Synergies between the transport component of Horizon 2020 and the cohesion policy 2014–2020 : expert group report, 7th research framework programme : Transport Programme Committee.
Date: 2014-09-03
Institutions: Directorate-General for Research and Innovation
Subjects: Cohesion Fund, EU research policy, Framework Programme for Research and Development, applied research, innovation, report, research expenditure (EU), sustainable mobility, transport policy

Research and
Inovation

EUROPEAN COMMISSION

Directorate H — Transport Research 
Unit H.1 — Strategy

Contact: Ioana-Olga Adamescu

European Commission 
B-1049 Brussels

E-mail: 

Ioana-Olga.ADAMESCU@ec.europa.eu 
RTD-PUBLICATIONS@ec.europa.eu

 
EUROPEAN COMMISSION

SYNERGIES BETWEEN THE
TRANSPORT COMPONENT
OF HORIZON 2020 AND THE
COHESION POLICY 2014–2020

Expert Group Report
7th Research Framework Programme
Transport Programme Committee

DG Research and Innovation, Transport Directorate, 2014

Directorate-General for Research and Innovation
2014 Transport

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Contents

Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Executive summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

1.1. Rationale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
1.2. Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

2. Legislative framework for development and exploitation

of synergies between the Cohesion Policy and Horizon 2020 . . . . . . . . . . . 19

2.1. Europe 2020 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
2.2. Horizon 2020 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2.3. Cohesion Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

3. Synergies between Horizon 2020 and the Cohesion Policy . . . . . . . . . . . . . . . 31

3.1. Concentrating resources to maximise impact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
3.2. New features of the 2014–2020 programming period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
3.3. Smart Specialisation Strategy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
3.4. Transport research areas supporting synergies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

4. Barriers and drivers for synergies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

4.1. Main barriers to synergies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
4.2. Toolbox for synergy exploitation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

5. Conclusions and recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57

5.1. Conclusions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
5.2. Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
References ....................................................................................................................................62

ANNEX I — FP7 Coverage Report ....................................................................................68

ANNEX I — Legislative References.................................................................................96

ANNEX III — Who’s who.....................................................................................................102

ANNEX IV — Questionnaire No 2 — Drivers and Barriers..............................121

ANNEX V — Expert Group Members and EC Officials........................................123

Preface

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The Seventh Framework Programme for Research and Technological Development Trans-
port Programme Committee (FP7 TPC) produced the present report on the synergies be-
tween the transport challenge of Horizon 2020 and the cohesion policy 2014–2020 to
investigate new approaches to improve the use of EU resources for stimulating transport
research, development and innovation in Europe. Its main focus is to enhance exploitation
of synergies between the research framework programme Horizon 2020 and the cohesion
policy funds — called European Structural and Investment Funds (ESI Funds (1)) — to
multiply the potential and impact of EU resources in terms of research and innovation.

With the purpose of raising awareness on existing funding sources and on the importance
of exploring synergies, the report analyses past approaches under the EU Seventh Frame-
work Programme for Research and Technological Development and suggests ways to im-
prove exploitation of transport research and innovation funding opportunities, by com-
bining Horizon 2020 and ESI Funds, within the current programming period 2014–2020.
This opportunity is supported by the increased flexibility of both programmes and must
be implemented in a framework of coherent programming, common prioritisation and
strategic policy coordination.

The analysis is based on the knowledge, experience and reflection of the FP7 TPC working
group experts, as well as on the results of two consecutive sets of questionnaires. The
first questionnaire, addressed to the delegates to the FP7 TPC and summarised in Annex III
of the present report, allowed the identification of the national authorities responsible
for strategic planning and operational implementation of the research and innovation
framework programme and the cohesion policy. The second questionnaire (see Annex IV),
addressed to these identified national authorities, provided an insight on the perceived
barriers and drivers for synergies, as well as an indication on transport research and inno-
vation sectors where synergies could be further exploited.

(1)

ESI Funds refers to: ERDF — European Regional Development Fund; CF — Cohesion Fund ESF — European Social Fund; EAFRD
— European Agricultural Fund for Rural Development; and EMFF — European Maritime and Fisheries Fund.

Executive
summary

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Transport remains one of the main priorities of the cohesion policy for the current programming
period, while also being one of the major societal challenges identified by Horizon 2020. In this
context, Member States cooperation with the European Commission in facing societal challenges
related to transport requires a proactive approach linking Horizon 2020 and cohesion policy
to maximise their impacts. A holistic approach, covering cross-cutting issues, competitiveness
and sustainability aspects of transport, calls for the active and harmonised involvement of all
actors and agents at European, national and regional level. A systemic vision, encompassing
common planning and strategic prioritisation of the two programmes, is of critical importance
for maintaining the transport sector’s competitiveness and achieving results in overcoming
major incumbent challenges.

With a clearly defined seven-year programme architecture, Horizon 2020 addresses major
societal challenges, including smart, green and integrated transport. As a funding instrument,
Horizon 2020 provides seamless support for the development of activities from the idea to the
market. Conversely, the cohesion policy provides increased investment for research and innova-
tion capacity building as a basis for regional development, and supports market deployment of
research results. The concept of smart specialisation strategy, as a prerequisite for accessing
cohesion policy funds, is introduced as a central component linking the two policies with the ob-
jective of stimulating the competitive advantage of countries and regions. A significant number
of regions have already acknowledged their intents to specialise in transport-related sectors.
In this context, the report aims to inform national and regional transport research authorities
and stakeholders (2) about the opportunities offered by the research and cohesion policies’
legislative framework 2014–2020, about the smart specialisation concept and support plat-
form. It provides suggestions on how to overcome the barriers identified, promotes drivers such
as strategic coordination of policies and programmes and enhanced communication between
actors, and indicates potential transport areas where synergies could bring added value.

The main barriers to the synergies identified mainly concern different policy aims and scopes,
lack of harmonisation of programme implementation, including complex legal and financial
rules and absence of complementarity in the performance indicators, and insufficient coordi-
nation of responsible authorities at all levels, leading to deficits of global analysis and often
resulting in duplication of efforts.

Nonetheless, drivers are equally recognised — smart specialisation strategies aiming to iden-
tify specific areas where synergies can be exploited, strategic policy planning and coordination,
common programme planning and prioritisation, enhanced access to EU financial instruments
and supporting the risk capital markets, investment in capacity building, SME internationalisa-
tion, further coordination of local investors with local research operators, etc. The coordination
of national and regional strategic planning and prioritisation within the EU framework is cen-
tral for an integrated approach to research, development and innovation activities, requiring
a proactive attitude of national and regional authorities and main stakeholders (industry and
research institutions) involved in transport research, development and innovation. Synergies
are triggered by enhanced multilevel interaction, alignment and coordination of independent
policies and programmes, allowing increased impact and better achievement of objectives.

In the period of 2007–2013, cohesion policy investments in transport and research infra-
structure led to increased national and regional capacities, paving the way to excellence by

(2)

The stakeholders include potential beneficiaries, agencies and authorities responsible for managing the different programmes,
as well as actors in the field of innovation and technology transfer at European, national and regional levels.

E x E c u t i v E

s u m m a r y

11

supporting actors’ participation (in particular, but not only, that of SMEs) in the EU research pro-
gramme, or by enabling market deployment of EU-funded research results. In parallel, research
results provided a solid scientific basis for the cohesion policy to invest where added value for
its objectives could be achieved by deploying innovative solutions into the market.

Compelling examples of past successful synergies in the area of transport support the idea
that Member States’ cooperation with the EU in facing transport-related challenges requires
a more proactive approach, linking Horizon 2020 to cohesion policy to stimulate innovation,
economic growth and regional convergence and cohesion in Europe. These examples deal with,
for instance, sequences of research projects deploying their results at national/regional level
using cohesion policy funds, or cohesion policy support for infrastructure further used within
the framework of research projects, etc. The fields concerned by the identified examples cover
electro-mobility, road infrastructure, energy efficiency and smart grids in rail transport, trans-
port corridors, aeronautics regional research infrastructure, etc. These examples indicate that,
within the past 2007–2013 programming period, the occurrence of synergies was limited. For
the current 2014–2020 period, as research is central to the Europe 2020 strategy and the
cohesion policy, and synergies are explicitly mentioned by the legislative texts of both the co-
hesion policy and Horizon 2020, further awareness must be raised towards these opportunities
of parallel or sequential use of research and cohesion funds expected to maximise the impact
of research and innovation on EU competitiveness.

1

Introduction

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1.1. Rationale

1.1.1.

Closing the research and innovation divide

European countries and regions currently under-exploit their potential in terms of research
and innovation due to large national and regional disparities in terms of funding intensity and
competitiveness levels in this field. Multiple reasons exist for such disparities, many of them
of a structural nature, underlying issues such as a lack of research and innovation investment,
insufficient capacities and low participation in international networks.

Continuous commitment from Member States is decisive in ensuring national research and
innovation systems multiply impact in terms of growth and jobs. Increased national investment
and leveraging the maximum value from public investment in research and innovation are key
elements for closing the gap in performance levels across the EU.

‘Member States need to speed up their efforts to use the EU resources. As we look ahead to
the new programming period, we expect Member States and regions to focus the policy even
more on results and priorities that will have the greatest impact.’ Regional Policy Commissioner
Johannes Hahn (3).

Instruments such as those in the framework of the cohesion policy 2014–2020, as well as the
EU research and innovation framework programme, Horizon 2020, will support the closing of
the innovation divide between the European regions.

On the one hand, Horizon 2020 addresses major societal challenges, including transport, aim-
ing to maximise the competitiveness impact of research and innovation and to raise the level
of excellence in the research base. The seven-year programme — the main funding instrument
to implement the Europe 2020 Innovation Union flagship initiative — is designed to broaden
access for participants through major simplification, new financial instruments, new opportu-
nities for SMEs, etc. It brings together all existing research and innovation funding, providing
support in a seamless way from the idea to the market, through simpler programme architec-
ture and rules for participation (4).

On the other hand, the cohesion policy provides increased investment for research and inno-
vation capacity building — building a stairway to excellence — as research is a crucial factor
for regional development. Strategic investment in research and innovation is one of the 11
priority thematic objectives of the cohesion policy 2014–2020, as Europe 2020 put research
and innovation in the driver’s seat for taking the Union out of the economic crisis. Moreover, the
cohesion policy identifies the promotion of sustainable transport and removing bottlenecks in
network infrastructure as another priority thematic objective.

By including the possibility to jointly use funds from the research and innovation
and cohesion policies, the current 2014–2020 programming period marks a major
evolution as it provides the opportunity to steer economic development efforts on
regional strengths, where EU funding impact and added value can be maximised. This
opportunity is supported by the increased flexibility of both programmes, and must

(3)

(4)

http://ec.europa.eu/commission_2010-2014/hahn/headlines/news/detail/index_en.cfm?LAN=EN&id=655&lang=en

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:347:0081:0103:EN:PDF

i n t r o d u c t i o n

15

be implemented in a framework of coherent programming, common prioritisation
and strategic coordination. Combined funding enables a ‘bottom-up’ strategic inno-
vation development process in Member States and regions.

H2020

RIS3

ESI Funds

The development of smart specialisation strategies is meant to identify the unique research
and innovation characteristics of each country and region leading to competitive advantage.
The smart specialisation strategy is vital to ensure efficient conditions for research and innov-
ation investment, and is an ex ante conditionality for using the European Regional Development
Fund. The cohesion policy galvanises smart specialisation to act as a capacity-building instru-
ment, based on learning mechanisms and supporting skills in regions and Member States. Ac-
cording to the smart specialisation platform (5) data, numerous European regions have already
expressed their intention to specialise in transport-related issues, e.g. sustainable transporta-
tion, intermodality and logistics, etc.

1.1.2.

Smart, green and integrated transport in Horizon 2020 and the cohesion
policy

The quality and cost of transport services has a major impact on the mobility of people and
goods and subsequently on the ability of business to compete, on economic growth and on
quality of life. Transport is fundamental to a more efficient European economy working to exit
the economic crisis. Efficient management of transport systems requires a holistic approach
integrating multiple cross-cutting issues such as climate action, energy, infrastructure, etc.
Technology developments and innovation in this sector substantially increase the competitive-
ness of European industry, create jobs and sustain Europe’s leading role in the world markets.
Smart mobility enhances industrial capability and further integrates the European single mar-
ket, while responding to climate imperatives.

The Horizon 2020 transport component aims to achieve sustainable, socially inclusive, re-
source efficient transport that respects the environment, supports better mobility, targeting
less congestion, more safety and security, while maintaining and increasing global leadership

(5)

http://s3platform.jrc.ec.europa.eu

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of the European transport industry. With transport accounting for about 60 % of oil consump-
tion and more than 25 % of all CO
emissions, and still growing, the greening of the transport
2
system and smart mobility have become urgent imperatives if Europe is to meet its ambitious
energy and climate goals for 2020 and 2050, and to promote growth. To achieve Europe’s tar-
geted 80 % CO
reduction by 2050 compared to 1990, oil consumption in the transport sector
must drop by around 70 % from today’s levels, implying an extended use of alternative energy
sources and radical changes in our travel behaviour and mobility patterns.

2

Transport remains one of the main priorities of the cohesion policy for the current program-
ming period with funding allocated to national infrastructures funded via the Trans-European
Transport Network (6), and substantial contribution to investments in projects supporting trans-
port carbon emission reduction, urban transport facilities, etc.

During the 2007–2013 period, FP7 provided over EUR 4 billion (7) for transport research and
innovation activities. In the same period, the cohesion policy allocated around EUR 65 billion for
overall research activities in all areas, including transport, representing over 20 % of the total
cohesion policy budget. Around EUR 75 billion have been allocated to transport projects (8) —
infrastructure, studies and research activities. The opportunities raised by combining research
and innovation with cohesion funds are thus of great magnitude.

1.1.3.

Scope and aim of the report

The European Commission and the Seventh Research Framework Programme Transport Pro-
gramme Committee Experts Working Group, in light of the opportunity to jointly use research
and innovation and cohesion policy funding, and based on previous programme experience,
have investigated the potential to further exploit synergies between the two policies and pro-
grammes in the transport research and innovation field. Each Member State and region, as well
as the European Commission, is encouraged to examine the recommendations of the present
report and adopt them taking into consideration local specificities.

Creating synergies is important from a research policy point of view. Synergies are expected to
fill in the research and innovation gap by attracting cohesion funds to support for example the
deployment of close-to-market innovative research results, research infrastructure providing
a solid basis for participating in Horizon 2020, etc. Synergies are vital for many areas of re-
search and innovation, but in particular for transport where the development and deployment
of innovations is generally a lengthy and resource intensive process. Transport is facing several
major challenges in managing a sustainable development towards an increased and demand-
ing mobility. This situation calls for new and innovative approaches and for a new strategic
view for European, national and regional harmonised initiatives, refocused on intermodal and
multimodal approaches, as well as on new socioeconomic realities.

The aim of this report is to raise awareness among transport research and inno-
vation actors — including authorities managing programmes at European, national
and regional levels — on existing funding opportunities for transport research and
innovation within Horizon 2020 and the cohesion policy 2014–2020 and to empha-

(6)

(7)

(8)

http://ec.europa.eu/transport/themes/infrastructure/index_en.htm

http://cordis.europa.eu/fp7/transport/

http://ec.europa.eu/regional_policy/thefunds/funding/index_en.cfm

i n t r o d u c t i o n

17

sise the crucial importance of common planning and strategic prioritisation of the
programmes to stimulate synergy creation and impact on competitiveness.

The report provides an indication on the general legislative framework and existing precon-
ditions, as well as useful basic information aimed at facilitating access to both sources of
funding — e.g. whom to address, at national and European level, in order to explore practical
opportunities for combined funding, links to available information and guidance, etc.

The report is not meant to detail the concrete functioning of a scheme using funds from both
sources, nor to draft an exhaustive list of cases where the scheme is applicable, but to draw
the attention of the interested stakeholders to the very existence of this opportunity. Never-
theless, it must be reminded that the European Commission provides guidance for the practical
implementation9 of synergies in 2014, shedding light on the specific regulatory framework of
the cohesion policy adopted at the end of 2013.

1.2. Approach

Synergies require better understanding of the European, national and regional priorities, of the
existing barriers, of the drivers supporting them, as well as awareness of authorities involved
in European, national and regional programmes, at strategic and operational levels, and of ex-
perience from previous projects. The report equally identifies transport research and innovation
areas and actions suitable for triggering and optimising synergies, and supports the creation of
communication fora or channels streamlining the information flow between the actors involved.

Two consecutive questionnaires were addressed to Member States FP7 Transport Research
Programme Committee delegates, as well as to cohesion policy and transport research and
innovation national authorities. The first questionnaire aimed to identify the national author-
ities responsible for the strategic and operational aspects of both policies and programmes;
while the second questionnaire (see Annex IV) enquired about the potential barriers and drivers
for synergies, as well as about the sectors where synergies could be best exploited. The con-
clusions of the latter have fed the core of the report, whilst the first set of replies has been
compiled into a ‘Who’s who’ in Annex III to the report.

This report is illustrated with project examples in the field of transport where synergies sup-
ported research capacity building stimulating participation in the EU research framework pro-
gramme, or contributed to the deployment of research results at national or regional level.

(9)

http://ec.europa.eu/regional_policy/sources/docgener/guides/synergy/synergies_en.pdf

2

Legislative
framework for
development
and exploitation
of synergies
between the
Cohesion Policy
and Horizon 2020

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2.1. Europe 2020

The current economic and social crisis exposed structural weaknesses in Europe’s economy,
while long-term challenges such as globalisation, resource scarcity or ageing keep intensifying.
In response, the EU prepared the Europe 2020 strategy (10) for ‘Europe’s social market econ-
omy’ for the 21st century. Based on knowledge and innovation, the strategy is enabling a col-
lective action pulling Europe out of the crisis, turning it into a smart, sustainable and inclusive
economy, generating employment, productivity and social cohesion. The Commission proposed
seven flagship initiatives to streamline progress under each priority. Among them, of interest
for the present report are the Innovation Union and the Resource-Efficient Europe, as well as
the Commission’s communication on the European Research Area.

2.1.1.

Innovation Union flagship initiative

The aim of the Innovation Union flagship initiative (11) is to create a single innovation market
by setting the right conditions for investment in research and innovation, while refocusing
research and innovation policy on the current societal challenges, such as climate change,
energy and resource efficiency, health and demographic change, improving access to finance
and ensuring that innovative ideas can be turned into products and services that create growth
and jobs. The European Commission commits to support research and innovation investment
by strengthening the role of EU instruments such as the cohesion policy funds or the re-
search framework programme, and streamlines administrative procedures to facilitate access
to funding, particularly for SMEs.

Ideally, at national level, Member States will align national and regional R & D and innov-
ation systems to foster excellence and smart specialisation, reinforce cooperation between
universities, research and business,
implement joint programming (12) and enhance cross-
border cooperation in areas with EU added value.

2.1.2.

European Research Area (ERA)

The European Research Area (13) embraces ‘a unified research area open to the world based on
the internal market, in which researchers, scientific knowledge and technology circulate freely
and through which the Union and its Member States strengthen their scientific and technolog-
ical bases, their competitiveness and their capacity to collectively address grand challenges.’

The ERA is at the heart of the Europe 2020 strategy and its Innovation Union flagship ini-
tiative, and one of its key aims is to reduce regional disparities in research and innovation
performance, as well as to support excellence through smart specialisation. It is vital that
Member States and regions shape their research and innovation systems in line with their own
strengths identified in the smart specialisation strategy. The ERA’s goal is to have a unified,
interconnected and interoperable European research system, capable of playing a leading role
in addressing the grand challenges. Cooperation will enable the necessary breakthroughs to
tackle these challenges and will prevent duplication of effort at national level. Nevertheless,
this goal does not exclude competition, as competition ensures the best value for public money
invested in research.

(9)

(10)

(11)

(12)

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2010:2020:FIN:EN:PDF

http://ec.europa.eu/research/innovation-union/pdf/innovation-union-communication_en.pdf#view=fit&pagemode=none

http://ec.europa.eu/research/era/joint-programming_en.html

http://ec.europa.eu/research/era/index_en.htm

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‘Completing the ERA will bring efficiency, quality and impact gains and new opportunities for all
Member States. It is an opportunity for less well-performing Member States to take responsibil-
ity for reforming their research systems, driving a process of smart specialisation, and helping
to close the innovation divide. Horizon 2020 and the Structural Funds will support this.’ (14)

2.1.3.

Resource-Efficient Europe flagship initiative

The aim of the Resource-Efficient Europe flagship initiative is to support the shift towards a
resource-efficient and low-carbon economy, decoupling economic growth from resource and
energy use, reducing CO
emissions, enhancing competitiveness, modernising the transport
sector and promoting greater energy security.

2

At EU level, the European Commission mobilises financial instruments such as the cohesion
policy funds and the research and innovation framework programme as part of a consistent
funding strategy pooling EU and national public and private funding. The Union’s transport
sector ‘decarbonisation’ and increased competitiveness are stimulated by measures such as
early deployment of grid infrastructure for electric mobility, intelligent traffic management,
better logistics, pursuing the reduction of CO
emissions for road vehicles, aviation and mar-
2
itime sectors, including the launch of a major ‘European Green Vehicle Initiative (EGVI)’ (15)
promoting new technologies including electric and hybrid vehicles, setting common standards
and developing necessary infrastructure support. For aviation, the joint technology initiative
‘Clean Sky’ (16) is accelerating the demonstration of innovative emission-reducing technologies.

At national level, Member States need to develop a smart, upgraded and fully interconnected
transport and energy infrastructure, integrated into major European transport corridors and
gateways, to make full use of information and communications technology, as well as to
focus on the urban dimension of transport where much of the congestion and emissions are
generated.

2.2. Horizon 2020

2.2.1. Objectives

From 2014 to 2020, Europe will be running the world’s largest collaborative programme for
research and innovation, Horizon 2020 (17), providing user-friendly, simple access and manage-
ment for the participants.

The programme is a modern funding instrument designed to deliver on the policy priorities of
the Europe 2020 strategy and of the innovation union initiative. It provides a challenge-based
approach responding to the economic crisis and creating employment and growth by effective
coordination between the three main pillars of the programme.

• Scientific excellence.

