WP7. EIP and Leveraging policies externally

WP7. EIP and Leveraging policies externally I3U Project Steering Meeting and Stakeholders Meeting, Zagreb, 29-30 September 2016 This project is co-funded by the European Union

WP7: EIP and Leveraging policies externally: review of the Workpackage activities (WP Leader: WERI-SGH) Evaluation of direct and dynamic effects of the EU policy actions that promote stronger cooperation in innovation activities internal cooperation: pooling internal EU resources and efforts external cooperation (with third countries) Commitment 29. European Innovation Partnerships (WIIW) Commitment 30. Retaining and Attracting International Talent (TIK) Commitment 31. Scientific Cooperation with Third Countries (EIZ) Commitment 32. Roll-out global research infrastructures (WERI-SGH)- related to Com. 5 (WP2) Construct the priority European research infrastructures (WERI-SGH)

Work in progress Task 7.2 Review of actions that have been undertaken in order to implement the Innovation Union commitments # 29-32 assessment of the state of implementation of the commitments # 29-32 will be conducted collection of data that will allow to measure the results of individual commitments. Task 7.3 Analysis of the direct impact of commitment implementation on innovation in EU. Direct impact assessment for the commitments #29 to #32 (individually).

Commitment 5 Construct the priority European research infrastructures Arkadiusz Michał Kowalski (WERI-SGH) "By 2015, Member States together with the Commission should have completed or launched the construction of 60% of the priority European research infrastructures currently identified by the European Strategy Forum for Research Infrastructures (ESFRI). The potential for innovation of these (and ICT and other) infrastructures should be increased. The Member States are invited to review their Operational Programmes to facilitate the use of cohesion policy money for this purpose. Three main issues in Commitment 5: 1) completion or launching the construction of 60% of 44 priority ESFRI Roadmap 2008 research infrastructures; 2) increasing the potential of all research infrastructures in Europe, mostly by encouraging common investments, and pooling resources; 3) contributing to European innovativeness.

Commitment 5 Construct the priority European research infrastructures The state of Commitment 5 implementation 44 ESFRI research infrastructures identified in ESFRI Roadmap 2008 (mentioned in the Commitment 5 of the Innovation Union) current state of implementation FIELD Operational Under construction Not inititiated Social Sciences and Humanities 4 1 0 5 Environmental Sciences 5 1 4 10 Energy 1 1 2 4 Biological and Medical Sciences 7 1 2 10 Materials and Analytical Facilities 2 4 0 6 Physical Sciences and Engineering 1 4 3 8 e-infrastructures 1 0 0 1 Total 21 12 11 44 Total Total (%) 75% 25% 100%

Pooling the resources across Europe common investments in research infrastructures Years Financing from EU part INFRA (EUR) Project total budget (EUR) Leverage FP7 Ad Hoc 2007-2013 965 611 2 915 877 3.02 2007 290 374 607.86 9 338 170 347.94 32.16 2008 397 300 554.16 14 695 221 154.54 36.99 2009 9 599 808 261 246 688 27.21 2010 332 017 163 13 270 737 661.04 39.97 2011 258 446 268.92 8 334 309 891.04 32.25 2012 196 290 485.61 6 041 768 194.18 30.78 2013 44 300 000 5 685 830 659 128.35 Overall FP7 2007-2013 1 528 328 887.55 57 627 284 595.74 37.71 H2020 Ad Hoc 2014-2020 400 000 729 515 1.82 2014 230 450 300.50 5 558 223 553.03 24.12 2015 195 952 759.51 4 051 045 013.84 20.67 INFRAIA 2014-2015 160 601 006.38 4 208 666 195.10 26.21 Overall H2020 (until 05.2016) 587 404 066.39 13 818 664 276.97 23.52 Source: own elaboration based on financial data from CP UE in Poland. Financial data on allocation of funds to projects implemented by RI in the framework of FP7 (part INFRA) and Horizon 2020 for 2007-2015 are used to calculate leverage effect, which shows how many EUR spending from other sources were generated by 1 EUR spending from EU framework programs.

Average budget per participant Figure 1. Distribution of FP7 budget, part INFRA, UE, EFTA countries 600 000 500 000 Switzerland 76 402 202 France 204 083 016 UK 272 716 645 400 000 300 000 200 000 Cyprus Luksemburg Estonia 100 000 Croatia Irlandia Finland Austria CzR Denmark 34 670 705 Norway Hungary Portugal Latvia Bulgaria Lithuania Romania Malta 0 Poland Belgium Sweden 44 620 552 Greece 37 222 145 Iceland Slovenia 4 463 986 Slovakia Netherlands 115 407 117 Spain 73 040 835 Italy 139 968 448 Germany 273 838 510 Number of financed participants 0 100 200 300 400 500 600 700 Source: own elaboration based on financial data from CP UE in Poland.

