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Accessing European Research
& Innovation Funding
Introduction to the
Enterprise Europe Network
Andrew Millar
Invest NI
Enterprise Europe Network
Overview Andrew Millar
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The world’s largest
support Network for SMEs
with international
ambitions
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3000 600+
LOCATIONSLOCAL
EXPERTS
60+
COUNTRIES
WORLDWIDE
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Based locally
and connected to the world
IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#›
The Enterprise Europe Network in England N. Ireland & Wales
Funded jointly by the European Commission’s Executive Agency for
SMEs (EASME) through COSME and H2020 and Innovate UK
(previously the TSB).
Hosted in N.Ireland by Invest NI
21 Consortia Partners in UK including Universities, Chambers of
Commerce, Government and Local Government Agencies and private
innovation companies
€75m project over 7 years to 2022 designed to stimulate innovation in
SMEs
EEN in the UK
IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#›
EEN in the UK
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• Help businesses innovate through international
collaboration, be more entrepreneurial and
competitive
• Help bring ideas to commercialisation
• Inspire internationalisation
• Help business access funding for R&D (H2020 and
UK) and access to finance
• Innovation management advice & support
• Act as an agent to help the EU implement its SME
and Business Strategies
Our key aims
IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#›
How do we help?
We combine international business
expertise with local knowledge to take your
innovation into new markets.
IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#›
A broad range of services for
growth-oriented SMEs
ADVISORY
SUPPORT
Access to finance
Access to funding
Advice on EU law and
standards
INNOVATION
SUPPORT
Research funding
Market intelligence
IPR expertise
INTERNATIONAL
PARTNERSHIPS
Company missions
Brokerage events
Technology transfer
IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#›
Overview and Technology Transfer
How it works:
international partnerships
The Network business database contains thousands of company
profiles to find the perfect match
Matchmaking events across Europe where you can
meet potential business partners in person.
We schedule meetings for you and help you
prepare for them.
IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#›
Overview and Technology Transfer
How it works:
technology missions
The Network identifies centres of interest and excellence. We organize
visits
Groups of companies share knowledge, transfer
technology and learn from each other
We put together the visit, set up side meetings
and follow up to create opportunities.
IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#›
Overview and Technology Transfer
How it works: advisory support
Access to venture capital and public aid
Advice on EU laws and standards
Input in the EU regulatory process
Advice on intellectual property
Technology transfer
IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#›
Overview and Technology Transfer
How it works: innovation support
Tailored support packages to steer you onto the fast track to success.
Assistance to access funding available “Horizon 2020”
which has almost €80 billion of funding available over 7
years (2014 to 2020).
Help in protecting ideas and technologies.
Help in finding the right technology or innovation
Support in finding finance it needs to grow.
IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#›
Overview and Technology Transfer
How it works: innovation support
Innovate2Succeed.
A needs assessment review and with reference to
Innovation Management Standard, CEN/TS 16555,
businesses will be helped to:
•Create an effective culture of innovation
•Develop and implement innovation processes
•Stimulate and capture ideas
•Discover opportunities for growth
Step 1
Diagnostic
Step 2
Action plan
Step 3
Help with
barriers
IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#›
Overview and Technology Transfer
17 key sectors
Network experts in 17 key sectors have teamed up to provide you with customised support.
Women
Entrepreneurship
Agrofood Automotive, Transport
and Logistics
BioChemTech Creative
Industries
Environment
Healthcare ICT Industry &
Services
Intelligent
Energy
Maritime Industry
and Services
Materials Nano and micro
technologies
Services and
Retail
Sustainable
Construction
Textile & Fashion Tourism and
Cultural Heritage
Aeronautics
and space
IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#›
Contact
www.enterprise-europe.co.uk
www.enterprise-europe.co.uk/content/about_enterprise_europe_network_uk/the_regions/northern_ireland/
@EEN_InvestNI
andrew.millar@investni.com
Accessing European Research
& Innovation Funding
Introduction to EU Research
and Innovation Funding
Helen Almey
Innovate UK
H2020 SME Instrument
Research-
Driven
Projects
Innovation-
Led Projects
Near to market
R&D Projects
Demonstration
market
replication
Consortia –
min 3
partners, 3
countries
1 additional
non-UK
partner
Single SME
(also groups)
Prescriptive & Thematic Calls
Bottom-Up
Projects – no
thematic focus
Thematic Calls,
but flexible
projects
100% Funding 70% Funding 60% Funding 70% Funding
Value Varies Up to €360K
Phase 1: €50k
Phase 2: €0.5 - 2.5m
Societal Challenges & Industrial
Leadership
Eurostars **
SME Funding Opportunities under Horizon 2020 (and associated programmes**)
SME Instrument
Consortia –
min 3
partners, 3
countries
Value Varies
Fast Track to
Innovation
5 from 5
countries, Min.
3 from 3
Bottom-Up
Projects – no
thematic focus
Demonstration
market
replication
70% Funding
Maximum 3m
Coordinatin
g and
support
Action
1 legal
entity
R&D driven
projects
Market
opportunity
driven projects
Demonstration & Market
Replication Projects
Near to market R&D
projects
Collaboration
Research &
Innovation Projects
A new approach to EU Funding – focus on industry!
Funding from research to commercialisation!
What is an SME?
• To count as an SME, your organisation must be engaged in
an economic activity and must have:
– fewer than 250 employees; and
– an annual turnover of no more than €50 million and/or
– an annual balance sheet of no more than €43 million.
• Whether you count as an SME may depend on how you
count your workforce, turnover or balance sheet.
• For more details:
– http://ec.europa.eu/enterprise/policies/sme/files/sme_defini
tion/sme_user_guide_en.pdf
SME self-assessment wizard
Based on organisational financial data and headcount
• Shareholders/shareholdings may affect status (non-autonomous)
• Assessment optional and only required if participating in SME specific
actions
• Can’t apply for an SME action if entity not validated as SME in last 2 years
• The wizard produces an instant result and summary of data
• The wizard isn’t a model of clarity…
•Typical issues: status expired, no economic activity, applicants leave it too
late, applicants believe they are SMEs but aren’t!
SME definition:
http://ec.europa.eu/enterprise/policies
/sme/files/sme_definition/sme_user_g
uide_en.pdf
Beneficiary register user manual:
http://ec.europa.eu/research/participa
nts/data/support/manual/urf_sme_wiz
ard_guidance.pdf
Key Features of the SME Instrument
• Targeted at all types of innovative SMEs showing a strong ambition to
grow.
• Only ‘for profit’ SMEs allowed to apply for funding .
• Competitive, EU dimension - only the best ideas pass.
• Market-oriented, close-to-market activities (TRL 6).
• Embedded in societal challenges and key enabling technologies.
