Fundamentals of project planning and proposal preparation Dr. Ákos Kukovecz University of Szeged Department of Applied and Environmental Chemistry.

Fundamentals of project planning and Fundamentals of project planning and proposal preparationproposal preparation

Dr. Ákos KukoveczDr. Ákos Kukovecz

University of SzegedUniversity of Szeged

Department of Applied and Environmental ChemistryDepartment of Applied and Environmental Chemistry

OutlineOutline

• Difference between project and proposalDifference between project and proposal

• Preparations for a new projectPreparations for a new project

– Identify the topic: what do WE (=person, company, group etc) need?Identify the topic: what do WE (=person, company, group etc) need?

– What are the best available solutions? („state of the art”)?What are the best available solutions? („state of the art”)?

– Where shall we get money (funds) for the realization of the project? (own funds / Where shall we get money (funds) for the realization of the project? (own funds / funding with the help of a proposal)funding with the help of a proposal)

• Project planning aidsProject planning aids

• Fundamentals of financial planningFundamentals of financial planning

• What makes a winning proposal besides a good workplan:What makes a winning proposal besides a good workplan:

– Why should they support us and not someone else? Demonstrate your abilities!Why should they support us and not someone else? Demonstrate your abilities!

– What will be the benefits for the funding body if they support us? Matching What will be the benefits for the funding body if they support us? Matching between our project and their strategic goalsbetween our project and their strategic goals

– What guarantees that money spent on us is not wasted? Project management What guarantees that money spent on us is not wasted? Project management planning, risk assessment, exploitation, dissemination..planning, risk assessment, exploitation, dissemination..

– Importance of formalities: you MUST stick to the proposal call guidelines, no Importance of formalities: you MUST stick to the proposal call guidelines, no deviations are allowed! Are we eligible for support at all? Do we have all the deviations are allowed! Are we eligible for support at all? Do we have all the signatures, authorization, permissions? Did we respect proposal length criteria? signatures, authorization, permissions? Did we respect proposal length criteria? Can we meet the submission deadline?Can we meet the submission deadline?

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Difference between project and proposalDifference between project and proposal

• Project:Project:

– A planned series of actions undertaken in our own organization,A planned series of actions undertaken in our own organization,

– Has well-defined goals / objectives that should be met in a finite amount of Has well-defined goals / objectives that should be met in a finite amount of timetime

– Assigns certain resources (human and material) to help in reaching these Assigns certain resources (human and material) to help in reaching these goals.goals.

• Projects consist of carefully designed series of activities. They have a general life cycle:

– Project planningProject planning

– Project implementationProject implementation

– Project assessment (+ exploitation and dissemination of results)Project assessment (+ exploitation and dissemination of results)

• Proposal is a document prepared with a very specific goal: to get resources (usually: financial) that will enable us to realize the project..

– Proposal contains the project planning. Proposal contains the project planning.

– FIRST plan the project, THEN prepare proposal! Reverse order is a mistake!FIRST plan the project, THEN prepare proposal! Reverse order is a mistake!

Projects are supported by proposals. Project should never be created solely Projects are supported by proposals. Project should never be created solely because there is a possibility for proposal submission!because there is a possibility for proposal submission!

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OutlineOutline













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Identify the topic of your projectIdentify the topic of your project

• It is MORE DIFFICULT to implement a project than to do nothing! Planning, It is MORE DIFFICULT to implement a project than to do nothing! Planning, contracts, realization, audits, conflicts of interest etc.contracts, realization, audits, conflicts of interest etc.

• Start a project if you can gain more by its implementation than the invested Start a project if you can gain more by its implementation than the invested time/effort/money etc.time/effort/money etc.

• Fundamental question: what do we need? New instrument? Organize a Fundamental question: what do we need? New instrument? Organize a conference? Start new research field? Increase workforce in the lab? Find new conference? Start new research field? Increase workforce in the lab? Find new markets? Modernize our process technology? …markets? Modernize our process technology? …

• What if you feel that you need improvement but can not exactly identify the field What if you feel that you need improvement but can not exactly identify the field where you should put the project effort?where you should put the project effort?

– Flowchart overview of your research methodology, company, processing Flowchart overview of your research methodology, company, processing technology etc. is very useful.technology etc. is very useful.

– Pareto analysisPareto analysis

– BrainstormingBrainstorming

– Ishikawa diagramIshikawa diagram

– Radar diagramRadar diagram

– SWOT analysisSWOT analysis

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FlowchartFlowchart

StepsSteps

1.1. Identify process starting and ending points. Break long processes into Identify process starting and ending points. Break long processes into several subprocesses.several subprocesses.

2. Describe each process as a series of very simple, basic steps and decisions.2. Describe each process as a series of very simple, basic steps and decisions.

3. Use standard symbols to mark tasks.3. Use standard symbols to mark tasks.

Rules for flowchart preparationRules for flowchart preparation

1. Flowcharts should be compiled by the colleagues who are actually doing the 1. Flowcharts should be compiled by the colleagues who are actually doing the analyized work.analyized work.

