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strategy 2020 www.rat-fte.at
imprint Publisher and media owner | © austrian council Rat für Forschung und Technologieentwicklung | 1010 Vienna | Pestalozzigasse 4 Council Members | DI Dr. Dr h.c. Knut CONSEMÜLLER | Chairman Univ.-Prof. Mag. Dr. Günther BONN | Deputy Chairman | Univ.-Prof. Dr. Dervilla DONNELLY DI Dr. h.c. Albert HOCHLEITNER | DI Reinhard PETSCHACHER | Mag. Hans SCHÖNEGGER Prof. DI Dr. h.c. Jürgen STOCKMAR | Dr. Gabriele ZUNA-KRATKY Secretariat | DI Dr. Ludovit GARZIK | Head of the Secretariat | Mag. Dr. Johannes GADNER | Project Manager Dr. Fredy JÄGER | Mag. Dr. Silvo KOREZ | Mag. Peter LINDNER | Mag. Bettina RUTTENSTEINER-POLLER Mag. Dr. Constanze STOCKHAMMER | Mag. Michaela TOPOLNIK Design | Grafikatelier Heuberger | Vienna Print | Kärntner Druckerei | Klagenfurt Picture sources | photocase.com | Fotoline | micjan | MorzKerl | jarts | Jenzig71 | Gerti G. | Kellermeister photocase.com | emma75 | view7 | blue757 | Technische Universität Graz | Bergmann | Freie Uni Berlin iStockphoto | Sebastian Kaulitzki | Andrew Rich | Tom Grill | Andrey Volodin
table of contents
3 executive summar y
9 the agenda
17 principles and strategy elements
21 people
Status and Challenges 22
Strategic Guidelines and Recommendations 24
27 society
Status and Challenges 28
Strategic Guidelines and Recommendations 31
33 input/output
Status and Challenges 34
Strategic Guidelines and Recommendations 43
45 key r esear ch ar eas
Status and Challenges 46
Strategic Guidelines and Recommendations 50
53 infrastructure
Status and Challenges 54
Strategic Guidelines and Recommendations 55 >
1
table of contents
59 instruments
Status and Challenges 60
Strategic Guidelines and Recommendations 62
67 gover nance
Status and Challenges 68
Strategic Guidelines and Recommendations 69
73 inter nationalisation
Status and Challenges 74
Strategic Guidelines and Recommendations 75
79 literature
83 abbreviations
84 contact
2
executive summar y
Vision 2020
Austria is a successful and internationally recog- development for both Austrian and foreign
nised innovation nation. Excellent research and scientists, and also for business. The efficient
radical innovation form the basis for Austria’s use of research results facilitates sustainable
leading position. An integrated approach and social, economic and ecological progress which
successful cooperation between science, indus- is supported by a sense of responsibility for the
try, society and politics are the core elements of living conditions of future generations. The key
a new culture of openness, flexibility and crea- policy areas are education, research, technology
tivity. This is the foundation for the creation of and innovation. At the heart of this policy is a
new knowledge. Framework conditions and commitment to people. This makes Austria a
structures that foster innovation make Austria dynamic, knowledge-based society at the fore-
an attractive place to carry out research and front of global competition..
Strategy 2020
Strategy 2020 sets out a vision of the future for the sents its proposals and recommendations for
status that Austria aims to attain by 2020. To turn realising the vision. The Strategy sets the direction
this vision into reality a comprehensive strategy is and – especially in the midst of the turbulence
needed. In this Strategy 2020 the Austrian Council created by a global financial and economic crisis –
for Research and Technology Development pre- serves as a general orientation aid.
Global Framework Conditions
The global economic and financial crisis has radi- tematic definition of key areas and provision of
cally changed the framework conditions which appropriate resources, linked by the instruments
had previously been assumed for the development of intervention and their governance.
of the RTI system. In terms of the strategic pro- Most countries will have less money at their
posals and recommendations, the uncertainty disposal. Therefore those countries that win the
regarding the framework conditions makes it race to the top in 2020 will be those which suc-
necessary to prioritise those measures which ceed in using scarce financial resources and the
position Austria most effectively as a centre of RTI most highly qualified people for the national
as it competes in a globalised economy. In parti- strengths that give them a competitive edge over
cular, measures are needed in the areas of educa- other countries. Absolute dedication and a strong
tion and raising skills and qualifications, the sys- focus upon national skills are of the essence.
Starting Point
In recent years Austria has completed a rapid the category of innovation followers, i.e. the
catchi ng-up process in terms of its RTI per - group behind the innovation leaders.
formance and is now one the countries in the However, Austria is also one of the few countries
European Union that is developing most dynami- in the European Union to have a realistic chan-
cally. In the latest Summary Innovation Index ce of achieving the targets laid down for the
(SII) of the European Innovation Scoreboard member states in the Barcelona and Lisbon pro-
2008 Austria ranks sixth among the 27 EU cesses. With a research quota of 2.73 percent
member states. In an international comparison (2009) Austria already clearly exceeds the EU
Austria, together with countries such as France, average. However, there is an evident weakness
Ireland, Belgium and the Netherlands, falls into in transforming input into output. Austria in- >
3
executive summar y
vests a disproportionately large share of resour- with a tertiary education qualification and the
ces in the RTI system and generates only lower number of science and engineering graduates.
than average output in comparison. Other Score- The situation in this regard is acutely problema-
board indicators also reveal deficits, especially tic as there is already a shortage of highly quali-
the below-average percentage of the population fied workers.
Challenges
Both these weaknesses point to the greatest chal- An increasing number of countries – including our
lenge that Austria will have to overcome in the immediate neighbours – are themselves engaged
next few years: To take the step from being an in a catching up process and are advancing into
innovation follower to an innovation leader, i.e. those positions that Austria had carved out for
from a country that is catching up to one that pro- itself in the past. Austria therefore has no alterna-
duces at the cutting edge of technology. This tive but to take a leap forward and move into the
development step is needed as the returns from fast lane occupied by the innovation leaders with
an adaptive innovation strategy have now largely production structures at the cutting edge of tech-
been exhausted. Furthermore, on globalised nology and highly developed productivity. How-
markets there is growing competition from ever, this move requires a fundamental change in
nations that are able to produce in the medium the focus of research, technology, innovation and
technology segment at substantially lower cost. educational policy.
