Corso Soci APRE

CNR 20 Febbraio 2014

Katia Insogna H2020 MSCA/Widening Participation NCP

Project coordinator

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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

Excellent Science European Research Council Frontier research by the best

individual teams Future and Emerging

Technologies Collaborative research to open

new fields of innovation Marie Skłodowska Curie actions Opportunities for training and

career development Research infrastructures

(including e-infrastructure) Ensuring access to world-class

facilities

Industrial Technologies Leadership in enabling and

industrial technologies ICT, nanotechnologies,

materials, biotechnology, manufacturing, space

Access to risk finance Leveraging private finance and

venture capital for research and innovation

Innovation in SMEs Fostering all forms of

innovation in all types of SMEs

Societal Challenges

Health, demographic change and wellbeing Food security, sustainable

agriculture, marine and maritime research & the bioeconomy Secure, clean and efficient

energy Smart, green and integrated

transport Climate action, resource

efficiency and raw materials Inclusive, 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)

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BOTTOM UP

TOP - DOWN

BOTTOM UP

(SME)

TOP - DOWN

BOTTOM UP

(SME) TOP - DOWN

Struttura del programma

Euratom

Budget da FP1 a Horizon 2020

Programmi Quadro quadriennali e quinquennali Programmi Quadro settennali.

Ripartizione finanziaria

Excellent Science

32%

Industrial Leadership

22%

Societal Challenges

39%

EIT 3%

Science.. 1%

Widening.. 1%

JRC 2%

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IMPLEMENTAZIONE DI H2020 Gli schemi di finanziamento

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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

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)

Types of Actions

GRANTS

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

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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)

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

Types of Actions – Research/Innovation

Tipologie di progetti collaborativi (2)

Research and Innovation Actions

Funding rate: 100%

TRL: 1 – 5/6 + clinical trials in phases 1 to 3

Innovation Actions

Funding rate: 70%/100%

TRL: 6 to 7/8 or 9

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14 General Annexes G «Technology Readiness Level»

Tipologie di progetti di accompagnamento

Coordination and Support Actions

Funding rate: 100%

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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

Types of Actions – Coordination and Support

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.)

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

COOPERAZIONE INTERNAZIONALE Azione trasversale

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COOPERAZIONE INTERNAZIONALE Communication entitled

'ENHANCING AND FOCUSING EU INTERNATIONAL COOPERATION IN RESEARCH AND INNOVATION: A

STRATEGIC APPROACH'

(COM(2012) 497)

http://ec.europa.eu/research/iscp/index.cfm?pg=strategy

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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,…)

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INTERNATIONAL COOPERATION IN HORIZON 2020

Attività mirate nei pilastri societal challenges e industrial leadership

Projects with required or preferential 3rd 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

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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

23 General Annexes A «List of Countries and applicable rules for funding»

Participant Portal and SEP: general overview of the system.

Starting from the project proposal to the final report

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 • http://ec.europa.eu/research/index.cfm

Participant Portal – general information

http://ec.europa.eu/research/participants/portal/desktop/en/home.html

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

Participant Portal Non-registered users may: • search for funding • 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

Funding opportunities

How to participate

Registration process

• Fill in your email address and the security check • Follow the instruction given in the email received

PARTICIPANT PORTAL ECAS ACCOUNT

Once logged in …

Instrument selection Pre-registration Consortium set-

up Edit proposal &submission Form filling Submission

• 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

Electronic Submission Service - SEP

Project information – My Projects

•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

Access the available tools for the project AN – Access Negotiation AA – Access Amendment FR – Financial Reporting PR – Periodic Reporting RD – Reporting & Deliverables

H2020

Submission process and templates

Instrument selection Pre-registration Consortium set-

up Edit proposal &submission Form filling Submission

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

Electronic Submission Service - SEP

PART A Administrative

PART B Technical

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

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

Main Host Institution Contact /Principal Investigator or Fellow/Contact Person

• 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.

FUNDING GUIDE

Participant Portal/How To Participate

Process to grant and signature of GA

Remarks : • 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

A maximum Time To Grant of 8 months

5 months for informing all applicants

on scientific evaluation

3 months for signature of GA

TEMPISTICA PER I PAGAMENTI (art.21)

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

PAGAMENTI CE: 90 anziché 105 giorni dalla presentazione del Periodic Report

H2020

Evaluation

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Panel review

Consensus Individual Reading (Remote)

Eligibility Check?

Evaluation process

…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

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.)

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.

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

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.

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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

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"

Two stage submission

The first-stage only the criteria ‘excellence’ and ‘impact’ will be evaluated

The threshold for both individual criteria will be 4

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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 2013

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

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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.

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Support and help Participant Portal http://ec.europa.eu/research/participants/portal/desktop/en/home.html ECAS account creation https://webgate.ec.europa.eu/cas/eim/external/register.cgi

FAQ http://ec.europa.eu/research/participants/portal/desktop/en/support/faq.html

Helpdesk http://ec.europa.eu/research/participants/portal/desktop/en/support/research_

enquiry_service.html

Unique Registration Facility – User’s Guide https://ec.europa.eu/research/participants/portal4/desktop/en/organisations/in

dex.html

Per maggiori informazioni: http://ec.europa.eu/research/horizon2020/index_en.cfm

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