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PolicyPolicyResearch andInnovationResearch andInnovation

Horizon 2020 and possible synergies Horizon 2020 and possible synergies with Structural Funds through with Structural Funds through

Smart Specialisation Strategies Smart Specialisation Strategies

Dimitri CorpakisDimitri CorpakisHead of Unit, RTDHead of Unit, RTD--C5 C5

Regional Dimension of Innovation, Regional Dimension of Innovation, Research and Innovation DirectorateResearch and Innovation Directorate

Directorate General for Research and Innovation, Directorate General for Research and Innovation, European CommissionEuropean Commission

CNR CNR –– National Research Council WorkshopNational Research Council Workshop

Rome, 16/5/12Rome, 16/5/12


The Policy Context and its dimensionsThe Policy Context and its dimensions

Raising scientific and technological excellence in all parts of the Union is a pre-requisite for the success of the Europe 2020 Strategy:

Important for innovationNecessary for the Union to advance and gain new ground in knowledge to acquire or maintain technological leadership and for facing the big societal challenges of the present and of tomorrow


- EU Financial Contribution for FP7 Participants (M€)


- Number of FP7 Participations


Clustering of research collaboration – EU 27: 2005 -2009

Source: ‘Bibliometric analysis for FP7 Interim evaluation’,Nov 2010, Thompson Reuters


Raising excellence through synergies of Raising excellence through synergies of Union policiesUnion policies

Several Union policies have the potential of Several Union policies have the potential of contributing strongly to the excellence objective contributing strongly to the excellence objective (research and innovation, enterprise and (research and innovation, enterprise and industry, education and training, etc.)industry, education and training, etc.)Among them two stand clearly out because of Among them two stand clearly out because of their nature, structure, instruments and massive their nature, structure, instruments and massive effect:effect:• Research and Innovation and

Cohesion policy• Creating synergies between them

becomes essential


Synergies between Horizon 2020 and Synergies between Horizon 2020 and future Cohesion policy (2014future Cohesion policy (2014--2020)2020)

•• A mature concept, already in place since the A mature concept, already in place since the ’’90s (e.g. 90s (e.g. STRIDE etc.)STRIDE etc.)

•• Two different policy frameworks, with entirely different Two different policy frameworks, with entirely different delivery modes, however pointing to common objectives:delivery modes, however pointing to common objectives:•• Raising and spreading scientific excellence and Raising and spreading scientific excellence and

innovation in all Member States and regionsinnovation in all Member States and regions•• Strengthening competitiveness and innovationStrengthening competitiveness and innovation

•• However, huge needs for improvements and a more However, huge needs for improvements and a more systemic integrationsystemic integration

•• ERAC ERAC producedproduced 2 reports on the 2 reports on the mattermatter (in 2010 and 2011)(in 2010 and 2011)•• Synergies Expert Group report by DG Research and Synergies Expert Group report by DG Research and

Innovation completed and published in June 2011Innovation completed and published in June 2011


ERAC Report on ERA ERAC Report on ERA relatedrelated instruments instruments ((ERAC 1208/11, 26/5/11)ERAC 1208/11, 26/5/11)

Create better synergies between the CSF for Research and InnovatCreate better synergies between the CSF for Research and Innovation ion and the CSF for Cohesion Policyand the CSF for Cohesion PolicyThere should be a maximum degree of possible There should be a maximum degree of possible ““interfacesinterfaces”” between between the future CSF for Research and Innovation and the CSF for Cohesthe future CSF for Research and Innovation and the CSF for Cohesion ion Policy e.g. through common cost definitions, complemented with Policy e.g. through common cost definitions, complemented with appropriate appropriate ‘‘bridgingbridging’’--activities including giving credit/visibility to activities including giving credit/visibility to projects with high ranking in the CSF.projects with high ranking in the CSF.The activities of the Regions of Knowledge and the Research PoteThe activities of the Regions of Knowledge and the Research Potential ntial are needed but inare needed but in--depth analyses are needed and a clearer division of depth analyses are needed and a clearer division of tasks has to be done between the CSF for Research and Innovationtasks has to be done between the CSF for Research and Innovationand the CSF for Cohesion Policy.and the CSF for Cohesion Policy.A dedicated A dedicated ‘‘RTDI instrumentRTDI instrument’’, taking into account the , taking into account the national/regional responsibility, in the CSF for Cohesion Policynational/regional responsibility, in the CSF for Cohesion Policycombined with priority reflecting the Europe2020 Strategy, wouldcombined with priority reflecting the Europe2020 Strategy, wouldfacilitate synergies between the two facilitate synergies between the two CSFsCSFs..It is important to followIt is important to follow--up of the recommendations of up of the recommendations of ERACERAC’’ss Synergy Synergy group.group.


