WG/STAIR Title: Source: The Operationalisation of the Integrated Approach: Submission of STAIR to the Consultation of the Green Paper From Challenges to Opportunities: Towards a Common Strategic Framework for EU Research and Innovation funding Knut Blind, STAIR Chairman STAIR is a joint CEN and CENELEC strategic Working Group to address Standardization, Innovation and Research, preparing strategic advice to the CEN and CENELEC Technical Boards in order to reach an integrated approach between research and innovation and standardization.
The Operationalisation of the Integrated Approach in the Future Common Strategic Framework for EU Research and Innovation by, CEN/CENELEC WG STAIR (STAndardisation Innovation and Research) chaired by Knut Blind In the Report on the future of European standardization (2010/2051(INI)) by the Committee on the Internal Market and Consumer Protection the need to improve mutual awareness and cooperation between standardizers, innovators, academia and the research communities is stressed and the inclusion of new knowledge in standards, in particular from publicly funded research and innovation programmes is underlined in order to promote innovation and competitiveness. Already in February 2010, the Expert Panel for the Review of the European Standardization System EXPRESS set the strategic goal to improve mutual awareness and collaboration between standardization and the research communities and innovators. Finally, the European Commission announced a programme to anticipate new standardization needs and integration of standards into R&D projects in the Research Framework Programme within its communication on the Europe 2020 Flagship Initiative Innovation Union SEC(2010) 1161. However, in all referenced documents lack concrete proposals for achieving this needed integration. Starting standardization as early as possible in the research, development and innovation (R&D&I) phases is an effective strategy to ensure that R&D&I have a clear impact on market and society by bringing the knowledge generated into the market through efficient standards development that enables the optimal exploitation of R&D&I findings based on the consensus of all relevant stakeholders. Moreover, the National Standardization Bodies (NSBs), Committees (NCs) or the European Standardization Organisations (ESOs) can produce other consensus publications on a very rapid basis, for instance when producing Technical Specifications or, even quicker, through the production of a CEN or CENELEC Workshop Agreement. Based on the Integrated Approach for Standardization, Innovation and Research (see Figure 1) published by the CEN CENELEC joint working group at the beginning of 2010, a set of operative steps is proposed to integrate the issue of standardization in the future Common Strategic Framework for EU Research and Innovation.
Figure 1 The Integrated Approach: Standardization at the service of research and innovation (Source: STAIR) R&D&I Identifying new areas Screening existing standards and needs for standards Drafting programmes and proposals Using role of standardisation as a selection criteria Performing projects Identifying standardisation potential of project results Protection, diffusion and implementation of projects results Standards and standardisation as transfer channel Evaluation of programmes and projects Standardisation and standards as output evaluation criteria Standardisation 1. Opening of the Community Framework for State Aid for Research and Development and Innovation to Standardization Independent from specific proposals addressing future research programmes conducted within the European Union, the Community Framework for State Aid for Research and Development and Innovation (2006/C 323/01) has to be updated due to inconsistencies in the current version. On the one hand it is required that the result of the aided project must be the development of a standard, of a business model, methodology or concept, which can be systematically reproduced, possibly certified, and possibly patented. On the other hand, standardization activities are not explicitly mentioned eligible for funding under this framework. Proposal 1: Standardization processes accompanying R&D&I projects are effective channels for the early dissemination of their results and should where deemed appropriate be explicitly eligible for funding in the future Common Strategic Framework for EU Research and Innovation. 2. Identifying new areas At the beginning of designing a new R&D&I programmes, priorities about new research fields have to be decided upon. Even in this generic decision process, the issue of standardization has to be taken into account as one basic criterion. On the one hand, a timely standard setting already in the research phases promotes the development of new technologies and therefore the competitiveness of the European industry in relation to other world regions. On the other hand, early standard
setting can also serve in mastering the grand challenges especially in the fields of health, safety and the environment. Consequently, the issue of standardization has to be taken into account in shaping of the priority areas of the future Common Strategic Framework for EU Research and Innovation both in leveraging the excellence and efficiency of research and supporting solutions to the grand challenges. Therefore, standardization should not be taken into account only in defining the thematic priorities of the cooperation programmes, but also in the future basic research, exchange and infrastructure programmes. The Green Paper "From Challenges to Opportunities: Towards a Common Strategic Framework for EU Research and Innovation funding" refers to the Council conclusions on Europe 2020 flagship initiative, the Innovation Union, which requested EU funding programmes to focus more on Europe 2020 priorities, address societal challenges and key technologies, facilitate collaborative and industry driven research, streamline the instruments, radically simplify access, reduce time to market. Specifically the concept of European Innovation Partnerships aims to bring together supply and demand side measures in addressing societal challenges in coordinating efforts and focusing activities across the whole innovation cycle. Therefore, standardization and standards should play a major role in the future Common Strategic Framework for EU Research and Innovation. Proposal 2: Standardization should be taken into account in addressing the grand challenges in shaping the priority areas of the future Common Strategic Framework for EU Research and Innovation, but should not be a new separate instrument or activity. 3. Drafting programmes and proposals After the agreement on the future Common Strategic Framework for EU Research and Innovation, the detailed work programmes have to be drafted. The specific contents of the work programmes take into account as a baseline both the existing state of the art in science and technology and the upcoming challenges. However, existing standards have not been systematically considered in the drafting of the work programmes in previous Research Framework Programmes. Though, such a screening of the standardization landscape is as necessary as monitoring the state of the art in science and technology in order to avoid both unnecessary duplication of effort and the development of conflicting standards within the European Union. Institutions like the NSBs, NCs or one of the ESOs should be involved to tackle these tasks, e.g. by involving one of their representatives in the programme committees. The relevance of standards should be reflected in the composition of the evaluation criteria both in the sense of their contribution to state of the art in science and technology, but also regarding the potential impact of research results through their dissemination via the development and diffusion of standards. This twofold role of standardization and standards should be made visible in the fiches of the calls and the evaluation guidelines addressing both the researchers and the evaluators.