Average budget per participant Figure 2. Distribution of H2020 budget, part INFRA, UE, EFTA, data till 05.2016 600 000 500 000 400 000 300 000 200 000 100 000 0 Slovenia Romania Estonia Malta Latvia Cyprus Croatia Lithuania Denmark CzR Austria 14 105 554 Ireland Bulgaria Hungary Sweden 27 951 728 Finland Belgium Portugal Slovakia Luksemburg Greece 20 598 710 Norway 17 357 483 Switzerland 17 903 762 Poland 7 086 081 Netherlands 46 603 255 Spain 33 263 794 Italy 61 516 161 France 79 332 593 UK 69 934 840 Germany 108 080 931 Number of financed participants -10 40 90 140 190 240 Source: own elaboration based on financial data from CP UE in Poland.

Commitment 32 Towards global research infrastrutures (Małgorzata Stefania Lewandowska (WERI-SGH) Commitment 32. The European Union should step up its cooperation on the roll-out of the global research infrastructures. By 2012, agreement should be reached with international partners on the development of research infrastructures, which owing to cost, complexity and/or interoperability requirements can only be developed on a global scale. European Commission recommendation regarding the choice of Global Research Infrastructures:... In this respect the recommendations of the Carnegie Group of Senior Officials* on Global Research Infrastructures had to be taken into account COUNCIL OF THE EUROPEAN UNION, 17633/12, Competitiveness Council of 11 December 2012, Proposal for a Council decision establishing the Specific Programme implementing Horizon 2020 - The Framework Programme for Research and Innovation (2014-2020), p. 5 *The Carnegie Group is composed of the science ministers and senior officials from the G8 nations and some others including the European Commission

Table 2. Twelve Global Research Infrastructures chosen based on GSO recommendation (for full names of global infrastructures see: Appendix) Feature Social Science Envir. Science Biological and Medical Science Materials and Analytical Facilities Physical Science and Engineering Abbr. IPERION EPOS ELIXIR EMBL IMPC ESS PETRA III ESO ISIS LNGS SKA SPIRIAL 2 Recomm. by GSO GSO; ESFRI GRI Type Distribu Distribu ted ted GSO; ESFRI Distribu ted GSO Distribu ted GSO; ESFRI Distribu ted GSO; ESFRI Distribu ted GSO Single sited GSO; ESFRI Distribu ted GSO GSO GSO; ESFRI Single Single Distribu sited sited ted GSO; ESFRI Single sited Location 12 EUs IT UK; DE, UK, IT SE DE DE UK IT UK FR countries DE FR, IT Life cycle Constr. Constr. Oper. Oper. Oper. Constr. Oper. Oper. Oper. Oper. Constr. Oper. FP7 INFRA NO YES YES NO NO YES NO NO NO NO YES YES H2020 YES YES YES NO NO YES NO NO NO NO YES NO INFRA No of EU 12 21 16 21 6 13 15 14 7 18 9 10 No of non EU 1 4 3 6 7 2 14 3 8 16 19 8 %Internatio nalisation Source: own elaboration. 8% 16% 16% 22% 54% 13% 48% 18% 53% 47% 68% 44% GSO Group of Senior Officials set up at G8 in 2008; ESFRI European Strategy Forum on Research Infrastructures set up in 2002.

Commitment 32 Towards global research infrastructures The state of Commitment 32 implementation 1. The financial framework analysis financial data from FP7 and H2020 till 30.05.2016 Number of financed Average financing per Total financing Size of the projects Financing to GRI participants* participant Financing to GRI from FP7 (5 GRI out of 12) 121 267 603 24 699 983 1 483 997 562 Relation to FP7 0.09% 80.21% 0.05% 0.16% Relation to FP7 part INFRA 2% 93% 2% 3% Financing to GRI from H2020 (5/12) 133 789 177 70 318 253 2 797 182 022 Relation to H2020 till 06.2016 0.33% 190.22% 0.42% 0.96% Relation to H2020 part INFRA 8% 216% 12% 20% 2. The legal framework analysis documents and organisational / institutional initiatives introduced by EC and GSO Documents related to GRI 6 prepared by EC 5 prepared by GSO Directorate-General for Research and Innovation Research Infrastructure; Group of Senior Organisational / institutional initiatives related Officials on Global Research Infrastructures (GSO); Expert Group on Cost Control and to GRI Management; European Research Infrastructure Consortium (ERIC) 3. The participation framework analysis state of internationalisation Total number of participants* in 12 GRI in 2010-2015 185 (2010) 253 (2015) Number of international participants (countries outside EU) in 12 GRI 2010-2015. State and rate of internationalisation 61 (2010) (33%) 91 (2010) (36%) Source: own elaboration based on financial data from CP UE in Poland, documents and web sites. *Participant in case of financing means organisation; **Participant in case of internationalisation means country

