode sections See individual mode sections United Innovation and Skills Kingdo Department for Transport See individual mode sections m All stakeholders listed in previous chapters under the heading of the UK

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3.6.3 Funding sources and R&D investment in intermodal sector In its 2001 White Paper, the European Commission mentions a 38% rise in the European domestic freight market (all transport modes included) over the next ten years. It predicts a rail freight market share of 15% in the year 2020 and therefore expects the rail mode to play a significant part in the modal shift needed to sustain the mobility, the environment and the competitiveness of the European economy. The European Union is now making considerable efforts to encourage the integration of existing transport modes and the use of intermodal systems. The development of a seamless web of integrated transport chains, linking road, rail and waterways is a key objective of the Common Transport Policy, as outlined in the Transport White Paper. Such integration would lead to improved flexibility, quality, and cost effectiveness and would stimulate competition between transporters instead of between transport modes. The European Commission has three main issues and challenges in intermodal transport innovation and research: Sustainable urban transport Intermodal freight transport Intelligent transport systems Research projects contributing to the theme of Intermodal Transport can be broken down to the following sub-themes: Intermodal modelling and planning; Communication technologies and electronic data exchange; Handling and intermodal transport equipment; Quality of transport networks; Terminal and transfer point efficiency; and Market-oriented strategies and socio-economic scenarios. Data for FP7 projects from intermodal sector per country are shown in Figure 3.13.

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Intermodal Projects 35

30 29

25 23 22

19 20 18 18 16 16 16 15 14

10 9 10 8 7 6 5 4 4 5 3 3 2 2 2 1 1 1 0 0 0 0

Figure 3.13: Number of intermodal FP7 projects

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3.7 Horizontal analysis For several FP7 projects it was not possible to specify the respective transport mode concerned. The distribution of these projects per country is shown in Figure 2.40.

Other projects

70 66

60 60 55 51 49 50 43

40 34 31 32 30 23 20 19 20 16 14 13 11 11 10 9 10 6 6 6 6 3 4 2 2 2 1 0

Figure 3.14: Number of unspecified transport FP7 projects

These projects represent a significant part of EC support for the transport research and development. In most cases they are oriented towards infrastructure development, support for ICT applications and other supporting activities for FP7.

140

120

100

Italy

Spain

Malta

Latvia

France

Others

Cyprus

Poland

Ireland

Austria

Greece

Finland

Estonia

Non EU

Sweden

Belgium

Bulgaria

Slovakia

Slovenia

Hungary

Portugal

Romania

Denmark

Germany

Lithuania

Netherlands

Luxembourg

Czech Republic United Kingdom

Rail Projects Road Projects Aeronautics Projects Maritime Projects IWW Projects Intermodal Projects Others Projects

Figure 3.15: FP7 projects per mode per country

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Figure 3.15 depicts comparison of all projects per respective mode per country. It clearly shows that the largest number of projects is oriented towards aeronautics. The lowest number is devoted to the Inland waterways sector (IWW). One of the reasons could be that some of the IWW projects are specified as projects in the Maritime sector or the distinction between Maritime and IWW was not specified. Similar distortion of the outputs could be present in the analysis for the Road transport sector (and others), mostly due to the fact that the specific transport mode was not specified and the project has been counted in the Others category, e.g. project of fuel injection technology for unspecified type of internal combustion engine.

Mapping of the competencies has been preceded by through desk research, in which the basic data necessary for further evaluation were obtained. On the base of these data, a questionnaire has been developed, which has been sent to the FP7 supporting structure - National Contact Points for Transport (including Aeronautics) for validation of assembled data. In most cases there was no positive response and the validation has not been obtained. Similarly, the project Opinion paper, requesting the opinions concerning the barriers and drivers for has been developed and circulated among the representatives of the transport-oriented European Technological Platforms. So far there was also no adequate response. The analysis has been performed on the assembled data and map of competencies has been developed. The assumptions on the distribution of competences have been confirmed. A simplified map, displaying the distribution of competencies based on the numbers of approved projects is shown in Figure 3.16.

Figure 3.16: Distribution of competencies in transport research

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4. Barriers and drivers to market uptake of RTD results

The objective of this chapter is to devise a list of potential barriers and drivers to the market uptake of RTD, taking as basis the theoretical framework defined in WP1 and the data collected in previous tasks. A framework for the classification of barriers, taking into account key aspects that underline the development of a barrier will also be defined. This takes into consideration the characteristics of a barrier, such as: 1. Its nature (legal, financial, technological, market, organizational, behavioural) 2. The level where it occurs (sector /mode, organization, etc.) 3. The stage in the process where they are visible (design, implementation, realization) 4. Its objectivity (factual, perceived) It is known that barriers may represent failures or imperfections in markets, policies, or other institutions that lie between the market potential and the possible achievement of the economic potential. In particular, within the transport sector, it is known that most common barriers could relate to: 1. Infrastructure 2. Economic Development 3. Patterns of industrial production 4. Consumer behaviour/lifestyle 5. Technology lock-in 6. Financing issues and subsidies 7. Distorted perceptions. A better knowledge on which barriers are in fact impeding the uptake of transport results is the objective of this analysis.

4.1 TIS approach Methodology The analysis of both barriers and drivers has been based upon the TIS approach as described in Bergek et. al.,2008. This paper defines the Technological Innovation System (TIS), describes its components and provides a framework of analysis. The following paragraphs will describe this approach. An innovation system is made up of actors, networks and institutions that all work towards the development, introduction and utilization of new products and services, albeit the coordination between these components is usually weak and they act on their own rather than a coordinated unit with clear leadership or dominant role. An innovation system has 7 functions; we will use these for the classification of barriers and drivers later on. The functions of TIS are the following (in no particular order):

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1. Knowledge creation 2. Resource mobilization 3. Market formation 4. Influence on the direction of search 5. Legitimation 6. Entrepreneurial experimentation 7. Development of external economies

These functions should be discussed in further detail before going on with the analysis.

Knowledge creation This function is usually at the core of a TIS, and describes the knowledge base of the innovation system and how it develops over time. There are different types of knowledge and knowledge development, but these details fall outside the scope of our analysis.

Resource mobilization With the development of the innovation system, a whole range of resources needs to be committed in order to keep the TIS functional and perpetually evolving. These resources may include competence (human capital), monetary assets (financial capital) as well as complementary assets (such as infrastructure, products or services).

Market formation A flourishing innovation system requires a market. This may not exist or be underdeveloped, or demand may be unarticulated. These hindrances must be overcome for the TIS to be successful.

Influence on the direction of search Any innovation system needs actors such as firms and organizations to choose to be part of it, and there must be sufficient and effective incentives to encourage this.

Legitimation The new technology, product or service the TIS promote has to be accepted, or in other words comply with existing standards and requirements as seen by the different actors in order for demand to be generated.

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Entrepreneurial experimentation An innovation system, by its very nature operates with much uncertainty throughout its life cycle. This can be reduced if there are actors willing to take the risks of treading on uncharted territory (i.e. using an unknown technology or service).

Development of external economies The development of external economies (in other words, free utilities) is central to any innovation system. New players may have positive external effects on aspects mentioned above (e.g. legitimation or reducing uncertainty).

4.2 Data collection The primary method of data collection for the purposes of this analysis has been the use of desk research, augmented with collecting the personal views and experiences of several experts and stakeholders. We have made use of documents created by or for the European Commission as well to make sure that existing works are properly utilized and not duplicated.

The European Commission has released a Flash Eurobarometer publication dealing with the topic of “Attitudes of European entrepreneurs towards eco-innovation”. This document investigates the barriers of market-uptake in the field of eco-innovation. The relative importance of these barriers has been researched with a survey. The survey has been carried out covering all EU-27 Member States, with as many as 5 222 respondents (managers of SMEs). The survey has been carried out between 24 January and 1 February 2011. A sample of SMEs was randomly selected in each country within certain activity sectors: 1. Agriculture, forestry and fishing 2. Manufacturing 3. Water supply, sewerage, waste management and remediation activities 4. Construction 5. Food and beverage service activities The sample size was different for each country based on size (e.g. 250 for Spain, 50 for Malta). While transport in general is not among the fields, the general barriers identified are mostly applicable to other fields as well, with a few restrictions (especially considering the relationship between eco-innovation and transport).

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4.2.1 Barriers Based on available literature, and our own contributions, the barriers we consider relevant in the field in question are the following: 1. Economic outlook 2. Uncertain demand from the market 3. Uncertain return on investment or too long a payback period for eco-innovation 4. Long lead times from R&D to large-scale implementation 5. Lack of funds within the enterprise 6. Insufficient access to existing subsidies and fiscal incentives 7. Existing regulations and structures not providing incentives to innovate 8. Lack of external financing 9. Technical and technological lock-ins 10. Lack of qualified personnel and technology within the enterprise 11. Market dominated by established enterprises 12. Limited access to external information and knowledge, lack of well-developed tech support services 13. Lack of suitable business partners 14. Lack of collaboration with research institutes and universities 15. Lack of the mutual recognition of standards Before going forward with the identification of drivers, the following paragraphs will give a short description of each barrier. While most of the barriers above are fairly self-explanatory, it is expedient to review some background information to provide a full picture of why and how these barriers form and what their effects are.

