SEVENTH FRAMEWORK PROGRAMME THEME INCO 2013-2.1 JEUPISTE Grant Agreement Number: 609585 D2.2 ANALYSIS OF THE EU-JAPAN COOPERATION IN FP7 Deliverable Nature: Report Dissemination level: PU (Public) Work Package Number: WP2 Work Package Title: Support to policy analysis Task Number: D2.2 Task Title: Analysis of the EU-Japan Cooperation in FP7 Submission Date: - Publication Date: - Task Leading Partner: AGAUR Contributing Partners: ALL
Document Revision History Version Date Author Comment 0v1 12 May 2014 AGAUR Initial draft 0v2 12 May 2014 IIST Quick revision 0v3 9 March 2014 DLR Revision 0v4 1 August 2014 AGAUR Revised draft by AGAUR 0v5 1 August 2014 DLR Revision by DLR 0v6 14 September IIST Revision 0v7 10 October 2014 AGAUR Final refinement 0v8 6 November 2014 DLR Final check by the WPL 0v9 13 November 2014 BMBF Quality control by M. Steinberger, member of the JEUPISTE Advisory Board 0v91 22 December 2014 AGAUR Incorporation of the comments by the Advisory Board and revision of data (with the newest set) 0v92 9 January 2015 AGAUR Addition of the Executive summary 1v0 12 January 2015 IIST Final version for submission 1v1 22 January 2015 AGAUR Correction following comments by the Project Officer 2v0 27 January 2015 IIST Final version for 2nd submission 1
Contents 1. Introduction: general objectives of the analysis... 3 2. Japanese participation in the Seventh Framework Programme... 4 2.1. General overview... 4 2.1.1. Success Rate... 7 2.1.2. Cooperation partners... 8 2.1.3. Japanese entities... 9 2.2. Cooperation Programme... 10 2.3. People Programme... 11 2.4. Ideas Programme... 13 3. Japanese affiliated companies in Europe participation in the Seventh Framework Programme... 15 1
Executive Summary The present report constitutes deliverable D2.2 of the JEUPISTE project funded under the European Union s (EU s) 7th Framework Programme (FP7) for Research and Technological Development (RTD), as a part of the activities within Work Package 2 of the project, for support to policy dialogues. The internationalization of Japanese research and researchers has experienced an important dynamism in the last years. The Japanese participation in FP7 has increased year after year since 2007 and around 100 Japanese entities have participated in almost 160 projects and have received around ten million Euros. About 62% of the Japanese participation was under Cooperation specific programnme, followed by People (around 24%) and Capacities (8%) programmes. Cooperation between Japanese and European entities in the EURATOM programme, both in the fission and fusion programmes, has also been significant. The thematic fields of the projects are mainly oriented towards the areas of information and communication technologies, environment, health, nanotechnology and security, being social sciences and humanities the field with the lowest participation. Success rates (from proposal to funding award) differ substantially between areas but the overall 31% for all programmes could be considered a good result given that the global overall FP7 success rate is around 20%. The European counterparts of the projects are spread across all EU and associated countries, being Germany, United Kingdom, France, Italy, Spain or The Netherlands the main counterparts of projects with Japanese participants and also the countries with the largest participation in FP7 in general terms. The Japanese participants are mainly universities and public bodies and around 70 Japanese affiliated companies located in Europe also participated in the Programme. Regarding individual grants, 49 researchers have undertaken mobility and career development research projects under People programme while 14 Japanese researchers have been funded by Ideas programme, through the European Research Council. 2