Regarding the latter, it is not only needed to train the already active evaluators in the Framework Programme, but also to integrate experts with an explicit background in standardization to promote the issue of standardization within the panels of evaluators. Here specific invitations addressing experts with a strong background in standardization should be launched. Finally, ESOs, NSBs and NCs should provide evaluators with information on the existing landscape of standards relevant for specific thematic programmes. Proposal 3: Before drafting the work programmes under the Common Strategic Framework for EU Research and Innovation not only scientific publications and patents should be screened as state of the art in science and technology, but also the existing standards and standardization processes should be taken into account as being relevant for R&D&I. Proposal 4: Evaluators should be trained in the field of standardization. Additional evaluators with a strong background in standardization should be invited to join the evaluation of proposals. Finally, programme specific information about the relevant standards should be made available for all evaluators by ESOs supported by NSBs and NCs with specific knowledge. When drafting specific project proposals, the criteria mentioned above can be met by either including standardization activities as a separate work package or even as a separate support measure for a whole family of projects. A minimum requirement should be to have contact with a member organisation of CEN CENELEC, the NSBs, the NCs or one of the ESOs to discuss possible linkages to standardization. In addition, proposers should consider standardization and standards as a means to disseminate the results of their research and innovation projects, also including intellectual property rights, towards marketable product and process innovation activities. Therefore, standardization activities also including NSBs and ESOs, which are most likely to assure an added value for economic and social development of the European Union, should be one option in the dissemination plan eligible for funding within the Research Framework Programme. Proposal 5: The set of evaluation criteria should include specific requirements for the project proposer to screen the most relevant standards or standardization activities for their project proposals, and as appropriate to propose ways in which the project can contribute to and benefit from standards development. Proposal 6: In order to facilitate and promote the linkages to standardization and standards as dissemination and transfer channel, national and European Programmes should integrate NSBs, NCs and ESOs in the network of National Contacts Points supporting all stakeholders interested in the future Common Strategic Framework for EU Research and Innovation. 4. Performing projects During the performance of projects under the Research Framework Programme recent developments in standardization should be monitored and taken into account with the support of NSBs and ESOs. Regular contact to the ESOs and NSBs and relevant Technical Committees should
avoid both a duplication of work and the development of contradicting or incompatible solutions with other projects funded under Research Framework Programme. Finally, outcomes of ongoing and not yet finished research projects could be valuable inputs for standardization processes not only focused on interoperability solutions, but also taking terminology as well as measurement and testing issues especially relevant in emerging fields of science and technology into account. Proposal 7: European R&D&I programmes, projects, platforms and partnerships should be in regular contact and even involve ESOs, NSBs and NCs, where appropriate. They should be involved as early as possible in order to avoid possible duplication of work and save time in the transfer of outputs from R&D&I activities into standardization. 5. Diffusion and implementation of project results When research projects have been finished, the results need to become available for the European society and industry as such. Consequently, a balance between the private interests of the involved research organisations and researchers and the public interest of the European Union as sponsor of the Research Framework Programme has to be found. So far scientific publications, patents and demonstrators have been used as most important dissemination channels in previous Framework Programmes. The development of new standards or specifications has been included as further option on a very generic level in some of the Specific Programmes of the 7th Framework Programme. However, only in the Security and Space programme a rather vague criteria standardization aspects is mentioned. In the Information and Communication Technologies programme scientific publications, trademarks and patents are listed as results, but not standards. However, as well as patents and scientific publications standardization as a technology transfer process and standards as a specific codification of technological know how are important information sources for innovating firms. Proposal 8: Standardization is an effective channel for the dissemination and exploitation of R&D&I results and should be integrated into the dissemination activities and appropriately funded. Where funding has not been built in at the proposal stage, a separate budget for the transfer of R&D&I results relevant for standardization should be established. 6. Evaluation of programmes and projects In order to measure the success of and to improve Research Framework Programmes, thematic programmes and specific projects, a sophisticated and systematic evaluation process has been established in the last decade. However, the measurement of both progress in science and technology and of societal and market impact has to take the development of standards into account much more explicitly. As already outlined above, standards are robust indicators for the dissemination and diffusion of new technologies including their economic impacts, but standards serve also as indicators for the progress in science and technology. For example, terminology
standards are important cornerstones for the development of a new technology. Consequently, this twofold indicator function of standards should be included in the Impact Assessment and the ex ante evaluation of the Common Strategic Framework for EU Research and Innovation. Proposal 9: The initiation of new standardization processes, the publication of standards or specifications should be included as performance criteria for R&D&I activities in the future Common Strategic Framework for EU Research and Innovation. In summary, a very comprehensive approach by implementing all of the nine proposals will be needed to integrate the issue of standardization and standards systematically and successfully into future R&D&I programmes launched under the Common Strategic Framework for EU Research and Innovation at the very beginning of its design.