SEVENTH FRAMEWORK PROGRAMME - Jeupiste · the 2013 NMP EU Japan Call (FP7-NMP-2013-EU-Japan). JEUPISTE D2.2 Analysis of the EU-Japan Cooperation in FP7 4 2. Japanese participation

SEVENTH FRAMEWORK PROGRAMME THEME INCO 2013-2.1

JEUPISTE

Grant Agreement Number: 609585

D2.2 ANALYSIS OF THE EU-JAPAN COOPERATION IN FP7

Deliverable Nature: Report

Dissemination level: PU (Public)

Work Package Number: WP2

Work Package Title: Support to policy analysis

Task Number: D2.2

Task Title: Analysis of the EU-Japan Cooperation in FP7

Submission Date: -

Publication Date: -

Task Leading Partner: AGAUR

Contributing Partners: ALL

JEUPISTE D2.2 Analysis of the EU-Japan Cooperation in FP7

1

Document Revision History

Version Date Author Comment

0v1 12 May 2014 AGAUR Initial draft

0v2 12 May 2014 IIST Quick revision

0v3 9 March 2014 DLR Revision

0v4 1 August 2014 AGAUR Revised draft by AGAUR

0v5 1 August 2014 DLR Revision by DLR

0v6 14 September IIST Revision

0v7 10 October 2014 AGAUR Final refinement

0v8 6 November 2014 DLR Final check by the WPL

0v9 13 November 2014 BMBF Quality control by M. Steinberger, member of the JEUPISTE Advisory Board

0v91 22 December 2014 AGAUR Incorporation of the comments by the Advisory Board and revision of data (with the newest set)

0v92 9 January 2015 AGAUR Addition of the Executive summary

1v0 12 January 2015 IIST Final version for submission

1v1 22 January 2015 AGAUR Correction following comments by the Project Officer

2v0 27 January 2015 IIST Final version for 2nd submission


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Contents

1. Introduction: general objectives of the analysis .......................................................... 3

2. Japanese participation in the Seventh Framework Programme ................................... 4 2.1. General overview ........................................................................................................... 4

2.1.1. Success Rate ...................................................................................................................... 7 2.1.2. Cooperation partners ........................................................................................................ 8 2.1.3. Japanese entities ............................................................................................................... 9

2.2. Cooperation Programme ............................................................................................... 10 2.3. People Programme ....................................................................................................... 11 2.4. Ideas Programme ......................................................................................................... 13

3. Japanese affiliated companies in Europe participation in the Seventh Framework Programme ..................................................................................................................... 15


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Executive Summary

The present report constitutes deliverable D2.2 of the JEUPISTE project funded under the

European Union’s (EU’s) 7th Framework Programme (FP7) for Research and Technological

Development (RTD), as a part of the activities within Work Package 2 of the project, for support

to policy dialogues.

The internationalization of Japanese research and researchers has experienced an important

dynamism in the last years. The Japanese participation in FP7 has increased year after year

since 2007 and around 100 Japanese entities have participated in almost 160 projects and have

received around ten million Euros. About 62% of the Japanese participation was under

Cooperation specific programnme, followed by People (around 24%) and Capacities (8%)

programmes. Cooperation between Japanese and European entities in the EURATOM

programme, both in the fission and fusion programmes, has also been significant. The thematic

fields of the projects are mainly oriented towards the areas of information and communication

technologies, environment, health, nanotechnology and security, being social sciences and

humanities the field with the lowest participation. Success rates (from proposal to funding

award) differ substantially between areas but the overall 31% for all programmes could be

considered a good result given that the global overall FP7 success rate is around 20%.

The European counterparts of the projects are spread across all EU and associated countries,

being Germany, United Kingdom, France, Italy, Spain or The Netherlands the main

counterparts of projects with Japanese participants and also the countries with the largest

participation in FP7 in general terms.

The Japanese participants are mainly universities and public bodies and around 70 Japanese

affiliated companies located in Europe also participated in the Programme.

Regarding individual grants, 49 researchers have undertaken mobility and career development

research projects under People programme while 14 Japanese researchers have been funded by

Ideas programme, through the European Research Council.


