Christine VAN WUNNIK – B.2 H2020 Environment and Resources

EASME (Executive Agency for Small and Medium-Sized Enterprises)

Proposal preparation – Horizontal aspects

Outline

1. Proposal preparation and horizontal aspects

2. What do we mean by "horizontal aspects"?

3. Why are they important?

4. Key horizontal aspects to be taken into account in your proposal

5. Ethics and research integrity

6. Essential sources for proposal preparation

Building blocks for proposal preparation

Addressing horizontal aspects

Bringing together the

right partners

Addressing topic text

How does this fit the infoday's agenda?

SC5 work programme & focus areas

Thematic sessions (topics)

Proposal preparation:

challenges and successes

Matchmaking/ brokerage

Proposal preparation:

horizontal aspects

Short sessions

Outline

1. Proposal preparation and horizontal aspects

2. What do we mean by "horizontal aspects"?

3. Why are they important?

4. Key horizontal aspects to be taken into account in your proposal

5. Ethics and research integrity

6. Essential sources for proposal preparation

What do we mean by "horizontal aspects"?

• Apply to your proposal regardless the topic

• Can vary from broad, strategic developments to specific requirements

• Shape the design of the proposed action

Outline

1. Proposal preparation and horizontal aspects

2. What do we mean by "horizontal aspects"?

3. Why are they important?

4. Key horizontal aspects to be taken into account in your proposal

5. Ethics and research integrity

6. Essential sources for proposal preparation

3. Why are horizontal aspects important?

• Reflect wider EU policies

- Support to SME and innovation

- 3 O's, Open Innovation, Open Science, Open to the world

- Climate Action and Sustainable development

- Gender equality

• Reflect EU research and innovation policy objectives

- Open data (GEO)

- International cooperation

- Responsible Research and Innovation (RRI)

- Social sciences and humanities (SSH)

• Many horizontal aspects play a role in the evaluation of proposals!

Award criteria: excellence

• Clarity and pertinence of the objectives (RIA/IA/CSA)

• Soundness of the concept, and credibility of the proposed methodology (RIA/IA/CSA);

• 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) (RIA/IA)

• Appropriate consideration of interdisciplinary approaches and, where relevant, use of stakeholder knowledge and gender dimension in research and innovation content (RIA/IA).

• Quality of the proposed coordination and/or support measures (CSA).

Award criteria: impact

• 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 (RIA/IA);

• 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 (RIA/IA);

• 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.

Award criteria: implementation

• 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.

Short sessions on specific horizontal aspects: Work plan design tomorrow 16:30 De Gasperi

Evaluation rules

"3. Priority order for proposals with the same score:

…

c) If necessary, any further prioritisation will be based on the following factors, in order: size of EU budget allocated to SMEs; gender balance among the personnel named in the proposal who will be primarily responsible for carrying out the research and/or innovation activities…"

Outline

1. Proposal preparation and horizontal aspects

2. What do we mean by "horizontal aspects"?

3. Why are they important?

4. Key horizontal aspects to be taken into account in your proposal

5. Ethics and research integrity

6. Essential sources for proposal preparation

4. Horizontal aspects to be taken into account

a) Innovation Exploitation, dissemination, IPR

Social sciences and humanities

Co-design

b) Gender dimension

c) Management of research data

d) International cooperation

a) Innovation

“the implementation of a new or significantly improved product (good or service) or process, a new marketing method, or a new organisational method in business practices, workplace organisation or external relations” (OECD/Eurostat, 2005)

INNOVATION: The successful exploitation of new ideas

to produce tangible benefits, satisfying needs and wants

exploitation

Graphics © Copyright 2004 Iambic Innovation Ltd. All rights reserved

Slide from Dr. Eugene Sweeney Impact&Innovation in H2020

Invention IS NOT Innovation only when people starting using it

Integration of users in the project is crucial

Invention Innovation

Innovation management

Innovation potential? Exploitation strategies and plans

Meeting needs and delivering benefits

Impact

Innovation capacity

Identifying market opportunities and monitoring markets, technologies and IPR

IP Management and strategies

Slide from Dr. Eugene Sweeney EU IPR Helpdesk

Addressing innovation properly means:

Managing/protecting intellectual property

Involving end-users in the design of your solution

Involving social science and humanities expertise

Short sessions on specific horizontal aspects: Co-design: involving end-users and stakeholders tomorrow 14:30 De Gasperi

Short sessions on specific horizontal aspects: IPR, dissemination, exploitation tomorrow 15:30 Jenkins

b) Gender dimension

• The gender dimension has to be considered if the findings can be expected to affect women and men differently.