Economic outlook Since the economic downturn began to affect market players across the board in 2008, one of the reactions was to decrease short-term innovation expenditures, causing a general decline in innovation. This trend has changed and evolved (some forms have actually increased their innovation output, see the same section under “Drivers”), but continues to be a significant factor in shaping the innovation ecosystem of Europe and the US.

Uncertain demand from the market Demand represents the core of the selection force that determines the direction of the evolutionary process that is innovation (Andersen, 2003). This “demand pull” is generated by changing product preferences and growing incomes (as opposed to technology push). With reference to the section on economic outlook above, the growth of income levels is slowed or reversed, eliminating this factor from forming demand pull, resulting in decreased innovation.

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Uncertain return on investment Innovation is often among the top 3 priorities of firms. Therefore, economic returns on investment are deterministic when it comes to innovation spending. Even in 2007, before the economic crisis, a survey conducted by the Boston Consulting Group among 2 500 executives worldwide has shown that despite the fact that 66% of respondents considered innovation a top-three priority and 67% said they plan to increase innovation spending, “they felt they should be getting more from their innovation efforts” (Boston Consulting Group, 2007). This sentiment among company executives and decision makers has only been strengthened by the economic crisis to this day.

Long lead times Long-term developments that require a long time to mature from research to products and services in the field usually suffer in unfavourable economic conditions. This is especially true in sectors where large-scale infrastructure plays a major role, such as aviation, or sectors where the life span of infrastructure or rolling stock is longer (such as rail), resulting in a 15- 20-year delay between R&D and its actual implementation, while also requiring backwards compatibility with previously used technologies.

Lack of funds within the enterprise Another factor related to the above, insufficient funds become a top barrier as firms struggle to stay competitive and solvent in an ever-harsher economic climate. Often, innovation spending is cut to sacrifice long-term benefits for short-term survival.

Insufficient access to existing subsidies and fiscal incentives As a part of the objective to increase private sector spending on innovative activities in the European Union, a traditional – and current – policy response has been to offer R&D subsidies to firms. Research subsidies have been shown to stimulate private R&D activity mainly by increasing research expenditure, while development subsidies in comparison substitute private R&D activity mainly by decreasing development expenditure (Clausen, 2007). In the absence of such R&D subsidies or limited access to them requires firms to dedicate more of their own resources to innovation. Another aspect of this barrier underlines the need for better coordination on the EU level. A more uniform market and funding framework would increase the speed at which new products and services are introduced. Currently, the US outperforms the EU in this respect, due to better coordination.

Existing regulations and structures not providing incentives to innovate This barrier is basically the legal aspect of the one above, and the same considerations apply.

Lack of external financing External sources of financing may be debt (bank loans) and equity (business angels and venture capitalists). R&D with bank loans is feasible, but usually requires banks to monitor the investment activities of their clients (something business angels and venture capitalists do). R&D financing through loans has also suffered from the effect of the economic downturn, while the other two sources are less, if at all, affected.

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Technical and technological lock-ins Innovative thinking and approaches are increasingly important in a market that is more volatile than ever. Lock-in happens in 3 stages: in its formative stage, the business entity experiences success, which then forms a success formula, leaving an imprint on executives, workers and customers alike. In the third stage, the market changes and invalidates the success formula, which hurts market performance and stalls growth, and by its very nature leads to decreased innovation output. Lock-ins also increase costs as vendor profitability based on lock-in usually grants considerable discounts to new customers, increasing price over time as switching suppliers ceases to be an option for the client.

Lack of qualified personnel and technology While this barrier affects developed economies (and therefore the European Union) to a lesser extent, it should not be ignored, especially as there can be great differences between countries and regions. Well-trained, knowledgeable personnel are just as essential to developing innovations in-house as it is to adapting innovations developed by external entities.

Market dominated by established enterprises The nature of innovation by incumbents and new entrants is fundamentally different: incumbents to undertake innovations to improve their products, while entrants engage in more radical innovations to replace incumbents. Established enterprises are mostly a barrier to innovation in the sense that they limit the opportunities for new entrants to the market (see also the section on lock-ins).

Limited access to external information and knowledge There are two types of innovation: while closed innovation is a straight and self-contained line of development from the very basics and first steps all the way to manufacturing, open innovation relies on networking and interaction between companies and R&D facilities, universities, etc. and requires sharing and accessing information and technology from third parties. Knowledge is a key commodity, and access to it determines the ability to innovate.

Lack of suitable business partners Innovation often requires cooperation between different stakeholders (see above) to succeed. In case that there are no such partners or if access to them is limited (i.e. information gap), this can become an innovation barrier. Lack of collaboration with research institutes and universities See above.

Lack of the mutual recognition of standards Studies have shown that a large number of market players (especially SMEs within the maritime sector) are facing numerous problems as a result of lack of mutual agreement and harmonisation amongst Classification Societies. The problems generally arise when faced with having to certify all their products with varying norms of conformity stipulated by the various societies. The lack of harmonisation and mutual recognition leads to excessive and unnecessary administrative costs, which, especially at a time of economic recession, given 180

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The following Table 4.1 will detail the classification of identified barriers, according to the TIS approach outlined above.

Table 4.1 - Barriers and their properties Barrier name TIS function Nature Economic outlook Resource mobilization Market Uncertain market demand Market formation Market Uncertain ROI Resource mobilization Market/Financial Long lead times Resource mobilization Financial Lack of funds Resource mobilization Financial Insufficient access to subsidies Resource mobilization Financial Legal background lacks incentives to innovate Entrepreneurial experimentation Legal Lack of external financing Resource mobilization Financial Lock-ins Entrepreneurial experimentation Technological Lack of qualified personnel, technology Knowledge creation Organizational Domination of established enterprises Entrepreneurial experimentation Market Limited access to information, tech support Entrepreneurial experimentation Technological Lack of business partners Entrepreneurial experimentation Market Lack of cooperation Entrepreneurial experimentation Market Lack of the mutual recognition of standards Entrepreneurial experimentation Legal

4.2.2 Drivers 1. Economic outlook 2. Expected future increases in energy prices 3. Current high energy prices (as an incentive to innovative, to use less energy and decrease the cost) 4. Current high material prices (as an incentive to innovate to use less material and decrease the cost) 5. Good business partners 6. Secure or increase existing market share 7. Access to existing subsidies and fiscal incentives 8. Technological and management capabilities within the enterprise 9. Increased market demand for green products 10. Expected new regulations imposing new standards 11. Existing regulations, including standards 12. Expected future material scarcity (as an incentive to develop innovative, less material intensive substitutes) 13. Good access to external information and knowledge, including technology support 14. Limited access to materials 15. Collaboration with research institutes, agencies and universities

The following paragraphs will provide short descriptions with more details on the innovation drivers identified to give a more complete picture.

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Economic outlook As described in the section under “Barriers”, the economic crisis has had a major transformative effect on the innovation ecosystem. While some firms have reacted by reducing innovation expenditures, others have done the exact opposite. Those that sustained or increased their innovation output are either dynamic firms, whose survival and market success depends on continued innovation so they innovate continuously irrespective of the business cycle, or firms that are new to the market, having not necessarily been involved in innovation before the crisis. The latter are typically smaller in size and strive to exploit the effects of the crisis as an opportunity to better compete with incumbents.

Expected future increases in energy prices In the past several years, electricity consumers across the world have seen regular price increases. These are mostly a consequence of rising fuel prices (input material), plant maintenance and construction costs. These price increases are likely to continue, especially considering future emission regulations (see below). Scarce resources (or their expected future scarceness) encourage innovation in both energy production and use.

Current high energy prices See above.

Current high material prices The considerations pertaining to energy prices are applicable in a more general sense to materials as well. See above.

Good business partners Open innovation strives on the collaboration between different organizations, research institutes, universities and other stakeholders. A healthy ecosystem of business partners can stimulate innovation and is necessary throughout the life of any new product or service.

Secure or increase existing market share While casual observation might suggest that returns on R&D investments are roughly the same between firms of different sites and market share, this is not the case. As the total costs associated with R&D investment have a considerable fixed cost component, average returns on R&D varies between firms, and tends to favour larger companies with more market share (Bronwyn and Vopel, 1997). The companies can then further increase their market share by utilizing their innovation, leading to a positive feedback loop, forming a driver (and a barrier to entry for smaller firms).

Access to existing subsidies and fiscal incentives As described under “Barriers”, access to R&D subsidies allows firms engaged in innovation to conserve their resources while remaining active as innovators (even under conditions they would have had to adjust their business strategy due to insufficient resources and funds). Therefore, the existence of such subsidies and incentives (as well as their accessibility) is a key driver of innovation.

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Technological and management capabilities within the enterprise Rapid and flexible product innovation alone is not enough to be successful in the market. Among other things, technological and management capabilities are required to effectively utilize and deploy competences in the service of innovation.

