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Aspectes clau sobre el mecanisme d’avaluació de projectes
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Aspectes clau sobre el mecanisme d’avaluació de projectes
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HORIZON 2020
5
Content
• Horizon 2020: an EU R&I programme
− More emphasis on innovation
− Cross-cutting issues
− Impact of time to grant on evaluation
• Role of independent experts
− Confidentiality
− Conflicts of interest
• The evaluation procedure in practice
− Individual evaluation, including evaluation criteria and proposal scoring
− Consensus
− Panel review and ranking, including proposals with identical total scores
Instructions for moderators/project officers using
slides: Please select and use only the slides which
are relevant to your call/topic.
HORIZON 2020
PROPOSAL EVALUATION
HORIZON 2020
7
Calls and proposals
• Calls are challenge-based, and open to innovative proposals
− Calls are less prescriptive - do not outline the expected solutions to the problem,
nor the approach to be taken to solve it
− Calls/topics descriptions allow plenty of scope for applicants to propose innovative
solutions of their own choice
• Greater emphasis on impact, through 'Expected impact
statements'
− Applicants asked to explain how work will bring about described impacts
− During the evaluation, you are asked to assess this potential contribution
• More emphasis on innovation
− Horizon 2020 supports all stages in the research and innovation chain including
non-technological, social innovation and activities closer to the market
• Proposals may bring together different disciplines, sectors
and actors to tackle specific challenges
− e.g. scientists, industry, SMEs, societal partners, end-users…
HORIZON 2020
8
Innovation
• Balanced approach to research and innovation
− not limited to the development of new products and services on basis of scientific
and technological breakthroughs
− Incorporate use of existing technologies in novel applications, and continuous
improvements
• Activities close to market emphasise the widest possible
use of knowledge generated by supported activities, up to
the commercial exploitation
• Emphasis on activities operating close to end-users and the
market, e.g. demonstration, piloting or proof-of-concept
− include support to social innovation, and support to demand side approaches
(standardisation, innovation procurement, user-centred measures …) to help
accelerate the deployment and diffusion of innovative products and services into
market
The definitions of the terms used are available in the
Horizon 2020 Glossary on the Participant Portal
Note: The third bullet point only applies to Societal
Challenges and LEITs.
HORIZON 2020
9
Cross-cutting issues
Cross-cutting issues integrated in the work
programme (WP)
• Social Sciences and Humanities (SSH) integrated across all
Horizon 2020 activities
• Gender dimension in the content of R&I - question on the
relevance of sex/gender analysis is included in proposal templates
• The strategic approach to international cooperation consists of a
general opening of the WP and targeted activities across all
relevant Horizon 2020 parts
− Information on 'automatic funding' to third country participants is restricted – see
list of countries
• Other cross-cutting issues may also be included in the WP
Responsible Research and Innovation (RRI) including science
education, open access to scientific publications, ethics…;
standardisation; climate change and sustainable development …
HORIZON 2020
10
Impact of grant preparation on evaluation
• No grant negotiation phase!