• Integrating sex (biological factors) and gender (social/cultural factors) analysis into the research work

• Contributes to the soundness of the proposed work, both scientifically, technically and socially.

• Gender equality (≠ gender dimension) is relevant for all projects!

• More info on gendered innovations: http://ec.europa.eu/research/gendered-innovations/

Topics with a gender dimension

• LC-CLA-04-2018 - Resilience and sustainable reconstruction of historic areas to cope with climate change and hazard events

• SC5-12-2018 - EU-India water co-operation

• SC5-19-2018 - International network to promote the cultural heritage innovation and diplomacy

• CE-SC5-03-2018 - Demonstrating systemic urban development for circular and regenerative cities

• SC5-13-2018-2019 - Strengthening international co-operation on sustainable urbanisation: nature-based solutions for restoration and rehabilitation of urban ecosystems

c) Management of research data

• Concerns:

‒ Peer-reviewed scientific research articles

‒ Research data

• Open science, maximizing the impact of public funded research

• All topics are by default participating in open research data pilot

Short sessions on specific horizontal aspects:

Open data and data management tomorrow 14:30 Mansholt

d) International cooperation

• Cooperation with non-EU partners

• Open to the world

• Many calls particularly encourage cooperation with non-EU partners.

• In many cases, the EU will fund at least partly the participation of the international partners

Short sessions on specific horizontal aspects:

International cooperation tomorrow 15:30 De Gasperi

Outline

1. Proposal preparation and horizontal aspects

2. What do we mean by "horizontal aspects"?

3. Why are they important?

4. Key horizontal aspects to be taken into account in your proposal

5. Ethics and research integrity

6. Essential sources for proposal preparation

5. Ethics

• The application of fundamental ethical principles and legislation to scientific research in all possible domains of research.

• For all activities funded by the European Union, ethics is an integral part of research from beginning to end, and ethical compliance is seen as pivotal to achieve real research excellence.

• Horizon 2020 Ethics appraisal procedure including ethics review

• Serious ethics issues may block the grant agreement signature.

5. Ethics

Ethics

Common ethics issues in SC5

• Humans – interviews, surveys, social science studies

• Protection of personal data

• Non-EU countries – benefit-sharing, import/export, compliance with H2020 standards

• Environment and Health & Safety

• Dual use - military application

• Misuse - malevolent/criminal/terrorist abuse

European Code of conduct for research integrity

• Article 34 of the grant agreement

• The beneficiaries must respect the highest standards of research integrity — as set out, for instance, in the European Code of Conduct for Research Integrity.

Outline

1. Proposal preparation and horizontal aspects

2. What do we mean by "horizontal aspects"?

3. Why are they important?

4. Key horizontal aspects to be taken into account in your proposal

5. Ethics and research integrity

6. Essential sources for proposal preparation

6. Essential sources for proposal preparation

• Horizon 2020 participant portal

• FAQs and research enquiry service

• Partner search services:

- on the participant portal

- On linked-in

•Ongoing-projects in the same domain? Check:

‒ Catalogue of on-going Horizon 2020 – SC5 projects

‒ Cordis database of EU-funded research and innovation projects

•Network of National Contact Points

Finding your way in the available information

Thank you! #InvestEUresearch

#H2020SC5

www.ec.europa.eu/research

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

https://ec.europa.eu/easme/en/horizon-2020-societal-challenge-climate-action-environment-

resource-efficiency-raw-materials

Evaluation and ethics review procedure

• Admissibility criteria (General annexes B of the work programme)

• Eligibility criteria (General annexes C of the work programme)

• Evaluation rules (General annexes H of the work programme):

‒ Selection criteria

‒ Award criteria

‒ Scoring and weighting

‒ Priority order for proposals with the same score

• Ethics review

Timeline of the SC5 calls - one stage

• Opening of the call

• 7 November 2017

• Deadline one stage

• 27 February 2018 17:00:00 (Brussels)

• Information letter

• 27 July 2018 at latest

• If successful: grant agreement signature

• 27 October 2018 at latest

Timeline of the SC5 calls - two stage

• Opening of the call

• 7 November 2017

• Deadline first stage

• 27 February 2018 17:00:00 (Brussels)

• Deadline second stage

• 4 September 2018 17:00:00 (Brussels)

• Information letter

• 4 February 2019 at latest

• If successful: grant agreement signature

• 4 May 2019 at latest