• Societal challenges:

− health, demographic change and wellbeing;

(14)

(15)

(16)

(17)

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2012:0392:FIN:EN:PDF

http://www.green-cars-initiative.eu/news/update-of-multiannual-roadmap-of-the-european-green-vehicles-initiative-ppp-in-
horizon-2020/

http://www.cleansky.eu

http://ec.europa.eu/research/participants/data/ref/h2020/legal_basis/fp/h2020-eu-establact_en.pdf

22

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− food security, sustainable agriculture and the bioeconomy;

− secure, clean and efficient energy;

− smart, green and integrated transport;

− climate action and resource efficiency, including raw materials;

− inclusive, innovative and secure societies.

The Horizon 2020 budget will be invested in research and innovation to tackle, inter alia, cli-
mate change, transport competitiveness and sustainability, resource scarcity, safety and secu-
rity, etc. Transport amounts to around 21 % of the societal challenges budget, meaning more
than 8 %of Horizon 2020’s total budget.

•

Industrial leadership.

The novelty resides in the fact that Horizon 2020 unifies European research and innovation
funding by integrating all the existing programmes — the framework programme for research
and innovation, part of the Competitiveness and Innovation Programme (CIP) (18) and the Eu-
ropean Institute of Innovation and Technology (19) — into a seamless whole, coupling research
to innovation, with a focus on societal challenges. As a result, participants will deal with fewer,
more flexible and more user-friendly funding schemes and procedures.

Coordination of activities funded through Horizon 2020 with those supported by other EU
funding programmes is vital for the achievement of Europe 2020’s ambitious objectives. This
includes an appropriate articulation with ESI Funds in the context of national and regional re-
search and innovation strategies for smart specialisation. Horizon 2020 drives for excellence,
and when combined with the capacity-building features of the cohesion policy, it stimulates
economic development and raises the international attractiveness of the regions concerned.

Cohesion support for research and innovation capacity building at regional level, such as the
establishment of regional centres of excellence, will contribute to closing the research and
innovation divide in Europe, while support for large-scale demonstration and pilot line projects
supports achieving the objective of the EU industrial leadership.

2.2.2.

Transport in Horizon 2020

In parallel with the competitiveness issue, Europe also needs to achieve green growth and
energy efficiency, the goal passing through the achievement of smart, green and integrated
transport. Transport research is essential for meeting the EU climate-related goals and to boost
the sector’s competitiveness, thus generating growth and jobs.

The main priorities for transport research under Horizon 2020 are:

• making transport more sustainable — resource-efficient transport that respects

the environment;

(18)

(19)

http://ec.europa.eu/cip/index_en.htm

http://eit.europa.eu/

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23

• making transport and transport systems seamless — better mobility, less conges-

tion, greater safety and security;

•

keeping transport competitive — the European transport industry as a global lead-
er;

• making transport research responsive — socioeconomic research and forward-

looking activities for policymaking.

Transport, the backbone of European economy, is crucial for the economic crisis recovery. Re-
search and technology provide solutions for sustainable transport — intelligent transport sys-
tems, new-generation vehicles, alternative energy and propulsion systems are just some of the
solutions on offer to make mobility greener and more efficient.

The transport component of Horizon 2020 strikes a balance between the holistic view — trans-
port systems, cross-cutting issues such as intelligent transport systems and urban mobility —
and the specificities of each transport mode, between competitiveness and sustainability, and
between technology and socioeconomic aspects.

2.2.3.

Specific measures for less performing regions and supporting widening
participation in the programme

‘Despite serious efforts deployed at national and European level, the European Union sees sig-
nificant internal disparities in terms of research and innovation performance subsist between
the EU Member States. These trends are further exacerbated by the continuing severe financial
crisis, and the subsequent adverse effects on public research and innovation budgets.

In order to address these challenges, Horizon 2020 introduces specific measures for spreading
excellence and widening participation. These measures are targeted at low-performing Member
States in terms of research and innovation, and they will be implemented by the Member States
most in need of the new cohesion policy for the 2014–2020 programming period’ (20).

— Teaming of excellent research institutions and low performing RDI regions aiming at the
creation of new (or significant upgrade of existing) centres of excellence in low performing
RDI Member States and regions.

— Twinning of research institutions aiming at significantly strengthening a defined field of
research in an emerging institution through links with at least two internationally leading
institutions in a defined field.

— ERA Chairs (21) to attract outstanding academics to institutions with a clear potential for
research excellence, in order to help these institutions to fully unlock this potential and
thereby create a level playing field for research and innovation in the ERA, exploring possible
synergies with ERC activities.

(20)

http://ec.europa.eu/programmes/horizon2020/en/h2020-section/spreading-excellence-and-widening-participation
See Point 1.3.7. Closing the research and innovation divide
(http://ec.europa.eu/research/participants/data/ref/h2020/wp/2014_2015/main/h2020-wp1415-intro_en.pdf).

(21)

http://ec.europa.eu/research/era/era-chairs_en.html

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— Policy Support Facility to improve the design, implementation and evaluation of national/

regional research and innovation policies (22).

2.3. Cohesion policy

2.3.1. Objectives

The cohesion policy 2014–2020 aims at a more strategic concentration of resources on key
priorities and has an increased focus on results and impacts. The Common Strategic Frame-
work for the cohesion policy 2014–2020 established strategic guiding principles to facilitate
the programming process and the sectorial and territorial coordination of Union intervention
under the cohesion policy. To promote the harmonious, balanced and sustainable development
of the Union, coordination with other relevant Union policies and instruments has also been
foreseen.

The 11 thematic priorities of the cohesion policy (23) from 2014–2020 are:

•

strengthening research, technological development and innovation;

• enhancing access to, and use and quality of, information and communication tech-

nologies;

• enhancing the competitiveness of small and medium-sized enterprises, the agri-

cultural sector and the fisheries and aquaculture sector;

•

supporting the shift towards a low-carbon economy in all sectors;

• promoting climate change adaptation, risk prevention and management;

• protecting the environment and promoting resource efficiency;

• promoting sustainable transport and removing bottlenecks in key network infra-

structure;

• promoting employment and supporting labour mobility;

• promoting social inclusion and combating poverty;

•

•

investing in education, skills and lifelong learning;

institutional capacity and efficient public administration.

The cohesion policy 2014–2020 plays a key role in implementing the Europe 2020 strategy. In
line with the objectives and targets of the strategy for smart, sustainable and inclusive growth,

(22)

See Part IV Spreading excellence and widening participation http://ec.europa.eu/research/participants/data/ref/h2020/legal_
basis/fp/h2020-eu-establact_en.pdf

(23)

http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32013R1303&from=EN

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25

and taking into account the key territorial challenges, the thematic objectives 1, 4 and 7 are
relevant for transport research.

During the past programming period 2007-2013, support from the cohesion policy for research
and innovation reached around EUR 65 billion. In this sense, the cohesion policy has become
a major source of European support for research and innovation, rivalling the budget of both
FP7 and CIP.

In the current programming period 2014–2020, the total budget will be EUR 352 billion, in-
cluding funding for the Connecting Europe Facility, designed to enhance cross-border projects
in energy, transport and information technology. A total of over EUR 86 billion of the cohesion
budget, representing nearly 25 % of the total allocation (24), will be assigned to research and
innovation, while transport will receive about EUR 82 billion, meaning more than 23 % (25). The
objectives mainly concern improving the accessibility of regions, supporting Trans-European
Networks, and investing in environmentally sustainable and intelligent transport facilities, par-
ticularly in urban areas.

2.3.2.

Instruments

The cohesion policy 2014–2020 is an essential element of the Multiannual Financial Frame-
work, with a pivotal role in delivering the Europe 2020 strategy.

The legislative architecture for the cohesion policy comprises an overarching regulation setting
out common rules for the European Regional Development Fund (ERDF), the European Social
Fund (ESF), the Cohesion Fund, the European Agricultural Fund for Rural Development (EAFRD),
the European Maritime and Fisheries Fund (EMFF) (26), generically called European Structural
and Investment Funds (ESI) Funds.

The cohesion policy’s main principle is the shared management between, on the one hand,
national managing authorities (27) being responsible for local impact assessments, the imple-
mentation of Operational Programmes and payments and, on the other hand, the European
Commission being responsible for the negotiation of national Partnership Agreements and
Operational Programmes, the implementation monitoring and financial control, as well as the
approval of major projects (of more than EUR 50 million).

Three funds are directly involved in research and innovation funding.

• ERDF (28): European Regional Development Fund — managed by the European
Commission Directorate-General for Regional and Urban Policy (29). Research and
innovation is among the most important thematic objectives for the ERDF, along
with the competitiveness of SMEs, ICT and the low carbon economy.

(24)

(25)

(26)

(27)

(28)

(29)

http://ec.europa.eu/regional_policy/activity/research/index_en.cfm#1

http://ec.europa.eu/regional_policy/activity/transport/index_en.cfm

http://ec.europa.eu/regional_policy/sources/docoffic/official/regulation/pdf/2014/proposals/regulation2014_leaflet_en.pdf

http://ec.europa.eu/regional_policy/manage/authority/authority_en.cfm

http://ec.europa.eu/regional_policy/thefunds/regional/index_en.cfm

http://ec.europa.eu/dgs/regional_policy/index_en.htm

26

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© rochagneux, #43442417, 2014. Source: Fotolia.com

Energy efficiency and smart grids in rail transport

The FERROSMARTGRID project (ongoing regional project in Andalusia, funded with ERDF
via the Interconecta Spanish programme) aims at the migration of the conventional rail
power system to an electric smart grid. An important activity to note is exploration of the
optimal use of the kinetic and potential energy of the trains on the assumption of the
existence of all procedures and devices that allow profit, thereby tending to create the
intelligent network (eco-driving, networking of power nets, accumulators, own generators,
intermittent consumption and reversible power supply stations that connect with smart
public networks).

The FP7 MERLIN project (sustainable and intelligent management of energy for smarter rail-
way systems in Europe: an integrated optimisation approach), coordinated by the Association
of the European Rail Industry (UNIFE), aims to investigate and to demonstrate the viability
of an integrated management system in achieving a more sustainable and optimised ener-
gy usage in European electric mainline railway systems. Multiple operational scenarios add
complexity to the development of suitable and appropriate energy management solutions,
for both operators and infrastructure managers alike. Existing assessment tools require an
integrated approach and instead focus on only singular elements of the system in isolation,
e.g. rolling stock, substations, etc.

Network models tend to also be assessed separately without considering their links to
other networks or any potential alternative scenarios. Critically, these tools tend to ne-
glect the variations in emission levels, energy usage and other associated costs that
occur over different periods of the timetable.

The added value of the synergy created by both projects led to energy saving in the rail-
road through the inclusion of new technologies in electric railway. The regional project is
led by the Spanish rail infrastructure manager ADIF, which is also one of the core partners
of the FP7 project.

For more information:
http://www.indracompany.com/en/sostenibilidad-e-innovacion/proyectos-innovacion/
ferrosmartgrid-desarrollo-de-la-primera-red-intelig
http://www.merlin-rail.eu

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• Cohesion Fund (30) — managed by the European Commission Directorate-General
for Regional and Urban Policy — is aimed at Member States whose gross national
income (GNI) per inhabitant is less than 90 % of the EU average. The Cohesion
Fund finances, inter alia, the Trans-European Transport Networks and supports
projects related to energy or transport with a benefit to the environment such as
energy efficiency, use of renewable energy, developing rail transport, supporting
intermodality, strengthening public transport, etc.

• ESF (31): European Social Fund — managed by the European Commission Director-
ate-General for Employment, Social Affairs and Inclusion (32). The ESF is ‘Europe’s
main instrument for supporting jobs, helping people get better jobs and ensuring
fairer job opportunities.’

© Schlierner, #61908469, 2014. Source: Fotolia.com

Polish university uses ESF funds to train skilled workers for the aviation industry

A new career opportunity is on offer to students at the Polish University of Information
Technology and Management in Rzeszov, Poland. The ‘Fly to your career — study aviation
management’ programme will train up to 50 students a year in the field of commercial
aviation, will bring experts from Germany, as well as local expertise, and will provide a
strong ‘mobility’ element. According to Professor Ulrich Desel from the University of Bad
Honnef in Germany — one of the external teachers — graduates will meet the growing
demand for trained employees in the sales and marketing departments of major airlines,
in the operational divisions of commercial airports across Europe, with companies that
charter aircraft and in the field of air transport logistics.

For more information:
http://ec.europa.eu/esf/main.jsp?catId=67&langId=en&newsId=7483&furtherNews=yes

Policy support will be provided by the European Commission for national and regional govern-
ments on research and innovation policy design to raise the excellence of their science base

(30)

(31)

(32)

http://ec.europa.eu/regional_policy/thefunds/cohesion/index_en.cfm

http://ec.europa.eu/esf/home.jsp

http://ec.europa.eu/social/home.jsp?langId=en

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and support the competitiveness of their industries. Member States and regions will be strongly
supported in the effective implementation of the new research and innovation programmes
under the cohesion policy, in line with the smart specialisation strategies (33). They are invited
to work closely with the authorities responsible for the implementation of both policies — re-
search and innovation and cohesion — at European and national level to deliver coherent and
streamlined funding opportunities for the beneficiaries.

The cohesion policy foresees support for all types of innovation including key enabling tech-
nologies (34) and strong support for research infrastructure. The development of synergies be-
tween the cohesion policy and Horizon 2020 targets both upstream and downstream actions:

• upstream actions — capacity building — preparing regional players to participate
in Horizon 2020, for example, by investing in the build-up of research infrastruc-
tures and by identifying opportunities for joint financing of research and innov-
ation of European interest;

• downstream actions — providing the means to exploit and diffuse research and
innovation results into the market, by creating an innovation-friendly business en-
vironment for SMEs.

Fotolia_51976596_Subscription_XL_©elypse

Suite of FP6 projects leading to cohesion policy investments to optimise
infrastructures

The FP6 projects CERTAIN, SPENS and ARCHES formed a cluster of almost EUR 7 million,
tackling the measures necessary to reduce the gap between the levels of road infrastruc-
ture systems in the new Member States and other central European countries. These three
projects together contributed to enabling partners from the new Member States to play a
much more active role in the future of European research activities, as a result narrowing
the gaps in their integration. Moreover, the technologies and solutions developed by this
cluster can be implemented at national and regional level using cohesion policy funding in
countries among those receiving the highest share of ESI funding.

(33)

(34)

See footnote 23 — Horizon 2020 Regulation EU 1291/2013

http://ec.europa.eu/enterprise/sectors/ict/key_technologies/

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CERTAIN — the project relates to the development and use of best practice in road in-
frastructure maintenance and construction to be applied to the new EU Member States,
where the financing of new projects and refurbishment is not at a high level but where
techniques can be used to improve the networks in a cost-efficient manner and with
a very positive enhancement of the performance of that infrastructure. It is aimed at
facilitating the integration of the new EU Member States and other central and eastern
European countries into the established research and development community of the
European Union (http://certain.fehrl.org/).

SPENS — the objective of this research project was to develop appropriate tools and
procedures for the rapid and cost-effective rehabilitation and maintenance of roads in
the new EU Member States. The project searches for materials and technologies for road
pavement construction and rehabilitation that would behave satisfactorily in a typical
climate, have an acceptable environmental impact, are easy to incorporate within existing
technologies and are cost-effective and easy to maintain (http://spens.fehrl.org/?m=1).

ARCHES — the overall goal of the project was to develop ways to raise the standard of
the highway structures of new Member States and central and eastern European countries
to the level necessary for their full economic integration into the EU and for the future
development of the EU. The project developed more appropriate tools and procedures
to avoid unnecessary interventions (repairs/replacements) in structures, prevent the de-
velopment of corrosion by simpler and less expensive techniques and implement faster,
more cost-effective and longer-lasting rehabilitation techniques (repair or strengthening)
of substandard and unsafe bridges (http://arches.fehrl.org/).

3

Synergies
between
Horizon
2020
and the
Cohesion
Policy

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3.1. Concentrating resources to maximise impact

The current policy framework, including the Europe 2020 strategy which aims to increase
R & Dspending to 3 %of European GDP by 2020, provides a comprehensive set of actions for
stepping up research and innovation performance. The European Commission’s research and
innovation as well as cohesion policies reflect the Union’s ambition to invest in Europe’s innova-
tive future as the pathway to economic growth and competitiveness by scaling up investment
in research and innovation.

The cohesion policy funds act as multipliers paving the way to excellence allowing for more
actors to participate in Horizon 2020, while also locally exploiting EU-funded research re-
sults. Horizon 2020 is focusing on excellence at European level, regardless of the geographical
location, with the aim of fostering the European Research Area, while the cohesion policy
is targeting the narrowing down of socioeconomic regional disparities, thus providing support
for research and innovation capacity building as a stairway to excellence. Both funds can com-
plement each other either from the geographical perspective or from the side of the innovation
cycle, bringing ideas towards maturity.

The main objectives of the cohesion policy are to support economic cohesion by reducing so-
cioeconomic disparities between European regions, promoting growth and employment and
addressing sustainability issues. Research, technological development and innovation are cru-
cial for regions’ economic performance, especially when the activities in these fields have an
impact on the socioeconomic development of regions. Thus, cohesion funding can only support
research and innovation projects contributing to these policy objectives.

The development of synergies between the research and innovation and the cohesion policies
ensures that both policies are aligned and are complementary, contributing to the effective
achievement of the Europe 2020 objectives. In the 2014–2020 period, investment in the field
of research and innovation from ESI Funds and Horizon 2020 should be complementary, there-
fore it is necessary for the policies to work in tandem, and governance and prioritisation align-
ment at all levels are vital.

Synergies can be envisaged at three different levels:

• at policy level, the cohesion policy supports research and innovation in identified pri-
ority fields, serving its own purposes in terms of competitiveness, growth and jobs;

• at programme level, authorities in charge of programme implementation (both
research and innovation and cohesion) should cooperate in a timely and close
manner on designing these Operational Programmes;

• at project level,
demonstrated.

impact on and added value for regional economy should be

At policy level, the cohesion policy supports, inter alia, capacity building, development of re-
search and innovation systems, demonstration and deployment of innovative research results
and knowledge transfer, thus providing support for innovative business creation and fostering
cooperation between enterprises and research institutions. Investment in modern and innova-
tive research infrastructure or in SME support will enhance the capabilities vis-à-vis Horizon
2020, especially in Member States receiving a high share of the cohesion policy funding.

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33

Article 70(2)(b) of the cohesion policy regulation, offering the possibility to invest up to 15 %
from a regional or national operational programme budget in other EU regions, provided that the
measure benefits the territory corresponding to this operational programme, is important for the
building of cross-border research infrastructures (including the ESFRI roadmap), for cross-bor-
der science networks or clusters and for supporting value chain networking investments. The
enhanced budget share for territorial cooperation under the cohesion policy also gives incen-
tives for transnational cooperation between regional innovation actors, clusters, for networking
of procurers or innovation agencies and integrates less advanced regions in a targeted manner.

Research and innovation and cohesion policies are supported by distinct programmes, with
independent modi operandi, but their interaction can generate converging effects. Therefore,
synergies should be looked for where they are possible and bring further added value. The
Horizon 2020 communication (35) proposes a clearer division of labour between Horizon 2020
and the ESI Funds, while strengthening interactions as, even though the two policies have dis-
tinct objectives, they do have the same strategic goal of serving the purposes of the Europe
2020 strategy. Better integration of the two policies and implementing programmes depends
on increased and efficient cooperation between the actors in the Member States at European,
national and regional level.

At programme level, the cohesion policy managing authorities in the Member States should
ensure that appropriate provisions are foreseen in a timely manner in the respective Partner-
ship Agreements and Operational Programmes, enabling sequential funding schemes such
as cohesion funding at national or regional level, followed up by the integration of results in
international projects under a Horizon 2020 call for proposals. The common programming
period of seven years eases the synchronisation of funding and supports better planning, thus
strengthening the potential for synergies. To enable the synergy mechanism to produce real
results, transparency and clear, seamless information flows between the managers of the two
Union funding instruments, as well as collective planning, are of utmost importance.

At project level, each funding instrument will maintain individual rules. Nevertheless, although
Article 37 (36) of the Horizon 2020 rules for participation regulation allows for cumulative fund-
ing, Horizon 2020 and ESI funding may not be used for the same cost item/expenditure item.
However, Horizon 2020 grants will not be divided in segments funded separately either from
Horizon 2020 or from ESI Funds. The general co-funding obligation applicable for EU grants
will also be maintained and synergies between the two programmes may not be interpreted
as a possibility for a Member State to replace national or equivalent spending under Horizon
2020 projects with the ESI Funds (non-substitution principle). A specific ‘Guide on how to en-
able synergies between European Structural and Investment Funds, Horizon 2020 and other
research, innovation and competitiveness-related Union programmes’ (37) is available with a
view to providing Member States and regions with guidance for the joint use of the two EU
funding sources.

(35)

(36)

(37)

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2011:0808:FIN:en:PDF — COM/2011/0808. Horizon 2020 — The
framework programme for research and innovation — communication from the Commission — Point 8. ’Spreading excellence
and widening participation.

Article 37. Cumulative funding: ‘An action for which a grant from the Union budget has been awarded may also give rise to the
award of a grant on the basis of Regulation (EU) No 1291/2013, provided that the grants do not cover the same cost items.’

Enabling synergies between European Structural and Investment Funds, Horizon 2020 and other research, innovation and
competitiveness-related Union programmes - Guidance for policy-makers and implementing bodies Regional and implementing
bodies - European Commission, DG for Regional and Urban Policy, 2014 - http://ec.europa.eu/regional_policy/sources/docgener/
guides/synergy/synergies_en.pdf

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From an operational perspective, synergies can be envisaged as streams of projects building on
each other — e.g. ERDF builds up research and innovation capacities and/or infrastructure — the
latter are being used in Horizon 2020 projects — the results of these Horizon 2020 projects are
being further developed at national/regional level through ERDF co-funded industrial projects.

© Riccardo Arata, #11477529, 2014. Source: Fotolia.com

TIGER and TIGER DEMO (37) projects paving the way to transport corridors financed
by TEN-T

The TIGER ‘Transit via innovative gateway concepts solving European intermodal rail needs’
project is a large-scale integrated collaborative project for the development of rail trans-
port in competitive and co-modal freight logistics chains. TIGER DEMO and TIGER are two
separate projects, but are part of the same overall initiative funded by FP7. TIGER DEMO is
the continuation of the TIGER project and is set to take the four TIGER pilots into a full-scale
demonstration for subsequent market uptake commercial exploitation. TIGER DEMO’s ob-
jective is the demonstration of innovative technological and management solutions capable
of optimising the container traffic flows to/from major European ports. The project defined
new production processes, technological alternatives and new business models supported
by management tools in order to improve the effective performances and competitiveness
of the rail connections between seaports and their near and distant hinterlands.