The time from submission of a proposal, evaluation and signature of
the grant set to a maximum of 8 months
Evaluate each proposal as submitted
not on its potential if certain changes were to be made
− If you identify shortcomings (other than minor ones and obvious
clerical errors), reflect those in a lower score for the relevant
criterion
− Explain the shortcomings, but do not make recommendations
i.e. do not suggest additional partners, additional work packages,
resources cut…
− Proposals with significant weaknesses that prevent the project
from achieving its objectives or with resources being seriously
over-estimated must not receive above-threshold scores
− Any proposal with scores above the thresholds and where there
is sufficient budget will be selected as submitted
− Successful applicants are invited to address shortcomings
HORIZON 2020
19
Overview of the Evaluation Process
Receipt of
proposals
Individual
evaluation
Consensus
group
Panel Review Finalisation
Evaluators
Individual
Evaluation
Reports
(Usually
done
remotely)
Consensus
Report
(May be done
remotely)
Panel report
Evaluation
Summary Report
Panel ranked list
Eligibility check
Allocation of
proposals to
evaluators
Final ranked list
HORIZON 2020
21
Evaluation criteria
• There are three evaluation criteria for full proposals:
− Excellence (relevant to the description of the call or topic)
− Impact
− Quality and efficiency of the implementation
 You should also check requests for ‘exceptional funding’ from third country
participants not included in the list
• The criteria are adapted to each type of action, as specified
in the WP
• See later slides
Aspectes clau sobre el mecanisme d’avaluació de projectes
Aspectes clau sobre el mecanisme d’avaluació de projectes
Aspectes clau sobre el mecanisme d’avaluació de projectes
Aspectes clau sobre el mecanisme d’avaluació de projectes
Aspectes clau sobre el mecanisme d’avaluació de projectes
Aspectes clau sobre el mecanisme d’avaluació de projectes
Aspectes clau sobre el mecanisme d’avaluació de projectes
HORIZON 2020
22
Type of actions
Research and Innovation Action
• Action primarily consisting of activities to establish new
knowledge and/or explore feasibility of new or improved
technology, product, process, service or solution
− May include basic and applied research, technology development and
integration, testing and validation on small-scale prototype in
laboratory or simulated environment
− Projects may contain closely connected but limited demonstration or
pilot activities to show technical feasibility in a near to operational
environment
HORIZON 2020
23
Type of actions
Innovation Action
• Action primarily consisting of activities that produce plans
and arrangements or designs for new, altered or improved
products, processes or services
− May include prototyping, testing, demonstrating, piloting, large-scale
product validation and market replication
− Aim to validate the technical and economic viability in a (near)
operational environment and/or support the first
application/deployment in the market of an innovation that has
already been demonstrated but not yet applied/deployed in the market
due to market failures/barriers to uptake
− Projects may include limited research and development activities
HORIZON 2020
24
Type of actions
SME Instrument phase 1
• Feasibility study verifying the technological/practical as
well as economic viability of innovation idea/concept with
considerable novelty to the industry sector in which it is
presented (new products, processes, design, services and
technologies or new market applications of existing technologies)
− Activities: Risk assessment, market study, user involvement,
Intellectual Property management, innovation strategy development,
partner search, feasibility of concept to establish a solid high-potential
innovation project aligned to enterprise strategy and with a European
dimension
− Bottlenecks in the ability to increase profitability of the enterprise
through innovation shall be detected and analysed during phase 1 and
addressed during phase 2 to increase the return in investment in
innovation activities
HORIZON 2020
25
Type of actions
SME Instrument phase 2
• Innovation projects that address a specific challenge and
demonstrate high potential in terms of company
competitiveness and growth underpinned by a strategic
business plan
− Activities should focus on innovation activities such as demonstration,
prototyping, piloting, scaling-up, miniaturisation, design, market
replication and the like aiming to bring an innovation idea (product,
process, service etc.) to industrial readiness and maturity for market
introduction, but may also include some research
− In exceptional circumstances, duly justified by the character of an
area, a topic may provide for actions where the research component is
strongly present, as an alternative to the innovation actions described
above
− SMEs can subcontract work and knowledge that is essential for their
innovation project in the spirit of the innovation voucher concept
− Proposals should be based on a strategic business plan either
developed through phase 1 or another means
HORIZON 2020
26
Type of actions
Coordination & 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
HORIZON 2020
27
Type of actions
ERA-NET Cofund
• Supports public-public partnerships, including joint
programming initiatives between Member States, in their
preparation, establishment of networking structures, design,
implementation and coordination of joint activities as well as
EU topping-up of trans-national call for proposals
− The main activity is the implementation of the co-funded joint call for
proposals that leads to the funding of transnational research and/or
innovation projects. In addition, consortia may implement other joint
