COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS Enhancing and focusing EU international cooperation in research and innovation: A strategic approach
Date: 2012-09-14
Institutions: European Commission
Subjects: developing countries, innovation, international cooperation, research policy

EUROPEAN COMMISSION 

Brussels, 14.9.2012  
COM(2012) 497 final 

COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN 
PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL 
COMMITTEE AND THE COMMITTEE OF THE REGIONS 

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

(Text with EEA relevance) 

{SWD(2012) 258 final} 

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   EN 

 
 
 
  
 
COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN 
PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL 
COMMITTEE AND THE COMMITTEE OF THE REGIONS 

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

(Text with EEA relevance) 

1. 

A CHANGING WORLD 

The  European  Union  is  a  world  leader  in  research  and  innovation,  responsible  for  24%  of 
world  expenditure  on  research,  32%  of  high  impact  publications  and  32%  of  patent 
applications, while representing only 7% of the population1. 

Over  the  past  decade,  however,  the  landscape  has  evolved  rapidly.  Global  research  and 
innovation  were,  until  recently,  dominated  by  the  European  Union,  the  USA  and  Japan.  As 
the  emerging  economies  continue  to  strengthen  their  research  and  innovation  systems,  a 
multipolar  system  is  developing  in  which  countries  such  as  Brazil,  China,  India  and  South-
Korea  exert  increasing  influence.  The  share  of  the  BRICS  in  global  expenditure  on  R&D 
doubled  between  2000  and  2009.  The  Union  also  has  a  clear  interest  in  its  neighbouring 
countries developing their research and innovation capacity. 

Research  and  innovation  are  increasingly  interlinked  internationally,  aided  by  rapidly 
developing information and communication technologies. The number of internationally co-
authored  scientific  publications  and  the  mobility  of  researchers  are  increasing.  Research 
organisations are establishing offices abroad and companies are investing outside their home 
countries, in particular in the emerging economies.  

Global  challenges  are  important  drivers  for  research  and  innovation.  Our  planet  has  finite 
resources which need to be cared for sustainably; climate change and infectious diseases do 
not  stop  at  national  borders,  food  security  needs  to  be  ensured  across  the  globe.  The  Union 
needs to strengthen its dialogues with international partners to build critical mass for tackling 
these challenges. 
As  more  research  and  innovation  is  performed  in  third  countries2,  the  Union  will  need  to 
access this knowledge. To remain a major global player, the Union must promote itself as an 
attractive  location  for  carrying  out  research  and  innovation  and  be  successful  in  the  global 
competition for talent, while at the same time preserving its economic interests, for instance 
as regards the protection of intellectual property. 

With  the  entry  into  force  of  the  Treaty  on  European  Union  (TEU)  and  the  Treaty  on  the 
Functioning of the European Union (TFEU) the institutional setting for the Union's action on 
the international scene has changed. The Union's High Representative for Foreign Affairs and 
Security  Policy,  and  Vice-President  of  the  Commission,  ensures  the  consistency  of  the 
Union's external action. The High Representative is assisted by the European External Action 
Service (EEAS). Research being a parallel competence, the Union and Member States shall 
ensure  coordination  of  their  respective  activities,  so  as  to  ensure  that  national  policies  and 
Union policy are mutually consistent.  

1 
2 

Further information is provided in the accompanying Staff Working Document. 
In this Communication ‘third country’ is a country that is neither a Member State nor a state associated 
to the research framework programmes, unless otherwise stated. 

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Based on this evolving context, the commitments under the Innovation Union,3 the European 
Research Area (ERA) Framework4 and the recommendations of the interim evaluation of the 
Seventh  Framework  Programme  (FP7),5  the  Commission  proposes  a  strategic  approach  to 
enhance and focus the Union's international cooperation activities in research and innovation, 
in particular with a view to preparing for the implementation of Horizon 20206.  

2. 

TAKING STOCK 

Europe  has  a  long  history  in  promoting  research  cooperation  across  borders.  Established  in 
1954,  the  European  Organisation  for  Nuclear  Research  (CERN)  is  a  research  centre  of 
excellence and the world's largest particle physics laboratory, attracting top scientists. 

