EUROPEAN COMMISSION

C o mmu ni ty res ea rc h

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES FINAL SUMMARY

EUROPEAN COMMISSION Directorate - General for Research

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES
FINAL SUMMARY A statistical perspective

2006

EUR 06-219

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FP6 HORIZONTAL ACTIVITIES INVOLVING SMES
FINAL SUMMARY A statistical perspective

CONTENTS

Introduction Statistical analysis of FP6 Horizontal Activities involving SMEs Glossary Additional information on SMEs and Research

p4 p8 p 46 p 47

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

4

European 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). SMEs lie at the heart of research and development all across the globe, Europe being no exception. They represent 99.8% of all EU enterprises, employing two-thirds of Community workers. By nature, SMEs exhibit a flexibility, ingenuity and vitality that is essential for European job growth and overall economic performance.

With SMEs’ central role in the European economy well documented, they face new challenges in an ever-growing globalised market. This requires that they establish new strategies and identify innovative solutions to remain competitive. The European Union understands the challenges they face and has developed dedicated tools designed to help them reach their full potential. Two such Horizontal Activities under the Sixth Framework Programme for Research and Technological Development (FP6) are Co-operative Research projects (formerly CRAFT) and Collective Research projects. In order for an SME to participate in the schemes, it must conform to the SME definition adopted in Recommendation 2003/361/EC, effective 1 January 2005.

CO-OPERATIVE RESEARCH PROJECTS Creative SMEs often develop a truly innovative idea yet lack the research capability to bring their concept to fruition. Co-operative Research projects give such SMEs an outlet to take their ideas off the page and into the lab. It brings together these smaller players from different countries with a specific research objective or need, and then assigns a large part of the work required to R&D performers. Ownership of the results produced is generally transferred to SMEs to be used for the development of their activities. Typical Co-operative projects last from one to two years, and involve research- and innovation-related work in any science and technology topic intended to improve or develop new products, processes and services. The range of research topics is needs driven. FP6 set aside €320 million to support Co-operative projects, with each project having a budget of between €0.5 and €2 million.

6

COLLECTIVE RESEARCH PROJECTS Collective Research also involves assigning research to R&D performers. However, in this case, the benefits to SMEs are more indirect and the participants involved in a Collective research project are different. The R&D performers undertake scientific and technological research activities on behalf of Industrial Associations or Groupings in order to expand the knowledge base of large communities of SMEs and thus improve their general standard of competitiveness. These projects are larger and run longer than Co-operative research projects. They run from two to three years. The Industrial Associations/Groupings retain ownership of the results. Collective Research Projects may address any subject across the whole field of science. As Europe-wide initiatives, these projects aim for example to: • reinforce the technological basis of sectors; • develop technological tools such as diagnostic methods and safety equipment; • find solutions to common challenges such as fulfilling requirements, achieving workplace safety standards; and • carry out pre-normative research to help set European�norms and standards. FP6 allocated a total of €150 million to Collective projects, with individual project budgets ranging between €2 and €5 million each.

KEY FINDINGS 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. There were over 40 000 total participants from 3 947 proposals submitted from all across Europe. Of those, approximately 4 000 participants from 397 projects in Co-operative Research and 2 000 participants from 80 projects in Collective Research were selected. SMEs account for 53% of all participants in both schemes. These figures indicate a high interest on the part of SMEs due to the fact that they have the freedom to choose where they want to focus their research, and are then able to outsource a significant part of the research effort required. The majority of participating SMEs (77%) had less than 50 employees, reflecting the need for such an outsourcing scheme, especially for smaller enterprises. SMEs partaking in these schemes represent all industrial sectors from traditional manufacturing and food production, to health and emerging technologies, such as renewable energy, nanotechnology and materials processing.

OTHER INDICATIVE FIGURES WORTH NOTING: More than two thirds of the participating SMEs have an annual turnover of less than €2 million. Each SME has an average financial contribution of €120 000 per project. Hence, they invest a big part of their annual turnover in such research. This reflects the priority they place on EC-funded projects. The UK, Germany and Spain have the highest number of participants. Co-operative and Collective research projects show a strong participation rate from the EU15 in comparison with the EU10. With regard to the gender balance, we can see that the percentage of women in both Co-operative and Collective research is consistent with the proportion of women in the EU25 for total employment for scientists (44%) and engineers (29%) (source: 2004 Eurostat Labour Force survey). Approximately 80% of the participants have private legal status, meaning they invest private money in the projects. These funding schemes are generating a large amount of private money for research. This is important with regard to meeting the goals of the Lisbon strategy.

