European Structural and
Investment Funds: the 20142020 programming period
negotiations
Tereza Krausová
Competence Centre 'Smart and Sustainable Growth'
DG Regional and Urban Policy
Cohesion
Policy
Key points of reform
• Targeting resources at key growth sectors - alignment
with Europe 2020, thematic concentration (research and
innovation, ICT, SME competitiveness and shift to the low
carbon economy)
• Results orientation - sound intervention logic fixing
clear objectives towards which progress can be measured,
performance framework
• Ensuring right framework conditions for effective and
successful investments through ex ante conditionalities
• Link to wider economic environment and reform
processes (taking account of CSR and NRPs, macroeconomic conditionality)
Cohesion
Policy
Regulatory timeline
Partnership Agreement
General regulation adopted
Country specific
ETC programmes
programmes
Max 4 months
Partnership Agreement
submitted (MS)
Max 3 months
Max 3 months
Observations by EC
All OPs submitted (MS)
Max 1 month
Partnership Agreement
approval
Max 9 months
Max 3 months
Observations by EC
Objective: to be faster than the
deadlines.
Important to reach agreement in
informal dialogues to complete
the formal procedure as rapidly
as possible.
ETC OPs (MS)
Max 3 months
Max 3 months
Observations by EC
OP approval
Max 3 months
ETC OP approval
A faster procedure considered
for progammes dedicated to YEI
and the SME initiative
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Cohesion
Policy
What does the RIS3 ex-ante conditionality
apply to?
Ex ante conditionalities:
Investment priorities under TO:
1. Research and innovation
Smart specialisation strategies
Digital growth strategy can be
independent, but for sake of
coherence it is recommended to
integrate it in RIS3
2. ICT use (ICT based innovation
& "digital growth")
Next Generation Access /
Network Plan
ICT access and quality
(broadband)
Small Business Act
Recommended:
Late
payment
Include
in theDirective
RIS3 envisaged
support to SME innovation
3. Competitiveness of SMEs
Cohesion
Policy
Billion
EUR
Less developed regions
164.3
Transition regions
31.7
More developed regions
49.5
Cohesion Fund
66.3
European territorial cooperation
8.9
Of which
Cross border cooperation
6.6
Transnational cooperation
1.8
Interregional cooperation
0.5
Outermost regions and
northern sparsely populated
regions
1.4
Youth Employment initiative
3.0
TOTAL
325.1
Cohesion
Policy
Key stages
• During the procedure for adoption of the PA / OPs
 Self-assessment by Member State on
applicability and fulfilment in PA / OPs
 Commission assessment of adequacy and
consistency of the information provided by MS
 Commission assessment of significant prejudice
in case of non-fulfilment and possible suspension
of interim payments
 Resolution of disagreements between COM & MS
• After adoption of OPs: Assessing the completion of actions
Cohesion
Policy
FAQ on RIS3 (1)
What are the key elements for accepting a
strategy as "RIS3"?