4
executive summar y
Strategy Elements
Strategy 2020 structures the reforms that are The Austrian Council recommends
necessary for this fundamental change in eight ❚ Developing a strategy to shape the dialogue by
strategy elements: the ministries, Austrian Council, scientific and
research community and stakeholders
❚ People ❚ Infrastructure ❚ Institutionalising this dialogue, ideally in the
❚ Society ❚ Instruments form of an independent institution
❚ Input/Output ❚ Governance ❚ Regular, ideally annual, realisation of the Long
❚ Key Areas ❚ Internationalisation Night of Research
❚ Developing an incentive system for scientists to
participate in the dialogue
People ❚ Expanding the Parliamentary Research Service
Joining the innovation leaders means increased to obtain and edit impartial expertise
demand for higher qualifications. Austria needs ❚ Ethics discourses at universities, Fachhochschu-
more and better educated workers. The import- len and other research facilities.
ance of higher education rises disproportionately
with the rising level of development.
The Austrian Council recommends Input/Output
Improving access to education: In recent years Austria has been particularly suc-
❚ Starting education earlier cessful in mobilising financial resources for RTI
❚ Later segmentation and modular structure and is in a good position to close the gap to the
Improving the attractiveness of tertiary innovation leaders in Europe. In the current
education: volatile economic climate, however, new targets
❚ Balanced teacher-pupil ratios need to be developed in order to achieve steady
❚ More attractive curricula, particularly in the growth in R&D spending. The present structure
technical-science branches of the various types of research should be bal-
Positioning science as a career: anced and developed further with a stronger
❚ Additional funding for enhanced doctoral trai- focus on output. The public sector should there-
ning schemes fore create incentives to expand the proportion
❚ Improving contracts to match international of research carried out by business. A need has been
standards identified to put more emphasis on the transfor-
❚ New career models for women mation of resource input to result output and this
Using and promoting immigration: necessitates a better understanding of the entire
❚ Austria-wide recognition of qualifications RTI system both in quantitative terms and with
acquired abroad regard to internal linkages. This requires substan-
❚ Facilitating immigration of top researchers tial improvements to the information and data
❚ Starting an awareness campaign. pool for RTI policy and the further development
of methods of data analysis and impact research.
Society The Austrian Council recommends
The growing importance of science, research, ❚ 3 percent research quota as an interim goal
technology and innovation for our society re- ❚ Developing the long-term goal for 2020 in the
quires new forms of dialogue between science light of the economic situation
and society. It is important to create sustainable ❚ Current structure of R&D funding must be
access to and opportunities for social partici- enhanced with a focus on output
pation which strengthen “social robustness”, i.e. ❚ Funding of basic research must be in balance
social acceptance of technological advances. with the other sectors >
5executive summar y
❚ Strengthening the innovative capability of busi- represents a good means of strategically positio-
nesses and the framework conditions for RTI ning the research location. An appropriate infra-
investments structure, especially basic research infrastructure,
❚ Improving support for the transfer of technology not only drives employment, it also acts as a
❚ Improving the data pool by means of a coordi- magnet that draws Austrian and international
nated collection and analysis process researchers.
The Austrian Council recommends
Key Areas ❚ Establishing links with international RTI infra-
Identifying key areas and emerging thematic areas structures with a view to thematic key areas
in the Austrian research landscape will become ❚ Creating a platform for the strategic planning of
increasingly important. Overarching priorities RTI infrastructure in consultation with ESFRI
should be defined across all ministries and appro- ❚ Greater joint (supra-regional) use of large-scale
priate public RTI instruments should be developed infrastructure
for selected key thematic areas and key technol- ❚ Expanding programmes to promote cooperation
ogies that are of societal or strategic importance to include infrastructure
for Austria. This applies only to that area of the ❚ Multi-year budgets for infrastructure
RTI system that is not defined by a process that ❚ Funding basic university infrastructure through
is of necessity thematically open and bottom-up. the global budget, but preserving competitive
The aim of the strategy element “Key Areas” is to tendering processes for additional research infra-
point out methods and paths for arriving at a structure.
holistic definition of key areas and laying the
basis for future priorities in the RTI system.
Instruments
The Austrian Council recommends The extensive portfolio of potential instruments
❚ Inter-departmental definition of priorities and for intervention in the RTI system with their
RTI instruments (inter-departmental overall pro- numerous forms and sponsors must be used in a
ject management) targeted and coordinated manner if the over-
❚ Elaborating additional strategies for key areas, arching goal of strengthening the Austrian inno-
most urgently in the fields of sustainability, environ- vation system and positioning it among the front
ment, energy, mobility and transport runners is to be achieved by 2020. A key element
❚ Pursuit of niche strategies in the sense of focus- of the Austrian Council’s RTI strategy is there-
ing on specific markets and fields of knowledge fore to draw up and present the way in which
when establishing thematic key areas instruments need to be used with the aim of
❚ Focusing thematic programmes on a small num- streamlining the multitude of programmes that do
ber of broadly based key areas not achieve a critical mass and concentrating the
❚ Limiting the proportion of the funding budget use of resources on a small number of broadly-
that is available for thematic programmes based key research areas that are of strategic,
❚ Defining priorities that will empower Austrian economic and/or social relevance for Austria.
researchers to increase their participation in Instruments for the corporate sector should be dif-
European Framework Programmes ferentiated according to the specific problem. In
❚ A systematic approach to foresight activities order to increase R&D intensity in the business
and technology forecasts sector a special effort should be made to address
small and medium-sized enterprises, as their
potential is still far from exhausted in Austria.
