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“Research and SMEs in the 6th Framework Programme”
Xabier GoenagaDG Research - European Commission
Brussels, October 15th, 2002.
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MOTOR OF EUROPE’S CHANGING ECONOMYMOTOR OF EUROPE’S CHANGING ECONOMYMOTOR OF EUROPE’S CHANGING ECONOMYMOTOR OF EUROPE’S CHANGING ECONOMY
by GENERATINGGENERATING
NEW PRODUCTSNEW PRODUCTS& TECHNOLOGIES& TECHNOLOGIES
High tech SMEs create two-times more innovations
per employee than largecompanies
by GENERATINGGENERATING
NEW PRODUCTSNEW PRODUCTS& TECHNOLOGIES& TECHNOLOGIES
High tech SMEs create two-times more innovations
per employee than largecompanies
by SUPPORTING THE SUPPORTING THECOMPETITIVENESSCOMPETITIVENESS
OF LARGEOF LARGECOMPANIESCOMPANIES
50% of SMEs aresubcontractors
by SUPPORTING THE SUPPORTING THECOMPETITIVENESSCOMPETITIVENESS
OF LARGEOF LARGECOMPANIESCOMPANIES
50% of SMEs aresubcontractors
byCREATINGCREATING
EMPLOYMENTEMPLOYMENT
SMEs and especiallymicro-firms are the
main source of new jobs
byCREATINGCREATING
EMPLOYMENTEMPLOYMENT
SMEs and especiallymicro-firms are the
main source of new jobs
EEUROPEANUROPEAN SMEs ~ T SMEs ~ THEIRHEIR I IMPORTANCEMPORTANCE
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• Completion of Economic & Monetary Union
• Globalization of Economy
• Completion of Economic & Monetary Union
• Globalization of Economy
SMEs NEED TO:
• Internationalize strategy
• Modernize their productionsystems and products
• Widen their networks of knowledge suppliers
SMEs NEED TO:
• Internationalize strategy
• Modernize their productionsystems and products
• Widen their networks of knowledge suppliers
Widening of theknowledge base required
for core business
Widening of theknowledge base required
for core business Increasingtechnological content of products and services
Increasingtechnological content of products and services
EU RTD PROGRAMMES: An OPPORTUNITY for SMEsEU RTD PROGRAMMES: An OPPORTUNITY for SMEs
EU RTD Programmes allow EU RTD Programmes allow SMEs to simultaneously:SMEs to simultaneously:
• improve their technological baseimprove their technological base
• develop new transnational partnershipsdevelop new transnational partnerships
• widen their knowledge basewiden their knowledge base
EU RTD Programmes allow EU RTD Programmes allow SMEs to simultaneously:SMEs to simultaneously:
• improve their technological baseimprove their technological base
• develop new transnational partnershipsdevelop new transnational partnerships
• widen their knowledge basewiden their knowledge base
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• 10.000 „high-tech“ SMEs: 10.000 „high-tech“ SMEs: high RTD intensityhigh RTD intensity
• 10.000 „medium/low-tech“ SMEs: 10.000 „medium/low-tech“ SMEs: limited RTD intensitylimited RTD intensity
TOTALTOTAL
++ 20.000 SMEs 20.000 SMEsreceived received
1.4 billion Euro1.4 billion Euro
FFRAMEWORK RAMEWORK PPROGRAMME (1996-2001)ROGRAMME (1996-2001)Participation of SMEsParticipation of SMEs
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SME MEASURES in FP5: Challenging Euro-mythsSME MEASURES in FP5: Challenging Euro-myths• ““Participation is risky”Participation is risky” : :
More than 19.000 SMEs have submitted proposals in FP5, 38% have More than 19.000 SMEs have submitted proposals in FP5, 38% have been selected, 7.300 are participating (2.450 in Expl. Aw, 4.850 in been selected, 7.300 are participating (2.450 in Expl. Aw, 4.850 in CRAFT)CRAFT)
• ““Participation is expensive”Participation is expensive” : : On average a FP5-CRAFT (700 k€ EU cont, On average a FP5-CRAFT (700 k€ EU cont, 6 partners) requires some 70k€ of own investment per SME. On 6 partners) requires some 70k€ of own investment per SME. On average, SMEs can anticipate 3.5 € of economic return per € invested average, SMEs can anticipate 3.5 € of economic return per € invested in CRAFT.in CRAFT.
• ““EU RTD is for large firms”EU RTD is for large firms” : : 77% of contractors are small enterprises (<50 employees)77% of contractors are small enterprises (<50 employees)
• ““EU RTD is for high-tech industry”EU RTD is for high-tech industry” : : 35% of CRAFT participants come 35% of CRAFT participants come from more traditional sectors (agro-industry, construction, mining, from more traditional sectors (agro-industry, construction, mining, textile or wood). 21% from Cohesion countries (E, EL, IRL, P).textile or wood). 21% from Cohesion countries (E, EL, IRL, P).
