Evidence report EPEC. Interim evaluation of the ICT research in the 7th Framework Programme. April 17, 2010

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1 Interim evaluation of the ICT research in the 7th Framework Programme Evidence report April 17, 2010 Prepared for the European Commission Directorate General for Information Society and Media Specific contract SMART No 2007/0040 Under Framework Contract No. DG BUDG No BUDG06/PO/01/Lot 1 ABAC EPEC Contact name and address for this study: Technopolis Ltd. 3 Pavilion Buildings, Brighton BN1 1EE, UK Bea Mahieu Bea.Mahieu@technopolis-group.com Tel:

2 INDEX EXECUTIVE SUMMARY INTRODUCTION Objectives of this study Focus of the Study Methodological background BACKGROUND Policy Objectives ICT Research in FP7: Objectives and Resources Composition Analysis RELEVANCE AND QUALITY OF THE RESEARCH Effectiveness of the Programme Quality of the Research Actors involved Quality of the Research Teams involved The Funding Schemes The New Initiatives The einfrastructures Activities PROGRESS TOWARDS THE PROGRAMME OBJECTIVES FP7 ICT in the European Innovation System FP7 ICT for Competitiveness FP7 ICT and the Societal Needs EFFECTIVENESS & EFFICIENCY OF THE SIMPLIFICATION MEASURES Background Design of the programme implementation structures Implementation CONCLUSIONS ON THE KEY EVALUATION QUESTIONS Quality of the research Progress towards the objectives of the ICT Specific Programme Quality of implementation ANNEXES Annex 1: ICT-related European Technology Platforms Annex 2: Description of the ICT Research Areas Annex 3: Statistical report (separate report)...112

3 LIST OF EXHIBITS Exhibit 1 The ICT Research Landscape Exhibit 2 The intervention logic of a programme Exhibit 3 Hierarchy of objectives linking ICT R&D to overall FP Exhibit 4 FP7 mainstream ICT - Research Challenges and their share in the budget Exhibit 5 FP7 ICT Funding distribution among Challenges and the New Initiatives ( ) Exhibit 6 FP7 mainstream ICT Budget allocation to the funding schemes Exhibit 7 FP7 mainstream ICT Budget allocation to the funding schemes in the Challenges...27 Exhibit 8 FP7 ICT & einfrastructures Stakeholder participation Exhibit 9 FP7 mainstream ICT - Single organisations participating in the research Exhibit 10 FP7 mainstream ICT Stakeholders shares in funding and participations Exhibit 11 FP7 mainstream ICT - Stakeholder participation in the Challenges Exhibit 12 FP7 mainstream ICT - Participation by the actors along the value chain Exhibit 13 FP7 ICT & einfrastructures - Drivers for participation Exhibit 14 FP7 ICT & einfrastructures - Goals for participation in the R&D sphere Exhibit 15 FP7 mainstream ICT - Importance of the exploration of new technology paths in the challenges (Collaborative Projects) Exhibit 16 FP7 mainstream ICT- Importance of the enhancement of competitiveness as goal for participation Exhibit 17 FP7 mainstream ICT- Important goals for participation in the economic sphere Exhibit 18 FP7 mainstream ICT - Mapping of the Challenges against the ICT R&D priorities...36 Exhibit 19 FP7 mainstream ICT - Trend in funding distribution over the Research Areas (FP5 - FP6 - FP7) Exhibit 20 FP7 mainstream ICT Trend in the strategic importance of research (Collaborative Projects, FP6 FP7)...40 Exhibit 21 FP7 mainstream ICT Trend of the technical risk of the research (Collaborative Projects, FP6 - FP7)...41 Exhibit 22 FP7 mainstream ICT Trend in the stakeholders perception of the technical risk of research (Collaborative Projects, FP6 - FP7) Exhibit 23 FP7 mainstream ICT - Trend in stakeholder participation (Collaborative Projects, FP5 FP6 FP7) Exhibit 24 FP7 mainstream ICT Trend in the duration of the research conducted by stakeholders (Collaborative Projects, FP6 - FP7) Exhibit 25 FP7 ICT & einfrastructures Effectiveness of the flexibility measure Exhibit 26 FP7 mainstream ICT Trend in stakeholder participation (FP6 FP7) Exhibit 27 FP7 ICT & e-infrastructures - Position of the participants in the S&T/market sectors... 48

4 Exhibit 28 FP7 ICT & einfrastructures Involvement of industry leaders (industry stakeholders) Exhibit 29 FP7 mainstream ICT Core versus new participants among the stakeholders Exhibit 30 FP7 mainstream ICT Trend in the profile of the SMEs involved (Collaborative Projects, FP6 - FP7)...51 Exhibit 31 FP7 mainstream ICT Trend in SME participation in the ICT Research Areas (FP6 FP7) Exhibit 32 FP7 mainstream ICT Trend in participation by organisations along the value chain (Collaborative Projects, FP6 FP7)...54 Exhibit 33 FP7 mainstream ICT - Share in participations per geographical region Exhibit 34 FP7 mainstream ICT Trend in the distribution of EU funding over the Funding Schemes (FP6 - FP7)...57 Exhibit 35 FP7 mainstream ICT Trend in participation by Large Enterprises and SMEs (Collaborative Projects, FP6 FP7) Exhibit 36 New Initiatives - Stakeholder participation...62 Exhibit 37 New Initiatives Core versus new participants Exhibit 38 New initiatives - Participation by organisations involved also FP7 mainstream ICT...63 Exhibit 39 New Initiatives Position along the value chain of market actors involved (JTI Ch.3) Exhibit 40 New Initiatives Position along the value chain of market actors involved (AAL Ch.7)) Exhibit 41 einfrastructures - Participation per geographical region Exhibit 42 FP7 mainstream ICT - Developments needed to reach excellence in RTD (Collaborative Projects)...69 Exhibit 43 FP7 mainstream ICT - Profile of the partnerships, at project level Exhibit 44 FP7 ICT & einfrastructures - Expected improvement of prospects for follow-on projects Exhibit 45 FP7 ICT & einfrastructures - Expected improvement of prospects for follow-on projects (per programme/initiative) Exhibit 46 FP7 mainstream ICT - Importance of European standards development in the Challenges Exhibit 47 FP7 mainstream ICT Involvement of the participants in CIP...79 Exhibit 48 FP7 mainstream ICT Evaluation of the support by the Programme in overcoming market failures (industry/ stakeholders) Exhibit 49 FP7 mainstream ICT - Participation in the Challenges by organisations active in the Healthcare sector Exhibit 50 FP7 - Summary of financial advantages and disadvantages of changes in implementation by type of participant Exhibit 51 FP7 mainstream ICT Major barriers to participation Exhibit 52 FP7 - Main requirements and actions for simplification Exhibit 53 FP7 mainstream ICT - Effects of the new measures... 91

5 Exhibit 54 FP7 mainstream ICT - Profile of the experts involved in the proposal evaluations...92 Exhibit 55 FP7 mainstream ICT & einfrastructures Effects of the removal of a-priori controls...93 Exhibit 56 FP7 mainstream ICT - Trends in Time to Contract (FP6 versus FP7) Exhibit 57 FP7 mainstream ICT Success rates of proposals... 94