Infrastructure
RTI infrastructure is an indispensible base for The Austrian Council recommends
world-class research. Due to its unique nature it Independent of sector:
6executive summar y
❚ Simplifying and increasing indirect funding education as a complete portfolio to be implemen-
❚ Streamlining the multitude of thematic ted through performance agreements
programmes ❚ Increasing the proportion of funding awarded
Instruments for the corporate sector: using competitive procedures.
❚ Increasing the proportion of companies
engaged in research and innovation in particular
among SMEs and LCUs Governance
❚ Expanding risk and growth-oriented financing In the area of governance the main objective is to
opportunities for young, innovative, technology- optimise the steering and interaction of the insti-
oriented companies tutions that are responsible for the implementation
❚ Improving the availability of and access to and management of public interventions in the
equity capital and venture capital RTI system. It is therefore essential to develop a
Instruments for the collaborative sector: model for the target state of the RTI system in 2020.
❚ Optimising and continuing programmes Changes to the structures and processes can only
that promote cooperation between science be successful if they are based on clear objectives.
and industry
❚ Greater concentration of collaborative The Austrian Council recommends
institutions ❚ Concentrating research agendas at the minis-
Instruments for universities: tries responsible for applied and industry-orienta-
❚ Developing a long-term strategy for the tertiary ted research – BMVIT and BMWFJ. >
7executive summar y
❚ Merging the supervisory and steering structures and will be carried out by funding agencies and
of the agencies, also with a view to being able to research institutions. The establishment of the
allocate funding to the key areas flexibly and as European Research Area in particular will lead to
needed a further strengthening of this trend. In contrast
❚ Autonomy of the agencies in the sense of agen- it will become harder for state institutions to en-
cification in terms of jury and guideline decisions sure coherent approaches at the national level.
on the basis of the strategic specifications of the
ministries The Austrian Council recommends
❚ Increasing the flexibility of employment con- ❚ Realigning responsibilities at the ministries:
tract structures at the ministries Coordination function replaces management
❚ Advisory services provided by the Austrian function
Council for Research and Technology Develop- ❚ New methods of coordination between the
ment should be directly addressed to members ministries, research institutions and agencies
of the government and should encompass the ❚ Joint development of participation strategies
definition of strategic directions, key areas and for European approaches to internationalisation
the necessary funding and monitoring of the (e.g. ERA-NET)
implementation of the federal government’s RTI ❚ Strengthening neighbourhood policy by inten-
strategy. sifying scientific collaboration and cooperation in
education, research and development in the Cen-
tral, Eastern, and South East European Research
Internationalisation Areas
Changed global conditions require decentralised, ❚ Promote Austria as a research and university
flexible yet sufficiently coherent approaches to location in Central, Eastern, and South East
international cooperation. Communication which Europe, in selected non-European countries and
in the past was handled by state bodies will in in selected collaborative networks in which third
future take on a more immediate and direct form countries participate
8the agenda
9the agenda
Austria Faces the Challenges of the 21st Century
Vision 2020: Austria is a successful and interna- research and development for both Austrian
tionally recognised innovation nation. Excel- and foreign scientists, and also for business.
lent research and radical innovation form the The efficient use of research results facilitates
basis for Austria’s leading position. An integra- sustainable social, economic and ecological
ted approach and successful cooperation be- progress which is supported by a sense of respon-
tween science, industry, society and politics are sibility for the living conditions of future gene-
the core elements of a new culture of openness, rations. The key policy areas are education, re-
flexibility and creativity. This is the foundation search, technology and innovation. At the heart
for the creation of new knowledge. Framework of this policy is a commitment to people. This
conditions and structures that foster innovation makes Austria a dynamic, knowledge-based
make Austria an attractive place to carry out society at the forefront of global competition.
Research, technology and innovation (RTI) are the European heads of state and government
the prerequisites for achieving scientific, econo- stated that research, technology and innovation
mic, technological, social, ecological and cultu- are the prerequisites for growth and employment
ral progress in future and thus for creating high- in Europe. Research not only increases a coun-
quality jobs and safeguarding competitiveness, try’s competitiveness, it also safeguards national
sustainability and prosperity. The ambition to prosperity, promotes social inclusion and helps
join the ranks of the innovation leaders is not solve societal problems.
therefore an end in itself, but is designed to The goal of any comprehensive strategic RTI
achieve societal objectives. In the Lisbon strategy policy must therefore be to support economic
2,57 % 2,66 %
40.000 2,47 % 2,46 % 4.200
2,26 % 2,26 %
2,07 % 2,14 %
1,90 % 1,94 % 4,69
35.000 1,78 % 4,47 4.100
Figure 1: 4,22
Number of employed persons (in ’000)
R&D quota 3,84
Development of 3,28 3,49 4.000
30.000 „Output-Quota“* 3,09
2,48 2,70
GDP per capita, 2,10 2,28 3.900
25.000
employment, aver-
3.800
age annual gross 20.000
EUR
3.700
income, R&D fund-
15.000
ing by companies 3.600
including funding 10.000
3.500
from abroad and 5.000 3.400
the R&D quota
0 3.300
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008
GDP per capita Annual gross income Number of employed persons Business enterprise sector and abroad (in EUR billion)
Source: Statistics Austria1 * „Output-Quota“ according to the exemplification in the agenda
1
Gross annual income is the average (arithmetical mean) of the gross annual income of all employed persons
(excluding apprentices) based on income tax records, December 2009; GDP per capita is at current prices from
the National Accounts, July 2009, the number of employed persons (15 years and older) according to the Labour
Force Concept from the Labour Market Statistics, June 2009, the R&D quota from the global estimate of R&D
expenditure, May 2009.
