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Including SME Instrument Phase 1 SME Participation in Horizon 2020 DG Research and Innovation, Unit B.3 SMEs, Financial Instruments and State NCP.

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Presentation on theme: "Including SME Instrument Phase 1 SME Participation in Horizon 2020 DG Research and Innovation, Unit B.3 SMEs, Financial Instruments and State NCP."— Presentation transcript:

1 Including SME Instrument Phase 1 SME Participation in Horizon 2020 DG Research and Innovation, Unit B.3 SMEs, Financial Instruments and State Aid @ NCP Training October 7, 2014

2 Collaborative Projects 13% SME Instrument 7% Eurostars II Enhancing Innovation Capacity InnovFin – EU Finance for Innovators & accompanying measures Fellowships (Access to Skills) 20 % budgetary target in LEITs (IL) & SC* 'Innovation in SMEs' (IL) *= ~ EUR 9 billion of direct SME support. over the period 2014-2020 Horizon 2020 for SMEs MSCA (ES) 'Access to Risk Finance' (IL)

3 Horizon 2020 Global View – SME participation in the 3 Pillars (excl. 'Innovation in SMEs' & 'Access to Risk Finance') An Encouraging Start

4 An Encouraging Start! 9 months into Horizon implementation. SMEs represent… 1/4 of applicants (24.82%) 1/5 of beneficiaries (19.55%) 1/6 of budget allocation (16.18%) What about the target (set by Council and EP) to allocate 20% of the budget for Societal Challenges and LEITs to SMEs? For Societal Challenges. we are at close to 12% (11.98%) For LEITs. we are at about 21.4% (21.46%) For both together we are currently at 18.12% This while the full impact of SME instrument funding has not kicked in yet (no phase 2 yet) On the basis of an extrapolation taking into account the full impact of SME instrument phase 2, it can be assumed that the target will be exceeded by 2-3% for 2014-2015

5 SMEs in Excellent Science: A Mixed Bag Two sections out of four with high relevance for SME participation: 1.Future and Emerging Technologies (FETs) 2.Marie-Skłodowska-Curie Actions (MSCA) For FETs: suboptimal results, given relative attractiveness of the topics for SMEs (esp. start-ups): 7.4% of all applicants are SMEs 4.2% of all beneficiaries are SMEs 5.4% of the budget goes to SMEs 12.09% of SME applicants are successful (vs. 20.96% of all applicants) For MSCA: first information confirms that SMEs have found their way to this scheme: 11.76% of applicants are SMEs 13.77% of beneficiaries are SMEs (// close to 15 % in FP7) 10.31% of the budget goes to SMEs (// close to 11% in FP7) 19.27% of SME applicants are successful (vs. 16.45% of all applicants )

6 SMEs in Excellent Science – applicants and budget * SME applicants in the selectionRequested EU financial contribution to SME applicants in selection Priority AreaEligible Proposals Retained Proposals Success Rates Eligible Proposals (in million EUR) Retained Proposals (in million EUR) Success Rates European Research Council 200.00%0.21 0.00% FETs911112.09%344.131.915.55% MSCA130825219.27%317.8748.1615.15% Research infrastructures 00 Total: Excellent Science 140126319%352.550.0714% * As available in CORDA on 25/9/2014

7 SMEs in LEITs: Clear Chemistry Most interest (in absolute terms) for: 1.Information and Communication Technologies (ICT) [4198 SME applicants = 29.84% of total] 2.Advanced Manufacturing and Processing (AMP) – [1336 SME applicants = 30.72% of total] 3.Nanotechnologies. Advanced Materials and Production (NMP) [692 SME applicants = 44.85% of total] 4.Space (SP) [639 SME applicants = 25.58% of total] 5.Biotechnology (Biotech) [74 SME applicants = 100% of total*] Overall, reassuring figures for all LEITs: 30.65% of all applicants are SMEs 25.29% of all beneficiaries are SMEs About 1/9 of SME applicants are successful (vs. 13.38% of all applicants) 234.2 million EUR of the 1.092 billion EUR (21.46%) allocated so far went to SMEs * Only SME instrument (phase 1)

