german research grant ”fraunhofer attract” _ strategy and programs _ october 2011

Research grant ”Fraunhofer Attract” Grant reader

Department P3: ”Strategy and Programs” August 2011

1 Principles of the ”Fraunhofer Attract” program ..............................3 1.1 Background ........................................................................4

2 Criteria for participation ....................................................................4 3 Application process ............................................................................5

3.1 Program Management .......................................................5 3.1.1 Program Management and Quality Assurance 5 3.1.2 Evaluation committee "Fraunhofer Attract" 6 3.1.3 Applicant/prospective group leader 6 3.1.4 Fraunhofer Institute 7 3.1.5 Human Resources Development: Further education and

personal development 7 3.1.6 Fraunhofer Venture Group 7 3.1.7 SIGMA Project administration 7 3.2 Proposal process .................................................................7 3.2.1 Attract Proposal 8 3.2.2 Evaluation criteria for proposals 9 3.2.3 Project initiation 11 3.2.4 Project implementation 12 3.2.5 Advanced training during the grant 13 3.3 Project completion ...........................................................14 3.4 Premature project termination ..........................................15

4 Financials ..........................................................................................16

1 Principles of the ”Fraunhofer Attract” program

Fraunhofer-Gesellschaft, as an employer, seeks and needs to establish ideal preconditions, in order to maintain a strong position within the competitive field for outstanding researchers. Fraunhofer’s position as an interface between science and industry, as the leading European research institution for applied research, offers excellent conditions to continue attracting the best. An essential objective of Fraunhofer therefore is to support excellent young scientists from Germany as well as from abroad to qualify them for leading positions within German economy and in the field of applied research. As an interface between science and economy, the Fraunhofer Institutes provide perfect preconditions to close the transfer gap and to develop distinguished ideas into innovations. The »Fraunhofer Attract« program seeks to utilize these convenient preconditions in the competition for the best talents. The »Fraunhofer Attract« program gives excellent researchers the opportunity and the incentive to advance their ideas with Fraunhofer in an application-oriented manner within a context that is close to the market. Fraunhofer pursues the following goals with the ”Fraunhofer Attract” program:

Systematic recruiting and promotion of excellent scientists with innovative ideas Embedded in one of the Fraunhofer Institutes, distinguished scientists find excellent conditions to establish and develop their ideas close to the market with their own small research group. Fraunhofer seeks to find extraordinary talents as well as new competency to develop future business areas. The competencies of the candidate have to fit and complement the R&D portfolio of the respective Fraunhofer Institute and add significant new knowledge to Fraunhofer.

Qualification of talents for executive positions Excellent researchers grow to potential leading executives for industry or applied sciences through establishing and managing a research group along with genuine responsibility for it, i.e. for both personnel and budget.

Maintaining and further increasing Fraunhofer's position as driving force in innovation for the industry The new ATTRACT projects have a high innovation potential and are thus interesting for our industrial partners. They lead to an increase in contract R&D and follow-up projects, licensing or spin-offs that will be sustaining the research group in the long run. During the five years lifecycle an intellectual property basis should be established. The benefits of the program can be summarized as follows: Benefit for scientists: Extraordinary working conditions to implement creative ideas into applications and at the same time boost career opportunities in applied sciences, industry or as an entrepreneur.

Objectives of Fraunhofer ATTRACT

Benefit for Fraunhofer: Strengthening Fraunhofer's position in the ”war for talents”, recruiting extraordinary talents with new ideas. Low risk set-up of new competencies with the potential to open up new R&D markets. Benefit for society: Closing the transfer gap between science and industry. Talents from basic research are being attracted to applied research and industry.

1.1 Background

In basic research, i.e. at universities or research organisations focusing on basic research in Germany and abroad, extraordinary talents have developed interesting results and ideas with transfer potential. However, often these ideas and results are not ready for commercialisation through starting a spin-off company or developing them further with industrial partners by licensing the results. At the same time, the researchers lack suitable preconditions at their local institutions to further develop the results in a more applied manner. Fraunhofer offers the necessary environment to successfully develop such ideas into innovations.

