Synergies between H2020 and ESI funds Dimitri Corpakis Head of Unit, Spreading Excellence and Widening Participation Directorate for the Innovation Union and the ERA DG Research and Innovation European Commission dimitri.corpakis@ec.europa.eu Research and Innovation 1
Setting the scene The knowledge economy changes everything Globalisation has pushed the boundaries and changed traditional growth strategies Global value chains have redrawn the map for conceiving and producing products and services Countries and regions that are not able to adapt (will) see their economies being marginalised Global (re)positioning necessary - Need for a new growth proposition based on knowledge assets 2
Europe s innovation divide undermines competitiveness Large parts of the EU out of sync Modest and Moderate Innovators holding back the EU as a whole Grand policy designs at risk without a sound and functioning base Identification of priorities and strategies of crucial importance yet still, among the major bottlenecks 3
Turning the European Union into an Innovation Union The Innovation Union flagship initiative aims at creating the best conditions for Europe's researchers and entrepreneurs to innovate A broader approach to innovation: Improving framework conditions for innovation to flourish meshing research and technological development with - Product innovation, service innovation, innovation in design etc., including process and organisational innovation - Social innovation, public sector innovation, eco-innovation etc. - Exploration of new business models > Both technological & non-technological > Both incremental & disruptive innovation
The promise of Horizon 2020, the new Framework Programme for Research and Innovation A core part of Europe 2020, Innovation Union & European Research Area: Responding to the economic crisis to invest in future jobs and growth > Addressing people s concerns about their livelihoods, safety and environment > Strengthening the EU s global position in research, innovation and technology Novelties A single programme bringing together three separate programmes/initiatives Coupling research to innovation from research to retail, all forms of innovation Focus on societal challenges facing EU society, e.g. health, clean energy and transport Continuation of investment in frontier research Simplified access, for all companies, universities, institutes in all EU countries and beyond. 5
The new Cohesion policy (ESIF European Structural and Investment Funds) ESIF will focus on Europe 2020 objectives for smart, sustainable and inclusive growth / list of 11 thematic objectives for ESIF developed around the Europe 2020 priorities New regulatory provisions for thematic concentration (R&I part of the minimum 60-80% concentration for ERDF funds in more developed regions - 50% in less developed regions) Support to applied research and innovation for the purpose of regional socioeconomic development Capacity building for innovation and growth through the promotion of innovation friendly business environments Smart Specialisation strategic approach to economic development through strategic support for R&I / Ex-ante Conditionality for the use of the European Regional Development Fund (ERDF) for any kind of R&D&I investments 6
EU Cohesion Policy EU R&D and Innovation Policy future Horizon 2020 Differences Based largely on individual R&D and innovation Projects of a pre-competitive nature aiming at advancing knowledge and fostering innovation for growth and jobs, including but not exclusively frontier research (also co-funding national and regional programmes) Based on multiannual Programmes aiming to reduce regional disparities, including through close to the market competitive R&D and innovation efforts Awarded directly to final beneficiaries (firms, public and private R&D centres and Universities, including national and regional governments in certain cases Art. 185, ERA-NET etc.) Awarded through shared management exclusively to national and regional public intermediaries Through transnational competitive calls addressed to international groupings through peer review based on excellence criteria Non competitive attribution addressed to regional players based on strategic planning negotiation (however competitive calls possible and rising at national or regional level) Synergies and Complementarities Horizon 2020 will focus on tackling major societal challenges, maximising the competitiveness impact of research and innovation (Industrial leadership) 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. 7
Research and Innovation investment priorities for the ERDF Strengthening research, technological development and innovation: Enhancing research and innovation infrastructure (R&I) and capacities to develop R&I excellence and promoting centres of competence, in particular those of European interest Promoting business R&I investment, product and service development, technology transfer, social innovation and public service application, demand simulation, networking, clusters and open innovation through smart specialisation Supporting technological and applied research, pilot lines, early product validation actions, advanced manufacturing capabilities and first production in Key Enabling Technologies and diffusion of general purpose technologies 8
Keys to Synergies Smart Specialisation ex-ante conditionality Thematic Concentration (both under Cohesion policy) Policy Research and Innovation 9
D.Foray, P.A. David and B.Hall : Smart Specialisation: the Concept Knowledge for Growth expert group for the EC 10
