Corso Soci APRE CNR 20 Febbraio Katia Insogna H2020 MSCA/Widening Participation NCP Project coordinator

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1 Corso Soci APRE CNR 20 Febbraio 2014 Katia Insogna H2020 MSCA/Widening Participation NCP Project coordinator

2 Agenda Horizon 2020 Schemi di finanziamento/regole di partecipazione: focus su RIA, IA, CSA La cooperazione internazionale Come utilizzare il PP e il SEP La valutazione e time to grant Strutturare l idea progettuale Come scrivere una proposta di successo 2

3 Struttura del programma Excellent Science European Research Council Frontier research by the best individual teams Future and Emerging Technologies BOTTOM Collaborative research to open new fields of innovation UP Marie Skłodowska Curie actions Opportunities for training and career development TOP - Research infrastructures (including e-infrastructure) DOWN Ensuring access to world-class facilities Industrial Technologies Leadership in enabling and industrial technologies ICT, nanotechnologies, materials, biotechnology, manufacturing, space TOP - Access to risk finance Leveraging private DOWN finance and venture capital for research and innovation BOTTOM UP Innovation in SMEs Fostering all forms of innovation (SME) in all types of SMEs Societal Challenges Health, demographic change and wellbeing Food security, sustainable agriculture, marine and maritime research & the bioeconomy TOP - Secure, clean and DOWN efficient energy Smart, green and integrated BOTTOM transport Climate action, resource UP efficiency and raw materials Inclusive, (SME) innovative and reflective societies Security society European Institute of Innovation and Technology (EIT) Spreading Excellence and Widening Participation Science with and for society Joint Research Center (JRC) Euratom 3

4 Budget da FP1 a Horizon 2020 Programmi Quadro quadriennali e quinquennali Programmi Quadro settennali.

5 Ripartizione finanziaria EIT 3% Widening.. Science.. 1% 1% JRC 2% Societal Challenges 39% Excellent Science 32% Industrial Leadership 22% 5

6 Gli schemi di finanziamento IMPLEMENTAZIONE DI H2020 6

7 Forms of funding Grants Direct financial contribution by way of donation in order to finance an action Prizes Financial contribution given as reward following a contest Procurement Supply of assets, execution of works or provision of services against payment Financial instruments Equity or quasi-equity investments; loans; guarantees; other risk-sharing instruments

8 Types of Actions Research and Innovation Actions v. Innovation Actions (through collaborative projects) Coordination and Support Actions (through calls for proposals or to identified beneficiaries) Programme Co-fund Actions ERA-NET PCP-PPI (not in current Energy WPs) Marie Skłodowska-Curie (separate Work Programme) European Joint Programme Other Types of Actions SME Instrument Financial Instruments Prizes Procurement (studies, conferences, specific services)

9 GRANTS

10 Tipologie di progetti collaborativi (1) Research and Innovation Actions Basic research, applied research, technology development and integration, and testing e validation on a small scale prototype in a laboratory or simulated environment Innovation Actions Prototyping, testing, demostrating, piloting, large - scale product validation and market replication 10

11 Types of Actions Research/Innovation Research and Innovation Actions NO RfP definition but description in the WP annexes They are actions with Research and Development activities as the core of the project intending to establish new scientific and technical knowledge and/or explore the feasibility of a new or improved technology, product, process, service or solution - may include basic and applied research, technology development and integration, testing and validation on a small-scale prototype in a laboratory or simulated environment - may contain closely connected but limited demonstration or pilot activities aiming to show technical feasibility in a near to operational environment 100% funding rate "Pure" Innovation Actions RfP definition "'Innovation action' means an 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" 70% funding rate (100% for non-profit legal entities)

12 Types of Actions Research/Innovation Overlaps 'prototyping', 'testing', 'demonstrating' and 'piloting' not specific to innovation activities; they are also used to describe research and development activities (100% funding) In the case of a Research and Innovation action, these activities are undertaken on a small scale prototype, in a laboratory or simulated environment Innovation projects may include limited research and development activities. Type of project expected, funding and Technology Readiness Level scale indicated in the WP topics

13 Tipologie di progetti collaborativi (2) Research and Innovation Actions Funding rate: 100% Innovation Actions Funding rate: 70%/100% TRL: 1 5/6 + clinical trials in phases 1 to 3 TRL: 6 to 7/8 or 9 13

14 General Annexes G «Technology Readiness Level» 14

15 Tipologie di progetti di accompagnamento Coordination and Support Actions Funding rate: 100% 15

16 ypes of Actions Coordination and Support Coordination and 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. 100% funding rate 25% indirect costs!!!!! Substantially similar to FP7

17 Conditions for participation Minimum conditions For standard collaborative actions At least, 3 legal independent entities, each established in different MS/AC For SME Instrument, ERC, MSC, programme co-fund, CSA 1 legal entity established in a MS/AC Additional conditions To be set out in the Work Programme (i.e. number of participants, type of participants, etc.)

