Vienna 17/12/2013
Horizon 2020 LEIT-Space Programme & call implementation & the new rules
Birgit Blasch Deputy Head of Unit
European Commission Research Executive Agency REA.S2 Space Research
Overview
Horizon 2020
Timetable for Space
Rules, GA, funding rates
Proposal preparation and submission
Proposal evaluation and ranking
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Three pillars
Excellent Science
Leadership in enabling and industrial technologies (LEIT)
Societal Challenges
Horizon 2020
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Research Executive Agency (REA) Call handling, receipt of proposals, evaluation process, negotiation, grant agreements signature, receipt of reporting, reviews, payments, audits
New Mandate for Horizon 2020 and continued implementation of FP7 Space projects
European GNSS Agency (GSA)
Executive Agency for SMEs (EASME) ex-Executive Agency for Competitiveness and Innovation (EACI)
European Commission DG ENTR: EU Space policy and Horizon 2020 Space Research
http://ec.europa.eu/research/horizon2020/index_en.cfm?pg=h2020-documents
Space Research implementation
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Calls are published
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Opening Calls 2014 11 December 2013 Closure Calls 2014 Galileo: 3 April 2014
17:00:00 Brussels time EO, COMPET, PROTEC: 26 March 2014 SME: several cut-off dates per year
Admissibility/eligibility checks and early April 2014 allocation of experts to proposals
Remote evaluation end April – end May 2014
Central evaluation end May – end June 2014
Information to coordinators July 2014
First projects starting early 2015
Closure Calls 2015 Galileo: 4 February 2015 17:00:00 Brussels time EO, COMPET, PROTEC: 28* November 2014 (indicative) SME: several cut-off dates per year
* likely to change to 27 November 2014
LEIT-Space Schedule
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Per project one single, pre-determined funding rate
Single flat rate for indirect costs (25%)
Acceptance of beneficiaries' usual accounting practices for direct costs
Acceptance of 'average' personnel costs
No more time-sheets for personnel working full time on EU project
No reporting of interest on pre-financing
Ex-ante financial capacity checks only for private coordinators
Only 1 ‘certificate on the financial statements’ at the end of the project for beneficiary requesting EUR 325 000 or more
Simplification & new rules
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MULTI-BENEFICIARY GENERAL MODEL GRANT AGREEMENT = General terms and conditions + the following annexes:
Description of the action ("technical annex") (Annex I)
Estimated budget for the action (Annex II),
Accession forms of the other beneficiaries and a declaration on joint and several liability of linked third parties (Annex III),
Model financial statements (Annex IV),
Model for the certificate on the financial statements (Annex V),
Model for the certificate on the methodology (Annex VI)
Grant agreement
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Specific models, MULTI- and MONO-BENEFICIARY
ERANET Cofund
Pre-commercial Procurement (PCP) – Public Procurement of Innovative Solutions (PPI) Cofund
European Joint Programme Cofund (EJP) for Euratom
European Research Council (ERC) actions for ERC Starting Grants (StG), Consolidator Grants (CoG), Advanced Grants (AdG), Synergy Grants (SyG)
European Research Council (ERC) actions for Proof of Concept Grants (PoC)
Marie Skłodowska-Curie Co-funding of regional, national and international programmes (COFUND)
Marie Skłodowska-Curie Innovative Training Networks (ITN)
Marie Skłodowska-Curie Individual Fellowships (IF)
Marie Skłodowska-Curie Research and Innovation Staff Exchange (RISE)
SME instrument (phase 1 and 2)
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Grant agreement
Types of action / funding rates
• Research and Innovation Action (RIA):
Up to 100% of eligible costs
• Innovation Action (IA):
Up to 70% of eligible costs
(exception: up to 100% for non-profit)
• Coordination and Support Action (CSA):
Up to 100% of eligible costs
In all cases: co-funding of the European Union
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How to prepare & submit a proposal
Follow strictly the instructions
Read carefully the work programme topic What is expected?
o High oversubscription in many topics
Be clear and explicit
o Evaluators must judge what they read
Respect admissibility and eligibility criteria
o Basic checks by electronic submission system
Convince the evaluation experts regarding the selection and award criteria
Let someone do a mock evaluation before submitting
o No pre-proposal checks
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Standard admissibility criteria
1. Submitted in the electronic submission system before the deadline Acknowledgement of Receipt
2. Complete (requested administrative forms + proposal description + supporting documents)
3. Readable, accessible and printable
4. Respect of page limit (70)
o Automatic warning in electronic submission system if exceeded and advice to re-submit a version that conforms; excess pages will bear watermark to disregard them
o Outside the limit: participating organisations CV or profile description of staff carrying out the work
A list of up to 5 publications and/or other research or innovation products
A list of up to 5 relevant previous projects/activities
Relevant available infrastructure/equipment description
Description of additional third parties contributing to the work
ethics self assessment, data management plan (open access to peer- reviewed scientific publications)
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Standard eligibility criteria
Content corresponds, wholly or in part, to topic description against which it is submitted
Proposal complies with the minimum participation and any other eligibility conditions set out for the type of action:
can be supplemented or modified in the call conditions
Research &
innovation action
Three legal entities.
