Interactions between Horizon 2020
and Cohesion Policy
Piotr Świątek, NCP Energy, Germany
Challenge ENERGY / HORIZON 2020
Some sources of funds 2014-2020
› Common Strategic Framework
DGs Regio & DG Employment (€376Bn)
›
›
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European Regional Development Fund (ERDF)
European Social Fund (ESF)
European Territorial Co-operation Fund (Interreg)
Cohesion Fund
› European Agricultural Fund for Rural Development
(EAFRD)
› DG Agri
› Horizon 2020
› DG Research and Innovation
Challenge ENERGY / HORIZON 2020
Common Strategic Framework Reform
› Focus on smart, sustainable, inclusive growth and jobs
› Fewer priority areas focused on delivering Europe 2020
priorities
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Low carbon
R&D
SME Competitiveness
Digital
Employability
› Simpler, harmonised rules
› Worth around €376Bn over 2014-2020
Challenge ENERGY / HORIZON 2020
Cohesion policy: 11 Thematic Objectives
to Deliver Europe 2020

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
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Strengthening research, technological development and innovation
Enhancing access to, and use and quality of, information and communication technologies
Enhancing the competitiveness of small and medium-sized enterprises, the agricultural
sector (for the EAFRD) and the fisheries and aquaculture sector (for the EMFF)
Supporting the shift towards a low-carbon economy in all sectors
Promoting climate change adaptation, risk prevention and management
Protecting the environment and promoting resource efficiency
Promoting sustainable transport and removing bottlenecks in key network infrastructures
Promoting employment and supporting labour mobility
Promoting social inclusion and combating poverty
Investing in education, skills and lifelong learning
Enhancing institutional capacity and an efficient public administration
Ciaran Dearle, 2012
Horizon 2020 and Cohesion Policy: differences and complementary objectives
Challenge ENERGY / HORIZON 2020
Horizon 2020
Cohesion Policy
Based largely on individual R&D and
innovation Projects of a pre-competitive nature
aiming at advancing knowledge and fostering
innovation for growth and jobs, including but not
exclusively frontier research (also co-funding
national and regional programmes)
Based on multiannual Programmes aiming
at increased to reduce regional disparities,
including through close to the market competitive
R&D and innovation efforts
Awarded directly to final beneficiaries
(firms, public and private R&D centres and
Universities, including national and regional
governments in certain cases – Art. 185, ERA-NET
etc.)
Awarded through
exclusively to national
intermediaries
Through transnational competitive calls
addressed to international groupings through peer
review based on excellence criteria
Non competitive attribution addressed to
regional players based on strategic planning
negotiation (however calls possible at national or
regional level)
shared management
and regional public
Synergies and Complementarities
Horizon 2020 will focus on tackling major
societal
challenges,
maximising
the
competitiveness
impact
of
research
and
innovation (Industrial leadership) and raising and
spreading levels of excellence in the research
base
Cohesion policy will focus on galvanising
smart specialisation that will act as a capacity
building
instrument,
based
on
learning
mechanisms and the creation of critical skills in
regions and Member States.
│
5
Challenge ENERGY / HORIZON 2020
What Europe will do for closing the
innovation divide ?
• Mobilise Cohesion policy to build a
Stairway to Excellence
• Work through Horizon 2020
• Deploy significant synergies between
Horizon 2020 and Cohesion Policy
6
Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
What do we mean by Synergies
• A Greek word meaning that a complex result is
accomplished through mutual positive interactions
between a number of distinct but interrelated
processes
• Thus the Research and Innovation Framework
Programme will have increased interactions with
Cohesion policy, although each policy will keep its
distinct features
• The result should normally be reinforced
competitiveness for Europe
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Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
How Synergies will be identified
 We will achieve increased synergies between Horizon 2020 and the
Structural Funds if we could identify after a few years of parallel operation,
concrete results on the ground in the supported Member States and
regions, such as:
› Increased investments in research infrastructures of all kinds, including
those of the ESFRI List
› Increased support to innovation, especially with regard to high growth
companies and to small innovative ones
› Increased research and innovation activities in a few priority thematic
areas that would have been freely selected by the MS and regions, in
an overall context of innovation strategies for Smart Specialisation.