10the agenda
competitiveness and sustainable economic devel- ducts that are new to the market2
opment. This provides the basis upon which eco- ❚ the percentage of sales generated with pro-
nomic development, employment and prosperity ducts that are new for the company2 and
can be advanced. At the same time, the links be- ❚ the percentage of high-tech exports2
tween input and output are complex and it is on the other.
necessary to include both input and, to a greater Successful industrial research is based upon out-
extent than has been the case in the past, output standing basic research carried out at adequate-
quantities in economic policy considerations. An ly funded research institutions and applied
adequate input of resources and an efficient research supported by suitable research and fund-
system for research, technology and innovation ing structures. Within this research structure the
are both essential prerequisites for turning the efficient transfer of knowledge is called for. The
ambitious vision into reality. When looking for an provision of financing for the aforementioned
auxiliary quantity against which output can be research sectors is of crucial importance in
measured, the results of corporate development Austria given that it is a high-wage country with
activities can serve as important indicators. In few natural resources.
turn, these development results are a function of Nevertheless, a policy focusing exclusively on
research expenditures in the corporate sector. research, technology and innovation has fails to
At the same time, allowance must be made for adequately exploit existing potential. The areas
the time lag between spending and measurable of research, innovation, education and training
results. This time lag depends on the particular must therefore be developed jointly with a view
structure of the economy and in the medium to improving the development potential of the
term can be regarded as stable. To deepen economy. In December 2008 the European
knowledge of the broader connection, the Aus- Union adopted the European Research Area
trian Council calls upon the scientific communi- Vision 20203 as part of the Ljubljana Process. This
ty and Statistik Austria in cooperation with the vision explicitly recommended that the moder-
Austrian Council to prove the links between nisation of research, education and innovation
expenditure on the one hand and systems must proceed hand-in-hand and called
❚ the development of sales, results and employ- for strong interaction within the “knowledge
ment triangle” (education, research and innovation)
❚ the development of per capita GDP to be promoted at all levels supported by appro-
❚ the percentage of sales generated with pro- priate European mechanisms.
Increasing Competitiveness and Solving Social Challenges
While research, technology and innovation change For large sections of the population these areas
all our lives, knowledge of the processes and remain “black boxes” and it is by no means clear
developments, repercussions and risks in these to all members of the public why massive invest-
areas have not spread with the same vehemence. ments should be made here. >
2
See EIS (European Innovation Scoreboard) 2007
3
European Council (2008), European Research Area Vision 2020: “Research, education and innovation policies
and programmes are jointly designed among public authorities at all levels with appropriate involvement of
relevant stakeholders, whenever this is necessary to optimise their effectiveness, efficiency and value to society
and the economy”. See European Commission (2006), Communication from the Commission to the Council and
the European Parliament delivering on the modernisation agenda for universities: education, research and inno-
vation. Brussels, 10.5.2006, COM (2006) 208 final.
11the agenda
The Austrian Council and most well-known ex- important. While the first point is one of the stan-
perts are convinced that research, technology and dard arguments used to advocate investments in
innovation have fundamentally positive impacts this area (see Strategy Element RTI Funding
provided they are developed, publicly discussed Input/Output) the contribution that research and
and employed with the necessary ethos and criti- innovation can make to solving social problems
cal reflection (see also Strategy Element Society). has not really been systematically exploited. There
In particular, the effects on competitiveness (and is still a great deal of potential here, which can
thus on growth and employment) and the contri- however, only be developed with a holistic policy
bution that can be made to solving major social approach (see Strategy Element Governance).
challenges (climate change, scarcity of natural Technological innovations alone cannot solve the
resources, biodiversity, problems concerning problems we face. There also has to be a stronger
waste, an ageing population etc.) are regarded as focus on social innovations.
Improvements on a Broad Front / Long-Term Weaknesses
In terms of R&D spending Austria is one of numerous international comparisons. Thus the
Figure 2:
those countries in the European Union that is latest Summary Innovation Index (SII) of the
Growth of the developing most dynamically. The exemplary European Innovation Scoreboard 2008 (EIS)]4
R&D quota in catching-up process that the Austrian RTI system puts Austria in sixth place among the 27 EU
an international has undergone in recent years is confirmed by member states. In an international comparison
comparison
4,50
4,00
Austria SE
3,50
Germany
Sweden 3,00 CH
USA AT
Switzerland DE
2,50
USA OECD
2,00
Total OECD EU-15
EU-27
EU-27 1,50 CN
EU-15 1,00
China
0,50
0,00
1981 1982 1983 1984 1985 1986 1987 1988 19891990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008
Source: OECD, Main Science and Technology Indicators, 2008
4
European Commission (2009): European Innovation Scoreboard 2008: Comparative Analysis of Innovation
Performance. PRO INNO Europe Paper No. 10; Brussels.
EIS provides an indicator-based scoreboard for evaluating performance in the area of research, technology
development and innovation. The EIS analyses 25 individual indicators which are grouped together in five
categories and cover “innovation input” and “innovation output”.
12the agenda
Austria, together with countries such as France, years. In 2009 this amounted to 2.73 % of GDP,6
Ireland, Belgium and the Netherlands, falls into putting Austria in fifth place behind Sweden,
the category of innovation followers, i.e. the Finland, Germany and Denmark in an EU com-
group behind the innovation leaders. In 13 of the parison (see Fig. 2).
25 SII indicators Austria even lies above the EU Austria’s main weaknesses are in the categories
average. human resources, the availability of risk capital
In particular, Austria boasts a better than average and radical innovation (percentage of turnover
innovation performance compared to its compe- due to product innovations). These deficiencies
titors among the innovation followers and the have been known for some time; however, there
innovation leaders: Today, Austria is the country are as yet no signs of any significant catching up
with the most dynamic pace of development in a European comparison. This trend indicates
after Ireland5 and is now one of the countries in that it is precisely those factors which are so
the European Union to have a realistic chance of important for putting the country at the top of
achieving the targets laid down for the member the technological league tables (risk capital (see
states in the Barcelona and Lisbon processes. In above), human resources, radical innovation)
terms of the research quota, Austria has also that are not yet sufficiently well established in
significantly exceeded the EU average in recent Austria.7
Innovation Follower oder Innovation Leader?