6 Executive Summary This Evidence Report is the final deliverable of the study that was to support the panel of experts performing the interim evaluation of ICT research in the 7 th FP. The interim evaluation of ICT research in FP7 is part of the evidence-based interim evaluation of the 7 th Framework Programme and its specific programmes building upon the ex-post evaluation of the 6th Framework Programme. Scope of this evaluation was the research activities funded by DG Information Society and Media in FP7 in the time frame These include the ICTrelated research activities in the Cooperation programme and the einfrastructures activities in the Capacities programme. The evidence collected during this study comes from four main sources the database on projects and participations, a survey of participants, interviews with key players, and an extensive desk research of Commission documents and external settings. Comparative analyses of survey and composition analysis data related to research in ICT in FP5, FP6 and FP7 allowed for the identification of trends over the Framework Programmes. In the framework of this study, research funded by DG Information Society in the Cooperation Programme is denominated FP7 ICT research; research funded in the context of the Capacities Programme is referred to as einfrastructures. Wherever relevant, within the FP7 ICT research activities, a further distinction is made between FP7 mainstream ICT, i.e. the core of the FP7 ICT activities, and the New Initiatives, including the JTIs Artemis and Eniac, and the AAL Joint Programming (JP). The FP7 ICT research constituted the key focus for this study. In this report we first depict the background to ICT research in FP7 including the policy objectives, activities and resources, and the stakeholders involved. We then focus on the effectiveness of the Programme and the quality of the research actors and teams involved ( Relevance and quality of the research ). The Section Progress towards the Programme Objectives looks into the contributions made by the Programme for a strengthening of Europe s innovation system and its (global) competitiveness, and the alignment of the research to Europe s societal needs. The last section focuses on the effectiveness and efficiency of the simplification measures. In the Conclusions section we provide evidence-based responses to the key questions for this interim evaluation. Background The core strategic objective of the ICT Programme in FP7 is to Enable Europe to master and shape the future development of ICT so that the demands of its society and economy are met. This objective needs to be set against the context of the growing and often disruptive role of ICT in society and our daily lives, as well as the opportunities that these technologies offer to combat current and future societal challenges such as the global warming, social divides, affordable highquality healthcare, safety and security. The ICT sector is also one of the most important industry sectors in the European economy and ICT is an increasingly pervasive technology also in other industry sectors such as the non-ict manufacturing industry. With a budget of just over 9 billion over seven years, the ICT Programme is the largest single component of the European Union s 50 billion Seventh Framework Programme of Research and Technological Development (FP7). 6

7 In the time period , ICT research in FP7 saw the involvement of 3,319 organisations, accounting for 9,607 participations. There is a high variation in intensity of participation by the different stakeholder groups in the various areas of activity in ICT, depending on the strategic objectives and scope of the research. Projects in the einfrastructures activity predominantly built on the contribution of the research stakeholders (85% of participations), while FP7 mainstream ICT research saw ~40% of its participations taken up by industry actors. Research in the AAL JP involved a relatively high-level participation by public authorities and NGOs; the JTIs were characterised by a strong involvement by industry. Relevance and Quality of the Research Effectiveness of the Programme The FP7 ICT Programme aligns to current worldwide ICT R&D priorities and reflects technology and market trends in the global ICT sector. It balances bottom-up and top-down design via a vast consensus-building process with the research and industrial communities, using a mix of technology push and solution (market) pull. It focuses on emerging technologies and novel solutions in areas of European technological and industrial strengths. FP7 mainstream ICT exerted a strong push for innovation, dedicating primary attention to the exploration of new technology paths. This implied an increase in funding of research in emerging technologies as well as, throughout all research areas, a pronounced focus on developing innovative solutions and applications. The FET strand of the research continues to prove its importance as pathfinder and facilitator for the timely identification of new emerging technologies, avoiding eventual lock-ins. Compared to FP6, there was a clear shift from medium to long-term research towards more midterm research and technical risks were overall considered to be more moderate. The Programme had the appropriate mechanisms in place to adapt to changes in the long-term environment, showing an appreciated mix of relative stability in the research lines funded throughout the Framework Programme and agility in acting upon changes in the two-years Work Programmes. Quality of the Research Actors involved A broad range of key actors in scientific fields and market sectors was active in the Programme, with a high-level involvement of European research leaders. The strong core of participants that remained stable across FPs constituted a Framework network that was fundamental for the creation of critical mass in specific S&T fields at European level and stability over time. These core participants played a prominent role in reinforcing existing collaborations and involving new research actors into the Programme whenever new expertise is needed. These established major stakeholders also constitute a risk for lock-in. Quality of the Research Teams involved The research teams showed the needed multidisciplinary expertise to ensure the attainment of excellence in R&D and an enhancement of the participants knowledge base. The appropriate level of supply/demand interactions was cause for concern, due to the ongoing decline of industry participation in mainstream ICT research and in particular in the collaborative research projects (from 43% in FP6 to 39% in FP7). The drop in participation by product/technology users in the non-ict manufacturing sectors, public authorities and NGOs led to a questioning of the appropriate alignment of the R&D results with the user needs by ~30% of the industry participants. 7

8 Innovative high-tech SMEs were more intensively involved in the Programme and especially research exploring new technology paths attracted more SME participation than in FP6. The breadth of the global co-operation was very limited (so far), partly due to the approach adopted of a targeted opening of the collaborative research to actors in the rest of the world. Stakeholders called for an extension of the current international collaboration projects. The Funding Schemes The more pronounced focus on collaborative research in FP7 mainstream ICT (compared to FP6) implied a reduction of shares in the budget for all the other funding schemes and especially for the NoEs. Major changes occurred in the budget division between IPs and STREPs: the latter became the most deployed funding scheme accounting for 53% of the overall budget, in contrast to FP6 where half of the budget was allocated to the IPs. STREPs and IPs are still considered complementary instruments, responding to different needs in the various stages of RTD. The SMEs increased their participation in the Integrated Projects compared to FP6. The critical factor for such change in participation behaviour seems to have been the mix of research focus in the IPs - and the WP overall - that led to a more intense involvement of high-tech SMEs. NoEs continued to show their (potential) value as platforms for knowledge exchange, strengthening research communities and integrating fields of research as well as integrating research communities in the NMS within the European ones. Among the Co-ordination and Support Actions, part of the budget was now devoted to actions explicitly focusing on international cooperation. A strategy of highly focused funding was adopted for the Support Actions, i.e. only in areas where they had proven their relevance. Co-ordination projects were adopted especially for the development of strategic research roadmaps in fields that are not yet covered by the European Technology Platforms. Participants considered that this implied a less strategic approach to internal exchange and dissemination of information. The New Initiatives The research focus in the JTIs was in line with the technology and industry needs and of high strategic importance for the participants. They proved particularly valuable in mobilising industry stakeholders and led to an enhanced involvement of SMEs in research at European level. Especially in ARTEMIS and the AAL JP, the strong user-oriented focus allowed for a pronounced involvement of key immediate or end users of the technologies. The core participants in ICT research constituted the backbone also for the research in new initiatives. Participants in the JTIs and the AAL JP heavily criticised the current implementation methods, indicating in particular the difficulties and additional costs caused by the current dual governance model. The einfrastructures Activities The research in the einfrastructures Activities was strongly aligned with the needs of the participants and the strategic objectives of the activities, i.e. to contribute to the integration of European research. It involved a large number of research leaders at European and international level. In line with its objectives, it acted as a vector of international cooperation, attracting a higher-than-average level of participations by non-european organisations. Little involvement of industry actors is to be noted. 8

