1. State of Play about Smart Specialisation (RIS3) including synergies
between ESIF and Horizon 2020
Mikel Landabaso, Head of Unit
EU Commission, DG REGIO
ERAC Mutual Learning Seminar, 20/03/2013
Regional and Urban Policy

2. Part 1: State of Play about RIS3
Regional and Urban Policy

3. ESIF / Thematic Objectives 2014-2020
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

4. RIS3 State of play re. the ex-ante conditionalities for IP 1, 2 and 3
Research and innovation
ICT use and quality
ICT access
3. Competitiveness of SMEs
All 3 smart growth elements are inter-linked:
► No socially & environmentally sustainable competitiveness without innovation
► Hardly any innovation & new business models without ICT
► SMEs are 99% of firms and offer 2/3 private sector jobs: they need to innovate!
RIS3
Next Generation Access / Network Plan
Small Business Act
Late payment Directive
Cohesion Policy

5. Investment Priority 1 Council proposal for modifications
(1) strengthening research, technological development and innovation:
(a) enhancing research and innovation (R&I) infrastructure […] and capacities to develop R&I excellence and promoting centres of competence, in particular those of European interest;
(b) promoting business […] investment in innovation and research, and developing links and synergies between enterprises, R&D centres and higher education, in particular product and service development, technology transfer, social innovation and public service applications, demand stimulation, networking, clusters and open innovation through smart specialisation […] supporting technological and applied research, pilot lines, early product validation actions, advanced manufacturing capabilities and first production in Key Enabling Technologies and diffusion of general purpose technologies;*
*) ICT, photonics, nano-electonics, nano- and bio-technologies, advanced materials, etc..
Cohesion Policy

6. Investment Priority 1 EP proposal for modifications
(a) enhancing research and innovation infrastructure (R&I), technology and innovation services and capacities to develop R&I excellence and promoting centres of competence, in particular those of European interest and if there are potential synergies with other European programmes such as the establishment of centres of excellence competition under Horizon 2020;
(b) promoting private and public business R&I investment, product and service development, technology transfer, social innovation, eco-innovation, cultural and creative industries, public service applications, demand stimulation, networking, clusters, science and technology parks, and open innovation through smart specialisation;
(ba) developing links and synergies between enterprises, enhancing R&D centres and higher education, including through business incubators;
(c) supporting research, pilot lines, early product validation actions, advanced manufacturing capabilities and first production in particular in Key Enabling Technologies and diffusion of general purpose technologies;
(ca) developing appropriate links and synergies with Horizon 2020;
Cohesion Policy

7. Register here: http://s3platform.jrc.ec.europa.eu/registration
FRANCE
• Alsace • Aquitaine
• Bretagne • Centre
• Champagne-Ardenne
• Corse • Guadalupe
• Guyane • Languedoc-Rousillon
• La Réunion • Limousin
• Martinique
• Nord-Pas-de-Calais
• Picardie • Rhône-Alpes
ITALIA
• Lombardia • Marche
• Piemonte • Puglia
• Sardinia • Emilia-Romagna
• Toscana • Umbria
• Veneto • Sicily
• Basilicata
• Campania
• Liguria
LITHUANIA
MAGYARORSZÁG
• North-Hungarian Region– Miskolc
• Észak-Alföld • Dél-Alföld
MALTA
NEDERLAND
• Noord Nederland
ÖSTERREICH
• Niederösterreich
• Oberösterreich
POLSKA
• Dolny Śląsk (Lower Silesia)
• Lubelskie
• Lubuskie
• Mazowieckie
• Podkarpackie
• Pomorskie
• Świętokrzyskie
• Wielkopolska
• Województwo Podlaskie
• Kujawsko-Pomorskie
• Łódzkie
• Warminsko-Mazurskie
• Małopolskie
PORTUGAL
• Alentejo (Alto, Baixo, Central e Litoral)
• Centro
• Norte
• Região Autónoma dos Açores
• Lisboa e Vale do Tejo
• Algarve
• Região Autónoma da Madeira
ROMÂNIA
• Vest
SLOVENSKÁ REPUBLIKA
• Bratislavský kraj
SLOVENIA
SVERIGE
• Skåne
• Västerbotten
• Västra Götaland
UNITED KINGDOM
• Buckinghamshire
• Cornwall and the Isles of Scilly
• Kent
• Northamptonshire
• Northern Ireland
• West Midlands
• Wales
• Devon
NORWAY • Nordland
SERBIA • Vojvodina
Register here:
BELGIQUE
• Région de Bruxelles-Capitale
• Vlaanderen
• Wallonia
ČESKÁ REPUBLIKA
• Jihomoravský kraj
• Capital City of Prague
DEUTSCHLAND
• Berlin
• Brandenburg
• Freistaat Sachsen
• Weser-Ems
• Sachsen-Anhalt
ELLADA
• Attiki • Crete
• Eastern Macedonia and Thrace
• Western Greece
ESPAÑA
• Andalucía • Aragón
• Canarias • Cantabria
• Galicia • La Rioja
• Madrid • Navarra
• País Vasco • Catalunya
• Principado de Asturias
• Región de Murcia
• Illes Baleares
• Extremedura
• Castilla y León
• Castilla-La Mancha
• Comunidad Valenciana
FINLAND
• Kainuu • Oulu
• Päijät-Häme • Uusimaa
• PohjaEtelä-Pohjanmaa (Ostrobothnia)
• Satakunta • Lapland
• Etelä-Pohjanmaa (South Ostrobothnia)
• Tampere region

