fp6 horizontal activities involving smes final summary

8/14/2019 Fp6 horizontal activities involving Smes final summary

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Community research

E U R O P E A N

COMMISSION

FP6 HORIZONTAL ACTIVITIES INVOLVING SMESFINAL SUMMARY


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FINAL SUMMARY

A statistical perspective

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

2006

EUROPEAN COMMISSIONDirectorate - General for Research

EUR 06-219


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CONTENTS

Introduction

Statistical analysis of FP6 Horizontal Activities involving SMEs

Glossary

Additional information on SMEs and Research

p 4

p 8

p 46

p 47

FINAL SUMMARY

A statistical perspective


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LEGAL NOTICE:Neither the European Commission nor any person acting on behalf of the Commission is responsible for the use which mightbe made of the following information.The views expressed in this publication are the sole responsibility of the author and do not necessarily reect the views of theEuropean Commission.

A great deal of additional information on the European Union is available on the Internet.It can be accessed through the Europa server (http://europa.eu).Cataloguing data can be found at the end of this publication.Luxembourg: Ofce for Ofcial Publications of the European Communities, 2006ISBN 92-79-03721-8 European Communities, 2006Reproduction is authorised provided the source is acknowledged.Printed in BelgiumPRINTED ON WHITE CHLORINE-FREE PAPER


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With SMEs central role in the European economy welldocumented, they face new challenges in an ever-growingglobalised market. This requires that they establish newstrategies and identify innovative solutions to remain com-petitive. The European Union understands the challengesthey face and has developed dedicated tools designed tohelp them reach their full potential. Two such HorizontalActivities under the Sixth Framework Programme for Re-search and Technological Development (FP6) are Co-op-erative Research projects (formerly CRAFT) and CollectiveResearch projects. In order for an SME to participate in theschemes, it must conform to the SME denition adopted inRecommendation 2003/361/EC, effective 1 January 2005.

CO-OPERATIVE RESEARCH PROJECTSCreative SMEs often develop a truly innovative idea yetlack the research capability to bring their concept tofruition. Co-operative Research projects give such SMEsan outlet to take their ideas off the page and into the lab.It brings together t hese smaller players from differentcountries with a specic research objective or need, andthen assigns a large part of the work required to R&Dperformers. Ownership of the results produced is generallytransferred to SMEs to be used for the development of their

activities. Typical Co-operative projects last from one to twoyears, and involve research- and innovation-related workin any science and technology topic intended to improve ordevelop new products, processes and services. The rangeof research topics is needs driven. FP6 set aside 320million to support Co-operative projects, with each projecthaving a budget of between 0.5 and 2 million.


European Union policymakers have agreed thatfor Europe to be a world-class centre for t echnologicalinnovation, it must be home to successful, competitive smalland mediumsized enterprises (SMEs). SMEs lie at theheart of research and development all across the globe,Europe being no exception. They represent 99.8% of all EUenterprises, employing two-thirds of Community workers.By nature, SMEs exhibit a exibility, ingenuity and vitalitythat is essential for European job growth and overalleconomic performance.


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FP6-2002-SME-1 FP6-2002-SME-1-2 FP6-2003-SME-2 FP6-2004-SME-COOP

0

1000

2000

3000

4000

5000

6000

7000

8000

9000

10000

0.00%

2.00%

4.00%

6.00%

8.00%

10.00%

12.00%

14.00%

16.00%

18.00%

20.00%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCO-OPERATIVERESEARCH

Participants success rate by call

Totalnumberofparticipants

Success rate as percentageof Total Participants


Total Number of Participants inproposals submitted and successful projects

Co-operative Research Collective Research

Proposals Submitted Successful Projects Proposals Submitted Successful Projects

Participants

30 592 3 786 11 565 1 745

Proposals

3 274 397 673 80

The funding schemes are of high interest for SMEs,indicating the attractiveness of the bottom-up approach.