2. Make it possible for everyone to get involved.2. Make it possible for everyone to get involved.

3. Allow enough time for flowchart revision, free thinking, criticism etc.3. Allow enough time for flowchart revision, free thinking, criticism etc.

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Flowchart exampleFlowchart example

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Pizzeria flowchartPizzeria flowchart

Open shopOpen shop Take orderTake order

Prepare pizzaPrepare pizza

DeliverDeliver

Close shopClose shop

Has Has cash?cash?

End of End of working hours?working hours?

yesyes

yesyes

nono

nono

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Pareto analysisPareto analysis

Goal:Goal: select the really important factors from a large set of potential issues. select the really important factors from a large set of potential issues.

Base:Base: 80-20 rule. 80 % of all problems (effects) are caused by only 20 % of all possible causes 80-20 rule. 80 % of all problems (effects) are caused by only 20 % of all possible causes

Works:Works: on existing technogies (software, experiment, process plant, group of people) where a large on existing technogies (software, experiment, process plant, group of people) where a large amount of data is availableamount of data is available

Method:Method: chart % distribution of problem occurances as a function of causes chart % distribution of problem occurances as a function of causes

Example:Example: Purchase department Purchase department wasted too much time on asking for wasted too much time on asking for corrections of order forms filled by corrections of order forms filled by plant foremen. They collected data plant foremen. They collected data on the reasons for 1 month:on the reasons for 1 month:

The most common error was that The most common error was that required information was missing. required information was missing. A new Pareto study focused on this A new Pareto study focused on this issue revealed that the order forms issue revealed that the order forms are too complex. They simplified the are too complex. They simplified the forms and this has spread up order forms and this has spread up order times.times.

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Improve pizzeria efficiency using Pareto analysisImprove pizzeria efficiency using Pareto analysis

DataData: number of pizza slices in each order on Thursday evening:: number of pizza slices in each order on Thursday evening:

0 2 1 2 2 4 1 3 1 2 1 2 2 4 3 4 1 4 3 2 2 3 2 1 2 2 1 2 2 1 4 2 2 1 2 1 2 2 1 2 1 2 1 2 0 2 1 2 2 4 1 3 1 2 1 2 2 4 3 4 1 4 3 2 2 3 2 1 2 2 1 2 2 1 4 2 2 1 2 1 2 2 1 2 1 2 1 2 1 2 1 2 1 2 2 2 1 2 1 2 1 1 2 2 2 3 1 4 2 2 3 2 2 2 1 2 3 2 2 4 2 2 4 4 1 2 2 2 3 2 2 1 1 2 1 2 1 2 2 2 1 2 1 2 1 1 2 2 2 3 1 4 2 2 3 2 2 2 1 2 3 2 2 4 2 2 4 4 1 2 2 2 3 2 2 1 2 2 4 2 1 2 4 2 1 7 2 1 2 2 3 1 2 1 1 2 1 2 2 2 1 2 2 1 2 1 2 2 2 4 2 42 2 4 2 1 2 4 2 1 7 2 1 2 2 3 1 2 1 1 2 1 2 2 2 1 2 2 1 2 1 2 2 2 4 2 4

ProblemProblem: on busy evenings some orders took unacceptably long time to : on busy evenings some orders took unacceptably long time to complete. To avoid this, they started making pizzas in advance. This complete. To avoid this, they started making pizzas in advance. This improved speed but also increased waste and reduced profit.improved speed but also increased waste and reduced profit.

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0

10

20

30

40

50

60

70

1 2 3 4 5 6 7

Number of slices in an orderNumber of slices in an order

Nu

mb

er

of o

rde

rsN

um

be

r o f

ord

ers

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Open shopOpen shop Take orderTake order

Prepare pizzaPrepare pizza

DeliverDeliver

Close shopClose shop

Has Has cash?cash?

End of End of working hours?working hours?

yesyes

yesyes

nono

nono

2 more slices2 more slices available? available?

Refill ovenRefill oven

yesyes

nono

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Ishikawa (fishbone) diagram and brainstormingIshikawa (fishbone) diagram and brainstorming

• Useful for uncovering the causes of a problem (phenomenon)Useful for uncovering the causes of a problem (phenomenon)

• No quantifications! Lists all possible causes but not their probabilities.No quantifications! Lists all possible causes but not their probabilities.

Ishikawa diagram preparation is easier when Ishikawa diagram preparation is easier when (brainstorming):(brainstorming):

• Objective is to collect to largest possible amount of ideas in a given topic so that Objective is to collect to largest possible amount of ideas in a given topic so that new, alternative solutions can emerge.new, alternative solutions can emerge.

• One of the most frequently utilized creative aids.One of the most frequently utilized creative aids.

• Simple method. A brainstorming group can collect lots of ideas in a short time Simple method. A brainstorming group can collect lots of ideas in a short time without interfering with the concerned process itselfwithout interfering with the concerned process itself

• Possible disadvantages: participants may be frustrated by the status, prestige, Possible disadvantages: participants may be frustrated by the status, prestige, behavior and moral judgements (even nonverbal) of the others.behavior and moral judgements (even nonverbal) of the others.