1. Introduction: general objectives of the analysis The JEUPISTE project aims to contribute to the STI capacity building towards the sustainable development of the EU through the building of mutually beneficial partnerships, by supporting the EU-Japan policy dialogues, ensuring bilateral flow of information, organizing seminars and workshops to further develop the partnership by exchange of information and opinions, establishing visible contact points and offering them appropriate cross-sectional and cross thematic training courses, providing comprehensive help desk service, and disseminating the results and discussion widely to the Research, Technological Development and Innovation (RTDI) communities. The overall objective of this report is to assess the participation of Japanese organizations in the Seventh Framework Programme for Research and Technological Development,FP7 (2007-2013), the European Union s main instrument for funding research in Europe. Analytical data on each different specific programme and action will be provided. The methodology used to study the Japanese participation is based mainly on the analysis of data provided by the European Commission (Directorate General for Research and Innovation (DG RTD) and EU Executive Agencies (Research Executive Agency (REA) and European Research Council Executive Agency (ERCEA)). The data contained information about the number of proposals submitted, contracts and Grant Agreements (GAs) signed under each programme, participants information, financial and other relevant data. The database includes the Cooperation and Capacities Programme and the People collaborative projects 1, also known as Marie Curie actions. Marie Curie individual fellowships projects have been treated separately in the analysis as well as the European Research Council (ERC) projects as ERC grants involves only European institutions being Japanese entities non eligible to participate. Apart from analysing Japanese participation in FP7, the analysis also includes information on the CONCERT-Japan 2 2012 Pilot Joint Call and several EU-Japan coordinated joint calls 3. This report also analyses the participation of Japanese Affiliated Companies located in Europe. The cut-off date for the analysis has been November 2014. This report will be progressively updated as conclusive data on last calls under FP7 and the results of the initial Horizon 2020 calls become available (finally as D2.8). 1 The People Collaborative projects are the Initial Training Networks (ITN) and the International Research Staff Exchange Scheme (IRSES) actions. For a definition of these actions, see section 2.3 of this document. 2 CONCERT-Japan is an FP7 project with the general aim to promote an effective and coordinated science and technology cooperation between European countries and Japan. The CONCERT-Japan Project conducted a Pilot Joint Call for research proposals between September and November 2012, calling for joint research proposals in the two prioritized thematic areas of "Resilience against Disasters" and "Efficient Energy Storage and Distribution". 3 The EU Japan coordinated joint calls are: the 2011 EU-Japan Coordinated Energy Call on Photovoltaics (FP7 -Energy-2011-JAPAN-Photovoltaics); the 2013 ICT EU Japan Coordinated call (FP7-ICT-2013-EU-Japan); and the 2013 NMP EU Japan Call (FP7-NMP-2013-EU-Japan). 3
2. Japanese participation in the Seventh Framework Programme 2.1. General overview Japan is ranked nº10 regarding the total cost of the participation 4 among the third countries that participated in FP7 but still really far behind the United States and the Russian Federation that represent the first and second position respectively. As is shown in Figure 1, the Japanese participation total cost is similar to that of Ukraine and lower than that of other countries such as Brazil, South Africa and Canada. In terms of number of projects, Japan ranks nº14 and as shown in Figure 2, similar to that of Argentina, Mexico and Morocco. Around 100 independent institutions have participated in FP7 projects 5, which constitute an important increase in the participation compared to the previous framework programmes. 180 160 140 120 100 80 60 40 20 0 Participant Total Cost Figure 1 Third Countries Participation Total Cost 4 The data regarding the total cost of the participation includes both the participant EC contribution and the participant own contribution. 5 This data includes the Cooperation and Capacities Programme and all People collaborative projects (ITN and IRSES), also known as Marie Curie Actions. 4
