Académique Documents
Professionnel Documents
Culture Documents
Katja Reppel
Deputy Head of Unit
CC Smart and Sustainable Growth
DG Regional and Urban Policy
Which EU programmes were considered?
Horizon
ESIF 2020
80-100 billion = thematic concentration
70.2
billion
Referenced in OPs??? 5
Regional
Policy
Legal base for combination of H2020 and ESIF
ESIF Horizon2020
Art. 55(8) CPR: "An operation may receive Article 31 Rules for Participation:
support from one or more European Structural "An action for which a grant from
and Investment Funds or from one or more the Union budget has been
programmes and from other Union instruments, awarded may also give rise to the
provided that the expenditure item included in a award of a grant on the basis of
request for payment for reimbursement by one of Regulation [Horizon 2020]
the ESI Funds does not receive support from provided that the grants do not
another Fund or Union instrument, or support cover the same cost items."
from the same Fund under another programme."
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 Regional
finding international partners, etc.
Policy
Need for better and more strategic coordination
on BOTH sides and at all stages!
Horizon2020 implementation
Implementation officers in RTD, CNECT, EAC, ENTR etc. should design work
programmes, implementation documentation (e.g. standard letters, guidance for
applicants & evaluators ) and tools (participant portal) in an synergies
friendly way, incl. taking RIS3 fields and ESIF implementation timelines into
account.
Open strategic platforms (EIPs, EIT-KICs, ETPs, ) and structured
cooperation (JPI, JTI, ) for regional level policy actors. Facilitate access to
ESFRI infrastructures for industrial users and integrate them in industrial clusters
Revamp the transfer of technology and research results to better target it to
MS/regions according to their RIS3 specialisation fields and OP priorities.
AND H2020 managers need to acknowledge that:
Cohesion Policy's objective is to improve regional economies, not to fill
H2020 budget gaps! ESIF can only support projects contributing to place-
based socio-economic development, not projects for "purely" scientific purposes
and not research infrastructures that do not clearly benefit the socio-economic
development, territorial cohesion and structural adjustment of regional
economies! Regional
Policy
Need for better and more strategic coordination
on BOTH sides and at all stages!
Regional
Policy
Synergies between Horizon2020 & ESIF
is no easy business
Even the new opportunities take effort to
seize them:
Similar cost options: lump sums, flat rates, unit costs
BUT: are MA sufficiently familiar with Horizon2020 rules to be able
(and willing) to align?
Horizon: actions to "close the innovation divide" and widen
participation (ERA Chairs, networks, teaming and twinning,
research infrastructures, )
BUT: Can timing be synchronised with ESIF operations?
ESIF/RIS3; combined funding [Art.55(8) CPR]; support
outside of the OP-area [Art.60(2)CPR]; transnational
arrangements [Art.87(2)CPR]
BUT: How will auditors react?
Regional
Policy
How concretely to
implement synergies and
combine funding?
11
Regional
Policy
What are synergies?
What is combined funding?
Basic principle 1:
NO substituting of national or regional or private co-
funding to centrally funded EU projects or programmes by
ESIF money!
But:
There is no one-size-fits-all solution for what are
such cost / expenditure items. They depend on
what is eligible and that depends on the OP and
the specific H2020 call
Regional
Policy
What is eligible cost? ... That depends
General: costs must be necessary to the action and incurred during
the lifetime of the project. Only costs can be declared, that were
actually consumed for the project, for example the personnel costs for
the hours actually worked on the project or the depreciation costs of
equipment corresponding to the duration of the project and the rate of
actual use for the project.
H2020 work programme specifies for the different types of
H2020 actions which types of cost can be eligible.
ESIF: Eligibility of costs depends on the individual
operational programme + Smart Specialisation fields, and:
Certain types of expenditure cannot be funded from ESIF (non-
project related running / operating / maintenance costs of existing
infrastructures (except in OMR), fundamental research activities,
purchase of land beyond 10% total cost, interest on debt, VAT, etc.)
