Smart Specialisation Strategies
& Synergies ESIF – Horizon2020
ESIF Stakeholder Dialogue
23 April 2015
Katja Reppel
Deputy Head of Unit
REGIO.G.1 – Competence Centre for smart & sustainable growth
Regional
Policy
Issues
• State of play as regards Smart Specialisation
Strategies: opportunities & challenges ahead
• Concept of synergies btw EU Funds and
instruments
• Commission actions to facilitate synergies
• What could ESIF SD members do to facilitate
synergies
Regional
Policy
Origins of RIS3
Innovation as driver
for regional
development policy
(RIS, RITTS, PRAI,
innovation eco-systems
…), does one-size-fitsall work?
Research & innovation
policy: Technological /
scientific specialisation
(centres of excellence,
...), impact on growth?
Industry policy:
Cluster, sector analysis,
Demand side innovation
support: Lead Market
Initiative
Smart Specialisation
Regional
Policy
What is Smart Specialisation ?
= Evidence-based considering
all assets and problems in a
region, incl. External perspective
/ internal / global market (critical
mass? Opportunities? excellence?
cooperation? Value chains?)
= No top-down decision, but
dynamic /entrepreneurial
discovery process uniting key
stakeholders around shared vision
= Mobilisation of investments and
synergies across different
departments and governance
levels (EU-national-regional)
= All forms of innovation – not
only technology driven
= Differentiation: SWOT analysis (all types
of assets), competitive advantages,
potential for excellence, opportunities
= Concentration of resources on priorities,
problems and core needs (no sprinkler
principle, no picking the winners, yes to
catalytic investments)
= Place-based economic transformation:
rejuvenating traditional sectors through
higher value-added activities, cross-sectoral
links, new market niches by sourcing-in and
disseminating new technologies rather than
re-inventing the wheel; exploiting new forms
of innovation
Regional
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, 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,
trade unions,
Talents! etc.
Civil society /
Users
Regional
Policy
Entrepreneurial
discovery process
is the core of RIS3
 Reiterative process
 Creative thinking /
combination
 External view needed
 Multiple formats of EDP
depending on:
 RIS3 stage (strategy design vs.
Delivery mechanism design vs.
Project level)
 Theme / value chain specificities
(e.g. pharmaceuticals vs digital
innovations vs manufacturing ….)
Ex-ante conditionalities
29 thematic and 7 horizontal ex ante conditionalities for all ESIF
Regional
Policy
Typical problems with RIS3
• Re-packaging of old strategies in some MS & Lack of vision /
ambition for transformation ; silo-mentality survived
• Entrepreneurial Discovery Process unbalanced and nonparticipatory ; priority setting too statistics-based
• Still too many popular / catch-all "priorities"
• Policy mix conservative & not adjusted to priorities ; few
policy measures on process/service/demand/social(/public
sector innovation & regulatory measures ; Lack of
administrative capacities
• Monitoring systems unfit to spot changes in priorities
• Often too ERDF TO1-focused (EAFRD, ESF, EMFF, own funds,
Horizon2020, COSME etc. not considered)
For the moment 77 action plans to complete & adjust
innovation strategies (over 800 action plans for the 35 other EACs …)
Regional
Policy
Positive impacts of the RIS3 process
• Fresh start for innovation policy governance & priority setting
in many countries & regions
• Concept of RIS3 welcomed as a possible way out of the crisis
thanks to economic transformation of regions & MS
• Role & potential of regions in innovation policy (place-based)
• Better planning and impact orientation
• More interest in trans-national and inter-regional cooperation
(Vanguard, Macro-regional strategies, INTERREG)
• Synergies with COSME & Horizon2020 identified as
opportunities
• Regions more aware of EU initiatives, such as "KETs" (key
enabling technologies) and industry policy
• Mutual learning & peer-reviews appreciated
Regional
Policy
Impact of RIS3 – as seen by MA:
60% of regional policy makers state that the smart specialisation policy
framework introduced significant adaptations in the stakeholder
involvement process (and 20% spoke about a “completely new process”)
More than 40% stated that there have been substantial adaptations to the
existing policy mix.
Source: Survey by Fraunhofer ISI across ESIF managing authorities, relevant regional
innovation policy makers and selected consultants across the EU (2013 Q3).
Regional
Policy
Main challenges for Commission to
make smart specialisation work:
1. Continuity: RIS3 is conceived as an on-going
(and reiterative) process with stakeholder
involvement (Entrepreneurial Discovery
Process), monitoring and adjustments until
2020…
2. Implementation tools & capacities: quality
of the implementation and impact depend on
suitability of the support tools, the
administrative capacities to design such tools
and manage them effectively and efficiently
3. International opening and cooperation:
generate critical mass via combining forces,
complementing capacities and getting the chain
links together for value chains. Role for
synergies with Horizon 2020…
President Juncker's focus for
Commissioner Creţu:
• Ensuring that the new
conditionality provisions of the
Funds are respected and perform
their role …
• Contributing to:
- 300bn investment package
- Energy Union
- Digital Single Market
• Ensuring coherence and
coordination between all funds
covered by the Common Strategic
Framework, as well as
maximising synergies with
instruments available at EU
level…
10
Regional
Policy
Mobilise Commission tools:
1.
