Beruflich Dokumente
Kultur Dokumente
DOI 10.1007/s13132-010-0020-9
Introduction
The overall policy objective of the Lisbon strategy launched in 2000 was the
transition of the European Union (EU) to a knowledge-based economy and society
by 2010. While this encompassing view implied a systemic approach, the European
knowledge landscape remains fragmented [4]. The European Commission has been
expressing the need to better integrate all the parts of the knowledge policy agenda
for some time, noting in particular [13]:
F. Hervs Soriano : F. Mulatero (*)
Institute for Prospective Technological Studies, Joint Research Centre, Edificio EXPO, c/Inca
Garcilaso s/n, 41092 Seville, Spain
e-mail: fulvio.mulatero@ec.europa.eu
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Why, despite the official efforts supporting investment in R&D, education and
innovation, the objective of a knowledge-based economy and society has been
attained just in part? A mere increase in financial resources devoted to R&D
achieves little in the absence of an increase in the level and quality of education of
the population and in the use of research output by innovators.1 Some objectives
within each of the knowledge domains cannot be attained if addressed in isolation:
while it is in principle possible for public funds for R&D to be increased at will, it is
not possible to mandate increases in private ones. Even granting tax incentives to
private R&D could not be enough to do the trick if other conditions are missing: lack
of qualified personnel (inadequacy of the education system), costly patenting of new
products (inadequacy of the innovation system) and so on. In this article, we rely on
the concept of knowledge triangle to argue that:
1. Progress in research, education and innovation has to be looked for in a
synchronised way: lack of progress in one domain can hinder advances in the
others too.
2. Attention must be paid to the links between the three domains: lack of proper
links between the elements of the system can render advances in a single domain
ineffective.
3. The different degree of overlapping of institutional responsibilities at the EU and
member state level, i.e. the governance of the whole process, make it even more
complex to articulate adequate policy measures.
In what follows, we use the concept of knowledge triangle to identify the
strengths and weaknesses of the EU knowledge policies as set in the Lisbon strategy
and to highlight the increasing prominence it is having in its follow-up, the Europe
2020 strategy. We will also examine the governance aspects, as they are crucial for
an effective implementation of an integrated knowledge policy.
This point is generally acknowledged by official documents and commentators, as exemplified by the
proposal of jointly considering an objective of 5% of GDP for expenditures in R&D and education by
2014 [30].
2
For a comprehensive treatment of the topics discussed in this section, see [2].
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interventions aimed at correcting this market failure.3 A similar reasoning holds for
investments in R&D and education (see Fig. 1). They are also at the centre of
explanations for economic growth: while knowledge and human capital exhibit
decreasing returns at the firm level just like physical capital, the positive externalities
they generate lead to non-decreasing returns at the economy level.4
The concept of knowledge triangle goes one step beyond merely acknowledging
the relevance of R&D, education and innovation: not only are these policy areas
important, but there are important positive externalities between them. Thus, the
need for improving the societal relevance of investment in these three areas calls for
a systemic and continuous interaction (see Fig. 2).
The interactions represented in Fig. 2 are just examples and others are of course
possible: for instance, innovation can induce changes in the (desired) curricula (e.g.
ICT training). Progress towards a knowledge economy further benefits from other
favourable framework conditions, such as well-functioning and deep capital, labour
and product markets and intellectual property rights protection.
Several concepts and theories have appeared in recent years and in several
disciplinary fields, ranging from philosophy and sociology to business management,
in order to depict and interpret the phenomena of knowledge creation and
application. The case for a wider view of the subject has been nothing but
strengthened by the emerging of the internet that has radically altered the
environment in which all actors are embedded, leading to the emergence of concepts
such as web of innovation [25]. The multiplication of cross-disciplinary research
domains and innovationssuch as bioengineering, for instancealso argued for a
more systemic view of the subject.
A thorough review of the literature goes beyond the scope of this article. We will
focus here on two conceptsthat of Triple Helix and that of Innovation Ecosystem
that are now in the common language, in order to highlight general principles that are
useful to our analysis.
The Triple Helix [24] denotes the relationship of university, industry and
government, and also the internal transformations within each of these institutional
spheres. A knowledge infrastructure is defined in terms of overlapping spheres, with
hybrid organisations emerging at the interfaces. The system is perennially
incomplete and in flux, the sources of innovation not fitting together in a pregiven order; the unidirectional causal relation between input and output is modified
by taking into account interactions and recursivity (non-linearity of innovation).
