CHIEP II. Strengthen Chilean European S&T Partnerships. Deliverable 10 Report

Transcription

1 CHIEP II Strengthen Chilean European S&T Partnerships Deliverable 10 Report Analytical report on Science and Technology cooperation between the EU, its Member States and Chile Ongoing cooperation, impacts and potentialities Work Package 3, task 10 Prepared by CONICYT-Chile Final version: December 2010

2 Table of content 1. Introduction: General objectives of the analysis The CHIEP-II Project General objectives of the analytical report Structure of the analytical report Background, scope and methodology of the analysis Main questions of the analytical report Scope of the analytical report Methodological approach Chilean S&T system and thematic priorities National Science, Technology and Innovation System Funding schemes for Science, Technology and Innovation Chilean S&T priorities Mapping of current S&T cooperation between Europe and Chile: description of existing bilateral agreements and participation in FP6 and FP Bilateral agreements between European countries and Chile Multilateral agreements Bilateral agreements Chilean participation in the Sixth Framework Programme Success rate of the Chilean participation in FP Chilean participation in the Seventh Framework Programme

3 4.5 Success rate of Chilean participation in FP Main European counterparts of FP projects with Chilean participation Matching SICAS targeted at Latin America and Chilean national priority lines SICA calls oriented towards Latin America Chilean participation in the SICA calls Chilean participation in the definition of SICAS targeted at Latin America Chilean participation in FP6 and FP7: analysis and assessment of the Framework Programme as an S&T cooperation scheme Assessment of the Chilean participation in FP General level of satisfaction with the participation in FP Impact and follow-up on the participation Assessment of gains and shortcomings of participation in FP Access to the FP6 project Financial issues of the FP6 participation Administrative aspects and management of the consortium Creation of networks and new projects with partners Adequacy of the Framework Programme to the Chilean reality and needs Chilean participation in FP6: lessons learnt Assessment of the Chilean participation in FP The general structure of FP Evaluation of the rules of participation The guidelines of FP Negotiation of the consortium agreement Difficulties encountered in FP

4 Overall assessment of FP Discussion on opportunities and gaps in the S&T cooperation between Chile and Europe: Recommendations for future cooperation State of the art of S&T Cooperation between Chile and Europe Main findings and challenges facing the bilateral, multilateral and biregional S&T cooperation Insertion of the S&T Cooperation Agreement in the framework of the Association Agreement between Chile and the EU Suitability of the Framework Programmes to the Chilean S&T reality Lines of interest defined by Chile which have not been included in the EU programme FP Synergies between the bilateral and multilateral S&T cooperation and the Framework Programmes Future of S&T cooperation between Chile and Europe: trends and key areas Conclusions and main findings Annex Annex

5 1. Introduction: General objectives of the analysis 1.1 The CHIEP-II Project The overall strategy of the CHIEP-II project (Strengthen Chilean European S&T Partnerships) is to reinforce the participation in the Seventh Framework Programme (FP7) of the Chilean S&T community by providing information and permanent assistance on the research opportunities provided by FP7. The main activities of CHIEP-II are: - Enhancement of policy making and networking capabilities, which seek to elaborate new collaboration schemes of mutual interest between Chile and the EU as well as focused strategies in articulation with national priorities; - Development of policy dialogues in specific national priority fields of mutual interest in order to share experiences and elaborate strategic cooperation schemes on these fields; - Improvement of S&T partnerships with European research organizations based on mutual interest and benefit through scientific missions and specialized workshops. CHIEP-II is implemented by the National Commission for Scientific and Technological Research (CONICYT - Comisión Nacional de Investigación Científica y Tecnológica) in Chile. Through various activities both at the national and at EU level, CHIEP-II improves and enhances awareness of targeted groups such as research centers, universities, enterprises, public bodies and stakeholders on cooperation opportunities between Chile and the EU. 1.2 General objectives of the analytical report The main objective of work package 3 of the CHIEP-II project is to enhance the policy making and articulation capabilities of the Chilean/EU Liaison Office in science and technology, in order to contribute to the elaboration of new cooperation schemes of mutual interest and focused strategies in articulation with the national priorities on S&T development. One of the instruments to meet this general goal to enhance policy making is the analytical report. The report is oriented towards the analysis of S&T cooperation between the EU, the Member States, and Chile, thus considering the bilateral, multilateral and EU-funded schemes. Focus will be on ongoing cooperation and its impact, as well as future potentialities. Specific research themes of mutual interest and the impact of assessment of the participation in the framework programmes will be emphasized. 4

