Presentation on theme: "The role of RIS3 in Cohesion Policy"— Presentation transcript:
1 The role of RIS3 in Cohesion Policy Brussels, 18 September 2012Luisa SanchesPolicy Analyst – InnovationDG REGIO
2 Cohesion Policy paradigm shift towards innovation Cohesion policy contributes to unlock the growth potential of the EU by promoting innovation in all regions.For , 86 billion to innovation, of which 65 billion come from the ERDF. That is 25% of its total budget. For the less developed regions the ERDF is the most important source and enabler to leveraging national and private funds.
3 Planned investmentEuropean Regional Development Fund and Cohesion Fund (ERDF) (€ 271 billion)ICT is 4.4 % (€ 15.2 billion) of the total Structural Funds allocation (€ 346 billion)of whichBroadband is 0.7 % (€ 2.3 billion)EnvironmentTransportResearch/InnovationInformation societyTourismSocial infrastructureCultureEnergyInstitutional capacity
4 Objectives of cohesion policy 2014-2020 Deliver the Europe 2020 strategy objectives of smart, sustainable and inclusive growthFocus on resultsMaximise the impact of EU funding through concentrationConditionalities (smart specialisation)
5 Thematic objectives smart Europa 2020 Research and innovation Information and Communication TechnologiesCompetitiveness of Small and Medium-Sized Enterprises (SME)Shift to a low-carbon economyClimate change adaptation and risk management and preventionEnvironmental protection and resource efficiencySustainable transport and disposal of congestion on major network infrastructureEmployment and support for labour mobilitySocial inclusion and poverty reductionEducation, skills and lifelong learningIncreased institutional capacity and effectiveness of public administrationsmartEuropa 2020sustainableinclusiveCohesion Policy
6 Concentrating resources to maximise impact Concentration of ERDF investments on:energy efficiency & renewable energyresearch & innovationcompetitiveness of SMEs6%Digital Agenda60%44%20%More developed & transition regionsLess developed regionsflexibility – different regions have different needsspecial arrangements for ex-convergence regions
7 Timing for RIS3 and Operational Programmes Q2-2012Q3-2012Q4-2012Q1-2013Q2-2013Q3-2013Q4-2013CSF & Legal frame adoptionCountrySpecificRec.COM position papersDiscussion ofCOM position paperNegotiationMandateNegotiationsDraft PartnershipAgreementEx-ante cond.Draft OPsDevelopment of RIS3 by MS and / or regionsMonitoring &up-date of RIS3Cohesion Policy
8 Important novelties for R&I in proposed Regulations (1) SMEs only! Large Firms only in connection with R&TD+i. Art.3 (ERDF Reg.): "The ERDF shall support productive investment, which contributes to creating and safeguarding sustainable jobs, through direct aid to investment in SMEs"No physical infrastructures in rich regions: Art. 3 (ERDF Reg.): "In more developed regions, the ERDF shall not support investments in infrastructure providing basic services to citizens in the areas of environment, transport, and Next Generation Access (NGA)/ICT".Attention: under discussion in Council
9 Important novelties for R&I in proposed Regulations (2) Promoting internationalisation: Art (b) (CPR Reg.): "The total amount allocated under the programme to operations located outside the programme area does not exceed 10% of the support from the ERDF…"…and interregional collaboration: Art (c) v (CPR Reg.): "An Operational Programme shall set out the contribution to the integrated approach for territorial development set out in the Partnership Contract (Agreement), including the arrangements for interregional and transnational actions with beneficiaries located in at least one other Member State"
10 Important novelties for R&I in proposed Regulations (3) Innovative actions in the field of sustainable urban development: CPR Art 84(7) "0,2% of the ERDF resources for the Investment for growth and jobs goal shall be allocated to innovative actions at the initiative of the Commission in the area of sustainable urban development" (not under shared management; urban development platform to facilitate networking among cities with IA)Social innovation: ESF Art. 9: all areas falling under the scope of the ESF; Member States shall identify themes for social innovation; Commission shall facilitate capacity building for social innovation+ in ERDF investment priority 1(b)ESF Article 9Social innovation1. The ESF shall promote social innovation within all areas falling under the scope of the ESF, as defined in Article 3 of this Regulation, in particular with the aim of testing and scaling up innovative solutions to address social needs.2. Member States shall identify themes for social innovation, corresponding to their specific needs in their operational programmes.3. The Commission shall facilitate capacity building for social innovation, in particular through supporting mutual learning, establishing networks, and disseminating good practices and methodologies.
