Transcript Title (Arial bold 30 point)

How to use European
Structural Funds for DualUse Technologies?
Helsinki
25 March 2014
Aims of the presentation
►
Developing your understanding of the specificities of
ESIF, the way they work and the potential
opportunities they offer to you as Dual-Use
technology stakeholders (public entities, enterprises,
public and private research centres, universities…)
►
Allowing you to acquire a standard knowledge and the
necessary support to develop potential eligible
projects
►
Presenting you a methodology and guidelines
submit a project
Page 2
to
Content
Agenda
Plenary session:
From macro policy to practical implementation
picture
Page 3
1
EU2020 strategy big picture
2
ESIF: The main instruments for Cohesion
policy
3
How to apply a project?
1
picture
EU2020 strategy big picture
Europe 2020 big picture
Key drivers and priorities
Europe 2020 is a strategy
launched by the EC in July 2010,
which has set the following
objectives:
EU
2020
3 priorities
► Enable member economies to
emerge stronger from crisis
► Transform the EU economy as
a "smart, sustainable and
inclusive“
► Ensure a society with high
employment
levels,
good
productivity, social cohesion
Page 5
1.
2.
3.
Smart Growth
Sustainable
Growth
Inclusive Growth
5 Objectives
1.
2.
3.
Employment
Innovation
Climate change
4.
5.
Education
Poverty/ Social
Exclusion
7 flagship initiatives
1. Digital agenda for
Europe
2. Innovation Union
3. Youth on the move
4. Resource efficient
Europe
5. An industrial policy for
the globalisation
6. An agenda for new
skills and jobs
7. European platform
against poverty
Innovation Union
at the core of the Europe 2020 Strategy
The EU has set ambitious objectives to be reached by 2020 in five main areas:
1.Employment - 75 % of the population aged 20-64 should be employed
2.Innovation - 3% of the EU's GDP should be invested in Research & Development
3.Climate change - The "20/20/20" climate/energy targets should be met (including an
increase to 30% of emissions reduction if the conditions are right)
4.Education - The share of early school leavers should be under 10% and at least 40%
of 30-34 years old should have completed a tertiary or equivalent education
5.Poverty - Reduction of poverty by aiming to lift at least 20 million people out of the
risk of poverty or exclusion
The “Innovation Union" aims to improve conditions and access
to finance for R&I, to ensure that innovative ideas can be turned
into products and services that create growth and jobs.
Page 6
2
picture
ESIF:
The main instruments for
cohesion policy
Structural Funds and Cohesion Policy in 20142020: A brief overview
Structural Funds (2014-2020)
ESIF are the financial instruments through which EU
Cohesion Policy is implemented
EUR 352 B
►
It aims to strengthen competitiveness and innovation
The three main funds under
which research and innovation
activities can be supported
are:
►
Cohesion Policy contributes to raising the EU’s long-term
research and innovation performance based on smart
specialisation
►
The implementation and allocation of funds to projects is
handled by by Managing Authorities in Member States at
local/regional/national levels
►
► European Regional
Development Fund (ERDF)
and European Social Fund
(ESF):
EUR 273 B
► Cohesion Fund: EUR 63 B
► European territorial
cooperation: EUR 10,2 B
►
Structural funds are based on the principle of co-financing
between the EU and Member States/ project holders*
ERDF & ESF
3%
.
18%
1%
Cohesion Fund
78%
* Co-financing levels vary depending on regional GDP compared to the EU average
GDP, status of the project holder, Operational Programme specific rules
Page 8
European
territorial
cooperation
Other
2 Key drivers for the 2014-2020 programming period
1
Focus on Thematic Objectives (TO)
1. Research & innovation
2. Information & Communication Technologies
3. Competitiveness of Small and Medium-sized
Enterprises (SMEs)
4. Shift towards a low-carbon economy
5. Climate change adaptation & risk prevention
and management
6. Environmental protection & resource efficiency
7. Sustainable transport & removing bottlenecks
in key network infrastructures
8. Employment & supporting labour mobility
9. Social inclusion & combating poverty
10.Education, skills & lifelong learning
11.Institutional capacity building & efficient public
administrations
2
Be based on R&I Strategies for Smart
Specialisations (RIS3)
The RIS3 requires national/regional