6 The main objective of the report is to contribute to a greater knowledge about the existing S&T cooperation and its potentialities between Chile and the EU and between Chile and EU Member States, as well as creating knowledge about the possibilities of fostering synergies between the Chilean S&T priorities and the FP7 thematic priorities, especially the calls oriented towards the support of the activities of international cooperation. Furthermore, the analytical report will aim at coordinating policy initiatives in order to associate them to the Chilean Innovation Strategy priorities and to other EU related programmes, and define the appropriate bilateral cooperation schemes and new cooperation activities and instruments. The document will be an important input for the bilateral Policy Dialogues discussions. 1.3 Structure of the analytical report The analytical report is divided into six different sections. Following this introduction section regarding the CHIEP project and the objectives of the report, Section Two describes in detail the background, scope and methodology of the analysis. Section Three describes the current S&T cooperation between Europe and Chile, including bilateral and multilateral agreements, as well as Chilean participation in the Sixth and Seventh Framework Programmes. Section Four constitutes the core analysis of the report and thoroughly analyses the Chilean participation in FP6 and FP7 by means of assessing the Framework Programme as an S&T cooperation scheme. Section Five discusses the opportunities and gaps in the S&T cooperation between Chile and Europe and provides recommendations for future cooperation. Section Six provides a synthesis of the mayor findings throughout the report. 5

7 2. Background, scope and methodology of the analysis 2.1 Main questions of the analytical report To reach the objective of the analytical report, four main questions to describe and analyse the current state of S&T cooperation between Chile, the EU and the member states and its future directions were identified. Each of the questions constitutes a chapter in the analytical report. 1. Does the European cooperation match the Chilean S&T priorities and can the cooperation be inserted in the national S&T system? The tasks associated to this question are: a. Mapping of the current S&T system in Chile to identify emphasis, financial priorities and areas of international cooperation. b. Identify the thematic priorities in science, technology and innovation established by Chile within the past five years and the policy instruments (including funding schemes) created to address those priorities. c. Identify the European thematic priorities for Latin America and Chile, both through the bilateral and EU funded cooperation (SICAs). The purpose of this question is to identify if the current spaces of participation provided by the bilateral cooperation and the Framework Programmes are responding to Chile s scientific and political priorities. 2. Which are the characteristics of the ongoing cooperation schemes between Chile and Europe? The tasks associated to this question are: a. Mapping of the current bilateral cooperation situation: number of projects, type of agreements, institutions involved, thematic areas, European counterparts etc. b. Mapping of the Chilean participation in the Sixth and Seventh Framework Programmes: Type of projects, type of Chilean participants, areas covered, European counterparts, budget, statistics etc. 3. Which is the assessment of the Chilean participants in the Sixth and Seventh Framework Programme and how successful have the scientific projects implemented under the FP been to secure long term collaboration between the scientific communities? The purpose of this question is to examine and analyse the involvement of the Chilean participants in the Framework Programmes and evaluate the actual capacity of the projects to build an 6

8 integrated scientific community between Chile and the EU and its member states. Furthermore, the analysis of the experiences of participation in FP6 and FP7 will detect the main virtues and shortcomings and thereby provide a complete assessment of the Framework Programmes as cooperation schemes and the challenges facing the FPs. The following tasks are associated to this question: a. On the basis of question 2, circulate a questionnaire among the Chilean participants of the Sixth Framework Programme to identify the impact of the FP6 and the activities that has followed the projects. b. Interview a representative sample of the Chilean participants in the Sixth Framework Programme to get a more detailed and in-depth knowledge about the activities that followed the participation and the assessment of the Framework Programmes as a S&T cooperation scheme. 4. Which are the most advantageous areas for future cooperation between Chile and the European Union? The purpose of this question is to identify opportunities and gaps in future S&T cooperation actions. Emphasis will be on analysing the challenges detected throughout the analytical report and the discussion on how to overcome the shortcomings will provide input for the future S&T cooperation between Chile and the European Union. In order to answer this question, the following tasks will be developed: a. Interviews with stakeholders in the field of science and technology in Chile, the European Union and the Member States with representation in Chile, to identify key areas for future collaboration. b. Obtain input for the question through the debate during the annual policy dialogue to be held in the frame of the Steering Committee of the S&T Cooperation Agreement between Chile and the EU. 2.2 Scope of the analytical report The analytical report is oriented towards the Chilean participation in European funded S&T research activities. The type of instruments is twofold: The EU-funded Framework Programmes and the bilateral agreements and cooperation schemes between Chile and the European countries. 7

