H2020 How to prepare & submit a proposal

Transcription

1 DG Communications Networks, Content and Technology H2020 How to prepare & submit a proposal H2020 INFO DAY on : Photonics KET 2017 ICT Brussels, 27 January 2017 Francisco Guirao ICT Programme Operations Unit

2 Topics Information and Guidance H2020 rules for participation Submit your proposal Evaluation process Cross-cutting features

3 Information and guidance 3

4 H2020 Calls Call information and all necessary documentation are published on the Research Participant Portal User friendly Participant Portal Easy to find funding opportunities Interaction with EC services through ECAS login* * EU Login from 6 October 4

5 Participant Portal Home Page

6 Funding Opportunities landing page

7 H2020-calls page: Filter ICT

8 Search-Topics page for "Newcomers"

9 Search-Topics page for "Newcomers"

10 H2020-ICT call page

11 Topic page

12 Submission service

13 Your "personal home page" after having created your own account

14 H2020 rules for participation 14

15 Forms of funding Grants Research and innovation actions Innovation actions Coordination and support actions SME instrument ERANET co-fund Pre-commercial procurement actions Public procurement of innovative solutions actions Other Framework Partnership Agreement Prizes, procurement, financial instruments 15

16 Type of Actions Research and Innovation Action Action primarily consisting of activities aiming to establish new knowledge and/or to explore the feasibility of a new or improved technology, product, process, service or solution For this purpose they may include basic and applied research, technology development and integration, testing and validation on a small-scale prototype in a laboratory or simulated environment Projects may contain closely connected but limited demonstration or pilot activities aiming to show technical feasibility in a near to operational environment 16

17 Type of Actions Innovation Action Action primarily consisting of activities directly aiming at producing plans and arrangements or designs for new, altered or improved products, processes or services For this purpose they may include prototyping, testing, demonstrating, piloting, large-scale product validation and market replication Aiming to validate the technical and economic viability in a (near) operational environment and/or aiming to support the first application/deployment in the market of an innovation that has already been demonstrated but not yet applied/deployed in the market due to market failures/barriers to uptake Projects may include limited research and development activities 17

18 Research & Innovation Actions Basic & applied research Testing / validation on small-scale prototype (in lab or simulated environment) Limited demo or pilot activities (to show tech feasibility in a near to operational environment) Developing innovations meeting needs of markets Innovation Actions Limited R&D activities Prototyping, testing, large-scale product validation & market replication Demo or pilot activities (to show tech feasibility in operational environment) Developing innovations meeting needs of markets & their delivery to market Exploitation activities Innovation management

19 Type of Actions Coordination & Support Action Actions consisting primarily of accompanying measures such as standardisation, dissemination, awareness-raising and communication, networking, coordination or support services, policy dialogues and mutual learning exercises and studies, including design studies for new infrastructure, and may also include complementary activities of strategic planning, networking and coordination between programmes in different countries 19

20 Admissibility conditions for proposals Submitted via the electronic submission service Readable, accessible and printable Complete Includes a draft plan for the exploitation and dissemination of the results (if not otherwise specified) Page limits will apply, but will not block the overshooting proposals' evaluation 20

21 Eligibility conditions for proposals Proposal is in scope of the topic Standard minimum conditions: For standard collaborative actions (RIA and IA) 3 independent legal entities, each established in a different Member State and/or Associated country For CSA 1 legal entity Additional eligibility conditions can be set out in the Work Programme (i.e. number of participants, type of participants, etc.) 21

22 Entities established in a Member State / Associated Country* or third country identified in the WP (no third-country funding for the SME instrument) Entities created under European Union law (e.g. the JRC) International European interest organisation (e.g. CERN, ESA) Other entities, e.g. from industrialised third countries, may receive funding if: their participation is essential for the project or such funding is foreseen in a bilateral agreement between the Union and a third country / international organisation * Please note that Switzerland is an associated country for all calls For more details, please consult: 0-hi-swiss-part_en.pdf 22

23 Outcome of the UK referendum and Horizon 2020: State of Play Until the UK leaves the EU, EU law continues to apply to and within the UK, both when it comes to rights and obligations. This includes the eligibility of UK legal entities to participate in and receive funding from Horizon 2020 actions. Experts should therefore not evaluate proposals with UK participants any differently than before.

24 One reimbursement rate per action (same rate for all beneficiaries and all activities): Up to 100% for Research and Innovation actions (RIAs) and CSAs Up to 70% for Innovation actions (IAs) (non-profit entities up to 100%) WP may specify the reimbursement rate for specific cases One method for the calculation of indirect costs: Flat rate of 25% of total direct costs, excluding subcontracting, costs of third parties and financial support to third parties If provided in WP, lump sum or unit costs Funding cannot exceed total eligible costs minus receipts 24

25 Submit your proposal 25

26 Electronic Submission Electronic Submission System accessible from the Participant Portal's topic page 1. ECAS password 2. Participant Identification Code (PIC) compulsory for all partners 3. Prepare proposal On-line form for Part A Administrative forms Upload Part B Technical annex - pdf files 4. Validation-check button available on-line for Part A 5. Submit the proposal in good time before the 17h00 deadline Submission failure rate = + 1% Only reason for failure: waiting with submission until the last minute Technical problems Panic-induced errors (uploading the wrong proposal) Starting the uploading too late running out of time 26

