sou · H8B359 · 2020-10-19 00:00:00 — Enligt flera hög- skolors innovationskontor innebär detta ofta att idén aldrig når mark- naden eftersom de ligger för långt ifrån den. För att komma tillrätta med detta föreslår utredningen utökade verifieringsmedel (VFT) med . Olika stödfunktioner som bidrar till lärande För att säkerställa ett ökande lärande hos högskolorna med dess stu- denter, forskare och andra medarbetare, föreslår utredningen olika åtgärder som bidrar till ett mer strategiskt arbete med immateriella rättigheter. PRV och ska båda arbeta för att främja ett lärande inom området och därmed bidra till ett förbättrat skydd av immateriella rättigheter. Samtliga högskolor bör ges i upp- drag att ta fram immaterialrättstrategier. Utredningen anser att lärande är centralt på alla nivåer och inte minst inom entreprenörskap. För att skapa ett lärande mellan hög- skolor och för att höja kunskapstillgången om entreprenörskap föreslår utredningen inrättandet av ett nationellt center för entrepre- nörskap. Centret finansieras genom ett nytt anslag om . Forskningsråden bör spela en mer aktiv roll för nyttiggörande De svenska forskningsråden står, enligt SCB, för av högskolornas intäkter för forskning och utbildning på forskarnivå. De är därmed viktiga aktörer och deras handlingar får återverkning i det svenska forskarsamhället. Utredningen föreslår därför att forsk- ningsråden och de statliga forskningsstiftelserna ska vidta olika åtgärder för att påverka attityden till nyttiggörande och bidra till att olika hinder uppmärksammas och åtgärdas. Holdingbolagen som stärkt verktyg för nyttiggörande Som tidigare nämnts har uppföljningen och styrningen av holding- bolagen var bristfällig. För att komma tillrätta med detta och för att säkerställa att samtliga högskolor ska kunna ha ett eget holdingbolag föreslår utredningen en rad åtgärder. Förslagen innebär ett samhälls- uppdrag för holdingbolagen och att de kan användas friare av hög- skolorna. ställs ökade krav på rapportering. Utredningens förslag innebär också att enskilda holdingbolag inte får bedriva inve- steringsverksamhet i projektbolag för att utveckla studenters, forsk- ares och andra medarbetares idéer Investeringsverksamheten breddas i stället till fler produkter för finansiering och centraliseras, så att till- gången till finansiering blir mer likvärdig över hela landet. För ända- målet föreslås ett gemensamt Finansieringsbolag bildas, som även tillhandahåller vissa gemensamma stödfunktioner. Varje högskola ska få ha ett eget holdingbolag och bemyndigas att disponera medel för nyttiggörande krävs det ett regeringsbeslut för att en högskola ska kunna grunda ett holdingbolag. Utredningen föreslår att varje högskola ska ges möjlighet att bilda holdingbolag om de så önskar och att de där- till ska ges möjlighet att överföra medel till bolagen med vissa begränsningar. Holdingbolagens verksamhet kommer med utredningens förslag att kunna breddas. kan de inom ramen för nuvarande bestämmelser förmedla uppdragsutbildning (holdingbolaget vid är ett bra exempel på detta). förslag kommer holdingbolagen att kunna disponera större belopp och i väsentligt högre grad än företräda högskolan som juridisk person vid ingåendet avtal med tredje part. Holdingbolagen kommer kunna användas i större utsträckning för att möta olika utbildnings- behov, för att sälja tjänster och vidta andra åtgärder för att nyttiggöra resultat från forskningsverksamhet på kommersiell grund. För att åtgärda brister i rutiner för återrapportering och riskkapital föreslår utredningen ett gemensamägt aktiebolag Vid uppföljningen av landets holdingbolag har det framkommit att det finns behov av förbättringar inom flera områden. Det handlar bland annat om att ta fram underlag för enhetlig redovisning och uppföljning hantering av statsstödsregler, immaterialrättsfrågor och att minska risker inom ramen för holdingbolagens så kallade risk- kapitalverksamhet. Utredningens bedömning är att såväl högskolor som holdingbolag har ytterst varierande förutsättningar att kunna tillgodose dessa behov. Mot bakgrund av detta föreslår utredningen att högskolor med holdingbolag ska ges i uppdrag att bilda ett kon- sortium för att förvalta ett gemensamt aktiebolag (Finansierings- bolaget). Till grund för det gemensamma förvaltandet ligger ett aktieägaravtal där regeringen beslutar om viktigare beståndsdelar. Det gemensamma Finansieringsbolaget ska säkerställa att landets projektbolag erbjuds en bred palett av produkter över hela landet Endast en handfull av de 18 holdingbolag som är verksamma vid landets högskolor genomför investeringar i projektbolag som uppstått som ett resultat av högskolornas verksamhet. Utredningens sammanställning av investeringsflödena visar att de flesta investe- ringarna sker av holdingbolagen i , och . Den analys som utredningen göra visar på att investeringsverksamheten kan förbättras ifråga om likvärdighet över landet och breddas ifråga om vilka finansieringsprodukter som erbjuds. Utredningens förslag innebär att holdingbolagen ska finnas kvar men ett aktieägaravtal skapas mellan bolagen som innebär grundandet av ett gemensamt koncernbolag, fortsatt kallat Finansieringsbolaget. Finansieringsbesluten sker av Finansieringsbolaget och därmed fattas inga beslut för så kallade projektbolag av holdingbolagen. Vidare ska Finansieringsbolaget erbjuda en blandning av olika finansierings- lösningar, däribland mjuka lån och konvertibler. Det nya bolaget kommer, i likhet med holdingbolagen, att vara ett statligt bolag. Återrapportering ska ske i form av årlig uppföljning i årsredovisning för Finansieringsbolaget och verksamheten ska även ingå i den ut- värdering som sker av högskolornas nyttiggörande . Finansieringsbolaget blir en arena för dialog med och andra viktiga aktörer för holdingbolagen och tar fram gemen- samma rapporteringar och underlag till och andra aktörer. Utredningens förslag skapar strukturer för en mer innovativ högskola Utredningens