3

1. Introduction: general objectives of the analysis

The JEUPISTE project aims to contribute to the STI capacity building towards the sustainable

development of the EU through the building of mutually beneficial partnerships, by supporting

the EU-Japan policy dialogues, ensuring bilateral flow of information, organizing seminars and

workshops to further develop the partnership by exchange of information and opinions,

establishing visible contact points and offering them appropriate cross-sectional and cross

thematic training courses, providing comprehensive help desk service, and disseminating the

results and discussion widely to the Research, Technological Development and Innovation

(RTDI) communities.

The overall objective of this report is to assess the participation of Japanese organizations in

the Seventh Framework Programme for Research and Technological Development,FP7 (2007-

2013), the European Union’s main instrument for funding research in Europe. Analytical data

on each different specific programme and action will be provided.

The methodology used to study the Japanese participation is based mainly on the analysis of

data provided by the European Commission (Directorate General for Research and Innovation

(DG RTD) and EU Executive Agencies (Research Executive Agency (REA) and European

Research Council Executive Agency (ERCEA)). The data contained information about the

number of proposals submitted, contracts and Grant Agreements (GAs) signed under each

programme, participants’ information, financial and other relevant data. The database includes

the Cooperation and Capacities Programme and the People collaborative projects1, also known

as Marie Curie actions. Marie Curie individual fellowships projects have been treated separately

in the analysis as well as the European Research Council (ERC) projects as ERC grants involves

only European institutions being Japanese entities non eligible to participate. Apart from

analysing Japanese participation in FP7, the analysis also includes information on the

CONCERT-Japan2 2012 Pilot Joint Call and several EU-Japan coordinated joint calls3. This

report also analyses the participation of Japanese Affiliated Companies located in Europe. The

cut-off date for the analysis has been November 2014. This report will be progressively updated

as conclusive data on last calls under FP7 and the results of the initial Horizon 2020 calls

become available (finally as D2.8).

1 The People Collaborative projects are the Initial Training Networks (ITN) and the International Research Staff

Exchange Scheme (IRSES) actions. For a definition of these actions, see section 2.3 of this document. 2 CONCERT-Japan is an FP7 project with the general aim to promote an effective and coordinated science and

technology cooperation between European countries and Japan. The CONCERT-Japan Project conducted a Pilot

Joint Call for research proposals between September and November 2012, calling for joint research proposals in

the two prioritized thematic areas of "Resilience against Disasters" and "Efficient Energy Storage and Distribution". 3 The EU Japan coordinated joint calls are: the 2011 EU-Japan Coordinated Energy Call on Photovoltaics (FP7

-Energy-2011-JAPAN-Photovoltaics); the 2013 ICT EU Japan Coordinated call (FP7-ICT-2013-EU-Japan); and

the 2013 NMP EU Japan Call (FP7-NMP-2013-EU-Japan).


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2. Japanese participation in the Seventh Framework Programme

2.1. General overview

Japan is ranked nº10 regarding the total cost of the participation4 among the third countries that

participated in FP7 but still really far behind the United States and the Russian Federation that

represent the first and second position respectively. As is shown in Figure 1, the Japanese

participation total cost is similar to that of Ukraine and lower than that of other countries such

as Brazil, South Africa and Canada. In terms of number of projects, Japan ranks nº14 and as

shown in Figure 2, similar to that of Argentina, Mexico and Morocco. Around 100 independent

institutions have participated in FP7 projects5, which constitute an important increase in the

participation compared to the previous framework programmes.

Figure 1 Third Countries Participation Total Cost

4 The data regarding the total cost of the participation includes both the participant EC contribution and the

participant own contribution. 5This data includes the Cooperation and Capacities Programme and all People collaborative projects (ITN and

IRSES), also known as Marie Curie Actions.

0

20

40

60

80

100

120

140

160

180

Participant Total Cost


5

Figure 2 Third Countries participation (number of projects in cooperation programme)

Across all programme areas there were 209 participations of Japanese entities in 159 projects.

Japanese entities mostly participate as partner in 207 projects while there have been two projects

where a Japanese entity participated as coordinator. The two projects coordinated by Japanese

belonged to the Capacities programme and, more specifically, to two BILAT Projects (J-BILAT

and JEUPISTE) targeting Japan, funded under the International Cooperation sub-programme.

