Horizon 2020 SC5 cross-cutting issues
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Transcript of Horizon 2020 SC5 cross-cutting issues
Cross-cutting aspects
Franz Immler (EASME)Fabio DALAN
Maria Jose AMARAL21 September 2015
Infoday Climate Action, Environment, Resource
Efficiency and Raw Materials
Cross cutting aspects Innovation Standards Social science and humanities Stakeholder Knowledge Gender dimension International cooperation Ethics Link to regional policy (ESIF, etc) SME's involvement Implementation
Excellence: Clarity and pertinence of the objectives; Soundness of the concept; credibility of the proposed methodology, progress beyond SotA, innovation potential; interdisciplinary approaches; use of stakeholder knowledgeImpact: expected impact in the topic description; innovation capacity; other impacts; exploitation, dissemination and communication.Implementation: workplan; management structure; consortium; appropriate allocation of tasks and resources; risk and innovation management.
Evaluation – Award criteria (IA/RIA)(General Annexes H)
Innovation to meet the challengeINNOVATION: The successful exploitation of new ideasto produce tangible benefits, satisfying needs and wants
exploitation
Graphics © Copyright 2004 Iambic Innovation Ltd. All rights reserved
Slide from Dr. Eugene SweeneyImpact&Innovation in H2020
Invention IS NOT InnovationIntegration of users in the project is crucial
Invention Innovation
Innovation in evaluation award criteria
• Excellence - Innovation potential: the potential of a project to create useful new knowledge or technology
• Impact - Innovation capacity: capacity to develop products and services with significant benefits for users
• Implementation - Innovation management: Identify and exploit R&D results, IPR management
Standards, a major driver of innovationgreater economic growth than patents or licenses create “markets”, Making project output sustainable Benefits:• rationalization • quality assurance • security • communication • better procurement• worldwide trade
(c) 2015 Open Geospatial Consortium
• Link your project with ongoing standardization work• Involve standardisation organisation
• Formal: CEN, CENELEC, ETSI• Informal: OGC, W3C, IEEE, ….• More info:
Addressing standards in proposals
http://www.cencenelec.eu/news/publications/Publications/Standards_Horizon2020.pdf
• "All activities related to Earth observation data and other spatial data should comply at best with and build upon the existing Infrastructure for Spatial Information in the European Community (INSPIRE)". (SC5 work programme introduction)
• More info: • JRC webiste: http://inspire.ec.europa.eu/• OGC website: http://
www.opengeospatial.org/pressroom/marketreport/inspire
INSPIRE
Beneficiaries in projects participating in the Pilot on Open Research Data are invited to• Follow the GEOSS Data Sharing Principles • Register data in the GEO data portal
GEO - GEOSS
Proposals must provide a short, general outline of their policy for data management, including the following issues: • What types of data will the project generate/collect? • What standards and licenses will be used? • How will this data be exploited and/or shared/made
accessible for verification and re-use? • How will this data be curated and preserved? • Data Management Plan as deliverable.
Open access to research data (pilot)
• All SC5 topics are by default participating in the pilot, except raw material topics (SC5-13, 14, 15, 16,17)
• Proposals can opt out.• Opting out will not be taken into account in evaluation.• Justification still useful <- impact criterium
Open access to research data (pilot)
• Open access must be granted to all publications resulting from Horizon 2020 actions.
• Further guidance on open access is available in the H2020 Online Manual on the Participant Portal.
Open data pilot: All data underlying the publication must be accessible <- good scientific practise
Open access to research publications
Social science and humanities
Horizon 2020 - No self-standing SSH programme SSH is embedded as a cross-cutting issue
FP7 – Cooperation Programme Theme 8 ‘Socio-economic Sciences and Humanities’
Solving complex societal problems requires the contributions from (one or more) SSH discipline(s), among other non-SSH related.
economics and business modelslegal and institutional frameworkspolicy-making and governance issueshuman behaviour / choices and ethicsdemographic realities and trendscultural values and historical dimension
Social science and humanities
Using stakeholder knowledge
Co-d
esig
n &
Co-c
reat
ion Responsible Research and Innovation
Societal actors work together to align research and results with the values, needs and expectations of
society.Public engagement
Iterative/participatory multi-actor dialogues to co-create research and innovation outcomes and policy
agendas.
Trans-disciplinarityMethodologies that integrate scientific disciplines, and non-academic and non-formalized knowledge.