Within an Innovation Ecosystems [1, 10] there are several drivers and agents of
innovation: research and invention, financial support, infrastructures, entrepreneurs,
culture and education, government and society. All these elements form an
innovation ecosystem and deserve attention: focusing only on some fails to yield
the desired results and if one of them is dysfunctional, it can impair all the others.
Private investments need not necessarily be below the socially desirable level: the so-called dotcom
bubble, which led to widespread overinvestment in ICT technologies, provides an interesting
counterexample.
4
This also implies that convergence between countries can no longer be taken for granted. This theoretical
argument has gained relevance for the EU following the increase in heterogeneity of its Member States
[32]. Also, investment in knowledge has grown at a greater rate than the one for investment in physical
capital since the mid-1990 in most OECD countries [3].
3
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Fundamental R&D
precondition for
applied R&D
Research
&
Development
Innovation puts
pressure on
competitors to
innovate
Education
Innovation
Good education
necessary for
further education
Fig. 1 Positive externalities within the research, education
Innovation output
used as input for
other innovation
and innovation areas
Research
&
Development
Innovations
can boost R&D
Skills are
key input
to R&D
R&D output
used to
innovate
Education
Skilled consumers are early adopters
of innovative goods and services
Innovation
Skilled workforce required to innovate
and to use innovative production processes
Fig. 2 Positive externalities between the research, education and innovation areas
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education and training have received a stronger focus. It is also worth noting efforts
made to strengthen the mobility of researchers between the research sector and
industry. The knowledge triangle, however, also recognises that innovations can in
turn have an impact on the education system, not only by providing new techniques
and media to deliver contents but also by improving the learning environment, for
example though digital platforms, aimed at dealing with every aspect of university
life and catering to the needs of students as well as faculty and administration. This
aspect is usually only partially recognised.
Education, together with training, is indeed usually addressed in more detail separately (see, for instance,
[16]). To ensure a fully functioning knowledge triangle of education-research-innovation is indeed
explicitly identified as a strategic challenge for education and training policy.
6
See [14]. Policy orientations on research and innovation are included in the microeconomic section of
the guidelines, in chapter B.1 Knowledge and Innovationengines of sustainable growth. As for
education, orientations are included in chapter 3 of the employment guidelines, Increase investment in
human capital through better education and skills.
7
The 2008 Communications on the implementation report of this programme and the European Economic
Recovery Plan have also been considered, as they bring some additional elements [17, 18].
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Knowledge circulation
Bring together public research
institutions with private innovatorse.g.
by developing public-private partnerships
(PPPs)to improve the cooperation
and transfer of technologies (IG 7)
guidelines (IG 7, 8, 10). More generally, while there are clearly identifiable attempts
at bringing together the research and innovation agendas, education still seem to be
dealt with mainly separately.
Also, innovation still tends to be seen exclusively as an output and education as
an input, thus shorting the knowledge circuit. More positive is the acknowledgement
of the importance of improving framework conditions, through well-functioning
financial and product markets, to increase private spending and favour innovation.
Equally, the guidelines acknowledge the importance of promoting researchers
mobility to favour knowledge flows across institutions, sectors, and member states.
As far as the CLP is concerned, the 20082010 programme presents a more strategic
and integrated agenda compared to the one adopted in 2005 at the time of the mid-term
review of the strategy. Even if this came too late to influence the achievement of the
2010 targets, it constituted a welcome stepping stone for the successor of the Lisbon
strategy. Nevertheless, while the objectives focus mainly on research and innovation for
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obvious institutional reasons, the lack of consideration of the links between different
policy areas undermines consistency with the concept of knowledge triangle. Indeed,
while according to objective 1 anticipating the labour market needs of a knowledgebased economy is clearly part of the agenda, no explicit reference is made to the
contribution expected from education to an integrated knowledge agenda. Finally, quite
confusing is the fact that knowledge seems to be used as a synonym forand to have
replaced in some formulationsresearch, and be discussed separately from
innovation. As a consequence, these two areas end up being treated almost
independently, albeit with some overlapping, thus undermining attempts of an integrated
approach.