600 500 400 300 200 100 0 FP7 Participations Figure 2 Third Countries participation (number of projects in cooperation programme) Across all programme areas there were 209 participations of Japanese entities in 159 projects. Japanese entities mostly participate as partner in 207 projects while there have been two projects where a Japanese entity participated as coordinator. The two projects coordinated by Japanese belonged to the Capacities programme and, more specifically, to two BILAT Projects (J-BILAT and JEUPISTE) targeting Japan, funded under the International Cooperation sub-programme. The total EU contribution received by Japanese beneficiaries is around 10 million Euro, of which around 1 million Euro belong to the two coordinating BILAT projects 6. It is important to note that about 70% of Japanese entities participate in FP7 funded projects without receiving EC contribution. Since 2007, the number of Japanese participations has increased year after year with an exception of 2012, which represents a significant drop of the number of projects funded. 40 35 30 25 20 15 10 5 0 Y2007 Y2008 Y2009 Y2010 Y2011 Y2012 Y2013 Number of projects 8 11 24 27 34 16 39 6 J-BILAT and Jeupiste project, funded under the FP7 International Cooperation Programme. 5
Figure 3 FP7 Number of projects with JP participation per year (excluding programmes targeting individual researchers) 10% 25% 21% 5% 7% 15% 17% Y2007 Y2008 Y2009 Y2010 Y2011 Y2012 Y2013 Figure 4 The number of signed FP7 contracts with JP participation per year The distribution of Japanese participation over the different FP7 Specific Programmes is shown in Figure 5. About 62% of the Japanese participation accounts for the Cooperation programme 7, followed by the People programme 8 with 23,6% of the participation and the Capacities with 8,4%. The Capacities programme aims to enhance research and innovation capacities and ensure their optimal use and represents 8% of the overall total FP7 budget, so the Japanese participation in this program is considerably good. 15 projects have been funded under this programme in the areas of Infrastructures, International cooperation and Science in society. Cooperation in the framework of the Euratom fission and fusion programmes (EURATOM) is also well established with around 6% of the total Japanese FP7 participation. Although this percentage of participation is the lowest one, we should take into account that the overall funding possibilities to participate in EURATOM projects have been smaller than the other three. Japanese entities participates in nine fission projects while in fusion research Japan and Euratom have over 150 on-going collaborative activities involving 53 European entities and 35 Japanese research institutions. A number of these activities involve the Joint European Torus (JET) in areas considered critical for ITER. Regarding the Ideas Programme 9, no data has been included in this section as ERC grants involves only European institutions being Japanese entities non eligible to participate. 7 The Cooperation programme promotes the progress of knowledge and technology through collaborative projects in ten thematic areas. 8 The People programme is dedicated to stimulating researchers career development, training and mobility. 9 The Ideas programme supports risk-taking and high-impact research. 6
8,4% 23,6% 5,9% 62,1% SP1-Cooperation SP3-People SP4-Capacities SP5-Euratom Figure 5 Projects with JP participation in FP7 specific programmes 2.1.1. Success Rate The success rate of Japanese participation in FP7 is 31% for the whole thematic areas (analysis based on Grant Agreements signed), being the global overall FP7 success rate around 20%. As to the specific programmes, EURATOM has the highest success rate with 90%, followed by the Capacities programme (48%), People (33%) and Cooperation with the lowest success rate of 25%. The global success rate of FP7 Cooperation programme is around 19% so the Japanese participation in this programme stands above the EU average. Success rates across all themes vary significantly and, apart from EURATOM, Infrastructures and Security have reached the highest success rate while Energy and Social Sciences have the lowest ones. Thematic areas such as Information & Communication Technologies (ICT), Health, Knowledge Based Bio- Economy (KBBE), Nanotechnologies (NMP) and Transport have success rates around 20 and 35%. 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% SP1- Cooperat ion SP3- People SP4- Capacitie s SP5- Euratom ALL SPs Success rate (%) 25% 33% 48% 90% 31% Figure 6 Overall success rate of Japanese participation in FP7 (%) 7