An imbalance between innovation input and out- adoption of the necessary measures (e.g. in the
put is only one indication of the greatest challen- educational, funding and political system) would
ge that Austria will have to overcome: To take the significantly broaden Austria’s options both in
step from being an innovation follower to an terms of maintaining competitiveness and the
innovation leader, or from being a country that achievement of societal goals. The top position
is engaged in a catching up process to one that that Austria already holds in some areas relating
produces at the cutting edge of technology, i.e. to ecological, social and economic sustainability
is a front-runner. This development step is long could form the basis for a role as an internatio-
overdue: As early as 1996 the draft outline of a nal leader.
government technology policy concept noted The closer one gets to the top (i.e. to the frontiers
that the returns from an imitative strategy – of the of technological, economic and social innova-
kind pursued by an innovation follower or a tion), the less effective the measures and instru-
catching up country – had largely been exhausted. ments used in the past become. While these were
The changes that have been made since then as suitable for closing the gap, they fail when it
well as the vigorous efforts to achieve the 3% tar- comes to overtaking or implementing a visionary
get have not sufficiently changed structures in research policy. This empirically well-established
Austria. As a result, the task of achieving a funda- link – that economic policy measures deliver
mental change in the orientation of research, differing returns depending on the level of a
technology, innovation and policy still remains to country’s development – creates a difficult situ-
be carried out (see Strategy Element Governance). ation for economic policy decision-makers, as it
The step toward innovation leadership and the raises the question as to why the existing instru- >
5
See Cunningham, P. (2009): Science Policy and Evaluation: the Irish perspective. Presentation on the 2
Evaluation Day on 23 March 2009, Vienna.
6
See Statistik Austria, Global Estimate 2009.
7
European Commission (2009): European Innovation Scoreboard 2008: Comparative Analysis of Innovation
Performance; PRO INNO Europe Paper No. 10; p. 25f.
13the agenda
ment should be modified given that on the among the drivers and not the driven. This goes
whole it has worked in the past and apparently hand in hand with the need to make some of the
still does. resources used for research, technology and
A reorientation might be facilitated by growing innovation available as “gambling money” with
social (national and global) problems and compe- which high-risk bottom-up approaches can be
tition from neighbouring countries as well rising pursued that would not otherwise receive sup-
global competitive pressure even for sophistica- port in the current funding system due to their
ted products and services. Given such develop- novelty. This would not only (in the case of suc-
ments it seems obvious that Austria needs to cess) permit the development of innovative
develop further and develop increasingly radical solutions; it would also break open old moulds
innovations of its own if it is to take its place (see Strategy Element Instruments).
Necessary Policy Approaches for Working Successfully at the
Frontier of Technological, Economic and Social Innovation
The closer a country operates to the frontier of Strategy Element Infrastructure). Research sup-
technological, economic and social innovation, ports and strengthens innovation, especially at
the more resources it has to invest in research companies wishing to spawn innovations of their
and well developed scientific infrastructure (see own. In the context of financing basic research,
14the agenda
the public sector plays a central role. In Austria, ground of sustainable development can hardly
as in most of the other OECD countries, this is reach any other conclusion. A front running strat-
mainly financed by public funds. egy also involves other policy areas (regulation,
The importance of higher education rises dispro- macro-economic steering, public procurement,
portionally with the rising level of development. standardisation, competition policy etc.) which
More and better educated workers are the back- require highly complex management and steering
bone of an economy that wishes to close the gap (eventuell: guidance) (see the Strategy Elements
on the innovation leaders. This concerns both the Key Research Areas, Governance, Instruments).
capacities within the educational system and the Here it is vital to significantly improve strategic
development of the potential of all those who live and implementation competence.
in Austria. Austria’s position, especially in this lat- Supporting enterprises and scientific institutions
ter area, (measured in terms of the conspicuously also requires significantly broadening the range
small percentage of the population with a tertiary of instruments that are used. Policymaking in the
education qualification) is troubling (see Strategy past usually exhausted itself in the introduction
Element People). of new programmes, which, furthermore, were
Structuring the scientific and educational system inadequately coordinated with one another. If
is, as Austria has had ample opportunity to learn, the efficiency of the system is to be improved, a
a challenging process. However, a strategy that balance has to be achieved in the funding sector
envisages joining the ranks of the innovation lea- between key research areas and thematically
ders must also integrate the planning and devel- open programmes (see Strategy Element Key
opment of education, research and innovation Research Areas, Governance, Instruments) and
(triangle policies). But what looks like a bold horizontal coordination with other policy areas.
demand can in fact put back some momentum This should make it possible to draw up all-
into a number of discussions that have ground to embracing packages of measures and abandon
a standstill. If these policy areas are seen together, the fixation upon programmes. However, this
it becomes clear that there can be no real and policy approach should not stop at the federal
lasting progress without more and better educa- level; instead relationships with the EU, neigh-
ted workers embedded in a stable social context bouring countries and less developed countries
and that those stakeholders who are interested in should be intensified (see Strategy Element Inter-
long-term economic competitiveness, creating nationalisation). Last but not least, it is also im-
new jobs, safeguarding the social systems and portant that activities be coordinated with those
solving society’s problems against the back- of the federal states.
From Efficient Institutions to an Efficient System
For a long time Austria was not really certain trian research quota amounted to only 0.6 % of
about how research, technology and innovation GDP.8 In 1967, and in response to the criticism
should be dealt with. In the late 1960s the OECD from the OECD, the Ministry of Science and
country background report identified an under- Research (BMWF), the Austrian Science Fund
developed awareness of research, an almost (Austrian Science Fund (FWF)), the Austrian
complete lack of coordination of RTI activities, Industrial Research Promotion Fund (For-
the lack of a research concept and a blatant lack schungsförderungsfonds für die gewerbliche >
of budget funds for RTI. Even in 1970 the Aus- Wirtschaft – FFF) were established.9
8
OECD (1971): Wissenschaftspolitik in Österreich, Paris.
