Horizon 2020 & EU-China Co-funding Mechanism Booklet

Guideline for Chinese Researchers

Second Edition

January 2018

Horizon 2020 & EU-China Co-funding Mechanism Booklet

Guideline for Chinese Researchers
Table of Contents

1 Horizon 2020: the EU Research and Innovation Framework Programme .... 2

2 International cooperation and great advantages to gain for Chinese
researchers ....................................................................................................... 4
2.1 International cooperation ......................................................................... 4
2.2 A programme welcoming Chinese partners: Great advantages to gain . 4
rd
2.3 EU-China Summit: 3 Innovation Cooperation Dialogue ........................ 5
2.4 New work programme 2018-2020 ........................................................... 6
3 Understand the procedure of Horizon 2020 ................................................. 14
4 EU-China Co-Funding Mechanism for Horizon 2020 .................................. 17
4.1 What is EU-China Co-Funding Mechanism for Horizon 2020 ............... 17
4.2 How to Apply for the Co-Funding Mechanism ....................................... 18
5 Other Co-funding for Chinese researchers .................................................. 19
6 Frequently Asked Questions – Horizon 2020 .............................................. 20
7 Frequently Asked Questions - EU-China Co-funding Mechanism ............... 25
Annexes .......................................................................................................... 28
About DragonStar Plus ................................................................................ 28
About Euraxess ........................................................................................... 28
Horizon 2020 National Contact Point (NCP) in China ................................. 29
References and Useful Links....................................................................... 30
Template – Basic information of Proposal (CFM) ....................................... 35
Template for Proposal (CFM) ...................................................................... 36
Preface

The European Union (EU) is one of the global leaders in Research, Innovation and
Science. In 2014 the EU announced the Horizon 2020 Programme - the biggest EU
Research and Innovation programme with nearly 80 billion EUR (i.e. about 650
billion RMB) of funding available over 7 years (2014-2020). Horizon 2020 is open
to broad international cooperation and especially encourages Chinese Research
and Innovation communities to be actively involved and to participate widely in
this new programme.
China is one of the EU’s key international partners in research and innovation.
The first EU-China Science and Technology (S&T) Cooperation Agreement was
signed in 1998 providing a political, legal and administrative framework for
coordinating and facilitating cooperative S&T activities between European legal
entities and international partners. Today, the Sino-European cooperation shows
growing dynamism. China and the EU cooperate in multilateral programmes and
projects involving many countries which are often designed to tackle major global
scientific challenges.
Moreover, the EU and Chinese Ministry of Science and Technology (MoST)
announced the EU-China Co-Funding Mechanism (CFM) for the Horizon 2020 in
2016. Under this scheme, 200 million RMB (28 million EUR) was made available
annually by MoST for China-based researchers and companies to participate in
EU Horizon 2020 programme. The CFM will continue for 2018-2020 period after
an agreement signed by the EU and MoST at the 3rd EU-China Innovation
Cooperation Dialogue in June 2017 (ICD-3) in Brussels. On the European side, the
European Commission (EC) planned to provide over 100 million Euros per year for
a total of 24 new topics to fund European entities in joint projects with Chinese
participants in the Horizon 2020 work programme for 2018-2020. Among these
topics, 11 are directly linked to the joint flagship initiatives agreed during the 3rd
EU-China Innovation Cooperation Dialogue.
This booklet (Second Edition) provides practical
guidance to Chinese researchers in order to explore the
manifold opportunities provided by the new EU
Framework Programme for Research and Innovation -
Horizon 2020.

Epaminondas Christofilopoulos
Coordinator, DragonStar Plus

1
1 Horizon 2020: the EU Research and Innovation Framework Programme

Horizon 2020 is the biggest EU Research and Innovation programme that

replaces the Seventh Framework Programme for Research (FP7, 2007 – 2013). It
will run from 2014 to 2020 with a budget of nearly 80 billion EUR and lead to
more breakthroughs, discoveries and world-firsts by taking great ideas from the
lab to the market.

Horizon 2020 has been designed to deliver results that make a difference in
people’s lives. Built on three pillars/priorities– Excellent Science, Industrial
Leadership and Societal Challenges – it will fund all types of activities, from
frontier science to demonstration projects and close-to-market innovations.

Horizon 2020 brings all EU-level funding for Research and Innovation under one
umbrella, providing a single set of simplified rules and radically slashes red tape.
The overarching goal is to establish a more coherent and simpler programme
that is easier to participate, especially for academia, research organisations and
small- and medium-sized enterprises and businesses, from both European and
non-European countries.

The development of S&T cooperation between the EU and China is best reflected
in the growing numbers of participation of Chinese partners in cooperative
research projects funded by the EC’s 5th, 6th and the 7th Framework Programmes
(FP5, FP6, and FP7). China was the third largest non-European participating
country in FP7, after Russia and the US, with participation focusing on a variety
of sectors, including: Health, Environment, Transport, ICT, Food, Agriculture,
Fisheries and Biotechnology, Energy, and mobility of researchers.

Horizon 2020, like its predecessor FP7, is fully open to international participation
in all fields and areas. Chinese researchers, enterprises, research institutions and
universities will be able to team up with their European partners to participate in
projects under Horizon 2020 and make best use of Europe's excellent
opportunities in research and innovation. Through participation in Horizon 2020,
Chinese researchers can gain great benefits from access to excellent knowledge,

2
research data and connection to world-leading scientific networks and research
teams.

