Horizon 2020

Consortium Building

13 December 2016

Dr Alex Berry

UKRO European Advisor

Alexandra.berry@bbsrc.ac.uk

• Introduction to UKRO

• Meeting the minimum requirements

• How to find consortium partners

• Things to consider when selecting partners

• Evaluation points to consider

Agenda

• UKRO is the office of the seven UK Research Councils in Brussels and delivers a subscription-based advisory service for around 150 research organisations in the UK and beyond.

• UKRO also provides National Contact Point services on behalf of the UK Government.

• Our mission is to maximise UK engagement in EU-funded research, innovation and higher education

About us

• https://www.ukro.ac.uk/aboutukro/Pages/register.aspx

• Tailored news articles on EU funding and policy

• UKRO Factsheets on Horizon 2020 and other funding streams

• Email alert function and search engine with refiners and tags

• Daily or weekly alerts - personalise your account to best meet your needs!

UKRO Portal – sign up today at

www.ukro.ac.uk

Whether you are a researcher, European liaison officer or research manager/administrator – you can sign up for free to stay up-to-date with the latest news, opportunities and insight into European funding

• UKRO Portal: always up to date with the latest in EU funding and policy

• Enquiry service and you dedicated European Advisor: individual support and advice, all year round

• Annual visit: a tailored event for your institution

• Meeting room: a venue in Brussels – free of charge

• Specialist training courses, focus groups and information events: providing in-depth insight into EU programmes

• Annual conference for European officers: the latest information on programmes and policies presented by European Commission staff, and other speakers

• UK National Contact Points for the Marie Curie Actions and the European Research Council (ERC)

Our suite of services

• Provide advice on the ERC/MSCA and their grant schemes

• Websites– www.ukro.ac.uk/erc

– www.ukro.ac.uk/mariecurie

• Helpdesks– Email: erc-uk@bbsrc.ac.uk, mariecurie-uk@bbsrc.ac.uk

– Phone: ERC: +32 2289 6121; MSCA + 32 2 230 0318

• Funded by the Department for Business, Energy and Industrial Strategy

ERC and MSCA

UK National Contact Points

Horizon 2020:

Consortium BuildingMeeting the minimum requirements

Collaboration in Horizon 2020

Excellent Science

European Research Council (ERC)

Future and Emerging Technologies (FET)

Marie Skłodowska-Curie Actions (MSCA)

Research Infrastructures

Industrial Leadership

Leadership in Enabling and Industrial

Technologies (LEIT) -ICT, NMBP, Space

Access to Risk Finance

Innovation in SMEs

Societal Challenges

Health and Wellbeing

Food security

Transport

Energy

Climate action

Societies

Security

Spreading Excellence and Widening Participation; Science with and for Society; Cross-cutting activities – focus areas; Fast Track to Innovation

European Institute of Innovation and

Technology (EIT)EURATOM

Joint Research Centre (JRC)

Will frequently take the form of:• Research and Innovation Actions:

– “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 […]”

– Multi-beneficiary: minimum three legal entities each of which established in a different Member State or Associated Country

– Funding rate: 100% + 25% indirect cost flat rate

• Innovation Actions:– “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 […]”

– Multi-beneficiary: minimum three legal entities each of which established in a different Member State or Associated Country

– Funding rate: 70% (100% for non-profit legal entities) + 25% indirect cost flat rate

Collaboration in Horizon 2020 (cont.)

But note that different requirements may be specified, e.g.:

• Marie Skłodowska-Curie Actions - Innovative Training Networks: “[A]im to train a new generation of creative, entrepreneurial and innovative early-stage researchers, able to face current and future challenges and to convert knowledge and ideas into products and services for economic and social benefit”

• From ICT Work Programme part (EU-Japan Joint Call): “Proposals submitted to this call which do not include coordination with a Japanese proposal submitted to MIC or NICT for evaluation will be considered ineligible”

Collaboration in Horizon 2020 (cont.)

• All 28 EU Member States (MS)

• Overseas Countries and Territories linked to the MS– Anguilla, Aruba, Bermuda, Bonaire, British Virgin Islands, Cayman

Islands, Curaçao, Falkland Islands, French Polynesia, Greenland, Montserrat, New Caledonia, Pitcairn Islands, Saba, Saint Barthélémy, Saint Helena, Saint Pierre and Miquelon, Sint Eustatius, Sint Maarten, Turks and Caicos Islands, Wallis and Futuna

• Associated Countries: – Norway, Albania, Bosnia and Herzegovina, the former Yugoslav Republic

of Macedonia, Montenegro, Serbia, Turkey, Israel, Moldova, Switzerland (partial association Pillar 1 + SEWP + Euratom), Faroe Islands + Tunisia and Ukraine pending approval)

• Third countries (whether they can receive funding depends on GDP/list in WP)

H2020 - Who is Eligible?