The total EU contribution received by Japanese beneficiaries is around 10 million Euro, of

which around 1 million Euro belong to the two coordinating BILAT projects6. It is important

to note that about 70% of Japanese entities participate in FP7 funded projects without receiving

EC contribution. Since 2007, the number of Japanese participations has increased year after

year with an exception of 2012, which represents a significant drop of the number of projects

funded.

6 J-BILAT and Jeupiste project, funded under the FP7 International Cooperation Programme.

0

100

200

300

400

500

600

FP7 Participations

05

10152025303540

Y2007 Y2008 Y2009 Y2010 Y2011 Y2012 Y2013

Number of projects 8 11 24 27 34 16 39


6

Figure 3 FP7 Number of projects with JP participation per year (excluding programmes targeting

individual researchers)

Figure 4 The number of signed FP7 contracts with JP participation per year

The distribution of Japanese participation over the different FP7 Specific Programmes is shown

in Figure 5. About 62% of the Japanese participation accounts for the Cooperation programme7,

followed by the People programme8 with 23,6% of the participation and the Capacities with

8,4%. The Capacities programme aims to enhance research and innovation capacities and

ensure their optimal use and represents 8% of the overall total FP7 budget, so the Japanese

participation in this program is considerably good. 15 projects have been funded under this

programme in the areas of Infrastructures, International cooperation and Science in society.

Cooperation in the framework of the Euratom fission and fusion programmes (EURATOM) is

also well established with around 6% of the total Japanese FP7 participation. Although this

percentage of participation is the lowest one, we should take into account that the overall

funding possibilities to participate in EURATOM projects have been smaller than the other

three. Japanese entities participates in nine fission projects while in fusion research Japan and

Euratom have over 150 on-going collaborative activities involving 53 European entities and 35

Japanese research institutions. A number of these activities involve the Joint European Torus

(JET) in areas considered critical for ITER. Regarding the Ideas Programme9, no data has been

included in this section as ERC grants involves only European institutions being Japanese

entities non eligible to participate.

7The Cooperation programme promotes the progress of knowledge and technology through collaborative projects

in ten thematic areas. 8 The People programme is dedicated to stimulating researchers’ career development, training and mobility. 9The Ideas programme supports risk-taking and high-impact research.

5%7%

15%

17%

21%

10%

25%

Y2007

Y2008

Y2009

Y2010

Y2011

Y2012

Y2013


7

Figure 5 Projects with JP participation in FP7 specific programmes

2.1.1. Success Rate

The success rate of Japanese participation in FP7 is 31% for the whole thematic areas (analysis

based on Grant Agreements signed), being the global overall FP7 success rate around 20%. As

to the specific programmes, EURATOM has the highest success rate with 90%, followed by

the Capacities programme (48%), People (33%) and Cooperation with the lowest success rate

of 25%. The global success rate of FP7 Cooperation programme is around 19% so the Japanese

participation in this programme stands above the EU average. Success rates across all themes

vary significantly and, apart from EURATOM, Infrastructures and Security have reached the

highest success rate while Energy and Social Sciences have the lowest ones. Thematic areas

such as Information & Communication Technologies (ICT), Health, Knowledge Based Bio-

Economy (KBBE), Nanotechnologies (NMP) and Transport have success rates around 20 and

35%.

Figure 6 Overall success rate of Japanese participation in FP7 (%)

62,1%

5,9%

8,4%

23,6%SP1-Cooperation

SP3-People

SP4-Capacities

SP5-Euratom

0%10%20%30%40%50%60%70%80%90%

SP1-

Cooperat

ion

SP3-

People

SP4-

Capacitie

s

SP5-

Euratom

ALL SPs

Success rate (%) 25% 33% 48% 90% 31%

http://cordis.europa.eu/fp7/ict/


8

JP Success Rate in FP7:

Thematic Areas

Success rate (%)

ENV (incl. Climate Change)

38%

ENERGY 14%

EURATOM 90%

PEOPLE 33%

ICT 23%

HEALTH 36%

INCO 40%

INFRA 54%

KBBE 23%

NMP 27%

SEC 57%

SiS 50%

SPACE 24%

SSH 13%

TPT (incl. Aeronautics)

21%

ALL Areas 31%

Figure 7 Japanese success rate in FP7 Thematic Areas10

2.1.2. Cooperation partners

European organizations from all Member States and Associated Countries are involved in the

159 projects with Japanese participation. The highest number of successful collaborations are

concentrated in Germany (237), followed by the United Kingdom (213), France (171) and Italy

(150). Table 1 shows the main EU and Associated countries collaborating with Japan.

