Source: EURLEX
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# 52014DC0567

**REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS Report on the implementation of the strategy for international cooperation in research and innovation /\* COM/2014/0567 final \*/**

  

1.
Context

In September 2012 the Commission adopted a
Communication on 'Enhancing and focusing EU international cooperation in
research and innovation: a strategic approach'[1].
The Communication was welcomed by the European Parliament[2], the Council[3], the European Economic and Social Committee[4]
and the Committee of the Regions[5].

The Communication underlined that global
challenges call for global responses and are drivers for international
cooperation in research and innovation. Engaging in international cooperation
is also essential to attract talent, access knowledge and markets, thus
increasing the EU's competitiveness.

Strengthened cooperation of the EU with its
international partners is therefore needed to build critical mass, pool
knowledge and identify innovative solutions. This requires a strategy encompassing
all dimensions of international cooperation in research and innovation. It
should step up cooperation at bilateral and regional level, as well as through
multilateral fora, but also create synergies with the EU's external policies
and with Member States.

Therefore, the Communication underlined
that enhancing and focusing EU international cooperation requires an approach
which fully captures the global dimension of research and innovation in all its
aspects. This is embedded in Horizon 2020, with its stronger focus on
international cooperation. Furthermore, beyond Horizon 2020 the strategy also
focused on strengthening the innovation dimension of international cooperation,
developing adequate principles and framework conditions for it, strengthening
the engagement with multilateral initiatives and enhancing the synergies with
the EU's external[6]
policies and the activities of the Member States.

The Commission committed to reporting on
progress in the implementation of the strategy in 2014. This document provides a
report on the state of play.

2.
The international dimension of Horizon 2020

Developing the international dimension of
Horizon 2020[7]
and the Euratom programme[8],
and in particular their first work programmes, has been an important field of
activity during the first two years of implementation of the strategy.

The Horizon 2020[9] legislation underscores
the importance of international cooperation as a cross-cutting priority. A dual
approach focusing on general opening and targeted international cooperation was
adopted to make Horizon 2020 contribute to reaching the objectives of the 2012
Communication.

Through the general opening, legal entities
from across the world can participate in Horizon 2020[10]. It is an important
tool for enhancing international cooperation and will be essential for those
parts of Horizon 2020 which work primarily on a bottom-up basis, although these
also undertake specific activities to develop an international dimension.

Grants provided by the European Research
Council are increasingly recognised as awards for scientific excellence.
Researchers from anywhere in the world can apply for a grant, provided their
research is carried out in a Member State or Associated Country.

Participation in the Knowledge and Innovation
Communities (KICs) of the European Institute for Innovation and Technology is
open to legal entities from across the world. The three existing KICs in the
areas of climate change, sustainable energy and ICT are collaborating with
third country entities.

e-Infrastructures have a strong international
dimension. The aim of the activities is to further develop the global reach of
GÉANT and related EU e-infrastructures to provide access to data and enable
remote collaboration between scientists anywhere in the world.

The Marie Skłodowska-Curie actions
(MSCA) will, during Horizon 2020 enable around 15 000 researchers from
outside Europe to start or pursue their careers in Europe. In addition,
secondments of researchers from Europe to elsewhere in the world are
encouraged. It is expected that more than 3 500 non-European organisations
will have participated in MSCA by 2020.

Complementing the general opening, targeted
international cooperation activities are included across Horizon 2020. For
these activities, themes and partners for cooperation are identified upfront
and they concern areas where cooperating with international partners creates
win-win situations.

Identifying suitable themes and partners
for targeted international cooperation activities was part of the preparation
of the first Horizon 2020 work programmes. A full list of international
cooperation topics included in the work programmes is available on the
Participant Portal[11].
About 20% of all topics in the first work programme are
flagged as relevant for international cooperation, which is higher than in the
final year of FP7 (about 12%). However, there has been a shift towards using
softer ways of stimulating international cooperation with fewer coordinated calls[12] and topics where
participation from third country entities is an eligibility criterion. International
cooperation is mostly encouraged in general terms.