A simple idea (KfG brief no 9, 2009) It should be understood at the outset that the idea of smart specialisation does not call for imposing specialisation through some form of top-down industrial policy that is directed in accord with a pre-conceived grand plan. Nor should the search for smart specialisation involve a foresight exercise, ordered from a consulting firm. We are suggesting an entrepreneurial process of discovery that can reveal what a country or region does best in terms of science and technology. That is, we are suggesting a learning process to discover the research and innovation domains in which a region can hope to excel. In this learning process, entrepreneurial actors are likely to play leading roles in discovering promising areas of future specialisation, not least because the needed adaptations to local skills, materials, environmental conditions, and market access conditions are unlikely to be able to draw on codified, publicly shared knowledge, and instead will entail gathering localized information and the formation of social capital assets. 11 Policy Research and Innovation
Key points on Smart Specialisation: Stimulate innovation through entrepreneurship, modernisation, adaptation Dare to introduce innovative governance solutions Think about strategic technological diversification on areas of relative strength and potential Increase diversification promote new linkages, synergies and spillovers Adapted from Philip McCann (2012) 12 Policy Research and Innovation
Regional Policy 160 EU regions (from 19MS) + 13 countries at national level 41 regions + 4 MS peerreviewed Over 110 other regions attended workshops Trainings, thematic seminars RIS3 guide Web-site Newsletter Register here: http://s3platform.jrc.ec.europa.eu/registration 13
Why synergies? Scarce ressources : More efficiency Best use of public funds Policy Research and Innovation 14
Who are the actors of synergies? Key role for national and regional authorities as they plan future investments on research and innovation, including from the ESIF Research stakeholders (Public/ private): they should be better informed about the said investment plans and operational measures NCPs Commission services Policy Research and Innovation 15
Creating synergies is Getting a stronger impact on competitiveness, jobs and growth by combining ESIF and Horizon 2020 actions Amplifying projects / initiatives under both instruments Carrying further the projects of the other instrument towards market uptake / commercialisation opportunities Exploit complementarities while at the same time avoid overlaps and exclude double-financing (fraud). however beware: NO substitution of national, regional or private co-funding to projects or programmes by money from the other instruments NO diversion of funding from the purpose of the respective instrument/operational programme (e.g. smart specialisation strategy) NO simple "run for the money": Maximising the acquisition of additional funding from H2020 for a MS / region is no good objective, as this lacks durable impact.
Commission actions for enabling synergies (1) Strategic level Support for smart specialisation strategy development (over 100 expert contracts, S3Platform, e.g. Guide on RIS3 regarding entrepreneurial discovery process, etc.) including synergies issues Strategic platforms and structured cooperation between R&I programmes and actors (EIPs, EIT-KICs, ETPs, JPI, JTI, ) open up for regional level policy actors. Sections for synergies in templates for Partnership Agreements & Operational Programmes are checked & proposals for improvements made
Commission actions for enabling synergies (2) Programme design level : Screen policy mix in ESIF OP drafts for "interoperability" with Horizon 2020, suggestions for improvements regarding selection principles, types of projects, indicators not limited to TO1 priority axis! Provide guidance & training to National Contact Points (NCPs) and Enterprise Europe Network (EEN) partners and use them to explain Horizon 2020 to ESIF MA and public procurers (cost models, project formats) Training for RTD, CNECT, ENTR, EAC, etc. Horizon2020 managing staff on Cohesion Policy and ESIF management principles + synergies Design H2020 work programmes, implementation documentation and tools (participant portal) in an synergies friendly way, incl. regarding the choice of project format (standard vs. PCP/PPI, etc.) Raise awareness and stimulate actions on technology transfer for research results from FP7 and Horizon2020 to better target it to MS/regions according to their and OP priorities
Commission actions for enabling synergies (3) Implementation level: Support trans-national teaming up of MS and regional innovation actors around shared smart specialisation fields (Vanguard Initiative, RIS3 thematic platforms, Eye@RIS3 mapping, workshops, INTERREG) to facilitate formation of multi-country consortia & opening up of innovation systems Use EGESIF, MA monitoring committees, etc. to ensure information flow during implementation (incl. promotion of NCP & EEN involvement) Brief auditors, evaluators, Dedicated Implementation Structures and Joint Undertakings on new synergies possibilities, different accounting systems, terminologies, etc.
Regional Policy How to create synergies? Think strategic (not project-oriented) Act in collaboration (not isolation) Identify / generate opportunities (in all programmes) Set up suitable implementation mechanisms
What could be done on the H2020 side by national research authorities (1): Think strategic: Provide the MA with an overview / mapping of where the participants / member organisations in KICs, JTIs, EIPs etc. are located to feed into the RIS 3 process (or revisions) Set up dialogue with the regional innovation policy makers to be informed on their specialisation priorities and able to draw on this knowledge when discussing the Horizon 2020 work programme (or PPP / JTI work plan) modifications and learn & communicate about the available R&D&I capacities in the regions, including those in construction 21
What could be done on the H2020 side by national research authorities (2): Act in collaboration: Get in touch with the MAs and seek cooperation with local / national business players! Contact other ministries active in areas related to RDI (transport, environment, health, etc.) that could be "lead customers" for innovation in these areas and that might dispose of substantial ERDF & CF funding. E.g. explain how PPI / PCP and the Horizon2020 calls works, find out their future demand / needs for innovative solutions Create sectorial or cross-sectorial interest groups and alumni clubs of former and current H2020 beneficiaries coming from the region; Promote local academia-industry cooperation, cross-border networking and support international connectivity & partner search to facilitate the formation of trans-national consortia (incl. via EEN, INTERREG, cluster cooperation, EIPs, ETPs, etc.) 22