Brainstorming sessions MUST be free of criticism and evaluation!Brainstorming sessions MUST be free of criticism and evaluation!

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How to prepare an Ishikawa diagram?How to prepare an Ishikawa diagram?

1.1. Identify the problem and write it to the right (head of the fish).Identify the problem and write it to the right (head of the fish).

2.2. Brainstorm on the major potential causes. Arrange them around a horizontal line Brainstorm on the major potential causes. Arrange them around a horizontal line (backbone of the fish) and draw the first lines (big bones).(backbone of the fish) and draw the first lines (big bones).When in lack of ideas, use the general categories:When in lack of ideas, use the general categories:

Method Manpower Material Metrics Environment EquippmentMethod Manpower Material Metrics Environment Equippment

33.. Brainstorm on each major cause. Ask yourself: „How could this happen?” Write Brainstorm on each major cause. Ask yourself: „How could this happen?” Write answers as smaller bones connecting to the corresponding major bone. Repeat.answers as smaller bones connecting to the corresponding major bone. Repeat.

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Ishikawa real life example: paediatric nutrition errorIshikawa real life example: paediatric nutrition error

Bonnabry P et al. Qual Saf Health Care 2005;14:93-98Bonnabry P et al. Qual Saf Health Care 2005;14:93-98 15/10

Radar (spider web) diagramRadar (spider web) diagram

• Comparison of small and middle sized multivariate datasetsComparison of small and middle sized multivariate datasets

• Very useful when you must compare products/processes on the basis of very Very useful when you must compare products/processes on the basis of very differing variablesdiffering variables

• Useful for revealing deviations of the actual state from the desired/planned Useful for revealing deviations of the actual state from the desired/planned statues, and identifying weak pointsstatues, and identifying weak points

• Drawback: does not assist simple „better / worse” type decisionsDrawback: does not assist simple „better / worse” type decisions

Uniform, strong performanceUniform, strong performance One weakness One weakness

Several weaknessesSeveral weaknesses Uniform, bad performanceUniform, bad performance

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Spiderweb Spiderweb diagram diagram example: example: health care health care system system comparisoncomparison

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SWOT analysisSWOT analysis

• SWOT = Strengths, Weaknesses, Opportunities, ThreatsSWOT = Strengths, Weaknesses, Opportunities, Threats

• Situation analysis tool, not for direct problem solving.Situation analysis tool, not for direct problem solving.

• Very useful for project planning. MUST HAVE in a good proposal!Very useful for project planning. MUST HAVE in a good proposal!

• Short, compact, interesting. Summary of the detailed information gathered Short, compact, interesting. Summary of the detailed information gathered previously.previously.

STRENGTHS:Positive factors under

our control

WEAKNESSES:Negative factors under

our control

OPPORTUNITIES:Beneficial factors not under our control. Our

strengths can be exploited because of

them.

THREATS:Negative factors from

outside that we can not control. May reduce

chance of success and increase risks.

OuterOuter

NegativeNegative

InnerInner

PositivePositive18/10

SWOT real-life example: carbon nanotube based SWOT real-life example: carbon nanotube based chip cooling FP7 projectchip cooling FP7 project

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SWOT based strategical planningSWOT based strategical planning

• Our organization (research group, person etc) can always choose from various Our organization (research group, person etc) can always choose from various possible strategiespossible strategies

• Valid project goal: development, investment, research etc. required by the most Valid project goal: development, investment, research etc. required by the most important/beneficial strategy.important/beneficial strategy.

• It is very easy to demonstrate why your project is necessary if your proposal It is very easy to demonstrate why your project is necessary if your proposal contains a good SWOT analysis.contains a good SWOT analysis.

S-O strategy:Exploit our opportinities based on our strenghts.

W-O strategy:Get rid of our

weaknesses by using our strengths.

S-T strategy:Protection from threats

by relying on our strengths

W-T strategy:Protect our organization from threats that target

our weaknesses.

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State of the art: the best available solutionState of the art: the best available solution

• New ideas always have their roots in existing ones. Previous solutions, existing New ideas always have their roots in existing ones. Previous solutions, existing products, existing but not yet satisfied needs, industrial or scientific trends etc.products, existing but not yet satisfied needs, industrial or scientific trends etc.

• Don’t reinvent hot water! If there is a working solution that suits your needs than it Don’t reinvent hot water! If there is a working solution that suits your needs than it is unnecessary to do research.is unnecessary to do research.

• HOWEVER: adapting the existing solution to our local conditions, introducing it into HOWEVER: adapting the existing solution to our local conditions, introducing it into our technology, introducing a product or technology into our own country etc. Are our technology, introducing a product or technology into our own country etc. Are all valid project goals.all valid project goals.

• Your proposal (project) will be reviewed by experts who know the literature, the Your proposal (project) will be reviewed by experts who know the literature, the technology and the market. If you can’t demonstrate them that YOU also know the technology and the market. If you can’t demonstrate them that YOU also know the field, it will be difficult to convince them that your project would be any good….field, it will be difficult to convince them that your project would be any good….