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH AND COLLECTIVE RESEARCH
Total Number of Participants in proposals submitted and successful projects

8

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

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

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES
Proposals projects Successful submitted Successful projects Proposals submitted Success rate Success rate
10000 9000 8000
Total number of participants

CO-OPERATIVE RESEARCH
Participants’ success rate by call
20.00% 18.00% 16.00% 14.00% 12.00% 10.00% 8.00% 6.00% 4.00% 2.00% 0.00%

Proposals submitted Successful projects Success rate Success rate as percentage
of Total Participants

20.00% 18.00% 16.00% 14.00% 12.00% 10.00% 8.00% 6.00% 4.00% 2.00% 0.00%

7000 6000 5000 4000 3000 2000 1000 0

ME-1-2

FP6-2002-SME-1 FP6-2003-SME-2

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

FP6-2003-SME-2

FP6-2004-SME-COOP

3000 2000 1000 0 FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

6.00% 4.00% 2.00% 0.00%

FP6-2002-SME-1

Successful submitted Proposals projects Proposals submitted Successful projects Success rate Success rate

FP6-2002-SME-1-2

COLLECTIVE FP6-2003-SME-2 RESEARCH

FP6-2004-SME-COOP

10

Participants’ success rate by call
20.00% 18.00%

Successful projects
16.00% 14.00%
6000

Proposals submitted Success rate
Success rate as percentage of Total Participants
30.00%

12.00% 10.00%

5000

25.00%

Total number of participants

4000

20.00%

8.00%
3000 15.00%

6.00%
2000 10.00%

1000

4.00% 2.00%

5.00%

0

0.00%

FP6-2002-SME-2

FP6-2003-SME-2
0.00%

FP6-2004-SME-2

ME-1-2

FP6-2003-SME-2

FP6-2004-SME-COOP

IS

16
FI 97

DISTRIBUTION Successful OF TOTAL PARTICIPANTS IN SME-SPECIFIC projects Proposals submitted MEASURES FP6
Success rate

170
NO

SE

158
DK

EE LV LT PL

44 19
BY 1 RU 7

UK IE

30.00% 119 25.00%

41

95

759
BE

NL

265 141

231
DE

• With regard to No. of SME participants, the UK has the highest proportion, followed by Germany and Spain. • From the new Member States, Poland is a true success with 231 participants compared with just 4 in FP5.
ES PT

20.00%747 15.00%

105 CZ 35 148
AT

SK

UA MD RO 57

4

FR

CH 49

317

10.00%

IT

HU 94 SI63 HR

2

BA

5.00%

539

CS AL

35 140
GR

BG

GE

FP6-2003-SME-2

140 FP6-2004-SME-2

685

AM

2

0.00%

31

TR

IR 2

UNIT SME (DG RTD)

Sept 2006

13 MT

CY 12 IL

European Commission

LB

SY

PS 23 JO

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES
SMEP 12 RTD IAG OTHER

CO-OPERATIVE RESEARCH AND COLLECTIVE RESEARCH
Distribution of Type of Participant in SMESpecific Measures FP6 - Contracts

IAG 458 8% Total Number of Participants = 5418

OTHER 416 8%

SMEP (*) 2886 53%

RTD 1658 31%

(*) SMEP = SME participants in Co-operative Research and Core SME participants in Collective. Data Valid : 18/09/2006

IS FI

IS

SE NO EE FI DK NO IE UK IE FR UK CH BE BE DE NL SI DE FR CH IT CZ AT HU HR BA CZ CS SI AT HU AL HR BAGR CS MT AL GR MT SK PL RO SK BG RO BG CY SY MD TR GE NL DK LT UA MD UA GE AM BY PL LV LV LT EE RU RU

TYPE OF PARTICIPANTS IN SME-SPECIFIC MEASURES FP6 BY COUNTRY

SE

BY

IT

ES PT
Type of Participants SMEP RTD IAG OTHER

ES PT

LBTR

IL PS JO CY LB SY

UNIT SME (DG RTD)

Sept 2006

European Commission

IL PS JO

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH
Type of Participants in proposals submitted as a percentage of Total Participants

14

• SME-specific RTD projects are also of high interest to other enterprises and end users, shown here by their relatively high participation. • Different types of participants within RTD collaborations are similar to participants of innovative clusters in their respective regions. • SMEs’ RTD activities are very often the driving force to new technology pathways. Other 8% SMEP 58%

RTD 34%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH
Type of Participants in successful projects as a percentage of Total Participants

• Balance of participant types is nearly identical for every country, with the majority being SMEs. This is possibly a consequence of the economic structure within each country. • Only in Greece and Sweden are RTD Performers the majority. • Share of SMEPs nearly 60% for participants in both proposals submitted and successful projects. Other 9% SMEP 59%

RTD 32%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

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

16

• High No. of SME Core Group Participants demonstrates high interest of SMEs in the Collective Research Scheme. This confirms that the scheme is really geared towards SMEs and not only the associations.