ENV (incl. Climate Change) JP Success Rate in FP7: Thematic Areas Success rate (%) 38% ENERGY 14% EURATOM 90% PEOPLE 33% ICT 23% HEALTH 36% INCO 40% INFRA 54% KBBE 23% NMP 27% SEC 57% SiS 50% SPACE 24% SSH 13% TPT (incl. 21% Aeronautics) ALL Areas 31% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Figure 7 Japanese success rate in FP7 Thematic Areas 10 2.1.2. Cooperation partners European organizations from all Member States and Associated Countries are involved in the 159 projects with Japanese participation. The highest number of successful collaborations are concentrated in Germany (237), followed by the United Kingdom (213), France (171) and Italy (150). Table 1 shows the main EU and Associated countries collaborating with Japan. 10 ENV (Environment); Energy (Energy); ERC (European Research Council); EURATOM (European Atomic Energy Community); People (Marie Curie Actions); ICT (Information & Communication Technologies); Health (Health); INCO (International Cooperation); INFRA (Infrastructures); KBBE (Knowledge Based Bio-Economy); NMP); NMP (Nanosciences, Nanotechnologies, Materials & New Production Technologies); SEC (Security); SIS (Science and Society); SME (Research for the benefit of Small and Medium Sized Enterprises (SMEs)); SPA (Space); SSH (Social Sciences and Humanities); TPT (Transport, including Aeronautics). 8
European Union countries / Associated countries Number of Participations Germany 237 United Kingdom 213 France 171 Italy 150 Spain 101 The Netherlands 74 Switzerland 63 Belgium 55 Other 313 Table 1 Main European Union countries /Associated countries participating with JP entities 2.1.3. Japanese entities Around 100 Japanese entities participated in FP7 projects, the University of Tokyo, RIKEN and Waseda University being the ones with the highest number of participations. It is noteworthy that the entities with the highest participation are universities and public organisations. We also note that the United Nations University (with its HQs in Tokyo) must be treated separately, as its institutes are not necessarily located in Japan. Participant legal name Number of Projects University of Tokyo 18 United Nations University 17 RIKEN 7 WASEDA University 7 National University Corporation, Hokkaido University 6 National Institute of Information and Communications Technology National University Corporation, Kyoto University 5 Osaka University 4 Japan Aerospace Exploration Agency 4 Keio University 4 Nippon Telegraph and telephone Corporation 4 Osaka University 4 Table 2 Main Japanese entities participating in FP7 projects 11 5 11 It should be taken into account that the United Nations University (UNU) is a global think tank and postgraduate teaching organization headquartered in Japan. The University is comprised of 13 institutes in 12 different countries around the world. The registration of all projects is centralized in the headquarters organization in Tokyo although the projects may take place in an UNU entity outside Japan. 9
2.2. Cooperation Programme The cooperation programme supports research activities carried out by collaborative projects in trans-national cooperation in ten thematic areas, corresponding to major fields in science and technology. This programme is of great importance to Japanese organizations as it represents the 62% of the overall Japanese participation in FP7. However, the level of participation in the ten thematic areas varies, as observed in the following Figure 8. 1% 8% 8% 4% 6% 5% ENERGY 16% ENV (incl. Climate Change) KBBE 4% HEALTH ICT 11% NMP SEC SSH SPA 37% TPT (incl. Aeronautics) Figure 8 FP7 projects with JP participation by thematic areas (Cooperation programme) 12 It can be observed that four of the themes, Information and Communication Technologies (ICT), Environment (ENV), Health (HEALTH), Nanotechnologies, Advanced Materials and Production (NMP) and Security (SEC) attracted most of the Japanese collaborators, accounting for 80% of the total Japanese participation in this specific programme (37% in ICT, 16% in ENV, 11% in HEALTH, and 8% in NMP and SEC). It should be noted that most of these themes together with Transport, are the areas with the greatest budget of the cooperation programme 13. ICT has long been the most active area of EU-Japan S&T cooperation, both at policy and project level. Key areas of ICT research projects between the European Union and Japan include: future internet, cloud computing, active and healthy ageing or cyber security. The Japanese participation in the Security thematic area is 8%, which could be considered an interesting and important data taking into account that this programme represents 4% of the total FP7 Cooperation budget. Funded projects in this thematic area range from crisis management or trade to critical infrastructures to extreme weather events. 