During the full-scale demonstration, TIGER DEMO will manage the various services’ fine
tuning, as their effective performances are fundamental for achieving full commercial
exploitation in the market place. TIGER DEMO is planning co-modal solutions for maritime
traffic flows in four different geographical locations in Europe. Among TIGER DEMO’s four
demonstrators, Genoa Fast Corridor — Corridor 24, Rotterdam-Genoa (38), aiming to re-
duce congestion in Genoa harbour, is further funded at regional level in cooperation with
the Liguria region, the Autorità Portuale di Genova, Rivalta Terminal Europa and Terminal
San Giorgio by the cohesion policy. Thus, it contributes to optimising and increasing the
productivity of new and existing infrastructure included in the TEN-T and partially funded
by the cohesion policy funds. The results of these pilots, after validation, are reproducible
in other EU ports and will be ready for full market exploitation.

For more information:
http://www.tigerproject.eu/
http://www.tigerdemo-project.eu/

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3.2. New features of the 2014–2020 programming

period

The policy framework 2014–2020 facilitates synergies between Horizon 2020 and the ESI
Funds investments. The main novelties in this regard can be summarised as follows.

• Research and innovation have been placed at the heart of Europe 2020 and the
cohesion policy 2014–2020, accompanied by a consequent funding allocation for
the current programming period.

• New legislation has been created making it possible to combine the funding of Horizon 2020
grants and ESI Funds within the same project, provided that they fund different cost items.

• The smart specialisation strategy, designed to streamline research and innovation
priorities to regional capacities, is an ex ante conditionality for cohesion funding.

• The possibility to use up to 15 % of cohesion policy funds outside the receiv-
ing region — if the action benefits the receiving region — enables transnational
cross-border projects, essential to combine Horizon 2020 and ESI Funds.

• The enhanced support for knowledge-intensive innovative clusters, enabling knowl-
edge transfer between regions, represents a major opportunity for less performing
regions to ‘climb’ the stairway towards research and innovation excellence and to
support economic growth in regions.

• Financial instruments supported by Horizon 2020 are expected to allow the lever-
aging of Member States’ or regions’ cohesion policy funds financial resources.

Despite the existence of opportunities supporting synergies within the previous programming
period, namely the regional dimension of FP7 and CIP, the synergies observed only had a
limited scope. New features embedded in the current legislative framework reiterate and re-
inforce the European legislator’s determination to achieve policy coherence and subsequent
reinforced impact on raising the scientific excellence, deploying the results and generating
growth.

(38)

(39)

http://www.transport-research.info/web/

The rail freight corridor Rotterdam-Genoa is expected to be one of the first among six major rail freight corridors to be equipped
with the European rail traffic management system (ERTMS).

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3.3. Smart specialisation strategy

Research and innovation can be used as a tool for regional cohesion and a way to transform
the economy of our regions through entrepreneurial discovery. The smart specialisation strat-
egy (40) is the key instrument for creating synergies between research and innovation and cohe-
sion policies as it crystallises a strategic approach to economic development through targeted
support for research and innovation.

Annex I of the Innovation Union flagship initiative outlines smart specialisation as a ‘multi-
annual strategy [that] defines a limited number of priorities, preceded by an analysis of
strengths and weaknesses at national and regional level and of emerging opportunities and
market developments, and [that] provides a predictable policy and budgetary framework. The
strategy duly reflects EU priorities, avoiding unnecessary duplication and fragmentation of ef-
forts, and actively seeks to exploit opportunities for joint programming, cross-border coopera-
tion and exploiting the leverage effects of EU instruments.’

Smart specialisation strategies identify within a country or a region a limited number of pri-
ority fields of economic and industrial strengths, research and technology excellence, innova-
tion capacities, competitive advantages and future market potential. They seek comparative
advantages in specific research and innovation areas, fostering innovation via entrepreneur-
ship and technological adaptation of regions to the knowledge economy. Specialisation is
to be understood in this context in a broader sense, and in any case it should not lead to
lock-ins. The strategies aim to avoid duplication and fragmentation of efforts financed with
scarce public resources within the EU, while developing the single market through inter-
regional connections. They imply a careful selection and support targeting only those re-
search and innovation activities that are driving performance and address key challenges
such as the current economic crisis, and help transform the economic structure to face glo-
balisation. Selected research and innovation fields need to demonstrate the highest potential
for knowledge spillovers, thus helping regional economies to diversify into higher added
value markets, to modernise or to exploit new economic activities or emerging technologies.
The transport sector should be shortlisted among the specialisation priorities where local
opportunities and capacities exist.

Smart specialisation — which could also be referred to as smart specialised diversification (41)
— is a key concept reflecting regional strengths and potential. Actors such as public authori-
ties or the European Technology Platforms (42) act as facilitators in the process, or as binders
bringing the different policies together on a national or regional level. National and regional
authorities need to commit to a long-term strategic plan with the following elements: clear,
well-defined research and innovation priorities (based on a SWOT analysis); specific objectives,
performance indicators and measurable milestones and deliverables, including measures to
stimulate private research and innovation investment; a framework outlining available budget-
ary resources and prioritisation of investments for research and innovation; and a monitoring
and review system. After several years of parallel implementation of programmes, concrete,
visible results are expected in terms of increased support for research and innovation activities

(40)

(41)

(42)

http://s3platform.jrc.ec.europa.eu/s3pguide

http://ftp.jrc.es/EURdoc/JRC82213.pdf

http://cordis.europa.eu/technology-platforms/

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37

in the specific priority areas selected in the strategies. Critical mass is crucial to avoid duplica-
tion and fragmentation in the ERA.

At policy level, Horizon 2020 is expected to support the emerging smart specialisation strategic
priorities by considering and reflecting them to a certain extent in the annual work programmes
in topics with strong territorial impact where synergies with the cohesion policy can be exploited.
Having a smart specialisation strategy in place is an ex ante conditionality in the future cohe-
sion policy support for actions in the area of research and innovation. Nevertheless, the role
of the Commission is not to question priorities or measures selected at national or regional
levels, but to facilitate mutual learning through a smart specialisation platform (43). The plat-
form supports Member States and regions in using cohesion policy funds as tools to develop
their research and innovation capacity, including support for joint research and innovation pro-
grammes, in line with the cohesion policy objectives.

Additional information of utmost importance prior to the start of the smart specialisation
strategy preparatory process is provided by, for example, the Regional Innovation Score-
board (44), ERAWATCH (45), the Regional Innovation Monitor (46), the European Cluster Obser-
vatory (47), the Digital Agenda Scoreboard (48), SME performance reviews (49), Joint Research
Centre IPTS studies (50), etc. Good practices and further guidance are to be found, for exam-
ple, from the following sources: RegioStars (51), EIT European entrepreneurship awards (52),
European Technological Platforms (53), guides on incubation (54), the Committee of the Re-
gions (55), OECD (56), World Bank, Jaspers (57), and other organisations such as Eurada (58),
ERRIN (59), EEN (60) and the NCP networks (61), etc.

(43)

(44)

(45)

(46)

(47)

(48)

(49)

(50)

(51)

(52)

(53)

(54)

(55)

(56)

(57)

(58)

(59)

(60)

(61)

The platform for smart specialisation was established in June 2011 under the auspices of the Joint Research Centre’s Institute
for Prospective Technological Studies in Seville with the purpose of providing assistance for countries and regions in their smart
specialisation strategy development. The platform acts as a facilitator by bringing together the relevant policy support and EU
funding programme information. It offers hands-on support by providing methodological guidance, peer review, mutual learning,
expert advice and best practice, strategy and research agenda assessment, etc.
Currently, around 150 regions from 20 Member States are registered in the platform, plus eight countries at national level.
The mapping of regions’ and Member States’ intentions in terms of smart specialisation fields has already started. The smart
specialisation platform is currently building the Eye@RIS3 online searchable database of priorities defined as ‘activities, in which
an investment of resources is likely to stimulate knowledge-driven growth. The Eye@RIS3 is intended as a tool to help strategy
development.’

http://ec.europa.eu/enterprise/policies/innovation/files/ius/ius-2014_en.pdf

http://erawatch.jrc.ec.europa.eu/

http://ec.europa.eu/enterprise/policies/innovation/policy/regional-innovation/monitor/

http://www.clusterobservatory.eu/index.html

http://ec.europa.eu/digital-agenda/en/scoreboard

http://ec.europa.eu/enterprise/policies/sme/facts-figures-analysis/performance-review/

http://ipts.jrc.ec.europa.eu/

http://ec.europa.eu/regional_policy/cooperate/regions_for_economic_change/regiostars_en.cfm

http://eit.europa.eu/entrepreneurship/eit-awards/

http://cordis.europa.eu/technology-platforms/

http://ec.europa.eu/regional_policy/sources/docoffic/2007/working/innovation_incubator.pdf

http://cor.europa.eu/Pages/welcome.html

http://www.oecd.org/

http://ec.europa.eu/regional_policy/thefunds/instruments/jaspers_en.cfm#2

http://www.eurada.org/index.php?option=com_content&view=article&id=54&Itemid=149&lang=fr

http://www.errin.eu/

http://een.ec.europa.eu/

http://ec.europa.eu/research/participants/portal/desktop/en/support/national_contact_points.html
http://www.transport-ncps.net/

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Developing a smart specialisation strategy involves a six-step procedure covering the
analysis of the regional context, potential and governance, the selection of priorities and
of the requested policy combination, and finally, monitoring and evaluation of the impacts
generated.

Within the scope of the present report is the priority definition. The smart specialisation strate-
gy priority definition approach is mainly bottom-up, requiring active involvement of local stake-
holders. Smart specialisation strategies should include transport activities where regions have
a competitive advantage or the potential to generate knowledge-driven growth, and have the
potential to bring the economic transformation needed to tackle the major societal and envi-
ronmental challenges, e.g. innovative infrastructure, ICT for active ageing or supporting inter-
modality, mobility solutions to reduce GHG emissions or traffic congestion, such as dynamic
traffic management, etc.

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39

© Kurt Kleemann, #50779100, 2014. Source: Fotolia.com

EDRF-funded regional infrastructure — experimental flight test centre for UAVs
— used in an FP7 aeronautics project

ATLAS is an experimental flight test centre located in Villacarrillo (Jaén, Spain) and pro-
moted by FADA (Andalusian Foundation for Aerospace Development) which provides the
international aeronautics community with an airfield with superior scientific and techno-
logical facilities and a segregated airspace, suitable for unmanned aircraft systems (UAS)
testing. Its main goal is to offer manufacturers, regulatory authorities, academia and
technology centres a unique scenario for research and technology development of UAS
and air traffic control/management. ATLAS was partially funded under Cohesion Funds by
the ERDF operational programme for Andalusia 2007–2013.

The main objective of the FP7 PLANET project is the design, development and valida-
tion of an integrated platform to enable the deployment, operation and maintenance of
large-scale/complex systems of heterogeneous networked cooperating objects, including
wireless sensor and actuator networks and mobile objects. The platform will support opti-
mal and adaptive deployment and operation by means of mobile cooperating objects, i.e.
vehicles, networked with static nodes. The platform will be validated in two complemen-
tary scenarios: the monitoring of the Doñana biological reserve with very high ecological
value and high sensitivity to the impact of pollution, and the highly automated airfield
scenario, oriented to the Centre for Experimental Flight, ATLAS, in which security plays
an important role and where wireless communication and cooperative techniques pose
significant challenges.

This funding sequence supported the progress on the technology readiness level in this
field: while Planet aims at TRL7 (System prototype demonstration in typical application
scenario), ATLAS aims at TRL8 (Flight qualification through test and demonstration).

For more information:
http://www.atlascenter.aero
http://www.planet-ict.eu
http://www.catec.aero/

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3.4. Transport research areas supporting synergies

While recognising the inherent difficulties in proposing a unique set of transport priorities or
domains of particular relevance for exploitation of synergies, an exercise was carried out by the
TPC experts group to identify certain common areas and objectives contributing with strong in-
novation content at European level, and at the same time retaining a clear regional dimension.

The following table attempts to identify expected links of cohesion policy thematic objectives
with transport innovation opportunities. Authorities and stakeholders are invited to tailor these
synergy options taking into account national and regional specificities.

Cohesion policy thematic priorities

Opportunities for synergies
with Horizon 2020

1. Strengthening research, technological

development and innovation

2. Enhancing access to, and use and quality

of, information and communication
technologies (ICT)

Regional projects (funded with cohesion
policy funds) that help build research and
innovation capacity

Transport research and innovation
infrastructure that facilitates participation
in Horizon 2020 and crystallises economic
growth, e.g. technology parks, incubators,
firm cooperation, excellence centres, etc.

ICT tools for better mobility and transport
schemes — deployment of EU-funded
research project results into market
applications at European, national and
local levels

Use of ICT infrastructure for transport
simulation

3. Enhancing the competitiveness of small

Support for SMEs in the area of transport

and medium-sized enterprises, the
agricultural sector and the fisheries and
aquaculture sector

4. Supporting the shift towards a low-

carbon economy in all sectors

Regional deployment of production centres
for alternative fuels for transport

Regional demonstration of low-carbon
vehicles

Regional deployment of recharging
infrastructure for low-carbon vehicles

Regional actions for the promotion of
low-carbon mobility patterns — social
marketing

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41

5. Promoting climate change adaptation,

risk prevention and management

6. Protecting the environment and
promoting resource efficiency

Specific research activities exploring or
deploying solutions for climate change
adaptation and resilience of transport
infrastructure

Large-scale regional testing of transport
technologies that reduce resource
consumption

Transport-product recyclability projects and
activities

7. Promoting sustainable transport and
removing bottlenecks in key network
infrastructure

Solutions for multimodal and intermodal
transportation of persons and freight, from
one case project to European deployment

Transport infrastructure

Deployment, at regional level, of emerging
transport technologies, for instance
advanced ITS

8. Promoting employment and supporting

labour mobility

Activities for the promotion of transport-
related jobs, including training

9. Promoting social inclusion and

combating poverty

10. Investing in education, skills and

lifelong learning

Regional projects increasing transport
accessibility and affordability that are
scalable at European level or that are a
continuation of Horizon 2020 actions

Activities for the promotion of all types
of education and training in the field of
transport, in particular training/educational
programmes for sustainable mobility/
behaviour

11. Institutional capacity and efficient public

Supportforregionaltransportadministrations

administration

4

Barriers
and drivers
for synergies

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This section identifies the most common barriers that lead to underutilised opportunities for
streamlining efforts of cohesion and research and innovation policies and programmes. The
section also discusses the most relevant drivers and benefits of synergetic exploitation of both
funding opportunities, largely justifying the additional effort requested from both the European
Commission and the Member States to align policy objectives and coordinate the programmes’
implementation. The strategic use of funding from both programmes is expected to maxi-
mise both the impact of research and innovation on competitiveness and the leverage
effect of the EU funds. Important elements in this equation are the smart specialisation strat-
egies. Being essentially bottom-up, they streamline Member States’ and regions’ research and
innovation priorities and act as capacity-building instruments. The learning mechanisms and
skills created are expected to support the capacity of Member States and regions to participate
in Horizon 2020.

4.1. Main barriers to synergies

Horizon 2020 and the cohesion policy both provide support for research and innovation activi-
ties. During the past programming period 2007–2013, the cohesion policy support for research
and innovation would have benefited from the strategic external perspective in order to better
coordinate efforts between regions.

Important structural differences between policies and programmes often prevent exploitation
of synergies. Barriers are generally referred to as different policy aims and scope, lack of
harmonisation of the programmes’ implementation, including complex legal and financial
rules and eligibility/evaluation criteria, and insufficient coordination of responsible author-
ities at all levels leading to deficits of global analysis and often resulting in duplication of
efforts. Yet excellence in research and innovation can become a cohesion policy tool for
competitiveness and growth.

4.1.1. Different policy aims and scope

Cohesion policy funds and the research and innovation framework programme have followed
different approaches, allowing for limited programme interoperability.

Different rationale — excellence versus cohesion

• The research and innovation framework programme focuses on promoting ex-
cellence in science and is mostly technology driven, whereas the cohesion policy
stimulates regional socioeconomic development, capacity building for innovation
and growth through the promotion of innovation-friendly business environments.

• Furthermore, the focus of the research and innovation framework programme on ex-
cellence has often resulted in the concentration of funding in high-performing Member
States and regions in terms of research and innovation capacity, thus limiting syner-
gies with low performing ones, the main recipients of cohesion policy funds.

• On some occasions, the limited focus of the cohesion policy on aspects such as
critical mass, demand stimulation, market access for new forms of innovation and
emerging technologies and services has constituted an additional barrier to full
exploitation of cohesion support for research and innovation deployment.

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45

Different types of projects

The different scope is translated into different project architecture.

• The research and innovation framework programme supported projects with a
transnational perspective, requiring consortia of international partners, while the
cohesion policy supported projects selected on the basis of their economic, social
and territorial impact criteria, and this led to a larger allocation of funding to less
developed regions, and relied on regional management.

• The EU research and innovation programmes are centrally managed by the Europe-
an Commission and its executive agencies, whereas the cohesion policy funds are
implemented by shared management, and have a national and/or regional scope.

• Operational barriers also emerged from the application of State Aid Rules — lim-

iting both competition between and participation of enterprises.

Different evaluation procedures and implementing rules

• Evaluation and selection procedures, including eligibility criteria, employed by the
two programmes are different — competitive selection based on excellence versus
geographical non-competitive allocation, performed by different authorities, and
requiring different criteria and proposal formats.

• The programmes have different legal and administrative rules, instruments and
mechanisms. In-depth knowledge is required from the stakeholders to make use
of both programmes in an integrated manner, and such knowledge is often lack-
ing, especially in the case of SMEs.

4.1.2.

Insufficient coherence between different levels of governance

The survey implemented for the purposes of this report provided examples of limitations rising
from aspects such as:

•

insufficient proactive coordination and interaction between policies at different
governance levels, hampering a holistic approach between sectors and disciplines;

• different governance structures and authorities involved — the European Commis-
sion, Member States and regional authorities — with individual mandates, result-
ing in autonomous approaches towards research and innovation;

•

limited convergence of objectives resulting from national fragmentation — al-
ternative focus of certain Member States either on the research and innovation
framework programme or on the cohesion policy;

• Operational Programmes developed in parallel, often lacking external perspective,

leading to duplication of efforts within a Member State;

• high number of Operational Programmes per Member State, hindering effective

coordination;

• ownership and operational responsibilities divided between different actors (min-
istries and agencies) — science/education versus economy/employment/transport/
finance/environment, etc., these ministries having different priorities and scopes,

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with a potential for improved coordination;

• difficulty in identifying coordination mechanisms and key actors involved in the
process at cohesion policy thematic levels — responsible national or regional au-
thorities for transport research and innovation priority setting.

4.1.3.

Limited communication protocols/channels between responsible authorities

• Limited interaction of the different actors and networks involved in the agenda

setting, programming, planning and selection of activities.

• Lack of established and regular information-sharing processes and existing bur-
eaucratic burdens prevent collective ability to effectively unify efforts of manage-
ment and operational authorities.

• Lack of overarching vision and awareness on the potential mutual reinforcement
of the two programmes, amplified by the perceived high difficulty level of the re-
spective programmes.

• Scarcity of dedicated personnel.

4.2. Toolbox for synergy exploitation

© lillolillo, #60937962, 2014. Source: Fotolia.com

ERDF-funded test systems used in FP6 aeronautical projects

Two FP6 pioneering transport research projects LAPCAT (‘Long-term advanced propul-
sion concepts and technologies’) and ATLLAS (‘Aerodynamic and thermal load interac-
tions with lightweight advanced materials for high-speed flight’) used the test system
for long-endurance hypersonic technologies, Methyle, developed in France, at the Bourg-
es-Subdray plant, with support from the ERDF.

B a r r i E r s

47

The purpose of the Lapcat project is to evaluate the feasibility of a civil transport ‘aircraft’
capable of flying using different types of combined-cycle engines. Atllas focuses on the
development of composite materials capable of withstanding extreme temperatures and
intended for the structural parts and the combustion chambers of these future engines.

For more information:
Lapcat: http://cordis.europa.eu/result/report/rcn/46660_es.html
Attlas: http://cordis.europa.eu/publication/rcn/11298_en.html
http://www.deagel.com/news/MBDA-Launches-Methyle-Hypersonic-Test-Bench_
n000005031.aspx

During the previous programming period, synergies were to be found only exceptionally. None-
theless, cohesion policy fund investment in transport and research infrastructure led to in-
creased Member State capacity, contributing to stimulating in certain cases their participation
in the research framework programmes, as well as their integration into the European Re-
search Area. The project examples mentioned in this report outline cases where existing possi-
bilities have been further exploited. For the period 2014–2020 and beyond, solid preconditions
exist for synergy implementation since both instruments share the same programming period
and some of the goals (62) set out under the Europe 2020 strategy for smart, sustainable and
inclusive growth.

4.2.1.

Strategic policy planning and coordination

Joining the specific goals of the transport research programme and the wider goals of the
cohesion policy is expected to lead to better project results and to support the achievement of
both policies’ objectives. Common policy planning and priority alignment are major drivers for
synergies, leading to greater policy coherence and contributing to better exploitation and lever-
age of EU funding. Coordination of priorities would encourage participation of stakeholders
such as regions, universities and innovative SMEs in both programmes and would incentivise
their cooperation.

Setting clear objectives for central policy elements such as innovation and competitiveness
and ensuring the same strategy is shared by the different levels — supranational, national and
subnational — represent important drivers for leveraging synergies.

4.2.2.

Common programming

At programme level, coordinated implementation of both programmes strengthens the part-
nership in the programme delivery. Authorities involved in the design and delivery of the co-
hesion Operational Programmes need to strategically cooperate with authorities and bodies
involved in designing national research and innovation programmes and implementing EU re-
search and innovation priorities, e.g. national roadmaps for research infrastructure should be
linked to the European Strategy on Research Infrastructures Roadmap; when added value is
provided, complementarity of calls in terms of themes and timeframes could be ensured. Simi-

(62)

Always with the caveat of Horizon 2020 funding ‘excellence’ and ESI Funds ‘stairway to excellence’ aiming to tackle regional
disparities.

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larly, common planning and prioritisation should equally be ensured for long-term national and
regional programmes.

