McCarthy, Seán

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How to Write a Competitive Proposalfor Framework 7A Research Manager's HandbookThe Politicians1  EuropeanCorninission	1  ResearchersSeän McCarthyIntroduction to the HandbookTable of ContentsABOUT THE HANDBOOK.	 VHANDBOOK LAYOUT	 VIETRAINING COURSE	 VIABOUT THE AUTHOR 	 VIIACKNOWLEDGEMENTS. 	 IXGLOSSARY 	 XICHAPTER 1: A QUICK OVERVIEW OF FRAMEWORK7	 1WHERE TO GET INFORMATION ON FRAMEWORK 7 	 2WEBSITES ON FRAMEWORK 7 	 3THE STRUCTURE OF FRAMEWORK 7	 5EXAMPLE OF A CALL FOR PROPOSALS	 7THE RESEARCH PRIORITIES (QUICK OVERVIEW)	 8DISTRIBUTION OF THE FRAMEWORK 7 BUDGET 	 10THE STRUCTURE OF A PROPOSAL 	 11THE SECRETS OF FRAMEWORK 7 	 12CHAPTER 2: WHO'S WHO IN FRAMEWORK 7? 	 19THE PLAYERS IN FRAMEWORK 7 	 20POLITICAL BACKGROUND TO FRAMEWORK 7	 21BACKGROUND TO THE RESEARCH PRIORITIES 	 24How THE RESEARCH PRIORITIES WERE SELECI'ED 	 27How THE WORK PROGRAMMES ARE PREPARED	 29THE TECHNOLOGY PLATFORMS 	 30HOw ANNUAL WORK PROGRAMMES ARE PREPARED 	 32BACKGROUND TO THE `EVALUATION CRITERIA' 	 33THE GREEN PAPER ON INNOVATION (1995) 	 34TOWARDS A EUROPEAN RESEARCH AREA (1999) 	 35THE LISBON DECLARATION (MARCH 2000) 	 36OTHER POLITICAL PRIORITIES INFLUENCING FRAMEWORK 7 	 37FEARS OF THE EUROPEAN COMMISSION 	 38EXPERT GROUPS CONTRIBUTING TO FRAMEWORK 7 	 39CHAPTER 3: THE RESEARCH PRIORITIES 	 41STRUCTURE OF FRAMEWORK 7 	 42PRIORITY 1: HEALTH 	 45PRIORITY 2: FOOD, AGRICULTURE AND FISHERIES, BIOTECHNOLOGY 	 46PRIORITY 3: INFORMATION AND COMMUNICATION TECHNOLOGIES 	 47PRIORITY 4: NANO, MATERIALS AND PRODUCTION (NMP) 	 48PRIORITY 5: ENERGY 	 49PRIORITY 6: ENVIRONMENT AND CLIMATE CHANGE 	 50PRIORITY 7: TRANSPORT 	 51PRIORITY 8: SOCIO-ECONOMIC SCIENCES AND HUMANITIES 	 52PRIORITY 9: SPACE 	 53PRIORITY 10: SECURITY	 54PEOPLE (MARIE CURIE PROGRAMME) 	 55RESEARCH INFRASTRUCTURES	 59RESEARCH FOR SMES 	 61REGIONS OF KNOWLEDGE 	 62RESEARCH POTENTIAL 	 63SCIENCE IN SOCIETY	 64INTERNATIONAL COOPERATION (INCO) 	 65COHERENT DEVELOPMENT OF RESEARCH POLICIES 	 67ERA-NET 	 68EURATOM 	 70IDEAS (FRONTIER RESEARCH) (EUROPEAN RESEARCH COUNCIL) 	 71ERC Starting Grant (Starting Independent Research Grant) 	 72iiIntroduetion to the HandbookERC Advanced Grant (Advanced lnvestigator Research Grant) 	 72COMPETITIVENESS AND INNOVATION PROGRAMME (CIP) 	 76CHAPTER 4: THE FUNDING SCHEMES 	 77COLLABORATIVE PROJECTS VERSUS NETWORKS OF EXCELLENCE 	 81COLLABORATIVE PROJECTS 	 82THE NETWORKS OF EXCELLENCE 	 85COORDINATION AND SUPPORT ALTIONS (CSA) 	 88CSA (Coordinating)	 89CSA (Support) 	 90RESEARCH FOR SPECIFIC GROUPS (IN PARTICULAR SMES) 	 91MARIE CURIE FELLOWSHIPS 	 93FRONTIER RESEARCH GRANT	 93ARTICLE 169 AND ARTICLE 171 	 94RISK SHARING FINANCING FACILITY	 96SUMMARY OF THE ROLE OF THE FUNDING SCHEMES 	 97A STRATEGY FOR THE DIFFERENT FUNDING SCHEMES 	 98CHAPTER 5: LEGAL AND FINANCIAL ISSUES 	 99THE RULES OF PARTICIPATION 	 100GRANT AGREEMENTS AND CONSORTIUM AGREEMENTS	 101THE IPR HELP-DESK AND FINANCE HELP-DESK	101THE MODEL GRANT AGREEMENT 	 102FP7 Grant Agreement - Annex II General Conditions	103MODEL CONSORTIUM AGREEMENTS	 104CONSORTIUM AGREEMENT CHECKLIST	 105EUROPEAN ECONOMIC INTEREST CiROUP	 106SUBCONTRACTORS IN FRAMEWORK 7	 107How EC FINANCIAL CONTRIBUTION IS CALCULATED	108WHAT ARE INDIRECT COSTS' (OVERHEADS)?	 