Fostering synergies between Horizon 2020 and Cohesion policy: a concrete
example : the Seal of Excellence
Dimitri CorpakisHead of Unit RTD.B5
Spreading excellence and Widening [email protected]
Luxembourg, 15/09/2015
Europe’s innovation divide undermines competitiveness
Large parts of the EU out of ‘sync’ Modest and Moderate Innovators holding back the EU as a
whole Grand policy designs at risk without a sound and functioning
base Identification of priorities and strategies of crucial importance
– yet still, among the major bottlenecks Horizon 2020 and the ESIF among Europe’s most powerful
tools for closing the innovation gaps and advance growth and prosperity
EC DG RTD.B.5 DC 2
• 1. Smart & inclusive growth (€451bn)
• 2. Sustainable growth, natural resources (€373bn)• 3. Security and citizenship (€16bn)• 4. Global Europe (€58bn)• 5. Administration (€61.6bn)
Education, Youth, Sport
Connecting Europe
CohesionCompetitive Business SMEs
Horizon 2020
MFF 2014-2020
ESIF & H2020 are part of the same budget envelope:
Total EU budget 2014 – 2020: 960 billion EU
EU R&D Policy – Horizon 2020 EU Cohesion Policy
Differences > Excellence based / Non-territorial approach > Socio economic development/ Place-based approach
> Direct management - mostly awarded directly to final beneficiaries
> Awarded through shared management to national and regional public intermediaries
> Mostly competitive calls addressed mainly to international groupings through peer-review based on excellence criteria
> Mostly non-competitive attribution addressed to regional players (single beneficiaries) based on strategic planning negotiation
> Bi-annual work programmes > 7-years OPs
Complementarities > Horizon 2020 focuses on tackling major societal challenges, maximising the competitiveness impact of research and innovation and raising and spreading levels of excellence in the research base (widening)
+ single beneficiary (SME) + simplification
> Cohesion policy will maximise the competitiveness impact of research and innovation acting as a capacity building instrument via smart specialisation, based on learning mechanisms and critical skills in regions and Member States + interregional possibilities.
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H2020 ESIF
Understand specific objectives & features
Smart specialisation
PolicyPolicy Research and Innovation
Research and Innovation
Why do we foster synergies between Horizon 2020 and ESIF ?Scarce resources: More efficiency Best use of public funds
Synergies between Horizon 2020 and ESIF aim at maximising quantity, quality and impact of research
and innovation investments through interactions between the two policy frameworks
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Regional PolicyRegional Policy
Horizon 2020
Marie Skłodowska-Curie KICs
PPPs
ESFRI
Business Advisory services
KETs
prizes
SME instrument
Combining Horizon 2020 & ESIFthrough funding of successive / parallel / alternative / particular projects
SME
Pilot lines
Financial instruments
ESI Funds
R&I Infrastructures and Equipment
Skills
Excellent R&I
DemonstrationPilots
procurement
KETs Business Innovation
Procurement
Grant agreements
Research & Development Innovation MarketCapacity BuildingNational/Regional R&I systems
Typical synergy actions driven by the ESIF OP include (non-exhaustive list of examples):
• Support for investment of research infrastructure and equipment including competence centres (combination of research and advanced training centres)
• Support to the whole innovation cycle through improving the overall framework conditions for businesses (but also support measures towards social innovation)
• Support to research actions and infrastructure investments in the area of Key Enabling Technologies (KETS)
• Preparation of research and innovation stakeholders towards a better participation in the Horizon 2020 Calls (support via training, raising awareness, networking and partner identification)
• Support to downstream measures like exploitation and commercialisation of finished or about to finish research projects
• Reinforcement of the local impact (including additional work packages) of agreed Horizon 2020 projects (that are by definition transnational) 7
PolicyPolicy Research and Innovation
Research and Innovation
Who has to act ? Key role for national and regional authorities
as they plan future investments on research and innovation, including from the ESIF
Research stakeholders (Public/ private): they should be better informed about the said investment plans and operational measures
Horizon 2020 National Contact Points Commission services
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Introducing the Seal of Excellence
A concrete example of operational synergies between Horizon 2020 and the ESIF
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Declaration on Seal of Excellence
Declarations of the Commission (Framework Programme) 2013/C 373/02 of 20.12.2013
‘Union level intervention enables EU-wide competition to select the best proposals, thereby raising levels of excellence and providing visibility for leading research and innovation.
The Commission considers that positively evaluated European Research Council, Marie Sklodowska-Curie, teaming actions, phase-2 SME instrument or collaborative project proposals that could not be funded for budgetary reasons, have still met the Horizon 2020 criterion of excellence.
Upon approval of the participants, this information can be shared with the responsible authorities.
The Commission therefore welcomes any initiatives to fund such projects by national, regional or private sources. In this context, cohesion policy also has a key role to play through building capacity.’
The Declaration
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STEP 1 - IDENTIFY THE PROJECTS ABOVE THRESHOLD BUT NOT FUNDED WHICH ARE CONSIDERED SUITABLE FOR A SEAL OF EXCELLENCE (SoE)T
O BEFunded
Meriting funding...