9
See also the detailed account by Pichler, R. /Stampfer, M. /Hofer, R. (2007): Forschung, Geld und Politik:
Die staatliche Forschungsförderung in Österreich 1945–2005; Innsbruck-Wien-Bozen.
15the agenda
In the decades to come the funds were to form gic aspects of research, technology and innova-
the backbone of the Austrian science and tech- tion with the aim of contributing to a forward-
nology funding system. Their almost exclusive looking research, technology and innovation
focus on their core business areas and the new policy that will promote sustainable social and
challenges which nevertheless arose led to the economic development. In pursuit of these tasks
establishment of further institutions, but not to it has in the past issued the National Research
steering and coordination structures that would and Innovation Plan (NAFIP) and Strategy 2010.
have been able to accommodate the increasing Although approximately three quarters of the
complexity. The repeated attempts to develop proposals contained in the latter have been im-
strategies remained piecemeal efforts and none plemented, this process has been anything but
of these concepts managed to enter the political “linear” so that a series of tasks pertaining to
sphere and none of them were implemented. the improvement of governance remain to be
With the establishment of the Austrian Council completed (see Strategy Element Governance).
for Research and Technology Development in The present Strategy 2020, the recently com-
2000 a new strategic policy body was created pleted system evaluation and the research dia-
and efforts focusing on long-term, strategic logue provide an adequate basis for the devel-
visions for the national RTI system were inten- opment of strategies at the governmental level.
sified. The main task of the Austrian Council for For this to actually happen, political leadership
Research and Technology Development is to is now called for. Otherwise, the implementation
provide the Austrian government with systema- process will remain erratic and the effects
tic, independent and sound advice on all strate- suboptimal.
16principles and strategy elements
17principles and strategy elements
The global economic and financial crisis has rad- and innovation policy and to ensure medium-
ically changed the framework conditions which term planning security by making the necessary
had previously been assumed for the develop- budgetary resources available.
ment of the RTI system. As the current crisis is
not a cyclical but a global structural crisis, it can In formulating Strategy 2020 the Austrian Coun-
be assumed that once it has passed very little will cil has proceeded from the following principles
be as it was before. There will be a perceptible that should guide action:
impact on the supply, production and demand ❚ Sustainability and social relevance are over-
structures of most sectors of the economy. In riding motives for research, technology and
terms of the strategic proposals and recommen- innovation.
dations, the uncertainty regarding the frame- ❚ The education, training and higher education
work conditions makes it necessary to prioritise of the population are the key asset in a know-
those measures which position Austria most ledge-based society.
effectively as a centre of RTI as it competes in a ❚ Education, research and innovation are an
globalised economy. In particular, measures are inseparable whole. High political priority must
needed in respect of education and improving be given to pursuing and organising this
skills and qualifications, the systematic definition “knowledge triangle”.
of key research areas and the provision of appro- ❚ Wherever possible funding should be awarded
priate resources, linked by the instruments of on the basis of competition.
intervention and their governance. ❚ It is essential to focus on potential and
The need inherent in the crisis to make funda- strengths, areas that are developing poorly
mental directional adjustments is exacerbated should be critically evaluated and reconsidered.
by the need for shorter response times. For this ❚ New structures and topics should only be
reason, the authors have throughout the entire opened up if in the medium term a “leading po-
Strategy document differentiated between short- sition” (excellence) can be achieved, they can be
term (2010), medium-term (2013) and long-term expected to offer above-average market poten-
(2020) recommendations and have denoted tial and/or there is an important social need.
them accordingly. It follows from this that the ❚ A globally networked world demands natio-
respective parts of the RTI Strategy 2020 must nally defined strategies for internationalisation.
be checked against the framework conditions at ❚ Structures must be made more flexible in or-
regular intervals and if necessary continuously der to respond rapidly and efficiently in a globa-
revised. lised world.
The timescale is not linked to forecasts regarding ❚ Transparency and participation are policy -
the duration of the crisis as these cannot be making maxims that reflect the responsibility
made with any degree of seriosity. Both the time toward society of those in decision-making
frame until 2020 and the global economic crisis positions.
forbid long-term forecasts as to which countries Strategy 2020 is based on these fundamental
will be among the leading innovation nations in ideas and guiding principles. However, it is also
ten years time, as this does not depend on their based on a solid foundation of thorough ana-
past strategy but on the strategy they choose to lyses of the status quo. The choice of strategy
adopt now and for the future. Hence the need elements serves to structure the discussion. The
for continuous monitoring of the strategy, con- following nine strategy elements were identi-
tinuous communication and thus maximum fied on the basis of a large number of studies and
flexibility to shape the framework conditions, analyses:
the design of research funding programmes and 1. People
the use of resources. 2. Research, Technology, Innovation and Society
Political decision-makers have a duty to give 3. Input/Output
clear priority to education, research, technology 4. Key Research Areas
18principles and strategy elements
5. Infrastructure Input/Output
6. Instruments Austria is one of the few EU countries to have a
7. Governance realistic chance of achieving the 3 % target laid
8. Internationalisation down in the Lisbon strategy. However, in the
Each element of the strategy was developed on current economic climate this could take a few
the basis of a thorough gathering of facts, the years longer than previously assumed. The frame-
identification of an additional need for informa- work conditions for future development should
tion and action, and the resulting decisions re- be subjected to a thorough analysis. The collec-
garding necessary further steps such as further tion and analysis of R&D financial data is the
analysis, studies or workshops etc. Accordingly prerequisite and starting point for the strategic
various study presentations, workshops and dis- recommendations in this regard. An assessment
cussions were organised which then provided of the impact of spending on economic growth
key input for strategic guidelines and recom- and productivity and how it can be increased are
mendations. Finally, existing strategy documents also of relevance in this context.