8. FP7 SSH project (analytical & methodological)
Commission support for RIS3:
S3Platform:
• peer-reviews
• analysis & data
• training
• communication
RIS3 policy events:
• national
• trans-national
Expert analysis and support
national
regional
• thematic
• process
• ….
15 RTD expert groups to analyse science & research aspects (BG, CY, CZ, EE, EL, HU, LA, LT, MT, PL, PO, RO, SK, SI, ES)
FP7 SSH project (analytical & methodological)
ERA Chair call
CNECT analytical support: Digital Agenda Scoreboard, broadband mapping study (end 2013)
ENTR analytical support (regional & national innovation scoreboards, KETs mapping, European Cluster Observatory …)
Policy learning support (Cluster networks, Regional Innovation Monitor …)
Currently 58 such contracts are either on-going, in the process of being launched or have been terminated already. 41 experts provide the expertise for 14 national and 36 regional strategies in a total of 17 MS.
Cohesion Policy

9. … and who passed the ex-ante conditionality check?
First results re. RIS3:
… and who passed the ex-ante conditionality check?
6 national and 10 regional final AMI expert reports received, 24 regions peer-reviewed,S3Platform desk analysis, bilateral contacts:
Mixed picture:
SWOT or similar analysis:
Limited number of priorities:
Measures to stimulate private R&I investments
Monitoring system (and indicators): mostly absent or not realistic or no causality …
Budgeting plans:
Cohesion Policy 9

10. Not about specialisation in a narrow sense ("lock-in")
What does "specialisation" actually mean?
Not about specialisation in a narrow sense ("lock-in")
It means avoiding duplication and fragmentation of effort with scarce public resources within the Union, thus helping in deepening the single market through "open" RIS³ and inter-regional connections across the EU.
It means being selective and support the R&I activities that are relevant in view of existing conditions and assets (e.g. evidence based policy evaluation, sound SWOT,…) and breaking away from established lobbies and rent-seekers.
Relevant in the sense of assessing how R&I can help transform the existing economic structure in order to face globalisation
Relevant in the sense of selecting that R&I activities with the highest potential for knowledge spill-overs to irrigate large sections of the economy (related-variety)
It is neither "coffee for all" nor "picking winners from above". It is not about selecting firms or sectors but the R& (broad) I activities and/or generic technology(ies) that can help a regional economy diversify into higher value added markets, modernise/rejuvenate or exploit new/emerging economic activites.

11. FAQ on RIS3
Does an ESFRI project in the OP "absolve" from going through the RIS3 entrepreneurial discovery process etc.?
NO!!!
What if the state aid framework stops me from investing in KETs pilot lines and other support measures?
The EU state aid rules need to be respected! Hire legal experts to identify suitable measures and notify if relevant.
Cohesion Policy

12. FAQ on RIS3
What if we got it wrong in terms of priorities or policy mix?
Relaunch entrepreneurial discovery process to revise RIS3, re- programme OP if necessary, use experimentation to limit risk
What if my RIS3 is not ready by the time the OP has to be submitted?
Count also time until OP approval
Who checks the fulfilment of the RIS3 ex-ante conditionality?
1. Member State (central government), 2. Commission
Cohesion Policy

13. Ex-ante conditionality
Link between RIS3 - ex-ante conditionality criteria - OP content
RIS3 expert questions
1.Stakeholder involvement? entrepreneurial discovery process? testing possible new areas?
2. Evidence-based? areas of strength and future activity identified?
3.Innovation and knowledge-based development priorities? support upgrading of existing activities?
4.Appropriate actions identified? How good is the policy mix?
5.Is strategy outward looking? How does it promote critical mass/ potential?
6.Synergies between different policies and funding sources?
7.Achievable goals set? measure progress? support a process of policy learning and adaptation?
Ex-ante conditionality
Existence of national or regional RIS3 / policy framework
Based on a SWOT analysis (incl. DAE, ICT demand & supply, ICT capacity building, if relevant)
Concentrate resources on a limited set of R&I priorities
Outlines measures to stimulate private R&I investment
Monitoring [and review] system.
A framework outlining available budgetary resources for R&I, prioritization of investments linked to EU priorities, poss. ESFRI
OPs
Strategy for Europe2020 contribution
Ex-ante evaluation
Priority axis TO 1 and/or TO 2 b/c with spec. objectives, Operations
Performance framework, Indicators
Monitoring committee / partnership

