ist-2000-26429 hermes training material, asuman dogac metu, april 29, 2002 how to write winning...

IST-2000-26429 HERMES Training Material, Asuman Dogac

METU, April 29, 2002

How to write winning project proposals for the European Commission’s 6FP IST Program?Asuman DogacSoftware R&D CenterMiddle East Technical UniversityAnkara Turkey



Outline of the Talk1.Turkey has entered 6FP!2. Types of participation3. Types of projects4. The 6th Framework Program (2003-2006)5. Priority Thematic Areas of Research in

FP6 IST6. Submitting EOI for FP67. Building Consortia, roles of partners



Outline of the Talk8. Parts of a proposal9. Proposal preparation steps10. How to maximize success rate?11. How the proposals are evaluated?

Evaluation criteria, weights and thresholds12. Useful links13. Follow up meeting14. You can do it, be proactive and grab the

opportunity!



Funding Available for Turkish Participants

Turkey has entered the 6 Framework Program and is about to pay her dues

Turkey’s dues are about 200-300 MEuro

It is our responsibility to make winning project proposals!



METU-SRDC Funding from the European Commission

METU-SRDC obtained 729.000 Euros directly from the European Commission during the past 3 years

We received an additional 40.000 Euro from TUBITAK for our participation in the LEVER project



METU-SRDC IST Projects

INCO DC 97 2496 MARIFlow (RTD, completed in March 2001) METU’s share: 204.000 Euro

IST-1999-20216 LEVER (Take up measure, completed in December 2001) METU’s share 40.000 Euro

IST-2000-31050 Agent Academy (RTD, started in November 2001) METU’s share: 145.000 Euro



METU-SRDC IST Projects IST-2000-31046 HUMANTEC (Thematic

Network, started in October 2001) METU’s share 20.000 Euro

IST-2000-26429 HERMES (Accompanying Measure, started in December 2001) METU’s share: 135.000 Euro

EUMEDIS Projects: DEDALUS and MEDFORIST METU’s share: 225.000 Euro



IST Budget: 3.6 Billion Euro



Chances of Success (An Example) For the call of Key Action II that closed

on June 16, 1999 472 RTD proposals submitted -> 82 RTD

proposals are selected and contracted Proposals requested 892 million Euros ->

116 million Euros awarded 21 Accompanying Measure proposals

submitted -> 7 proposals are accepted 48.3 million Euros requested -> 7 million

Euros awarded



Funding Mechanisms Depends on the project type Mostly 100% funding for the

academic institutes (called Shared Cost, also called Additional Cost)

50% funding plus overhead for partners from industry (called Full Cost)



Three Types of Participation Coordinator of the project (Difficult for

the first timers) Partner (If you prove to be a productive

partner, an excellent one, invitation to proposals are guaranteed)

Subcontractor (I would not recommend!)

I would recommend that you initiate the project but be a partner in it!



Initial Steps… Understand overall process and mechanisms

(The first aim of this talk…) Decide on business reasons for participation:

Getting funding for your dream project Opening up your business to Europe Creating synergy with European Industry Getting complementary expertise,technology

transfer, etc. Find out which priority thematic area (action line)you

want to submit your project (Study the Work Program)



Initial Steps…

Find out types of projects supported by that action line (Work Program)

Identify Call and timetable i.e. closing date(s) Try to build a consortia, i.e., find partners

from Europe (more on this later) Research background i.e. current projects Contact the related Commission Project

Officer



The 6th Framework Programme

6th Framework will start in 2003: Mechanisms are changing

50% as usual projects 50% following:

Integrated projects (10-50 Million Euro)

Networks of Excellence



6th Framework Programme The objective of Networks of Excellence is

to boost European excellence by putting together, in a way that will last, research capacities present in the various European regions in a series key importance areas by helping research entities come together to carry out “common programmes of activities”

Lasting integration of excellence capacities existing in universities, research centers and industries in several Member States



6th Framework Programme Designed as large scale activities and

preferably conducted as public/private partnership, integrated projects will help will help mobilize significant resources around precisely defined objectives

