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1 Promoting RTD in aeronautic SMEs of Poland, Romania and Turkey Contract number : Deliverable No. D9 Deliverable name Best practices guide Workpackage 4 Document version Final Lead participant IPPT PAN Dissemination level PU Due date of deliverable M42

2 Authors Zbigniew Turek, IPPT PAN Anca Liana RACHERU, ROSA Antonio COLLADO, CARSA Aziz KORU, TUBITAK Coordinator Zbigniew Turek Instytut Podstawowych Problemów Techniki Polska Akademia Nauk 81 świrki i Wigury street Warsaw / POLAND Phone Mobile Fax zbigniew.turek@kpk.gov.pl

3 PREPARING GOOD COMPETITIVE PROPOSALS A report based on the experiences of DonQ Air project Coordination and Support Action

4 Table of contents Introduction to DQA... 5 FP7 Programme... 7 Transport (incl. Aeronautics) Workprogramme... 9 General approach to proposal writing under FP Key concepts to write a good proposal Summary comments... 19

5 Introduction to DQA Don Q Air project aimed at encouraging R&D activities in the aeronauticrelated SMEs in Poland, Romania and Turkey, by means of a well targeted methodology, the Don Q Air Method, developed to enable R&D in adverse environments. Don Q Air sought to provide SMEs with both information and resources to participate in R&D activities in a European context. Don Q Air has significantly increased the awareness of Polish, Romanian, and Turkish SMEs about EU activities in the aeronautics sector and will strive to encourage their participation in RTD and co-operative research actions even after the project has finished. Promoting candidate countries participation in EU research projects was one of the objectives of Don Q Air, therefore Romania (now a NMS country) and Turkey have been included in this project. Turkish, Romanian and Polish SMEs received support services on how to prepare RTD proposals and how to participate in EU research projects in the field of aeronautics in order to give them a chance to benefit from the EU cooperation and also from EU funding for the participation in its projects. More specifically, Don Q Air had the following objectives: Contact at least 250 aeronautic-related SMEs Analyse the technological situation of at least 170 SMEs related to the aeronautical sector (including suppliers) 60 in Poland, 40 in Romania, and 70 in Turkey). Inform about RTD actions and European RTD Programmes to 170 SMEs through the celebration of 3 training seminars in each targeted country Support and tutor directly 90 SMEs, through the creation of a Direct Support Information Area and integrate them in a First Excellence Club. Perform 50 detailed technological diagnoses, with assessment on possible improvements and include diagnosed SMEs in Permanent Exchange Ideas Network, to facilitate future contacts and project cooperation. Develop, from 30 Project Ideas, at least project dossiers involving various SMEs from targeted countries, training SMEs in developing good ideas, finding partners, planning resources, and fitting the proposal to the proper instruments and calls. Involve SMEs in European RTD projects/proposals.

6 Prepare 5 Full Proposals, ready to be submitted, if the proper call appears. All the above goals were accomplished, with some of them being overachieved. More information about the activities of the project can be found in Final Publishable Activity Report available on the project s website: Project consortium consisted of four partners, IPPT PAN (coordinator), CARSA, TUBITAK and ROSA. All partners had extensive experience in international cooperation, including participation in European projects, financed under the umbrella of EC Framework Programmes. Also, IPPT PAN, TUBITAK and ROSA, being National Contact Points responsible for Aeronautics issues had large contacts with many European partners, ensuring the highest quality of actions undertaken within the project.

7 FP7 Programme The 7 th Framework Programme for Research and Technological Development is the main instrument through which the EC is co-financing the research activities, technological development and demonstration projects in EU. The scope of FP7 is to respond to Europe s needs in term of competitiveness, to maintain the leadership in the global knowledge economy, to strengthen the scientific and technological base of European industry and to encourage its international competitiveness, while promoting research that supports EU policies. The programme was built as a result of large scale and long term consultation with the research community from public and private sectors, with decision makers and economical actors in EU and in order to complement the national research programmes, the key aspect of the programme is the transnationality of the activities financed, through consortia including participants from different countries. FP7 is dedicated to a wide range of organisations and individuals, research groups at universities or research institutes, companies intending to innovate, small or medium-sized enterprises (SMEs), public or governmental administration (local, regional or national), organisations and researchers from third countries, international organisations and others, from any country in the world, procedures for participation and funding possibilities vary for different groups of countries. FP7 is divided in 5 specific programmes: - Cooperation - Ideas - People - Capacities - Nuclear Research Almost two thirds of the programme s budget is allocated to the main block, COOPERATION, financing collaborative research all over Europe through projects by transnational consortia of different types of organizations. Research are carried out in ten key thematic areas: - Health - Food, agriculture and fisheries, and biotechnology - Information and communication technologies

