International scientificco-operation in FP6

February 2004

L. Bellemin, J. Claude

DG RTD N1 International Scientific Co-operation

Contents A European Research Area open to the worldA European Research Area open to the world

Strategic objectivesStrategic objectives International scientific co-operation in the Sixth International scientific co-operation in the Sixth

Framework ProgrammeFramework Programme Three major routes for international scientific co-

operation in FP6 Specific measures in support of international Opening of

“Focusing and Integrating Community Research” to third country organizations (I)

co-operation (II) International mobility of researchers (III)

Participation of INCO Countries in the Thematic Participation of INCO Countries in the Thematic Priorities in 2003Priorities in 2003

How can Third Countries participate in FP6 How can Third Countries participate in FP6

A European Research Area A European Research Area open to the worldopen to the world

“The European Research Area must be opened up to the rest of the world. This will enable EU countries, and third countries, to benefit from international cooperation in Science & Technology, thereby paving the way for closer political and economic relations.”

(P. Busquin, Commissioner for Research)

The strategic objectives of a European Research Area open to the world are laid down in Commission communication “The international dimension of the European Research Area” (COM(2001) 346 final).

Strategic objectivesStrategic objectives Make the Area more attractive to the best scientists and

make it a world class reference centre

Enable European researchers and industrialists to access knowledge and technology available elsewhere in the world

Develop scientific and technological activities useful to the implementation of EU foreign and development aid policy

Enlist the S&T resources of the European Union and of third countries in initiatives that provide a response to significant world problems of concern to the Community

Communication of the Commission, The international dimension of the European Research AreaCOM(2001), 346 fin. 25.6.01

International scientificInternational scientificco-operation in theco-operation in the

Sixth Framework ProgrammeSixth Framework Programme International Co-operation represents an

important dimension of Sixth Framework Programme

It contributes to a European Research Area open to the world

It will be implemented through three major complementary routes

Three major routes for international scientific co-operation in FP6

Opening of “Focusing and Integrating Community Research” to third country organizations (with substantial funding)

Specific measures in support of international co-operation

International mobility of researchers

Over and above these three major routes, the international dimension is a cross-cutting issue which concerns the whole Framework programme

Opening of “Focusing and Integrating Community Research” to third country

organizations (I)

Participation to Community activities participation of researchers, teams and institutions from third

countries in projects within the Priority Thematic Areas of Research, Specific activities covering a wider field of research

Budget of 285 million Euro for third country participation

Opening of “Focusing and Integrating Community Research” to third country

organizations Strategic objectives:

To help European researchers, businesses and research organisations in the European Union and in the countries associated with the Framework programme to have access to knowledge and expertise existing elsewhere in the world

To help ensure Europe’s strong and coherent participation in research initiatives related to issues arising at the world level and being the subject of international or global efforts

Overall focus Community interest

Specific measures in support of international co-operation (II)

Dedicated international cooperation activities which are relevant to some groups of countries or regions with own calls for proposals

Budget: 315 million Euro Strategic objective

To lend support, in the scientific and technological field, to the implementation of the Community’s foreign policy and development aid policy

Overall focus mutual interest

Specific measures in support of international co-operation

These activities will be carried out: To complement the activities in the thematic priorities By means of specific targeted research projects of a limited

scale, actions to coordinate national efforts and, specific support measures

Problem oriented approach on a regional basis, policy dialogue and prioritization

Research priorities defined on the basis of the interests and objectives of the Community’s political

partnership with the different groups of countries the particular economic and social needs of countries and

regions concerned

International mobility of researchers (III)

A coherent set of actions to support international mobility of researchers in the framework of the specific programme “Structuring the ERA”.

With a view to further reinforcing the human potential for European research, these actions will aim to

attract the best and most promising researchers from third countries

promote the training of European researchers abroad

Two main types of grants: incoming fellowships with possibility for “return ticket” outgoing fellowships

International mobility of researchers

Incoming fellowships with possibility for “return ticket”

to work and undertake research training in Europe provision to assist fellows to return to their countries of origin

in case of emerging and transition economies and developing countries

Outgoing fellowships to be awarded to research workers from EU and Associated

Countries to work in established third country research centres

requires submission of a coherent individual training programme involving a first phase abroad followed by mandatory second phase in Europe

Participation Participation of INCO countries in the of INCO countries in the Thematic Priorities in 2003Thematic Priorities in 2003

Preliminary analysis of the database on submitted proposals in the first half of 2003

Analysis of the standard reports on evaluation results in the Thematic Priorities

• Qualitative information

• Quantitative information on: number of participants by country/region

financial contributions requested

Global ResultsGlobal Results Total number of participants in evaluated proposals: 71 062 in ranked proposals: 13 461

Number of INCO target countries participants in evaluated proposals: 1 371 (1.93 %) in ranked proposals: 205 (1.52 %)

Financial contribution requested in ranked proposals Total contribution requested: 6750.10 M€ Part of INCO participants: 21.47 M€ (0.3 %)

163

50

435

27 2411

98

15

64

5

32

3

240

7668

616

4

48

8

0

50

100

150

200

250

300

350

400

450

Life Nano Aero Food Energy Transport Global Citizens Policy andNEST

SMEs

Number of participations of INCO countries in evaluated and ranked proposals per thematic priority

Participation in evaluated

Participation in ranked

98

38

160

33

142

47 56

11

164

17

558

70

01

00

20

03

00

40

05

00

60

0

ACP ASIA Latin America MediterraneanPartner Countries

Western BalkanCountries

Russia and theother New Indep.