• ““EU RTD is for a close-club”EU RTD is for a close-club” : : 65% of SMEs were newcomers to EU RTD programmes, 63%65% of SMEs were newcomers to EU RTD programmes, 63% newcomers to public R&D programmes, 50% of projects were new newcomers to public R&D programmes, 50% of projects were new collaborationscollaborations
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Encouraging SMEs to participate in FP6
Appropriate information and assistance to potential SME participants
Specific measures taken to involve the SMEs in the 7 thematic priorities (Integrated Projects, Networks of Excellence, STRP)
Specific schemes in the form of actions on collective and cooperative research on any area
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2
3
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The 7 thematic priorities
(11,285 M€, >15 % for SMEs)
1 - Life sciences, genomics and biotechnology
for health
2 - Information society technologies
3 - Nanotechnologies
4 - Aeronautics and space
5 - Food quality and safety
6 - Sustainable development
7 - Citizens and governance
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Traditional instrumentsNew instruments
Specific Targeted Research ProjectsCoordination actions
Specific support actions
Integrated projectsNetworks of excellence
Article 169
To implement the thematic priorities: the FP6 instruments
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Objective = to allocate at least 15% of the 7 thematic priorities budget to SMEs
Special measures to encourage SMEs Participation
in the new types of projects
Special focus on SMEs
Specific measures taken in Integrated Projects, Networks of Excellence and STRP (7 thematic priorities)
1
10
Specific measures taken in Integrated Projects, Networks of Excellence and STRP (7 thematic priorities)
Targeting of calls in areas relevant for SMEs
Participation of SME groupings
Evaluation criteria related to SMEs
Pre-allocated budget for take-up measures
Possibility to extend contracts to include new SMEs
Encouraging SMEs to participate in FP6
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Dissemination of results
Participation of SME Groupings in theFP6 new instruments (particularly IP)
RTD performers / technology suppliers
Beneficiaries of TAKE UP MEASURES:
Training of SMEs executives / technical staff
Assessment/trial/validation of promising technologies Easier access to/transfer of best practices forearly use & exploitation of technologies
SME groupings involved in management
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SME Groupings or Associations could:
• having pre-allocated budget
select SMEs in a latter stage for take-up measures
Participation of SME Groupings in theFP6 new instruments (particularly IP)
From contract stage,
• not having identified SMEs for take-up measures
If at the proposal / contract stage,
represent individual SMEs to be identified
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Specific schemes in the form of actions on Collective and Cooperative Research (any topic)
Cooperative Research (CRAFT)
Individual SME
Encouraging SMEs to participate in FP6
2
Collective Research
Industrial associations or industry groupings
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European CommissionDG Research
Co-operative Research FP6-General Aspects
Definition
Scope
Scale
Duration of projects
limited number of SMEs from different countries assign research and innovation activities to research performers
any subject across the whole range of science and technology
CRAFT budget = 295 M€individual CRAFT projects between 0.5 and 2 M€
1-2 years
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European CommissionDG Research
In a CRAFT project there must be
AT LEAST
three independent SME participants established in two different Member States or Associated States, of which at least one shall be established in a Member State or Associated Candidate Country,
two RTD performersindependent from the SME participants and established in two different Member States or Associated States, of which at least one shall be established in a Member State or Associated Candidate Country.
IN ADDITION, Other enterprises and end-users may participate to the project.
Participants
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European CommissionDG Research
CRAFT-Other conditions
Special eligibility criteria regarding the balance between the contribution of SMEs and other enterprises and end-users
The costs of a single SME participant will not be greater than 40% of the combined costs of the SME participants
The SME participants which are not independent from each other will count as one SME participant for the application of this rule.
up to 60% of the costs may be from SMEs and other enterprises and end-users of the same country
For SMEs and other enterprises and end-users
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European CommissionDG Research
Research and innovation
Consortium management
CRAFT-Activities and EC contribution
Activities EC contribution
Up to 50%
Up to 100%
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COLLECTIVE RESEARCHNEW FRAMEWORK PROGRAMME
(2002-2006)
Research carried out by research performers on behalf of industrial associations / groupings on themes of interest to large sectors and communities of SMEs
• Typically between 2 to 5 M€ and a duration of 2 to 3 years.
• Indicative budget: 100 M€
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Pilot action• Step 1 cut-off date September 2001
• Step 2 evaluation March 2002
• 5 proposals negotiated
COLLECTIVE RESEARCH FIFTH FRAMEWORK PROGRAMME
(1998-2002)
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COLLECTIVE RESEARCHNEW FRAMEWORK PROGRAMME
(2002-2006)
Can address any subject across the whole field of Science & Technology
• Addressing common problems/ challenges (e.g. environmental/safety issues)
• Pre-normative research• Reinforcing technological basis of entire sector(s)• Development of “technological” tools (e.g. diagnosis,
safety equipment)
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COLLECTIVE RESEARCHNEW FRAMEWORK PROGRAMME
(2002-2006)
Who can participate?
