1. Stairway to Excellence (S2E)
11th Czech Days for European Research on Synergies of H2020 with ESIF
04/11/2014
Mathieu Doussineau
European Commission
Joint Research Centre

2. Presentation outline S2E introduction and main activities
S2E and the Smart specialisation strategies
S2E and Synergies
First feedback on the S2E Launch conference
Presentation of IPTS activities and complementarity with MIRRIS

3. S2E introduction and main activities
Key Information
Initiator: Pilot Project from the European Parliament
Implemented by JRC IPTS for DG REGIO through an Administrative agreement
Length: 15 months (until august 2015)
Definition: Cohesion Policy and the synergies with the
research and development funds

4. S2E introduction and main activities
Support to enhance the value of two key European Union (EU) funding sources for RDI (ESIF and H2020) by promoting their combination. Two main objectives: 1. Assistance to regions and countries that joined the EU since 2004 (EU13 – New EU Member States) in closing the innovation gap, in order to promote excellence in all regions and EU countries 2. Stimulate early and effective implementation of national and regional Smart Specialisation Strategies.
Important synergies and complementarities between MIRRIS and S2E.
MIRRIS focuses more on the national level investigating key drivers for participation in H2020
S2E address the connection between H2020 and regional funds using as much as possible the smart specialisation strategies platform (S3P) and related activities.

5. S2E introduction and main activities
General FP7 indicators
EU13 is representing only 4.2% of FP7 budget with a decreasing trend along the period
UE13
(% of FP7)
UE15
FP7
EC Contribution (in M€)
(4.2%)
(85.3%)
44 364
EC contribution per inhabitant (in €)
17.8
95.2
78.9 (UE28)
Number of participations
(8%)
(79.8%)
Number of coordinations
1 011 (4%)
(81%)
25 052

6. S2E introduction and main activities
Share of EC FP7 contribution received between 2007 and 2014 (starting from FP6)

7. Presentation outline S2E introduction and main activities
S2E and the Smart specialisation strategies
S2E and Synergies
First feedback on the S2E Launch conference
Presentation of IPTS activities and complementarity with MIRRIS

8. S2E introduction and main activities
S2E and the Smart specialisation strategies
S3 is a dynamic and evolutionary process – "not a structure"- deeply grounded in an entrepreneurial discovery process where governments are rather facilitators than in a position of command and control.
S3 is about concentration of resources by developing distinctive and original areas of specialisation based on existing strengths, but not only local resources.
S3 is a legal requirement for investing ERDF in R&I (Regulation (EU) 1303/2013).

9. S2E and the Smart specialisation strategies
ESI Funds
H2020
(Also COSME, Erasmus+, etc)
RIS3
European Structural and Investment Funds1 (ESIF), Horizon 2020, and other EU programmes directly managed by the Commission in the areas of research, innovation and competitiveness - in particular COSME, Erasmus+, Creative Europe, European Union Programme for Employment and Social Innovation ("EaSI") and the digital services part of the Connecting Europe Facility - to ensure coordination, synergies and complementarities4.
COSME is the EU programme for the Competitiveness of Enterprises and Small and Medium-sized Enterprises (SMEs) running from 2014 to 2020 with a planned budget of €2.3bn. COSME will support SMEs in the following area.
The Erasmus+ programme aims to boost skills and employability, as well as modernising Education, Training, and Youth work. The seven year programme will have a budget of €14.7 billion. Erasmus+ will support transnational partnerships among Education, Training, and Youth institutions and organisations to foster cooperation and bridge the worlds of Education and work in order to tackle the skills gaps we are facing in Europe.
Creative Europe is the European Commission's framework programme for support to the culture and media sectors. Following on from the previous Culture Programme and MEDIA programmes, Creative Europe budget of €1.46 billion . Culture sector initiatives, such as those promoting cross-border cooperation, platforms, networking, and literary translation; Audiovisual sector initiatives, such as those promoting the development, distribution, or access to audiovisual works; A cross-sectoral strand, including a Guarantee Facility and transnational policy cooperation.
The Employment and Social Innovation (EaSI) programme is a financing instrument at EU level to promote a high level of quality and sustainable employment, guaranteeing adequate and decent social protection, combating social exclusion and poverty and improving working conditions.
Mention S3 platform
Source: Synergies between the transport component of Horizon 2020 and the Cohesion Policy : Expert Group Report

10. Synergies & smart specialisation are linked
… via the Entrepreneurial Discovery Process
Reiterative process
Creative thinking & new combinations
External view needed
Business
manufacturing and services, primary sectors, financial sector, creative industries, social sector, large firms, SMEs,
young entrepreneurs, students with business ideas, cluster and business organisations, etc.
Research
public and private research bodies, universities,
science and technology parks, NCPs,
Technology transfer offices, Horizon2020 committee members, regional ESFRI roadmaps
etc.
Entrepreneurial in:
Composition and
Spirit: (risk-taking, broader view beyond boundaries …)
Different departments,
if relevant at different government levels, agencies e.g. for regional development,
business advice,
public procurement offices, incubators, etc.
Public administration
NGOs and citizens’ initiatives related to societal challenges for which innovative solutions would be helpful, consumers associations,
Talents! etc.
Civil society / Users 10