konsekvensanalys visar att förslagen kommer att inne- bära nya arbetssätt för högskolor och tillhörande innovationskontor, för holdingbolag och olika statliga myndigheter. Utredningens för- slag kommer att ge högskolorna utökade friheter ifråga om holding- bolagen och deras roll. Förslagen om innovationskontoren och veri- fieringsmedel innebär vidare att högskolorna som myndighet kom- mer att tilldelas utökade resurser att arbeta med nyttiggörande. Det i sin tur förväntas bidra till att fler lösningar implementeras och till ökad hållbarhet och förbättrad konkurrenskraft, samt att leda till fler arbetstillfällen. Utredningens implementeringsmodell med fyra trapp- steg innebär mer uppföljning och utvärdering, något som i sin tur för- väntas bidra till lärande och i förlängningen till förbättrat stöd för nyttiggörande vid landets högskolor. För regering och riksdag innebär förslagen ökad insyn och väsent- ligt förbättrade möjligheter till styrning. Det av holdingbolagen gemensamägda Finansieringsbolaget medför en enhetlig rapportering för alla holdingbolag och att finansieringskapital (optioner, lån eller riskkapital) hanteras på samma sätt över hela landet. Med ökade voly- mer hos en och samma aktör professionaliseras hanteringen av statens kapital. En sammanhållande aktör innebär också att andra organisa- tioner i innovationssystemet lättare vet var de ska vända sig för att komma i kontakt med de projektbolag som uppstår vid svenska hög- skolor. Totalt uppgår förslagens kostnader till . för utökat VFT-stöd, för finansieringsinstrument (finansieringsbolaget) och en ökning på för de nya innovationskontorens verksamhet, fullt utbyggt. Därutöver tillkommer finansieringsbolagets initiala bildande och driftskostnader om , stöd och utvärdering av innovationskontorens verksamhet på 5 mil- joner kronor samt PRV:s uppdrag om immaterialrättsstöd till högskolorna på . Förslaget om etableringen av ett nytt nationellt centrum för entreprenörskap förväntas med- föra en satsning om . I betänkandets konse- kvensanalys (kapitel 12) redovisas utredningens förslag för hur anslagen kan omfördelas. In the last 100 years, has gone from being one of Europe’s poorer countries, with a high level of emigration, to becoming one of the most prosperous and innovative and with a relatively high level of immigration. The driving forces behind this development have included innovation and renewal. In order to maintain our pole position, therefore, we must ensure that we constantly implement change not previously implemented by any other country. We need to be more innovative than anyone else. The edu- cation and research at Swedish higher education institutions are an essential part of that work. If such institutions are to play the important role in sustainable development that society has the right to expect, the right conditions need to be in place to enable them to make a greater contribution to new solutions that lead to increased competitiveness, reduced envi- ronmental impact and new jobs. The extent to which students, researchers and other colleagues at higher education institutions are able to achieve this varies a great deal. At some institutions, inno- vation support and the institutions’ holding companies function well, while at other institutions, support is non-existent. In order for us to maintain our leading position as a country of innovation, it is therefore important that we improve support for the utilisation of research results and other knowledge acquired at higher education institutions and that this is available across the country. A key piece of the puzzle is the attitude of students and employees towards the utilisation of results. A higher education institution that works extensively on influencing attitudes and edu- cation in entrepreneurship will also be able to demonstrate increased implementation of its research in the community. In summary, the inquiry’s remit has been to analyse various aspects of innovation support available to the higher education insti- tutions and to make proposals for ways to improve that support. Innovation support at ’s higher education institutions is fragmented The Higher Education Act (1992:1434) states that the role of higher education institutions includes working in partnership with the community around them, it informed about their work and ensuring that their research results benefit society. Higher education institutions play an important role in the utilisation of research- based knowledge and are thus a vital part of the innovation system. The higher education institutions’ parts of the system include inno- vation offices and holding companies. Innovation offices are closest to the innovators The innovation offices (also known as Technology Transfer Offices) came about as a result of proposals in the Government’s 2008 and 2012 research policy bills. When the offices were established, certain resources were provided, and higher education institutions with innovation offices have subsequently received annual state funding of approximately million (2020) to support their work. The organisation, location and working methods of the innovation offices may vary, but one aspect that they have in common is that they work within the higher education institution to capture and develop ideas from employees and, in some cases, also from students. An important part of the innovation offices’ work is to disseminate information about their own activities and to promote a more positive attitude towards the utilisation of research and knowledge. There are currently 13 innovation offices, which means that most of the higher education institutions in do not have their own innovation office. In several cases, the institutions that do not have their own innovation offices are expected to be able to use the inno- vation offices of other nearby institutions. Several of the institutions without their own innovation office stated during the inquiry that it can