•
•
•
•
Keep the ball rolling
Commission advisory role in OP Monitoring Committees
Support RIS3 action plan implementation
Policy analysis and support: PSF, RIO, RIM, SmartSpec FP7 project, …
S3Platform: cooperation on RIS3 themes (value chains etc.) and
shared issues (policy mix, monitoring systems, etc.)
2.Improve implementation tools & capacities
• Experts: individual counselling ; NEW: peer-exchanges (TAIEX)
• Preparatory action for RIS3 in Eastern Greece & Macedonia
3.International opening and cooperation
• Macro-regional strategies & INTERREG: platforms & projects
• Horizon2020, COSME, Erasmus+ etc. projects and (cluster) networks
• European Innovation Partnerships, Joint Technology Initiatives, KICs …
• Pilot action “Stairway to excellence” for synergies with Horizon2020
• Vanguard Initiative
Regional
Policy
"SmartSpec" Project
Objectives & Work Packages
• Effective Strategy Design:
Identification of institutional and systemic bottlenecks
• Entrepreneurial Search Dynamics: Role of organisations and their
interaction for the development and implementation of RIS3s
• Challenge for MS and regions with less-developed R&I systems.
• Social innovation & public service innovation
• Better metrics, evaluation and monitoring of RIS3s
• 16 Regional "Living Labs" (regional case studies)
• Smart Specialisation in Practice: the Learning Journey -10 regions
Involved organisations: Cardiff University & Newcastle University (UK), Charles
University (CR), Deusto Foundation (ES), ERRIN, EURADA, Groningen University &
Utrecht University (NL), Lund University (SE), Padua University (IT) + Regional Affiliates
See: http://www.cardiff.ac.uk/cplan/research/smartspec
Regional
Policy
12
"Stairway to Excellence" Pilot Project
• MEUR 1.5 EP pilot project
(runs until end 2015)
• Implementation by REGIO and
the IPTS-JRC to benefit from
complementarities with
S3Platform
• Cooperation with MIRRIS FP7
project and Horizon2020
"Widening" actions
• Web-site:
http://s3platform.jrc.ec.europa.eu
/stairway-to-excellence
Regional
Policy
Support for value-chain networking
New tasks for the S3Platform in cooperation &
complementarity with Horizon2020 cluster networks,
INTERREG platforms, etc.
Eye@RIS3 database: http://s3platform.jrc.ec.europa.eu/map
S3 Inter-regional Trade and Competition tool: http://s3platform.jrc.ec.europa.eu/s3-trade-tool
Benchmarking Regional Structure: http://s3platform.jrc.ec.europa.eu/regional-benchmarking
Cohesion
Regional
Policy
Policy
How to measure success of a RIS3?
 No one-size-fits-all!
- place-based objectives for individual smart specialisation priorities
- Implementation of specific policy-mix
 Degree of (sustained & adjusted) mobilisation of relevant stakeholders
(Entrepreneurial Discovery Process)
 Quality of monitoring & revision processes
 Medium term: improved innovation eco-systems, changes in industrial
landscapes towards higher-added value products & services,
improvement in IU scoreboard indicators related to RIS3 priorities
 … and in the long run:
-high-skilled jobs
-innovation excellence
-global competitiveness
…
15
Regional
Policy
Issues
• State of play as regards Smart Specialisation
Strategies: opportunities & challenges ahead
• Concept of synergies btw EU Funds and
instruments
• Commission actions to facilitate synergies
• What could ESIF SD members do to facilitate
synergies
Regional
Policy
Enabling provisions in ESIF Regulations
• Possibility to combine H2020 and ESIF money in the same project via a
derogation from the non-cumulative principle of Art. 129 Fin. Regulation that
prohibits a beneficiary to receive 2 EU grants for a project (Art. 65(11) CPR*)
• More ESIF can be spent outside operational programme territory (e.g. to
pool funding for technology parks, clusters, research infrastructures abroad, …) if
for the benefit of the programme area: Article 70(2) CPR (also contract research
is possible outside OP territory irrespective of Art 70(2)!)
• Stronger obligation to work with innovation actors in other regions &
Member States beyond "INTERREG": Art 96(3)d CPR
• Alignment of similar cost options possible for easier combining of funds: lump
sums, flat rates, standard scales of unit costs under ESIF may use the H2020 rules
applicable for similar types of operations and beneficiaries (Art 67(5)b, 68 CPR)
• Obligation to develop smart specialisation strategies, including seeking
synergies and complementarity with Horizon2020 and other centrally managed
EU programmes and involvement of Horizon 2020 stakeholders in RIS3
development process and obligation to foresee up- & down-stream measures to
Horizon 2020 in RIS3: Annex 1 to CPR
*) Regulation (EU) No 1303/2013 Common Provisions forRegional
all European Structural and Investment Funds
Policy
Why do we need strategic synergies
between ESIF and Horizon2020?