Consortia involving intense university/industry collaboration

Indicative budget: Several tens of millions of Euros



6FP Networks of Excellence

The purpose of networks of excellence is to strengthen and develop Community scientific and technological excellence by means of the integration, at European level, of research capacities currently existing or emerging at both national and regional level

Each network will also aim at advancing knowledge in a particular area by assembling a critical mass of expertise

Indicative budget: several millions of euros per annum



6FP Networks of Excellence They will foster cooperation between

capacities of excellence in universities, research centres, enterprises, including SMEs,

and science and technology organisations The activities concerned will be generally

targeted towards long-term, multidisciplinary objectives, rather than predefined results in terms of products, processes or services



6FP Networks of Excellence In pursuing its objectives, the network will

therefore carry out: Research activities integrated by its participants Integration activities which will comprise in particular:

adaptation of the participants' research activities in order to strengthen their complementarity;

development and utilisation of electronic information and communication means, and development of virtual and interactive working methods;

short-, medium- and long-term exchanges of personnel– development and use of joint research infrastructures, and adaptation of the existing facilities with a view to a shared use;



6FP Networks of Excellence Activities of spreading of excellence

which will comprise, as appropriate: training of researchers; communication concerning the

achievements of the network and the dissemination of knowledge;

services in support of technological innovation in SMEs, aimed in particular at the take-up of new technologies;

analyses of science/society issues related to the research carried out by the network



6FP Networks of Excellence The network proposals should comprise the

following elements: a general outline of the joint programme of

activities, and its content for the first period, broken down into research activities, integration activities, and activities for spreading excellence;

the role of the participants, identifying the activities and resources that they will integrate;

the operation of the network (coordination and management of activities);

the plan for the dissemination of knowledge and the perspectives as regards exploitation of the results



6FP Integrated Projects All the activities carried out in the context

of an integrated project will be defined in the general framework of an " implementation plan" comprising activities relating to: research, and as appropriate technological

development and/or demonstration; management, dissemination and transfer of

knowledge with a view to promoting innovation; analysis and assessment of the technologies

concerned, as well as the factors relating to their exploitation



6FP Integrated Projects In pursuit of its objectives, it may also

comprise activities relating to: training researchers, students, engineers and

industrial executives, in particular for SMEs; support for the take-up of new technologies,

in particular by SMEs; information and communication, and

dialogue with the public concerning the science/society aspects of the research carried out within the project



6FP Integrated Projects The combined activities of an integrated

project may represent a financial size ranging from several million euros to several tens of millions of euros



6FP Integrated Projects Integrated project proposals should

comprise the following elements: the scientific and technological

objectives of the project; the main lines and timetable of the

execution plan, highlighting the articulation of the various components;



6FP Integrated Projects the stages of implementation and the results

expected in each one of them; the role of the participants within the consortium

and the specific skills of each of them; the organisation and management of the

project; the plan for the dissemination of knowledge and

the exploitation of results; the global budget estimate and the budget for

the different activities, including a financial plan identifying the various contributions and their origin



Other Types of Projects in the 6th Framework

Research and Technological Development (RTD): Projects developing new knowledge or technology to improve products, processes or services and/or to meet the needs of Community policies

Demonstration projects: projects designed to prove the viability of new technologies offering potential economic advantage but which cannot be commercialized directly



Types of Projects in 6th Framework

SME Co-operative research projects (CRAFT): projects enabling at least three mutually independent SMEs from at least two Member States or one Member State and an Associated State to jointly commission research carried out by a third party

Thematic Networks and Networks of Excellence: Aims at bringing together e.g. manufacturers, users, universities, research centres around a given Science and Technology objective. These include co-ordination networks between Community funded projects




Concerted Actions: Actions co-ordinating RTD projects already in receipt of national funding, for example to exchange experiences, to reach a critical mass, to disseminate results etc.

Accompanying Measures: Actions contributing to the implementation of a Specific Programme or the preparation of future activities of the Programme




Take-up activities:They help to transfer leading edge as well as established but insufficiently deployed methodologies and technologies to industry and other organisations in order to achieve greater efficiency, higher quality and greater economy

Include: Trials: (for users and suppliers) aiming at the adaptation

and introduction of leading edge technology (promising but not yet fully established) in industrial/service applications and its joint evaluation (by supplier and user).



