State of Play about Smart Specialisation(RIS3)

including synergies between ESIF and Horizon 2020

Mikel Landabaso, Head of Unit

EU Commission, DG REGIO

ERAC Mutual Learning Seminar, 20/03/2013

Regional and Urban Policy

Part 1:

State of Play about RIS3

Regional and Urban Policy

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Cohesion Policy

ESIF / Thematic Objectives 2014-20201. Research and innovation2. Information and Communication Technologies3. Competitiveness of Small and Medium-Sized Enterprises

(SME)4. Shift to a low-carbon economy5. Climate change adaptation and risk management and

prevention6. Environmental protection and resource efficiency7. Sustainable transport and disposal of congestion on major

network infrastructure8. Employment and support for labour mobility9. Social inclusion and poverty reduction10. Education, skills and lifelong learning11. Increased institutional capacity and effectiveness of public

administration

State of play re. the ex-ante conditionalities for IP 1, 2 and 3

Cohesion Policy

1. Research and innovation

2. ICT use and quality

ICT access

3. Competitiveness of SMEs

RISRIS33

Next Generation Access / Network Plan

Small Business Act

Late payment Directive

All 3 smart growth elements are inter-linked:► No socially & environmentally sustainable competitiveness without innovation► Hardly any innovation & new business models without ICT► SMEs are 99% of firms and offer 2/3 private sector jobs: they need to innovate!

(1) strengthening research, technological development and innovation:(a) enhancing research and innovation (R&I) infrastructure […] and capacities to develop R&I excellence and promoting centres of competence, in particular those of European interest;(b) promoting business […] investment in innovation and research, and developing links and synergies between enterprises, R&D centres and higher education, in particular product and service development, technology transfer, social innovation and public service applications, demand stimulation, 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;*

*) ICT, photonics, nano-electonics, nano- and bio-technologies, advanced materials, etc..

Investment Priority 1 Council proposal for modifications

Cohesion Policy

Investment Priority 1 EP proposal for modifications

(a) enhancing research and innovation infrastructure (R&I), technology and innovation services and capacities to develop R&I excellence and promoting centres of competence, in particular those of European interest and if there are potential synergies with other European programmes such as the establishment of centres of excellence competition under Horizon 2020;

(b) promoting private and public business R&I investment, product and service development, technology transfer, social innovation, eco-innovation, cultural and creative industries, public service applications, demand stimulation, networking, clusters, science and technology parks, and open innovation through smart specialisation;

(ba) developing links and synergies between enterprises, enhancing R&D centres and higher education, including through business incubators;

(c) supporting research, pilot lines, early product validation actions, advanced manufacturing capabilities and first production in particular in Key Enabling Technologies and diffusion of general purpose technologies;

(ca) developing appropriate links and synergies with Horizon 2020;Cohesion

Policy

BELGIQUE• Région de Bruxelles-Capitale• Vlaanderen• WalloniaČESKÁ REPUBLIKA• Jihomoravský kraj• Capital City of Prague DEUTSCHLAND• Berlin• Brandenburg• Freistaat Sachsen• Weser-Ems• Sachsen-AnhaltELLADA• Attiki • Crete• Eastern Macedonia and Thrace• Western GreeceESPAÑA• Andalucía • Aragón• Canarias • Cantabria• Galicia • La Rioja• Madrid • Navarra• País Vasco • Catalunya• Principado de Asturias• Región de Murcia• Illes Baleares• Extremedura• Castilla y León• Castilla-La Mancha• Comunidad ValencianaFINLAND• Kainuu • Oulu• Päijät-Häme • Uusimaa• PohjaEtelä-Pohjanmaa (Ostrobothnia)• Satakunta • Lapland• Etelä-Pohjanmaa (South Ostrobothnia)• Tampere region