Since 1986, the Treaties explicitly identify cooperation with third countries as a key activity 
of the Union's research policy. International cooperation activities have been developed under 
the TFEU and the Euratom Treaty. The Framework Programmes have gradually been opened 
up  to  participation  by  third  countries,  with  support  for  international  cooperation  fully 
mainstreamed within FP7 (including Euratom FP7). The European Institute of Innovation and 
Technology (EIT) is also open to collaboration with third countries. As a result, 6% of FP7 
participants come from third countries. 

Progress  has  been  made  in  optimising  the  scale  and  scope  of  international  cooperation 
activities. For example: 

– 

– 

– 

– 

– 

– 

The European and Developing Countries Clinical Trials Partnership (EDCTP) is a 
partnership  between  14  Member  States,  Switzerland,  Norway  and  sub-Saharan 
African countries aimed at tackling HIV/AIDS, tuberculosis and malaria; 

Euratom, China, India, Japan, Russia, South-Korea and the USA have joined forces 
in  the  ITER  project  (supported  by  the  Broader  Approach  Agreement  between 
Euratom and Japan) to demonstrate that nuclear fusion is a viable energy source of 
the future; 

The Marie Curie actions have a strong international dimension. Participants in these 
actions come from 80 different countries; 

The Commission's Joint Research Centre cooperates with international partners on a 
wide range of issues; 

The world-wide interconnection of research and education networks provided by the 
GEANT  network  is  largely  funded  by  the  Union  (partially  through  its  development 
cooperation instruments); 

The  Union,  together  with  13  other  countries,  supports  the Human  Frontier  Science 
Programme to finance international collaboration in basic research.  

While this progress is welcome, critical mass is lacking in many cases and the strategy driving 
the development of the actions is not always clear. This was one of the conclusions of the FP7 
interim  evaluation,  which  stated  that  there  needs  to  be  an  ‘intensification  of  international 
cooperation‘ activities focused on ‘engaging with partners outside of Europe on equal terms 
and in programmes and activities of high mutual interest‘. The same report recommended the 
‘coherent  strategic  development‘of  the  Union's  policy  for  international  cooperation  in 
research and innovation.  

3 
4 
5 
6 

COM(2010) 546 
COM(2012) 392 
http://ec.europa.eu/research/evaluations/index_en.cfm?pg=fp7  
COM(2011) 809 

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3. 

OBJECTIVES OF INTERNATIONAL COOPERATION 

International cooperation in research and innovation contributes to the broader policies of the 
Union, as reflected in the Europe 20207 strategy, in supporting the following objectives: 

(a) 

(b) 

(c) 

Strengthening  the  Union’s  excellence  and  attractiveness  in  research  and 
innovation  as  well  as  its  economic  and  industrial  competitiveness  –  by  creating 
win-win  situations  and  cooperating  on  the  basis  of  mutual  benefit;  by  accessing 
external sources of knowledge; by attracting talent and investment to the Union; by 
facilitating  access  to  new  and  emerging  markets;  and  by  agreeing  on  common 
practices for conducting research and exploiting the results; 

Tackling  global  societal  challenges  –  by  developing  and  deploying  effective 
solutions more rapidly and by optimising the use of research infrastructures; and, 

Supporting  the  Union’s  external  policies  –  by  coordinating  closely  with 
enlargement,  neighbourhood,  trade,  Common  Foreign  and  Security  Policy  (CFSP), 
humanitarian  aid  and  development  policies  and  making  research  and  innovation  an 
integral part of a comprehensive package of external action.  

‘Science  diplomacy’  will  use  international  cooperation  in  research  and  innovation  as  an 
instrument  of  soft  power  and  a  mechanism  for  improving  relations  with  key  countries  and 
regions. Good international relations may, in turn, facilitate effective cooperation in research 
and innovation.  

This  Communication  proposes  to  enhance  and  focus  the  Union's  international  cooperation 
activities in research and innovation by using the dual approach of openness complemented 
by targeted international cooperation activities, developed on the basis of common interest 
and mutual benefit, optimal scale and scope, partnership, and synergy. 

4. 

ENHANCING AND FOCUSING INTERNATIONAL COOPERATION ACTIVITIES 

4.1. 