IAG 27%

SME Core Group 44%

RTD 29%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

COLLECTIVE RESEARCH
Type of Participants in successful projects as a percentage of Total Participants

IAG 25%

SME Core Group 49%

RTD 26%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH
Legal status of Participants in proposals submitted as a percentage of Total Participants

18

• About 80% of the participants have got a private legal status, meaning they invest private money in the projects. The funding scheme is generating a high amount of private money for research, an important point with regard to the Lisbon strategy.

Private Organisation, Non-Profit 10%

Public Commercial Organisation 2%

Private Commercial Organisation 70%

Governmental Organisation 18%
Majority of “Governmental organisations” are state owned universities, public research centres and institutes and local governments

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH
Legal Status of Participants in successful projects as a percentage of Total Participants

Private Organisation, Non-Profit 9%

Public Commercial Organisation 2%

Private Commercial Organisation 73%

Governmental Organisation 16%
Majority of “Governmental organisations” are state owned universities, public research centres and institutes and local governments

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

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

20

• The slight difference between the number of proposals submitted and successful projects for participants with a private legal status means that some have less private money to complement public grants.

Public Commercial Organisation 3%

European Economic Interest group 1%

Private Commercial Organisation 53%

Governmental Organisation 13%

Private Organisation, Non-Profit 30%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

COLLECTIVE RESEARCH
Legal status of Participants in successful projects as a percentage of Total Participants

Public Commercial Organisation 7%

European Economic Interest group 1%

Private Commercial Organisation 49%

Governmental Organisation 16%

Private Organisation, Non-Profit 27%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH
Number of Employees of SME Participants in proposals submitted as a percentage of total SME Participants

22

• Majority of participating SMEs (77%) had less than 50 employees, proving that the bottom-up-scheme is of especially high interest for smaller enterprises.

Sole Trader 4%

1 - 9 Employees 31%

50 - 249 Employees 23%

10 - 49 Employees 42%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH
Number of Employees of SME-Participants in successful projects as a percentage of total SME-Participants

Sole Trader 3%

1 - 9 Employees 30%

50 - 249 Employees 23%

10 - 49 Employees 44%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

COLLECTIVE RESEARCH
Number of Employees of SME Core Group Participants in proposals submitted for Stage 1 as a percentage of total SME Core Group Participants

24

• Note the slight difference between the size of enterprises with regard to employees. “Only” 70% of the SME Core Group Participants have up to 49 employees. The reason for the difference: Number only refers to SME Core Group, not to SME associations.

Sole Trader 5%

1 - 9 Employees 25%

50 - 249 Employees 30%

10 - 49 Employees 40%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

COLLECTIVE RESEARCH
Number of Employees of SME Core Group Participants in successful projects as a percentage of total SME Core Group Participants

Sole Trader 3%

1 - 9 Employees 23%

50 - 249 Employees 33%

10 - 49 Employees 41%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH
Turnover in euro of SME Participants in successful projects as a percentage of total SME Participants

26

• More than 2/3 of the participating SMEs have an annual turnover of less than €2 million. Because of their limited turnover, they rely on EC-funded projects for their research.

> or = 50 Mio 2%

< or = 10 Mio 22%

< or = 2 Mio 76%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

COLLECTIVE RESEARCH
Turnover in euro of Core Group SME Participants in successful projects as a percentage of total SME Core Group Participants

> or = 50 Mio 3%

< or = 10 Mio 29%

< or = 2 Mio 68%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH
Gender of Participants in successful projects as a percentage of total, and total numbers

28

• The gender balance is consistent with the proportion of women in the EU25 for total employment (44%) cooperative (29%) in and for scientists and engineers 2004.

280 8% 1059 31%

37 10%

375 10%

170 45%
OTHERS RTD SMEP

2053 61%

3392 90% 168 45%

FEMALE MALE

male

female

male/female total

cooperative

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

COLLECTIVE RESEARCH
Gender of Participants in successful projects as a percentage of total, and total numbers

tive
141 24%

cooperative
22 22% 100 17%

SME Core Group

RTD IAG

314 52%

40 40% 598 83%

FEMALE MALE

143 24% male

38 38%

female

male/female total

collective

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH
Participants in proposals submitted as a percentage by groupings of countries

30

Candidate countries 3%

Associated countries 5%

EU 10 15%

EU 15 77%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

COLLECTIVE RESEARCH
Participants in proposals submitted for Stage 1 as a percentage by groupings of countries

