sou · GYB356 · 2010-08-31 00:00:00 — Innovationsupphandling är ett förfarande som kräver hög kompetens från den upphandlande myndigheten eller enhetens sida. Utredningen föreslår därför att ska få ett övergripande ansvara för att främja innovationsupphandling. bör med hjälp av den myndighet som kommer att ha ansvar för upphandlingsstödet att bistå olika myndigheter med kompetens vid innovationsupphandling. För att underlätta före- komsten av innovationsupphandling bör det också vara möjligt för att under vissa omständigheter ge bidrag till upphandlande myndigheter/enheter för att täcka en del av deras merkostnader för upphandlingsprocessen i samband med innovationsupphandling. I en del fall, när det samhällsekonomiska värdet av att en ny lösning kan tas fram är betydande, bör även kunna ge bidrag till själva anskaffningskostnaderna. har i kontakter med utredningen uttryckt ett starkt intresse att arbeta med innovationsupphandling och utredningen bedömer därför att redan under kommande budgetår bör kunna påbörja arbetet med att bygga upp kompetens kring innova- tionsupphandling. regelverk bör anpassas för att tydlig- göra möjligheterna till ekonomiskt stöd till upphandlande myndig- heter. Omfattningen av verksamhet måste fastställas dels utifrån intresset hos olika upphandlande myndigheter/enheter, dels utifrån anslagsmässiga situation. Medelsberäkning och medels- allokering måste göras successivt och bör ske inom ramen för arbete samt vara föremål för dialog med . Utredningens direktiv föreskriver att utredningens förslag ska vara finansierade och icke kostnadsdrivande. En ökad användning av innovationsvänlig upphandling är, enligt utredningens förslag, inte kostnadsdrivande, tvärtom torde en öppenhet för nya lösningar skapa förutsättningar för minskade kostnader och ökad kvalitet. potentiella fördelarna överväger de ökade kostnaderna för själva upphandlingen som kan betingas av mer innovationsvänliga krav. Utredningen har genomfört sedvanliga konsekvensanalyser. Därvid har utredningen dragit slutsatsen att det inte innebär någon öka regleringsbörda för företag att det öppnas nya möjligheter att sälja till offentlig sektor. Lagen om förkommersiell upphandling är utformad för att vara enkel att tillämpa och tillåta dialog och för- handlingar mellan upphandlande myndighet/enheter och leveran- törer. Förslagen innebär ingen öka ekonomisk belastning för kom- munerna, tvärtom ökar kommunernas och landstingens möjligheter att agera för att upphandla lösningar på sina problem. Vad gäller förpliktelser inom ramen för EU är lagförslaget beträffande förkommersiell upphandling utformat just för att tillse att fullt ut lever upp till de fördragsmässiga förpliktelserna. The mission of the Innovation Procurement Inquiry This Inquiry was commissioned by the Swedish government on , 2009, to investigate the conditions for public innovation procurement in and put forward proposals for measures to increase the application of innovation procurement. In its directives to the Inquiry, the Government stressed that the proposed measures should aim to strengthen the quality and efficiency of public services in its broadest sense with the support of innovation procurement. Such a process can also stimulate innovation and thus enhance conditions for structural changes in the private sector. In recent years the concept of demand-driven innovation processes has increasingly come into focus within the discussion on how Europe can become more innovative. Research has shown that in many situations where there is a manifest demand for new solutions, innovations tends to emerge. Of course, the long-term of a knowledge base through research is an essential requirement for innovation, but new knowledge is not automati- cally transformed into innovations that then form the basis for an entrepreneurship. A manifest demand for new solutions to specific problems, however, is often the basis for commercially successful innovation processes. Innovation procurement was formerly known as technology procurement and were used in in a relatively large extent from the beginning of the last century until the 1980s. Well known examples that are even today often mentioned in discussions about innovation procurement are the collaboration between government agencies such as (), SJ (The Swedish State Railroads), () and the FMV () on the one hand and on the other hand, innovative companies like ASEA, LM and . The study found that this close cooperation was very important for the development of some enterprises, but that most of the rapid expansion of the high-tech Swedish export industry in the postwar period cannot be attributed to the development of new technology through public procure- ment. is in many respects, a different country in 2010 than 30 years ago. It is not possible to return to the type of relations between state and private firms that existed in those days. would it be to the advantage of 's development. Today, within the framework of a modern society in Union and under the conditions prevailing on globalized markets, the task is to take advantage of the opportunities to develop the public sector while at the same time strengthening competitiveness of innovative businesses. Otherwise there is a risk of a kind of inno- vation lag emerging in parts of the public sector unless the public sector demand for new solutions can be fulfilled in ways resemb- ling conditions on the private market. The Inquiry has determined that it is important to consider two parallel approaches to create better opportunities for innovation in public procurement. The most important aspect is that, in principle, all public procure- ment should be innovation friendly. Innovation-friendly means that under normal procurement procedures, it is important that procurement is carried out so that new innovative solutions are not excluded or disadvantaged. The investigation has learned that there is a concern particularly among innovative