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Strategic policy framework
SWOT or similar analysis
R & I priorities
Concentration of resources on limited set of priorities
Measures to stimulate private investment
Monitoring mechanism
Outline of available R&I budgetary resources
+ indicative multi-annual budget plan if R&I infrastructure
and capacity building foreseen
Cohesion
Policy
FAQ on RIS3 (2)
1. What if my RIS3 is not ready by the time the OP
has to be submitted?
2. How about the December 2016 deadline that was
mentioned for the ex-ante conditionality fulfilment?
3. Will the Commission interfere with chosen
specialisation fields / priorities?
4. What if we got it wrong in terms of priorities or
policy mix?
5. What role for cluster organisations and science /
technology parks in a RIS3?
6. Should the fields / themes for specialisation be
aligned with the R&I fields in Horizon 2020 or the
KETs? Do all KETs have to be considered in a RIS3?
Cohesion
Policy
FAQ on RIS3 (3)
7. Does an ESFRI project in the OP "absolve" from going
through the RIS3 entrepreneurial discovery process etc.?
8. What if the state aid framework stops me from investing
in KETs pilot lines and other support measures?
9. How do the RIS3 conditionality and the OPs relate
to each other?
10. … can a RIS3 include measures that are not funded from
ESIF?
11. … and measures that are not under IP 1 or 2bc?
12. … can a RIS3 contain horizontal measures?
Cohesion
Policy
Which fields of specialisation emerge in the
RIS3 analysis?
 Energy
 Life science
 ICT
 Environment
 Agro-food
 Tourism
 New materials
Cohesion
Policy
State of play as regards RIS3 compliance
 Mixed picture:
 SWOT or similar analysis:
inward looking, no demand side, purely tech focused
 Limited number of priorities:
coffee for all; too generic
 Measures to stimulate private R&I investments:
retro-fitting; not tailored to enterprises
 Monitoring system (and indicators):
mostly absent or not realistic or no causality …
 Budgeting plans: mostly inexistent,
if yes, unclear funding gaps for ESIF
Cohesion
Policy
Synergies between ESIF,
Horizon2020 and
other innovation-related EU Funds
Cohesion
Policy
Novelties for synergies btw. H2020 and ESIF
Legal basis
CPR – Reg. 1303/2013:
 65(11) – possibility of cumulating grants from different EU
funding instruments in one operation;
Horizon2020 rules for participation– Reg. 1290/2013
 37 - possibility of cumulative funding, provided that the grants
do not cover the same cost items.
Concept of synergies
 Bringing together in one project (possible only for Horizon2020)
 Successive projects
 Parallel projects
 ESIF financing successful Horizon2020 projects but not financed
13
Cohesion
Policy
Opportunities for R&I synergies with centrally
managed EU funding programmes
•
•
•
•
•
•
All ESI Funds (ERDF, ESF, Cohesion Fund + ETC = € 325 billion,
EAFRD = €85 billion, EMFF= €5.5 billion)
Horizon2020 for mostly transnational research and innovation
projects, incl. non-EU: €79.4 billion
COSME for SME competitiveness, financial instruments, business
support services, etc.: € 2 bn
Erasmus+ for students, teachers, pupils mobility + training: €14.5 bn
Creative Europe for culture and creative industries: €1.4 billion
Digital service part of CEF for EU wide e-government platforms to
roll-out e-ID, eProcurement, electronic health care records: €0.85
billion
Also of interest with regard to take-up of eco-innovation, uptake of climate-related
R&I results, but not covered in guide:
• LIFE programme for environment and climate, incl. financial instruments: € 3,4
billion
• Programme for Employment and Social Innovation ("EaSI"): € 0.92 billion
See annex I to CPR: Common Strategic Framework (CSF)
Cohesion
Policy
Overall concept for complementarity: Emphasis of programmes
ESIF
Horizon
2020
€100 billion for innovation in wide sense
€ 79.4
billion
"Stairway to Excellence"
National/Regional
R&I systems
Capacity Building
"Up-stream"
"Research
Excellence"
Research & Development
Cohesion
Policy
Hopefully also excellence, but
"Innovation Excellence"
Innovation
"Down-stream"
Market
ESIF side
• Strategy development comes first:
Include Horizon2020 actors (Researchers, members of the
programme committee, EIPs, ETPs, EIT-KICs, PPPs (JTIs), MarieCurie
centres, research institutions with success in FP7, EUREKA, National
ESFRI Roadmaps) and international contacts in the entrepreneurial
discovery process to design RIS3 and get involved in structured
cooperation / delegated implementation of H2020.
See: RIS3 guide, annex III
• Programme development:
Open OPs for transnational activities, foresee H2020 compatible /
complementary support forms that could help attaining the economic
transformation objectives of your RIS3. Team up with other
MS/regions around RIS3 fields instead of waiting for H2020 calls.
• OP implementation
Design OP management system and project selection methods to be
able to synchronise award decisions with H2020 calls & evaluations.
Foresee support to applicants for finding international partners, etc.
Cohesion
Policy
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,
public and private
research bodies,
universities,
science and technology
parks, NCPs,
Technology transfer
offices, Horizon2020
committee members,
regional ESFRI roadmaps
etc.
RIS3
How to use
entrepreneurial
discovery process
towards more
synergies
NGOs and citizens’
initiatives related to
societal challenges for
which innovative
solutions would be
helpful, consumers
associations,
Talents! etc.
Detect potential boundary-spanners
between different stakeholder /
interest groups, new innovative
entrepreneurs, hidden champions, or
persons with a potential for this and
with an international outlook.
Horizon2020 related actors should be
involved in the creative strategy
development process.
Research
Entrepreneurial in:
- Composition and
- Spirit: (risk-taking, demand
and supply side, view beyond
boundaries, creativity …)
Different departments,
if relevant at different
government levels, agencies
e.g. for regional development,
business advice,
public procurement offices,
incubators, etc.
Public
administration
Civil society /
Users
Cohesion
Policy
See new annex III of RIS3 Guide:
http://s3platform.jrc.ec.europa.eu/s3p
guide
Guidance material
•
http://s3platform.jrc.ec.europa.eu/s3pguide
•
http://ec.europa.eu/regional_policy/information/guidelines/index_en.cfm
•
http://ec.europa.eu/regional_policy/activity/research/publications_en.cfm

Incubators

Universities & regional development

Broadband

Service innovation

Creative industries

Green growth

Entrepreneurial mind-set

Social innovation

►SME innovation
•
Soon available:
•
► Clusters
•
► Horizon2020 & ESIF funds
•
► Technology Parks
► Public procurement for innovation
► ICT vouchers
Cohesion
Policy
Thank you for
your attention
Contact:
tereza.krausova@ec.europa.eu
Cohesion
Policy