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Enhancing and focusing EU international cooperation in research pand innovation: A strategic approach

John ClaxtonInternational Cooperation

PolicyResearch andInnovation

International CooperationDirectorate General for Research and Innovation

A Rapidly Changing Context

From a triad to a multipolar world

STI increasingly internationally internationally interconnected

Most societal challenges are

global in nature


g

Co-publication LinkagesCo publication Linkages

EU USA remains strongest link


EU-USA remains strongest link …but higher growth rate with emerging S&T powers

Drivers of international cooperationDrivers of international cooperation

Need to access knowledge produced outside E d i t k tEurope and gain access to new markets

Need to promote Europe as an attractive p plocation and partner for research and innovation

Need to join forces globally to tackle global Need to join forces globally to tackle global challenges


International cooperation in FP7: ptaking stock

1) Multiple international cooperation activities: 1) Multiple international cooperation activities: mixed success

2) E l f 2) Examples of progress:• EDCTP: with African countries on HIV/AIDS, malaria, tuberculosis• ITER: nuclear fusion energy reactor (with Japan Russia USA Korea )• ITER: nuclear fusion energy reactor (with Japan, Russia, USA, Korea,…)• HFSP: support for basic research, with 13 other countries

3) Room for improvement:• Actions too often developed ad hoc• Multiplication of activities missing critical mass• Lack of coherence and synergies


Lack of coherence and synergies• Confirmed by FP7 interim evaluation

EDCTP

The European and Developing Countries Clinical

EDCTP

The European and Developing Countries Clinical Trials Partnership (EDCTP) is a partnership between 14 Member States, Switzerland, Norway bet ee e be States, S t e a d, o ayand sub-Saharan African countries aimed at tackling HIV/AIDS, tuberculosis and malaria

By end 2011: approximately EUR 356 million (including co-funding) for 196 projects, over 300 (including co funding) for 196 projects, over 300 fellowships and 57 clinical trials

T t l EU t ib ti t EDCTP i 200 ill EURPolicyResearch andInnovation

Total EU contribution to EDCTP is 200 mill EURhttp://www.edctp.org/

ÉGEANT

GÉANT is the hub for research and education networks globally thanks to the funds from the Union (partially through its

development cooperation instruments)p p )

PolicyResearch andInnovation http://www.geant.net

FP7 funding for international partnersFP7 funding for international partners


Targeted topics in FP7Targeted topics in FP7


Grant agreements in FP7Grant agreements in FP7


ACP participation in FP7ACP participation in FP7


International participation in FP7International participation in FP7


International cooperation in FP7: ptaking stock

1) Multiple international cooperation activities: 1) Multiple international cooperation activities: mixed success

2) E l f 2) Examples of progress:• EDCTP: with African countries on HIV/AIDS, malaria, tuberculosis• ITER: nuclear fusion energy reactor (with Japan Russia USA Korea )• ITER: nuclear fusion energy reactor (with Japan, Russia, USA, Korea,…)• HFSP: support for basic research, with 13 other countries

3) Room for improvement:• Actions too often developed ad hoc• Multiplication of activities missing critical mass• Lack of coherence and synergies


Lack of coherence and synergies• Confirmed by FP7 interim evaluation

New strategy for international cooperation in research and innovation

Need to engage more actively and strategically in Need to engage more actively and strategically in international cooperation:

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

Combining openness with better targeted actions

Strengthened partnership with Member States

Stronger contribution of research and innovation to


gexternal policies of the Union

Dual approachDual approach

Openness: • Horizon 2020 open to participation from across the world• Revision to the list of countries which receive automatic funding

Targeted actions:1. Thematic: identifying areas for international cooperation on the 1. Thematic: identifying areas for international cooperation on the

basis of the Union's policy agenda2. Differentiation by countries/regions to target partners for

cooperation

multi-annual roadmaps for cooperation with key partners


Thematic targetingThematic targeting

Starting point: Horizon 2020 societal challenges g p gand enabling technologies

Identify areas based on analysis of a set of Identify areas based on analysis of a set of criteria of the EU and potential partners:

R h d i ti it• Research and innovation capacity• Access to markets• Contribution to international commitments, e.g. MDG or Rio+20• Frameworks in place to engage in cooperation (EU, international

partners and MS) – including lessons learnt from previous cooperation


p

Multi-annual roadmaps for cooperation with countries/regionsEnlargement and neighbourhood countries, and EFTA

• Focus on alignment with the ERA• Support enlargement and neighbourhood policies (support to

developing a common 'Knowledge and Innovation Space')p g g p )

