Writing successful proposals Pro_NMS workshop

1. Writing successful proposalsPro_NMS workshop Michael HuchVDI/VDE Innovation + Technik GmbH ph: +49.3328.435-193 huch@vdivde-it.de

2. Why you shall participate in the Framework Programme • Internationalisation – getting to know highly specialised partners from throughout Europe; eventually not merely partners for technological co-operation • EC research has a high reputation; once in, market it! • Substantial funding, e.g. to realise internal research objectives

3. Obstacles • Top-down approach: pre-defined topics • It´s hard to get through • Relatively low success rate • Varying, but usually high efforts for each application • Bureaucracy – lots of paperwork • Long time span from the idea to the project start: • Topics must be called for • Tentative long-term orientated research, i.e. long time-to-market period • Project's heavily depend on the commitment of the partners

4. Structure of this talk • Finding ideas and making them adaptable • Proposal preparation and submission

5. Write proposal Open calls Adjust idea Adjust consortium Submit Evaluation Project start Consortium Project outline The proposal process Negotiation + Consortium Agreement

6. How to generate project ideas • Bottom-up from within the organisation • Top-downas a reaction to the Framework Programme

7. Orientation for ideas Knowledge of the Framework Programme is essential, in order to classify your project ideas accordingly. • Funding instruments, i.e. project types • Participation criterions • Structure of the consortium • Research topics and • Development procedures

8. Funding quota Funding Instrument Purpose Primary Scale deliverable IntegratedProjects objective- 35/50/100 % ~ 100% ~ 50% 35/50/100 % ~ 10 Mio knowledge med-high driven research tackle ~ 7 Mio Network of Excellence structuring med-high fragmentation knowledge joint MS and/or 169 high structuring programmes STREP research knowledge low- med ~ 1,9 Mio Coordination-actions coordination coordination low- med 70 - 100% ~ 1 Mio Specific Support- actions (SSA) support 70 - 100% ~ 0,5 Mio support low- med Funding instruments of FP6

9. Integrated Projects Current Industrial strength / presence « Monolitihic » Incremental Integrated Projects Targeted Research Projects Networks of Excellence Industrial exploitation Fundamental research Basicresearch Industry-driven research Instruments - 2

10. Analysis & Assessment Transfer of Knowledge/ Dissemination Gender Aspects Demonstration Technology Development Applied Research Exploitation Mid-term perspective Basic Research System Validation Standardisation Work addressed within an Integrated Project

11. Participation criterions The minimum requirements are rarely helpful: • 3 independent legal entities from 3 different MS or AS, with at least 2 MS or ACC • Orientation is provided by an average size of project-participantof the past, and above all • the convincing contribution of each partner.

12. Time-to-market Depending on research field (Strategic objectives): • Research with 3-8 years time-to-market periods • different industry or university dominance • the more applied oriented, the more industry (user) involvement

13. Structure of the consortium • Use existing networks! The better you know your partners, the better the project will run • Partner selection according to relevant input! • consider vertical value chains • exploitation potential • Balance of financing across countries and partners

14. Roles in EU research • Industry – large enterprises • applying internal research roadmaps • brings in partners from own networks • open knowledge-transfer? • Participation encounters high interest from the EU Commission • growing reluctance being the Co-ordinator • SME: Problems? • Time-to-market • Bureaucracy • Consortium Agreements; IPR issues

15. Roles in EU research - 2 • Applied research • Licensing – they need to make their living • Co-financing • Universities • Increasing need for co-financing • Bureaucracy • Interested in publishing results is in conflict to non-disclosure agreements • EU Commission • Arrange successfully the contest with the USA and Japan, therefore high impact on exploitation potential

16. Cost models in FP6 Full Cost (FC): actual direct and indirect costs - 50% Research - 35% Demonstration - 100% Management and Training Full Cost Flat Rate (FCF): direct Costs plus 20% Overheads Additional Costs (AC): 100% additional Costs plus 20% Overheads Enterprises, Applied research organisations Universities

17. Research topics Analysis of topics is crucial: • Work programmes specify topics • regular updates for each call • Technology Platforms • currently 22 under http://www.cordis.lu/technology-platforms/ • play a role for the definition of projected research topics • Workshops organised by the Commission • via: http://www.cordis.lu/ist/

18. Research topics - 2 • Project research (FP5 und FP6 Projects) • What has been already funded? • Which partners have been successful • http://www.cordis.lu/fp6/projects.htm • http://www.cordis.lu/ist/projects/projects.htm • many ongoing projects offer information services • Newsletter, for instance: www.polyapply.org

19. Structure • Finding ideas and making them adaptable • Proposal preparation and submission

20. Time periods • Strategic preparation starts (long, i.e. 1 year) before the publication of the proposal • Pre-information often earlier at disposal • IST Call 5 information with deadline Sep 05 have been already published on Dec 04 • it will be always a “core” group to actually write the proposal • Possibility to „jump up“?

21. Time periods - 2 Deadlines: 3 to 4 months from the publication to the submission date Contract negotiations: 8 to 12 months Preparation: up to one year before submission t0 t6/7 t10/11 t18/24

22. Costs of participating • High acquisition cost in proposal preparation, although unequally distributed thus, quality instead of quantity! • Fraunhofer estimated costs of ~100.000 € per prepared Integrated project

23. Success? • differs widely within FP6 • sometimes < 10% (e.g. Priority 3, CRAFT) • in IST approx. 20%, i.e. 1 out of 5 will make it

24. Partner search – Online • CORDIS partner search: Collection of Research interests – who reads it? http://fp6.cordis.lu/fp6/partners.cfm • Concrete IST-proposal ideas:http://www.ideal-ist.net/ • Innovation Relay Centres: RTD partners for concrete proposal ideas (all topics)contact local IRC via: http://www.cordis.lu/irc

25. Use advice/prepare yourself • Many experts are at your disposal: • Consult your National Contact Points • Discuss your idea directly with EC staff • Present short project sketches (1-2 pages) • Problem situation • Planned activities, organisation • Planned duration • Overall and requested funding budget • Partner constellation: • Chart overview: Who (organisation, country) is doing what?

