1. European Funding Instruments in R&D: Opportunities and Possible Synergies in Regional Policy vs. Horizon 2020
Dr. Béla Kardon Workshop on Future Perspectives for EU-Japan Research and Innovation Cooperation
Zürich, 18 July 2013

2. Topics of the Presentation
Horizon International Cooperation
Regional/Cohesion Policy
Best practices in Hungary
Zürich, 18 July 2013

3. The Multiannual Financial Framework 2014-2020: Commission’s proposals of 29 June 2011
Key Challenge: stabilise the financial and economic system while taking measures to create economic opportunities
Smart & inclusive growth (€491bn)
Education, Youth, Sport
Connecting Europe
Cohesion
Competitive Business SMEs
Horizon 2020
Sustainable growth, natural resources (€383bn)
Security and citizenship (€18.5bn)
Global Europe (€70bn)
Administration (€62.6bn)
TOTAL: €1.025bn
Source: EC, DG Research and Innovation

4. Horizon 2020 & The New International Cooperation Strategy

5. What’s new
A single programme bringing together three separate programmes/initiatives*
Coupling research to 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 companies, universities, institutes in all EU countries and beyond.
*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)
Source: EC, DG Research and Innovation

6. Excellent science Industrial leadership Societal challenges
Three priorities:
Excellent science
Industrial leadership
Societal challenges
Source: EC, DG Research and Innovation

7. Priority 1. Excellent science
Why:
World class science is the foundation of tomorrow’s technologies, jobs and wellbeing
Europe needs to develop, attract and retain research talent
Researchers need access to the best infrastructures
Source: EC, DG Research and Innovation

8. Proposed funding (million euro, 2014-2020)
European Research Council
Frontier research by the best individual teams
13 268
Future and Emerging Technologies
Collaborative research to open new fields of innovation
3 100
Marie Curie actions
Opportunities for training and career development
5 572
Research infrastructures (including e-infrastructure)
Ensuring access to world-class facilities
2 478
Source: EC, DG Research and Innovation

9. Priority 2. Industrial leadership
Why:
Strategic investments in key technologies (e.g. advanced manufacturing, micro-electronics) underpin innovation across existing and emerging sectors
Europe needs to attract more private investment in research and innovation
Europe needs more innovative SMEs to create growth and jobs
Source: EC, DG Research and Innovation

10. Proposed funding (million euro, 2014-20)
Leadership in enabling and industrial technologies (ICT, nanotechnologies, materials, biotechnology, manufacturing, space)
13 781
Access to risk finance
Leveraging private finance and venture capital for research and innovation
3 538
Innovation in SMEs
Fostering all forms of innovation in all types of SMEs
619 complemented by
6 829 (expected 15% of societal challenges + LEIT) and
'Access to risk finance' with strong SME focus
Source: EC, DG Research and Innovation

11. Priority 3. Societal challenges
Why:
Concerns of citizens and society/EU policy objectives (climate, environment, energy, transport etc) cannot be achieved without innovation
Breakthrough solutions come from multi-disciplinary collaborations, including social sciences & humanities
Promising solutions need to be tested, demonstrated and scaled up
Source: EC, DG Research and Innovation

12. Proposed funding (million euro, 2014-2020)
Health, demographic change and wellbeing
8 033
Food security, sustainable agriculture, marine and maritime research & the bioeconomy
4 152
Secure, clean and efficient energy*
5 782
Smart, green and integrated transport
6 802
Climate action, resource efficiency and raw materials
3 160
Inclusive, innovative and secure societies
3 819
*Additional €1 788m for nuclear safety and security from the Euratom Treaty activities ( ). Does not include ITER.
Source: EC, DG Research and Innovation

13. Next steps
Ongoing: Parliament and Council negotiations on the basis of the Commission proposals
Ongoing: Parliament and Council negotiations on EU budget (including overall budget for Horizon 2020)
Mid 2013: Adoption of legislative acts by Parliament and Council on Horizon 2020
End 2013: Horizon 2020 starts, launch of first calls

14. International cooperation
Enhancing and focusing EU international cooperation in research and innovation: A strategic approach

15. International Cooperation: A Strategic Approach
International cooperation is crucial to address many Horizon 2020 objectives.
Principle of general openness: the programme will remain to be the most open funding programme in the world.
Targeted actions to be implemented taking a strategic approach to international cooperation (dedicated measures in the 'Inclusive, innovative and secure societies' challenge).

16. New strategy for international cooperation in research & innovation
Need to engage more actively and strategically in international cooperation:
Three main objectives:
Strengthen the Union's excellence and attractiveness in research and innovation as well as its industrial and economic competitiveness
Tackle global societal challenges
Support the Union's external policies
Combining openness with better targeted actions
Strengthened partnership with Member States
Stronger contribution of research and innovation to external policies of the Union

17. Key Novelties
General opening of Horizon 2020, but with more restricted approach to automatic funding
Targeted activities with scale and scope to achieve impact
Multi-annual roadmaps for key partner countries/regions
Stronger partnership with Member States
Common principles for conduct of international cooperation
Strengthened implementation, governance, monitoring and evaluation

18. Dual approach Openness: Targeted actions:
Horizon 2020 open to participation from across the world
Revision to the list of countries which receive automatic funding
Targeted actions:
Thematic: identifying areas for international cooperation on the basis of the Union's policy agenda
Differentiation by countries/regions to target partners for cooperation
 multi-annual roadmaps for cooperation with key partners