Take up activities (continued)

Best Practice: (for users) promote improvements in the practices, processes and operations in industry and services through the take-up of well-founded, mature and established - but insufficiently deployed - methods and technologies, so as to achieve greater efficiency, higher quality and greater economy (in the user organisation).

Assessment actions: (by users and suppliers) promote the use of innovative equipment and materials in industrial and service environments through evaluation of innovative products against user requirements and specifications



Take up activities (continued)

Access actions: are designed to provide co-ordinated access to advanced, emerging technologies and services,

knowledge and competence IMS: Integration in Manufacturing Systems



6th Framework Programme 1. Integrating European Research,

Budget: 13.57 billion Euro 1.1 Priority thematic areas of research

1.1.1 Genomics and biotechnology for health, Budget: 2 billion Euro

1.1.2 Information Society Technologies, Budget: 3.6 billion Euro

1.1.3 Nanotechnologies, intelligent materials and new production processes, Budget: 1.3 billion Euro



6th Framework Programme 1. Integrating European Research

1.1 Priority thematic areas of research 1.1.4 Aeronautics and space, Budget: 1 billion

Euro 1.1.5 Food safety and health risks, Budget: 0.6

billion Euro 1.1.6 Sustainable development and global

change, Budget: 1.7 billion Euro 1.1.7 Citizens and governance in the European

knowledge-based society, Budget: 0.225 billion Euro



6th Framework Programme 1.2 Anticipating the EU’s Scientific and

Technological needs, Budget: 2.345 billion Euro 1.2.1 Activities carried out on the basis of

calls for proposals 1.2.2 Joint Research Center Activities



6th Framework Programme Structuring the European Research Area,

Budget: 3.05 billion Euro 2.1 Research and innovation 2.2 Human resources and mobility 2.3 Research infrastructures 2.4 Science/society

Strengthening the foundations of the European Research Area, Budget: 0.45 billion Euro Support for coordination of activities Support for the coherent development of

policies



Overall IT area

WorkprogramKey Actions

State of the art

Product development

FET

IST



PRIORITY THEMATIC AREAS OF RESEARCH IN FP6 IST

1.1.2 Information Society technologies 1.1.2.i Applied IST research addressing

major societal and economic challenges Technologies for trust and security :

Research will focus on basic security mechanisms and their interoperability, dynamic security processes, advanced cryptography, privacy enhancing technologies, technologies to handle digital assets and technologies for dependability to support business and organisational functions in dynamic and mobile systems




Research addressing societal challenges: Research activities on “e-inclusion” will concentrate on systems enabling access for all, on barrier-free technologies for full participation in the information society and on assistive systems that will restore functions or compensate for disabilities thereby enabling a higher quality of life for citizens with special needs and their carers




In the area of health, the work will focus on intelligent systems aimed at supporting health professionals, at providing patients with personalised healthcare and information, and at stimulating health promotion and disease prevention in the general population

Research will also address intelligent systems to enhance the protection of people and property and for securing and safeguarding civil infrastructures




In the area of mobility, research will focus on vehicle infrastructure and portable systems to provide integrated safety, comfort and efficiency and allow for the provision of advanced logistics infomobility and location based services




Research in the area of environment will focus on knowledge-based systems for natural resource management and for risk prevention and crisis management including humanitarian mine clearance

In the area of leisure, research will focus on intelligent and mobile systems and application for entertainment and tourism

For cultural heritage, the effort will focus on intelligent systems for dynamic access to and preservation of tangible and intangible cultural and scientific resources




Research in e-business and e-government will focus on providing European organisations, private and public, and especially SMEs, with interoperable systems and services to enhance innovation capacities, value creation and competitive performance in the knowledge economy and on supporting new business ecosystems

Research in organisational knowledge management will aim at supporting organisational innovation and responsiveness through elicitation, sharing, trading, and delivery of knowledge