be difficult to get sufficient access to the services the offices offer. Several of the holding companies operate as state-owned venture capital companies Holding companies at higher education institutions are state- owned companies that are managed by the institutions. The com- panies own, manage and sell shares in or jointly owned com- panies whose remit is to undertake research and development activities for commercialisation. The holding companies help to commercialise research results and ideas and operate at an earlier stage of invest- ment than other funding providers. In addition, the companies also provide commissioned training, sell consulting services and in some cases own infrastructure. The first holding companies were established in 1994 and 1995 with the aim of promoting commercialisation and collaboration with the business community and other players. There are now 18 com- panies at the same number of state higher education institutions. Most companies benefited from a capital injection at the point of set-up, and over the years additional capital has been introduced into the companies. The higher education institutions work closely with the wider innovation system ’s public innovation system comprises a number of different players. In addition to those at or close to the higher education insti- tutions, there are also research institutes, incubators and technology parks. The areas of responsibility of the various players sometimes overlap and can vary greatly from region to region. In health care, the overlap can be particularly challenging, especially when an inno- vator has a role that is split between academia and the region. There are major shortcomings in the appropriateness and effectiveness of the support The terms of reference of the inquiry included an analysis of whether the current system of holding companies and innovation offices was appropriate and effective. According to the inquiry’s analysis, there are major shortcomings in both the appropriateness of the support (are the right things being done?) and its effectiveness (are things being done the right way? Inadequate monitoring and evaluation of the innovation offices’ activity The inquiry believes that the major variations between the country’s higher education institutions in terms of their access to support and work on utilisation means that the support is not appropriate. There are currently institutions that have almost no access to professional support for their students, researchers or other staff. A key observation made by the inquiry is the lack of monitoring and evaluation of the institutions’ work on utilisation. The informa- tion that is available about the innovation offices reveals major differ- ences in terms of the flow of ideas from the institutions’ activities. The effectiveness of the innovation offices thus varies. Three of the holding companies have the lion’s share of investment The holding companies and their investment activity are easier to monitor. Here, too, there are big differences. The holding companies at , and together account for approximately 70 per cent of the investments made by the holding companies in the past five years. If these holding companies are omitted from the statistics, the rate of investment is more modest, in terms of both sums of money and number of invest- ments. The inquiry therefore feels that access to finance is deficient and uneven across the country. Other public players, such as , have not compensated for this, as it has not been part of their remit. In the inquiry’s opinion, the result is a consequence of a long-standing policy – the holding companies have been given a task but not the funds needed to fulfil their remits. Management of the holding companies has been deficient In 2020, the Audit Office published a review of the governance and management of the holding companies. According to the review, the Government’s governance of the higher education institutions has not properly equipped the institutions to manage the holding companies. Deficiencies in governance include monitoring and communication with the institutions and the hold- ing companies and reporting to the Riksdag (Swedish Parliament). Few of the institutions monitor their commissioned training con- tracts with the holding companies, and several company boards have no goals or strategies to guide their activity. The inquiry broadly agrees with the Audit Office’s analysis and pro- poses a number of measures to develop governance of the holding companies and the companies’ activity. The greatest risk of overlap is in health care One question addressed by the inquiry is whether there is a risk of overlap between the higher education institutions and other inno- vation support. The inquiry believes that the greatest risk of this is in health care, where a person may have a role that is split between academia and the region. The inquiry also looked at () and the work it does on commercialising research results. The inquiry is of the opinion that its activities do not overlap with the work of innovation offices or holding companies. There are challenges with state aid as soon as an idea is translated into a commercial enterprise As part of its work, the inquiry also looked at the relationship between higher education institution-based support for utilisation and the regulations for state aid. The inquiry believes that the support provided by the innovation offices does not present a clear risk of unauthorised state aid. The holding companies’ work involves invest- ment in companies. Here too, nothing has emerged during the inquiry that clearly indicates that, in undertaking this activity, the holding companies provide support in ways that are incompatible with the state aid regulations. The inquiry did not look at the activities of other forms of inno- vation support (such as technology parks and incubators) in con- nection with state aid. All activities