110How `OVERHEADS' ARE CALCULATED IN FRAMEWORK 7	111Flat rate of 60% 	 112Flat rate of 40%	 113Flat Rate of 20%	 114Flat Rate of Financing (7%) for CSAs	115Flat Rate of Financing (10%) for Marie Curie Fellowships	115SCENARIOS: TYPES OF ORGANISATION/OVERHEAD RATE/ACTIVITY	116Scenario 1: Large Enterprise in a Framework 7 Collaborative Project	117Scenario 2: SME or Research Centre using Real Overheads	118Scenario 3: Organisations using maximum 60% Flat Overheads	119Scenario 4: Organisations using 40% Flat Overheads	120Scenario 5: Management and Training in Projects	121Coordination and Support Actions (7% Overhead)	122RULES ON INTELLECTUAL PROPERTY RIGHTS (IPR)	123CHAPTER 6: WHERE TO FIND THE BEST PARTNERS	125WHICH COUNTRIES CAN PARTICI PATE IN FRAMEWORK 7? 	 127The Memher States of the European Union (MS)	127The Associated Countries (AC)	 127Third Countries 	 127The Joint Research Centres	1International Organisations (e,g. World Health Organisation, UNESCO, FAO) 	11299SMALL AND MEDIUM SIZED ENTERPRISES	 130WHERE TO FIND THE BEST PARTNERS:	 131CHAPTER 7 HOW PROPOSALS ARE EVALUATED	133TERMINOLOGY USED IN THE EVALUATION PROCESS	134Two Stage Submission	 134lilHntroduction to the HandbookTwo Step Evaluation	 135THE EVALUATION CRITERIA	 136Relevante' of the Proposal	 136THE EVALUATION SCORES 	 140THE EVALUATION PROCESS 	 140THE LIFE OF AN ` D{PERT EVALUATOR'	 142HOW TO BECOME AN EXPERT EVALUATOR.	 146CHAPTER 8: HOW TO WRITE THE 'IMPACT' OF THE PROPOSAL	 147TEMPLATE FOR WRITING 'RESEARCH IMPACT'	 152CASE STUDY 1: 'IMPACT ' OF A SENSOR PROJECT 	 154CASE STUDY 2: ` IMPACT' OF A SOCIAL SCIENCE PROJECT 	 160CASE STUDY 3: 'IMPACT ' OF A BASIC RESEARCH PROJECT 	 163FINANCIAL PLAN FOR EXPLOITATION OF THE RESULTS. 	 168ETHICAL ISSUES IN FRAMEWORK 7 PROPOSALS 	 172Ethical Review of Proposals	 173GENDER ISSUES IN FRAMEWORK 7 PROPOSALS 	 174CHAPTER 9: WORK PLAN AND IMPLEMENTATION 	 175SCIENTIFIC SKILLS AND PARTNERS 	 177WORK BREAKDOWN STRUCTURE 	 177THE PERT CHART	 178THE GANTT CHART 	 179TABLE 1.3A WORK. PACKAGE LIST 	 180TABLE 1.3B DELIVERABLES LIST 	 181TABLE 1.3C WORK PACKAGE DESCRIPTION 	 182TABLE 1.3D SUMMARY OF STAFF EFFORTS 	 183TABLE 1.3E LIST OF MILESTONES 	 183RISK AND CONTINGENCY PLAN 	 184PART B: 2.1 MANAGEMENT STRUCTURE AND PROCEDURES 	 185Consortium Management (Structure and Responsibilities): 	 185PART B: 2.2 INDIVIDUAL PARTICIPANTS 	 187PART B: 2.3 CONSORTIUM AS A WHOLE 	 188PART B: 2.4 RESOURCES TO BE COMMInED 	 189THE BUDGET/ WORK RATIO 	 190BREAKDOWN OF PARTICIPANTS COSTS 	 191SOFTWARE AND TEMPLATES FOR PROJECT MANAGEMENT 	 192CHAPTER 10: WRITING THE PROPOSAL 	 193THE ONE-PAGE PROPOSAL 	 196CONSORTIUM MEETING AND DISTRIBUTION OF WORK 	 202CHAPTER 11: WHAT IS YOUR STRATEGY FOR FRAMEWORK 7? 	 211AN ORGANISATION'S STRATEGY FOR FRAMEWORK 7 	 212A STRATEGY FOR INDIVIDUAL RESEARCHERS 	 213A STRATEGY FOR BEGINNERS (NETWORKING) 	 214A STRATEGY FOR BEGINNERS (FUNDING) 	 215A STRATEGY FOR SMALL AND MEDIUM SIZED ENTERPRISES 	 216CONCLUSION 	 216ANNEXES 	 217ANNEX 1 EXAMPLE OF PROPOSAL DOCUMENTATION 	 219ANNEX 2: EVALUATION CRITERIA USED BY PROPOSAL EVALUATORS 	 229ANNEX 3: WEBPAGES USED IN THE HANDBOOK 	 237iv

How to Write a Competitive Proposal for Framework 7: A Research Manager's Handbook

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