• Evaluators: market perspective.
• Time to grant: 400 days in 2008 - > Phase 1 92 days Phase 2 170 days.
• Sole SME can apply.
TRL 1 TRL 2 TRL 3 TRL 4 TRL 5 TRL 6 TRL 7 TRL 8 TRL 9
Phase 1
Grant support of €50,000 (lump
sum) + coaching
Phase 2
Grant of €0.5m – 2.5m
70% funding + coaching
Phase 3
Risk Finance
(Public/Private)
Project: 6 Months Project: 12 – 24 Months
Concept & Feasibility Assessment Demonstration
Market Replication R&D
Commercialisation
Concept to Market-Maturity Market-Maturity to Market Launch
Proof of Concept
Prove technical & commercial
viability
Explore IP regime
Design Study
Develop pilot application
Risk assessment
Demonstrate Commercial Potential
Prototyping
Testing
Piloting
Miniaturisation
Scaling-Up
Application Development
Go-To-Market
EU Quality Label
Investment Readiness Training
SME window in EU financial
facilities (Debt & Equity)
Link to Public Procurement
Networks
Outcome: Elaborated Business Plan Outcome: Commercialisable Output Outcome: Market Success
Phase 3
Risk Finance (Public/Private)
Specific Calls SME Instrument 2016/17
• SMEInst-01-2016-2017: Open Disruptive Innovation Scheme
• SMEInst-02-2016-2017: Accelerating the uptake of nanotechnologies advanced materials or
advanced manufacturing and processing technologies by SMEs
• SMEInst-03-2016-2017: Dedicated support to biotechnology SMEs closing the gap from lab to
market
• SMEInst-04-2016-2017: Engaging SMEs in space research and development
• SMEInst-05-2016-2017: Supporting innovative SMEs in the healthcare biotechnology sector
• SMEInst-06-2016-2017: Accelerating market introduction of ICT solutions for Health, Well-
Being and Ageing Well
• SMEInst-07-2016-2017: Stimulating the innovation potential of SMEs for sustainable and
competitive agriculture, forestry, agri-food and bio-based sectors
• SMEInst-08-2016-2017: Supporting SMEs efforts for the development - deployment and
market replication of innovative solutions for blue growth
• SMEInst-09-2016-2017: Stimulating the innovation potential of SMEs for a low carbon and
efficient energy system
• SMEInst-10-2016-2017: Small business innovation research for Transport and Smart Cities
Mobility
• SMEInst-11-2016-2017: Boosting the potential of small businesses in the areas of climate
action, environment, resource efficiency and raw materials
• SMEInst-12-2016-2017: New business models for inclusive, innovative and reflective societies
• SMEInst-13-2016-2017: Engaging SMEs in security research and development
The Proposal from an NCP point of
View
Main aspects to focus on in the proposal
SME instrument Phase 1
• Excellence
– Objectives
– Relation to the WP
– Concept and methodology
– Ambition
• Impact
– Expected Impacts
• Users/markets
• Company
– Measures to maximise impact
• Dissemination and exploitation of results
• IP, Knowledge protection &regulatory issues
• Implementation
– Work Plan – wrk package and del
– Mgmt structure and procedures
– Consortium as a whole
– Resources to be committed
– (Table 3.1a)
• Members of the Consortium
– Third parties involved in the project
• Ethics and security
– Ethics
– Security
SME Instrument Phase 2
• Excellence
– Objectives
– Relation to the work programme
– Concept and Methodology
– Ambition
• Impact
– Expected Impacts
• Users/market
• Company
– Measures to maximise impact
• Dissemination & exploitation of results
• IP, knowledge protection & regulatory issues
• Communication
• Implementation
– Work Plan – work packages, deliverables and milestones
– Management structure, milestones and procedures
– Consortium as a whole
– Resources to be committed
– (Tables 3.1a, 3.1b,3.1c, 3.2a, 3.2b, 3.4a, 3.4b)
• Members of the consortium
– Third Parties involved in the project
– (Table 4.1a)
• Ethics and Security
– Ethics
– Security
Most common mistakes to avoid when writing a
proposal
• Reading your ESR
0 – the proposal fails to address the criterion
1 – Poor
2 – Fair
3 – Good
4 – Very good
5 – Excellent
Most common mistakes to avoid when writing a
proposal
• TRL not convincing
• Skills set to commercialise not present
• Excellence not linked to Impact and Implementation
• Make it easy to read – how many wrote the proposal? WHO wrote the
proposal?
• Is it Value of Money?
Submission Dates
2016 -2017
Rolling programme so
no fixed deadline
referred to as cut off.
Submit when ready
Times are Brussels
time.
80% of proposals are
submitted 48 hours
before the cut off.
PHASE 1 PHASE 2
2017 2017
15 February 2017 17:00 18 January 2017 17:00
3 May 2017 17:00 6 April 2017 17:00
6 September 2017
17:00
1 June 2017 17:00
8 November 2017
17:00
18 October 2017 17:00
Strategic overview of SME
Instrument
• SMEs are 27.41% of all project participants and take 23.76% of the EU
budget contribution
• SME Instrument Budget allocation (of combined budgets SC & LEITs)
• =>2014-2015 = 5.30% (EUR 519,9 million)
• =>2016-2017 = 7.53% (EUR 790,9 million)
SME participation in Horizon 2020
(status end of May 2016)
• 15 cut-off dates (8 Ph1, 7 Ph2)
• 1340 funded projects in Phase 1 (out of 16,444)
• 325 funded projects in Phase 2 (out of 5,638)
• 832 already finalized projects (Ph1)
• Single companies rate for funded proposals: Ph 1
– 92%, Ph 2 – 82%
Latest SME Instrument Annual
Statistics (Spring 2016)
Phase 1 – a very fast uptake by SMEs
Stable number of proposals
About 15% of proposal above
threshold
1340 funded projects
67 mio total grants
8.15% funded
=> 55% of above threshold
-
500
1,000
1,500
2,000
2,500
3,000
June 2014
Sep 2014
Dec 2014
Mar 2015
June 2015
Sep 2015
Nov 2015
Feb 2016
155
178
259
149
128
122
175
174
162
59
61
102
214
214
141
125
2,285
1,680
2,008
1,288
1,676
1,525
1,719
1,628
60
27
35
17
12
12
22
32
Funded Proposals Proposals Below Budget Not Funded Proposals Non Eligible Proposals
Phase 2 – a consistent uptake by SMEs
• A consistent trend
• Overall results:
• 325 funded projects
• 541.74 mio total
grants
• 6.05% of proposals
funded =16% of above
threshold
60 74
37 44 33 30
47
72
106
194 313 340 395 143
439
431
367 589 572 643
324
9 18 16 16 15 22 19
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
Oct 2014 Dec 2014 Mar 2015 June 2015 Sep 2015 Nov 2015 Feb 2016
Funded Proposals Proposals Below Budget Not Funded Proposals
Non Eligible Proposals To be funded
SME Phase 1
Latest Results
Cut off date:
3rd May 2017
• €6.4 M budget (EU
contribution)
• 129 Companies
funded
• 25 Countries
• UK: 9 proposals of
270 received funding
SME Phase 1 Latest Results
SME Phase 2 : latest submissions – Total 1514
(1st June 2017 ) Proposals per Country
SME Phase 2 – Latest
Results April 2017
€99.963 total EU
funding
69 Companies funded
Across 21 Countries
UK: 4 projects funded
out of 76
Practical Help
• Self evaluation form
– http://ec.europa.eu/research/participants/data/ref/h2020/call_ptef/e
f/h2020-call-ef-sme_en.pdf
• Submission is via Participant Portal
– http://ec.europa.eu/research/participants/portal/desktop/en/home.h
tml
Assistance the your local EEN!
