Space. Rules for. proposal submission. Christine Bernot. Toulouse 13/11/2013

Transcription

1 Horizon 2020 Space Rules for participation, proposal submission and evaluation Christine Bernot Head of Unit European Commission Research Executive Agency REA.S2 Space Research Toulouse 13/11/2013

2 Disclaimer Disclaimer 1 Horizon 2020 work programme and rules not final yet 7

3 Horizon 2020 Disclaimer 1 Three pillars Excellent Science Leadership in enabling and industrial technologies (LEIT) Societal Challenges 7

4 Overview Space Research: some statistics ti ti from FP7 Horizon 2020: timetable for Space New rules How to prepare and submit a proposal Evaluation and proposal selection Becoming an evaluator or rapporteur Grant preparation and awarding 4

5 Space Research Implementation: Research Executive Agency o Call handling, receipt of proposals, evaluation management, negotiation and signing of grant agreements, receipt of reporting, reviews, payments, audits New Mandate for Horizon 2020 Continued implementation of FP7 Space projects EU Space Policy + Horizon 2020 Space research: European Commission i DG ENTR 5

6 Space Research REA 6

7 FP7 Space Statistics Participations Source: REA, signed grant agreement data for FP7 Space calls 2007, 2009, 2010, 2011, 2012 and proposal data for call

8 FP7 Space Statistics Funding Source: REA, signed grant agreement data for FP7 Space calls 2007, 2009, 2010, 2011, 2012 and proposal data for call

9 Schedule Space Member States (Programme Committee) and Commission DGs preparing the work programme Sept-Oct 2013 Finalisation of procedure for WP Space 18 November 2013 Peselection Pre-selection of experts Nov Dec 2013 Preliminary Publication, Opening Call December 2013 Closure Cosu ecall 2014, Galileo: 3 April :00:00 EO, COMPET, PROTEC: 26 March 2014 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 Opening Call 2015 July 2014 Closure Call 2015 November 2014 TBC 9

10 Simplification & new rules 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 or more 10

11 Grant agreement The general model grant agreement shall comprise the general terms and conditions and the following annexes: 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). 11

12 Grant agreement Specific models: 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 d 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) 12

13 Types of action / Space Research 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 13

14 How to prepare & submit a proposal p 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 o Consider the time pressure: A careful presentation helps; avoid inconsistencies in the proposal; make it easy to find answers to criteria sub-questions 14

15 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) o Supporting documents (unless otherwise specified): CV or profile description of staff carrying out the work 1-5 publications and/or other research or innovation products 1-5 relevant previous projects/activities Relevant available infrastructure/equipment description Description of additional third parties contributing to the work 3. Readable, accessible and printable 4. Respect of page limits o Automatic warning in electronic submission system if exceeded and advise to re-submit a version that conforms; excess pages will bear watermark 15

16 Standard eligibility criteria can be supplemented or modified in the call conditions 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: Research & innovation action Innovation action Coordination & support 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. One legal entity established a Member State or associated country. Non-eligibility can also be discovered during/after evaluation 16

17 Countries eligible 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, Mayotte, Montserrat, New Caledonia, Pitcairn Islands, Saba, Saint Helena, Saint Pierre and Miquelon, Sint Eustasius, Sint Maarten, Turks and Caicos Islands, Wallis and Futuna, Netherland Antilles. Horizon 2020 associated countries (check website whether agreements signed) Third countries, except where this is explicitly excluded in the call text: 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, Macedonia FYR, Madagascar, Malawi, Malaysia, Maldives, Mali, Marshall Islands, Mauritania, Mauritius, Micronesia, Moldova, Mongolia, Montenegro, Morocco, Mozambique, Myanmar, Namibia, Nepal, Nicaragua, Niger, Nigeria, Pakistan, Palau, 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, West Bank and Gaza, Yemen, Zambia, Zimbabwe. More third countries only if explicitly mentioned in the call text. International ti European interest t organisations 17

18 Countries eligible to receive funding Legal entities established in countries not listed and international organisations will only be eligible for funding: 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

19 European Space Agency In general, ESA will not participate in LEIT-Space consortia (marked as exception to general eligibility conditions in work programme) However, ESA may participate in proposals submitted against some topics: o COMPET 3, 4, 7 (2014) o COMPET 4 (2015) ESA is supporting the REA in reviewing ongoing projects regarding their progress 19