18 Eligibility for funding Entities established in Member States or associated countries or third country identified in the WP Entities created under Union law International European interest organisation Other entities may receive funding if: participation is essential or such funding foreseen in bilateral arrangement between the Union and third country/international organisation Disclaimer : legally not binding

19 Azione trasversale COOPERAZIONE INTERNAZIONALE 19

20 COOPERAZIONE INTERNAZIONALE Communication entitled 'ENHANCING AND FOCUSING EU INTERNATIONAL COOPERATION IN RESEARCH AND INNOVATION: A STRATEGIC APPROACH' (COM(2012) 497) 20

21 STRUMENTI STRUMENTI POLITICI more strategic use of S&T agreements with key third countries strategic partnerships increased synergies across the Commission, more visibility for STI in general cooperation frameworks STRUMENTI DI FINANZIAMENTO collaborative projects (third country participation required and/or taken into account in evaluation) networking between existing projects joint initiatives of Union and third countries: coordinated calls, contribution of Union to third country/international organisations, ERA- Net RACCOLTA INFORMAZIONI: Research & Innovation Observatory (multiple sources: ERAWATCH, OECD, UNESCO, EEAS Delegations and Counsellors, ) 21

22 INTERNATIONAL COOPERATION IN HORIZON 2020 Attività mirate nei pilastri societal challenges e industrial leadership Projects with required or preferential 3 rd country participation Joint calls, delegated management, ERA-NET Pilastro Excellent science Marie Skłodowska-Curie Fellowships : strong international dimension Development of global research infrastructures ERC open to researchers from all over the world - research to be carried out mostly in Member States or Associated Countries Azioni cross-cutting dedicate Inclusive, Innovative and Secure Societies challenge (6 challenge) Support for to policy dialogue Networking and twinning activities Coordination of EU and MS/AC international cooperation policies Strengthening of European presence in international partner countries 22

23 Automatic funding Member States (+ OCT) Associated Countries (under process) International Cooperation Partner Countries Non industrialised (e.g. USA, Canada, Japan, South Korea, New Zeland, Australia ) Non Brazil, Russia, India, China + Mexico General Annexes A «List of Countries and applicable rules for funding» 23

24 Participant Portal and SEP: general overview of the system. Starting from the project proposal to the final report

25 Participant Portal general information The Horizon 2020 is the EU s largest instrument for funding research and innovation 3 Internet portals related to the H2020 are currently available: RESEARCH on EUROPA: political information

26 Participant Portal general information The Participant Portal is the single entry point for electronic administration of EU-funded research and innovation projects, and hosts the services for managing your proposals and projects throughout their lifecycle Public access ECAS login

27 Non-registered users may: search for funding Participant Portal read the funding guide & download the legal documents check if an organisation is already registered get the information on expert database contact the support services or check FAQs Registered users may: submit the proposal sign the grant manage their project throughout its lifecycle register as an expert

28 Funding opportunities

29

30 How to participate

31 Registration process Fill in your address and the security check Follow the instruction given in the received

32 PARTICIPANT PORTAL ECAS ACCOUNT

33 Once logged in

34 Electronic Submission Service - SEP The electronic proposal submission system: integrated in the Participant Portal the servise is available linked to an open call draft and submitted proposals are accessible under the My Proposals tab Instrument selection Pre-registration Consortium setup Edit proposal &submission Form filling Submission Steps for proposal submission

35 Project information My Projects Access the available tools for the project View project details with basic information, abstract and list of participants View all roles in the project If you have sufficient rights, you may also nominate and revoke roles for other persons according to the current AN Access Negotiation AA Access Amendment FR Financial Reporting PR Periodic Reporting RD Reporting & Deliverables

36 H2020 Submission process and templates

37 Electronic Submission Service - SEP The electronic proposal submission system: integrated in the Participant Portal the servise is available linked to an open call draft and submitted proposals are accessible under the My Proposals tab Steps for proposal submission Instrument selection Pre-registration Consortium setup Edit proposal &submission Form filling Submission

38

39

40 PART B Technical PART A Administrative

41 Forms and Templates Standard proposal template RIA, IA Standard proposal template CSA Standard proposal template PCP, PPI Standard proposal template ERA-NET Standard proposal template EJP Standard proposal template SME-PHASE1 Standard proposal template SME-PHASE2 Standard proposal form PRIZES MSCA standard proposal template MSCA-IF-EF/GF/RF MSCA standard proposal template ITN-ETN/EID/EJD MSCA standard proposal template RISE MSCA standard proposal template COFUND-DP/FP ERC standard proposal template STG ERC standard proposal template COG ERC standard proposal template ADG ERC proposal template for PoC

42 Who can have access to the proposal Full access (= coordinator contact or participant contact) or read-only rights (= team member) for any contact person of the proposal Labels added to the contact persons at Step 4 to show the role of the person within the project: Main Contact Person/Contact Person Person Main Host Institution Contact /Principal Investigator or Fellow/Contact Rights to be managed in the Submission tool until call closure, after that in the Participant Portal. All contact persons receive access rights and are listed in Part A.