9 The Chilean participation in the Framework Programmes is limited to FP6 ( ) and FP7 ( ). It was decided to include statistical data on both Framework Programmes, bearing in mind that FP7 is still ongoing, and conduct the in-depth interviews with the participants of FP6, since their projects have concluded. The participants of all specific programmes, which in the case of Chile are Cooperation, People and Capacities, are included in the analytical report. The bilateral S&T cooperation schemes are defined as programmes financed in the framework of bilateral cooperation agreements between Latin American and European Union public institutions at national level. The collected information concerns ongoing programmes or programmes that finished in In a few cases, the analysis also includes entities created under private law, such as the German Research Society (DFG), since it was assessed that the scope of the institution is of general benefit to the scientific community in both Europe and Chile. The geographical scope of the analytical report is limited to Chile, on the one hand, and the European Union, its member states and associated countries, on the other hand. 2.3 Methodological approach A twofold methodological approach was pursued, combining quantitative and qualitative data. In order to carry out the mapping of the current S&T cooperation between Europe and Chile a quantitative approach was applied, based on varied sources of information. For the bilateral cooperation, the information was compiled internally in CONICYT, which implements the bilateral S&T agreements signed by the Chilean government. The EULARINET project also produced a mapping of the European and Latin American science and technology cooperation scheme patterns (deliverable 1.4), which was used as background document for the information on the bilateral S&T cooperation between Chile and the European countries. For the information on the Chilean participation in the Framework Programmes, the CORDA database from the European Commission was used. Regarding the analysis and assessment of the Chilean participation in FP6 and FP7 a qualitative approach was applied. Regarding the analysis of FP6, a questionnaire (see annex) was sent out to all Chilean project holders in July A request for an in-depth interview was included in the questionnaire, and the respondents that were willing to participate in the interview were contacted accordingly. The interviews were carried through by telephone or face to face meetings during August and September

10 The questionnaire was sent to a total of 70 project holders, some of which were participating in the same project. Of these, the participants of 30 projects answered the survey. Furthermore, thirteen of the respondents were willing to concede an in-depth interview. 9

11 3. Chilean S&T system and thematic priorities 3.1 National Science, Technology and Innovation System The National Science, Technology and Innovation System in Chile is composed of public and private entities such as government agencies, companies, universities, technological institutes and research centres which aim at developing research, technology, human capital training and innovation, as well as creating policies to support this. As part of this system, the government formulates public policies, develops a considerable amount of research at the national level and supports research and innovation performed in companies and universities through different funding schemes and financial incentives. State participation is essential for the coordination of the different actors of the System and the development of networks. The State establishes priorities and objectives in this area and defines the National Innovation Strategy to orient the System. Although industry does not conduct a significant amount of research, they finance an important percentage of the research performed by universities and private institutions. Enterprises are where innovation is produced and used. Therefore, a higher participation of the industry sector in research projects must be encouraged since they play a fundamental role in technological innovation by developing the concepts, ideas and knowledge produced by scientific institutions. The education sector forms specialised human capital who later participates in innovation processes at universities and private companies. Universities and research centres develop most of the fundamental research and contribute in applied research and technological development. This activity is financed through direct government contributions, government grants, private company funds and international resources. In Chile there are several public sector agencies in charge of executing Science, Technology and Innovation activities. Some of these are independent institutes and others are under the supervision and dependence of a Ministry. These focus on research, development, transfer and dissemination of technologies in different areas. Following is a non exhaustive list of these agencies: Ministry of Defence: Research and Control Institute of the Army Research and Development Directorate of the Air Force Geographical Institute of the Navy Military Geographical Institute National Aeronautic Enterprise (ENAER) 10

12 National Academy of Political and Strategic Studies (ANEPE) Hydrographical and Oceanographical Service of the Navy (SHOA) Ministry of Agriculture: Natural Resources Research Centre (CIREN) Office of Agricultural Studies and Policies (ODEPA) Agricultural Research Institute (INIA) Agricultural and Livestock Service (SAG) Foundation for Agricultural Innovation (FIA) Institute for Agricultural Development (INDAP) National Forestry Corporation (CONAF) Forest Research Institute (INFOR) Ministry of Mining: National Copper Corporation (CODELCO) National Geology and Mining Service (SERNAGEOMIN) Ministry of Economy: Fishery Development Institute (IFOP) Industrial Property Department Fisheries Research Fund (FIP) National Statistics Institute (INE) National Standardization Institute (INN) Ministry of International Relations: Chilean Antarctic Institute (INACH) Ministry of Health: Public Health Institute (ISP) Autonomous Public Technological Institutes: Mining and Metallurgy Research Centre (CIMM) Chile Foundation The National Science, Technology and Innovation System is regulated by a series of norms and laws related to the activity of researchers, their formation and the results of the research process. Included in these are the Statutes of National Science and Technology Organisations 1, norms on 1 There are 27 National Science and Technology Organisations. For a complete list of these and their Statutes, please visit: 11

13 Funds for Financing Scientific and Technological Research and Tax Incentives for Scientific and Technological Research. In 2005, The National Council of Innovation and Competitiveness was created to propose guidelines for a National Innovation Strategy. Council members include high level authorities from the public, scientific, academic and private sectors. Taking into consideration the opinion of the academic and productive sectors, representatives from different regions and the civil society, the Council integrates diverse visions in order to define national priorities for strategically oriented scientific activities, public policies and to develop an efficient National Innovation System. Following a recommendation of the Council, the Interministerial Committee for Innovation and Competitiveness was formed in 2007 and is integrated by representatives of seven ministries to serve as a counterpart of the Council and implement public innovation policies for competitiveness. The Committee of Ministers defines the National Innovation Strategy after consideration of the recommendations of the authorities from the National Commission for Scientific and Technological Research (CONICYT) and the Chilean Economic Development Agency (CORFO). National Science, Technology and Innovation System The National Commission for Scientific and Technological Research (CONICYT) is in charge of promoting the formation of advanced human capital, disseminating scientific and technological 12