11 Important novelties for R&I in proposed Regulations (4) Common Strategic Framework: translate the objectives and targets of smart, sustainable and inclusive growth into key actions for the ERDF, the CF, the ESF, the EAFRD and the EMFF which will ensure an integrated use of the CSF Funds to deliver common objectives (CPR Art )But: not via delegated act, as proposed by COM, but as part of CSF regulations See COM proposals for key actions in SWD(2012) 61 finalOpen to synergies with Horizon 2020: Art (CPR Reg.): "An operation may receive support from one or more CSF Funds and from other Union instruments, provided that the expenditure item included in a request for payment for reimboursement by one of the CSF Funds does not receive support from another Fund or Union instrument,…"CPR Article 10Common Strategic FrameworkIn order to promote the harmonious, balanced and sustainable development of the Union,a Common Strategic Framework shall translate the objectives and targets of the Unionstrategy for smart, sustainable and inclusive growth into key actions for the CSF Funds.Article 11ContentThe Common Strategic Framework shall establish:(a) for each thematic objective, the key actions to be supported by each CSF Fund;(b) the key territorial challenges for urban, rural, coastal and fisheries areas, as wellas for areas with particular territorial features referred to in Articles 174 and 349of the Treaty, to be addressed by the CSF Funds;(c) horizontal principles and policy objectives for the implementation of the CSFFunds;(d) priority areas for cooperation activities for each of the CSF Funds, whereappropriate, taking account of macro-regional and sea basin strategies;(e) coordination mechanisms among the CSF Funds, and with other relevant Unionpolicies and instruments, including external instruments for cooperation;(f) mechanisms for ensuring the coherence and consistency of the programming ofthe CSF Funds with the country-specific recommendations under Article 121(2)of the Treaty and the relevant Council recommendations adopted under 148(4)of the Treaty.
12 Connecting Europe Facility: € 50 billion: Synergies Centralised management for grants allocationCompetitive calls (or beneficiaries identified in the work programme)‘Use it or lose it principle’ to ensure effective implementationEconomies of scale and synergies between sectors to lower administrative costsPartnership with financial intermediaries (like EIB) for financial instruments (such as loans, guarantees, or project bonds)Implementation of projects (procurement, etc) remains responsibility of beneficiaries andTransport – € 31.7 billionEnergy – € 9.1 billionTelecommunications – € 9.2 billionBroadbandDigital Service InfrastructuresHorizontal Priorities
13 Connecting Europe Facility Potential beneficiariesSupport new business cases through :LoansGuaranteesBonds (project bond pilot)Equity (infrastructure investment funds)Telecoms (incumbent or new entrant)Utility companiesRegional bodies, including municipalitiesNew alliances and partnerships (PPPs), including equipment providers….AND MEMBER STATES !
14 Ex ante conditionality Criteria for fulfilment Thematic ex-ante conditionalities … state-of-play regarding RIS3 conditionality…Thematic objectivesEx ante conditionalityCriteria for fulfilmentStrengthening research, technological development and innovation (R&D target)(referred to in Article 9(1) )1.1. Research and innovation:The existence of a national or regional research and innovation (strategy) (strategic policy framework(s)) for smart specialisation in line with the National Reform Programme, to leverage private research and innovation expenditure,[ which complies with the features of well-performing national or regional research and innovation systems.]For research infrastructures only:1.2 The existence of a multi-annual plan for budgeting and prioritization of investments.is based on a SWOT analysis to concentrate resources on a limited set of research and innovation priorities;outlines measures to stimulate private RTD investment;contains a monitoring [ and review ] system.A framework outlining available budgetary resources for research and innovation;A [indicative] multi-annual plan for budgeting and prioritization of investments linked to EU priorities [and, where appropriate, the] European Strategy Forum on Research Infrastructures -ESFRI).
15 Thematic ex-ante conditionalities … to what else does the RIS3 apply? Thematic objectivesEx ante conditionalityCriteria for fulfilment2. Enhancing access to and use and quality of ICT(Broadbandtarget)(referred to in Article 9(2) )(R&D target)(referred to in Article 9(1) )2.1. Digital growth:[ The existence within the national or regional innovation strategy for smart specialisation of an explicit chapter for ] A strategic policy framework for digital growth to stimulate demand for affordable, good quality and interoperable ICT-enabled private and public services and increase uptake by citizens, including vulnerable groups, businesses and public administrations including cross-border initiatives.[A strategic policy framework for digital growth, for instance, within the national or regional innovation strategic policy framework for smart specialisation is in place that contains]:- budgeting and prioritisation of actions through a SWOT analysis [ carried out inAlignment ] consistent with the Scoreboard of the Digital Agenda for Europe;– an analyses of balancing support for demand and supply of information andcommunication technologies (ICT) should have been conducted;– indicators to measure progress [measurable targets for outcomes] of interventions in the field of digital literacy,skills, e-inclusion, e-accessibility, and e-health [within the limits of Article 168 TFEU ] which are aligned with existingrelevant sectoral national or regional strategies.– assessment of needs to reinforce ICT capacity-building.
