Research andInnovation

Evaluation process

SME Instrument

Brno, 26 may 2015

Phase 1: concept and feasibility assessment

Input: Idea/Concept in

"Business Plan I"(~ 10 pages)

Main Activities:

Feasibility of conceptRisk assessment

IP regimePartner searchDesign study

Pilot application

Output: elaborated "Business plan II"

Lump sum: around 50.000 €

~ 6 months

Phase 2: R&D, demonstration,

market replication

Input:

"Business plan II" +"Description of activities under Phase2" (~ 30 pp.)

Main Activities:

Development Prototyping Testing Piloting

Miniaturisation Scaling-up

Market replication

Output: investor-ready "Business plan III"

Output based payments: 1 to 3 M€ EU funding

~ 12 to 24 monthsNo direct funding

Phase 3: Commercialisation

Input: "Business plan III"

+

Opportunities:

'Quality label' for successful Phase 1 & 2

Easier access to private finance

Support via networking, training, coaching,

information, addressing i.a. IP management, knowledge

sharing, dissemination

SME window in the EU financial facilities (debt

facility and equity facility)

SME Supporting phases

?

IDEA BUSINESS COACHING MARKET

Concept & feasibility

assessment

DemonstrationMarket Replication

R&D

Commercialization

SME window EU financial facilities

Pre-commercial procurement

Focus on close to market activities – 3 phases

SME supporting phases

Phase 1 : max 10 pagesPhase 2 : max 30 pages

Application template

Evaluation process

4 experts / proposal

Consensus report(automatic - medianof individual scores)

Evaluation criteria

• Possible Economic impact

• Excellence in innovation

• Commercial Potential

• Quality and efficiency of the implementation

• SME potential achieving the envisaged results

PHASE 1 PHASE 2

Impact = 4

Excellence = 4

Quality and efficiency of implementation = 4

Total = 13

Impact = 4

Excellence = 4

Quality and efficiency of implementation = 3

Total = 12

Evaluation Thresholds

Evaluation criterion: IMPACT

• Convincing description that there will be demand/market (willing to pay) for the innovation

• Targeted users are well described

• Good understanding of market condition, growth rate, competitors and competitive solutions and key stakeholders, or includes a plan to achieving this

• Realistic description how the innovation has the potential to boost the growth of the applying company

• Clear European dimension both with respect to commercialisation and with respect to competitor/competition evaluation

• The strategy plan for commercialisation is described in a realistic and relevant way, and explains how it will be further developed.

• Realistic description of status and strategy of knowledge protection,

Evaluation criterion : EXCELLENCE

• Innovation aims new market opportunities addressing EU/global challenges

• The included feasibility assessment demonstrates thetechnological/practical/economic viability of the innovation

• Realistic description of the current stage of development; added value of itsinnovation; good understanding of the competing solutions.

• good comparison with state-of-the-art / known commercial solutions or includeplan for achieving this information

• Approach and activities to be developed are consistent with the expectedimpact (commercialisation/deployment).

• Expected performances of the innovation are convincing and have the potentialto be relevant from a commercial point of view (Value for money). It ispotentially better than alternatives

• Good understanding of both risks and opportunities related to a successfulmarket introduction of the innovation, both from a technical, commercial pointof view.

Technology Readiness Level (TRL)

• TRL 1 – basic principles observed• TRL 2 – technology concept formulated• TRL 3 – experimental proof of concept• TRL 4 – technology validated in lab• TRL 5 – technology validated in relevant environment

• TRL 6 – technology demonstrated in relevant environment (industrially relevant environment in the case of key enabling technologies)

• TRL 7 – system prototype demonstration in operational environment

• TRL 8 – system complete and qualified• TRL 9 – actual system proven in operational

environment (competitive manufacturing in the case of key enabling technologies; or in space)

The evaluation: key elements

Evaluation criterion: IMPLEMENTATION

• The proposal demonstrates that the project has the relevant resources(personal, facilities, networks, etc.) to develop its activities in the mostsuitable conditions.

• Proposal describes in a realistic way how key stakeholders/partners/subcontractors could be involved. (Where relevant/) Participants in aconsortium are complementary

• The team has relevant technical/scientific knowledge/management experience,and a very good understanding of the relevant market aspects for theparticular innovation. If relevant the proposal includes a plan to acquiremissing competences

• The proposal includes a realistic time frame and a comprehensiveimplementation description

• The work package descriptions and major deliverables and milestones arerealistic and relevant, including appropriateness of the allocation of tasks andresources, risk and innovation management

Operational capacity

In the SME Instrument the Company (“team”) is of utmostimportance and several question are dealing with the capacity ofthe company to achieve the envisaged market opportunity

Evaluator has to give view on weather the applicant has thenecessary basic operational capacity to carry out the proposedactivity based on the information provided:

• CV of the profile of the applicant• Relevant achievements• Relevant previous project or activities• Description of any significant infrastructure or any major items of

technical equipment

subcontracting

PHASE 1

The applicant shall declare the tasks to subcontract.It is not necessary to detail the estimated costs. The subcontract is not included in the technical annex 2.

PHASE 2

The subcontracting is not restricted to a limited part of theaction. The best value for money to choosingsubcontractors shall be respected and detailed. The expertsshall assess:

• For known subcontracts: key information on the awardprocedure, the tasks that will be subcontracted and theexplanation why the subcontractor and the price areappropriate.

• For unknown subcontracts: the tasks to besubcontracted, the estimate budget and the procedureto be followed to ensure the best value for money.

Horizon 2020 – SME Instrument

Tip

Show your ambition,prove your potential.