8 SMEs in LEITs – applicants and budget figures* SME applicants in the selectionRequested EU financial contribution to SME applicants in selection % of budget allocated to SMEs Priority Area Eligible Proposals Retained Proposals Success Rates Eligible Proposals (in million EUR) Retained Proposals (in million EUR) Success Rates ICT419842910.22%1188.27130.5410.99% 19.48% NMP692588.38%164.3822.1113.45% 30.86% Biotech7434.05%3.70.154.05% 100% AMP133616512.35%476.2658.1912.22% 25.58% Space63911117.37%149.6923.2315.52% 19.47% Advanced Materials 00 Total: LEITs694176611.04%1982.3234.2311.82%21.46% * As available in CORDA on 25/9/2014

9 SMEs in SC: More Highs than Lows Most interest (in absolute terms) for: 1.Health, Demographic Change and Wellbeing [1163 SME applicants = 22.1% of total] – SC1 2.Secure, Clean and Efficient Energy [959 SME applicants = 30.92% of total] – SC3 3.Climate Action, Environment, Resource Efficiency and Raw Materials [665 SME applicants = 31.49% of total] – SC5 4.Smart, Green and Integrated Transport [342 SME applicants = 48.24% of total] – SC4 5.Inclusive, Innovative and Reflective Societies [226 SME applicants = 16.78% of total] – SC6 6.Food Security, Sustainable Agriculture and Forestry, Marine, Maritime and Inland Water Research [190 SME applicants = 100% of total*] – SC2 7.Secure Societies [47 SME applicants = 100% of total*] – SC7 Overall. OK. yet budget going to SMEs should be increased (what will happen in any case with SME instrument phase 2): 28.04% of all applicants are SMEs 19.57% of all beneficiaries are SMEs About 1/10 of SME applicants are successful (vs. 14% of all applicants) 71.4 million EUR of the 595.7 million EUR (11.98%) allocated so far went to SMEs * Only SME Instrument (Phase 1)

10 SMEs in SC - applicants and budget* SME applicants in the selectionRequested EU financial contribution to SME applicants in selection % of budget allocated to SMEs Priority Area Eligible Proposals Retained Proposals Success Rates Eligible Proposals (in million EUR) Retained Proposals (in million EUR) Success Rates SC111631169.97%371.2229.78.00% 12.17% SC2173105.78%8.650.55.78% 100% SC3959636.57%231.6915.326.61% 8.33% SC43424011.7%31.373.8812.36% 16.61% SC56658512.78%137.0316.8812.32% 14.87% SC62262410.62%56.604.838.54% 16.03% SC747612.77%2.050.314.63% 100% Total: SC35753449.6%838.6171.429%11.98% * As available in CORDA on 25/9/2014

11 Collaborative Projects 13% Eurostars II Enhancing Innovation Capacity Debt & Equity Facilities & accompanying measures Fellowships (Access to Skills) 20 % budgetary target in LEITs (IL) & SC* 'Innovation in SMEs' (IL) *= ~ EUR 9 billion of direct SME support, over the period 2014-2020 Horizon 2020 for SMEs = Integrated & Complimentary Support MSCA (ES) 'Access to Risk Finance' (IL)

12 Implementation Implemented centrally by one agency (EASME) Continuously open call with around 4 cut-off dates per year 20142015 Phase 1 18/06/2014 24/09/2014 17/12/2014 Phase 2 09/10/2014 17/12/2014 Phase 1 18/03/2015 17/06/2015 17/09/2015 16/12/2015 Phase 2 18/03/2015 17/06/2015 17/09/2015 16/12/2015

13 10% budget 88% budget 2% budget

14 1 st Cut-off date 18 June 2014: 2662 proposals 2503 single company applications. 119 consortia with 2 SMEs. 34 with 3 SMEs. 6 with 4 SMEs Italy was the country with the highest number of proposals submitted (436), closely followed by Spain (420), UK (232) and Germany (188), France (167) and Hungary (166) The Open Disruptive Innovation (ODI) topic attracted by far the highest number of applications with 885. followed by low carbon energy systems (372). nanotechnologies (305) and eco-innovation/raw materials (241) 2 nd Cut-off date 24 September 2014: 1944 proposals The ranking by country remains the same as in June. with Italy in the lead in terms of number of applications (351). followed by Spain (283), United Kingdom (149), Germany (128), France (93) and Hungary (91) Open Disruptive Innovation (ODI) attracted again the biggest number of proposals (608), also followed by low carbon energy systems (268), nanotechnologies (234) and eco-innovation/raw materials (199) No further information yet on applicants SME Instrument – Phase 1 - Submission