2 Criteria for participation

The program applies to external scientists: these researchers shall not derive from already existing Fraunhofer staff. The research group will be embedded in a Fraunhofer Institute with a specific R&D portfolio and strategy which fits the competencies of the applicant. Applicants without existing contacts to their desired Fraunhofer Institute are advised to contact the respective or appropriate Institute in advance in order to discuss possible cooperation and support. The program management kindly supports this process of identifying the suitable Fraunhofer Institute for the applicant. The project proposal synergistically complements the Institute's portfolio and strategy. Eventually, there will be a joint proposal of the respective Fraunhofer Institute and the researcher. The work at the Fraunhofer Institute is complex. Due to its extensive orientation it remains difficult to communicate the work content from afar. Program-Management therefore advises all interested parties together with the applying Institutes to invest several days in the joint preparation of the application. This includes the opportunity to get to know each other. Candidates do not only require superior scientific curiosity, but also need to engage in operational tasks. The group leader's main objective eventually will be to transfer an idea into a product. Targeted candidates essentially are: - Excellent external researchers with innovative ideas

(at least PhD or equivalent experience, preferably post-doc experience) - Application-oriented researchers - Researchers with entrepreneurial ambitions The applicants are mostly excellent junior researchers after their PhD or some post-doc years. However, senior scientists are not explicitly excluded. What

Criteria for participation

counts with ATTRACT is not so much personal experience in years, but rather the ambition to develop an idea towards application, even with some personal risk involved. The person and his/her personal career are decisive for the evaluation - his/her scientific excellence, the creativity of the idea and the clear description of the project's success from the initial idea towards the final product are of further crucial importance. The grant comprises a maximum of €2.5 million over 5 years per group. This includes the applicant's group leader position and additionally 3 to 4 new co-workers (generally contracts are limited to the duration of the project) such as post-docs, PhD students or technical staff as well as material and equipment. Fraunhofer and the respective Fraunhofer Institute share the costs. The maximum grant amount does not necessarily have to be fully exhausted. Proposals can also intentionally aim below the maximum funding amount. For further details please refer to section ”Financials”.

3 Application process

The Executive Board of the Fraunhofer-Gesellschaft has entrusted department) department P3 (Strategy and Programs) of Fraunhofer Headquarters with the management of the research grant program. At the next upcoming deadline for proposals (please check our web page) the applicant turns in a full proposal. Please refer to details given under sections ”3.2.1 Attract Proposal” and ”3.2.2 Project initiation”.

Fig. 1: Phases of an Attract project

3.1 Program Management

Role of actors involved in the proposal process:

3.1.1 Program Management and Quality Assurance Tasks: The program management (P3) is responsible for the organisation, consulting of applicants, monitoring of projects, controlling (technical and administrative), developing the program, information management and communication of the program. Department Research planning (A1) is closely involved in the program management. During the preparations for the meeting of the evaluation committee, P3 together with A1 and B1 discuss the proposals. Thereby, critical points will be

Proposal Approval Initiation Implementation Completion

Grant volume

identified, which form the basis for a personal interview with the candidate. The interviewers (P3, A1 and B1) will meet in person with the candidate in order to evaluate his/her development potential. The evaluation committee ”Attract” will make a decision based on the submitted proposals and the personal presentations of the candidates in front of the committee. Contacts: Cornelia Reimoser, Fraunhofer Headquarters, P3, phone +49 (0)89 1205-1213, [email protected] For administrative inquiries: Mrs. Ulrike Simon, Fraunhofer Headquarters, P3, phone +49 (0)89 1205-1219, [email protected]. Moreover, P3 together with department B1- personnel development provide individual coaching for the group leaders. Specific knowledge management support can be provided by department P4 - knowledge management.