14 research and strengthening the country s scientific and technological foundation. CONICYT is an autonomous public institution which is part of the National Science, Technology and Innovation System and which relates administratively with the government through the Ministry of Education (MINEDUC). The Chilean Economic Development Agency (CORFO) is responsible for increasing competitiveness in Small and Medium Scale Enterprises through innovation and technological dissemination. With this main aim, CORFO finances entrepreneurship, technology transfer and innovation in SMEs, seeks to attract foreign investment, and supports optimisation of management of procedures. CORFO is part of the Ministry of Economy, Development and Tourism (MINECON). As part of the National Innovation Strategy, five economic sectors have been identified as the ones which offer more development potential for the future: Aquaculture, Agri food, Mining, Global Services and Special Interest Tourism. A large amount of the research CONICYT supports and funds corresponds to the areas of Environment and Energy due to their importance for the development of the country in general, and in the areas of Education and Health since these significantly impact the population s quality of life. CONICYT also focuses on Chile s unique natural conditions in order to develop research in the areas of Earth Sciences and Oceanography, and Astronomy. It is in the country s best interest to increase the number of professionals working in science to a level comparable to countries of similar size and productive profile which excel for their economic growth and innovation. In this sense, the National Innovation Strategy aims at forming advanced human capital that will contribute to the economic, social and human development of the country. In 2009 the National Statistics Institute of Chile (INE) conducted the first national R&D survey which complies with OECD standards. The survey presented that in 2008 the national expenditure allocated for R&D in Chile was of USD 674 million representing 0.4% of the country s Gross Domestic Product. In more advanced countries, a close relationship is observed between levels of development and of quality of life and the relevance that RTD has in governmental policies. Chile must continue increasing its investment in science, technology and innovation for the forthcoming years and achieve a higher participation and contribution of the business sector in this effort. It is noticed that in countries with a high RTD investment, the participation of the private productive sector is essential and reaches more than 60% of the total 2. The aforementioned survey revealed that the industry sector in Chile financed 43.7% of the expenditure in R&D in

15 According to the National Innovation Council for Competitiveness, Chile s RTD expenditure should reach 2.3% of the GDP by 2020 and about half of the resources should be contributed by the private sector Funding schemes for Science, Technology and Innovation There are various national funding schemes for science, technology and innovation. The Chilean Economic Development Agency (CORFO) and the National Commission for Scientific and Technological Research (CONICYT) play a key role in the system in financial terms. CONICYT s programmes and funding schemes are divided into two separate lines: the promotion and strengthening of the national scientific and technological foundation and the formation and training of advanced human capital. Scientific and Technological Foundation: National Fund for Scientific and Technological Development (FONDECYT): It is the country s main public fund aimed at supporting and strengthening individual basic research. It finances research projects of excellence in all areas and has caused a significant impact in the generation of a critical mass of researchers. Fund for Financing Research Centres of Excellence (FONDAP): This funding scheme supports the establishment or strengthening of centres in research areas which are relevant for the country and where basic national science has reached a high development level. Besides promoting research of excellence, these centres are oriented towards the training of advanced human capital and collaborative networking. There are currently specialised centres on materials, mathematical modelling, cell regulation and pathology, molecular studies of cell, ecology and biodiversity, astrophysics and oceanography. Fund for the Promotion of Scientific and Technological Development (FONDEF): This funding scheme aims at promoting a relationship among research institutions and companies for the development of applied research projects, precompetitive development and technology transfer. All projects must have a high socio-economic impact and be oriented to creating or improving products, processes and services. Astronomy Programme: It seeks to support and strengthen the development of astronomy in Chile by providing grants in this field, managing observation time at telescopes in the north of the country, and managing doctoral and post doctoral scholarships in astronomy among others