Increased market demand for green products The market pull and general sentiment among consumers to gravitate towards environmentally friendly and sustainable products has changed the market and gave rise to a new breed of products and services, and those quick to adapt to new market conditions have gained a competitive advantage. These factors contribute to fostering innovation.

Expected new regulations imposing new standards Regulations and standards are one of the most direct forces behind innovation (although it must be noted that these measures sometimes breed evasion techniques rather than true innovation, leading to varied effectiveness). Forming a new standard can be a time- consuming and resource-intensive process, but it is essential to the development of new products and services.

Existing regulations, including standards Regulations and standards already in place have a different impact on innovation. Since established enterprises are likely already compliant, innovation in new firms is mostly affected.

Expected future material scarcity Possibly the most prominent force behind innovation and the emergence of new technologies is the scarcity of input (raw materials, energy, etc.) to work with. In fact, innovators sometimes employ self-imposed scarcity and constraints during the development process to achieve better results (a prominent example is the IT industry).

Good access to external information and knowledge, including technology support The importance of this driver of innovation has already been discussed above, see “Barriers” and “Good business partners”.

Limited access to materials See “Expected future material scarcity”.

Collaboration with research institutes, agencies and universities See sections on open innovation and business partners.

The following Table 4.2 will detail the classification of identified drivers, according to the TIS approach outlined above.

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Table 4.2 - Drivers and their properties Driver name TIS function Nature Economic outlook Resource mobilization Market Expected energy price increases Influence on the direction of search Market Current high energy prices Market formation Financial Current high material prices Market formation Financial Good business partners Entrepreneurial experimentation Market Secure or increase market share Entrepreneurial experimentation Legal Access to subsidies, incentives Resource mobilization Financial Technological and management capabilities Entrepreneurial experimentation Organizational Increased green product demand Market formation Market Expected new regulations Influence on the direction of search Legal Existing regulations Resource mobilization Legal Future material scarcity Influence on the direction of search Market Access to information, tech support Entrepreneurial experimentation Technological Limited access to materials Resource mobilization Market Good cooperation Entrepreneurial experimentation Market

4.2.3 Overall assessment on barriers and drivers to transport uptake

In order to ascertain more information on the barriers and drivers, we have created a basic ranking system. This is intended to provide a better understanding of the relative importance of the different inducement and blocking mechanisms identified in the transport sector.

Table 4.3 – Barriers ranking Impact duration Short Long Impact severity Low • Uncertain market demand • Lack of qualified personnel, Uncertain ROI technology • Long lead times • Lack of business partners • Lack of cooperation High • Economic outlook • Lack of funds • Legal background lacks • Insufficient access to subsidies incentives • Lack of external financing • Limited access to • Lock-ins information, technological • Domination of established support enterprises • Lack of the mutual recognition of standards

It is clear from the ranking that most of the barriers that have both considerable and long- lasting impacts are financial in nature. The following paragraphs will further explain the situation for each barrier.

The blocking mechanisms with the weakest power can be found in the top left of the table, having less severe effects that only act for a limited time. Both (uncertain demand, ROI) have to do with the less mature nature of the market. These shortcomings are usually addressed or eliminated altogether as methods, technologies and services improve and gain

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area market share and legitimation. They also reflect more the uncertainties of innovation, which is inherently present and cannot be overcome completely by policy incentives or other measures intended to foster market uptake.

Low-duration, but powerful blocking mechanisms (“temporary bottlenecks”) include, first and foremost, the current bleak economic outlook. Innovation in the transport sector is usually high-risk because of extensive infrastructure, dominating incumbents and other factors, making it less lucrative in times of economic downturns. As general conditions improve, the incentives to innovate will be more effective as well, especially considering how they could be expanded once the current tensions and difficulties are overcome. As soon as this happens, the access to information and better technical support background will also be addressed.

Impacts with a long duration and low severity include effects related to the interactions between stakeholders and the nature of transport innovation. The lack of qualified personnel and technology can be improved to an extent by the free movement of workers, but in the end it comes down to a sound educational system that provides its services based on market demand rather than central planning, which can only be changed over a longer period of time. The lack of business partners and cooperation can only be time-consuming to address, as it requires a certain degree of trust between key players. The long lead times associated with transport innovation are characteristic of the sector itself and cannot be addressed by policy directly, significant improvements would suffer from long lead times themselves.

Table 4.4 – Drivers ranking Impact duration Short Long Impact severity Low Secure or increase market • Economic outlook share • Good business partners Existing regulations • Technological and management capabilities • Expected new regulations • Good cooperation High • Current high energy prices • Expected energy price • Current high material prices increases • Access to information, tech • Access to subsidies, support incentives • Increased demand for green products • Future material scarcity • Limited access to materials

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As the table above shows, most drivers have longer impact periods. Drivers with low duration and impacts include the current regulatory framework, which, by it definition is expected to change in the foreseeable future. The duration for the impacts of gaining market share are difficult to determine, as it is a function of the behavior of other market players, but assuming that the market is functioning and innovations have ROI, it can be expected that the reaction from other stakeholders will shorten the duration of these effects.

The most notable drivers with short duration but severe influence on innovation are the current high prices for energy and materials, and the existing market and policy incentives toward increased efficiency in the use of these resources.

In the long run, less severe impacts include the state of the economy (with the optimistic assumption that the current crisis will be overcome and not become the new normal, as some economists suggest). Even so, exponential growth cannot be expected in Europe, and therefore the impacts remain less significant. Improvement in market conditions, such as cooperation and the availability of business partners and capable technological and management staff are also in this category. These factors are less influenced by policy than the future changes in the regulatory environment.

The last group contains the most powerful drivers that also possess long duration. They are mostly related to the need to change current unsustainable operational practices across all areas, although the transport sector is perhaps even more affected than others. Peak oil, the scarcity of energy and materials will drive a profound change in the way we live, travel, and innovate. Designs will have to be modified to reflect the changes that have taken place since the industrial revolution, while consumers, becoming increasingly aware of the situation, will be increasingly driven towards more sustainable products and services, generating demand and innovations in this area. This fundamental change in mindsets should be taken advantage of when designing policy instruments to facilitate transport research in the future.

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5. Barriers to the entry of transport sector SMEs in RDT

The objective of this chapter is to identify the barriers encountered by Small and Medium Enterprises (SMEs) in the transport sector while performing research, innovation and development activities. The present report focuses on the barriers SMEs experience within the European Commission Framework Programme and on other impediments of investing its own internal resources in research, innovation and development activities. The European Commission has already recognized that there are a number of financial and legal barriers to SME participation in the Framework Programmes and has already launched specific actions to increase and to facilitate SMEs participation within the final objective to overcome these barriers. A relevant body of literature exists about SMEs impediment to perform research, innovation and development activities, but is almost fragmentized and not specifically focused on the transport sector. Thus, besides identifying and defining the mentioned barriers, this report aims at integrating the major conclusions delineated from the Impact Assessments on SME participation realized under previous Frameworks Programmes for RTD (undertaken by the Commission in 2009, 2010 and 2011), the available result of the European Commission Public Consultation, the Transport White Paper and other relevant document containing stakeholder opinion about the topic (see next chapter for the complete list). Eventually, these conclusions are further complemented by the perception and the attitude of FP7 projects coordinator as well as by the relevant information collected from the questionnaire submitted to National Contact Point in Transport sector and the opinion paper collected among the European Technologies Platform.

5.1 Review of previous assessment on SME participation in research project. As starting point of the present document, a thorough literature review of several documents published by the European Commission has been undertaken. The reason for this is to cross- check the information already available from Commission‟s sources, in order to ensure that the Market-up Consortium does not to duplicate effort already undertaken and make better use of existing reports that have been integrated with the research completed within the task 2.5 of the project. The documents reviewed by the Market-up partners are presented as follows: SMEs and Research - An Impact Assessment of R&D Funding Schemes8 Impact assessment of the participation of SMEs in the „themes‟ of FP5 and FP69 SMEs in FP7 participation – Spring 201110

8 http://ec.europa.eu/research/sme-techweb/pdf/sme_impact_final.pdf 9 http://ec.europa.eu/research/sme-techweb/pdf/impact-assessment-fp5-fp6_web.pdf 187

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Promoting Environmental Technologies in SMEs: Barriers and Measures11 Eurostars Programme Interim Evaluation12 Council of European Union official speech, November 26th 2010 meeting13 Result available from EC stakeholder consultation on the Strategic Transport Technology Plan14 White Paper on Transport15

As result of the analysis of the aforementioned documents, several major conclusions have been extracted which are listed below:

