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SMEs in the. European Commission DG Research - Unit T4: SMEs Annabelle Ascher [email protected] Overview – Research for the benefit of SMEs Proposal preparation – what is important? Budget calculation and distribution of the EC contribution

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SMEs in the

European Commission

DG Research - Unit T4: SMEs

Annabelle Ascher

[email protected]


  • Overview – Research for the benefit of SMEs

  • Proposal preparation – what is important?

  • Budget calculation and distribution of the EC contribution

    (SME Techweb: http://ec.europa.EU/research/sme-techweb/index_en.cfm?pg=sme_indiv)

  • Changes with respect to FP 6


Smes in fp7 why
SMEs in FP7 - why?

SMEs are at the core of European industry and key players in the innovation system.

SMEs have to respond increasingly to a strong competition in the internal market and globally.

  • Need to increase their knowledge base and their research efforts in transnational cooperations.

  • Actions at EU level are necessary to complement and enhance the impact of actions taken at national and regional level.


Smes in fp7 main initiatives
SMEs in FP7 Main initiatives



Dedicated SME strategy under each Theme

Identification of areas of particular interest to SMEs in the individual work programmes

15% target for SME participation

Greater flexibility in choosing the appropriate funding scheme

Simplified financial and administrative procedures (e.g. 75% funding rate for SMEs, no bank guarantees)

SMEs in FP7 “Cooperation”


Collaborative projects targeted to SMEs

3 different types of projects including "projects targeted to special groups such as SMEs“

Stimulate the participation of SMEs

Research-intensive SMEs should play a leading role in such projects

Requested EC contribution to participating SMEs must in all cases be substantial

SMEs in FP7 “Cooperation”


Industry-academia partnerships and pathwayssupport cooperation between academia and industry encourage SME participation through

Staff secondments between academia and industry

Temporary hosting of experienced researchers from outside

SMEs in FP7 “People”


Research for the benefit of SMEs: Objectives

Strengthen the innovation capacities of SMEs to develop new products and markets byoutsourcing of research:

Increase their research effort

Acquire technological know-how

Extend their networks

Improve the exploitation of research results

SMEs in FP7

“Capacities”


Research for the benefit of smes work programme
Research for the benefit of SMEsWork programme

  • 1. Supporting SMEs outsourcing research activities

    • - Research for SMEs

    • - Research for SME associations

  • 2. Developing and coordinating support to SMEs at national level

    • - Eurostars  Article 169 Initiative

    • - ERA-NET

    • - Support to national and/or regional “exploratory awards”

    • - NCP-network

  • 3. Support measures

    • - Coordination and Support Actions

    • - Studies


Target group

Research for SMEs:

Low to medium technology SMEs with little or no research capability

Research intensive SMEs that need to outsource research to complement their core research capability

Research for SME associations:

SME associations representing their members and their common technical problems

 bottom-up approach, no thematic focussing

Target group


Impact economic benefit

Research for SMEs:

Clear exploitation potential and economic benefits for the SMEs involved

Strengthening the competitiveness of the SMEs

Research for SME associations:

Clear exploitation potential and economic benefits for the SMEs members of the associations involved

Improve industrial competitiveness

Impact: Economic benefit


Principle outsourcing scheme customer seller relationship
Principle: Outsourcing scheme “customer-seller” relationship

Investing in Research

SMEsSME Associations

RTD-Performers

Results & IPR

Other enterprises, End users


“Customer-seller” relationship between SMEs* and RTD-performers.

SMEs* invest in the RTD project and outsource part of the research activities to "RTD performers”.

RTD performers invoice their services to SMEs*.

EC contribution: Grant to the project (and not to individual participants) which covers only part of the total investment.

SMEs* and "Other participants and end users" contribute with own resources to the project.

Collective leadership of the SMEs* in the project.

Clear principle:SMEs invest in R&D

* including SME associations


Funding Scheme Key Indications


Research for SMEs

At least three independentSME participants, established in three different Member States or Associated countries.

At least two RTD performers.

Other enterprises and end-users optional.

Research for SME associations

At least three independent SME association/groupings, established in three different Member States or Associated countries, or one European SME association/grouping.

At least two RTD performers.

Other enterprises and end-users with at least two SMEs.

