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Praktische Erfahrungen zu Bund- und EU-
Fördermaßnahmen für industrielle Forschung
Rolf Kraemer
Enter Date: 8.11.2016
SIBB Forum Finance, Berlin
www.ihp-microelectronics.com © 2014 - All rights reserved
Gliederung
Enter Date 2
1 Einführung IHP und IHP Programmportfolio
2 Forschungstiefe und Auswirkung auf Antragsstil
3 Mehrstufige Verfahren
4 KMU-Innovativ
5 BMBF-Forschungsprojekte
6 BMWi-Projekte
7 EU-Projekte
8 Zusammenfassung und Unterstützungsangebot
www.ihp-microelectronics.com © 2014 - All rights reserved
IHP
Enter Date 3
• IHP ist ein Forschungsinstitut der Leibniz Gemeinschaft
• Erforschung von innovativen elektronischen Systemen insbesondere aus der
Kommunikationstechnik
• Etwa 300 Mitarbeiter arbeiten in Frankfurt/Oder in den Bereichen:
• Drahtlose Systeme
• Hochfrequenz Schaltungstechnik
• SiGe-BiCMOS Technologieentwicklung und Fertigung
• Neue Materialien für zukünftige Technologien
• Das IHP hat weltweit die schnellsten Si-Transistoren
• Wir erreichen Schaltfrequenzen fmax >700 GHz und Transitfrequenzen fT > 500 GHz
(IBM: fmax < 400 GHz fT < 300 Ghz)
• Derzeit laufen beim IHP mehr als 90 Förderprojekte mit einem jährlichen Fördervolume von etwa
15 Mio€
48% 5% 7% 5%
0%
35% 1%
0% 20% 40% 60% 80% 100%
Bund EU / FP7 EU / Horizon2020
DFG Land / ESF Industrie
sonst. Finanzierung
www.ihp-microelectronics.com © 2014 - All rights reserved
Running projects in department “Wireless Systems” (34, 9 DFG, 9
BMBF, 10 EU, 1 WGL, 4 IHP)
November 8, 2016 4
www.ihp-microelectronics.com © 2014 - All rights reserved
Proposed Projects of „Wireless Systems“ department
November 8, 2016 5
• As you see the diagram is of 12.10! In the meantime we submitted 6 further project
proposals. 4 H2020 projects have been submitted today (17:00 o‘clock)
www.ihp-microelectronics.com © 2014 - All rights reserved
Projekt Granting Probability
November 8, 2016 7
Project
Type
Acceptance
rate (Mean
Value)
call to start
duration
IHP Funding
k€
BMBF 20% 1 year 40% ˜300-600
KMU-
Innovativ
30% 4-6 month 30% ˜500
EU-H2020 10% ¾ year 20-25% ˜300-600
BMWi 15-20% ¾-1 year 25% ˜300-600
ZIM 50% 3 month 100 % ˜190
DFG 30% 6-9 month 40% ˜200
www.ihp-microelectronics.com © 2014 - All rights reserved
Research/Development
November 8, 2016 8
Research Strength
Development Strength
DFG; ERC (EU)
BMWi; ZIM
BMBF- Research
H2020
New methods
New understanding
High research reputation
Research Organizations
New technologies
New products
High potential for Start-Ups
Companies
KMU-Innovativ
BMBF
www.ihp-microelectronics.com © 2014 - All rights reserved
The „effective“ value of funding
November 8, 2016 9
• As company you are not funded by 100% but only according EU-rules max. 70% (SME)
[more realistically 50-60% for SME and 40-50% for other companies]
• Thus: You have to put additional resources into the project to fulfill your contribution
• Thus: The project goals (and your dedicated contribution) should match your innovation
strategy (or even short term development goals) to maximize the effective funding
contribution
Development Goal 1
DevelopmentGoal2
Current State
Your Target
Target of Research
Proposal
www.ihp-microelectronics.com © 2014 - All rights reserved
BMBF-Projects 1/6
November 8, 2016 10
• The nature of the projects are normally “applied research” or “KMU-Innovativ”
• The consortia are dominated by industry-Partners (> 50% of funding)
• The project size is medium to large (3 Mio€-15 Mio€)
• Example from own ZDKI projects:
• ParSec: 11 Mio€ project cost; 5,8 Mio€ funding (11 partner, 3 universities, 1 research institute)
• DEAL: 5 Mio€ project cost; 2,9 Mio funding (5 partners, 1 university, 1 research institute)
• Few projects are beyond 20 Mio€
• A university/research institution can get between 1-2 FTE as partner (it can be 3-4 as coordinator
• A company can gets 1-4 FTE
• You have to distinguish between project funding and project cost
• Project cost: How much does the project activities cost each partner
• Project funding: How much support is granted by BMBF to each partner
• University, Research Institutes: 100 % funding ( of the eligible additional cost +20% (10%) overhead)
• Industry: 50% funding (full cost)
• SME (KMU): 60% (70%) funding (full cost)
• Careful: your own maximal funding is calculated according to your solvency
• 100% can be less (money) than 50%!!!
