HORIZON 2020 SME Instrument
ŠTATREBA ZNATI
EASME Portal:
http://ec.europa.eu/easme/sme_en.htm
Haris Hadžialić and Jasna Malkoč
email info@globalgps.ba
Najčešće postavljanja pitanja
Who can apply?
Only a single for-profit SME or a consortium of for-profit SMEs can apply
for funding under the SME instrument. Other partners like research
providers or larger companies can be involved as third parties, in
general in a subcontracting relationship.
Can I apply as single entity?
If you are a for-profit SME, yes.
For-profit SMEs’ means micro-, small- and medium-sized
enterprises, as defined in Commission Recommendation
2003/361/EC, that are not 'non-profit legal entities' as defined in
Article 2 of the Rules for Participation and Dissemination (‘legal
entity which by its legal form is non-profit-making or which has a
legal or statutory obligation not to distribute profits to its
shareholders or individual members’)..
Can SMEs from third countries participate?
Only applications from a single SME or a consortium of SMEs, that are all established
in EU Member States or countries associated to Horizon 2020 are eligible for
funding. In principle, SMEs established in third countries could be involved as
third parties, for example in a subcontracting relationship.
Is there a limitation to participation of beneficiaries to a maximum number of
applications/projects at any time regarding the SME instrument?
The rule is: no concurrent submission or implementation with another phase 1 or
phase 2 project, be it as lead (even single) applicant or partner in an SME
consortium.
In case the applicant or any of the members of the consortium would have submitted
another application for SME instrument Phase 1 or Phase 2, it is not possible to
submit a proposal until the moment an applicant receives the information that
the submitted proposal will not be funded. If a proposal has been accepted for
funding and for the duration of the project, it is also impossible to submit a
proposal since it would be ineligible.
Horizon 2020 as a single programme
 Horizon 2020 is a single programme
combining
 The Frame Programme 7,
 the European Institute of Innovation and
Technology (EIT) and
 the Competitiveness and Innovation Framework
Programme (CIP).
 It is a one-stop shop for acquiring European
project funding.
Simplified set of financial rules
 The EU contribution is
 up to 100% of the total eligible costs for
R&D projects
 and up to 70% for innovation projects.
 In all cases indirect costs will be
covered by a flat rate of 25% of the
direct costs.
TARGET SHIFT
PROMJENA ODREĐENJA
from
SCIENCE with SMEs
towards
SMEs with SCIENCE
“SMEs in the driver seat”
SCOPE SHIFT
PROMJENA OBLIKA
from
TECHNOLOGY segmentation
towards
CHALLENGE oriented segmentation
“Market driven, bottom-up”
SYSTEM SHIFT
PROMJENA SISTEMA
from
Specialised programme structures
towards
INTEGRATIVE architecture
“Synergies of support measures”
Horizon 2020
Societal Challenges
 Health, demographic change and
well-being
 Food security, sustainable agriculture,
marine and maritime research, and
the bio-economy
 Secure, clean and efficient energy
 Smart, green and integrated transport
 Climate action, resource efficiency
and raw materials
 Inclusive, innovative and secure
societies
EIT
31748 M€*
Industrial Leadership
 Leadership in enabling and
industrial technologies (LEITs)
 Access to risk finance
 Innovation in SMEs
Excellent Science
 European Research Council (ERC)
 Future and Emerging Technologies (FET)
 Marie Curie Actions
 Research infrastructure
24598 M€*
17938 M€*
Strategic positioning
Horizon 2020
Collaborative
Research
Target: R&D
topics
R&D
driven
projects
Eurostars
Target: R&D
intensive SME
Horizon 2020
SME instrument
Target: Business
innovation motivated
SMEs
Market
opportunity
driven
projects
Coaching and EEN support
Phase 1
Phase 2
Phase 3
Regional
EEN
Initial
Assessment
HR
…
Facilitation and Moderation
SME
Instrument
Coaching (not part of EEN)
Support for
Application
Support for EU project
Management
Support for Access to
Finance
12
HORIZON 2020
 Fast track to Innovation Topic
Under the Fast Track to Innovation (FTI) pilot, proposals for innovation
actions linked to any technology field are covered, on the basis of a
continuously open call (with its first cut-off date in 2015) and a bottomup-driven logic. FTI allows small innovative projects to be funded at any
time.
 Collaborative projects
Collaborative projects are a major part and the core activity of European
research funding. Research and development in Public Private
Partnerships is promoted. Projects are carried out by consortia with
participants from different countries and with different activity types,
such as higher education institutions, research centres and industry,
including SMEs. A number of topics have a special focus on SMEs by
setting apart a major part of the budget for R&D activities for SMEs. The
size, scope and internal organisation of projects are defined in the
various Work Programmes.