8 - Nanosciences, nanotechnologies, materials and new production technologies - Energy - Environment (including climate change) - Transport (including aeronautics) - Socio-economic sciences and the humanities - Space - Security The IDEAS programme supports "frontier research", in any area of science or technology, including engineering, socio-economic sciences and the humanities. Projects are implemented by "individual teams" around a "principal investigator". As major difference to the COOPERATION programme, there is no obligation for transnational consortia for the activities carried out. The PEOPLE support researcher mobility and career development, both for researchers inside the European Union and internationally. The CAPACITIES programme is focused on strengthening the research capacities needed for Europe, and it covers activities like: research infrastructures, research for the benefit of SMEs, regions of Knowledge, research potential, science in society, specific activities of international cooperation. The programme for nuclear research and training activities addresses research, technological development, international cooperation, dissemination of technical information, and exploitation activities, as well as training in the nuclear domain, through 2wo specific programmes: fusion energy research (in particular ITER), and nuclear fission and radiation protection; and activities of the Joint Research Centre (JRC) in the field of nuclear energy. Implementation of the Specific Programmes are announced by the European Commission in annual 'Work Programmes', that include the schedule of 'Calls for Proposals', that are to be published during the year. Each Call usually covers specific research areas. Proposals may be submitted at any time after a Call opens, until the deadline. After the closing of a call, the proposals submitted are evaluated according to the criteria explained in the documents of the call and the proposals that are to be financed are selected. More information on the programme are available at:

9 Transport (incl. Aeronautics) Workprogramme Context The scope of research includes the technologies, services and operations of all the components of the air transport system (i.e. aircraft, airport and air traffic management) from airport curbside to airport curbside, excluding the non-travel aspects of the system, ticketing and ground vehicles. Six Activities are addressed in agreement with the Strategic Research Agenda of ACARE 1 : The Greening of Air Transport Increasing Time Efficiency Ensuring Customer Satisfaction and Safety Improving Cost Efficiency Protection of Aircraft and passengers Pioneering the Air Transport of the Future Approach The programme for Aeronautics and Air transport in FP7 includes the full range of research and technology development from basic research to large scale technologies integration and validation activities in support of research as well as policy related activities, in particular in the area of airport capacity. In order to reflect the level of readiness of the developed technologies with respect to the final application that is commonly used in aeronautics, three Levels, detailed further below, are applicable. Within this structure, Topics are grouped in Areas. Level 1 It comprises the research and technology development activities that span from basic research to the validation of concepts at component or sub-system level in the appropriate environment through analytical and/or experimental means. The objective of these upstream research activities is to improve the technology 1

10 base with proven concepts and technologies which could be eventually integrated and validated at a higher system level. A maximum requested EU contribution is 4 million, and is also an additional eligibility criterion during the proposal evaluation phase. Level 2 It comprises the research and technology development activities up to higher technology readiness, centered on the multidisciplinary integration and validation of technologies and operations at a system level in the appropriate environment (large scale flight and/or ground test beds and/or simulators). The objective of these focused downstream research activities is to produce proven multidisciplinary solutions that work reliably in integration at the scale of a system. A minimum requested EU contribution is 6 million, with maximum of 40 million. It is also an additional eligibility criterion during the proposal evaluation phase. Level 3 It comprises the research and technology development activities up to the highest technology readiness, focusing on the combination of systems and the final proof in the appropriate operational environment of the comprised technologies in fully integrated system of systems. These activities of full-system technologies' demonstration are undertaken in large scale Public-Private partnerships especially established for this purpose within: Clean Sky Joint Technology Initiative SESAR Single European Sky Air Traffic Management Research Coordination and Support Actions (CSA), aim at coordinating (CSA-CA) or at supporting (CSA-SA) the development of research potential in various fields or aeronautics in Europe. 2 Additional information about FP7 aeronautics research can be found at: CORDIS information on current call, partner search offers, projects already funded, project preparation etc. EC Transport Research - main EC page for 2 From EC Transport incl. Aeronautics Work Programmes