activities e.g. joint calls without EU co-funding
− May also, depending on the research area and the underlying national
programmes and their governing principles, target governmental
research organisations. The co-funded call will in these cases be based
on in-kind contributions from their institutional funding and the
beneficiaries carry out the transnational projects resulting from their call
fully or partially themselves
 The in-kind contributions are the resources allocated as direct expenditure in the
selected trans-national projects that are not reimbursed by the EU contribution
HORIZON 2020
28
Type of actions
Pre-Commercial Procurement (PCP) Action
• Encourage public procurement of research, development and
validation of new solutions that can bring significant quality and
efficiency improvements in areas of public interest, while
opening market opportunities for industry and researchers
− Provides EU co-funding for group of procurers to undertake together one joint
PCP procurement, so that there is one joint call for tender, one joint
evaluation of offers, and a lead procurer awarding the R&D service contracts
in the name and on behalf of the group
− Each procurer contributes its individual financial contribution to the total
budget necessary to jointly finance the PCP, enabling the procurers to share
the costs of procuring R&D services from a number of providers and
comparing together the merits of alternative solutions paths to address the
common challenge
− The PCP shall explore alternative solution paths from a number of competing
providers to address one concrete procurement need that is identified as a
common challenge in the innovation plans of the procurers that requires new
R&D
− Cross-border PCP cooperation should better address issues of common
European interest, for example where interoperability
and coherence of solutions across borders is required
HORIZON 2020
29
Type of actions
Public Procurement of Innovative Solutions
(PPI) Action
• Enable groups of procurers to share the risks of acting as early
adopters of innovative solutions, whilst opening market
opportunities for industry
− Provides EU co-funding for a group of procurers to undertake together one
joint PPI procurement, so that there is one joint PPI call for tender launched
by the ‘lead procurer’ and one joint evaluation of offers
− In case framework contracts/agreements with lots are used, the specific
contracts for procuring specific quantities of goods/services for each procurer
can be awarded either all by the lead procurer or by each procurer in the
group individually
− Each action focuses on one concrete unmet need that is shared by the
participating procurers and requires the deployment of innovative solutions
that are to a significant extent similar across countries and are therefore
proposed to be procured jointly
 This means that the innovative solutions procured by all procurers in the group shall
have the same core functionality and performance characteristics, but may have
additional 'local' functionality due to differences in the local
context of each individual procurer
HORIZON 2020
37
Operational capacity
• As part of the Individual Evaluation, give your view on whether
each applicant has the necessary basic operational capacity to
carry out their proposed activity(ies) based on the information
provided
− Curriculum Vitae or description of the profile of the applicant
− Relevant publications or achievements
− Relevant previous projects or activities
− Description of any significant infrastructure or any major items of technical
equipment
• At the consensus group, you consider whether an applicant
lacks basic operational capacity
• If yes, you make comments and score the proposal without
taking into account this applicant and its associated
activity(ies)
• Not for stage one of two-stage procedures
HORIZON 2020
38
Proposal scoring
• You give a score of between 0 and 5 to each criterion based on your
comments
− The whole range of scores should be used; use steps of 0.5
− Scores must pass thresholds if a proposal is to be considered for funding
• Thresholds apply to individual criteria…
The default threshold is 3 (unless specified otherwise in the WP)
• …and to the total score
The default overall threshold is 10 (unless specified otherwise in the WP)
• For Innovation actions and the SME instrument, the criterion Impact
is given a weight of 1.5 to determine the ranking
• For first stage of a two-stage procedure, you only evaluate the
criteria Excellence and (part of) Impact
− In that case, only the aspects of the criteria in bold are considered
− Default threshold for individual criteria is 4 (unless specified otherwise in the WP)
− The level of overall threshold will be set so that success rate at stage 2 will be as
close as possible to 1:3 (in terms of budget)
Note: Remove bullet points that do not apply to the
type of action and procedure (single or two stage) of
your call/topic
Note: The weight of 1.5 applies for ranking only
 Experts give a score out of 5 for all criteria
 Thresholds to individual criteria and total score apply
 For above-threshold proposal, impact is multiplied by 1.5,
giving a total score out of 17.5.
 If IA and RIA in the same ranked lists, then a normalisation
(out of 15) is needed.
HORIZON 2020
39
Interpretation of the scores
The proposal fails to address the criterion or cannot be assessed
due to missing or incomplete information.
Poor. The criterion is inadequately addressed, or there are serious
inherent weaknesses.
Fair. The proposal broadly addresses the criterion, but there are
significant weaknesses.
Good. The proposal addresses the criterion well, but a number of
shortcomings are present.
Very Good. The proposal addresses the criterion very well, but a
small number of shortcomings are present.
