h2020 sme instrument
TRANSCRIPT
SME instrumentMarch 23, 2015 – Marco Bouwkamp
Contents
• What is the SME‐instrument
• Preparing an application for the SME instrument
• Evaluation procedure and ranking
• Take home messages
• Grant writing
What is the SME instrument
What is the SME instrument
• Horizon 2020 funds high‐potential innovation through a dedicated SMEinstrument, which offers seamless business innovation support under the section Societal Challenges and the specific part Leadership in Enabling and Industrial Technologies
• What does it offer:o Business innovation grants for feasibility studies
o Business innovation grants for innovation development and demonstration
o Free‐of‐charge business coaching
What is the SME instrument
Definition of an SME
Enterprise category
Headcount (annual work unit)
AnnualTurnover
Annual balancesheet total
Medium‐sized < 250 ≤ € 50 million ≤ € 43 millionSmall‐sized < 50 ≤ € 10 million ≤ € 10 millionMicro < 10 ≤ € 2 million ≤ € 2 million
OR
Important:
• Take into account partner or linked enterpriseso Partner (25‐50% of shares): include partner enterprises proportionally in the count
o Linked (>50%): fully include enterprises in the count
o Other: majority vote/dominant influence
What is an SME – An example
Your Enterprise =
Your Enterprise
+ 30% of Parent A (partner)
+ 100% of Parent B (linked)
+ 0% of Subsidiary (None)
Parent company A
Parent company B
Your Enterprise
Subsidiary
30% 70%
20 %
Exceptions made for:Venture Capital, University, Institutional Investor, Small autonomous local authority
SME instrument: Thematic program
Excellent Science
Societal Challenges
Industrial Leadership
SME instrument
IIII
II
IIIIII
Innovative, disruptive and competitive solutions
SME instrument: Thematic program
ICT 37 Open Disruptive Innovation Scheme
NMP Accelerating the uptake of nanotechnologies, advanced materials or advanced manufacturing and processing technologies by SMEs
BIOTEC SME‐boosting biotechnology‐based industrial processes driving competitiveness and sustainability
SME‐SPACE
SFS‐8 Resource‐efficient eco‐innovative food production and processing
BG‐12 Supporting SMEs efforts for the development ‐ deployment and market replication of innovative solutions for blue growth
SME instrument: Thematic program
SIE 1 Stimulating the innovation potential of SMEs for a low carbon and efficient energy system
IT.1 Small business innovation research for Transport
SC5‐20 Boosting the potential of small businesses for eco‐innovation and a sustainable supply of raw materials
INSO‐9 Innovative mobile e‐government applications by SMEs
INSO‐10 SME business model innovation
DRS‐17 Protection of Urban soft targets and urban critical infrastructures
PHC 12 Clinical validation of biomarkers and/or diagnostic medical devices
SME instrument: Business opportunity for SMEs
• The SME instrument is all about market introduction
• Strategic business plan (integrated in application)
Expected impact:
• Enhancing profitability and growth performance of SMEs…
SME instrument: Close to Market
• Maturity levelo Maturity level at project start:
TRL6 – Technology demonstrated in relevant environment
o Maturity level at project end:TRL9 – Actual system proven in operational environment
Basic principles observed
Demo relevant environment
System complete and qualified
Demo in operational environment
Actual system proven in operational environment
SME instrument: three‐phased approach
Phase 1. Feasibility study
Phase 2. Innovation project
Phase 3. Coaching, mentoring and support
SME instrument – Phase 1
Feasibility study:
• Technological and/or practical feasibility
• Economic viability
Activities:
• Risk assessment, market study, user involvement, intellectual property management, innovation strategy development, partner search, feasibility of concept, …
SME instrument – Phase 2
Innovation project:
• Necessary activities to bring your innovation to industrial readiness and maturity for market introduction
Activities:
• demonstration, testing, piloting, scaling‐up, miniaturization, design, market replication, …
• All based on a very strong business case!