12 TPT (Transport, including aeronautics); ENV (environment); Energy (Energy); ICT (Information & communication technologies); Health (Health); KBBE (Knowledge based bio-economy); NMP (Nanosciences, nanotechnologies, materials & new production technologies); SEC (Security); SPACE (Space); SSH (Social Sciences and Humanities). 13 Percentatge of the Cooperation budget by thematic area: Transport, including Aeronautics-TPT (13%); Environment-ENV (6%); Energy (7%); Information & Communication Technologies-ICT (28%); Health (19%); Knowledge Based Bio-Economy-KBBE (6%); Nanosciences, Nanotechnologies, Materials & New Production Technologies-NMP (11%); Security-SEC (4%); Space (4%); Social Sciences and Humanities-SSH (2%). 10
Energy, Social Sciences and Humanities (SSH) and Knowledge Based Bio-Economy (KBBE) are the themes with lower levels of participation. It is worth mentioning that the overall SSH budget are within the lowest in the cooperation programme (2%) so this low participation may be related to it, among other factors. 2.3. People Programme The People programme reinforces international cooperation in FP7 by supporting researchers mobility and their career development. The programme supports European researchers to undertake research abroad and by attracting research talent from outside Europe and fostering research collaborations. The People programme is implemented through the so-called Marie Curie Actions that include two main action lines: an individual one related to career development, lifelong learning and transfer of knowledge and a host driven one that reinforces research training networks targeting doctoral candidates and staff exchanges between European research organizations and organizations from countries which the European Union has S&T Agreements, such as Japan. The Marie Curie action with the major number of projects is the International Incoming Fellowship (IIF) for experienced researchers. 38 researchers working in Japan have undertaken research projects in Europe with a view to enhancing the transfer of knowledge and the possibility of future collaborative research links with Europe. The European countries which have hosted more Japanese fellows are United Kingdom (18 projects), Germany (six projects), Switzerland (five projects) and France (three projects). There are also eight Japanese nationals living in Europe that have obtained an Intra-European Fellowship (IEF) to acquire skills and work in another European country while three researchers living in Europe have received an International Outgoing Fellowships (IOF) to gain new skills and expertise while conducting high-level research in Japan. The latter action includes an in-built mandatory return phase to Europe that also strengthens the collaboration between European and Japanese entities. The Japanese institutions that have hosted these three researchers are Kobe University, Kyoto University and Tokyo University. Nº of projects Marie Curie IIF 38 Marie Curie IEF 8 Marie Curie IOF 3 49 16% 6% 78% Marie Curie IIF Marie Curie IEF Marie Curie IOF Figure 9 Japanese Participation in Marie Curie Individual Fellowships 11
With regard to the International Research Staff Exchange Scheme (IRSES), 34 projects have been funded. Compared to the above actions (IIF, IEF and IOF), which provide mobility possibilities to individual researchers, this action provides support to organizations to establish and reinforce long-term research co-operation through staff exchanges and networking activities. Since 2007, there has been an increase in the number of projects funded, being Engineering and Physics the thematic areas with higher participation and Economy and Humanities the lower ones. There is only one Japanese participation in the International Training Networks (ITN) scheme for early stage researchers, concretely RIKEN has participated in the BrainTrain project about brain disorders. 12 10 8 6 4 2 0 Y2008 Y2009 Y2010 Y2011 Y2012 Nº Projects 1 7 7 12 7 Figure 10 Japanese participation in Marie Curie IRSES projects 3% Chemistry 20% 12% 3% Economy Engineering 18% 6% 20% Environment Life Sciences Maths 18% Physics Figure 11 Japanese participation in Marie Curie IRSES projects by thematic areas 12