CO-OPERATIVE RESEARCHAND COLLECTIVE RESEARCH

Proposals submitted

Successful projects

Success rate


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Proposals submitted

Successful projects

Success rate

DISTRIBUTIONOF TOTAL PARTICIPANTS IN SME-SPECIFICMEASURES FP6

IS

IE

UK

NL

BE

NO

SE

FI

EE

LV

LT

PL

UACZDE

DK

CH

IT

FR

ES

PT

MT

ATSK

HU

ROSI

HR

BACS

AL

GR

BG

TR

MD

CY SYLB

RU

JO

PS

GE

AM

IL

BY

IR

759

16

95

170

158

97

44

19

41

231747

265

141

685140

13

317

49

539

148

10535

94

57

35

14031

12

1

7

4

119

63

23

2

2

2

With regard to No. of SMEparticipants, the UK has the highestproportion, followed by Germany andSpain.From the new Member States, Polandis a true success with 231 participantscompared with just 4 in FP5.

0

1000

2000

3000

4000

5000

6000

FP6-2002-SME-2 FP6-2003-SME-2 FP6-2004-SME-2

0.00%

5.00%

10.00%

15.00%

20.00%

25.00%

30.00%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCOLLECTIVERESEARCH

Participants success rate by call

Totalnumberofparticipants

Success rate as percentageof Total Participants

UNIT SME (DG RTD)

European Commission

Sept 2006


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RTD32%

SMEP59%

Other9%


Type of Participants in successful projectsas a percentage of Total Participants

Balance of participant types is nearly identical for every

country, with the majority being SMEs. This is possiblya consequence of the economic structure within eachcountry.Only in Greece and Sweden are RTD Performers themajority.Share of SMEPs nearly 60% for participants in bothproposals submitted and successful projects.

RTD34%

SMEP58%

Other8%


Type of Participants in proposals submittedas a percentage of Total Participants

SME-specic RTD projects are also of high interest toother enterprises and end users, shown here by theirrelatively high participation.Different types of par ticipants within RTD collaborationsare similar to participants of innovative clusters in theirrespective regions.SMEs RTD activities are very often the driving force tonew technology pathways.


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IAG25%

RTD26%

SME Core Group49%


Type of Participants in successful projectsas a percentage of Total Participants

IAG27%

RTD29%

SME Core Group44%


Type of Participants in proposals submitted for Stage 1as a percentage of Total Participants

High No. of SME Core Group Participants demonstrateshigh interest of SMEs in the Collective Research Scheme.This conrms that the scheme is really geared towardsSMEs and not only the associations.


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Private Organisation, Non-Prot9%

Public CommercialOrganisation2%

GovernmentalOrganisation16%

Private CommercialOrganisation

73%


Legal Status of Participants in successful projectsas a percentage of Total Participants

Majority of Governmental organisations are stateowned universities, public research centres andinstitutes and local governments

About 80% of the participants have got a privatelegal status, meaning they invest private money inthe projects. The funding scheme is generating a highamount of private money for research, an importantpoint with regard to the Lisbon strategy.


Public CommercialOrganisation2%

GovernmentalOrganisation

18%


70%


Legal status of Participants in proposals submittedas a percentage of Total Participants

Majority of Governmental organisations are stateowned universities, public research centres andinstitutes and local governments


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Public Commercial Organisation7%

European EconomicInterest group1%


49%


Governmental Organisation16%


Legal status of Participants in successful projectsas a percentage of Total Participants

The slight difference between the number of proposalssubmitted and successful projects for participants witha private legal status means that some have less privatemoney to complement public grants.

Public Commercial Organisation3%

European EconomicInterest group1%


53%


Governmental Organisation

13%


Legal status of Participants in proposals submitted for Stage 1as a percentage of Total Participants


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10 - 49 Employees44%


Sole Trader3% 1 - 9 Employees

30%


Number of Employees of SME-Participants insuccessful projectsas a percentage of total SME-Participants



31%



Number of Employees of SME Participants inproposals submittedas a percentage of total SME Participants

Majority of participating SMEs (77%) had less than50 employees, proving that the bottom-up-scheme is ofespecially high interest for smaller enterprises.


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Sole Trader3%

1 - 9 Employees23%



Number of Employees of SME Core Group Participants insuccessful projectsas a percentage of total SME Core Group Participants



25%



Number of Employees of SME Core Group Participants inproposals submitted for Stage 1as a percentage of total SME Core Group Participants

Note the slight difference between the size ofenterprises with regard to employees. Only 70%of the SME Core Group Participants have up to 49employees. The reason for the difference: Number onlyrefers to SME Core Group, not to SME associations.