Excellent. The proposal successfully addresses all relevant aspects
of the criterion. Any shortcomings are minor.
0
1
2
3
4
5
HORIZON 2020
40
Evaluation Process
Individual
Evaluation
Report
Individual
Evaluation
Report Individual
Evaluation
Report
Consensus
group
Consensus
Report
Individual
Evaluation
Report
Individual
Evaluation
Report
Expert Expert Expert ExpertExpert Minimum 3 experts …
but can be more
Individual evaluation
Consensus
Proposal Eligible proposal
HORIZON 2020
41
Individual evaluation
• Read the proposal and evaluate it against the evaluation criteria
− Without discussing it with anybody else
− As submitted - not on its potential if certain
changes were to be made
− Do not penalise applicants that did not provide detailed breakdown costs –
they are not required
• Disregard excess pages marked with a watermark
• Check to what degree the proposal is relevant to the call or
topic
• Complete an Individual Evaluation Report (IER)
− Give your view on operational capacity
− Give comments and scores for all evaluation criteria (scores must match
comments)
− Explain shortcomings, but do not make recommendations (e.g. no additional
partners, work packages, resource cuts)
• Sign and submit the form in the electronic system
Look at the substance:
Some proposals might
be handicapped by
language difficulties,
others deceptively well
written
HORIZON 2020
42
If a proposal
• Is only marginally relevant in terms of its scientific, technological
or innovation content relating to the call or topic addressed, you
must reflect this in a lower score for the Excellence criterion
− No matter how excellent the science!
• Does not significantly contribute to the expected impacts as
specified in the WP for that call or topic, you must reflect this in a
lower score for the Impact criterion
• Would require substantial modifications in terms of implementation
(i.e. change of partners, additional work packages, significant
budget or resources cut…), you must reflect this in a lower score for
the “Quality and efficiency of the implementation” criterion
• If cross-cutting issues are explicitly mentioned in the scope of the
call or topic, and not properly addressed (or their non-relevance
justified), you must reflect this in a lower score for the relevant
criterion
− A successful proposal is expected to address them, or convincingly explain why not
relevant in a particular case
− Proposals addressing cross-cutting issues which are not explicitly mentioned in the
scope of the call or topic can also be evaluated positively
HORIZON 2020
43
Consensus
• It usually involves a discussion on the basis of the individual
evaluations
− For full proposals, don't immediately converge on the average score
− For first stage proposals, the average is a starting point
• The aim is to find agreement on comments and scores
− Agree comments before scores!
− If an applicant lacks basic operational capacity, you make comments and
score the proposal without taking into account this applicant and its
associated activity(ies)
• “Outlying” opinions need to be explored
− They might be as valid as others – be open-minded
− It is normal for individual views to change
• Moderated by Commission/Agency staff (or an expert in some
cases)
− Neutral and manages the evaluation, protects confidentiality and ensures
fairness
− Ensures objectivity and accuracy, all voices heard and points discussed
− Helps the group keep to time and reach consensus
HORIZON 2020
44
Consensus report (CR)
• The rapporteur is responsible for drafting the CR
− Including consensus comments and scores
− In some cases, the rapporteur does not take part in the discussion
• The quality of the CR is of utmost importance
− It often remains unchanged at the panel stage
• The aim of the CR is to give:
− A clear assessment of the proposal based on its merit, with justification
− Clear feedback on the proposal’s weaknesses and strengths, of an
adequate length, and in an appropriate tone
− Explain shortcomings, but not to make recommendations
• Avoid:
− Comments not related to the criterion in question
− Comments too long, or too short and inappropriate language
− Categorical statements that have not been properly verified
− Scores that don’t match the comments
− Marking down a proposal for the same critical aspect under two different
criteria
Remember, applicants will read your comments and, based on them, can challenge
the evaluation through the evaluation review procedures
HORIZON 2020
45
The panel review
• Consists of experts from the consensus groups and/or new
experts
• Ensures the consistency of comments and scores given at the
consensus stage
• Resolves any cases where a minority view is recorded in the
CR
• Endorses the final scores and comments for each proposal
− Any new comments and scores (if necessary) should be carefully justified
• Recommends a list of proposals in priority order
• Prioritises proposals with identical total scores
• May also hold hearings at which applicants are invited to
present their proposal
Note: Keep the last bullet point if hearings are specified
under your call/topic in the WP. Otherwise, delete it.