9 Progress towards the Programme Objectives FP7 ICT in the European Innovation System During FP7, the Programme continued its strong support for the creation of the European open innovation eco-system by fostering the creation or strengthening of knowledge networks between and among the industry and research communities. Interventions focusing on the integration of Europe s research communities are ongoing and include the stimulation of the growth (or birth) of the European Technology Platforms, and the funding of the NoEs and specific CSA. They are mainly focused on industry-science interactions, though; efforts for the strengthening of linkages with the education component of the knowledge triangle are less pronounced. Due attention was paid to reach an improvement of the coordination with other Community Programmes. FP7 ICT also acted upon a broader involvement of the national programmes in research at European level by mobilising them for the activities in the JTIs (in contrast to common practice in the other DGs) and by fostering and supporting the creation of the AAL JP. It implemented a broad range of activities at Challenge or WP Objective fostering an improved coherence in Europe s research policies - between European and national research policies as well as among those of the member states themselves. The einfrastructures are emerging as effective and valuable facilitators for the integration of research programmes and physical linkage of research communities, thus enhancing the flow of knowledge in the innovation systems - in Europe and globally. FP7 ICT for Competitiveness The high value of the research - both from an S&T and economic point of view is expressed in the participants strong confidence core objectives for participation will be attained, based on their current experiences in the projects. Core objectives included the exploration of new technology paths, the enhancement of competitiveness, and the enhancement of their abilities to enter markets new to their organisation. They also envisaged a pronounced re-use of the knowledge gained and technology developed during the projects in other contexts or for the development of other products or services. Factors that would enhance the exploitation of the R&D results and innovation take-up and for which more support by the Programme was needed, included the alignment of products/services with the needs of immediate and end users; the development of new business models; an improvement of the skills in the target user market; and last but not least, an enhanced coherence among national regulations. In terms of competitiveness in R&D, the Programme seems to have set a strong basis for the transfer of technology and knowledge to the national research communities as well as for a successful leveraging of follow-on research to be conducted in-house. The Programme supports the creation of the Single Market predominantly by contributing to standards development. Participants indicated some areas for improvement and considered that the research would benefit from more regard for the integration and the interoperability/backward compatibility. The bridging of research and innovation seems to be a persisting issue. In this context, an improved collaboration and synergy between FP7 ICT and the CIP IST/PSP was called for. 9

10 The current proliferation of new initiatives in European Commission funded research, most of them focusing on the Societal Challenges, enhances the complexity of the ICT research landscape and constitutes a risk for fragmentation of research funding. This seemed no issue for the participants in the JTIs who saw the new initiatives as clearly complementary; research stakeholders and participants in the Societal Challenges research areas in FP7 mainstream ICT considered it to be a major barrier to participation. FP7 ICT and the Societal Needs The Programme shows a strong commitment in directing research towards current societal challenges. It dedicated ~30% of the budget for the funding of research lines explicitly addressing socio-economic goals, supported the Ambient Assisted Living (AAL) Joint Programme, and concentrated on areas where future societal and economic needs intersect with Europe s technology and industry strengths, thus increasing the chances for effectiveness. Effectiveness & Efficiency of the Simplification Measures Design of the Programme Implementation Structures There is a relative degree of stability between FP6 and FP7 in terms of implementation structures, at least compared to the major changes between FP5 and FP6. Nevertheless, changes were made some of which were relatively minor and others that have had more significant impacts. The latter included changes in contractual and financial rulings. Implementation of the New Measures Participants in FP7 ICT gave overall a negative evaluation on the efficiency of the new measures in reducing the costs of both the application processes and participation. In the ICT Programme, progress was made in the efficiency of the procedures at the proposal stage. Especially the full introduction of the Electronic Proposal Submission System and the Unique Registration Facility led to effort and cost savings, and an enhanced efficiency is to be noted also in the Time to Contract. Nevertheless, the preparation of proposals remained a very costly process, which becomes more of an issue as the success rate declines. Those involved in FP7 mainstream ICT research cited the selection criteria for the evaluation of proposals as main barrier to participation, rather than specific administrative barriers. The reduction from five evaluation criteria to three was perceived to have introduced a degree of inflexibility making it hard to tailor the criteria to the specific challenges and their content. The request for a two-stage proposal process was again a strong theme in the interviews. The changes introduced for project management and auditing have had mixed impacts according to the survey and interviews. The transfer of the burden to the project co-ordinators has not had the expected results. Although there were some teething problems with the new online reporting tools, they were very popular with the participants, and also reported to be more effective than those used in other parts of the programme. Seeing the problems raised in the course of the final audits of FP6, there is concern over different interpretations of the rules, within DG Infso, between DGs and also between the Project Officers and the financial authorities. Participants in FP7 fear that they may not find out until an ex-post rationalisation how rules will be interpreted. 10

11 Summarising Overview The findings of the study can be summarised as depicted in the diagram below. STRENGTHS Consensus-based programme design Mix of technology push and solution (market) pull Pronounced push for innovation Focus on emerging technologies & novel solutions for mature ones Potentially strong policy mix of complementary funding schemes & initiatives Strong core of participants, creating critical mass & ensuring stability Research leaders and key actors in various fields and markets of ICT Multidisciplinary teams with complementary expertise WEAKNESSES Ongoing drop in industry participation in collaborative research More mid-term research & less technical risk than in FP6 Few initiatives focusing on knowledge transfer to education Demand/user interaction more limited than in FP6 Persisting issues in bridging research & innovation Little global outreach Continuing barriers for cost savings and lowering of red tape Ongoing administrative complexity and burdens Integration of research and industry communities Broader mobilisation of resources for R&D at EU level Enhanced co-operation with national research programmes Structural aversion to risk in the EC financial regulations Diverging funding regimes within and among EC programmes, funding schemes and initiatives Diverging interpretations of the financial regulation and rules OPPORTUNITIES Expansion of FET as pathfinder for emerging technologies New initiatives as a tool for an improved bridging of research and innovation in specific fields of ICT einfrastructures as tool for the integration of R&D Deepening of the role of the demand side in the definition & implementation of the programme An ICT Task Force to coordinate research programmes Review of the financial regulations to address the most urgent aspects of simplification THREATS Lock-in Reduced marketability and exploitability of R&D results due to a lack of alignment with user needs Weakening of Europe s role in standardisation at global level New initiatives jeopardised by dual management High complexity of the EC-funded ICT research landscape and fragmentation of the research funding Less involvement of key players, core participants and SMEs due to high costs for participation 11

12 1 INTRODUCTION 1.1 Objectives of this study This Evidence Report is the final deliverable of the study that was to support the panel of experts performing the interim evaluation of ICT research in the 7 th FP. The interim evaluation of ICT research in FP7 is part of the evidence-based interim evaluation of the 7 th Framework Programme and its specific programmes building upon the ex-post evaluation of the 6th Framework Programme. Scope of this evaluation was the research activities funded by DG Information Society and Media in FP7. These include the ICT-related research activities in the Cooperation programme ( mainstream ICT research, the JTIs Artemis and Eniac, and the AAL JP) and the einfrastructures activities in the Capacities programme. This interim evaluation serves two major purposes To provide guidance and steering for the final part of FP7 in particular to assist with the design of the work programme for the next period, and To provide input to the design for any successor programme to FP7, since the preparations for this will begin shortly and the final evaluation will be carried out only after the start of the new programme. As set out in the legal base of the Programme, it had to concentrate on three major issues, i.e. The quality of the research under way The degree of progress towards the programme objectives The quality of the implementation of the programme. In addition to these issues, there is the issue of the simplification of procedures, which arose from a number of studies and reports and in particular the ex-post evaluation of FP6, which called for a simplification of management and a reduction of participation barriers. The specific evaluation questions for the FP7 ICT Interim Evaluation Panel were defined as follows: 1. Quality of the research a) Is FP7 ICT exploiting areas of competitive advantage and at the same time able to adapt to a changing environment and to identify and explore new opportunities? b) Does the programme attract the best research teams in Europe? How many of these are recognised as world leaders in their domains? 2. Progress towards the objectives of the ICT Specific Programme a) How does FP7 ICT contribute to improve the positioning of Europe on the global ICT RTD map? b) How is the programme contributing to realise the ERA objectives and its 2020 Vision? c) How is FP7 ICT positioned within the overall European innovation system, and how is it expected to contribute to the system? Is FP7 ICT employing the right mechanisms to help translate research results into innovative products, processes and services? 12