16 National Fund for Research and Development in Health (FONIS): FONIS was created as a result of a joint effort by the Ministry of Health and CONICYT. Its mission is to create greater technological and scientific development, which in turn will allow better public health decisions to be made in the country at both policy level and clinical and management level. In order to achieve its objective, this programme finances projects which contribute to the improvement of decision-making in health. FONIS beneficiaries are universities, research centres related to health or academics or health personnel directly. Associative Research Programme (PIA): This programme aims to promote the articulation and partnership between different groups of researchers and other national and/or international groups from the academy and/or the private and public sectors. PIA supports the strengthening of structured groups in research areas of excellence at national level, thus contributing to the economy and competitiveness of the Chilean society. The programme is founded on four lines of actions that provide support for: Research Rings, Research and Development Centres, Scientific and Technological Equipment, and Articulation and Liaison. Regional Programme for Scientific and Technological Development: This scheme supports units of scientific and technological development located in the different regions of the country to promote decentralised research. At present, there are regional centres working in areas such as energy and water, desert studies, mining, sustainable development, dry areas, healthy food, agricultural and forestry biotechnology, advanced polymers, agroaquacultural nutritional genomics, innovation engineering, food process in aquaculture, ecosystems in Patagonia and studies of the quaternary period. Training of Human Capital Advanced Human Capital Formation Programme: This programme focuses its actions on supporting and strengthening the formation of advanced human capital in every area of knowledge, both in Chile and abroad. In order to achieve its goals, this programme has several postgraduate and complementary scholarships. Since 2008, the advanced human capital formation programme has been the executing agency for all postgraduate international scholarships under the BECAS CHILE programme. Attraction and Insertion of Advanced Human Capital Programme: Its purpose is to increase the scientific, technological and academic capabilities of Chilean institutions devoted to science and technology, by means of attracting international researchers and by inserting highly qualified professionals in academia and productive sectors. 15

17 Explora Programme: The purpose of EXPLORA is to contribute towards the creation of scientific and technological cultural awareness among the community, especially among children and school students through non formal education activities. In order to carry out its task, EXPLORA has a central team in Santiago, and a team of Regional Coordinators, whose mission is to generate an EXPLORA network within the regional community, with the active participation of institutions from the scientific, educational and cultural fields and the production area. This articulation allows linking the activities proposed by EXPLORA with the regional initiatives. In terms of innovation, through a variety of funding schemes, CORFO promotes technology innovation for companies, technological transference and dissemination, pre-competitive innovation, public-oriented innovation, and innovating entrepreneurship among others. In the past years, the country has set forth high-level initiatives, with diverse funding schemes, aimed at scientific and technological development and innovation. These intend to create an impact on productive sectors and knowledge by integrating the best capabilities of the country linking universities, technology centres, research groups and in some cases, enterprises. The Millennium Institutes and Millennium Nuclei are examples of the most outstanding ones. These are integrated by associate researchers and young researchers, and aim at developing cuttingedge research, training young researchers, and working with collaborative networks with foreign centres. These focus their projects towards the industrial sector, education, the public sector and society as a whole. Both Millennium Institutes and Millennium Nuclei are financed through the Millennium Scientific Initiative, a government entity which is part of the Ministry of Economy, Development and Tourism (and which was formerly part of the Ministry of Planning). Apart from being financed by the Millennium Scientific Initiative, Millennium Institutes also receive funds from the Innovation Fund for Competitiveness (FIC). These focus on areas such as molecular genetics and cell biology, glaciology and climatic change, biodiversity, biogeography and ecology of ecosystems, theoretical physics and biophysics, information and computing, land and sea ecosystems, neuroscience, development biology, mathematics and genetic engineering, physics of condensed matter, industrial processes optimization, seismology, vegetal biology, atomic and molecular physics, chemistry, quantum optics, microbiology, industrial electronics, among others. International experience shows that tax incentives are effective instruments for increasing the private sector s expense in research and development. Also, a strong relationship between the private sector and research centres is essential for orienting the capacities of research centres towards the satisfaction of companies needs. In Chile, the ties between these sectors are still weak. 16

18 In Chile, law n 20,241 of the 19 th of January 2008 regulates tax incentives for private investment in research and development. This law has the objective of increasing private investment in research and development and to strengthen the ties amongst universities or research centres and companies. It allows enterprises to obtain a tax credit equivalent to 35 per cent of the total payments of research and development contracts signed with Research Centres registered in the Research Centres Registry and certified by CORFO. This law will be in force until December 31, Chilean S&T priorities In order to assess whether the country s lines of interest in science, technology and innovation match the themes defined by the European Union for cooperation under FP7, the Chilean thematic priorities have to be defined. The Liaison Office at CONICYT prepared a document containing inputs from the Chilean National Contact Points for the Fifth Meeting of the Steering Committee of the S&T Cooperation Agreement between Chile and the European Union which took place in November Priority research themes for each of the specific FP7 areas resulted from this exercise and are presented below. ICT In Information and Communication Technologies, the NCP identified ICT for mobility, software development, and ICT for SMEs as priority areas for the country. The importance of open source was also highlighted. According to the state of the art report in ICT developed by the Liaison Office at CONICYT, the Chilean government has recently developed a plan aiming at converting Chile into a digital nation. A consortium of government agencies, academic institutions and firms from the private sector was formed to develop a vision for Chile. The Digital Agenda was introduced in February 2010 and the plan comprises 34 initiatives across 6 action areas, which include: access, e- government, education and training, ICT industries, businesses and legal and regulatory framework. Also, during the last 2-3 years, the Chilean government has started to promote ICT for a Low Carbon Economy which is one of the challenges presented in the thematic area of ICT of the FP7. Environment In terms of environment, the following lines of work were declared by the NCP as highly relevant for Chile: predicting changes in climate, ecological conditions, earth and ocean systems; tools and technologies for monitoring, prevention and mitigation of environmental pressures and risks including health risks; and sustainability of the natural and man-made environment. According to the state of the art report in this field, national priorities in this thematic area and specifically 17