Most importantly, there is a clear trend
towards defining international cooperation in global terms, going beyond merely
stimulating direct participation of third country researchers in signed grant
agreements, with a shift taking place towards stimulating international
cooperation through contributing to multilateral initiatives.

An example of how the strategy was put into
practice is provided by the implementation of the Galway declaration[13] on the launch of a
Transatlantic Ocean Research Alliance, together with the USA and Canada, through the Blue Growth call.

The Fusion research part under the Euratom
work programme also includes a very strong component of international
cooperation, in particular connected to the European Fusion Roadmap and embodied
by the flagship project ITER.

Horizontal international cooperation
activities are funded through the challenge 'Europe as a global actor:
inclusive, innovative and reflective societies'. They support international
cooperation in Horizon 2020, but also include activities which go beyond
Horizon 2020, such as stimulating the policy dialogue with the EU's international
partners.

The Joint Research Centre contributes to
international cooperation through specific activities with key partners.

3.
Developing common principles and framework
conditions for engaging in international cooperation

A strategic approach to international
cooperation requires developing common principles and adequate framework
conditions for engaging in cooperation. This is needed to create a level
playing field for researchers from across the world to cooperate with each
other. These principles concern issues such as responsible research and
innovation, research integrity, evaluation of proposals on the basis of peer
review, promotion of the role of women in science and the gender dimension in
research, research careers[14],
fair and equitable treatment of IPR, access to research data and
infrastructures, and open access.

To reach this goal, the Commission has
supported the activities of the Global Research Council (GRC)[15], a voluntary, informal
organisation of heads of research councils. As key achievements within this
forum, at its 2012 meeting, the participants endorsed a high-level Statement of
Principles for Scientific Merit Review, whilst the 2013 meeting endorsed
statements on Open Access and Research Integrity. The 2014 meeting issued a statement
on how to support the next generation of researchers.

In the context of the policy dialogues with
partner countries and regions growing attention is devoted to address framework
conditions for engaging in international cooperation. These conditions include
funding mechanisms for cooperation in partner countries, eligibility of foreign
companies to participate in national R&D programmes, IPR systems, access to
public procurement and venture capital, and regulations on data access and
ownership.

In this context, identifying and
removing obstacles to the participation of third country entities in the EU's
funding programmes is a crucial element as one of the main problems third
country organisations face is securing funding to cover their participation.
This is particularly relevant for those countries which are not automatically eligible
to receive funding from the Horizon 2020 budget, a group of countries which now
also includes Brazil, China, India, Mexico and Russia. These countries have
been urged to set up mechanisms to fund the participation of their researchers
in Horizon 2020.

To tackle this crucial issue, Mexico has created a complementary matching funding mechanism[16], which provides a
source of financing to Mexican partners in successful Horizon 2020 projects and
could serve as a model to inspire similar initiatives in other partner
countries. As another example, New Zealand has put in place a co-funding
mechanism specifically for Research and Innovation Staff Exchange projects
funded as part of MSCA.

Difficulties in the granting and the
enforcement of IPR constitute an obstacle to international cooperation. On this point, the EU-Brazil IPR dialogue has
witnessed improvements in the protection of IPR in Brazil. For the USA, innovation
framework conditions are tackled through the Transatlantic Trade and Investment
Partnership (TTIP) discussions. Framework conditions
for cooperation with India are on the whole satisfactory, yet its patent regime
should be strengthened. In South Africa, significant progress has been achieved
through several relevant pieces of legislation touching upon IPR.

European researchers willing to participate
in programmes in partner countries are facing several difficulties, not least
the limited number of calls for proposals open to European participation.
Access to information, language barriers, as well as financial, administrative
and logistical procedures are often de facto reducing the opportunities
for effective cooperation.

The National Contact Points set up in
partner countries can also play a crucial role, particularly through the
coordinated actions of the international network of NCPs. They can contribute
to increasing the visibility of Horizon 2020 and to gather feedback on
international activities of research institutions in partner countries.