13 d) How does the programme link with other European or national initiatives addressing the "knowledge triangle" of education, research and innovation? e) Is FP7 ICT resulting in a better support of the broader EU policy agenda, notably economic growth, sustainable development, health, and meeting the challenges of an ageing society? f) Have the einfrastructures activities effectively contributed to optimise the use and development of the best research infrastructures in Europe? To which extent has the einfrastructures approach been expanded to more application-oriented and useroriented platforms in other sectors? 3. Quality of implementation a) Is the process of formulating and revising the Work Programmes able to accommodate the dynamic nature of the research priorities in ICT and of new political priorities (e.g. Recovery Package)? b) Is the mix of instruments used and participants involved (industry, public research, academia, SMEs) adequate to achieve the objectives pursued in the various research areas? What effect has the introduction of the JTIs and the Article 169 action and the opportunities offered by the European Research Council and RSFF had on the participation in the co-operative research activities? c) To what extent can changes in the pattern of participation be linked to the changes in implementation methods introduced within FP7? As an example, what is the perceived impact of the changes in the funding models as compared to FP6 (particularly for SMEs)? d) Have sufficient efforts been made to ensure that support for SMEs and for large firms is not "compartmentalised" into different measures or tools? e) To what extent have the changes introduced in FP7, notably the rules for participation, and their implementation in the ICT programme simplified the application, selection and contract management processes? What is the budgetary impact of these changes? f) To what extent have FP7 management requirements, such as resulted in reducing costs and lowering burdens of participation in the programme? Has the Commission advanced in developing a more trust-based approach towards the participants? If the Commission has not advanced sufficiently, which factors are hindering it? g) What further improvements of the programme implementation and simplification measures should be considered? 1.2 Focus of the Study The FP7 ICT Interim Evaluation was requested to focus on the research funded or co-funded by DG Information Society in FP7. This included the mainstream research in FP7 ICT, the new initiatives (the two ICT-related JTIs Artemis and Eniac, and the AAL JP) in the Cooperation Programme, and the einfrastructures activity in the Capacities Programme. These areas of FP7 DG Information Society funding are highlighted in green shadings in the diagram below depicting the ICT Research landscape (Exhibit 1). 13

14 This diagram depicts also the other areas where ICT-related research or activities is funded, by the Commission itself or through other public or private funding. The areas that are most closely connected to the research activities implemented in FP7 ICT is the EU-funded CIP ICT/PSP programme and EUREKA, a joint programming by member states. These areas are highlighted in yellow in the diagram. In the framework of this study, research funded by DG Information Society in the Cooperation Programme is denominated FP7 ICT research; research funded in the context of the Capacities Programme is referred to as einfrastructures. Wherever relevant, within the FP7 ICT research, a further distinction is made between FP7 mainstream ICT, i.e. the core of the FP7 ICT activities, and the New Initiatives, including the JTI and the AAL Joint Programming (JP). The FP7 ICT research constitutes the key focus for this study. Exhibit 1 The ICT Research Landscape EU FUNDING FOR ICT, RESEARCH, DEVELOPMENT AND INNOVATION OTHER FUNDING STRUCTURAL FUNDS Media Safer Internet Plus econtent Plus CIP 7th FRAMEWORK PROGRAMME EUREKA MEMBER STATES PROGRAMMES PRIVATE RESEARCH INITIATIVES ICT use and development Research and Innovation projects ICT PSP Other FP7 FP7 mainstream ICT New Initiatives CATRENE ITEA2 Other Co-operation strands Network and service infrastructure Ideas (European Research Council) Components, systems, engineering ENIAC People (Marie Curie Actions) Cognitive systems, interaction, robotics ARTEMIS Capacities (Infrastructures, International cooperation) Eranets (funded as co-ordination actions) Digital libraries and contents ICT for health Mobility and sustainable growth AAL PPPs JRC Cost Actions Independent living, inclusion, governance Future and emerging technologies 14

15 1.3 Methodological background Analytical framework In line with the Commission s guidance on evaluations, the evaluation is predicated on a definition of the logic behind the intervention the programme or intervention logic. This sets out the principle that there are a set of needs to be addressed which give rise to a set of objectives. These objectives exist at various levels, ranging from high-level policy and economic objectives to extremely operational objectives. The programme then applies a set of resources to achieving these objectives through a set of activities which generate some immediate outputs. The logic then implies that these outputs in turn will lead to short-term outcomes which in time lead to some intermediate outcomes and eventually some long-term impacts. This logic can be portrayed in many different ways, such as the model set out below. Exhibit 2 The intervention logic of a programme It is important to categorise objectives by level. They can be characterised as: High-level objectives, which relate to those established at the policy level (sometimes called policy objectives). These objectives correlate well with the intended long term impacts of a programme or strategy. They also often relate to broader issues such as economic growth, competitiveness, prosperity etc. Tactical objectives, which are more programme/project specific and correlate well with the outcomes of a programme or a strategy (increased audience levels, establishing confidence in Europe etc). Operational objectives, which correlate with the outputs of a programme and a strategy and are operational in nature (establishment of a website, a magazine etc) 15

16 In fact there is potentially a multiplicity of levels. Depending on the situation of the evaluation, it might consider higher or lower level objectives. Clearly if looking at very specific issues, while it is important to understand how (or indeed, if) they relate to the higher levels, it is not entirely realistic to expect that they will have a direct impact on them. From the chart above can be seen that the issues of intermediate outcomes and long-term impacts can only be addressed once the programme activities have been running for some time, and in the case of some targeted impacts, some time after the end of the activities. They are therefore not addressed in the interim evaluation. That being said, the interim evaluation will look at progress towards objectives with a view to steering and fine-tuning the programme. It is also important to be clear on the nature of the longer-term objectives to ensure that necessary information (such as baselines and monitoring data) is being adequately collected. Of course, in reality the picture is somewhat more complex, with multiple feedback loops and links between the elements multiple activities may be required for single outcomes, multiple outcomes may result from single activities Methodological concepts The key evaluation concepts are mapped on to the diagram above. These are: Relevance the extent to which the objectives set are pertinent to the needs, problems or issues to be addressed Efficiency the extent to which the desired effects are reached at reasonable cost Effectiveness the extent to which the objectives set are achieved Utility the extent to which the effects corresponded to the problems and needs to be addressed Sustainability the extent to which the (positive) effects are likely to last after an intervention has ended The issues of efficiency tend to link resources to outputs, whereas effectiveness examines the relationship between the objectives to the outcomes achieved. Of course the further the outcomes are from the activity the harder it is to assess the degree to which the effect is attributable to the activity or policy being considered, since increasing numbers of other or external factors may be involved. The issue of relevance has already been addressed in the various impact assessments, both of the programme as a whole and of some of the component parts (the JTIs and Article 169 instruments). These have set out the basic needs or market failures that the programme is designed to address and the means for doing so. These need to be kept under review as part of the overall evaluation process. This evaluation does not directly address them, but provides information that can contribute to the overall steering of the programme. This evaluation looks at the two criteria of efficiency and effectiveness, and applies this to the main issues to be addressed. The final evaluation will then revisit these questions and look at the issues of utility and sustainability. 16

17 Criterion Effectiveness Key topic to be addressed Baselines ICT research landscape Technological landscape Progress towards research objectives Identification and quantification of objectives External evolution and trends Progress towards simplification objectives Identification and quantification of objectives Efficiency Quality of implementation Implementation baseline data Monitoring data on the programme External comparators (other programmes) Main information sources The evidence collected during this study comes from four main sources the database on projects and participations, a survey of participants, interviews with key players, and an extensive desk research of Commission documents and external settings. Comparative analyses of survey and composition analysis data related to FP5, FP6 and FP7 allowed for the definition of trends over the FPs. The database analysis The information available in the FP7 ICT database on projects and participations was complemented with data research defining the activities of the participating organizations in terms of their belonging to the different stakeholder typologies (Higher Education Research Institute, Large Enterprise, SME, Public Authority, NGO, Industry/Professional Association) and their activities on the markets. The resulting high quality database on FP7 allowed for a thorough profiling of the organizations involved, their participations in the various fields of research or initiatives. The study team could make use of equally high-quality databases referring to the activities of the ICT Programme in FP5 and FP6. The merging of the databases related to FP5, FP6 and FP7 allowed for a through comparative composition analysis, resulting in a depicting of the trends in participations and the history of participation in FPs for the single organizations, amongst other. The questionnaire survey The online survey covered all participations in the FP7 ICT Programme (calls 1 to 3 and partially call 4), the first calls in the two Joint Technology Initiatives ARTEMIS and ENIAC, and the calls in in the einfrastructures activity. Due to operational constraints, the participants in AAL were not included. According to the Commission database, this regarded 6803 participations. The approach adopted was that each contact person indicated in the database would receive only one invitation to participate, listing the eventual various projects he/she was participating in. The Commission database included the contact details for 4282 contact persons. An overall 20% return rate at contact person level was reached, when considering all participations the return rate is 12%. The retained responses cover 445 different projects, constituting a 48% overall return rate at project level. The study team also could make use of survey data related to ICT research in FP6, covering calls 1-3 (projects concluded by the end of 2007). This allowed for a comparative analysis of the participants views on, amongst other, the nature of their research and their goals and drivers for participation. 17