• How to get on overview of the state of the art?How to get on overview of the state of the art?

– Ideally, you should really know your field of course….Ideally, you should really know your field of course….

– Use Google! Search for existing technologies and products, market analysis Use Google! Search for existing technologies and products, market analysis reports, consumer surveys.reports, consumer surveys.

– Consult others: instrument manufacturers, solution providers, etc.Consult others: instrument manufacturers, solution providers, etc.

– Scientific literature: e.g. ISI Web of ScienceScientific literature: e.g. ISI Web of Science

– Patent literature: Patent literature: http://www.freepatentsonline.com/

– Search the project databases of funding agencies Search the project databases of funding agencies http://cordis.europa.eu/ 21/10

Characteristics of a good „state of the art” introCharacteristics of a good „state of the art” intro

Good state of the art (SotA) introduction:Good state of the art (SotA) introduction:

• Does not get lost in detailsDoes not get lost in details

• Non-chronological! Refers to the origin of the field and discusses current situationNon-chronological! Refers to the origin of the field and discusses current situation

• Uses visual aids (figures, Uses visual aids (figures,

• Uses data sources, cites data, gives credit to referencesUses data sources, cites data, gives credit to references

• Does not focus on the own results of the applicant. However, significant personal Does not focus on the own results of the applicant. However, significant personal accomplishments in the field should be mentioned.accomplishments in the field should be mentioned.

• Gives a correct introduction to all available solutions including those that rival the Gives a correct introduction to all available solutions including those that rival the project. Why doing so, it directs attention to the market gap/missing project. Why doing so, it directs attention to the market gap/missing knowledge/develoment opportunity that our project aims at.knowledge/develoment opportunity that our project aims at.

Objectives and „progress beyond the state of the art”:Objectives and „progress beyond the state of the art”:

• Clearly defines the goals we want to achieve by the projectClearly defines the goals we want to achieve by the project

• What do we want to accomplish? What results do we expect and on what What do we want to accomplish? What results do we expect and on what timescale?timescale?

• Uses quantitative indicators wherever possible. E.g. „…a chip 40% smaller than Uses quantitative indicators wherever possible. E.g. „…a chip 40% smaller than previous ones”, or „GC detection limit decrease by 2 orders of magniture”previous ones”, or „GC detection limit decrease by 2 orders of magniture”

• Makes it clear why WE will succeed where other have not. What is the extra Makes it clear why WE will succeed where other have not. What is the extra knowledge/novel idea/cooperation opportinuty that we can input to the SotA?knowledge/novel idea/cooperation opportinuty that we can input to the SotA? 22/10

Where shall we get money for the project?Where shall we get money for the project?

100% self-financed project:100% self-financed project:

• Nem függünk a pályázat sikerességétől, a támogatási szerződéstől, nincsenek Nem függünk a pályázat sikerességétől, a támogatási szerződéstől, nincsenek extra törvényi kötelezettségeink (pl. közbeszerzés, fenntartás, disszeminációs extra törvényi kötelezettségeink (pl. közbeszerzés, fenntartás, disszeminációs kényszer stb).kényszer stb).

• Does not depend on proposal success or support contracts. No extra obligations Does not depend on proposal success or support contracts. No extra obligations (e.g. public tenders, dissemination requirements, project upkeep phase etc)(e.g. public tenders, dissemination requirements, project upkeep phase etc)

• Allows faster response to new challengesAllows faster response to new challenges

• HOWEVER, you still need to plan the project! Scheduling, work planning, cash-HOWEVER, you still need to plan the project! Scheduling, work planning, cash-flow, risk analysis etc. are all mandatory for your own sake.flow, risk analysis etc. are all mandatory for your own sake.

Funded project:Funded project:

• Funding intensity is seldom 100%. You will still need some funds of your own!Funding intensity is seldom 100%. You will still need some funds of your own!

• Opens up huge possibilities that are out of your self-financing reachOpens up huge possibilities that are out of your self-financing reach

• Huge administrative load, long upkeep phase after funding is stopped, more Huge administrative load, long upkeep phase after funding is stopped, more possibilities for error. You may have to pay back the support and thus go possibilities for error. You may have to pay back the support and thus go bankrupt bankrupt

• Funding agencies: university, foundations, municipalities, goverment bodies, Funding agencies: university, foundations, municipalities, goverment bodies, national scientific or R&D funds, Academy of Sciences, European Union etc.national scientific or R&D funds, Academy of Sciences, European Union etc.

