Horizon 2020: rules for participation, proposal submission and evaluation procedure Monique Bossi APRE- Italy COSMOS2020 JEUPISTE Workshop on SPACE in HORIZON 2020 Tokyo 19 May 2016
Content Horizon 2020 Open to the World Rules for Partiticipation Rules for submisison Rules for evaluation
HORIZON 2020 The European Union's programme For Research and Innovation Open to the world! Courtesy of the European Commission DG R&I - International Cooperation
The European Union 500 million people - 28 countries - a single market* 7% of the World's population 24% of world expenditure on research 32% of high-impact publications 32% of patent applications *Free movement of people, goods, services and capital
WHAT IS HORIZON 2020? A 80 billion research and innovation funding program (2014-2020) A response to economic crisis by investing in future jobs and growth It addresses people's concerns about their livelihoods, safety and environment Open to the world 5
Excellence Science European Research Council Supporting top researchers from anywhere in the world to work in Europe Future and Emerging Technologies Supporting visionary thinking through collaborations between science and engineering Marie Skłodowska-Curie actions Providing opportunities for training and career development of individual researchers Research infrastructures- including e-infrastructure Ensuring access to world-class facilities 6
Industrial Leadership Leadership in enabling and industrial technologies Emphasising key technologies in areas such as advanced manufacturing, microelectronics, nanotechnology, biotechnology, ICT and space 7
Societal Challenges Health, demographic change and wellbeing Food security, sustainable agriculture and forestry, marine and maritime and inland water research and the bioeconomy Secure, clean and efficient energy Smart, green and integrated transport Climate action, environment, resource efficiency and raw materials Inclusive, innovative and reflective societies Secure societies 8
HORIZON 2020: Open to the world GENERAL OPENNESS Horizon 2020 is open to participation of researchers from anywhere in the world, to: Extend the frontiers of scientific knowledge Tackle challenges that affect us all Make industries more competitive 9
HORIZON 2020: Open to the world 1. Projects can include international partners 2. Targeted opening - In certain topics in calls for proposals, inclusion of international partners may be: a) encouraged or b) required 3. Coordinated calls - Used for specific actions (e.g. identified through joint steering commites). Paired calls, linked evaluations, two contracts, e.g.: a) EU-Japan R&D Cooperation in Net Futures b) Partnering with Brazil on advanced biofuels 10
Rules for participation Minimum Conditions: For standard (cooperative) research projects: 3 participants from different Member States or associated countries In addition, participants from any other country in the world can also be included For actions aimed at individuals, like European Research Council or Marie Skłodowska-Curie: 1 researcher 1 host institution 1 project 11
Guide for funding for non-eu countries & international organisations http://ec.europa.eu/research/participants/dat a/ref/h2020/grants_manual/hi/3cpart/h2020- hi-3cpart_en.pdf
Eligibility for funding Eligible for automatic funding* Provided for in the work programme *Legal entities established in Member States Associated Countries Developing economies (Annex A) European Interest Organisations Provided for by bilateral agreement Exceptionally, project by project, decided by the European Commission No EU Funding 13
Guide to understand the rules Link to the Annotated Model Grant Agreement
Budgeting Direct and indirect costs Eligibility criteria Budget categories Budget transfers
Types of costs: Direct and indirect Direct costs are specific costs directly linked to the performance of the action and which can therefore be directly booked to it. Indirect costs are costs that cannot be identified as specific costs directly linked to the performance of the action.
One project one funding rate almost! Research and Innovation Action Coordination and Support Action All activities and all beneficiaries Direct costs 100 % Indirect costs 25 % flat- rate Total 100 euros 25 euros 125 Innovation Action Direct costs 70 % (100%) Indirect costs 25 % flatrate Total Profit beneficiaries 70 euros 17,5 euros 87,5 Non-profit beneficiaries 100 euros 25 euros 125
For actual costs General eligibility criteria For unit costs Actually incurred by the beneficiary Incurred in the project period Indicated in the budget Incurred in connection with the action as described in Annex 1 Identifiable and verifiable, recorded in the accounts Complying with the applicable legislation Reasonable, justified and complying with the principle of sound financial management (in particular regarding economy and efficiency) Calculated correctly Actually used in the period Necessary for implementing the action Number of units must be identifiable and verifiable
Ineligible costs In particular: Costs related to return on capital Debt and debt service charges Provisions for future losses or debts Interest owed Doubtful debts Currency exchange losses Bank costs charged by the beneficiary s bank for transfers from EU Excessive or reckless expenditure Deductible VAT Costs incurred during suspension of the implementation of action Costs declared under another EU grant
Budget for the proposal and budget categories
(A) Direct costs personnel costs Personnel working for the beneficiary under an employment contract and assigned to the action Costs for natural persons working under a direct contract with the beneficiary If under the beneficiary s instructions and on the beneficiary s premises If the result carried out belongs to the beneficiary The costs are not significantly different from normal personnel costs Costs of personnel seconded by a third party against payments Costs of owners of SMEs not receiving a salary (unit costs) Costs of beneficiaries that are natural persons not receiving a salary (unit costs)
B) Direct costs other direct costs Travel costs and related subsistence allowances Durable equipment and infrastructure (NB usually only depreciation) Costs of other goods and services Capitalised and operating costs of large research infrastructure
(B) Other direct costs: costs of other goods and services If purchased specifically for the action (!) and purchased according to best value or lowest price (if appropriate) If contributed in kind against payment For instance: Consumables and supplies Dissemination costs (e.g. open access) and conference fees Translation services Costs of intellectual property rights, incl. protecting results Internal invoices might be eligible NEW: certificates on the financial statements (CFS) when required If beneficiary normally considers these costs as indirect costs, the costs cannot be charged as direct costs in Horizon 2020
(C) Direct costs subcontracting Fulfil the general conditions for eligibility of costs Cover tasks described in Annex 1 Indicated in the budget of Annex 2 Best value for money, or, if appropriate, lowest price Avoid any conflicts of interest NEW: the Commission may approve subcontracts during reporting even if the Annex 1 has not be amended (beneficiary s own risk, though)
How does it work? Find a relevant call Find partner(s) Submit a proposal Get involved! 25
Where to find more information? Horizon 2020 Participant Portal Research and Innovation European Commission http://ec.europa.eu/research/participants/portal/desktop/en/home. html Horizon 2020 European Commission http://ec.europa.eu/programmes/horizon2020/ JEUPISTE website http://www.jeupiste.eu 26
Rules for submissiond! Thank You!