Until October 2017 Chinese entities have participated 255 times including 117
signed grants of collaborative, MSCA (Marie Skłodowska-Curie Actions) and ERC
actions in Horizon 2020, receiving 3.0 million euros of direct EU contribution
while 26.7 million euros is the non-EU budget of Chinese beneficiaries. Within
other actions that excluded projects under ERC, MSCA, SME Instrument and
Access to Risk Finance) of Horizon 2020, Chinese applicants are involved 795
times including 55 signed grants, receiving 2.9 million euros from EU while 26.7
million euros is the non-EU budget of Chinese beneficiaries.

3
2 International cooperation and great advantages to gain for Chinese
researchers

Horizon 2020 is open to the World. This means that participants from all over the
world, regardless of their place of establishment or residence, can participate in
most of the calls of Horizon 2020. In many cases, the EU will fund at least partly
the participation of international partners. International cooperation is a cross-
cutting priority of Horizon 2020 following the EU's strategy for international
cooperation in research and innovation.

2.1 International cooperation

The international participation is a key element of Horizon 2020. Horizon 2020,

like its predecessor FP7, is fully open to participants from all countries in the
world, including China. Specific targeted international cooperation activities are
included in all sections of Horizon 2020, such as “Societal Challenges”, “Enabling
and Industrial Technologies” and others. Applicants from non-EU countries (or
"third country") are always free to take part in Horizon 2020 programmes even if
the calls for proposals or topic texts do not state this explicitly. Non-EU countries
or third countries means any country or territory that is not one of the following:
an EU country, or an overseas country or territory linked to an EU country. Some
calls require a consortium to include participants based in specific non-EU
countries in order to be eligible. If so, this requirement (and the countries
concerned) will be specified in the applicable call for proposals and topic
description.

2.2 A programme welcoming Chinese partners: Great advantages to gain

In Horizon 2020, the EU has upgraded the status of emerging economies (BRIC
countries) including China, considering that they have established the critical
mass needed to cooperate with the EU on an equal foot. This means that within
the general openness of Horizon 2020, Chinese participants will now have to
provide their own funding, and only in exceptional cases will receive funding
from the EU. However, Chinese participants will be in a position to respond to

4
calls also as Principal Coordinator (leader) rather than, as it was in the past, only
as “participant”.
Chinese participation is welcomed in all Calls for Proposals of Horizon 2020. In
the 2016/2017 calls, the topics targeted cooperation with China in areas
including Food, Agriculture and Biotechnology, Water, Sustainable Urbanisation,
ICT, Space, Aviation, Energy, Health, Transport and Advanced Manufacturing. In
the 2018/2020 calls, there are 12 topics within the five EU-China STI Flagship
Areas (more information in later sections) as well as other interesting topics in
Energy, ICT, Climate, Health, Space, etc.

China has become one of the EU's key international partners in research and
innovation through the previous Framework Programme, FP7. For Horizon 2020,
the EU alongside the Chinese government, set up a Co-funding Mechanism (CFM),
available to support Chinese participants in their involvement in Horizon 2020
projects – more details can be found in Section 4 of this Booklet.

Overall, the international cooperation strategy of Horizon 2020 offers China a

more active and balanced approach for cooperation focusing on mutual interest
and common benefit.

2.3 EU-China Summit: 3rd Innovation Cooperation Dialogue

On June 2nd 2017, the 3rd EU-China Summit was held in Brussels and co-chaired
by Carlos Moedas, Commissioner for Research, Science and Innovation of the EC,
and Wan Gang, China’s Minister of Science and Technology.

More than 60 delegates from Europe and China, including senior representatives
of government departments and scientific research institutions, and experts in
the field of innovation, attended the meeting. Chinese Premier Li Keqiang and
President of the European Commission Jean-Claude Juncker met with the key
representatives attending the dialogue.

At the Summit, the Co-funding Mechanism for the period 2018-2020 (see link)
was renewed between the two parties to support collaborative research and
innovation projects under joint flagship Initiatives and other areas. During the

5
dialogue, the two sides exchanged their latest technological innovation policies,
shared good practices of EU-China innovation cooperation, and had an in-depth
exchange of views on issues such as scientific and technological innovation,
reform of the science and technology system, framework conditions of
innovation cooperation, IPR protection and flagship initiatives on research and
innovation cooperation. Both have also agreed on the principle of reciprocity
with regard to access to STI resources.

New flagship initiatives have been announced on the following topics:

 Food, agriculture, and biotechnologies

 Environment and Sustainable Urbanisation

 Surface Transport

 Safer and Greener aviation

 Biotechnologies for Environment and Human Health

These flagship initiatives were then translated into funding opportunities within
the 2018-2020 Work Programme, which were announced in October 2017.

2.4 New work programme 2018-2020

On the basis of the strategic programming process, including a broad

consultation of stakeholders, and the Horizon 2020 Specific Programme, key
priorities for 2018-2020 have been identified. In alignment with the
Commission’s agenda, the Work Programme for 2018- 2020 will contribute to
the Jobs, Growth and Investment Package helping to strengthen Europe’s global
competitiveness, create new and sustainable jobs and promote growth.

The work programme 2018-2020 has been announced on October 27th 2017. The
European Commission, represented by Philippe Vialatte, Acting Head of Unit of
Research and Innovation, Laurent Bochereau, Minister Counsellor, Head of
Science, Technology and Environment Section, EU Delegation to China and

6
Mongolia and Diego Sammaritano, Policy Officer of Research and Innovation
Cooperation with China, presented Horizon 2020 cooperation opportunities with
China in Beijing.