Openness in international cooperation 

The  Union  will  continue  to  engage  with  countries  and  regions  across  the  globe.  This  will 
allow  the  Union's  researchers  and  innovators  to  engage  on  a  stakeholder-driven  basis  with 
their counterparts worldwide:  

– 

– 

– 

– 

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Horizon 2020 will be fully open to participation from all over the world8; 

The  European  Research  Council  and  Marie  Skłodowska-Curie  actions  will  operate 
on a fully researcher-driven basis, open to researchers from third countries.  

The  Research  Infrastructures  activity  will  have  a  specific  focus  on  international 
cooperation. Its e-Infrastructures component has an inherent international dimension 
by supporting collaboration through digital means. 

However,  not  all  third  country  participants  will  be  automatically  eligible  for 
funding9.  The  list  of  countries  eligible  for  automatic  funding  will  be  restricted,  by 
complementing the current selection criterion, based solely on GNI per capita, with 
an  additional  criterion  based  on  total  GDP,  excluding  countries  above  a  defined 
threshold. This will address the fact that some countries have established the critical 
mass needed to cooperate on a reciprocal basis with the Union. Similarly as for the 

COM(2010) 2020 
COM(2011) 810 Art 6(1)  
COM(2011) 810 Art 9 

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industrialised countries, funding for participants from these countries continues to be 
possible in exceptional cases;  

The  more  restrictive  approach  to  automatic  funding  will  be  counterbalanced  by 
increased  efforts  to  facilitate  the  funding  of  participants  through  their  national 
channels; 

The  Union  will  continue  to  encourage  reciprocal  access  to  third  countries' 
programmes. The Horizon 2020 proposals allow for limiting the geographical scope 
of calls, for instance when the conditions for the participation of legal entities from 
Member States in the third country's programmes are considered to be prejudicial to 
the Union's interest or satisfactory security guarantees can not be provided10; 

Support for COST and EUREKA will encourage European networks of researchers 
to cooperate with their third country counterparts. 

– 

– 

– 

4.2. 

Targeted international cooperation activities 

Maximising  the  impact  of  international  research  and  innovation  activities,  while  avoiding  a 
costly  fragmentation  of  efforts,  requires  the  Union  to  complement  the  openness  of  Horizon 
2020 with targeted actions in order to ensure optimal scale and scope. 

4.2.1. 

Identifying areas for international cooperation  

Horizon  2020  focuses  the  Union’s  research  and  innovation  funding  on  a  limited  number  of 
societal challenges and enabling and industrial technologies. 

In  preparing  work  programmes  for  implementing  Horizon 2020  (the  Euratom  programme 
being a part of this), international cooperation will be a key consideration. Areas for engaging 
with third countries will be identified in a systematic and coherent manner on the basis of an 
analysis of the Union vis-à-vis the rest of the world in line with the following set of criteria: 

– 

– 

– 

– 

research and innovation capacity, including investment, output (publications, patents, 
citations, licensing), human resources and infrastructure; 

risks of and opportunities for access to existing, new or emerging markets, and their 
impact on the Union's competitiveness; 

contribution  to  the  Union's  international  commitments,  as  reflected  in  the 
Millennium  Development  Goals,  the  post-2015  development  framework,  Rio+20, 
G20 and the international objectives of sectoral policies; and, 

the  legal  and  administrative  frameworks  in  place,  among  the  international  partners, 
and where appropriate the Member States, to engage in cooperation, also including 
lessons learnt from previous cooperation. 

While sufficient objective information is available to support the analysis of the first criterion, 
the  others  will  require  qualitative  assessment  and  judgment.  A  systematic  gathering  of 
information will be an essential element of the strategic approach, relying in particular on the 
new  Research  and  Innovation  Observatory  being  developed  by  the  Commission.  It  will 
include in-depth stakeholder consultations, including with industry.  

An  enhanced  innovation  dimension  will  involve  putting  in  place  adequate  framework 
conditions and a level playing field, including activities ranging from information gathering, 
policy  learning,  exchange  of  experience,  identification  of  good  practice,  provision  of 
information  and  assistance  and  networking  between  research  and  innovation  actors  to 
supporting the adaptation and uptake of existing technology in new markets, and – in limited 

10 

COM(2011) 810 Art 6(2), 6(3) and 8(5) 

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cases  –demonstration  and  pilot  projects.  There  will  be  a  stronger  focus  on  close-to-  market 
and  other  innovation  related  activities.  This  will  require  finding  an  appropriate  balance 
between cooperating with third countries to jointly advance scientific knowledge and tackle 
global challenges while safeguarding the interests of the Union's companies. In this context, 
the  fair  and  equitable  treatment  of  IPR  will  be  ensured  to  avoid  uncontrolled  loss  of  the 
Union's know-how. 