companies, but also in the public sector that many procurement specifications are routinely designed in such a way that the contracting authority or entity in reality are seeking the same solution that was used for the However within the normal procurement pro- cedures, a contracting authority or entity has has good opportu- nities to make procurement more innovation-friendly. The way the authority describes its needs and what alternative solutions that the authority is willing to consider will have great importance. The recent changes in Swedish procurement law, which has opened up to create central purchasing bodies and to utilize competitive dialogue as a procurement procedure may also be beneficial for more innovation-friendly procurement. The Inquiry also suggests that the Government should put forward the prepared proposal for the introduction of dynamic purchasing systems in the Swedish procurement law. To emphasize the importance that contracting authorities and entities take innovation issues into account in their procurement work, the Inquiry proposes an amendment in the procurement legislation. On 15, 2010 changes were made in the procure- ment legislation which introduced provisions for contracting authorities and entities to take environmental and social considera- tions into account in their procurement procedures when suitable. This is not a legally binding provision; it should rather be regarded as an expression desired by the lawmakers. The Inquiry proposes that in the same way, contracting authorities and entities should take innovation aspects into account in their procurement procedures when suitable. In order to achieve the desired change of attitudes among contract- ing authorities and entities the proposed amendment to the legislation is in itself not sufficient, it also requires improved information and guidance. In this context the design and operation of the government procurement support and advise service is essential. The Government recently gave the for the task of submitting proposals for the reorganization of the procurement support and advice service. The Inquiry, therefore, refrains from specific proposals, but stresses the importance of a well-functioning procurement support advice service. Innovation procurement and pre-commercial procurement Innovation procurement, which in the directives to the Inquiry given by the Government, is described as procurement of prior unknown solutions to a defined problem or the need for a solution that is not yet established on any market, is today seldom used in . The current procurement legislation does not prevent innovation procurement although it poses certain restrictions on the opportunities for public bodies to actively try to generate new solutions by working closely with innovative companies. The Inquiry proposes that should introduce pre-com- mercial procurement of R & D services. In the EU procurement directives there is an exemption for research and development services. However the opportunities for public authorities and entities to collaborate with private innovative companies are limit- ed due to EU state aid rules. In Commission's Com- munication Driving innovation to ensure public services of high quality in Europe (COM (2007) 799) the Commission shows that if an authority or entity contract R & D services that are tendered in competition, it is possible to actively seek innovations, while abiding state aid rules. A major difference from the grants awarded by - for , to R & D projects carried out by innovative companies, is that under the rules of pre-commercial procurement the contract between an authority or entity and an innovative company can include financing the development of a product all the way to a test-series. Contracting authorities are usually looking for innovations to solve a problem related to their own operations. If an authority or entity, who cannot find commercially available solutions, procure an innovation according to its own needs, it will however also create new opportunities for innovative companies to develop a product that is also suited for other potential purchasers. Public procurement of innovations can thus create the conditions for commercial expansion and exports. Act on pre-commercial procurement The study proposes to introduce a new law on pre-commercial procurement. The Act is intended to serve as a voluntary tool for contracting authorities and entities wishing to procure research and development services. The proposed law declares that the authori- ties or entities who wish to purchase R & D services must follow the fundamental principles under European law. These are equality, transparency, proportionality and mutual recognition. The contracting authority or entity wishing to conduct a pre- commercial procurement under the law has an obligation to advertise. The Inquiry proposes the of a national database of pre-commercial procurement. In this database, which is to be managed by , the advertisement and procurement specifications should be published. The advertisement should describe the research and develop- ment service required and the deadline for the submission of concept ideas. Interested suppliers should be allowed adequate time to submit applications for participation in the pre-commercial procurement. The contract documents shall specify how the contracting authority or entity intends to proceed with the various phases, the principles for selection, the principles of the compen- sation and other conditions. The contracting authority or entity may negotiate with the applicants in all phases of pre-commercial procurement. A supplier has the right to submit an application to participate in a pre-commercial procurement and may not be excluded solely because of requirements that the supplier should be a natural or legal person. Groups of suppliers may submit a joint application. The proposed law establishes rules governing the circumstances