Applicants not automatically eligible for funding may be granted funding if:

• Funding explicitly foreseen in call text

• Provided for under bilateral agreement between Union and third country/international organisation (e.g. in the area of Health)

• Participation deemed essential for carrying out the action by Commission or relevant funding body:– Outstanding competence/expertise

– Access to research infrastructure

– Access to particular geographical environment

– Access to data

Not automatically eligible for funding

• In most cases the minimum criteria are three legal entities each of which established in a different Member State or associated country

• Exceptions to the rule: ERC, MSCA, prizes…

• Open access to publications and open data pilot

• Ethics, research integrity,

• See General Annex C to the 2016-2017 Work programme for standard eligibility conditions

H2020- Participation Criteria

Horizon 2020:

Consortium BuildingHow to find consortium partners

• Normally - at least 3 legal entities from 3 different EU member states or Horizon 2020 Associated Countries

• Additional legal entities depending on project

• Strong emphasis on ‘Innovation’ in Horizon 2020 – where appropriate include non-academic sector partners e.g. SMEs

• Mention of international collaboration with e.g. BRIC doesn’t guarantee funding

• Consider:– Who you have worked well with before

– What your expectations are

– Budget, IPR, management issues as early as possible

What Should My Consortium Look Like?

• Can be the easiest way to get involved

• BUT be sure that it is right for you– What do you know about the consortium and its members?

– Do you know who is Co-ordinating it?

– Is the project appropriate for you?

– Are you happy with your proposed role?

– Are you happy with your proposed funding?

– Have you checked this with your organisation – it is the organisation that will be the ‘partner’, not you

• The consortium can change up until the contract is signed (if successful)

Invited to Join a Consortium?

• Be focused and know what you want to do

• Find out who the key researchers are

• Take up all opportunities for contact

• Raise your profile

• Consider what your ‘unique selling point’ is

• Attend EC Information days – good networking opportunity (see later for more information)

• Use networks and JPIs, ETPs etc. to “advertise” your availability

• Scope potential collaboration opportunities for the future by joining COST Actions – www.cost.eu

Looking to Join a Consortium?

• Existing contacts

• FP7/Horizon 2020 projects on CORDIS

• EC networking/brokerage events

• Partner searches (NB: use with caution):– National Contact Points

– CORDIS partner search (create profile)

– IDEAL-IST (ICT research)/NMP/Fit for Health/Transport/Energy/ Climate action/Enterprise Europe Network

• Social media (e.g. LinkedIn)

How to find consortium partners?

ICT

Ideal-ist

Health

Fit for Health

Transport

ETNA Plus

Energy

C-Energy 2020

SSH

Net4Society

NMP

NMP TeAmCORDIS

Climate action, Environment,

Resource Efficiency and Raw Materials

NCPs CaRE

Eurpean Innovation

Partnerships

Enterprise Europe

Network

European Technology Platforms

• Industrial leadership events:– ICT: ICT Proposers’ day, Bratislava, 26-27 September 2016 (past)– NMBP: Factories of the Future Conference, 15-16 September 2016 (past)– Space: various Info days– Also: Info day on Research Public-Private Partnerships, 14 October 2016

• Societal challenges events:– SC1 (Health and Wellbeing): Info day, Brussels, 8 July 2016 (past)– SC2 (Food security): Info week, Brussels, 27-29 June 2016 (past)– SC3 (Energy): Energy Efficiency Call Info day, Brussels, 19 September 2016 (past)– SC4 (Transport): Info day and brokerage event, Brussels, 28 September 2016 (past)– SC5 (Climate action): Information day and brokerage event, Brussels, 14 September

2016 (past)– SC6 (Societies): Info day, Brussels, 11 October 2016; Conference on Social Sciences

and Humanities, Bratislava, 15-16 November 2016 (with brokerage session on 14 November)

– SC7 (Security): Info day and brokerage event, Brussels, 5-6 April 2016 (past)

• Material/recordings from info days can normally be accessed also after the event

• NCPs will often also organise national information events• Look out for future Info days!

