Horizon 2020 ESIF

Report
How will European Regions contribute to
an European Knowledge environment
able to face global society changes
Carlos GOMEZ
Regional Dimension of Innovation
DG Research and Innovation
European Commission
Dicember 2013
EC DG RTD.C.5 DC
Future Cohesion Policy 2014-2020
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
The need for Synergies with the ESIF
EU R&D Policy – future Horizon 2020
EU Cohesion Policy
Differences
non-territorial approach, no pre-defined geographical distribution of funding
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.
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.).
Mostly competitive calls addressed to
international groupings (exception ERC and MC
that also address individuals) through peer-review
based on excellence criteria
place-based approach; defined financial
envelope for different eligible categories of regions
Based on multiannual Programmes aiming at
increased competitiveness through close to the
market competitive R&D and innovation efforts
Awarded through shared management to national
and regional public intermediaries
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.
Keys to Synergies
Smart Specialisation
ex-ante conditionality
Thematic Concentration
sustainable
inclusive
Europe 2020
smart
Thematic objectives
1.
2.
3.
4.
5.
6.
7.
Research and innovation
Information and Communication Technologies
Competitiveness of Small and Medium-Sized Enterprises (SME)
Shift to a low-carbon economy
Climate change adaptation and risk management and prevention
Environmental protection and resource efficiency
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
EXCELLENCE
SMART SPECIALISATION EX-ANTE CONDITIONALITY
INDUSTRIAL
LEADERSHIP
SOCIETAL
CHALLENGES
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
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)
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
"Up-stream"
"Down-stream"
ESIF
Horizon
2020
€80-100 billion
€ 70 billion
"Staircase to Excellence"
National/Regional
R&I systems
Capacity Building
"Research
Excellence"
Research & Development
Hopefully also excellence, but
"Innovation Excellence"
Innovation
Market
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 public funding sources for ambitious industrial projects
What is combined funding?
Combined funding is the possibility to use different public funding sources, including EU funding
sources, within a programme, project or a group of projects. It seeks to exploit complementarities
and synergies while at the same time needs to avoid overlaps and exclude double-financing.
Combining EU funding sources H2020 and ESIF – Legal basis:
The H2020 Rules for Participation (Article 31) and for the Common Provisions Regulation on the
ESIF (Article 55(8)) both deviate from the Financial Regulation (Article 129) as they allow for the
funding of the same action by two different instruments, subject to the absence of double
funding.
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
Basic budgetary principles
1.
"non-substitution principle"
The use of a Union funding instrument to substitute the non-Union contribution to another
Union instrument is not allowed: ESIF cannot be used to substitute the national or private
contribution 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.
Combining Horizon 2020 & ESIF for ambitious industrial project
Define scope of industrial project (incl. beneficiaries), detailed activities, budget (private/public)
Look at eligibility of activities: localisation (e.g. region), type of cost items (e.g. equipment) in combination
with beneficiaries and timeline
Prepare financial master plan for industrial project: group activities in projects (=set of cost items for
certain 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
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)
Combining Horizon 2020 & ESIF for ambitious industrial projects
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 cofunding
… But no ESIF!
ESIF proposal and budget
Incl. public or private cofunding
+ specifying which Operational
Programme will co-fund and
where
… But no Horizon 2020!
Example: Industrial project with combined funding from Horizon2020 & ESIF
ESIF
MS/region
Horizon 2020
Industrial
project
Horizon
2020
+ public/
private cofunding
ESIF of MS/reg
+
public/private cofunding
Combining Horizon 2020 & ESIF for ambitious industrial projects
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
(*) Modalities on sort of proof for existence of other funding sources being worked out
Combining Horizon 2020 & ESIF for ambitious industrial projects
Example : Industrial project with combined funding
Evaluation
Horizon
2020
Evaluators:
look into this
to appreciate
the entire
project
… and
negotiate this
part of the
budget.
Industrial project description (master plan)
Work packages (ideally geographically attributable)
and definition of cost items
Horizon2020 proposal
and budget
Incl. public or private cofunding
… But no ESIF!
ESIF proposal and
budget
Incl. public or private cofunding
+ specifying which OP will
co-fund and where… But
no H2!
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.
Learn more:
www.ec.europa.eu/horizon2020
http://ec.europa.eu/regional_policy/index_fr.cfm
Thanks a lot for
your attention

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