Fifth FP7 Monitoring Report
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Fifth FP7 Monitoring Report MONITORING REPORT 2011 29/08/2012 TABLE OF CONTENTS 0 EXECUTIVE SUMMARY .......................................................................... 1 1 INTRODUCTION .................................................................................. 2 2 FP7 PARTICIPATION PATTERNS IN 2011 ................................................ 4 2.1 Overall participation ........................................................................ 4 2.1.1 Calls, proposals, applicants and corresponding success rates ...................... 5 2.1.2 Project costs, requested EU contribution and corresponding success rates ... 5 2.1.3 Signed grant agreements, participants and EU contribution ........................ 9 2.2 Participation by funding scheme...................................................... 9 2.3 Participation by type of organisation ............................................. 10 2.3.1 Academia participation ......................................................................... 12 2.3.2 Participation of research organisations.................................................... 13 2.3.3 Industry participation ........................................................................... 13 2.4 International and regional dimensions of FP7 ............................... 17 2.4.1 EU Member States ............................................................................... 18 2.4.2 Candidate and Associated Countries ....................................................... 20 2.4.3 Third Countries .................................................................................... 22 2.4.4 Regional dimension .............................................................................. 24 2.5 Women participation and the gender dimension in FP7 ................. 29 2.5.1 Patterns of women participation in FP7 projects ....................................... 29 2.5.2 Women participation in FP7 advisory groups, panels and committees ......... 32 3 FP7 IMPLEMENTATION IN 2011 – MANAGEMENT AND QUALITY ISSUES ..... 33 3.1 Dissemination activities ................................................................. 33 3.1.1 Internet .............................................................................................. 33 3.1.2 National Contact Points meetings ........................................................... 35 3.2 Quality assessment of proposal evaluation and the redress procedure................................................................................................ 36 3.2.1 Proposal evaluation .............................................................................. 36 3.2.2 Redress procedure ............................................................................... 37 3.3 The FP7 Ethics Framework - Ethics reviews and ethics audits ....... 38 3.4 Time-to-grant ................................................................................ 40 3.5 Independent assessment of FP7 implementation by National Contact Points ......................................................................................... 41 3.5.1 Project life cycle .................................................................................. 41 3.5.2 FP7 in general context .......................................................................... 42 3.6 Simplification................................................................................. 44 3.6.1 Simplification measures in FP7 .............................................................. 44 3.6.2 Perception of simplification in FP7 by National Contact Points .................... 46 3.7 Monitoring sustainable development in FP7 .................................. 48 3.7.1 FP7 and the renewed EU Sustainable Development Strategy ..................... 48 3.7.2 Web-based monitoring tool on research for sustainable development ......... 49 3.7.3 Achievements regarding FP7 contribution to sustainable development ........ 49 4 FP7 IMPLEMENTATION IN 2011 – SPECIAL FOCUS ................................. 50 4.1 European Research Council ........................................................... 50 4.1.1 The ERC Executive Agency (ERCEA) ....................................................... 52 4.1.2 The ERC peer review evaluation process ................................................. 52 4.1.3 ERC calls ............................................................................................ 54 4.2 The Research Executive Agency (REA) .......................................... 55 4.2.1 The REA in 2011 ................................................................................. 56 4.2.2 Programme management in the REA ..................................................... 56 4.2.3 Overall appreciation ............................................................................ 58 4.3 Marie Curie Actions ........................................................................ 58 4.3.1 General overview ................................................................................. 58 4.3.2 Focussing on researchers' careers .......................................................... 59 4.3.3 Implementation of the calls ................................................................... 61 4.4 EURATOM ....................................................................................... 62 4.4.1 Nuclear fission and radiation protection .................................................. 62 4.4.2 Fusion energy ..................................................................................... 63 4.5 Joint Technology Initiatives........................................................... 64 4.5.1 Clean Sky Joint Undertaking .................................................................. 65 4.5.2 Innovative Medicines Joint Undertaking (IMI) .......................................... 67 4.5.3 ARTEMIS (Embedded Computing Systems) and ENIAC (Nanoelectronics) Joint Undertakings ................................................................................................ 68 4.5.4 Fuel Cells & Hydrogen Joint Undertaking (FCH JU) ................................... 71 4.6 Article 185 (ex-169) Initiatives ..................................................... 72 4.7 Risk-Sharing Financial Facility (RSFF) ........................................... 74 4.8 Participation of SMEs ..................................................................... 76 4.8.1 Funding for SMEs under the Themes of the Cooperation Programme .......... 76 4.8.2 Funding for SMEs under the Cooperation Themes by country ..................... 79 5 FP7 ACHIEVEMENTS AND FIRST PROJECT OUTCOMES ............................... 81 ANNEX A: MONITORING SYSTEM FOR FP7 ................................................... 82 ANNEX B: STATISTICAL TABLES ON PARTICIPATION PATTERNS ....................... 85 ANNEX C: STATISTICAL RESULTS OF NCP SURVEY ON FP7 PROMOTION AND IMPLEMENTATION IN 2011 ......................................................................... 91 ANNEX D: GLOSSARY ............................................................................ 100 ANNEX E: KEY REFERENCES ................................................................... 103 0 EXECUTIVE SUMMARY The Fifth FP7 Monitoring Report covers the implementation of the Framework Programme in the years 2007-2011. It is based on the FP7 Monitoring system, which was designed as an internal management tool using a core set of performance indicators. In section 2 this document provides a detailed analysis of FP7 participation patterns in 2011. FP7 implementation management and quality issues are the focus of section 3 and include the current situation with regard to the simplification process and also the results of a survey on the perception of FP7 implementation and simplification by National Contact Points (NCPs). Section 4 presents some of the elements of the Framework Programme which deserve a special focus. Section 5 looks at the early achievements of the programme. The FP7 Monitoring system is complementary to existing systems of data collecting and monitoring at operational level and within different DGs. While a substantial part of the report is based on existing material which has been already (at least partially) released, each annual Monitoring Report provides an integrated view on the different strands of FP7 activities. The following selected facts and figures highlight some of the main findings of this report: . The magnitude of FP7 is illustrated by the impressive participation figures: During the first five years of FP7, 307 concluded calls received more than 95.000 proposals, out of which more than 79.000 – involving a staggering more than 386.000 applicant organisations and individuals – were included in the evaluation procedure, and more than 16.000 – involving more than 85.000 participants – were finally retained for negotiations, with a corresponding requested EU funding of € 25,7 billion. Proposals and applicants had an average success rate of 20% and 22%, respectively. On the participation of Small and Medium Enterprises (SMEs), it is estimated that during the first five years of FP7 implementation 17% of all participants in signed grant agreements were SMEs. On the gender dimension of FP7 participation, it is estimated that 26% of contact persons for scientific aspects in FP7 funded projects are female. A more detailed analysis shows significant variations among the different thematic areas of FP7 as well as among the EU Member States. The significant international dimension of FP7 is illustrated by