20 Ethics appraisal Ethics self-assessment o Complete the Ethics issues table (EIT). 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 identified in the EIT 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 Ethics review (proposals eligible for funding) 1. Ethics screening (min 2 ethics experts): ethics ready, conditional clearance, ethics assessment 2. Ethics assessment: in-depth analysis (min 4 ethics experts): necessary elements provided and negotiation can be finalised, formulate requirements that become contractual obligations, insufficient basis to judge and GA signature postponed. 3. Ethics advisor, ethics boards 4. Ethics checks and audits 20

21 Gender equality in Horizon objectives Gender balance in decision-making i Advisory groups: 50 % men/women, at least one expert with gender expertise Evaluation panels and expert groups: 40 % under-represented represented sex, taking into account the situation in the field of the action Gender balance in research teams at all levels Model Grant Agreement Art 33: Best effort obligation to promote equal opportunities between men and women in the implementation of the action. They must aim, to the extent possible, for gender balance at all levels of personnel assigned to the action, including supervisory and managerial level. Gender dimension in research and innovation content Explicitly introduced as a component of research concept Flagging of topics with explicit gender dimension Follow-up through the research cycle from WP to reporting 21

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23 Calls Horizon 2020 SEARCH TOPICS F U N D I N G G U I D E COSME Search keywords: climate change Search Search Topics Call Updates Other Funding Opportunities Horizon 2020 predefined criteria: Cross cutting Key Enabling Technologies (KETs) International cooperation ERA NET SME Instrument Gender Socio economic science and Humanities Previous Framework Programmes (FP7 & CIP) 3 results Filter options: Open calls Closed calls Forthcoming calls Sort by: Publication date Title Deadline Call ID Stay informed RSS feed ical notification Topic: SFS : 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: Topic: WATER /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: Topic: WATER /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 ti 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:

24 Calls Horizon 2020 COSME Search Topics Call Updates Other Funding Opportunities Previous Framework Programmes (FP7 & CIP) Stay informed RSS feed ical notification Horizon 2020 Horizon 2020 is the new EU funding programme for research and innovation running from 2014 to 2020 with a 70 billion budget. The first calls for proposals for Horizon 2020 are envisaged for December Its simplified rules and submission and grant management tools should facilitate participants' tasks. For practical guidance, see the H2020 Funding Guide. H2020 supports SMEs with a new instrument that runs throughout various funded research and innovation fields, so it should be easy for SMEs to find opportunities in many calls. H2020 also aims to enhance EU international research cooperation so there are more opportunities for Third Country participation. Having built H2020 around the main societal challenges like an ageing population, food security, energy efficiency, the EU attaches high importance to embed socio-economic sciences and humanities into the work programme. Another important priority of the Commission is to ensure gender is embedded in the design of Horizon 2020 project proposals. FP7 and CIP previous programmes FP7 and CIP are previous instruments to fund research and innovation activities in Europe for the period 2007 to You can view closed calls information of these programmes. COSME Programme for the Competitiveness of Enterprises and SMEs (COSME) will run from 2014 to 2020, with a planned budget of 2.3bn. It will facilitate SME access to finance, create supportive environment for business creation, help small businesses operate outside their home countries and improve their access to markets. Other calls This page lists additional research activities, initiatives executed by several Member States or joint programmes, co-funded calls, thematic opportunities, and intergovernmental actions. Call updates The page displays the latest updates to the calls, like change of deadlines. Search The call search tool has several filtering options to help you select funding opportunities that are most relevant to your activities. 24

25 Calls Horizon 2020 HORIZON 2020 CALLS F U N D I N G G U I D E COSME Search Topics Call Updates Other Funding Opportunities Previous Framework Programmes (FP7 & CIP) Stay informed RSS feed ical notification Call: Water innovation: boosting its value for Europe Topic: Bridging the gap from innovative water solutions to market replication Topic Description Topic Conditions Call Documents Topic Conditions WATER /2015 Submission Service 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). Topic Evaluation results (single or first stage) Evaluation results (second stage) Indicative date for signing of grant agreements Maximum 6 Water Maximum 9 months after the months after the 1 deadline Should the call publication postponed, the dates deadline 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. 25