The five tables below regarding the five EU-China STI Flagship Areas (including 11
topics) present the opportunities for cooperation under the work programme
2018-2020, which might be of special interest to Chinese researchers and
institutions and will be co-funded by the MoST, the Ministry of Industry and
Information Technology (MIIT) and the National Natural Science Foundation of
China (NSFC).

1. Food, Agriculture and Biotechnologies (FAB)

Total European
Topic Title Deadline 1 Deadline 2
Funding
SFS-37-2019: Integrated
approaches to food safety 23 January 4 September
8,000,000 EUR
controls across the agri- 2019 2019
food chain
SFS-38-2018: Highly
11
efficient management of 13 February
September 5,000,000 EUR
soil quality and land 2018
2018
resources
CE-SFS-39-2019: High- 5,000,000
23 January
quality organic fertilisers N/A
2019 EUR
from biogas digestate
SFS-40-2020 - Healthy soils
for healthy food 2020 2020 N/A
production

2. Environment and Sustainable Urbanisation

Total European
Topic Title Deadline 1 Deadline 2
Funding

7
 SC5-13-2018-2019:
Strengthening international
cooperation on sustainable
urbanisation: nature-based
solutions for restoration and 27 February 4 September
10,000,000 EUR
rehabilitation of urban 2018 2018
ecosystems.
a) Strengthening EU-China
collaboration (2018)
SC5-25-2020: Strengthening
EU-China cooperation on
sustainable urbanisation:
Enhanced natural treatment 2020 2020 N/A
solutions for water security
and ecological quality of
water in cities

3. Surface Transport

Total European
Topic Title Deadline 1 Deadline 2
Funding
LC-MG-1-1-2018: InCo
flagship on reduction of
transport impact on air 19 30,000,000
quality 30 January
September
2018 EUR
C) Sensing and monitoring 2018
emission in urban road
transportation system

4. Safer and Greener aviation

Total European
Topic Title Deadline 1 Deadline 2
Funding
LC-MG-1-6-2019: Aviation 24 April 2019 N/A 10,000,000

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 operations impact on EUR
climate change
C) Propose and evaluate
mitigation strategies
towards greener flight
trajectories (ensuring
complementarities with
SESAR JU activities.
D) Propose and evaluate
mitigation strategies based
on changes in the use of
alternative fuels.

5. Biotechnologies for Environment and Human Health

Total European
Topic Title Deadline 1 Deadline 2
Funding
CE-BIOTEC-04-2018: New 10,000,000
biotechnologies for 25 April 2018 N/A
environmental remediation EUR
CE-BIOTEC-05-2019:
Microorganism 10,000,000
24 April 2019 N/A
communities for plastics EUR
bio-degradation (RIA)
NMBP-21-2020: Custom-
made biological scaffolds
for specific tissue 2020 2020 N/A
regeneration and repair
(RIA)

In addition, there are 16 topics within Horizon 2020 work programme 2018-2020
specific targeting China below:

Topic Title Deadline1 Deadline 2

9
 Energy
CE-SC3-NZE-2-2018 Conversion of N/A
6 September 2018
captured CO2
LC-SC3-NZE-5-2019-2020 Low carbon N/A
27 August 2019
industrial production using CCUS
ICT
ICT-22-2018 EU-China 5G
N/A 31 January 2018
Collaboration
Climate
H2020-LC-CLA-2018-2019-2020 The
19 February
changing cryosphere: uncertainties, 4 September 2019
2019
risks and opportunities
Health
SC1-HCO-11-2018: Strategic
collaboration in health research and N/A 18 April 2018
innovation between EU and China
SC1-HCO-01-2018-2019-2020:
Actions in support of the
N/A 18 April 2018
International Consortium for
Personalised Medicine
SC1-HCC-03-2018: Support to further
development of international
N/A 24 April 2018
cooperation in digital transformation
of health and care
Space
SU-SPACE-22-SEC-2019 Space
N/A 12 March 2019
Weather
Research Infrastructures
INFRAIA-01-2018-2019 Integrating
22 March 2018 20 March 2019
Activities for Advanced Communities

10
 Other Biotechnologies
NMBP-13-2018 Risk Governance of
23 January 2018 N/A
nanotechnology (RIA)
NMBP-14-2018 Nanoinformatics:
from materials models to predictive 23 January 2018 N/A
toxicology and ecotoxicology (RIA)
NMBP-15-2019 Safe by design, from
science to regulation: metrics and 22 January 2019 N/A
main sectors (RIA)
Other transport
LC-GV-05-2019: InCo flagship on
“Urban mobility and sustainable
electrification in large urban areas in N/A 24 April 2019
developing and emerging
economies”
LC-MG-1-3-2018: Harnessing and
understanding the impacts of
19 September
changes in urban mobility on policy 30 January 2018
2018
making by city-led innovation for
sustainable urban mobility.
LC-MG-1-1-2018: InCo flagship on
reduction of transport impact on air
19 September
quality A) Low-emission oriented 30 January 2018
2018
driving, management and assistance
(China, CELAC)
MG-2-9-2019: Integrated
multimodal, low-emission freight 12 September
16 January 2019
transport systems and logistics (Inco 2019
Flagship)

These topics are intended to promote balanced and substantial cooperation

between European and Chinese partners. China based participants in projects

11
selected under Horizon 2020 are invited to apply for co-funding from MoST, or
MIIT or NSFC.

The link below provides more information about the Work Programme 2018-
2020 and all the calls for funding that target specifically cooperation with China.

https://ec.europa.eu/programmes/horizon2020/en/what-work-programme

Other areas eligible for EU-China Co-Funding Mechanism

In addition to the opportunities mentioned above, the EU-China cooperation is

also encouraged within topics linked to MoST’s priority areas which are outlined
below:

1. New-generation information networks - 5G communication technology,

optical communication technology, CPU technology, Internet-of-things
technology, virtual reality technology, quantum communication and
quantum computing and big data technology.

