EU Funding for R&D in SMEs Public version of a sharper in-house presentation. Global full overview not intended, but may be a good start for an SME looking for pointers.

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R&D EU Funding
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An overview from an ICT SME
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Teo Romera
teo@igalia.com

2. Introduction and EU Funding Map
Framework Programme (FP7)
Eurostars Programme
Iberoeka Programme
Technological Platforms, JTIs, PPPs
Actions in R&D
Feedback and Involvement from
your company
*This will be just an overview it is just too much information to compress

3. Introduction and EU Funding Map

4. EU R&D Funding Map
...
Ideas Base R&D Innovation
Academia Products
R&D Companies
Institutions Public Adm.
R&D Dept. Market
Bilateral
e+ Canada
e+ Japan
e+ China
e+ Korea
e+ India
e+ South Africa

5. EU R&D Funding Map
Base R&D Innovation
Ideas Products
● Top-down (Work Programme) ● Bottom-up (no Work
● Supervised by EC Programme)
● Centralized funding ● Consortium agreement
competitive with calls ● National funding, no
● Results property of EU competition, no calls
participants ● Results, property of the
consortium

6. Framework Programme (FP7)

7. What is the FP7?
● 7th Framework Programme for Research and
Technological Development in the EU
● 2007 – 2013 | Over € 50 billion
Obscene amount of money to co-finance
research projects through grants that are
determined on the basis of calls for proposals in
a peer review process, which is highly
competitive.

8. Who can apply to the FP7?
● Research groups at universities or research institutes
● Corporations
● Small or medium-sized enterprises (SMEs)
● Public administration
● Researchers, individuals experienced or novel
● Many other institutions and different combinations of all these
● FP7 is open to any country in the world
● EU Members retain the broadest rights and access to funding
● EEA and Candidate countries (Turkey, Croatia, Macedonia, Iceland...)
● Also Russia and other Eastern European and Central Asian states,
developing countries, Mediterranean partner countries and Western Balkans
countries… so basically anyone except South America, USA and Japan!
● Participation rules vary depending on the initiative

9. FP7 Specific Programmes
● Cooperation
● The core of the FP7
● Collaborative projects across Europe
● 10 key thematic areas, ICT is number 3
● Ideas
● “Frontier research” based in scientific excellence
● Not need for cross-border partnerships
● People
● Researcher mobility and career development
● Industry-academia partnerships
● Capacities
● Aimed at infrastructures, specific regions, specific local actions... etc
● Includes research for the benefit of SMEs
● Nuclear research

10. FP7 Specific Programmes
€ million JRC (EC) Capacities
1,751 4,097
People
4,750
Ideas
7,510
Cooperation
32,413
Euratom FP: € 2.7 billion over 5 years – not included above

11. ICT in FP7
● FP7 thematic areas in the Cooperation Specific Programme
● Health
● Food, agriculture and fisheries, and biotechnology
● Information and communication technologies
● Nanosciences, nanotechnologies, materials and new production
● technologies
● Energy
● Environment (including climate change)
● Transport (including aeronautics)
● Socio-economic sciences and the humanities
● Space
● Security

12. FP7 Cooperation
Budget % amongst
key areas Space
Security 4%
4% Socio-economic sciences
Health 2%
19% Transport
Agriculture and biotechnology 13%
6%
Environment
6%
Energy
7%
ICT Nano production
28% 11%

13. ICT in FP7
● Information and Communication Technologies
● 8 calls between 2007 – 2011
● Annual calls from JTIs and AAL
● Calls from PPPs
● One specific call for SMEs
● Key principles
● Support the competitiveness of the EU industry
● Multiply the effect of private R&D with EU funds
● Structured in 8 challenges with sub-topics

14. Challenges and Objectives in ICT
1. Pervasive and Trusted Network and Service Infrastructures
2. Cognitive Systems and Robotics
3. Alternative Paths to Components and Systems
4. Technologies for Digital Contents and Languages
5. ICT for Health, Aging Well, Inclusion and Governance
6. ICT For Low Carbon Economy
7. ICT For the Enterprise and Manufacturing
8. ICT For Learning and Access to Cultural Resources
● Future and Emerging Technologies (FET)