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< or= 10 Mio29%

> or= 50 Mio3%

< or= 2 Mio68%


Turnover in euro of Core Group SME Participants insuccessful projectsas a percentage of total SME Core Group Participants

< or= 10 Mio22%

> or= 50 Mio2%

< or= 2 Mio76%


Turnover in euro of SME Participants insuccessful projectsas a percentage of total SME Participants

More than 2/3 of the participating SMEs have anannual turnover of less than 2 million. Because of theirlimited turnover, they rely on EC-funded projects fortheir research.


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Gender of Participants in successful projectsas a percentage of total, and total numbers

IAG

RTD

SME Core Group

FEMALE

MALE

14124%

31452%

14324%

2222%

4040%

3838%

10017%

59883%

male female male/female total

SMEP

OTHERS

RTD

FEMALE

MALE


Gender of Participants in successful projectsas a percentage of total, and total numbers

2808%

105931%

205361%

3710%

17045%

16845%

37510%

339290%

male female male/female total

The gender balance is consistent with theproportion of women in the EU25 for totalemployment (44%) and for scientists andengineers (29%) in 2004.


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Associated Countries5%

EU 1012%

EU 1581%

Candidate Countries2%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCO-OPERATIVE RESEARCHAND COLLECTIVE RESEARCH

Participants as a percentage of total by groupings ofcountries


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BG Bulgaria 35 0.65%HR Croatia 2 0.04%RO Romania 57 1.05%TR Turkey 31 0.57%

Subtotal 12 5 2. 31 %

IS Iceland 16 0.30%LI Liechtenstein 0 0.00%NO Norway 170 3.14%MC Monaco 1 0.02%

Subtotal 187 3. 45%

CH Switzerland 49 0.90%IL Israel 23 0.42%

Subtotal 72 1.33%

AU Australia 2 0.04%BR Brazil 4 0.07%CL Chile 2 0.04%CN China 1 0.02%RU Russian Federation 7 0.13%UA Ukraine 4 0.07%US United States 1 0.02%

Subtotal 21 0.39%

BY Belarus 1 0.02%GE Georgia 2 0.04%IR Iran 2 0.04%KR Korea 1 0.02%

Subtotal 6 0.11%

Total 5418 100.00%

Associated

Candidate

Countries

EEA

Countries

S/T

Agree.

ECInternational

Agreement

INCO

Countries

FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCO-OPERATIVE RESEARCHAND COLLECTIVE RESEARCH CONTRACTS

Total Participants by country and as a percentage of total

ISO CODE Country Part. % TotalAT Austria 148 2.73%BE Belgium 141 2.60%CY Cyprus 12 0.22%CZ Czech Republic 105 1.94%DE Germany 747 13.79%DK Denmark 119 2.20%EE Estonia 44 0.81%ES Spain 685 12.64%FI Finland 97 1.79%FR France 317 5.85%GR Greece 140 2.58%HU Hungary 94 1.73%IE Ireland 95 1.75%IT Italy 539 9.95%LT Lithuania 41 0.76%LU Luxemburg 0 0.00%

LV Latvia 19 0.35%MT Malta 13 0.24%NL Netherlands 265 4.89%PL Poland 231 4.26%PT Portugal 140 2.58%SE Sweden 158 2.92%SI Slovenia 63 1.16%SK Slovakia 35 0.65%UK United Kingdom 759 14.01%

Subtotal 5007 92.41%

Total FP6

MemberStates

Both Co-operative and Collective research show astrong participation rate from the EU15 in comparisonwith the EU10; however, the participation rate forAssociated states in FP5 was only 6% compared to 12%in FP6.


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14

16 17

20

17

12

14

1817

9

16

11

14

9

8

13

2222

18

25

13

8

5

33

00

200

400

600

800

1000

1200

1400

1600

Germ

any

Spain

Ital

y

Unite

dKin

gdom

France

TheN

etherlan

ds

Belgi

um

Polan

d

Portu

gal

Austria

Gree

ce

Sweden

Hung

ary

Denm

ark

CzechR

ep.

