MutualLearningExerciseWhatsynergiesbetweenESIFandFPs?

Madrid,10-11Jan.2018

ExperiencesfromGreeceDimitrisDeniozos

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

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

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

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

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

Multi-annualbudgetingPlanforRIs2014-20

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17

0 2 4 6 8 10 12 14 16 18

NotESFRIrelated

ESFRIrelated

ESFRIrelationofNationalResearchInfrastructures

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

• TheinvolvementofNCPsandEENintheprocessofsynergiescreationrequirestheirfamiliarisationwiththeregulationsand“culture”oftheOPs’ MAs

• The“beneficiaries”(businessfirms,financialinstitutions…)seembetterqualifiedtocreatethesynergies,thatthetwoSILOsallow.

• UsingTRLsasadiscriminant inallocatingfundsfromsourceswithdifferentlongtermgoalsignoresthefactsthat:TRLisalinearapproachandonlyoneofmanyparametersforIRL

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Difficultiesinfacilitatingsynergies3/3

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

Thankyouddegno@otenet.gr

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