How can small and medium-sized enterprises participate in FP7

1. Rajko Sabo, M.Sc. Undersecretary FP7 SME NCP Ministry of Higher Education, Science and Technology Slovenia Chişinău, 9 October, 2009 MINISTRY OF HIGHER EDUCATION, SCIENCE AND TECHNOLOGY TECHNOLOGY DIRECTORATE How can small and medium-sized enterprises participate in FP7 www.mvzt.gov.si, e: gp.mvzt@gov.si Kotnikova 38, 1000 Ljubljana t: 01 478 4600, f: 01 478 4719

2. “Capacities” in the FP7 “Research for the benefit of SMEs“ in “Capacities” “Work Programme 2010 Capacities” The Call “FP7-SME-2010-1” “Guidelines for Applicants” Some instructions for the applicants CONTENTS

3. co-operation– 32,4 mrd € ideas – frontier research - new knowledge7,5 mrd € people – mobility of the researchers4,8 mrd € CAPACITIES– research capacities4,1 mrd € JRC and Euroatom – JRC, nuclear research1,7 + 2,7 mrd € = 4,4 mrd € Framework programme 7:2007-2013(50,5 mrd €)

4. FP7 2007–2013 budget breakdown

5. Budget: 4,1 mrd€ (2007-13) The Capacities programme supports research, technology and innovation capacities throughout Europe and ensure their optimal use, with the aim to become a globally successful knowledge based society. 7 operational fields: research infrastructures research for the benefit of SMEs regions of knowledge research potential of Convergence Regions science in society support to the coherent development of research policies international co-operation FP7 - “Capacities”

6. research for SMEs EraSME – ERA-NET started in FP6 devoted to RTD for SMEs; 17 countries/regions involved research for SME associations CORNET – ERA-NET started in FP6 devoted to collective research for the industrial (SMEs) associations; 21 countries/regions involved These actions faciliate the participation of SMEs in RTD. SMEs make a vast majority of the European industry since there are 23 million SMEs, i.e. 99 % of all businesses. “Capacities”- Research for SMEs

7. Communication strategyKey message FP7

8. The work programme was adopted by the Commission, with the assistance of the Programme Committee, and Advisory Groups in 29 July 2009. This work programme provides additional details of the implementation of the Specific Programme, setting out information on the priorities, objectives and policy relevance of the research topics which are being implemented through calls for proposals until the end of 2009. This work programme also contributes to the complementarity of support for RTDI besides the FP7, the Competitiveness and Innovation programme (CIP) and the Structural Funds. Capacities: Work Programme 2010

9. This WP contributes to the objective for European policy of developing an open, competitive, excellent European Research Area (ERA). The main premise for ERA is to overcome deficiencies arising from: fragmentation, sub-criticality, duplication in R&D activities, a lack of policy coherence and coordination at all levels. The realisation of ERA depends upon on the impact of the Ljubljana Process (30.5.2008) on to high-level political/ ministerial commitment to long-term actions and partnerships among the Member States and the EC. It is oriented towards enabling the 5th freedom besides those 4 on the Common Market, (i.e. freedom of movement of people, goods, capital and services), and that isfreedom of circulation of researchers, knowledge and technologywithin Europe. Capacities, WP 2010 – general

10. The overall aim of the WP 2010 is to enhance research and innovation capacities throughout Europe: to optimize new and existing research infrastructures in Europe to strengthen the innovation capacity of SMEs to enhance the research potential of European regions to unlock the research potential of the EU's convergence and outermost regions to stimulate the harmonious integration of scientific and technological endeavor into European society to improve the coherence of national and European Community research policies; and to build strategic R&D partnerships with non-EU countries. WP 2010 - Specific objectives

11. The scope of WP 2010 is planning call for proposals launched in 2nd half of 2009. Theprojects are encouraged to promote gender equality in research, to have a balanced participation of women andmen in their research activities and to raise awareness on combating gender prejudices andstereotypes, and gender differences that might exist. All research carried out under this work programme must respect fundamental ethical principles, The Commission is fully committed to the principles set out in the declaration on the use ofhuman embryonic stem cells. For instance, the Commission will not fund projectswhich destroy human embryos. Scope, gender, ethical aspects