 For Fast Track to Innovation or the SME Instrument
contact Helen Almey NCP-SME@innovateuk.gov.uk
Accessing European Research &
Innovation Funding
Introduction to Eurostars
Stephen Alexander
Innovate UK
Eurostars-2
Helping SMEs to innovate
Stephen Alexander,
UK NPC for Eurostars
© EUREKA Secretariat 2016 47
Eurostars is…
Joint
programme
between
EUREKA
and EU
Dedicated
to R&D-
performing
SMEs
Market-
oriented
Bottom-up International
cooperation
© EUREKA Secretariat 2016 48
Eurostars countries
Austria
Bulgaria
Belgium
Canada
Croatia
Cyprus
Czech Republic
Denmark
Estonia
Finland
France
Germany
Greece
Hungary
Iceland
Ireland
Israel
Italy
Latvia
Lithuania
Luxembourg
Malta
The Netherlands
Norway
Poland
Portugal
Romania
Slovak Republic
Slovenia
South Africa
South Korea
Spain
Sweden
Switzerland
Turkey
United Kingdom
36 countries
© EUREKA Secretariat 2016 49
SMEs in the driving seat
© EUREKA Secretariat 2016 50
Eligibility
© EUREKA Secretariat 2016 51
Market oriented
© EUREKA Secretariat 2016
• Consortium leader is an R&D-performing SME
• • At least 2 partners from 2 different Eurostars participating
countries
• • Project duration is no more than 36 months
• • Market introduction is foreseen within 2 years after project
ends.
• • Research-performing SMEs undertake minimum 50% of
total R&D cost
• • No single country or project partner is responsible for more
than 75% of the project costs
• • No restriction on thematic area [except military] and project
managed from the bottom up
• • Partners in a Consortium must be separate legal and non-
linked entities
52
EUREKA Eurostars Eligibility rules
© EUREKA Secretariat 2016
• In the UK, only SMEs are eligible for funding, although the main partner must
be an R&D – performing SME.
• UK eligible project costs follow the UK domestic rules.
• In addition to the above, the following eligibility criteria must be met at the
closing date for application and the eligibility criteria is applicable throughout
the whole duration of the project.
• UK SMEs can only take part in one Eurostars project at any one time. The final
project report on an existing project must have been accepted by the
Eurostars secretariat before the application deadline for this call to be eligible
to apply. Holders of existing Eurostars projects can apply for other Innovate
UK funding without this restriction.
53
EUREKA Eurostars UK Eligibility Criteria 1
© EUREKA Secretariat 2016
• Academics/universities, Research and Technology Organisations
(RTOs) and large companies can participate, but must fund their
own participation or use funds from other sources
• Maximum grant budget is €360,000 per UK project partner, grant
rate is up to 60% of eligible project costs
• UK eligibility project costs follow the UK domestic rules
• UK subcontracting is capped at 20% of the UK partner eligible
costs
• UK lead projects must be managed by an SME as per the
Eurostars criteria.
• Project Management cannot be subcontracted
54
EUREKA Eurostars UK Eligibility Criteria 2
© EUREKA Secretariat 2016
(UK eligibility continued)
• Participants must be separate non-linked legal entities
• Companies must be registered at Companies House and trading for 12 months at the
closing date for applications
• All work must be carried out in the UK and project costs must be incurred in the UK
• Labour costs have to be PAYE
The eligibility criteria must be met at the closing date for application and the eligibility criteria
is applicable throughout the whole duration of the project.
Refer to Innovate UK or Eurostars website before applying for the most up to date criteria
55
EUREKA Eurostars UK Eligibility Criteria 3
© EUREKA Secretariat 2016 56
Eurostars-2 in numbers
1,553
NUMBER OF APPLICATIONS
4,951
NUMBER OF APPLICANTS
472
NUMBER OF APPROVED PROJECTS
1,511
NUMBER OF PARTICIPANTS
675 MILLION €
TOTAL COSTS OF
APPLICATIONS FUNDED
290 MILLION €
ESTIMATED PUBLIC
FUNDING
2.0 BILLION €
TOTAL COSTS OF
APPLICATIONS
38
COUNTRIES INVOLVED
30%
SUCCESS RATE
PROJECTS SUBMITTED
CUT-OFF 1-5
PROJECTS FUNDED
CUT-OFF 1-5
© EUREKA Secretariat 2016 57
A typical Eurostars project
average project cost
€1.4 million
average duration
29 months
2–3 countries
3–4 participants
© EUREKA Secretariat 2016 58
Decentralized funding
© EUREKA Secretariat 2016 59
Reasons to participate
• You want to do something that is too big to do alone
• Requires collaboration across the value chain
• You have a solution for someone else
• You need access to someone else’s science/technology
• Access skills you do not have
• Share risks
• Access new markets
© EUREKA Secretariat 2016 60
Eurostars process
© EUREKA Secretariat 2016 61
Evaluation criteria
© EUREKA Secretariat 2016 62
1st step: Assessment by independent experts
© EUREKA Secretariat 2016 63
2nd step: Scoring and ranking by independent panel
• Only projects rated above the quality thresholds are recommended for funding
• The funding of projects is following the ranking list until national budget exhaustion
• The funding of partners is based on the national funding rules
© EUREKA Secretariat 2016
Upcoming events
• Eurostars Roadshow
• UK event – London (venue
TBC)
• 21st November 2017
• jane
.watkins@innovateuk.gov.uk
• applications@eurostars-
eureka.eu
• Cut-off 8: 14th September
2017
• Good luck!
Accessing European Research &
Innovation Funding
Evaluators Top Tips for
applying to the SME instrument
Margaret Patterson
Evaluator’s
Perspective and Top
Tips
Professor Margaret Patterson
foodsciencemargaret@gmail.com
Overview
• My background as an evaluator.