SMEs or SME associations may entrust coordination to a partner in the consortium specialised in professional project management.

Number of partnersMinimum requirements, coordination


Specific for „Research for SMEs / SME associations“ (rules for participation).

The default regime remains full ownership of all project results ("foreground") and IPR with the SMEs or SME Associations.

The consortium may however reach a different agreement in their own best interests, as long as the SMEs and SME associations are provided with all the rights that are required for their intended use and dissemination of the project results.

IPR - principle


In practice, this can, for example, mean that: (rules for participation).

SMEs keep ownership, but give access to the RTD performers for further, clearly specified activities

or

The RTD performers keep ownership of the entire foreground (or parts of it) and that the SMEs acquire licences only.

or

Agreement in the (economic) interest of the SMEs

Price should reflect the value of the IPR

IPR - flexibility


The financial support of the Community in accordance with the Rules for participation will be capped at a value not exceeding 110% of the estimated price to be invoiced by RTD providers to SMEs or SMEs Associations.

Funding Scheme - principles


Research for the benefit of smes work programme1
Research for the benefit of SMEs the Rules for participation will be capped at a value Work programme

  • 1. Supporting SMEs outsourcing research activities

    • - Research for SMEs

    • - Research for SME associations

  • 2. Developing and coordinating support to SMEs at national level

    • - Eurostars  Article 169 Initiative

    • - ERA-NET

    • - Support to national and/or regional “exploratory awards”

    • - NCP-network

  • 3. Support measures

    • - Coordination and Support Actions

    • - Studies


EUROSTARS: Article 169 Initiative the Rules for participation will be capped at a value

EUREKA initiative with a joint programme, based on national schemes.

Supporting trans-national, multi-partner R&D projects initiated and led by at least two R&D-performing SMEs (bottom-up approach).

Complements other SME-targeted actions at national and EU-level.

Up to twenty-five Eureka countries have agreed to participate in the joint programme.

2. Developing and coordinating support to SMEs at national level


ERA-NET the Rules for participation will be capped at a value

Continuation of FP6 ERA-NET projects: ERA-SME & CORNET

Increase integration, coverage and number/budget of common calls.

Support to national and/or regional “exploratory awards”

Establish durable schemes and services to increase the number of awards provided by the national and/or regional schemes.

A first preparatory Coordination and Support Action dedicated to the development of implementation modalities.

Network of National Contact Points (NCPs)

Identifying and sharing good practices, developing common tools.

Supporting less experienced NCPs to rapidly acquire the know-how accumulated in other countries.

2. Developing and coordinating support to SMEs at national level


Support to dissemination and exploitation of research results and exchange of good practices by e.g.:

a) clustering of projects on common topics to improve interaction and joint dissemination and exploitation activities and

b) developing and implementing strategies aiming at a reinforced exploitation of results.

Contributing to the identification of priority research topics for SME associations, especially by establishing a dialogue with European Technology Platforms (ETP).

3. Support measures: Coordination and Support Activities


Smes specific actions advisory and support structures
SMEs specific actions results and exchange of good practices by e.g.: Advisory and Support Structures

  • FP7 Advisory Group on SMEsProvides advice to the Commission and informs constituencies on implementation of SME specific actions, horizontal SME aspects and synergies with other SME related Community actions

  • SME Inter-service TaskforceIdentifies and disseminates best practice on strategies for SME participation to enhance coherence and monitors SME participation with respect to targets.

  • Programme CommitteeMember states representatives review and approve work programmes and major policy issues and receive information on each individual grant funded.

  • SME National Contact Points (NCP)Dedicated SME NCP network assists SMEs participatingin the various Themes and the SME specific actions.


