Cross-cutting aspects

Franz Immler (EASME)Fabio DALAN

Maria Jose AMARAL21 September 2015

Infoday Climate Action, Environment, Resource

Efficiency and Raw Materials

Cross cutting aspects Innovation Standards Social science and humanities Stakeholder Knowledge Gender dimension International cooperation Ethics Link to regional policy (ESIF, etc) SME's involvement Implementation

Excellence: Clarity and pertinence of the objectives; Soundness of the concept; credibility of the proposed methodology, progress beyond SotA, innovation potential; interdisciplinary approaches; use of stakeholder knowledgeImpact: expected impact in the topic description; innovation capacity; other impacts; exploitation, dissemination and communication.Implementation: workplan; management structure; consortium; appropriate allocation of tasks and resources; risk and innovation management.

Evaluation – Award criteria (IA/RIA)(General Annexes H)

Innovation to meet the challengeINNOVATION: The successful exploitation of new ideasto produce tangible benefits, satisfying needs and wants

exploitation

Graphics © Copyright 2004 Iambic Innovation Ltd. All rights reserved

Slide from Dr. Eugene SweeneyImpact&Innovation in H2020

Invention IS NOT InnovationIntegration of users in the project is crucial

Invention Innovation

Innovation in evaluation award criteria

• Excellence - Innovation potential: the potential of a project to create useful new knowledge or technology

• Impact - Innovation capacity: capacity to develop products and services with significant benefits for users

• Implementation - Innovation management: Identify and exploit R&D results, IPR management

Standards, a major driver of innovationgreater economic growth than patents or licenses create “markets”, Making project output sustainable Benefits:• rationalization • quality assurance • security • communication • better procurement• worldwide trade

(c) 2015 Open Geospatial Consortium

• Link your project with ongoing standardization work• Involve standardisation organisation

• Formal: CEN, CENELEC, ETSI• Informal: OGC, W3C, IEEE, ….• More info:

Addressing standards in proposals

http://www.cencenelec.eu/news/publications/Publications/Standards_Horizon2020.pdf

• "All activities related to Earth observation data and other spatial data should comply at best with and build upon the existing Infrastructure for Spatial Information in the European Community (INSPIRE)". (SC5 work programme introduction)

• More info: • JRC webiste: http://inspire.ec.europa.eu/• OGC website: http://

www.opengeospatial.org/pressroom/marketreport/inspire

INSPIRE

Beneficiaries in projects participating in the Pilot on Open Research Data are invited to• Follow the GEOSS Data Sharing Principles • Register data in the GEO data portal

GEO - GEOSS

Proposals must provide a short, general outline of their policy for data management, including the following issues: • What types of data will the project generate/collect? • What standards and licenses will be used? • How will this data be exploited and/or shared/made

accessible for verification and re-use? • How will this data be curated and preserved? • Data Management Plan as deliverable.

Open access to research data (pilot)

• All SC5 topics are by default participating in the pilot, except raw material topics (SC5-13, 14, 15, 16,17)

• Proposals can opt out.• Opting out will not be taken into account in evaluation.• Justification still useful <- impact criterium

Open access to research data (pilot)

• Open access must be granted to all publications resulting from Horizon 2020 actions.

• Further guidance on open access is available in the H2020 Online Manual on the Participant Portal.

Open data pilot: All data underlying the publication must be accessible <- good scientific practise

Open access to research publications

Social science and humanities

Horizon 2020 - No self-standing SSH programme SSH is embedded as a cross-cutting issue

FP7 – Cooperation Programme Theme 8 ‘Socio-economic Sciences and Humanities’

Solving complex societal problems requires the contributions from (one or more) SSH discipline(s), among other non-SSH related.

economics and business modelslegal and institutional frameworkspolicy-making and governance issueshuman behaviour / choices and ethicsdemographic realities and trendscultural values and historical dimension

Social science and humanities

Using stakeholder knowledge

Co-d

esig

n &

Co-c

reat

ion Responsible Research and Innovation

Societal actors work together to align research and results with the values, needs and expectations of

society.Public engagement

Iterative/participatory multi-actor dialogues to co-create research and innovation outcomes and policy

agendas.

Trans-disciplinarityMethodologies that integrate scientific disciplines, and non-academic and non-formalized knowledge.

Gender dimension

Gender relevant if it can be expected that its findings affect [groups of] women and men differently.