Work on electronic and mobile commerce will target interoperable, multimodal applications and services across heterogeneous networks

It will include anytime-anywhere trading, collaboration, workflow, and electronic services covering the whole value creation cycle of extended products and services

Research into eWork systems will focus on new workplace designs incorporating innovative technologies to facilitate creativity and collaboration, on increasing resource-use efficiency and on extending work opportunities to all in local communities




Work on eLearning will focus on personalised access to, and delivery of, learning as well as on advanced learning environments at school, university, in the workplace and in lifelong learning in general, taking advantage of the development of ambient intelligence




Complex problem solving in science, engineering, businesses and for society

1.1.2.ii Communication, computing and software technologies Communication and network technologies Software technologies, embedded systems

and distributed systems




1.1.2.iii Components and microsystems Micro, Nano and Opto-electronics Micro and Nano Technologies, Microsystems,

Displays 1.1.2.iv Knowledge and interface

technologies Knowledge technologies and digital content Intelligent interfaces and surfaces

1.1.2.v IST future and emerging technologies




1.1.3 Nanotechnologies and nanosciences, knowledge-based multifunctional materials and new production processes and devices 1.1.3.i Nanotechnologies and

Nanosciences 1.1.3.ii Knowledge-based Multi-

functional Materials 1.1.3.iii New Production Processes and

Devices



In summary… Work program gives

very detailed information on the areas, the Commission is collecting proposals

The deadlines for the calls for proposals

You must read it!



Next Step Send an EoI (Expression of

Interest) to FP6 EoI must be prepared as indicated

in the guide for submitters and must be sent by e-mail to arrive no later than 17.00 (Brussels local time) on 7 June 2002 to:

[email protected]



For Submitting EoI (IP) Fill in the form available, AND Prepare a 5 pages document stating:

Project Objectives Need & Relevance (priority thematic area) Scale of Ambition & Critical Mass (Strategic

importance of Europe & Critical mass) Integration (Description of activities,

partners, roles)



For Submitting EoI (NoE) Fill in the form available, AND Prepare a 5 pages document stating:

Project Objectives Need & Relevance (priority thematic area) Excellence (readiness and availability of the

scientific and technological excellence, multidisciplinary skills ; & Critical mass)

Integration and Structuring Effecy: (The means by which the Network of Excellence will have a structuring and integrating effect on European research and assist in spreading European scientific excellence)



Calculation of the NoE Grant 50 researchers – 1 Million

Euro/year 100 researchers – 2 Million

Euro/year 500 researchers – 5 Million

Euro/year



Steps in preparing RTD (Research and Technological Development) Proposals

Produce a brief document covering the following -

1. Which Action Line is addressed?2. What is the end result to be?3. What is innovative?4. How does it compare to current

technology?5. What is the market and route to market?6. What are major activities required?7. What skills and effort required for each?8. What is profile of organisation needed for

each?



Building Consortia

In almost all of the projects partners from two different EU countries is a must

4 - 8 participants, 2 - 4 MEuro contribution 2 - 3 years duration

3 - 6 participants, 1 - 2 MEuro contribution 1.5 - 2 years duration

More than half of the participants (some times all) should be from industry



More Steps…1. Clarification of outline2. Validation with project officers in

Brussels 3. Background information search4. Identification of suitable partners

(more on this later)5. Validation of partners6. Agreement with partners7. Proposal format8. Screening and completing



OutlineProduce a brief document covering the

following1. Which Action Line(s) are of interest?2. What specifically do you want out of it?

- in business and technical terms3. What resources are you willing to invest?4. What type or specific partners do you

wish to work with?5. What expertise are you willing to apply?



Partner SearchMost difficult point for new entrants - first

project is the most difficultSources Idealist: quality but generally minor players CORDIS: poor quality Info days/events: best source Current projects: excellent - major players Consultants: some are very good NCPs: some countries give good support Concertation events etc: can be excellent



Roles of Partners There must be players for the following roles:

Knowledge producer Technology developer End user A partner with proven market access potential

What is unique contribution of each partner? Do you have more than one technological

contributor? Do you have an end user? Do you have a partner with proven market

access potential?



