THE REPUBLIC OF SLOVENIA Chişinău, 9 October 2009 1 THE REPUBLIC OF SLOVENIA How can small and...

THE REPUBLIC OF SLOVENIA

Chişinău, 9 October 20091

How can small and medium-sized enterprises participate in FP7

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

www.mvzt.gov.si, e: [email protected]

Kotnikova 38, 1000 Ljubljana

t: 01 478 4600, f: 01 478 4719



CONTENTS

• “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



Framework programme 7:2007-2013 (50,5 mrd €)

• co-operation – 32,4 mrd €

• ideas – frontier research - new knowledge 7,5 mrd €

• people – mobility of the researchers 4,8 mrd €CAPACITIES– research capacities 4,1 mrd €

• JRC and Euroatom – JRC, nuclear research 1,7 + 2,7 mrd € = 4,4 mrd €



FP7 2007–2013 budget breakdown



FP7 - “Capacities”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



“Capacities”- Research for SMEs

• 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.



Communication strategyKey message FP7

Communication strategyKey message FP7

SloganSMEs and Research: creating knowledge for growth

Communications baselineThe Seventh Framework Programme (FP7) provides financial support for transnational research for and by SMEs wishing to innovate and improve their competitiveness, by enhancing their investment in research activities to acquire new knowledge for growth in Europe's knowledge based economy.



Capacities: Work Programme 2010

• 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, WP 2010 – generalThis 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 is freedom of circulation of researchers, knowledge and technology within Europe.



WP 2010 - Specific objectives

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.



Scope, gender, ethical aspects• The scope of WP 2010 is planning call for proposals

launched in 2nd half of 2009.• The projects are encouraged to promote gender equality

in research, to have a balanced participation of women and men in their research activities and to raise awareness on combating gender prejudices and stereotypes, 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 of human embryonic stem cells. For instance, the Commission will not fund projects which destroy human embryos.



Supported actions,funding schemes 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).



Who may participate

• 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).



The coordination of non-Community research programmes

• 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‘.



Risk-Sharing Finance Facility

• 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.



Submitting a Proposal• 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 ApplicantsSECONDARY:– 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.



National Contact Points

• 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.



Early Warning System &Central Exclusion Database

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.



Budget Figures in WP 2010

• 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.



ANNEXES 1 - 3

• 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



ANNEX 2: Eligibility conditionsA 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: Evaluation criteria

• 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 3 – Forms of grant and reimbursement %

• Form of grant

REIMBURSEMENT OF ELIGIBLE COSTS• Maximum reimbursement rates

non-profit public bodies, secondary and higher

education establishments, RTOs and SMEs

all other organisations

RTD 75% 50%

demonstation activities 50% 50%

coordination & support 100% 100%

management, auditing, and other 100% 100%



The call: FP7-SME-2010-1

• 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)



Evaluation procedure

• 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!



Consortium agreements

• 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.



Indicative timetable

• 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”)



Eligibility conditions

• 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.



Guidelines for Applicants• The call FP7-SME-2010-1 is being managed by the

Research Executive Agency (REA).• Proposals describe planned research activities,

information on who will carry them out, and costs.• They must be submitted before the deadline (strictily!).• The REA evaluates all eligible proposals in order to

identify those whose quality is high enough for possible funding. The basis for evaluations are independent expert peer-reviews.

• The REA then negotiates with those whose proposals have successfully passed the evaluation stage, depending on the budget available.

• If negotiations are successfully concluded, grant agreements providing for an EU financial contribution are established with the participants.



Size, resources, and duration

• 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.



Minimal consortium

• 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.



Coordinator, help desks • For a given proposal, the coordinator acts as the single

point of contact between 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 the Electronic Proposal Submission Service (EPSS).

• A further help desk providing assistance on intellectual property rights.

• Any other guidance documents, background information, and contact adresses, relating to this call (information day may be organised).



Who may participate?

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? (2)

• 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? (3)• 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.



Proposal submission• 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.



What happens next

• Shortly after the call deadline (12 days) the REA will send acknowledgements of receipt to the coordinators (e-mails).

• The REA will check that proposals meet the eligibility criteria that 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 negotiations phase.



Negotiations

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 financial aspects 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)



Indicative timetable for this call

Publication of call 30 July 2009

Deadline for submission of proposals03 December 2009,

17:00

Evaluation Summary Reports sent to

proposal coordinators ("initial information letter")

March - 2010

Invitation letter to successful

coordinators to launch grant agreement

negotiations with REA services

April - 2010

Letter to unsuccessful applicants May - 2010

Signature of first grant agreements June - July 2010



Some instructions for the applicants

Why the FP7 is not so easy?

• complexity

• administration

• low success rate

• management of the intellectual property rights



Important issues inwriting a project proposal

• 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 in writing a project proposal (2)

• 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




• 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




• 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




• prepare project plan carefully and in details:– split project in phases– define tasks– determine milestones– set up clear results– determine deliverables.




• 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



Threats

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



Eurostars

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).



EraSME



CORNET



Further information

http://cordis.europa.eu/fp7/home_en.html



Further information

http://www.enterprise-europe-network.ec.europa.eu/index_en.htm



Further information http://ec.europa.eu/research/index.cfm DG Research http://ec.europa.eu/dgs/enlargement/index_en.htm DG

Enlargement http://ec.europa.eu/research/sme-techweb/ SME Web http://cordis.europa.eu/fp7/home_en.html FP7 Home Page http://www.ncp-sme.net/ TransCoSME NCP NET http://www.enterprise-europe-network.ec.europa.eu/index_en.ht

m EEN

phone: +3861-4784640, [email protected] the author

MINISTRY OF HIGHER EDUCATION, SCIENCE AND TECHNOLOGY

TECHNOLOGY DIRECTORATE

www.mvzt.gov.si, e: [email protected]

Kotnikova 38, 1000 Ljubljana

t: 01 478 4600, f: 01 478 4719

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