• IHP overhead is 180%:
• 50% Full cost funding: 280%/2=140% of direct cost which is greater than 100% (direct cost)+10% (overhead)
• BTU overhead is 80%:
• 50% Full cost funding: 180%/2=90% of direct cost is smaller than 100%+20%
www.ihp-microelectronics.com © 2014 - All rights reserved
BMBF-Projects 2/6
November 8, 2016 11
• Preparation:
• In preparation of each call BMBF organizes an expert discussion. It is good to be invited to
such expert group discussion since impact on the topics of the call can be exerted.
Important points can be emphasized. (you get part of the game)
• Call for proposals
• The “Call for Proposals” will be published on the BMBF pages
http://www.foerderinfo.bund.de/. You can register there to get the regular Info-letter.
• In general mixed consortia from industry and research are addressed
• The funding agency (Projektträger) offers an opening meeting for each call.
• Members of the preparation team will explain the call issues and the project agency will
explain the administrative regulations
• It is important to participate in this opening session and to prepare 3-4 slides for a
short concept proposal and introduction of yourself, your competences and interests!
• Here is the first opportunity to meet interested parties and to build initial consortia (if
you are “part of the game” you might have already a consortium at this point of time)
• This event is especially important if you are not already well known in the community
www.ihp-microelectronics.com © 2014 - All rights reserved
BMBF-Projects 3/6
November 8, 2016 12
• Proposal procedure
• In general the BMBF calls are executed in 2 proposal phases:
• Short proposal (Skizze)
• Full proposal (Gesamtvorhabensbeschreibung, Einzelvorhabensbeschreibung)
• The first phase is the most important one since it decides the acceptance.
• Only after passing the first phase successfully you are invited to submit the full proposal
• The short proposal has to be written according to a pre-defined outline
• The volume is 15-20 pages (Attention: the upload procedure limits the volume!!)
• The short proposal must describe the “vision” of the consortium with respect to the call.
Moreover, it has to show the “strength of the consortium” to do the proposed work
• In the vison part you are expected to describe big steps!
“Disruptive innovations are more sexy than little innovation steps”
• An initial (convincing) exploitation concept has to be included (especially of industry
partners)
• Not so important is the focus on
• Own preliminary work (in DFG project this is much more important)
• A detailed state of the art analysis (only typical 1-2 pages)
• The financing concept is quite important especially the funding ratio (ratio between the full
cost of the project and the part the funding agency contributes) is <70%
(research partners are 100% (additional cost), KMU (SME) 60% (70) (full cost) Industry 50%
(full cost) funded)
www.ihp-microelectronics.com © 2014 - All rights reserved
BMBF-Projects 4/6
November 8, 2016 13
• Consortium and consortium-arithmetic
• Because of the upper limit of funding-ratio due to EU-regulations it is important to
have not to many 100% research partners.
• The mix between KMU (SME), industry and research should be well balanced.
(In the case of doubt increase the number of KMU partners). The funding should be
below 70% of the total project cost
• As consortium-leader you can well control the consortium structure.
• Be aware that it is easier to invite a partner than to kick him out. Do not invite all
your research friends!!
• Short proposal submission and review procedure
• The short proposals are the basis for the review process. There is no further technical
approval by any reviewer afterwards. (Only in very rare cases)
• The reviewers are advised to judge the proposal according to the goals in the call
• Refer to the call criteria within your proposal explicitly!