HORIZON 2020
46
Proposals with identical total scores
• For each group of proposals with identical total scores, the panel
considers first proposals that address topics that are not already
covered by more highly-ranked proposals
• The panel then orders them according to:
− First, their score for Excellence,
− And second, their score for Impact
• If there are ties, the panel takes into account the following factors:
− First, the absolute EU budget allocated to SMEs
− Second, the gender balance of personnel carrying out the research and/or
innovation activities
• If there are still ties, the panel agrees further factors to consider:
− e.g. synergies between projects or contribution to the objectives of the call or of
Horizon 2020
• The same method is then applied to proposals that address topics
that are already covered by more highly-ranked proposals
Note: For Innovation Actions and the SME instrument,
adapt the second bullet point - first their score for
Impact and second for Excellence
HORIZON 2020
47
Observer(s)
• Appointed by the Commission/Agency may attend any
meetings or monitor remote evaluation, to ensure a high
quality evaluation
• They check the functioning and running of the overall
process
• They advise, in their report, on the conduct and fairness of
the evaluation sessions (including 1st stage of 2 stage
processes) and, if necessary, suggest possible
improvements
• They do not evaluate proposals and, therefore, do not
express any opinion on their quality
• They may raise any questions - please give them your full
support
HORIZON 2020
48
Ethics review
• Only proposals that comply with the ethical principles and legislation
may receive funding
• For proposals above threshold and considered for funding, an ethics
screening and, if necessary, an ethics assessment is carried out by
independent ethics experts or qualified internal staff in parallel with
the scientific evaluation or soon after
− Proposals involving the use of human embryonic stems cells automatically undergo
an ethics assessment
• For those proposals in which one or more ethical issues have been
identified, the experts will assess whether the ethics issues are
adequately addressed
• The ethics experts will produce an ethics report and give an opinion
on the proposal, including:
− Granting ethics clearance (or not)
− Recommending the inclusion of ‘ethics requirements’ in the grant agreement, or
− Recommending a further Ethics Assessment and/or an Ethics Check or Audit
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Aspectes clau sobre el mecanisme d’avaluació de projectes

  • 1.
  • 8. HORIZON 2020 5 Content • Horizon 2020: an EU R&I programme − More emphasis on innovation − Cross-cutting issues − Impact of time to grant on evaluation • Role of independent experts − Confidentiality − Conflicts of interest • The evaluation procedure in practice − Individual evaluation, including evaluation criteria and proposal scoring − Consensus − Panel review and ranking, including proposals with identical total scores Instructions for moderators/project officers using slides: Please select and use only the slides which are relevant to your call/topic.
  • 10. HORIZON 2020 7 Calls and proposals • Calls are challenge-based, and open to innovative proposals − Calls are less prescriptive - do not outline the expected solutions to the problem, nor the approach to be taken to solve it − Calls/topics descriptions allow plenty of scope for applicants to propose innovative solutions of their own choice • Greater emphasis on impact, through 'Expected impact statements' − Applicants asked to explain how work will bring about described impacts − During the evaluation, you are asked to assess this potential contribution • More emphasis on innovation − Horizon 2020 supports all stages in the research and innovation chain including non-technological, social innovation and activities closer to the market • Proposals may bring together different disciplines, sectors and actors to tackle specific challenges − e.g. scientists, industry, SMEs, societal partners, end-users…
  • 11. HORIZON 2020 8 Innovation • Balanced approach to research and innovation − not limited to the development of new products and services on basis of scientific and technological breakthroughs − Incorporate use of existing technologies in novel applications, and continuous improvements • Activities close to market emphasise the widest possible use of knowledge generated by supported activities, up to the commercial exploitation • Emphasis on activities operating close to end-users and the market, e.g. demonstration, piloting or proof-of-concept − include support to social innovation, and support to demand side approaches (standardisation, innovation procurement, user-centred measures …) to help accelerate the deployment and diffusion of innovative products and services into market The definitions of the terms used are available in the Horizon 2020 Glossary on the Participant Portal Note: The third bullet point only applies to Societal Challenges and LEITs.