• The SME Instrument evaluation process.
• The Individual Evaluation Report (IER).
• Tips on presenting your application (how to make the evaluator’s life
easier!)
• General comments as an independent expert evaluator.
My background as an evaluator
• Been involved in EU programmes for 20+ years as an applicant.
• Been an evaluator for Framework Programmes, Marie-Curie and SME
Instrument.
How evaluators are appointed and trained
• Apply online via EU website (Europa): complete application form
including specific areas of expertise. Covers different EU calls.
Updated annually.
• EU selection based on requirements e.g. depends on number of
proposals received in each topic area.
• Invited to participate - specific dates/specific calls.
• Contract signed.
• Training webinar provided. Specific downloadable info. provided
online.
SME Instrument Programme
• Aimed at bridging gap between technology development and full
market exploitation.
• Support for ambitious ideas which might be high risk but, if
successful, will disrupt the industry sector/market.
• Looking for top 6% of SMEs with most pronounced growth potential.
• Needs to have strong European dimension and “European added
value”
• Phase 1 allows for market and/or IP information to be obtained as
well as verifying technological and economic viability.
• Phase 2 allows problems identified in Phase 1 to be addressed to
maximise return on investment.
The SME Instrument Evaluation Process
Finalisation
Automated
Consensus
Report
Receipt of
proposals
Individual
Evaluations
Eligibility check
Allocation of
proposals
Remote evaluation
Individual reports from
evaluators
Arithmetic median
calculated
No negotiation
Standardised Summary
Report produced
Final ranked list
Applicants informed
Evaluation time line
• Proposals allocated very soon after cut-off date.
• Evaluators accept/decline tasks within 24 hrs – otherwise task
reallocated to another evaluator.
• Evaluator has 7 calendar days to complete evaluations.
Structure of Independent Evaluation
Report (IER)
Phase 1 Phase 2
Operational capacity
Impact Impact
Excellence Excellence
Quality& efficiency of
implementation
Quality and efficiency of
implementation
Subcontracting
Scope of the proposal Scope of the proposal
Threshold score 13 Threshold score 12
Impact – gets weighting of 1.5 in rankings
Phase 1 Phase 2
Threshold: 4 Threshold: 4
Sub-criteria: 9 Sub-criteria: 10
Impact on growth of company & alignment with overall SME strategy &
experience
Compliance with work programme
Demand/market for innovation & willingness to pay – users identified
Market conditions
European Dimension, including issues such as climate change,
environment , other society benefits
Commercialisation plan – time to market, other activities, dissemination
IPR status & Regulatory requirements
Excellence
Phase 1 Phase 2
Threshold: 4 Threshold: 3
Sub-criteria: 7 Sub-criteria: 8
Clarity and pertinence of objectives
Credibility – is expected performance convincing?
Soundness of concept – technical, commercial, regulatory issues
Risks & opportunities
Extent innovation is beyond state of art – market opportunities
Current stage of development of innovation ( TRL specified in phase 2)
Comparison with known solutions
Commercial viability
Implementation
Phase 1 Phase 2
Threshold: 4 Threshold: 3
Sub-criteria: 4 Sub-criteria: 5
Resources to develop activities
Technical/scientific knowledge & management experience of
team/consortium
Time frame and implementation description
Work packages, major deliverables and milestones
Sub-contracting (Phase 2 only)
Specific yes/no questions
• Does the project proposed contain activities above TRL 8? (phase 2
only) (Not an evaluation criteria and > 8 will not disqualify proposal.
Requirement in the framework of the Seal of Excellence)
• Is the proposal in scope for the relevant work programme?
• Operational capacity to carry out proposed work (Phase 2 only)
• Sub-contracting (phase 2 only). Must demonstrate compliance with
best value-for-money
Proposal scoring
• Each sub-criterion scored out of 10 (to 1 decimal place)
• Each sub-criterion has the same weight – except the “Overall perception” which
gets 25% weight of the total score of that criterion
• Individual scores (0-10) for each criterion automatically converted to a scale of 0-
5 to calculate each of the 3 criterion scores per evaluator.
• Max. score is 15
Scale for qualitative assessment:
• 0-2.99 - Insufficient
• 3-4.99 - Insufficient – Fair
• 5-6.99 - Fair – Good
• 7-8.99 - Good – very good
• 9-10 - Very good - excellent
Final score
• Each proposal assessed by 4 evaluators.
• Median (not mean/average) score calculated across all 4 evaluators
for each criterion.
• Overall score is the sum of the 3 criteria median scores.
Median scoring helps project against “outlying” scores
E.g. if scores were 2, 4, 4.5, 4.7 then mean score would be 3.8 but
median score would be 4.25
Guiding principles for evaluators
• Independent and impartial.
• Objective.
• Accurate.
• Consistent.
• Maintain confidentiality.
• Flag any conflicts of interest.
Evaluator’s perspective and tips
• EU assumes we can evaluate 5 Phase 1 proposals or 3 Phase 2
proposals per day. i.e. we should spend < 2 hrs evaluating a Phase 1
proposal and around 2.5 hrs evaluating a phase 2 proposal.
Note:
Phase 1 has 10 pages max + annex on members of consortium and
ethics (no page limit). 20 sub-criteria to comment on + yes/no
questions.
Phase 2 has 30 pages max + annex on members of consortium and
ethics(no page limit)+ Phase 1 feasibility report summary (usually ~ 20
pages). 23 sub-criteria to comment on +yes/no questions.
Tips
Evaluators don’t have to be an expert on a specific technology. EU
choose the 4 evaluators/proposal on the variety of their knowledge.
Don’t make the proposal language too technical
Chances are evaluators will not have English as their first language
Keep use of English simple and straightforward. Can usually
guess which proposals have had expert help with writing.
Tips
Proposal needs to be convincing and realistic
Would I invest in this if I had the money?
Ensure proposal is evidence based.
Demonstrate that the proposal is well thought through e.g.
logical SMART objectives; risks identified, realistic.
Tips
As far as possible, present the information under sub-criteria headings
similar to those mentioned above
Helps evaluator find relevant information for each
sub-criterion
General comments
• Resubmissions are evaluated the same as original submissions
(evaluator can see if proposal is a resubmission but don’t see the
previous report)
• I don’t believe there is any EU or evaluator basis e.g. due to Brexit.
• No “model proposal” given
Finally
• I found some of the sub criteria confusing – not always sure exactly what
they were looking for.
• Evaluators don’t get feedback on their performance e.g. quality of their IERs;
marking.
• No interaction with other evaluators (a mixed blessing!)
• Time allocated to complete evaluations unrealistic (in my view) if EU want a
quality return.