12. This specific programme will support a range of actions involving the active collaboration of research teams from all sectors, including industry, SMEs, universities and other higher education institutions, research institutes and centres, international European interest organisations, civil society organisations, and any other legal entities. The funding schemes: Collaborative Projects Networks of Excellence Coordination Support Actions, and Research for the benefit of Specific Groups (in particular SMEs). Supported actions,funding schemes

13. legal entities based in EU Member States legal entities based in Associated Countries (with the same rights and obligations) legal entities from International Cooperation Partner Countries – ‘ICPC ’ (with the same rights and obligations) legal entities from third countries (various restrictions may apply). Who may participate

14. The coordination of non-Community research programmes is an important and integral part of the development of the European Research Area. Actions foreseen in the Capacities WP will make use of two specific approaches: the ERA-NET scheme and the participation of the Community in joint research programmes (through Article 169 of the Treaty). An example of such Article 169 initiative was presented in 2007, with great success. This initiative is called 'Eurostars‘. The coordination of non-Community research programmes

15. This new financing instrument has been designed by the European Investment Bank with the support of the EC. It improves access to loans for those RTD actions which often involve a high level of risk and is designed as a support to overcome market deficiencies. Important examples for use of RSFF are the development of research infrastructures as well as infrastructure services. Risk-Sharing Finance Facility

16. Proposals should be submitted in accordance with the terms set out in a call for proposals. Applicants should consult the following documents: PRIMARY: The text of the call for proposals (Official Journal EU, website (such as the CORDIS website); This work programme 2010; and The relevant Guide for Applicants SECONDARY: Rules for Participation for FP7 Rules for Submission of Proposals and the Related Evaluation, Selection and Award Procedures Commission Recommendation on the European Charter for Researchers, and Commission Recommendation on a Code of Conduct for the Recruitment of Researchers. Submitting a Proposal

17. In addition, every Member State and Associated country has appointed a set of National Contact Points (NCPs) to assist potential and successful applicants. There is a NCP for each of the parts of the Capacities Programme, except for the 'Support to the Coherent Development of Research Policies'. Applicants are encouraged to make contact with the relevant NCP from their country. National Contact Points

18. The Commission uses an internal information tool, called Early Warning System (EWS), as well as a database available to public authorities implementing EU funds – Central Exclusion Database (CED) to flag identified risks related to beneficiaries of centrally managed contracts and grants with a view to protecting the EU's financial interests. Early Warning System &Central Exclusion Database

19. This work programme draws on financing from the 2010 budgetary year. All budgetary figures given in this work programme are indicative. Unless otherwise stated, final budgets may vary following the evaluation of proposals. The final budget awarded to actions implemented through calls for proposals may vary: The total budget of the call may vary by up to 10% of the total value of the indicated budget for each call The final budgets for evaluation, monitoring and review may vary by up to 20% of the indicated budgets for these actions The final budget awarded for all other actions not implemented through calls for proposals may vary by up to 10% of the indicated budget for these actions. Budget Figures in WP 2010

20. ANNEX 1: LIST OF INTERNATIONAL COOPERATION PARTNER COUNTRIES (‘ICPC’) ANNEX 2: ELIGIBILITY AND EVALUATION CRITERIA FOR PROPOSALS ANNEX 3: FORMS OF GRANT AND MAXIMUM REIMBURSEMENT RATES FOR PROJECTS FUNDED ANNEXES 1 - 3

21. A proposal will only be considered eligible if it meets all of the following conditions: It is received by the Commission before the deadline It involves at least the minimum number of participants given in the call text. It is complete (i.e. both the requested administrative forms and the proposal description are present). The content of the proposal relates to the topic(s) and funding scheme(s), including any special conditions, set out in those parts of the work programme. It does not contravene fundamental ethical principles and it complies with the relevant security procedures. Other eligibility criteria may be given in the call text. ANNEX 2: Eligibility conditions

22. The evaluation criteria are: relevance to the objectives of these specific programmes; the potential impact through the development, dissemination and use of project results; scientific and/or technological excellence; the quality and efficiency of the implementation and management. The work programmes may specify the evaluation and selection criteria and may add additional requirements, weightings and thresholds, or set out further details on the application of the criteria. ANNEX 2: Evaluation criteria