Contribute to the soundness of the proposed work, both scientifically, technically and socially.

If not explicitly integrated into a topic, applicants can still decide to address it if they find it relevant

Gender balance in the consortium(also a ranking criterion)

Gendered Innovations

Example of gendered research topics and checklists for different fields

http://ec.europa.eu/research/gendered-innovations/

Methods for gender analysis to create new knowledge

Ethics in H2020

Requirement set in legislation (Reg. 1290/2013, art. 13,14,18,23) and Grant Agreement (art. 34, 39)

Perform your own self-assessment

The Commission will verify and may set additional requirements if not in the

proposal;

Ethic issues block the signature of the grant agreement

Ethics self-assessment What you should do:Part A of the proposals Identify potential ethical issues • Yes/No questions• Page number

Part B - section 5 How you handle / plan to address the ethical issues in sufficient detail

http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/ethics/h2020_hi_ethics-self-assess_en.pdf

0. Research integrity, plagiarism, an so on

1. HUMAN EMBRYOS/FOETUSES2. HUMANS - social science studies, physical interventions3. HUMAN CELLS / TISSUES4. PROTECTION OF PERSONAL DATA5. ANIMALS6. NON-EU COUNTRIES7. ENVIRONMENT & HEALTH AND SAFETY8. DUAL USE - military application9. MISUSE - malevolent/criminal/terrorist abuse10.OTHER ETHICS ISSUES (e.g. nanomaterials)

The ethical issues in H2020

Surveys: • Describe the methods of recruitment, inclusion and exclusion

criteria for participants; • draft of the informed consent (scope of the project); Personal data:• Follow national and EU legislation requirements and ask for

authorisation when necessary;• draft of the informed consent (agreement to collect data); Actions in non-EU:• Confirm that the research could be legally carried out in EU; • Provide details of actions / material / personal data

imported/exported (research data excluded);• Describe the co-benefit for low or lower-middle income

countries;

How to deal with ethical issues (1/2)

Environmental & Health and safety: • Identify authorisations/permits needed; • risk-benefit analysis (environment) or risk assessment

(health / safety);Dual-use or misuse or other

• Give details in section 5 on the measures to be taken to prevent abuse or on the exclusive civilian focus of the research.

How to deal with ethical issues (2/2)

Natio

nal a

utho

rity

appr

oval

?

• Horizon 2020 is Open to the World. Participants from all over the world can participate in most of the calls of Horizon 2020. Furthermore, in many cases, the EU will fund the participation of the international partners.

• International cooperation (in EU jargon) refers to cooperation with countries other than EU-member states and associated states

International cooperation

• Associated countries participate in Horizon 2020 under the same conditions as EU Member States.

• 13 states, as of August 2015:• Iceland • Norway • Albania • Bosnia and Herzegovina • the former Yugoslav Republic of Macedonia • Montenegro • Serbia • Turkey • Israel • Moldova • Switzerland (partial association, see below) • Faroe Islands • Ukraine

Associated states

ELIGIBILITY:RIA/IA: at least 3 partners from 3 diff. MS/AS

CSA: At least one legal entity.

http://ec.europa.eu/research/participants/docs/h2020-funding-guide/cross-cutting-issues/international-cooperation_en.htmAfghanistan, Algeria, American Samoa, Angola, Argentina, Armenia, Azerbaijan, Bangladesh, Belarus, Belize, Benin, Bhutan, Bolivia, Botswana, Burkina Faso, Burundi, Cambodia, Cameroon, Cape Verde, Central African Republic, Chad, Chile, Colombia, Comoros, Congo (Democratic People’s Republic), Congo (Republic), Costa Rica, Côte d’Ivoire, Cuba, Djibouti, Democratic People's Republic of Korea ,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, Kosovo*, Kyrgyz Republic, Lao, Lebanon, Lesotho, Liberia, Libya, Madagascar, Malawi, Malaysia, Maldives, Mali, Marshall Islands, Mauritania, Mauritius, Micronesia, Mongolia, 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, 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, Turkmenistan, Tuvalu, Uganda, Ukraine**, Uzbekistan, Vanuatu, Uruguay, Venezuela, Vietnam, Yemen, Zambia, Zimbabwe.