A delegated act will spell out the principles for indirect cost under
ESIF
Regional
Policy
Different scenarios different eligible costs:
1. Combining "normal" H2020 multi-country projects & ESIF support through
sequential, parallel or joint projects
2. Human resources & Mobility: EIT-KICs, Marie Curie/COFUND, Erasmus for All,
ERA Chairs
3. R&I in and for SMEs: H2020-SME instrument, COSME (EEN), Creative Europe
(Culture/Media),
4. Public-Public Partnerships and Transnational cooperation/coordination
initiatives : Joint Programming, ERA-NET, Art. 185 Initiatives, EUREKA/EuroStars,
European Territorial Cooperation
5. Research infrastructures: ESFRI Roadmap, major ERDF projects, ERIC, EGTC
6. Stimulation of demand: pre-commercial public procurement, procurement of
innovative solutions
7. New forms of innovation support: Prizes, social innovation, non-tech. innovation,
European Innovation Partnerships
The guide spells many of them out, including the eligible cost and acceptable
cost/expenditure item definitions for each
Regional
Policy
Recommendation to beneficiaries
1. Project promoters should contact the ESIF Managing
Authorities (MAs) asap to explain the impact on the regional
economy (links with industries, spin-offs, etc.) and learn about
the regional priorities (RIS3, OPs), budget planning, timing and
procedures.
2. Define the budget categories at the project conception
stage, e.g.
per activity (e.g. costs of training activities, work packages),
per nature (e.g. personnel costs) or
by a combination of the nature and activity (e.g. costs of
personnel assigned to the training activities)
where will they happen / direct benefits materialise?
Cost items should be from the beginning identifiable and
attributable to the different EU funding sources / grants, i.e.:
Set up the accounting system for the project accordingly
(one strand for H2020 cost items
Regional
and another strand for ESIF)
Policy
Example:
Sequential funding
by ESIF and Horizon2020
20
Regional
Policy
Combining "normal" H2020 projects & ESIF
through sequential or parallel projects
Grant
agreements
Horizon 2020
ESI Funds
Excellent R&I
R&I Infrastructures and PPPs
Equipment (IP1) prizes
ESFRI Demonstration procurement
Pilots KETs
SME instrument
Skills SME
KICs
Marie Curie Pilot lines
Business Advisory
services Financial
instruments
Regional
Policy
Example:
22
Regional
Policy
Combination in same project
Project
Regional
Policy
Combination in same project
Regional
Policy
Combination in same project
From beneficiaries' perspective:
Step 1:
Step 2: discuss with
submit
Concept & planning MA
proposal ESIF MA: looks into
Horizon2020 ESIF actions the overall project
concept
Horizon2020:
Evaluators look
action: Eligible cost:
and its part of the
into overall Purchase of R&D budget and checks
concept as part of Call for proposals equipment and the eligibility of the
assessing to the type of proposed
scientific / infrastructure
innovation quality
Eligible cost: entrepreneurship costs, the location of
the operation, OP
of the entire Coordination ; R&D training for researchers priorities, etc.
project staff ; consumables ; Budget: BEFORE the H2
project is submitted
ESIF from different
Budget: to the H2 call
OPs
70% H2020
+ relevant % of own If OK: pre-
+ 30% own public or commitment letter?
public funds (no
private funds (no ESIF! and may wish to
H2020!) make the ESIF grant
agreement dependent
on the award of the
H2 project
Regional
Policy
Combination in same project
From beneficiaries' perspective:
Step 1:
Step 2:
Define precisely and in a coordinated & discuss with
submit
Concept
complementary & planning
manner in BOTH grant MA
proposal agreements: ESIF MA: looks into
Horizon2020
HOW MUCH IS SEPARATE ESIF actions the overall project
concept
Horizon2020:
Evaluators look
action:
e.g.: which cost items
Eligible in cost:
which and its part of the
into overall agreement Purchase
(from the staff of R&D
involved in the budget and checks
concept as part of Call for proposals equipment and the eligibility of the
assessing to the project: who works for which
infrastructure type of proposed
scientific /
innovation quality component?),
Eligible cost: which entrepreneurship
activity is under costs, the location of
the operation, OP
of the entire Coordinationwhich
; R&D grant, etc. for researchers
training priorities, etc.