10 ENV (Environment); Energy (Energy); ERC (European Research Council); EURATOM (European Atomic

Energy Community); People (Marie Curie Actions); ICT (Information & Communication Technologies); Health

(Health); INCO (International Cooperation); INFRA (Infrastructures); KBBE (Knowledge Based Bio-Economy);

NMP); NMP (Nanosciences, Nanotechnologies, Materials & New Production Technologies); SEC (Security); SIS

(Science and Society); SME (Research for the benefit of Small and Medium Sized Enterprises (SMEs)); SPA

(Space); SSH (Social Sciences and Humanities); TPT (Transport, including Aeronautics).

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%


http://cordis.europa.eu/fp7/cooperation/nanotechnology_en.html


9

European Union countries / Associated countries Number of Participations

Germany 237

United Kingdom 213

France 171

Italy 150

Spain 101

The Netherlands 74

Switzerland 63

Belgium 55

Other 313

Table 1 Main European Union countries /Associated countries participating with JP entities

2.1.3. Japanese entities

Around 100 Japanese entities participated in FP7 projects, the University of Tokyo, RIKEN

and Waseda University being the ones with the highest number of participations. It is

noteworthy that the entities with the highest participation are universities and public

organisations. We also note that the United Nations University (with its HQs in Tokyo) must

be treated separately, as its institutes are not necessarily located in Japan.

Participant legal name Number of Projects

University of Tokyo 18

United Nations University 17

RIKEN 7

WASEDA University 7

National University Corporation, Hokkaido University 6

National Institute of Information and Communications

Technology 5

National University Corporation, Kyoto University 5

Osaka University 4

Japan Aerospace Exploration Agency 4

Keio University 4

Nippon Telegraph and telephone Corporation 4

Osaka University 4

Table 2 Main Japanese entities participating in FP7 projects11

11 It should be taken into account that the United Nations University (UNU) is a global think tank and postgraduate

teaching organization headquartered in Japan. The University is comprised of 13 institutes in 12 different countries

around the world. The registration of all projects is centralized in the headquarters organization in Tokyo although

the projects may take place in an UNU entity outside Japan.


10

2.2. Cooperation Programme

The cooperation programme supports research activities carried out by collaborative projects

in trans-national cooperation in ten thematic areas, corresponding to major fields in science and

technology. This programme is of great importance to Japanese organizations as it represents

the 62% of the overall Japanese participation in FP7. However, the level of participation in the

ten thematic areas varies, as observed in the following Figure 8.

Figure 8 FP7 projects with JP participation by thematic areas (Cooperation programme)12

It can be observed that four of the themes, Information and Communication Technologies (ICT),

Environment (ENV), Health (HEALTH), Nanotechnologies, Advanced Materials and

Production (NMP) and Security (SEC) attracted most of the Japanese collaborators, accounting

for 80% of the total Japanese participation in this specific programme (37% in ICT, 16% in

ENV, 11% in HEALTH, and 8% in NMP and SEC). It should be noted that most of these themes

together with Transport, are the areas with the greatest budget of the cooperation programme13.

ICT has long been the most active area of EU-Japan S&T cooperation, both at policy and project

level. Key areas of ICT research projects between the European Union and Japan include: future

internet, cloud computing, active and healthy ageing or cyber security. The Japanese

participation in the Security thematic area is 8%, which could be considered an interesting and

important data taking into account that this programme represents 4% of the total FP7

Cooperation budget. Funded projects in this thematic area range from crisis management or

trade to critical infrastructures to extreme weather events.

12 TPT (Transport, including aeronautics); ENV (environment); Energy (Energy); ICT (Information &

communication technologies); Health (Health); KBBE (Knowledge based bio-economy); NMP (Nanosciences,

nanotechnologies, materials & new production technologies); SEC (Security); SPACE (Space); SSH (Social

Sciences and Humanities). 13 Percentatge of the Cooperation budget by thematic area: Transport, including Aeronautics-TPT (13%);

Environment-ENV (6%); Energy (7%); Information & Communication Technologies-ICT (28%); Health (19%);

Knowledge Based Bio-Economy-KBBE (6%); Nanosciences, Nanotechnologies, Materials & New Production

Technologies-NMP (11%); Security-SEC (4%); Space (4%); Social Sciences and Humanities-SSH (2%).