3.1.2 Evaluation committee "Fraunhofer Attract" The evaluation committee “Fraunhofer Attract“ decides on the grant based on the written proposal and the personal presentations from the candidates in front of the committee. During and after completion of the projects, the evaluation committee shall be informed by P3 concerning the progression and achievements of the projects. Members of the evaluation committee »Fraunhofer Attract«: - Prof. Dr. rer. nat. Ulrich Buller, Vice-President Research Planning - Prof. Dr. Horst-Christian Langowski, Fraunhofer IVV, Institute Director - Dr. Silke Sommer, Fraunhofer IWM, Representative of the Scientific

Commission of the Fraunhofer-Gesellschaft - Elisabeth Ewen, Division Director Human Resources, Fraunhofer

Headquarters - Dr. Raoul Klingner, International Business Development, head of

department, Fraunhofer Headquarters

3.1.3 Applicant/prospective group leader The proposal for an »Attract-Group« is handed in jointly by the applicant and the Director of the involved FraunhoferInstitute. Tasks: The applicant - if successful eventually the future group leader - together with the respective representative of the associated Fraunhofer Institute are responsible for consulting the program management and eventually turning in the proposal in due time. During the duration of the project the group leader is responsible for project implementation and continuous reporting to the program management. All obligations and authorizations shall be regulated by written agreements between the respective Fraunhofer institute and the group leader.

3.1.4 Fraunhofer Institute The “Attract Group“ is embedded in the respective Fraunhofer Institute. The Fraunhofer Institute has a strategic interest in establishing the group’s field of activity at the institute. Therefore, it covers 50% of the group’s budget and provides both necessary infrastructure and its network required to achieve the project goals. The other 50% of budget required are funded by Fraunhofer Headquarters. Tasks: The Institute Director (or its representative) initiates and supports the proposal. The Director shall be available as a contact person at the institute and offers support in the event of emerging questions and problems related to the application process. This includes the institute’s assistance with the detailed project proposal.

3.1.5 Human Resources Development: Further education and personal development The "Attract" group leaders receive guidance and support regarding their further education and personal development prospects. In cooperation with the Human Resource Department (B1) and the Program Management (P3) an individual further education plan may be created supporting the personal, professional and management-oriented development of the group leaders.

After the first three years of the project went by successfully ("critical" milestone) the Head of Department 1B conducts status talks with the Director of the Institute in order to pick out the development prospects of the group leaders after the termination of the program phase.

3.1.6 Fraunhofer Venture Group Tasks: The Fraunhofer Venture Group supports the group leader in case of an intended spin-off during the project duration.

3.1.7 SIGMA Project administration Tasks: Project calculation and administration of the Attract Group is taken over by the associated Fraunhofer Institute within the SIGMA Software. Support is given by department P3 (Mrs. Simon) or department C12 Project Finances.

3.2 Proposal process

Fig. 2: Timeline of proposal process (updated dates in Intranet and Internet of Fraunhofer-Gesellschaft)

3.2.1 Attract Proposal Submission dates for ATTRACT proposals will be published together with dates of evaluation in the Fraunhofer intranet and internet. Decisions are made as quickly as possible - usually within 4-5 weeks after submission date. Description of project in a maximum of 15 pages (DIN A4) plus annex (graphs, pictures, tables, literature, CV, publication list and SIGMA-calculation). The following outline is recommended. A word.doc template is available for download on the website. Please submit the proposals only as PDF files to P3, Mrs. Reimoser ( [email protected] ) Recommended outline of proposal 1. Summary 2. Motivation and R&D-goals 2.1 Motivation 2.1.1 Personal motivation of candidate (first person narrative) 2.2 State of the art R&D 2.3 Project goals 2.4 Strategic embedding of project within the chosen Fraunhofer Institute 3. Market 3.1 Description of R&D market 3.2 Application of project results in industry 3.3 Market access strategy 4. Project management 4.1 Working plan 4.2 Work breakdown structure 4.3 Time scheduling, Gantt chart 4.4 Work packages 4.5 Milestones 4.6 Planning of resources 5. Cost budget

Personal interviews with applicants

Call for proposals for the Attract program. Consulting of applicants by program management (P3/P5) during preparation of proposal