Accessing European Research &
Innovation Funding
SME Instrument:
A Company Perspective
Brian Cameron
Brian Cameron
Project PPP
Preparation
Preparation Persuasion
Preparation
PersistencePersuasion
Accessing European Research &
Innovation Funding
Accessing European Research &
Innovation Funding

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Accessing European Research and Innovation Funding Seminar for SMEs : EEN

  • 1. Accessing European Research & Innovation Funding
  • 2. Introduction to the Enterprise Europe Network Andrew Millar Invest NI
  • 4. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› The world’s largest support Network for SMEs with international ambitions
  • 5. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› 3000 600+ LOCATIONSLOCAL EXPERTS 60+ COUNTRIES WORLDWIDE
  • 6. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› Based locally and connected to the world
  • 7. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› The Enterprise Europe Network in England N. Ireland & Wales Funded jointly by the European Commission’s Executive Agency for SMEs (EASME) through COSME and H2020 and Innovate UK (previously the TSB). Hosted in N.Ireland by Invest NI 21 Consortia Partners in UK including Universities, Chambers of Commerce, Government and Local Government Agencies and private innovation companies €75m project over 7 years to 2022 designed to stimulate innovation in SMEs EEN in the UK
  • 8. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› EEN in the UK
  • 9. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› • Help businesses innovate through international collaboration, be more entrepreneurial and competitive • Help bring ideas to commercialisation • Inspire internationalisation • Help business access funding for R&D (H2020 and UK) and access to finance • Innovation management advice & support • Act as an agent to help the EU implement its SME and Business Strategies Our key aims
  • 10. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› How do we help? We combine international business expertise with local knowledge to take your innovation into new markets.
  • 11. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› A broad range of services for growth-oriented SMEs ADVISORY SUPPORT Access to finance Access to funding Advice on EU law and standards INNOVATION SUPPORT Research funding Market intelligence IPR expertise INTERNATIONAL PARTNERSHIPS Company missions Brokerage events Technology transfer
  • 12. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› Overview and Technology Transfer How it works: international partnerships The Network business database contains thousands of company profiles to find the perfect match Matchmaking events across Europe where you can meet potential business partners in person. We schedule meetings for you and help you prepare for them.
  • 13. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› Overview and Technology Transfer How it works: technology missions The Network identifies centres of interest and excellence. We organize visits Groups of companies share knowledge, transfer technology and learn from each other We put together the visit, set up side meetings and follow up to create opportunities.
  • 14. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› Overview and Technology Transfer How it works: advisory support Access to venture capital and public aid Advice on EU laws and standards Input in the EU regulatory process Advice on intellectual property Technology transfer
  • 15. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› Overview and Technology Transfer How it works: innovation support Tailored support packages to steer you onto the fast track to success. Assistance to access funding available “Horizon 2020” which has almost €80 billion of funding available over 7 years (2014 to 2020). Help in protecting ideas and technologies. Help in finding the right technology or innovation Support in finding finance it needs to grow.
  • 16. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› Overview and Technology Transfer How it works: innovation support Innovate2Succeed. A needs assessment review and with reference to Innovation Management Standard, CEN/TS 16555, businesses will be helped to: •Create an effective culture of innovation •Develop and implement innovation processes •Stimulate and capture ideas •Discover opportunities for growth Step 1 Diagnostic Step 2 Action plan Step 3 Help with barriers
  • 17. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› Overview and Technology Transfer 17 key sectors Network experts in 17 key sectors have teamed up to provide you with customised support. Women Entrepreneurship Agrofood Automotive, Transport and Logistics BioChemTech Creative Industries Environment Healthcare ICT Industry & Services Intelligent Energy Maritime Industry and Services Materials Nano and micro technologies Services and Retail Sustainable Construction Textile & Fashion Tourism and Cultural Heritage Aeronautics and space
  • 18. IRT Teams | Sept 08 | ‹#›Title of the presentation | Date |‹#› Contact www.enterprise-europe.co.uk www.enterprise-europe.co.uk/content/about_enterprise_europe_network_uk/the_regions/northern_ireland/ @EEN_InvestNI andrew.millar@investni.com
  • 19. Accessing European Research & Innovation Funding
  • 20. Introduction to EU Research and Innovation Funding Helen Almey Innovate UK
  • 22. Research- Driven Projects Innovation- Led Projects Near to market R&D Projects Demonstration market replication Consortia – min 3 partners, 3 countries 1 additional non-UK partner Single SME (also groups) Prescriptive & Thematic Calls Bottom-Up Projects – no thematic focus Thematic Calls, but flexible projects 100% Funding 70% Funding 60% Funding 70% Funding Value Varies Up to €360K Phase 1: €50k Phase 2: €0.5 - 2.5m Societal Challenges & Industrial Leadership Eurostars ** SME Funding Opportunities under Horizon 2020 (and associated programmes**) SME Instrument Consortia – min 3 partners, 3 countries Value Varies Fast Track to Innovation 5 from 5 countries, Min. 3 from 3 Bottom-Up Projects – no thematic focus Demonstration market replication 70% Funding Maximum 3m Coordinatin g and support Action 1 legal entity
  • 23. R&D driven projects Market opportunity driven projects Demonstration & Market Replication Projects Near to market R&D projects Collaboration Research & Innovation Projects A new approach to EU Funding – focus on industry! Funding from research to commercialisation!
  • 24. What is an SME? • To count as an SME, your organisation must be engaged in an economic activity and must have: – fewer than 250 employees; and – an annual turnover of no more than €50 million and/or – an annual balance sheet of no more than €43 million. • Whether you count as an SME may depend on how you count your workforce, turnover or balance sheet. • For more details: – http://ec.europa.eu/enterprise/policies/sme/files/sme_defini tion/sme_user_guide_en.pdf
  • 25. SME self-assessment wizard Based on organisational financial data and headcount • Shareholders/shareholdings may affect status (non-autonomous) • Assessment optional and only required if participating in SME specific actions • Can’t apply for an SME action if entity not validated as SME in last 2 years • The wizard produces an instant result and summary of data • The wizard isn’t a model of clarity… •Typical issues: status expired, no economic activity, applicants leave it too late, applicants believe they are SMEs but aren’t! SME definition: http://ec.europa.eu/enterprise/policies /sme/files/sme_definition/sme_user_g uide_en.pdf Beneficiary register user manual: http://ec.europa.eu/research/participa nts/data/support/manual/urf_sme_wiz ard_guidance.pdf
  • 26. Key Features of the SME Instrument • Targeted at all types of innovative SMEs showing a strong ambition to grow. • Only ‘for profit’ SMEs allowed to apply for funding . • Competitive, EU dimension - only the best ideas pass. • Market-oriented, close-to-market activities (TRL 6). • Embedded in societal challenges and key enabling technologies. • Evaluators: market perspective. • Time to grant: 400 days in 2008 - > Phase 1 92 days Phase 2 170 days. • Sole SME can apply.