18 The interviews In addition to the key experts and Commission officials directly interviewed by the Panel Members, the study team interviewed 38 key participants in the Programme. The selection of these interviewees was predominantly based on a thorough analysis of the Commission database; major criteria were their participation in multiple projects and FP7 ICT Challenges as well as in various programmes or initiatives. The Commission also provided a list of key experts who were expected to be able to provide a more holistic view on the activities and/or achievements of FP7 ICT in specific fields of S&T or to the benefit of a specific market sector. An appropriate representation of the different stakeholder typologies was reached. Desk research A fundamental activity for this study was the desk research, covering Commission documents and external studies that could enable us to reach an improved understanding on the background to the Programme activities and/or on the progress made towards reaching its objectives. A selection of these documents, including only those that resulted most relevant for this study, is listed in Section 7 of this report Structure of this report In the first Section of this report, we depict the background to ICT research in FP7, covering the policy objectives, resources and activities, funding schemes deployed and the stakeholders involved, including their goals and drivers for participation. The second Section Relevance and quality of the research reports on the findings in relation to the effectiveness of the Programme and the quality of the research actors and teams involved. It does so separately for FP7 mainstream ICT research, the different funding schemes, the New Initiatives, the einfrastructures activities. The next Section Progress towards the Programme Objectives looks into the progress made by the Programme for the enhancement of knowledge and technology flows in the innovation system and the coherence between EU and national R&D policies; the Programme s contributions to the enhancement of Europe s abilities to innovate, the reinforcement of the Single Market, and the bridging of research and innovation. Finally, it considers the alignment of research in the Programme with the societal needs. The final Section focuses on the effectiveness and efficiency of the simplification measures, i.e. th new measures, introduced in FP7 and implemented by the Programme, that aimed at the reduction of the complexity and costs involved in participating in the FP and a lowering of red tape. In the Conclusions we provide an overview of the evidence-based responses to the key questions for this interim evaluation. 18

19 2 BACKGROUND 2.1 Policy Objectives In this Section we describe the European policy decisions that set the basis for the activities related to ICT in the Seventh Framework Programme (FP7). These include the Seventh Framework Programme and its strategic objectives (Section 2.1.1) and the broader European policy framework, namely the Lisbon strategy and the European Research Area policy (Section 2.1.2) The Seventh Framework Programme The Seventh Framework Programme (FP7), with a total budget of billion, runs between 2007 and It bundles all research-related EU initiatives together under a common roof playing a crucial role in reaching the goals of growth, competitiveness and employment; along with a new Competitiveness and Innovation Framework Programme (CIP), Education and Training programmes, and Structural and Cohesion Funds for regional convergence and competitiveness. It is also a key pillar for the achievement of the European Research Area (ERA). The broad activities of FP7 have been grouped into four categories: Cooperation, Ideas, People and Capacities. For each type of objective, there is a specific programme corresponding to the main areas of EU research policy. All specific programmes work together to promote and encourage the creation of European poles of (scientific) excellence. ICT is found within the Cooperation programme. The Cooperation programme is sub-divided into ten distinct themes. Each theme is operationally autonomous but aims to maintain coherence within the Cooperation Programme and allowing for joint activities cutting across different themes, through, for example, joint calls. The ten identified themes reflect the most important fields of knowledge and technology where research excellence is particularly important to improve Europe s ability to address its social, economic, public health, environmental and industrial challenges of the future. Their continued relevance will be guaranteed by relying on a number of sources from the research sector, including the European Technology Platforms (ETP). Important themes identified in the Strategic Research Agendas (SRAs) developed by the ETPs are therefore covered by the Cooperation programme. The specific programme on 'Cooperation' supports all types of research activities carried out by different research bodies in trans-national cooperation and aims to gain or consolidate leadership in key scientific and technology areas. The budget will be devoted to supporting cooperation between universities, industry, research centres and public authorities throughout the EU and beyond. The bulk of EU research funding in FP7 goes to collaborative research, with the objective of establishing excellent research projects and networks able to attract researchers and investments from Europe and the wider world. This is achieved through a range of funding schemes: Collaborative projects, Networks of Excellence, Co-ordination/support actions, etc, discussed in more detail below. 19

20 One of the factors that have changed significantly since the introduction of FP7, when compared to the initial design of FP6 is the emphasis on co-ordination with national research instruments. FP7 has a set of objectives designed to increase the level of co-operation between and coordination of research programmes carried out at national or regional level in the Member or Associated States, leading to mutual opening up of programmes and development and implementation of joint activities. This may happen through activities within the programme (some CSAs) or in some cases through specific instruments such as the ERA-NETs, Joint Programmes (Article 169) and Joint Technology Initiatives The Policy Framework In addition to the objectives specifically related to RTD, the Framework Programme has a number of broader, mainly socio-economic, objectives to which it also aims to contribute. These are set out in the Lisbon Strategy and the European Research Area policy. The evolution in the EU policy framework, briefly described below, illustrates the increasing focus on Innovation in the European policy agenda, with an ever growing attention to the role of demand factors as driving forces and to the need for European integration as well as for the internationalisation of its research. Increasingly, the EU R&D policy of the European Research Area was integrated into the broader EU policy agenda aiming at the enhancement of economic growth, employment, welfare and the achievement of socio-economic objectives. This evolution needs to be set against the context of the socio-economic trends in this last decade, marked by an increasingly fierce global competition endangering Europe s competitiveness on the world market, the enlargement of the EU, the globalisation of the knowledge production chains, and ultimately the growing perception in society of the urgent need for a response to global challenges such as the climate change. The Lisbon Strategy The Lisbon Strategy was decided upon during the Council summit in Lisbon in Based on the Commission s eeurope initiative and other Commission communications, it set out a ten-year strategy to make Europe the most competitive and dynamic knowledge-based economy in the world by 2010 capable of sustainable economic growth with more and better jobs and greater social cohesion. Underlying this was the realisation that, in order to enhance its standard of living and sustain its unique social model, the EU needed to increase its productivity and competitiveness. There was urgent need for Europe to quickly exploit the opportunities of the new economy (and in particular the Internet), market barriers were to be removed and the right incentives were to be established for a new wave of technological progress. In line with these objectives, the eeurope 2002 Action Plan aimed at accelerating Europe s transition towards a knowledge-based economy. Key priorities were a cheaper, secure Internet, investing in people and skills, and stimulating the use of Internet. In 2004, a mid-term review of the Lisbon strategy looked into how to give new impetus to the process. It resulted in the Kok report that indicated in the promotion of growth and employment n Europe the next great European project. In 2005, the Lisbon Strategy was relaunched; it stressed that making growth and jobs the immediate target goes hand in hand with promoting social or environmental objectives. Under the strategy, a stronger economy will create employment in the EU, alongside inclusive social and environmental policies, which will themselves drive economic growth even further. 20