Value Chain Roles Knowledge Producer Technology Developer End user



Parts of a proposal (Parts B & C) Scientific/technological quality & innovation

Community added value & contribution to EC policies

Contribution to Community social objectives

Economic development and S&T prospects

Resources, partnership & management



Scientific/technological quality & innovation

This section, describes the scientific/ technological objectives of the proposal

They should be achievable within the project



Innovation This section describes the

innovative aspects of the proposed project

Innovation can be in the form of novel products/services/applications



Innovation Proposers should clearly identify

the novelty of their proposed results, for example by including a comparison with the 'state of the art' (world-wide)



Project Workplan This section concisely describes

the work planned to achieve the objectives of the proposed project

An introduction should explain the structure of the workplan and how the workplan will lead the participants to achieve the objectives of the proposal



Project Workplan It should also identify significant

risks and contingency plans (?) The workplan must be broken

down into workpackages (WPs) which include management of the project and assessment of progress and results



Community added value & contribution to EC policies

This section describes how the proposed project will contribute to the objectives of the programme and/or Key Action

This can be done by describing how the proposal meets the requirements of the Action Line, which it addresses



Contribution to Community social objectives

This section should identify which issue at the European level the proposal is addressing

It should also describe why the proposed project should be carried out at European level instead of at national level



Partnership & management

Project management: This section, should describe how

the proposed project will be managed, the decision making structures to be

applied, the communication flow within the

consortium and the quality assurance measures which will

be implemented, and how legal and ethical obligations will be met




Description of the consortium: Short description of the consortium stating who the participants are, what their roles and functions in the

consortium are, and how they complement each other




Description of the participants: Short description of the participating organisations including:

The expertise and experience of the organisation and short CVs of the key persons to be involved indicating relevant experience, expertise and involvement in other EC projects

Resources: These are filled in A forms




This section should describe plans for the dissemination and/or exploitation of the results for the consortium as a whole and for the individual participants in

concrete terms




For example describe the dissemination and/or

exploitation strategies, the user groups to be involved and how

they will be involved, the tools and/or means to be used to

disseminate the results and the strategic impact of the proposed project

in terms of improvement of competitiveness or creation of market opportunities for the participants



Summary Check related existing projects Validate with NCP/Project Officer Write down a proposal: Breakdown into

Workpackages/Tasks/Roles Get partners written agreement to

participate/A3 Pre-register/install Protool/request certificate Split between partners and agree each’s work Validate resource estimates and costs/iterate Complete proposal draft and review Finalise and submit on time



Protool For preparing Part A of a proposal

which includes action line, partner details, signatures of partners (A3 form), budget, etc.

Install early on Even if you don’t plan to submit

electronically use Protool Once your project is accepted install

Electra to prepare the Contract



How to maximize the success rate?

First timers should not try to coordinate Try to get into a proposal with a major player Make sure the proposal falls clearly into an

Action Line Make sure that for RTD, innovation is shown Ensure you have key end users involved Read the instructions and follow all of them

very carefully!



How the Proposals are Evaluated?

Sources of information Evaluation process RTD Evaluation criteria Scoring Weights & Thresholds Scientific technical quality& innovation Economic development & S&T prospects Financial evaluation



Sources of information Proposers Guide - Parts 1 and 2 Guidelines for Evaluators

participating in the evaluation of proposals of the IST Program

FP6 Evaluation Manual Workprogram Call for proposals



Evaluation Process RTD

Step 1 Opening, registration & preparationStep 2 Eligibility check - (deadline, signature,

consortium eligibility, anonymity of Part B, in scope of key action)

Step 3 Evaluation of Part B by three evaluatorsStep 4 Evaluation of Part C by same three

evaluatorsStep 5 Consensus meeting among the evaluatorsStep 6 Ranking Panel (All the evaluators, project

officers, head of unit)