SMEs have a key role to play in helping Europe emerge stronger from the economic crisis and meet the goals of the Europe 2020 Strategy. This position is confirmed and reinforced by the Council of European Union that concluded on the following: “Recognises the value of SMEs for the European economy and underlines the importance of SMEs when pursuing the objective of an innovative European Union and; stresses the need for governments to set Measures to foster SMEs‟ participation in R&D&I activities and synergies‟ promotion in support of innovation and SMEs framework conditions that are conducive to a business environment supporting innovation in SMEs; calls for direct involvement of SMEs and for the “think small first” principle to be applied in the different initiatives, as well as the implementation of the Small Business Act and consideration of more specific actions in relation to knowledge transfer and exploitation by SMEs, supporting innovative SMEs and the participation of SMEs, of fast-growing and of young, innovative enterprises in clusters.” “Invites the Commission, Member States and relevant stakeholders: a) to consider putting in place financial instruments to increase and improve access to finance for innovative SMEs and projects and fast growing, innovative companies, and to close market gaps as well as to ensure that venture capital funds can function and invest freely in any Member State.” Many SMEs rely on innovation to stay ahead of the competition by developing new products and services or improving existing ones. Often SMEs struggle to obtain the financing they

10 http://ec.europa.eu/research/sme-techweb/pdf/smes-in-fp7-spring-2011_full- rep_en.pdf#view=fit&pagemode=none 11 http://ec.europa.eu/environment/etap/pdfs/spc_finalreport_ipts.pdf 12 http://ec.europa.eu/research/evaluations/pdf/archive/fp7-evidence- base/other_fp7_panel_evaluations/eurostars_programme_interim_evaluation.pdf 13http://www.eutrio.be/files/bveu/media/documents/Press_release/Speech_Market_access_for_Europ ean_Business__2___3_.pdf 14 http://ec.europa.eu/transport/research/sttp/doc/report_sttp_public_consultation.pdf 15 http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2011:0144:FIN:EN:PDF 188

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area need for research and innovation activities. The EU‟s new Innovation Union flagship initiative emphasises the importance of ensuring that SMEs gain access to funding for their innovation projects. The EU has already created a research funding scheme specifically for SMEs: the idea was to set these „SME-specific measures‟ to allow SMEs to pick their own research topics to match their business needs. These measures of course helped SMEs, but it necessary to boost this strategy to obtain more tangible results. Having a look to FP participation of SMEs16 in the last Frameworks Programmes it‟s possible to state that SMEs represent the 4th category of organisations in the framework programmes: some 16.4% of organisations participating in FP5 were classified as SMEs, a figure that rose to 16.9% in FP6 and 16.6% in FP7.

Table 5.1: SME participation in FPs Rank Organisation type FP5 FP6 1 Higher education institutions 12 250 (32.95%) 11 312 (33.40%)

2 Research organisations 8 186 (22.00%) 7 458 (22.10%) 3 Large companies 7 532 (20.30%) 6 931 (20.50%)

4 SMEs 6 115 (16,45%) 5 706 (16,95%) 5 Hospitals 390 (01.00%) 320 (00.90%) [Source: Impact assessment of the participation of SMEs in the „themes‟ of FP5 and FP6]

Looking at the participation of SMEs in the FP7 is possible to highlight a significant participation of SMEs in the Transport and Nano-material theme and in particular, in Transport theme there is very high participation of SMEs as coordinator (see Figure 5.1 below)17.

16 Impact assessment of the participation of SMEs in the „themes‟ of FP5 and FP6 17 SMEs in FP7 participation Report – Spring 2011 189

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Figure 5.1: FP participation of SMEs as coordinator [Source: SMEs in FP7 participation Report – Spring 2011]

In terms of geographical distribution, the majority of SMEs participating in transport theme are from Germany, Belgium, France, Italy and United Kingdom – as shown by Figure 5.2 below.

Figure 5.2: Geographical distribution of SMEs participation in FPs [Source: SMEs in FP7 participation Report – Spring 2011]

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Looking at the type of SMEs18 as had been classified in the previous surveys of SMEs, it‟s possible to highlight to main SMEs classification as high-tech or low-tech SMEs, on the basis of their research and development capabilities. This provides little information on SMEs‟ approach to and expectations from EU-funded projects. Technology Developers and Technology Networkers: considering the way SMEs get involved in the framework programmes. Technology Developers SMEs join EU-funded projects with the aim of developing a specific technology. In most cases, the project goals are firmly in line with the SMEs‟ strategic business objectives. The company benefits from access to funds, physical and human resources, and markets. For the Technology Networkers SMEs the project represents a significant networking tool with more long-term objectives and provides opportunities to enhance the company‟s reputation. Technology Networkers are also keen to learn about the latest technological developments in their field. Regarding the impacts on SMEs of participating in EU-funded projects are many and varied, ranging from economic impacts (increased turnover, the introduction of new products and services, an increase in income and profits gone up), to enhanced skills (improve marketing capability, expand or diversify their business operations, enhance research and innovation work, bolster technological and scientific competitiveness, reinforce project management) and enlarged networks. Generally speaking, SMEs that benefit most in terms of research and innovation are a minority, due to the fact that just a reduced part of SMEs had in-house research capacity at the start of the project and they had since adopted a fresh approach to R&D, with some launching new R&D activities and even setting up new R&D departments. Regarding the impact of SMEs participation on FP projects, project coordinators perception reveal that SMEs make a strong contribution to the project at all stages, and many are describing SMEs‟ contribution as critical and important. According to the feedback received in stakeholder consultation developed by the EC, improvements in process simplification should still be done at all levels: access to the programmes and preparation of proposals are still too difficult, in particular for newcomers administrative burden for project administration and accounting is perceived as too high time-to-grant and time-to-pay are still too long and, for some Regional and National programmes, the grant agreements are set even after the project should have started, being this a crucial barrier for SMEs, who do not have the financial capacity to launch the project without certainty on the research programme funding available. Based on the information collected under the STTP Consultation19, when it comes to achieving a transformation of the transport system, a large majority of the respondents support the idea of a strategically coordinated and structured approach at the EU level, combined with an operational management based on a broad 'partnership approach' involving different stakeholders. A major outcome of the Eurostars Programme Assessments20 is that Eurostars complements well the opportunities offered to SMEs in FP7 to carry out international research projects. SMEs can participate in FP7 in two ways. Firstly, SMEs are encouraged to participate in

18 Impact assessment of the participation of SMEs in the „themes‟ of FP5 and FP6 19 EC stakeholder consultation on the Strategic Transport Technology Plan – Follow-up, June 2011 20 Eurostars Programme Interim Evaluation - Final Report, December 2010. 191

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area collaborative projects under the “Cooperation” programme. In addition, the action “Research for the benefit of SMEs” targets SMEs in need of outsourcing R&D. Although SMEs have access to a number of programmes under the Framework Programme, there is no specific scheme addressing R&D performing SMEs. Based on evidence produced by the assessment and supported by statistics and interviews at national and European level, it‟s possible to conclude that Eurostars is a good programme, which meets objectives and adds value to European R&D performing SMEs. The demand for the programme has exceeded original expectations with a large number of applications and it has mobilised predominantly R&D performing SMEs with close to market, bottom up projects. One of the most appreciates feature of the Eurostar programme is the central evaluation is considered as best practice in terms of clear and transparent organisation and timely accomplishment. Overall, SMEs considered Eurostars to fit their needs very well: it seems that there definitely exists a small but stable niche of SMEs who appear to genuinely benefit from international R&D collaborations. The assessment also highlight that this niche is likely to grow, slowly but steadily, in the future, as industrial companies adopt open innovation practices. Thus far, the experience of the SMEs has been positive, and the interviewees expressed willingness to participate in future calls. On the other hand, as noted above, we saw less evidence of direct behavioural additionally, as most of the interviewed SMEs were already internationalised and had experience of R&D collaborations. As such, however, this observation provides further evidence that an European niche exists for an Eurostars–like support initiative.

Figure 5.3: Type of participants of projects approved for funding (Cut-Off1 to Cut-Off 3)

5.2 Barriers to the entry of transport sector SMEs in RTD It is firmly acknowledged by European policy actors, based on an increasing body of literature that small and medium sized enterprises (SMEs) are of major importance for macro-economic growth. Proportional to their size, small firms create more jobs than large firms do21. New enterprises create a higher degree of competition, leading to a positive

21 European Commission, DG Enterprise & Industry (2009), Parker (2009) and Van Praag and Versloot (2007) 192

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area effect on aggregate employment growth five to eight years later. In industries where the SME sector is bigger, large firms are often more efficient because they outsource activities to smaller firms. Founded from this, it is tacit the direct relation between SME involvement in RTD activities and the overall European socio-economic growth and prosperity; however, there is still a gap engaging SMEs in RTD funded initiatives. This section aims to present the main barriers SMEs in general (and SMEs from the transport sector specifically) are facing when leading with participation in FP initiatives. “Enterprises expect better innovation support from public intervention”. This statement was the overall conclusion from the public consultation on the effectiveness of SME innovation support services in the EU22. However, beside the numerous initiatives at national and European level to support SMEs in fostering innovation and research activities, SMEs involved in R&D are a small percentage and are facing bigger difficulties due to the economic crisis. Therefore, the analysis of the specific barriers SMEs face when considering being involved in RTD initiatives, it is paramount for the improvement of current actions and learn new or upgraded measures to increase current participation. Before defining the key barriers and the impediments faced by SMEs, it is essential to introduce some basic concept and some basic information about SMEs in Europe.

