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Spreading Excellence & Widening Participation in Horizon 2020

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Spreading Excellence & Widening Participation in Horizon 2020 Spreading Excellence & Widening Participation in Horizon 2020 Analysis of FP participation patterns and research and innovation performance of eligible countries Written by Jaana Puukka May – 2018 Spreading Excellence & Widening Participation in Horizon 2020 - Analysis of FP participation patterns and research and innovation performance of eligible countries European Commission Directorate-General for Research and Innovation Directorate B Open Innovation and Open Science Unit B5 Spreading excellence and Widening Participation Contact Dionysia Lagiou E-mail [email protected] [email protected] European Commission B-1049 Brussels Manuscript completed in May 2018. Neither the European Commission nor any person acting on behalf of the Commission is responsible for the use which might be made of the following information. The views expressed in this publication are the sole responsibility of the author and do not necessarily reflect the views of the European Commission. More information on the European Union is available on the internet (http://europa.eu). Luxembourg: Publications Office of the European Union, 2018 PDF ISBN 978-92-79-87957-9 Doi 10.2777/42382 KI-03-18-051-EN-N © European Union, 2018. Reuse is authorised provided the source is acknowledged. The reuse policy of European Commission documents is regulated by Decision 2011/833/EU (OJ L 330, 14.12.2011, p. 39). For any use or reproduction of photos or other material that is not under the EU copyright, permission must be sought directly from the copyright holders. EUROPEAN COMMISSION Spreading Excellence & Widening Participation in Horizon 2020 Analysis of FP participation patterns and research and innovation performance of eligible countries Edited by independent expert Jaana Puukka Directorate-General for Research and Innovation 2018 Horizon 2020 Spreading Excellence and Widening Participation Table of Contents EXECUTIVE SUMMARY AND CONCLUSIONS ......................................................... 3 1 Methodology and limitations ..................................................................................... 10 1.1 Purpose of the study and research questions ..................................................... 10 1.2 Methodology .................................................................................................. 11 1.3 Limitations of the study .................................................................................. 11 2 FP participation patterns .......................................................................................... 11 2.1 The concentration among participants and geographical representation in Horizon 2020 ............................................................................................................ 11 2.2 Variation in H2020 contributions normalised per inhabitant, FTE researchers and RDI investment .............................................................................................. 12 2.3 Participation patterns of the EU-13 countries ..................................................... 13 2.4 Participation patterns within the Widening actions .............................................. 13 3 Main trends in R&I performance in EU-28 ................................................................... 14 4 Causes for low participation...................................................................................... 21 4.1 National research investment and R&D personnel ............................................... 22 4.2 Articulation between Framework Programmes and national research systems ........ 23 4.3 System learning effects through experience in FP procedures .............................. 24 4.4 Differential wage levels between countries ........................................................ 25 4.5 Access to networks ......................................................................................... 27 4.6 Size of the projects ........................................................................................ 28 4.7 Problems with information, communication, advice and training ........................... 29 4.8 Adverse incentives in national R&I systems ....................................................... 31 4.9 Fragmentation of higher education and R&I systems and lack of competitive universities and research organisations ............................................................. 31 4.10 Language barriers .......................................................................................... 33 4.11 Regulatory and administrative burden............................................................... 33 4.12 Quality of government and weak public institutions ............................................ 34 4.13 Lack of a European patent code and costs of intellectual property ........................ 34 5 Integrating enhanced Synergies mechanism in FPs ..................................................... 35 6 What can EU do to address the barriers to low FP participation ..................................... 37 ANNEXES ...................................................................................................... 39 Annex 1 Interviews ................................................................................................. 39 Annex 2 Interview themes and questions ................................................................... 40 Annex 3 Country case studies ................................................................................... 42 1 Cyprus .......................................................................................................... 42 2 Estonia ......................................................................................................... 45 3 Slovenia ........................................................................................................ 48 4 Bulgaria ........................................................................................................ 52 5 Poland .......................................................................................................... 55 6 Serbia ........................................................................................................... 59 7 Italy ............................................................................................................. 62 2 EXECUTIVE SUMMARY AND CONCLUSIONS The purpose of this study is to analyse the participation patterns in Horizon 2020 and the causes for the low participation of a number of EU Member States and Associated Countries, as an indirect contribution to the post-Horizon 2020 programme, updating the 2011 analysis by the Commission of the EU-13 low participation. The study is based on qualitative methods including desk research, seven country cases and eight semi-structured interviews with Widening coordinators and policy stakeholders. The seven country cases cover three Widening countries, which are performing better than average EU-13 (Cyprus, Estonia and Slovenia), two lower performing Widening countries (Bulgaria and Poland), one Widening associated country (Serbia) and one Southern European country from the EU-15 (Italy). The country case studies are available in Annex 3. The concentration of funding in terms of participants and the geographical representation remain challenges for the Framework Programme (FP) participation. Participants from the five EU-15 countries – UK, Germany, France, Spain and Italy – receive 60% of the overall funding and represent 64.5% of the investment in R&I (GERD) in Europe. The EU-13 countries represent 8.5% of the participations in Horizon 2020 and receive 4.4% of the overall funding. The EU-13 countries have a lower success rate of applications (11.1% compared to 14.4% for the EU-15) and a much smaller share of project coordinators in signed contracts: 5.1% vs. 87.6%. Despite their lower Horizon 2020 contributions, the EU-13 countries show a relatively good performance in Horizon 2020 in light of their R&I spending. Some EU-13 countries outperform the EU-15 average, but the differences between the best and the weakest performers remain significant. The results for the first two years of the H2020 implementation show that Cyprus, Estonia and Slovenia outperform the EU-15 averages, taking into account the size of the population, the number of researchers and national investments in R&D, while Poland, Lithuania and Bulgaria are performing below the EU-13 average. Researchers based in Cyprus and Hungary also receive more grants from the European Research Council than would be expected based on national research investment. When the national investments in R&D are taken into account, EU-13 Member States outperform on average EU-15 countries by 6.7%. The process of bridging the EU R&I divide shows both positive and negative dynamics but the main trend in the EU-28 R&I performance is the emergence of a more nuanced divide between countries with some catching up, and others lagging behind. Most innovation leaders are improving their Summary Innovation Index Scores, but the convergence progress remains uneven. While many central and Eastern European countries are catching up on most components of innovation capacity, some countries, some of them face significan challenges in narrowing the gap in the research systems. There is also a growing divergence among the southern European countries, with Portugal improving, Spain and Italy losing ground. For most EU regions innovation performance has improved over time, but disparities are growing
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