Evaluation CriteriaCriterion

1 Scientific/technological quality & innovation

2 Community added value & contribution to policies

3 Contribution to Community social objectives

4 Economic development and S&T prospects

5 Resources, partnership & management



ScoringEvaluators score each criterion 0-5 with

0 being low and 5 high0 - Unsatisfactory1 - Poor2 - Fair3 - Good4 - Very good5 - Excellent



Weights & Thresholds

Scores on each criterion is 0-5 with 5 best

For RTD (Different thresholds for different types):Criterion Weight Threshold 1 4 3 2 1 2 3 1 - 4 2 3 5 2 2



Scientific technical quality& innovation

Criterion 1 deals with Scientific technical quality and innovation

The IST program can only fund 5% of EU investment in IT R&D - its effectiveness is maximised by focusing in strategic technological areas funding innovation in those areas



Criterion 1 Specifics The quality of the research proposed and its

contribution to addressing the key scientific and technological issues for achieving the objectives of the program and/or key action

The originality, degree of innovation and progress beyond the state of the art, taking into account the level of risk associated with the project

The adequacy of the chosen approach, methodology and work plan for achieving the scientific and technological objectives



Economic development & S&T prospects

Second most important criterion Need to ensure that the results will be

exploited commercially Need to ensure that people know

about the work i.e. dissemination to aid in eventual exploitation political reasons, so IST activities are

known



Criterion 4 Specifics Usefulness and range of applications &

quality of the exploitation plans, including the credibility of the partners to carry out the exploitation activities for the RTD results and the wider economic impact

Strategic impact of the proposed project and its potential to improve competitiveness & development of applications markets for the partners and the users of the RTD results

Contribution to European technological progress & dissemination strategies for the expected results, choice of target groups, etc



Pointers for exploitation & dissemination plans

Treat as a business plan - would you invest in this project?

Include Business Implementation Plan and Return on Investment (ROI)

Must contain specifics e.g. accessible markets, channels etc.

Must have an existing market player in the consortium

The dissemination plan must also be specific Must list events, audiences, organisations etc



Financial evaluation 1

Evaluators should judge value for money and the resources required

It is normal for Project Management not to exceed 10% of resource

Only the commission should judge the man rates - it is not within competence of evaluators

Although not required have a financial item justification as section C9



Financial evaluation 2 Less money is available later in the program Overall cost is a factor in final rankings It is against the rules for the Commission to

impose arbritary cuts - but some units do! It is best to put in lowest cost initial proposal Larger proposals should be closely coordinated

with project officer before submitting



Proposal Evaluation Proposal evaluation manual is

publicly available in the Web If you check your proposal before

submitting it with the criteria in the evaluation manual, your success rate will be improved



For documentation and useful links

http://www.srdc.metu.edu.tr/hermesProject/

Follow the links Training Material includes

a book by Myer Morron from ISERD on how to write RTD proposals!

Useful links Call for Project proposal ideas (project

market): http://www.srdc.metu.edu.tr/hermesProject/market.html



Follow up meeting! IST-2000-26429 HERMES

project workshop: June 10-11 ,2002, METU, Ankara

Send papers shortly describing your project ideas to [email protected]

There will be a tutorial on how to draft proposals!



You can do it! Through my students working in

industry Through the projects I review in Turkey I

know that: Excellent projects on the cutting

edge of IT technology is being developed in Turkey!

In my opinion it is time for Turkish IT industry to open up to Europe!



Be proactive! My apologies if this sounds like

preaching but slightly modifying the famous saying of JFK:

Think not what European Union can do for you; think what you can do for the European Union

In other words be proactive: create opportunities both for your selves and for the European Union



Grab the opportunity!

In my opinion, when you have a project accepted, you should see this as the ultimate opportunity and do your very best to make the project a smashing success!

In other words put best possible effort in to your work!

The rest will follow!



A Very Useful Link All of the on going projects of IST is

listed at:http://www.cordis.lu/ist/projects.htm



How to become an expert evaluator for the European Commission?

http://www.cordis.lu/expert-candidature/

Please take a look at this site to get a feeling of IST Projects!



Thank you for your attention!

ist-2000-26429 hermes training material, asuman dogac metu, april 29, 2002 how to write winning...

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