5.2.1 SMEs in Europe: structure and trend According to Table 5.2 and Table 5.3, more than 20 million enterprises in the EU non- financial business economy, about 99.8% are SMEs (i.e., having less than 250 employed persons). Within the SME-sector, the vast majority (92%) is micro enterprises (having less than 10 employed persons) and about 1% is medium-sized: this means that on average, an enterprise in the EU provides work for 6.4 people23.

Table 5.2 - Statistics on EU-27 SMEs Medium- Micro Small SMEs Large Total sized Enterprises Number 19,058,000 1,424,000 226,000 20,709,000 43,000 20,752,000 % 91.8 6.9 1.1 99.8 0.2 100.0 Employment Number 39630000 27,652,000 22,665,000 89,947,000 43,414,000 133,362,000 % 29.7 20.7 17.0 67.4 32.06 100.0 No. of occupied persons per enterprise 2.1 19.4 100.3 4.3 1006.1 6.4 [Source: Eurostat, as elaborated by EIM]

22 See results in the Commission Services Staff Working Document SEC(2009)1197 of 09/09/2009 at: http://ec.europa.eu/enterprise/policies/innovation/files/swd_effectiveness_en.pdf 23 Source: EUROSTAT Statistics on EU-27 SMEs 193

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The typical EU business is increasingly a micro business. Furthermore, between 2002 and 2008 the number of SMEs in the EU has increased by 2.4 million (or 13%), whereas the number of large enterprise increased by only 2 000 (or 5%). Since the number SMEs in the EU-27 grew strongly, it turned out to be the job engine for much of the European Economy: Over 2009 and 2010, the EU-27 SMEs are estimated to shed a total of 3.25 million jobs. Of course, with the onset of the financial and economic crisis in 2008, there was evidence that the above-cited positive developments have – at least temporarily – come to a halt. While 2008 already showed a deceleration, preliminary estimations point at a stagnating development: for EU-27 SMEs‟ production in 2009 hint at a decline by 5.5% as compared to 2008: this happened mostly in large and medium-sized enterprises, while for micro and small enterprises this decline is estimated to be less pronounced.

Table 5.3 - Distribution of SMEs in European Union c-l, k Total non-financial business economy SME By NACE section 20,709,000 c Mining and quarrying 21,000 d Manufacturing 2,348,000 e Electricity, gas and water supply 31,000 f Construction 2,993,000 g Wholesale and retail trade, repair of motor vehicles, motorcycles 6,524,000 and personal and household goods h Hotels and restaurants 1,724,000 l Transport, storage and communication 1,241,000 k Real estate, renting and business activities 5,827,000

5.3 List of barriers identified

Based on the conducted research integrated with the perception of project coordinators, National Contact Points and European Technology Platforms, the following barriers that hinder SMEs‟ performance in R&D&I have been identified:

Access to the market Uncertainty and difficulties to enter the market constitutes a strong impediment for SMEs. From the point of view of the market demand, some barriers to realize R&D also depend on a mismatch between consumers of innovation, innovation supply, public policy and technological development often due to a lack of information on the innovation‟s benefits and potential regulatory changes. The first steps in R&D in an EU project are very far from the market and this can be an entry barrier for most SMEs. Therefore, it is fundamental to assure the involvement of the SMEs in utilization – where there is a clear perceived benefit

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area for SMEs, once it comes to product commercialization. Furthermore, to foster SME participation in R&D, work programmes could include recommendations a higher number of person-months for SMEs for more market-oriented projects. Beside the need of promoting research excellence, it is essential to delineate the mechanisms to convert research excellence into innovation: many SMEs do comment on the attractiveness of research programmes when it comes to finding innovation opportunities or developing concrete R&D activities. The difficulties related to market access increased also because the complex innovation transport system required coordinated efforts among all the players (vehicle and fuel technology providers, infrastructure, consumer preferences, industry, academia and governments) and also because there is a domination of few actors (public enterprises or industries - incumbents) that make it difficult for newcomer SMEs to enter.

Another difficulty in market access is related to the gap between pre-competitive research and entry on the market is too wide for many SMEs to bridge. The transition from research to the deployment phase is found to be crucial and risky step in the innovation process – so called “valley of death”, the gap between the technical invention and market recognition and the efforts to commercialize it. In many cases, this “valley of death” is a gap in financing of small innovative companies in the pre-commercial stage, where they are no longer eligible for public funds, but the product development process is still too risky to receive private investments. This barrier is strictly linked to the lack of financing – especially for SMEs with less than 50 employees. This perception has been recently confirmed by the information collected under the STTP consultation, in which a large majority of respondents underlined the importance of the implementation and deployment phase in the development of innovation.

Access to financing and problems of cash flow SMEs have difficulties in access to finance and innovation project funding, e.g. via bank loans, government grants and subsidies, venture capital and angel capital. The current financial and economic crisis has an adverse effect on SMEs‟ access to bank financing: based on a survey of firms in the Euro area between June and July 2009, the European Central Bank reports that in the first half of 2009, SMEs‟ access to funding has deteriorated. A report by UEAPME on the financial and economic crisis in ten European countries, dating from July 2009 highlights that many companies report a significant impact from financial difficulties on investment in research, innovation and employment. Recent survey results illustrated that among 7,532 firms, of which 6,941 had less than 250 employees, the limited access to financing is the 2nd most pressing problem faced by Euro Area SMEs (European Central Bank Consultation, 2011). Public Consultation on the effectiveness of innovation support in Europe (2011) pointed out that for 1,000 companies (of which a large majority were innovative micro and small enterprises) lack of access to finance is viewed as the main factor hampering innovation activities and is considered by institutional stakeholders as the principal barrier hampering enterprises bringing innovations to the market. Cash flow is considered a major issue for SMEs, especially as the availability of credit for such companies is very limited; unlike large companies, universities and public bodies, many SMEs cease trading due to lack of funds, i.e. awaiting payments by creditors, even though they may be very profitable. Although in FP7, pre-financing was made available, it could take 12 months after submission to receive funds, due to the long time period for negotiation. If the coordinator is a government agency, this can be even longer, due to national bureaucracy with

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area regard to external payments. It can take over two years after project completion to receive the final payment.

Adoption of environmental technologies Transport SMEs (among others) are facing specific barriers hindering the adoption of environmental technologies. Given the relevant contribution of SMEs to current environmental problems in Europe, the relatively modest adoption of environmental technologies by SMEs and the crucial role SMEs play in the European economy, it is being argued that “more SMEs adopting environmental technologies would contribute both to a better environment in Europe as well as to more growth and employment in Europe”24.

Inadequate Innovation Policy for Transport There is insufficient co-ordination of transport policy on the one hand, and transport innovation and promotion policy on the other. The long-term orientation of innovation policy following the innovation cycle is difficult to bring in line with short- and medium term transport policy aims and measures. A gap is observed between national perceptions of the importance of innovation and current innovation needs of the country in general, and transport in particular. There is an insufficient level of awareness about the importance of innovation among both public and private transport stakeholders: the perception of innovation tends to focus on science & technology and research & development while a more balanced culture of innovation, accompanied by an enabling legal environment, far-sighted strategies and adequate numbers of qualified personnel needs to be achieved in the years to come.

Regulatory aspects and weak institutional co-ordination An adequate regulatory environment it is important to strike the right balance for setting new standards and regulations, and to harmonise efforts: on the one hand, reliable standards can support the industry and SMEs in developing marketable products; on the other hand, setting standards can hinder technological optimization and further improvements on innovations. Regulatory barriers such as competitive dynamics, seeking returns on investment, codes, standards and regulations may not encompass innovative or disruptive technologies, and can potentially create regulatory delays that are impeding innovation.

The same perception is reported in the STTP consultation, concluding that “Creating regulatory aspects and suitable legislative framework for industry and SMEs is an essential condition to foster innovation in the transport sector” and “regulatory requirements should be aligned with standards and policies agreed upon at the multilateral level: rather than acting unilaterally, the EU should work through international organisations to ensure common standards are adopted for new technologies (for example, global sustainability criteria for biofuels)”25.

24 Promoting Environmental Technologies in SMEs: Barriers and Measures, Joint Technology Programme 2007 25 EC stakeholder consultation on the Strategic Transport Technology Plan – Follow-up, June 2011 196

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The STTP consultation also highlighted that an “Appropriate regulatory policy framework for the market uptake of clean technologies is urgently required (e.g. Incorporation of external costs based on the polluter pays principle, funding, taxation)”26.

From the point of view of institutional coordination, the main perception is that there are diverging objectives among different sectors related to transport, including energy, the environment, land use, urban planning and numerous stakeholders and competing priorities from the mentioned sectors make convergence on innovation initiatives difficult. At the same time there is poor synergy between transport policy and industrial policy: for example, there is a lack of effective communication between transport system managers and regulators from industry and government. There is also a lack of governmental co-ordination and agreement at the European level: to deliver innovative transport solutions, a significant co- ordination and collaboration among different levels (national and European) are required to foster innovation across the national transport sector and to develop a common transnational vision.