• The quality, clearness and consortium strength are the first order criterion
• The review is conducted by members of the initial expert team, BMBF officials and
the funding agency normally 8-10 weeks after the submission deadline
• If your proposal is excepted in this phase the chance to fail in a later stage is minimal
www.ihp-microelectronics.com © 2014 - All rights reserved
BMBF-projects 5/6
November 8, 2016 14
• Second phase: Full proposal
• The consortium leader has to write the overall proposal
(GVB: Gesamtvorhabensbeschreibung)
• Each partner has to write the individual partner proposal
(EVB: Einzelvorhabensbeschreibung)
• Writing the full proposal is more a formal act than writing the initial project sketch
• The rules are more strict and formal than for the short proposal
• The project officer wants to have an project plan that can be monitored by the
agency. It must be plausible, formal correct and in-line with the associated funding
(this has been allocated in the review process; plan (10%-15%) more budget for
cutting )
• The formalities has to be entered into the electronic proposal tool EASY (AZK, AZA)
• If all forms are correctly filled and agreed by the agency the BMBF issues the funding
contract
• The signing of a consortium agreement is mandatory within the first (normally 6)
months of the project
www.ihp-microelectronics.com © 2014 - All rights reserved
BMBF-projects 5/5
November 8, 2016 15
• Example: “Zuverlässigen drahtlosen Kommunikation in der Industrie“
• Call for proposals: Ausschreibungstext.docx
• CfP issued: October 2013
• Short proposals submitted: January 2014
• Reviewer meeting: April 2014
• 28 short proposals were issued,
• 7 (8) projects were accepted,
• approximately 20 Mio€ were granted;
• IHP participated in 2 proposals (ProWiLan, DEAL) and coordinated 1 proposal (ParSec).
All 3 were accepted
• Invitation for full proposal: June 2014
• Full proposals submitted between October 2014 and December 2014
• Start of projects: January, Febrary and May 2015
ParSec short proposal: Parsec-Skizze_Final_geschwärzt.pdf
ParSec Full Proposal (GVB): GVB_ParSec-10.pdf
EVB: EVB_ParSec-IHP-04.pdf
Förderbescheid: Foerderbescheid_ParSec.pdf
www.ihp-microelectronics.com © 2014 - All rights reserved
Zusammenfassung
November 8, 2016 16
• According to the research agency each proposal has to use a different stile
• Use the full process of a call to optimize your impact, your contribution and your
consortium
• Help the reviewers to write their reviews by using clear formulations and references to
the call
• Big steps are more attractive than small steps: “Advertise your proposal by using
attractive formulations”
• We can support your company in writing successful proposals:
• Support in consortium setup
• Support in writing and formulation of the story
IHP – Innovations for High Performance Microelectronics
Im Technologiepark 25
15236 Frankfurt (Oder)
Germany
www.ihp-microelectronics.com
Phone: +49 (0) 335 5625
Fax: +49 (0) 335 5625
Email:
Thank you for your attention!

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Praktische Erfahrungen zu Bund- und EU-Fördermaßnahmen für industrielle Forschung

  • 1. Praktische Erfahrungen zu Bund- und EU- Fördermaßnahmen für industrielle Forschung Rolf Kraemer Enter Date: 8.11.2016 SIBB Forum Finance, Berlin
  • 2. www.ihp-microelectronics.com © 2014 - All rights reserved Gliederung Enter Date 2 1 Einführung IHP und IHP Programmportfolio 2 Forschungstiefe und Auswirkung auf Antragsstil 3 Mehrstufige Verfahren 4 KMU-Innovativ 5 BMBF-Forschungsprojekte 6 BMWi-Projekte 7 EU-Projekte 8 Zusammenfassung und Unterstützungsangebot
  • 3. www.ihp-microelectronics.com © 2014 - All rights reserved IHP Enter Date 3 • IHP ist ein Forschungsinstitut der Leibniz Gemeinschaft • Erforschung von innovativen elektronischen Systemen insbesondere aus der Kommunikationstechnik • Etwa 300 Mitarbeiter arbeiten in Frankfurt/Oder in den Bereichen: • Drahtlose Systeme • Hochfrequenz Schaltungstechnik • SiGe-BiCMOS Technologieentwicklung und Fertigung • Neue Materialien für zukünftige Technologien • Das IHP hat weltweit die schnellsten Si-Transistoren • Wir erreichen Schaltfrequenzen fmax >700 GHz und Transitfrequenzen fT > 500 GHz (IBM: fmax < 400 GHz fT < 300 Ghz) • Derzeit laufen beim IHP mehr als 90 Förderprojekte mit einem jährlichen Fördervolume von etwa 15 Mio€ 48% 5% 7% 5% 0% 35% 1% 0% 20% 40% 60% 80% 100% Bund EU / FP7 EU / Horizon2020 DFG Land / ESF Industrie sonst. Finanzierung
  • 4. www.ihp-microelectronics.com © 2014 - All rights reserved Running projects in department “Wireless Systems” (34, 9 DFG, 9 BMBF, 10 EU, 1 WGL, 4 IHP) November 8, 2016 4
  • 5. www.ihp-microelectronics.com © 2014 - All rights reserved Proposed Projects of „Wireless Systems“ department November 8, 2016 5 • As you see the diagram is of 12.10! In the meantime we submitted 6 further project proposals. 4 H2020 projects have been submitted today (17:00 o‘clock)