26 Calls Horizon 2020 HORIZON 2020 CALLS F U N D I N G G U I D E COSME Search Topics Call Updates Other Funding Opportunities Previous Framework Programmes (FP7 & CIP) Call: Water innovation: boosting its value for Europe Topic: Bridging the gap from innovative water solutions to market replication Topic Description Submission Service Topic Conditions Call Documents WATER /2015 Submission Service To access the Electronic Submission Service of the call, please select the type of action that is most relevant to your proposal from the list below. You will then be linked to the correct entry point. To access existing draft proposals for this call, please login to the Participant Portal and select the My Proposals page of the My Area section. Water1 START SUBMISSION Download the user guide of the Participant Portal Submission Service. Stay informed RSS feed ical notification 26

27 Proposal pre-registration pe eg 27

28 Submission flow Instrument* selection pre-registration consortia set-up Submission Summary Administrative Forms Proposal 28

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35 Submission cycle 35

36 Remote Proposal Admissibility / Eligibility Eligibility Individual evaluation From proposal to grant Remote / central Consensus Applicants informed of results of expert evaluation* invitation to submit second-stage proposal, when applicable Commission rejection decision Thresholds Panel review "Cross-reading" Commission ranking with hearing (optional) Negotiation Consultation of programme committee (if required) Ethical Ethics Review (if needed) (if needed) Security Scrutiny (if needed) Applicants informed of Commission decision Commission funding and/or rejection decision 36

37 Evaluation: Selection criteria Financial capacity: In line with the Financial Regulation and Rules for Participation. Checked by REA Operational capacity to carry out the proposed work, based on the competences, experience and complementarity of the individual participants, as well as of the consortium as a whole. Checked during evaluation of the award criterion Quality and efficiency of the implementation by evaluators = external experts 37

38 Evaluation: Award criteria Type of action: All types of action Excellence Taking into account to the extent that the proposed work corresponds to the topic description in the work programme: Clarity and pertinence of the objectives; Impact The extent to which the outputs of the project should contribute at the European and/or International level to: The expected impacts listed in the work programme under the relevant topic Quality and efficiency of the implementation The following aspects will be taken into account: Coherence and effectiveness of the work plan, including appropriateness of the allocation of tasks and resources; Research and innovation; Innovation; SME instrument Credibility of the proposed approach. Soundness of the concept, including trans-disciplinary considerations; Progress beyond the state of the art. Competences, experience and complementarity of the individual participants, as well as of the consortium as a whole (when relevant); Appropriateness of the management structures and procedures, including risk management. Enhancing innovation capacity and integration of new knowledge; Strengthening the competitiveness and growth of companies by developing and delivering innovations meeting the needs of European and global markets; 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; 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. 38

39 Proposal scoring First comments / justifications, then scores. Evaluation scores are awarded per criterion, scale from 0 to 5, half point scores may be given. Individual criteria threshold: 3 Total score threshold: 10 Innovation actions: Impact score = weight 1,5 to determine the ranking 39

40 Proposal scoring 0 - The proposal p fails to address the criterion under examination or cannot be judged due to missing or incomplete information 1 - Poor. The criterion is addressed in an inadequate manner, or there are serious inherent weaknesses Fair. While the proposal broadly addresses the criterion, there are significant weaknesses. 3 - Good. The proposal addresses the criterion well, although a number of shortcomings are present Very Good. The proposal addresses the criterion very well, although a small number of shortcomings are present. 5 - Excellent. The proposal successfully addresses all relevant aspects of the criterion in question. Any shortcomings are minor. 40

41 Ranking of proposals p 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 Criteria weight, priority criteria, other criteria Panel report 41

42 Evaluation experts Register! Contracting electronically via EMPP Roles: Evaluator, rapporteur, quality support, independent d observer Min 3 evaluators (+ 1 rapporteur per proposal) Experts may work max 120 days per 4 years EMPP, via Participant Portal Call for Expression of Interest for new experts for Horizon 2020 end November 2013 in OJ Update existing + enter new expert profiles Keyword lists for science (3300) and business (200), skills list Confirm availability for H FP7 Also for project reviewers 42

43 Grant preparation and awarding Initial information letter (ESR) Evaluation review procedure ("redress") Commission Decision / Negotiation mandate Negotiation letter (or rejection letter) o Starting with main list, later reserve list(s) o Instructions for coordinators and deadlines Re-validation of LEARs needed o New electronic signatures TTG 8 months (exceptions) 43

44 Grant preparation and awarding Interaction via the participant portal (here a mock-up) 44

45 Questions? p Thank you! 45