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The role of RIS3 in Cohesion Policy

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Presentation on theme: "The role of RIS3 in Cohesion Policy"— Presentation transcript:

1 The role of RIS3 in Cohesion Policy
Brussels, 18 September 2012 Luisa Sanches Policy Analyst – Innovation DG 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 investment European 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 which Broadband is 0.7 % (€ 2.3 billion) Environment Transport Research/Innovation Information society Tourism Social infrastructure Culture Energy Institutional capacity

4 Objectives of cohesion policy 2014-2020
Deliver the Europe 2020 strategy objectives of smart, sustainable and inclusive growth Focus on results Maximise the impact of EU funding through concentration Conditionalities (smart specialisation)

5 Thematic objectives smart Europa 2020 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 Employment and support for labour mobility Social inclusion and poverty reduction Education, skills and lifelong learning Increased institutional capacity and effectiveness of public administration smart Europa 2020 sustainable inclusive Cohesion Policy

6 Concentrating resources to maximise impact
Concentration of ERDF investments on: energy efficiency & renewable energy research & innovation competitiveness of SMEs 6% Digital Agenda 60% 44% 20% More developed & transition regions Less developed regions flexibility – different regions have different needs special arrangements for ex-convergence regions

7 Timing for RIS3 and Operational Programmes
Q2-2012 Q3-2012 Q4-2012 Q1-2013 Q2-2013 Q3-2013 Q4-2013 CSF & Legal frame adoption Country Specific Rec. COM position papers Discussion of COM position paper Negotiation Mandate Negotiations Draft Partnership Agreement Ex-ante cond. Draft OPs Development of RIS3 by MS and / or regions Monitoring & up-date of RIS3 Cohesion 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 9 Social innovation 1. 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 final Open 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 10 Common Strategic Framework In order to promote the harmonious, balanced and sustainable development of the Union, a Common Strategic Framework shall translate the objectives and targets of the Union strategy for smart, sustainable and inclusive growth into key actions for the CSF Funds. Article 11 Content The 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 well as for areas with particular territorial features referred to in Articles 174 and 349 of the Treaty, to be addressed by the CSF Funds; (c) horizontal principles and policy objectives for the implementation of the CSF Funds; (d) priority areas for cooperation activities for each of the CSF Funds, where appropriate, taking account of macro-regional and sea basin strategies; (e) coordination mechanisms among the CSF Funds, and with other relevant Union policies and instruments, including external instruments for cooperation; (f) mechanisms for ensuring the coherence and consistency of the programming of the 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 allocation Competitive calls (or beneficiaries identified in the work programme) ‘Use it or lose it principle’ to ensure effective implementation Economies of scale and synergies between sectors to lower administrative costs Partnership with financial intermediaries (like EIB) for financial instruments (such as loans, guarantees, or project bonds) Implementation of projects (procurement, etc) remains responsibility of beneficiaries and Transport – € 31.7 billion Energy – € 9.1 billion Telecommunications – € 9.2 billion Broadband Digital Service Infrastructures Horizontal Priorities

13 Connecting Europe Facility
Potential beneficiaries Support new business cases through : Loans Guarantees Bonds (project bond pilot) Equity (infrastructure investment funds) Telecoms (incumbent or new entrant) Utility companies Regional bodies, including municipalities New 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 objectives Ex ante conditionality Criteria for fulfilment Strengthening 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 objectives Ex ante conditionality Criteria for fulfilment 2. Enhancing access to and use and quality of ICT (Broadband target) (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 in Alignment ] consistent with the Scoreboard of the Digital Agenda for Europe; – an analyses of balancing support for demand and supply of information and communication 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 existing relevant 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 roots Challenges: 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 agendas 1) 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 innovation 4) Get stakeholders fully involved and encourage experimentation and private sector investment 5) Evidence-based and include sound monitoring and evaluation systems 1. (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 process 3. 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 / differentiation 4. Collaborative Leadership: efficient innovation systems as a collective endeavour based on public-private partnership (quadruple helix) ; experimental platform to give voice to un-usual suspects Cohesion Policy 17

18 Hypothetical Structure of a RIS3
reinventing the wheel! If an innovation strategy or support system exists, build on it! KETs for SMEs : Tech.transfer & audits, demonstrators, pilots Fields of "specialisation" … or rather differentiation, diversification, critical mass, future potential … Forestry Technologies for mountain areas Tourism: innovative health and sport services Renewable energy: bio-mass Bio-Economy: New use of cellulose Skills & 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 broad Several sources Other EU Funds, Ex: Horizon 2020 Synergies National funds Regional funds ERDF ESF Aligning several strategies Rural Development Fund Research Education Innovation business market National Competitiveness OPs Regional OPs

20 Partnership agreement
National level RIS3 How may RIS3 per country? Partnership agreement Region Region Region Region Region Region

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 • communication RIS3 policy events: • national • trans-national Expert analysis and support • regional • thematic • process • …. Cohesion Policy

23 Support for RIS3 development
Consultants, experts European Commission World Bank JASPERS (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 NUTSHELL Annex I – A step-by-step approach to RIS3 design Annex II – Delivery instruments and horizontal approaches Annex III – Guidance for expert assessment Edited 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 team Available on the S3 Platform webpage

25 RIS3 guide - Key steps for developing a RIS3
Step 1 – Analysis of regional context/potential Step 2 – Governance Step 3 – Vision for the future Step 4 – Selection of priorities Step 5 – Policy mix Step 6 – Monitoring and evaluation 25

26 Thematic guides Incubators Universities & regional development
Broadband Soon available: ► Clusters ► Green growth ► ► Creativity ► Service innovation ► …. Inspiration for innovation support: Oslo Manual (OECD) https://community.oecd.org/community/smartspecialisation Community framework for State Aid to Research and Innovation Analysis of regional innovation EURADA • Directory of "No-Nonsense" Activities to Build S³- minded Regions; • All money is not the same Cohesion Policy

27 http://ipts. jrc. ec. europa

28 Five investment models provide a broad spectrum of funding options
28 Five investment models provide a broad spectrum of funding options 5 models Bottom-up Private design build and operate Public outsourcing Joint venture Public design build and operate

29 Information Proposals for the Structural Funds : RIS3 factsheet: S3 Platform: RIS3 guide: Cohesion Policy


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