2. Intelligent and green manufacturing - High-end numerical control machine

and intelligent robotics, electric power equipment, next generation semi-
conductor, additive manufacturing, new energy equipment, micro-nano
manufacturing and gas turbine.

3. Safe, clean and efficient modern energy - Clean coal utilisation technology,
marine wind power technology, smart grid technology, hydrogen fuel cell
technology, nuclear energy utilisation and nuclear decommissioning
technology.

4. Advanced effective, safe and convenient health - Bio-pharmaceuticals,

precision medicine, high performance medical devices, prevention and
treatment of major infectious diseases, antibiotic resistance, regenerative
medicine, medical big data, medical robots, aging services technology and
traditional Chinese medicines.

5. Marine equipment - Marine engineering equipment and high-tech ships,

deep sea oil and gas, natural gas hydrate, deep sea operation.

12
6. Space - Space equipment, space science and technology, satellite application
technology (small satellite and load technology) and remote sensing (deep-
space exploration, satellite imaging, atmospheric observation, lunar-based
observation).

7. New materials - Graphene technology, nanomaterials, high performance

structure and composite materials, advanced semi-conductor materials,
advanced light alloy materials, advanced functional and intelligent materials
and catalytic materials.

8. Large science facilities research – research on large scientific facilities.

9. Public security - Disaster warning and treatment, food and drug safety
inspection.

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3 Understand the procedure of Horizon 2020

To apply to Horizon 2020 calls, the eligible person or organisation must be an

individual or organisation/institution constituted under the national law of the
country where the person or organisation is based, and has the financial capacity
to carry out the research tasks set out in the proposal submitted.

Step 1 - Find a suitable Call for Proposals

The EC publishes these online, on the so called “Participant Portal”. All the Calls
of the Horizon 2020 are available in this portal
(https://ec.europa.eu/research/participants/portal/desktop/en/opportunities/h2
020/search/search_topics.html) and the applicant can search for calls from
previous programmes as well (FP7 and CIP). In addition, the applicant can find
information about some extra calls in the Other Funding Opportunities section
(https://ec.europa.eu/research/participants/portal/desktop/en/opportunities/ot
her/index.html) which provides an overview of funding opportunities by funding
bodies other than the Commission and its Executive Agencies. From the
Participant Portal, it is also possible to search the most appropriate calls
according to key words and set filters in the calls list. This makes the search much
easier and way more automatic.

The National Contact Point is the main structure to provide guidance, practical
information and assistance on all aspects of participation in Horizon 2020 and can
also help the applicant to find the most suitable call. For China, the National
Contact Point is China-EU Science and Technology Cooperation Promotion Office
(CECO, http://www.cstec.org.cn/ceco/index.aspx).

Step 2 - Find project partners

Most of the EU funded projects are collaborative projects with at least three
organisations from different EU Member States or Associated countries. Horizon
2020 also aims to enhance EU international research cooperation so there are

14
more opportunities for cooperation with and participation by researchers from
non-EU countries, especially China.

Through the Participant Portal it is also possible to look for EU or non-EU

partners: various partner search services can help the applicant to find
organisations that would like to participate in the proposals.

Also for this, it is possible to rely on the National Contact Point (NCP).

Step 3 - Create an account on the portal

If the applicant already has a Participant Portal account or so-called ECAS

account, then he or she can use it for any future submissions. The applicant only
needs one account for any of the Participant Portal secured services.

If the applicant does not have an account yet, he or she needs to create it in the
website by clicking on the “REGISTER” option on the top menu on the right.

Step 4 - Register the organisation

Check first on the Organisation Register page if the organisation is already

registered
(http://ec.europa.eu/research/participants/portal/desktop/en/organisations/regi
ster.html). Only if the applicant does not find its organisation there, the applicant
should start its registration by clicking on the “Register Organisation” button.

If the applicant wants to participate in a project proposal, the organisation needs

to be registered and have a 9-digit Participant Identification Code (PIC) that is the
unique identifier of the organisation and will be used as a reference by the EC in
any future interactions.

Step 5 - Submit the proposal through the “Participant Portal”

Once the applicant has found the right call and the right partners, the applicant
must submit a proposal before the deadline. The Participant Portal has clear

15
instructions to guide the applicant through the process. The system is simpler
than ever – no more paper! All proposals are submitted online.

Step 6 - Evaluation by experts

Once the deadline has passed, all proposals are evaluated by a panel of
independent specialists in their fields. The panel checks each proposal against a
list of criteria to see if it should receive funding.

Step 7 - Grant agreement

Once a proposal passes the evaluation stage (five months’ duration), applicants
are informed about the outcome. The EC then draws up a Grant Agreement with
each participant. The Grant Agreement confirms what research and innovation
activities will be undertaken, the project duration, budget, rates and costs, the
EC's contribution, all rights and obligations and more. The time limit for signing
the Grant Agreements is generally three months.

16
4 EU-China Co-Funding Mechanism for Horizon 2020

4.1 What is EU-China Co-Funding Mechanism for Horizon 2020

While Chinese participants are no longer automatically funded through Horizon

2020, the Chinese Government and the EU agreed to set up a Co-Funding
Mechanism on research and innovation to support joint projects between
European and Chinese universities, research institutions and companies.