15. Call 8
● Current call (8), published 26/7/11 open till 17/1/2012
1.1 Future Networks
1.2 Cloud Computing, Internet of Services and Advanced Software Engineering
1.4 Trustworthy ICT
1.6 Future Internet Research and Experimentation
3.1 Very advanced nanoelectronic components: design, engineering, technology and manufacturability
3.2 Smart components and smart systems integration
3.5 Core and disruptive photonic technologies
4.4 Intelligent Information Management
6.1 Smart energy grids
6.3 ICT for efficient water resources management
6.7 Cooperative systems for energy efficient and sustainable mobility
8.1 Technology-Enhanced Learning
9.6 FET Proactive: Unconventional Computation
9.7 FET Proactive: Dynamics of Multi-Level Complex Systems
9.8 FET Proactive: Minimising Energy Consumptionof Computing to the Limit (MINCON)
9.12 Coordinating Communities, Identifying new research topics for FET Proactive initiatives and
Fostering Networking of National and Regional Research Programmes

16. Call 9
● Next call (9), tb published 18/1/12 open till 17/4/2012
2.1 Cognitive Systems and Robotics
4.3 Digital Preservation
5.2 Virtual Physiological Human
8.2 ICT for access to cultural resources
9.9 FET Proactive: Quantum ICT (QICT) including ERA-NET-Plus
9.10 ET Proactive: Fundamentals of Collective Adaptive Systems
(FOCAS)
9.11 FET Proactive: Neuro-Bio-Inspired Systems (NBIS)
9.12 Coordinating Communities, Identifying new research topics for FET
Proactive initiatives and Fostering Networking of National and Regional
Research Programmes
10.3 International Partnership building and support to dialogue

17. What about the money?
● Funding in FP7 is through co-financing
● The EC does not buy research
● The EC grants a certain % to selected projects
● Standard for research and technological development is
50%
● Certain entities (including SMEs) can reach 75%
● Demonstration activities 50%
● Consortium management, networking, training,
coordination, dissemination... etc. may get to 100%
* Rates of reimbursement vary wildly depending on the funding scheme, the participants and the
type of activity. The EC pays yearly after every review.

18. Funding Schemes in ICT
● Collaborative projects (CP)
● STREP, small or medium and focused
● IP, large and integrating a set of activities
● Networks of Excellence (NoE)
● Integration of activities of research organizations
● Coordination and Support Actions (CSA)
● CA, for coordination or networking
● SA, evaluation, reports, analysis...
* There are more Funding Schemes, but not inside the ICT topic.

19. Funding Schemes in ICT
● STREP (Specific Targeted Research Projects)
● Focused in a clear result
● Expected impact should be in the WP
● Technological R&D + Demonstration
– Avg. number of participants 6 – 15
– Avg. budget 1 – 4 M€
– Avg. duration 1.5 – 3 years
● IP projects (Integrated Projects)
● Long term higher risk research
● Expected impact should fulfill the WP
● Technological R&D + Demonstration + Training
● Management and viability is key
– Avg. number of participants 10 – 20
– Avg. budget 4 – 25 M€
– Avg. duration 3 – 5 years

20. Life Cycle of a Project
● Application process
1.Find the right call
● Know your idea/potential
● Infodays, networking, find/meet potential partners, show off...
● Get to know the programmes and their rules and work programmes
2.Build the consortium
● Lead or follow a consortium
● From 3 to 20+ participants
3.Write a proposal
● Get to master the rules and documentation of the call
● Meet other partners and discuss tasks and budget
● Put it all together in an appealing document
4.Submit the proposal
5.Evaluation and selection
● Panel of experts reviews, impact, novelty, implementation, feasibility, consortium... etc.
6.Negotiation
● Grant agreement, with the EC
● Consortium agreement with the other partners

21. Life Cycle of a Project
6 – 9 Months 1 – 3 Months 3 – 9 Months
Find Build Prepare Send
the Call Proposal Evaluation Negotiation
Consortium Proposal
… something between a year and a year and a half and then
your project starts. And that is when real work begins!!