4.
Working together with international
organisations and multilateral initiatives

For global challenges in
critical areas, international cooperation is better implemented through an
increased engagement with international organisations and multilateral
initiatives. Thus the Commission has also enhanced support to multilateral
initiatives in the field of research and innovation, which is also reflected in
the first Horizon 2020 work programmes.

Climate change, resource scarcity and
biodiversity loss are no doubt among the greatest environmental, social and
economic challenges of the 21st century that require multilateral
research efforts in which Europe has played and continues to play a key role.
In this vein, the challenge of Horizon 2020 called ‘Climate action,
Environment, resource efficiency and raw materials’ supports the work of the
Belmont Forum[17],
an informal high level group of the world's funders (including the Commission)
of global environmental change research, which coordinates funding for
collaborative research. The Belmont Forum is also promoting the setting up of
‘Future Earth’, the international programme on Global Sustainability that is
integrating and enhancing existing international programmes[18]. The Commission is
also one of the co-chairs of the Group on Earth Observations (GEO)[19], a voluntary
partnership of governments and international organisations which coordinates
efforts to build a Global Earth Observation System of Systems (GEOSS). Support
is also provided to the Intergovernmental Panel for Climate Change (IPCC)[20], the leading
international body for the assessment of climate change and a scientific body
operating under the auspices of the United Nations.

The Health challenge aims at actively
supporting the implementation of GLOPID-R, the initiative for the Global
Research Collaboration for Infectious Diseases Preparedness[21]. Similar initiatives
are also supported, such as the International Rare Diseases Research Consortium[22] and the Global
Alliance for Chronic Diseases[23].

e-Infrastructures is another domain where Europe is active at multilateral level, e.g. in the context of GÉANT or the Research Data
Alliance[24].

As regards other
multilateral fora, the Commission led the process which renewed the Human
Frontier Science Programme’s[25]
financial framework. It also played an active role in the updating of the
European strategy for particle physics[26]
led by CERN. The partnership between the Commission and EIROforum[27] has been strengthened.
The Commission played an active role in the development of the EUREKA 2020
Strategic Roadmap.

A multilateral approach
has proven to be a best practice in addressing nano-safety. The project
Nanoreg, developed in the context of the OECD Working Party on Manufactured
nano-materials, benefits from multilateral financing from FP7 (EUR 10 million),
Member States (EUR 30 million) and industry (EUR 10 million).

The Commission has been an active
participant in various OECD bodies dealing with research and innovation policy,
as well as energy issues, notably the Global Science Forum (GSF), the Committee
for Science and Technology Policy (CSTP), the Working Group on Technology and
Innovation Policy (TIP), the committees under the Nuclear Energy Agency (NEA)
and the International Energy Agency (IEA). The EU plays a key role in the
context of the ITER international organisation and in the Generation IV
International Forum.

The EU was represented by the Commission at
the G8 Science Ministers Meeting that took place in London on 12 June 2013,
where the continuing work of the Group of Senior Officials on global research
infrastructures was endorsed, together with important resolutions on global
challenges and open scientific data.

The Rio+20 Summit called for the preparation
of a post-2015 development agenda with sustainable development at its core.
This will include the development of a set of universally applicable
Sustainable Development Goals, also based on a review of progress towards the
achievement of the Millennium Development Goals.

5.
Communication

A precondition for the successful
implementation of the 2012 Communication is working at ensuring global
awareness of the EU’s strengths and its role in international cooperation in
research and innovation. To achieve this, the Commission designed a communication
strategy that carefully targets all stakeholders both internationally in
partner countries and multilateral fora and within Member States.

As part of this, the Commission launched a
communication campaign using as the key message 'Horizon 2020 – Open to the
world'. Beyond its focus on Horizon 2020, the communication strategy also
includes elements aiming at increasing the visibility of the EU's research and
innovation policy and the role of international cooperation within it, and at
raising the profile of the EU as a centre of excellence and knowledge.