Further to the political agreement reached at the 2nd EU-China Innovation

Cooperation Dialogue and the Summit of 29th June 2015 and the conclusions of
the EU-China Joint Steering Committee on S&T Cooperation of 30th October 2015,
the Chinese Ministry of Science and Technology (MoST) has announced the first
call for proposals under the EU-China Co-Funding Mechanisms (CFM) for
Research and Innovation.

Since its launch in 2015, the CFM has played a significant role in supporting
bilateral win-win STI cooperation between China and EU. MoST has published the
first CFM call on December 16th 2015 and the 1st round of evaluation of the
proposals was completed in January 2017. By the end of 2017, in total there are
25 projects supported by CFM and 82 Chinese participating organisations.

For the period 2018-2020, EC and MoST has agreed to renew the CFM to further
promote the cooperation between the two parties. The CFM will continue to
pave the way for deepened cooperation between European and Chinese
research and innovation stakeholders by promoting a stronger and more
balanced Chinese participation in the Horizon 2020 topics targeting cooperation
with China.

Within the CFM, an annual budget of up to 200 million RMB (around 28 million
EUR) will be made available by the MoST to China-based entities that will
participate in joint projects with European partners under Horizon 2020 for the
period 2018-2020. The EC intends to reserve a budget of up to 100 Million Euro
in Horizon 2020 calls targeting cooperation with China for the benefit of Europe-

17
based entities under H2020 joint projects that cooperate with Chinese
participants.

The CFM will be primarily used for Horizon 2020 topics targeting China but it will
also be open to many other areas of Horizon 2020.

4.2 How to Apply for the Co-Funding Mechanism

On behalf of MoST, the China Science and Technology Exchange Centre (CSTEC,
http://www.cstec.org.cn) manages the CFM operation (application, evaluation,
grant, etc.).

In principle, all Chinese legal organisations are eligible to apply for the co-funding
from CSTEC. But before submitting an application to CSTEC, the Horizon 2020
project that a Chinese organisation is involved should be already approved by the
EC. In other words, a Grant Agreement of Horizon 2020 with the EC is necessary
for the Chinese organisations to submit an application for the co-funding.

All the Chinese organisations involved in the same Horizon 2020 project
(approved) consortium should work together as a team (the applicant) to submit
the application to CSTEC. The applicant should submit two documents: Basic
information of the Proposal and the Proposal in Chinese (template in Annex)
through the S&T management information system of MoST
(http://program.most.gov.cn). CSTEC will review the two documents and invite
qualified applicants for an oral defense evaluated by an external group of experts
from the same sector (normally 15 minutes of presentation and 10 minutes for
Q&A).

The applicant should prepare a presentation including the key topics below:

- proposal concept
- contexts
- added-value of international cooperation
- objective
- technical roadmap

18
- tasks distribution and timeframe
- human resource of project team
- expected outputs and impacts
- risk analysis
- budget

CSTEC will evaluate and select the proposals for funding based on a number of
criteria pre-defined. The evaluation process will last for around 5 months and
then the results will be announced. As this is a new co-funding mechanism
between EU and China, the application and evaluation procedure may change in
the future. In any case, it is strongly encouraged for the applicant to consult
CSTEC before preparing the application.

5 Other Co-funding for Chinese researchers

At researchers' level, in order to promote the mobility of researchers between

the EU and China, the European Research Council (ERC) and the National Natural
Science Foundation of China (NSFC) agreed on the Implementing Arrangement in
June 2015 to stimulate excellence-based, bottom-up collaboration in frontier
research by facilitating that high-caliber Chinese researchers come to Europe to
join ERC-funded research teams. The scheme is targeted the Chinese researchers
who are active holders of the competitive grants of NSFC. Selected researchers
will be incorporated in the research teams of the European Principal
Investigators who are already supported through the ERC grants and who have
expressed an interest in hosting Chinese researchers in their research teams.

On June 2nd 2017, the JRC and the Chinese Academy of Sciences (CAS) signed a
Research Framework Arrangement, with research focus in the following areas:
air quality, renewable energy, climate, environmental protection, digital
economy, regional innovation policy, smart specialisation and support to
evidence informed policies. The CAS also launched a special CAS-EU Partner
Programme. The programme will provide funding to CAS institutes and other CAS
entities that are partners of an approved Horizon 2020 project.

19
Potential Chinese participants are encouraged to contact relevant Chinese
organisations to seek support for their participation in Horizon 2020.

6 Frequently Asked Questions – Horizon 2020

Q: What H2020 has changed from the 7th Framework Programme?

A: The new Common Strategic Programme for Research and Innovation

combines three different instruments of the last period 2007-2013: the 7th
Framework Programme (FP7), the Competitiveness and Innovation Framework
Programme (CIP) and the European Institute of Innovation and Technology (EIT).
Horizon 2020 aims to cover the full value chain, from frontier research, to
technological development, demonstration, valorisation of results and
innovation.

Q: How do I register?

A: Before being able to sign a grant agreement, you must register via the
beneficiary registration tool

(http://ec.europa.eu/research/participants/portal/desktop/en/organisations/reg
ister.html).

Registration (and the subsequent validation by the Commission/Agency) may

take a while. When submitting a proposal, you should therefore check which
documents are needed for registration and register as soon as funding becomes
likely.

Q: What legal status and financial capacity are needed?

20
A: You must:

- Be an individual or organisation/institution constituted under the national law

of the country where you are based;
- Have the financial capacity to carry out the research tasks set out in your
proposal.

Q: Can Third countries participate in a proposal and can receive funding?