FRANCE• Alsace • Aquitaine• Bretagne • Centre• Champagne-Ardenne• Corse • Guadalupe• Guyane • Languedoc-Rousillon• La Réunion • Limousin• Martinique• Nord-Pas-de-Calais• Picardie • Rhône-AlpesITALIA• Lombardia • Marche• Piemonte • Puglia• Sardinia • Emilia-Romagna• Toscana • Umbria• Veneto • Sicily • Basilicata • Campania• Liguria LITHUANIAMAGYARORSZÁG• North-Hungarian Region– Miskolc• Észak-Alföld • Dél-Alföld MALTANEDERLAND• Noord NederlandÖSTERREICH• Niederösterreich• OberösterreichPOLSKA• Dolny Śląsk (Lower Silesia)• Lubelskie• Lubuskie• Mazowieckie• Podkarpackie• Pomorskie• Świętokrzyskie• Wielkopolska• Województwo Podlaskie• Kujawsko-Pomorskie • Łódzkie• Warminsko-Mazurskie• MałopolskiePORTUGAL• Alentejo (Alto, Baixo, Central e Litoral)• Centro• Norte• Região Autónoma dos Açores• Lisboa e Vale do Tejo• Algarve• Região Autónoma da MadeiraROMÂNIA• VestSLOVENSKÁ REPUBLIKA • Bratislavský krajSLOVENIASVERIGE• Skåne• Västerbotten• Västra GötalandUNITED KINGDOM• Buckinghamshire• Cornwall and the Isles of Scilly• Kent• Northamptonshire• Northern Ireland• West Midlands • Wales • Devon

NORWAY • NordlandSERBIA • Vojvodina

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Commission support for RIS3:

S3Platform:• peer-reviews• analysis & data• training • communication

RIS3 policy events: • national• trans-national

Expert analysis and supportnationalregional• thematic• process• ….

Cohesion Policy

15 RTD expert

groups to analyse

science &

research aspects

(BG, CY, CZ, EE, EL, HU,

LA, LT, MT, PL, PO, RO,

SK, SI, ES)

FP7 SSH project

(analytical &

methodological)

ERA Chair call

15 RTD expert

groups to analyse

science &

research aspects

(BG, CY, CZ, EE, EL, HU,

LA, LT, MT, PL, PO, RO,

SK, SI, ES)

FP7 SSH project

(analytical &

methodological)

ERA Chair call

ENTR analytical support (regional & national innovation scoreboards, KETs mapping, European Cluster Observatory …)Policy learning support (Cluster networks, Regional Innovation Monitor …)

ENTR analytical support (regional & national innovation scoreboards, KETs mapping, European Cluster Observatory …)Policy learning support (Cluster networks, Regional Innovation Monitor …)

CNECT analytical

support: Digital

Agenda Scoreboard,

broadband mapping

study (end 2013)

CNECT analytical

support: Digital

Agenda Scoreboard,

broadband mapping

study (end 2013)

6 national and 10 regional final AMI expert reports received, 24 regions peer-reviewed,S3Platform desk analysis, bilateral contacts:

Mixed picture:

SWOT or similar analysis:

Limited number of priorities:

Measures to stimulate private R&I investments

Monitoring system (and indicators): mostly absent or not realistic or no causality …

Budgeting plans:

First results re. RIS3:… and who passed the ex-ante conditionality check?

Cohesion Policy

Not about specialisation in a narrow sense ("lock-in")

•It means avoiding duplication and fragmentation of effort with scarce public resources within the Union, thus helping in deepening the single market through "open" RIS³ and inter-regional connections across the EU.

•It means being selective and support the R&I activities that are relevant in view of existing conditions and assets (e.g. evidence based policy evaluation, sound SWOT,…) and breaking away from established lobbies and rent-seekers.