Research for SMEs Call 1 results and exchange of good practices by e.g.:

Closure date: 4 September 2007

Indicative budget: € 100 Million

Research for SMEs Associations Call 1

Closure date: 1 June 2007 (first stage)

Indicative closure date second stage: November 2007

Indicative budget: € 10 Million [€ 58 Million]

Coordination and Support Activities Call 1

Closure date: 10 May 2007

Indicative budget: € 2 Million

Research for the benefit of SMEsCall planning


Proposal preparation results and exchange of good practices by e.g.: Part A and B


Getting started results and exchange of good practices by e.g.:

About the funding scheme

How to apply

Check list

What happens next

Glossary

Annex 1 Timetable and specific information for the call

Annex 2 Evaluation criteria and procedures to be applied for the call

Annex 3 Instructions for completing “part A” (forms) of the proposal

Annex 4 Instructions for drafting “part B” (description of work) of the proposal

Proposal preparation - Guide for applicants (GfA)


Part A consists of three major parts, A1, A2 and A3. results and exchange of good practices by e.g.:

A1 gives a snapshot of your proposal, A2 concerns your organisation and A3 deals with budgetary matters.

The complete proposal (Part A and B) can only be submitted electronically.

Part A (Forms) – General


Detailed in Annex 4 of the GfA, structure follows the evaluation criteria.

Economic benefit for the individual SMEs and collective leadership among the SMEs must be clearly described.

Consequences of the invoice-approach:Who acquires which results? What is the cost for the different results?

 Consortium agreement only required as deliverable

Part B – Description of Work


Cover Page evaluation criteria.

Table of contents

Evaluation Criteria:

Scientific and/or technological excellence

Implementation – Management, consortium, resources

Impact - The potential impact through the development, dissemination and use of project

Ethical issues

Consideration of gender aspects

 Following explanation only relevant for Research for SMEs

Part B - Structure


1.1 Sound concept and quality of objectives evaluation criteria.

1.2 Innovative character in relation to the state-of-the-art

1.3. Contribution to advancement of knowledge /

technological progress

1.4 Quality and effectiveness of S/T methodology and associated work plan:

Overall strategy of the work plan and related activities

Timing of the WPs and their components (Gantt chart or similar)

Work description broken down into work packages (lists of Work packages, milestones and deliverables, description of each work package, Summary effort table)

Graphical presentation of the components showing their interdependencies

Identify significant risks and include contingency plan

 Maximum length 15 pages plus tables

Part B – S&T excellence


Important: evaluation criteria.

How will the proposed work improve SMEs competitive position?

SMEs carry out research and/or demonstration activities to validate and exploit the research results provided by the RTD performers.

How does the project offer a solution to SMEs in need of new knowledge?

No requirement to develop cutting edge technology at world class level!

Part B – S&T excellence


2.1 Quality of the Consortium as a whole evaluation criteria.

2.1.1 Description of project management structure and procedures (max 4 pages)

2.1.2 Description of the consortium (max. 3 pages plus ½ pages per partner)

2.2 Appropriate allocation and justification of the resources to be committed (max 4 pages)

Part B – Implementation


Important: evaluation criteria.

No decision against SMEs collective interest.

SMEs in the "driver's seat“.

Justification requiered if the SMEs entrust coordination to a partner specialised in project management.

SME participants have to take into account the remuneration ("invoices") of the RTD performers.

Table 2.2. Indicative breakdown of the offer from the RTD performers to the SME participants.

Distribution of the EC contribution among partners?

How do RTD performers co-invest in the project in case they retain ownership of IPR (“foreground”)?

Part B – Implementation


New table 2 2
New: Table 2.2 evaluation criteria.

Indicative breakdown of the offer from the RTD performers to the SMEP


3.1 Contribution, at the European [and/or international level], to the expected impacts listed in the work programme under the relevant activity

3.2 Appropriateness of measures envisaged for the dissemination and/or exploitation of project results, and management of intellectual property

3.2.1 Project results and IPR

3.2.2 Dissemination and Use

 Maximum length 10 pages plus tables

Part B – Impact


Important: level], to the expected impacts listed in the work programme under the relevant activity

Economic justification: cost effectiveness, taking into account the overall cost of the project in relation to its potential direct economic benefits

Impact on the SMEs: employment, economic growth, market strategy, distribution channels etc.  quantitative and qualitative indicators

Industrial or commercial routes envisaged for the exploitation of the results

Table 3.2.2. Project Results (including knowledge) to be acquired by the SME participants

Part B – Impact


New table 3 2 2
New: Table 3.2.2 level], to the expected impacts listed in the work programme under the relevant activity

Project Results (incl. Knowledge) to be acquired by the SMEP

(*) Ownership, Patenting, Licensing, other IPR protection, etc


Targeted at large communities of SMEs level], to the expected impacts listed in the work programme under the relevant activity

Impact on the SME-AG members and the respective sectors

Need for a dedicated dissemination and exploitation strategy to ensure that a large community of SMEs can benefit

IPR ownership and rights for dissemination and use should take the SMEs in the consortium and the members of the SME-AGs into account

Transaction may be based on e.g. invoices or grant agreement between SME-AG and RTDP

2-stage submission (limited set of criteria for stage 1)

Part B – what is specific for Research for SME associations?