19 relating to climate change include the development of a knowledge baseline sustained by integrated research and systematic observation of climate, capacity building, education, and awareness. Other top lines of interest relate to systematic and comprehensive assessments of ecological conditions and carrying capacity of Chilean freshwater ecosystems, and the understanding, protection and sustainable management of marine and coastal ecosystems. TransportIn the field of Transport, the NCP identified the Chilean priority areas as implementation of tools for planning, management and analysis of public transport in large cities, design of express services for surface transport, as well as pedestrian road safety, accident analysis and typology. Health Due to the increase in cardiovascular diseases, diabetes and obesity, the Health NCP acknowledged these as the top thematic lines of interest for the country in health. Cancer, agingrelated conditions, mental health, health care systems, tuberculosis and HIV complete the list of top health priorities for Chile. KBBE Regarding Knowledge Based Bio-Economy (KBBE), the NCP mentioned there is a strong emphasis on the areas of food, agriculture and biotechnology, both in terms of research and innovation. Research in this area and its internationalization are of great importance for Chile. Bioremediation was also identified as a relevant theme for the future for the country. During the presentation of the results of the NCP document at the Fifth Meeting of the Steering Committee of the S&T Cooperation Agreement between Chile and the European Union, the significant potential for Chile of research focused on marine algae for non-food use was discussed. It was concluded that this topic deserves more attention from both the KBBE and the renewable energy area. NMP The NCP for nanosciences, nanotechnologies, materials and new production technologies (NMP) noted that in Chile there are currently about 120 people conducting research in nanotechnology, and that 80% of them are performing research and applications in nanomaterials and related topics. Some of the relevant subjects for Chile in nanomaterials research are: biomaterials, carbon nanotubes, nanostructurated materials, semiconductive nanoparticles and nanomagnetism. Moreover, in the area of application, relevant issues are: environment (water treatment and bioremediation of soils), food processing and packaging, biomedical and solar energy conversion. Energy Referring to the energy thematic area, the NCP stressed the importance for Chile of having secure and environmentally friendly energy at competitive prices. According to the NCP, the Chilean Ministry of Energy stated the need to develop hydropower, energy efficiency and all available energy sources. It set the goal to achieve a matrix with 20% of non-conventional renewable energy 18

20 sources by 2020, a 20% reduction in emissions, and the training of human capital in this field. More specific energy related priorities identified by the NCP include non conventional gas (coalbed gas and methane hydrates among others), adaptation of renewable energy technologies (geothermal, solar, tidal, small hydro powers, and hybrid electric systems), wood for heat (species, certification, residential equipment, technology transfer, and development of the wood market), energy storage, biogas and second generation biofuels and energy efficiency. Although controversial, new sources such as nuclear energy must also be explored. Space In the field of Space, the NCP emphasized the importance of continuing developing research as it contributes to other fields of interest to the country. However, research in the Space area has been limited so far due to the small size of the Chilean astronomy researcher community. The recent decision of installing the E-ELT telescope in the country is crucial in the formation of human capital in the field of astronomy. SSHIn Chile there is a critical mass of researchers with a high degree of internationalization through national grants for studying abroad in the thematic area of Socio-economic Sciences and Humanities (SSH). However, this has not translated into greater participation in the FP7 SSH area, since there is only one Chilean project in the area. 19

21 4. Mapping of current S&T cooperation between Europe and Chile: description of existing bilateral agreements and participation in FP6 and FP7 4.1 Bilateral agreements between European countries and Chile Chile is currently implementing three multilateral cooperation agreements in science and technology, as well as fourteen bilateral agreements with European countries Multilateral agreements Countries Scheme Funded activity and thematic area Argentina Brazil France Peru Uruguay Ibero America STIC-Amsud MATH-Amsud Programa Iberoamericano de Ciencia y Tecnología para el Desarrollo (CYTED) Researcher mobility and joint research projects Area: Information and Communication Technologies Researcher mobility and joint research projects Area: Mathematics Joint research projects Area: Food/agriculture, health, industrial development, sustainable development, ICT, social sciences and energy. Calls and beneficiaries: Cooperation scheme Number of calls ( ) Number of Chilean beneficiaries ( ) Multilateral CYTED STIC-Amsud 4 21 MATH-Amsud (since 2007) 2 6 From the number of calls and the beneficiaries, it becomes clear that the multilateral agreements are of great importance to Chile. The three agreements Chile participates in are: 20