Furthermore, the implementation of smart specialisation priorities through coherent strategic
programmes, involving all relevant stakeholders and funding in a coordinated manner, contrib-
utes to the achievement of the Europe 2020 objectives.

4.2.3.

Smart specialisation strategies

In its regulations for the cohesion policy 2014–2020, the Commission adopted as the ex ante
condition for regions to develop smart specialisation strategies that aim to strategically use
EU cohesion funding for research and innovation and support regional entrepreneurial eco-sys-
tems. In the upstream action, the smart specialisation strategies are key elements for maxi-
mising synergies between the two policy instruments, providing the rationale and the neces-
sary coordination channel between different policy levels as well as managing authorities of
ESI Funds and national advisory bodies of Horizon 2020. In the downstream action, the smart
specialisation platform, supporting the strategies’ creation and implementation, acts as a bro-
ker linking regions and networks, and supporting new markets and proper environment creation
for innovative ideas, knowledge, projects, etc.

It is in the best interest of all responsible transport research and innovation stakeholders at
national and regional level to invest efforts into having transport included in the priority short-
list of the smart specialisation strategies, where national and regional capacities and potential
justify it.

4.2.4.

Clusters and connectivity

Collaboration between regions and clustering within the priority framework of smart special-
isation strategies represents important drivers for innovation and competitiveness. Developing
knowledge-intensive innovative clusters and providing arenas for related cross-sectorial links,
inside and outside the regions’ boundaries, will drive specialised technological diversification
— matching regional competencies with outside-world needs.

‘38 % of all European employees work in industries that concentrate regionally — in clusters
[…]. The focus of cluster programmes needs to shift from capacity building […] towards a clear
orientation on excellence, focusing on clusters with the ability to upgrade in the face of global
competition and ensuring the consistent provision of public knowledge infrastructure […]’, Euro-
pean Cluster Policy Group — Final recommendations, ‘A call for Policy Action 2010’ (63).

Multiple initiatives stimulate regional cooperation — the Public–Private Partnerships, ERA-
NETs, INTERREG (64), etc.; their added value needs to be maximised and their potential lock-in
effect avoided. Additionally, networking support provided via the FP7 Regions of Knowledge
projects (65) lead to stronger European clusters, a motor for growth in our regions.

(63)

(64)

(65)

http://www.clusterobservatory.eu/common/galleries/downloads/ECPG_Final_Report_web-low1.pdf
http://ec.europa.eu/enterprise/policies/innovation/policy/clusters/index_en.htm

http://www.civitas-initiative.org/

http://ec.europa.eu/research/regions/index_en.cfm?pg=regions_of_knowledge&lg=en

B a r r i E r s

49

Some examples of areas where collaboration could be maximised with great impact are:
sharing best practices and knowledge within regional clusters; mutual learning; investment
in human resources, in common research infrastructure and facilities; but also implementing
common marketing of innovation or creating markets for innovation via pre-commercial and
innovation procurement activities.

Regions of knowledge project defining actions to be implemented under cohe-
sion policy

The ongoing FP7 Regions of Knowledge SAGE project represents a good example of
best practice of cooperation, at both local and European level. The project represents a
network of regional research-driven clusters in Europe — the Piedmont region in Italy,
Vasta Gotaland in Sweden, the pole MOVEO in France, the Regensburg region automotive
cluster in Germany and Warsaw University of Technology in Poland. The objective is the
definition of joint innovation actions in the field of mobility to be carried out by regions,
universities, and local enterprises. These actions will be implemented using cohesion pol-
icy funds.

For more information:

http://www.sage-project.eu/home.html

4.2.5. Acknowledging the important role of SME internationalisation (66)

In a globalised world, SMEs need to be able to respond to the challenge of increasing compe-
tition from developed and emerging economies and to plug into the new market opportunities
these countries provide. There is a direct link between internationalisation and increased SME
performance. International activities reinforce growth, enhance competitiveness and support
long-term sustainability of companies. Yet European SMEs still depend largely on their do-
mestic markets despite the opportunities brought by the enlarged EU single market and by
globalisation at large. Access to activities funded at regional level seems to be easier for SMEs;

(66)

http://ec.europa.eu/enterprise/policies/sme/market-access/internationalisation

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therefore, the possibility to create further synergies with cross-border research and innovation
projects offers SMEs increased opportunities to access international collaboration and thus
opens up their innovation and market prospects.

COSME

The Competiveness and Innovation follow-up Programme (CIP) is partly included in Horizon
2020, partly transformed into an instrument called ‘Competitiveness of enterprises and SMEs’
(COSME) (67). With a budget of EUR 2.5 billion for the period 2014–2020, the latter ensures the
continuity of certain activities that were previously funded by CIP.

Horizon 2020 and COSME are serving the same objective of enhancing European growth and
job creation, but their focus is different. COSME promotes the access to risk finance for SMEs
and encourages the entrepreneurial culture in Europe, whilst Horizon 2020 supports innov-
ation-driven growth. Nevertheless, the two programmes are closely coordinated and comple-
ment each other’s activities.

COSME includes both a debt and an equity facility aiming to improve SMEs’ access to finance,
which mainly refers to ensuring EU added value and maximising the leverage effect of EU
funds by effective targeting of policy goals. The two facilities are also aimed at creating a
catalytic effect on similar existing schemes in Member States, as well as on private investment.

Horizon 2020 SME instrument (68)

Horizon 2020 contains a dedicated SME instrument, targeting all types of SMEs with innovation
potential, in a broad sense. The instrument is centrally managed and implemented primarily
in a bottom-up manner via a continuously open call (69) tailored to the needs of SMEs as set
out under the specific objective ‘Innovation in SMEs’ of Horizon 2020 (70). Uniform promotion,
implementation and monitoring of the SME instrument across Horizon 2020 will ensure easier
access for SMEs. While relying on existing SME support networks, a mentoring scheme for SME
beneficiaries is foreseen to accelerate the impact of the EU support provided. In addition, links
will be explored with relevant national and/or regional intermediaries to ensure the efficient
implementation of the mentoring scheme.

(67)

(68)

(69)

http://ec.europa.eu/cip/cosme/

http://ec.europa.eu/programmes/horizon2020/en/h2020-section/sme-instrument

http://ec.europa.eu/research/participants/portal/desktop/en/opportunities/h2020/ftags/sme_instrument.html#c,topics=flags/s/
SME/1/1&+callIdentifier/desc

(70)

http://europa.eu/rapid/press-release_MEMO-13-181_en.htm

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© Petair, #56292388, 2014. Source: Fotolia.com

Sequence of FP7 and cohesion policy projects leading to a larger European-wide
project in the area of electro-mobility supported Competitiveness and Innovation
Programme (CIP) follow-up project

A sequence of projects previously developed and funded using FP7 and cohesion policy
funds enabled the development of fundamental technology, as well as the creation of
support infrastructure essential for the implementation of the MOBI.Europe initiative.

MOBI.Europe (Integrated and Interoperable ICT Applications for Electro-Mobility in Eur-
ope) is a project funded by the Competitiveness and Innovation Programme (CIP) with a
total budget of EUR 5.1 million and an EC contribution of EUR 2.4 million. A total of five
countries participate in the consortium coordinated by INTELI — Inteligência em Inovação
(Portugal). MOBI.Europe contribute to the definition of ICT interfaces allowing e-mobility
roaming across different networks in different countries in Europe. It is built upon the
Portuguese, the Irish, the Dutch (city of Amsterdam) and the Spanish (Galician) ongoing
electro-mobility initiatives. Its main features are to: (i) make the user more comfortable to
use electric vehicles beyond the limits of ‘range anxiety’ by providing them with universal
access to an interoperable charging infrastructure independent from its energy utility and
region; (ii) promote energy-efficient mobility services through a seamless integration with
the transport system and with the EV ecosystem; (iii) contribute to the standardisation
and openness of the EV ecosystem through a system-of-systems (SoS) approach estab-
lishing open interfaces between the different systems and stakeholders; and (iv) establish
the management interface between the EV infrastructure and the electric grid, making
use of this information to create a more reliable and efficient end-to-end energy system.

For more information:
http://www.mobieurope.eu

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4.2.6.

Funding

EU financial instruments (71)

The financial instruments are an effective and efficient way to support the Europe 2020 ob-
jectives of smart, sustainable and inclusive growth. The greater use of financial instruments
will help leverage private research and innovation investments, as a demand-driven approach
is more flexible and market oriented. The EU Financial Instruments for Research and Innova-
tion (72) complement Horizon 2020 grants and can pool resources within Member States which
are willing to contribute with part of their cohesion policy funds with a view to supporting the
introduction of research results and innovative technologies/products into the market. The co-
hesion policy can contribute to EU financial instruments (73) — the equity and debt facilities
under Horizon 2020 may, where appropriate, allow the pooling of financial resources with
Member States willing to contribute part of the Structural Funds allocated to them, in accor-
dance with Article 37 of the Structural Funds Council regulation (74).

The EU financial instruments can take the form either of guarantees to financial intermediaries
(banks) that provide lending to infrastructure projects, SMEs, etc. or of risk-sharing arrange-
ments increasing the leverage capacity of the EU funds; either of equity capital, such as ven-
ture capital, to innovative high-tech companies, or SMEs with high growth potential in early
stage innovation activities.

The Horizon 2020 financial instruments (75) support the achievement of the programme’s ob-
jectives of tackling societal challenges (including transport), enhancing competitiveness, and
fostering sustainable growth. The budget allocated to these financial instruments in Horizon
2020 — EUR 3.7 billion — is located in the Industrial Leadership pillar, under the ‘Access to
risk finance’ component. 76)

Sample of transport projects supported by the Risk-Sharing Financial Facility (RSFF)

Within the EU Seventh Framework Programme for Research and
Technological Development, the Risk-Sharing Finance Facility
(RSFF) combined the EU budgetary resources and the European
Investment Bank (EIB) funding to share the risks associated
with investing in research and innovation projects (including
infrastructure projects) with a strong European dimension.
Sharing the risk between the European Commission and the EIB
allows the RSFF to produce additional loans for R & Dprojects.

RSFF loans were available to public and private sector promoters of any size and ownership
from the Member States and the countries associated to the research programme.

The project examples below reflect the type of transport-specific projects supported by this
instrument, which are relevant for the objectives of the transport research programme.
The approximate total amount of RSFF finance contracts signed between 2007–2013
adds up to EUR 80 billion (76).

(71)

(72)

(73)

(74)

(75)

(76)

http://ec.europa.eu/budget/mff/index_en.cfm

http://ec.europa.eu/economy_finance/financial_operations/investment/innovative_financial_instruments/index_en.htm

http://ec.europa.eu/regional_policy/sources/docgener/informat/2014/financial_instruments_en.pdf

http://www.consilium.europa.eu/uedocs/cms_Data/docs/pressdata/en/ec/137634.pdf (point 8(b), p. 7).

http://ec.europa.eu/research/horizon2020/pdf/workshops/access_to_risk_finance/summary_report_workshop_on_13_july_2011.pdf

http://www.eib.org/projects/loans/list/index.htm?start=2007&end=2013&region=european-union&country=&sector=transports

B a r r i E r s

53

EBERSPAECHER AUTOMOTIVE RDI
http://www.eib.org/projects/loans/2006/20060257.htm?lang=-en

POWERTRAIN R & D(A VL)
http://www.eib.org/projects/press/2007/2007-065-innovative-financing-for-austrian-
and-eu-research-and-development-rd-.htm?lang=-en

LEONI ELECTRIC CAR COMPONENTS
http://www.eib.org/projects/pipeline/2012/20120049.htm

VALEO: CAR EFFICIENCY AND SAFETY RDI
http://www.eib.org/projects/pipeline/2009/20090179.htm

ITP RDI
http://www.eib.org/projects/pipeline/2009/20090774.htm

GKN AEROSPACE RDI
http://www.eib.org/projects/pipeline/2009/20090053.htm

HELLA AUTOMOTIVE RDI RSFF
http://www.eib.org/projects/pipeline/2008/20080644.htm

SOGEFI
http://www.eib.org/projects/pipeline/2009/20090359.htm

AUTOLIV SAFETY SYSTEMS R & D
http://www.eib.org/projects/pipeline/2008/20080700.htm

ENERGY EFFICIENT CAR COMPONENTS (DRAEXELMAIER)
http://www.eib.org/projects/pipeline/2009/20090006.htm

EBERSPAECHER AUTOMOTIVE RDI
http://www.eib.org/projects/loans/2006/20060257.htm?lang=-en

RENAULT ELECTRIFICATION TECHNOLOGY
http://www.eib.org/projects/press/2012/2012-004-vehicule-electrique-la-bei-prete-180-
millions-deur-au-groupe-renault.htm

BETTER PLACE ELECTRIC VEHICLE SERVICE
http://www.eib.org/projects/pipeline/2010/20100310.htm

LANDI RENZO
http://www.eib.org/projects/pipeline/2011/20110236.htm

PIAGGIO R & D(1st loan)
http://www.eib.org/projects/pipeline/2008/20080289.htm

PIAGGIO R & DII (2nd loan)
http://www.eib.org/projects/pipeline/2012/20120054.htm

POWERTRAIN
http://www.eib.org/projects/pipeline/2011/20110087.htm

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Innovation procurement (77)

The Europe 2020 Innovation Union flagship initiative proposes measures to strengthen public
procurement as a driver for innovation in Europe. ‘Member States and regions should set aside
dedicated budgets for pre-commercial procurement (PCP) and public procurement of innovative
(PPI) products and services [with the aim to] achieve innovative procurement markets equiva-
lent to those in the United States.’ Innovation union, Commitment 17 (78).

Pre-commercial procurement is about public authorities procuring research and development
services in a phased process, exploring and comparing competing innovative solutions for spe-
cific public sector needs, with a view to developing a product or service. Public procurement of
innovative solutions promotes first application of innovative solutions with the procurer acting
as a launch customer for products or services not yet available on a large-scale commercial
basis.

The added value of innovation procurement consists in creating opportunities for European
companies to tackle current societal challenges by offering them sufficient market demand for
innovative near-the-market solutions (PPI), or in support of research-optimising technological
solutions prior to commitment of budget for deployment (PCP). National or regional procurers
(using among other sources the cohesion policy funds) can compare competing solutions and
obtain competitive prices for an innovative solution better fit for purpose and taking into ac-
count longer-term public sector requirements. Suppliers can better anticipate demand for new
solutions and shorten time to market. A public governmental contract is likely to enhance the
credibility of small companies on financial markets, thus supporting further private funding
leverage, while demand-driven innovation can largely contribute to the creation of jobs and
growth.

These procurements could be applied to top up the innovation deployment in projects financed
by the cohesion policy funds, thus fostering a form of ‘parallel synergy’, merging the support of
the two funding schemes with an increased leverage effect.

4.2.7. Other drivers

The EIT’s (79) Knowledge and Innovation Communities (80) — bring together major players from
higher education, research and business, and cover the entire innovation chain, including train-
ing and education programmes, reinforcing the journey from research to the market, innovation
projects and business incubators.

Technological platforms — further concentration on disseminating information on EU strate-
gies for market uptake would contribute to creating an enabling environment for companies
to innovate and build the needed new capacities throughout the supply chain of the transport
system, be it for vehicles, infrastructure, operations or services.

(77)

(78)

(79)

(80)

References to PPI and PCP — Horizon 2020 rules for participation, Article 49; and new EU financial regulations, Article 35.2 on
public procurement; Innovation Union flagship initiative, Commitment 17.

http://i3s.ec.europa.eu/commitments.html

http://eit.europa.eu/

http://eit.europa.eu/kics/

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55

Transport Connecting Europe Facility (81) — special attention will be paid to the coordination
of the Connecting Europe Facility implementation with Horizon 2020, supporting research and
innovation deployment into transport infrastructure projects, etc.

(81)

http://ec.europa.eu/bepa/pdf/cef_brochure.pdf

5

Conclusions and
recommendations

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5.1. Conclusions

The programming period 2014–2020 will facilitate synergies between Horizon 2020 and ESI
Fund investments. The cohesion policy funds to be invested in research and innovation are
expected to be of a magnitude comparable to Horizon 2020 or even higher. Thus, for less per-
forming regions, the cohesion policy is a major source of funding for research and innovation
activities. The purpose of this report is to emphasise the importance of exploring synergies for
fuelling innovation, economic growth and cohesion in Europe. The cohesion policy has a com-
plementary role to play with regard to that of Horizon 2020 as it will focus on capacity building
and helping to smooth the path from innovation conception to market deployment.

A systemic and comprehensive approach involving all actors engaged in Horizon 2020 and
cohesion policy programming and implementation of activities — public authorities, academia,
industry, regional innovative clusters, SMEs, national and regional innovation agencies, etc. —
could optimise the use of cohesion and research and innovation funds and create significant
impacts on public welfare.

The transport-related measures are beyond doubt among the most important research and in-
novation priorities in many Member States and regions. As one of the key priorities of the cohe-
sion policy, the transport sector has the potential for triggering additional resources for funding
research and innovation projects within Horizon 2020. In the light of the socioeconomic and
environmental medium- and long-term European goals, the planning of transport policies and
their implementation calls for a harmonisation effort amongst EU countries, setting common
objectives to be pursued, integrated at European level and instanced at national level. At policy
level, mobility, competitiveness, land use, environment and societal issues should be brought
into a common policy mix with a view to converging towards more sustainable development.

A key element for the 2014–2020 period is the role of regional research and innovation strat-
egies for smart specialisation, catalysing synergies between Horizon 2020 and the ESI Funds.
Under the current economic restraints, smart specialisation represents an innovative policy
tool that brings a fresh perspective on the debate on resource allocation in European regions.
The smart specialisation strategies align policy support and investments on key national and
regional priorities, challenges and needs for knowledge-based development, and help regions
and countries to climb the stairway to excellence and become more competitive.

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5.2. Recommendations

In order to maximise the exploitation of synergies between the policy instruments for the
2014–2020 period in the transport area, the following recommendations are presented by the
FP7 Transport Programme Committee Expert Group.

1. Setting frameworks for strategic coordination and coherent prioritisation of policies

The conditions created that favour the joint use of funds from the research and innovation
and cohesion policies in the current programming period mark major progress and should be
implemented in a framework of coherent programming, common prioritisation and strategic
coordination of policies in each Member State and at European level. The framework should
involve research and innovation and cohesion policymaking authorities, at European, national
and regional level. In that regard, effective communication and information exchange regarding
operations of the two funding mechanisms should be established between managing author-
ities of the ESI Funds and key actors of the ‘Horizon 2020 community’ in the Member States.
The European Commission has produced a synergies guide (82) aimed at actors and organisa-
tions in the Member States involved in the strategy development in the two policy fields.

2. Alignment and coordination of research and innovation and cohesion programmes

The Member States’ cooperation with the EU in facing the societal challenges ahead in gen-
eral, and those in relation to transport more specifically, requires a more proactive approach
which links Horizon 2020 to national programmes and to other sources of EU funding, such
as the cohesion policy funds, with a view to fostering economic growth and regional cohesion.
Strategic use of funding from multiple sources is expected to maximise the impact of research
on innovation advances and on competitiveness. In practical terms, the cohesion policy Part-
nership Agreements and Operational Programmes should align their priorities with the Europe
2020 strategy, the Innovation Union flagship initiative and Horizon 2020.

3. Coordination of national and regional strategic planning and prioritisation

The coordination of national and regional strategic planning and prioritisation regarding the
implementation of European programmes and funding is central for an integrated approach
to research, development and innovation activities, and requires close involvement of national
authorities and main transport research and development actors — industry, research insti-
tutions, etc. The cohesion policy represents a tool to modernise local research capacities in
terms of equipment, infrastructure, training, etc., and to stimulate investment in research and
innovation for growth and jobs.

4. Common actors’ collaboration framework

Elaboration of recommendations at the EU level concerning the cooperation between differ-
ent European and national policy and managing bodies would streamline a common strategic
approach by the involved actors, allowing the incorporation in the policies and programmes of

(82)

Enabling synergies between European Structural and Investment Funds, Horizon 2020 and other research, innovation and
competitiveness-related Union programmes - Guidance for policy-makers and implementing bodies Regional and implementing
bodies - European Commission, DG for Regional and Urban Policy, 2014 - http://ec.europa.eu/regional_policy/sources/docgener/
guides/synergy/synergies_en.pdf

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the needs and aims of the different sectors (transport, environment, competitiveness, etc.), and
while doing so, convergence towards a common goal.

5. Monitoring synergy exploitation

It would be important that each country monitors and reports on the exploitation of synergies.
National governments should facilitate this task, but without imposing the reporting burden
on the consortia implementing the downstream ‘from research to deployment of innovation’
activities. Cooperation between national and regional authorities should be strengthened. At
European level, the European Commission should promote the exchange of best practices in
this domain, and in that regard, the aforementioned guide is of high importance.

6. Simplification of the cohesion policy rules and procedures

Levels of participation in the cohesion funding could be stimulated by introducing a major
simplification of access and participation rules, thus enlarging the number of beneficiaries.
Rationalising and reducing the administrative burden related to access and financial reporting
for ESI Funds would contribute to the stimulation of synergies.

7. Synergy implementation and dissemination guidelines

The production and broad dissemination of dedicated guidelines for synergy implementation,
promoting and disseminating the overarching principles of synergies and their limitation, as
well as practical schemes for combining funds, and the legal and financial framework, in-
forming stakeholders directly participating in the value chain such as research organisations,
national and regional policymaking and management authorities, networks such as National
Contact Points (NCPs), industry and business, SMEs, etc., is strongly recommended.

8. Sustainable mobility training and education for all citizens

The EU countries are still lacking educational and awareness-raising programmes to alert
citizens of the consequences of their mobility habits and helping them to travel in a more
sustainable way. The EU countries are very diverse in terms of culture, heritage, climate,
lifestyles, etc. and it is often difficult to successfully implement the outcome of EU research,
as well as EU policies at national and regional level. In parallel, technology alone is not
sufficient to achieve major innovation implementation. Thus, policy support and synergetic
use of funds from both Horizon 2020 and the ESI Fund sources could target communication
and educational strategies and programmes. Such programmes would tailor standards and
norms at the local level through an educational approach, training citizens of tomorrow to
make our cities smarter.