HORIZON 2020
 Eurostars
Research-intensive SMEs are addressed by
Eurostars 2, the follow-up of the successful
Eurostars programme. Eurostars aims to support
R&D performing SMEs by co- financing marketoriented innovation activities with a bottom-up
approach. The budget of the programme will be
significantly higher than its predecessor. With
streamlined and improved procedures, Eurostars 2
will promote technological progress and business
development, whilst boosting employment and
export for European small businesses.
Access to risk finance
 Access to risk finance aims to leverage private Research &
Innovation investments, including venture capital investments
for innovative, high-tech companies - in particular SMEs.
Horizon 2020 allocates a budget of € 2.84 billion for financial
instrument facilities and accompanying measures for
Research & Innovation. At least one-third of this amount is
likely to be dedicated to SMEs and small mid-caps.
 Two financing facilities will be available:
 A debt facility providing loans, guarantees and other forms of debt
finance to entities of all forms and sizes, including research and
innovation-driven SMEs;
 An equity facility providing finance for early-stage and growth-stage
investments, with a particular focus on early-stage SMEs with the
potential to carry out innovation and grow rapidly.
 Access to risk finance is implemented via the European
Investment Bank and the European Investment Fund and/or
other financial institutions of comparable stature.
The organisation of a
mentoring scheme
Network of
innovation
Agencies
Investors
Networks
(e.g. EBAN,
EVCA)
(e.g. TAFTIE)
Industry
Sector
Platforms
Specialist support
for SMEs
Coaching/
(Associations,
Mentoring Networks
Clusters)
Coaching «strategic innovation»
Central EC
management
Coaching «financing»
(e.g. Exec. Agency)
Coaching «technological innovation»
EEN
SME/
Start-up
Horizon 2020
Idea/Concept = Business plan I
Phase 1: Concept
and feasibility
assessment
Input: Idea/Concept:
"Business Plan 1"
(~ 10 pages)
10% budget
Feasibility of concept
Risk assessment
IP regime
Partner search
Design study
Pilot application
intention
Business plan II
Phase 2: R&D,
demonstration,
market replication
Input: "Business plan
2" plus description of
activities under Phase
2 (~ 30 pages)
88% budget
Development,
prototyping, testing
Piloting innovative
processes, products
and services
Miniaturisation/design
of products
Planning & developing
scaling-up (market
segments, process etc.)
Market replication
10% success
30-50% success
Business plan III
Lump sum: around
50.000 €
Cost reimbursement:
0.5 to 2.5 M€ EC funding
~ 6 months
12 to 24 months
Phase
3+coaching
 2%
budget
Phase 3:
Commercialisation
Quality label for
successful projects
Facilitate access to
private finance
Support via networking ,
training, coaching,
information, addressing
i.a. IP management,
knowledge sharing,
dissemination
SME window in the EU
financial facilities (debt
facility and equity
facility)
No direct funding
Demand
Based on various surveys (EVCA, EIM, NESTA), it is estimated that
about 1% to 6 % of all SMEs belong to the target group, i.e. 200,000
to 1.2 million SMEs.
Without restrictions it is estimated to receive 10,000 to 15,000 SME
applications for Phase 1 every year.
This number is limited in case of topic oriented calls
Measures to "reduce" applications:
1.
Only one application per company (in both phases)
2.
This implies: no possibility to apply for Phase 1 during the submission and/or
implementation of a Phase 2 project and vice versa.
3.
Advice by the support network(s)
4.
SMEs should be encouraged to enter the scheme in Phase 1
Volumes and funding (overall~2,8 B€over 2014-2020)
5,200
Phase 1
projects
2% coaching
10%
50 k€ lump sum
23 miliona SME je baza
iz koje svake godine konkuriše
minimalno 48000 firmi za grantove
1,700 Phase 88% Phase 3
projects
2 projects*
Access to risk finance
0,5 to 2,5 M€
Phase 1
Phase 2
Phase 3
*Average size of 1.5 M€
Or 2550 projects of 1 M€, 1250 of 2 M€…
Main features
• Targeted at all types of innovative SMEs showing a
strong ambition to develop, grow and internationalise
(EU dimension)
• Combination of demonstration and market replication
encouraging the involvement of end users/potential
clients, research as appropriate
• Only SMEs allowed to apply for funding
• Single company support possible
20
Main features (2)
• Simple rules and procedures
• Continuous open call with 3-4 cut-off dates per year
• No obligation for applicants to sequentially cover all
three phases; Each phase open to all SMEs; however
SME strongly encouraged to go in phase1
• Bottom-up approach, each SC & LEIT themes defines a
broad topic
• Central implementation through Executive Agency
Evaluation
1. Remote evaluation whole process
2. Suggestion to abandon consensus meetings
3. Long feedback loops ("ESRs") slow down the
process
4. Evaluation criteria focus :
a) Excellence
b) Impact
c) Quality and efficiency of the implementation
5. Competences of evaluators is important
Award Criteria - DRAFT
Excellence:
Impact:
• Soundness of the
concept,
including transdisciplinary
considerations;
• Enhancing innovation capacity
and integration of new
knowledge;
• Progress beyond
the state of the
art.