Industrialised countries and emerging economies

• Focus on competitiveness• Tackle global challenges• Business opportunities and access to new markets

Developing countriesDeveloping countries

• Support development policy by building partnerships contributing to sustainable development


• Address relevant challenges (e.g. poverty-related diseases, energy and food security, biodiversity)

InstrumentsPolicy instruments

• more strategic use of S&T agreements with key third countries• more strategic use of S&T agreements with key third countries• strategic partnerships (e.g. Russia)• increased synergies across the Commission, more visibility for STI in

general cooperation frameworksgeneral cooperation frameworks

Funding instruments

• collaborative projects (third country participation required and/or collaborative projects (third country participation required and/or taken into account in evaluation)

• networking between existing projects• joint initiatives of Union and third countries: coordinated calls, j ,

contribution of Union to third country/international organisations, ERA-Net/Art185

Information gathering (multiple sources: ERAWATCH OECD


Information gathering (multiple sources: ERAWATCH, OECD, UNESCO, EEAS Delegations and Counsellors,…)

International Cooperation in Horizon 2020pGeneral opening

Targeted activities in Societal challenges and Industrial leadership

• Projects with required or preferential 3rd country participation• Joint calls, delegated management, ERA-NET, Art 185

Excellent sciencece e t sc e ce

• Marie Skłodowska-Curie Fellowships : strong international dimension• Development of global research infrastructures (Carnegie Group) • ERC open to researchers from all over the world - research to be carried p

out mostly in Member States or Associated Countries

Dedicated cross-cutting actions – Inclusive, Innovative and Secure Societies challenge

• Support for to policy dialogue• Networking and twinning activities • Coordination of EU and MS/AC international cooperation policies

Strengthening of European presence in international partner countries


• Strengthening of European presence in international partner countries

CoordinationCoordination

Coordination with other policies and instruments of the Union

• external policies (including development policy)h li i i h i i l di i d• other policies with strong international dimension, e.g. trade

• external dimension of other Union policies, e.g. education

International organisations and multilateral foraInternational organisations and multilateral fora

• shaping global agendas: UN bodies, OECD bodies, Carnegie forum,…

• strengthen links with intergovernmental organisations and initiatives: COST, EUREKA, EIROForum


Promoting common principlesg p p

Promote level playing field for international cooperationcooperation

Set of mutually agreed principles to generate trust and confidence

Issues: research integrity peer review role of Issues: research integrity, peer review, role of women in science, research careers, fair and equitable treatment of IPR, open accessq , p


Partnership with Member Statesp

Union activities must add value and complementthose of Member Statesthose of Member States

Acknowledge progress made through SFIC

From national considerations to European sharedactivities:activities:

• associate MS to development of EU roadmaps• prepare joint Union-MS roadmapsp p j p• common guidelines for international cooperation

with third countries (e.g. visa)


Governance monitoring evaluationGovernance, monitoring, evaluation

Implementation aligned with Horizon 2020 Implementation aligned with Horizon 2020, including in governance structures and workprogrammes

Biennial report on implementation

Assessment of progress against list of indicators


PolicyResearch andInnovationResearch andInnovation

What is Horizon 2020?What is Horizon 2020?

• Commission proposal for a €80 billion research p pand innovation funding programme (2014-2020)

• A core part of Europe 2020, Innovation Union & European Research Area:

- Responding to the economic crisis to invest in future jobs and growthand growth

- Addressing people’s concerns about their livelihoods, safety and environment

- Strengthening the EU’s global position in research, innovation and technology


The Multiannual Financial Framework 2014-2020: Commission’s proposals 29 June 2011

Key challenge: stabilise the financial and economic system

1. Smart & inclusive growth (€491bn)

y g ywhile taking measures to create economic opportunities

1. Smart & inclusive growth (€491bn)

Education, Youth, Sport

ConnectingEurope Cohesion Competitive

Horizon 2020Sport Europe Cohesion

Business SMEs 2020

2. Sustainable growth, natural resources (€383bn)

3. Security and citizenship (€18.5bn)

4 Gl b l E (€70b )Total:


4. Global Europe (€70bn)

5. Administration (€62.6bn)

€ 1,025bn

What’s newWhat s new

• A single programme bringing together three separate g p g g g g pprogrammes/initiatives*

• Coupling research to innovation – from research to t il ll f f i tiretail, all forms of innovation

• Focus on societal challenges facing EU society, e.g. health, clean energy and transporthealth, clean energy and transport

• Simplified access, for all companies, universities, institutes in all EU countries and beyond.

