Comparison of European and Non-European Regional Clusters in Kets the Case of Semiconductors
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Comparison of European and non-European regional clusters in KETs The case of semiconductors FINAL REPORT A study prepared for the European Commission DG Communications Networks, Content & Technology Digital a Agenda for Europe This study was carried out for the European Commission by PricewaterhouseCoopers EU Services EESV Woluwe Garden 18 BE-1932 Sint-Stevens-Woluwe Belgium For further information on this report, please contact: Dr. Kristina Dervojeda Project Manager and Senior Expert Tel.: +31 88 79-3228 Email: [email protected] Jan-Hendrik Schretlen Engagement Partner Tel.: +31 88 792-3300 Email: [email protected] Contact persons at DG Communications Networks, Content & Technology: Willy Van Puymbroeck Head of Unit Unit A4 - Components Silvia Homberger Project and Communication Officer Unit A4 - Components Internal identification: Contract number: 30-CE-0463768/00-58 SMART number: SMART 2011/0061 DISCLAIMER By the European Commission, Directorate-General of Communications Networks, Content & Technology. The information and views set out in this publication are those of the author(s) and do not necessarily reflect the official opinion of the Commission. The Commission does not guarantee the accuracy of the data included in this study. Neither the Commission nor any person acting on the Commission’s behalf may be held responsible for the use which may be made of the information contained therein. ISBN 978-92-79-29467-9 DOI: 10.2759/9885 © European Union, 2013. All rights reserved. Certain parts are licensed under conditions to the EU. Reproduction is authorised provided the source is acknowledged. 2 Comparison of European and non-European regional clusters in KETs Table of contents Table of contents List of abbreviations 6 Index of Tables 11 Index of Figures 12 Abstract 13 Executive summary 14 1. Context and objectives of the study 20 1.1. Context of the study 20 1.1.1. Specifics of the semiconductor industry 21 1.1.2. Semiconductor industry in Europe 22 1.1.3. Relevant EU initiatives 23 1.1.4. The role of clusters 24 1.2. Objectives of the study 25 1.2.1. Cluster approach 26 1.2.2. Outcomes 27 1.2.3. Link with other initiatives 27 1.3. Definitions and scope 28 1.3.1. Semiconductor industry 28 1.3.2. Clusters 31 1.3.3. Sample of European and non-European clusters 32 1.4. Report structure 36 2. Methodology 37 2.1. Study dimensions 37 2.2. Research questions 40 2.3. Three-stage analysis 42 2.4. Cluster-level case study analysis 44 2.4.1. Operationalisation of research questions at cluster level 44 2.4.2. Designing a case study protocol 44 2.4.3. Drawing a sample of clusters 45 2.4.4. Identifying key stakeholders 46 2.4.5. Data collection 47 2.4.6. Preparing cluster reports 49 2.5. Cross-case analysis 50 2.5.1. Grouping and conceptualising data 50 3 Comparison of European and non-European regional clusters in KETs Table of contents 2.5.2. Deriving a list of framework conditions, policy measures and incentives 50 2.5.3. Public consultation 50 2.6. Synthesis and extraction of evidence-based policy recommendations 52 2.7. Validation workshop 52 2.8. Challenges and solutions in data collection 52 2.8.1. Availability of data 53 2.8.2. Diversity of opinions 53 2.8.3. Language barriers 53 2.8.4. Communicating across different time zones 53 2.8.5. Delayed responses from key contact persons and other stakeholders 54 2.8.6. Key contact persons that were sceptical about the study and/or hesitant to provide information 54 2.9. Challenges and solutions in data analysis 54 2.9.1. High complexity of cases 54 2.9.2. Sensitivity to certain environments 54 2.9.3. Diversity of influencing factors 55 2.9.4. Time lag effect 55 3. Key findings 56 3.1. Policy measures and incentives 56 3.1.1. State Aid 56 3.1.2. Tax incentives 67 3.1.3. Favourable trade conditions 74 3.1.4. Pre-commercial public procurement 82 3.1.5. Access to finance 87 3.1.6. Public-private partnerships 95 3.1.7. Other means 101 3.2. R&D&I capacities 106 3.3. Effect of innovation policy and industrial policy regimes 112 3.4. Technology transfer from research organisations and universities to companies 121 3.5. Technology transfer between companies and application customers 129 3.6. Clustering models 135 3.6.1. Clustering models in Europe 138 3.6.2. Clustering models in the United States 139 3.6.3. Clustering models in Asia 139 3.6.4. Lessons for Europe 139 3.7. Potential for new clusters and further networking and relevant policy measures 140 3.7.1. Potential for new clusters and further networking 140 4 Comparison of European and non-European regional clusters in KETs Table of contents 3.7.2. Policy measures supporting cooperation with other clusters 143 3.8. Factor mapping 145 4. Recommendations 147 4.1. Measures to stimulate technology transfer from research organisations to companies 147 4.1.1. Introducing an integrated European-level SBIR programme 147 4.1.2. Ensuring uniformity in terms of legal aspects 154 4.2. Measures to stimulate R&D&I skills 156 4.3. Tax incentives 164 4.3.1. Corporate income tax rates and tax incentives 164 4.3.2. Introducing R&D tax incentives to regions that currently do not have these in place 167 4.3.3. Expanding R&D tax incentives to level the effective tax rates for R&D with the “best- in-class” region. 