States

Number of participations of INCO countries in evaluated and ranked proposals per geographical region

Participation in evaluated proposals

Participation in ranked proposals

8,050

52,400

5,450

30,200

0,340

25,000

1,530

15,900

1,080

18,800

0,215

14,200

3,750

16,300

0,480

5,200

0,250

12,900

0,326

10,000

0

10

20

30

40

50

60

Am

ou

nt

in M

ioE

UR

Life Nano Aero Food Energy Transport Global Citizens Policy andNEST

SMEs

Thematic priorities

Pro-rata (285 Mio Euro) budget consumption per thematic priority in the calls in the 1st half 2003

Contribution in ranked proposals

Prorata distribution of €285 Mio

ConclusionsConclusions Negative

Low interest from EU proposers in associating 3rd countries participants in their proposals

Lack of information and awareness on both sides on the new opportunities of International Cooperation

Success rate and financial contribution are much lower for INCO countries

Based on 2003 experience, spending of the pro rata allocation would be only 6.3 % of the 285 M€

Positive Higher participation in Thematic Priorities of interest for INCO

target regions Association of valuable partners when thematic and

country/regional potential are fitted Consistency of the international dimension of ERA

How can Third Countries How can Third Countries participate in FP6participate in FP6

Who can participate? All third countries: in addition to minimal number of

participants from Member States and Associated countries

Who can be funded? All third countries

INCO target countries (developing countries, Mediterranean partner countries, Western Balkan countries, Russia and the other NIS): within the allocation earmarked in the budget (285 million Euros)

Other third countries: if provision is made in work programme or if necessary to carry out the RTD activity

Definition of third countriesDefinition of third countries ‘Third country‘ means a State that is

neither a Member State nor a State associated to the Framework

programme associated candidate countries:

Bulgaria, Cyprus, Czech Republic, Estonia, Hungary, Latvia, Lithuania, Malta, Poland, Romania, Slovakia, Slovenia,

Turkey,

other associated States: Iceland, Norway, Liechtenstein, Israel , Switzerland (1)

(1) provisional application as of 1.1.2004

Different Groups of third countries

INCO Countries (annex C of SP1 WP) DEV : 114 countries, ACP (79), ASIA (18), LA (17) MED: 8 (+ 4 AS) Russia and NIS: 12 WBC: 5

Countries WITH S&T Agreement : Australia, Canada, Japan, USA….

Countries WITHOUT S&T Agreement

11European Commission, DG RTD-06

SIXTH FRAMEWORK PROGRAMME 2002-2006Participation by legal entities from third countries

- Integrating European Research (1) -

The European Commission does not guarantee the accuracy of data included in this map and accepts no responsibilitywhatsoever for any consequence of its use. The boundaries shown do not imply on the part of the European

Commission any judgment on the legal status of any territory or the endorsement or acceptance of such boundaries.

1EC Framework (non-nuclear)

Data valid: 1.09.2003

European Union/Associated States (1)/Overseas Countries & Territories

Target countries of specific measures insupport of international cooperation:eligible for participation and funding(within limits of budget)

Other third countries: eligible forparticipation; funding if provision underRTD activity or essential for carrying outindirect action

Currently no cooperation

(1) Switzerland associated on provisionalbasis as of 1.01.2004

Participation of the Third Countries in the 6th FP:

Regulation N°2321/2002 Art. 6, 1-2 Any legal entity established in a third country

may participate in RTD activities provided for “Focusing and Integrating Community Research”

Detailed provisions for this participation may be set out in the relevant Work Programme

Any legal entity established in a third country and taking part in the RTD activities (SP1) may receive a Community financial contribution if

Provision is made for this purpose under an RTD activity (in the Work Programme), or

If it is essential for carrying out the indirect action

Focusing and Integrating (EC) Specific Programme 1 – Part 1

Participation of the Third Countries in the 6th FP:

Regulation N°2321/2002 Art. 6, 1-2 Any legal entity established in a third country

which has concluded a S&T cooperation agreement with the Community may participate in RTD activities other than SP1….

Over and above the minimum number of participants In accordance with the conditions stipulated in that

Agreement

It may receive a Community financial contribution If provision is made for this under an RTD activity Or if it is essential for carrying out the indirect action

Structuring (Specific Programme 2, EC)Strengthening (Specific Programme 1 – part 2, EC)

Number of Participants

Instruments NoE IP STREP, CA

SSA

Marie Curie

3 legal entities from 3 different MS or AS, with at least 2 MS or ACC

+ Third countries

1 legal entity

Individual researchers

Further information General information on research:

http://europa.eu.int/comm/research General information on the Sixth Framework Programme :

http://europa.eu.int/comm/research/nfp.html

INCO infodesk and infopoint: inco@cec.eu.int

International Scientific Cooperation Policy:http://europa.eu.int/comm/research/iscp/index_en.html

Information requests: research@cec.eu.int

Information on research programmes and projects : http://www.cordis.lu