ERAC Group on Synergies ERAC Group on Synergies ((ERAC Opinion on ERAC Opinion on recommendations and possible options to achieve morerecommendations and possible options to achieve more

synergies between the Knowledge Triangle and Cohesion policies asynergies between the Knowledge Triangle and Cohesion policies at varioust variousgovernance levels, ERAC 1204/10, 21/6/10)governance levels, ERAC 1204/10, 21/6/10)

Need for stronger integration and more synergies within Need for stronger integration and more synergies within the Knowledge Triangle both at EU, National and Regional the Knowledge Triangle both at EU, National and Regional level. All relevant stakeholders at these levels should be level. All relevant stakeholders at these levels should be mobilised to create a common vision that will lead to mobilised to create a common vision that will lead to holistic policy strategies and, interoperable support holistic policy strategies and, interoperable support programmesprogrammesBetter policy coordination within the relevant Commission Better policy coordination within the relevant Commission departments and among the different Council formations departments and among the different Council formations --but also crossbut also cross--departmental cooperation within individual departmental cooperation within individual countries and regions, which is a sine qua non condition for countries and regions, which is a sine qua non condition for successful innovation policy!successful innovation policy!


Synergies Expert Group: outcome in Synergies Expert Group: outcome in a nutshella nutshell

•• As far as Less Developed Regions are concerned, build As far as Less Developed Regions are concerned, build a a Staircase to ExcellenceStaircase to Excellence by using all available means for by using all available means for funding research and innovation enabling schemes funding research and innovation enabling schemes (from research infrastructure to venture capital and (from research infrastructure to venture capital and financial support to startfinancial support to start--ups and university spinups and university spin--offs) offs) through through Smart SpecialisationSmart Specialisation (Regional Innovation (Regional Innovation Strategies for Smart Specialisation)Strategies for Smart Specialisation)

•• Improve Improve mutual information, communication and mutual information, communication and cooperation between all relevant stakeholders and funding cooperation between all relevant stakeholders and funding schemes inside R&D&I and Cohesion policyschemes inside R&D&I and Cohesion policy

•• Regarding the future of the Regions of Knowledge Regarding the future of the Regions of Knowledge ((RoKRoK) and Research Potential (REGPOT) schemes the ) and Research Potential (REGPOT) schemes the SEG suggested streamlining these under Cohesion SEG suggested streamlining these under Cohesion policy.policy.

•• Report available on line: Report available on line: http://http://bit.ly/uYMBDwbit.ly/uYMBDw(CORDIS shortened URL)(CORDIS shortened URL)


SEG Report proposals: (continued)SEG Report proposals: (continued)

Understand better how the two policies Understand better how the two policies engage with regions in different stages of engage with regions in different stages of development (development (Staircase to ExcellenceStaircase to Excellence). ). Better exploit links between the Better exploit links between the ““knowledge triangleknowledge triangle”” and the and the ““Triple Triple HelixHelix”” concepts at regional levelconcepts at regional levelImprove interoperability between both Improve interoperability between both policies, alignment with policies, alignment with Europe 2020Europe 2020 and and the the National Reform ProgrammesNational Reform Programmes((NRPsNRPs))

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Horizon 2020 and Cohesion Policy: differences and complementary Horizon 2020 and Cohesion Policy: differences and complementary objectivesobjectivesEU R&D and Innovation Policy EU R&D and Innovation Policy –– future future Horizon 2020Horizon 2020 EU Cohesion PolicyEU Cohesion Policy

DifferencesDifferences

Based largely on Based largely on individual R&D and individual R&D and innovation Projects innovation Projects of a preof a pre--competitive nature competitive nature aiming at advancing knowledge and fostering aiming at advancing knowledge and fostering innovation for growth and jobs, including but not innovation for growth and jobs, including but not exclusively frontier exclusively frontier research (also coresearch (also co--funding funding national and regional programmes)national and regional programmes)

Based on Based on multiannual Programmesmultiannual Programmes aiming aiming to reduce regional disparities, including through to reduce regional disparities, including through close to the market competitive R&D and close to the market competitive R&D and innovationinnovation efforts efforts

Awarded Awarded directly to final beneficiariesdirectly to final beneficiaries(firms, public and private R&D centres and (firms, public and private R&D centres and Universities, including national and regional Universities, including national and regional governments in certain cases governments in certain cases –– Art. 185, ERAArt. 185, ERA--NET NET etc.)etc.)

Awarded Awarded throughthrough shared management shared management exclusively to national and regional exclusively to national and regional public public intermediariesintermediaries

Through transnational competitive callsThrough transnational competitive callsaddressed to international groupings through peer addressed to international groupings through peer review review based on excellencebased on excellence criteriacriteria

For its most part based on nonFor its most part based on non--competitive attributioncompetitive attribution addressed to regional addressed to regional players players based on strategic planningbased on strategic planningnegotiation (however calls possible at national or negotiation (however calls possible at national or regional level)regional level)

Synergies and ComplementaritiesSynergies and Complementarities

Horizon 2020Horizon 2020 will focus on tackling major will focus on tackling major societal challenges, maximising the societal challenges, maximising the competitiveness impact of competitiveness impact of research and research and innovationinnovation (Industrial leadership) and raising and (Industrial leadership) and raising and spreading levels of spreading levels of excellenceexcellence in the research in the research basebase

FutureFuture Cohesion policyCohesion policy will focus on will focus on galvanising galvanising smart specialisationsmart specialisation that will act as that will act as a a capacity buildingcapacity building instrument, based on instrument, based on learning mechanisms and the creation of critical learning mechanisms and the creation of critical skills in regions and Member States.skills in regions and Member States.