Lack of qualified personnel Lack of skills and knowledge is mentioned as one important barrier to transport innovation from both from industry, public bodies and especially SMEs. Mainly referring to “human capital”, SMEs seem to be really affected by the lack of specialized personnel with appropriate skills to R&D development. A skilled labour force is indispensable for research and development of innovations: in general, skilled labour will become increasingly important in European Transport sector in order to develop innovations, to increase R&D performance capacity and to manage it. Even though the European knowledge base is considered good for most of the transport equipment manufacturing sectors, there is already a shortage of highly skilled labour, especial for SMEs (e.g. engineers). For example, German Association of Engineers reports a general lack of engineers in Germany in April 2011, with a relevant amount of them missing in the automotive and machinery manufacturing sectors. The same difficulties in skilled personnel are also reported in transport services. A strong European skills base is a key factor in maintaining global competitiveness of the European transport hence training and skill development initiatives should be strengthened also in transport sector.

Time of evaluation, acceptance and implementation for FP7 RTD projects is too extended This not only has implications in the financial efforts that need to be done, but also in the human resources management implied for companies with small teams, since it is difficult to compromise resources for a long period of time. A suggestion could be increasing the use of the 2-step proposal submissions (pre-proposal / full proposal if successful), where only the best proposals would pass to the second stage, so that SMEs could be better advised and the preparation effort would only be dedicated to the best proposals. Previous studies on impact analysis conducted by the Commission indicate that the 2-steps proposal submission would have benefits but also risks, as it should be necessary to avoid even a longer 2-step process. The possibility that the first stage would just be a short SME-business needs test,

26 EC stakeholder consultation on the Strategic Transport Technology Plan – Follow-up, June 2011 197

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area not based on the fully drafted research project proposal, seems to be a crucial element for the success of this process.

Costs of proposal preparation and general funding costs of innovation The financial costs of application, including consortium building and proposal writing, are very high compared to the success rate. Unlike many “traditional” applicants, SMEs are likely to be focusing all their attention on one proposal, rather than a number, where there is an opportunity to spread the overheads and risk. The greater costs of coordinating a proposal are significantly higher. Reducing the costs of participation would make the framework programs much more attractive to SMEs and also save the European Commission money. There is a perception of the lack of dedicated and easily administered funding for transport- related innovation at for SMEs, industry and Academia. Another perception is that the amount in investment in early investigators, high-risk, long-term and multidisciplinary research recently has been decreased while the cost linked to this are the high development costs for innovative products. Financial risk is a major issue, relating to high level of investment in new technologies versus the short lifetime of such technologies. In some areas, the industry faces a long period for the amortization of (research) costs and often, it is a matter of adopting technologies which were originally developed for other sectors by the transport sector, which requires further research and testing, increasing time/costs. The adverse economic situation for the economy in general and for this sector in particular, is preventing both private parties and the government from investing or giving incentives in developing new products, procedures and implementation.

IPR and exploitation of results Currently economies rely increasingly on knowledge based competitiveness and innovation is increasingly non-technological in nature. In the current knowledge society, intangible assets and Intellectual Property (IP) represent an increasing value to SMEs. Managing IP in a proper way can leverage commercial value for the SME. However, SMEs are very often at a disadvantage compared to large companies when it comes to using IPR. The main reason is the size of the enterprise and human resource constraints. Therefore, SMEs utilize the IPR instruments to a much lesser extent. They tend to rely on more informal protection methods (like: trade secrets, defensive publishing, lead-time advantage, and complexity of design). Intellectual Property in SMEs should be managed rather than just protected through formal methods. In the case of SMEs the term “IP management” refers to: Liaising with IP suppliers Policing licensed IPRs Integrating IP policy with the institute‟s mission to benefit expected end-users Instructing researchers as expert witnesses in cases of infringement or other inquiries.

It possible to identify five reasons for the under-usage of IPR by SMEs27: Prohibitive costs for getting IPR protection,

27 Report “Benchmarking National and Regional Support Services for SMEs in the Field of Intellectual and Industrial Property” (PRO INNO EUROPE, 2007) 198

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Difficulties in enforcing IPR once protection is granted, A lack of awareness on the side of SMEs concerning the way the IPR system works, The time to make IP protection strategies work, and (assumptions on) adverse selection practices of patent offices which allegedly grant patents to known large companies more easily than to rather unknown small entities.

Of the barriers/needs mentioned above, the cost issue stands out. The cost issue arises, on the one hand, when IPR protection is sought. Studies suggest that while a large share of SMEs is faced with infringements of their IPR, and a considerable proportion of these sustain relatively grave economic losses through copying, only a few are able to successfully proceed with litigation. Consequently, it can be argued that there is a need for a system of support services for SMEs, which should aim at assisting SMEs to attain an awareness of (i) the value of their IP, and (ii) knowledge on the (full) spectrum of IP protection/appropriation instruments. As a minimum, SMEs should know the advantages and disadvantages of the alternative methods, the basic “do„s and don„ts” when using them, and – given their limited resources – should know how to find the right service providers for their IP concerns.

Regarding the IPR and exploitation of results of FP7 projects, high technology SMEs in particular are concerned about ownership of their IPR, and are therefore reluctant to share information unless they are confident that ideas will not be “stolen”. This is both during proposal discussions, prior to submission, during and after the project itself. In this sense the exploitation and the market uptake of the achieved results is limited, especially for SMEs who don‟t have resource to manage IPR.

SMEs profile as potential partners for FP7 projects Unless already parts of an existing supply chain, SMEs can sometimes have problems of being perceived as a credible partner by larger companies and organisations. Within the surface transport sector, due to the nature of car manufacturing, railways and shipbuilding, large organisations tend to dominate and this makes difficult for SMEs to enter these consortia. From the consortium perspective, it remains a risk in including an unknown partner/SME in the consortium, either due to concerns about financial viability, or lack of experience in participating in multinational projects. Some co-ordinators, but not all, are unaware of what an SME can bring to a project, in terms of innovation, lack of bureaucracy and, therefore, speed of decision-making, as well as motivation. Consequently, “they consider SME participation as a “necessary evil” to impress evaluators, whilst being another partner that reduces their budget.”28

Appropriateness of FP7 to SMEs and lack of adequate competitive frameworks for SMEs Regarding the FP7 program structure, most have closed topics, which are also a limit to the participation of SMEs that find difficult to adapt their business lines and innovation strategy

28 Recommendations to reduce non-financial barriers to participation and promote the involvement of HighTech and LowTech SMEs in FP7 Surface Transport projects – Star-net Transport project, April 2009. 199

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area to such specific research. There is a perception that participation in FP7 is too bureaucratic a process and SMEs find it difficult to translate the long term nature of both the application process, with approximately 12-18 months from publication of Call to contract, and longer term FP7 project goals and outcomes, into clear practical results that meet the shorter time horizons, the business objective and the SME needs. There is also a belief that although there are indirect benefits, such as international cooperation, access to know-how and a raised European profile, the opportunities for direct commercial exploitation are reduced and too long term. Funding alone will not render the framework programs attractive to SMEs: they must address SMEs‟ specific needs and the roles they play in their respective sectors. The lack of a real European market was cited as an impediment to innovation in some instances: for example, there is the perception of a lack of standardization in transport systems across jurisdictional boundaries.

Lack of monitoring systems for SMEs Monitoring activities is vital if the EU is to track progress of SMEs efforts and consequently to enhance the impacts of projects on SMEs. An “ad hoc” monitoring system should start by investigating the research activities undertaken at SME level and to verify the effectiveness of measures designed to promote the framework programs among SMEs. The monitoring system should be part of a large “SME strategy” that should be set out including impact- related targets of SMEs for the framework programs based on clear intervention logic.

Lack of Information on FP7 Another perception of SMEs is that the content of the FP7 work Programme is unavailable or hardly understandable to many SMEs, whilst it is known that many larger organizations have visibility of its content, either through participation in Technology Platforms, close relationships with Commission staff or Programme Committee delegates. As a consequence, SMEs have less time and reduced capacity to prepare proposals and seek out consortia, many of which are fully formed at the date of Publication. Opportunities for SMEs are widely dispersed over various FP7 themes and sub-programmes (for example the Research for SMEs) and this dispersion makes it more difficult to evaluate and understand the opportunities available for SMEs.

Language barriers for European funds Some SMEs do not have a culture of operating within the structure of a multinational research projects, and submitting the proposal is necessary to be successful within FP7. Furthermore, the command of English (both linguistic and terminological) necessary to prepare or participate in a proposal presents an additional barrier to those SMEs29.