  • 12. HORIZON 2020 9 Cross-cutting issues Cross-cutting issues integrated in the work programme (WP) • Social Sciences and Humanities (SSH) integrated across all Horizon 2020 activities • Gender dimension in the content of R&I - question on the relevance of sex/gender analysis is included in proposal templates • The strategic approach to international cooperation consists of a general opening of the WP and targeted activities across all relevant Horizon 2020 parts − Information on 'automatic funding' to third country participants is restricted – see list of countries • Other cross-cutting issues may also be included in the WP Responsible Research and Innovation (RRI) including science education, open access to scientific publications, ethics…; standardisation; climate change and sustainable development …
  • 13. HORIZON 2020 10 Impact of grant preparation on evaluation • No grant negotiation phase! The time from submission of a proposal, evaluation and signature of the grant set to a maximum of 8 months Evaluate each proposal as submitted not on its potential if certain changes were to be made − If you identify shortcomings (other than minor ones and obvious clerical errors), reflect those in a lower score for the relevant criterion − Explain the shortcomings, but do not make recommendations i.e. do not suggest additional partners, additional work packages, resources cut… − Proposals with significant weaknesses that prevent the project from achieving its objectives or with resources being seriously over-estimated must not receive above-threshold scores − Any proposal with scores above the thresholds and where there is sufficient budget will be selected as submitted − Successful applicants are invited to address shortcomings
  • 14. HORIZON 2020 19 Overview of the Evaluation Process Receipt of proposals Individual evaluation Consensus group Panel Review Finalisation Evaluators Individual Evaluation Reports (Usually done remotely) Consensus Report (May be done remotely) Panel report Evaluation Summary Report Panel ranked list Eligibility check Allocation of proposals to evaluators Final ranked list
  • 15. HORIZON 2020 21 Evaluation criteria • There are three evaluation criteria for full proposals: − Excellence (relevant to the description of the call or topic) − Impact − Quality and efficiency of the implementation  You should also check requests for ‘exceptional funding’ from third country participants not included in the list • The criteria are adapted to each type of action, as specified in the WP • See later slides
  • 23. HORIZON 2020 22 Type of actions Research and Innovation Action • Action primarily consisting of activities to establish new knowledge and/or explore feasibility of new or improved technology, product, process, service or solution − May include basic and applied research, technology development and integration, testing and validation on small-scale prototype in laboratory or simulated environment − Projects may contain closely connected but limited demonstration or pilot activities to show technical feasibility in a near to operational environment
  • 24. HORIZON 2020 23 Type of actions Innovation Action • Action primarily consisting of activities that produce plans and arrangements or designs for new, altered or improved products, processes or services − May include prototyping, testing, demonstrating, piloting, large-scale product validation and market replication − Aim to validate the technical and economic viability in a (near) operational environment and/or support the first application/deployment in the market of an innovation that has already been demonstrated but not yet applied/deployed in the market due to market failures/barriers to uptake − Projects may include limited research and development activities
  • 25. HORIZON 2020 24 Type of actions SME Instrument phase 1 • Feasibility study verifying the technological/practical as well as economic viability of innovation idea/concept with considerable novelty to the industry sector in which it is presented (new products, processes, design, services and technologies or new market applications of existing technologies) − Activities: Risk assessment, market study, user involvement, Intellectual Property management, innovation strategy development, partner search, feasibility of concept to establish a solid high-potential innovation project aligned to enterprise strategy and with a European dimension − Bottlenecks in the ability to increase profitability of the enterprise through innovation shall be detected and analysed during phase 1 and addressed during phase 2 to increase the return in investment in innovation activities
  • 26. HORIZON 2020 25 Type of actions SME Instrument phase 2 • Innovation projects that address a specific challenge and demonstrate high potential in terms of company competitiveness and growth underpinned by a strategic business plan − Activities should focus on innovation activities such as demonstration, prototyping, piloting, scaling-up, miniaturisation, design, market replication and the like aiming to bring an innovation idea (product, process, service etc.) to industrial readiness and maturity for market introduction, but may also include some research − In exceptional circumstances, duly justified by the character of an area, a topic may provide for actions where the research component is strongly present, as an alternative to the innovation actions described above − SMEs can subcontract work and knowledge that is essential for their innovation project in the spirit of the innovation voucher concept − Proposals should be based on a strategic business plan either developed through phase 1 or another means
