International Cooperation through Horizon IGLO Brussels, 25 February 2016

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1 International Cooperation through Horizon 2020 IGLO Brussels, 25 February

2 Open to the World: why? Science is global and collaborative - Excellence breeds excellence - Access to infrastructures and data (Open Science) Value chains and innovation are international Global societal challenges require global cooperation Science diplomacy 2

3 Scientific collaboration across countries International co-publications per total number of publications, 2000, 2007 and

4 The EU as a research partner Scientific publication with foreign co-authors, EU United States Japan South Korea China EU United States Japan South Korea China Rest of World Source: DG Research and Innovation - Unit for the Analysis and Monitoring of National Research Policies Data: SciVal (based on Scopus) Note: Elements of estimation w ere involved in the compilation of the data. 4

5 International co-patents 5

6 Strategy for international cooperation in R&I Three main objectives: - Strengthen the Union's excellence and attractiveness in research and innovation as well as its industrial and economic competitiveness - Tackle global societal challenges - Support the Union's external policies Policy and funding instruments Strengthened partnership with Member States Stronger contribution of research and innovation to external policies of the Union Combining openness in FP with better targeted actions - Multi-annual roadmaps for cooperation with key partners - Report on implementation with a list of indicators 6

7 Objective Indicator 1.1 Share of participations of third country (TC) organisations in H2020* 1.2 Share of H2020 grant agreements with at least one TC participant* 1.3 Share of H2020 budget allocated to TC participants* Excellence 1.4 Share of budget of topics in the WP mentioning at least one TC or region** 1.5 Share of co-publications acknowledging H2020 support (with at least one TC author) 1.6 Ratio between the average citations per co-publication (with at least one TC author) and average citations per publication (without any TC authors) * For Associated (incl./excl. CH) and Non-Associated (excl. CH, incl. Int'l Org) third countries for signed contracts in collaborative projects (all, except ERC, MSCA, SME Instrument, Access to risk finance, EIT, JRC) ** For topics implemented through collaborative projects Sources: e-corda, WP, Scopus/Web of Science, SYGMA, Shanghai Ranking 7

8 Objective Competitiveness Indicator 2.1 Share of co-patent applications emanating from H Share of (non-eu) world Top 500 universities participating in H2020 Attractiveness 3.2 Share of researchers from TC in H2020 ERC and MSCA grants 3.3 Total budget invested by TC organisations in H2020 projects Societal challenges 4.1 Share of H2020 budget contributing to int'l multilateral initiatives 4.2 Leverage effect of multilateral initiatives 8

9 Summary of results 1.1 Participations 1.2 Grant agreements 1.3 Budget 1.4 Topics 1.5 Co-publications 1.6 Ratio co-publ. 3.1 Top Invest by TC org [Values for Non-Associated (excl. CH, incl. Int'l Org) third countries] 9

10 1.1 Participations Associated * ** * Partly Associated to Horizon ** Associated since 2015

11 1.1 Participations Non-Associated Top-15 11

12 1.1 Participations Non-Associated Per Theme average 12

13 1.1 Participations Non-Associated Per call year 13

14 1.1 Participations Per Region 14

15 1.3 Budget Associated 15

16 1.3 Budget Non-Associated 16

17 3.1 Top

18 3.3 Invested by TC organisations 18

19 Success Rates Overall 19

20 Success Rates Per Region 20

21 Observations for Non-Associated Third Countries Direct participation in grant agreements has fallen significantly - Despite that 80% more topics flagged as specifically relevant for international cooperation in Horizon 2020 vs. FP7 - But: less topics specifically devoted to international cooperation and less topics where international cooperation is an eligibility criterion - Changes in funding conditions for BRICMs account for around 33% of the drop - Another 15% is due to Southern Neighbourhood countries, probably due to the turmoil in this area - 7% due to association of Ukraine to Horizon But also large drops for US and JP Room for improvement in attracting world's best universities International cooperation increases impact 21

22 Matching funding by international partner countries Co-funding for most or all thematic areas - Republic of Korea, Mexico, China, Taiwan, Hong Kong, Macau, Russia Co-funding for selected thematic areas - Australia (SC1), Japan (power electronics + critical raw materials) Co-funding by a region - Canada (Quebec), Brazil (São Paulo, Santa Catarina, Goiás, Minas Gerais, Goiás, and Amparo à Pesquisa) Countries where no jointly agreed mechanism for co-funding Horizon 2020 projects currently in place - India, New Zealand, USA Situation evolves and the Participant Portal will be updated as necessary 22

23 Current co-funding mechanisms Republic of Korea: the Ministry of Science, ICT and Future Planning, MSIP, and the Ministry of Trade, Industry and Energy, MOTIE, regularly launches public calls for proposals, covering all areas of Horizon 2020 Mexico: CONACYT-Horizon 2020 proves a source of financing 'project-by-project participation' to Mexican partners in successful Horizon 2020 projects covering all thematic areas China: the Chinese Ministry of Science and Technology, MOST has published the first cofunding mechanism call on 16/ Two deadlines are foreseen for 2016 as follows: (1) 31/ for the Chinese participants in the Horizon 2020 projects selected under WP and the proposals submitted under WP 2016, and (2) 31/ for the Chinese participants in Horizon 2020 proposals under WP In practice, all topics under Horizon 2020 (except secure societies) are expected to be eligible Russia: the Ministry of Education and Science of the Russian Federation publishes dedicated calls to offer funding support for Russian Horizon 2020 participants in accordance with its own call procedures (Russian Federal Programme (FTP) "R&D in Priority Areas of Development of the Russian S&T Complex "). In addition, the Russian Foundation for Assistance to Small Innovative Enterprises may be able to support the participation of small innovative Russian enterprises in Horizon 2020 projects on a case-by-case basis in accordance with its own funding rules 23

24 Current co-funding mechanisms Australia: the National Health and Medical Research Council, NHMRC EU Collaborative Research Grants scheme aims to provide assistance to Australian researchers to participate in collaborative projects that have been selected for funding under the Horizon 2020 'Health, Demographic Change and Wellbeing' Societal Challenge Japan: the Japan Science and Technology Agency (JST) provides funding opportunities for Japanese partners in the following two call topics: NMBP : 'Advanced Materials for Power Electronics based on wide bandgap semiconductor devices technology', and NMBP : 'Innovative and sustainable materials solutions for the substitution of critical raw materials in the electronic power system'. Deadline to apply for such funding from JST: 24/ Canada region: researchers from Quebec may receive support through a provincial support programme for international cooperation Brazilian regions: different funding schemes for allowing Brazilian researchers to take part into Horizon 2020 are set up in different Brazilian states through the existing Research Foundations in each state 24

Open to the World: International Cooperation in Horizon 2020 and the Co-Funding Mechanisms UKRO Conference Glasgow, 1 July 2016

Open to the World: International Cooperation in Horizon 2020 and the Co-Funding Mechanisms UKRO Conference Glasgow, 1 July 2016 Diego Sammaritano DG Research and Innovation European Commission 1 1. Open