authorities to identify the unique
characteristics and assets of each country
and region, so as to focus on policy support and
investments received through Structural Funds.
Stakeholder participation and ownership is
essential to the development of these strategies.
Experience shows that thematic concentration allows for an increase in effectiveness of
public interventions by reaching a critical mass with a real impact on the socio-economic
situation of a country and its regions. Prioritisation is of particular importance in times of
Page 9 consolidation.
fiscal
Dual-use technologies and key enabling
technologies
European Commission’s definition:
Goods and technologies are
considered to be dual-use when
they can be used for both civil and
military purposes.
Defence expenditure is not eligible for
Structural Funds.
However:
►
Security has become a top
priority for the European Union
►
Dual-use technologies that are
transversal to both defence and
security can be eligible
►
Key enabling technologies can
be applied to several sectors
Nuclear, biological
& chemical sectors
Marine equipment
Page 10
Encryption
Cluster mapping linked with
defence/security dual-use technologies
Source: Europe Innova project, www.clusterobservatory.eu
Telecommunications
Electronics
Navigation & avionics
Computers
Aerospace &
propulsion equipment
Materials processing
equipment
Sensors & lasers
Smart specialisation in Helsinki
INKA-hubs and partners
Concept of Inka:
Turku
►
►
►
►
Public-private collaboration:
Pools the best competencies
locally (companies, research
organisations, universities,
users)
Actions will closely link to
EU Structural funds and
Horizon 2020 programmes
Page 11
JOENSUU
Bioeconomy
Kuopio
Future
Health
Seinäjoki
Tampere
Jyväskylä
Helsinki Region
JYVÄSKYLÄ
Encourages to interregional
and international
collaboration
Competitive, agile, fast,
risk-taking, experimental
OULU
Cybersecurity
Sustainable
Energy
Solutions
Oulu
Pori
Lappeenranta
TAMPERE
Smart City and
Renewing
Industries
Turku
Lahti
Helsinki
Region
Operational programmes (Ops) in Finland
►
Operational programmes at national/ level
•
Finnish structural funds programme for sustainable growth and job
2014-2020
•
Operational programme of Aland
►
Cooperation programmes
•
•
•
-
Cross-border cooperation:
Nord (North)
Botnia-Atlantica
Central Baltic
Transnational cooperation programmes:
Northern Periphery and Arctic
Baltic Sea Region
Interregional cooperation programmes:
INTERREG EUROPE
INTERACT
URBACT
ESPON
Aland
The new ESIF in Finland will be structured through one major OP + one specific OP for
Alands. Actions and projects will, in most cases, be selected in the regions based on their
own regional plans and decision-making.
Page 12
Priorities for funding in Finland (main OP)
The Finnish ERDF main OP priorities
Line Fund
1 ERDF
EUsupport
Share %
(million
€)
328 389 25,30%
Thematic objective
(numbering according
to general regulation
article 9)
Improving the
competitiveness of
SMEs (3)
2 ERDF
434750
Supporting transfer to
low-carbon economy
in all business sectors
(4)
33,50% Accelerating research,
developing
technology and
innovation (1)
Supporting transfer to
low-carbon economy
in all business sectors
(4)
3 ESR
4 ESR
5 ESR
6 ERDF
Page 13
233723
164103
99456
38938
18% Promoting lasting and
qualitative
employment and
supporting movement
of labour (8)
12,60%
7,70%
3,00%
Investing in
education,
professional skills and
lifelong learning (10)
Promoting social
participation and
preventing poverty
and discrimination (9)
Technical support
inv.p
riorit Special objective
y
1
1
2
1.1 Creating new business
1.2 Improving transport and logistic connections important
to SMEs
2.1 Promoting the internationalization of the growth of
entities
3
3.1 Promoting energy efficiency of SMEs
4
5
3
4.1 Developing research-, knowledge and innovation
centres based on regional strengths
5.1 Strengthening innovation activity of the entities
3.2 Developing of renewable energy and energy efficient
solutions
6
7
8
9
6.1 Promoting employment of young people and other
people in a weak employment situation
7.1 Improving productivity and well-being in working places
8.1 Mitigating gender segregation of career and education
9.1 Improving services that support transitional period and
educational equality
9.2 Improving the quality and supply of education in sectors
of growth and structural change
10
10.1 Improving ability to work of those people that are