22. Life Cycle of a Project
● Management process
● About 7% of the overall budget
● Money management (transfers)
● Partner meetings, communications
● Report to the EC
● Monitoring process
● EC monitors the project through the PO
● Project coordinator monitors project and partners
● Performance indicators (reports, milestones)
● Tackle problems with partners

23. Life Cycle of a Project
● Justification process
● Yearly reviews with the EC
● Financial audits
– Expenses, adjustments, moving money between
parties... etc.
● Project technical audits
– Results, handbooks, prototypes... etc.
● Consortium reports to PO and PO to EC
● Special grand finale at the end of the project

24. SMEs in the FP
● Reasons to participate for an SME
● Money should not be one of them
● Product development
● Access to new technologies
● Access to new business markets
● Looking for a better profile
● Staff development and interest

25. SMEs in the FP
● Cooperation programme (ICT Projects)
● 15% of the funds are allocated to SMEs
● Current call (8), published 26/7/11 open till 17/1/2012
● Next call (9), tb published 18/1/12 open till 17/4/2012
● Some calls explicitly require SMEs
● People Programme
● This establishes industry-academia pathways and partnerships
● Exchange of people and knowledge through stays, events and networking
● Ideas Programme
● Research groups from SMEs that are “competing in grounds of excellence”
● Capacities programme
● Research for the benefit of SMEs

26. SMEs in the FP
● Research for the benefit of SMEs
● Bottom-up approach, no thematic focus. Driven by innovation needs.
● Projects aimed at overcoming specific problems by outsourcing research to
RTD performers
● At least three independent SME participants, established in three different
Member States (MS) or Associated countries (AC)
● At least two Research & Technological Development performers (RTD).
● Other enterprises and end-users optional.
● Duration of the project 1 – 2 years
● Budget between 0.5 and 1.5 €M
● Funds
– Technology R&D
– Training and disemination
– Management
● Call open till 6/12/2011 next call mid July 2012
* Will find out about this programme in the following weeks. CDTI is organizing information actions these days.

27. SMEs in the FP
● Pros
● EU Funding is a great revenue source
● International cooperation an access to industry
● New technical ideas
● Good for meeting more and more partners and customers
● Cons
● You need money to co-fund projects
● May divert company from his real goal
● May prevent company from selling what it has
● Significant overheads of work
● Proposals are investments with low rate of success

28. Eurostars Programme

29. EUREKA Eurostars programme
● First EU funding programme specifically
dedicated to R&D performing SMEs
● Single Stage on-line application on a
continuous basis
● 3 – 4 months from cut off to funding
decision
● Project funded through national funding
body in each partner (Spain, CDTI)

30. EUREKA Eurostars programme

31. EUREKA Eurostars programme
● No restriction in thematic area (bottom up)
● Consortium leader is an R&D-performing SME
● Minimum 2 partners from 2 different countries (avg. is 3.3
partners from 2.5 countries)
● Project duration no more than 36 months (avg. is 28.7)
● Close to market (within 2 years after project)
● 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 (avg. project total 1.4 €M)
* EU SME definition + 10% of turnover (or FTE) dedicated to R&D

32. EUREKA Eurostars programme
● Specific rules applying to Spain
● Type of funding is a grant
● SMEs up to 60% (specific tasks in applied research may go up to 80%)
● Large Companies up to 40% (specific tasks in applied research may go up to
65%)
● Universities and research institutions funded if subcontracted by a
company
● Merged somehow with the Interempresas Internacional programme
in Spain
● At least one Spanish company
● Funding % is associated to each eligible project task (avg. 50% - 60%)
● Subcontracting by a company is limited to 50% of its total costs

33. Type of Consortium
The main participant of any Eurostars
consortium must be an R&D SME in
order to satisfy the Eurostars eligibility
criteria. Usually consortia are set up
with R&D SMEs, SMEs and Research
Institutes and Universities.

34. Technology Areas
The bottom-up approach gives the
freedom to participants to launch their
projects in any technological and
market area.
The overview of the last cut-offs
shows that any kind of innovative
technology has its place in Eurostars.