• Relevant in the sense of assessing how R&I can help transform the existing economic structure in order to face globalisation

• Relevant in the sense of selecting that R&I activities with the highest potential for knowledge spill-overs to irrigate large sections of the economy (related-variety)

•It is neither "coffee for all" nor "picking winners from above". It is not about selecting firms or sectors but the R& (broad) I activities and/or generic technology(ies) that can help a regional economy diversify into higher value added markets, modernise/rejuvenate or exploit new/emerging economic activites.

What does "specialisation" actually mean?What does "specialisation" actually mean?

• Does an ESFRI project in the OP "absolve" from going through the RIS3 entrepreneurial discovery process etc.?

NO!!!

• What if the state aid framework stops me from investing in KETs pilot lines and other support measures?

The EU state aid rules need to be respected! Hire legal experts to identify suitable measures and notify if relevant.

Cohesion Policy

FAQ on RIS3

• What if we got it wrong in terms of priorities or policy mix?

Relaunch entrepreneurial discovery process to revise RIS3, re-programme OP if necessary, use experimentation to limit risk

• What if my RIS3 is not ready by the time the OP has to be submitted?

Count also time until OP approval

• Who checks the fulfilment of the RIS3 ex-ante conditionality?

1. Member State (central government), 2. CommissionCohesion

Policy

FAQ on RIS3

RIS3 expert questionsRIS3 expert questions1.Stakeholder involvement? entrepreneurial discovery process? testing possible new areas?2. Evidence-based? areas of strength and future activity identified?3.Innovation and knowledge-based development priorities? support upgrading of existing activities?4.Appropriate actions identified? How good is the policy mix?5.Is strategy outward looking? How does it promote critical mass/ potential?6.Synergies between different policies and funding sources? 7.Achievable goals set? measure progress? support a process of policy learning and adaptation?

Ex-ante conditionalityEx-ante conditionality•Existence of national or regional RIS3 / policy framework•Based on a SWOT analysis (incl. DAE, ICT demand & supply, ICT capacity building, if relevant)•Concentrate resources on a limited set of R&I priorities•Outlines measures to stimulate private R&I investment•Monitoring [and review] system.•A framework outlining available budgetary resources for R&I, prioritization of investments linked to EU priorities, poss. ESFRI

OPsOPs•Strategy for Europe2020 contribution•Ex-ante evaluation•Priority axis TO 1 and/or TO 2 b/c with spec. objectives, Operations•Performance framework, Indicators •Monitoring committee / partnership

Link between RIS3 - ex-ante conditionality criteria - OP content

Thematic guidance material

Different types:

1.Guide books → MA, policy-makers & desks

Advice on policy mix, do's and don'ts in designing measures to specific needs / purposes ...

2.Thematic guidance fiches → desks & poss. MA

Interpretation of investment priorities: what is eligible and what not, examples of questions to ask in negotiations, suggestions for indicators …

3.Ex-ante conditionality fiches → desks & poss. MA

Explanations on what will be checked and what are limits …

RIS3 guideIncubatorsUniversities & regional

development Broadband – to be up-dated by CNECT

Service innovation Creative industriesGreen growthEntrepreneurial mind-setSocial innovationSee: http://s3platform.jrc.ec.europa.eu/s3pguide

http://s3platform.jrc.ec.europa.eu/guides

Thematic guides

15Cohesion

Policy

Part 2:

Synergies between ESIF and Horizon 2020

through RIS3

Regional and Urban Policy

Negotiations on the legislative packages proposed for the period 2014-2020

EU Parliament and the Council have agreed on the need for coordination at Commission's level between the European Structural and Investment Funds (ESIF, covered by the CSF) and other EU policies.

We need to look for synergies between ESIF and the different EU policies supporting R&I, mainly Horizon 2020 (H2020), especially through RIS3 (Research and Innovation Strategies for Smart Specialisation).

However, to put in practice these synergies, it is necessary to translate the new regulatory requirements into the reality of the programme implementation.

Synergies for supporting R&I ... A new context!