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OutlineOutline













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Fundamentals of project planningFundamentals of project planning

ProjectProject

WorkplanWorkplan Financial planFinancial plan

Management structureManagement structureRisk analysisRisk analysis

Exploitation planExploitation plan PublicityPublicity

Formal requirementsFormal requirements

Mandatory for Mandatory for proposalsproposals

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Tools used for project work planningTools used for project work planning

• Problem tree, objective tree, logical framework matrixProblem tree, objective tree, logical framework matrix

• Identify project start and endpointIdentify project start and endpoint

• Distribute project work between large logical units (work packages) and Distribute project work between large logical units (work packages) and distribute actual to-do’s within work packages into tasksdistribute actual to-do’s within work packages into tasks

• Project planning overview: Pert diagramProject planning overview: Pert diagram

• Project scheduling overview: Gantt diagramProject scheduling overview: Gantt diagram

• Identify internal progress monitoring tools: products (deliverables) and decision Identify internal progress monitoring tools: products (deliverables) and decision points (milestones)points (milestones)

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• Identifying key Identifying key problems, constraints problems, constraints opportunities; opportunities;

• Determining Determining cause/effect cause/effect relationshipsrelationships

• Constructing the Constructing the problem treeproblem tree

Problem analysisProblem analysis

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Objective analysisObjective analysis

• Developing solutions fromDeveloping solutions from the identified problem the identified problem

• Identifying meansIdentifying means to end effect relationship to end effect relationship

• Building the objective treeBuilding the objective tree

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Objectivly veriable

indicators

Sources of Verification

Assumptions

Overall Objectives

Purpose

Results

Activities Means Cost

PRE CONDITION

Logframe matrixLogframe matrix

29

Logframe matrixLogframe matrix

Objektíven igazolhatóeredményességi

mutatóProjekt leírásEllenőrzés forrásai

és eszközeiFeltételezések

ÁLTALÁNOS CÉLOK(overall objectives)

HATÁS INDIKÁTOROK(impact indicators)

PROJEKT CÉLJA(project purpose)

CÉL INDIKÁTOROK(result indicators)

VÁRT EREDMÉNYEK(Expected results

v. output)

EREDMÉNY INDIKÁTOROK

(output indicators)

TEVÉKENYSÉGEK(Activities)

ESZKÖZÖK(means v. inputs)

ELŐFELTÉTELEK

Means of Means of verificationverification

Quantitative Quantitative result indicatorresult indicatorDescriptionDescription Assumptions: Assumptions:

out of our controlout of our control

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Logframe strategy levels (first column)Logframe strategy levels (first column)

What do you want to achieve in your project?What do you want to achieve in your project?

High level general objectives linking your project to the High level general objectives linking your project to the strategic goals of the funding agency.strategic goals of the funding agency.

The goal that you want to achieve by the end of the project.The goal that you want to achieve by the end of the project.

Results of the project: direct, measureableResults of the project: direct, measureable

Activities you will do in your project.Activities you will do in your project.

ÁTFOGÓ CÉLOKÁTFOGÓ CÉLOK(overall (overall objectivesobjectives))

PROJEKT CÉLJAPROJEKT CÉLJA(project (project purposepurpose))

VÁRT EREDMÉNYEKVÁRT EREDMÉNYEK((Expected results Expected results

v. output)v. output)

TEVÉKENYSÉGEKTEVÉKENYSÉGEK((ActivitiesActivities))

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Logframe result indicators (2nd column)Logframe result indicators (2nd column)

Choose SMART indicatorsChoose SMART indicators

SSpecificpecific KonkrétKonkrét

MMeasurableeasurable MérhetőMérhető

AAchievablechievable Elérhető, rendelkezésre állElérhető, rendelkezésre áll

RRealisticealistic ReálisReális

TTime-basedime-based Időhöz kötöttIdőhöz kötött

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Sources of verification (3rd column)Sources of verification (3rd column)

• Enter activity cost estimation here (bottom row)Enter activity cost estimation here (bottom row)

• Plan the means of verification (reports, audits, etc.)Plan the means of verification (reports, audits, etc.)

• Verified results confirm that the corresponding assumption holds and that the Verified results confirm that the corresponding assumption holds and that the project contributes to overall objectives as plannedproject contributes to overall objectives as planned

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Assumptions in the logframe (4th column)Assumptions in the logframe (4th column)

Important requisite?

How likely is that the assumption will hold?

Leave out

Improbable

Probable

Leave out

Exercise caution

Can we change the project?

Add instruments that can influence this assumption

and increase its probabilityKiller. Stop project planning!

yes no

yes no

Sure

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Logframe matrix design orderLogframe matrix design order

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How to read a logframe matrix?How to read a logframe matrix?

Projekt leírásProjekt leírás

Objektíven Objektíven igazolhatóigazolható

eredményességi eredményességi mutatómutató

Ellenőrzés forrásai Ellenőrzés forrásai és eszközeiés eszközei

FeltételezésekFeltételezések

ÁTFOGÓ CÉLOKÁTFOGÓ CÉLOK(overall objectives)(overall objectives)

PROJEKT CÉLJAPROJEKT CÉLJA(project purpose)(project purpose)

VÁRT EREDMÉNYEKVÁRT EREDMÉNYEK(Expected results (Expected results

v. output)v. output)

TEVÉKENYSÉGEKTEVÉKENYSÉGEK(Activities)(Activities)

Pre-requisitesPre-requisites

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Logframe matrix exampleLogframe matrix example

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How to design the actual tasks undertaken in the How to design the actual tasks undertaken in the project?project?

• Divide activities into work packages.• A work package should contains:

• partial goals, indicators, activities, responsible and participating partners, costs, timing• do not forget to plan for internal project activites: meetings, project related communication, report preparation etc.