outside working life
11.1 Confirming efficient implementing of RR-programm
Budget allocation per thematic objectives
POLICY
1
2
FUND
ERDF
(EAKR)
ERDF
(EAKR)
CLASS
IS
THEMATIC OBJECTIVE
Improving the competitiveness of
Develop SMEs (3)
ed
regions Supporting transfer to low-carbon
economy in all business sectors
(4)
Accelerating research,
developing technology and
Develop
innovation (1)
ed
regions Supporting transfer to low-carbon
economy in all business sectors
(4)
EU-SUPPORT
NATIONAL
CONTRIBUTION
THE TOTAL PUBLIC
257 610 109
257 610 109
515 220 217
70 793 147
70 793 147
141 586 294
314 769 332
314 769 332
629 538 664
120 000 000
120 000 000
240 000 000
3
ESF
(ESR)
Develop Promoting lasting and qualitative
ed
employment and supporting
regions movement of labour (8)
233 732 660
233 732 660
467 465 320
4
ESF
(ESR)
Develop Investing in education,
ed
professional skills and lifelong
regions learning (10)
164 110 165
164 110 165
328 220 331
5
ESF
(ESR)
Develop Promoting social participation
ed
and preventing poverty and
regions discrimination (9)
99 460 706
99 460 706
198 921 413
6
ERDF
(EAKR)
Develop
ed
Technical support
regions
38 984 852
38 984 852
77 969 703
1 299 460 971
1 299 460 971
2 598 921 942
TOTAL
Page 14
Develop
ed
1 January 2014
Presentation title
Cooperation programmes brief description (1/2)
Type of information
Description
Interact
It specifically seeks to build capacity for research and
monitoring in the European Arctic and beyond, and is offering
access to numerous research stations through the
Transnational Access program.
Interreg europe
It will finance two actions:
a) Cooperation projects: partnerships of public organisations
coming from different countries in Europe work together for
3 to 5 years to exchange their experiences on a particular
policy issue.
b) Policy Learning Platforms: a space for continuous learning
where any organisation dealing with regional development
policies in Europe can find solutions to improve the way
they manage and implement their public policies in the four
topics above.
Botnia Atlantica
It is composed by 2 Programme :
a) Development of communication, the natural and cultural
environment, and people-to-people contacts, in an effort to
increase regional cohesion;
b) Cross-border cooperation designed to strengthen
innovation and technology, and improve the skills and
competitiveness of industry and the community.
Page 15
Type of information
Links
Cooperation
programmes
brief description (2/2)
Central baltic
It aims to contribute to the EU Strategy for the Baltic Sea
Region supporting objectives “save the sea”, “connect the
region” and “increase prosperity”.
Nord
It aims at strengthening the competitiveness and cohesion in
the region. The program strategy aims to develop methods
and structures that facilitate cooperation between regions.
Urbact
It aims at providing an exchange and learning tool for policy
decision-makers, practitioners and other bodies involved in
developing urban policies
Espon
It supports territorial cohesion by:
a) Providing comparable information, evidence, analyses and
scenarios on territorial dynamics
b) Revealing territorial capital and potentials for development
of regions and larger territories
Northern Periphery and Arctic
It aims to help peripheral and remote communities on the
northern margins of Europe to develop their economic, social
and environmental potential by creating innovative products
and services.
Baltic sea
It aims at serving as a source for common identification across
the region. It constitutes a joint 15 environmental and
economic asset and brings about 16 transnational challenges.
Page 16
ERDF specific thematic objectives for SMEs
The ERDF supports the development and structural adjustment of regional economies, including the
conversion of declining industrial regions. Funds can either be allocated as grants or financial
instruments. The ERDF contributes to all of the 9 thematic objectives. In the context of SME policies
the following thematic objectives are of particular interest:
► Objective n°1: Strengthening research, technological development and innovation
► Objective n°2: Enhancing access to and use and quality of Information and
Communication Technologies (ICTs)
► Objective n°3: Enhancing the competitiveness of SMEs
Page 17
3
picture
How to apply a project?
3.1
Eligibility characteristics of
projects
Project eligibility: an overview
Key characteristics