23. Annex 3 – Forms of grant and reimbursement % • Form of grant REIMBURSEMENT OF ELIGIBLE COSTS • Maximum reimbursement rates

24. Publication date: 30.7.2009 Deadline:3.12.2009, at 17:00 (Brussels local) Indicative budget: 137 mio € ± 10 % Topics: the call is open to all research fields (except nuclear energy research, which has special programme => Euratom) Funding scheme: Research for the benefit of specific groups (in particular SMEs) The call: FP7-SME-2010-1

25. Evaluation procedure: the evaluation will follow a single stage procedure; proposals will not be evaluated anonymously. Details on evaluaton scoring: scoring 0 to 5, halfmarks possible no weightings will be applied min thresholds are: S&T quality-3, implementation-3, impact-4 overall threshold (the sum) will be 11. Proposals must conform to the page limits and the layout given. Experts might be instructed to disregard any excess pages! Evaluation procedure

26. The participants will be required to submit a signed consortium agreement before the signature of the grant agreement. It addresses issues such as the internal organisation of the consortium and the management of the Community financial contribution. Within the Description of Work in the proposal, the rules on dissemination and use, including intellectual property rights management and the settlement of internal disputes, are described. Consortium agreements

27. Evaluation results estimated to be available within 3 months after closure date. Grant agreement signature: it is estimated that the first grant agreements related to the call will come into force 6 months after the closure date. The objective is that all grant agreements will have been completed 9 months after the closure date. A reserve list of proposals will be established (more in “Guidelines for Applicants”) Indicative timetable

28. The general eligibility criteria for the different funding schemes are set out in Annex 2 to this work programme and in the guide for applicants. The completeness criterion also includes that the proposal shall be readable, accessible and printable. At least 3 participants must be independent SMEs established in at least 3 MS or AC. At least 2 participants must be RTD performers independent from any other participant. Eligibility conditions

29. The call FP7-SME-2010-1 is being managed by theResearch Executive Agency (REA). Proposals describe planned research activities, information on who will carry them out, and costs. They must be submitted before thedeadline (strictily!). The REA evaluates all eligible proposals in order to identify those whose quality is high enough for possible funding. The basis forevaluationsare independent expert peer-reviews. The REA thennegotiateswith those whose proposals havesuccessfully passed the evaluation stage, depending on the budget available. If negotiations are successfully concluded, grant agreementsproviding for an EU financial contribution are established with the participants. Guidelines for Applicants

30. The budget, the duration of the projects and the size of the consortium should provide the necessary resources to achieve the objectives. The relevant Work Programmes may include recommendations for the total budget, the duration of the projects and/or the number of participants. Size, resources, and duration

31. Research for SMEs: 3 SME participants (from three different Member States or Associated countries) and 2 RTD performers (independent from any other participant); Research for SME associations: SME associations (3 independent associations from three different Member States or Associated countries. Alternatively, 1 European SME association/grouping established in a MS or AC. This association/grouping must be made up of a minimum of 3 independent legal entities established in 3 MS or AC), 2 RTD performers (independent from any other participant) and at least 2 SMEs (as other enterprises and end-users) established in 2 MS or AC. Minimal consortium

32. For a given proposal, thecoordinatoracts as thesingle point of contactbetween the participants and the REA. The coordinator is generally responsible for the overall planning of the proposal and for building up the consortium Annex 1 to Guide for applicants gives references to these further sources of help for this call: The general enquiry service on any aspect of FP7. Questions can be sent to a single e-mail address A help desk has been set up for questions related to theElectronic Proposal Submission Service(EPSS). A further help desk providing assistance onintellectual property rights. Any other guidance documents, background information, and contact adresses, relating to this call (information daymay be organised). Coordinator, help desks

33. In principle, a legal entity may participate in a proposal no matter where it is established. A legal entity can be a so-called "natural person" (he or she) or a "legal person“ (enterprise, institute, etc.). The following may receive EU funding in FP7: Who may participate?