The shortcomings identified above do not imply a lack of action aimed at the
links between the different areas of the knowledge triangle on the side of member
states.8 In Austria, for instance, the ministries responsible for R&D have launched
initiatives aimed at the next generation of scientists and researchers: Sparkling
Science has the long-term objective of breaking down the barriers between school
education and the science system, mainly through research collaboration between
scientists and pupils; the academia+business programme (AplusB) has established
support infrastructures and services at universities (AplusB-Centres) in order to help
researchers starting a business and providing support services to start-up companies;
Forschung macht Schule aims at attracting more children to a career in natural
sciences and engineering, among other things through internships in companies and
research institutes.
To conclude, the provisions of the Lisbon agenda went a long way towards laying
down the objectives to be pursued within each component of knowledge triangle, but
greater attention to the networking of the various elements was warranted in order to
avoid a mismatch of efforts. As underlined by former Research Commissioner
Potonik, it was important to see where and how it was possible to improve the
interactions between the three vertices of the Triangle and make the whole structure
stronger [26]. Also, institutional arrangements, both at the EU and member state
level, were not always designed is such a way that bodies dealing with research,
innovation and education policies properly take each other into account and avoid
the pursuit of conflicting objectives. Finally, the increasing demands for knowledge
to be directed towards the ability to stand up to the grand societal challenges of
our times (such as climate change and populations ageing) nothing but reinforced
the need for an integrated approach.
In what follows, we focus on models of coordination between policies, while abstracting from their
actual implementation and results, based upon information available in the Erawatch repository (http://
cordis.europa.eu/erawatch).
297
See, for instance, the discussion on the crucial nodes and components in [12].
298
In March 2010, the new Commission proposed the strategy for economic growth
and employment for the decade to 2020; the European Council agreed on the same
month on its main elements, in particular the key targets and the new governance
architecture [23]. As part of this architecture, the strategy will orientate the actions of
Member States through a small set of guidelines integrating both employment and
broad economic policy guidelines [20]. The broad economic policy guidelines have
been adopted by the Council of the EU in early July 2010 [7], while the second will
be in the second half of 2010.10
The new Integrated Guidelines are just ten and replace the existing 24, thus
providing a great increase in focus and a reduction of duplication and ambiguity. The
one most directly related to knowledge is IG 4: Optimising support for R&D and
innovation, strengthening the knowledge triangle and unleashing the potential of the
digital economy. From the title itself, it is clear that the concept of knowledge
triangle has been fully embraced. The headline target of 3% of GDP for investment
in R&D (public and private), on the basis of which Member States will set their
national targets, is confirmed for 2020. On the top of this, the Commission will
elaborate an indicator reflecting jointly R&D and innovation intensity.
Education is addressed in the employment guidelines, namely by the new IG
8 (Developing a skilled workforce responding to labour market needs, promoting
job quality and lifelong learning) and IG 9 (Improving the performance of
education and training systems at all levels and increasing participation in tertiary
education)whose precise content is not known yet.
The rationale provided under the headline of the IG 4 further underlines the
importance of the concept of knowledge triangle: All three sides of the triangle
(education-research-innovation) should mutually support and feed into each other. In
line with guidelines 8 and 9, Member States should equip people with a broad range
of skills needed for innovation in all its forms, including ecoinnovation, and should
seek to ensure a sufficient supply of science, mathematics and technology
graduates. More generally, other aspects of relevance for knowledge triangle
policies underlined by the same guideline are the need to:
&
&
&
&
As far as actions at the Union level are concerned, the Europe 2020 agenda
foresees seven flagship initiatives to stimulate progress towards the objectives of
the strategy. Of these, some are more strictly related to knowledge policy. Of
particular relevance to the knowledge triangle is the Innovation Union initiative,
whereby the Commission will promote knowledge partnerships and strengthen
links between education, business research and innovation, including through the
10
The employment and broad economic policy guidelines rely on two distinct articles of the Treaty on the
functioning of the EU and are thus adopted separately [8].
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European Institute of Innovation and Technology (EIT) [20]. The Innovation Union
will be formally launched at the end of 2010, so that the exact contour of the
initiative is not known yet. The same holds for the initiatives targeting education and
training: Youth on the move and An agenda for new skills and jobs.
To summarise, for actions both at the Member State and the Union level, the new
agenda has kept the most positive features of the Lisbon strategy, the accent on the
three pods of the knowledge system. But it also progressed with respect to the
former provisions, thanks to the greater prominence attached to the linkages between
the three dimensions of knowledge policy. This is particularly visible for the relation
between R&D and innovation. As far as education is concerned, the need of solid
linkages is stated, even if mainly as an input to innovation activities and disciplined
mainly separately. From a knowledge triangle perspective, the proper connection of
research and innovation policies with education policies is likely to be one of the
most delicate aspects to be addressed.