project staff ; consumables ;
And Budget: BEFORE the H2
project is submitted
Budget: HOW MUCH ISESIF OPs
from different
SHARED to the H2 call
70%
e.g. H2020
project management, accounting,
+ relevant % of own If OK: pre-
+ 30% own public or
reporting, indicators, etc.
private funds (no ESIF!
(and
public make
funds (no sure commitment letter?
and may wish to
H2020!)activities is
that the cost for the shared make the ESIF grant
agreement dependent
not double counted!) on the award of the
H2 project
Regional
Policy
Combination in same project
Hypothetical budget structure for a "normal" multi-country
FP7-style research project
NB: State aid MS/region 1: MS/region MS/region
rules need to be Projects partners & 2: 3: MS/region 4:
Projects
respected! work packages in its
Projects
partners & work partners & work
Projects partners &
Horizon 2020 territory packages in its packages in its
territory
work packages in its
territory
budget not territory
considered as state
aid ERDF
Horizon
ESIF/national/ Co-funding
Horizon
2020
regional funding is
2020
( up to 85% For Horizon
subject to state aid in less innovatio 2020 ERDF
rules, i.e. developed
n actions
70% of
- max. aid intensities regions) eligible
- individual cost
notification thresholds
Etc. apply
Own public
Private
Own
Private
Private
budget public
budget
Private
Regional
Policy
Example:
29
Regional
Policy
Why should MA and bodies responsible for RIS3 be
interested in Horizon2020 PPPs and P2Ps?
Because:
1. they allow to deepen trans-national cooperation on innovation.
and might be useful for implementing parts of your macro-regional
strategy.
2. the implementing structures of the PPPs and P2Ps will decide on
work programmes, call details and timing of calls.
. And being part of them will thus allow you to bring your region /
MS' RIS3 priorities and roadmap on to the table .
Regional
Policy
Example: Hypothetical Public-Private Partnerships
JU/JTI (Art. 187 TFEU)
There are 3 levels of legal agreements:
(1) Council Regulation on the set-up of the PPP/JTI
(2) Delegation act by Commission to JU (no grant, but a programme contribution)
(3) Projects: these are grants, i.e. the different cost items can be funded by H2020 or ESIF
Horizon2020
PPP See proposals:
Regu- http://ec.europa.eu/research/
lation horizon2020/index_en.cfm?pg
=h2020-documents
"Joint
Undertaking"
(JU)
Work plan, Project 1
organises calls,
H2020
evaluates, awards
+ private
grants, payments,
funds
etc.
Regional
Policy
Example: Hypothetical Public-Private Partnerships
JU/JTI (Art. 187 TFEU)
There are 3 levels of legal agreements:
(1) Council Regulation on the set-up of the PPP/JTI
(2) Delegation act by Commission to JU (no grant, but a programme contribution)
(3) Projects: these are grants, i.e. the different cost items can be funded by H2020 or ESIF
Horizon2020 ESIF
PPP See proposals:
MS/region 4
Regu- http://ec.europa.eu/research/
MA awards
lation horizon2020/index_en.cfm?pg
grant
=h2020-documents
"Joint
Undertaking"
(JU) Project 2
Work plan, Project 1 ESIF
organises calls, H2020 +
H2020 Nat/reg
evaluates, awards + private
+ private funding of
grants, payments, funds
funds MS/reg 4
etc.