Relevant objectives, clear added-value and
appropriate location of the project, proposed
by the right beneficiaries, featuring a realistic
and collaborative approach and foreseeing
tangible results and impacts
Best and worst practices identified
from past experiences
Lessons learned
Page 20
Added value components
PROJECT
ELIGIBILITY
Setting up appropriate project management
and monitoring structures (e.g. in terms of
identifying realistic indicators, planning
for evaluations and managing risks)
Meeting the rules and conditions
for co-financing
Co-financing
What are the key characteristics that projects
must have to be eligible?
Characteristics
Why
What
Overall objective(s) in compliance with EU policies (from EU
scale to OP scale)
An innovation and an added-value for the EU through concrete
actions answering specific objectives (project logic)
Where
Geographical location (some areas are more appropriate for
certain activities than others – cf. smart specialization – and also
have ad-hoc funding rules with regards to the activities and
beneficiaries that can receive funding)
Who
Eligible beneficiaries (clearly mentioned in each funding
measure)
*In the new programming period, large enterprises are now
excluded except for R&D projects
For
whom
Expected target groups (direct and indirect)
How
Realistic means to achieve specific objectives
A collaborative approach (public-private)
Time (There are limits on the period during which expenditure
can take place)
For
which
results
Tangible results contributing to the main policy objectives,
based on indicators
Medium term impact (sustainability)
Page 21
Project
Project *
holder
Project
expenditure
Added-value components for project eligibility
►
Quantifying and qualifying the targets
►
Indicating realistic means for expected results
►
Choosing the right indicators (implementation and results) and limiting their number
►
Planning for an external evaluation of activities and results
►
Planning and risk management:
►
►
►
►
►
►
Page 22
Setting up adequate project management and quality assurance processes
Respecting European policies (competition; procurement; environment; equal
opportunities; employment; reduction of inequalities; etc)
Avoiding delays
Keeping within the budget
Meeting reporting requirements
Carrying out information and publicity activities
Lessons learned from best/worst
practices
►
Do not submit your application before obtaining an agreement in principle or a confirmation
of the interests of administrators/actors (OP Managing Authorities)
►
Describe the project by focusing on EU priorities and using the appropriate vocabulary
►
Try to raise support for the project in the territory before submission (communication and
dissemination)
►
Try to involve different stakeholders in the project area
►
Involve companies (SMEs and RTD performers) and disseminate EU added values
►
Describe the potential impact on the economic development of the area
►
Try to integrate your project within the strategy of your organization, sharing it with and
showcasing it for the relevant actors
►
Check that human resources are sufficient
►
Anticipate delays in payments and non-payments by budgeting for sufficient working capital
►
Think about the sustainability of your project
Page 23
Co-financing
►
Structural funds work on the principle of co-financing: the costs of a project are shared
between the EU and Member States/project holders/external funding
►
The total planned “own” resources and the contribution from the Funds have to be clear
►
The co-financing is usually based on a maximum rate and a maximum amount
►
Co-financing takes place in the form of non reimbursable grants, usually paid on
expenditure occurred and linked to means and not to results
►
In order to be eligible, expenditure must be incurred between 1.1.2007 - 31.12.2015
►
Co-financed transactions must not be completed before the starting date for eligibility
►
Rules are established at national level
Cost categories excluded from co-financing
►
Debt interest and recoverable VAT
►
In the case of land costs, these cannot exceed 10% of the total eligible expenditure of the
operation concerned
►
Decommissioning of nuclear power stations
►
Lost opportunity costs
Page 24
3.2
Applying for co-financing
Methodology: 3 phases for an optimal approach
to applying for co-financing
2: Identify the funding
measure & assess the
project eligibility
1: Draft the Project Factsheet