• Workplan should be both easily understandable and detailed enough. Visual planning aids (tables, time charts, Gantt and Pert diagrams etc) should be used!

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Work packages: the building blocks of the projectWork packages: the building blocks of the project

Work package ##Work package ##

Task 1Task 1

Task 2Task 2

Task 3Task 3

Results of previous WPsResults of previous WPs

Human resourcesHuman resources

Financial resourcesFinancial resources

TimeTime Product(deliverable)Product(deliverable)

reportreport

Material or product Material or product to be passed to to be passed to later WPslater WPs

prototypeprototype

Some WPs include milestones. Do NOT mix up milestones and deliverables!

Milestone: allows the assessment of overall project progress. At a milestone you must decide if the project has made the targeted progress in the given time (e.g. „device should be 60 % ready”) and make a decision that affects forthcoming project implementation: shall we continue the project or stop? Should we work on research direction ‘A’ or ‘B’?

Milestones are very important for proposals, because the funding agency will decide on the continuation/stopping of our funds on the basis of our milestone realization progress.

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Example: details of a work packageExample: details of a work package

Start dateStart date

Participants involvedParticipants involved

Objectives of the WPObjectives of the WP

Detailed description of the Detailed description of the planned work down to the task planned work down to the task level.level.

Outputs of the WP: Outputs of the WP: deliverables and deliverables and milestonesmilestones

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Example: work package overview in a real projectExample: work package overview in a real project

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Relationship between work packages: Relationship between work packages: Pert diagram „light”Pert diagram „light”

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Scheduling of work packages: Gantt diagramScheduling of work packages: Gantt diagram

Project time measured in calendar monthsProject time measured in calendar months

Wo

rkp

ack

age

sW

ork

pa

cka

ges

Gray lines mark the duration of workpackages.Gray lines mark the duration of workpackages.Deliverables (D) and milestones (M) are also marked on the chart.Deliverables (D) and milestones (M) are also marked on the chart.

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PERT methodPERT method

PERT: Program Evaluation and Review TechniquePERT: Program Evaluation and Review Technique

Allows calculation of:Allows calculation of:- earliest possible start of projectearliest possible start of projectlatest possible finish of projectlatest possible finish of project- time reservetime reserve- critical project pathcritical project path

Earliest start Earliest start timetime

Duration Duration Earliest Earliest finish timefinish time

Activity code and identification Activity code and identification

Latest start Latest start timetime

LatestLatestfinish timefinish time

MaximumMaximum time time

reservereserve

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OutlineOutline













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Fundamentals of financial planningFundamentals of financial planning

• Assign adequate resources to each work package and each partner, otherwise the Assign adequate resources to each work package and each partner, otherwise the project can not be implemented.project can not be implemented.

• Resources:Resources:

– HumanHuman

– Stationery (e.g. instruments)Stationery (e.g. instruments)

– Consumables (e.g. chemicals, gases, paper, AFM tip)Consumables (e.g. chemicals, gases, paper, AFM tip)

– Services and other costs: travel, conference registration, post, representationServices and other costs: travel, conference registration, post, representation

• Pay attention to:Pay attention to:

– Overhead costs claimed by the host organization (e.g. university overheadOverhead costs claimed by the host organization (e.g. university overhead

– Eligibility and calculation of taxes (e.g. VAT), bank costs and customs feesEligibility and calculation of taxes (e.g. VAT), bank costs and customs fees

– Rules for personnel costs: allowed contract types, daily allowances, social Rules for personnel costs: allowed contract types, daily allowances, social security payments by the host and by the person etc.security payments by the host and by the person etc.

– Compulsory service fees: audit costs, tendering costs, banking costsCompulsory service fees: audit costs, tendering costs, banking costs

– When purchasing stationery (e.g. new instrument), check if the full cost is eligible When purchasing stationery (e.g. new instrument), check if the full cost is eligible in the project or not? It is possible that the project can only pay depreciation in the project or not? It is possible that the project can only pay depreciation during project lifetime, taking into account the % usage distribution as wellduring project lifetime, taking into account the % usage distribution as well

– What are the eligible costs? Should non-eligible ones be included in the total What are the eligible costs? Should non-eligible ones be included in the total budget? What is the financing intensity for eligible cost types (e.g. R&D 75 %, budget? What is the financing intensity for eligible cost types (e.g. R&D 75 %, demonstration 50 %, management 100 %)demonstration 50 %, management 100 %) 46/10

Human resource planningHuman resource planning

Person month (person day, person hour etc): the amount of work expected in the specified timeframe from a person working full time on the implementation of the project. If you don’t have a detailed project budget, person month planning is a good starting point for estimating the other cost types proportionally and come up with a reasonable project budget. a.

Hungary: 7000-10000 EUR/person month is generally acceptable for EU projects.Personnel cost is the most crucial part of project budgets usually!