26. Assistance • ETI (Economic and Technological Intelligence) -projects provide: SME assistance, audits, writing assistance, partner matching • List of projects: http://sme.cordis.lu/economic/eti_projects.cfme.g.: Naomitec: http://www.airi.it/naomi/index.php

27. Guide for Proposers Important to read: • Explains the proposal forms • Contains a binding outline with a suggested, or predetermined page account • Describes briefly the evaluation procedure

28. Structure of the proposal • A1: (Short description) • A2: Partner contact details (no signatures at this stage) • A3: Budget overview • Part B: Technical description of the project When successful, data will be used for Contract Preparation Forms during negotiation. Only here, a signature is needed as well as business data (simplified balance and profit – loss data)

29. Part B.1 / B.2 • B.1 Scientific and technological objectives of the project and state of the art (3 pages) • Describe what will have been achieved at the end of the project. It is recommended to define indicators to measure the success (milestones, impact, etc.) • Quote leading publications and scientists, provide statistical data, use graphics etc. • B.2 Relevance to the objectives of the IST Priority (2 p) • Refer to first pages of the relevant work programme(s); • Keywords to be mentioned: European leadership, competitiveness • knowledge economy, everyday environment, easy-to-use human interfaces; "ambient intelligence", eEurope 2005 objectives

30. B.3 Potential Impact (4 p) • Change of /impact on production costs, employment, environment, gender, behaviour patterns • Focus on non-technical issues, training measures, technology transfer, socio-economic research, etc. • Describe the dissemination plans which are foreseen to ensure use of the project results. Which dissemination platforms are foreseen? Web-based services (Website, e-mailings); conferences; licensing agreements, patenting strategy • Describe the exploitation plans which are foreseen to ensure use of the project results. Should be clearly industry driven – high proprietary interest; provide details of consortium agreement (how is the IPR issue solved, etc.) • Describe the added-value in carrying out the work at a European level. Necessity of critical mass of European players, Contribution to the European Research Area • Describe existing research initiatives on national / international level, at least within the participating big countries B.3.1 Contributions to standards

31. B.4 Outline implementation plan (25 pages) Whereas chapter B.1 refers to the achieved objectives at the end of the project, this chapter should explain in detail the way to achieve these objectives. Use pictures, e.g. Pertt-Diagramms • B.4.1 Research, technological development and innovation activities • B.4.2 Demonstration activitiesAttention: 35% funding for demonstration activities • B.4.3 Training activitiesNote: Training activities are funded up to 100%. Dissemination efforts are funded to 50% only • B.4.4 Consortium management activities Funded to 100%, but restricted to 7% of EC grant

32. Part B.5 • B.5 Description of the consortium (5 p)Roles and main tasks of each partner, short partner description (1 paragraph general description, 1 describing the expertise in the proposed topic, 1 – 2 short CVs of main staff) • B.5.1 New participants describe work for new partners currently not identified • B.5.2 Sub-contractingdescribe work involved and justify subcontract approach • B.5.3 Other countriesdescribe the level of importance of participants from third countries

33. B.6 + B.7 • B.6 Description of project management (5 p)Describe project organisational structure and decision-making mechanisms (Attention: Use same model as in Consortium Agreement!) • B.7 Project resources • B.7.1 IP Project Effort FormOverview of person-months per participant associated with each activity • B.7.2 IP management level justification of resources and budget (3 p):justification of all major project costs

34. B.7 Projects Efforts • Use Excel!

35. Part B.8 • B.8 Detailed implementation plan – first 18 months (15 p + forms) • Detailed implementation plan introduction plus A3 costs overview for first 18 months • Timing of work plan: Gannt Chart • Graphic overview of work: Pert Diagram • Detailed work description broken down into work packages

36. B.8 Work package list Use Excel!

37. B.8 Deliverables List [1] Deliverable numbers in order of delivery dates: D1 – Dn [2] Month in which the deliverables will be available. Month 0 marking the start of the project, and all delivery dates being relative to this start date. [3] Please indicate the nature of the deliverable using one of the following codes: R = Report P = Prototype D = Demonstrator O = Other [4] Please indicate the dissemination level using one of the following codes: PU = Public PP = Restricted to other programme participants (including the Commission Services). RE = Restricted to a group specified by the consortium (including the Commission Services). CO = Confidential, only for members of the consortium (including the Commission Services).

38. B.8 Work packages summaries, 1 to 2 pages each Objectives Description of work Deliverables Milestones[1]and expected result [1] Milestones are control points at which decisions are needed; for example concerning which of several technologies will be adopted as the basis for the next phase of the project. • Short repetition of earlier parts! • Use listings! • Balanced number of deliverables • Meaningful Milestones!

39. B.9 / B.10 • B.9 Other issues • B.9.1 Ethical issuesregulations, if any • B.9.2 Policy issuesengage with actors beyond the research • B.10 Gender issues • B.10.1 Gender Action planpromote gender equality • B.10.2 Gender issues

40. Thank you for your attention!