and the results of the research dialogue and sys-
tem evaluation were taken into account when Key Research Areas
drawing up proposals and recommendations for Greater importance must be given to systema-
the strategic focus in the period up to 2020. tically identifying key areas and emerging thema-
People are at the heart of all activities in the RTI tic areas in the Austrian research landscape. The
system. Depending on the subject of the research, aim of this strategy element is to point out
the nature and scope of the resources that are methods and paths for arriving at a holistic de-
required vary. Strategic goals are pursued by finition of key research areas in order to further
defining key structural and thematic areas. The reinforce Austrian scientific and technological
adequate deployment of resources based on effi- strengths and position them at the top of the -
cient steering by governance ensures the suc- international competition tables. Furthermore,
cessful interaction of people, resources and key RTI activities in areas that are of major import-
research areas. The third dimension differen- ance for society should be systematically stimu-
tiates between the regional, national and inter- lated with a view to developing sustainable -
national levels. The first two levels are dealt with solutions.
jointly in the individual strategy elements, due to
its increasing importance the international level Infrastructure
is dealt with in a separate element of its own. If it is to function effectively and efficiently the
Austrian innovation system must be provided
People & Society both quantitatively and qualitatively with ad-
Research in Austria is defined by the people equate research infrastructures, both at home
who carry it out. Every monetary target defined and in terms of proper access to international
as part of strategic policymaking must have as facilities. Based on a comprehensive survey of
its focus the availability of qualified human the current situation and an appraisal of de-
capital, i.e. creative and committed men and mand in the period up to 2020, the strategy ele-
women. Measures in the area of human resour- ment Infrastructure sets out the requirements
ces and the relationship between science and for satisfying this essential prerequisite for out-
society are therefore of crucial importance for standing, internationally respected research
the Austrian RTI system. The two strategy ele- work in Austria.
ments “People” and “RTI and Society” deal with
the strategic planning of human resources devel- Instruments & Governance
opment and the requisite framework conditions, Further structural development and optimisation
also in relation to the dialogue between science are basic requirements for improving the attrac-
and the public. tiveness and efficiency of the Austrian RTI sys- >
19principles and strategy elements
tem. Structural deficits must be systematically Internationalisation
eliminated, if Austria is to continue to hold its In addition to the development of human re-
own in the competition between research sources, monetary support for research and suit-
nations. Taking into account the results of the able framework conditions, internationalisation
system evaluation, the strategy elements Govern- is one of the strategic cornerstones that will
ance and Instruments focus on the structural constitute the terms of reference for Austrian RTI
requirements pertaining to organisational struc- policy in the next few years. Priority should be
tures and process organisation in the RTI system given to increasing international mobility, inte-
as well as upon the measures and adjustments gration in international networks and developing
that are needed with regard to the funding strategies for closer collaboration with neigh-
instruments for the year 2020. bouring countries.
20people
21people
Status and Challenges
In knowledge-based economies the future of a qualifications and lifelong learning. This is even
location depends on the qualifications, commit- truer given that the democratic trend is increas-
ment, creativity and motivation of the people. To ingly altering the numerical balance between
maintain and increase its prosperity, Austria those who are actively employed and those who
therefore requires better qualified and at the are in retirement.10 Continuously raising produc-
same time committed, creative workers who tivity will enable this gap to be closed again.11
can think for themselves – both university
graduates and highly qualified skilled workers. Austria has the prerequisites to overcome the
Demands are rising: On globalised markets the- challenges that this creates:
re is growing competition from nations that are ❚ Only modest use is made of the skills poten-
able to produce in the medium technology seg- tial in Austria. Substantial opportunities for de-
ment at substantially lower cost. This is especial- velopment can be opened up here by improving
ly true of those countries in Austria’s immediate access to education and gearing educational -
neighbourhood. Austria’s strategic response systems more closely to individual needs.
must therefore be to leave behind the group of ❚ A more open attitude to immigration can
technology followers and move into the fast broaden the skills base and help alleviate the
lane to join the innovation leaders and front-run- future shortage of qualified workers.
ners with cutting-edge production structures ❚ Increased research and innovation activities
and highly developed productivity. This strat- raise productivity, create jobs and contribute to
egy implies a steadily rising demand for higher maintaining prosperity.
Rising Demand for Skilled Workers
The rising demand for better qualified workers were 5.8 scientists for every 1,000 persons in
has been clearly evident since the 1990s. Between gainful employment in the European Union, the
1995 and 2006 the number of university grad- figure in the USA was 9.3 and in Japan 10.3.13
uates as a percentage of the Austrian workforce With a figure of 7.4, Austria is not among the
rose from 8.8 % to 13.2 %. In the same period, the leaders compared to the other countries of the
percentage of those in employment with only European Union, but it could expand its capacity
compulsory schooling fell from 22.7 % to 16.7 %.12 to 8 scientists per 1,000 persons in gainful em-
However, studies confirm an imbalance in the ployment This goal is consistent with the budget
development of human resources in Europe com- trajectory for achieving the research quota of 3 %
pared to the USA and Japan. While in 2005 there of GDP.14
10
Biffl, G., (2006): Mehr Beschäftigung durch Wachstum auf Basis von Innovation und Qualifikation, Teilstudie 6:
Bevölkerungsentwicklung und Migration, WIFO.
11
Fassmann, H. (2007): Wann kommt der “Knick” des Arbeitskräfteangebots? Prognose der erwerbsfähigen Bevöl-
kerung. In: Fassmann, H. (ed): 2. Österreichischer Migrations- und Integrationsbericht 2001-2006. Rechtliche Rah-
menbedingungen, demographische Entwicklungen, sozioökonomische Strukturen; Klagenfurt, p. 283-284.
12
Fritz, O. / Huemer, U. / Kratena, K. / Mahringer, H. / Prean, N. / Streicher, G. (2008): Mittelfristige Beschäfti-
gungsprognose für Österreich und die Bundesländer, Berufliche und sektorale Veränderungen 2006–2012, WIFO.
13
OECD (Febr. 2007), Main Science and Technology Indicators or The “Human Factor” in the field of innovation,
Federation of Austrian Industry.
14
See also European Commission (2004): Science and Technology: The Key to Europe’s Future – Guidelines for
Future European Union Policy to Support Research; Brussels.