22 1. Programa Iberoamericano de Ciencia y Tecnología para el Desarrollo (CYTED) The CYTED programme is a multilateral and horizontal science and technology cooperation programme originated in an International Framework Agreement signed in 1984 between 19 Latin American countries, Spain and Portugal. The programme therefore encompasses the whole Latin American region. Its main objective is to promote cooperation in Research and Innovation for the development of Latin America. The programme encompasses seven thematic areas: Food/agriculture, health, industrial development, sustainable development, ICT, social sciences and energy. CYTED gathers a series of instruments to promote joint research and technological development throughout the Ibero-American region, including thematic networks, coordination activities, consortium research projects and innovation projects under the IBEROEKA scheme. To date, CYTED has financed 191 thematic networks in Latin America, 193 coordination activities, 3 consortium research projects and 614 IBEROEKA projects, involving the participation of over Latin American scientists yearly. Chile has coordinated 24 CYTED projects since the beginning of the programme. During the last five annual calls ( ), 131 Chilean researchers has benefitted by joint research projects funded by CYTED. Thereby, CYTED is the programme with most Chilean beneficiaries in the last five years. The programme is financed mainly by the Spanish government, with a commitment to finance at least 50 per cent of the overall budget. The contribution of other countries depend on socioeconomic conditions and other factors related to scientific research and technological development, however, Mexico, Brazil and Portugal are among the countries with largest amounts of contribution to the programme. 2. Science et Technologie de l'information et de la Communication en Amérique du Sud (STIC- AmSud) STIC-AmSud is a science and technology cooperation programme originated in a constitutional agreement signed in 2005 between France and the six countries of the Southern Cone: Argentina, Brazil, Chile, Paraguay, Peru and Uruguay. The aim of the programme is to promote and strengthen the regional capacities in South America and the cooperation with France. The programme is limited to the field of Information and Communication Technologies (ICT) and operates on the basis of periodic open calls for proposals, which sponsor regional research and development projects. The projects have a maximum 21

23 extension of two years and should include at least two countries of the South American region and at least one French organization. In the period , four calls have been launched, with a total of 21 Chilean beneficiaries. 3. Mathématiques en Amérique du Sud (Math-AmSud) The regional programme Math-AmSud was launched in 2007 and has a structure similar to STIC- AmSud. The agreement was signed between France and Argentina, Brazil, Chile, Paraguay, Peru and Uruguay. Math-AmSud is oriented towards joint research projects in the field of mathematics, with the aim of supporting basic and applied research with a dimension of technology transfer and innovation, as well as a regional component. The projects finance exchange of researchers and students both between the South American partner countries and between South America and France. In the two calls that were launched since the beginning of the programme ( ), six Chilean researchers have benefitted from Math-AmSud Bilateral agreements Country Counterpart Call and thematic area BMBF Researcher mobility and joint research projects Areas: Biotechnology, ICT, Environment Germany DAAD DFG DAAD Researcher mobility and joint research projects Areas: Biotechnology, ICT, Environment, Geology, Nanotechnology and Materials, Astronomy Researcher mobility and joint research projects Areas: Biotechnology, ICT, fisheries and aquaculture, genomics, biodiversity, geology Scholarships Areas: All thematic fields 22

24 ECOS Researcher mobility and joint research projects Areas: Life sciences, Biology, Mathematics, Social science, Health, Earth science and Astronomy INRIA Researcher mobility and joint research projects Areas: ICT, mathematics INSERM Researcher mobility and joint research projects Areas: Health CNRS Researcher mobility and joint research projects Areas: All thematic fields INRIA Scholarships France Belgium Finland CNRS French Embassy ANR IRD Region of Wallonia Academy of Finland Areas: All thematic fields Scholarships Areas: All thematic fields Scholarships Areas: All thematic fields Researcher mobility and joint research projects Areas: ICT, Engineering, Physics, Mathematics, Food and Agriculture, Earth Science Researcher mobility and joint research projects Areas: Earth, Ocean and Atmospheric Science, Social Sciences and Environmental Science. Scholarships Areas: All thematic fields Researcher mobility and joint research projects Areas: Renewable energy, education 23

25 The number of calls and beneficiaries are listed below: Cooperation scheme Number of calls ( ) Number of Chilean beneficiaries ( ) France CNRS 5 50 INRIA 5 21 ECOS 5 91 INRIA Scholarships 3 - CNRS Scholarships 1 - French Embassy Scholarships - - IRD 5 5 INSERM 3 7 ANR - - Germany BMBF 4 40 DFG 4 27 DAAD Scholarships 2 21 DAAD 4 20 Spain CSIC 3 33 Belgium Region of Wallonia - - Finland Academy of Finland 2 8 Multilateral TOTAL Regarding the bilateral agreements, Chile has fifteen active bilateral agreements, representing five countries: Belgium, France, Germany, Finland and Spain. The French bilateral cooperation represents more than 50 per cent (nine agreements) of the total of agreements, followed by Germany (four agreements), Finland (one agreement) and Belgium (one agreement). The agreements are all implemented by CONICYT. 24

