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External project financing

External project financing. Ideas and rules. Administrative organisation. President. University director. External Relations Office. Planning. Alumni relations. Research service. Business and regional relations. External Relations Office, ERO. Who we are at the Research Service.

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External project financing

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  1. External project financing Ideas and rules

  2. Administrative organisation President Universitydirector External Relations Office Planning Alumnirelations Research service Business and regional relations

  3. External Relations Office, ERO Who we are at the Research Service 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

  4. Advisescientists about KTH rules and responsibilities in the relation with funding bodies when it concerns: 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

  5. Process overview Pre-proposalplanning Proposalpreparation Proposalprocessing Funder evaluation Award process Acceptance Setup Negotiation Administration, project, account Contract signature Recruitment Carry outresearch Completion Exploitation Reporting Final reports Financial Statements

  6. KTH Research 2002 (2001)

  7. Main funding bodies of the KTH research 2002 (MSEK) • Vetenskapsrådet 169 • SSF 156 • Vinnova 128 • EU 95 • STEM 71 • Wallenberg stiftelserna 55 • FORMAS 23,5 • SIDA 16 • MISTRA 13 • SKI 11

  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, postdoc 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, programsetc • Plannew projects and apply for grants well in advance

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

  14. EU 6th Framework Programme 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

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

  16. Action Pre-proposalplanning Proposalpreparation Proposalstructuring Proposalprocessing

  17. ! Proposal preparation Important • 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!

  18. Proposal structuring • Proposal content (formal) • Abstract • Background • Summary • Aims and objectives • The research question • Expected results anddeliverables • 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 Be brief but specific about what and how you are going to carry out the research. Typically 250-500 words long, sometimes adding appendices • 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

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

  26. Management EU Commission is very sensitive to quality ofmanagement. Make a thoroughly thought-over management plan! • 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

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

  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. KTH Holding AB

  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. Researchprojects Research projectdatabase Budget Law Information Negotiating Funding Partnersearch External Relations Office Department

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