Candidate countries 4%

Associated countries 4%

EU 10 14%

EU 15 78%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH AND COLLECTIVE RESEARCH
Participants as a percentage of total by groupings of countries

32

Candidate Countries 2%

EU 10 12%

Associated Countries 5%

EU 15 81%

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH AND COLLECTIVE RESEARCH CONTRACTS
Total Participants by country and as a percentage of total
ISO CODE AT BE CY CZ DE DK EE ISO CODE ES AT FI BE FR CY GR CZ HU DE IE DK IT EE LT ES LU FI LV FR MT GR NL HU PL IE PT IT SE LT SI LU SK LV UK MT NL BG PL HR PT RO SE TR SI SK IS UK LI NO BG MC HR RO CH TR IL Total FP6 Country Austria Belgium Cyprus Czech Republic Germany Denmark Total FP6 Estonia Country Spain Austria Finland Belgium France Cyprus Greece Czech Republic Hungary Germany Ireland Denmark Italy Estonia Lithuania Spain Luxemburg Finland Latvia France Malta Greece Netherlands Hungary Poland Ireland Portugal Italy Sweden Lithuania Slovenia Luxemburg Slovakia Latvia United Kingdom Malta Subtotal Netherlands Bulgaria Poland Croatia Portugal Romania Sweden Turkey Slovenia Subtotal Slovakia Iceland United Kingdom Liechtenstein Subtotal Norway Bulgaria Monaco Croatia Subtotal Romania Switzerland Turkey Israel Subtotal Subtotal Iceland Australia Liechtenstein Brazil Norway Chile Monaco China Subtotal Russian Federation Switzerland Ukraine Israel United States Subtotal Subtotal Australia Belarus Brazil Georgia Chile Iran China Korea Russian Federation Subtotal Ukraine Total States United Subtotal Belarus Georgia Iran Korea Subtotal Total Part. % Total 148 2.73% 141 2.60% 12 0.22% 105 1.94% 747 13.79% 119 2.20% 44 0.81% Part. % Total 685 12.64% 148 2.73% 97 1.79% 141 2.60% 317 5.85% 12 0.22% 140 2.58% 105 1.94% 94 1.73% 747 13.79% 95 1.75% 119 2.20% 539 9.95% 44 0.81% 41 0.76% 685 12.64% 0 0.00% 97 1.79% 19 0.35% 317 5.85% 13 0.24% 140 2.58% 265 4.89% 94 1.73% 231 4.26% 95 1.75% 140 2.58% 539 9.95% 158 2.92% 41 0.76% 63 1.16% 0 0.00% 35 0.65% 19 0.35% 759 14.01% 13 0.24% 5007 92.41% 265 4.89% 35 0.65% 231 4.26% 2 0.04% 140 2.58% 57 1.05% 158 2.92% 31 0.57% 63 1.16% 125 2.31% 35 0.65% 16 0.30% 759 14.01% 0 0.00% 5007 92.41% 170 3.14% 35 0.65% 1 0.02% 2 0.04% 187 3.45% 57 1.05% 49 0.90% 31 0.57% 23 0.42% 125 2.31% 72 1.33% 16 0.30% 2 0.04% 0 0.00% 4 0.07% 170 3.14% 2 0.04% 1 0.02% 1 0.02% 187 3.45% 7 0.13% 49 0.90% 4 0.07% 23 0.42% 1 0.02% 72 1.33% 21 0.39% 2 0.04% 1 0.02% 4 0.07% 2 0.04% 2 0.04% 2 0.04% 1 0.02% 1 0.02% 7 0.13% 6 0.11% 4 0.07% 5418 100.00% 1 0.02% 21 0.39% 1 0.02% 2 0.04% 2 0.04% 1 0.02% 6 0.11% 5418 100.00%

34

• Both Co-operative and Collective research show a strong participation rate from the EU15 in comparison with the EU10; however, the participation rate for Associated states in FP5 was only 6% compared to 12% in FP6.

EEA EEA EC International S/T S/T Candidate Agreement Agree. Countries Agree. Countries Countries

Associated

Associated Candidate Countries

Member States

Member States

IS AU LI BR NO CL MC CN RU CH UA IL US AU BY BR GE CL IR CN KR RU UA US BY GE IR KR

INCO Countries

INCO EC International Countries Agreement

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

CO-OPERATIVE RESEARCH AND COLLECTIVE RESEARCH
Participants by country and as a percentage of total

36

CO-OPERATIVE SUBMITTED
TOTAL FP6

COLLECTIVE SUBMITTED
Total FP6 Stage 1

ISO Code Country

Part.