Each of the three shall be established in a different
Member State or associated country. All three legal
entities shall be independent of each other. Innovation action
Coordination &
support action
One legal entity established a Member State or
associated country.
Non-eligibility can also be discovered during/after evaluation
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Countries eligible WP General Annex A
to receive funding
EU-Member States
The Overseas Countries and Territories (OCT) linked to the MS: Anguilla, Aruba, Bonaire, British Virgin Islands, Cayman Islands, Curaçao, Falkland Islands, French Polynesia, Greenland, Montserrat, New Caledonia, Pitcairn Islands, Saba, Saint Barthélémy, Saint Helena, Saint Pierre and Miquelon, Sint Eustatius, Sint Maarten, Turks and Caicos Islands, Wallis and Futuna .
Horizon 2020 associated countries Check Funding Guide for up-to-date information whether agreements are signed: http://ec.europa.eu/research/participants/docs/h2020-funding-guide/cross-cutting-issues/international-cooperation_en.htm
Third countries: Afghanistan, Albania, Algeria, American Samoa, Angola, Argentina, Armenia, Azerbaijan,
Bangladesh, Belarus, Belize, Benin, Bhutan, Bolivia, Bosnia and Herzegovina, Botswana, Burkina Faso, Burundi, Cambodia, Cameroon, Cape Verde, Central African Republic, Chad, Chile, Colombia, Comoros, Congo (Democratic Republic), Congo (Republic), Costa Rica, Côte d’Ivoire, Cuba, Djibouti, Dominica, Dominican Republic, Ecuador, Egypt, El Salvador, Eritrea, Ethiopia, Fiji, Gabon, Gambia, Georgia, Ghana, Grenada, Guatemala, Guinea, Guinea-Buissau, Guyana, Haiti, Honduras, Indonesia, Iran, Iraq, Jamaica, Jordan, Kazakhstan, Kenya, Kiribati, Korea (Democratic Republic), Kosovo*, Kyrgyz Republic, Lao, Lebanon, Lesotho, Liberia, Libya, former Yugoslav Republic of Macedonia, Madagascar, Malawi, Malaysia, Maldives, Mali, Marshall Islands, Mauritania, Mauritius, Micronesia, Moldova, Mongolia, Montenegro, Morocco, Mozambique, Myanmar, Namibia, Nepal, Nicaragua, Niger, Nigeria, Pakistan, Palau, Palestine, Panama, Papua New Guinea, Paraguay, Peru, Philippines, Rwanda, Samoa, Sao Tome and Principe, Senegal, Serbia, Seychelles, Sierra Leone, Solomon Islands, Somalia, South Africa, South Sudan, Sri Lanka, St. Kitts and Nevis, St. Lucia, St. Vincent and the Grenadines, Sudan, Suriname, Swaziland, Syrian Arab Republic, Tajikistan, Tanzania, Thailand, Timor-Leste, Togo, Tonga, Tunisia, Turkey, Turkmenistan, Tuvalu, Uganda, Ukraine, Uzbekistan, Vanuatu, Uruguay, Venezuela, Vietnam, , Yemen, Zambia, Zimbabwe. Except where this is explicitly excluded in the call text.
International European interest organisations
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Countries eligible to receive funding
Legal entities established in countries not listed and international organisations will only be eligible for funding:
o If explicitly mentioned in the call text.
o When funding for such participants is provided for under a bilateral scientific and technological agreement or any other arrangement between the Union and an international organisation or a third country
o When the Commission deems participation of an entity essential for carrying out the action funded through Horizon 2020
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European Space Agency
In general, ESA will not participate in LEIT-Space consortia (marked as exception to general eligibility conditions in work programme)
However, ESA may participate in proposals submitted against some topics:
o COMPET 3, 4, 7 (2014)
o COMPET 4 (2015)
ESA experts may support the REA for the evaluation of proposals and for reviewing on-going projects regarding their progress
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Gender balance in decision-making
o Advisory groups: 50 % men/women, at least one expert with gender expertise
o Evaluation panels and expert groups: 40 % under-represented sex, taking into account the situation in the field of the action
Gender balance in research teams at all levels
o Model Grant Agreement Art 31: Best effort obligation to promote equal opportunities between men and women in the implementation of the action. They must aim, to the extent possible, for gender balance at all levels of personnel assigned to the action, including supervisory and managerial level.