More generally, sound innovation-related framework conditions are of the utmost importance 
for  the  Union  to  engage  effectively  in  research  and  innovation  at  international  level.  For 
example,  the  removal  of  specific  trade  barriers  remains  a  cornerstone  of  the  Union's 
relationship with third countries.11 

4.2.2.  Developing  multi-annual  roadmaps  for  cooperation  with  key  partner  countries  and 

regions 

Based on the above criteria, the identification of areas for targeted international cooperation 
actions will be the starting point of the strategic approach. A flexible differentiation of partner 
countries  and  regions  will  allow  additional  focus  –  especially  when  considering  funding 
options – while taking into account that a given country can fall into one or more groupings, 
depending  on  its  research  and  innovation  strengths.  The  following  country  groupings  are 
included in the Horizon 2020 proposals: 

• 

• 

• 

The  EFTA  countries,  EU  enlargement  countries  and  countries  covered  by  the 
European Neighbourhood policy, where the focus will be on fostering integration 
into  –  or  alignment  with  –  the  European  Research  Area,  including  through  their 
possible association to Horizon 2020. For the Neighbourhood, this will contribute to 
developing a 'Common Knowledge and Innovation Space', including improving the 
research and innovation competences of these countries. Cooperation will be in close 
coordination with the instruments of the enlargement and neighbourhood policies, as 
underlined at the recent conference on a renewed Euro-Mediterranean partnership in 
research  and  innovation.  For  the  latter  case,  a  specific  follow-up  action  is  in 
preparation.  

Industrialised  countries  and  emerging  economies,  where  the  main  objective  will 
be  to  increase  the  Union's  competitiveness,  to  jointly  tackle  global  challenges 
through  common  innovative  solutions,  and  to  develop  enabling  technologies  by 
accessing  new  sources  of  knowledge.  This  will  provide  the  Union's  private  sector 
with  business  opportunities  and  access  to  new  markets.  There  will  also  be  a 
strengthened  innovation  dimension,  as  is  the  case  for  instance  through  the 
Transatlantic  Innovation  Action  Partnership  or  the  Indo-European  Partnership  for 
Research and Innovation. 

Developing  countries,  where  the  emphasis  will  be  on  complementing  the  Union's 
external policies and instruments by building partnerships – in particular bi-regional 
partnerships  –  to  contribute  to  the  sustainable  development  of  these  regions  and 
address challenges such as the green economy, climate action, improved agriculture, 
food  security  and  health.  This  includes  supporting  the  Millennium  Development 
Goals  −  and  their  possible  successors  −  strengthening  demand-led  research  and 
innovation for development, and delivery of the outcome of the Rio+20 conference, 
e.g. through the transfer of climate technologies.  

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COM(2012) 70 

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Systematic identification of opportunities combined with differentiation by country groupings 
will support the development of multi-annual roadmaps for cooperation with key partner 
countries and regions.  

5. 

A SET OF INSTRUMENTS THAT IS FIT FOR PURPOSE 

5.1. 

Policy dialogue 

The Union has Scientific and Technical Cooperation Agreements with 20 countries under the 
TFEU and with 15 countries under the Euratom Treaty. Science and technology are also often 
an  important  part  of  broader  policy  dialogues,  such  as  in  Partnership  and  Cooperation 
Agreements and other international framework agreements.  

The  S&T  agreements  will  be  important  vehicles  for  defining  and  implementing  the  multi-
annual  roadmaps.  Where  appropriate,  they  will  be  developed  into  strategic  long-term 
partnerships, including agreement on the priorities to be addressed. They should also promote 
the  fair  and  equitable  treatment  of  intellectual  property  and  knowledge  transfer.  A  similar 
approach  will  be  followed  on  a  regional  basis,  for  instance  for  the  partnerships  with  the 
Mediterranean countries, the Association of South East Asian Nations, Africa, and the Latin-
American & Caribbean countries. 