2.4. Ideas Programme The main aim of the Ideas programme, implemented by the European Research Council (ERC), is to encourage the highest quality research in Europe through competitive funding and to support investigator-driven frontier research across all fields, on the basis of scientific excellence. Unlike traditional FP7 Cooperation projects, ERC grants support individual researchers (Principal Investigator, PI) and their research teams. The sole criterion for selection is scientific excellence. The aim here is to recognize the best ideas, and confer status and visibility on the best brains in Europe, while also attracting talent from abroad in reinforcing excellence, dynamism and creativity in European Research. The host organization must be based in an EU Member State or Associated Country; therefore organizations based in third countries are not eligible as host institutions. Japanese researchers are allowed to apply but only in the case they decide to move to a European institution to carry out the research proposed or stay in Europe in the case of Japanese researchers already residing in Europe. Currently there are five types of grants, and the following are the core funding schemes: ERC Starting Grants (StG researchers with two to seven years of experienced after their PhD), ERC Consolidator Grants (CoG designed to support top researchers with 7 to 12 years of experience after their PhD), and ERC Advanced Grants (AdG open to excellent established researchers who have a recent track-record which identifies them as leaders in their respective fields of research). Eleven national Japanese researchers have obtained a StG while two have received a CoG and one an AdG. The host institutions are distributed between seven EU countries as Figure 12 shows and with regard to the thematic areas, eight belong to Life Sciences, five to Physical Sciences and Engineering, and one to Social Sciences and Humanities. 5 4.5 4 3.5 3 2.5 2 1.5 1 0.5 0 UK FR DE AT CH NO BE Nº of JP Researchers 5 2 2 2 1 1 1 Figure 12 Japanese ERC grantees per country host institution 13
57% 7% 36% Social Sciences and Humanities Physics Life Sciences Figure 13 Japanese ERC grantees per research area Comparing with other third countries nationals that have been awarded, Japanese national researchers occupy sixth place, behind the United States, Canadian, Russian, Australian and Indian nationals. The participation by the US nationals is outstanding among the third country participation in this specific programme. 60 50 40 30 20 10 0 U.S CA RU AU IN JAPA AR CN UKR Other N s Starting Grants 52 12 14 14 12 11 7 7 7 17 Consolidator Grants 5 4 2 1 2 2 0 1 0 3 Advanced Grants 57 7 3 3 1 1 0 0 0 7 Figure 14 ERC Third Countries Nationality Grantees 14
3. Japanese affiliated companies in Europe participation in the Seventh Framework Programme In the framework of the Jeupiste Project, the Japanese affiliated companies in Europe participation have also been analysed. Though these entities are legally based in Europe and are counted as European participation, it has been considered important to examine the involvement of the Japanese industrial sector in its broadest sense in the European research and innovation system. The findings of that analysis show that almost 70 Japanese affiliated companies in Europe participated in FP7 projects, which indicate that the involvement of the Japanese industrial sector in the European research and innovation system has been mostly through the affiliates in Europe. Most of them are engineering and electronics conglomerate companies or belong to the automobile sector with legal addresses in the United Kingdom, France and Germany. Table 3 shows the main Japanese affiliated companies in Europe participating in more than five FP7 Projects. Affiliate Nº of projects EU host country NEC Europe LTD. 48 United Kingdom DOCOMO Communications Laboratories Europe GmbH 11 Germany HITACHI Europe LTD. 10 United Kingdom HORIBA Jobin Yvon S.A.S. 9 France TOSHIBA Research Europe LTD. 8 United Kingdom HITACHI Europe SAS 8 France Sony Europe LTD. 5 United Kingdom Table 3 Main Japanese affiliated companies in Europe participating in FP7 projects Sources 1. EC Commission (DG Research and Innovation and Research Executive Agency). 2. FP7 Monitoring Reports (http://ec.europa.eu/research/evaluations/index_en.cfm). 3. Interim Evaluation of the Seventh Framework Programme - Report of the Expert Group (http://ec.europa.eu/research/evaluations/pdf/archive/other_reports_studies_an d_documents/fp7_interim_evaluation_expert_group_report.pdf#view=fit&pagemode= none). 4. Cordis (Projects and Results http://cordis.europa.eu). 15