  • 6. www.ihp-microelectronics.com © 2014 - All rights reserved Projekt Granting Probability November 8, 2016 7 Project Type Acceptance rate (Mean Value) call to start duration IHP Funding k€ BMBF 20% 1 year 40% ˜300-600 KMU- Innovativ 30% 4-6 month 30% ˜500 EU-H2020 10% ¾ year 20-25% ˜300-600 BMWi 15-20% ¾-1 year 25% ˜300-600 ZIM 50% 3 month 100 % ˜190 DFG 30% 6-9 month 40% ˜200
  • 7. www.ihp-microelectronics.com © 2014 - All rights reserved Research/Development November 8, 2016 8 Research Strength Development Strength DFG; ERC (EU) BMWi; ZIM BMBF- Research H2020 New methods New understanding High research reputation Research Organizations New technologies New products High potential for Start-Ups Companies KMU-Innovativ BMBF
  • 8. www.ihp-microelectronics.com © 2014 - All rights reserved The „effective“ value of funding November 8, 2016 9 • As company you are not funded by 100% but only according EU-rules max. 70% (SME) [more realistically 50-60% for SME and 40-50% for other companies] • Thus: You have to put additional resources into the project to fulfill your contribution • Thus: The project goals (and your dedicated contribution) should match your innovation strategy (or even short term development goals) to maximize the effective funding contribution Development Goal 1 DevelopmentGoal2 Current State Your Target Target of Research Proposal
  • 9. www.ihp-microelectronics.com © 2014 - All rights reserved BMBF-Projects 1/6 November 8, 2016 10 • The nature of the projects are normally “applied research” or “KMU-Innovativ” • The consortia are dominated by industry-Partners (> 50% of funding) • The project size is medium to large (3 Mio€-15 Mio€) • Example from own ZDKI projects: • ParSec: 11 Mio€ project cost; 5,8 Mio€ funding (11 partner, 3 universities, 1 research institute) • DEAL: 5 Mio€ project cost; 2,9 Mio funding (5 partners, 1 university, 1 research institute) • Few projects are beyond 20 Mio€ • A university/research institution can get between 1-2 FTE as partner (it can be 3-4 as coordinator • A company can gets 1-4 FTE • You have to distinguish between project funding and project cost • Project cost: How much does the project activities cost each partner • Project funding: How much support is granted by BMBF to each partner • University, Research Institutes: 100 % funding ( of the eligible additional cost +20% (10%) overhead) • Industry: 50% funding (full cost) • SME (KMU): 60% (70%) funding (full cost) • Careful: your own maximal funding is calculated according to your solvency • 100% can be less (money) than 50%!!! • IHP overhead is 180%: • 50% Full cost funding: 280%/2=140% of direct cost which is greater than 100% (direct cost)+10% (overhead) • BTU overhead is 80%: • 50% Full cost funding: 180%/2=90% of direct cost is smaller than 100%+20%
  • 10. www.ihp-microelectronics.com © 2014 - All rights reserved BMBF-Projects 2/6 November 8, 2016 11 • Preparation: • In preparation of each call BMBF organizes an expert discussion. It is good to be invited to such expert group discussion since impact on the topics of the call can be exerted. Important points can be emphasized. (you get part of the game) • Call for proposals • The “Call for Proposals” will be published on the BMBF pages http://www.foerderinfo.bund.de/. You can register there to get the regular Info-letter. • In general mixed consortia from industry and research are addressed • The funding agency (Projektträger) offers an opening meeting for each call. • Members of the preparation team will explain the call issues and the project agency will explain the administrative regulations • It is important to participate in this opening session and to prepare 3-4 slides for a short concept proposal and introduction of yourself, your competences and interests! • Here is the first opportunity to meet interested parties and to build initial consortia (if you are “part of the game” you might have already a consortium at this point of time) • This event is especially important if you are not already well known in the community
