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External project financing Ideas and rules. President Administrative organisation University director External Relations Office Research service Alumni.

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Presentation on theme: "External project financing Ideas and rules. President Administrative organisation University director External Relations Office Research service Alumni."— Presentation transcript:

1 External project financing Ideas and rules

2 President Administrative organisation University director External Relations Office Research service Alumni relations Business and regional relations Planning

3 External Relations Office, ERO Bengt Finnström, Head of unit Astrid Borg, Research manager, EU Marina Backer Skaar, Research manager, Industry, EU Kristine Dannenberg, Research manager, Swedish org. Christina Hörnell, Editor, KTH in Your Pocket Douglas Reincke, Legal advisor Who we are at the Research Service

4 External Relations Office Preparation, budgeting, approval, management, reporting, Emphasise the need for a consistent financial accountability in the proposed budget Information about KTH regulations Contractual issues, IPR, use of results Information and know-how about funding organisations KTH in Your Pocket Advise scientists about KTH rules and responsibilities in the relation with funding bodies when it concerns:

5 Pre-proposal planning Proposal preparation Proposal processing Funder evaluation Funder evaluation Award process Negotiation Contract signature Acceptance Setup Administration, project, account Recruitment Carry out research Completion Reporting Financial Statements Final reports Process overview Exploitation

6 KTH Research 2002 (2001)

7 Main funding bodies of the KTH research 2002 (MSEK) Vetenskapsrådet169 SSF156 Vinnova128 EU95 STEM71 Wallenberg stiftelserna55 FORMAS23,5 SIDA16 MISTRA13 SKI11

8 Research financing at KTH 1998-2002 (MSEK)

9 Government research grants (%) of total research funding at KTH

10 Have you found out about funding sources? WebPages, reports and newsletters from the funding agencies Announcements in newspapers Personal contacts External Relations Office, KTH

11 Types of grants Program grants –EU: Grants to the budget, grant for integration, lump sums Small and large project grants Project planning grants Grants for senior researchers, post doc scholarships Urgency grants Travel, conference and equipment grants Grants for female researchers Repatriation grants

12 Important: Stay informed on funding opportunities at the funding agencies: calls for proposals, new research areas, programs etc Plan new projects and apply for grants well in advance

13 Transnational consortia to perform research –Member states, associated states, candidate countries –Organisations: universities, industries, SME’s, agencies, hospitals…. Calls for proposals, deadlines EU 6 th Framework Programme

14 Special for universities Structuring European research –Human Resources – Marie Curie –Research Infrastructures –And more… Academic, bottom-up approach Fellowships, networks, courses, conferences, chairs… Specific contractual conditions –Finance: Budgets ca € 0.5 – 2 million EU 6 th Framework Programme

15 Economic worth of framework 5 (4 yrs) RTD 118 proj ca 275.000 each Concerted action 45 projca 55.000 Research training network 8 projca 190.000 Fellowships 8 projca 150.000 KTH total M€ 42 funding per month M€ 1.170

16 Action Pre-proposal planning Proposal preparation Proposal processing Proposal structuring

17 Proposal preparation New and original idea that is consistent with funder´s interests The reviewer is a human being – the proposal must be easy to read. Educate the evaluator! The proposal must conform with the funder´s guidelines and review criteria Read and follow instructions! ! Important

18 Proposal structuring Proposal content (formal) –Abstract –Background –Summary –Aims and objectives –The research question –Expected results and deliverables –Project description –Budget –Activities, period, costs –Personnel –Exploitation

19 Pre-proposal planning Literature study –Scientific papers, conferences, patents, etc. Funder documents –Policy statements –Annual reports –Web pages Consult experienced colleagues Contact research managers at sponsor Contact External Relations Office

20 Abstract Between 50 and 150-word summary of the proposal. Best written after completion of the other sections. It should briefly but clearly state the problem, the context of the problem, the significance of the problem, the broad methods to be used, the form of the results, and where these results might lead in future.

21 Background About 300-500 (but can be a bit longer in special cases) words on the main related findings by others, with a review of the state-of-the-art/major related literature. How the problem came to have significance –EU: economy, society, environment, EU dimension, Why it hasn’t been addressed by others. Why you are suited to do the research. Why now?

22 Summary of the proposal About 250-400 words that flesh out the abstract in more detail. Probably most important section. This section can be made more technical.

23 Aims and Objectives Aims - What you want to find out - e.g. why you are actually doing the research, how will it benefit the EU. Objectives - Specific achievements which take you some way towards the aim. Demonstrate the relationship between the objective and the aim.

24 Approach: Work Plan & Packages Specify how you will carry out the research. What methods will you use, e.g. mathematical modelling, on-line measurements, no of manmonths Specify the equipment needed, materials, access to big-frame computers Specify how you will analyse the data collected etc Be brief but specific about what and how you are going to carry out the research. Typically 250-500 words long, sometimes adding appendices

25 Consistency Findings in one work package to be used in another Reports in due time –Other deliverables: Computer program, seminars, websites, written material Demonstrate, preferrably in diagrams, dependency between work packages

26 Management Make sure the coordinator is strong and able to make everybody stick to the goals Make sure the coordinator can communicate Set up steering committee with all partners involved Set up working panels Make some partner responsible for exploitation,etc EU Commission is very sensitive to quality of management. Make a thoroughly thought- over management plan!

27 Budgeting (interactive) Direct salary + Social fees Consumables, materials and supplies Travelling Depreciation of capital costs External services Other specified costs directly related to the project Indirect costs

28 Evaluation

29 Evaluators view (1) New and original ideas (a good/relevant problem) A research plan that is compact, tightly written, thorough, focused and which provides sufficient details Good understanding of published work/ state-of-the-art Evidence of experience and expertise in the essential methodology proposed

30 Evaluators view (2) Understanding of future directions that the research could take Well thought out reasoning and convincing scientific rationale Realistic cost estimates Work can be completed in within the proposed time span Evidence of sufficient productivity in the past

31 Award Process Negotiations

32 The negotiation of the contract Relates to The scope The funding amount IPR issues Exploitation Publication rights Third party involvement The final contract

33 Why use a lawyer? The agreement must reflect the research work and be written with a business approach, especially considering IPR The risks of the researcher and KTH must be managed To keep it simple! And remember, if KTH is not first out with an agreement, someone else will be – reflecting someone else’s points of view

34 Talking to companies – Do’s Do engage with companies Do discuss with companies the benefits of co- operating with KTH Do discuss budgeting with ERO Do discuss contractual issues with ERO Do inform ERO as soon as you start making contacts with a company or a company approaches you

35 Talking to companies - Don’ts Do not give the impression that you are authorised to negotiate or sign contract Do not negotiate about research contracts in isolations of ERO Do not discuss costing and pricing without contacting the head of the department and ERO. Rules and regulations about pricing must be followed.

36 Result exploitation Rights of contract Publications Patenting Licensing Seed capital Business establishment KTH Holding AB

37 KTH Holding AB was founded to commercialise research results at KTH. With the help of the Holding company, KTH can create project companies and support researchers who wish to exploit their research results through patenting and licensing.

38 Summary ERO will always be flexible and responsive ERO has expertise in costing and negotiation of contracts ERO has been reinforced in order to help researchers raising finance Make use of our skills

39 Research projects Funding Law Budget Negotiating Information Partner search Research project database

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