168 4.3.4. Further exploring innovation-friendly tax incentives 168 4.4. Innovation and industrial policy regimes 170 4.5. State Aid 172 4.5.1. State Aid in the analysed regions 172 4.5.2. Revising the rules for Regional State Aid 175 4.5.3. Extending the matching clause to general State Aid law 177 4.5.4. Increasing the speed of procedures 178 Annex A: Operationalised research questions at a cluster level 181 Annex B: Public consultation questionnaire 198 5 Comparison of European and non-European regional clusters in KETs List of abbreviations List of abbreviations Abbreviation Description A AENEAS Association for European NanoElectronics Activities AMD Advanced Micro Devices AMTC Advanced Mask Technology Center ASML ASML Holding N.V. ASIC Application-Specific Integrated Circuit B B2B Business-to-Business C CATRENE Cluster for Application and Technology Research in Europe on Nanoelectronics CEA Consumer Electronics Association CENN Center of Excellence in Nanoelectronics and Nanotechnology CNRS Centre National de la Recherche Scientifique (National Center for Scientific Research) Centre de Recherches du Service de Santé des Armées (Research Center of the Army Health CRSSA Services) CSP Case Study Protocol CSIA China Semiconductor industry Association CIR Crédit Impôt Recherche (Research tax credit) CCIG Grenoble Chamber of Commerce and Industry CNT Center Nanoelectronic Technologies CNSE College of Nanoscale Science and Engineering CITRIS Center for Information Technology Research in the Interest of Society Zentrum für Produktionstechnik und Organisation (with respect to Computer Integrated CIMTT Manufacturing) Centre Suisse d'Electronique et de Microtechnique (Swiss Center for Electronics and CSEM Microtechnology) CIP Competitiveness and Innovation Framework Programme CP Collaborative Projects D DG CONNECT Directorate General for Communications Networks, Content and Technology DSP Digital Signal Processing DRAM Dynamic Random Access Memory E 6 Comparison of European and non-European regional clusters in KETs List of abbreviations Abbreviation Description EDA Electronic Design Automation EMBL European Molecular Biology Laboratory ESRF European Synchrotron Radiation Facility EU European Union EUR Euro EC European Commission ESIA European Semiconductor Industry Association EURAB European Research Advisory Board EIF European Investment Fund EIB European Investment Bank EB Employment-Based ERSO Electronics Research & Service Organization ELAt Eindhoven-Leuven-Aachen triangle EPSRC Engineering and Physical Sciences Research Council F FTA Free Trade Agreement FYP Five-Year-Plan FTG Foreign Trade Group FPGA Field-Programmable Gate Array FP7 EU’s Seventh Framework Programme for Research FIRDI Food Industrial Research and Development Institute FP Framework Program FTE Full-Time Employees G GDP Gross Domestic Product GSA Global Semiconductor Alliance G450C Global 450mm Consortium GAMS Governments/Authorities Meeting on Semiconductors GREX World Trade Centre of the Grenoble Chamber of Commerce and Industry GBP British Pound H HSP Hsinchu Science Park HVCC Hudson Valley Community College I IC Integrated Circuit 7 Comparison of European and non-European regional clusters in KETs List of abbreviations Abbreviation Description ICT Information & Communication Technologies IDM Integrated Device Manufacturer ILL Institut Laue-Langevin INRA Institut National de la Recherche Agronomique Inserm Institut national de la santé et de la recherche médicale IP Intellectual Property IPO Initial Public Offering ISA India Semiconductor Association IST Information Society Technologies ID Interactive Dialogues IT Information Technology Agentschap voor Innovatie door Wetenschap en Technologie (Agency for Innovation by Science IWT and Technology) ITA Information Technology Agreement ISMTN International SEMATECH North ITRI Industrial Technology Research Institute IRR Internal Rate of Return J JEI Jeune Entreprises Innovantes (Young Innovative Enterprises) JU Joint Undertaking JEITA Japan Electronics and Information Technology Industries Association JTI/JU Joint Technology Initiative/Joint Undertaking K KETs Key Enabling Technologies KSIA Korea Semiconductor Industry Association KIC Knowledge and Innovation Community KU Leuven Katholieke Universiteit