  • 11. www.ihp-microelectronics.com © 2014 - All rights reserved BMBF-Projects 3/6 November 8, 2016 12 • Proposal procedure • In general the BMBF calls are executed in 2 proposal phases: • Short proposal (Skizze) • Full proposal (Gesamtvorhabensbeschreibung, Einzelvorhabensbeschreibung) • The first phase is the most important one since it decides the acceptance. • Only after passing the first phase successfully you are invited to submit the full proposal • The short proposal has to be written according to a pre-defined outline • The volume is 15-20 pages (Attention: the upload procedure limits the volume!!) • The short proposal must describe the “vision” of the consortium with respect to the call. Moreover, it has to show the “strength of the consortium” to do the proposed work • In the vison part you are expected to describe big steps! “Disruptive innovations are more sexy than little innovation steps” • An initial (convincing) exploitation concept has to be included (especially of industry partners) • Not so important is the focus on • Own preliminary work (in DFG project this is much more important) • A detailed state of the art analysis (only typical 1-2 pages) • The financing concept is quite important especially the funding ratio (ratio between the full cost of the project and the part the funding agency contributes) is <70% (research partners are 100% (additional cost), KMU (SME) 60% (70) (full cost) Industry 50% (full cost) funded)
  • 12. www.ihp-microelectronics.com © 2014 - All rights reserved BMBF-Projects 4/6 November 8, 2016 13 • Consortium and consortium-arithmetic • Because of the upper limit of funding-ratio due to EU-regulations it is important to have not to many 100% research partners. • The mix between KMU (SME), industry and research should be well balanced. (In the case of doubt increase the number of KMU partners). The funding should be below 70% of the total project cost • As consortium-leader you can well control the consortium structure. • Be aware that it is easier to invite a partner than to kick him out. Do not invite all your research friends!! • Short proposal submission and review procedure • The short proposals are the basis for the review process. There is no further technical approval by any reviewer afterwards. (Only in very rare cases) • The reviewers are advised to judge the proposal according to the goals in the call • Refer to the call criteria within your proposal explicitly! • The quality, clearness and consortium strength are the first order criterion • The review is conducted by members of the initial expert team, BMBF officials and the funding agency normally 8-10 weeks after the submission deadline • If your proposal is excepted in this phase the chance to fail in a later stage is minimal
  • 13. www.ihp-microelectronics.com © 2014 - All rights reserved BMBF-projects 5/6 November 8, 2016 14 • Second phase: Full proposal • The consortium leader has to write the overall proposal (GVB: Gesamtvorhabensbeschreibung) • Each partner has to write the individual partner proposal (EVB: Einzelvorhabensbeschreibung) • Writing the full proposal is more a formal act than writing the initial project sketch • The rules are more strict and formal than for the short proposal • The project officer wants to have an project plan that can be monitored by the agency. It must be plausible, formal correct and in-line with the associated funding (this has been allocated in the review process; plan (10%-15%) more budget for cutting ) • The formalities has to be entered into the electronic proposal tool EASY (AZK, AZA) • If all forms are correctly filled and agreed by the agency the BMBF issues the funding contract • The signing of a consortium agreement is mandatory within the first (normally 6) months of the project
  • 14. www.ihp-microelectronics.com © 2014 - All rights reserved BMBF-projects 5/5 November 8, 2016 15 • Example: “Zuverlässigen drahtlosen Kommunikation in der Industrie“ • Call for proposals: Ausschreibungstext.docx • CfP issued: October 2013 • Short proposals submitted: January 2014 • Reviewer meeting: April 2014 • 28 short proposals were issued, • 7 (8) projects were accepted, • approximately 20 Mio€ were granted; • IHP participated in 2 proposals (ProWiLan, DEAL) and coordinated 1 proposal (ParSec). All 3 were accepted • Invitation for full proposal: June 2014 • Full proposals submitted between October 2014 and December 2014 • Start of projects: January, Febrary and May 2015 ParSec short proposal: Parsec-Skizze_Final_geschwärzt.pdf ParSec Full Proposal (GVB): GVB_ParSec-10.pdf EVB: EVB_ParSec-IHP-04.pdf Förderbescheid: Foerderbescheid_ParSec.pdf
  • 15. www.ihp-microelectronics.com © 2014 - All rights reserved Zusammenfassung November 8, 2016 16 • According to the research agency each proposal has to use a different stile • Use the full process of a call to optimize your impact, your contribution and your consortium • Help the reviewers to write their reviews by using clear formulations and references to the call • Big steps are more attractive than small steps: “Advertise your proposal by using attractive formulations” • We can support your company in writing successful proposals: • Support in consortium setup • Support in writing and formulation of the story
  • 16. IHP – Innovations for High Performance Microelectronics Im Technologiepark 25 15236 Frankfurt (Oder) Germany www.ihp-microelectronics.com Phone: +49 (0) 335 5625 Fax: +49 (0) 335 5625 Email: Thank you for your attention!