What is Horizon What is Horizon 20202020

Commission proposal for a 80 billion Commission proposal for a 80 billion euro research and innovation euro research and innovation funding programme (2014funding programme (2014--20)20)Part of proposals for next EU Part of proposals for next EU budget, complementing Structural budget, complementing Structural Funds, education, etc.Funds, education, etc.A core part of Europe 2020, A core part of Europe 2020, Innovation Union & European Innovation Union & European Research Area:Research Area:• Responding to the economic crisis to

invest in future jobs and growth • Addressing peoples’ concerns about

their livelihoods, safety and environment.

• Strengthening the EU’s global positionin research, innovation and technology

• A single programme bringing together three separate programmes/initiatives:• The 7th research

Framework Programme (FP7), innovation aspects of Competitiveness and Innovation Framework Programme (CIP), EU contribution to the European Institute of Innovation and Technology (EIT)

• More innovation, from research to retail, all forms of innovation

• Focus on societal challenges facing EU society, e.g. health, clean energy and transport

• Simplified access, for all i i iti

What’s new


11 Excellent scienceExcellent science

22 Industrial leadershipIndustrial leadership

33 Societal challengesSocietal challenges

Three prioritiesfor Horizon 2020:


Priority 1Priority 1 Excellent scienceExcellent scienceWhy:Why:

World class science is World class science is the foundation of the foundation of tomorrowtomorrow’’s s technologies, jobs and technologies, jobs and wellbeingwellbeingEurope needs to Europe needs to develop, attract and develop, attract and retain research talentretain research talentResearchers need Researchers need access to the best access to the best infrastructuresinfrastructures


Priority 2Priority 2 Industrial leadershipIndustrial leadershipWhy:Why:

Europe needs more innovative Europe needs more innovative SMEsSMEs to create growth and to create growth and jobsjobsStrategic investments in key Strategic investments in key technologies (e.g. advanced technologies (e.g. advanced manufacturing, micromanufacturing, micro--electronics) underpin electronics) underpin innovation across existing and innovation across existing and emerging sectorsemerging sectorsEurope needs to attract more Europe needs to attract more private investment in research private investment in research and innovationand innovation


Priority 3Priority 3 Societal challengesSocietal challengesWhy:Why:

EU policy objectives EU policy objectives (climate, environment, (climate, environment, energy, transport etc) energy, transport etc) cannot be achieved cannot be achieved without innovation without innovation Breakthrough solutions Breakthrough solutions come from multicome from multi--disciplinary disciplinary collaborations, including collaborations, including social sciences & social sciences & humanitieshumanitiesPromising solutions Promising solutions need to be tested, need to be tested, demonstrated and demonstrated and scaled upscaled up

*Additional *Additional €€1 050m for nuclear safety and security 1 050m for nuclear safety and security from the from the EuratomEuratom Treaty activities (2014Treaty activities (2014--18). Does not 18). Does not include ITER.include ITER.


Horizon 2020 and partneringHorizon 2020 and partneringPublicPublic--Private Partnerships (Private Partnerships (PPPsPPPs):):

Through Through Joint Technology InitiativesJoint Technology Initiatives or other formal structures (or other formal structures (§§ 187187))

Via Via contractual arrangementscontractual arrangements, which provide inputs for work programmes, which provide inputs for work programmes

Only when criteria met, e.g. Only when criteria met, e.g. clear commitments from private partnersclear commitments from private partners

PublicPublic--Public Partnerships (P2Ps):Public Partnerships (P2Ps):Through Through ““ERAERA--NetsNets”” for topping up individual calls/ actions (replacing current for topping up individual calls/ actions (replacing current ERAERA--Net, ERANet, ERA--Net Plus, IncoNet Plus, Inco--Net, Net, InnoInno--net)net)

Through Through participation in joint programs between Member Statesparticipation in joint programs between Member States ((§§ 185)185)

Supporting agendas of Joint Programming Initiatives when in lineSupporting agendas of Joint Programming Initiatives when in line with with Horizon 2020Horizon 2020

Only when criteria met, e.g. financial commitments of participatOnly when criteria met, e.g. financial commitments of participating countries ing countries

European Innovation PartnershipsEuropean Innovation PartnershipsNot funding instruments, intended only for coordination with broNot funding instruments, intended only for coordination with broader policies ader policies and programmesand programmes


Horizon 2020 has also:Horizon 2020 has also:A completely new approach towards A completely new approach towards supporting research and innovation in supporting research and innovation in SMEsSMEs (based on the concept of the US (based on the concept of the US SBIR scheme)SBIR scheme)A new approach to A new approach to access to risk finance access to risk finance especially for highespecially for high--growth innovative growth innovative SMEsSMEsA major simplification A major simplification effort in terms of effort in terms of administration and financial managementadministration and financial management


Widening participationWidening participationby unlocking R&I potentialby unlocking R&I potential

Principle of excellencePrinciple of excellence: continue to allocate funding on the basis : continue to allocate funding on the basis of competitive calls, selecting only the best projects. of competitive calls, selecting only the best projects.