9. Clearer research and innovation State Aid rules

The European Commission, national and regional authorities, as well as final beneficiaries of
EU funds, should share a common understanding of applicable financial rules, reducing admin-
istrative burden and error levels. With the aim of increasing competitiveness, clear State Aid
rules (83) and governing principles for research and innovation support (provided via Horizon

(83)

http://ec.europa.eu/competition/consultations/2013_state_aid_rdi/index_en.html

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61

2020, the ESI Funds, and the national and regional funding activities within the public and
private sector) will support the creation of ‘critical mass on the demand-side and [will] im-
prove efficiency in the allocation of resources in full respect of competition and internal market
rules’ (84).

10. Stronger involvement of the European Technological Platforms

The currently observed limited interaction between actors involved in policy making and
implementation of the research and innovation and cohesion policies could be overcome,
inter alia, by extending the focus of the ETPs — in cooperation with national and regional
technological platforms — on national and regional aspects, in addition to their main Eu-
ropean dimension. The transport ETPs could include the use of the cohesion policy funds in
their agendas and implementation plans, and report to their European and national planning
and programming forums.

11. Role of support networks

Various networks such as the Enterprise Europe Network or the National Contact Points of
Horizon 2020 should provide expert advice on the available EU funding from various sources,
allowing tailor-made support for each project idea, thus facilitating dissemination of informa-
tion on funding opportunities.

12. Smart specialisation in global value chains

Smart specialisation is enabled by participation in global value chains. Concentration of public
investments on research and innovation on particular activities is crucial for regions/countries
that are not leaders in any of the major science or technology domains. Thematic concentra-
tion in the smart specialisation context should focus investments on specific activities based
on best local knowledge, leveraging private sector investments and supporting integration in
global value chains.

(84)

http://ec.europa.eu/enterprise/initiatives/mission-growth/index_en.htm

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References

Cohesion policy 2014–20 — Investing in growth and jobs — DG Regional Policy, 2011.

Conclusions of the European Council of 27/28 June 2013 — EUCO 104/2/13. General
Secretariat of the Council, 28 June 2013.

Connecting Europe Facility 2014-2020 — Investing in Europe’s Growth — DG Mobility
and Transport, DG Energy and DG Communications Networks, Content and Technology, Sep-
tember 2012.

Enabling synergies between European Structural and Investment Funds, Horizon
2020 and other research, innovation and competitiveness-related Union programmes
- Guidance for policy-makers and implementing bodies Regional and implementing
bodies — European Commission, DG for Regional and Urban Policy, 2014

Europe 2020 Flagship Initiative — Innovation Union — Commission communication,
COM(2010) 546 final, SEC(2010) 1161, 6 October 2010.

Europe 2020 — A strategy for smart, sustainable and inclusive growth — Commission
communication, COM(2010) 2020 final, 3 March 2010.

European Cluster Policy Group final recommendations — A call for policy action —
Authors: Thea Petrin, Libor Friedel, Norbert Buzas, Christian Ketels, Constantin Christofidis, Pierre
Laffitte, Maciej Dzierzanowski, Finn Lauritzen, Juan Manuel Esteban, Bruno Lindorfer, Gert Meier
zu Kocker, Antoni Subira, Charlotta Mellander, Jean-Marc Thomas, Andrea Moltrasio, Rene Ton-
nisson, Sir Howard Newby, Antti Valle, Neville Reyner and Willem Zwalve, September 2010.

European Commission communication on cohesion policy — Cohesion policy: Strategic
report 2013 on programme implementation 2007–13, COM (2013) 210 final (European Com-
mission Staff Working Document (2013) 129 final).

European Commission communication on Horizon 2020 — Horizon 2020 — The frame-
work programme for research and innovation, COM(2011) 0808 final, 30 November 2011.

European Structural and Investment Funds 2014-2020 regulation — Regulation (EU)
No 1303/2013 of the European Parliament and of the Council of 17 December 2013 laying
down common provisions on the European Regional Development Fund, the European Social
Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the Euro-
pean Maritime and Fisheries Fund and laying down general provisions on the European Region-
al Development Fund, the European Social Fund, the Cohesion Fund and the European Maritime
and Fisheries Fund and repealing Council Regulation (EC) No 1083/2006.

Financial instruments in cohesion policy 2014–20 — DG Regional Policy, March 2014.

The goals of smart specialisation — JRC Scientific and Policy Reports, S3 Policy Brief Series
No 1/2013; Authors: Dominique Foray and Xabier Goenaga.

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63

Horizon 2020 regulation — Regulation (EU) No 1291/2013 of 11 December 2013 establish-
ing Horizon 2020 — the framework programme for research and innovation (2014–20) —and
repealing Decision No 1982/2006/EC.

Horizon 2020 rules for participation — Regulation (EU) No 1290/2013 of the European
Parliament an of the Council of 11 December 2013 laying down the rules for participation
and dissemination in ‘Horizon 2020 — the framework programme for research and innovation
(2014–20)’ and repealing Regulation (EC) No 1906/2006.

How can we improve access to risk finance in Europe? — Summary Report ‘Workshop
on financial instruments’; DG Enterprise and Industry and DG Research and Innovation, 13
July 2011.

Implementation of the synergies of research and innovation earmarked funds in
Regulation — European Parliament Resolution (EC) No 1080/2006 concerning the European
Fund of Regional Development and the Seventh Framework Programme for Research and De-
velopment, 20 May 2010.

Innovation Union Scoreboard 2013 — DG Enterprise and Industry, 2013.

New practical guide to EU funding opportunities for research and innovation — Com-
petitive European Regions through Research and Innovation, DG Research and Innovation, DG
Regional Policy and DG Enterprise and Industry, October 2011.

Knowledge for growth, prospects for science, technology and innovation — Selected
papers from European Commissioner for Science and Research Janez Potočnik’s Expert Group,
November 2009.

Questions and answers on support for SMEs in Horizon 2020 — Europa press releases
database, European Commission 7 March 2013.

The question of R & D specialisation: Perspectives and policy implications — Joint
Research Centre Scientific and Technical Report, 2009.

A recovery on the horizon? Annual report on European SMEs 2012/13 — European
Commission, Authors: Dimitri Gagliardi, Patrice Muller, Edward Glossop, Cecilia Caliandro, Mi-
chael Fritsch, Gabriela Brtkova, Nuray Unlu Bohn, Demetrius Klitou, Gavriel Avigdor, Chiara
Marzocchi and Ronnie Ramlogan, October 2013.

Regional Innovation Union Scoreboard 2014 — DG Enterprise and Industry, 2014.

Regional policy contributing to sustainable growth in Europe 2020 — European Com-
mission staff working document, COM(2011) 17, SEC(2011) 92 final, 26 January 2011.

A reinforced European research area partnership for excellence and growth — Com-
mission communication, COM(2012) 392 final (SWD(2012) 211 final, SWD(2012) 212 final),
17 July 2012.

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RIS3 guide on research and innovation strategies for smart specialisation — DG Re-
gional Policy, Authors: Dominique Foray, John Goddard, Xabier Goenaga Beldarrain, Mikel Land-
abaso, Philip McCann, Kevin Morgan, Claire Nauwelaers and Raquel Ortega-Argilés, May 2012.

The role of Universities and Research Organisations as drivers for Smart Speciali-
sation at regional level – Expert Report — European Commission, DG Research and Inno-
vation, 2014

The smart guide to innovation-based incubators (IBI) — DG Regional Policy, February 2010.

Useful websites

Horizon 2020
http://ec.europa.eu/programmes/horizon2020/en/

DG Research and Innovation — Transport
http://ec.europa.eu/research/transport/index_en.htm

DG Research and Innovation — Network of National Contact Points (NCPs)
http://ec.europa.eu/research/participants/portal/desktop/en/support/national_contact_points.html

DG Research and Innovation — FP7 Regions of Knowledge
http://ec.europa.eu/research/fp7/index_en.cfm?pg=know

European Green Vehicles Initiative

http://www.green-cars-initiative.eu/news/update-of-multiannual-roadmap-of-the-europe-
an-green-vehicles-initiative-ppp-in-horizon-2020/

Smart Specialisation Platform
http://s3platform.jrc.ec.europa.eu/home

Mobility and transport — Infrastructure — TEN-T
http://ec.europa.eu/transport/themes/infrastructure/index_en.htm

CORDIS — Practical guide to EU funding opportunities
http://cordis.europa.eu/eu-funding-guide/combine-options_en.html#scenarios

Transport Research and Innovation Portal
http://www.transport-research.info/web/

CORDIS — European Technology Platforms (ETPs)
http://cordis.europa.eu/technology-platforms/

DG Research and Innovation — Mission statement
http://ec.europa.eu/research/index.cfm?pg=dg

Joint Research Centre (JRC) — Institute for Prospective Technological Studies
https://ec.europa.eu/jrc/en/institutes/ipts

r E F E r E n c E s

65

Innovation and Networks Executive Agency (INEA)
http://inea.ec.europa.eu/

Inforegio — Structural Funds managing authorities
http://ec.europa.eu/regional_policy/manage/authority/authority_en.cfm

European Social Fund
http://ec.europa.eu/esf/home.jsp

Johannes Hahn, European Commissioner for Regional Policy
http://ec.europa.eu/commission_2010-2014/hahn/headlines/news/detail/index_
en.cfm?LAN=EN&id=655&lang=en

Inforegio — EU cohesion funding — key statistics
http://ec.europa.eu/regional_policy/thefunds/funding/index_en.cfm

Inforegio — Managing authorities
http://ec.europa.eu/regional_policy/manage/authority/authority_en.cfm

Inforegio — European Regional Development Fund
http://ec.europa.eu/regional_policy/thefunds/regional/index_en.cfm

Inforegio — Mission statement
http://ec.europa.eu/dgs/regional_policy/index_en.htm

Inforegio — Cohesion Fund
http://ec.europa.eu/regional_policy/thefunds/cohesion/index_en.cfm

Inforegio — RegioStars Awards
http://ec.europa.eu/regional_policy/projects/regiostars/regiostars_en.cfm

Inforegio — Jaspers (Joint assistance to support projects in European regions)
http://ec.europa.eu/regional_policy/thefunds/instruments/jaspers_en.cfm#2

DG Enterprise and Industry — Promoting the international activities of SMEs
http://ec.europa.eu/enterprise/policies/sme/market-access/internationalisation/

DG Enterprise and Industry — SME performance review

http://ec.europa.eu/enterprise/policies/sme/facts-figures-analysis/performance-review/

DG Enterprise and Industry — COSME (EU programme for the competitiveness of enter-
prises and small and medium-sized enterprises (SMEs))
http://ec.europa.eu/enterprise/initiatives/cosme/index_en.htm

DG Enterprise And Industry — Key Enabling Technologies
http://ec.europa.eu/enterprise/sectors/ict/key_technologies/

DG Enterprise And Industry — Regional Innovation Monitor Plus
http://ec.europa.eu/enterprise/policies/innovation/policy/regional-innovation/monitor/

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A N D T H E C O H E S I O N P O L I C Y 2 0 1 4 – 2 0 2 0

European innovation partnerships
http://ec.europa.eu/research/innovation-union/index_en.cfm?pg=eip

European Institute of Innovation and Technology (EIT) — Knowledge and innovation com-
munities (KICs)
http://eit.europa.eu/kics/

EIT awards
http://www.eitawards.eu/index.aspx

European Investment Bank — Finance contracts signed
http://www.eib.org/projects/loans/list/index.htm?lang=en&start=2007&end=2013&region=eu-
ropean-union&country=&sector=transports

European Commission – Financial programming and budget
http://ec.europa.eu/budget/mff/index_en.cfm

DG Economic and Financial Affairs — Innovative financial instruments
http://ec.europa.eu/economy_finance/financial_operations/investment/innovative_financial_
instruments/index_en.htm

European research area
http://ec.europa.eu/research/era/index_en.htm

European research area — Joint programming
http://ec.europa.eu/research/era/joint-programming_en.html

European research area — ERA Chairs
http://ec.europa.eu/research/era/era-chairs_en.html

Erawatch
http://erawatch.jrc.ec.europa.eu/

DG Employment, Social Affairs and Inclusion
http://ec.europa.eu/social/home.jsp?langId=en

Digital agenda for Europe

http://ec.europa.eu/digital-agenda/en/scoreboard

Committee Of The Regions
http://cor.europa.eu/Pages/welcome.html

Organisation for Economic Cooperation and Development (OECD)
http://www.oecd.org/about/

Clusterobservatory
http://www.clusterobservatory.eu/index.html

r E F E r E n c E s

67

European Association of Development Agencies (Eurada)
http://www.eurada.org/index.php?option=com_content&view=arti-
cle&id=54&Itemid=149&lang=en&option=com_content&view=arti-
cle&id=54&Itemid=149&layout=default

European Regions Research and Innovation Network (ERRIN)
http://www.errin.eu/

Enterprise Europe Network
http://een.ec.europa.eu/

European Cities and Regions Networking for Innovative Transport Solutions (POLIS)
http://www.polisnetwork.eu/

Civitas initiative
http://www.civitas-initiative.org/

68

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A N D T H E C O H E S I O N P O L I C Y 2 0 1 4 – 2 0 2 0

ANNEX I

FP7 Coverage Report

Transport Research in the Seventh Framework Programme (2007–2013):
Statistics on Regional Participation and Specialisation May 2014

Introduction

The present report provides an overview of the regional participation in FP7 transport research,
the corresponding distribution of funds and the relative degree of specialisation of the Euro-
pean regions.

The report presents statistical information on the number of participations and the amounts
of funding for each NUTS 2 region (88) disaggregated by type of activity, type of entity and role
in the project. It also attempts to yield some insights on regional transport research speciali-
sation by comparing each region’s transport research scores with its general FP7 performance.

As a reminder, the transport theme of FP7 was allocated a total budget of EUR 4.16 billion
over the duration of the programme, of which EUR 2.2 billion was allocated to the calls for pro-
posals. For the purposes of this report, only the funding for calls has been taken into account.

FP7 transport research participation and funding by region

This section provides a succinct overview of regional participation in FP7 transport research.
It covers in more detail the 30 best-performing regions in terms of participations and funding,
including a breakdown by sub-theme, by objective and by type of participant.

Regional participation in FP7 transport

The table below presents a full overview of NUTS 2 regions that benefited from FP7 funding in
transport (the regions without FP7 transport research participants are not listed)

(88)

NUTS 2 = basic regions for the application of regional policies. There are currently 270 NUTS 2 regions in the European Union

a n n E x i

69

NUTS 2 region

Number of
participations

EC funding absorbed
in transport research
(overall)

Austria

AT11 — Burgenland (A)

AT12 — Niederösterreich

AT13 — Wien

AT22 — Steiermark

AT31 — Oberösterreich

AT32 — Salzburg

AT33 — Tirol

AT34 — Vorarlberg

Belgium

BE10 — Région de Bruxelles-

Capitale / Brussels
Hoofdstedelijk Gewest

BE21 — Prov. Antwerpen

BE22 — Prov. Limburg (B)

BE23 — Prov. Oost-Vlaanderen

BE24 — Prov. Vlaams-Brabant

BE25 — Prov. West-Vlaanderen

BE31 — Prov. Brabant Wallon

BE32 — Prov. Hainaut

BE33 — Prov. Liège

BE35 — Prov. Namur

Bulgaria

BG32 — Severen tsentralen

BG33 — Severoiztochen

BG41 — Yugozapaden

BG42 — Yuzhen tsentralen

Cyprus

CY00 — Kypros / Kibris

2

8

84

49

18

3

3

2

276

24

3

8

106

8

16

30

23

5

2

3

19

2

14

EUR 655 483

EUR 2 276 001

EUR 15 146 603

EUR 19 185 045

EUR 6 250 315

EUR 518 773

EUR 961 846

EUR 479 931

EUR 52 299 384

EUR 5 537 157

EUR 910 995

EUR 1 553 311

EUR 22 851 161

EUR 1 459 274

EUR 3 722 212

EUR 9 674 619

EUR 6 759 743

EUR 978 674

EUR 247 359

EUR 283 992

EUR 970 029

EUR 496 125

EUR 1 368 498

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A N D T H E C O H E S I O N P O L I C Y 2 0 1 4 – 2 0 2 0

Czech Republic

CZ01 — Praha

CZ02 — Stredni Cechy

CZ03 — Jihozapad

CZ05 — Severovychod

CZ06 — Jihovychod

CZ07 — Stredni Morava

CZ08 — Moravskoslezsko

Germany

DE11 — Stuttgart

DE12 — Karlsruhe

DE13 — Freiburg

DE14 — Tübingen

DE21 — Oberbayern

DE23 — Oberpfalz

DE24 — Oberfranken

DE25 — Mittelfranken

DE26 — Unterfranken

DE27 — Schwaben

DE30 — Berlin

DE42 — Brandenburg-

Südwest

DE50 — Bremen

DE60 — Hamburg

DE71 — Darmstadt

DE72 — Gießen

DE73 — Kassel

DE80 — Mecklenburg-Vorpo-

mmern

DE91 — Braunschweig

DE92 — Hannover

DE93 — Lüneburg

DE94 — Weser-Ems

DEA1 — Düsseldorf

DEA2 — Köln

DEA3 — Münster

DEA4 — Detmold

41

3

3

4

27

10

2

80

49

5

17

241

1

2

5

6

23

97

24

28

102

49

2

1

13

41

32

2

22

25

229

4

7

EUR 10 137 843

EUR 561 578

EUR 582 245

EUR 420 102

EUR 7 173 874

EUR 1 265 546

EUR 166 592

EUR 22 588 129

EUR 14 380 910

EUR 720 043

EUR 8 374 809

EUR 85 949 641

EUR 170 231

EUR 754 799

EUR 871 320

EUR 1 503 074

EUR 14 914 804

EUR 20 809 970

EUR 12 188 168

EUR 7 848 257

EUR 32 637 200

EUR 9 512 330

EUR 230 400

EUR 123 899

EUR 2 265 089

EUR 14 489 604

EUR 7 952 409

EUR 343 909

EUR 7 204 895

EUR 4 857 528

EUR 96 594 220

EUR 2 910 813

EUR 2 220 466

DEA5 — Arnsberg

DEB1 — Koblenz

DEB3 — Rheinhessen-Pfalz

DEC0 — Saarland

DED1 — Chemnitz

DED2 — Dresden

DED3 — Leipzig

DEE0 — Sachsen-Anhalt

DEF0 — Schleswig-Holstein

DEG0 — Thüringen

Denmark

DK01 — Hovedstaden

DK03 — Syddanmark

DK04 — Midtjylland

DK05 — Nordjylland

Estonia

EE00 — Eesti

Greece

EL12 — Kentriki Makedonia

EL13 — Dytiki Makedonia

EL14 — Thessalia

EL21 — Ipeiros

EL22 — Ionia Nisia

EL23 — Dytiki Ellada

EL30 — Attiki

EL41 — Voreio Aigaio

EL42 — Notio Aigaio

EL43 — Kriti

Finland

FI13 — Itä-Suomi

FI18 — Etelä-Suomi

FI19 — Länsi-Suomi

FI1A — Pohjois-Suomi

14

1

12

3

4

26

2

2

17

4

43

6

5

5

11

50

2

2

3

1

32

118

3

1

9

1

79

17

1

a n n E x i

71

EUR 3 340 226

EUR 214 250

EUR 4 044 323

EUR 645 843

EUR 978 720

EUR 8 797 002

EUR 564 524

EUR 488 667

EUR 5 749 786

EUR 1 105 320

EUR 10 112 732

EUR 854 113

EUR 1 444 105

EUR 843 674

EUR 1 030 374

EUR 8 928 135

EUR 265 150

EUR 162 137

EUR 885 060

EUR 54 215

EUR 7 872 982

EUR 26 265 386

EUR 592 896

EUR 48 444

EUR 1 337 347

EUR 56 250

EUR 15 852 276

EUR 5 771 410

EUR 73 368

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A N D T H E C O H E S I O N P O L I C Y 2 0 1 4 – 2 0 2 0

France

FR10 — Île de France

FR21 — Champagne-Ardenne

FR22 — Picardie

FR23 — Haute-Normandie

FR24 — Centre

FR25 — Basse-Normandie

FR26 — Bourgogne

FR30 — Nord - Pas-de-Calais

FR41 — Lorraine

FR42 — Alsace

FR43 — Franche-Comté

FR51 — Pays de la Loire

FR52 — Bretagne

FR53 — Poitou-Charentes

FR61 — Aquitaine

FR62 — Midi-Pyrénées

FR63 — Limousin

FR71 — Rhône-Alpes

FR72 — Auvergne

FR81 — Languedoc-Roussillon

FR82 — Provence-Alpes-Côte

d’Azur

Hungary

HU10 — Kozep-Magyarorszag

HU22 — Nyugat-Dunantul

HU32 — Eszak-Alfold

HU33 — Del-Alfold

Ireland

IE02 - Southern and Eastern

Italy

ITC1 — Piemonte

ITC3 — Liguria

ITC4 — Lombardia

ITD2 — Provincia Autonoma Trento

ITD3 — Veneto

724

1

10

9

4

1

1

17

7

13

6

19

6

8

30

125

1

68

2

3

32

54

1

1

1

38

165

73

133

7

19

EUR 241 152 740

EUR 258 454

EUR 1 388 199

EUR 4 551 397

EUR 1 272 121

EUR 96 820

EUR 48 960

EUR 2 822 908

EUR 1 050 801

EUR 4 432 207

EUR 1 281 327

EUR 4 151 168

EUR 1 528 846

EUR 675 637

EUR 10 609 891

EUR 37 342 981

EUR 152 702

EUR 15 585 522

EUR 471 005

EUR 522 636

EUR 5 943 326

EUR 6 129 742

EUR 65 936

EUR 71 000

EUR 76 308

EUR 11 962 111

EUR 54 700 900

EUR 17 217 492

EUR 35 614 301

EUR 1 512 563

EUR 3 901 491

ITD4 — Friuli-Venezia Giulia

ITD5 — Emilia-Romagna

ITE1 — Toscana

ITE2 — Umbria

ITE3 — Marche

ITE4 — Lazio

ITF1 — Abruzzo

ITF3 — Campania

ITF4 — Puglia

ITF5 — Basilicata

ITF6 — Calabria

ITG1 — Sicilia

ITG2 — Sardegna

Lithuania

LT00 — Lietuva

Luxembourg

LU00 — Luxembourg

(Grand-Duché)

Latvia

LV00 — Latvija

Malta

MT — Malta

Netherlands

NL11 — Groningen

NL21 — Overijssel

NL22 — Gelderland

NL23 — Flevoland

NL31 — Utrecht

NL32 — Noord-Holland

NL33 — Zuid-Holland

NL34 — Zeeland

NL41 — Noord-Brabant

NL42 — Limburg (NL)