5.2. 

Information gathering 

Objective  information  is  needed  to  implement  the  strategic  approach.  Increased  attention 
must, therefore, be paid to collecting qualitative and quantitative information, such as12: 

– 

– 

– 

– 

international cooperation activities funded through the Union, and their impact; 

international  cooperation  policies  and  programmes  of  the  Member  States  and 
Associated Countries, as well as the strengths and weaknesses of their research and 
innovation  systems,  whereby  Member  States  and  Associated  Countries  will  be 
encouraged  to  share  with  each  other,  through  the  Strategic  Forum  for  International 
S&T Cooperation (SFIC), information obtained through national mapping exercises; 

research  and  innovation  policies  and  programmes,  including  their  international 
component,  of  third  countries,  as  well  as  the  strengths  and  weaknesses  of  their 
systems; 

foresight activities, to identify emerging challenges, future markets and trends. 

Information gathering will make use of the Union's Delegations and science counsellors and 
the EEAS, as well as the new Research and Innovation Observatory. 

5.3. 

Funding instruments 

Horizon 2020 will be the main instrument for implementing the Union's international research 
and innovation cooperation actions, complemented where appropriate with national funding.  

Targeted  activities  using  the  following  instruments  will  implement  the  multi-annual 
roadmaps:  

– 

– 

12 

research  and  innovation  projects  where  the  participation  of  third  country  entities  is 
required and/or taken into account during evaluation; 

softer  forms  of  cooperation  such  as  networking  between  projects,  clusters  and/or 
programme managers; 

Further information is provided in the accompanying Staff Working Document. 

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– 

joint initiatives involving the Union and international partners: 

• 

• 

• 

• 

coordinated calls: launched and evaluated in parallel in the Union and the 
third country; 

joint calls: launched, evaluated, selected and funded jointly by the Union 
and the third country; 

contributions  from  the  Union  to  funding  programmes  of  third  countries 
or  international  organisations  to  cover  the  participation  of  the  Union's 
entities in those programmes; and, 

specific  initiatives  requiring  joint  funding  from  the  Union,  Member 
States,  Associated  Countries,  and/or  third  countries  to  ensure  optimal 
scale and scope, implemented through ERA-NETs, Article 185 or other 
instruments. 

The  Horizon 2020  proposals  include  provisions13  to  develop  and  present  cross-cutting 
activities, such as international cooperation, in a coherent manner. The Commission intends to 
reflect these provisions in the work programme and comitology structure of Horizon 2020.  

5.4. 

Coordinating with other policies and international fora 

5.4.1.  Policies and instruments of the Union 

International  cooperation  activities  in  research  and  innovation  will  be  developed  in  close 
coordination  with  the  Union's  external  policies  and  instruments14.  This  will  also  include 
mainstreaming  research  and  innovation  across  other  policies  with  a  strong  international 
dimension,  such  as  trade,  CFSP,  environment  and  energy,  and  exploiting  synergies  with 
international  cooperation  in  higher  education  proposed  under  Erasmus  for  All15.  The 
development  of  the  multi-annual  roadmaps  for  international  cooperation  in  research  and 
innovation  should,  therefore,  be  closely  coordinated  with  the  general  external  country 
strategies and the external dimension of the Union's internal policies.  

The  Union's  external  policies  will  aid  in  building-up  research  capacity  in  the  enlargement, 
neighbourhood  and  developing  countries.  Research  and  innovation  funding  will  focus  on 
excellence,  thereby  contributing  to  finding  innovative  solutions  for  the  challenges  these 
countries  face.  In  doing  so  it  will  contribute  to  the  objectives  of  the  Union's  development 
policies,  for  instance  through:  forward-looking  activities  and  socio-economic  research  to 
identify  specific  challenges;  cutting-edge  research  and  innovation  to  develop  locally 
applicable solutions; or providing support for adapting and transferring existing technologies. 
This  will  be  complemented  by  funding  provided  by  the  European  Investment  Bank  and  the 
European Bank for Reconstruction and Development. 

5.4.2. 