43 FUNDING GUIDE Participant Portal/How To Participate

44 Process to grant and signature of GA A maximum Time To Grant of 8 months 5 months for informing all applicants on scientific evaluation Remarks : 3 months for signature of GA no changes of the composition of the consortium (removal or substitution needs to be duly justified) before signature of the grant agreement No provision for competitive call in order to include new beneficiaries

45 TEMPISTICA PER I PAGAMENTI (art.21) PAGAMENTI CE: 90 anziché 105 giorni dalla presentazione del Periodic Report ALTRE NOVITA INTRODOTTE DAL REGOLAMENTO FINANZIARIO (già operative in FP7, a partire dal 1 Gennaio 2013) CONTO CORRENTE FRUTTIFERO: non più obbligatorio per il coordinatore INTERESSI SUL PRE-FINANCING: non più richiesti al coordinatore PRESENTAZIONE ELETTRONICA DEI FORM C

46 H2020 Evaluation

47 Evaluation process Eligibility Check? Individual Reading (Remote) Consensus Panel review 47

48 but adapting to Horizon 2020 New types of call; new types of proposal multi-disciplinary and multi-sectoral; more emphasis on innovation and close-to-market; Simplification, for applicants, experts, and for streamlined operations; Coherence across the progamme

49 Evaluation Process Chain of individual, consensus and panel review maintained. But changes w.r.t. FP7: Dealing with multi-disciplinary/sectoral proposals New expert profiles, new blood; Call for experts planned for November Robust rules on expert turnover; More experts per proposal; Clear procedures for cases where experts disagree Dealing with 8 month TTG Proposals strictly evaluated on their own merit No recommendations for substantial changes More multi-step (stopping evaluation when threshold failed) Fast and simplified procedure for SME instrument (i.a.)

50 Award criteria: Research and Innovation; Innovation Actions 1. Excellence Clarity of the objectives; Soundness of the concept, including transdisciplinary considerations; Credibility of the proposed approach; Progress beyond the state of the art. 2. Impact: [ ] contribution to: The expected impacts listed in the work programme 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; measures to, disseminate and exploit the project results, communication. 3. Quality and efficiency of implementation Coherence and effectiveness of work plan, allocation of tasks, resources; Competences, experience and complementarity of the individual participants, as well as of the consortium as a whole; Appropriateness of the management structures and procedures.risk management.

51 Scoring/weights/thresholds As in FP7 each criterion scored out of 5; individual threshold of 3; overall threshold of 10 Unlike FP7, for Innovation Actions and SME instrument impact criterion weighted by factor of 1.5 Impact considered first when scores equal

52 Scoring Scores must be in the range 1-5. Half marks may be given. Interpretation of the scores 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.

53 Selection of proposals All above threshold proposals in each topic are listed in descending order of overall score We select proposals starting from the top of the list, until the available budget is exhausted So, ranking of proposal is very important 53

54 Priority of proposals with equal score For each group of tied proposals First consider those that "fill gaps" in the WP Of those, look at score for 'excellence', then at score for 'impact' (reverse for Innovation actions & SME instrument) If still equal, look at SME budget If still equal look at gender balance in key personnel If still equal, consider other factors (overall portfolio, wider H2020, EU objectives etc) Then repeat for those that don't "fill gaps"

55 Two stage submission The first-stage only the criteria excellence and impact will be evaluated The threshold for both individual criteria will be 4

56 Experts Appropriately qualified individuals may apply to work as experts in H2020 evaluations Application via Participant Portal Selection per call to ensure broad ranging and expert group; avoiding conflicts of interest Call for experts in November

57 2. Expert registration The programme selected on the first page determines the area of expertise trees Area of expertise section revised for H2020 Specialist fields 2 trees: science, business & innovation Pre-defined themes: level 2 of H2020 taxonomy 57

58 2. Expert registration Experts will access the Registration Service from two different locations: Experts wishing to take part in Research programmes will access the service from the Participant Portal. Experts wishing to take part in Education, Audiovisual and Culture programmes will access the Registration Service from the Education, Audio visual & Culture Executive Agency page on Europa. The forms are common for experts for all programmes with some specificities notably the area of expertise section with different 'tree structures' for specialist fields and pre-defined themes. 58

59 Support and help Participant Portal ECAS account creation https://webgate.ec.europa.eu/cas/eim/external/register.cgi FAQ Helpdesk enquiry_service.html Unique Registration Facility User s Guide https://ec.europa.eu/research/participants/portal4/desktop/en/organisations/in dex.html

60 Per maggiori informazioni: 60

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