Gender dimension
Gender relevant if it can be expected that its findings affect [groups of] women and men differently.
Contribute to the soundness of the proposed work, both scientifically, technically and socially.
If not explicitly integrated into a topic, applicants can still decide to address it if they find it relevant
Gender balance in the consortium(also a ranking criterion)
Gendered Innovations
Example of gendered research topics and checklists for different fields
http://ec.europa.eu/research/gendered-innovations/
Methods for gender analysis to create new knowledge
Ethics in H2020
Requirement set in legislation (Reg. 1290/2013, art. 13,14,18,23) and Grant Agreement (art. 34, 39)
Perform your own self-assessment
The Commission will verify and may set additional requirements if not in the
proposal;
Ethic issues block the signature of the grant agreement
Ethics self-assessment What you should do:Part A of the proposals Identify potential ethical issues • Yes/No questions• Page number
Part B - section 5 How you handle / plan to address the ethical issues in sufficient detail
http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/ethics/h2020_hi_ethics-self-assess_en.pdf
0. Research integrity, plagiarism, an so on
1. HUMAN EMBRYOS/FOETUSES2. HUMANS - social science studies, physical interventions3. HUMAN CELLS / TISSUES4. PROTECTION OF PERSONAL DATA5. ANIMALS6. NON-EU COUNTRIES7. ENVIRONMENT & HEALTH AND SAFETY8. DUAL USE - military application9. MISUSE - malevolent/criminal/terrorist abuse10.OTHER ETHICS ISSUES (e.g. nanomaterials)
The ethical issues in H2020
Surveys: • Describe the methods of recruitment, inclusion and exclusion
criteria for participants; • draft of the informed consent (scope of the project); Personal data:• Follow national and EU legislation requirements and ask for
authorisation when necessary;• draft of the informed consent (agreement to collect data); Actions in non-EU:• Confirm that the research could be legally carried out in EU; • Provide details of actions / material / personal data
imported/exported (research data excluded);• Describe the co-benefit for low or lower-middle income
countries;
How to deal with ethical issues (1/2)
Environmental & Health and safety: • Identify authorisations/permits needed; • risk-benefit analysis (environment) or risk assessment
(health / safety);Dual-use or misuse or other
• Give details in section 5 on the measures to be taken to prevent abuse or on the exclusive civilian focus of the research.
How to deal with ethical issues (2/2)
Natio
nal a
utho
rity
appr
oval
?
• Horizon 2020 is Open to the World. Participants from all over the world can participate in most of the calls of Horizon 2020. Furthermore, in many cases, the EU will fund the participation of the international partners.
• International cooperation (in EU jargon) refers to cooperation with countries other than EU-member states and associated states
International cooperation
• Associated countries participate in Horizon 2020 under the same conditions as EU Member States.
• 13 states, as of August 2015:• Iceland • Norway • Albania • Bosnia and Herzegovina • the former Yugoslav Republic of Macedonia • Montenegro • Serbia • Turkey • Israel • Moldova • Switzerland (partial association, see below) • Faroe Islands • Ukraine
Associated states
ELIGIBILITY:RIA/IA: at least 3 partners from 3 diff. MS/AS
CSA: At least one legal entity.
http://ec.europa.eu/research/participants/docs/h2020-funding-guide/cross-cutting-issues/international-cooperation_en.htmAfghanistan, Algeria, American Samoa, Angola, Argentina, Armenia, Azerbaijan, Bangladesh, Belarus, Belize, Benin, Bhutan, Bolivia, Botswana, Burkina Faso, Burundi, Cambodia, Cameroon, Cape Verde, Central African Republic, Chad, Chile, Colombia, Comoros, Congo (Democratic People’s Republic), Congo (Republic), Costa Rica, Côte d’Ivoire, Cuba, Djibouti, Democratic People's Republic of Korea ,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, Kosovo*, Kyrgyz Republic, Lao, Lebanon, Lesotho, Liberia, Libya, Madagascar, Malawi, Malaysia, Maldives, Mali, Marshall Islands, Mauritania, Mauritius, Micronesia, Mongolia, Morocco, Mozambique, Myanmar, Namibia, Nepal, Nicaragua, Niger, Nigeria, Pakistan, Palau, Palestine, Panama, Papua New Guinea, Paraguay, Peru, Philippines, Rwanda, Samoa, Sao Tome and Principe, Senegal, 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, Turkmenistan, Tuvalu, Uganda, Ukraine**, Uzbekistan, Vanuatu, Uruguay, Venezuela, Vietnam, Yemen, Zambia, Zimbabwe.
