How to write winning project proposals for the European Commissions IST Program Asuman Dogac Softwar

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How to write winning project proposals for the
European Commissions IST Program?Asuman
DogacSoftware RD CenterMiddle East Technical
UniversityAnkara Turkey
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Outline of the Talk

• 1. Possible Funding Mechanisms for Turkish
  paricipants, chances of success
• 2. Types of participation
• 3. Types of projects
• 4. Work Programme 2002
• 5. The 6th Framework Program (2003-2006)
• 6. Key Actions I, II, III, IV
• 7. Building Consortia, roles of partners

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Outline of the Talk

• 8. Parts of a proposal
• 9. Proposal preparation steps
• 10. How to maximize success rate?
• 11. How the proposals are evaluated? Evaluation
  criteria, scoring, weights and thresholds
• 12. Useful links
• 13. Follow up meeting
• 14. You can do it, grab the opportunity!

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Funding Available for Turkish Participants

• TUBITAK funds are available for Turkish partners
  in successful IST projects for the 5th Framework
  program
• Certain action lines and programs of the
  Commission support Turkish participation
• Even when Turkish participation is not supported
  by the Commission, the Commission support is
  available in exceptional cases

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Future Funding for Turkish Participants

• Turkey is planning to enter the 6th Framework
  program by paying her dues of 350 million Euros

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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

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METU-SRDC IST Projects

• INCO DC 97 2496 MARIFlow (RTD, completed in March
  2001)
• METUs share 204.000 Euro
• IST-1999-20216 LEVER (Take up measure, completed
  in December 2001)
• METUs share 40.000 Euro
• IST-2000-31050 Agent Academy (RTD, started in
  November 2001)
• METUs share 145.000 Euro

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METU-SRDC IST Projects

• IST-2000-31046 HUMANTEC (Thematic Network,
  started in October 2001)
• METUs share 20.000 Euro
• IST-2000-26429 HERMES (Accompanying Measure,
  started in December 2001)
• METUs share 135.000 Euro
• EUMEDIS Projects DEDALUS and MEDFORIST
• METUs share 225.000 Euro

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IST Budget 3.6 Billion Euro
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Chances of Success (An Example)

• For the call of Key Action II that closed on June
  16, 1999
• 472 RTD proposals requested 892 million Euros
• 116 million Euros available and 82 RTD proposals
  are selected and contracted
• 21 Accompanying Measure proposals requested 48.3
  million Euros and with available 7 million Euros
  5 projects are selected and contracted

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Funding Mechanisms

• Depends on the project type
• Mostly 100 funding for the academic institutes
  (called Shared Cost)
• 50 funding plus overhead for partners from
  industry (called Full Cost)

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Three Types of Participation

• Coordinator of the project (Difficult for 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!

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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 Action Line you want to submit
  your project (Study the Work Program)

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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

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Types of Projects in 5th 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

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Types of Projects in 5th 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

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Types of Projects in 5th Framework

• 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

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Types of Projects in 5th Framework

• Take-up activitiesThey 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).

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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

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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

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Work Programme 2002 and the 6th Framework
Programme

• 2002 is the last year of the 5th framework (not
  much funding is left) therefore the WP 2002 is
  not a typical WP
• 6th Framework will start in 2003 Mechanisms are
  changing (50 as usual, 50 following, more on
  this later)
• Integrated projects (10-50 Million Euro)
• Networks of Excellence

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Work Program 2002

• Key Action I - SYSTEMS AND SERVICES FOR THE
  CITIZEN (18 of the IST Budget)
• Key Action II - NEW METHODS OF WORK AND
  ELECTRONIC COMMERCE (15)
• Key Action III - MULTIMEDIA CONTENT AND TOOLS
  (16 of the IST Budget)
• Key Action IV - ESSENTIAL TECHNOLOGIES AND
  INFRASTRUCTURES (38 of the IST Budget)
• CROSS-PROGRAMME THEMES
• FUTURE AND EMERGING TECHNOLOGIES (9)
• RESEARCH NETWORKING (4)

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FET
Workprogram Key Actions
IST
State of the art
Product development
Overall IT area
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Key Action I - SYSTEMS AND SERVICES FOR THE
CITIZEN

• IST 2002 - I.1.1 Intelligent systems for the
  monitoring of health status
• Objectives To improve early illness detection
  and medical intervention by carrying out medium
  to long term multidisciplinary research on IST
  health application systems.
• The aim is to foster closer collaboration between
  research activities in areas such as health
  telematics, biomedical engineering and advanced
  communication technologies.

