mutual learning exercise what synergies between …...european commission (2015b), pg. 9-11 and...
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MutualLearningExerciseWhatsynergiesbetweenESIFandFPs?
Madrid,10-11Jan.2018
ExperiencesfromGreeceDimitrisDeniozos
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Apastof20years• Issueforthelasttwodecades– whenraisedfirst,several
MSreactedinnegativeway
• Forlongtime,ithasbeenfacedbythebottom,(levelofRTDunitsandfirms)
• In2006,CRESTestablishedOMC–groupexploringsynergiesbetweenESIF– FPs(Guidelinesproduced)
• REGIO2014:Guidanceforpolicy-makers&implementingbodies,EnablingsynergiesbetweenESIF,Horizon2020etc
• Solvingthisproblemmayrequireseriousre-organisationofunitsandprocesses
• Widevarietyofcases- TheexperiencefromtheGreekefforts
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CharacteristicsofaNISthatshouldcombinevariousfundingsources
• Αtraditionofbottomupformationofpolicy,• Weakpolicyelaboratingbodies– letallflowerstoblossomapproach– evenunderRIS3regime,
• Small,mostlyacademicorientationresearchunits,• Manysmallprojectsincreasingadministrativeload,• Weakmanagerialexperienceandadministrativesupport• Dominanceofmicroandverysmallenterprises,• Lackoflargegloballyvisiblefirms,• Strongacademicperformanceinpublications,nopatents,
• GoodnetworkingoftheRTDentitieswithEuropeanandsomeotherforeigncounterparts.
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GreeceandtheFPs• FP7:Greecewasranked9th intermsofparticipations,(3.15%ofallFP7participations)and11th intermsofgrantsreceived,(2.48%ofgrantsawardedunderFP7)
• Inthe1st yearofH2020,Greecemaintainedits11th positionintermsofEUgrantsreceived(2.1%ofH2020funding).
• Inthe2nd year,Greecemovedto12th placeintermsofEUfundingreceivedin2015(1.8%ofH2020funding,25%lowerthanthe2014)
• Qualitative upgrading-s required
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EuropeanCommission(2015b),pg.9-11andAnnexF– FP7CountryProfileGreeceEuropeanCommission(2016b).Horizon2020MonitoringReport2015.EuropeanCommission,DGforResearchandInnovation
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TheRTDIcomponentoftheGreekESIF• PartnershipAgreement2014-2020:
€20.4bEU+5.2bnational=€25.6bfor6 centraland13regionalOPs
• OPCompetitiveness,Entrepreneurship,Innovation(EPANEK) budget€4.7b[EU€3.6b]forRTDI,INFOSOC,SMEsandEnergy
• AllocationtotheObjective1:RTDIbudgeted~ €1.2billionERDF+national~20%
• CentralRIS3€0.82b;RegionalRIS3~0.4b• KeytoRegionalallocationofERDFfundsSynergies: RTD with local economic development
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AdirectimpactofESIFonFPs
Since1987,withtheIMP,followedbytheCSFsandtheStrategicReferenceFrameworks,theuniversities,technicalcollegesandresearchcentresbuiltnumeroussoundlaboratoriesandtrainedscoresofnewresearchers,whilefamiliarising SMEswithRTDactivities,
thatareeventuallyapplyingforfundingtotheFPsandH2020calls.
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The“silo”oftheESIF(simplified)REGIO-ERDF +EIB/EIF+EFSI
ESF EAFRDEMFF
Ministryofeconomic
development
MinistryofSocialAffairs
MinistryofAgriculture
MinistryofEducation&Research
MinistryofEnergy
Otherministries
CentralManagingAuthority
ManagingAuthorityforCompetitive
ness
OtherManagingAuthorities
(5+13regional)
ManagingAuthorityforEducationandLabour
ManagingAuthoritiesforAgriculture&
Fishing
COMPrules
SpecialMAforRTDI
Spec.unitfor
SMEs
Equi-fund
GSRT platform
s
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The“silo”oftheFPs/H2020(simpl.)