% Total (1) % Total (2)

ISO Code Country

Part.

% Total (1) % Total (2)

AT Austria BE Belgium CY Cyprus CZ Czech Rep. DE Germany DK Denmark ISO EE Country Code Estonia ES Austria AT Spain Finland FI BE Belgium FR France CY Cyprus GR Czech Rep. CZ Greece HU Germany DE Hungary IE Denmark DK Ireland Italy IT EE Estonia LT Lituania ES Spain Luxemburg LU Finland FI LV Latvia FR France MT Malta GR Greece The HU Hungary NL Netherlands Ireland IE Poland PL Italy IT PT Portugal LT Lituania SE Sweden Luxemburg LU Slovenia SI LV Latvia SK Slovakia Malta MT United UK The Kingdom NL Netherlands PL BG PT HR SE RO SI TR SK UK IS LI NO BG HR CH RO IL TR AR IS AU LI BR NO CA CL CH CN IL EG IN AR JP AU MA BR MX CA NZ CL RU CN ZA EG TN IN UA JP MA US MX NZ AM RU BY ZA GE TN GY UA MD US MK
Total Poland Bulgaria Portugal Croatia Sweden Romania Slovenia Turkey Slovakia Total United Iceland Kingdom Norway Bulgaria Total Croatia

Associated Candidate Associated Candidate S/T S/T INCO Countries EC International Agreement EC International Agreement Countries Countries Agree. EEA Countries Agree. EEA Countries

Associated Candidate Associated Candidate S/T S/T INCO Countries EC International Agreement EC International Agreement Countries Countries Agree. EEA Countries Agree. EEA Countries

944 3.3 3.1 676 2.4 2.2 0.5 131 0.4 763 2.5 2.7 TOTAL FP6 16.2 4594 15.0 559 2.0 1.8 Part. % Total (1) % Total (2) 202 0.7 0.7 3623 12.8 11.8 944 3.3 3.1 584 2.1 1.9 676 2.4 2.2 1861 6.6 6.1 0.5 131 0.4 1016 3.3 3.6 763 2.5 2.7 551 1.9 1.8 16.2 4594 15.0 415 1.5 1.4 559 2.0 1.8 3523 12.5 11.5 202 0.7 0.7 170 0.6 0.6 3623 12.8 11.8 62 0.2 0.2 584 2.1 1.9 86 0.3 0.3 1861 6.6 6.1 76 0.3 0.2 1016 3.3 3.6 551 1.9 1.8 1422 4.6 5.0 415 1.5 1.4 3.6 1099 3.9 3523 12.5 11.5 2.4 726 2.6 170 0.6 0.6 3.1 863 2.8 62 0.2 0.2 486 1.7 1.6 86 0.3 0.3 486 1.7 1.6 76 0.3 0.2 3367 11.9 11.0 1422 4.6 5.0 28285 100 92.5 3.6 1099 3.9 243 29.3 0.8 2.4 726 2.6 2.8 0.1 23 3.1 863 2.8 47.0 389 1.3 486 1.7 1.6 173 20.9 0.6 486 1.7 1.6 828 100 2.7 3367 72 9 28285 425 243 506 23 468 389 199 173 667 828 4 72 2 9 11 425 11 506 4 468 12 199 0 667 2 4 0 2 1 11 1 11 1 4 70 12 7 0 3 2 29 0 1 9 1 167 1 1 70 13 7 7 3 1 29 2 9 6 167 30 1 40 13 30523 7 69 1 30592 2 6 30 40 30523 69 30592 11.9 14.2 1.8 100 84.0 29.3 100 2.8 70.2 47.0 29.8 20.9 100 2.4 14.2 1.2 1.8 6.6 84.0 6.6 100 2.4 70.2 7.2 29.8 0.0 100 1.2 2.4 0.0 1.2 0.6 6.6 0.6 6.6 0.6 2.4 41.9 7.2 4.2 0.0 1.8 1.2 17.4 0.0 0.6 5.4 0.6 100 0.6 3.3 41.9 43.3 4.2 23.3 1.8 3.3 17.4 6.7 5.4 20.0 100 100.0 3.3 43.3 23.3 3.3 6.7 20.0 100.0 11.0 0.2 0.0 92.5 1.4 0.8 1.7 0.1 1.5 1.3 0.7 0.6 2.2 2.7 0.0 0.2 0.0 0.0 1.4 0.0 1.7 0.0 1.5 0.0 0.7 0.0 2.2 0.0 0.0 0.0 0.0 0.0 0.2 0.0 0.0 0.0 0.1 0.0 0.0 0.0 0.5 0.0 0.0 0.2 0.0 0.0 0.0 0.0 0.0 0.1 0.0 0.0 0.0 0.5 0.1 0.0 0.1 0.0 99.8 0.0 0.2 0.0 100 0.0 0.0 0.1 0.1 99.8 0.2 100