Employee Months Monthly payment (HUF)

Monthly employer costs (social security) (27 %)

Total (HUF)

1 postdoc 36 220000 59400 10 058 400

1 administrator, 25 % work time

9 170000 45900 1 943 100

4 students, payment only for the 2 summer months annually

4x2x3=24 60000 16200 1 828 800

13 830 30013 830 300

48293 EUR or 51827 AZN48293 EUR or 51827 AZN

Consider the personnel costs of a very small 3 year research project:Consider the personnel costs of a very small 3 year research project:

47/10

Person month planning aidsPerson month planning aids

Work load diagram based on PERT:Work load diagram based on PERT:

Person month overview table:Person month overview table:

48/10

OutlineOutline













49/10

Proposal impact: what shall WE gain by Proposal impact: what shall WE gain by implementing the project?implementing the project?

• If you can not demonstrate that the project will be beneficial for you, noone will If you can not demonstrate that the project will be beneficial for you, noone will take you seriously! Don’t be shy, identify your expected benefits clearly! take you seriously! Don’t be shy, identify your expected benefits clearly!

• Use aids to support your argument:Use aids to support your argument:

– Demonstrate scientific novelty by literature research, preliminary Demonstrate scientific novelty by literature research, preliminary experiments (fundamental research)experiments (fundamental research)

– Demonstrate feasibility of concept by prototype, pilot study, preliminary Demonstrate feasibility of concept by prototype, pilot study, preliminary experiments (applied R&D)experiments (applied R&D)

– Demonstrate the lack of suitable instrumentation AND the existing Demonstrate the lack of suitable instrumentation AND the existing measurement needs in your region (when applying for new instrument)measurement needs in your region (when applying for new instrument)

– Present return of investment calculations (technological develoment)Present return of investment calculations (technological develoment)

– Present market research and analysis data (new product)Present market research and analysis data (new product)

50/10

Proposal impact: why should they chose US and Proposal impact: why should they chose US and not someone else for funding?not someone else for funding?

• Quality of the host:Quality of the host:

– Research infrastructure (labspace, instrumentation)Research infrastructure (labspace, instrumentation)

– Financial stability (balance sheets)Financial stability (balance sheets)

– Project experience (similar previous projects completed successfully)Project experience (similar previous projects completed successfully)

• In case of consortium proposal (more than one organization in proposal):In case of consortium proposal (more than one organization in proposal):

– Demonstrate complementary competences. Overlapping expertise (e.g. two Demonstrate complementary competences. Overlapping expertise (e.g. two synthesis labs preparing the same chemical) should be avoided. synthesis labs preparing the same chemical) should be avoided. Complementarity should be emphasizedComplementarity should be emphasized

– Demonstrate the presence of the full innovation chain in the project. Fundamental Demonstrate the presence of the full innovation chain in the project. Fundamental resarch institute, applied R&D lab, raw product manufacturer, consumer product resarch institute, applied R&D lab, raw product manufacturer, consumer product manufacturer, end user.manufacturer, end user.

– Geographical location of partners should match the strategic goals of the funding Geographical location of partners should match the strategic goals of the funding agency. Use many countries in EU proposals, use local partners in regional ones. agency. Use many countries in EU proposals, use local partners in regional ones.

• Personal qualities of the participantsPersonal qualities of the participants

– CV, list of publications, previous project experienceCV, list of publications, previous project experience

– Demonstrate why a particular person is specifically suitable for the tasks Demonstrate why a particular person is specifically suitable for the tasks assigned to him in the project (e.g. project leader, exploitation manager etc.)assigned to him in the project (e.g. project leader, exploitation manager etc.)

51/10

Proposal impact: what can THEY gain by supporting Proposal impact: what can THEY gain by supporting us?us?

• All funding bodies have their own strategic goals. They open proposal calls to All funding bodies have their own strategic goals. They open proposal calls to achieve these goals. E.g. research agency = increase knowledge, EU SME = achieve these goals. E.g. research agency = increase knowledge, EU SME = improve R&D in SMEs, government = create jobs, improve environmentimprove R&D in SMEs, government = create jobs, improve environment

• You MUST get acquinted with these strategic goals and demonstrate in the You MUST get acquinted with these strategic goals and demonstrate in the proposal that your project will enable the funder to achieve its goals. Useful proposal that your project will enable the funder to achieve its goals. Useful documents: mission statements, proposal call texts, EU work programsdocuments: mission statements, proposal call texts, EU work programs

• „„Monitoring indicators”: project results in a quantitative way that FITS to the Monitoring indicators”: project results in a quantitative way that FITS to the funder’s own goals.funder’s own goals.

– BAD monitoring indicator: „we functionalize 20 g carbon nanotubes”BAD monitoring indicator: „we functionalize 20 g carbon nanotubes”

– BAD monitoring indicator: „we shall run and document 328 experiments”BAD monitoring indicator: „we shall run and document 328 experiments”

– GOOD monitoring indicator: „create 2 new jobs”, „publish 5 new papers”, GOOD monitoring indicator: „create 2 new jobs”, „publish 5 new papers”, „increase sales from measurement services by 10000 EUR”, „increase the use „increase sales from measurement services by 10000 EUR”, „increase the use of recycled paper in office by 40 %” etc.of recycled paper in office by 40 %” etc.

