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Dicember 2013 EC DG RTD.C.5 DC
How will European Regions contribute to an European Knowledge environment able to face global society changes
Carlos GOMEZRegional Dimension of InnovationDG Research and Innovation
European Commission
Consequences:
1. Thematic concentration to maximise the impact of investments
2. Conditionalities and strengthened partnership to ensure effective implementation
3. Common Strategic Framework: coherence across funds (ERDF, ESF, CF, EAFRD, EMFF); clarify synergies with Horizon 2020 etc.
4. Novelties – compared to current regulations
Future Cohesion Policy 2014-2020
The need for Synergies with the ESIF
EU R&D Policy – future Horizon 2020 EU Cohesion Policy
Differences non-territorial approach, no pre-defined geo-graphical distribution of funding
place-based approach; defined financial envelope for different eligible categories of regions
Based mainly on individual R&D Projects (to a certain extent also co-funding activities of programmes are supported) tackling the whole cycle of innovation from pre-competitive, leading edge basic research to demonstration projects,
pilot activities, market replication as well as
innovative public procurement and the award of prizes for the achievement of pre-specified targets.
Based on multiannual Programmes aiming at increased competitiveness through close to the market competitive R&D and innovation efforts
In general awarded directly to final beneficiaries like firms, public and private R&D centers, universities or research funding organisations (for ERA-net activities, Joint Programming etc.).
Awarded through shared management to national and regional public intermediaries
Mostly competitive calls addressed to international groupings (exception ERC and MC that also address individuals) through peer-review based on excellence criteria
Mostly non-competitive attribution addressed to regional players based on strategic planning negotiation (however increasingly competitive processes at national or regional level)
Complementarities
Horizon 2020 will focus on tackling major societal challenges, maximising the competitiveness impact of research and innovation and raising and spreading levels of excellence in the research base
Cohesion policy will focus on galvanising smart specialisation that will act as a capacity building instrument, based on learning mechanisms and the creation of critical skills in regions and Member States. One of the expected results will be better ability to participate in Horizon 2020.
Smart Specialisation
ex-ante conditionality
Thematic Concentration
Keys to Synergies
Euro
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20
20
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Thematic objectives
1. Research and innovation
2. Information and Communication Technologies
3. Competitiveness of Small and Medium-Sized Enterprises (SME)
4. Shift to a low-carbon economy
5. Climate change adaptation and risk management and prevention
6. Environmental protection and resource efficiency
7. Sustainable transport and disposal of congestion on major network infrastructure
8. Employment and support for labour mobility
9. Social inclusion and poverty reduction
10. Education, skills and lifelong learning
11. Increased institutional capacity and effectiveness of public administration
The Synergies and Smart Specialisation Matrix
STRUCTURAL FUNDS THEMATIC OBJECTIVE NO 1 ON STRENGTHENING RESEARCH, TECHNOLOGICAL DEVELOPMENT AND INNOVATION
HORIZON 2020 TOP DOWN RESEARCH AND INNOVATION PRIORITIES INFLUENCING NATIONAL AND REGIONAL PRIORITIES
THEMATIC CONCENTRATION FOR MOST ADVANCED AND TRANSITION REGIONS FOR ALLOCATING 80% OF THE ERDF MONEY FOR 4 OBJECTIVES: R&I, ICT, SME COMPETITIVENESS AND LOW CARBON ECONOMY
THEMATIC CONCENTRATION FOR LESS ADVANCED REGIONS FOR ALLOCATING 50% OF THE ERDF MONEY FOR 4 OBJECTIVES: R&I, ICT, SME COMPETITIVENESS AND LOW CARBON ECONOMY
EXCELLENCE SMART SPECIALISATION EX-ANTE CONDITIONALITY
based on a SWOT analysis to concentrate resources on a limited set of research and innovation priorities in compliance with the NRP; measures to stimulate private RTD investment; a monitoring and review system; a framework outlining available budgetary resources for research and innovation; a multi-annual plan for budgeting and prioritisation of investments linked to EU research infrastructure priorities (European Strategy Forum on Research Infrastructures -ESFRI)
INDUSTRIAL LEADERSHIP
SOCIETAL CHALLENGES
Billion EUR
Less developed regions 164.3
Transition regions 31.7
More developed regions 49.5
Cohesion Fund 66.4
European territorial cooperation 8.9
Of which
Cross border cooperation 6.6
Transnational cooperation 1.8
Interregional cooperation 0.5
Outermost regions and northern sparsely populated regions
1.4
Youth Employment initiative 3.0
TOTAL 325.1
"Down-stream"
Research & Development Innovation MarketCapacity Building
Horizon
2020ESIF
National/Regional
R&I systems
"Up-stream"
"Research
Excellence"
"Staircase to Excellence" Hopefully also excellence, but
"Innovation Excellence"
€ 70 billion
€80-100 billion
Synergies in practice
• Responsibility lies now with the
Member States and regions’
planning authorities > need to
create the appropriate “space” in
the Operational Programmes for
synergy actions with Horizon 2020
• The Commission prepares a
concise Guide on Synergies
Horizon 2020 marks a departure in terms
of support to regional innovation
Focus is on institutions, companies and
people, not on regions….