› All this will be systematically planned and
monitored through performance indicators
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Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
The Synergies and Smart Specialisation Matrix
STRUCTURAL FUNDS THEMATIC OBJECTIVE NO 1 ON
STRENGTHENING RESEARCH, TECHNOLOGICAL
DEVELOPMENT AND INNOVATION
HORIZON 2020 TOP
DOWN RESEARCH
AND INNOVATION
PRIORITIES
INFLUENCING
NATIONAL AND
REGIONAL
PRIORITIES
THEMATIC CONCENTRATION FOR
MOST ADVANCED AND
TRANSITION REGIONS FOR
ALLOCATING 80% OF THE ERDF
MONEY FOR 4 OBJECTIVES: R&I,
ICT, SME COMPETITIVENESS AND
LOW CARBON ECONOMY
EXCELLENCE
SMART SPECIALISATION EX-ANTE CONDITIONALITY
INDUSTRIAL
LEADERSHIP
SOCIETAL
CHALLENGES
THEMATIC CONCENTRATION FOR
LESS ADVANCED REGIONS FOR
ALLOCATING 50% OF THE ERDF
MONEY FOR 4 OBJECTIVES: R&I,
ICT, SME COMPETITIVENESS AND
LOW CARBON ECONOMY
based on a SWOT analysis to concentrate resources on a
limited set of research and innovation priorities in
compliance with the NRP; measures to stimulate private RTD
investment; a monitoring and review system; a framework
outlining available budgetary resources for research and
innovation; a multi-annual plan for budgeting and
prioritisation of investments linked to EU research
infrastructure priorities (European Strategy Forum on
Research Infrastructures -ESFRI)
Challenge ENERGY / HORIZON 2020
10
Challenge ENERGY / HORIZON 2020
Horizon 2020 will favour “smaller” players since it
introduces:
 A completely new approach towards supporting
research and innovation in SMEs (based on the
concept of the well-known US SBIR scheme)
 A new approach to access to risk finance especially
for high-growth innovative SMEs
 A major simplification effort in terms of
administration and financial management
11
Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
Synergies on the ground: coordinating the
implementing Rules between H2020 and the SF
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Facilitating linkages and concerted efforts
•
Harmonisation of cost eligibility rules between Horizon
2020 and CP (Lump sums, flat rates and unit costs possible under
both for funding direct and indirect costs without providing
documents proving real expenses, harmonisation of VAT rules)
•
Possibility to combine Horizon 2020 funding AND
ADDITIONAL FUNDING FROM THE STRUCTURAL FUNDS in the
same project but for different expenditure items, (Art. 55(8) of
proposed Gen.Reg.)
12
Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
Synergies on the ground: coordinating the implementing Rules
between H2020 and the SF (II)
 Possibility for a region to invest in other EU regions from a
mainstream Operational Programme, i.e. up to 10% of an OP budget (for
EAFRD 3%) if the measure is for the benefit of the OP territory / important
for cross-border research infrastructures (incl. ESFRI Roadmap ) or cluster
or value chain networking investments (Art. 60(2))
 Enhanced territorial cooperation CP budget share (3.1% of total ERDF
of which almost 6% for inter-regional cooperation) allows to build transnational linkages between regional innovation actors, building on legacy
FP7 Regions of Knowledge and Research Potential measures or CIP
cluster cooperation or networking of procurers or innovation agencies, and
allowing to include less advanced regions in a targeted manner.
13
Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
Implications for future Horizon 2020 stakeholders
›
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Appropriate Policy Measures for Research and Innovation will be inserted timely in the
Structural Funds Partnership Agreements and Operational Programmes of the Member
States
These will be monitored closely by DG RTD
We can thus expect:
› An improved national and regional environment in terms of developing research
infrastructure
› A more vibrant innovation environment where increased opportunities for commercial
exploitation will emerge from the combined action of the two programmes; new financial
instruments will allow riskier investments
› Increased opportunities for extending research projects, with additional support from the
ERDF and the ESF, if properly integrated in the context of a national /regional, Smart
Specialisation Strategy.
› Alternatively, a research project can start easier within the ERDF and later try its chances
in Horizon 2020
› For all this however, remember, rules are different: for the SF, stakeholders will ALWAYS
DEAL WITH THE NATIONAL AND REGIONAL AUTHORITIES, NEVER WITH THE
COMMISSION and this means need for better anticipation and planning
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Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
What Horizon 2020 expects from Cohesion Policy
•
•
•
•
•
Develop stairways to excellence through capacity building and support to a
vibrant innovation-enabling environment
Upgrade the ways Cohesion policy supports Research and Innovation
(increased use of international peer reviews, monitoring performance
through indicators)
Improvement of information flows towards local players
Improved local take-up of global Horizon 2020 initiatives and their
enhancement by the Structural Funds (impact of transnational R&D projects
on local communities – feedback and interactions of SF R&I funded local
and national schemes)
Improved interactions between developing Innovation Union initiatives (34
commitments of the IU Communication) at local and regional level.