  • 27. TRL 1 TRL 2 TRL 3 TRL 4 TRL 5 TRL 6 TRL 7 TRL 8 TRL 9 Phase 1 Grant support of €50,000 (lump sum) + coaching Phase 2 Grant of €0.5m – 2.5m 70% funding + coaching Phase 3 Risk Finance (Public/Private) Project: 6 Months Project: 12 – 24 Months Concept & Feasibility Assessment Demonstration Market Replication R&D Commercialisation Concept to Market-Maturity Market-Maturity to Market Launch Proof of Concept Prove technical & commercial viability Explore IP regime Design Study Develop pilot application Risk assessment Demonstrate Commercial Potential Prototyping Testing Piloting Miniaturisation Scaling-Up Application Development Go-To-Market EU Quality Label Investment Readiness Training SME window in EU financial facilities (Debt & Equity) Link to Public Procurement Networks Outcome: Elaborated Business Plan Outcome: Commercialisable Output Outcome: Market Success Phase 3 Risk Finance (Public/Private)
  • 28. Specific Calls SME Instrument 2016/17 • SMEInst-01-2016-2017: Open Disruptive Innovation Scheme • SMEInst-02-2016-2017: Accelerating the uptake of nanotechnologies advanced materials or advanced manufacturing and processing technologies by SMEs • SMEInst-03-2016-2017: Dedicated support to biotechnology SMEs closing the gap from lab to market • SMEInst-04-2016-2017: Engaging SMEs in space research and development • SMEInst-05-2016-2017: Supporting innovative SMEs in the healthcare biotechnology sector • SMEInst-06-2016-2017: Accelerating market introduction of ICT solutions for Health, Well- Being and Ageing Well • SMEInst-07-2016-2017: Stimulating the innovation potential of SMEs for sustainable and competitive agriculture, forestry, agri-food and bio-based sectors • SMEInst-08-2016-2017: Supporting SMEs efforts for the development - deployment and market replication of innovative solutions for blue growth • SMEInst-09-2016-2017: Stimulating the innovation potential of SMEs for a low carbon and efficient energy system • SMEInst-10-2016-2017: Small business innovation research for Transport and Smart Cities Mobility • SMEInst-11-2016-2017: Boosting the potential of small businesses in the areas of climate action, environment, resource efficiency and raw materials • SMEInst-12-2016-2017: New business models for inclusive, innovative and reflective societies • SMEInst-13-2016-2017: Engaging SMEs in security research and development
  • 29. The Proposal from an NCP point of View
  • 30. Main aspects to focus on in the proposal SME instrument Phase 1 • Excellence – Objectives – Relation to the WP – Concept and methodology – Ambition • Impact – Expected Impacts • Users/markets • Company – Measures to maximise impact • Dissemination and exploitation of results • IP, Knowledge protection &regulatory issues • Implementation – Work Plan – wrk package and del – Mgmt structure and procedures – Consortium as a whole – Resources to be committed – (Table 3.1a) • Members of the Consortium – Third parties involved in the project • Ethics and security – Ethics – Security SME Instrument Phase 2 • Excellence – Objectives – Relation to the work programme – Concept and Methodology – Ambition • Impact – Expected Impacts • Users/market • Company – Measures to maximise impact • Dissemination & exploitation of results • IP, knowledge protection & regulatory issues • Communication • Implementation – Work Plan – work packages, deliverables and milestones – Management structure, milestones and procedures – Consortium as a whole – Resources to be committed – (Tables 3.1a, 3.1b,3.1c, 3.2a, 3.2b, 3.4a, 3.4b) • Members of the consortium – Third Parties involved in the project – (Table 4.1a) • Ethics and Security – Ethics – Security
  • 31. Most common mistakes to avoid when writing a proposal • Reading your ESR 0 – the proposal fails to address the criterion 1 – Poor 2 – Fair 3 – Good 4 – Very good 5 – Excellent
  • 32. Most common mistakes to avoid when writing a proposal • TRL not convincing • Skills set to commercialise not present • Excellence not linked to Impact and Implementation • Make it easy to read – how many wrote the proposal? WHO wrote the proposal? • Is it Value of Money?
  • 33. Submission Dates 2016 -2017 Rolling programme so no fixed deadline referred to as cut off. Submit when ready Times are Brussels time. 80% of proposals are submitted 48 hours before the cut off. PHASE 1 PHASE 2 2017 2017 15 February 2017 17:00 18 January 2017 17:00 3 May 2017 17:00 6 April 2017 17:00 6 September 2017 17:00 1 June 2017 17:00 8 November 2017 17:00 18 October 2017 17:00
  • 34. Strategic overview of SME Instrument
  • 35. • SMEs are 27.41% of all project participants and take 23.76% of the EU budget contribution • SME Instrument Budget allocation (of combined budgets SC & LEITs) • =>2014-2015 = 5.30% (EUR 519,9 million) • =>2016-2017 = 7.53% (EUR 790,9 million) SME participation in Horizon 2020 (status end of May 2016)
  • 36. • 15 cut-off dates (8 Ph1, 7 Ph2) • 1340 funded projects in Phase 1 (out of 16,444) • 325 funded projects in Phase 2 (out of 5,638) • 832 already finalized projects (Ph1) • Single companies rate for funded proposals: Ph 1 – 92%, Ph 2 – 82% Latest SME Instrument Annual Statistics (Spring 2016)
  • 37. Phase 1 – a very fast uptake by SMEs Stable number of proposals About 15% of proposal above threshold 1340 funded projects 67 mio total grants 8.15% funded => 55% of above threshold - 500 1,000 1,500 2,000 2,500 3,000 June 2014 Sep 2014 Dec 2014 Mar 2015 June 2015 Sep 2015 Nov 2015 Feb 2016 155 178 259 149 128 122 175 174 162 59 61 102 214 214 141 125 2,285 1,680 2,008 1,288 1,676 1,525 1,719 1,628 60 27 35 17 12 12 22 32 Funded Proposals Proposals Below Budget Not Funded Proposals Non Eligible Proposals
  • 38. Phase 2 – a consistent uptake by SMEs • A consistent trend • Overall results: • 325 funded projects • 541.74 mio total grants • 6.05% of proposals funded =16% of above threshold 60 74 37 44 33 30 47 72 106 194 313 340 395 143 439 431 367 589 572 643 324 9 18 16 16 15 22 19 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Oct 2014 Dec 2014 Mar 2015 June 2015 Sep 2015 Nov 2015 Feb 2016 Funded Proposals Proposals Below Budget Not Funded Proposals Non Eligible Proposals To be funded
  • 39. SME Phase 1 Latest Results Cut off date: 3rd May 2017 • €6.4 M budget (EU contribution) • 129 Companies funded • 25 Countries • UK: 9 proposals of 270 received funding
  • 40. SME Phase 1 Latest Results