Finlan

d

Irela

nd

Slovenia

Slovakia

Estonia

Latvi

a

Lithu

ania

Cyprus

Malta

Luxemb

ourg

0

5

10

15

20

25

30

35

Total No. of participantsSuccess rate as percentage

of total participants


Success rate of Member Statesas a percentage of Total Participants

Successful projects

Proposals submitted

Success rate

12 12

10

17

11

15

13

9

14

15

12

17

11

5

1615

20

8

16 14

0

111111

0

500

1000

1500

2000

2500

30003500

4000

4500

5000

Total No. of participants

0

5

10

15

20

25

Success rate as percentageof total participants

Germ

any

Spain

Italy

Unite

dKing

dom

France

TheN

etherlan

ds

Polan

d

Gree

ce

Austria

Sweden

CzechR

epublic

Portu

gal

Belgi

um

Finlan

d

Denm

ark

Hung

ary

Slov

enia

Slovakia

Irelan

d

Estonia

Lithu

ania

Cyprus

Latvi

aM

alta

Luxemb

ourg

4


Success rate of Member Statesas a percentage of Total Participants

Successful projects

Proposals submitted

Success rate

Distribution of British Participants


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Besanon

Lille

Caen

Rouen

Amiens

Strasbourg

Metz

Chlons-sur-Marne

Orlans

Dijon

LyonClermont Ferrand

Rennes

Nantes

Limoges

Bordeaux

Toulouse

Marseille

Montpellier

Paris

Poitiers

8

6

1 7

9

117

2018

8

2

4

4

6

41

12

14

19

18

5

97

Aix-en-Provence

Distribution of French Participantsin SME Specic Measures FP6

from 1 to 10

from 11 to 20

from 21 to 50

more than 50

NUMBER OF PARTICIPANTS

UNIT SME (DG RTD)

European Commission

Sept 2006

Cardiff

Edinburgh

Belfast

PortsmouthPlymouth

Chesterfield

Blackpool

London

Exeter

Bristol

Oxford

Cambridge

Glasgow

Aberdeen

Inverness

Newcastleupon Tyne

Manchester

Nottingham

Leicester

West Midlands

Swansea

Liverpool4

19

11

6

4

23

15

4 8

8

5

2126

12

12 25

28 5

51

31

8

32

17

18

710

4

13 32

12

35

111

924

Hastings-Bexhill

Distribution of British Participantsin SME Specic Measures FP6

from 1 to 10

from 11 to 20

from 21 to 30

from 31 to 40

from 41 to 55

more than 55


UNIT SME (DG RTD)

European Commission

Sept 2006

Kiel

24

Distribution of German Participantsin SME Specic Measures FP6


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Roma

Cagliari

Trieste

Trento

VeneziaMilano

BolognaGenova

Torino

Aosta

Ancona

Perugia

L'Aquila

Firenze

Catanzaro

Potenza

Bari

Napoli

Campobasso

Palermo

1

33

39

116

10

10

52

72

49 21

7

76

4

10

2

10

19

8

Distribution of Italian Participants

in SME Specic Measures FP6

from 1 to 10

from 11 to 25

from 26 to 50

from 51 to 100

more than 100


UNIT SME (DG RTD) Sept 2006

European Commission

Braunschweig

Lneburg

Oldenburg

Kln

Arnsberg

Mnster Detmold

Neustadt

Koblenz

Trier

Giessen

Kassel

Freiburgim Breisgau

Tbingen

Karlsruhe

Augsburg

Landshut

RegensburgAnsbach

BayreuthWrzburg

Chemnitz

LeipzigHalle

Dessau

Berlin

Hamburg

Bremen

Hannover

Dsseldorf

Mainz

Saarbrcken

Wiesbaden

Stuttgart

Mnchen

Erfurt

Dresden

Magdeburg

Potsdam

Schwerin

5

29

11

22

14

655

9

16

15

9

3

3 6

15

15 20

25

8

370

1

9

10

4

34 12

17

6

2

4

93

6

2724

24

45

27

19

from 1 to 10

from 11 to 20

from 21 to 30

from 31 to 50

from 51 to 90



more than 90

European Commission

Distribution of Polish Participants


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Distribution ofSpanish Participantsin SME SpecicMeasures FP6