Submission of proposal

3-4 Months 2-3 Weeks approx. 4-6 Weeks

Evaluation committee meeting: Presentation of applicant and project; announcement of grant decision

approx. 10

Weeks or

longer

Start of Attract Group

Pre-evaluation of proposal

Dates

Proposal criteria

6. Annex 6.1 CV (including publications, awards, patents, letter of recommendations) 6.2 Literature 6.3 Patents

6.4 Sigma Calculation Fig. 3: Recommended outline for proposals

During the preparations for the meeting of the evaluation committee, P3/P5 together with A1 and 1B discuss the proposals. Thereby, critical points will be identified, which form the basis for a personal interview with the candidate. The interviewers (P3/, A1 and B1) will meet in person with the candidate in order to evaluate his/her development potential. The evaluation committee ”Attract” will make a decision based on the submitted proposals and the personal presentations of the candidates in front of the committee.

Fig. 4: Evaluation process of proposals

3.2.2 Evaluation criteria for proposals The proposals are evaluated based on the following criteria, i.e. focussing on the project idea itself as well as on the excellence of the applicant. The overall evaluation is derived from both criteria (50/50). Project idea (50%) Criterion Comment Project idea/final product (1-10 points) weighting factor: 4

Project idea is innovative Implementation is creative Final product is useful and offers considerable

value and advantage

R&D topic (1-10) weighting factor: 3

The candidate’s ideas and competencies as well as the project’s R&D topic fit and complement the know-how of the associated Fraunhofer Institute

State-of-the-art is presented comprehensively R&D topic represents progress compared to state-

Submission of proposal by

applicant to P5

Announcement of grant

decision

8 Weeks

Pre-evaluation of written proposals and

personal interview with candidates for the

final decision, the committee evaluates

proposals and presentations.

Evaluation committee „Attract“

decides on research grant

Evaluation criteria for

proposals

Evaluation process

of-the-art technology R&D topic is inventive Project goals are well chosen, clear and

measurable Scientific approach is focused, achievement of

objectives is realistic. Good chance of generating patents

Strategic aspects (1-10 points) weighting factor: 2

“Attract” research group is well embedded in the associated Fraunhofer Institute, enriching its R&D portfolio and strategy

Project goals are in line with general mission objectives of the Fraunhofer-Gesellschaft

Project goals are not conflicting with interests and competencies of other Fraunhofer Institutes

No overlap with other current internal grants of the associated Fraunhofer Institute

Market potential (1-10 points) weighting factor: 1

Attractive R&D market Market potential is clear and high when

compared to project budget Market is expandable and attractive in the long

term Project offers required assertiveness for market

entry (competition, conflicting IP, potential customers, cooperation partners)

Project management (1-10 points) weighting factor: 3

Working plan is comprehensible and clear Reasonable milestones are defined that reflect

results to be submitted, decision to be taken and possible consequences.

Fig. 5: Evaluation criteria for the project idea

Applicant (50%) Criterion Comment Professional excellence and social competence of applicant (1-10 points)

Extraordinary career Excellent professional achievements

(publications, patents, awards) Distinct scientific curiosity Focus on implementation and results Instinct for future markets Leadership skills in technical (process

management) and social regards (people management)

Personal involvement, credibility and assertiveness Inspiring personality Communications and organisation skills

Fig. 6: Evaluation criteria for the applicant

All applicants are informed on the outcome of the evaluation by P3 in writing. Successful proposals may start by initiating the project. Successful applicants are informed about the required next formal steps by P3 directly after the committee's decision.

3.2.3 Project initiation Successful candidates receive detailed information concerning all following steps in writing.

Fig. 7: Project initiation phase The project starts with the entry of the group leader to Fraunhofer and can be budgeted from this day. For proper project control, objectives, subgoals and deliverables must be defined - what is to be achieved in what quality at what time? The official grant notification postulates the definition of a milestone every 12 months (including required decisions and respective corresponding deliverables that are to be submitted for each milestone, e.g. finalization of sub-projects, new focal points, marketing et al.). A critical milestone must be set after 3 years of project duration. A meeting between program management, the group leader and the Director of the Fraunhofer Institute will be held in order to review the critical milestone and to discuss the achieved progress of the project.