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Key Action I - SYSTEMS AND SERVICES FOR THE
CITIZEN

• IST2002 - I.1.2 Systems for health professionals
  creating a "Health knowledge info-structure"
• Objective To allow health professionals timely
  interaction with heterogeneous,
  distributed,medical and other health related
  databases.
• Work will consist of medium to long term research
  on the development of more efficient and secure
  "Health Knowledge Info-structure"

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Key Action I - SYSTEMS AND SERVICES FOR THE
CITIZEN

• IST2002 - I.2.1 Systems for independent living
• Objective To provide people with disabilities
  and their carers, and the elderly, with systems
  based on the ambient intelligence concept in
  order to facilitate employment,education, and
  full participation in society.
• Work will include innovative applications and
  services to facilitate citizens civic
  involvement through enhanced remote access to
  general interest services (such as e-health,
  e-government, ).

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Key Action I - SYSTEMS AND SERVICES FOR THE
CITIZEN

• IST2002 - I.4.1 Intelligent systems and services
  for civilian and environmental crises management
• Objectives The objective is to assist public
  administrations and emergency services in the
  management of specific emergency scenarios by
  funding research into intelligent decision

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Key Action II - NEW METHODS OF WORK AND
ELECTRONIC COMMERCE

• IST2002 - II.1.3 Addressing eEurope and eEurope
  objectives
• Objective To support the broad adoption of IST
  solutions for e-commerce and e-work, including
  the security of on-line transactions, greater
  flexibility in work organisation and better
  access to e-work facilities for local and virtual
  communities, and for SMEs, thus contributing to
  the realisation of eEurope and eEurope
  objectives.

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eEurope and eEurope

• The main objectives of eEurope are Bringing
  every citizen, home and school, every business
  and administration into the digital age and
  online creating a digitally literate Europe,
  supported by an entrepreneurial culture ready to
  finance and develop new ideas ensuring the whole
  process is socially inclusive, builds consumer
  trust and strengthens social cohesion.
• eEurope EU plus Accession and Pre-accession
  countries (Turkey)

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Key Action II - NEW METHODS OF WORK AND
ELECTRONIC COMMERCE

• Best practice actions for trust, security,
  e-work, organisational knowledge management and
  process improvement (private and public)
• Demonstrations of cross-border interoperable
  security solutions, contracting, invoicing,
  taxation, dispute resolution, intellectual
  property rights, on-line services, accounting and
  privacy-enhancing applications
• Helping SMEs to use Information Society
  technologies (GoDigital)
• Encouraging the participation of Accession States
  (eEurope).

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Key Action III - MULTIMEDIA CONTENT AND TOOLS

• IST2002 - III.5.1 KA3 specific Support Measures
• Objective To consolidate and disseminate results
  emerging from recent and ongoing research
  activities established within the Fifth Framework
  Programme.

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Key Action III - MULTIMEDIA CONTENT AND TOOLS

• IST2002 - III.5.2 Preparing for future research
  activities
• Objectives To prepare for future RTD activities
  by developing research roadmaps and associated
  implementation models and by mobilising and
  bringing together all relevant actors.
• IST2002 - III.5.3 KA3 pioneering research
• Objective To lay the foundations for the future
  provision, access and management of knowledge and
  to develop advanced systems to improve
  multi-media digital content.

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Key Action IV - ESSENTIAL TECHNOLOGIES AND
INFRASTRUCTURES

• IST2002 - IV.2.1 Cognitive vision systems
• IST2002 - IV.2.2 Advanced control systems
• IST2002 - IV.2.3 Networks and technologies for
  distributed services and applications
• IST2002 - IV.2.4 Computing, communications and
  networks Take-up measures

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Key Action IV - ESSENTIAL TECHNOLOGIES AND
INFRASTRUCTURES

• IST2002 - IV.3.1 Composability and dynamic
  adaptability in software, systems and services
• IST2002 - IV.4.1 Simulation and visualisation
  technologies
• IST2002 - IV.5.1 Towards technologies, systems
  and networks beyond 3G
• IST2002 - IV.5.2 Validation of wireless and
  mobile systems and technologies

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Key Action IV - ESSENTIAL TECHNOLOGIES AND
INFRASTRUCTURES

• IST2002 - IV.6.1 Networked audio-visual systems
  and services
• IST2002 - IV.7.1 Microsystems and miniaturised
  subsystem modules for portable applications
• IST2002 - IV.7.2 Integration of sensors and
  actuators for increased intelligence, interaction
  and networking

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Key Action IV - ESSENTIAL TECHNOLOGIES AND
INFRASTRUCTURES

• IST2002 - IV.8.1 Microelectronics design and IP
  re-use
• IST2002 - IV.8.2 Microelectronics technologies
  processes, equipment and devices
• IST2002 - IV.8.3 Optical and opto-electronic
  technologies
• IST2002 - IV.8.4 Industrial micro- and
  opto-electronic technologies - take-up/assessment
  actions

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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?