Who?

What?


Why?


Track the appropriate
funding measure
3: Draft, test and submit
the Application Form

Fill-in the Application
Form

Fill-in the 10 sections

Check the compliance

Submit the Application
Form
Analyze the eligibility
Where?


How?

Outcome expected?
Page 26
Control the compliance
Methodology: Phase 1
1
Draft the project
factsheet
2
Provide data and information required to track the
appropriate funding measure and check the
compliance with the eligibility criteria and selection
priorities
Who
Description of the project holder
3
For Whom
Direct and indirect targets in terms of population eligible
(beneficiary groups)? Direct targets are the first beneficiaries of
the action and directly affected by the project activities.
How
What
The main scope of the project, the budget, proposed
co-financing arrangements
Activities and means to be undertaken to achieve your qualitative
and quantitative objectives? Description of the project
management to deliver the project to limit the risks related to
three criteria: timing, budget and technical specifications.
Why
Context, rationale and the project value proposal.
Provide the state of the art. Describe the overall and
the specific objectives of the project. Precise how the
project will support:
● the EU 2020 strategy
● the regional smart specialization (S3
● the OP, specific priorities and objectives.
Where
Location of the project? Why has this location?
Page 27
Results
Concrete measurable outcomes. Criteria to be used to measure
the success? Demonstrate the project added value with
quantitative and qualitative indicators
Compliance
Check the specific eligibility indicators and selection priorities.
Verify the status and the size of eligible project orders, eligible
charges, co-funding rate and beneficiaries.
Methodology: Phase 2
1.
2.
3
Identify the funding
measure and assess
the project eligibility
Track the appropriate funding
measureqqqqqqqqqqqqqqqqqqqqqqqqq
Identify:
qqqqqqqq
● the most appropriate Region
●the appropriate Operational Programme
● the right priority and funding measures in the Ops
1
Check the compliance of the project with the regional
smart specialization
1. Identify potential locations to develop the project:
2. Analyse the S3 platform website to identify the best
region according to project specificities and regional smart
specialization
Check
● the specific eligibility rules
● Priority indicators
3. Select the final location to develop the project and get the
co-funding.
Analyse the eligibility
● Check the timing of the application process
● Check the alignment of the project characteristics
with the measures eligibility rules and priorities
● Control with Managing Authority the project
compliance with the Funding measure eligibility
rules and selection priorities
Control the compliance
● Check State Aids rules
Page 28
The project must have a legal entity in the region to be
selected
2
Use the InfoRegio web portal to find information
Use the European Commission’s central web portals to
research funding opportunities. You will find information on
OPs, categories of regions, legislation, for the kind of initiative
you would like to set up to support SMEs or entrepreneurship
in your region.
http://ec.europa.eu/regional_policy/index_fr.cfm
Methodology: Phase 2
1
S3 Platform, JRC website provides all information and details to analyse the
1most appropriate regions
3
2
► The website provides
presentation of regional
smart specialisation
strategies and in most
cases background
material that provides
context to the cases
and direct link to the
Region’s website.
http://s3platform.jrc.ec.europa.eu/regions/FI196/tags/FI196
Page 29
Methodology: Phase 2
2
Inforegio: The first source to track ERDF fundings (1/2)
1
2
3
►
http://ec.europa.eu/regional_policy/index_en.cfm
Page 30
Select your
country and
access to the
different types of
programmes (
national level,
cross-border cooperation and
transnational
cooperation)
Methodology: Phase 2
2
Inforegio: The first source to track ERDF fundings (2/2)
1
2
3
►
►
Access Operational
programme
summary for
identifying main
priorities
Access to Managing
Authorities contact
to get full
operational
programme with
more details
*This example is elaborated on the data from the
last programming period 2007-2013 as the
information is not yet published on the website
for the current period.
Page 31
Methodology: Phase 3
1.
2.
3
Draft, test and submit
the application form
Fill-in the application
form*
Fill-in the 10 sections
Identification of the Project Holder
● Project details
● Project Applicant
● Delivery partner
● Strategic Fit
● Rationale
● Estimated deliverables (Outputs/ results/ Impacts), Costs
and Funding
● Project management capacity and risk
● Compliance
● Applicant declaration and certification
* For an example, check out the Outline Application Form Guidance ERDF-GN-2-001 available
on internet
Page 32
Check the compliance
● Meet the Managing Authority to check whether the
project matches with eligibility criteria and selection
priorities
● Adapt the project
● Check the compliance of the project with all EU
requirements
Submit the application form in due time
Project application procedure differs from countries
Project application procedures differ substantially from one
• Answer
any request
for clarifications
region
to another.
To fill-in
the sections of the Application
Form, check which guides and users’ manuals have been
established in your region / country.
In order to provide potential project holders with real-life
examples. The applications are published in the original
language together with an English translation and are
available
under
the
following
link:
http://ec.europa.eu/enterprise/policies/sme/regional-smepolicies/applicationexamples