52/10

Proposal: guarantees for successful project Proposal: guarantees for successful project implementationimplementation

• Project management: hierarchical, one leader, clearly defined responsibiltiesProject management: hierarchical, one leader, clearly defined responsibilties

• In your proposal you should discuss:In your proposal you should discuss:

• Decision making mechanismsDecision making mechanisms

• Methods of continuous internal progress assessmentMethods of continuous internal progress assessment

• Risk analysis and contingency planningRisk analysis and contingency planning

• Conflict resultion planningConflict resultion planning

• Exploitation plans and claims. Intellectual Property Right (IPR) issuesExploitation plans and claims. Intellectual Property Right (IPR) issues

• Dissemination and outreach activitiesDissemination and outreach activities

53/10

Decision making schemesDecision making schemes

Risk analysis and contingency planningRisk analysis and contingency planning

Intellectual Property RightsIntellectual Property Rights

• IPR are very importantIPR are very important

• It usually takes a separate contract (e.g. consortium agreement) to regulate It usually takes a separate contract (e.g. consortium agreement) to regulate themthem

• HOWEVER, you must demonstrate that you are aware of IPR:HOWEVER, you must demonstrate that you are aware of IPR:

– Expected protectable resultsExpected protectable results

– Background claimsBackground claims

– Foreground (new project results) ownershipForeground (new project results) ownership

– How will pay for patentingHow will pay for patenting

• Funding agency may have its own IPR policy that you must respectFunding agency may have its own IPR policy that you must respect

Dissemination and outreach activitiesDissemination and outreach activities

• Demonstrating results to the general public is VERY important for the EU.Demonstrating results to the general public is VERY important for the EU.

• Plan dissemination activitiesPlan dissemination activities

– Publications, conference appearances, seminarsPublications, conference appearances, seminars

• Plan outreach activities:Plan outreach activities:

– Mass media appearances, journal newsflashes, homepage, YouTube Mass media appearances, journal newsflashes, homepage, YouTube channel, project representation at science fairs, open university days etc.channel, project representation at science fairs, open university days etc.

• Put REAL EFFORT into planning! Name the target journals and conferences. Put REAL EFFORT into planning! Name the target journals and conferences. Estimate the number of news releases in advance! Support your estimations by Estimate the number of news releases in advance! Support your estimations by data (e.g. your previous similar activities)data (e.g. your previous similar activities)

• Demonstrate your own motivation for outreach activities. Estimate the size, Demonstrate your own motivation for outreach activities. Estimate the size, interests and scientific background of your target groups (e.g. general adult interests and scientific background of your target groups (e.g. general adult citizens, industrial sector representatives, politicians, high school students, small citizens, industrial sector representatives, politicians, high school students, small kids etc.) and design dedicated outreach activity for each target group!kids etc.) and design dedicated outreach activity for each target group!

• Update homepage regularly.Update homepage regularly.

• Keep a running list of all dissemination and outreach activities. It will be MUCH Keep a running list of all dissemination and outreach activities. It will be MUCH more difficult to compile it at the end of the project!more difficult to compile it at the end of the project!

• Respect the public. Most of the time, you are using public money!Respect the public. Most of the time, you are using public money!57/10

Proposal: formal requirementsProposal: formal requirements

• WAY MORE important than you would think! There are always more applications WAY MORE important than you would think! There are always more applications than money, so it is easiest to discard proposals containing formal errorsthan money, so it is easiest to discard proposals containing formal errors

• Read the call text, guidelines for applicants and all related documents carefully Read the call text, guidelines for applicants and all related documents carefully and more than once to avoid working in vainand more than once to avoid working in vain

• Are we eligible to submit a proposal?Are we eligible to submit a proposal?

• Does our proposal include all compulsory elements? Workplan is just one of Does our proposal include all compulsory elements? Workplan is just one of many! Company registration, signature sheets, balance copy, permission etcmany! Company registration, signature sheets, balance copy, permission etc

• Does our proposal meet the formal requirements? Workplan length, company Does our proposal meet the formal requirements? Workplan length, company stamped signatures, each page signed, file format OK, number of copies stamped signatures, each page signed, file format OK, number of copies expected etcexpected etc

• Do the electronic and the paper version match? Is the electronic version file Do the electronic and the paper version match? Is the electronic version file readable, virus free and non-corrupt?readable, virus free and non-corrupt?

• Submission deadline? Posting date or received date? You can tweak the Submission deadline? Posting date or received date? You can tweak the workplan until the last moment, but official documents take long time (weeks workplan until the last moment, but official documents take long time (weeks even) to obtain. Calculate with this time!even) to obtain. Calculate with this time!

58/10

Thank youThank you

Thank you for your attention, happy project planning!Thank you for your attention, happy project planning!

59/10

Fundamentals of project planning and proposal preparation Dr. Ákos Kukovecz University of Szeged Department of Applied and Environmental Chemistry.

Documents

project effort

project management planning

winning proposal

proposal submission

proposal preparations

proposal length criteria

new projectpreparations

new instrument