under which the contracting authority or entity may exclude appli- cants from participation in a pre-commercial procurement. These rules are essentially similar to the rules specified in EU directives on public procurement and hence included in Swedish procurement legislation. The contracting authority or entity shall without delay notify in writing the applicant of the decision to award the contract and the reasons for the decision. Such notice shall also be provided if the authority or entity decides to cancel the pre-commercial procure- ment. A contracting authority or entity should sign contracts with the applicants who submitted applications that in the most credible way show that they are competent to carry out the mission. At least two suppliers should be contracted. In practice, the procedure is likely to usually mean that the suppliers in a first stage will be making feasibility study. The contracting authority or entity may, after completion of first phase offer the suppliers who provided the most appropriate solutions to move to a second phase, the prototype-phase. A contracting authority or entity may at the end of the second phase offer the suppliers who provided the most appropriate solutions to move to a third phase, the initial development of first products in the form of a limited test series. If the authority/entity after phase one or two, subject to an evaluation decides to stop work on a particular product idea, the authority/entity shall suspend cooperation with the supplier. An applicant who feels to have suffered or may suffer injury, may appeal to the administrative court of the region where the authority or entity is legally domiciled, and demand that the pre- commercial procurement should be re-done or a correction should be made. An appeal must be submitted in writing. An appeal may not be considered if more ten days has elapsed since the contracting authority or entity gave notice to the applicant. However the decision to suspend the cooperation process cannot be appealed under the law on pre-commercial procurement. If the contracting authority or entity has violated the basic principles or any other provision of law, and this meant that the supplier has suffered or may suffer injury, the Court may order the pre-commercial procurement to be re-done on or that it may be terminated only after correction has been made. In some contexts an authority has a task to influence conditions in society in a particular direction. Then there can thus be reasons to encourage the spread of new solutions to various users such as enterprises, municipalities and individuals. The Inquiry has chosen to use the term catalytic procurement when an agency encouraging the development of innovations or diffusion of new products or services, through a systematic work on development and evaluation in order to influence the market. over a couple of decades had a system of technology competitions, in order to obtain more energy-efficient solutions. This has helped to generate improved technologies in a number of fields that involves lower energy consumption. After the technology competi- tions the various actors; private companies, individuals and contracting authorities themselves take decisions on purchasing or procurement based on the results in the technology completions. Engaging in a catalytic procurement constitutes a digression from the principle that public bodies should not recommend products or services from certain producers. Therefore, the catalytic procurement should only be used when there are strong reasons, and any such process must be conducted with great care. Only a few government agencies have been given such a role that they have reason to consider using catalytic procurement. Though, it cannot be excluded that in certain circumstances there may also be grounds for local governments to carry out catalytic procurement. The Inquiry envisages a special potential for innovation procure- ment mainly in three major areas: infrastructure, health and environment. On April 1, was formed. This agency has overall responsibility for issues related to infra- structure for transport; it partly owns and manages a large part of the road network and the whole rail network. Most of the roles of the and the Swedish Road Admi- nistration were taken over by the new agency. Those two agencies had previously conducted research and innovation activities. The new intends to further develop this work. Innovation procurement in various forms, not least the pre- commercial procurement would be a complement to the work on demand-driven research and innovation already carried out by the . The development of new solutions for road transport may also be beneficial to local governments responsible for roads and streets. does not have a national innovation and innovation pro- curement policy in the health care field which can contribute to the exchange of experiences and evaluations of innovations and inno- vation procurement of care. The study proposes that a special commission with a limited duration ought to be established with a task mission to propose and develop better institutional conditions for innovations and innovation procurement in the healthcare field. The delegation should consist of representatives of county councils, the Authorities and Regions (SALAR), equipment industry, universities and ministries. In recent years the popularity of "green procurement has increased significantly among various authorities, especially local govern- ment. or environmentally friendly procurement is generally innovation-friendly procurement by being open to new solutions. Provided that green procurement has a long-term credibility, by being based on relevant environmental criteria and taking into account also other characteristics of the product, it will be inte- resting for companies to develop new products and services with enhanced environmental properties. (SEMCo) assists contracting