Lack of data on the current transport system The availability and the use (e.g. to pinpoint bottlenecks, quantify emissions, holistically analyse household travel, etc.) makes it difficult to identify problem areas and allocate innovation resources accordingly. This impediment is also applies to the fragmentation of the transport sector: in some areas of transport there are many small actors, operating on low cost-margins. On the users‟ side, the demand is not clearly defined, and sometimes is not consistent: from one side transport systems have significant impacts on behavioural patterns

29 Recommendations to reduce non-financial barriers to participation and promote the involvement of HighTech and LowTech SMEs in FP7 Surface Transport projects – Star-net Transport project, April 2009. 200

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area and the other side users tend to be very slow to change and the general co-ordination with all the stakeholders become more difficult. The lack of information is also confirmed by the STTP consultation that underlined the importance of “gaining a deeper understanding of changes in transport consumer behaviour and user needs”30.

5.4 SMEs in RDT summary The main findings of the present part of the report and the conclusions from the major barriers identified by SMEs performing research and innovation are briefly synthesized as follows: Regarding the access to the market, different barriers and difficulties affect the market uptake of SMEs research results and constitutes a strong impediment for SMEs. Furthermore, to foster the SMEs participation in R&D, funding programmes (and especially EC Framework Programmes) should include recommendations for market-oriented projects as well as incentives for SMEs to be involved in them. The problems related to cash flow are considered a major issue for SMEs, especially as the availability of credit for such companies is very difficult; unlike large companies, universities and public bodies, many SMEs cease trading due to lack of funds, i.e. awaiting payments by creditors, even though they may be very profitable. The cash problem is highly affecting the research and innovation activities performed by SMEs, which recognized many difficulties accessing finance and innovation project funding, e.g. via bank loans, government grants and subsidies, venture capital and angel capital. Focusing on the FP funding, SMEs recognized that cash problems are indirectly related to two other barriers: from one side the high costs to be supported for the proposal preparation and the other side the extended time of evaluation, acceptance and implementation of the project. Another issue relevant to highlight is the need for an adequate regulatory environment to strike the right balance for setting new standards and regulations, and to harmonise efforts: on the one hand, reliable standards can support the industry and SMEs in developing marketable products; on the other hand, setting standards can hinder technological optimization and further improvements on innovations. These kinds of impediments are also related to the lack of governmental co-ordination at regional, national and European level and to the insufficient co-ordination of transport policy innovation and promotion policy on the other. In particular, the long-term orientation of innovation policy following the innovation cycle is difficult to bring in line with short- and medium term-oriented transport policy aims and measures. This gap is observed between national perceptions (current innovation needs of the country in general) and the agreement at the European level: thus, to deliver innovative transport solutions a significant co-ordination and collaboration among different levels (National and European) is required to foster innovation across the national transport sector and to develop a common transnational vision.

30 EC stakeholder consultation on the Strategic Transport Technology Plan – Follow-up, June 2011 201

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Nowadays, economies rely increasingly on knowledge based competitiveness and innovation is increasingly non technological in nature. In the current knowledge society intangible assets and Intellectual Property (IP) represent an increasing value to SMEs. Managing IP in a proper way can leverage commercial value for the SME. However, SMEs are very often at a disadvantage compared to large companies when it comes to using IPR. The main reason can be identified in the size of the enterprise and in the human resources constraints. In particular, the lack of skilled human recourses and knowledge is mentioned as one important barrier to transport innovation from both from industry, public bodies and especially SMEs. Mainly referring to “human capital”, SMEs seem to be really affected by the lack of specialized personnel with appropriate skills to R&D and this is clearly identified as a barrier to the development of research and innovation project. Regarding the FP7 programmes structure, SMEs recognized a number of impediments. One of the main concerns is that most of the calls for proposal of Framework Programmes have closed topics, which are also a limit to the participation of SMEs that find difficult to adapt their business lines and innovation strategy to such specific research lines. There is also a perception that participation in FP7 is too bureaucratic a process and SMEs find it difficult to translate the long term nature of both the application process into clear practical results that meet the shorter time horizons, the business objective and the SME needs. Nevertheless, SMEs can sometimes have problems of being perceived as a credible partner by larger companies and organisations. Within the surface transport sector, due to the nature of car manufacture, railways and shipbuilding, large organisations tend to dominate and this makes difficult for SMEs to enter these consortia. Ultimately, the lack of specific monitoring systems for SMEs has been detected as a weakness of FP programmes: the monitoring system should be part of a large “SME strategy” that should be set out, including impact-related targets of SMEs for the framework programmes based on clear intervention logic.

5.5 Overall assessment on barriers to SMEs in transport fields With the purpose of giving a wider and complete overview of the SMEs barriers, a basic ranking system have been created in order to provide a better understanding of the relative importance, severity and impact of the listed barriers. The overview of barriers has been done following some guidelines criteria from a qualitative perspective and providing an intuitive a ranking of the SMEs barriers: • Cost perception and difficulties related to the severity of barrier – estimation of how much a certain barrier can affect SME in a negative way, namely increasing cost and threats, opportunity and reducing potential profit. • Cost perception and difficulties related duration of impact – estimation of the impact of the SMEs barriers in order to identify the short/long term duration of threats, difficulties, cost augmentation or profit reduction.

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Table 5.4 – Ranking of Barriers to SMEs Impact duration Short Long Impact severity Low Lack of monitoring system • IPR and exploitation of for SMEs results of FP7 project Lack of Information on FP7 • Time of evaluation, Language barriers for acceptance and European funds implementation for FP7 RTD SMEs Profile as potential projects is too extended: partners for FP7 projects • Lack of qualified personnel IPR and exploitation of results High • Access to finance and • Inadequate Innovation Policy problems of cash-flow for Transport • Appropriateness of FP7 to • Regulatory aspects and weak SMEs and lack of adequate institutional co-ordination competitive frameworks for • Adoption of environmental SMEs technologies • Costs of proposal • Lack of data on the current preparation and general transport system funding cost of innovation • Access to the market The weakest blocking mechanisms localized in the top left of the table, (lack of monitoring system for SMEs and of Information on FP7, Language barriers, SMEs Profile as potential partners for FP7 projects) having lower severity effects and short term impact and can be addressed or reduced by improving internal services and personnel‟s training in SMEs as well by the EC improving of the FP7 services provision. Low-duration, but severe barriers (temporary bottlenecks, such as access to finance and problems of cash-flow, appropriateness of FP7 to SMEs, costs of proposal preparation and general funding cost of innovation, access to the market) are partly due to the current economic crisis and partly due to the current structure of FP7 programme, although the recently improving in term of SMEs appropriateness. Impacts with a long duration and low severity include barriers related to the interactions between stakeholders and the nature of transport innovation, such as exploitation of results, time of evaluation, acceptance and implementation for FP7 RTD projects. The lack of qualified personnel and technology can be improved to an extent by the free movement of workers and by the changes of the educational system that provides its services based on market demand rather than central planning, which can only be changed over a longer period of time. This kind of barriers are strictly depending to the long lead times associated with transport innovation and infrastructure, typical of the transport sector itself, which significant improvements could need long time and high-risk dimension, especially in the actual crisis context. The most relevant and complex barriers are in the bottom right, with severe and long term impacts, namely inadequate innovation policy for transport (both at national and European level), regulatory aspects and weak institutional co-ordination, absent or inaccessible monetary resources and external funds, adoption of environmental technologies, lack of data on the current transport system. These barriers, having the capacity to limit the business

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area strategy and the uptake of new ideas, are harder to overtake and in some case depend on policy negotiation and financial regulation at national and European level.

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6. Conclusions

The role of this report was to summarize the findings of WP2 of the Market-up project. The efforts of the project consortium were oriented towards the characterization of the context under which R&D initiatives are being promoted at the EU level, with the overall goal to better understand the specificities of the different transport sectors. An effort has been made to validate the data on participation of the key players in RTD activities in the respective EU-27 countries. For that structured questionnaires presenting the key data have been provided to NCPs for validation.