Clear division of labourClear division of labour between cohesion policy and Horizon between cohesion policy and Horizon 2020. 2020.

• Cohesion policy: support for regions in building up their research and innovation capacity.

• Horizon 2020: widen participation, better coordination between the two Union funding programmes, support policy learning reforms

Measures in Horizon 2020 Measures in Horizon 2020 to ensure that excellence prevails to ensure that excellence prevails wherever it exists, includingwherever it exists, including: twinning, ERA chairs, support for : twinning, ERA chairs, support for access to international networks, development of smart access to international networks, development of smart specialisation strategies. specialisation strategies.


Facilitating access to crossFacilitating access to cross--border science networksborder science networks for for excellent researchers and innovators who lack sufficient excellent researchers and innovators who lack sufficient involvement in European and international networks. This involvement in European and international networks. This will include support provided through COST and National will include support provided through COST and National Contact Points.Contact Points.Helping Member States to develop Research and Helping Member States to develop Research and Innovation Policies including smart specialisation Innovation Policies including smart specialisation strategiesstrategies. A . A policy support facilitypolicy support facility will be developed and will be developed and policy learning at national and regional level will be policy learning at national and regional level will be facilitated through international evaluation by peers and facilitated through international evaluation by peers and best practice sharing.best practice sharing.

Societal Challenge on Inclusive, innovative and secure Societal Challenge on Inclusive, innovative and secure societies / Part 6.1.4. Closing the research and societies / Part 6.1.4. Closing the research and

innovation divide in Europe (III)innovation divide in Europe (III)


Societal Challenge on Inclusive, innovative and secure Societal Challenge on Inclusive, innovative and secure societies / Part 6.1.4. Closing the research and innovation societies / Part 6.1.4. Closing the research and innovation

divide in Europe (I)divide in Europe (I)

Significant regional disparities across Europe in research and Significant regional disparities across Europe in research and innovation performance need to be addressed. Measures will innovation performance need to be addressed. Measures will aim at unlocking excellence and innovation and will be aim at unlocking excellence and innovation and will be distinct, complementary and synergistic with policies and distinct, complementary and synergistic with policies and actions of the Cohesion policy Funds. They include:actions of the Cohesion policy Funds. They include:TWINNING and TEAMING: Linking emerging institutions, TWINNING and TEAMING: Linking emerging institutions, centres of excellence and innovative regions in less centres of excellence and innovative regions in less developed Member States to international leading developed Member States to international leading counterparts elsewhere in Europe:counterparts elsewhere in Europe:• measures include teaming of excellent research institutions and

innovative regions, staff exchanges, expert advice and assistance and the development of joint strategies for the establishment of centres of excellence that may be supported by the Cohesion policy funds in less developed regions.

• Building links with innovative clusters and recognising excellence in less developed regions, including through peer reviews and awarding labels of excellence to those institutions that meet international standards, will be considered.


Establishing 'ERA ChairsEstablishing 'ERA Chairs' to attract ' to attract outstanding academics to institutions with a outstanding academics to institutions with a clear potential for research excellence, in clear potential for research excellence, in order to help these institutions fully unlock order to help these institutions fully unlock this potential and hereby create a level this potential and hereby create a level playing field for research and innovation in playing field for research and innovation in the European Research Area. the European Research Area. • This will include institutional support for

creating a competitive research environment and the framework conditions necessary for attracting, retaining and developing top research talent within these institutions.

Societal Challenge on Inclusive, innovative and secure Societal Challenge on Inclusive, innovative and secure societies / Part 6.1.4. Closing the research and societies / Part 6.1.4. Closing the research and

innovation divide in Europe (II)innovation divide in Europe (II)


What future for What future for ““Regions of KnowledgeRegions of Knowledge””and and ““Research PotentialResearch Potential”” types of action ?types of action ?