What could be done on the H2020 side by national research authorities (3): Identify / generate opportunities: Facilitate transfer of technology, dissemination and take-up of research results from Horizon 2020 / FPs, including via: Providing information on where FP7 / Horizon 2020 project participants are located asap after the grant agreements are signed (MA / regions won't search the Commission s databases themselves easily ) Invite Horizon 2020 project participants to cooperate with the EENs asap and find out about relevant MAs and their ESIF OP Install a system to inform regional MA about calls for Horizon2020, Creative Europe, COSME, digital CEF, Erasmus+ etc. proposals that match their RIS3 specialisation fields Invite universities to scrutinise their level of connection to the regional economy, communicate the particular R&D services they can offer and involve regional enterprises in curriculum development, selection of PhD themes, etc. (see thematic guide) 23
What could be done on the H2020 side by national research authorities (4): Set up suitable implementation mechanisms together with ESIF Managing Authorities: Introduce a process to channel good but not-funded Horizon 2020 project proposals that are largely located in an OP territory to the relevant MAs and how ERDF / ESF / EAFRD / EMFF funding (based for example on the coordinator s primary location) Explain the cost models, types of eligible costs, calculation methods and project formats of Horizon2020 to the MA and Ministries in charge of SME support, regional development, innovation in fisheries and agriculture, etc. Favour use of international independent experts in domestic calls for proposals 24
Main messages on Synergies for policy designers and implementers Think strategic & impact- oriented, not only project-oriented Both sides (ESIF and Horizon 2020 etc.) have to listen, learn and talk to each other, and take steps towards each other Synergies will only work if they are fostered along the entire programming cycle, starting from RIS3 development, to programme design and implementation 25
Regional Policy How identify the relevant ESIF Managing Authorities? ERDF, ETC & Cohesion Fund http://ec.europa.eu/regional_policy/manage/authority/ authority_en.cfm ESF, Youth initiative & EaSI: http://ec.europa.eu/esf/main.jsp?catid=45&langid=en EAFRD: http://enrd.ec.europa.eu/generalinfo/whos-who/implementing-authorities/managingauthorities/en/managing-authorities_en.cfm EMFF: http://ec.europa.eu/fisheries/cfp/eff/apply_for_funding /index_en.htm Nota Bene: for the new generation of ESIF programmes in some cases there will be different MAs in charge. The ones in the referenced web-sites will be able to direct you to them. 26
Regional Policy Links and documents Guide for authorities on synergies between ESIF and Horizon2020 and other EU programmes: http://ec.europa.eu/regional_policy/activity/research/index_en.cfm Common Provisions Regulation for the European Structural and Investment Funds: http://ec.europa.eu/regional_policy/what/future/index_en.cfm Research and innovation support under ESIF (http://ec.europa.eu/regional_policy/activity/research/index_en.cfm ) ESF, Youth initiative & EaSI: http://ec.europa.eu/esf/main.jsp?catid=45&langid=en EAFRD: http://enrd.ec.europa.eu/general-info/whos-who/implementing-authorities/managingauthorities/en/managing-authorities_en.cfm EMFF: http://ec.europa.eu/fisheries/reform/emff/index_en.htm Horizon 2020 regulations & rules for participation, PPP & P2Ps: http://ec.europa.eu/research/participants/portal/desktop/en/funding/reference_docs.html COSME regulation: http://ec.europa.eu/cip/cosme/ Erasmus+: http://ec.europa.eu/education/news/20130719-erasmus-pluspreparation_en.htm Creative Europe: http://ec.europa.eu/culture/creative-europe/index_en.htm Digital service part of CEF: http://ec.europa.eu/dgs/connect/en/content/public-services-digitalservice-infrastructures-connecting-europe-facility 27
Thematic guides General research & innovation system building & policy tools RIS3 guide Universities & regional development Service innovation Creative industries Green growth Social innovation How to convert research into commercial success Science and Technology Parks Transnational Learning in Smart Specialisation Public procurement of innovation Synergies between ESIF, Horizon2020 and other EU programmes Soon available: Clusters in less developed regions SME innovation SME innovation Incubators Entrepreneurial mind-set SME internationalisation Digital growth Broadband State aid for Broadband Digital growth Available in PDF format here: http://s3platform.jrc.ec.europa.eu/guides Regional Policy 28
Key points for the Horizon 2020 authorities in the Member States (Research Agencies, Ministries, NCP) Explain the difference between ESIF and H2020 scope, complementarity, agenda, deadlines, actors involved Inform about the recently adopted Guidelines, basic principles 'Tailor- made' information based on local governance Need for pro-active approach also for the business community Collaborate closely with national and regional planning authorities managing ESIF for research and innovation and identify cooperation and complementarity opportunities Detect opportunities by sector ( H2020 participants, RIS3) Inform, train your partners Try to make the most of your local Smart Specialisation Strategy (RIS3) Share good examples of synergies Policy Research and Innovation
Credits: Katja REPPEL, Deputy Head of Unit, REGIO.G1 Smart Growth Policy Research and Innovation 30
Learn more: Horizon 2020 Participant Portal: http://ec.europa.eu/research/participants/portal/desktop/en/oppo rtunities/index.html Cohesion policy (2014-20) http://ec.europa.eu/regional_policy/what/future/index_en.cfm Thanks for your attention! Policy Research and Innovation 31