26 The agreements have a very broad thematic scope and apply a bottom-up approach. The funded activities are scholarships, researcher mobility and joint research projects. Regarding the impact of the bilateral cooperation, during the last five years 481 Chilean researchers have benefitted from the bilateral agreements signed by Chile. Regarding the bilateral agreements that fund scholarships (PhD grants, master s degrees and training), information on the total number of beneficiaries is currently lacking. The five bilateral agreements with France from which information has been obtained have the largest number of beneficiaries, counting 174 researchers. The four German agreements have funded a total number of 108 researchers in the last five years, while the Spanish and Finnish agreements have 33 and 8 beneficiaries, respectively. The bilateral agreements that fund scholarships were active until 2008, when Chile reorganized the scholarships under the Becas Chile programme, which is funded entirely by the Chilean government. The scholarships under the DAAD nevertheless maintain the co-funding scheme. 4.2 Chilean participation in the Sixth Framework Programme 70 Chilean institutions participated in the Sixth Framework Programme ( ), which constituted an important increase in the participation compared to previous Framework Programmes (30 participants in FP4 and 23 participants in FP5). The number of projects by thematic area in FP6 is shown in the figure: 25

27 There is a clear emphasis on projects under the theme International Cooperation, with 22 Chilean participants. Together with the specific SME activities and research for policy support, 31 Chilean organizations participated in projects under the activity area Cross cutting research activities. Regarding the thematic areas, sustainable development, global change and ecosystems, with thirteen participants, and food quality and safety, with eleven participants, are the most frequent areas. In total, 31 Chilean organizations were partner in projects funded under the thematic areas of FP6. Regarding the thematic areas, the Chilean participants did not register projects in Aeronautics and Space, Nanotechnologies and Citizens and Governance. Six organizations participated in research infrastructures and two in science and society under the Structuring the ERA programme. Finally, two Chilean participants implemented projects under the New and emerging Science and Technology (NEST) activity. In comparison with the information published in the FP6 Final Review: Subscription, Implementation, Participation by the Research Directorate General of the European Commission in June 2008, the Chilean participation in FP6 is generally differing from the global tendency. 26

28 Percentagewise, the Chilean participation is much higher in International Cooperation, Food and Research Infrastructures when comparing with the general tendency observed in FP6. On the other hand, the areas of Information Society, Life Sciences and SMEs are underrepresented in terms of Chilean participation. Regarding the type of Chilean organizations that participated in FP6, it becomes clear that there is a clear emphasis on universities and research organizations. 27

29 43 of the 70 participants in the Sixth Framework Programme are universities or research entities, which depends directly on a university. Furthermore, it is noteworthy that all of the participating universities are members of the Council of Rectors of Chilean Universities (CRUCH). Universidad de Chile is the lead participant with fourteen projects, followed by Universidad de Concepción with ten and Pontificia Universidad Católica de Chile with seven projects. The grouping other universities includes universities with one to three projects in FP6, such as Universidad de Talca, Pontificia Universidad Católica de Valparaíso, Universidad Católica del Norte, Universidad de Antofagasta, Universidad Arturo Prat, Universidad de Santiago and Universidad Austral. Five participants in 6PM are private entities, constituting seven per cent of the total number of participants. Another five participants are public entities from the S&T sector (two projects), environmental sector, the Armed Forces, as well as forestry sector (one project each). Finally, Fundación Chile has been highlighted because of the important number of FP6 projects this private research entity participated in; however, the category other also includes private foundations, nongovernmental organizations and associations. 28

30 4.3 Success rate of the Chilean participation in FP6 The success rate of the Chilean participants in FP6 is overall 17.8 per cent (70 participants with mainlisted projects among 393 applicants). When differentiating the success rate of the programmes, the findings are rather diverse: - Thematic areas: 16.9 per cent (32 participants with mainlisted projects among 189 applicants) - International Cooperation: 16.3 per cent (22 participants with mainlisted projects among 135 proposers) - New and Emerging Science and Technology (NEST): 66.7 per cent (2 participants with mainlisted projects among 3 proposers) - Research for Policy Support: 42.7 per cent (3 participants with mainlisted projects among 7 applicants) - Research Infrastructures: 120 per cent (6 participants with mainlisted projects but only 5 applicants) - Science and Society: 22.2 per cent (2 participants with mainlisted projects among 9 applicants) - Specific SME activities: 75 per cent (3 participants with mainlisted projects among 4 proposers) The activities Human resources and mobility and Research and innovation did not have any successful applicants. 4.4 Chilean participation in the Seventh Framework Programme 74 Chilean entities have participated in the Seventh Framework Programme in the period from January 2007 to October Taking into account that FP6 were implemented over five years and that the information on the Chilean participation in FP7 covers a four and a half year period, the level of participation in the last two Framework Programmes is similar. The following figure shows the Chilean participation in the different specific programmes of FP7. 29