After positive appraisal of the milestone and approval of further funds, a status talk will be additionally held with the Director of the Institute. During this talk, the respective group leaders’ development prospects need to be bindingly addressed. Status talks with the Directors of the Institutes are conducted by the Human Resources Division 1B.

Kick-Off Meeting

Final decision on the ATTRACT group

Project initiation phase

New group leader, further project staff if necessary

Program Management P3

Institute liaison (A1) if necessary

positive answer of candidate

official grant notification project

start with commencement of work of

the candidate buildup of group by

new hirings

Institute Director

Detailed planning and definition of deliverables and

milestones

Status talk Prospects of development

The initiation phase ends with dispatch of the official grant notification. This notification will be signed by the Division Director 1P, Dr. Rosenfeld, on behalf of the Executive Board of the Fraunhofer-Gesellschaft, the respective Institute Director as well as the advisor of the program at Headquarters, Frau Cornelia Reimoser.

All “Attract” group leaders meet annually for a networking event at Fraunhofer Headquarters.

3.2.4 Project implementation

Based on the working plan the project is implemented in partnership with the associated stakeholders.

Fig. 8: Project implementation; milestones and status talks on prospects for development are mandatory The group leader makes use of standard quality management procedures of the Fraunhofer-Gesellschaft. Therefore, support for the conduction of tailored debriefing workshops in order to secure experiences can be provided from department P4 knowledge management. Written milestone reports are to be delivered to P3once every year informally. The following outline is recommended especially for the report on the critical milestone after 3 years of grant duration: 1. Objective

project completion

Kick-off meeting

Year 1 Year 2 Year 3 Year 4 Year 5

Milestone report (P3 A1) Debriefing workshop: securing experiences (P4)

Critical milestone, evaluation (P3/ A1) Status talks concerning development prospects of group leaders (1B) Debriefing workshop: securing experiences (P4)

Focus on generation of IP First R&D revenues

Quality management

Milestone reports

Official grant

notification

2. Progress of project

3. Description of milestone

4. Conclusion

5. Continuation of patent strategy

6. Continuation of marketing strategy

7. Literature

Monitoring of milestones is conducted by the program management P3/P5, which is appointed to do so by the evaluation committee. Premature termination in the event of non-compliance with defined critical milestones is only performed with consent of the evaluation committee after request by P3/A1 and the Director of the Fraunhofer Institute. Generation of contract research revenues is not the primary goal of the “Attract“ group during the first project phase (years 1 to 3). At this phase, the focus lies on advancing the ideas and establishing an intellectual property basis. In the second project phase (year 4 to 5) revenues can/should be generated if this supports transfer purposes and facilitates a further establishment of the group within the Fraunhofer Institute after the completion of the project.

3.2.5 Advanced training during the grant The research grant for the selected candidates is an award which is characterized by promotional motives. Thus, at Fraunhofer, awardees receive individual promotion beyond the provision of an equipped workplace. This includes the opportunity for individual, professional and management-oriented training or coaching (academic qualification - “Habilitation” or equivalent postdoctoral lecture qualification - is not paramount). The awardees establish a Fraunhofer internal network providing interdisciplinary cooperation. An annual meeting of all funded group leaders supports the Fraunhofer-wide knowledge transfer and the strong networking of participants. The group leaders, depending on each individual career, receive convenient, premium opportunities organised by B1 (personnel development). This includes e.g. the design of an advanced training plan for an individual group leader.

Industrial revenues, public

funding, IPR

3.3 Project completion

The grant/ATTRACT project is considered having been successful if IP was generated and the project results were verifiably transferred into application. This can be verified through contract research revenues from industry, spin-offs or licensing revenues. Marketable products are not goal of the grant.