1%

16%

4%

11%

37%

8%

8%

4%

6%5% ENERGY

ENV (incl. Climate Change)

KBBE

HEALTH

ICT

NMP

SEC

SSH

SPA

TPT (incl. Aeronautics)









11

Energy, Social Sciences and Humanities (SSH) and Knowledge Based Bio-Economy (KBBE)

are the themes with lower levels of participation. It is worth mentioning that the overall SSH

budget are within the lowest in the cooperation programme (2%) so this low participation may

be related to it, among other factors.

2.3. People Programme

The People programme reinforces international cooperation in FP7 by supporting researchers’

mobility and their career development. The programme supports European researchers to

undertake research abroad and by attracting research talent from outside Europe and fostering

research collaborations. The People programme is implemented through the so-called Marie

Curie Actions that include two main action lines: an individual one related to career

development, lifelong learning and transfer of knowledge and a host driven one that reinforces

research training networks targeting doctoral candidates and staff exchanges between European

research organizations and organizations from countries which the European Union has S&T

Agreements, such as Japan.

The Marie Curie action with the major number of projects is the International Incoming

Fellowship (IIF) for experienced researchers. 38 researchers working in Japan have undertaken

research projects in Europe with a view to enhancing the transfer of knowledge and the

possibility of future collaborative research links with Europe. The European countries which

have hosted more Japanese fellows are United Kingdom (18 projects), Germany (six projects),

Switzerland (five projects) and France (three projects). There are also eight Japanese nationals

living in Europe that have obtained an Intra-European Fellowship (IEF) to acquire skills and

work in another European country while three researchers living in Europe have received an

International Outgoing Fellowships (IOF) to gain new skills and expertise while conducting

high-level research in Japan. The latter action includes an in-built mandatory return phase to

Europe that also strengthens the collaboration between European and Japanese entities. The

Japanese institutions that have hosted these three researchers are Kobe University, Kyoto

University and Tokyo University.

Nº of projects

Marie Curie IIF 38

Marie Curie IEF 8

Marie Curie IOF 3

49

Figure 9 Japanese Participation in Marie Curie Individual Fellowships

78%

16%

6%

Marie Curie IIF

Marie Curie IEF

Marie Curie IOF


12

With regard to the International Research Staff Exchange Scheme (IRSES), 34 projects have

been funded. Compared to the above actions (IIF, IEF and IOF), which provide mobility

possibilities to individual researchers, this action provides support to organizations to establish

and reinforce long-term research co-operation through staff exchanges and networking

activities. Since 2007, there has been an increase in the number of projects funded, being

Engineering and Physics the thematic areas with higher participation and Economy and

Humanities the lower ones. There is only one Japanese participation in the International

Training Networks (ITN) scheme for early stage researchers, concretely RIKEN has

participated in the BrainTrain project about brain disorders.

Figure 10 Japanese participation in Marie Curie IRSES projects

Figure 11 Japanese participation in Marie Curie IRSES projects by thematic areas

0

2

4

6

8

10

12

Y2008 Y2009 Y2010 Y2011 Y2012

Nº Projects 1 7 7 12 7

12% 3%

20%

6%

18%

18%

20%

3% Chemistry

Economy

Engineering

Environment

Life Sciences

Maths

Physics


13

2.4. Ideas Programme

The main aim of the Ideas programme, implemented by the European Research Council (ERC),

is to encourage the highest quality research in Europe through competitive funding and to

support investigator-driven frontier research across all fields, on the basis of scientific

excellence. Unlike traditional FP7 Cooperation projects, ERC grants support individual

researchers (Principal Investigator, PI) and their research teams. The sole criterion for selection

is scientific excellence. The aim here is to recognize the best ideas, and confer status and

visibility on the best brains in Europe, while also attracting talent from abroad in reinforcing

excellence, dynamism and creativity in European Research. The host organization must be

based in an EU Member State or Associated Country; therefore organizations based in third

countries are not eligible as host institutions. Japanese researchers are allowed to apply but only

in the case they decide to move to a European institution to carry out the research proposed or

stay in Europe in the case of Japanese researchers already residing in Europe.