AT Austria BE Belgium CY Cyprus CZ Czech Rep. DE Germany DK Denmark ISO EE Country Code Estonia ES Spain AT Austria Finland FI BE Belgium FR France CY Cyprus GR Greece CZ Czech Rep. HU Hungary DE Germany Ireland IE DK Denmark Italy IT EE Estonia LT Spain ES Lituania Luxemburg LU Finland FI LV France FR Latvia MT Greece GR Malta The HU Hungary NL Netherlands Ireland IE PL Poland Italy IT PT Portugal Lituania LT SE Sweden Luxemburg LU Slovenia SI LV Slovakia SK Latvia Malta MT United UK The Kingdom NL Netherlands PL BG PT HR SE RO SI TR SK UK IS LI NO BG HR CH RO IL TR AR IS AU LI BR NO CA CL CH CN IL EG IN AR JP AU MA BR MX CA NZ CL RU CN ZA EG TN IN UA JP MA US MX NZ AM RU BY ZA GE TN GY UA MD US MK AM BY GE GY MD MK
Total Poland Bulgaria Portugal Croatia Sweden Romania Slovenia Turkey Slovakia Total United Iceland Kingdom Norway Bulgaria Total Croatia

Lichtenstein Total

Lichtenstein Total

Switzerland Romania Israel Turkey Total Argentina Iceland Australia Lichtenstein

Switzerland Romania Israel Turkey Total Argentina Iceland Australia Lichtenstein

Brazil Norway Canada Total Chile Switzerland China Israel Egypt Total India Argentina Japan Australia Morroco Brazil Mexico Canada
New Zealand Chile Russie China South Africa Egypt Tunisia India Ukrainia Japan

Brazil Norway Canada Total Chile Switzerland China Israel Egypt Total India Argentina Japan Australia Morroco Brazil Mexico Canada
New Zealand Chile Russie China South Africa Egypt Tunisia India Ukrainia Japan

Mexico Total New Zealand Armenia Russie Belarus South Africa Georgia Tunisia Guyana Ukrainia Rep. of
Moldova United States of America Macedonia

United States Morroco of America

Mexico Total Armenia Russie Belarus South Africa Georgia Tunisia Guyana Ukrainia Rep. of
Moldova United States of America Macedonia

United States Morroco of America

New Zealand

INCO Countries

MD MK

Rep. of Moldova

INCO Countries

Total Total AM Others Armenia BY Belarus Total GE Georgia Blanks GY Guyana Total

Total Total Armenia Others Belarus Total Georgia Blanks Guyana Total
Rep. of Moldova

898 15 2 9972 180 97 197 10 131 149 37 93 168 349 0 15 3 2 0 180 0 197 0 131 1 37 0 168 3 0 0 3 1 0 0 0 17 1 4 0 3 5 0 1 3 0 40 0 1 17 1 4 7 3 1 5 2 3 3 40 15 1 6 1 10747 7 818 1 11565 2 3 15 6 10747 818 11565

344 3.4 462 4.6 22 0.2 227 2.3 1489 Total FP6 Stage 14.9 1 234 2.3 55 0.6 Part. % Total (1) 1443 14.5 344 3.4 2.1 204 462 4.6 684 6.9 22 0.2 314 3.1 227 2.3 252 2.5 1489 14.9 1.6 156 234 2.3 1061 10.6 55 0.6 0.5 53 1443 14.5 14 0.1 2.1 204 55 0.6 684 6.9 15 0.2 314 3.1 252 2.5 630 6.3 1.6 156 460 4.6 1061 10.6 381 3.8 0.5 53 286 2.9 14 0.1 1.6 155 55 0.6 78 0.8 15 0.2 898 9.0 630 6.3 9972 100 460 4.6 27.8 97 381 3.8 10 2.9 286 2.9 42.7 149 1.6 155 26.6 93 78 0.8 349 100 9.0 7.6 1.0 100 91.4 27.8 100 2.9 78.0 42.7 22.0 26.6 100 0.0 7.6 7.5 1.0 0.0 91.4 0.0 100 0.0 78.0 2.5 22.0 0.0 100 7.5 0.0 0.0 7.5 2.5 0.0 0.0 0.0 42.5 2.5 10.0 0.0 7.5 12.5 0.0 2.5 7.5 0.0 100 0.0 6.7 42.5 6.7 10.0 46.7 7.5 6.7 12.5 13.3 7.5 20.0 100 100 6.7 6.7 46.7 6.7 13.3 20.0 100