Regional and Urban Policy

Possible scenarios combining ESIF & Horizon 2020

Sequential approach:

ESIF projects enabling Horizon 2020 projects (“upstream”)

Horizon 2020 projects enabling ESIF projects (“downstream”)

Simultaneous approach:

ESIF and Horizon 2020 used in the same project

ESIF and Horizon 2020 used in parallel projects

ESIF substituting Horizon 2020 funding

RIS3 / OP: synergies with Horizon 2020RIS3 / OP: synergies with Horizon 2020RIS3 = IP-1 (R&I)RIS3 = IP-1 (R&I)

OP: in priority areas for RIS3, support to ERDF projects OP: in priority areas for RIS3, support to ERDF projects turning results from Horizon 2020 projects turning results from Horizon 2020 projects

into innovationinto innovation

OP: capacity building for submitting to Horizon 2020 OP: capacity building for submitting to Horizon 2020 projects reinforcing competitive advantages projects reinforcing competitive advantages

in line RIS3 (infrastructures, skills, partnerships)in line RIS3 (infrastructures, skills, partnerships)

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National & regional authorities

involved in RIS3 need information

about Horizon 2020!

Combining ESIF and H2020 funding is facilitated:see articles 55(8), 60(2) & 87(2.c.v-vi)

Combining ESIF and H2020 funding is facilitated:see articles 55(8), 60(2) & 87(2.c.v-vi)

Cooperation between authorities involved in RIS3 / OP e& RTD-ICooperation between authorities involved in RIS3 / OP e& RTD-I

Theoretical example

Mission: To prepare guidelines for combining ESIF, H2020, … with a view to ensure that Partnerships Agreements (PAs) and Operational Programmes (OPs) adopted under the CSF as well as H2020 implementing procedures and documents will enable to promote synergies between these funding sources.

Composition: DGs covered by the CSF (REGIO, EMPL, AGRI, MARE) and DGs involved in H2020 (RTD, CNECT, ENTR, EAC) and DG BUDG. Their legal and audit units should be involved in the relevant meetings.

In a second stage, horizontal DGs (LS, IAS) and some specific DGs (ENER, MOVE, ENV, CLIM).

Target group of the guidelines: public authorities at EU, national and/or regional levels (including agencies in charge of payments, control and audit):

- in charge of designing and implementing the PAs and OPs under the CSF,

- involved in the implementation of policy instruments for research, innovation and competitiveness, at EU, national and regional levels.

Interservice Working Group (ISWG) on Synergies

Regional and Urban Policy

Combining EU funding sources supporting R&I requires to:analyse the specific implementing procedures / documents (step by step) applicable at EU, national and regional level, with a view to identify obstacles and opportunities for synergies,adapt these procedures and documents for promoting / facilitating synergies.

Guidelines should provide answers (do's and don'ts) to a list of practical questions to be dealt with by the public authorities for promoting / facilitating synergies.

Approach proposed to prepare guidelines

Regional and Urban Policy

Mtg01 (25/02): Kick-off meeting (mandate of the ISWG-Synergies) Mtg02 (06/03): Facilitating synergies between ESIF projects and H2020

"mainstream" projects [in RIS3, PAs, OPs / WPs and calls for proposals] Mtg03 (11/03): Facilitating synergies between ESIF projects and EIT/KICs,

Marie-Curie/COFUND, Erasmus for All, ERA Chairs (RTD) Mtg04 (26/03): Facilitating synergies between ESIF projects and Joint

Programming, ERA-NET, Article 185 TFEU- initiatives, EUREKA Mtg05 (05/04): Facilitating synergies Research Infrastructure (ESIF / H2020) Mtg06 (11/04): Facilitating synergies for SMEs (ESIF / H2020/ COSME) Mtg07 (25/04): Facilitating synergies through public procurement of innovation

and pre-commercial public procurement Mtg08 (28/05): Discussion on a first full version of draft guidelines … other meetings for finalising the guidelines

Topics for the ISWG-Synergies meetings

Regional and Urban Policy