  • 41. SME Phase 2 : latest submissions – Total 1514 (1st June 2017 ) Proposals per Country
  • 42. SME Phase 2 – Latest Results April 2017 €99.963 total EU funding 69 Companies funded Across 21 Countries UK: 4 projects funded out of 76
  • 43. Practical Help • Self evaluation form – http://ec.europa.eu/research/participants/data/ref/h2020/call_ptef/e f/h2020-call-ef-sme_en.pdf • Submission is via Participant Portal – http://ec.europa.eu/research/participants/portal/desktop/en/home.h tml Assistance the your local EEN!  For Fast Track to Innovation or the SME Instrument contact Helen Almey NCP-SME@innovateuk.gov.uk
  • 44. Accessing European Research & Innovation Funding
  • 45. Introduction to Eurostars Stephen Alexander Innovate UK
  • 46. Eurostars-2 Helping SMEs to innovate Stephen Alexander, UK NPC for Eurostars
  • 47. © EUREKA Secretariat 2016 47 Eurostars is… Joint programme between EUREKA and EU Dedicated to R&D- performing SMEs Market- oriented Bottom-up International cooperation
  • 48. © EUREKA Secretariat 2016 48 Eurostars countries Austria Bulgaria Belgium Canada Croatia Cyprus Czech Republic Denmark Estonia Finland France Germany Greece Hungary Iceland Ireland Israel Italy Latvia Lithuania Luxembourg Malta The Netherlands Norway Poland Portugal Romania Slovak Republic Slovenia South Africa South Korea Spain Sweden Switzerland Turkey United Kingdom 36 countries
  • 49. © EUREKA Secretariat 2016 49 SMEs in the driving seat
  • 50. © EUREKA Secretariat 2016 50 Eligibility
  • 51. © EUREKA Secretariat 2016 51 Market oriented
  • 52. © EUREKA Secretariat 2016 • Consortium leader is an R&D-performing SME • • At least 2 partners from 2 different Eurostars participating countries • • Project duration is no more than 36 months • • Market introduction is foreseen within 2 years after project ends. • • Research-performing SMEs undertake minimum 50% of total R&D cost • • No single country or project partner is responsible for more than 75% of the project costs • • No restriction on thematic area [except military] and project managed from the bottom up • • Partners in a Consortium must be separate legal and non- linked entities 52 EUREKA Eurostars Eligibility rules
  • 53. © EUREKA Secretariat 2016 • In the UK, only SMEs are eligible for funding, although the main partner must be an R&D – performing SME. • UK eligible project costs follow the UK domestic rules. • In addition to the above, the following eligibility criteria must be met at the closing date for application and the eligibility criteria is applicable throughout the whole duration of the project. • UK SMEs can only take part in one Eurostars project at any one time. The final project report on an existing project must have been accepted by the Eurostars secretariat before the application deadline for this call to be eligible to apply. Holders of existing Eurostars projects can apply for other Innovate UK funding without this restriction. 53 EUREKA Eurostars UK Eligibility Criteria 1
  • 54. © EUREKA Secretariat 2016 • Academics/universities, Research and Technology Organisations (RTOs) and large companies can participate, but must fund their own participation or use funds from other sources • Maximum grant budget is €360,000 per UK project partner, grant rate is up to 60% of eligible project costs • UK eligibility project costs follow the UK domestic rules • UK subcontracting is capped at 20% of the UK partner eligible costs • UK lead projects must be managed by an SME as per the Eurostars criteria. • Project Management cannot be subcontracted 54 EUREKA Eurostars UK Eligibility Criteria 2
  • 55. © EUREKA Secretariat 2016 (UK eligibility continued) • Participants must be separate non-linked legal entities • Companies must be registered at Companies House and trading for 12 months at the closing date for applications • All work must be carried out in the UK and project costs must be incurred in the UK • Labour costs have to be PAYE The eligibility criteria must be met at the closing date for application and the eligibility criteria is applicable throughout the whole duration of the project. Refer to Innovate UK or Eurostars website before applying for the most up to date criteria 55 EUREKA Eurostars UK Eligibility Criteria 3
  • 56. © EUREKA Secretariat 2016 56 Eurostars-2 in numbers 1,553 NUMBER OF APPLICATIONS 4,951 NUMBER OF APPLICANTS 472 NUMBER OF APPROVED PROJECTS 1,511 NUMBER OF PARTICIPANTS 675 MILLION € TOTAL COSTS OF APPLICATIONS FUNDED 290 MILLION € ESTIMATED PUBLIC FUNDING 2.0 BILLION € TOTAL COSTS OF APPLICATIONS 38 COUNTRIES INVOLVED 30% SUCCESS RATE PROJECTS SUBMITTED CUT-OFF 1-5 PROJECTS FUNDED CUT-OFF 1-5
  • 57. © EUREKA Secretariat 2016 57 A typical Eurostars project average project cost €1.4 million average duration 29 months 2–3 countries 3–4 participants
  • 58. © EUREKA Secretariat 2016 58 Decentralized funding
  • 59. © EUREKA Secretariat 2016 59 Reasons to participate • You want to do something that is too big to do alone • Requires collaboration across the value chain • You have a solution for someone else • You need access to someone else’s science/technology • Access skills you do not have • Share risks • Access new markets
  • 60. © EUREKA Secretariat 2016 60 Eurostars process
  • 61. © EUREKA Secretariat 2016 61 Evaluation criteria
  • 62. © EUREKA Secretariat 2016 62 1st step: Assessment by independent experts
  • 63. © EUREKA Secretariat 2016 63 2nd step: Scoring and ranking by independent panel • Only projects rated above the quality thresholds are recommended for funding • The funding of projects is following the ranking list until national budget exhaustion • The funding of partners is based on the national funding rules
  • 64. © EUREKA Secretariat 2016 Upcoming events • Eurostars Roadshow • UK event – London (venue TBC) • 21st November 2017 • jane .watkins@innovateuk.gov.uk • applications@eurostars- eureka.eu • Cut-off 8: 14th September 2017 • Good luck!
  • 65. Accessing European Research & Innovation Funding
  • 66. Evaluators Top Tips for applying to the SME instrument Margaret Patterson
  • 67. Evaluator’s Perspective and Top Tips Professor Margaret Patterson foodsciencemargaret@gmail.com
  • 68. Overview • My background as an evaluator. • The SME Instrument evaluation process. • The Individual Evaluation Report (IER). • Tips on presenting your application (how to make the evaluator’s life easier!) • General comments as an independent expert evaluator.