Fig. 9: Project completion In the phase of the project completion a final performance review is undertaken. Moreover, arrangements for the continuation of the group at the associated Fraunhofer Institute are evaluated as well as the scenario of a possible spin-off, or further application opportunities for product development. To this end, the Fraunhofer venture group can offer support. Department P4 knowledge management offers project debriefings to secure experiences. The Attract group submits a final report to the evaluation committee via program management P3. This report forms the basis for the project’s performance evaluation. The results (regarding the project goals), marketability and market position, achieved IP, achieved R&D contracts and structural changes at the Fraunhofer Institute (new group/strategic cooperation with industrial partners/spin-off/etc.) are considered. Based on the evaluation outcome of the final report, the committee reserves the right to either reduce, cancel or credit financial means to the project derived from the amount of initially granted funds, which were not spent until the end of project duration.

Project completion

Year 5

Final report. Continuation of group, Application of results, Debriefing workshop: Securing experiences

Evaluation committee „Attract“

Program-management (P3,A1)

Fraunhofer Venture Group

ATTRACT group and advisor from the Fraunhofer Institute

For the allocation of unused grant funds (treatment of “Attract” as a 'fixed price' project), the following criteria apply:

Group leader remains at the institute. Advancement of the group at the institute. Reduced utilization of own resources by covering expenses through

external revenues. Successful transfer of research results into application (see above).

3.4 Premature project termination

Premature project termination may occur if it is foreseeable that the intended goals cannot be achieved. Furthermore, unexpected retirement of the group leader can entail project termination. In this case, funding is immediately blocked after a consultation with P3 and the Institute Director (or accordingly the appointed representative) took place. P3, together with the Institute Director (or accordingly the appointed representative) will consult jointly concerning further proceeding. Subsequently, P3 will compile a brief report for the Executive Board. The report includes the following points:

Reasons for premature project termination Brief statement of achievements and development of the “Attract”-

group prior to premature termination. Intended further employment of the “Attract”-group’s staff. Presentation of costs that were estimated prior to premature project

termination and recommendations concerning accounting of grants.

Senior Vice Presidents for Research Planning (VA) and Personnel and Legal Affairs (VB), based on the above report, will inform the Institute Director on the implementation of the formal termination of the “Attract”-project. Finally, the Evaluation Committee will receive the report for information.

4 Financials The maximum grant volume is a total of €2.5 million over 5 years. Depending on the grant phase, an annual amount of approximately €500.000 can be calculated for the funding of the “Attract” group. The budget can be shifted over the years and may vary in different years. Budget is allocated for staff as well as material and investments. The group is formed by the group leader and 3-4 co-workers such as post-docs, PhD students and technical staff (working contracts are limited to the duration of the project). Since the “Attract” projects aim to support the qualitative and strategic growth of the respective Fraunhofer Institutes, staff appropriations are intended for recruitment and funding of new employees only. Already employed staff may only be allocated to the “Attract” group in the exceptional case that his or her fixed-term employment contract expires and the ATTRACT group emerges as an opportunity for further employment of this person. This procedure requires prior consultation with P3. The specific group buildup is undertaken by the group leader together with the associated institute. The grant budget will be borne jointly (50/50) by the associated Fraunhofer Institute and Fraunhofer Headquarters. The characteristic of a 50/50% funding scheme between institutes and Headquarters lies at the heart of the program philosophy. The grant starts with the entry of the group leader into the associated Fraunhofer Institute (at this time, the official grant notification is being drafted). This is independent from the commencement of work of the group’s other staff (please see section 'accounting'). The funds for the second project phase after the critical milestone are blocked for the time being (please see section 'critical milestones'). Please contact the administration of the Fraunhofer Institute for project calculation (s. 3.1.7). Detailed information is provided in the German Grant Reader (Förderfibel 4.1).

german research grant ”fraunhofer attract” _ strategy and programs _ october 2011

Documents

intellectual property basis

official grant notification

fraunhofer venture group

premature project termination

contract research revenues

respective fraunhofer institute

program management p3

fraunhofer attract program