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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

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More Steps

• 1. Clarification of outline
• 2. Validation with project officers in Brussels
• 3. Background information search
• 4. Identification of suitable partners
• (more on this later)
• 5. Validation of partners
• 6. Agreement with partners
• 7. Proposal format
• 8. Screening and completing

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Outline

• Produce a brief document covering the following
• 1. Which Action Line(s) are of interest?
• 2. What specifically do you want out of it?
• - in business and technical terms
• 3. 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?

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Partner Search

• Most difficult point for new entrants - first
  project is the most difficult
• Sources
• 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

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Roles of Partners

• There must be players for the following roles
• 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?

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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 ST prospects
• Resources, partnership management

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Scientific/technological quality innovation

• This section, describes the scientific/
  technological objectives of the proposal
• They should be achievable within the project

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Innovation

• This section describes the innovative aspects of
  the proposed project, detailing proposed advances
  in the state of the art
• Innovation can be in the form of novel
  products/services/applications
• It can range from the development of novel
  techniques/systems/environments to the
  integration of new generation technologies in
  original ways

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Innovation

• It can include development of novel business
  processes, new organisational practices or, more
  generally, novel forms of interaction between
  people and information, whether at work or in
  daily life
• Proposers should clearly identify the novelty of
  their proposed results, for example by including
  a comparison with the 'state of the art'
  (world-wide)

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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

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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

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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

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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, for example if there is a
  need to create a critical mass in human or
  financial terms, or whether the project will
  bring together complementary expertise existing
  in different organisations

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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

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Partnership management

• 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

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Partnership management

• 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

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Economic development and ST prospects

• 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

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Economic development and ST prospects

• 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

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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 eachs work
• Validate resource estimates and costs/iterate
• Complete proposal draft and review
• Finalise and submit on time

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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 dont plan to submit electronically
  use Protool
• Once your project is accepted install Electra to
  prepare the Contract

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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

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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

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6th Framework Programme

• 1.2 Anticipating the EUs 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

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6th Framework Programme

• Instruments to integrate research
• Networks of Excellence
• Integrated Projects
• Participation in national programmes carried out
  jointly

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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
• Indicative budget several millions of euros per
  annum

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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

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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

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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
• Ensure you have a major market player in
• Read the instructions and follow all of them

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How the Proposals are Evaluated?

• Sources of information
• Evaluation process RTD
• Evaluation criteria
• Scoring
• Weights Thresholds
• Scientific technical quality innovation
• Economic development ST prospects
• Financial evaluation

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Sources of information

• Proposers Guide - Parts 1 and 2
• Guidelines for Evaluators participating in the
  evaluation of proposals of the IST Program
• FP5 Evaluation Manual
• Workprogram
• Call for proposals

68
Evaluation Process RTD

• Step 1 Opening, registration preparation
• Step 2 Eligibility check - (deadline, signature,
  consortium eligibility, anonymity of Part B, in
  scope of key action)
• Step 3 Evaluation of Part B by three evaluators
• Step 4 Evaluation of Part C by same three
  evaluators
• Step 5 Consensus meeting among the evaluators
• Step 6 Ranking Panel (All the evaluators, project
  officers, head of unit)

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Evaluation Criteria
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Scoring

• Evaluators score each criterion 0-5 with 0 being
  low and 5 high
• 0 - Unsatisfactory
• 1 - Poor
• 2 - Fair
• 3 - Good
• 4 - Very good
• 5 - Excellent

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Weights Thresholds

• Scores on each criterion is 0-5 with 5 best
• For RTD (Different thresholds for different
  types)

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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 RD - its effectiveness is maximised by
• focusing in strategic technological areas
• funding innovation in those areas

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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

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Economic development ST 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

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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

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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

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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

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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

79
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

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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.h
  tml

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Follow up meeting!

• IST-2000-26429 HERMES project workshop June
  2002, METU, Ankara
• Send papers shortly describing your project ideas
  to hws_at_srdc.metu.edu.tr
• I will try to bring matching partners to the
  workshop from Europe for selected project ideas
• There will be working groups in the workshop to
  actually write down draft proposals!

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You can do it!

• 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

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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!
• The rest will follow!

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Thank you for your attention!