Information events

• Sign-up as an expert

• Commission maintains a database of independent expertsNeed high level expertise in research or innovation in any scientific and technological field, including managerial aspects and industry expertise

• List of Horizon 2020 expert evaluators

• COST? www.cost.eu/participate/experts

• Experts called upon for the:

– evaluation of proposals

– review of projects

– monitoring of programmes or policies

• Experts evaluate on an individual basis

– Work cannot be delegated/discussed with other

• Funding decisions based on their evaluations

• Use the experiences of any staff members who have been a H2020 evaluator for future proposals

Become an Evaluator

Horizon 2020:

Consortium BuildingThings to consider when selecting partners

• Participation options

– Coordinator = responsible for leading the project, managing the project finances and representing the Consortium vis-à-vis the Commission

– Partner = responsible for delivering its part of the project and managing its share of the funding

• Third parties:

– Sub-contractor = contracted by one of the beneficiaries to carry out specialised tasks that are not ‘core’ project tasks

– Other third party = making available its resources to a beneficiary or in very specific cases carrying out parts of the work on behalf of a beneficiary

Participation in LEIT and Societal

Challenges

Be

nef

icia

ries

• Think carefully if you have no management experience and no experience of EC funding

• (Small role in a project led by someone with prior experience may be the best first step)

• Project usually co-ordinated by Member or Associated State partner

Forming a Consortium?

• Coordinator - None of these tasks can be subcontracted

– Prepares and submits proposal

– Links with the Commission and the consortium members

– Monitors compliance on the project

– Financial distribution, record keeping, reports to the Commission

– Organises scientific and project management meetings

– Maintains the Consortium agreement

– Responsible for management of grant – amendments, extensions, non-

performance of partners

• Partner

– Works on their work package(s)

– Submits reports to coordinator

– Contributes to “a smooth and successful implementation of the grant” –i.e. supports the coordinator in their obligations

• Other forms of involvement possible, e.g. project advisory group

Project roles

• Meet minimum requirements (see previous slides)

• Additional legal entities depending on the project: each project will be different

• Strong emphasis on ‘Innovation’ in Horizon 2020 – where appropriate include non-academic sector partners, e.g. SMEs

• Consider whether consortium composition might contribute to: interdisciplinarity, use of stakeholder knowledge, communication with target audiences, etc.

What should my consortium look like?

• Can be invaluable to meet in person to talk through ideas with potential collaborators:– Likely to work well together?

– What are the different expectations?

– What budget, IPR, management issues need to be resolved? (see slide on Consortium Agreements)

• Resources required:– From your institution?

– From other sources? e.g. BBSRC ‘European Partnering Awards’: European Partnering awards are small awards for BBSRC grant holders covering travel and subsistence to meet with the aim of developing and submitting Horizon 2020 bids (http://www.bbsrc.ac.uk/funding/internationalfunding/europe/)

– Use UKRO meeting room?

Meeting with partners to discuss the

proposal idea

• Consortium agreement mandatory unless specified in call for proposals

• If mandatory, required before signature of the Grant Agreement

• Internal organisation of the consortium, including clear distribution of tasks, financial arrangements (e.g. pre-financing), settlement of disputes (e.g. non-performance), additional Intellectual Property arrangements (e.g. licensing), liability and confidentiality

• Usually drafted and disseminated by coordinator; not signed by the Commission

• Various models have been/are being developed, e.g.

– DESCA: www.desca-2020.eu

– EUCAR: http://www.eucar.be/eucar-publishes-its-model-consortium-agreement-for-horizon-2020/

– IMG4

– MCARD-2020: http://www.digitaleurope.org/Services/H2020ModelConsortiumAgreement.aspx

Consortium agreements

Horizon 2020:

Consortium BuildingEvaluation points to consider

• Clarity and pertinence of the objectives;

• Soundness of the concept, and credibility of the proposed methodology;

• Extent that the 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

2016-2017 Award criteria: Excellence

(RIA/IA)

• The extent to which the outputs of the project would contribute to each of the expected impacts mentioned in the work programme under the relevant topic;

• Any substantial impacts not mentioned in the work programme, 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 the proposed measures to:– Exploit and disseminate the project results (including management of

IPR), and to manage research data where relevant.

– Communicate the project activities to different target audiences

2016-2017 Award criteria: Impact (RIA/IA)

• Quality and effectiveness of the work plan, including extent to which the resources assigned to work packages are in line with their objectives and deliverables;

• Appropriateness of the management structures and procedures, including risk and innovation management;

• Complementarity of the participants and extent to which the consortium as whole brings together the necessary expertise;

• Appropriateness of the allocation of tasks, ensuring that all participants have a valid role and adequate resources in the project to fulfil that role.

2016-2017 Award criteria: Quality and

Efficiency of the Implementation (RIA/IA)