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effective integration with the other sides of the Triangle [6]. Member States agreed
on a new strategic framework (Education and Training 2020) including a reference
to the knowledge triangle, common strategic objectives, a series of benchmarks
linked to them, areas where further work is needed to identify new benchmarks and
concrete priority areas for the first 3-year cycle (20092011). In the area of research,
the Council of the EU has transformed the CREST: it has now become the European
Research Area Committee (ERAC), a strategic policy advisory body providing
timely strategic input to the Council, the Commission and the Member States on any
research and innovation issue relevant to the development of the ERA. The new
mandate is based on an equal partnership reflecting the shared competence of EU
and Member States. The ERAC will also monitor the progress of the ERA and
promote the coordination of national research and innovation policies. Finally, the
ERAC shall develop strategic interactions and coherence with other policy areas, in
particular those related to the knowledge triangle [9]. It still remains to be seen to
what extent the ERAC will also integrate innovation policy and how it will relate to
the OMC for education policy.
Current discussions focus on the development of indicators to capture progress
towards the ERA objectives, the improvement of synergies between different
governance levels (EU, national and regional) and the simplification of current
instruments for EU financial support. The European Institute of Innovation and
Technology and the establishment of the first Knowledge and Innovation
Communities (KICs) is another important initiative, since the KICs should help
identifying new governance models to implement the knowledge triangle on the
ground.
Within Member States, the recent increase in the coordination of research policies
constitutes an important step forward. In this area, Member States tend to follow two
basic models, namely the coordination by advisory councils/chief advisers and the
coordination through central ministerial or inter-ministerial boards (with weak
advisory bodies). In some cases, these mechanisms are accompanied and supported
by strategic plans and documents. Also, in several countries, R&D policies overlap
partially with those carried out within other ministerial portfolios, such as
transportation, agriculture, energy, health and telecommunications.11 To foster
further integration of all the policy areas of the knowledge triangle, this coordination
should be extended to encompass innovation (as is the case already in some
countries) and education policies. This would also make it easier to spot which
framework conditions are found wanting and should thus be reinforced.
Conclusion
We analysed knowledge policies in the EU based on the concept of knowledge
triangle. During the Lisbon strategy (20002010), emphasis was correctly put on the
need of strengthening each vertex of the knowledge triangle (research, education and
innovation). The importance attached to the linkages between policy domains was
instead feeble. The lack of proper links between the elements of the knowledge
11
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system can neutralise advances within a single policy domain, so that due attention
should be paid to two-way relations between policy areas. Progress towards a
knowledge society requires fostering the interaction between the vertices of the
knowledge triangle (the edges). This is as important as having strong corners, if not
more, because of externalities, multiplier effects and self-reinforcing dynamics.
A new streamlined EU knowledge agenda has been put at the core of the new
Europe 2020 strategy. It relies on more integrated R&D and innovation policies, in
turn strongly connected with key relevant elements of education and training, even if
the latter are still mainly addressed separately. The new strategy relies on a limited
number of headline objectives (ten in total), with a single one common for both the
research and innovation sides of the Triangle. Also part of the new strategy are seven
flagship initiatives, of which three strictly relate to research and innovation
(Innovation Union) and education (Youth on the move; an agenda for new skills and
jobs). The concrete measures and instruments devised to implement this agenda are
currently being developed and should be linked to such common broad objectives.
Any possibility to better integrate current and future EU-supporting measures should
be exploited, promoting for example cross-cutting programmes. The experience
drawn from the European Institute of Innovation and Technologys first Knowledge
and Innovation Communities and from successful initiatives by Member States
should help to design new instruments.
Improved governance mechanisms will be crucial to ensure implementation of the
new knowledge agenda. The need of stronger cooperation mechanisms between
Member States and the Commission to implement the European Research Area has
been recognised in the mandate of the newly established ERAC. To this end, the
ERAC will have to fully reflect the upcoming integrated research and innovation
agenda (Innovation Union initiative) and adequately connect with the existing open
method of coordination for education and training.
Acknowledgements We are indebted to Patrick Brenier, Ren van Bavel and participants to the
Knowledge for Growth seminar at IPTS for useful comments. Any errors are our own. The views
expressed here do not necessarily represent an official position of the European Commission.
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