Regional
Policy
Example: Hypothetical Public-Private Partnerships
JU/JTI (Art. 187 TFEU)
There are 3 levels of legal agreements:
(1) Council Regulation on the set-up of the PPP/JTI
(2) Delegation act by Commission to JU (no grant, but a programme contribution)
(3) Projects: these are grants, i.e. the different cost items can be funded by H2020 or ESIF
Horizon2020 ESIF
PPP See proposals:
MS/region 4
Regu- http://ec.europa.eu/research/
MA awards
lation horizon2020/index_en.cfm?pg
grant
=h2020-documents
"Joint Project 3
Undertaking"
(JU) Project 2 from short list
Work plan, Project 1 ESIF ESIF
organises calls, + +
H2020 H2020
evaluates, awards Nat/reg Nat/reg
+ private + private
grants, payments, funding of funding of
funds funds
etc. MS/reg 4 MS/reg 3
Regional
Policy
Example:
Public Procurement of
Innovations
Pre-commercial Procurement
34
Regional
Policy
How could synergies look like for PCP and PPI?
Transnational grouping of
public procurers:
Identify joint needs
Public Market and technology
procurement solutions no solutions
analysis.
exist, but not exist, i.e. R&D is
of innovative yet in market Preparation of performance necessary
solutions specifications
Support for shared legal or
(PPI) administrative issues during
the procurement procedure
Deploy
Solution
Regional
Policy
How could synergies look like for PCP and PPI?
Transnational grouping of Forward
public procurers: commitment
Identify joint needs procurement
Market and technology (FCP)
solutions no solutions Triggers private R&D
analysis.
exist, but not exist, i.e. R&D is
yet in market Preparation of performance necessary
specifications Pre-
Support for shared legal or commercial
administrative issues during procurement
the procurement procedure
(PCP)
Open call for
tender for
Solution R&D services
IP remains with
R&D provider
Solution
Solution
Regional
Policy
How could synergies look like for PPI?
1.H2020 project brings procurers from different EU MS
together, identify joint needs, explore the markets for existing
solutions, runs competitive dialogues, develops ToR with
performance requirements and launches coordinated calls for
tender.
2.In addition, ESIF funding is used to increase the purchasing
power and buy more of the innovations or its components.
3.H2020 coordination supports evaluation of bids, tackle legal
problems, trans-national check for possible price reductions
thanks to large procurement volumes (economies of scale), etc.
20% H2020 support (both for coordination and procurements)
Win-Win situation:
for ESIF: less risk of problems with PP procedures; economies of scale;
optimal performance level definition (better product).
For H2020: amplify impact; economies of scale; better focus on real needs
on the ground
Regional
Policy
How could synergies look like for PPI?
Conditions for success:
ESIF strategic level: include demand-side considerations in
the RIS3 SWOT and policy mix; build PPI references into OPs
with large innovative purchasing potential (transport, energy
efficiency, health, etc.)
H2020 programme level: identify OP / MAs with such PPI
potential and draw conclusions for WPs ; design evaluation
criteria in a way that amplifying the purchasing volume via ESIF
gives extra points in the evaluation
Project level: involve MA from the beginning to ensure
availability of ESIF & synchronisation
Regional
Policy
What next?
39
Regional
Policy
Structure of draft guide
Part 1: Principles and Rules
Part 2: Main messages to the different target groups
Part 3: Identifying suitable forms of combination by policy
objective and target group (also in view of ESIF intervention logic:
"what is your target group? What is the desired result?")
Part 4 Scenarios for combining R+I funding sources incl.
Do's and don'ts & hypothetical examples
Part 5: FAQs
ANNEXES:
information on the different programmes
Legal and background information
Summary of State Aid rules
Acronyms, 40
Useful Documents and websites, Contacts
Regional for further information
Policy
Context / timing:
What & whom it takes to make synergies happen
Policy-makers Implementers Beneficiaries Auditors
Horizon2020 o Work o Programme
programmes? committees?
Regulations o Information?
o Guidance for
opened for
participants and
synergies: o Details of calls?
evaluators?
Art 17 RfP
o Templates for o National Contact o Training &
(?) PPP & P2P proposals? Points? awareness?
proposals o Expert groups? o Implementing
structures for PPP
& P2P?