15 only countries with submissions are shown

16 Number of proposals submitted by topic for the 2 cut-off dates:

17 Out of the 2602 eligible applications received, 317 (12%) were evaluated above threshold. The budget available for this cut-off would allow to fund 169 companies (Phase 1 project). Based on the positively evaluated applications per topic 155 projects could be funded (6%). 49% of applications above threshold will be funded  every second "good" proposal is funded. 105 out of 155 (68%) of the SMEs reportedly are newcomers to Framework Programmes. Countries with highest success rate are: Ireland (20%), Austria (15%), UK (11%), Israel (10%) and Spain (9%) Company statistics: 58% of funded SMEs have between 6 to 50 employees, 30% of SMEs micro-companies with up to 5 employees, and 11% have more than 50 employees. 25% of funded SMEs are consolidated companies with more than 11 trading years, 39% with 4 to 10 years, and 36% with up to 36%. 36% of funded SMEs have a turnover higher than €1M, 35% between €100K-€1M, 28% less than €100K. SME Instrument – Phase 1 – Evaluation / Funding after First Cut-Off Date

18

19 The 5 highest "country success rates" are: Ireland:20% Austria:15% United Kingdom: 11% Israel:10% Spain:9%

20 Analysis of received and selected proposals per topic – 1 st Cut-off Topic Proposals evaluated Max. project fundable Proposals above % positively evaluated "Success rate" %above threshold and funded ICT 37: Open Disruptive Innovation Scheme 886 30 10712%28% NMP 25: Accelerating the uptake of nanotechnologies, advanced materials or advanced manufacturing and processing technologies by SMEs 310 15+2 299%59% BIOTECH 5: SME boosting biotechnology-based industrial processes driving competitiveness and sustainability 743 811%38% LEIT Space-SME 614 4 7%100% PHC12 :Clinical research for the validation of biomarkers and/or diagnostic medical devices 20844 (20%) 2412%100% Fairly high number of proposals above threshold High number of ineligible or wrongly submitted proposals: 66 Fewer than possible projects positively evaluated

21 Analysis of received and selected proposals per topic – 1 st Cut-off Topic Proposals evaluated Max. project fundable Proposals above % positively evaluated "Success rate" %above threshold SFS8: Resource-efficient eco-innovative food production and processing BG12: Blue Growth 125 48 7 37 3 29 6 23% 12% 24% 50% SIE 1: Stimulating the innovation potential of SMEs for a low carbon and efficient energy system 374 22+1 4612%50% IT.1: Small business innovation research for Transport 227 24+2 2612%100% SC-5-20: Boosting the potential of small businesses for eco-innovation and a sustainable supply of raw materials 24811+1 3213%38% DRS17-Protection of urban soft targets and urban critical infrastructures 416615%100% Many proposals above threshold

22 Too much project focussed, not enough business opportunity oriented Description of company not convincing (why would this company succeed and not the competitor?!) No information on competing solutions Innovation content too low; product exists already on the market (just incremental improvement) Just ideas, no proof of existing commercialisation concept (TRL far too low) Just trying one's luck First analysis of reasons for unsuccessful phase 1 proposals:

23 Submission process not yet optimal (85% of the submitted proposals arrived within the last 48h prior to the cut-off date). Presentation of the call at proposal submission level is not yet optimal (70 proposals had to be transferred from one topic to another upon request by the applicants, with the majority of the cases due to misinterpretation of the applicant). Level of feedback from evaluation to applicants will be improved, yet speed (short time-to-grant) will remain the most important preoccupation. Pool of evaluators will be broadened from current 521 to about 1000 (more business, financial profiles!) Lessons learned and aspects for improvement:

24 Research and Innovation Research and Innovation Your reaction, feedback based on your contacts with stakeholders? Are there any specific issues that need to be better explained/clarified to potential proposers? Questions?


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