21 In 2006, a research group issued the Aho report. The report stated that current trends were unsustainable in the face of global competition and that a new vision was needed to address Europe s productivity and social challenges. It urged Europe s leaders to take radical action on research and innovation before it is too late and called for a Pact for Research and Innovation for the creation of an Innovative Europe. It proposed a strategy focusing on the creation of innovation friendly markets, strengthening R&D resources, increasing structural mobility and fostering a culture which celebrates innovation. The strategic areas for the European economy were considered to be ehealth, pharmaceuticals, transport and logistics, energy, security, the environment and the digital content industry. Several Commission Communications followed up the Aho report, amongst others the 2006 Commission communication "Putting knowledge into practice: a broadbased innovation strategy for the EU" that proposed a ten points programme for action at national and European levels to foster innovation. It introduced a more focused strategy to foster the creation and marketing of innovative products and services in promising areas, so-called "lead markets". The EU will soon devise a new strategy for the period beyond 2010, the EU 2020 strategy. This new strategy should enable the EU to make a full recovery from the crisis, and help speed up the move towards a greener, more sustainable, and more innovative economy. European Research Area In its 2000 Communication 'Towards a European Research Area', the Commission proposed the creation of a European Research Area (ERA), i.e. a European 'internal market' for research to increase pan-european co-operation and co-ordination of national research activities. The Communication was endorsed in the context of the Lisbon strategy. In October 2001, the Commission presented a follow-up strategy paper on the regional dimension of the ERA, which aimed at encouraging local and regional authorities to benefit from the new possibilities offered by the ERA. The regions are recognised as major drivers behind the development of the European knowledge-economy and regional development is considered key for the EU future growth and competitiveness. The 2005 ERA Communication emphasised the need for more coherence and synergies between research policies and the EU policies in order to achieve the renewed Lisbon strategy. The Commission considered this to be an explicit recognition that ERA is embedded into the concept of the knowledge triangle - in a context which obliges consideration of the broader impact of research (innovation, the internal market, financial markets, higher education systems, etc.) and not only the specific research outputs. 1 In 2008, the ERA initiative was updated and given new objectives the so-called 2020 vision. It states that by 2020, all actors should fully benefit from the Fifth Freedom across the ERA: free circulation of researchers, knowledge and technology. Key components of the Vision are (1) The European Research Area (ERA) is firmly rooted in society and responsive to its needs and ambitions in pursuit of sustainable development; and (2) The ERA defines the European way to excellence in Research and is a major driver of European competitiveness in the globalised world. Under the Swedish Presidency in 2009, the Conference New world New solutions discussed the future development of European research and issued a document known as the Lund Declaration. It stated, European research must focus on the Grand Challenges of our time moving beyond current rigid thematic approaches. 1 Commission Staff Working Document accompanying the Green paper The European Research Area: New Perspectives, COM (2007) 161,

22 It considered that the Grand Challenges the global community is currently facing must turn into sustainable solutions in areas such as global warming, tightening supplies of energy, water and food, ageing societies, public health, pandemics and security. It must tackle the overarching challenge of turning Europe into an eco-efficient economy. The Declaration pointed out that meeting the Grand Challenges also required a strengthening of frontier research initiated by the research community itself; taking a global lead in the development of enabling technologies such as biotechnology, information technology, materials and nanotechnologies; bringing together supply- and demand side measures to support both business development and public policy goals; excellence and well-networked knowledge institutions; the creation and maintenance of world class research infrastructures in Europe including installations for big science as well as those serving the needs of social sciences and humanities; a risk-tolerant and trust-based approach in research funding entailing actions for necessary changes in the Communities Financial Regulation and Rules for participation and dissemination. 2.2 ICT Research in FP7: Objectives and Resources This section looks into the strategic objectives, activities and resources dedicated in the Seventh Framework Programme to research in ICT. Section focuses on FP7 ICT research, i.e. the activities implemented in the Cooperation Programme, while Section 0 provides a brief description of the objectives, activities and resources for research in the einfrastructures activity (Capacities programme) FP7 ICT Research Strategic Objectives The high level objectives of R&D in ICT can be traced back into the Framework Programme as set out in Exhibit 3 below. The main objective is to improve the competitiveness of European Industry as well as to enable Europe to master and shape the future developments of these technologies so that the demands of its society and economy are met. Exhibit 3 Hierarchy of objectives linking ICT R&D to overall FP7 22

23 At policy level, FP7 ICT is one of the two programmes contributing to the implementation of the i2010 strategy, a flagship policy initiative for the renewed Lisbon agenda. The i2010 strategy was launched in 2005 to foster growth and jobs in the Information society and media industries. It was the first Commission initiative to be adopted under the EU s renewed Lisbon strategy and aimed to be a coherent strategy for innovation, regulation, deployment and R&D investment, expressed through each Member State s integrated Lisbon action plan. The three key objectives of the i2010 strategy as umbrella initiative for EU information society policies are: (1) Completing the Single European Information Space; (2) Strengthening innovation and investment in research; (3) Achieving an inclusive European Information Society. The other programme contributing to the i2010 strategy is the Competitiveness and Innovation Programme (CIP). The Competitiveness and Innovation Framework Programme with a budget of approximately 3.6 billion Euro for brings together, into a common framework, specific Community support programmes and relevant parts of other Community programmes in fields critical to boosting European productivity, innovation capacity and sustainable growth. It also covers complementary environmental concerns. The CIP should address both technological as well as non-technological aspects of innovation. The ICT Policy Support Programme (ICT-PSP) is one of the three CIP operational programmes and has a budget of 728 MEURO for the period It aims at driving and stimulating innovation through ICT use and at ensuring that ICT progress is transformed into benefits for all European citizens, business, industry and governments. The programme intends to play a major role in stimulating the development of lead markets for innovative ICT services. Activities & Resources Activities in mainstream ICT research In FP7, the mainstream ICT research addresses seven key research challenges and is complemented by the Future and Emerging Technologies (FET) initiative, which focuses on innovative high-risk ideas. The seven challenges are intended to ensure Europe becomes a world leader in ICT and support both the encouragement of industrial leadership in Europe as well as socio-economic targets. As illustrated in Exhibit 4, three Challenges aim at overcoming technology roadblocks and reinforcing Europe's industrial leadership in key ICT sectors; four are intended to seize new opportunities and address Europe s socio-economic challenges. Exhibit 4 FP7 mainstream ICT - Research Challenges and their share in the budget Source: DG Information Society & Media, European Commission,

24 The Joint Technology Initiatives (JTIs) FP7 introduced initiatives aiming at integrating private and public research efforts. This is the first time that public-private partnerships, involving industry, the research community and public authorities, were proposed at European level. Joint Technology Initiatives combine private sector investment and/or national and European public funding, including grant funding from the Research Framework Programme and loan finance from the European Investment Bank. They support large-scale multinational research activities in areas of major interest to European industrial competitiveness and issues of high societal relevance. Five initiatives have been identified in the "Cooperation" Specific Programme, two of them related to ICT (and co-funded/partly managed by DG INFSO), i.e.: Embedded Computing Systems (ARTEMIS) and Nanoelectronics Technologies 2020 (ENIAC). These JTIs are rooted in the activities of the European Technology Platforms, set up during the Sixth Framework Programme. The two JTIs partly managed by DG INFSO are special in that they pool industry, European and national public funding; the other EU JTIs only involve industry and EU funds. The ARTEMIS JU strategy is conceived to overcome fragmentation in the Embedded Systems markets so as to increase the efficiency of technological development and, at the same time, facilitate the establishment of a competitive market in the supply of Embedded Systems technologies. The Research Agenda of the ARTEMIS JTI closely follows the recommendations of the ARTEMIS Strategic Research Agenda (SRA) of the ARTEMIS Technology Platform (set up in 2004) and addresses the design, development and deployment of ubiquitous, interoperable and cost-effective, powerful, safe and secure electronic and software systems. The application-oriented research in ARTEMIS is in line with the need of industry for research that supports the development of sophisticated prototypes of embedded systems, thus providing proofs of concepts for novel embedded systems in specific domains. These implementation developments are needed to empirically validate design requirements and allow for real-time performance evaluation of novel designs and architectures. ENIAC was established in 2004 as the Technology Platform for Nanoelectronics. Its main goal was to define common research and innovation priorities to ensure a truly competitive nanoelectronics industry in Europe. To attain such an objective, ENIAC invested intensive efforts to bring together the key players in nanoelectronics research by gathering within the Platform the main European industrial groups and research organisations, setting up the ENIAC Scientific Community Council to ensure representation of Universities, and encouraging the participation in ENIAC of Small and Medium enterprises through national platforms. The selection of topics within the ENIAC Multi-Annual Strategic Plan (MASP) is primarily along the axis of long-term societal needs and lead markets. The six societal segments identified in the ENIAC SRA are Health & Wellness, Transport & Mobility, Security & Safety, Energy & Environment, Communication, and Infotainment, Many of the challenges listed in the ENIAC SRA technology domains can be mapped on the applications in these lead markets, notably topics from More Moore, More than Moore, and Heterogeneous Integration. The Ambient Assisted Living Joint Programme (Article 169) The Ambient Assisted Living (AAL) Joint Programme (JP) is a new joint R&D funding activity implemented by 20 EU Member States and 3 Associated States with the financial support of the European Community. Its most important activity is the regular publication of Calls for Proposals for R&D projects. AAL Partner States commit funding on the basis of their respective national funding programmes. Partners in AAL projects are administered under the specific national funding rules and by the respective national funding agency. 24