include both financial and other transactions that are affected by the state aid regulations, and many agreements are entered into that touch on state aid issues in various ways. One question often considered is whether support provided is given to a party that is not currently running a business but may do so in the future. Questions often arise relating to the management and trans- fer of intellectual property rights. Overall, the inquiry therefore feels that there is a need for increased guidance and governance in relation to the state aid regulations within the higher education institution- based innovation support system. It is proposed that this be part of the remit of (the Swedish agency for innovation systems), through a new financing company (Finansieringsbolaget) and as part of the skills development remit of the Swedish Patent and Registra- tion Office. The inquiry proposes increased support for innovation and the of various support functions The inquiry proposes a number of measures to remedy the short- comings in the appropriateness and effectiveness cy of the current support. The starting point is a broader definition of utilisation which requires the higher education institutions to ensure that not only research results but also other knowledge acquired at the institutions benefits society. Simply stated, the proposals divide into proposals for innovation- promoting activities, proposals for the funding of ‘project companies’ (start-up companies deriving from the institutions of higher educa- tion) and proposals for increased governance of and freedom for the holding companies. In addition, the inquiry proposes a number of functions to support the higher education institutions’ work on utilisation and contribute to increased learning. The activity must be monitored and evaluated As stated above, there has historically been a lack of ongoing moni- toring and evaluation of the higher education institutions’ work on utilisation. To address this, the inquiry proposes that monitoring be included in the annual monitoring programme run by the Swedish Higher Education Authority, with an evaluation every four years. The evaluation will be based on a model involving eight different indicators and will be undertaken by . It will help to ensure that the results and impact of the higher education institutions’ activities are reported. The results of the work on utilisation are to be reported in the Research , and this will enable the Riksdag to assess the extent to which objectives are being met within this policy area. Those institutions whose work to support utilisation is deemed successful can be allocated an innovation office by the Government following a proposal from . Joining forces via thematic innovation offices The inquiry concludes that there appears to be a need in some areas for greater provision of innovation support than is currently avail- able. In light of this, it is proposed that the Government be able to allocate enhanced innovation office assignments to at least two higher education institutions working in partnership. These offices should have a special thematic focus and might include a special innovation office for life sciences. Increased appropriations for innovation offices and for verification Higher education institutions that qualify for an innovation office receive a government appropriation of –20 million. The amount of the appropriation depends on the size of the institution. thematic innovation offices can be awarded additional funding of at least SEK25 million per year. One observation made by the inquiry is that some ideas, especially those that are scientifically complex, are incorporated at a relatively early stage. This is partly because the higher education institutions and their students, researchers and other staff do not have the resources to develop the idea further. Once it is incorporated, other support functions and capital are then available to support develop- ment. Several higher education institutions’ innovation offices say that this often means that the idea never reaches the market because they are not close enough to it. To remedy this, the inquiry proposes additional funding for evaluation of commercial potential (VFT programme) of million per year. A variety of support functions that contribute to learning To ensure increased learning at the higher education institutions amongst students, researchers and other employees, the inquiry pro- poses various measures to assist with more strategic work on intel- lectual property rights. The Swedish Patent and Registration Office and the for Government Employers will both seek to promote learning in this area and to ensure intellectual property rights get greater protection. All higher education institutions should be tasked with developing an intellectual property strategy. The inquiry believes that learning is key at all levels, not least in the case of entrepreneurship. To develop shared learning between higher education institutions and to enhance the availability of exper- tise around entrepreneurship, the inquiry proposes the of a national centre for entrepreneurship. The centre will be financed through appropriations of million per year. Research councils should play a more role in utilisation Figures from Statistics show that Swedish research councils account for about 13 per cent of the income of higher education institutions for research and education at licentiate/doctoral level. They are therefore significant players and their actions have an impact on the Swedish research community. proposes that research councils and state research foundations put various measures in place to influence attitudes to utilisation and help raise awareness of various barriers, ensuring action is taken to overcome them. Holding companies as an enhanced tool for utilisation As noted above, monitoring and management of the holding com- panies has previously been deficient.