13

34

42

2

2

175

7

81

15

3

1

2

6

17

13

6

7

3

18

22

1

17

106

216

3

30

7

a n n E x i

73

EUR 3 733 150

EUR 5 903 809

EUR 8 815 098

EUR 420 000

EUR 463 725

EUR 40 934 507

EUR 1 330 768

EUR 21 298 311

EUR 3 230 099

EUR 1 614 717

EUR 51 900

EUR 859 558

EUR 624 574

EUR 1 135 608

EUR 2 152 374

EUR 772 423

EUR 1 310 578

EUR 556 527

EUR 3 469 230

EUR 7 022 797

EUR 153 225

EUR 2 328 319

EUR 38 853 994

EUR 51 545 952

EUR 252 147

EUR 9 347 472

EUR 833 378

74

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A N D T H E C O H E S I O N P O L I C Y 2 0 1 4 – 2 0 2 0

Poland

PL11 — Lodzkie

PL12 — Mazowieckie

PL21 — Malopolskie

PL22 — Slaskie

PL31 — Lubelskie

PL32 — Podkarpackie

PL34 — Podlaskie

PL41 — Wielkopolskie

PL42 — Zachodniopomorskie

PL51 — Dolnoslaskie

PL61 — Kujawsko-Pomorskie

PL62 — Warminsko-Mazurskie

PL63 — Pomorskie

Portugal

PT11 — Norte

PT15 — Algarve

PT16 — Centro (P)

PT17 — Lisboa

PT18 — Alentejo

Romania

RO11 — Nord-Vest

RO12 — Centru

RO21 — Nord-Est

RO22 — Sud-Est

RO31 — Sud - Muntenia

RO32 — Bucuresti - Ilfov

RO41 — Sud-Vest Oltenia

RO42 — Vest

Sweden

SE11 — Stockholm

SE12 — Östra Mellansverige

SE21 — Småland med öarna

SE22 — Sydsverige

2

66

3

7

5

16

1

14

2

6

1

1

27

20

2

21

79

1

1

3

3

10

3

42

2

4

98

55

3

16

EUR 201 649

EUR 8 456 301

EUR 503 030

EUR 1 559 970

EUR 726 655

EUR 3 354 853

EUR 44 505

EUR 2 162 136

EUR 262 230

EUR 1 294 376

EUR 35 100

EUR 50 928

EUR 3 522 376

EUR 2 797 642

EUR 520 123

EUR 3 531 160

EUR 14 069 763

EUR 29 659

EUR 182 406

EUR 589 560

EUR 128 324

EUR 661 222

EUR 961 530

EUR 6 221 643

EUR 173 440

EUR 330 543

EUR 24 171 248

EUR 14 580 734

EUR 482 998

EUR 2 580 522

SE23 — Västsverige

SE31 — Norra Mellansverige

SE33 — Övre Norrland

Slovenia

SI01 — Vzhodna Slovenija

SI02 — Zahodna Slovenija

Slovakia

SK01 — Bratislavsky kraj

SK02 — Zapadne Slovensko

SK03 — Stredne Slovensko

SK04 — Vychodne Slovensko

Spain

ES11 — Galicia

ES12 — Principado de Asturias

ES13 — Cantabria

ES21 — País Vasco

ES22 — Comunidad Foral de

Navarra

ES24 — Aragón

ES30 — Comunidad de Madrid

ES41 — Castilla y León

ES51 — Cataluña

ES52 — Comunidad Valenciana

ES53 — Illes Balears

ES61 — Andalucía

ES70 — Canarias

United Kingdom

UKC2 — Northumberland and

Tyne and Wear

UKD2 — Cheshire

UKD3 — Greater Manchester

UKD4 — Lancashire

UKD5 — Merseyside

UKE1 — East Yorkshire and

Northern Lincolnshire

149

24

27

6

31

2

1

13

5

24

3

2

104

3

19

219

26

81

25

2

14

2

45

5

23

2

11

2

a n n E x i

75

EUR 53 428 220

EUR 2 878 471

EUR 7 178 926

EUR 1 043 397

EUR 4 753 018

EUR 14 100

EUR 19 950

EUR 1 004 413

EUR 1 145 726

EUR 3 950 612

EUR 715 338

EUR 574 720

EUR 30 597 913

EUR 550 386

EUR 3 385 633

EUR 43 304 999

EUR 5 573 329

EUR 15 537 035

EUR 4 089 433

EUR 218 538

EUR 3 386 330

EUR 256 948

EUR 11 859 382

EUR 1 072 420

EUR 3 328 223

EUR 337 583

EUR 2 613 961

EUR 571 194

76

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A N D T H E C O H E S I O N P O L I C Y 2 0 1 4 – 2 0 2 0

UKE2 — North Yorkshire

UKE3 — South Yorkshire

UKE4 — West Yorkshire

UKF1 — Derbyshire and Not-

tinghamshire

UKF2 — Leicestershire, Rutland

and Northamptonshire

UKG1 — Herefordshire,

Worcestershire and Warwick-
shire

UKG2 — Shropshire and Staf-

fordshire

UKG3 — West Midlands

UKH1 — East Anglia

UKH2 — Bedfordshire and

Hertfordshire

UKH3 — Essex

UKI1 — Inner London

UKI2 — Outer London

UKJ1 — Berkshire, Bucking-
hamshire and Oxfordshire

UKJ2 — Surrey, East and West

Sussex

UKJ3 — Hampshire and Isle of

Wight

UKJ4 — Kent

UKK1 — Gloucestershire, Wilt-
shire and Bristol/Bath area

UKK2 — Dorset and Somerset

UKK3 — Cornwall and Isles of

Scilly

UKK4 — Devon

UKL1 — West Wales and The

Valleys

UKL2 — East Wales

UKM2 — Eastern Scotland

UKM3 — South Western Scot-

land

UKN0 — Northern Ireland

4

22

25

30

25

10

3

36

30

42

2

143

24

49

43

76

6

48

8

1

10

2

3

13

35

14

EUR 1 689 417

EUR 5 777 112

EUR 6 784 796

EUR 7 848 646

EUR 7 167 690

EUR 6 114 842

EUR 590 410

EUR 11 851 456

EUR 9 605 900

EUR 12 351 185

EUR 224 579

EUR 37 574 503

EUR 7 926 622

EUR 12 532 793

EUR 9 946 468

EUR 20 354 673

EUR 1 945 222

EUR 15 569 313

EUR 5 750 512

EUR 139 951

EUR 2 523 917

EUR 442 425

EUR 624 876

EUR 2 606 400

EUR 9 617 029

EUR 4 443 484

a n n E x i

77

Top 30 regions for number of participations —
total and by sub-theme

0

200

400

600

800

FR10 — Île de France
BE10 — Région de Bruxelles-Capitale
/ Brussels Hoofdstedelijk Gewest
DE21 — Oberbayern
DEA2 — Köln
ES30 — Comunidad de Madrid
NL33 — Zuid-Holland
ITE4 — Lazio
ITC1 — Piemonte
SE23 — Västsverige
UKI1 — Inner London
ITC4 — Lombardia
FR62 — Midi-Pyrénées
EL30 — Attiki
NL32 — Noord-Holland
BE24 — Prov. Vlaams-Brabant
ES21 — País Vasco
DE60 — Hamburg
SE11 — Stockholm
DE30 — Berlin
AT13 — Wien
ES51 — Cataluña
ITF3 — Campania
DE11 — Stuttgart
PT17 — Lisboa
FI18 — Etelä-Suomi
UKJ3 — Hampshire and Isle of Wight
ITC3 — Liguria
FR71 — Rhône-Alpes
PL12 — Mazowieckie
SE12 — Östra Mellansverige

Chart 1

Surface transport

Aeronautics

Cross-cutting

78

S Y N E R G I E S B E T W E E N T H E T R A N S P O R T C O M P O N E N T O F H O R I Z O N 2 0 2 0
A N D T H E C O H E S I O N P O L I C Y 2 0 1 4 – 2 0 2 0

Top 30 regions for number of participations —
total and by contractors’ role

0

100

200

300

400

500

600

700

800

FR10 — Île de France
BE10 — Région de Bruxelles-Capitale /
Brussels Hoofdstedelijk Gewest
DE21 — Oberbayern
DEA2 — Köln
ES30 — Comunidad de Madrid
NL33 — Zuid-Holland
ITE4 — Lazio
ITC1 — Piemonte
SE23 — Västsverige
UKI1 — Inner London
ITC4 — Lombardia
FR62 — Midi-Pyrénées
EL30 — Attiki
NL32 — Noord-Holland
BE24 — Prov. Vlaams-Brabant
ES21 — País Vasco
DE60 — Hamburg
SE11 — Stockholm
DE30 — Berlin
AT13 — Wien
ES51 — Cataluña
ITF3 — Campania
DE11 — Stuttgart
PT17 — Lisboa
FI18 — Etelä-Suomi
UKJ3 — Hampshire and Isle of Wight
ITC3 — Liguria
FR71 — Rhône-Alpes
PL12 — Mazowieckie
SE12 — Östra Mellansverige

Chart 2

Participant

Coordinator

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Top 30 regions for number of participations —
breakdown by type of participant

0 % 10 % 20 % 30 % 40 % 50 % 60 % 70 % 80 % 90 % 100 %

FR10 — Île de France
DEA2 — Köln
DE21 — Oberbayern
ITC1 — Piemonte
SE23 — Västsverige
BE10 — Région de Bruxelles-Capitale /
Brussels Hoofdstedelijk Gewest
NL33 — Zuid-Holland
ES30 — Comunidad de Madrid
ITE4 — Lazio
NL32 — Noord-Holland
UKI1 — Inner London
FR62 — Midi-Pyrénées
ITC4 — Lombardia
DE60 — Hamburg
ES21 — País Vasco
EL30 — Attiki
SE11 — Stockholm
BE24 — Prov. Vlaams-Brabant
DE11 — Stuttgart
ITF3 — Campania
DE30 — Berlin
UKJ3 — Hampshire and Isle of Wight
ITC3 — Liguria
FI18 — Etelä-Suomi
FR71 — Rhône-Alpes
ES51 — Cataluña
AT13 — Wien
PL12 — Mazowieckie
PT17 — Lisboa
SE12 — Östra Mellansverige

Private companies

SMEs

Research companies

Higher and secondary education

Public bodies

Other

Chart 3

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S Y N E R G I E S B E T W E E N T H E T R A N S P O R T C O M P O N E N T O F H O R I Z O N 2 0 2 0
A N D T H E C O H E S I O N P O L I C Y 2 0 1 4 – 2 0 2 0

Top 30 regions for funding (in million EUR) —

total and by sub-theme

0

100

200

300

FR10 — Île de France
DEA2 — Köln
DE21 — Oberbayern
ITC1 — Piemonte
SE23 — Västsverige
BE10 — Région de Bruxelles-Capitale /
Brussels Hoofdstedelijk Gewest
NL33 — Zuid-Holland
ES30 — Comunidad de Madrid
ITE4 — Lazio
NL32 — Noord-Holland
UKI1 — Inner London
FR62 — Midi-Pyrénées
ITC4 — Lombardia
DE60 — Hamburg
ES21 — País Vasco
EL30 — Attiki
SE11 — Stockholm
BE24 — Prov. Vlaams-Brabant
DE11 — Stuttgart
ITF3 — Campania
DE30 — Berlin
UKJ3 — Hampshire and Isle of Wight
AT22 — Steiermark
ITC3 — Liguria
FI18 — Etelä-Suomi
FR71 — Rhône-Alpes
UKK1 — Gloucestershire, Wiltshire and
Bristol/Bath area
ES51 — Cataluña
AT13 — Wien
DE27 — Schwaben

Chart 4

Surface transport

Aeronautics

Cross-cutting

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European Commission absorbed in transport research (overall)

Less than EUR 1 million

EUR 1 million–5 million

EUR 6 million–10 million

EUR 11 million–50 million

EUR 51 million–241 million

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A N D T H E C O H E S I O N P O L I C Y 2 0 1 4 – 2 0 2 0

Top 30 regions for funding —
breakdown by type of participant

0% 1 0 % 20 % 30 % 40 % 50 % 60 % 70 % 80 % 90 % 100 %

FR10 — Île de France
DEA2 — Köln
DE21 — Oberbayern
ITC1 — Piemonte
SE23 — Västsverige
BE10 — Région de Bruxelles-Capitale /
Brussels Hoofdstedelijk Gewest
NL33 — Zuid-Holland
ES30 — Comunidad de Madrid
ITE4 — Lazio
NL32 — Noord-Holland
UKI1 — Inner London
FR62 — Midi-Pyrénées
ITC4 — Lombardia
DE60 — Hamburg
ES21 — País Vasco
EL30 — Attiki
SE11 — Stockholm
BE24 — Prov. Vlaams-Brabant
DE11 — Stuttgart
ITF3 — Campania
DE30 — Berlin
UKJ3 — Hampshire and Isle of Wight
AT22 — Steiermark
ITC3 — Liguria
FI18 — Etelä-Suomi
FR71 — Rhône-Alpes
UKK1 — Gloucestershire, Wiltshire and
Bristol/Bath area
ES51 — Cataluña
AT13 — Wien
DE27 — Schwaben

Private companies

SMEs

Research companies

Higher and secondary education

Public bodies

Other

Chart 5

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Top 30 regions for aviation research by funding
(in million EUR)

0

50

100

150

200

FR10 — Île de France
DEA2 — Köln
DE21 — Oberbayern
NL32 — Noord-Holland
FR62 — Midi-Pyrénées
UKI1 — Inner London
ITC4 — Lombardia
ES30 — Comunidad de Madrid
ITF3 — Campania
ES21 — País Vasco
DE60 — Hamburg
ITE4 — Lazio
SE23 — Västsverige
SE11 — Stockholm
NL33 — Zuid-Holland
UKK1 — Gloucestershire, Wiltshire and
Bristol/Bath area
UKJ3 — Hampshire and Isle of Wight
BE24 — Prov. Vlaams-Brabant
EL30 — Attiki
DE42 — Brandenburg — Südwest
ITC1 — Piemonte
UKH2 — Bedfordshire and Hertfordshire
BE10 — Région de Bruxelles-Capitale /
Brussels Hoofdstedelijk Gewest
FR61 — Aquitaine
CZ01 — Praha
BE32 — Prov. Hainaut
DE11 — Stuttgart
SE12 — Östra Mellansverige
EL23 — Dytiki Ellada
ES51 — Cataluña

Chart 6
Chart 6

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European Commission funding absorbed in aviation

EUR 5.1 million–10 million

EUR 1.1 million–5 million

EUR 10.1 million–50 million

EUR 50.1 million–166.1 million

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Top 30 regions for aviation research —

breakdown by objective

FR10 — Île de France
DEA2 — Köln
DE21 — Oberbayern
NL32 — Noord-Holland
FR62 — Midi-Pyrénées
UKI1 — Inner London
ITC4 — Lombardia
ES30 — Comunidad de Madrid
ITF3 — Campania
ES21 — País Vasco
DE60 — Hamburg
ITE4 — Lazio
SE23 — Västsverige
SE11 — Stockholm
NL33 — Zuid-Holland
UKK1 — Gloucestershire, Wiltshire and
Bristol/Bath area
UKJ3 — Hampshire and Isle of Wight
BE24 — Prov. Vlaams-Brabant
EL30 — Attiki
DE42 — Brandenburg — Südwest
ITC1 — Piemonte
UKH2 — Bedfordshire and Hertfordshire
BE10 — Région deBruxelles-Capitale /
Brussels Hoofdstedelijk Gewest

FR61 — Aquitaine
CZ01 — Praha
BE32 — Prov. Hainaut
DE11 — Stuttgart
SE12 — Östra Mellansverige
EL23 — Dytiki Ellada
ES51 — Cataluña

Coordinated calls for international cooperation

Cross-cutting activities for implementation of the sub-theme programme

Ensuring customer satisfaction and safety

Improving cost eﬃciency

Increasing time eﬃciency

Pioneering the air transport of the future

Protection of aircraft and passengers

The greening of air transport

Transport (including aeronautics)

Chart 7

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A N D T H E C O H E S I O N P O L I C Y 2 0 1 4 – 2 0 2 0

Top 30 regions for surface transport research by
funding (in million EUR)

0

20

40

60

80

FR10—Île de France
ITC1—Piemonte
SE23—Västsverige
BE10—Région de Bruxelles-Capitale /
Brussels Hoofdstedelijk Gewest
NL33—Zuid-Holland
DE21—Oberbayern
DEA2—Köln
ES30—Comunidad de Madrid
ITE4—Lazio
DE30—Berlin
AT22—Steiermark
ITC3—Liguria
UKI1—Inner London
DE60—Hamburg
DE11—Stuttgart
EL30—Attiki
FI18—Etelä-Suomi
ES21—País Vasco
AT13—Wien
ITC4—Lombardia
UKC2—Northumberland and Tyne and Wear
DE27—Schwaben
DE91—Braunschweig
FR71—Rhône-Alpes
UKM3—South Western Scotland

UKJ1—Berkshire, Buckinghamshire and Oxfordshire
BE24—Prov. Vlaams-Brabant
PT17—Lisboa
SE11—Stockholm
DK01—Hovedstaden

Chart 8

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European Commission funding absorbed in surface transport research

EUR 1 million–5 million

EUR 6 million–10 million

EUR 11 million–20 million

EUR 21 million–73 million

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Top 30 regions for surface transport research —

breakdown by objective

0 % 10 % 20 % 30 % 40 % 50 % 60 % 70 % 80 % 90 %100 %

FR10 — Île de France
ITC1 — Piemonte
SE23 — Västsverige
BE10 — Région de Bruxelles-Capitale / Brussels Hoofdstedelijk Gewest
NL33 — Zuid-Holland
DE21 — Oberbayern
DEA2 — Köln
ES30 — Comunidad de Madrid
ITE4 — Lazio
DE30 — Berlin
AT22 — Steiermark
ITC3 — Liguria
UKI1 — Inner London
DE60 — Hamburg
DE11 — Stuttgart
EL30 — Attiki
FI18 — Etelä-Suomi
ES21 — País Vasco
AT13 — Wien
ITC4 — Lombardia
UKC2 — Northumberland and Tyne and Wear
DE27 — Schwaben
DE91 — Braunschweig
FR71 — Rhône-Alpes
UKM3 — South Western Scotland
UKJ1 — Berkshire, Buckinghamshire and Oxfordshire
BE24 — Prov. Vlaams-Brabant
PT17 — Lisboa
SE11 — Stockholm
DK01 — Hovedstaden

‘Green cars’ public–private partnership

Cross-cutting activities for implementation of the sub-theme programme

Encouraging modal shift and decongesting transport corridors

Ensuring sustainable urban mobility

Improving safety and security

Strengthening competitiveness

The ‘European green cars initiative’

The greening of surface transport

The ‘Ocean of tomorrow’ Joining research forces to meet challenges in ocean management

Chart 9

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Transport research regional specialisation

This section explores the degree of transport research specialisation of the EU regions (based
on FP7 data). For any given region, the ratio between transport research funding and the over-
all FP7 funding absorbed by the region is assumed as an indicator of relative specialisation.
(The weighting of data — either in comparative terms or in relation to absolute funding levels
— helps contextualise and clarify the relevance of the specialisation evidence.)