Countries eligible for automatic funding (WP,general Annex A)

• USA, Canada, Mexico, Japan, Australia, New Zealand, Hong-Kong, Taiwan, Singapore, Brasil, Russia, India, China, … also Switzerland (for Pillar 2 and 3),

• International organisations • (except Org. whose members are Member States or associated countries, and

whose principal objective is to promote scientific and technological cooperation in Europe

Are welcome to participate, but are not automatically funded

Industrialized countries

• Still funded if participation is deemed essential for the project by the Commission (provide unique expertise, access to

infrastructure/data/region)• Should have a budget, but requested EU contribution

= 0• Some countries (e.g. CH; RU, JP, for certain topics like

Arctic) automatically contribute the budget• It is your responsibility to ensure the funding. Address

the risk!

Partners not eligible for automatic funding

1) Beneficiary

2) Linked-third party provided there is a long-term agreement with a beneficiary

3) Advisory board, cooperation partner

International cooperation

Options for international cooperation in order of preference:

H2020 Cohesion PolicyNon-territorial Regional scopeIndividual R&I projects Multi-annual programmingPeer review Mostly direct attribution

Links to regional policy

H2020 Cohesion PolicyRising and spreading levels of research excellence

Capacity building (smart specialization), infrastructure

Differences

Complementarities

Parallel actions

Europe 2020 strategy

Growth & jobs, innovation, resources efficiency

H2020 R&I

project

Serial actions

ESIF: infrastructure and capacity

building

H2020: submission of a

proposal

H2020: a project ends

ESIF: further exploitation of

the results

NO NEGOTIATION approach in H2020-> projects are implemented as proposed.• Consortium, with significant contribution from each

participant• Management structure (incl Innovation management)• Review mechanisms and risk management• Appropriate structure of work plan, deliverables,

Milestones One task, one beneficiary, one deliverable

• Allocation of resources

Quality and efficiency of the implementation

• 'Deliverable’ means • a distinct output of the project, meaningful in terms of the project's overall

objectives and constituted by a report, software, data, website, conference, survey, etc.

• ‘Milestones’ means control points in the project that help to chart progress. • may correspond to the completion of one or several key deliverable(s), allowing

the next phase of the work to begin. • may be needed at intermediary points so that, if problems have arisen,

corrective measures can be taken. • may be a critical decision point in the project where, for example, the

consortium must decide which of several technologies to adopt for further development.

Deliverables and Milestones

• Greater involvement of SME in Horizon 2020 activities desired.

• SME's are needed for exploiting business opportunities provided by innovations.

Budget allocated to SMEs may be relevant in for ranking SME's should tick the box in Part A of the proposal

SMEs

• Maximize the impact of you project• Dissemination plan• Sound plan of exploitation, transferability and

sustainability of the activities • Quantification of impacts• Credible mechanism for monitoring performances• Communication (separate talk)

Dissemination, exploitation and communication

• Clear identification of a cross-cutting issue in the topic description not addressed in the proposal:

• For example, topic description includes any of these keywords: "social" or "socio-economic dimension",

"regulation", "governance", "ethics" … Social science needs to be included in the proposal

and consortium. "international cooperation" and/or "COM(2012)497".

-> Involve non EU/AS partners!

Cross-cutting issues in evaluation

Evaluation procedure (1-stage)

Receipt of proposals Evaluation Information

letterGrant

signature

Eligibility check

8 March 2016

8 Aug 2016max 5 months max 3 months 8 Nov 2016

Grant agreement preparation

All award criteria

SC5CIRCSCC

SC5 special deadlines: SC5-12, 24: 26 Jan 2016SC5-29 (FPA) : 8 Sep 2016

BG 17 Feb 2016

17 July 2016

17 Oct 2016

Or rejection

letter

Evaluation procedure (2-stage)

Receipt of short

proposalsEvaluation Information

letter

Limit: 10 pages.

Eligibility check

8 March 2016

Max 2 month ~4 month6 May 2017

Only excellence criteria and expected impact

SC5CIRCSCC

BG 17 Feb 2016

17 May 2017

Or rejection

letter

Receipt of full

proposals

06 Sep 2016

17 Sep 2016

Grant signature

Max 8 months

Dissemination, exploitation of results and implementation (incl. consortium, workplan, etc.) will not be evaluatedFocus on Objectives, approach and expected impacts

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More information

http://ec.europa.eu/research/participants/portal

Thank you for your

Attention

Contact: EASME-H2020-SC5-ENQUIRIES@ec.europa.eu