11 current Transport and Aeronutics R&D information. Includes database of projects financed by EC within FP6 and FP7. ETNA project a focal point of all FP7 Transport and Aeronautics NCPs. Provides information on profiles of partners interested in joining proposals, as well as on projects looking for additional partners.

12 General approach to proposal writing under FP7 Unfortunately, FP7 it is not simply a case of writing in and asking for a grant. We are talking about a long way which is complex, resource intensive and hard at the same time. There are a number of steps that must be followed. Of course we should start with the MAIN IDEA, or the CORE of the proposal. In order to get it, it is basic that we perfectly know the company, the strategy, the environment and the state of the art related to that IDEA. Then it is the moment to know FP7 in detail. First we should deepen on knowing and selecting the eligible activities that can be funded, in order to do that, then we should move on to identify and detail the topic under the Workprogramme and the specific Call for proposal, where we want to submit the idea. It is now the moment to prepare and submit the PROPOSAL. After that we should wait for the experts EVALUATION. If the evaluation is positive and the proposal is retained for funding we should enter in the NEGOTIATION process, right before developing the project. In the following figure we can see the main flow to prepare a proposal under FP7.

13 Analysis of company business strategy Analysis of company technological situation Identification and evaluation of preliminary Research ideas Analysis of the open calls and the suitability of these with the ideas pre-identified PHASE 1 : ANALYSIS Identification of the most appropriate instrument Managers decisión Go / Stop Proposal technical abstract elaboration Identification of the consortium Budget and tasks distribution Proposal Preparation PHASE 1I : PROPPOSAL PREPARATION Proposal Submisión

14 Idea We should devote a lot of internal and external efforts in the identification and selection of the most relevant or suitable idea/s for being developed. Of course, as part of this selection process the company should analyse the business benefit improvement for each idea. Only those ideas that can provoke a significant benefit in the business results, directly in the turnover of the company, or in indirectly benefits (like corporative image improvement or non tangible benefits) could be considered for preparing a proposal. Eligible activities All ideas may not fall under FP7 fundable activities. Clearly, the idea for which you require support must fall within the range of activities funded by under FP7. Normally, this is not such a serious hurdle. The range of activities across the Specific Programmes is very wide. However, different participation rules apply depending on the research initiative in question. When talking specifically about Transport in general or Air Transport in particular, we should analyze in detail the running Workprogramme and the upcoming calls for proposals. 'Work programmes' and 'Calls for Proposals' Given that FP7 covers such a wide range of activities it is not realistic for each activity to be open for funding at all times. The concrete plans for implementing the Specific Programmes are announced by the European Commission in annual 'Work Programmes'. These work programmes include the schedule of 'Calls for Proposals', commonly known just as 'Calls', to be published during the year. Each Call usually covers a specific research area. In order for your idea to be considered for funding at a particular moment, a relevant Call must be open. This approach is of course applicable for Air Transport. Publication of Calls All Calls are announced in the EU's Official Journal (which is the official source of EU documents). The annual work programmes and the full texts of the Calls are published on the FP7 section of CORDIS, the web site dedicated to EUsupported research. CORDIS is continually updated with the latest information on Calls for proposals, as well as other information and services related to Community research.

15 Submitting a proposal You respond to a Call by submitting your proposal. Proposals may be submitted at any time after a Call opens for submissions, up until the deadline (which is strictly applied). The Guide for Applicants for the Call in question (also published on CORDIS) will guide you through the process, and point you towards other useful documents. A Web-based online tool called EPSS ('Electronic Proposal Submission Service') is the obligatory channel for the submission of proposals. Evaluation of proposals After the deadline for the Call, all the proposals submitted are evaluated by a panel of independent evaluators, who are recognized specialists in the relevant fields. The panel will check the proposals against a published set of criteria to see if the quality of research proposed is worthy of funding. The key criteria used for this evaluation are explained in the Guide for Applicants. Negotiation and approval For successful proposals, the European Commission enters into financial and scientific/technical negotiations with you and/or your consortium on the details of the project. Finally, a grant agreement between each participant and the Commission is drawn up. This sets out the rights and obligations of the beneficiaries and the European Community, including the EU's financial contribution to your research costs. For additional information on all issues related to Calls (including step-by-step advice on how to submit a proposal, eligibility criteria, evaluations, Intellectual Property issues, etc.), always refer to the Guide for Applicants.