  • 69. My background as an evaluator • Been involved in EU programmes for 20+ years as an applicant. • Been an evaluator for Framework Programmes, Marie-Curie and SME Instrument.
  • 70. How evaluators are appointed and trained • Apply online via EU website (Europa): complete application form including specific areas of expertise. Covers different EU calls. Updated annually. • EU selection based on requirements e.g. depends on number of proposals received in each topic area. • Invited to participate - specific dates/specific calls. • Contract signed. • Training webinar provided. Specific downloadable info. provided online.
  • 71. SME Instrument Programme • Aimed at bridging gap between technology development and full market exploitation. • Support for ambitious ideas which might be high risk but, if successful, will disrupt the industry sector/market. • Looking for top 6% of SMEs with most pronounced growth potential. • Needs to have strong European dimension and “European added value” • Phase 1 allows for market and/or IP information to be obtained as well as verifying technological and economic viability. • Phase 2 allows problems identified in Phase 1 to be addressed to maximise return on investment.
  • 72. The SME Instrument Evaluation Process Finalisation Automated Consensus Report Receipt of proposals Individual Evaluations Eligibility check Allocation of proposals Remote evaluation Individual reports from evaluators Arithmetic median calculated No negotiation Standardised Summary Report produced Final ranked list Applicants informed
  • 73. Evaluation time line • Proposals allocated very soon after cut-off date. • Evaluators accept/decline tasks within 24 hrs – otherwise task reallocated to another evaluator. • Evaluator has 7 calendar days to complete evaluations.
  • 74. Structure of Independent Evaluation Report (IER) Phase 1 Phase 2 Operational capacity Impact Impact Excellence Excellence Quality& efficiency of implementation Quality and efficiency of implementation Subcontracting Scope of the proposal Scope of the proposal Threshold score 13 Threshold score 12
  • 75. Impact – gets weighting of 1.5 in rankings Phase 1 Phase 2 Threshold: 4 Threshold: 4 Sub-criteria: 9 Sub-criteria: 10 Impact on growth of company & alignment with overall SME strategy & experience Compliance with work programme Demand/market for innovation & willingness to pay – users identified Market conditions European Dimension, including issues such as climate change, environment , other society benefits Commercialisation plan – time to market, other activities, dissemination IPR status & Regulatory requirements
  • 76. Excellence Phase 1 Phase 2 Threshold: 4 Threshold: 3 Sub-criteria: 7 Sub-criteria: 8 Clarity and pertinence of objectives Credibility – is expected performance convincing? Soundness of concept – technical, commercial, regulatory issues Risks & opportunities Extent innovation is beyond state of art – market opportunities Current stage of development of innovation ( TRL specified in phase 2) Comparison with known solutions Commercial viability
  • 77. Implementation Phase 1 Phase 2 Threshold: 4 Threshold: 3 Sub-criteria: 4 Sub-criteria: 5 Resources to develop activities Technical/scientific knowledge & management experience of team/consortium Time frame and implementation description Work packages, major deliverables and milestones Sub-contracting (Phase 2 only)
  • 78. Specific yes/no questions • Does the project proposed contain activities above TRL 8? (phase 2 only) (Not an evaluation criteria and > 8 will not disqualify proposal. Requirement in the framework of the Seal of Excellence) • Is the proposal in scope for the relevant work programme? • Operational capacity to carry out proposed work (Phase 2 only) • Sub-contracting (phase 2 only). Must demonstrate compliance with best value-for-money
  • 79. Proposal scoring • Each sub-criterion scored out of 10 (to 1 decimal place) • Each sub-criterion has the same weight – except the “Overall perception” which gets 25% weight of the total score of that criterion • Individual scores (0-10) for each criterion automatically converted to a scale of 0- 5 to calculate each of the 3 criterion scores per evaluator. • Max. score is 15 Scale for qualitative assessment: • 0-2.99 - Insufficient • 3-4.99 - Insufficient – Fair • 5-6.99 - Fair – Good • 7-8.99 - Good – very good • 9-10 - Very good - excellent
  • 80. Final score • Each proposal assessed by 4 evaluators. • Median (not mean/average) score calculated across all 4 evaluators for each criterion. • Overall score is the sum of the 3 criteria median scores. Median scoring helps project against “outlying” scores E.g. if scores were 2, 4, 4.5, 4.7 then mean score would be 3.8 but median score would be 4.25
  • 81. Guiding principles for evaluators • Independent and impartial. • Objective. • Accurate. • Consistent. • Maintain confidentiality. • Flag any conflicts of interest.
  • 82. Evaluator’s perspective and tips • EU assumes we can evaluate 5 Phase 1 proposals or 3 Phase 2 proposals per day. i.e. we should spend < 2 hrs evaluating a Phase 1 proposal and around 2.5 hrs evaluating a phase 2 proposal. Note: Phase 1 has 10 pages max + annex on members of consortium and ethics (no page limit). 20 sub-criteria to comment on + yes/no questions. Phase 2 has 30 pages max + annex on members of consortium and ethics(no page limit)+ Phase 1 feasibility report summary (usually ~ 20 pages). 23 sub-criteria to comment on +yes/no questions.
  • 83. Tips Evaluators don’t have to be an expert on a specific technology. EU choose the 4 evaluators/proposal on the variety of their knowledge. Don’t make the proposal language too technical Chances are evaluators will not have English as their first language Keep use of English simple and straightforward. Can usually guess which proposals have had expert help with writing.
  • 84. Tips Proposal needs to be convincing and realistic Would I invest in this if I had the money? Ensure proposal is evidence based. Demonstrate that the proposal is well thought through e.g. logical SMART objectives; risks identified, realistic.
  • 85. Tips As far as possible, present the information under sub-criteria headings similar to those mentioned above Helps evaluator find relevant information for each sub-criterion
  • 86. General comments • Resubmissions are evaluated the same as original submissions (evaluator can see if proposal is a resubmission but don’t see the previous report) • I don’t believe there is any EU or evaluator basis e.g. due to Brexit. • No “model proposal” given
  • 87. Finally • I found some of the sub criteria confusing – not always sure exactly what they were looking for. • Evaluators don’t get feedback on their performance e.g. quality of their IERs; marking. • No interaction with other evaluators (a mixed blessing!) • Time allocated to complete evaluations unrealistic (in my view) if EU want a quality return.
  • 88. Accessing European Research & Innovation Funding
  • 89. SME Instrument: A Company Perspective Brian Cameron
  • 95. Accessing European Research & Innovation Funding
  • 96. Accessing European Research & Innovation Funding