Gender dimension in research and innovation content
o Explicitly introduced as a component of research concept
o Flagging of topics with explicit gender dimension
o Follow-up through the research cycle from WP to reporting
Gender equality in Horizon 2020 3 objectives
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Ethics self-assessment
o Complete the Ethics issues table. Main areas: Human protection, animal protection and welfare, data protection and privacy, environment protection, participation of non-EU countries, malevolent use of research results.
o How are the ethics issues addressed by the proposal
o How does the proposal meet the national legal and ethics requirements of the countries where the task raising ethics issues will be performed
Often in Space proposals: export control, data protection, experiments with human subjects
Ethics appraisal
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http://ec.europa.eu/research/participants/portal/desktop/en/home.html
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http://ec.europa.eu/research/participants/portal/desktop/en/funding/index.html
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Proposal evaluation
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Eligibility checks
Individual evaluation
Consensus group
Panel review
May include
hearings with applicants (see
WP)
Commission decision
Done by independent experts
o Selected REA/GSA/EASME from EMPP
o Balance in terms of
skills, experience and knowledge
geographical diversity
gender
where appropriate, the private and public sectors
an appropriate turnover from year to year
o No conflict of interest
Proposal evaluation
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Evaluation: Award criteria
Type of action:
Excellence The following aspects will be taken into
account to the extent that the proposed
work corresponds to the topic
description in the work programme:
Impact The extent to which the outputs of the project should contribute at
the European and/or International level to:
Quality and efficiency of
the implementation The following aspects will be taken into account:
All types of
action
Clarity and pertinence of the
objectives;
Credibility of the proposed
approach.
The expected impacts listed in the work
programme under the relevant topic
Coherence and effectiveness of the work
plan, including appropriateness of the
allocation of tasks and resources;
Appropriateness of the management
structures and procedures, including risk
and innovation management.
Research
and
innovation;
Innovation;
SME
instrument
Soundness of the concept,
including trans-disciplinary
considerations, where
relevant;
Extent that proposed work is
ambitious, has innovative
potential, and is beyond the
state of the art
(e.g. ground-breaking
objectives, novel concepts
and approaches)
Enhancing innovation capacity and integration
of new knowledge;
Strengthening the competitiveness and growth
of companies by developing innovations
meeting the needs of European and global
markets; and by delivering such innovations to
the markets;
Any other environmental and socially important
impacts (not already covered above);
Effectiveness of the proposed measures to
exploit and disseminate the project results
(including management of IPR), to
communicate the project, and to manage
research data where relevant.
Coordination
& support
actions
Soundness of the concept;
Quality of the proposed
coordination and/or support
measures
Effectiveness of the proposed measures to
exploit and disseminate the project results
(including management of IPR), to
communicate the project, and to manage
research data where relevant.
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Evaluation scores are awarded per criterion, scale from 0 to 5, half point scores may be given
Maximum score: 15
Individual criteria threshold: 3 Total score threshold: 10
Proposal scoring
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1. Per criterion: Assessment, comments, justifications
Excellence: "The objectives ….."
Impact: "The innovation capacity….."
Quality and efficiency of the implementation: "The management ….."
4,0 4,5
3,5 Σ 12,0 out of 15,0
2. Matching scores
Proposal scoring
0 - The proposal fails to address the criterion or cannot be assessed due to missing or incomplete information
1 - Poor. The criterion is inadequately addressed or there are serious inherent
weaknesses
2 - Fair. The proposal broadly addresses the criterion, there are significant
weaknesses
3 - Good. The proposal addresses the criterion well but with a number of
shortcomings
4 - Very Good. The proposal addresses the criterion very well but with a small
number of shortcomings
5 - Excellent. The proposal successfully addresses all relevant aspects of the
criterion; any shortcomings are minor.
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Ranking of proposals
Done by experts in panel review
1 ranked list per topic or per group of topics with a dedicated budget
Preparation: "cross-reading"
Rules for the ranking
o Priority criteria RIA: excellence>impact IA: impact>excellence and other criteria
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11,5 14,5 13,5
14,0
New experts needed
EMPP: Call for Expression of Interest for new experts for H2020
http://ec.europa.eu/research/participants/portal/desktop/en/experts/index.html
Roles: Evaluator, rapporteur, quality support, independent observer; also project reviewer
Register or update profiles!
Keyword lists
Confirm availability for H2020 + FP7
Experts may work max 120 days per 4 years
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Thank you for your attention