35. Share of Costs
79% of the shared costs are for R&D
SMEs and SMEs, the target group.

36. Application Process
1. Be an R&D-performing SME whiling to lead a project
2. Contact EUREKA National Project Coordinator, who will guide
through
3. Submit the application
4. Application is checked for completeness
5. Application is acknowledged and checked for eligibility criteria
6. Application evaluated by experts and an Independent
Evaluation Panel for its project structure, technological and
innovative value and its market and competitive potential
7. Results within three months of the cut-off date of the call
8. If successful, final contract negotiation should be completed
with your National Funding Body

37. Application Process

38. Eurostar Dates
● Open for funding applications on a continuous
basis
● An average of two application submission
deadlines each year
● Next Deadline: 01 March 2012
● Ninth Eurostars Cut-off: Autumn 2012
● 14 weeks from the Cut-off: resolution
● 19 weeks from the Cut-off: availability of
funding

39. Iberoeka Programme

40. CYTED-IBEROEKA
● Scientific cooperation initiative between
technological companies in the Latin American
area
● Instrument to foster cooperation between
companies, with the participation of R&D
institutions to develop products, process and
services aimed to the Latin American market
This is a way to partially fund the entrance of a product in
the Latin American market. It does not even have to be
that innovative...

41. CYTED-IBEROEKA
● There are 21 countries in the Network
● That means 21 managing entities
● In Spain, it is CDTI again
● Helps with the preparation of the project
● Helps with the partner search
● Informs about funding sources
● Advices on how to obtain good results
● Iberoeka is decentralized and flexible and easier
to obtain than most other helps

42. Iberoeka Projects
● No pre-defined areas
● Process/product/service close to the market
● Companies from 2 or more countries
● Clearly defined development and budget
● Duration 2/3 years
● Consortium with 2/3 countries
● Budget around 1 – 1.5 M€
* Also valid for Bilateral projects and Eureka Projects

43. Iberoeka Projects
● Money
● Less help than Eurostars
● Lower excellence level
● Financing up to 85% of the total costs of the project
● 10 years loan with 0% interest
● Grace period of 2 years after the end of the project
● Up to a 33% non-refundable part
● Managed through Interempresas Internacional
programme again by CDTI
* Also valid for Bilateral projects and Eureka Projects

44. Technological Platforms Joint
Technology Initiatives
(Lobbying)

45. Tech. Platforms, JTIs and PPPs
Lobbies tell EC their Lobbies access to
interest, problems and funding (or co-fund)
suggest topics
EC Promotes
EC designs funding programmes and
programmes and work funding
programmes
Lobbies work in projects
Lobbies organize and evaluate the
events, debate, check programmes
with partners and look
at the market EC gets feedback on
how well the
EC helps in this process programmes fit the
industry

46. Tech. Platforms JTIs and PPPs
● Prometeo/Artemis
● Embedded systems
● National Technological platform and EU JTI
● INES/NESSI
● Software and services (SaaS, Cloud Computing)
● National and EU level networks
● It is good to be around and show up in their
events
● It is a good source of information

47. Actions in R&D

48. R&D initial steps
● Identify potential partners
● Networking
● Identify convenient programmes
● Get to know the programmes well
● Align R&D goals with company goals
● Stew new ideas with all this in mind
● Match research interest in your company with
topics in programmes
● Show off and communicate

49. Tools and Mechanisms
● Creation of a potential partner repository
● Start small, with your address book + a wiki + a stack of business cards
● Go to meetings and show up in events
● National events (specially in Madrid) and EU events (mainly in Brussels)
● Learn about the programmes and keep informed
● Infodays, BOE, Ideal-ist, CDTI... and read a lot
● Brainstorming for ideas and definition of topics that interest you
● Maybe through internal workshops or specific monthly? Internal meeting
● Communicate
● Set an R&D Section in you web page
● Create Slideware on different topics
● Blog about your interest and potential
● Reach big entities doing R&D
● Talk to people you know

50. Feedback and involvement from
your company

51. What do yo need from your
colleagues?
● Goals
● What do we want to achieve in R&D?
● Partners and contacts
● Who do you know in R&D?
● Ideas
● What things do you think that could fit these programmes?
● Communication
● Make noise about any news or potentially interesting actions you are into
● Slideware
● Get to know what we do and what we can do
● What areas are we in at the cutting edge? What horizontal technologies?
● Patience
● Even once focused it takes time, effort and maybe does not even happen
● Feedback
● Centralize feedback in one R&D manager