Budget calculation and level], to the expected impacts listed in the work programme under the relevant activitydistribution of the EC contribution


The financial support of the Community in accordance with the Rules for participation will be capped at a value not exceeding 110% of the estimated price to be invoiced by RTD providers to SMEs or SMEs Associations.

Funding Scheme - principles


“Value” of the project is based on the the Rules for participation will be capped at a value subcontracted R&D activities.

Maximum financial contribution is 110% of the price to be invoiced by RTD providers to SMEs or SMEs Associations.

The Community support has to be in accordance with the Rules for participation.

EC contribution


R&D: the Rules for participation will be capped at a value maximum of 50 % of the total eligible costsException: SMEs, non-profit public bodies, secondary and higher education establishments and research organisations: maximum of 75 % Associations may meet e.g the criteria for SMEs or non-profit public bodies

Demonstration activities: maximum of 50 %

Management activities: maximum of 100 %

Other activities: maximum of 100 % (e.g. training, coordination, networking, dissemination)

Rules for participation Funding rates


Step 1: Calculation of the the Rules for participation will be capped at a value budget for the SMEs


Step 2: Calculation of the the Rules for participation will be capped at a value budget for the RTD Performers


Step 3: Calculation of the budget the Rules for participation will be capped at a value for the Other enterprises and end-users


Step 4: The total budget of the project the Rules for participation will be capped at a value


Calculation of the EC contribution the Rules for participation will be capped at a value


Distribution of the EC contribution the Rules for participation will be capped at a value Scenario 1


Distribution of the EC contribution the Rules for participation will be capped at a value Scenario 2


IPR ownership and rights for dissemination and use should reflect the needs and the role of the SMEs in the consortium and of the members of the SME-AGs.

Some SME-AGs may NOT qualify for 75% funding rate for RTD activities (e.g:not meeting the SME definition)

Some SME-AGs may NOT be able to recover VAT.

System is flexible for tailor-made solutions:

SME-AG may charge costs incurred by its members in carrying out the project

Participating SMEs and SME-AG members may invest in the project

What is specific for SME associations?


IAPP (Industrial Academy partnerships and pathways) reflect the needs and the role of the SMEs in the consortium and of the members of the SME-AGs.

Certificate of Methodology (certificate on financial statement replaces the audit certificate and, if obtained, needs to be presented only once at the end of the project for any project)

Guarantee fund- collective liability (financial risk only, 5% of project cost)

No constraints on RTD performers on MS

IPR- Patent lawyer is eligible cost

SME Techweb – revamped – new Newsletter to appear

Changes with respect to FP 6


Workprogramme "Research for the benefit of SMEs" reflect the needs and the role of the SMEs in the consortium and of the members of the SME-AGs.

Guides for applicants "Research for SMEs“ and “Research for SME associations”

Guide to Intellectual Property Rules for FP7 projects

Rules for the submission of proposals

These documents and additional information about the open calls are available on the following webpage:

http://cordis.europa.eu/fp7/dc/index.cfm?fuseaction=UserSite.CapacitiesDetailsCallPage&call_id=35

http://cordis.europa.eu/fp7/dc/index.cfm?fuseaction=UserSite.CapacitiesDetailsCallPage&call_id=36

http://sme.cordis.lu/home/index.cfm

Important documents


More information
More information reflect the needs and the role of the SMEs in the consortium and of the members of the SME-AGs.

Research for the benefit of SMEs:

http://cordis.europa.eu/fp7/capacities/research-sme_en.html

CORDIS/SME TechWeb:

http://ec.europa.eu/research/sme-techweb

National Contact Points

http://cordis.europa.eu/fp6/ncp.htm


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