• At least -• 2 National Industrial Associations/groupings, OR
• 1 EEIG, OR
• 1 European Industrial Association/grouping
• In addition both of the following -• SME core group
• At least 2 RTD Performer from Member States or Associated States
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COLLECTIVE RESEARCHNEW FRAMEWORK PROGRAMME
(2002-2006)
EC Contribution:
• Research and Innovation - up to 50%
• Training - up to 100%
• Consortium Management - up to 100%
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Horizontal Activities Involving SMEs (2002-2006)
Open Call for proposals: End 2002
CRAFT: four indicative deadlines (3/03, 11/03, 11/04, 11/05)
Collective: three indicative deadlines (3/03, 2/04, 2/05). 2-step approach:– Step 1: Outline providing the essential aspects (SME
interest, European nature,..)
– Step 2: Detailed proposal
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Comparison of the projects sizes
CRAFT STRP Collectiveresearch
IP NoE
In term of budget, duration, size of consortia
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Participation in IST/ FP5 in terms of project size
01000
20003000
400050006000
70008000
900010000
0-25 M 2.5-5 M 5-7.5 M 7.5-10 M > 10 M
total project costs
nu
mb
er o
f S
ME
s re
sp.
all
par
tici
pan
ts
SMEs All participants
0%
5%
10%
15%
20%
25%
30%
0-25 M 2.5-5 M 5-7.5 M 7.5-10 M > 10 M
total project cost
SM
Es
in p
art
icu
lar
pro
jec
t s
ize
/ a
ll
pa
rtic
ipa
nts
in p
art
icu
lar
pro
jec
t s
ize
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Appropriate information and assistance to potential SME participants
SME website and helpdesk
SME National Contact Points (NCP)
Economic and Technological Intelligence
Specific Support Actions (7 thematic priorities)
Encouraging SMEs to participate in FP6
3
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ECONOMIC AND TECHNOLOGICAL INTELLIGENCE
NEW FRAMEWORK PROGRAMME(2002-2006)
• In the knowledge-based economy, ETI is a vital component of competitive research & innovation strategies. In the 6th FP this activity is to be stepped up from those carried out in the 5th FP.
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ECONOMIC AND TECHNOLOGICAL INTELLIGENCENEW FRAMEWORK PROGRAMME
(2002-2006)
Content• A Specific Support Action scheme aimed at
• innovation promotion in SMEs, in particular by means of activities aimed at facilitating the creation of SME Groupings with similar innovation needs and the participation of SMEs/SME Groupings in Integrated Projects and Networks of Excellence, specific targeted research projects, CRAFT and Collective Research;
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ECONOMIC AND TECHNOLOGICAL INTELLIGENCENEW FRAMEWORK PROGRAMME
(2002-2006)
• support for activities concerning the gathering, analysis and dissemination of information on S&T developments, applications and markets which may be of assistance to the innovation players;
• identification and dissemination of best practice with regard to economic and technological intelligence.
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ECONOMIC AND TECHNOLOGICAL INTELLIGENCE
NEW FRAMEWORK PROGRAMME(2002-2006)
Deliverables
• Networks, databases, web sites, studies
• Number of SMEs audited
• New partnerships for joint action in FP6
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ECONOMIC AND TECHNOLOGICAL INTELLIGENCE
NEW FRAMEWORK PROGRAMME(2002-2006)
Scale and Duration• Typically, the total project costs of each specific support
action may be within the range of 0.2 to 2 million Euros.
• The duration of a project will be determined by the time necessary to obtain its objectives. Typically, the duration might be expected to be 1 to 3 years. Only exceptionally and in duly justified cases, will the duration exceed 3 years.
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ECONOMIC AND TECHNOLOGICAL INTELLIGENCE
NEW FRAMEWORK PROGRAMME(2002-2006)
Consortium• The number of participants can not be less than
three independent legal entities established in three different Member States or Associated States, of which at least two shall be established in Member States or Associated candidate countries.
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ECONOMIC AND TECHNOLOGICAL INTELLIGENCE
NEW FRAMEWORK PROGRAMME(2002-2006)
Open Call for proposals: End 2002
Three indicative deadlines (4/03, 4/04, 4/05)
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SME-HelpdeskSME-Helpdesk
European CommissionEuropean CommissionResearch Directorate GeneralResearch Directorate GeneralRue de la Loi, 200Rue de la Loi, 2001049 Brussels, Belgium1049 Brussels, Belgium
Telephone:Telephone: +(32-2)2984160+(32-2)2984160Telefax:Telefax: +(32-2)2957110+(32-2)2957110E-Mail:E-Mail: research-sme@cec.eu.intresearch-sme@cec.eu.intWebsite:Website: www.cordis.lu/smewww.cordis.lu/sme
SME National Contact PointsSME National Contact Points
Complete list:Complete list: sme.cordis.lu/assistance/NCPs.cfmsme.cordis.lu/assistance/NCPs.cfm
SMEsSMEsFFRAMEWORK RAMEWORK PPROGRAMME ROGRAMME VIVI
(2002-2006)(2002-2006)
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