A: The Third industrialized countries (as well as those from China, Russia, India,
Brazil and Mexico under the H2020 rules) can participate in a Horizon 2020
project, but they are not automatically eligible for funding, with the following
exceptions:

- When a funding is foreseen in the Call;

- When funding is provided under a bilateral scientific and technological

agreement or any other arrangement between the Union and an international
organisation or a third country;

- When the Commission deems participation of the entity essential for carrying
out the action funded through Horizon 2020.

Q: May Chinese entities participate in Horizon 2020?

A: Yes, Chinese entities may participate in Horizon 2020 actions as entities from
any emerging or industrialised third country not associated to H2020, given that
the minimum eligibility criteria of the research consortium are fulfilled.

Q: How can China be involved in Horizon 2020 projects where there is not a
specific mentioning for Chinese interaction in the Call text?

21
A: All calls for proposals under Horizon 2020 are open to Chinese participation,
not only the ones where China is mentioned in the text of the Call. Of course
minimum requirements (e.g. in terms of number of European partners when
appropriate) must be respected.

Q: If there is no more funding for Chinese entities available, what is then the
benefit for my institution to participate in Horizon 2020?

A: Participation in Horizon 2020 offers more than simply money to any

participating institution. Horizon 2020 strengthens existing, and offers the
creation of, new research and innovation partnerships with Europe.

It provides Chinese entities the access to advanced knowledge, data and up-to-
date technology and allows an upgrade of the research quality of each partner in
the consortium. Horizon 2020 contributes to the internationalisation of the
Chinese partner institution and allows the establishment of new international
partnerships and networks.

Individual Chinese researchers can develop their scientific careers, learn

advanced knowledge and information and experience an international
atmosphere in a laboratory. Finally, Horizon 2020 contributes to the tackling of
global challenges and offers solutions to societal challenges that are designated
as priorities by Chinese government, such as food security, aging population,
environmental, fight against climate change, air pollution, energy security etc.

Q: I have completed my registration and my expert profile is valid. When will I

be contacted for an assignment?

A: All applicants who complete their expert profile are included in the database,
but this does not indicate that they will necessarily be contacted for an
assignment.

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You will be contacted directly via email if you are selected to take part in any
particular activity. It is therefore important that the email address indicated in
your expert profile is current. The selection of experts depends on the needs of
the European Commission in relation to the subjects covered by proposals and
projects.

Q: May I submit a proposal if I have applied to be considered as an Expert?

A: If you are contracted as an expert, you will be asked to sign a declaration

stating exactly which proposals you have a link with, and which may create a
conflict of interest. You are obliged to inform the Commission if you think that
you may have a conflict of interest with any proposal you are asked to examine.

The European Commission takes all necessary steps in order to avoid any
conflicts of interest. While you may not evaluate your own proposal, or of
proposals competing with it, you may evaluate proposals which are not
competing with yours. The funding body will determine whether or not a conflict
of interest exists. Sometimes, the funding body may decide that you may not
take part in an evaluation; in this case, your contract will be terminated in
accordance with the relevant procedures.

Q: Which member of the Consortium is the Project Coordinator?

A: It is up to the Consortium to designate the Project Coordinator.

Q: Can a Chinese institute be the Principal Investigator of the project?

A: Even though Chinese participants could in principle be coordinator of the

project, this would, however, not change the rules for funding. A Chinese partner
as project coordinator would not be automatically eligible for EU funding and,

23
therefore, could not recover from the European Commission any direct or
indirect costs incurring for the contract or project management nor retain part of
the grant for this purpose. We encourage Chinese research institutions willing to
participate in H2020 proposals to take contact with Chinese funding agencies for
seeking support for their project. See:

https://ec.europa.eu/programmes/horizon2020/en/horizon-2020-whats-it-china

Q: Can a person from a third country apply to be an Expert?

A: A person from a third country (i.e. a country that is not a Member State or a
country associated to Horizon 2020) is welcome to register their profile in the
expert database with a view to assist the European Commission as an expert.

Q: Under the rules of H2020-MSCA-ITN is it possible to recruit a candidate from

outside the European Union?

A: There is no restriction on the nationality of recruited researchers, and

candidates from third countries (such as China) are welcome as long as the
mobility and eligibility requirements are met. However, some restrictions may
apply for a very limited number of countries on the basis of EU sanctions. For
further information applicants are advised to consult:

http://eeas.europa.eu/cfsp/sanctions/docs/measures_en.pdf

24
7 Frequently Asked Questions - EU-China Co-funding Mechanism

Q: What is the Co-Funding Mechanism?

A: The Co-Funding Mechanism (CFM) is a joint initiative launched by the Chinese

Government and the EU to support joint research and innovation projects
between European and Chinese universities, research institutions and companies
under the framework of Horizon 2020 in strategic areas of common interest. It
was agreed at the 2nd EU-China Innovation Cooperation Dialogue, endorsed by
the 17th EU-China Summit of June 2015, and announced in September 2015 at
the occasion of the visit of European Commissioner for Research, Science and
Innovation Carlos Moedas to China.

The Implementation Guidelines of CFM were agreed on 30 October 2015 at the

12th EU China Joint Steering Committee Meeting on S&T Cooperation (JSCST) in
Beijing co-chaired by the European Commission (EC) Director General for
Research and Innovation Robert-Jan Smits and the Chinese Vice-Minister for
Science and Technology Cao Jianlin. Through CFM, funds will be provided by the
Chinese Ministry of Science and Technology (MoST) for China-based participants
in Horizon 2020 research and innovation projects including mobility of
researchers. According to what was agreed at the 3rd EU-China Innovation
Cooperation Dialogue of June 2017 (ICD-3) in Brussels, the 11 topics that are
directly linked to the joint flagship initiatives cover the areas of food, agriculture
and bioeconomy, environment and sustainable urbanisation, surface transport,
safer and greener aviation, and biotechnologies for environment and human
health. Several other topics will encourage Chinese participation on a bilateral or
multilateral basis.