International organisations and multilateral fora 

International  organisations  and  multilateral  fora  play  a  key  role  in  addressing  global 
challenges.  The  Organisation  for  Economic  Cooperation  and  Development's  (OECD) 
Committee  on  Science  and  Technology  Policy  and  Global  Science  Forum  focuses  on 
improving  the  governance  of  global  research  and  innovation  activities.  The  United  Nations 
and other organisations such as UNESCO, the Intergovernmental Panel on Climate Change, 
United Nations Framework Convention on Climate Change, the Intergovernmental Platform 

13 
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15 

Article 13 of the Horizon 2020 Regulation and Article 5(6) of the Specific Programme. 
COM(2011) 865. 
COM(2011) 788. 

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on  Biodiversity  and  Ecosystem  services,  Food  and  Agricultural  Organisation  and  World 
Health Organisation, play a key role in shaping global research agendas.  

The International Energy Agency and Nuclear Energy Agency (under the OECD framework), 
the  International  Atomic  Energy  Agency  and  the  Generation  IV  International  Forum  and 
ITER International Organisation promote international cooperation in nuclear energy. Global 
and  regional  institutions  such  as  the  Consultative  Group  on  International  Agricultural 
Research,  Global  Forum  for  Agricultural  Research  and  Forum  for  Agricultural  Research  in 
Africa are active in the field of agriculture. The Carnegie Group, set-up under the auspices of 
the  G8/G20,  provides  a  unique  forum  for  high-level discussions on research  and innovation 
issues. 

The Commission intends to step-up its  engagement  with  these  organisations,  both  to  enable 
the  Union  to  exert  greater  influence  on  their  activities,  in  particular  where  the  Union  is  a 
major donor, and to give them a stronger voice in shaping the Union's agenda. In this context, 
the  Union  should  attempt  to  ensure  that  its  participation  is  commensurate  with  the 
responsibilities assigned to it by Treaties. Further developing the partnership with European 
intergovernmental  initiatives,  such  as  EUREKA  and  COST,  and  organisations,  such  as 
EIROForum16,  will  contribute  to  a  better  coordination  and  more  effective  use  of  European 
resources.  

6. 

PROMOTING  COMMON  PRINCIPLES  FOR  THE  CONDUCT  OF  INTERNATIONAL 
COOPERATION 

Guided by its principles for external action (Art 21 TEU), the Union is well placed to play a 
leading  role  in  promoting  common  principles  for  the  conduct  of  international  research  and 
innovation  activities  in  order  to  create  a  level  playing  field  in  which  researchers  and 
innovators from  across the globe feel confident to engage with  each other. These  principles 
will  deal  with  issues  such  as  responsible  research  and  innovation,  research  integrity;  peer 
review of proposals; promotion of the role of women in science and the gender dimension in 
research,  research  and  innovation;  research  careers  (building  on  the  European  Charter  for 
Researchers  and  the  Code  of  Conduct  for  the  Recruitment  of  Researchers)17;  fair  and 
equitable treatment of IPR; and open access to publicly funded research publications. 

A  step  has  been  taken  with  the  establishment  of  the  Global  Research  Council,  a  voluntary 
forum  set  up  to  share  best  practice  and  establish  common  principles  in  international 
cooperation. Other initiatives are on-going at Union and global level. The Carnegie Group has 
worked  on  establishing  common  principles  for  the  construction  of  large-scale  research 
infrastructures. As regards open access, the Commission adopted a Communication18 in 2007 
and, more recently, a follow-up Communication and Recommendation19. 

These  issues  have  also  been  widely  debated  at  international  level,  in  both  bilateral  and 
multilateral fora. The move towards open access is a worldwide endeavour, demonstrated by 
UNESCO's  contribution  to  its  promotion20  and  the  OECD  declaration  on  access  to  research 
data  from  public  funding21.  Similarly,  the  Singapore  Statement  on  research  integrity 

16 
17 
18 
19 
20 

21 

http://www.eiroforum.org  
C(2005) 576 final. 
COM(2007) 56. 
COM(2012) 401 and C(2012) 4890 
http://www.unesco.org/new/en/media-services/single-
view/news/open_access_to_scientific_information_policy_guidelines_for_open_access_released/  
http://www.oecd.org/dataoecd/9/61/38500813.pdf  

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represents  the  first  international  effort  to  encourage  the  development  of  global  policies, 
guidelines and codes of conduct to foster greater integrity in research22. 

7. 