3.0 4.0 0.2 2.0 12.9 2.0 0.5 % Total (2) 12.5 3.0 1.8 4.0 5.9 0.2 2.7 2.0 2.2 12.9 1.3 2.0 9.2 0.5 0.5 12.5 0.1 1.8 0.5 5.9 0.1 2.7 2.2 5.4 1.3 4.0 9.2 3.3 0.5 2.5 0.1 1.3 0.5 0.7 0.1 7.8 5.4 86.2 4.0 0.8 3.3 0.1 2.5 1.3 1.3 0.8 0.7 3.02 7.8 0.1 0.0 86.2 1.6 0.8 1.70 0.1 1.1 1.3 0.3 0.8 1.45 3.02 0.0 0.1 0.0 0.0 1.6 0.0 1.70 0.0 1.1 0.0 0.3 0.0 1.45 0.0 0.0 0.0 0.0 0.0 0.1 0.0 0.0 0.0 0.0 0.0 0.0 0.35 0.0 0.0 0.1 0.0 0.0 0.1 0.0 0.0 0.0 0.0 0.0 0.0 0.35 0.13 0.0 0.05 0.0 92.9 0.1 7.1 0.0 100.0 0.0 0.0 0.13 0.05 92.9 7.1 100.0

Member States

Member States

Macedonia

Member States

Member States

Macedonia

Total Others Total Blanks Total

Total Others Total Blanks Total

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES
Proposals submitted Successful projects
38

CO-OPERATIVE RESEARCH
Success rate of Member States as a percentage of Total Participants
20.00% 18.00% 16.00% 14.00% 12.00%

Success rate

Submitted proposals Successful projects Success rate
Success rate as percentage of total participants 25

Total No. of participants 5000 4500 4000 3500 3000 2500 2000 1500 1000 500 0

10.00% 8.00%
15 13 10 11 9 14 15 11 11 17 16 15 12 11 8 5 4 20 16

17 12 12

20

6.00%
11

14

15

10

4.00% 2.00%

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FP6-2003-SME-2

FP6-2004-SME-COOP

FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

Proposals submitted RESEARCH Successful Successful projects projects

COLLECTIVE

Success rate of Member States Success Proposals submitted rate as a percentage of Total Participants Success rate
20.00% 18.00% 30.00% 16.00% 25.00% 14.00%
1400

Participants in submitted proposals Participants in successful projects Success rate
Success rate as percentage of total participants

Total No. of participants

1600

35

20.00%

33

30
25 22 22

1200

12.00% 10.00%
17 14 12 11 9 18 17 16

15.00%

25 20

1000

20 17

10.00%

800 14

18

16

8.00%
14

600

5.00%
9 8

15
13 13

400 200 FP6-2003-SME-2 0

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Distribution of British Participants in SME Specific Measures FP6
Inverness

19
40

6 11

Aberdeen

Glasgow Edinburgh

4 23
Belfast

15
Newcastle upon Tyne

4
Blackpool

8

NUMBER OF PARTICIPANTS from 1 to 10 from 11 to 20 from 21 to 30 from 31 to 40 from 41 to 55 more than 55

5 8 4 21 Liverpool 12 26 25 Manchester Chesterfield 12 5 28 32 8West Midlands 17
Cardiff Bristol Leicester

Nottingham

31
Swansea

111

51
Cambridge

Oxford

UNIT SME (DG RTD) European Commission

Sept 2006

18

35

24 32 12

London

9

4

10

Exeter

7

Plymouth

Portsmouth

13

Hastings-Bexhill

Distribution of French Participants in SME Specific Measures FP6

8

Lille

Amiens

5 2 8
Rennes Caen

Rouen

6
Metz

97

Paris

Châlons-sur-Marne

1

7

Strasbourg

9 18
Orléans

Nantes Poitiers

20

7

Dijon

11

Besançon

NUMBER OF PARTICIPANTS from 1 to 10 from 11 to 20 from 21 to 50 more than 50

4
Limoges

6
Clermont Ferrand Lyon

4
Bordeaux

41

18 19
Toulouse Montpellier

12
Marseille Aix-en-Provence

UNIT SME (DG RTD) European Commission

Sept 2006

14

Distribution of German Participants in SME Specific Measures FP6

24 14
Oldenburg

Kiel

5
Hamburg Lüneburg Schwerin

55Bremen

6

42

9 16
Münster Hannover Braunschweig

9
Magdeburg

Potsdam

29Berlin 11

15
Düsseldorf Köln

Detmold

20
Arnsberg

15
Halle Kassel

3 3 27
Erfurt

Dessau

19

Leipzig

25 3

6

Dresden

22

8
Giessen

NUMBER OF PARTICIPANTS from 1 to 10 from 11 to 20 from 21 to 30 from 31 to 50 from 51 to 90 more than 90