27 Administrative forms 1/2 Section 1: General information Title, acronym, topic, etc. Fixed and free keywords 2000 character proposal abstract Re-application (re-submission) Declarations Section 2: Participants & contacts (one form per partner) PIC to identify the partner Department Dependencies Contact information 27

28 Administrative forms 2/2 Section 3: Budget and requested grant Section 4: Ethics' questionnaire Section 5: Call-specific questions Clinical trial, SME instrument, Open Data Pilot, ERANET, PCP, PPI Self-check for SME status, financial viability 28

29 Technical annex: 1 st PDF: sections 1-3 Structured around the three evaluation criteria: Section 1: criterion Excellence E.g. Objectives, concept, progress beyond state-of-art,... Section 2: criterion Impact E.g. Potential impact (with particular reference to the impact section in the WP); Measures to maximise impact (exploitation, dissemination to professional audiences, communication to the general public) Section 3: criterion Implementation E.g. Consortium and distribution of tasks Including work-package descriptions Information on third parties and subcontractors 29

30 Technical annex: 2 nd PDF: sections 4-5 Section 4: Members of the consortium, their skills and experience, involvement in similar projects etc. Section 5: Ethics and Security Templates are supplied by the submission system and available on the Participant Portal (on the topic pages) 30

31 Submission in H2020 Simpler but tougher page limits: - 70 pages for RIA and IA standard full proposals - 50 pages for CSA - 90 pages for PCP, PPI check if a stricter page limit applies (e.g. FETPROACT) in the topic conditions or proposal template warn and watermark : watermarked pages will not be taken into account in the evaluation Page limits only apply to sections 1-3 of the Technical Annex (1st PDF) 31

32 r calls with ed deadline ccessful electronic submission Each submission overwrites the previous one Make an early submission to check out the procedure and your proposal Make your final submission in good time then look at what you submitted while there is still time to submit a correct version ver (ever!) plan to submit in the last 30 minutes of the call!

33 020-ICT-2014: Proposal submissions of 16:25. Deadline was 17:00. Submitted Proposals Submitted Proposals ,

34 not forget to push e submit button!!

35 Evaluation process

36 aluation process Evaluators eceipt of roposals Individual evaluation Consensus group Panel Review Finalisation gibility check llocation of roposals to evaluators Individual Evaluation Reports (Usually Consensus Report (May be done remotely) Panel report Evaluation Summary Report Final ranked list

37 e evaluation procedure is similar to the e under FP7, however adapted to H2020 Consistent across the programme New types of calls; new types of proposals multi-disciplinary and multi-sectorial; more emphasis on innovation and close-to-market Simplification for applicants, experts, and for streamlined operations; 8 months time to grant (single-stage calls): 5 months to evaluate and inform applicants on

38 grant negotiation phase! roposal is evaluated as submitted not on its potential, if tain changes were to be made ortcomings are identified, but no recommendations de ortcomings are reflected in a lower score for the responding criterion posals with significant weaknesses that prevent the ject from achieving its objectives, or with seriously r-estimated resources will not receive above-threshold res;

39 Details, e.g. the sub-criteria, thresholds and weightings (if valuation of proposals Evaluation carried and monitored out by independent experts Evaluation (award) criteria Excellence Impact Quality and efficiency of the implementation

40 esearch and Innovation Actions (RIA)/Innovation Actions (IA) Extent that proposed work corresponds to the topic description in the work programme Excellence Clarity and pertinence of the objectives Soundness of the concept, and credibility of the proposed methodology Extent that proposed work is beyond the state of the art, and demonstrates innovation potential (e.g. ground-breaking objectives, novel concepts and approaches, new products, services or business and organisational models) Appropriate consideration of interdisciplinary approaches and, where relevant, use of stakeholder knowledge. Impact The expected impacts listed in the work programme under the relevant topic Any substantial impacts not mentioned in the WP, that would enhance innovation capacity; create new market opportunities, strengthen competitiveness and growth of companies, address issues related to climate change or the environment, or bring other important benefits for society Quality of proposed measures to exploit and disseminate project results (including IPR, manage data research where relevant);communicate the project activities to different target audiences (n/a SME Phase 1) ation Quality and effectiveness of the work plan, including extent to which resources assigned in work packages are in line with objectives/deliverables

41 ordination & Support Actions (CSA) Excellence Extent that proposed work corresponds to the topic description in the work programme Clarity and pertinence of the objectives Soundness of the concept, and credibility of the proposed methodology Quality of the proposed coordination and/or support measures Impact The expected impacts listed in the work programme under the relevant topic Quality of proposed measures to: - Exploit and disseminate project results (including IPR, manage data research where relevant); - Communicate the project activities to different target audiences ation Quality and effectiveness of the work plan, including extent to which resources assigned in work packages are in line with objectives/deliverables

42 There are deviations from the above! They can be oring/thresholds/weights The scores range from 0 to 5; Threshold for each individual criterion: 3; Total threshold: 10; For Innovation Actions impact criterion weighted by factor of 1.5 impact considered first when overall scores equal