Provisions are made to integrate the Provisions are made to integrate the objectives of these actionsobjectives of these actions under under European Territorial Cooperation actions European Territorial Cooperation actions (former INTERREG) (recital 7 in draft ETC (former INTERREG) (recital 7 in draft ETC Regulation)Regulation)Support to Support to Cluster CooperationCluster Cooperation and to and to Twinning research institutionsTwinning research institutions also also present in the mainstream ERDFpresent in the mainstream ERDF


How Horizon 2020 will interface with How Horizon 2020 will interface with Cohesion policyCohesion policy

ERAC (former CREST) and SEG recommendations were actively taken ERAC (former CREST) and SEG recommendations were actively taken on on board to the maximum when designing HORIZON 2020board to the maximum when designing HORIZON 2020

HORIZON 2020 will interface with Cohesion policyHORIZON 2020 will interface with Cohesion policy::By providing By providing policy support and advicepolicy support and advice to national and regional authorities for to national and regional authorities for better design of research and innovation strategies for smart spbetter design of research and innovation strategies for smart specialisationecialisationBy using networks like COST to spread excellence among scientistBy using networks like COST to spread excellence among scientists all over s all over Europe (including through training and networking)Europe (including through training and networking)Through a host of measures on Through a host of measures on ““Closing the Innovation DivideClosing the Innovation Divide”” in Europein EuropeBy improving information and communication between respective By improving information and communication between respective stakeholders and players (SF Managing Authorities; Research and stakeholders and players (SF Managing Authorities; Research and Innovation Innovation agencies and FP participants) and by improving the use of existiagencies and FP participants) and by improving the use of existing ng information and intermediation networks (like the EEN, EBN etc.)information and intermediation networks (like the EEN, EBN etc.). . By providing expertise through its Thematic Directorates to natiBy providing expertise through its Thematic Directorates to national and onal and regional policy makers for designing their Structural Funds fundregional policy makers for designing their Structural Funds funded ed interventions with regard to research and innovationinterventions with regard to research and innovationOur Our Practical Guide (online now !)Practical Guide (online now !) in its second edition is an important in its second edition is an important tool in this respect.tool in this respect.

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Synergies between Horizon 2020 Synergies between Horizon 2020 and future Cohesion Policyand future Cohesion Policy

•• Synergies by designSynergies by design: new draft regulations for Cohesion : new draft regulations for Cohesion policy give strong priority to investments in Research and policy give strong priority to investments in Research and Innovation; Horizon 2020 promotes broad access through Innovation; Horizon 2020 promotes broad access through major simplification, new financial engineering instruments, major simplification, new financial engineering instruments, new opportunities for new opportunities for SMEsSMEs and a host of measures to close and a host of measures to close the innovation dividethe innovation divide

•• Synergies in practiceSynergies in practice: : capacity building in future capacity building in future Cohesion policy will provide a Cohesion policy will provide a staircase to excellencestaircase to excellence to all to all European regions;European regions; from particular investments for research from particular investments for research infrastructures and support to innovation, through support infrastructures and support to innovation, through support to applied research, pilot production lines and support to to applied research, pilot production lines and support to Key Enabling Technologies through Smart Specialisation, Key Enabling Technologies through Smart Specialisation, Cohesion policy will work in tandem with research and Cohesion policy will work in tandem with research and innovation policy (Horizon 2020)innovation policy (Horizon 2020)


Delivery: working on the RulesDelivery: working on the RulesFacilitating linkages and concerted efforts Facilitating linkages and concerted efforts •• A common programming period of seven (7) yearsA common programming period of seven (7) years makes makes

easier synchronisation of funding and provides for better plannieasier synchronisation of funding and provides for better planning ng with a strong potential for real synergieswith a strong potential for real synergies

•• Distinct objectives but the same strategic goalsDistinct objectives but the same strategic goals of serving of serving the Europe 2020 strategy for smart, sustainable and inclusive the Europe 2020 strategy for smart, sustainable and inclusive growthgrowth

•• Harmonisation of cost eligibility rules between Horizon Harmonisation of cost eligibility rules between Horizon 2020 and CP2020 and CP (Lump sums, flat rates and unit costs possible (Lump sums, flat rates and unit costs possible under both for funding direct and indirect costs without providiunder both for funding direct and indirect costs without providing ng documents proving real expenses, harmonisation of VAT rules) documents proving real expenses, harmonisation of VAT rules)

•• Possibility to combine CP and Horizon 2020 fundingPossibility to combine CP and Horizon 2020 funding (and (and from other Union instruments) in same project for different from other Union instruments) in same project for different expenditure items, which opens the way to combined funding of expenditure items, which opens the way to combined funding of individual Horizon 2020 projects (Art. 55(8) of proposed individual Horizon 2020 projects (Art. 55(8) of proposed Gen.RegGen.Reg.).)