The role of the NCPs, both within the EU
and in partner countries, is vital to promote Horizon 2020. Similarly, the
Commission network of Research and Innovation Counsellors and staff in EU
delegations dealing with research and innovation is playing a very active role
not only in promoting Horizon 2020, but also in networking with Member States'
Science Counsellors, local and regional governments and other actors. All EU
Delegations have also been mobilised to help in reaching out to research
organisations. Finally, the bilateral projects with partner countries play an
important role in raising the awareness of participation possibilities in
Horizon 2020.

Science diplomacy is an important tool for
implementing the communication strategy. This is done, for example, by using
the opportunities provided by high level meetings to raise awareness of
international research cooperation as a core element of external policies and
to promote Horizon 2020.

To support the implementation of this
communication strategy, the Commission made available a large range of material
including postcards, leaflets, power-point presentations, the newsletter
International Research Update, websites on international cooperation and a
video explaining the international dimension of Horizon 2020 and the importance
of international cooperation in research and innovation. Some of this material
is available in partner countries’ languages such as Russian and Chinese. The
presence on social media has also been strengthened.

6.
Strengthening the synergies with the EU's
external policies and the activities of the Member States

A global approach to international
cooperation in research and innovation also entails strengthening synergies
with other policies with a strong global dimension and in particular with the
EU's external policies, including development, and with the activities of the
Member States.

Through science diplomacy international
cooperation in research and innovation can be used as an instrument of soft
power and as a mechanism for improving relations with key countries and
regions. Equally, good international relations facilitate effective cooperation
in research and innovation. Science diplomacy can be a
support to the EU efforts in crisis management and peace building. For example,
research infrastructures such as the synchrotron facility SESAME[28] and projects on issues
such as the impact of climate change and implications for human security[29] can facilitate dialogue
between researchers and stakeholders in the Middle East.

To underscore the strategic importance of
international cooperation at the highest level, research and innovation are
increasingly part of the general policy dialogue with the EU's international
partners, as reflected in the conclusions of recent Summits (Brazil, China,
Japan, US and Africa) and other high level meetings (e.g. Canada and New
Zealand) in 2013 and 2014.

Research and innovation and trade policies
are closely intertwined. Negotiations on free trade agreements such as the
Transatlantic Trade and Investment Partnership (TTIP) between the EU and the USA are an opportunity for improving framework conditions for cooperation in innovation.

Research and innovation policies can have a
positive impact on the EU's development cooperation policies. The Communication
"Increasing the impact of EU Development Policy: an Agenda for
Change"[30]
calls for development policy geared towards putting in place innovation
policies to allow developing countries to harness the opportunities offered by
globally integrated markets.

Innovation is also a relevant dimension of
the EU's humanitarian policy. The Communication 'The EU Approach to Resilience
– Learning from Food Crises'[31]
calls for the promotion of innovative approaches to risk management.

Synergies with external policy instruments were
boosted by having them support, where appropriate, the increase of research and
innovation capacities. For example, under the 2007-2013 Development Cooperation
Instrument, EUR 30 million was allocated to an Innovation for Poverty
Alleviation Programme in South Africa. The African
Union Research Grants Programme supports the implementation of the African
Union’s S&T policy. The 11th European
Development Fund (EDF) earmarked EUR 35 million for ‘Knowledge for
Development’. The European Neighbourhood Policy Instrument (2007-2013) included
the East-Invest regional programme covering the six Eastern Partnership
countries as well as bilateral programmes on capacity building in the Southern
Neighbourhood. Enlargement countries are involved in research and innovation
actions under the Danube Strategy, as well as the EU Strategy for the Adriatic and Ionian Region. Under the Instrument for Pre-accession Assistance specific
attention is being given to strengthening their research capacity.

Attention has also been paid to achieving
closer coordination between the activities of the Member States and Associated
Countries and those of the EU. This has been pursued in particular through the
Strategic Forum for International S&T Cooperation (SFIC)[32]. SFIC has worked
towards achieving its objectives by providing strategic advice on the
development and implementation of the new strategy for international
cooperation in research and innovation. SFIC also prepared guidelines for
enhancing its contribution to summits and bi-regional dialogues and set up a
working group to discuss common principles. Joint initiatives with key partners
such as India, Brazil, China and the USA have been developed. SFIC contributed
to the strategic planning of priorities for future cooperation, in particular
through a dedicated workshop held on 26 March 2014[33].