22people
Interrupted Education
The skills potential that is available in Austria market – is prevented by the lack of modularity
does not appear to have been exploited to any- in the highly segmented educational system.
where near a satisfactory degree. This is above This situation is characterised by a lack of en-
all due to the interrupted education chain. It is couragement for newcomers and lateral entrants
harder for those social strata with both lower to education as well as difficult conditions for
and medium levels of education to obtain higher those wishing to obtain qualifications at a later
qualifications through education. This exacer- stage in life and in other areas of lifelong learn-
bates the shortage of skilled workers and also ing. This is also true with regard to immigrants
reduces the number of people who reach the who, although they tend to be better educated
level of education required for university admis- than the Austrians, are usually employed in jobs
sion which in turn is one of the causes of the for which they are overqualified.16 Absolutely
notoriously small percentage of graduates from no use at all is made of the skills of well-qualified
institutions of higher education. asylum-seekers whose applications are being
One major reason for this situation is the selec- processed.
tive and segmented educational system in which Overall, this reveals a picture of difficult and
educational opportunities for children are therefore inadequate access to higher education
generally determined by the level of education in Austria. While in Poland, Sweden or Norway
attained by their parents. Children from families 78 % of the population start higher education,17
with poor educational opportunities choose in Austria the figure is only half as high.18 The
other forms of education than do the children of flow of entrants to institutions of higher educa-
more highly qualified parents. Only 52 % of tion is growing too slowly to close the gap to the
Austrian children attain the same level of educa- leading nations in accordance with the front-
tion as their parents. Only 26 % attain a higher runner or innovation leader strategy. Further-
level, while 22 % actually fail to reach the level more, compared to the other countries in the
achieved by their parents. The choice of school OECD, the tertiary education section in Austria
type is influenced by the educational back- is still characterised by high drop-out rates that
ground but also the professional and social sta- are explained more by social background or
tus of the parents. Changes in this area must course-specific selection criteria than by actual
therefore start by raising parental awareness.15 achievement criteria.
The introduction of one year of compulsory kin- While generally better qualified people are
dergarten education is a first step toward greater needed to achieve employment and economic
educational justice and to making better use of growth, and also to overcome the major challen-
the potential for development. ges facing society, special efforts are required
Movement between educational pathways – and with regard to scientific and technical training.19
thus adjustment to the needs of the employment The situation with regard to access to education >
15
OECD (Febr. 2007), Main Science and Technology Indicators or The “Human Factor” in the field of
innovation, Federation of Austrian Industry.
16
See also European Commission (2004): Science and Technology: The Key to Europe’s Future – Guidelines for
Future European Union Policy to Support Research; Brussels.
17
Haas, M. (2008): Humanressourcen in Österreich (A comparative study carried out on behalf of the Council
for Research and Technology Development), University of Vienna, Faculty of Economic Sciences; Vienna.
18
Gächter, A. / Stadler, B. (2007): Qualifizierung, Dequalifizierung und berufliche Weiterbildung in Österreich
2001 und 2005. Arbeitspapiere Migration und soziale Mobilität No. 3, http://www.zsi.at/attach/p306ihaus.pdf.
19
OECD (2007): Education at a Glance, OECD Indicators; Paris.
23people
and graduate numbers is especially poor in these who start to study tend not to consider these
disciplines. Young men, who choose these sub- subjects. Satisfying the demand for qualified wor-
jects more frequently, study less frequently in kers in this area is already the biggest challenge
Austria than on average in the OECD and women facing Austria as an economic location.20
Obstacles to Careers in Science
Compared to other countries the situation in Adequately funded and extremely well-equipped
Austria is characterised by the small percentage universities are a vital prerequisite for attractive
of graduates and the lack of attractiveness of scien- scientific careers in Austria. It is they that deter-
tific careers.21 Agreement regarding a collective mine how attractive the Austrian science sector
bargaining agreement for scientific personnel is to world-class researchers, to Austrian scientists
within the university system marks an important working abroad and to talented students.
step on the way to making careers in science
more attractive.
Strategic Guidelines and Recommendations
Based on this analysis and the current challenges ratio of staff to students, and by making all disci-
in relation to the development of human re- plines more attractive, especially in the sciences
sources, the Austrian Council has identified the and engineering sector.
following strategic guidelines. What is crucial in
this respect is an all-embracing approach: Educa- The Austrian Council recommends
tion, research and innovation have a mutual ❚ Recommendation 1.1
impact on one another and – if decisions in the- New school concepts – also based on well-estab-
se areas are made in isolation from one another – lished and proven international models – should
lead to a very inefficient system. It is therefore be put in place to eliminate early segmentation at
necessary to plan these areas together and imple- the age of 9 or 10 and increase the number of stu-
ment the measures in a concerted manner. dents leaving school with certificates of second-
ary education. In this connection, innovative
Strategic Guideline 1: Improve school models must be developed 2020
Access To Education
To fully exploit peoples’ skills and creative poten- ❚ Recommendation 1.2
tial it is essential that a concerted effort is made Language training in German and English should
to include everybody living in Austria in an all- be increased at both kindergarten and school and
embracing further development of human resour- additional targeted measures introduced to im-
ces. To this end, it is necessary to actively ad- prove German-language skills among immigrants
dress those sections of society with poor educa- and better exploit their potential in terms of
tional opportunities in an effort to counteract the tertiary education. Furthermore, an effort should
social selectivity of the system. In order to attract be made to specifically promote maths and
more people to higher education, the universities science skills. 2013
and universities of applied sciences (Fachhoch-
schulen) must be given the appropriate financial ❚ Recommendation 1.3
resources and structures. The percentage of grad- The financial resources of the autonomous univer-
uates must be increased by achieving a balanced sities should be increased. The commitment to an
20
See also Federation of Austrian Industry (2008): Menschen schaffen Zukunft; Vienna.
21
See Biffl, G. (2007): Forschungsstandort Wien: Zur Rolle der Humanressourcen, WIFO; Vienna.
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