43 ction criteria ational capacity (OC - no specific provisions) rational capacity means that the applicants must have the professional petencies and qualifications required to complete the proposed action or work gramme: it may be assessed on the basis of specific qualifications, professional erience and references in the field concerned. is checked against the information in the proposal's rt B section 4: Curricula Vitae or descriptions of the profiles of the applicants Relevant publications or achievements Relevant previous projects or activities Description of any significant research infrastructure or any major items of technical equipment

44 election of proposals In each topic, all above threshold proposals are listed in descending order of overall scores We select proposals starting from the top of the list until the available budget is consumed Hence, the ranking of proposal is very important

45 roposals with identical total scores For each group of proposals with identical total scores, the panel considers first proposals that address topics that are not already covered by more highly-ranked proposals The panel then orders them according to: First, their score for Excellence, And second, their score for Impact Or the other way round for IAs and where specified in the Work Programme (WP) If there are ties, the panel takes into account the following factors: First, the size of the budget allocated to SMEs Second, the gender balance of personnel carrying out the research and/or innovation activities If there are still ties, the panel agrees further factors to consider: e.g. synergies between projects or contribution to the objectives of the call or of Horizon 2020

46 thics review Only proposals that comply with the ethical principles and legislation may receive funding For proposals considered for funding, an ethics screening and, if necessary, an ethics assessment is carried out by independent ethics experts in parallel with or soon after the scientific evaluation For proposals in which one or more ethical issues are identified, the experts will assess whether the ethics issues have been adequately addressed by the applicants The ethics experts will produce an ethics report and give an opinion on the proposal, including: Granting ethics clearance (or not) Granting conditional ethics clearance: Fulfillment of ethics requirements either before grant signature or during project lifetime (contractual obligations), or Recommending an Ethics Assessment and/or Ethics Checks or Audits

47 Cross-cutting features - Innovation - RRI and SSH - Dissemination - Communication

48 Innovation in H2020 novation is mainstreamed in Horizon 2020 fferent aspects of innovation are called for under each of e 3 evaluation criteria (the same in RIA and IA): xcellence' criterion (excerpt) Extent that proposed work is beyond the state of the art, and demonstrates innovation potential mpact' criterion (excerpt) Any substantial impacts not mentioned in the WP, that would enhance innovation capacity; [ ] uality & efficiency of the implementation' (excerpt) Appropriateness of the management structures and procedures, including risk and innovation management.

49 Innovation is also being supported via: 'Procurement of Innovation' 'Inducement Prizes' SME Instrument 'Open Disruptive Innovation' 'Fast Track to Innovation'.

50 sponsible Research and Innovation (RRI) & Social Sciences and Humanities SSH) rganic approach to RRI/SSH across the WP e pervasiveness and radicality of the changes ICT brings out (e.g. the rise of hyperconnectivity) makes it critical r innovation to be responsible: o responsibility? No innovation! RI actions & SSH expertise are called for in e.g. Excellent cience (EXC), Industrial Leadership (LEIT), and Societal hallenges (SC) calls e info on RRI and SSH in WP 2016/2017: ttps://ec.europa.eu/digital-agenda/en/responsible-research-

51 ot on Open Research Data in H2020: scope n access: the practice of providing on-line access cientific information that is free of charge to other rs and that is re-usable. WP areas now participate in the Open earch Data Pilot elines on open access: ://ec.europa.eu/research/participants/data/ref/h2020/grants_ ual/hi/oa_pilot/h2020-hi-oa-pilot-guide_en.pdf

52 ta management in Horizon 2020 ata Management Plans (DMPs) mandatory for all ojects participating in the Pilot, optional for others DMPs are NOT part of the proposal evaluation, they need to be enerated within the first six months of the project as an obligatory eliverable and updated as needed All proposers to submit general information on data management - valuated under criterion 'Impact' P questions: What data will be collected / generated? What standards will be used / how will metadata be generated?

53 y disseminate? / Why communicate? use you have a good story and a clear message for a target audience. mination: Your project is successful and you want to: ild a community for discussion, project development, scaling up, bestctice exchange, experience sharing, piloting before market, etc. hlight a successful partnership and influence a choice for replicating d scaling up (MS participation, co-funding, collaboration instruments,.) ow that investment in innovation is worth it and you wish to ask a ecific audience (e.g. policy makers) for more investment munication:

54 semination & Communication actions in practice lan your Dissemination and communication actions: get started oon and identify the right timing ap your audiences and stakeholders uild a narrative which includes the EU policy your project ontributes to implement ind good stories: examples, facts and figures and use visualisation f appropriate (videos, infographics, figures) hoose the most appropriate style and language (it depends on our audience) to express the concepts and messages, choose the ost appropriate tools to reach your goals and target audience o social (use social media: Facebook, Twitter etc.)!

55 e are looking for more experts, particular female experts! Female Participation in ICT calls: Appropriately qualified professionals should apply to work as experts in H2020 evaluations Application via the Participant Portal % 38% 45%

56 hank you very much for your attention! uestion time! Your questions, please!