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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
FP6 HORIZONTAL ACTIVITIES INVOLVING SMES
Europe Direct is a service to help you fnd answersto your questions about the European Union
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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.
FP6 HORIZONTAL ACTIVITIES INVOLVING SMES
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
FP6 HORIZONTAL ACTIVITIES INVOLVING SMES
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%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCO-OPERATIVERESEARCH
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%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCO-OPERATIVERESEARCH
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%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCOLLECTIVERESEARCH
Type of Participants in successful projectsas a percentage of Total Participants
IAG27%
RTD29%
SME Core Group44%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCOLLECTIVERESEARCH
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%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCO-OPERATIVERESEARCH
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.
Private Organisation, Non-Prot10%
Public CommercialOrganisation2%
GovernmentalOrganisation
18%
Private CommercialOrganisation
70%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCO-OPERATIVERESEARCH
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%
Private CommercialOrganisation
49%
Private Organisation, Non-Prot27%
Governmental Organisation16%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCOLLECTIVERESEARCH
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%
Private CommercialOrganisation
53%
Private Organisation, Non-Prot30%
Governmental Organisation
13%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCOLLECTIVERESEARCH
Legal status of Participants in proposals submitted for Stage 1as a percentage of Total Participants
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10 - 49 Employees44%
50 - 249 Employees23%
Sole Trader3% 1 - 9 Employees
30%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCO-OPERATIVERESEARCH
Number of Employees of SME-Participants insuccessful projectsas a percentage of total SME-Participants
50 - 249 Employees23%
Sole Trader4% 1 - 9 Employees
31%
10 - 49 Employees42%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCO-OPERATIVERESEARCH
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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50 - 249 Employees33%
Sole Trader3%
1 - 9 Employees23%
10 - 49 Employees41%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCOLLECTIVERESEARCH
Number of Employees of SME Core Group Participants insuccessful projectsas a percentage of total SME Core Group Participants
50 - 249 Employees30%
Sole Trader5% 1 - 9 Employees
25%
10 - 49 Employees40%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCOLLECTIVERESEARCH
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%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCOLLECTIVERESEARCH
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%
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCO-OPERATIVERESEARCH
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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FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCOLLECTIVERESEARCH
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
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCO-OPERATIVERESEARCH
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
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCOLLECTIVERESEARCH
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
FP6 HORIZONTAL ACTIVITIES INVOLVING SMESCO-OPERATIVERESEARCH
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
NUMBER OF PARTICIPANTS
UNIT SME (DG RTD)
European Commission
Sept 2006
Kiel
24
Distribution of German Participantsin SME Specic Measures FP6
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42
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
NUMBER OF PARTICIPANTS
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
NUMBER OF PARTICIPANTS
UNIT SME (DG RTD) Sept 2006
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
NUMBER OF PARTICIPANTS
UNIT SME (DG RTD) Sept 2006
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
NUMBER OF PARTICIPANTS
UNIT SME (DG RTD) Sept 2006
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/
FP6 HORIZONTAL ACTIVITIES INVOLVING SMES
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.
Recommended