However:
Novelties such as new financial
engineering instruments, the new SME
instrument and the Fast Track to
innovation pilot may have a strong and
lasting effect at regional level
Spreading excellence and widening
participation through Horizon 2020
• New Part III-a in Horizon 2020 (budget
circa EUR 800M)
• Main actions on Teaming (Centres of
Excellence), Twinning (institutional
networking), ERA Chairs (bringing
excellence to institutions); also Policy
Support Facility and a special action
from COST on Widening actions
Combining EU funding sources H2020 and ESIF – Legal basis:
The H2020 Rules for Participation (Article 31) and for the Common Provisions Regulation on theESIF (Article 55(8)) both deviate from the Financial Regulation (Article 129) as they allow for thefunding of the same action by two different instruments, subject to the absence of doublefunding.
What is combined funding?
Combined funding is the possibility to use different public funding sources, including EU fundingsources, within a programme, project or a group of projects. It seeks to exploit complementaritiesand synergies while at the same time needs to avoid overlaps and exclude double-financing.
Combining public funding sources for ambitious industrial projects
Potential cases of combining Horizon 2020 & ESIF
Two potential cases of combined funding for the same industrial project
1. Simultaneous / additional / parallel use of funds for the same industrial project: the simultaneous use of different public funding sources in the same industrial project
e.g. H2020 money and ESIF that are used together to fund different cost items within a single industrial project
2. Sequential funding for the same industrial project: the sequential use (in time) of different public funding sources in separate successive subprojects of the same industrial project
e.g. first ESIF for R&I infrastructure, then Horizon 2020 for innovation activities
1. "non-substitution principle"
The use of a Union funding instrument to substitute the non-Union contribution to anotherUnion instrument is not allowed: ESIF cannot be used to substitute the national or privatecontribution to H2020 projects.
Substitution of a non-Union contribution (eg. to a Horizon 2020 project) with Union funding(eg. ESIF) is not possible
2. "no double funding principle"
It will be possible to award a grant under Horizon 2020 for an industrial project which is also funded by an ESIF grant but the absence of double funding should be ensured.
The two Union grants (Horizon 2020 and ESIF) may not cover the same cost item.
Basic budgetary principles
Combining Horizon 2020 & ESIF for ambitious industrial project
Look at eligibility of activities: localisation (e.g. region), type of cost items (e.g. equipment) in combinationwith beneficiaries and timeline
Prepare financial master plan for industrial project: group activities in projects (=set of cost items forcertain beneficiaries), identify costs and funding options for each (ESIF, H2020, national funds,…), contact
Managing Authorities,…
Prepare H2020 proposal (project & consortium) =>self-standing multi-national
project
Define scope of industrial project (incl. beneficiaries), detailed activities, budget (private/public)
Prepare ESIF proposal (projects + beneficiaries) for each region/country involved taking into
account Smart Specialisation Strategies
Submit H2020 and ESIF proposals including master plan for industrial project)
Example: Industrial project with combined funding from Horizon2020 & ESIF
Industrial project description (master plan)
Work packages (ideally geographically attributable) and definition of cost items
Horizon2020 proposal and budget
Incl. public or private co-funding
… But no ESIF!
ESIF proposal and budgetIncl. public or private co-
funding+ specifying which Operational
Programme will co-fund and where
… But no Horizon 2020!
Combining Horizon 2020 & ESIF for ambitious industrial projects
ESIFMS/regionHorizon 2020
ESIF of MS/reg+
public/private co-funding
Horizon2020
+ public/private co-
funding
Industrialproject
Example: Industrial project with combined funding from Horizon2020 & ESIF
Example : Industrial project with combined funding
Horizon 2020 proposal to be delivered:
• Industrial project description (master plan including information on parts depending on other financial sources) (*)
• Horizon 2020 part => self-standing grant agreement
Combining Horizon 2020 & ESIF for ambitious industrial projects
(*) Modalities on sort of proof for existence of other funding sources being worked out
Evaluation
Horizon 2020Evaluators:look into this to appreciate the entire project
… and negotiate this part of the budget.
ESIF Managing Authority: …
look into this to appreciate the entire project
and looks into this part of the budget and checks the eligibility of the type of proposed costs, the location of the operation, etc.
Industrial project description (master plan)
Work packages (ideally geographically attributable) and definition of cost items
Horizon2020 proposal and budget
Incl. public or private co-funding
… But no ESIF!
ESIF proposal and budget
Incl. public or private co-funding
+ specifying which OP will co-fund and where… But
no H2!
Example : Industrial project with combined funding
Combining Horizon 2020 & ESIF for ambitious industrial projects
Learn more:
Thanks a lot for
your attention
www.ec.europa.eu/horizon2020
http://ec.europa.eu/regional_policy/index_fr.cfm