16 Key concepts to write a good proposal KEY 1. Read the "Guide for evaluators" It is absolutely necessary to know how the evaluator is going to evaluate our proposal, because this way we can provide real and good answers to the questions the evaluator should find responses to. In order to do that, reading, understanding and analysing the evaluation criteria is basic. We should give responses in our proposal to all criteria. KEY 2. Use the next "thinking process": Problem - State of the art - Solution It is always good to identify a real problem or a market pain before entering in detail into presenting the solution. Thus, we will attract the interest of the evaluator from the very beginning that the solution will tackle a real and still unsolved problem. Then it is good to demonstrate that we know about the problem detailing the state of the art around it. Finally it is good to come up with a realistic, brilliant and tangible solution. KEY 3. Keep the interest of the evaluator: be clear, concise, go to the point... Following at the beginning of the proposal the "thinking process" mentioned under Key 1 can be good to attract the interest of the evaluator. But of course this initial approach is not enough. The proposal should keep the interest of the evaluator from the beginning till the end. In order to do that, it is good to be as clearer as possible, do not give too many details if they do not clarify necessary points, use graphics to make ideas comprehensible, provide tables to simplify main concepts... KEY 4. Choose the right leading organisation Not every organisation is the appropriate and best leader of a FP7 project, even if such organisation falls under the group of potential recipients, it does not mean that it can or should lead the proposal. Depending on the project and the

17 specific call, the leader can better be either a large company, a SME or a research organisation. KEY 5. Choose the right partners Aeronautics and air transportation in Europe is really strong and Europe has got many key players and organizations. Therefore companies should try to facilitate contacts with them. They should also try to be in contact with ASD- IMG4 for industry, EREA for research institutions and EASN for academics. KEY 6. Have knowledge of ACARE targets ACARE: Advisory Council for Aeronautics Research in Europe ( Six Activities in the content of calls are addressed in agreement with the Strategic Research Agenda of ACARE. KEY 7. Networking with networks Having relationship with ASD-IMG4, EREA, ENEA and following the activities of Coordination and Support Actions funded by EC with the aim of boosting participation of SMEs in FP7/FP8 aeronautical research activities will address SMEs to the right destination where they can forge their ideas into proposals. KEY 8. Having information about Clean Sky JTI and SESAR Programme Companies should be up to date with the advancements in Clean Sky Joint Technology Initiative (JTI) and SESAR (Single European Sky ATM Research) Programmes. KEY 9. Info Days and relevant events After the publication of each call, the European Commission organizes an info day to give broader overview on each of the topics. These info days are the rights places to meet with new partners or coordinators.

18 KEY 10. Communicating your ideas and interest in projects If an SME develops a project idea for on a particular topic and would like to ask for more information and clarification there is a possibility to meet and discuss with EC Project Officers to get some further explanations. Another source of important information are evaluators. After the end of each Call, EC reveals the evaluators list. This is a good chance for coordinators to talk these one of the evaluators. National Contact Points network is should be the first point of contact for every SME, willing to engage themselves in Framework Programmes. Thank to the strongly developed network of contacts, they are a viable source of information and advice for companies who want to prepare their own proposals.