Countries eligible for automatic funding (WP,general Annex A)
• USA, Canada, Mexico, Japan, Australia, New Zealand, Hong-Kong, Taiwan, Singapore, Brasil, Russia, India, China, … also Switzerland (for Pillar 2 and 3),
• International organisations • (except Org. whose members are Member States or associated countries, and
whose principal objective is to promote scientific and technological cooperation in Europe
Are welcome to participate, but are not automatically funded
Industrialized countries
• Still funded if participation is deemed essential for the project by the Commission (provide unique expertise, access to
infrastructure/data/region)• Should have a budget, but requested EU contribution
= 0• Some countries (e.g. CH; RU, JP, for certain topics like
Arctic) automatically contribute the budget• It is your responsibility to ensure the funding. Address
the risk!
Partners not eligible for automatic funding
1) Beneficiary
2) Linked-third party provided there is a long-term agreement with a beneficiary
3) Advisory board, cooperation partner
International cooperation
Options for international cooperation in order of preference:
H2020 Cohesion PolicyNon-territorial Regional scopeIndividual R&I projects Multi-annual programmingPeer review Mostly direct attribution
Links to regional policy
H2020 Cohesion PolicyRising and spreading levels of research excellence
Capacity building (smart specialization), infrastructure
Differences
Complementarities
Parallel actions
Europe 2020 strategy
Growth & jobs, innovation, resources efficiency
H2020 R&I
project
Serial actions
ESIF: infrastructure and capacity
building
H2020: submission of a
proposal
H2020: a project ends
ESIF: further exploitation of
the results
NO NEGOTIATION approach in H2020-> projects are implemented as proposed.• Consortium, with significant contribution from each
participant• Management structure (incl Innovation management)• Review mechanisms and risk management• Appropriate structure of work plan, deliverables,
Milestones One task, one beneficiary, one deliverable
• Allocation of resources
Quality and efficiency of the implementation
• 'Deliverable’ means • a distinct output of the project, meaningful in terms of the project's overall
objectives and constituted by a report, software, data, website, conference, survey, etc.
• ‘Milestones’ means control points in the project that help to chart progress. • may correspond to the completion of one or several key deliverable(s), allowing
the next phase of the work to begin. • may be needed at intermediary points so that, if problems have arisen,
corrective measures can be taken. • may be a critical decision point in the project where, for example, the
consortium must decide which of several technologies to adopt for further development.
Deliverables and Milestones
• Greater involvement of SME in Horizon 2020 activities desired.
• SME's are needed for exploiting business opportunities provided by innovations.
Budget allocated to SMEs may be relevant in for ranking SME's should tick the box in Part A of the proposal
SMEs
• Maximize the impact of you project• Dissemination plan• Sound plan of exploitation, transferability and
sustainability of the activities • Quantification of impacts• Credible mechanism for monitoring performances• Communication (separate talk)
Dissemination, exploitation and communication
• Clear identification of a cross-cutting issue in the topic description not addressed in the proposal:
• For example, topic description includes any of these keywords: "social" or "socio-economic dimension",
"regulation", "governance", "ethics" … Social science needs to be included in the proposal
and consortium. "international cooperation" and/or "COM(2012)497".
-> Involve non EU/AS partners!
Cross-cutting issues in evaluation
Evaluation procedure (1-stage)
Receipt of proposals Evaluation Information
letterGrant
signature
Eligibility check
8 March 2016
8 Aug 2016max 5 months max 3 months 8 Nov 2016
Grant agreement preparation
All award criteria
SC5CIRCSCC
SC5 special deadlines: SC5-12, 24: 26 Jan 2016SC5-29 (FPA) : 8 Sep 2016
BG 17 Feb 2016
17 July 2016
17 Oct 2016
Or rejection
letter
Evaluation procedure (2-stage)
Receipt of short
proposalsEvaluation Information
letter
Limit: 10 pages.
Eligibility check
8 March 2016
Max 2 month ~4 month6 May 2017
Only excellence criteria and expected impact
SC5CIRCSCC
BG 17 Feb 2016
17 May 2017
Or rejection
letter
Receipt of full
proposals
06 Sep 2016
17 Sep 2016
Grant signature
Max 8 months
Dissemination, exploitation of results and implementation (incl. consortium, workplan, etc.) will not be evaluatedFocus on Objectives, approach and expected impacts
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