 Improve the quality of national & regional innovatoin
eco-systems and policies to enable more impact of ESIF
investments
 Leverage more national / regional funding towards EU
objectives: Innovation Union, Modernised Industry policy, DAE
 Strengthen 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…)
 Cooperation leading & lagging regions with smart
specialisation: not all regions are excellent in everything, but
every region has the potential to be excellent in something 18
Regional
Policy
What do we understand as synergies?
 Obtaining more impacts on competitiveness, jobs
and growth by combining ESIF and Horizon2020 … e.g.
use of ERDF research infrastructures in Horizon 2020 innovation projects
 Amplifying projects / initiatives under the other
instrument … e.g. oversubscription of SME instrument: short listed projects ESIF
 Carrying further the projects of the other
instrument towards market … e.g. SME instrument "seals of excellence"
…and what NOT:
• NO substituting of national or regional or private co-funding to
projects or programmes by money from the other instruments
• NO diversion of funding away from the purpose of the respective
instrument / operational programme (e.g. smart specialisation strategy)
• NO simple "run for the money": Maximising the acquisition of
additional funding from H2020 for a MS / region is no good objective, as
Regional
this is no durable impact.
Policy
Issues
• State of play as regards Smart Specialisation
Strategies: opportunities & challenges ahead
• Concept of synergies btw EU Funds and
instruments
• Commission actions to facilitate synergies
• What could ESIF SD members do to facilitate
synergies
Regional
Policy
Actions facilitating synergies – DG REGIO
 Hands-on support for individual regional and national
governments for the development of RIS3
 Awareness raising on synergies & combined funding
opportunities during 2014-2020 negotiations & 2014 guide
 Eye@RIS3 mapping on smart specialisation priority fields
across EU: find partners for Horizon2020 consortia
 EP Pilot Project 'Stairway to excellence' in EU-13 to identify
potential for synergies & improve RIS3
 Information on other programmes included in Guidance for
beneficiaries (Art.13) on InfoRegio
 Advice on guiding principles for the selection of operations &
selection criteria
 Supports teaming up of MS and regional innovation
actors around shared RIS3 fields (Vanguard Initiative, RIS3
thematic platforms, Eye@RIS3 mapping, workshops,
INTERREG) to be better prepared for trans-national
Horizon2020 calls and EIP etc. involvement
Regional
Policy
Actions facilitating synergies – DG RTD
 Reference to synergies in Horizon 2020 work
programmes 2014-15 in a number of topics
 Information being inserted in 2016-17 WP
 Alignment to RIS3 as a condition for Teaming
proposals
 Training to NCPs
 Evaluators briefed when explicit reference to
synergies
 References to ESIF in participant portal
 CORDIS for information on Horizon2020
participation of regions
Regional
Policy
Further actions ongoing/foreseen (1)
 Auditors involved in ESIF will be trained and informed
to get greater understanding of other programmes
 Standard letter to H2020 project applicants on other
funding opportunities under preparation
 Guide for beneficiaries (RTD) being updated;
 Identification and compilation of good practice
examples & platform/network for exchange of info
and mutual learning considered
 Tracking system for identifying and measuring
progress of synergies
 New business process to transfer positively evaluated
H2020 proposals' details to managing authorities
Regional
Policy
Further actions ongoing/foreseen (2)
 DG RTD will provide MAs and ESIF intermediaries with
contacts to independent experts registered in the
Commission's expert databases
 Analysis of planned major projects in 2014-2020 to
make info about new research capacities available to
Horizon 2020 programmers
 Support for the improvement of the policy mix
support innovation and competitiveness, notably via
the S3Platform, mutual learning, studies, analysis and
the provision of experts will be enhanced;
 Data and analysis to facilitate international and EU
wide comparisons
 …
Regional
Policy
Issues
• State of play as regards Smart Specialisation
Strategies: opportunities & challenges ahead
• Concept of synergies btw EU Funds and
instruments
• Commission actions to facilitate synergies
• What could ESIF SD members do to facilitate
synergies
Regional
Policy
What could ESIF SD member
organisations do to facilitate synergies?
• Push authorities to keep the entrepreneurial discovery
process going & give input to RIS3 monitoring &
improvement of policy-mixes
• Compare cost models and project formats of Horizon2020,
Erasmus+, etc. and past ESIF programmes to explain their
advantages etc and discuss with ESIF managing authorities
opportunities of alignment …
• Promote new forms of innovation support
• Help increase international connections & demonstrate to
MA the positive impact of international cooperation
• Think of how to build on past ESIF or FP7 projects to go
26
further in the innovation cycle
Regional
Policy