14. Thematic guidance material
Different types:
Guide books → MA, policy-makers & desks
Advice on policy mix, do's and don'ts in designing measures to specific needs / purposes ...
Thematic guidance fiches → desks & poss. MA
Interpretation of investment priorities: what is eligible and what not, examples of questions to ask in negotiations, suggestions for indicators …
Ex-ante conditionality fiches → desks & poss. MA
Explanations on what will be checked and what are limits …

15. Thematic guides RIS3 guide Incubators
Universities & regional development
Broadband – to be up-dated by CNECT
Service innovation
Creative industries
Green growth
Entrepreneurial mind-set
Social innovation
See:
Cohesion Policy

16. Part 2: Synergies between ESIF and Horizon 2020 through RIS3
Regional and Urban Policy

17. Synergies for supporting R&I ... A new context!
Negotiations on the legislative packages proposed for the period
EU Parliament and the Council have agreed on the need for coordination at Commission's level between the European Structural and Investment Funds (ESIF, covered by the CSF) and other EU policies.
We need to look for synergies between ESIF and the different EU policies supporting R&I, mainly Horizon 2020 (H2020), especially through RIS3 (Research and Innovation Strategies for Smart Specialisation).
However, to put in practice these synergies, it is necessary to translate the new regulatory requirements into the reality of the programme implementation.
Regional and Urban Policy

18. Possible scenarios combining ESIF & Horizon 2020
Sequential approach:
ESIF projects enabling Horizon 2020 projects (“upstream”)
Horizon 2020 projects enabling ESIF projects (“downstream”)
Simultaneous approach:
ESIF and Horizon 2020 used in the same project
ESIF and Horizon 2020 used in parallel projects
ESIF substituting Horizon 2020 funding

19. RIS3 / OP: synergies with Horizon 2020
RIS3 = IP-1 (R&I)
Theoretical example
Combining ESIF and H2020 funding is facilitated:
see articles 55(8), 60(2) & 87(2.c.v-vi)
OP: capacity building for submitting to Horizon 2020 projects reinforcing competitive advantages
in line RIS3 (infrastructures, skills, partnerships)
National & regional authorities
involved in RIS3 need information about
Horizon 2020!
Horizon 2020 = reference s for R&I priorities at EU level
See relevance of Horizon2020 priorities
for RIS3
RIS3 priorities = competitive advantages
Competitive advantages = easier access to Horizon2020
OP: in priority areas for RIS3, support to ERDF projects turning results from Horizon 2020 projects
into innovation
Cooperation between authorities involved in RIS3 / OP e& RTD-I

20. Interservice Working Group (ISWG) on Synergies
Mission: To prepare guidelines for combining ESIF, H2020, … with a view to ensure that Partnerships Agreements (PAs) and Operational Programmes (OPs) adopted under the CSF as well as H2020 implementing procedures and documents will enable to promote synergies between these funding sources.
Composition: DGs covered by the CSF (REGIO, EMPL, AGRI, MARE) and DGs involved in H2020 (RTD, CNECT, ENTR, EAC) and DG BUDG. Their legal and audit units should be involved in the relevant meetings.
In a second stage, horizontal DGs (LS, IAS) and some specific DGs (ENER, MOVE, ENV, CLIM).
Target group of the guidelines: public authorities at EU, national and/or regional levels (including agencies in charge of payments, control and audit):
- in charge of designing and implementing the PAs and OPs under the CSF,
- involved in the implementation of policy instruments for research, innovation and competitiveness, at EU, national and regional levels.
Regional and Urban Policy

21. Approach proposed to prepare guidelines
Combining EU funding sources supporting R&I requires to:
analyse the specific implementing procedures / documents (step by step) applicable at EU, national and regional level, with a view to identify obstacles and opportunities for synergies,
adapt these procedures and documents for promoting / facilitating synergies.
Guidelines should provide answers (do's and don'ts) to a list of practical questions to be dealt with by the public authorities for promoting / facilitating synergies.
Regional and Urban Policy

22. Topics for the ISWG-Synergies meetings
Mtg01 (25/02): Kick-off meeting (mandate of the ISWG-Synergies)
Mtg02 (06/03): Facilitating synergies between ESIF projects and H "mainstream" projects [in RIS3, PAs, OPs / WPs and calls for proposals]
Mtg03 (11/03): Facilitating synergies between ESIF projects and EIT/KICs, Marie-Curie/COFUND, Erasmus for All, ERA Chairs (RTD)
Mtg04 (26/03): Facilitating synergies between ESIF projects and Joint Programming, ERA-NET, Article 185 TFEU- initiatives, EUREKA
Mtg05 (05/04): Facilitating synergies Research Infrastructure (ESIF / H2020)
Mtg06 (11/04): Facilitating synergies for SMEs (ESIF / H2020/ COSME)
Mtg07 (25/04): Facilitating synergies through public procurement of innovation and pre-commercial public procurement
Mtg08 (28/05): Discussion on a first full version of draft guidelines
… other meetings for finalising the guidelines
Regional and Urban Policy