Delivery: working on the Rules (II)Delivery: working on the Rules (II)Possibility to invest in other EU regions from a mainstream OP,Possibility to invest in other EU regions from a mainstream OP, i.e. i.e. up to 10% of an OP budget (for EAFRD 3%) if the measure is for tup to 10% of an OP budget (for EAFRD 3%) if the measure is for the he benefit of the OP territory / important for crossbenefit of the OP territory / important for cross--border research border research infrastructures (incl. ESFRI Roadmap ) or cluster or value chaininfrastructures (incl. ESFRI Roadmap ) or cluster or value chainnetworking investments (Art. 60(2))networking investments (Art. 60(2))The development of research and innovation strategies (RIS3) forThe development of research and innovation strategies (RIS3) forsmart specialisationsmart specialisation is a conditionality for the approval of the R&I is a conditionality for the approval of the R&I elements of the Partnership Contracts and the Operational Prograelements of the Partnership Contracts and the Operational Programmes. mmes. They are the key instrument to maximise also the synergies with They are the key instrument to maximise also the synergies with Horizon Horizon 2020. 2020. Enhanced territorial cooperation CP budget shareEnhanced territorial cooperation CP budget share (3.1% of total (3.1% of total ERDF of which almost 6% for interERDF of which almost 6% for inter--regional cooperation) allows to build regional cooperation) allows to build transtrans--national linkages between regional innovation actors, national linkages between regional innovation actors, building on building on legacy FP7 Regions of Knowledge and Research Potential legacy FP7 Regions of Knowledge and Research Potential measuresmeasures or CIP cluster cooperation or networking of procurers or or CIP cluster cooperation or networking of procurers or innovation agencies, and allowing to include less advanced regioinnovation agencies, and allowing to include less advanced regions in a ns in a targeted manner.targeted manner.


Current programming period 2007-2013

Cohesion policy contributes to unlocking growth potential by promoting research and innovation in all regions

2007-2013 - € 86 billion for research and innovation, over 25% of total Cohesion policy budget:

- Focus on capacity-building but also on infrastructure in Less Developed Regions

- The European Regional Development Fund (ERDF) is a very important funding source for Less Developed Regions with regard to research and innovation

October 2011 figures show that about 50 % of € 86 billion have been already committed to projects on broader Research and Innovation schemes


Cohesion policy 2014Cohesion policy 2014--2020 2020 and Europe 2020and Europe 2020

Commission adopted its proposals for new Cohesion policy on 6 Commission adopted its proposals for new Cohesion policy on 6 October 2011October 2011::

•• Along with rural development and maritime and fisheries policiesAlong with rural development and maritime and fisheries policies, , Cohesion policy will focus on Europe 2020 objectives for smart, Cohesion policy will focus on Europe 2020 objectives for smart, sustainable and inclusive growthsustainable and inclusive growth

•• List of thematic objectives developed around the Europe 2020 List of thematic objectives developed around the Europe 2020 headline targets and flagship initiativesheadline targets and flagship initiatives

•• Thematic concentration for maximising impact: minimum shares Thematic concentration for maximising impact: minimum shares for research and innovation through the European Regional for research and innovation through the European Regional Development FundDevelopment Fund

•• In March 2012 the Commission adopted a Staff Working Document In March 2012 the Commission adopted a Staff Working Document on on ““Elements for a Common Strategic Framework for CohesionElements for a Common Strategic Framework for Cohesion””. In . In November 2011, the November 2011, the Horizon 2020Horizon 2020 proposal was adopted by the proposal was adopted by the Commission following the adoption of a Commission following the adoption of a ““Common Strategic Common Strategic Framework for Research and InnovationFramework for Research and Innovation”” that led to the that led to the Horizon Horizon 2020 proposal2020 proposal. Linkages and coordination mechanisms between . Linkages and coordination mechanisms between the 2 frameworks have now been specifically defined. the 2 frameworks have now been specifically defined.


Cohesion policy: 11 Thematic Objectives Cohesion policy: 11 Thematic Objectives to Deliver Europe 2020to Deliver Europe 2020

Strengthening research, technological development and innovationStrengthening research, technological development and innovationEnhancing access to, and use and quality of, information and comEnhancing access to, and use and quality of, information and communication munication technologiestechnologiesEnhancing the competitiveness of small and mediumEnhancing the competitiveness of small and medium--sized enterprises, the sized enterprises, the agricultural sector (for the EAFRD) and the fisheries and aquacuagricultural sector (for the EAFRD) and the fisheries and aquaculture sector lture sector (for the EMFF)(for the EMFF)Supporting the shift towards a lowSupporting the shift towards a low--carbon economy in all sectorscarbon economy in all sectorsPromoting climate change adaptation, risk prevention and managemPromoting climate change adaptation, risk prevention and managemententProtecting the environment and promoting resource efficiencyProtecting the environment and promoting resource efficiencyPromoting sustainable transport and removing bottlenecks in key Promoting sustainable transport and removing bottlenecks in key network network infrastructuresinfrastructuresPromoting employment and supporting labour mobilityPromoting employment and supporting labour mobilityPromoting social inclusion and combating povertyPromoting social inclusion and combating povertyInvesting in education, skills and lifelong learningInvesting in education, skills and lifelong learningEnhancing institutional capacity and an efficient public adminisEnhancing institutional capacity and an efficient public administrationtration


Research and Innovation Research and Innovation Investment proposed priorities Investment proposed priorities

for the ERDFfor the ERDFStrengthening research, technological development Strengthening research, technological development and innovation:and innovation:Enhancing research and innovation infrastructure (R&I) and Enhancing research and innovation infrastructure (R&I) and capacities to develop R&I excellence and promoting centres of capacities to develop R&I excellence and promoting centres of competence, in particular those of European interest (ESFRI)competence, in particular those of European interest (ESFRI)

