Brussels 11/12/2013
Horizon 2020 Space Rules for participation, proposal submission and evaluation
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
How to prepare and submit a proposal
Proposal evaluation and ranking
2
Research Executive Agency (REA): EO, PROTEC and COMPET calls
o Call handling, receipt of proposals, evaluation process, negotiation, grant agreements signature, receipt of reporting, reviews, payments, audits
o New Mandate for Horizon 2020 and continued implementation of FP7 Space projects
European GNSS Agency (GSA): GALILEO calls
Executive Agency for SMEs (EASME)*: SME calls * building on existing 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
3
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
4
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
5
The MULTI-BENEFICIARY GENERAL MODEL GRANT AGREEMENT shall comprise the general terms and conditions and 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
6
Specific models MULTI- and MONO-BENEFICIARY GENERAL MODEL GRANT AGREEMENT:
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)
Grant agreement
7
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
8
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
9
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)
10
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
11
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
12
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
13
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
14
15
http://ec.europa.eu/research/participants/portal/desktop/en/home.html
HORIZON 2020 CALLS F U N D I N G G U I D E
Stay informed
RSS feed iCal Email notification
Other Funding Opportunities
Call Updates
Calls
COSME
Previous Framework Programmes (FP7 & CIP)
Topic Conditions
Eligibility conditions – The standard eligibility conditions apply. Please read carefully these provisions before the preparation of your application.
Evaluation criteria – The standard evaluation criteria apply. Please read carefully the provisions before the preparation of your application.
Evaluation procedure – Please read carefully the standard evaluation procedure provisions before the preparation of your application.
Proposal page limits and layout: 10 pages
Applicants must ensure that proposals confirm to the page limits and layout given in the Guide for Applicants (see Call Documents) , and in the proposal part B template available through the electronic Submission Services of the Commission.
The Commission will instruct experts to disregard any pages exceeding these limits.
The minimum font size allowed is 11 points. The page size is A4, and all margins (top, bottom, left, right) should be at least 15mm (not including any footers or headers).
Should the call publication postponed, the dates in this table should be adjusted accordingly.
Consortia agreements: In line with the Rules for Participation and the Model Grant Agreement, participants in Research and Innovation Actions or in Innovation Actions are required to conclude a consortium agreement prior to grant agreement.
WATER 1 – 2014/2015
Topic Description Topic Conditions Call Documents
Horizon 2020 calls – Topic details: topic conditions
Search Topics
Call: Water innovation: boosting its value for Europe
Topic: Bridging the gap from innovative water solutions to market replication
Submission Service
Topic Evaluation
results (single or first stage)
Evaluation results
(second stage)
Indicative date for signing of grant agreements
Water 1
Maximum 6 months after the deadline
Maximum 9 months after the deadline
Horizon 2020
17
SEARCH TOPICS F U N D I N G G U I D E
Stay informed
RSS feed iCal Email notification
Other Funding Opportunities
Call Updates
Previous Framework Programmes (FP7 & CIP)
Search keywords: climate change Search COSME
Calls
Horizon 2020 predefined criteria:
3 results ○Publication date ◎Deadline
○Title ○Call ID
◎ Open calls ○ Closed calls ○ Forthcoming calls
Filter options: Sort by:
Topic: SFS 7 - 2014: Optimising external nutrient inputs in intensive crop production systems in Europe
European crop production is facing more and more difficulties in remaining competitive in the global market for many reasons. One of these reasons is certainly the high cost of external nutrient inputs necessary More…
Call title: Sustainable Food Security Status: Open
Call identifier: H2020-SFS-2014/2015 Deadline: 2014-03-18
Topic: WATER 2 – 2014/2015: Integrated approaches to water and climate change
The rising demands of a growing world population for food, water, materials and energy will put increasing pressures on land use, water resources and ecosystems. Energy consumption is expected to increase, More…
Call title: Water Innovation: Boosting its value for Europe Status: Open
Call identifier: H2020-WATER-2014/2015 Deadline: 2014-03-18
Topic: WATER 5 – 2014/2015: Strengthening international R&I cooperation in the field of water
Developing countries, especially in Africa, are facing serious challenges for sustaining its development. Sustainable water supply and sanitation is fundamental to the food security, health, survival More…
Call title: Water Innovation: Boosting its value for Europe Status: Open
Call identifier: H2020-WATER-2014/2015 Deadline: 2014-03-18
Search topics – Results
Horizon 2020
Cross-cutting Key-Enabling Technologies (KETs)
ERA-NET
Gender
International cooperation
SME Instrument
Socio-economic science and Humanities
Search Topics
18
http://ec.europa.eu/research/participants/portal/desktop/en/funding/index.html
20
21
22
Individual evaluation
Consensus group
Panel review
o may include hearings with applicants (see WP)
Proposal evaluation
23
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
24
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.
25
First comments/justifications, only then scores
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
26
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.
27
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
28
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
29
30
Thank you for your attention