La Corua

Sevilla

Toledo

Mrida

Barcelona

Zaragoza

Logroo

Valladolid

PamplonaVitoria

Murcia

Valencia

SantanderOviedo

Santiagode Compostela

Madrid

CrdobaJan

Almera

Granada

MlagaCdiz

Huelva

Guadalajara

Cuenca

AlbaceteCiudad Real

Cceres

Badajoz

Tarragona

Lrida

Girona

Teruel

Huesca

Segovia

Soria

Salamanca

Zamora

Burgos

Palencia

Len

Alicante

Castell de la Plana

Orense

Pontevedra

Lugo

Donostia San SebastinBilbao

Palma de Malllorca

Avila

5

14

8

5

1

3

2

2

2

1

11

10

5

84

13

32

63

43

3

2

1

10

8

5

166

16

1

13

11

8

1 3 10

7

44 61

7

30

85

from 1 to 10

from 11 to 50

from 51 to 75

from 76 to 100

more than 100



European CommissionEuropean CommissionEuropean Commission

ISLAS CANARIAS

San

taC

ruzde Tenerife

Las Palma

s deGr

anCanaria

6

pin SME Specic Measures FP6

ELBASKI

BIALOSTOCKO-SUWALSKI

Warszawa

WARSZAWSKI

BIALSKOPODLASKI

SWIETOKRZYSKI

PODKARPACKIE

NOWOSADECKI

OPOLSKIE

M.WROCLAW

PIOTRKOWSKO-

SKIERNIEWICKI

POZNANSKI

KUJAWSKO-

POMORSKIE

SZCZECINSKI

GDANSK-GDYNIA-SOPOT

GORZOWSKI

SLASKIE

Lodz

20

10

83

6

9

32

20

4

19

1

1

20

1

410

from 0 to 5

from 6 to 10

from 11 to 20

from 21 to 50

more than 50



European Commission


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New SME denitionA full account of the background to the changes, a comprehensive user guide and the texts of the Commission recommendation are

available athttp://ec.europa.eu/enterprise/enterprise_policy/sme_denition/index_en.htm

For further information concerning SMEs in Research, please vi sithttp://sme.cordis.europa.eu/home/index.cfm

For further information concerning the Framework Programme, please visithttp://ec.europa.eu/research/enquiries/


GLOSSARY

SMEs with capacity to innovate but with limited research capabilities

Organisation with RTD means adequate to carry out research at the request of the SMEparticipants

Any other organisation having a particular interest in the project, though not in a domi-nant role

Group representing the interests of SMEs. The term "industrial" refers to associations orgroupings within the enterprise sector

SME group that validates the results of the project so that they can be used by a largenumber of SMEs

All proposals eligible for evaluation

Projects from the main list and those selected from the reserve list for negotiation

First part of a two-stage evaluation procedure in the Collective research scheme

Second part of a two-stage evaluation procedure in the Collective research scheme

SMEP SME Participants:

RTD RTD Performers:

OTHER Other Enterprises and End Users:

IAG Industrial Association or Grouping:

SME Core Group:

Proposals submitted:

Successful projects:

Stage 1:

Stage 2:


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European Commission

EUR 06-219 FP6 Horizontal Activities Involving SMEs

Luxembourg: Ofce for Ofcial Publications of the European Communities

2006 48 pp. 21.0 x 14.8 cm

ISBN 92-79-03721-8


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KI-X1-06-2

19-EN-CEuropean Union policymakers have agreed that for Europe to be a world-class centre for technological innovation it must be

home to successful, competitive small and medium-sized enterprises (SMEs). The European Union understands the challengesthey face in an ever-growing globalised market, and has developed dedicated tools designed to help them reach their fullpotential. Two such Horizontal Activities under the Sixth Framework Programme for Research and Technological Development(FP6) are Co-operative Researchprojects (formerly CRAFT) and Collective Research projects.

This booklet is designed to provide a statistical overview of FP6 Co-operative and Collective Research Projects. As you will see,there has been an enthusiastic response to both initiatives.

fp6 horizontal activities involving smes final summary

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