“Ex-ante conditionalities and RIS3 assessment “

1. “Ex-ante conditionalities and RIS3 assessment “ Training on “The Smart Specialisation Conditionality” Brussels 14th December 2011 Mikel Landabaso European Commission, DG REGIO Thematic Coordination and Innovation REGIO-HEAD-OF-UNIT-D2@ec.europa.eu

2. Cohesion Policy funding for RTD+i 2007-2013 • Cohesion Policy support for Innovation: • 4% in 89’-93’ • 7% in 94’-99’ • 11% in 00’-06’ • 25% in 07’-13’

3. ERDF Investment priorities 2014-20 (Art. 5) 1). Strengthening research, technological development and innovation: • enhancing research and innovation infrastructure (R&I) and capacities to develop R&I excellence and promoting centres of competence, in particular those of European interest; • promoting business R&I investment, technology transfer, social innovation, clusters and open innovation in SMEs through smart specialisation; • supporting technological and applied research, pilot lines, early product validation actions, and advanced manufacturing capabilities in Key Enabling Technologies and diffusion of common rules purpose technologies; 2). Enhancing accessibility to and use and quality of ICT: • extending broadband deployment and the roll-out of high-speed networks ; • developing ICT products and services, e-commerce and enhancing demand for ICT; • strengthening ICT applications for e-government, e-learning, e-inclusion and e-health; 3). Enhancing the competitiveness of SMEs: • promoting entrepreneurship, in particular by facilitating the economic exploitation of new ideas and fostering the creation of new firms; • developing new business models for SMEs in particular for internationalisation; In more developed and transition regions, at least 80% of ERDF resources at national level should be allocated to energy efficiency and renewables, innovation and SME support. This amount is foreseen at 50% in less developed regions.

4. Thematic ex-ante conditionalities (1)

5. Basis at EU level • Conclusions of the Competitiveness Council on the Innovation Union Flagship of 26 November 2010. • Chapter III point 2 of above conclusions invites Member States to improve the performance of national systems and make full use of the Self-Assessment Tool on the features of well-performing national and regional research and innovation systems and develop strategies to meet their national R&D targets.

6. ANNEX I of the Innovation Union Flagship Self assessment tool:Features of well performing national and regional research and innovation systems • Promoting research and innovation is considered as a key policy instrument to enhance competitiveness and job creation, address major societal challenges and improve quality of life and is communicated as such to the public. • Design and implementation of research and innovation policies is steered at the highest political level and based on a multi-annual strategy. Policies and instruments are targeted at exploiting current or emerging national/regional strengths within an EU context ("smart specialisation") • Innovation policy is pursued in a broad sense going beyond technological research and its applications. • There is adequate and predictable public investment in research and innovation focused in particular on stimulating private investment. • Excellence is a key criterion for research and education policy • Education and training systems provide the right mix of skills • Partnerships between higher education institutes, research centres and business, at regional, national and international level, are actively promoted • Framework conditions promote business investment in R&D, entrepreneurship and innovation • Public support to research and innovation in businesses is simple, easy to access, and high quality • The public sector itself is a driver of innovation

7. Regulation: Thematic and general ex-ante conditionalities set out in the Regulation Preparation of programming documents: Member States undertake a self-assessment verifying whether the ex-ante conditionality criteria have been met. Conditionality respected: Draft programmes explain that no further action needs to be taken Partially respect:Draft programmes lay down commitments for fulfilment Not respected: Draft programmes lay down commitments for fulfilment, payments could be made only upon fulfilment Submission of programming documents: The results of the self-assessment and commitments are synthesised in the Partnership Contract are included in the draft programmes. Negotiation and agreement on commitments: The agreed commitments are set out in the programmes and synthesised in the Partnership Contract.

8. Assessment • Ex-ante conditionalities only need to be fulfilled if a Member State invest in a given area • Need to be fulfilled at the administrative level where responsibility for its implementation lies (national or regional) • Should be in place before start of the programming period • If not they must be fulfilled within two years of the approval of the Partnership Contract or by end 2016 • Non-fulfilment of conditionalities at the time of the adoption of the programmes or by the deadline outlined above constitutes a basis for suspension of payments

9. Innovation Strategies for Smart Specialisation – RIS³ An economic transformation agenda based on 4Cs: • (Tough) Choices: select few priorities on the basis of international specialisation and integration on international value chains – avoid duplication and fragmentation in ERA • Competitive (Constructed) Advantage: mobilize talent by matching RTD + i and business needs & capacities – entrepreneurial discovery process • Critical Mass/Clusters: develop world class excellence clusters and provide arenas for related variety/cross-sectorial links which drive specialised technological diversification aiming at increased connectivity inter regions • Collaborative Leadership: efficient innovation systems as a collective endeavour based on public-private partnership (quadruple helix) – experimental platform – give voice to un-usual suspects

10. RIS3 Platformhttp://ipts.jrc.ec.europa.eu/activities/research-and-innovation/s3platform.cfm Internationalisation Policy Delivery Instruments Entrepreneurship and incubation Connecting Universities Clusters Social Innovation Green PP CO2 neutral OPs Cultural and creative industries Green Growth Digital agenda Financial engineering Research infrastructures Skills Key Enabling Technologies SMEs Support Innovation PP ----------------------------------------------------------------------------------------------------------------------------- Methodological support Policy Rationale Smart SpecialisationGUIDE Innovation Union self-assessment tool Regional Innovation Monitor OECD 2011 “Regions and Innovation Policy” IRE-RIS Guide Directory “No-Nonsense” to build S3 Diagnostic Systèmes d’Innovation (Praguer) CP Regulations 2013-20 (COM) “The contribution of Regional Policy to smart Growth” (COM) “The contribution of Regional Policy to sustainable Growth” Innovation Union Flagship Economic Rationale Policy Experimentation RIS-RITTs 1994-2004 “Knowledge for Growth” FWP Evaluation Endogenous Growth Competitive Advantage – M-Porter Industrial districts Innovation Systems “Innovative milieux” Evolutionary Economics Economic Geography 10