authorities and entities by developing relevant environmental criteria for pro- curement. There is a need for innovation procurement in the environ- mental field, where a contracting authority or entity is seeking a solution to a specific problem, either for its own use or as a catalytic procurement, which has the goal to spread more environ- mentally friendly solutions to market. This Inquiry has concluded that pre-commercial procurement can be a valuable instrument under which the public sector can help to finance the development work of new environmentally friendly goods and services. A procedure that may be important not least in terms of efforts to produce environmentally-friendly innovations is Forward , where a contracting authority or entity is stating certain intents regarding its future procurement contracts. This is not a legally binding instrument it is merely a morally binding promise by a contracting authority or entity. The authority or entity pledges that it if it will purchase a new solution with improved environmental properties, provided that the product meets a number of other requirements, such as price and function. Forward has the greatest effect on market innovation performance if several contracting authorities or entities agree on identical commitments. Even greater effect could of course be achieved if such commitments can be made at Euro- pean level. Especially in the case of municipal and county pro- curement, Forward could potentially be significant for helping to create environmental innovations. (for ) has in its communications with the Inquiry expressed a strong interest to work with innovation procurement and the Inquiry concludes that already in the coming financial year should be able to begin work on innovation procurement. The Inquiry proposes that should have an overall responsibility to innovation procurement. should work together with the authority that will have responsibility for procurement support and advice, in order to assist various contracting authorities and entities with expertise regarding inno- vation procurement. In order to facilitate the emergence of innovation procurement it should be possible for , under certain circumstances, to provide financial assistance to contracting authorities or entities in order to cover part of their additional costs for the procurement process related to innovation procurement. In some cases, when the socio-economic value of the new solu- tion expected to be generated is significant, should also be able to provide grants also for the contract costs. applicable to pre-commercial procurement, especially during the prototype phase. Regulations ruling should be amended to clarify the agencys authority to make financial support available to contracting authorities or entities. The scope of activities should be based partly on the interests of the various contracting authorities or entities, partly by funding situation. Allocation of resources to innovation procurement should be made as an integral part of spending and must be made gradually and subject to a dialogue with the Ministry. The Inquiry concludes that its proposals will not be cost driving. An increased use of innovation-friendly procurement, according to the Inquiry ´s proposals, would not constitute a cost-push; on the contrary, openness to new solutions should help to create con- ditions for reducing costs and improving quality. The potential benefits outweigh the increased costs that may arise from more innovation-friendly procurement procedures. As for innovation procurement, perhaps mainly pre-commercial procurement, the Inquiry is of the opinion that there are significant potential savings to be made by finding new solutions to specific problems. This means that there are incentives for contracting authorities and entities to work with innovation procurement and to finance such processes and consequent contracts. However, almost all authorities have ceased to use any form of innovation procurement, and pre-commercial procurement is a new method. Therefore, the Inquiry argues that an injection of know-how and some economic incentives are necessary. The Inquiry has conducted a customary impact assessment. In doing so, the Inquiry concluded that its proposal does not constitute any increased regulatory burden for businesses, but that the proposals create new opportunities for innovative firms to sell to the public sector. The law on pre-commercial procurement is designed to be simple to apply and allow dialogue and negotiations between the contracting authority or entity and suppliers. The proposals do not increase the financial burden on muni- cipalities, on the contrary, increasing local governments capacity to procure solutions to their problems. As for 's legal obligations under European treaties and legislation, the proposed law on pre-commercial procurement is designed precisely to ensure that fully lives up to all its European obligations in this context. Utredningens uppdrag är, enligt direktiven (dir. 2009:104), att utreda förutsättningarna för offentlig innovationsupphandling i samt lämna förslag till åtgärder för att öka tillämpningen av innovationsupphandling. De åtgärder som föreslås ska syfta till att stärka den offentliga verksamhetens förnyelse, kvalitet i bred bemärkelse och effektivitet med stöd av innovationsupphandling. Detta kan även främja inno- vationsförmågan och förutsättningarna för strukturomvandling i näringslivet. Regeringen redovisade i propositionen Ett lyft för forskning och innovation (prop. 2008/09:50) sin avsikt att låta utreda förut- sättningarna för hur offentliga aktörers investeringar i samband med upphandling i ökad utsträckning kan bidra till utvecklingen av kunskapsintensiva företag. Mot bakgrund av detta ska en särskild utredare få i uppdrag att utreda förutsättningarna för offentlig innovationsupphandling i samt föreslå åtgärder för att öka tillämpningen av innovationsupphandling.