SME instrument – Phase 3
Coaching, mentoring and support:
• Available through Enterprise Europe Network
Activities:
• Consulting and signposting
SME instrument: Summary
Close to market TRL6 ‐> TRL9
Focus areas Cutting across pillars II and III
Consortia Single SME or consortium
Grant Phase 1: € 50,000 lump sumPhase 2: on average € 1.5 millionPhase 3: no funding
Funding rate Phase 1: lump sum (70% of € 71,249)Phase 2: 70% of eligible costs
eligible costs = direct costs + 25% indirect costsPhase 3: no funding
Budget allocation
Call ID 2014M€
2015M€
ICT 37 Open Disruptive Innovation SchemeNMP Accelerating the uptake of nanotechnologies,
advanced materials or advanced manufacturing and processing technologies by SMEs
BIOTEC SME‐boosting biotechnology‐based industrial processes driving competitiveness and sustainability
SME‐SPACESFS‐8 Resource‐efficient eco‐innovative food
production and processingBG‐12 Supporting SMEs efforts for the development ‐
deployment and market replication of innovative solutions for blue growth
4521.8
3.8
8.59
3
4523.8
2.4
8.7517
5
Budget allocation
Call ID 2014M€
2015M€
SIE 1 Stimulating the innovation potential of SMEs for a low carbon and efficient energy system
IT.1 Small business innovation research for TransportSC5‐20 Boosting the potential of small businesses for
eco‐innovation and a sustainable supply of raw materials
INSO‐9 Innovative mobile e‐government applications by SMEs
INSO‐10 SME business model innovationDRS‐17 Protection of Urban soft targets and urban
critical infrastructuresPHC 12 Clinical validation of biomarkers and/or
diagnostic medical devices
33.95
35.8717
7
66.1
37.26
38.9619
4
117.4
45
SME‐instrument versus Fast Track to Innovation
Fast Track to Innovation
Fully bottom‐up
Consortial approach
Not SME related
Obligation: on the market after 3 years
No coaching support
One‐stage scheme
SME‐instrument
Selected topics
Single participation possible
Restricted to SMEs
No obligation for market introduction
Coaching support
Three‐phase scheme
Preparing an application for the SME instrument
Breakthrough Innovation
Preparing for SME instrument
Company Strategy
StrategyCompany B
• Start with your strategic goals/objectives• Define your disruptive breakthrough innovation• Invite other partners from the value/innovation chain
SMEProject
Preparing for SME instrument
Potential SMEProject
• Start with your strategic goals/objectives• Define your disruptive breakthrough innovation• Invite other partners from the value/innovation chain• Shape the project to the objectives, scope and expected impact of SME
Company Strategy
StrategyCompany B
Preparing for SME instrument
• Participants Portalo Information
Latest information on calls for proposals
H2020 manual
Reference documents
o Application
Registration of an organization (PIC code)
Template documents
Proposal preparation (online forms) and submission of application
http://ec.europa.eu/research/participants/portal/desktop/en/home.html
Preparing an application to SME instrument
Things to know before you start writing:
• Focus on the information relevant to the call for proposals
• Be complete, yet concise
• Be ambitious, yet credible
• Provide proof, facts and figures
• Be consistent throughout
• Be creative
Preparing an application to SME instrument
• Part A:o Online administrative forms
• Part B: 1. Excellence
2. Impact
3. Implementation
4. Members of the consortium
5. Ethics and security
Sections 1 + 2 + 3: 10 pages max for phase 1 and 30 pages max for phase 2
Excellence
• Objectives (clear, measurable, realistic and achievable)
• Relation to work program
• Concept and approach
• Ambition
Focus on: Clarity, Credibility, Soundness, Level of ambition
Impact
• Impact on users/market/EU (demand side)
• Impact on your SME (business case)
• Dissemination: How to address the relevant stakeholders?
• Exploitation: Plan for full commercialization
• Management of intellectual property rights
• Communication plan
Focus on: Expected impact of the call for proposals
Impact
• Impact on users/market/EU (demand side)
• Impact on your SME (business case)
• Dissemination: How to address the relevant stakeholders?
• Exploitation: Plan for full commercialization
• Management of intellectual property rights
• Communication plan
Focus on: Expected impact of the call for proposals
Implementation
• Work plano work packages, deliverables and milestones, Gantt chart, Pert diagram
• Management structure and procedures (tailored to the project)
• Consortium as a whole (if applicable)
• Resources to be committed
Focus on: soundness, complementarity, fit to the action
Consortium, Ethics and Security
• Members of the consortiumo Participants
Description of legal entity
CV of persons responsible
Relevant publications, products, services or other achievements (top 5)
Relevant infrastructure / equipment
Other relevant information
o Third parties
• Ethics and security
Evaluation procedure and ranking
Evaluation procedure and ranking – Timing
• Continuous application
• 2 x 4 cut‐off dates in 2015o Phase 1: March 18, June 17, September 17 and December 16
o Phase 2: March 18, June 17, September 17 and December 16
• Time to grant: o Phase 1: 2 (evaluation) + 1 (grant agreement) months
o Phase 2: 4 (evaluation) + 2 (grant agreement) months
Evaluation procedure and ranking – Assessment
• Scoring based on (thresholds: 4/5):o Impact
o Excellence
o Implementation
• Overall score required: o Phase 1: 13 / 15
o Phase 2: 12 / 15
• Remote evaluation (upon arrival)
• Ranking based on scores (impact x 1.5)When appropriate ranking by Panel Review
• Additional criteria: o Gender balance
Evaluation procedure and ranking – the evaluator
Be gentile on the evaluator!
• Limited time per proposal:o Two hours for each proposal
o This includes reading the proposal and writing an individual evaluation report
• Challenge: How to hand the evaluator with the key to your project?
!
Take home messages
Take home messages
• Impact before excellence
• Strong business caseo Participating companies (supply side)
o End‐users/EU (demand side)
• Close to market
• Quantify your statements (facts and figures, statistics, expert judgment)
Grant writing
• SMART (Specific, measurable, acceptable, realistic, time)
• Write directly: bottom‐line first
• Readability:o Summaries
o Bullets
o Informative headings
o Short sentences
o Consistency
Conclusions
SME instrument
• For SMEs with disruptive, close to the market innovations with a great business potential
• Great opportunity to tackle the Valley of Death
• Fierce competition