70 1

15 6

Chemnitz

Koblenz Wiesbaden Trier

9

34
Mainz

12
Würzburg

Bayreuth

4

Neustadt Saarbrücken

10
Karlsruhe

Ansbach

2
Regensburg

24 24

Stuttgart Tübingen Augsburg

45

17

Landshut

4

UNIT SME (DG RTD) European Commission

Sept 2006

Freiburg im Breisgau

27

6

München

93

Distribution of Italian Participants in SME Specific Measures FP6
Aosta

10
Trento

10
Trieste

1

Milano

Torino

116 72

52
Bologna

Venezia

33

39

Genova

Firenze

Ancona

49
Perugia

21

7

L'Aquila Roma

4

76

Campobasso Bari Napoli

NUMBER OF PARTICIPANTS from 1 to 10 from 11 to 25 from 26 to 50 from 51 to 100 more than 100

10

Potenza

10

19 2
Cagliari Catanzaro

UNIT SME (DG RTD) European Commission

Sept 2006

Palermo

8

Distribution of Polish Participants in SME Specific Measures FP6
20
GDANSK-GDYNIA-SOPOT ELBASKI

1

0
BIALOSTOCKO-SUWALSKI

44

1
SZCZECINSKI

1
KUJAWSKOPOMORSKIE WARSZAWSKI Warszawa

20
POZNANSKI Lodz PIOTRKOWSKOSKIERNIEWICKI

83 6
BIALSKOPODLASKI

1
NUMBER OF PARTICIPANTS from 0 to 5 from 6 to 10 from 11 to 20 from 21 to 50 more than 50
GORZOWSKI

10

19
M.WROCLAW

4
SWIETOKRZYSKI

4
OPOLSKIE

20
SLASKIE

32
NOWOSADECKI

9
PODKARPACKIE

UNIT SME (DG RTD) European Commission

Sept 2006

La Coruña

Distribution of Spanish Participants in SME Specific Measures FP6

5
Santiago de Compostela

Lugo

Oviedo

8

Santander

14

Pontevedra Orense

5 1
Burgos

1 3

León

3

44 61 Vitoria 7
Logroño

Bilbao

Donostia San Sebastián

Pamplona

10 30
Zaragoza

Palencia

1
Huesca

Zamora

8

Valladolid

Soria

Salamanca

2 2
Cáceres

Segovia Avila Madrid Guadalajara

1

1

5
Lérida

Girona

16

13 1
Teruel

166
Barcelona

Tarragona

8

85 3
Cuenca Toledo

10
Castelló de la Plana Valencia Palma de Malllorca

NUMBER OF PARTICIPANTS from 1 to 10 from 11 to 50 from 51 to 75 from 76 to 100 more than 100
Mérida Badajoz

2
Albacete

2 1
Huelva Sevilla

Ciudad Real

63

7

3 5
Córdoba Jaén

4
Alicante Murcia

32
ISLAS CANARIAS

11
Cádiz

13
Málaga

10

Granada

8

Almería

4

European Commission

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UNIT SME (DG RTD) Sept 2006

6
Sa

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FP6 HORIZONTAL ACTIVITIES INVOLVING SMES

GLOSSARY
46

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:

SMEs with capacity to innovate but with limited research capabilities Organisation with RTD means adequate to carry out research at the request of the SME participants Any other organisation having a particular interest in the project, though not in a dominant role Group representing the interests of SMEs. The term "industrial" refers to associations or groupings within the enterprise sector SME group that validates the results of the project so that they can be used by a large number 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

New SME definition A full account of the background to the changes, a comprehensive user guide and the texts of the Commission recommendation are available at http://ec.europa.eu/enterprise/enterprise_policy/sme_definition/index_en.htm For further information concerning SMEs in Research, please visit http://sme.cordis.europa.eu/home/index.cfm For further information concerning the Framework Programme, please visit http://ec.europa.eu/research/enquiries/

European Commission EUR 06-219 FP6 Horizontal Activities Involving SMEs Luxembourg: Office for Official Publications of the European Communities 2006 — 48 pp. — 21.0 x 14.8 cm ISBN 92-79-03721-8

KI-X1-06-219-EN-C

European 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 challenges they face in an ever-growing globalised market, and has developed dedicated tools designed to help them reach their full potential. Two such Horizontal Activities under the Sixth Framework Programme for Research and Technological Development (FP6) are Co-operative Research projects (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.