25 The instrument differs from the JTIs in that there is no Joint Undertaking involved, and there is no managerial involvement of the private sector. There is however an AAL Association and a central management unit (CMU). Only a minimum set of rules are set centrally. These comprise a few common eligibility criteria (e.g. three AAL Partner States must be involved) and the evaluation criteria. The European Commission is also not part of the implementation structure of the AAL Joint Programme. Its participation is restricted to a substantial financial contribution to the AAL programme on the basis of article 169 of the European treaty. The AAL JP funds multinational, collaborative and cost-shared projects, with a time-to-market perspective of 2 to 3 years after the project end. The core objective of the AAL Joint Programme is to provide innovative Information and Communication Technologies (ICT) based solutions to elderly persons, which means innovative products, systems or services addressing identified needs of the end users. Resources distribution in FP7 ICT research In this first phase of FP7 ( ), the total funding in FP7 ICT research amounted at 4,327 M Euro. In Calls 1 to 6, the budget distribution showed a key focus on research in the fields of Network and Service Infrastructures (Challenge 1), followed by research on Components, systems and engineering (Challenge 3); 8% of the funding was dedicated to the new initiatives, 2% was allocated to the funding of PPPs see Exhibit 5. Exhibit 5 FP7 ICT Funding distribution among Challenges and the New Initiatives ( ) Distribution of FP7 ICT funding in the Cooperation Programme FP7 ICT mainstream Research, AAL JP & JTIs, , base: 4,327 M FET 8% ch7 - Independent living, inclusion & governance 3% ch6 - Mobility, sustainability & energy efficiency 7% INCO & AM 1% PPP 2% AAL 2% ARTEMIS 3% ENIAC 3% ch1 - Network & Service Infrastructure 26% ch2 - Cognitive systems, interaction, robotics 9% ch5 - Healthcare 8% ch4 - Digital libraries & content 9% ch3 - Components, systems, engineering 19% Source: DG Information Society & Media, European Commission,

26 2.2.2 The einfrastructures activity in the Capacities Programme The FP7 Capacities programme aims to enhance research and innovation capacities throughout Europe and ensure their optimal use. The area of most direct importance to the ICT Programme is Research infrastructures which aims to optimise the use and development of the best research infrastructures existing in Europe, including ICT-based e-infrastructures - supporting a number of interrelated topics designed to foster the emergence of a new research environment in which virtual communities share and exploit the collective power of European scientific and engineering facilities. In the time period , the einfrastructures activity in the Capacities programme accounted for ~7% of the overall DG INFSO funding in FP Composition Analysis FP7 Funding Schemes In FP7 there is a range of funding schemes: Collaborative Projects, broken down into large-scale Integrated Projects (IP) and small or medium-scale focused Research Projects (STREP), Networks of Excellence (NoE), and Coordination and support actions (CSA), again broken down into Coordinated Actions (CA) and Support Actions. Specific International Cooperation Actions (SICA) were also introduced in FP7. ICT Small or medium-scale focused research actions (STREP are a continuation of the RTD projects used under earlier Framework Programs and renamed STREPs in FP6. They target a specific objective in a sharply focussed approach. ICT Large-scale integrating projects (IP) include a coherent integrated set of activities tackling multiple issues and aimed at specific deliverables; there is a large degree of autonomy to adapt content and partnership and update the work plan. They are defined as being extensive, independent and ambitious Networks of Excellence (NoE) support the long-term durable integration of research resources and capacities (researchers, services, teams, organisations, institutions) in fields of strategic importance for European research, through the establishment of a single virtual centre of research. The ultimate goal is to overcome demonstrable, detrimental fragmentation. Co-ordination or network actions (CAs) may cover a wide range of activities including the organisation of events; studies, exchanges of personnel, exchange and dissemination of good practices, and the coordination of activities with relevant National and Regional actions. ERA- NETs are funded as Co-ordination actions and have as objective to develop and strengthen the coordination of national and regional research programmes, eventually including financial support to facilitate joint calls for proposals between national and/or regional programmes Specific support actions (SAs) are to contribute to the implementation of the Framework Programmes and the preparation of future Community research and technological development policy or the development of synergies with other policies, or to stimulate, encourage and facilitate the participation of SMEs, civil society organisations and their networks, small research teams and newly developed or remote research centres in the activities of the thematic areas of the Cooperation programme 26

27 Finally, the einfrastructures activity included a specific funding scheme escience Grid Infrastructure. This regarded more than 60% of the 47 projects funded in this activity during the time period The other projects in this activity were Co-ordination and Specific support actions. While the New Initiatives focus on the funding of Collaborative Projects only, it is in the FP7 mainstream ICT research that one sees the adoption of the full range of funding schemes. In the Calls 1 to 4, 856 projects were funded in mainstream ICT research, for a total of 2,842 M Euro. The majority of the funding was dedicated to the Collaborative Projects, with a higher share for STREPs than IPs. The CSA projects accounted for in total 4% of the funding (Exhibit 6). Exhibit 6 FP7 mainstream ICT Budget allocation to the funding schemes Budget distribution over the funding schemes FP7 mainstream ICT calls 1-4, base: 2,842 M Networks of Excellence (NoE) 3,7% Cooperation & Support Actions (CSA) 4,1% Integrated Projects (IP) 39,6% STREPs 52,6% Source: Composition analysis, Support to the Interim Evaluation of the ICT Research in the 7 th Framework Programme, 2009 The budget distribution over the funding schemes in the various Challenges shows a strong focus on Integrated Projects in Challenges 4 (Digital Libraries & content) and Challenge 5 (Healthcare), while Challenge 3 (Components, systems and engineering) is characterised by a considerable budget allocation to STREPs see Exhibit 7. In terms of budget allocation to Support Actions, Challenge 6 focusing on research in Mobility, sustainability and energy efficiency allocated the highest share, i.e. 5% of its budget; in the other Challenges, the budget for the SAs ranged between 1% and 2%. Exhibit 7 FP7 mainstream ICT Budget allocation to the funding schemes in the Challenges Budget distribution over the funding schemes in the Challenges base: 2,841 M Euro - FP7 mainstream ICT, Calls 1-4, end % 50% 100% ch1 - Network & Service Infrastructure (768 ME) 46% 47% 4% 1% 1% ch2 - Cognitive systems, interaction, robotics (292 ME) 41% 52% 6% 1% ch3 - Components, systems, engineering (606 ME) 25% 66% 6% 2% 1% ch4 - Digital libraries & content (204 ME) 56% 37% 4% 2% 2% ch5 - Healthcare (260 ME) 59% 36% 3% 1% ch6 - Mobility, sustainability & energy efficiency (286 ME) 31% 61% 1% 5% 1% ch7 - Independent living, inclusion & governance (145 ME) 41% 55% 2% 2% FET (255 ME) 34% 62% 3% Integrated Projects (IP) STREPs Networks of Excellence (NoE) Support Actions (SA) Coordination Actions (CA) Source: Composition analysis, Support to the Interim Evaluation of the ICT Research in the 7 th Framework Programme,