11. Presentation outline S2E introduction and main activities
S2E and the Smart specialisation strategies
S2E and Synergies
First feedback on the S2E Launch conference
Presentation of IPTS activities and complementarity with MIRRIS

12. S2E and Synergies How to achieve synergies?
Successive projects that build on each other
Alternative funding: Take up high quality project Horizon 2020 proposals for which there is not enough budget available and implement via ESIF
Parallel projects that complement each other
Cumulative funding: Bringing together Horizon and ESIF money in the same project
Two main principle 1 – The local (non-EU) cofunded element must still be in place 2 – Cannot double fund the same cost item.
From the Synergies Guide:
Regulation EU No 1290/2013 laying down the Horizon 2020 rules for participation (Article 37) and the Common Provisions Regulation on the ESIF (Article 65(11)) allow for the funding of the same project (action/operation) through several grants from different EU instruments, including from different ESIF funds and programmes, subject to the absence of double funding.
To ensure the latter, Horizon 2020 and ESIF funding shall not cover the same cost / expenditure item.
The right to combine ESIF and Horizon 2020 does not waive the obligation for the beneficiaries to provide national/regional/private co-funding, if required by the grant agreement.
NOTE - There is no derogation from the non-cumulative principle in the regulations on Erasmus+, Creative Europe, CEF and COSME18, meaning that for these programmes a combination of funds within the same project is not possible.
See page 57 of Synergies Guide for Combined Funding Scenarios
(Problems with Cumulative funding? – synchronising the timing, defining the cost items.)
Fragmentation of innovation policies at EU level (SEG 2011)
• Sub-optimal coordination of R&I as well as Cohesions policies at European, national and regional level, both within and between these levels;
• Lack of common strategies related to Europe 2020;
• Lack of a coherent and interacting governance structure;
• Weak complementarities / compatibilities / interoperability of policies and programmes, particularly regarding the regional dimension in R&I policy and the R&I dimension in regional policy;
• Lack of instruments aimed at supporting the pooling of European and national funds;
• Poor communication, coordination and cooperation between actors and stakeholders at all levels.
Synergies as the alignment of and cooperation between policy frameworks, programmes and actions allowing more and better attainment of their objectives.

13. S2E and Synergies Important Messages
Not just about increasing H2020 funding but policy synergies
Improve coordination of national and regional policies (avoiding silo effect)
Enhance (economic) impact of projects
Generate critical mass
Strengthen cooperation and complementarity across Europe
Strengthen cooperation between innovation actors and policies relevant for innovation
Key messages taken from an from Krzysztof based on view of Katja Reppel
KEY MESSAGES AND WHAT HAS BEEN ACHIEVED IN VIEW OF THE OBJECTIVE:
I stressed the messages that for the Commission synergies are not about everybody trying to increase the inflow of Horizon2020 funding, but are about policy synergies, in particular:
• Improving the quality of national and regional innovation policies, including the types of support measures (policy mix)
• Enhancing the impact of investments, incl. their "durability" after the end of individual projects, links btw. projects to ensure cross-fertilisations and cluster-like effects, building on previous projects of other EU funding instruments
• Amplifying projects / initiatives by joining forces under different funds to generate critical mass (both via cumulative and alternative funding)
• Strengthening cooperation and complementarity across Europe by teaming up different capacities in leading and lagging regions thanks to smart specialisation
• Strengthening cooperation between innovation actors and policies relevant for innovation (skilled & creative people, research, enterprises, investors, market access, different Ministries and departments and on different levels, legal and administrative framework conditions…)
There is strong interest in enhancing the synergies between ESIF and Horizon2020 and other EU funds.
There is in particular interest in copying EU funding models (in particular the Horizon2020 SME instrument, but also Erasmus+ mobility grants)
The workshop gathered apparently for the first time the relevant actors involved in ESIF programming (although the ESF side was not sufficiently represented) with the Horizon2020 / COSME etc. policy actors. I had the impression that the exchanges and mutual questions have the potential to result in concrete synergies enabling actions in Slovenia.
There seems to be hesitation on the side of Slovenian SMEs to cooperate beyond borders, i.e. incentivising them to internationalise is a key challenge.

14. S2E action plan
The Project will include the analysis and implementation of two different types of actions:
Upstream preparatory actions (Action 1)
analyses to assist R&I actors to use ESIF resources to participate better in Horizon 2020 calls (i.e. sequential funding) and amplify innovation impact of these two funding sources (i.e. simultaneous and/or parallel use)
Downstream actions (Action 2)
focus on exploitation and diffusion of results from earlier Framework Programmes and Horizon 2020 to MS/regions who joined in 2004, 2007 and 2013.