Q: What is the scale of fund foreseen under CFM?

A: Building on the EU's Horizon 2020 and relevant research and innovation
funding programmes on the Chinese side, CFM will mobilise over 500 million EUR
from the EU and 1 billion RMB from China during the period from 2016 to 2020.

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Up to 200 million RMB, or nearly 30 million EUR, will be made available annually
by MoST on the Chinese side for the benefit of China-based entities that will
participate in joint projects with European partners under Horizon 2020. The EC
expects to continue spending over 100 million Euros per year for the benefit of
Europe-based entities in joint projects under H2020 with Chinese participants.

Q: What is the scale of fund per project?

A: In principle, the per-project ceiling of MoST grant under the CFM is 5 Million
RMB. The project duration should normally be not more than 3 years.

Q: Who can apply for fund under this mechanism?

A: For this first CFM Call, Eligibility criteria for Chinese applicants can be found at
the website of MoST. The application should be prepared in accordance with the
template provided by MoST and submitted through respective institutions.

Europe-based entities will apply for Horizon 2020 fund following the rules and
procedures of Horizon 2020.

The EC and MOST will fund selected applicants according to their respective rules,
regulations and practices. MoST funds are solely for use by China-based selected
applicants.

Q: How do I know if my proposal is successfully evaluated in Horizon 2020?

A: The EC will inform coordinators of the Horizon 2020 proposals if their

proposals are positively evaluated and then invite China-based applicants in the
proposal consortium to apply from MoST for possible co-funding, if need be,
following the call for applications to be published by MoST.

26
Q: Will the CFM target specific priority areas?

A: The priority areas to be supported focus on the five EU-China STI Flagship
Areas: Food, Agriculture and Biotechnologies (FAB), Environment and Sustainable
Urbanisation, Surface Transport, Safer and Greener aviation and Biotechnologies
for Environment and Human Health. Other topics in Energy ICT, Climate, Health,
Space, and Biotechnologies are also supported.

Q: How to apply for funding under CFM?

A: Please visit the website of MoST (http://www.most.gov.cn) and China Science

and Technology Exchange Centre (CSTEC, http://www.cstec.org.cn) for details of
procedures to submit applications.

Q: How is the evaluation organised, and what are the evaluation criteria?

A: MOST will evaluate and select the proposals from China-based applicants for
funding according to relevant rules. Evaluation will be based on a number of
criteria defined by MOST.

Q: How would I know if my application for CFM fund is selected or not?

A: MoST will complete the evaluation of all applications received in the

framework of the CFM from China-based partners in successful Horizon 2020
proposals and notify the China-based applicants ideally within few months after
each CFM deadline.

27
Annexes

About DragonStar Plus

DRAGON-STAR PLUS follows its predecessor (DRAGONSTAR), in its important

mandate to provide support services to European and Chinese researchers and
policy makers, and Chinese researchers and policy makers, and to offer a flexible
platform to facilitate policy discussions between European and Chinese
stakeholders.

Dragon-STAR PLUS aims at significantly contributing to the ongoing bilateral

collaboration activities and policy dialogues. The project will have a positive
effect on policy drafting and implementation, on-going research collaboration,
reciprocity, member & associated states cooperation (funding agencies),
addressing societal challenges, innovation, social- economy and technology.

For more information, please visit: http://www.dragon-star.eu

About Euraxess

EURAXESS (www.euraxess.lu) - Researchers in Motion is a pan-European

initiative providing access to a range of information and support services to
researchers wishing to pursue their research careers.

The EURAXESS portal is composed of four main sections devoted to specific

initiatives for researchers:

- EURAXESS Jobs is a recruitment tool.

- EURAXESS Services is a network of more than 500 Service Centres

located in 40 European countries.

- EURAXESS Rights provides information regarding the European Charter

for Researchers and the Code of Conduct for the Recruitment of
Researchers.

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 - EURAXESS Links is a networking tool for European researchers working
outside Europe and non-European researchers wishing to collaborate
and/or pursue a research career in Europe. EURAXESS Links China
provides various opportunities to facilitate communication between
Europe and Chinese research communities
(http://ec.europa.eu/euraxess/index.cfm/links/eurRes/china).

Euraxess China (https://euraxess.ec.europa.eu/worldwide/china) links

researchers in China with Europe by providing free information and events on
research funding, research careers and collaboration opportunities. EURAXESS
China has been serving all researchers interested in a research career in Europe
since 2009.

Horizon 2020 National Contact Point (NCP) in China

China-EU Science and Technology Cooperation Promotion Office (CECO,

http://www.cstec.org.cn/ceco/index.aspx) is the organisation running and
coordinating the NCP activities in China. CECO was established in 2001, as a non-
profit organisation specialised in offering consultation services and guidance to
Chinese research institutions, enterprises, companies and scientists for the
participation in the EU Framework Programmes. Since its creation, CECO has
been continuously supported by the Chinese Ministry of Science and Technology
(MOST) and the EU DG RTD and has been providing FP support services to
numerous European and Chinese researchers to build successful partnerships.
CECO is the sole official NCP organisation at national level in China, and has the
necessary professional skills, regional coverage and relevant influence in China,
to provide services to EU-China S&T cooperation, and also to support the official
scientific policy dialogue between EU and China. In addition, the last 3 years
CECO has deployed a network of Regional Contact Points (RCPs) inside University
or CSTEC regional offices with the scope to provide NCP support services at a
regional level.