15
Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
What additional measures could be supported in
the context of Horizon 2020?
 It would be important for achieving the Europe 2020 strategy to be much
better aware about location aspects of excellence and innovation and of the
geographic specificities of the Member States
 Thematic studies launched in the context of the thematic areas could focus
on possible uptake of sectoral initiatives at the level of the MS: this type of
information is extremely helpful for DG REGIO when exchanging and
negotiating Operational Programmes in the MS
 Mapping of excellence and innovation could be very productive, even for
measuring our own past success and future deployment of new initiatives
The main responsibility lies with the Member States
and Regions
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Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
Thank you for your
attention !
Challenge ENERGY / HORIZON 2020
Establishing a Policy Support Facility
 Policy Support Facility (PSF) : This will aim to improve
the design, implementation and evaluation of
national/regional research and innovation policies. It
will offer expert advice to public authorities at
national or regional level on a voluntary basis,
covering the needs to access the relevant body of
knowledge, to benefit from the insight of international
experts, to use state of the art methodologies and tools,
to receive tailor-made advice.
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Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
ERA Chairs
› Establishing 'ERA Chairs' to attract outstanding
academics to institutions with a clear potential for
research excellence, in order to help these
institutions fully unlock this potential and hereby
create a level playing field for research and
innovation in the European Research Area.
› This will include institutional support for creating a
competitive research environment and the framework
conditions necessary for attracting, retaining and
developing top research talent within these institutions.
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Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
Teaming for excellence and innovation
 Teaming of excellent research institutions and low performing RDI
regions: Teaming aims at the creation of new (or significant upgrade of
existing) centres of excellence in low performing RDI Member States and
regions.
 It will focus on the preparatory phase for setting up or upgrading and
modernising such an institution facilitated by a teaming process with a leading
counterpart in Europe, including supporting the development of a business
plan.
 A commitment of the recipient region or Member State (e.g. support via
Cohesion Policy Funds) is expected. Subject to the quality of the business
plan, the Commission may provide further seed financial support for the first
steps of implementation of the centre.
 Building links with innovative clusters and recognising excellence in low
performing RDI Member States and regions, including through peer reviews
and awarding labels of excellence to those institutions that meet international
standards, will be considered.
20/03/13
Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
Twinning for excellence and innovation
 Twinning of research institutions: Twinning aims at significantly
strengthening a defined field of research in an emerging institution
through links with at least two internationally-leading institutions in a
defined field. A comprehensive set of measures underpinning this
linkage would be supported (e.g. staff exchanges, expert visits,
short-term on-site or virtual trainings, workshops; conference
attendance; organisation of joint summer school type activities;
dissemination and outreach activities).
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Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
Stimulating cross-border science networks
• COST, a bottom-up, open networking mechanism, encourages
international exchanges and co-operation of researchers within
Europe and beyond. Joint activities such as conferences, short-term
scientific exchanges and publications are supported.
• Within Horizon 2020, COST should further bring together "pockets
of excellence" and play a mobilising role not only for the less
participating countries but also for the enlargement countries and
the European neighbourhood policy countries.
• COST could make a significant contribution to the development of a
'staircase to excellence' for research organisations across Europe.
20/03/13
Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
Measures to improve information,
communication and support
• Improving information networks on European research
and innovation would greatly facilitate further
participation in the Framework Programme.
• Improving information on the Framework Programme
needs, will aim to significantly improve and monitor NCP
performance in qualitative and quantitative terms,
including training efforts and enhanced access to
electronic information.
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Dimitri CORPAKIS, 2013
Challenge ENERGY / HORIZON 2020
What future for “Regions of Knowledge”
and “Research Potential” types of action ?
 Provisions are made to integrate the objectives of
these actions under European Territorial Cooperation
actions (former INTERREG) (recital 7 in draft ETC
Regulation)
 Support to Cluster Cooperation and to Twinning
research institutions also present in the mainstream
ERDF
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Dimitri CORPAKIS, 2013