Financing from FP7 and H2020 Figure 3. Budgets of related projects to ESFRI Roadmap 2008 research infrastructures and financing from FP7 and H2020 (till 06.2016) 30 000 000 PRACE 774 301 685 ELIXIR 993 836 766 25 000 000 ESS 431 692 504 20 000 000 EPOS 1 566 875 379 15 000 000 SPIRAL2 219 178 974 EMBRC 307 545 254 SHARE 259 029 471 SKA 872 567 950 10 000 000 KM3NeT 270 575 154 EuroBioImaging 306 002 113 ECRIN 654 971 289 5 000 000 0 LIFEWATCH 210 226 427 CLARIN 208 736 260 BBMRI 394 046 930 Number of financed participants 0 10 20 30 40 50 60 70 Source: own elaboration

Financing from EU Figure 4. Budgets of projects related to Global Research Infrastructures cofinanced by FP7 and H2020 (till 06.2016), changes among two sources 25 000 000 20 000 000 Brightn ESS, H2020 358 955 352 ELIXIR-EXCELERATE, H2020 800 162 244 15 000 000 PREPSKA, GOSKA, ISKAF2010; FP7 857 701 525 EPOS IP, H2020 1 427 418 295 10 000 000 IPERION CH, H2020 195 779 706 5 000 000 0 IN-SKA, H2020 14 866 425 NEUTRONSOURCEESS, FP7 72 737 152 EPOS, FP7 139 457 084 SPIRAL2PP, FP7 219 178 974 ELIXIR, FP7 193 674 522 0 5 10 15 20 25 30 35 40 45 50 Source: own elaboration Number of financed participants

Conclusions Conclusions related to Commitment 5: Conclusions related to Commitment 32: Innovation Union Commitment 5 was fulfilled in terms of the number of RIs completed or launched, exceeding even agreed target of 60% of RIs from ESFRI Roadmap 2008 (actually 75% were at least initiated). Total financing from H2020 related to selected GRIs already tripled in relations to FP7. Number of financed participants is already higher, the average financing per participant is higher than in FP7. Projects realized by RIs under EU framework programs involved huge investments of funds from other sources (pooling resources): - 1 EUR spending from FP7 (part INFRA) involved on average 37.7 EUR total spending on co-financed projects, - 1 EUR spending on RI from H2020 (until May 2016) was connected with 23.52 EUR of total spending on realized projects. There is a strong discrepancy in EU framework programs (part INFRA) funds allocation between Western European and CEE countries, which may increase the gap in innovation ability between EU member states. The legal framework (11 documents) as well as organisational / institutional initiatives sets the stage for further international cooperation of GRIs. The internationalisation level for 12 GRIs is moderate (36%) but there are GRIs like SKA; ISIS and EMBL where it exceeds 50% (data for 2015). The internationalisation paste is moderate: the involvement of international partners changed from 61 (33%) in 2010 to 91 (36%) in 2015.

Research Plan for Commitment 5 and Commitment 32 Direct impact assessment I. DESK RESEARCH - 12 Global Research Infrastructures profiles (Establishment; Enlargement; Legal relationship with European Union; The scope of financing; Geographical partnership) related to Com32 II. FIELD RESEARCH - Quantitative analysis - based on structured questionnaires related to Com 5 and 32 Tool Respondents Sample Method applied Structured questionnaire Representatives of research infrastructures premises RI from MERIL database on research infrastructures (RIs) in Europe of more than national relevance: CAWI/ CATI Structured questionnaire Representatives of research infrastructures users (universities; enterprises; public bodies; research organisations) N=594 Organisations financed from FP7 or/and H2020 part INFRA: N=6 898 CAWI QUESTIONNAIRES READY; DATA BASES THE FIRST ALMOST READY; THE SECOND READY; START OF THE FIELD RESEARCH: OCTOBER 2016 Direct impact assessment - the relationship between the activity of RI and GRI in achieving the stated policy targets (the short-term, direct impacts and medium to longer-term indirect impacts) in terms of [(1) innovation; (2) European and national competitiveness; (3) creation of employment, (4) science, (5) society, (6) to tackle global challenges].

Thank you

Appendix Full names of 12 GRI: IPERION - Integrated Platform for the European Research Infrastructure on Cultural Heritage; EPOS - European Plate Observing System; ELIXIR - European Life-Science Infrastructure For Biological Information; EMBL - European Molecular Biology Laboratory; IMPC - International Mouse Phenotyping Consortium; ESS - International Mouse Phenotyping Consortium; PETRA III - PETRA III at DESY (Deutsches Elektronen-Synchrotron); ESO - European Southern Observatory; ISIS - a world-leading centre for research in the physical and life sciences at the STFC Rutherford Appleton Laboratory near Oxford; LNGS - Laboratori Nazionali del Gran Sasso; SKA - The Square Kilometre Array; SPIRAL 2 - Système de Production d Ions Radioactifs et Ligne de 2éme generation.