16 What is Smart Specialisation ? ‘Knowledge for Growth’ expert group (DG RTD) launched concept in the framework of ERA;Problem: fragmentation/imitation/duplication of public R&D investments;Stresses role for all regions in the knowledge economy, if they can identify competitive advantages in specific activities with knowledge and productive rootsChallenges: Smart specialisation has to embrace the concept of open innovation, not only investment in (basic) research.
17 R&I Strategies for Smart Specialisation (RIS3) = place-based economic transformation agendas1) Focus policy support and investments on key national/regional priorities, challenges and needs for knowledge-based development (= tough choices)2) Build on each country's/region’s strengths, competitive advantages and potential for excellence (= critical mass, differentiation)3) Support all forms of innovation4) Get stakeholders fully involved and encourage experimentation and private sector investment5) Evidence-based and include sound monitoring and evaluation systems1. (Tough) Choices: limited number of priorities on the basis of own strengths and international specialisation ; avoid duplication and fragmentation ; be different !2. Competitive Advantage: mobilize talent and foster opportunities by matching R+I capacities and business needs through an entrepreneurial discovery process3. Critical Mass + Connectivity: develop world class clusters and provide arenas for related variety/cross-sectorial links internally in the region and externally, which drive diversification / differentiation4. Collaborative Leadership: efficient innovation systems as a collective endeavour based on public-private partnership (quadruple helix) ; experimental platform to give voice to un-usual suspectsCohesion Policy17
18 Hypothetical Structure of a RIS3 reinventingthe wheel!If an innovationstrategy orsupport systemexists,build on it!KETs for SMEs :Tech.transfer & audits, demonstrators, pilotsFields of "specialisation" … or rather differentiation, diversification, critical mass, future potential …Forestry Technologies for mountain areasTourism: innovative health and sport servicesRenewable energy:bio-massBio-Economy:New use of celluloseSkills & innovation capacities:entrepreneurial, innovation management, creative …Technical Assistance may be used to develop and monitor the RIS3
19 RIS3 : Should be the backbone of the OPs and combine funds from several budgets (national and EU) The financing of the RIS3 is broadSeveral sourcesOther EU Funds,Ex: Horizon 2020SynergiesNationalfundsRegionalfundsERDFESFAligning several strategiesRuralDevelopmentFundResearch EducationInnovation businessmarketNational Competitiveness OPsRegional OPs
20 Partnership agreement National level RIS3How may RIS3 per country?Partnership agreementRegionRegionRegionRegionRegionRegion
21 A mirror group was set up: for advise and follow-up: The platform is run by a steering team gathering representatives of several Commission Services: REGIO, EMPL, RTD, ENTR, EAC, CNECT, SANCO, CLIMA, AGRI and the JRC.The steering group started its activity in January to prepare the list of actions and launching of the Platform and meets regularly every month.A mirror group was set up: for advise and follow-up:High-level experts, representatives of Networks and bodies (e.g. EURADA, ERRIN, UEAPME, EBN, OECD, European Cluster Observatory, European Cluster Alliance, etc.) It gathers every three months.21
22 Commission support for RIS3: S3Platform:• peer-reviews• analysis & data• training• communicationRIS3 policy events:• national• trans-nationalExpert analysis and support• regional• thematic• process• ….Cohesion Policy
23 Support for RIS3 development Consultants, expertsEuropean CommissionWorld BankJASPERS (Technical Assistance facility for the New Member States)OECD..Cohesion Policy
24 The RIS3 Guide PART I: THE POLICY CONTEXT PART II: THE RATIONALE PART III: RIS3 DESIGN IN A NUTSHELLAnnex I – A step-by-step approach to RIS3 designAnnex II – Delivery instruments and horizontal approachesAnnex III – Guidance for expert assessmentEdited by JRC IPTS in association with DG REGIO and with contributions from:D. Foray, P. McCann, J. Goddard, K. Morgan, C. Nauwelaers, R. Ortega, Commission officials from various DGs and S3 Platform teamAvailable on the S3 Platform webpage
25 RIS3 guide - Key steps for developing a RIS3 Step 1 – Analysis of regional context/potentialStep 2 – GovernanceStep 3 – Vision for the futureStep 4 – Selection of prioritiesStep 5 – Policy mixStep 6 – Monitoring and evaluation25
26 Thematic guides Incubators Universities & regional development BroadbandSoon available:► Clusters ► Green growth ►► Creativity ► Service innovation► ….Inspiration for innovation support:Oslo Manual (OECD) https://community.oecd.org/community/smartspecialisationCommunity framework for State Aid to Research and InnovationAnalysis of regional innovationEURADA • Directory of "No-Nonsense" Activities to Build S³- minded Regions; • All money is not the sameCohesion Policy
28 Five investment models provide a broad spectrum of funding options 28Five investment models provide a broad spectrum of funding options5 modelsBottom-upPrivate design build and operatePublic outsourcingJoint venturePublic design build and operate
29 InformationProposals for the Structural Funds :RIS3 factsheet:S3 Platform:RIS3 guide:Cohesion Policy