FROM THE OPEN CALL TO THE DEADLINE 1 st stage Consortium meeting 2 nd stage Homework 3 rd stage Preparation of first draft of Proposal Aim of the project, research question, distribution of work (Science, Management and Editors!!) Proposal writing (inputs from partners WP leaders and coordinator!) First proposal draft (summarised by lead scientist and support service: science, impact, implementation) 5-6 months before deadline 4-5 months before deadline 3 months before deadline 4 th stage Core group meeting 5 th stage Full proposal completion IN or OUT Final agreement (aim and research question, WP, timeline, outputs/deliverables, budget, etc.) Proposal writing (including editing, proof read and external review) (Lead scientist, Support service, External experts) 3 months before deadline Last two months 28
Timeline 1. Average time spent by coordinator: 350-450 hours = 45-60 working days (full time) 2. Average time spent by Work package leader: 70-100 hours = 9-14 working days (full time) 3. Approx. 50% Emailing (!!!) 29
Proposal Submission Service 1. Select your topic 2. Select the action type 3. Log in or create your ECAS account to access the proposal submission system 4. Prepare your draft proposal 5. Continue the preparation or quit and come back later The tool is available from call/submission launch to a until call deadline. 30
Proposal submission step-by-step Select topic and type of action Login Pre-registration Consortium set-up Administrative form & Part B or Annexes Form filling Submission 31
Place of the Participant Portal in EU s Research communication media 3 Internet portals related to Horizon 2020: RESEARCH on EUROPA policy context http://ec.europa.eu/research PARTICIPANT PORTAL interactions with participants http://ec.europa.eu/research/participants/portal CORDIS dissemination of results http://cordis.europa.eu 32
Research Participant Portal Offers external stakeholders a unique entry point for the interactions with the European Commission or Agencies in handling grant-related actions, based on: ECAS Single sign-on (1 ECAS account = 1 e-mail address = 1 person) + = IAM Access rights based on role authorisation Personalised services on the Participant Portal Brings homogeneity, transparency and better service integration for grant management. 33
ECAS login or registration Public access Personalised access to the IT tools Personalised acce to the user accou
Personalised services Participant Portal services: overview Funding Opportunities How to Participate Experts Support My Organisation(s) My Proposal(s) My Project(s) My Notification(s) My Expert Area 35
My Proposal(s) Look for the My Proposals folder in the Portal to edit draft or submitted proposals, delete or withdraw them once they are in a draft or submitted state. To create new proposals, always start from the topic page! 36
37
Prepare the list of participants: 1. Add Partners: choose the PIC number or use the search Call, type of action, deadline, topic reference in a read-only mode here. 2. Add contact persons: - choose the level of right for the person (full or readonly), and - define the role of the person in the proposal (Main contact or contact person)
Prepare the administrative form: Edit form 39
Rules for submissiond! Thank You!
VERY FIRST STEP! http://ec.europa.eu/research/participants/dat a/ref/h2020/call_ptef/ef/h2020-call-ef-ria-iacsa_en.pdf http://ec.europa.eu/research/participants/dat a/ref/h2020/grants_manual/pse/h2020- evaluation-faq_en.pdf 41
Proposal structure Based around evaluation criteria: Excellence Eg. Objectives, concept, progress beyond state-of-art.. Impact Eg. Potential impact (incl. with reference to WP); measures to maximise impact (dissemination, communication, exploitation) Implementation Including work packages descriptions
Eligibility check EU Commission will check your proposal for eligibility (against the general eligibility criteria set out in General Annexes A and C to the work programme and the specific eligibility conditions set out in the work programme for your call). Example: Research & innovation actions require, for instance, a minimum of three independent legal entities established in different Member States or associated countries. Specific cases: In the case of two-stage submission schemes, an eligibility check is carried out at first stage. At second stage, we will check that the eligibility conditions are still complied with.
Evaluation of proposals The EC: chooses its experts evaluates your operational capacity evaluates your proposal establishes its ranked list
Evaluation Process Proposal Eligible proposal Expert Expert Expert Expert Expert Minimum 3 experts Individual Evaluation Report Individual Evaluation Report Individual Evaluation Report Individual evaluation Individual Evaluation Report Consensus group Individual Evaluation Report Consensus Consensus Report 45
The scoring scale 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, but there are significant weaknesses. 3 Good. The proposal addresses the criterion well, but a number of shortcomings are present. 4 Very Good. The proposal addresses the criterion very well, but a small number of shortcomings are present. 5 Excellent. The proposal successfully addresses all relevant aspects of the criterion. Any shortcomings are minor.
Scoring/weights/thresholds Each criterion scored out of 5 individual threshold of 3; overall threshold of 10 For Innovation Actions and SME instrument impact criterion weighted by factor of 1.5 Impact considered first when scores equal
ありがとう Thank you Monique Bossi APRE Agency for the Promotion of European Research, IT bossi@apre.it 53