STRENGTHENING  THE  PARTNERSHIP  WITH  THE  MEMBER  STATES  AND  MAJOR 
STAKEHOLDERS 

The  Union's  international  cooperation  activities  and  those  of  the  Member  States  need  to  be 
consistent and complement each other. Deepening and strengthening the partnership between 
the Commission and the Member States will therefore be an important element of the strategic 
approach.  

It will also be important to develop a stronger and more systematic interaction with the main 
research and innovation stakeholders. This will include better alignment with the international 
cooperation priorities of actors such as industry, universities and research organisations, but 
also the priorities of the Joint Programming initiatives, European Technology Platforms and 
European Innovation Partnerships. 

SFIC  has  made  progress  in  the  alignment  of  international  cooperation  priorities  of  Member 
States  and  especially  national  and  regional  funding  organisations,  by  developing  a  pilot 
initiative with India and exploring cooperation priorities with the USA and China. 

These  efforts  need  to  be  stepped  up  as  Member  States'  international  cooperation  activities 
continue to be driven largely by national considerations rather than by developing priorities 
and strategies shared by the Union and its Member States. Accordingly: 

– 

– 

– 

The  Member  States  will  be  involved  in  the  identification  of  areas  for  international 
cooperation and the development of the multi-annual roadmaps; 

The  implementation  of  these  roadmaps  will  involve  preparing  joint  Union-Member 
States  strategic  research  and  innovation  agendas,  and  involving  Member  States 
closely in their implementation; 

The  Innovation  Union  commitment  to  develop  common  guidelines  for  engaging  in 
agreements  with  third  countries,  on  issues  such  as  scientific  visas,  IPR,  ethical 
principles  in  research,  the  import  and  export  of  scientific  samples  and  equipment, 
reciprocity  and  taxation  will  be  followed-up.  This  will  include  building  upon  the 
ERA  guidelines  on  IP  management  in  international  collaboration  agreements  as 
adopted by the ERA Knowledge Transfer Group. 

8. 

IMPLEMENTATION, GOVERNANCE, MONITORING AND EVALUATION 

8.1. 

Implementation and governance 

Implementation  of  the  strategy  will  be  closely  aligned  with  the  programming  process  of 
Horizon 2020, including by presenting the multi-annual roadmaps in a coherent manner in the 
work programmes.  

While  the  development  and  implementation  of  the  multi-annual  roadmaps  for  each  of  the 
societal  challenges  and  enabling  and  industrial  technologies  will  continue  to  fall  under  the 
remit  of  the  respective  committee  configurations,  the  Horizon 2020  horizontal  programme 
committee  configuration  will  be  tasked  with  steering,  monitoring  and  evaluating  the  overall 
approach to international cooperation. SFIC will continue to play its role in promoting more 
coherence between Member States' and Union policies. 

22 

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Communicating the value of international cooperation in research and innovation to a broader 
public will also be an on-going point of attention. Building on the positive experience with the 
EU-ASEAN Year of Science in 2012, the Commission proposes to organise a Year of Science 
every two years, alternating between a partner country and region. 

8.2.  Monitoring and evaluation 

The  Commission  will  report  every  two  years  on  the  implementation  of  the  strategy.  This 
report will present how the multi-annual roadmaps have been developed and implemented. It 
will assess progress and impact based on the list of indicators provided in the accompanying 
Staff Working Document. The first report will be presented at the beginning of 2014.  

9. 

CONCLUSION 

The  new  strategic  approach  to  international  cooperation  in  research  and  innovation  will  be 
characterised by: 

– 

– 

– 

– 

– 

– 

– 

Horizon  2020  being  fully  open  to  third  country  participants,  allowing  European 
researchers to cooperate with the best brains across the world; 

Targeted  international  cooperation  activities  with  the  scale  and  scope  necessary  to 
maximise impact; 

The  development  of  multi-annual  roadmaps  for  cooperation  with  key  partner 
countries and regions; 

Reinforcing  the  partnership  between  the  Commission,  the  Member  States  and 
relevant stakeholders; 

Promoting  common  principles  for  the  conduct  of  international  cooperation  in 
research and innovation; 

Enhancing the role of the Union in international organisations and multilateral fora; 

Strengthening implementation, governance, monitoring and evaluation.  

EN 

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