Another dimension of cooperation with Member States and Associated Countries is where these join forces to design and implement
joint activities. The Article 185 instrument was used to set up the European
Developing Countries Clinical Trial Partnership[34] and work is on-going
towards a renewed Euro-Mediterranean research and innovation cooperation. The
Commission is also exploring strengthening international cooperation through the
Joint Programming Initiatives (JPIs), such as the JPI on water for India.

7.
Priorities for future cooperation
7.1.
Strategic planning

Developing a strategic planning of
priorities for future cooperation was a central element of the 2012
Communication. Its purpose is to allow for an earlier identification of
cooperation initiatives with appropriate scale and scope and for their
inclusion in the Horizon 2020 work programmes.

The identification of jointly agreed
priorities for cooperation with partner countries and regions has progressed
significantly since the adoption of the Communication. The dialogues with the
EU's partners have been the primary source of inspiration for this planning
exercise, and in this context priorities were identified in line with the
principles of common interest, mutual benefit, optimal scale and scope,
partnership and synergy. More information on this process is provided in the
accompanying Staff Working Document.

7.2.
Bilateral cooperation

Examples of how priorities have been set with partner
countries can be found in roadmaps for international cooperation with Brazil,
Canada, China, Korea, Japan, India, Russia, South Africa and the US, which are
provided in the accompanying Staff Working Document.

Priority setting for other countries has
also progressed. Cooperation with Australia will focus on energy, resource efficiency and raw materials, health, food
security and research infrastructures.

For Mexico, priority areas for future
cooperation include energy and, in particular, geothermal energy research,
health, and ICT.

For New Zealand, priorities for future
cooperation include health and food security.

For Ukraine, cooperation will focus on ICT, new
materials and processing technologies, biotechnology and transport.

Association to Horizon 2020 also progressed
smoothly. Associated countries participate in Horizon 2020 on the same level as
Member States. To date, association is complete for: Norway, Iceland, Albania, Bosnia and Herzegovina, Former Yugoslav Republic of Macedonia, Montenegro, Serbia, Turkey, Israel and Moldova.

7.3.
Regional cooperation

Research
cooperation between the EU and certain regions is also central to a global
approach to international cooperation. The focus is on those regions with which
there are established policy dialogues. Regional cooperation is also based on
the need to address problems that cannot be tackled bilaterally, such as diseases
like malaria, HIV and tuberculosis or challenges linked to environment,
sustainable use of resources and climate change. Regional cooperation may also
allow for the optimal use of research infrastructures, such as the
Africa-European Radio-Astronomy Platform[35],
and to facilitate access to knowledge available in the region.

Examples
of how priorities have been set in a regional context can be found in the roadmaps
for the Mediterranean region and for the Eastern Partnership region.

For Africa,
existing areas of cooperation are: health research through the European and
Developing Countries Clinical Trials Partnership (EDCTP 2), Global Earth
Observation, and ICT, whilst for the future, the EU-Africa High Level Policy Dialogue
has identified food and nutrition security and sustainable agriculture as a
priority.

With the Community of Latin American and
Caribbean States (CELAC), priorities for future
cooperation are bio-economy, renewable energy, ICT, health and biodiversity and
climate change, as well as researchers' careers.

Cooperation with the Gulf countries will
focus on energy security, environment (including water and climate), health and
ICT.

With ASEAN, priorities for future cooperation are food, agriculture and
biotechnologies and in particular aquaculture, health, ICT and renewable
energy.

8.
Conclusions

While progress has been made in implementing
the strategy for international cooperation in research and innovation launched
in 2012, it is clear from the above that this has only been a starting point
and that more needs to be done.