CECO has close partnerships with regional S&T Commissions and Exchange
Centers, which are directed by MOST, and are the two large networks in China

29
responsible for the administration of regional S&T resources. CECO is affiliated to
China Science and Technology Exchange Centre (CSTEC) of MOST.

China Science and Technology Exchange Centre (CSTEC, www.cstec.org.cn) was

founded in 1982 upon the approval of the State Council. CSTEC is a legally
independent organisation affiliated to the MOST of the People’s Republic of
China. With expertise in international S&T exchanges, its mandate is to promote
interactions between the research and industrial communities in China and their
foreign counterparts so as to serve the socio-economic development and
enhance the friendly relations between China and countries across the globe.
CSTEC has successively established cooperative ties with over 130 organisations
and renowned enterprises in more than 30 countries and regions. Thus it has set
up a network for collaboration with counterparts from America, Oceania, Europe,
Africa, Asia, and in particular the European Union, Japan, Hong Kong, Macao and
Taiwan. It continues to play a significant role in facilitating international S&T
cooperation and exchanges, the reform and opening-up of China, as well as the
construction of the socialist economy.

CECO/CSTEC has established 8 RCPs (Regional Contact Points) respectively in

Beijing, Heilongjiang, Shaanxi, Shanghai, Jiangsu, Hubei, Shandong and
Guangdong and 4 TCPs including the Hunan University of Chinese Medicine as
the Health TCP (Thematic Contact Point) and the Chinese Academy of
Agricultural Sciences as the agricultural TCP, China-EU Institute for Clean and
Renewable Energy at Huazhong University of S&T as the energy TCP, and CIUC at
Tongji University as the urbanisation TCP. A tailor-made training for the RCPs was
organised and delivered by CSTEC and its European partners.

References and Useful Links

Ask an Expert:

http://ec.europa.eu/research/participants/portal/desktop/en/experts/

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Calls for Proposals:

http://ec.europa.eu/research/participants/portal/desktop/en/opportunities/h20
20/index.html

Horizon 2020 Work Programme 2018-2020 :

https://ec.europa.eu/programmes/horizon2020/en/what-work-programme

CAS-EU Partner Programme

http://www.bic.cas.cn/tzgg/201501/t20150106_4295030.html

http://www.dragon-star.eu/call/cas-eu-partner-programme/

http://www.cas.cn/sygz/201511/t20151117_4465324.shtml

http://www.cas.cn/yw/201701/t20170104_4587072.shtml

Co-funding provided for selected aviation related topics and selected

biotechnology related topics:

http://ec.europa.eu/research/iscp/index.cfm?pg=china

Delegation of the European Union to China:

http://eeas.europa.eu/delegations/china/eu_china/research_innovation/index_
en.htm

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EU-China Co-Funding Mechanism

http://ec.europa.eu/research/participants/portal/desktop/en/funding/reference
_docs.html

http://www.most.gov.cn/mostinfo/xinxifenlei/fgzc/gfxwj/gfxwj2015/201512/t20
151216_122975.htm

EU-China Science and Technology Cooperation Promotion Office (CECO)

http://www.cstec.org.cn/ceco/en/index.aspx

Expanding scientific cooperation with China: JRC and Chinese Academy of

Sciences sign a research framework arrangement

https://ec.europa.eu/jrc/en/news/expanding-scientific-cooperation-china-jrc-
and-chinese-academy-sciences-sign-research-framework

Horizon 2020

http://ec.europa.eu/horizon2020

Horizon 2020 budget allocation:

http://ec.europa.eu/research/horizon2020/pdf/press/fact_sheet_on_horizon20
20_budget.pdf

Horizon 2020 roadmaps:

32
http://ec.europa.eu/research/iscp/pdf/policy/annex roadmaps sep-2014.pdf

HORIZON 2020 in brief, Directorate-General for Research and Innovation,

European Commission, 2014

HORIZON 2020 - A practical guide for China, Directorate-General for Research

and Innovation, European Commission, 2014

Mobility of researchers scheme between the European Research Council (ERC)

and the National Natural Science Foundation of China (NSFC)

http://www.nsfc.gov.cn/publish/portal0/tab38/info51450.htm

More Q&A:

https://ec.europa.eu/research/participants/portal/desktop/en/support/faq.html

http://www.apre.it/ricerca-europea/horizon-2020/faq-on-horizon-2020/faq/

National Natural Science Foundation of China (NSFC) and the FCT

https://www.fct.pt/apoios/protocolos/nsfc/2015/index.phtml.en

NWO-NSFC Co-operation

https://euraxess.ec.europa.eu/jobs/funding/nwo-nsfc-co-operation

33
Regional Contact Points:

http://www.dragon-star.eu/wp-content/uploads/2014/06/China-RCP-Contact-
May-2014.pdf

Research & Innovation Participant Portal, European Commission

http://ec.europa.eu/research/participants/portal/desktop/en/home.html

The rules for participation for third countries:

http://ec.europa.eu/research/participants/data/ref/h2020/wp/2014_2015/anne
xes/h2020-wp1415-annex-a-countries-rules_en.pdf

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Template – Basic information of Proposal (CFM)

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Template for Proposal (CFM)

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Developed by:

Sociedade Portuguesa de Inovação (SPI)

Beijing Software Enterprise Advisory Center

(BSEAC)

January 2018

www.dragon-star.eu

DRAGON-STAR DRAGON STAR Plus Project @DragonStarEU

DragonStar 龙星 dragonstar+ Wechat

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