34. Any legal entity established in a Member State or an Associated country (including the European Commission’s Joint Research Centre), or created under Community law (e.g. a European Economic Interest Grouping), Any International European Interest Organisation Any legal entity established in an FP7 International Cooperation Partner Country (ICPC). The ICPCs are listed on the CORDIS web site, and in Annex to the work programme. Who may participate? (2)

35. In the case of a participating international organisation, other than an intn’l European interest organisation, or a legal entity established in a non-EU country other than an AC or ICPC, a Community financial funding may be granted provided that one of the following conditions is met: (a)Provision is made to that effect in the specific programmes or in the relevant work programme, or (b) It is essential for carrying out the indirect action, or (c) Such funding is provided for in a bilateral S & T agreement or any other arrangement between the Community and the country in which the legal entity is. Who may participate? (3)

36. Only the coordinator is authorised to submit the proposal Proposals must be submitted electronically, using the Electronic Proposal Submission Service (EPSS). Proposals arriving at the REA by any other means are regarded as ‘not submitted’, and will not be evaluated! Proposals must be submitted on or before the deadline specified in the Call fiche. It is coordinator’s responsibility to ensure the timely submission of a proposal. The EPSS will be closed for after the call deadline Please note that you may submit successive drafts of your proposal through the EPSS. Each successive submission overwrites the previous version Withdrawing a proposal is possible at any time. Proposal submission

37. Shortly after the call deadline (12 days) the REA will send acknowledgements of receiptto the coordinators (e-mails). The REA will check that proposalsmeet the eligibility criteriathat apply to this call and funding scheme. All eligible proposals will be evaluated by independent experts. Based on the results of the evaluations, and according to the available budget, the REA – together with the Commission – makes three lists: the final list of proposals for possible funding, the reserve list and the fail list. Official letters are then sent to the applicants. If all has gone well, this letters will mark the beginning of a negotiationsphase. What happens next

38. Negotiations between the applicants and the REA aim to conclude a grant agreement for EU funding.They cover: the scientific the technological, the administrative, and the financialaspects of the project. They will also refer to: any recommendations by the experts concerning modifications of the work in the proposal, any ethical review recommendations, if any any security aspects recommendations, if relevant. (See Negotiation Guidance Notes) Negotiations

39. Indicative timetable for this call

40. Why the FP7 is not so easy? complexity administration low success rate management of the intellectual property rights Some instructions for the applicants

41. read carefully the topics and characteristics find the most suitable call for proposals the content of the proposal has to match the topic(s) and scope when it is the first time, be a participant rather than the co-ordinator search for experienced partner(s) Important issues inwriting a project proposal

42. fulfil all the eligibility conditions at writing take care about evaluation criteria project has to demonstrate: awareness of the state of the art clear goals and milestones well determined way to achieve the goals Important issues in writing a project proposal (2)

43. let the proposal writing to be done by someone who already has a successful project ensure that the proposal is written clearly and understandable project proposal should be optimal in size enough detailed, but not over-sized project should be strucured first things first Important issues in writing a project proposal (3)

44. writing should be of good quality and deprived of grammatical errors one should take into consideration that most of the evaluators are not native English speakers that the time to read and evaluate each proposal is limited Important issues in writing a project proposal (4)

45. prepare project plan carefully and in details: split project in phases define tasks determine milestones set up clear results determine deliverables. Important issues in writing a project proposal (5)

46. project should demonstrate European added value project consortium should settle legal and financial issues different meaning and interpretation of the same terms in different countries project should be well balanced Important issues in writing a project proposal (6)

47. Major threats that could jeopardise a project to fail, are: inadequate management weak agreement on intellectual property rights handling (e.g. patents, licences,upgrades of ICT, deliverables) project proposal does not states in detail potential impact of the project results (financial, market, employment and growth) improper dissemination of the results and training Threats

48. The initiative related to programme EUREKA is called 'Eurostars‘. It is aimed at supporting research & development performing SMEs. In this work programme only ERA NETs which are within the scope of one of the parts will be supported and any call is clearly indicated in that part. An additional EUR 17 million of the 2010 budget will be dedicated to EUROSTARS (Art 169). Eurostars

49. EraSME

50. CORNET