15. CAPACITY MAPPING-Regional breakdown of FP7 contribution received and structural funds allocated to projects
Nuts 2 Region
FP7 EC contribut ion (in €Mln)
% of the national total
Structural funds (in €Mln) RTDI
Praha (CZ01)
138,62
48,4%
309,75
9,8%
Jihovýchod (CZ06)
89,69
31,3%
290,03
9,2%
Jihozápad (CZ03)
16,17
5,6%
337,59
10,7%
Střední Čechy (CZ02)
13,43
4,7%
231,62
7,3%
Severovýchod (CZ05)
12,60
4,4%
410,15
13,0%
Střední Morava (CZ07)
8,21
2,9%
1 111,89
35,1%
Moravskoslezsko (CZ08)
4,41
1,5%
224,89
7,1%
Severozápad (CZ04)
2,72
0,9%
250,63
7,9%
(CZ)
0,53
0,2%
0,00
0,0%
Total (PL+NUST2)
286,37
100,0%
3 166,55
The data for the structural funds is from the Annual Implementation Report (AIR) for 2012 and represents the EU support allocated to selected projects. The values presented in Table 1 are only for priority themes 1-9 that represent research and technological development, innovation and entrepreneurship (RTDI). It should be noted that these values do not represent the funding available, only that allocated to projects at the time of the 2012 AIR.
The Structural fund data relates to priority themes 1-9
When compared to other countries this highlights structural differences – High proportion is managed at the national level in Poland (through national OP). This can be very different in other countries.
Demonstrates that the national authorities in Poland should have a lot of leverage with regard to the synergies agenda

16. CAPACITY MAPPING- FP7 specialisation indicator
Work being undertaken on correspondence between FP7 (and then H2020) participation areas and Regional Smart Specialisation Areas – this work will be further developed
NOTE – is for information purposes – FP7 does not have to follow the smart specialisation area
Not exact match – is interpretation by IPTS – FP7 areas also changed slightly to offer more detail (for example in FP& New production technologies and Material is on theme)

17. CAPACITY MAPPING- Main collaboration axis at regional and stakeholder level

18. CAPACITY MAPPING - other activities
Case studies (Action 1 – capacity mapping)
Case studies : Concrete examples of synergies (projects using FP and ESIF funds)
We are interested in any examples you are aware
Workshops/peer review meetings
Also
Specific examples of governance problems and country specific problems related to synergies
We are very interest and open to a discussion of national issues.

19. Presentation outline S2E introduction and main activities
S2E and the Smart specialisation strategies
S2E and Synergies
First feedback on the S2E Launch conference
Presentation of IPTS activities and complementarity with MIRRIS

20. First feedback on the S2E Launch conference
What happened the 2 and 3 October 2014 in Prague?
Presentation of the general concept of Synergies between EU funding (guide)
Presentation of case studies (already implemented synergies)
6 "coffee table" sessions on the following topics
Table 1: Funding Horizon 2020 shortlisted proposals with ESIF: selection of operations and administrative burden, evaluation criteria
Table 2: Consecutive funding of projects – uptake of FP/Horizon 2020 results onto the market
Table 3: Consecutive funding of projects – capacity building and awareness raising to enhance participation into Horizon 2020 – human capital
Table 4: Consecutive funding of projects – capacity building - funding R&I infrastructures with ESIF
Table 5: Smart specialisation strategies: the role of NCPs and managing authorities in the fostering of synergies
Table 6: Networking and the cross-border dimension of synergies

21. First feedback on the S2E Launch conference
Need for improvement of the communication between the research communities and managing authorities of Structural funds.
The research community needs to better understand how to apply to ESIF funds and better understand the regional priorities,
Regional authorities should be able to identify excellence and potential projects to be combined.
Lack of coordination between regional and national authorities
Communication and coordination of funding agencies and end beneficiaries are natural ways to overcome the cultural differences among stakeholders.
Avoid "silo" effect

22. First feedback on the S2E Launch conference
Using ESIF in projects and programmes of significant scale and scope requests a strong initial political commitment at national and/or regional level
The RIS3 is could be considered a good framework to guide this process and to select a number of limited priorities which would help to be more strategic.
ESIF could be used to reinforce cooperation and take up high quality project proposals that were unsuccessful in H2020.

23. First feedback on the S2E Launch conference
ESIF could help to improve the regional/national innovation system by:
Building capacity of SMEs to innovate successfully,
Provide incentives to connect academia and industry to create growth and to facilitate networking between innovation actors.
Creating synergies through parallel or consecutive projects requires a clear vision of the project in the long term and support all projects through the whole value chain.

24. First feedback on the S2E Launch conference
Coordination of public support and the provision of tailored information are essential.
Streamline information on different funding schemes to potential beneficiaries should be provided.

25. First feedback on the S2E Launch conference
As part of the building capacity strategy, a set of measures could be taken at short, medium and long term perspective:
Specialised training to have qualified professionals in project offices in universities, evaluating agencies and managing authorities.
Direct support to stakeholders (business, universities, research groups, innovation agencies, etc.) to provide a way to improve participation,
Creation of structures with a long-term view, such as creating international projects offices.

26. Thank you! http://s3platform.jrc.ec.europa.eu/stairway-to-excellence 26