Promoting business R&I investment, product and service Promoting business R&I investment, product and service development, technology transfer, social innovation and public development, technology transfer, social innovation and public service application, demand simulation, networking, clusters andservice application, demand simulation, networking, clusters andopen innovation through smart specialisationopen innovation through smart specialisation

Supporting technological and applied research, pilot lines, earlSupporting technological and applied research, pilot lines, early y product validation actions, advanced manufacturing capabilities product validation actions, advanced manufacturing capabilities and first production in Key Enabling Technologies and diffusion and first production in Key Enabling Technologies and diffusion of of general purpose technologiesgeneral purpose technologies


ERDF thematic concentration 2014-2020Allocation from the total ERDF resources, at national level

1) In more developed regions (MDR) and transition regions (TR)At least 80% for priorities (1) R&I, (3) SMEs and (4) Energy (at least 20%)

2) In less developed regions (LDR)At least 50% for priorities (1) R&I, (3) SMEs and (4) Energy (at least 6%)

3) Derogation for regions with GDP<75% EU-25 (2007-2013 period)At least 60% for priorities (1) R&I, (3) SMEs and (4) Energy

2014-2020 Total (€) ERDF(%maxi) ERDF(€ maxi) (1)+(3)( + %) (1)+(3)( + €)LDR 162.6 75 122.0 44 53.7

TR 38.9 60 23.3 60 14.0

MDR 53.1 48 25.5 60 15.3

Sub-Total 254.6 170.8 83.0

Total Cohesion Policy = € 376 Billion, including ETC (€11.7B), Cohesion Fund (€68.7B), OMR-extra (€1B), Connecting EU Facility (€40B) and ESF (€84B, mini)


Performance: ex ante conditionality Performance: ex ante conditionality (for (for Research and Innovation investments : Research and Innovation investments :

Smart Specialisation Strategy (S3) )Smart Specialisation Strategy (S3) )

MS and regions to fulfil conditions closely linked MS and regions to fulfil conditions closely linked to the thematic objectives of the policyto the thematic objectives of the policyIf not fulfilled, definition of precise actions and If not fulfilled, definition of precise actions and deadlinesdeadlinesPossibility for the Commission to suspend all or Possibility for the Commission to suspend all or part of interim payments at the moment of the part of interim payments at the moment of the adoption of programmesadoption of programmesIf conditions not fulfilled within deadlines, If conditions not fulfilled within deadlines, suspension of paymentssuspension of payments

Generalregulation

Part I

Fundspecific

regulations


What is Smart Specialisation ?What is Smart Specialisation ?http://ec.europa.eu/research/era/publication_en.cfm

‘‘Knowledge for GrowthKnowledge for Growth’’ expert group (DG expert group (DG RTD) launched concept in the framework of RTD) launched concept in the framework of ERA;ERA;

Problem: fragmentation/imitation/duplication Problem: fragmentation/imitation/duplication of public R&D investments;of public R&D investments;

Stresses role for all regions in the knowledge Stresses role for all regions in the knowledge economy, if they can identify comparative economy, if they can identify comparative advantages in specific R &I domains/clusters advantages in specific R &I domains/clusters (not just winning sectors);(not just winning sectors);

Challenges: Smart specialisation has to Challenges: Smart specialisation has to embrace the concept of open innovation, not embrace the concept of open innovation, not only investment in (basic) research.only investment in (basic) research.

“Most advanced regions invest in the invention of general purpose technologies, others invest in the co-invention of applications of the generic technology in one or several

important domains of the regional economy”Dominique FORAY 2010


Innovation Strategies for Smart Innovation Strategies for Smart Specialisation: RISSpecialisation: RIS33

An agenda for economic transformation:An agenda for economic transformation:

(Tough) (Tough) CChoices: hoices: select few priorities on the basis of international select few priorities on the basis of international specialisation and integration on international value chainsspecialisation and integration on international value chains

CCompetitive (Constructed) Advantage: ompetitive (Constructed) Advantage: mobilise talent by mobilise talent by matching RTD + i and business needs & capacitiesmatching RTD + i and business needs & capacities

CCritical Mass: ritical Mass: provide arenas for related variety/crossprovide arenas for related variety/cross--sectoral links sectoral links which drive specialised technological diversificationwhich drive specialised technological diversification

CCollaborative Leadership: ollaborative Leadership: efficient innovation systems as a efficient innovation systems as a collective endeavour based on publiccollective endeavour based on public--private partnership (quadruple helix)private partnership (quadruple helix)


Step 1: Analysis of regional potential for innovation-driven differentiation

Step 2: RIS 3 design and governance –ensuring participation & ownership

Step 3: Elaboration of an overall vision for the future of the region

Step 4: Selection of priorities for RIS3 + definition of objectives

Step 5: Definition of coherent policy mix, roadmaps and action plan

Step 6: Integration of monitoring and evaluation mechanisms

Steps to RIS3Steps to RIS3

(6) Monitoring

(5) Policy mix

(4) Priorities

(3) Vision

(2) Process

(1) Analysis

RIS 3 Strategy


Example: Bremerhaven (DE)Example: Bremerhaven (DE)