The international dimension of Horizon 2020
and its work programmes needs to be further strengthened through a better
integration of international cooperation in the Horizon 2020 Strategic
Programming and work programme development. This needs
to be based on the priorities for future international cooperation
which have been set through the strategic planning exercise.

Moreover, work on developing common
principles and framework conditions and removing obstacles to cooperation needs
to continue, as this is essential to enhance the level and quality of
international cooperation activity.

Further work is also needed as regards the
monitoring of the impact of the strategy through quantitative indicators. As
the 2012 Communication announced, this will involve monitoring the full global
dimension of international cooperation activities, in order to go beyond simple
measurements of direct participation of third country entities in signed
Horizon 2020 grant agreements. Given the fact that Horizon 2020 was only
launched on 1 January 2014, it is premature to report on this at this stage.

The communication strategy on international
cooperation will continue to be refined and implemented as this is a crucial
element to create awareness and promote Horizon 2020 as open to the world. At
the same time, the Commission will continue to focus on science diplomacy and
strive to enhance synergies with external policies of the EU and with Member
States.

More particularly, progress made in
implementing the strategy will be used to further strengthen an approach which
incorporates the global dimension of international cooperation in research and innovation,
with a view to tackling global challenges and achieving results with a greater
impact.

[1]               COM(2012) 497

[2]               On 9 October 2012
Commissioner Geoghegan-Quinn presented the Communication to the European
Parliament's ITRE committee

[3]               CSST/2013/10405

[4]               CESE/20122081

[5]               CDR/2012/2076

[6]               Including development and humanitarian policies

[7]               Regulation (EU) No 1291/2013 of the European
Parliament and of the Council of 11 December 2013

[8]               Council Regulation (Euratom) No 1314/2013 of 16
December 2013

[9]               When reference is made to Horizon 2020, this is
understood to include the Euratom programme

[10]             Being allowed to participate does not necessarily imply
receiving funding from the Horizon 2020 budget. The rules as regards funding of
third country participants are provided in part A of the Annex on General
Conditions to the Horizon 2020 work programme 2014-15.

[11]             http://ec.europa.eu/research/participants/portal/desktop/en/opportunities/index.html

[12]             A coordinated call consists of two calls being launched
in parallel by the EU and the partner country respectively. Both calls invite
project proposals requiring cooperation with entities from the other side. The
same proposal is submitted on both sides. Each side signs a contract only with
its own participants and provides funding only to these.

[13]             http://www.innovation.ca/sites/default/files/Rome2013/files/Canada-EU-US%20Galway%20Statement%20on%20Atlantic%20Research%20Cooperation%202013.pdf

[14]             E.g. Council is currently negotiating a recast of
Directive 2005/71/EC on a specific procedure for admitting third country
nationals for the purposes of scientific research

[15]             http://www.globalresearchcouncil.org/

[16]             http://www.conacyt.mx/index.php/el-conacyt/convocatorias-y-resultados-conacyt/convocatoria-conacyt-horizon2020

[17]             http://igfagcr.org

[18]             Including WCRP (World Climate Research Programme), IGBP
(International Geosphere and Biosphere Programme), DIVERSITAS (international
programme of biodiversity science) and IHDP (International Human Dimension
Programme)

[19]             89 countries and the Commission are members of GEO (http://www.earthobservations.org)

[20]             http://www.ipcc.ch

[21]             http://glopidr.globe-network.org/

[22]             http://www.irdirc.org

[23]             http://www.gacd.org

[24]             https://rd-alliance.org/

[25]             http://www.hfsp.org

[26]             http://council.web.cern.ch/council/en/EuropeanStrategy/ESParticlePhysics.html

[27]             http://www.eiroforum.org

[28]             http://www.sesame.org.jo/sesame/

[29]             http://www.cliwasec.eu

[30]             COM(2011)
637

[31]             COM(2012)586

[32]             http://www.consilium.europa.eu/policies/era/sfic

[33]
            ERAC-SFIC 1359/14

[34]             http://www.edctp.org

[35]             http://www.aerap.org

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