Currently there are five types of grants, and the following are the core funding schemes: ERC

Starting Grants (StG – researchers with two to seven years of experienced after their PhD), ERC

Consolidator Grants (CoG – designed to support top researchers with 7 to 12 years of

experience after their PhD), and ERC Advanced Grants (AdG – open to excellent established

researchers who have a recent track-record which identifies them as leaders in their respective

fields of research).

Eleven national Japanese researchers have obtained a StG while two have received a CoG and

one an AdG. The host institutions are distributed between seven EU countries as Figure 12

shows and with regard to the thematic areas, eight belong to Life Sciences, five to Physical

Sciences and Engineering, and one to Social Sciences and Humanities.

Figure 12 Japanese ERC grantees per country host institution

0

0.5

1

1.5

2

2.5

3

3.5

4

4.5

5

UK FR DE AT CH NO BE

Nº of JP Researchers 5 2 2 2 1 1 1


14

Figure 13 Japanese ERC grantees per research area

Comparing with other third countries nationals that have been awarded, Japanese national

researchers occupy sixth place, behind the United States, Canadian, Russian, Australian and

Indian nationals. The participation by the US nationals is outstanding among the third country

participation in this specific programme.

Figure 14 ERC Third Countries Nationality Grantees

7%

36%

57%

Social Sciences and

Humanities

Physics

Life Sciences

0

10

20

30

40

50

60

U.S CA RU AU IN JAPA

N

AR CN UKR Other

s

Starting Grants 52 12 14 14 12 11 7 7 7 17

Consolidator Grants 5 4 2 1 2 2 0 1 0 3

Advanced Grants 57 7 3 3 1 1 0 0 0 7


15

3. Japanese affiliated companies in Europe participation in the Seventh Framework

Programme

In the framework of the Jeupiste Project, the Japanese affiliated companies in Europe

participation have also been analysed. Though these entities are legally based in Europe and are

counted as European participation, it has been considered important to examine the involvement

of the Japanese industrial sector in its broadest sense in the European research and innovation

system. The findings of that analysis show that almost 70 Japanese affiliated companies in

Europe participated in FP7 projects, which indicate that the involvement of the Japanese

industrial sector in the European research and innovation system has been mostly through the

affiliates in Europe. Most of them are engineering and electronics conglomerate companies or

belong to the automobile sector with legal addresses in the United Kingdom, France and

Germany. Table 3 shows the main Japanese affiliated companies in Europe participating in

more than five FP7 Projects.

Affiliate Nº of

projects EU host country

NEC Europe LTD. 48 United Kingdom

DOCOMO Communications

Laboratories Europe GmbH 11 Germany

HITACHI Europe LTD. 10 United Kingdom

HORIBA Jobin Yvon S.A.S. 9 France

TOSHIBA Research Europe

LTD. 8 United Kingdom

HITACHI Europe SAS 8 France

Sony Europe LTD. 5 United Kingdom

Table 3 Main Japanese affiliated companies in Europe participating in FP7 projects

Sources

1. EC Commission (DG Research and Innovation and Research Executive Agency).

2. FP7 Monitoring Reports (http://ec.europa.eu/research/evaluations/index_en.cfm).

3. Interim Evaluation of the Seventh Framework Programme - Report of the Expert

Group (http://ec.europa.eu/research/evaluations/pdf/archive/other_reports_studies_an

d_documents/fp7_interim_evaluation_expert_group_report.pdf#view=fit&pagemode=

none). 4. Cordis (Projects and Results – http://cordis.europa.eu).

http://ec.europa.eu/research/evaluations/index_en.cfm

http://ec.europa.eu/research/evaluations/pdf/archive/other_reports_studies_and_documents/fp7_interim_evaluation_expert_group_report.pdf#view=fit&pagemode=none





http://cordis.europa.eu/

Documents

SEVENTH FRAMEWORK PROGRAMME - Jeupiste · the 2013 NMP EU Japan Call (FP7-NMP-2013-EU-Japan). JEUPISTE D2.2 Analysis of the EU-Japan Cooperation in FP7 4 2. Japanese participation