19 Summary comments Zbigniew Turek, Mikołaj Pyczak; IPPT PAN (Coordinator) Don Q Air project has had a big impact on Polish aeronautical-related SMEs. First of all, it had big influence on every single company that was a part of the Top Excellence Group. The Technological Audits have supported companies in identifying their potential for future development in possible ways for the international R&D cooperation that they could pursue. Involvement of SMEs in proposals elaborated within the DonQ Air project allowed the companies to be more independent in their future own undertakings on engaging in European R&D financing activities. The lessons learnt from the preparation of proposals will allow them to be better prepared for the forthcoming calls. By the support of the project consortium, companies were also introduced to key players of EU aeronautical area, allowing them to better integrated in their chains in future, which will also enable the SMEs to utilize their skills within the projects that will be prepared by EU community. Don Q Air project had also its impact on creating opportunities for contributing to development of new sectors in aeronautics. Such case was followed with regards to the General Aviation sector, where a number of companies were involved in some projects being prepared for the 3 rd AAT call, with perspectives to same activities for the 4 th call. Also, a bilateral collaboration activities were undertaken, ie. between Polish and Turkish aviation clusters and exchange of experiences began and was sustained during the project. Given the above, it can be clearly stated, that DonQ Air project had a big positive impact on its target group, creating opportunities not only in the duration of the project, but also leaving the companies fully prepared for the individual actions after the project has ended. Antonio Collado; CARSA Taking into account the general results of DonQ Air (services provided, groups created, number of companies involved, number of projects submitted...), I would say that DonQ Method has proved again that it is a good and efficient

20 technique to encourage collaborative innovation among SMEs. In this respect, DonQ Method has been designed and validated to provide the necessary and required aid for each company at the right moment. DonQ Air has generated a good and solid technical approach to the Aeronautic SMEs participating from the three countries involved, Poland, Turkey and Romania. In fact, they have received a personalized service depending on their interests, potentiality and competences. Such services have helped SMEs move one step forward both in terms of innovation and collaboration. The specific experience of CARSA during the execution of DonQ Air is that all companies visited at their own production premises, and every company involved in any of the support processes of project idea generation, project dossier production and FP7 proposal preparation, have meaningfully progressed and improved their understanding, knowledge and expertise on both FP7 and innovation systems. Thus, we can conclude that adapting the services to the level of each beneficiary is a powerful measure to successfully support a large number of companies. The last comment is directly dedicated to the SMEs. DonQ Air has proved that those companies really open to collaborate with the consultants and providing and evaluating their project ideas without any fear or reticence, got the best results and benefit from the greatest and more intense services. So, SMEs: "do not hesitate to openly collaborate with other companies, use confidential and non disclosure agreements and be confident in your partners". Aziz Koru; TUBITAK Aeronautics and Air Transport in Europe are really very well organized. Having good relationships with the main players in Europe is very important. Finding partners is easy for all cases but choosing the right partner is not easy for most cases. SMEs would like to play more important roles in projects, thus having more share from the projects itself. IPR issues for high-tech SMEs are important and should be secured so that companies will not lose their project ideas. A good idea for work to be done within a project can open doors to many project consortia, this mainly applies to Level 2 proposals (large-scale integrating projects) but also can work for Level 1 projects. Project preparation is not an easy task for many companies, especially those who just now start their adventure with FPs. They should be in contact with experienced organizations, especially NCP network, who offer professional

21 assistance in project idea consultation and preparation of proposals. They also have good contacts within EU aeronautical community. SMEs should be continuously supported at each step, including receiving financial support at national level for project preparation activities. Anca Liana Racheru; ROSA Several aspects could be mentioned as lessons learnt as far as the participation of Romanian SMEs in FP7- Aeronautics. In the last couple of years, the interest of the Romanian organizations in participation in FP7 programme decreased, the main cause being the lack of support for these companies from the national authorities, by decreasing of the supporting measures for research in Romania, due to the global economical crisis. Nevertheless, on one hand there are SMEs that consider that for this period the research projects are difficult to be developed due to the own necessary financial contribution and on the other hand there are SMEs that, being the national situation with the diminished research budget, they consider the participation in international project (ex. FP7) as one of the main priority and they do efforts to get involved in such projects. Even with all the difficulties that Romanian entities have in approaching and being involved in international project, people working in research are still interesting in staying in contact with similar entities from abroad, in the view of possible further cooperation, when the strategy of their own organization will set the international cooperation as a priority. Another aspect to be considered is that researchers are on one hand interested in the kind of support that DonQ Air had offered in writing / submitting the proposals, while, in the same time, they consider less the initiative of addressing to the NCPs for writing the proposals.