19. Thematic targeting
Starting point: Horizon 2020 societal challenges and enabling technologies
Identify areas based on analysis of a set of criteria of the EU and potential partners:
Research and innovation capacity
Access to markets
Contribution to international commitments, e.g. MDG or Rio+20
Frameworks in place to engage in cooperation (EU, international partners and MS) – including lessons learnt from previous cooperation

20. Instruments Policy instruments Funding instruments
more strategic use of S&T agreements with key third countries
strategic partnerships (e.g. Russia)
more visibility for STI in general cooperation frameworks
Funding instruments
collaborative projects (third country participation required and/or taken into account in evaluation)
networking between existing projects
joint initiatives of Union and third countries: coordinated calls, contribution of Union to third country/international organisations, ERA-Net/Art185
Information gathering (multiple sources: ERAWATCH, OECD, UNESCO, EEAS Delegations and Counsellors,…)

21. Coordination
Coordination with other policies and instruments of the Union
external policies (including development policy)
other policies with strong international dimension, e.g. trade
external dimension of other Union policies, e.g. education
International organisations and multilateral fora
shaping global agendas: UN bodies, OECD bodies, Carnegie forum,…
strengthen links with intergovernmental organisations and initiatives: COST, EUREKA, EIROForum

22. Regional Policy

23. Cohesion Policy Cohesion Policy NEFMI TPF
to reduce regional disparities in Europe terms of income, wealth and opportunities. Europe's poorer regions receive most of the support, but all European regions are eligible for funding under the policy's various funds and programmes.
Aim:
The European Social Fund (ESF)
increasing the adaptability of workers and enterprises
enhancing access to employment and participation in the labour market
reinforcing social inclusion by combating discrimination
facilitating access to the labour market for disadvantaged people
promoting partnership for reform in the fields of employment and inclusion.
The European Regional Development Fund (ERDF)
regional development
economic change
enhanced competitiveness and territorial co-operation throughout the EU.
Funding priorities include modernising economic structures, creating sustainable jobs and economic growth, research and innovation, environmental protection and risk prevention.
Investment in infrastructure also retains an important role, especially in the least-developed regions

24. Objectives of the new Cohesion Policy
EU 2020 is the basis of the new programming period, the multiannual financial framework
Concentration of resources on the objectives of Europe 2020 through a common set of thematic objectives to which the funds will contribute;
Simplification through more coherent planning and implementation arrangements;
Focus on results through a performance framework and reserve;
Reduce the administrative burden for beneficiaries and managing authorities.

25. Coherence of EU- and National Strategies
EU2020 headline
goals
NRP priorities
SROP programmes
Reducing study time overhang and drop out rates
Improving foreign language skills
Raising the number of engineering and IT graduates
Developing the vocational training system and strengthening its labour market relevance
Raise R&D expenditure to 1.8% of GDP
4.1.1/B Mentor services
4.1.1/C Regional cooperation
4.1.2/B Support for Teachers training
4.1.2/D Language training
4.2.2/A Innovative research teams
4.2.2/C Future programmes (R&D)
Dissemination and future HR
4.2.5/A Electronic content service
4.2.5/B Electronic content developing
Increasing the share of those having completed tertiary level education
Increasing employment rate
Increasing expenditures on R&D
Reducing the share of people living in poverty
Increasing the share of renewable energy resources
Digital agenda

26. Reducing regional disparities – improving competitiveness
Competitive economy
Competitive research
The main criteria for competitveness is the existence of competitive enterprises
Enterprises cannot be competitive without competitive workforce
Competive workforce is highly dependent on higher education trainings and competitve higher education institutions
Competitive higher education is based on competitive research
Competitive enterprises
Competitive higher education
Competitive labour force
Zürich, 18 July 2013

27. Funding Sources for RSDI – Hungarian example
National Sources
Hungarian Scientific Research Fund (OTKA)
Research and Technological Innovation Fund (KTIA)
EU Funding
Framework Programmes for RTD (Horizon2020)
CIP
Etc.
Cohesion Policy
Structural Funds
ESF
ERDF
Cohesion Funds
Other Sources: Swiss Contribution; EEA financing mechanism, etc.

28. Expectations of the European Commission
Using Cohesion Policy
Operative Programmes
National Regulations
Expectations of the European Commission

29. Finding synergies between the different type of funds
Budgetary sources -Structural funds
Publishing complementary calls in regions not eligible for EU funding
Structural Funds – FP7
Using ESF and ERDF to prepare institutions to participate in Horizon 2020
National Budget – FP7
COFUND
Structural Funds - Structural Funds
Harmonizing the content of operational programmes
Structural Funds
National budget
FP7

30. Lessons learned / best practices
A few examples for possible synergies
Cohesion policy and national sources
Publishing calls in regions not eligible for Cohesion Policy funding– using national sources. (KTIA – SROP A & SROP C)
Cohesion Policy and FP7
European Social Fund based measure aiming at integrating Hungary into the European Research Area – increase involvement in FP7 calls. (SROP A & SROP C)
Creating a national equivalent of a European Event using the Cohesion Policy funds – Researchers Night – SROP 4.2.3

31. Thank you for your attention!