Quality of the
implementation:
• Competences,
experience and
complementarity of
• Strengthening the
the individual
competitiveness and growth of
participants, as well
companies by developing
as of the consortium
innovations meeting the needs
as a whole;
of European and global markets;
• Appropriateness of
• Effectiveness of the proposed
the management
measures to communicate the
structures and
project, disseminate and/or
procedures,
exploit the project results, and
including risk
appropriate management of IPR.
management.
Nacrt tema
Area
LEIT ICT
Topics &Budget
Open Disruptive Innovation Scheme; 45 M€ per year,
Estimated projects per year: 90 phase 1, 26 phase 2
LEIT Nanotechnology Accelerating the uptake of nanotechnologies, advanced materials or advanced
LEIT Advanced
manufacturing and processing technologies by SMEs
materials
21.8 M€ (2014), 23.8 M€ (2015)
&processing
Estimated projects: 43 phase 1 , 13 phase 2 (2014)
LEIT Advanced
Estimated projects: 47 phase 1, 14 phase 2 (2015)
manufacturing
LEIT Biotech
SME boosting biotechnology-based industrial processes driving competitiveness
and sustainability; 3.80 M€ (2014), 2.40 M€ (2015)
Estimated projects: 7 phase 1, 3 phase 2 (2014)
Estimated projects: 5 phase 1, 1 phase 2 (2015)
LEIT Space
SME innovation in space applications, 8.5 M€ (2014), 8.75 M€ (2015)
Estimated projects: 17 phase 1, 5 phase 2 (2014)
Estimated projects: 18 phase 1, 5 phase 2 (2015)
Nacrt tema
Area
SC2 Bio-economy
SC3 Energy
SC4 Transport
SC5 Climate
Topics &Budget
Resource-efficient eco-innovative food production and processing 9 M€ (2014), 17 M€ (2015)
Estimated projects: 18 phase 1, 5 phase 2 (2014)
Estimated projects: 34 phase 1, 10 phase 2 (2015)
Supporting SMEs efforts for the development - deployment and market replication
of innovative solutions for blue growth 6.8 M€ (2014), 7.4 M€ (2015)
Estimated projects: 13 phase 1, 4 phase 2 (2014)
Estimated projects: 15 phase 1, 4 phase 2 (2015)
Stimulating the innovation potential of SMEs in a low carbon and efficient energy system
33.95 M€ (2014), 37.26 M€ (2015)
Estimated projects: 67 phase 1, 20 phase 2 (2014)
Estimated projects: 74 phase 1, 22 phase 2 (2015
Small business innovation research for Transport 35.87 M€ (2014), 38.96 M€ (2015)
Estimated projects: 72 phase 1, 21 phase 2 (2014)
Estimated projects: 78 phase 1, 23 phase 2 (2015)
Boosting the potential of small businesses for eco-innovation and a sustainable supply
of raw materials; 17M€ (2014), 19 M€ (2015)
Estimated projects: 34 phase 1, 10 phase 2 (2014)
Estimated projects: 38 phase 1, 11 phase 2 (2015)
Nacrt tema
Area
SC6 IIIS
Topics &Budget
no topic in 2014
Innovative mobile e-government applications by
SMEs, 4M€ (2015)
Estimated projects: 8 phase 1, 2 phase 2
SME business model innovation, 11 M€ (2015)
Estimated projects: 22 phase 1, 6 phase 2
SC7 Security
Protection of urban soft targets and urban critical infrastructures 7 M€ (2014), 7.4 M€ (2015)
Estimated projects: 14 phase 1, 4 phase 2 (2014)
Estimated projects: 15 phase 1, 4 phase 2 (2015)
Total
254.82 M€ (2014)
266.97 M€ (2015)
Raspored dešavanja - preliminarno
Phase 1
2014
Phase 2
Phase 1
2015
Phase 2
18/06/2014
09/10/2014
18/03/2015
18/03/2015
24/09/2014
17/12/2014
17/06/2015
17/06/2015
17/09/2015
17/09/2015
16/12/2015
16/12/2015
17/12/2014