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GSRTplatforms
MinistryofEducation&Research
DGRESEACH&INNOVATION
RTDIFrameworkProgrammesERAC– ProgrammeCommittees
Experts- evaluatorsNCPs:GSRT4staffNDC/NHRF7PRAXI-FORTH15CERTH2H.Pasteur1
DGENTREPRISE
COSME
EEN12bodiesin8cities
Universities,ResearchCentres,Enterprises,NonProfitentities
CollaborativeprojectsERC- EIC–EIT
FET- CSA– RiskFinanceMSCA,INFRA
ERAnets,JTI,JPIetc
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Wheretheprocessesdiverge?1/3
• Levelandbodiesofprioritysetting– RIS3inbuildingregional/nationalvaluechainsvsFPsintegratingEU-wideorglobalvaluechains
– Dothe2instrumentsaddressthesamebeneficiaries???– divergentinterestsoflocallyorientedvs globallyorientedparticipants
– ThebottomupprocessatEUandatnationallevel– BreadthoftheH2020andRIS3topics– theannualWPs
– DifferencesinStateAidrules
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Wheretheprocessesdiverge?2/3FPsandESIFarenotjust2sourcesforfundingRTDTherationalesofthetwo“silos”:• ERDF– BenefitsLessFavoured Regions– Generalinfrastructurebuilding,– Supportingsmall“entrepreneurship”,– 2014-20:basicresearchisnoteligibleforERFD,
researchexcludedinESF– andFund Absorption,vs
• FPs-H2020– EnhancingL-TermRTDinvestmentandcompetitiveness,Excellenceinscience,LEITandrespondtosocietalchallenges
– Alltypesofresearcheligible– BenefitsmoreS&Tdevelopedregions
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Wheretheprocessesdiverge?3/3• Difficultiesintheimplementationphases–Timingofcalls,selection,contracting,invoicing– Fundingtermsandconditions,fundingcycles–Managingmultipleinterlinkednetworksofcollaboratingentities– increasingcomplexity– Evaluationofintermediary&finaloutcomes
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• ThestateaidrulesfortheFPandtheESIFcases-notthesame“marketfailures”!– thelinearityoftheregulations
• ForESIF,BLOCKEXEMPTIONdictatesapolicy….• No“systemic”approachforDGCOMP– fromequaltreatmentoffirmsintheinternalmarkettothe“protection”ofthegooduseofpublicresources
• Theexampleofthe– sealofexcellencefortheSMEinstrument– differentialinstateaidandsubsidyrates
STATEAIDS:Internalmarketvsglobalcompetitiveness
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The“commonpot”activities
• Co-fundingERDF-FPinprojectsprovidingforthecreationofa“commonpot”
• ERDFisnotallowingdisbursementofitsfundinginanothercountrythantheonecommittedto
• Mostcountriesprefertocontributetoa“virtualcommonpot”forfundingtheirownprojects
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The“toppingup”differential
• TheFPgrantsa“toppingup”onthe“national”budgetofprojectseligibleinERANETS,JPI,art.185,etc
• The“nationalbudget”intheGreekRTDIcaseisERDF,inwhichthenationalcontributionisonly~20%(depend.ontheregionalquota).
• InthecaseofJTIsthenationalsharerequirediscontributedbytheparticipatingbusinessfirms
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GR-ERDF2007-13:ProgrammesupportingorganisationsselectedincallsoftheERA-NET
• Addressinguniversities,researchcentresetc• Action’sobjectives:– Enhancementandoptimisation oftheGreekparticipationininternationalandEuropeannetworkingactivities
– FulfillmentofnationalobligationsinEuropeanpolicies
– PromotionofthecooperationamongresearchersofEUMSandAS
– Exchangeofknowhowamongresearchers
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GR-ERDF2007-13SupporttoorganisationsparticipatinginJoint Programming
Initiatives (JPIs)
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• AddressingallGreekpartnerstoJPIs• Action’sobjectives:–SametoERANetsEffectiveparticipation:3healthprojects,totalbudget€131K
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GR-ERDF2007-13SupporttoorganisationsparticipatingintheEUJTIsENIAC&ARTEMIS• Addressingenterprises,universitiesetc• Objectives:– Enhancementandoptimisation oftheGreekparticipationininternationalandEuropeannetworkingactivities
– Supportofthecooperationbetweenvarioustypesoforganisationsfromvariousfields,….
– Reductionofthegapbetweenpublicresearchandbusinessdevelopment
– Transferandadaptationoftechnology….– …..
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GR-ERDF2007-13NationalresearchnetworksinareasrelatedtotheinfrastructuresoftheESFRI
• Addressinguniversities,researchcentres• Duration:6months• Maxgrant:€125.000• Eligibleexpenditures:– Neworexistingstaff– Thirdpartiesremuneration– Travelexpensesabroad– Accommodationofinvitedpersons
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GR-ERDF2007-14ProgrammeKRePIS• AddressingRTDactivitiesofGSRT’ssupervisedcentres
• Objectivesoftheprogramme:– Promotionofcoordinatedandorientedresearch– Encouragementofinnovationandfuturecommercialisationoftheresearchresults
– Networkingandvalorisation oftheresearchinstitutionsofthecountry
– Reinforcement of the position of the research organisations in the European and international research landscape
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GR-ESF/OPEducationandLLL2007-13ComplementarygrantingtoprojectsawardedundertheERCGrant Scheme
SEALofEXCELLENCE• 3projects2universitiesand1r-centre
totalGR-grant€2.5m• 5projectsuniversitiesandr-centres
totalGR-grant€4.7m• +6projectswithnofin.dataN.B.:in2014-20ERCSealofexcellencecannotapplyduetotherestrictionsoftheESIFregulations.