Validation process was focused on the following main points: a) If country play a relevant role in EU RTD in that specific mode and why b) If there are important actors and stakeholders in that country / mode worth to be identifying at EU level? c) Existence of national research funding line identified that is used in the country for R&D in that mode? d) If data presented provide a good assessment of the most important actors and stakeholders active in that mode (if fails, to indicate names) e) Request to provide additional data on R&D Investment in the country/mode (amount of projects and funds), national funding lines, outputs (patents, utility models, etc.) as resulting from R&D investment

As pointed out the return of answers from NCPs was far from the expectations, however from those who have answered, the feedback was positive confirming that country assessments cover the most relevant actors and programs available. Additional information on national data also lacks behind the expectations as in most of the cases that data is dispersed among different entities and even the NCPs don‟t have access to it. However, the most remarkable aspect should be given in relation to some NCPs unwillingness to support projects as Market-up, while it could be expected that for entities with a role of supporting MS participation in FP7 projects this would be a part of their mission. Anyway, and in order to overcome potential errors or missed elemens, stakeholders will be invited to provide uptodate information and respective supporting material throughout the Market-up website. Additionally data was presented in the review workshop, from which suggestions for indicators have been presented and incorporated in the analysis. Within the project tasks the main actors, regions and their inter-relations on the European and national levels were identified. The identification process has been based on the

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area analytical framework titled Sectoral System of Innovation (SSI), developed within WP1 of this project, in which the stakeholders were divided into four basic categories: The first group is constituted by stakeholders from political systems, including mostly ministries, or institutions established by ministries. The existence of political institutions dedicated concretely on designated transport mode in a respective country shows the effort to support research and development in that particular transport mode. The second group is constituted by institutions from the area of education and research. The most active institutions are the universities and other higher education institutions. When considering research institutions, especially those smaller in size, it was often difficult to decide whether they belong to the industrial system (category 4), rather than to this category. The third group of the innovation infrastructure is constituted mostly by agencies supporting research, innovation and development. The same principle applies as for the first group with existing support programmes for the given transport mode, the achieved results tend to be better. The fourth and most populated group is the industrial sector. The stakeholders are either large companies or SMEs participating in the R&D&I activities. The lack of available data prevented the consortium from more detailed analysis on funding in respective R&D activities in some EU-27 countries. The estimation of available funding for R&D activities has been conducted by analysis performed on data on approved FP7 transport-oriented projects from available databases. The mapping of RTD competencies in the EU-27 is presented in the tables and graphs, located in Chapter 2 and 3. It can be concluded that the obtained results support the expected assumptions. Chapter 4 described the results of the analysis of barriers and drivers to the market uptake of RTD results, showing the following barriers organised in relation to the TIS function:

Main barriers and drivers have been ranked according to the expected impact.

The most important barriers are in the bottom right, with severe and lasting impacts. Absent or inaccessible monetary resources and external funds have the capacity to cripple the 206

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Market-up D2.1: Characterisation of the context of RTD initiatives per sectoral area development and the uptake of new ideas. Lock-ins and the domination of incumbents (often leading to inefficient monopolies) are hard to break, especially because of the conflict of interest with the well established and leading institutions in the transport sector. Last but not least, the interoperability problems and the lack of unified standards has a profound impact on transport innovation, and is difficult to address. This is perhaps the best area where policy efforts should be concentrated to achieve considerable gains across Europe.

Specifically in relation to barriers to SME the following aspects are worth to be referred: Different barriers and difficulties affect the market uptake of SMEs research results and constitutes a strong impediment for SMEs. Furthermore, to foster the SMEs participation in R&D, funding programmes (and especially EC Framework Programmes) should include recommendations for market-oriented projects as well as incentives for SMEs to be involved in them. The problems related to cash flow are considered a major issue for SMEs, especially as the availability of credit for such companies is very difficult; unlike large companies, universities and public bodies, many SMEs cease trading due to lack of funds, i.e. awaiting payments by creditors, even though they may be very profitable. The cash problem is highly affecting the research and innovation activities performed by SMEs, which recognized many difficulties accessing finance and innovation project funding, e.g. via bank loans, government grants and subsidies, venture capital and angel capital. Focusing on the FP funding, SMEs recognized that cash problems are indirectly 207

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related to two other barriers: from one side the high costs to be supported for the proposal preparation and the other side the extended time of evaluation, acceptance and implementation of the project. Another issue relevant to highlight is the need for an adequate regulatory environment to strike the right balance for setting new standards and regulations, and to harmonise efforts: on the one hand, reliable standards can support the industry and SMEs in developing marketable products; on the other hand, setting standards can hinder technological optimization and further improvements on innovations. These kinds of impediments are also related to the lack of governmental co-ordination at regional, national and European level and to the insufficient co-ordination of transport policy innovation and promotion policy on the other. In particular, the long-term orientation of innovation policy following the innovation cycle is difficult to bring in line with short- and medium term-oriented transport policy aims and measures. This gap is observed between national perceptions (current innovation needs of the country in general) and the agreement at the European level: thus, to deliver innovative transport solutions a significant co-ordination and collaboration among different levels (National and European) is required to foster innovation across the national transport sector and to develop a common transnational vision. Nowadays, economies rely increasingly on knowledge based competitiveness and innovation is increasingly non technological in nature. In the current knowledge society intangible assets and Intellectual Property (IP) represent an increasing value to SMEs. In general it can be concluded that the analysis did not bring any surprising results and confirmed the existing assumptions on the subject; however thanks to its thoroughness and solid foundations it will form a good base for the continuation of next activities. Particularly it should be expected that a more detailed assessment of major and weaker players could be done in the course of case studies.

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6.1 Market-up review workshop key results

From the prospective exercise in the review workshop some insights on the role of transport innovation that will guide the next stages of Market-up development have been identified, being particularly relevant to refer:

Expensive Innovation/ Long Term to recover Investment/ High Risk The Transport Sector stands in a Paradigm of Expensive Innovation. The entire process taken from the conceptualization to adoption of a new solution is highly resource consuming Such an Investment has expenses since the early stages despite only achieving revenue on implementation. The Breakeven point is achieved later, as consumer habits take time to change, and the return on Investment should came much later. Such a long time for Return on Investment in an uncertain market as transportation sector means that the risk is very high and the possibilities of success are anything but comfort.

Big companies run the Innovation Agenda In this context, the Innovation agenda is run mostly by big corporations, who have the means to deal with such risk and long term investment. SMEs have their role in Innovation as sub-contracted by great companies. In this aspect, the Transport Industry differs from other industries for smaller companies are usually the keenest ones in terms of Innovation while bigger companies tend to remain in their comfort zone, buying smaller companies with innovative projects. Consortiums are a way of reaching a compromise between the need for big institutions by aggregating smaller companies. However, even these are too much of a challenge for small companies.

European Union far from SMEs EC supports SME innovation however it is still a rather difficult process. Looking specifically to funding lines for SMEs in FP7, they are oriented towards the supporting to contract the research innovation and not so much aligned for SMEs undertaking own research.

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But if innovation is hard, expensive and risky, on the other hand, it is considered necessary and fundamental for the survival of the European Economy and Sustainable Development on along the 3 axis (Social, Economic and Environmental). Expectations of mobility are increasing while economic and environmental conditions impose more restrictions. These conditions turn the Efficiency into a key concept for Innovation during the coming years.

Different Paradigm is needed for Transport Innovation On the duality Disruptive vs. Incremental Innovation, during the session, it was noticed that transports have a lot of room for incremental Innovation. Although it may sound that Disruptive innovation is far more important, in practice, successive incremental might go much further as there is room for trial and error, and investment is sustained by return on a short term basis. A success example for Incremental Innovation on Transports is the Low Cost Aviation, which didn‟t require such an outstanding investment although it had a very big impact on the sector. Low Cost Aviation was able to reduce prices, increase occupation rates, anticipate planning, reduce operation costs and open the service to new markets. Another field where incremental innovation for Transports is being successful and where it is still expected more is route planning for freight and passengers. Technologies like Google Earth and online-shopping for individuals and companies improve planning, route optimization and cost reduction, also giving feedback for operators on real time. Complexity in Transports It was cleared that the sector is characterised by many certainties. Each statement only makes sense in a very particular context, as the fastest, least expensive or more efficient means of transport differs from distance, cargo, conditions or region. Therefore, finding the optimal solutions depends on a case to case analysis. This brings us to the same conclusions: intermodal solutions are fundamental, a universal mobility solution is very unlikely to be predictable and managing information can easily add value to services. Social Changes The beginning of the 21st century is marked by its speed of change and uncertainty, and the transport sector feels a great impact. The aging of population, growth of expectations, increase of mobility, economic turbulence, new major cities in the world are some of the social changes that demand from Transport.

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7. References

1. Anna Bergek, Stefan Jacobsson, Bo Carlsson, Sven Lindmark, Annika Rickne: Analyzing the functional dynamics of technological innovation systems: A scheme of analysis. Research Policy issue 37 (2008), pp. 407–429. 2. Esben Sloth Andersen: Innovation and Demand. Paper for The Elgar Companion to Neo-Schumpeterian Economics, 2003. 3. Boston Consulting Group: Innovation 2007: A BCG senior Management Survey, 2007. 4. Tommy Høyvarde Clausen: Do subsidies have positive impacts on R&D and innovation activities at the firm level? TIK Working paper on Innovation Studies No. 20070615, 2007. 5. Bronwyn H. Hall, Katrin Vopel: Innovation, Market Share, and Market Value, 1997. 6. The Gallup Organization: Attitudes of European entrepreneurs towards eco- innovation. Flash Eurobarometer Survey #315, March 2011. 7. European Commission, 2011, Innovation Union Competitiveness Report 2011: Analysis Part 1: Investment and performance in R&D – Investing in the future, p73 8. Waterborne TP Implementation Route Map, Issue 2, May 2011, p.14,15 9. Recommendations to reduce non-financial barriers to participation and promote the involvement of HighTech and LowTech SMEs in FP7 Surface Transport projects – Star-net Transport project, April 2009 10. Anderson W. P. & Leinbach T.R. (2007) E-commerce, logistics and the future of globalized freight pp. 167-188 in T.R. Leinbach and C. Capineri (eds.) Globalized Freight Transport, Edward Elgar, Cheltenham UK and Northampton, USA.

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