28 2.3.2 The Stakeholders Involved Overall, ICT research in FP7 saw the involvement of 3,319 organisations, accounting for 9,607 participations. More than half of these participations (60%) were taken up by research stakeholders; industry stakeholders accounted for 35% of the overall participations. However, one can note a high variation in intensity of participation by the different stakeholder groups in the various areas of activity in ICT, depending on the strategic objectives and scope of the research (see Exhibit 8). Research in the AAL JP, for example, involved a relatively high-level participation by public authorities and NGOs; the JTIs were characterised by a strong involvement of industry actors; projects in the einfrastructures activity predominantly built on the contribution of the research stakeholders; FP7 mainstream ICT research saw ~40% of its participations taken up by industry actors. Exhibit 8 FP7 ICT & einfrastructures Stakeholder participation Stakeholder participation in ICT research in FP7 0% 50% 100% AAL - base: 183 partic., Call 1 41% 42% 17% ARTEMIS - base: 226 partic., Call 1 35% 64% 2% ENIAC - base: 165 partic., Call 1 40% 60% einfrastructures - base: 837 partic., Calls % 8% 7% FP7 mainstream ICT - base: 8,196 partic., Calls % 36% 5% Research Industry Other Source: Composition analysis, Support to the Interim Evaluation of the ICT Research in the 7 th Framework Programme, 2009 The remaining of this section describes further in detail the stakeholders involved in FP7 mainstream ICT research, constituting the core of the focus for this study. A more detailed analysis of the stakeholders involved in the New Initiatives is provided in Section of this report. Stakeholder participation in FP7 mainstream ICT research In the first 4 Calls of the Framework Programme, FP7 mainstream ICT research attracted the involvement of 2,850 organisations. As is illustrated in Exhibit 9, ~30% of these organisations are SMEs; Large Enterprises, Higher Education institutions and research institutes each account for ~20% of the constituency. Relatively few Public Authorities and NGOs or Associations are involved (~5% of the constituency each). 28

29 Exhibit 9 FP7 mainstream ICT - Single organisations participating in the research Single Organisations participating in FP7 mainstream ICT research base: 2850 organisations - Calls 1-4, end Nov 2009 Public Authorities 6% NGO/ Associations 4% Higher Education 21% Research Institutes 17% SMEs 33% Large Enterprises 19% Source: Composition analysis, Support to the Interim Evaluation of the ICT Research in the 7 th Framework Programme, 2009 While the research stakeholders accounted jointly for ~40% of the organisations involved. these organisations typically have a higher intensity of participation in the Programme than the other stakeholder categories and especially SMEs. So, in the first four calls of the FP7 mainstream ICT research, the research stakeholders took up ~60% of the funding and accounted for some 60% of the participations (Exhibit 10). Large Enterprises took up a share of 20% of the funding and participations; SMEs approximately 15%. Exhibit 10 FP7 mainstream ICT Stakeholders shares in funding and participations Distribution of the funding in FP7 mainstream ICT among the stakeholders base: 2,842 M - calls 1-4, end 2009 Stakeholder participation in FP7 mainstream ICT base: 8,196 participations - calls 1-4, end 2009 SMEs 14% Public Authorities 1% NGO/Assoc. 1% Higher Education 38% SMEs 16% Public Authorities 3% NGO/Assoc. 2% Higher Education 36% Large Enterprises 21% Research Institutes 25% Large Enterprises 20% Research Institutes 23% Source: Composition analysis, Support to the Interim Evaluation of the ICT Research in the 7 th Framework Programme,

30 Reflecting the importance of the research focus for stakeholder participation, the intensity of participation by the different stakeholder groups highly varied in the different Challenges (Exhibit 11). The explicitly exploratory Challenge 2 and FET built predominantly on the contributions of the research organisations (respectively 80% and 90% of the participations); industry accounted for ~50% of the participations in the Challenges 1 and 6; Public Authorities, NGOs and Associations were involved especially in Challenge 7 and Challenge 10 (~10% of the participations). Exhibit 11 FP7 mainstream ICT - Stakeholder participation in the Challenges Stakeholder participation in the Challenges FP7 mainstream ICT - Calls 1-4, end % 50% 100% ch1 - Network & Service Infrastructure partic. 52% 46% 3% ch2 - Cognitive systems, interaction, robotics partic. 81% 17% 2% ch3 - Components, systems, engineering partic. 61% 38% 1% ch4 - Digital libraries & content partic. 61% 33% 6% ch5 - Healthcare partic. 56% 34% 10% ch6 - Mobility, sustainability & energy efficiency partic. 43% 52% 6% ch7 - Independent living, governance & inclusion partic. 51% 36% 13% FET partic. 91% 7% 1% Research Industry Other Source: Composition analysis, Support to the Interim Evaluation of the ICT Research in the 7 th Framework Programme, 2009 In a collaborative research programme as ICT, it is also interesting to look into the areas of market activity of the organisations involved. Based on an elaboration of the Commission database of participants in FP7 mainstream ICT research, The supply side in the ICT sector was strongly represented, with ~20% of the participating (single) organisations active in the ICT manufacturing sectors and ~30% providing IT services The demand side (users of the products/technologies) accounted for ~40% of the participants. They were active in a broad range of market sectors, showing a more pronounced involvement of players in the services rather than the manufacturing sectors (respectively ~30% and ~10% of the organisations involved) Organisations offering business services (consultancies) accounted for an additional ~10% Regarding these organisations shares in the overall participations (Exhibit 12), at the supply side - accounting in total for 53% of the participations - we see a strong involvement of the Systems engineering, Software & IT services providers, followed by the Electronic components manufacturers. At the demand side accounting for in total 39% of the participations the Consumer Electronics manufacturing and the Network Operators and Telecommunication services providers were the ones most frequently involved. The group of product/technology users active in manufacturing sectors accounted for 15% of the participations; those active in services sectors for 24%. 30

31 Exhibit 12 FP7 mainstream ICT - Participation by the actors along the value chain Participation in FP7 mainstream ICT by the actors in the value chain base: 3,315 participations; Calls 1-4, end 2009 PA governance 4% Other Public Services 6% Business Services 8% Electronic Components 6% Demand side Healthcare Services 3% Information Services 4% Network Operators & Telecommunication Services 7% Other Manufacturing 3% Transport Eq. Manufacturing 4% Consumer Electronics Manufacturing 8% Electronic Equipment, Instruments & Devices 17% Systems engineering, Software & IT Services 30% Supply side Note: includes all private and public organisations active on the market Source: Composition analysis, Support to the Interim Evaluation of the ICT Research in the 7 th Framework Programme, Drivers and Goals for Participation Participants in the questionnaire survey 2 indicated the focus of the research as determining factor for their participation in ICT-funded research, followed by the characteristics of the project consortium (see Exhibit 13). All stakeholders shared this view - no matter the programme or initiative they participated in. Exhibit 13 FP7 ICT & einfrastructures - Drivers for participation Base: FP7 mainstream ICT, Calls 1-4; JTIs, Call 1; einfrastructures, Calls Source: Questionnaire Survey, Support to the Interim Evaluation of the ICT Research in the 7 th Framework Programme, The questionnaire survey conducted in this study targeted all participants in projects funded under the calls 1-4 in the mainstream ICT research, under the calls in in the einfrastructures activity, and under call 1 in the two JTIs. Due to operational constraints, the participants in AAL were not included. 31

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