Rejected: not ready for funding
Funding threshold due to H2020 budget availability
Quality threshold:
The SEAL OF EXCELLENCE:
target population
'Seal of excellence'
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STEP 2.PROVIDE THE APPLICANTS ABOVE THRESHOLD WITH A SEAL OF EXCELLENCE CERTIFICATE ANNEXED TO THE REJECTION LETTER
It will contain: a standard text explaining that the proposal was subject to strict peer review and positively assessed the necessary data for identifying the proposal and the applicant
(proposal number, acronym, title, applicant PIC, legal name, legal address)
document validity to be checked through Commission services/agency
The accompanying letter will indicate that: the certificate can be used to get in contact with other funding
bodies to explore other funding possibilities, as for instance from national/regional Managing Authorities of the Structural Funds (hyperlink to a website to find the relevant Managing Authority)
The SEAL OF EXCELLENCE: the format
First implementation of the Seal of Excellence: The SME Instrument
• For all types of innovative SMEs (EU-28 + H2020 AC) showing a strong ambition to develop, grow and internationalise
• Single company support possible• From idea to market through three phases
of continuous support• No obligation for applicants to sequentially
cover all three phases• 70% funding (as a general rule)• Mature ideas with a clear European
dimension
2015 Intermediary Call Deadlines or "Cut-Off" Dates
Phase 1
18/03/2015
17/06/2015
17/09/2015
25/11/2015
Phase 2
18/03/2015
17/06/2015
17/09/2015
25/11/2015
Source: RTD B3
The SME Instrument : Seamless Business Innovation Support from Mature Idea to Market
EU Grant of € 50,000 (lump sum)
EU Grant of € 500,000 to 2.5 million (indicative amount)
• No grant, but… • Coaching support• Market and Investment
Readiness support• Promotion / networking with
financiers & clients• … and more indirect support!
Source: RTD B3
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1. Excellence • Clarity and pertinence of the objectives; • Credibility of the proposed approach; • Soundness of the concept, including trans-disciplinary considerations; • Extent that proposed work is ambitious, has innovation potential, and is beyond the state of the art (e.g. ground-breaking objectives, novel concepts and approaches).
2. Impact • Enhancing innovation capacity and integration of new knowledge; • Strengthening the competitiveness and growth of companies by developing innovations meeting the needs of European and global markets, by delivering such innovations to the markets; • Any other environmental and socially important impacts; • Effectiveness of the proposed measures to exploit and disseminate the project results (including management of IPR), to communicate the project, and to manage research data.
3. Quality and efficiency of the implementation*/** • Coherence and effectiveness of the work plan, including appropriateness of the allocation of tasks and resources; • Appropriateness of the management structures and procedures, including risk and innovation management.
The SME instrument:The evaluation criteria
SEAL OF EXCELLENCE: KEY TAKE HOME MESSAGES
> EXCELLENT PROJECTS, NOT LEFT-OVERS from Horizon 2020
> GREAT OPPORTUNITY to exploit H2020’s highly sophisticated evaluation system: leading to GAIN TIME, use RESOURCES EFFICIENTLY IN A PERIOD OF SCARCE RESOURCES and INCREASE R&I PERFORMANCE AND IMPACT at local level> IMPLEMENTATION RESPECTING ESIF RULES POSSIBLE and WELCOMED BY THE COMMISSION
> PROCESS WORKS IF KEPT SIMPLE, possibly 'automatic'
> THE COMMISSION SERVICES WILL SUPPORT YOU
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Research and Innovation
Research and Innovation
Defining an overall approach for synergies in the INTERREG context
Establish national –regional priorities through a bottom-up collaborative process towards a place-based smart specialisation strategy
Integrate these priorities in the appropriate Operational Programmes
Translate these priorities in policy measures on research and innovation
Align local and regional priorities to the European ones as much as possible, without disregarding local particular strengths and opportunities
Useful Links Guide for authorities on synergies between ESIF and Horizon2020 and other EU programmes:
http://ec.europa.eu/regional_policy/activity/research/index_en.cfm Financial instruments in ESIF programmes 2014-2020 - short reference guide for Managing Authorities
http://ec.europa.eu/regional_policy/thefunds/fin_inst/pdf/fi_esif_2014_2020.pdf
Horizon 2020 regulations & rules for participation: http://ec.europa.eu/research/participants/portal/desktop/en/funding/reference_docs.html
Horizon 2020 SME instrument / On line Manual / FAQ: http://ec.europa.eu/research/participants/portal/desktop/en/funding/sme_participation.html http://
ec.europa.eu/research/participants/docs/h2020-funding-guide/cross-cutting-issues/sme_en.htm http://ec.europa.eu/research/participants/portal/desktop/en/support/faq.html#f16
FUNCTIONAL MAILBOX FOR YOUR EXPRESSION OF INTEREST IN COMMUNITY OF PRACTICE: [email protected]
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Credits:Magda de CarliDeputy Head of Unit RTD.B5
Learn more:http://ec.europa.eu/research/horizon2020/index_en.cfm
Thanks a lot for your
attention