Top 30 beneﬁciary regions: transport research
specialisation (transport research as % of total

0 %

5 %

10 % 15 % 20 % 25 % 30 % 35 % 40 %

DE27 — Schwaben
FR62 — Midi-Pyrénées
ITF3 — Campania
ITC1 — Piemonte
SE23 — Västsverige
DE60 — Hamburg
DEA2 — Köln
UKJ3 — Hampshire and Isle of Wight
ITC3 — Liguria
AT22 — Steiermark
BE10 — Région de Bruxelles-Capitale /
Brussels Hoofdstedelijk Gewest
ES21 — País Vasco
DE11 — Stuttgart
FR10 — Île de France
NL32 — Noord-Holland
NL33 — Zuid-Holland
DE21 — Oberbayern
ITC4 — Lombardia
BE24 — Prov. Vlaams-Brabant
EL30 — Attiki
ITE4 — Lazio
DE30 — Berlin
ES30 — Comunidad de Madrid
FR71 — Rhône-Alpes
UKK1 — Gloucestershire, Wiltshire and
Bristol/Bath area
SE11 — Stockholm
AT13 — Wien
UKI1 — Inner London
FI18 — Etelä-Suomi
ES51 — Cataluña

Chart 10 (5 % is assumed to be the ‘specialisation threshold’ because the budget for
transport research calls — EUR 2.2 billion — represents approximately 5 % of the total
budget of all FP7 calls)

90

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The regions most focused on transport research

PL32 — Podkarpackie

AT11 — Burgenland (A)

DE27 — Schwaben

FR23 — Haute-Normandie

EL22 — Ionia Nisia

UKK2 — Dorset and Somerset
UKG1 — Herefordshire,
Worcestershire and Warwickshire
FR62 — Midi-Pyrénées

BE32 — Prov. Hainaut

EL42 — Notio Aigaio

ITF3 — Campania

DE42 — Brandenburg — Südwest

RO31 — Sud — Muntenia

CZ07 — Stredni Morava

ITC1 — Piemonte

EL13 — Dytiki Makedonia

SK03 — Stredne Slovensko

FR61 — Aquitaine

RO22 — Sud-Est

SE23 — Västsverige

DE60 — Hamburg

DEA2 — Köln

UKH2 — Bedfordshire and Hertfordshire

SE31 — Norra Mellansverige

EL23 — Dytiki Ellada

PL63 — Pomorskie

DE94 — Weser-Ems

RO12 — Centru

ITF5 — Basilicata

HR03 — Jadranska Hrvatska

46.9 %

37.8 %

35.5 %

30.3 %

29.1 %

28.0 %

24.9 %

22.4 %

21.1 %

18.7 %

17.4 %

16.3 %

16.2 %

16.1 %

16.0 %

16.0 %

14.6 %

14.5 %

14.3 %

14.1 %

14.0 %

13.6 %

12.9 %

12.9 %

12.0 %

11.6 %

11.4 %

11.2 %

11.0 %

10.0 %

Chart 11 (in light blue: regions absorbing less than EUR 2 million)

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Specialisation in transport research as % of total FP7 European Commission funding

0-2 %

6-10 %

21-47 %

3-5 %

11-20 %

92

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A N D T H E C O H E S I O N P O L I C Y 2 0 1 4 – 2 0 2 0

The regions most focused on aviation research

PL32 — Podkarpackie

AT11 — Burgenland (A)

FR23 — Haute-Normandie

UKK2 — Dorset and Somerset

FR62 — Midi-Pyrénées

BE32 — Prov. Hainaut

DE42 — Brandenburg — Südwest

RO31 — Sud — Muntenia

ITF3 — Campania

CZ07 — Stredni Morava

FR61 — Aquitaine

UKH2 — Bedfordshire and Hertfordshire

EL23 — Dytiki Ellada

MT — Malta

DEA2 — Köln

DE27 — Schwaben

EL41 — Voreio Aigaio

DE60 — Hamburg

BE33 — Prov. Liège

CZ06 — Jihovychod

UKJ3 — Hampshire and Isle of Wight

EL21 — Ipeiros

CZ01 — Praha

RO32 — Bucuresti — Ilfov

FR24 — Centre

NL32 — Noord-Holland

UKF3 — Lincolnshire

FR41 — Lorraine

UKN0 — Northern Ireland

PL31 — Lubelskie

46.6 %

37.8 %

29.8 %

26.6 %

21.8 %

18.6 %

16.3 %

15.4 %

15.3 %

13.3 %

12.6 %

10.9 %

10.7 %

9.9 %

9.8 %

9.4 %

7.8 %

7.8 %

7.7 %

7.2 %

7.1 %

7.1 %

6.5 %

5.7 %

5.7 %

5.4 %

5.3 %

4.9 %

4.9 %

4.8 %

Chart 12 (in light blue: regions absorbing less than EUR 2 million)

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Specialisation in Aviation research as % of total FP7 European Commission funding

0–2 %

3–5 %

6–10 %

11–20 %

21–47 %

94

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A N D T H E C O H E S I O N P O L I C Y 2 0 1 4 – 2 0 2 0

Regions most focused on surface transport
research

EL22—Ionia Nisia

DE27—Schwaben
UKG1—Herefordshire, Worcestershire
and Warwickshire
EL42—Notio Aigaio

EL13—Dytiki Makedonia

RO22—Sud-Est

ITC1—Piemonte

SE31—Norra Mellansverige

ITF5—Basilicata

SE23—Västsverige

HR03—Jadranska Hrvatska

SK03—Stredne Slovensko

AT34—Vorarlberg

BG32—Severen tsentralen

ITC3—Liguria

UKC2—Northumberland and Tyne and Wear

DE94—Weser-Ems

AT22—Steiermark

FR51—Pays de la Loire

RO12—Centru

FR53—Poitou-Charentes

ES41—Castilla y León

PL63—Pomorskie

DE60—Hamburg

RO41—Sud-Vest Oltenia
ES24—Aragón
BE10—Région de Bruxelles-Capitale /
Brussels Hoofdstedelijk Gewest
FI19—Länsi-Suomi
UKI2—Outer London

FR21—Champagne-Ardenne

29.1 %

25.1 %

23.6 %

18.7 %

16.0 %

14.3 %

12.6 %

12.2 %

11.0 %

9.9 %

9.3 %

8.8 %

8.4 %

8.1 %

8.0 %

8.0 %

7.9 %

7.4 %

7.3 %

7.2 %

7.1 %

7.0 %

6.1 %

6.1 %

6.1 %

5.9 %

5.9 %

5.7 %

5.2 %

5.1 %

Chart 13 (in light blue: regions absorbing less than EUR 2 million)

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Specialisation in surface transport research as % of total FP7 European Commission funding

0–2 %

3–4 %

5–6 %

7–10 %

11–25 %

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ANNEX II

Legislative References

HORIZON 2020 REGULATION

Regulation (EU) No 1219/2013:

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:347:0104:0173:EN:PDF

‘(3) […] For achieving the objectives of the Europe 2020 strategy relating to research and
innovation, cohesion policy has a key role to play through capacity-building and providing a
stairway to excellence.’

‘(33) Both Horizon 2020 and the cohesion policy seek a more comprehensive alignment with
the objectives of the Europe 2020 strategy. This approach calls for increased synergies be-
tween Horizon 2020 and the cohesion policy. Therefore Horizon 2020 should also develop close
interactions with the European Structural and Investment Funds, which can specifically help to
strengthen local, regional and national research and innovation capabilities, particularly in the
context of smart specialisation strategies.’

Article 20 ‘Complementarity with other Union programmes’

‘Horizon 2020 shall be implemented in a way which is complementary to other Union funding
programmes and policies, including the European Structural and Investment Funds (ESI Funds),
the Common Agricultural Policy, the Programme for the Competitiveness of Enterprises and
Small and Medium-sized Enterprises (COSME) (2014–2020), the Erasmus+ programme and
the Life programme.’

Article 21 ‘Synergies with the ESI Funds’

‘In addition to Union, national and regional structural policies, Horizon 2020 shall also contrib-
ute to the closing of the research and innovation divide within the Union by promoting synergies
with the ESI Funds. Where possible, cumulative funding may be used as set out in Regulation
(EU) No 1290/2013.’

Annex I ‘Broad lines of the specific objectives and activities’

Widening participation

‘The research and innovation potential of the Member States, despite some recent convergence,
remains very different, with large gaps between “innovation leaders” and “modest innovators”.
Activities shall help close the research and innovation divide in Europe by promoting synergies
with the European Structural and Investment Funds (ESI Funds) and also by specific measures
to unlock excellence in low performing research, development and innovation (RDI) regions,
thereby widening participation in Horizon 2020 and contributing to the realisation of the ERA.’

a n n E x i i

97

Part I: Excellent science

4. Research infrastructures

4.1. Specific objective

‘Europe must establish, on the basis of commonly agreed criteria, an adequate, stable base for
building, maintaining and operating research infrastructures if its research is to remain world-
class. This requires substantial and effective cooperation between Union, national and regional
funders for which strong links with the cohesion policy will be pursued to ensure synergies and
a coherent approach.’

Part II: Industrial leadership

‘(b) “Access to risk finance” shall aim to overcome deficits in the availability of debt and equity
finance for R & Dand innovation-driven companies and projects at all stages of development.
Together with the equity instrument of the programme for the competitiveness of enterprises
and small and medium-sized enterprises (COSME) (2014–2020) it shall support the develop-
ment of Union-level venture capital.’

1. Leadership in enabling and industrial technologies

An integrated approach to key enabling technologies

‘The numerous interactions of KETs and other industrial enabling technologies will therefore be
exploited in a flexible manner, as an important source of innovation. This will complement sup-
port for research and innovation in KETs that may be provided by national or regional authori-
ties under the Cohesion Policy Funds within the framework of smart specialisation strategies.’

2. Access to risk finance

2.2. Rationale and Union added value

‘Complementarities with national and regional financial instruments will be developed in the
context of the Common Strategic Framework for Cohesion Policy 2014–2020, where an in-
creased role for financial instruments is foreseen.’

3. Innovation in SMEs

3.1. Specific objective

‘Strong links with industry-specific Union policies, notably COSME and the cohesion policy funds,
will be established to ensure synergies and a coherent approach.’

3.2. Rationale and Union added value

‘Regional and national programmes for research and innovation, often backed by European
cohesion policy, play an essential role in promoting SMEs. In particular, cohesion policy funds
have a key role to play through building capacity and providing a stairway to excellence for
SMEs in order to develop excellent projects that may compete for funding under Horizon 2020.’

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Part VII: the European Institute of Innovation and Technology (EIT)

3. Broad lines of the activities

‘(g) Linking regional development to European opportunities

Through the KICs and their co-location centres — nodes of excellence, bringing together higher
education, research and business partners in a given geographical location — the EIT will also
be linked to regional policy. In particular, it shall ensure a better connection between higher
education institutions, the labour market and regional innovation and growth, in the context
of regional and national smart specialisation strategies. In doing so, it will contribute to the
objectives of the Union’s cohesion policy.’

HORIZON 2020 RULES FOR PARTICIPATION

Regulation (EU) No 1290/2013:

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:347:0081:0103:EN:PDF

Article 37 ‘Cumulative funding’

‘An action for which a grant from the Union budget has been awarded may also give rise to the
award of a grant on the basis of Regulation (EU) No 1291/2013, provided that the grants do
not cover the same cost items.’

Regulation (EU) No 1303/2013

COHESION POLICY

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:347:0320:0469:EN:PDF

Research is among the 11 thematic objectives that the Cohesion Policy Regulation supports to
contribute to Europe 2020.

Title II ‘Strategic approach’, Chapter I ‘Thematic objectives for the ESI Funds and Com-
mon Strategic Framework’, Article 9 ‘Thematic objectives’ strengthens the obligation of ensur-
ing further alignment and coordination of policies and priorities. Member States and the Com-
mission are encouraged to foster complementarities by developing a research and innovation
smart specialisation strategies as ex ante conditionality for the use of cohesion policy funds.

‘In order to contribute to the Union strategy for smart, sustainable and inclusive growth as well
as the fund-specific missions pursuant to their Treaty-based objectives, including economic,
social and territorial cohesion, each ESI Fund shall support the following thematic objectives:

(1) strengthening research, technological development and innovation;

(2) enhancing access to, and use and quality of, ICT;

(3) enhancing the competitiveness of SMEs, of the agricultural sector (for the EAFRD) and of the

fishery and aquaculture sector (for the EMFF);

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99

(4) supporting the shift towards a low-carbon economy in all sectors;

(5) promoting climate change adaptation, risk prevention and management;

(6) preserving and protecting the environment and promoting resource efficiency;

(7) promoting sustainable transport and removing bottlenecks in key network infrastructures;

(8) promoting sustainable and quality employment and supporting labour mobility;

(9) promoting social inclusion, combating poverty and any discrimination;

(10) investing in education, training and vocational training for skills and lifelong learning;

(11) enhancing institutional capacity of public authorities and stakeholders and efficient public

administration.

Thematic objectives shall be translated into priorities that are specific to each of the ESI Funds
and are set out in the fund-specific rules.’

Chapter III ‘Eligibility of expenditure and durability’

Article 65(11) ‘Eligibility’

‘11. An operation may receive support from one or more ESI Funds or from one or more pro-
grammes and from other Union instruments, provided that the expenditure item included in a
request for payment for reimbursement by one of the ESI Funds does not receive support from
another fund or Union instrument, or support from the same fund under another programme.
The provisions of Article 60(2) are useful for enabling combined support from ESI Funds and
Horizon 2020 to partners in different countries.’

Article 70(2) ‘Eligibility of operations depending on location’

‘2. The managing authority may accept that an operation is implemented outside the pro-
gramme area but within the Union, provided that all the following conditions are satisfied:

(a) the operation is for the benefit of the programme area;

(b) the total amount allocated under the programme to operations located outside the pro-
gramme area does not exceed 15 % of the support from the ERDF, Cohesion Fund and EMFF at
the level of the priority, or 5 %of the support from the EAFRD at the level of the programme;

(c) the monitoring committee has given its agreement to the operation or types of operations
concerned;

(d) the obligations of the authorities for the programme in relation to management, control and
audit concerning the operation are fulfilled by the authorities responsible for the programme
under which that operation is supported or they enter into agreements with authorities in the
area in which the operation is implemented.’

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Annex I ‘Common Strategic Framework’, Article 4.3 ‘Horizon 2020 and other
centrally managed EU programmes in the areas of research and innovation’

‘1. Member States and the Commission shall have due regard to strengthening coordination,
synergies and complementarities between the ESI Funds and Horizon 2020, the programme for
the competitiveness of enterprises and small and medium-sized enterprises (COSME) in accor-
dance with Regulation (EU) No 1287/2013 of the European Parliament and of the Council (1),
and other relevant centrally managed Union funding programmes while also establishing a
clear division of areas of intervention between them.

2. Member States shall develop national and/or regional ‘smart specialisation’ strategies in line
with the national reform programme, where appropriate. Such strategies may take the form of
or be included in a national or a regional research and innovation strategic policy framework for
‘smart specialisation’. Smart specialisation strategies shall be developed through involving na-
tional or regional managing authorities and stakeholders such as universities and other higher
education institutions, industry and social partners in an entrepreneurial discovery process. The
authorities directly concerned by Horizon 2020 shall be closely associated with that process.
Smart specialisation strategies shall include:

(a) “Upstream actions” to prepare regional R & Iplay ers to participate in Horizon 2020 (“stair-
ways to excellence”) to be developed, where necessary, through capacity building. Communica-
tion and cooperation between Horizon 2020 national contact points and managing authorities
of the ESI Funds shall be strengthened.

(b) “Downstream actions” to provide the means to exploit and diffuse R & Iresults, stemming
from Horizon 2020 and preceding programmes, into the market with particular emphasis on
creating an innovation-friendly environment for business and industry, including SMEs and in
line with the priorities identified for the territories in the relevant smart specialisation strategy.

3. Member States shall encourage the use of the provisions in this Regulation that allow the ESI
Funds to be combined with resources under Horizon 2020 in the relevant programmes used to
implement parts of the strategies referred to in point 2. Joint support shall be provided to na-
tional and regional authorities for the design and implementation of such strategies, to identify
opportunities for joint financing of R & Iinfrastructures of European interest, the promotion of
international collaboration, methodological support through peer reviews, exchange of good
practice, and training throughout regions.

4. Member States and, where appropriate under Article 4(4), regions, shall consider additional
measures aimed at unlocking their potential for excellence in R & I,in a manner that is comple-
mentary to and creates synergies with Horizon 2020, in particular through joint funding. Those
measures shall consist of:

(a) linking excellent research institutions and less developed regions as well as low-performing
research, development and innovation (RDI) Member States and regions to create new or up-
grade existing centres of excellence in less developed regions as well as in low-performing RDI
Member States and regions;

(b) building links in less developed regions as well as in low-performing RDI Member States and
regions between innovative clusters of recognised excellence;

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(c) establishing “ERA Chairs” to attract outstanding academics, in particular to less developed
regions and low-performing RDI Member States and regions;

(d) supporting access to international networks for researchers and innovators who lack suffi-
cient involvement in the European Research Area (ERA) or are from less developed regions or
low-performing RDI Member States and regions;

(e) contributing as appropriate to the European Innovation Partnerships;

(f) preparing national institutions and/or clusters of excellence for participation in the Knowl-
edge and Innovation Communities (KICs) of the European Institute of Innovation and Technol-
ogy (EIT); and

(g) hosting high-quality international researcher mobility programmes with co-funding from
the “Marie Sklodowska-Curie Actions”.

Member States shall endeavour to use, where appropriate, and in accordance with Article 70,
the flexibility to support operations outside the programme area, with a level of investment
sufficient to attain a critical mass, in order to implement the measures referred to in the first
subparagraph as effectively as possible.’

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ANNEX III

Who’s who

TRANSPORT RESEARCH AND COHESION POLICY NATIONAL AUTHORITIES

Five categories

1. National authorities responsible for the policy/priority setting of Structural Funds

2. National authorities responsible for management/operation of SF, namely for
drafting the operational programme for SF, related to transport and mobility

3. National authorities responsible for transport and mobility policy

4. National authorities responsible for research and innovation policy

5. National authorities responsible for transport research and innovation

Member States (85)

Austria, Belgium, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany,
Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Malta, Netherlands, Poland, Portugal, Roma-
nia, Slovakia, Slovenia, Spain, Sweden, United Kingdom

Associated counties

Serbia and Turkey

(85)

Data in the present Annex has been provided by the listed Member States and Associated Countries via their representatives in
the 7th Framework Programme Transport Programme Committee.

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1. National authorities responsible for the policy/priority setting of Structural Funds86

Member States (84)

AUSTRIA

BELGIUM

Federal level
Nine Austrian regional governments (provinces or Bundesländer)
— coordination and negotiation process structured by the
‘Austrian Conference on Spatial Planning’ (Österreichische
Raumordnungskonferenz — ÖROK)
Austrian Federal Chancellery (representing the national
government)

Regional governments
Walloon Region
Ministre-Président du Gouvernement de la Région Wallonne
Flemish Region
The Flemish Department of Foreign Affairs (DiV)
Brussels Capital
Ministre du Gouvernement de la Région de Bruxelles-Capitale,
chargée de l’Environnement, de l’Energie, de la Politique de l’Eau,
de la Rénovation urbaine

CROATIA

Ministry of Regional Development and EU Funds

CYPRUS

Planning Bureau of the Republic of Cyprus
Ministry of Finance

CZECH REPUBLIC

DENMARK

ESTONIA

Ministry of Regional Development
National Coordination Authority
National Authority for Partnership Agreement Coordination and
Control

Ministry of Business and Growth, The Danish Business Authority
Contact: Pernille Von Lillienskjold, pevoli@erst.dk

Ministry of Economic Affairs and Communications (http://www.
mkm.ee)
Ministry of Finance of the Republic of Estonia (http://www.fin.ee)

FINLAND

Ministry of Employment and Economy (http://www.tem.fi/English)

(86)

The data in the present Annex have been provided by the listed Member Stares and Associated Countries.

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Member States

FRANCE

GERMANY

DATAR — Délégation Interministérielle à l’Aménagement du
Territoire et à l’Action Régionale (Service du Premier Ministre
mis à disposition principalement du Ministère de l’Egalité des
Territoires et du Logement)

Federal level
ERDF
BMWi Federal Ministry of Economics and Technology
Referat EA3
Scharnhorststraße 34-37
10115 Berlin
E-mail: buero-ea3@bmwi.bund.de
http://www.bmwi.de/DE/Themen/Europa/eu-strukturpolitik.html

Federal Ministry of Transport, Building and Urban Development
responsible for ERDF Federal Programme for Transportation
Infrastructure (2007–2013)
Referat UI 23
Invalidenstraße 44
10115 Berlin
E-mail: EFRE-VB@bmvbs.bund.de
http://www.bmvbs.de/efre

ESF
Federal Ministry of Labour and Social Affairs, responsible for the
coordination of the ESF and for the federal ESF programme
Gruppe Soziales Europa —
GS 1 — Europäischer Sozialfonds
Rochusstr. 1
53123 Bonn

Tel. +49 22899527-3170
E-mail: esf@bmas.bund.de
http://www.esf.de

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Member States

GREECE

HUNGARY

Ministry of Development, Infrastructure, Transports and Networks
http://www.ypoian.gr

Special Agency for Strategy Planning and Evaluation of
Development Programmes
Head office Tel. +30 2103726000
Head office Fax +30 2103726028
E-mail: eyssaap@mnec.gr

Prime Minister’s Office (coordination)
Ministries responsible for the development policy of the different
areas and the implementation of the Operational Programmes of
Structural Funds:
— Ministry of Human Resources
— Ministry of National Development
— Ministry of National Economy
— Ministry of Rural Development
— Ministry of Interior
— Ministry of Public Administration and Justice

IRELAND

Department of Finance
Government departments and regional agencies

ITALY

Ministry of Territorial Cohesion

LATVIA

Ministry of Finance Deputy State Secretary on EU Funds Issues
— EU Funds Monitoring Department
— EU Funds Management System Department
— State Aid Control Department

LITHUANIA

All the ministries according to their areas of responsibility

MALTA

Office of the Permanent Secretary (EU Funds) falling within the
Office of the Prime Minister

NETHERLANDS

Ministry of Economic Affairs
Regions define priorities for key innovation activities

POLAND

Ministry of Regional Development
Other ministries — Environment, Transport, Building and Maritime
Policy

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Member States

PORTUGAL

ROMANIA

Prime Minister
Council of Ministers

National Plan for Development (NDP) 2007–2013
Ministry of Public Finance
Ministry of Transport and Infrastructure — Operational
Programmes

SLOVAKIA

Ministry of Transport, Construction and Regional Development

SLOVENIA

Ministry of Economic Development and Technology

SPAIN

Seventeen Spanish regional governments (Comunidades
Autónomas)
Ceuta y Melilla
Spanish Ministry of Finance and Public Administration
All the other Spanish ministries and agents defined in the
partnership principle — involved in the programming process

SWEDEN

Ministry of Enterprise, Energy and Communications
(Näringsdepartementet)

UNITED KINGDOM

Associated countries

SERBIA

TURKEY

Department of Business, Innovation and Skills
Regional administration offices Scotland, Wales and Northern
Ireland — independent policy

Ministry of Finance and Economy
Office of Deputy Prime Minister for European Integration
http://www.srbija.gov.rs

Ministry of European Union
Programming process:
Ministry of Development, Ministry of Environment and Urban
Planning
Ministry of Forestry and Waterworks
Ministry of Transport, Maritime Affairs and Communications
Ministry of Science, Industry and Technology

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2. National authorities responsible for management/operation of Structural Funds (SF),
namely for drafting the operational programme for SF, related to transport and
mobility

Member States

AUSTRIA

BELGIUM

Regional level
Nine Austrian regions (Bundesländer) — independent programmes;
regional implementation
ERP Funds — minor federal agencies involvement —
Austrian Research Promotion Agency/Österreichische
Forschungsförderungsgesellschaft FFG

Regions — own independent programmes implemented at regional
level
Walloon Region
Service Public de Wallonie, Département de la Coordination des fonds
structurels,
Place Joséphine Charlotte 2,
5100 Jambes
Flemish Region
ERDF
Enterprise Flanders Agency
ESF
Agency Flanders for the implementation of the ESF
Brussels Capital
Ministère de la Région de Bruxelles-Capitale, Cellule Coordination et
Gestion du FEDER 2007–2013,
rue du Progrès 80,
1035 Bruxelles

CROATIA

SF
Ministry of Regional Development and EU Funds
Ministry of Maritime Affairs, Transport and Infrastructure
Various government established agencies

CYPRUS

Planning Bureau of the Republic of Cyprus

CZECH REPUBLIC

Ministry of Transport
Ministry of Industry and Trade
Ministry of Regional Development
Ministry of the Environment

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Member States

DENMARK

SF
Ministry of Business and Growth, The Danish Business Authority
Contact: Preben Gregersen, pregre@erst.dk
Drafting the operation programme (the partnership agreement)
Ministry of Business and Growth, The Danish Business Authority
Contact: Preben Gregersen, pregre@erst.dk
Ministry of Food, Agriculture and Fisheries, The Danish AgriFish
Agency, contact: Morten Blom Andersen, morblo@naturerhverv.dk

ESTONIA

Ministry of Economic Affairs and Communications http://www.mkm.ee

FINLAND

Finnish regional councils

FRANCE

DATAR — Délégation Interministérielle à l’Aménagement du Territoire
et à l’Action Régionale (Service du Premier Ministre mis à disposition
principalement du Ministère de l’Egalité des Territoires et du
Logement) préfets de régions

GERMANY

ERDF
Federal Programme for Transportation Infrastructure (2007–2013)
Federal Ministry of Transport, Building and Urban Development
Referat UI 23
Invalidenstraße 44
10115 Berlin
E-mail: EFRE-VB@bmvbs.bund.de
Internet: http://www.bmvbs.de/efre
The Federal Ministry of Economics and Technology — federal
coordination

GREECE

Ministry of Development, Infrastructure, Transports and Networks
http://www.ypoian.gr

HUNGARY

Ministry of National Development

IRELAND

Department of Transport, Tourism and Sport

ITALY

Ministry of Infrastructure and Transports — DG for Land
Development, Planning and International Projects
Regional administration

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Member States

LATVIA

National authorities responsible for management/operation of SF
Ministry of Finance; Deputy State Secretary on EU Funds Issues
— EU Funds Monitoring Department
— EU Funds Management System Department
— State Aid Control Department
National authorities responsible for management/operation of SF
projects, related to transport and mobility
Ministry of Transport of Republic of Latvia, Investment Department

LITHUANIA

Ministry of Transport and Communications

MALTA

Office of the Permanent Secretary (EU Funds) falling within the Office
of the Prime Minister

NETHERLANDS

No specific transport and mobility OP
NL — 80 % SF Funds must be spent for innovation, low carbon
economy and SMEs
Regions — SF spending includes logistics, smart mobility, high tech
systems and materials (automotive, aeronautics, etc.)