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ERAimplementation- theperipheryofFPsERAnets,art.185,JPIs,etc
ForEPANEK,GSRTestablishedaCommitteefortheevaluationofGreece’sparticipationinJointProgramming/ERAactions. Theselectioncriteriaare:
a) actions’subjects,priorityareasandgoals,andtheirconsistencywiththenationalRIS3,
b) VAincomparisontopromotingasimilaractionatnationallevelonly,
c) theavailabilityoffinancialresources,andd) other,mainlyGSRT’smanagementcapacity
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GR-ERDF2014-20SupportingorganisationsselectedinjointcallsoftheERA-NETsandotherERArelatedactivities
(JPIs,JUsetc).• Beneficiaries:researchorganisations,enterprises,other
• TotalBudget:16m€• 1st CallissuedforERANets:4.5mtotalpublicfunding;Maxbudget/ERANet Greekparticipation:150.000- for3years
• Nextcalls:Maxbudget/ERANet Greekparticipation:200.000- 250.000(ifcoordinator)-for3years
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CleanSkyJUGreekparticipation:€2mfromOP2014-20Competitiveness-Entrepreneurship-Innovation
ThePRIMAinitiative2018-28,art185• Objective:innovationinwatermanagement,agro-foodsystemsintheMediterraneanarea
• Totalbudget€440m,ofwhich€220mfromHORIZONandotherFPs
• Greekparticipation:€10m,ERDFcontributionquestioned!
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Selection criteria for ERDF/OP funding of RTD infrastructures at national level:Α. Scientific, technological potential and maturity of the Research InfrastructureB. Effective Networking, Synergies with the Knowledge Triangle and International VisibilityC. Access PolicyD. Governance and SustainabilityE. Innovation Potential & Contribution to Private Sector innovationF. Contribution to National & Regional Growth & Socioeconomic Benefits
GR-ERDF2014-20:RTDinfrastructuresRIS3fundingandFPprojectfunding
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Multi-annualbudgetingPlanforRIs2014-20
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11
17
0 2 4 6 8 10 12 14 16 18
NotESFRIrelated
ESFRIrelated
ESFRIrelationofNationalResearchInfrastructures
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Lotofsynergies!- Whatismissing?• CombiningfundingfromH2020andESIFinintegratedresearchandinnovationProjects
Couldthefollowingexamplework?AprojectwhereresearchactivitiesarefundedbyHorizon2020andregion-specificdemonstrationactivitiesaresupportedbyESIF
TheanswerisRATHERNO,underpresentconditions
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Difficultiesinfacilitatingsynergies1/3
• ESIF-EFSIfunding-shasastandalonestatus,howcouldtheybecomeacomplementofRTDIframeworks?
• H2020projectsarenotalwaysrelevanttoRIS3andESIFobjectivesforbuildingregionalValueChains
• Conditionalities aredefinedatthebeginningofeachprogrammaticperiod
• Theclearertheprioritiesandselectioncriteriaineach“SILO”,themoredifficultbecomesthecombinationofthetwofundingsources
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• Opendatesforthesubmissionofapplicationsloosensthemonitoringeffectivenessandassessmentofoutcome.
• MAsofOPshavenomandatetogatherandretrieveinformationonthepotentialoftheresearchentitiestousefundsfromcomplementarysources.
• ImplementingBodiesoftheRIS3policy(i.e.GSRT)coulddevelopsuchcompetence,probablywiththeassistanceofNCPsandEEN.
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Difficultiesinfacilitatingsynergies2/3
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• TheinvolvementofNCPsandEENintheprocessofsynergiescreationrequirestheirfamiliarisationwiththeregulationsand“culture”oftheOPs’ MAs
• The“beneficiaries”(businessfirms,financialinstitutions…)seembetterqualifiedtocreatethesynergies,thatthetwoSILOsallow.
• UsingTRLsasadiscriminant inallocatingfundsfromsourceswithdifferentlongtermgoalsignoresthefactsthat:TRLisalinearapproachandonlyoneofmanyparametersforIRL
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Difficultiesinfacilitatingsynergies3/3
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Guidanceonenablingsynergies2014
• possibilitiesofferedbyRegulation1303/2013(ESIF)onharmonising researchprogrammemanagementprocedureswiththoseappliedinHorizon2020.
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Whatistheproblemwiththisconfiguration?GuidanceDGREGIO2014
Twodifferentevaluation proceduresstaffedbyentirelydifferent“peers”triggeredindifferenttiming,decidingonselectionupondifferentcriteria,butalsoonbudget,
partners,deliverables,etc
Even
ifprio
rities&
objectives
converge
Even
ifco
stsa
re
complem
entary
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Aproposedallocationoftasksandobjectives
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Determinationofacommongroundforacountry/regionforthetwofundingsources
FPs/H2020
ESIF-ERDF/ESF-EIFetc
RIS3
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SealofexcellenceSMEInstrument
SelectedprojectsLEIT,JTI,PPC,A185,ERAnetsSoc.ChallengesINFRA
GSRT-NCPs-EENmonitoringtaskforce
Universities,ResearchCentres,Enterprises,NonProfitentities
DevelopplanningandmanagementcapabilitiestoimplementL.T.multi-phaseintegratedprogrammes
Contingencyfactors