Economy based on Economy based on shipbuilding & commercial shipbuilding & commercial fishing in strong downturn fishing in strong downturn end of 1990end of 1990’’ss

Selection of Selection of ‘‘offshore wind offshore wind energyenergy’’ as new as new development: clear & development: clear & integrated industrial integrated industrial strategy and clustering of strategy and clustering of competenciescompetencies

Strong existing synergies Strong existing synergies between between ‘‘shipyardshipyard’’ & & ‘‘offshore windoffshore wind’’ sectorssectors

Now Bremerhaven = major Now Bremerhaven = major hub of offshore wind in DE, hub of offshore wind in DE, 4 major manufactures, 4 major manufactures, already 1,000 jobs createdalready 1,000 jobs created


RISRIS33 PlatformPlatformhttp://ipts.jrc.ec.europa.eu/activities/researchhttp://ipts.jrc.ec.europa.eu/activities/research

--andand--innovation/s3platform.cfminnovation/s3platform.cfm

The platform is established at the Joint Research Centre (IPTS) The platform is established at the Joint Research Centre (IPTS) in Seville in Seville and covers a threeand covers a three--year period.year period.

It acts as a facilitator in bringing together the relevant policIt acts as a facilitator in bringing together the relevant policy support y support activities in research, regional, enterprise, innovation, informactivities in research, regional, enterprise, innovation, information society, ation society,

education and sustainable policies.education and sustainable policies.Informs and communicates on related funding opportunities under Informs and communicates on related funding opportunities under the the

relevant EU funding programmes.relevant EU funding programmes.Includes the facilities to provide direct feedIncludes the facilities to provide direct feed--back and information to regions, back and information to regions,

Member States and its intermediate bodies.Member States and its intermediate bodies.Provides methodological support, expert advice, training, informProvides methodological support, expert advice, training, information on ation on

good practice, etc.good practice, etc.

Mirror Group of International experts:Mirror Group of International experts:http://bit.ly/zL7Qqw http://bit.ly/zL7Qqw


How HORIZON 2020 could contribute to Smart Specialisation Strategies

By promoting research priorities that hold a strong By promoting research priorities that hold a strong innovation potentialinnovation potentialBy supporting all forms of innovation including social By supporting all forms of innovation including social innovationinnovationBy promoting By promoting SMEsSMEs and their efforts on market access, and their efforts on market access, commercialisation of research results and IPR managementcommercialisation of research results and IPR managementBy opening up new paths to risk finance (debt and equity By opening up new paths to risk finance (debt and equity platforms)platforms)By supporting Open Access to research results, scientific By supporting Open Access to research results, scientific publications and datapublications and data


Next steps in planning for Next steps in planning for Member States / regions / research and innovation Member States / regions / research and innovation

stakeholdersstakeholders

Preparing for Cohesion policy:Preparing for Cohesion policy:Perform a serious analysis of national, regional and local charaPerform a serious analysis of national, regional and local characteristicscteristicsPosition the Member State / Region in its particular internationPosition the Member State / Region in its particular international context and see what al context and see what

this implies for its future priorities (consider rethis implies for its future priorities (consider re--positioning)positioning)Lay out a strategy for smart specialisation, in a bottomLay out a strategy for smart specialisation, in a bottom--up process involving all up process involving all

relevant stakeholdersrelevant stakeholdersPrioritise, evaluate, and choosePrioritise, evaluate, and chooseConsider possible governance adjustments if neededConsider possible governance adjustments if neededFormulate a clear plan with limited and specific priorities, wheFormulate a clear plan with limited and specific priorities, where an evaluation process re an evaluation process

has to be builthas to be built--in, with relevant indicatorsin, with relevant indicators

Preparing for Horizon 2020:Preparing for Horizon 2020:identify areas / themes / topics that are suitable for entering identify areas / themes / topics that are suitable for entering a competition process / if a competition process / if

possible linked with local / national smart specialisation stratpossible linked with local / national smart specialisation strategiesegiesidentify areas where complementary actions linked to research anidentify areas where complementary actions linked to research and innovation projects d innovation projects

(funded possibly by Horizon 2020) could be supported by the Stru(funded possibly by Horizon 2020) could be supported by the Structural Funds embedded ctural Funds embedded in Operational Programmes (national or regional)/ see Key Actionin Operational Programmes (national or regional)/ see Key Actions of the CSF on s of the CSF on Cohesion Cohesion

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Our Practical Guide to EU Funding is Our Practical Guide to EU Funding is online and online and nownow in in its second edition!its second edition!

http://cordis.europa.eu/euhttp://cordis.europa.eu/eu--fundingfunding--guide/home_en.htmlguide/home_en.html


Thank you !Thank you !

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