POLAND

Operational programme for Infrastructure and Environment — Ministry
of Regional Development in collaboration with
— Ministry of Environment
— Ministry of Transport, Building and Maritime Policy
— Ministry of Economy
— Ministry of Culture and Cultural Heritage
— Ministry of Health
— National Centre for Research and Development

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Member States

PORTUGAL

ROMANIA

SLOVAKIA

SLOVENIA

SPAIN

SF
Secretary of State Assistant to the Minister and of European Affairs
(Miguel Morais Leitão)
Secretary of State Assistant to the Minister and of Economy and
Regional Development (Al-meida Henriques)
Secretary of State of Agriculture (José Diogo Albuquerque)
Transport and Mobility
Internal committees of the transport and mobility areas:
— Human Potential: Ministry of Science and Education — Secretary of
State of Science
— Factors of Competitiveness: Secretary of State of Entrepreneurship,
Competiveness and Innovation and Secretary of State of Public Work,
Transport and Communication from the Ministry of Economy and
Employment (MEE) and Secretary of State of Science of Ministry of
Science and Education
— Territorial Enhancement: Secretary of State of Public Work,
Transport and Communication from the Ministry of Economy and
Employment (MEE)

Operational Programme Transport Infrastructure — Ministry of
Transport and Infrastructure

Operational Programme Transport — Ministry of Transport,
Construction and Regional Development

Ministry of Economic Development and Technology
Ministry of Infrastructure and Spatial Planning

ERDF
Ministry of Finance and Public Administration — General Directorate of
EU Funds
ESF
Ministry of Labour
EARDF and EMFF
Ministry of Agriculture, Food and Environment, in close coordination
with the regions

SWEDEN

Agency for Economic and Regional Growth (Tillväxtverket)

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Member States

UNITED
KINGDOM

Department of Business, Innovation and Skills
Department of Transport
Regional Administrations Scotland, Wales and Northern Ireland —
Independent funds management

Associated countries

SERBIA

TURKEY

Ministry of Finance and Economy
Office of Deputy Prime Minister for European Integration
http://www.srbija.gov.rs
Ministry of Transport
http://www.ms.gov.rs
Ministry of Construction and Urban Planning

Ministry of Environment and Urban Planning
Ministry of Forestry and Waterworks
Ministry of Science, Industry and Technology
Ministry of Transport, Maritime Affairs and Communications (Transport
operational programme)

3. National authorities responsible for transport and mobility policy

Member States

AUSTRIA

Federal Ministry of Transport, Innovation and Technology
(Bundesministerium für Verkehr, Innovation und Technologie/bmvit)
Austrian Regions

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Member States

BELGIUM

Federal level
Minister Paul Magnette, Ministre des Entreprises publiques, de la
Politique scientifique et de la Coopération au développement, chargé
des Grandes Villes; Politique Scientifique Fédéral (BELSPO),
Avenue Louise 231,
1050 Bruxelles
Regional level
Walloon region
Ministre André Antoine: Vice-Président et Ministre du Budget, des
Finances, de l’Emploi, de la Formation, des Sports et de la politique
aéroportuaire; Service Public de Wallonie, Direction générale des
Routes et des Bâtiments (DGO1)
Ministre Philippe Henry: Ministre de l’Environnement, de
l’Aménagement du territoire et de la Mobilité; Service Public de
Wallonie, Direction générale de la mobilité et des voies hydrauliques
Flemish region
Hilde Crevits, Flemish Minister for Mobility and Public Works
Brussels Capital
Minister Benoit Cerexhe, Innovation, Research, International Trade

CROATIA

Ministry of Maritime Affairs, Transport and Infrastructure

CYPRUS

Ministry of Communications and Works of Cyprus

CZECH REPUBLIC Ministry of Transport

DENMARK

Ministry of Transport
contact: Erik Toft: et@trm.dk

ESTONIA

Ministry of Economic Affairs and Communications http://www.mkm.ee

FINLAND

Ministry of Transport and Communications http://www.lvm.fi/English

FRANCE

GERMANY

GREECE

Ministry of Ecology, Sustainable Development and Energy (MEDDE/
Ministère de l’Ecologie, du Développement Durable et de l’Energie)

Federal Ministry of Transport, Building and Urban Development
http://www.bmvbs.de

Ministry of Development, Infrastructure, Transports and Networks
http://www.ypoian.gr

HUNGARY

Ministry of National Development

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Member States

IRELAND

ITALY

LATVIA

National Transport Authority on behalf of the Department of
Transport, Tourism and Sport

Ministry of Infrastructure and Transports

Ministry of Transport of Republic of Latvia

LITHUANIA

Ministry of Transport and Communications

MALTA

Ministry of Infrastructure, Transport and Communications

NETHERLANDS

Ministry of Infrastructure and Environment (Strategic Knowledge and
Innovation Agenda for Transport and Mobility)

POLAND

Ministry of Transport, Building and Maritime Policy

PORTUGAL

ROMANIA

Secretary of State of Public Work, Transport and Communication from
the Ministry of Economy and Employment (MEE)

Ministry of Transport and Infrastructure (MTI)
State authority for transport and infrastructure

SLOVAKIA

Ministry of Transport, Construction and Regional Development

SLOVENIA

Ministry of Infrastructure and Spatial Planning

SPAIN

Ministry of Public Works
Ministry of Agriculture, Food and Environment — in charge of the
Spanish strategy for sustainable mobility
Ministry of Industry and Energy — Spanish Institute for the
Diversification of Energy (including energy consumption in transport)

SWEDEN

Ministry of Enterprise, Energy and Communications

UNITED
KINGDOM

Department for Transport

Associated countries

SERBIA

Ministry of Transport
http://www.ms.gov.rs
Ministry of Construction and Urban Planning

TURKEY

Ministry of Transport, Maritime Affairs and Communications

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4. National authorities responsible for research and innovation policy

Member States

AUSTRIA

BELGIUM

Federal ministries
Federal Ministry of Transport, Innovation and Technology
(Bundesministerium für Verkehr, Innovation und Technologie/bmvit)
Federal Ministry of Science, Research and Economy
(Bundesministerium für Wissenschaft, Forschung und Wirtschaft/
BMWFW)

Federal level
Minister Paul Magnette, Ministre des Entreprises publiques, de
la Politique scientifique et de la Coopération au développement,
chargé des Grandes Villes
Regional level
Walloon region
Minister Jean-Marc Nollet, Vice-Président et Ministre du
Développement durable, de la Fonction publique, de l’Energie, du
Logement et de la Recherche
Service Public de Wallonie, Direction générale de l’Economie, de
l’Emploi et de la Recherche (DGO6)
Flemish region
Minister Ingrid Lieten, Vice-Minister-President of the Government of
Flanders, Flemish Minister for Innovation, Public Investment, Media
and Poverty Reduction
Brussels Capital
Minister Benoit Cerexhe, Innovation, Research, International Trade;
Ministry of Research and Innovation of Brussels Capital Region (Rue
Engelandstraat 555 — 1180 Bruxelles/Brussel)

CROATIA

CYPRUS

Ministry of Science, Education and Sports
Croatian Academy of Sciences and Arts (HAZU)
Croatian Science Foundation

Planning Bureau
Research Promotion Foundation of Cyprus

CZECH REPUBLIC

Ministry of Education, Youth and Sport — Central administrative
body
Research and Development and Innovation Council, Office of the
Government of the Czech Republic
Ministry of Industry and Trade

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Member States

DENMARK

ESTONIA

Ministry of Science, Technology and Innovation contact: Thomas
Midtgaard, thmi@fi.dk

Estonian Ministry of Education and Research http://www.hm.ee
Ministry of Economic Affairs and Communications http://www.mkm.
ee

FINLAND

Ministry of Education and Culture http://www.minedu.fi/English

FRANCE

GERMANY

GREECE

Ministry of Higher Education and Research
Ministry of Economic Regeneration

Federal Ministry of Education and Research http://www.bmbf.de
Federal Ministry of Economics and Technology http://www.bmwi.de

The General Secretariat for Research and Technology/GSRT/Ministry
of Education
http://www.gsrt.gr
General Secretariat for Industry (Innovation Policy) — Ministry of
Development, Infrastructure, Transports and Networks
http://www.ggb.gr

HUNGARY

Ministry of National Economy
National Innovation Office

IRELAND

Office of Science, Technology and Innovation

ITALY

Ministry of Education, Universities and Research (MIUR)
Ministry of Economic Development (MISE) — Innovation policy

LATVIA

Ministry of Education and Science of Republic of Latvia

LITHUANIA

MALTA

Ministry of Science and Higher Education
Ministry of Economy

Malta Council for Science and Technology under the Office of the
Prime Minister

NETHERLANDS

Ministry of Economic Affairs

POLAND

Ministry of Science and Higher Education
National Centre for Research and Development

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Member States

PORTUGAL

Ministry of Economy and Employment (MEE) — Secretary of State
of Entrepreneurship, Competiveness and Innovation Carlos Oliveira
Ministry of Education and Science (MEC) — Secretary of State of
Science Leonor Parreira

ROMANIA

Authority for Scientific Research (NASR) (including innovation)

SLOVAKIA

Ministry of Education, Science, Research and Sport

SLOVENIA

Ministry of Education, Science, Culture and Sport

SPAIN

SWEDEN

Ministry of Economy and Competitiveness (MEC)
Centre for Industrial Technological Development (CDTI) — MEC
agency
Spanish Regions — Independent R & D & Istrategies

Ministry of Education and Research
Ministry of Enterprise, Energy and Communications — innovation

UNITED KINGDOM

Department of Business, Innovation and Skills

Associated countries

SERBIA

TURKEY

Ministry of Education, Science and Technological Development

http://www.mpn.gov.rs

Supreme Council for Science and Technology (SCST)

Scientific and Technological Research Council of Turkey (Tubitak)
— Advisory Agency to the Turkish Government on Science and
Research and Secretariat of the SCST

Ministry of Science, Industry and Technology — Research and
innovation policies

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5. National authorities responsible for transport research and innovation

Member States

AUSTRIA

BELGIUM

The Austrian Federal Ministry of Transport, Innovation and
Technology (Bundesministerium für Verkehr, Innovation und
Technologie/bmvit)

Federal level
Minister Paul Magnette, Ministre des Entreprises publiques, de
la politique scientifique et de la coopération au développement,
chargé des grandes villes
Regional level
Wallon region
Minister Jean-Marc Nollet, Vice-Président et Ministre du
Développement durable, de la Fonction publique, de l’Energie,
du Logement et de la Recherche; Service Public de Wallonie,
Direction générale de l’Economie, de l’Emploi et de la Recherche
(DGO6)
Flemish region
Minister Ingrid Lieten, Vice-Minister-President of the Government
of Flanders, Flemish Minister for Innovation, Public Investment,
Media and Poverty Reduction
Brussels Capital
Minister Benoit Cerexhe, Innovation, Research, International
Trade; Ministry of Research and Innovation of Brussels Capital
Region (Rue Engelandstraat 555 — 1180 Brussel)

CROATIA

Ministry of Science, Education and Sports
Croatian Academy of Sciences and Arts (HAZU)
Croatian Science Foundation

CYPRUS

Research Promotion Foundation of Cyprus

CZECH REPUBLIC

Ministry of Transport
Technology Agency of the Czech Republic

DENMARK

Ministry of Transport
contact: Erik Toft: et@trm.dk
Ministry of Science, Technology and Innovation
contact: Thomas Midtgaard, thmi@fi.dk

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Member States

ESTONIA

FINLAND

FRANCE

GERMANY

GREECE

Ministry of Economic Affairs and Communications http://www.
mkm.ee
Estonian Ministry of Education and Research http://www.hm.ee
Estonian Development Foundation http://www.arengufond.ee

Ministry of Transport and Communication
Finnish Transport Agency http://www.liikennevirasto.fi/en
Finnish Transport Safety Agency TRAFI
Finnish Funding Agency for Technology and Innovation TEKES
http://www.tekes.fi/en
Regional level
Centres for Economic Development, Transport and the
Environment

Ministry of Higher Education and Research
Ministry of Economic Regeneration
Ministry of Ecology, Sustainable Development and Energy (in
charge of transports, sea and fisheries)

Federal ministries — National transport research programme
Mobility and transportation technologies
Federal Ministry of Economics and Technology http://www.bmwi.
de — ‘Federal aeronautical research programme’ (LuFo IV)
Federal Ministry of Transport, Building and Urban Development
http://www.bmvbs.de
Federal Ministry of Education and Research http://www.bmbf.de
Federal Environment Ministry http://www.bmu.de

Federal Ministry of Food, Agriculture and Consumer Protection
http://www.bmelv.de

Ministry of Transport
http://www.yme.gr
Ministry of Development, Infrastructure, Transports and Networks
http://www.ypoian.gr
The General Secretariat for Research and Technology (GSRT) —
Ministry of Education
http://www.gsrt.gr

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Member States

HUNGARY

IRELAND

ITALY

Ministry of National Economy
Ministry of National Development
National Innovation Office

Department of Transport, Tourism and Sport
Agencies funding transport research
The National Roads Authority
The National Transport Authority
The Road Safety Authority
Enterprise Ireland

Ministry of Education, Universities and Research — PNR National
Research Programme
Ministry of Infrastructure and Transports
Ministry of Environment
Ministry of Economic Development

LATVIA

Ministry of Education and Science

LITHUANIA

Ministry of Transport and Communications — National
Communication Development Programme

MALTA

NETHERLANDS

Malta Council for Science and Technology within the Office of the
Prime Minister
Transport Malta under the Ministry of Infrastructure, Transport
and Communications

Ministry of Economic Affairs
Ministry of Infrastructure and Environment
Agency managing financial instruments and innovation
programmes
Regional level — Innovation steering board involving region(s)
and the Ministry of Economic Affairs

POLAND

Ministry of Science and Higher Education
Ministry of Transport, Building and Maritime Policy
National Centre for Research and Development

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Member States

PORTUGAL

ROMANIA

SLOVAKIA

SLOVENIA

SPAIN

SWEDEN

UNITED KINGDOM

Associated countries

Foundation for Science and Technology (FCT), from Ministry of
Science and Education
National strategic reference framework (NSRF), from Ministry of
Economy and Employment (MEE)
Innovation Agency (ADI), from Ministry of Economy and
Employment (MEE)

Ministry of Education and Research
National Authority for Scientific Research
Research Plan for Research, Development and Innovation
National Strategy for the period 2007–2013
National Research Development and Innovation Plan II for
2007–2013 (NP II)

Ministry of Education, Science, Research and Sport (‘blue sky’
research)
Ministry of Transport, Construction and Regional Development
(applied research)

Ministry of Infrastructure and Spatial Planning
Ministry of Education, Science, Culture and Sport

Spanish Ministry of Economy and Competitiveness
Ministry of Public Works

Ministry of Education and Research
Ministry of Enterprise, Energy and Communications
Government agencies (e.g. Vinnova, Formas)

Department of Business, Innovation and Skills
Department for Transport
Technology Strategy Board

SERBIA

TURKEY

Ministry of Education, Science and Technological Development
http://www.mpn.gov.rs

Tubitak
Ministry of Transport, Maritime Affairs and Communications

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121

ANNEX IV

Questionnaire No 2 — Drivers and
Barriers (87)

Structural Funds represent an important source of funding for research and innovation: 60 %
of the cohesion budget for 2007–2013 has been committed to research and innovation proj-
ects, whilst 22 % has been allocated to the transport sector.

The European Commission’s proposal for a new framework for the cohesion policy 2014–2020
is currently under negotiation with the Council and the European Parliament. Out of its 11 the-
matic objectives to deliver Europe 2020, three are focused on the transport area: strengthening
research, technological development and innovation (R & Iinvestment priorities for ERDF);
supporting the shift towards a low-carbon economy in all sectors; and promoting sustainable
transport and removing bottlenecks in key network infrastructure.

Horizon 2020, the new research framework programme 2014–2020, provides specific refer-
ence to the synergies between the two programmes as it introduces higher levels of flexibility,
allowing for a multiannual approach and complementary funding, thereby facilitating coherent
programming and prioritisation between the framework programme and the Structural Funds.
The framework programme’s key objective remains ‘excellence’, whereas the Structural Funds
contribute to capacity building, deployment of results and downstream innovation activities.

The questionnaire on EU research programme synergies with the Structural Funds aims to
identify drivers and barriers to synergy exploitation, to explore suitable communication chan-
nels between responsible actors and to understand the level of awareness and inclusion of
transport research aspects in the smart specialisation strategies in EU Member States.

Useful links

http://ec.europa.eu/programmes/horizon2020/

http://ec.europa.eu/regional_policy/country/prordn/index_en.cfm

http://s3platform.jrc.ec.europa.eu/home

(87)

The present questionnaire number 2 has been sent through an on-line platform to the cohesion policy and transport research and
innovation national authorities via the national delegates in the 7th Framework Programme Transport Programme Committee
and enquired about the potential barriers and drivers for synergies, as well as about the sectors where synergies could be best
exploited.

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1. To date, was there any exchange or cooperation between the Structural Funds manag-
ing bodies and the national authorities establishing policies and implementing trans-
port research and innovation?

2.

If such exchange or cooperation took place, what were the main aspects ad-
dressed?

3.

If no exchange took place, what could be the reason for it?

4. What are the main barriers at political, strategic and at operational level preventing
synergies between the Seventh Framework Programme for Research and Technologi-
cal Development (FP7) and the Structural Funds?

5. What are the main drivers supporting common planning and implementation of the
Seventh Framework Programme for Research and Technological Development (FP7)
and the Structural Funds?

6. What channels or networks were, or could be, used to exchange information between
national authorities managing Structural Funds and the Seventh Framework Pro-
gramme for Research and Technological Development (FP7) in your country?

7. Could you provide examples of transport activities — projects with regional dimension
or impact and/or market uptake focus — where synergies between the Seventh Frame-
work Programme for Research and Technological Development (FP7) and the Structur-
al Funds have been generated or exploited?

8. Could these examples be used to illustrate potential transport priority areas of smart
specialisations national strategies where concentration of both funding sources can
maximise the impact of EU investment or act as leverage?

9.

Is there/will there be a smart specialisation strategy that (could) include(s) trans-
port and innovation aspects?

10. Please specify the context, type of activities, and foreseen timeframe for implemen-

tation of the smart specialisation strategy.

11. Any other comments?

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123

ANNEX V

Expert Group Members and EC
Officials

Name

Country

Institution

Manuel PEREIRA
Rapporteur

Portugal

Instituto Superior Técnico, Lisboa

Jesus MONCLUS

Spain

Centre for Industrial Technological Development
(CDTI), Madrid

Gerben KLEIN LEBBINK

Netherlands Ministry of Economic Affairs, Hague

Vaclav FENCL

Czech
Republic

National Technology Platform for Road Transport,
Brno

Cristina PRONELLO

Italy

Politecnico di Torino

Frederick GETTON

France

Ministère de l’Enseignement Supérieur et de la
Recherche, Paris

Asa VAGLAND

Sweden

Ministry of Enterprise, Energy and
Communication, Stockholm

Catalin NAE

Romania

National Institute for Aerospace Research,
(INCAS), Bucharest

Marina MARTINEZ

Spain

Spanish Office for Science and Technology -
Centre for Industrial Technological Development
(SOST-CDTI), Brussels

Ana RAPOSO

Portugal

Fundação para a Ciência ea Tecnologia (FCT),
Ministry of Education and Science, Lisbon

Maria MUNOZ-MARTINEZ
Guest

Spain

Ministry of the Treasury and Public
Administrations, Madrid

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EC officials

Name

DG

Andras SIEGLER Chair

Research and Innovation

Alessandro DAMIANI Chair

Research and Innovation

Ioana ADAMESCU

Carlo CORPOSANTO

Cristina MAROLDA

Research and Innovation

Research and Innovation

Mobility and Transport

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The programming period 2014–2020 facilitates synergies between Horizon 2020 — the research 
and innovation programme of the EU — and the European Structural and Investment Funds. Cohesion 
policy has a complementary role to play with regard to what Horizon 2020 is able to achieve mainly 
in terms of capacity building and helping to smooth the path from innovation conception to market 
deployment. Transport remains one of the main priorities of the cohesion policy for the programming 
period 2014–2020, while also being one of the major societal challenges identiﬁ ed by Horizon 2020.

The present report aims to inform national and regional transport research authorities and stake-
holders about the possibility to combine funding oﬀ ered by the research and cohesion programmes 
2014–2020, to specify important notions such as the smart specialisation concept — allowing Mem-
ber States and regions to concentrate investments on their comparative advantages and to boost the 
creation of cross-European value chains — as well as to recommend measures aiming to maximise 
the exploitation of synergies for transport research such as strategic coordination of policies and pro-
grammes and enhanced communication between actors, while indicating potential transport areas 
where synergies could bring added value.

Doi:10.2777/62798