External project financing

Ideas and rules

President

Administrative organisation

Universitydirector

External Relations Office

Research serviceAlumni

relationsBusiness and

regional relations

Planning

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

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:

Pre-proposalplanning

Proposalpreparation

Proposalprocessing

Funderevaluation

Award process

Negotiation Contract signature

Acceptance Setup

Administration, project, account

Recruitment

Carry outresearch Completion

Reporting

Financial Statements

Final reports

Process overview

Exploitation

KTH Research 2002 (2001)

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

Research financing at KTH 1998-2002 (MSEK)

0

100

200

300

400

500

600

700G

over

nmen

tgr

ants

Res

earc

hco

unci

ls

Vin

nova

(Nut

ek)

Stra

tegi

cfo

unda

tions

Oth

er s

tate

orga

nisa

tions

Sw

edis

hco

mpa

nies

and

orga

nisa

tions E

U

Oth

er fo

reig

nso

urce

s

Inco

me

from

Inte

rest

etc

19981999200020012002

Government research grants (%) of total research funding at

KTH

20

25

30

35

40

45

50

1993

/94

1994

/95

1995

/9619

9619

9719

9819

9920

0020

0120

02

Have you found out about funding sources?

• WebPages, reports and newsletters from the funding agencies

• Announcements in newspapers

• Personal contacts

• External Relations Office, KTH

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

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

• Transnational consortia to perform research– Member states, associated states, candidate

countries

– Organisations: universities, industries, SME’s, agencies, hospitals….

• Calls for proposals, deadlines

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

EU 6th Framework Programme

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

Action

Pre-proposalplanning

Proposalpreparation

Proposalprocessing

Proposalstructuring

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

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

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

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.

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?

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.

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.

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

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

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!

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

Evaluation

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

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

Award Process

Negotiations

The negotiation of the contract

Relates to

• The scope• The funding amount • IPR issues• Exploitation• Publication rights• Third party involvement

The final contract

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

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

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.

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

KTH Holding AB• 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.

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

Researchprojects

Funding

LawBudget

NegotiatingInformation

Partner search

Research projectdatabase