*The 7th Research Framework Programme (FP7), innovation aspects of Competitiveness and Innovation Framework Programme (CIP), EU contribution to the European Institute of Innovation and Technology (EIT)


EU contribution to the European Institute of Innovation and Technology (EIT)

Three priorities:Three priorities:

1 Excellent science1. Excellent science

2. Industrial leadership2. Industrial leadership

3. Societal challengesg


Horizon 2020 - Priority 1. Excellent science y(25 Billion Euro) (Proposal)

World class science is the foundation of tomorrow’s technologies, jobs and well-being

Europe needs to develop, attract d t i h t l tand retain research talent

Researchers need access to the best infrastructuresbest infrastructures


Horizon 2020 - Priority 2. Industrial leadership (18 Billion Euro)(Proposal)

Strategic investments in key technologies (e.g. advanced manufacturing, micro-l t i ) d i electronics) underpin

innovation across existing and emerging sectors

Europe needs to attract more private investment in research and innovation

Europe needs more innovative SMEs to create growth and jobs


jobs

Horizon 2020 - Priority 3. Societal h ll (32 Billi E )(P l)challenges (32 Billion Euro)(Proposal)

Health demographic change and wellbeing 8 033Concerns of citizens and society/EU policy objectives (climate, environment, energy, transport etc) cannot be achieved

Health, demographic change and wellbeing 8 033

Food security, sustainable agriculture, marine and maritime research & the bioeconomy

4152

S l d ffi i t * 5 782p )

without innovation

Breakthrough solutions come from multi-disciplinary

Secure, clean and efficient energy* 5 782

Smart, green and integrated transport 6 802

Climate action, resource efficiency and raw materials 3 160from multi disciplinary collaborations, including social sciences & humanities

Promising solutions need to be

Climate action, resource efficiency and raw materials 3 160

Inclusive, innovative and secure societies 3 819

Promising solutions need to be tested, demonstrated and scaled up


R l f th EIT d JRC i H i 2020Role of the EIT and JRC in Horizon 2020

European Institute Technology (EIT) Combining research, innovation & training in knowledge and Innovation Communities

1 360+1 440*

knowledge and Innovation Communities

Joint Research Centre (JRC)** 1 962Providing a robust, evidence base for EU policies

• *Second tranche pro rata from LEIT and Societal challenges (subject to review)

• **Additional €656 m for the JRC to be funded from the Euratom Treaty activities


SimplificationSimplification

• Single set of simpler and more coherent participation rulesrules

• New balance between trust and control

• Moving from several funding rates for different beneficiaries and activities to just two

R l i th f th d t l l t h d • Replacing the four methods to calculate overhead or 'indirect costs' with a single flat rate

• Major simplification under the forthcoming financial • Major simplification under the forthcoming financial regulation

• Successful applicants to get working more quickly:


Successful applicants to get working more quickly: reduction of average time to grant

Specific measures in Horizon 2020 to close pthe innovation divide

Improved information, communication and supportImproved information, communication and support

Stimulating cross-border science networks

ERA (European Research Area) Chairs

Teaming/Twinning of research institutions


Horizon 2020 and partneringp gPublic private partnerships:

• Through Joint Technology Initiatives or other formal structures (Art. 187)

• Through contractual agreements, which provide inputs for work programmes

• Only when criteria met, e.g. clear commitments from private partners

Public public partnerships:

• Through « ERA-Nets » for topping up individual calls/actions (replacing current ERA-Net, ERA-Net Plus, Inco-Net, Inno-net), , , )

• Through participation in joint programmes between Member States (Art. 185)

• Supporting agendas of Joint Programming Initiatives when in line with Horizon 20202020

• Only when criteria met, e.g. financial commitments of participating countries

European Innovation Partnerships:


• Not funding instruments, but for coordination with broader policies and programmes

AssociationAssociation

For the first time, Horizon 2020 provides criteria for association in Article 7 of Horizon 2020 Regulation:

Acceding countries, candidate countries and potential candidates

Selected third countries, with:

• Good capacity in science, technology and innovation;

• Good track record of participating in Union research and • Good track record of participating in Union research and innovation programmes;

• Close economic and geographic links with the Union;

• EFTA members countries or territories listed in the European • EFTA members, countries or territories listed in the European Neighbourhood Instrument;


Find out more:

ec.europa.eu/research/horizon2020

ec europa eu/research/internationalstrategyec.europa.eu/research/internationalstrategy


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