  • 27. HORIZON 2020 26 Type of actions Coordination & 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
  • 28. HORIZON 2020 27 Type of actions ERA-NET Cofund • Supports public-public partnerships, including joint programming initiatives between Member States, in their preparation, establishment of networking structures, design, implementation and coordination of joint activities as well as EU topping-up of trans-national call for proposals − The main activity is the implementation of the co-funded joint call for proposals that leads to the funding of transnational research and/or innovation projects. In addition, consortia may implement other joint activities e.g. joint calls without EU co-funding − May also, depending on the research area and the underlying national programmes and their governing principles, target governmental research organisations. The co-funded call will in these cases be based on in-kind contributions from their institutional funding and the beneficiaries carry out the transnational projects resulting from their call fully or partially themselves  The in-kind contributions are the resources allocated as direct expenditure in the selected trans-national projects that are not reimbursed by the EU contribution
  • 29. HORIZON 2020 28 Type of actions Pre-Commercial Procurement (PCP) Action • Encourage public procurement of research, development and validation of new solutions that can bring significant quality and efficiency improvements in areas of public interest, while opening market opportunities for industry and researchers − Provides EU co-funding for group of procurers to undertake together one joint PCP procurement, so that there is one joint call for tender, one joint evaluation of offers, and a lead procurer awarding the R&D service contracts in the name and on behalf of the group − Each procurer contributes its individual financial contribution to the total budget necessary to jointly finance the PCP, enabling the procurers to share the costs of procuring R&D services from a number of providers and comparing together the merits of alternative solutions paths to address the common challenge − The PCP shall explore alternative solution paths from a number of competing providers to address one concrete procurement need that is identified as a common challenge in the innovation plans of the procurers that requires new R&D − Cross-border PCP cooperation should better address issues of common European interest, for example where interoperability and coherence of solutions across borders is required
  • 30. HORIZON 2020 29 Type of actions Public Procurement of Innovative Solutions (PPI) Action • Enable groups of procurers to share the risks of acting as early adopters of innovative solutions, whilst opening market opportunities for industry − Provides EU co-funding for a group of procurers to undertake together one joint PPI procurement, so that there is one joint PPI call for tender launched by the ‘lead procurer’ and one joint evaluation of offers − In case framework contracts/agreements with lots are used, the specific contracts for procuring specific quantities of goods/services for each procurer can be awarded either all by the lead procurer or by each procurer in the group individually − Each action focuses on one concrete unmet need that is shared by the participating procurers and requires the deployment of innovative solutions that are to a significant extent similar across countries and are therefore proposed to be procured jointly  This means that the innovative solutions procured by all procurers in the group shall have the same core functionality and performance characteristics, but may have additional 'local' functionality due to differences in the local context of each individual procurer
  • 31. HORIZON 2020 37 Operational capacity • As part of the Individual Evaluation, give your view on whether each applicant has the necessary basic operational capacity to carry out their proposed activity(ies) based on the information provided − Curriculum Vitae or description of the profile of the applicant − Relevant publications or achievements − Relevant previous projects or activities − Description of any significant infrastructure or any major items of technical equipment • At the consensus group, you consider whether an applicant lacks basic operational capacity • If yes, you make comments and score the proposal without taking into account this applicant and its associated activity(ies) • Not for stage one of two-stage procedures
  • 32. HORIZON 2020 38 Proposal scoring • You give a score of between 0 and 5 to each criterion based on your comments − The whole range of scores should be used; use steps of 0.5 − Scores must pass thresholds if a proposal is to be considered for funding • Thresholds apply to individual criteria… The default threshold is 3 (unless specified otherwise in the WP) • …and to the total score The default overall threshold is 10 (unless specified otherwise in the WP) • For Innovation actions and the SME instrument, the criterion Impact is given a weight of 1.5 to determine the ranking • For first stage of a two-stage procedure, you only evaluate the criteria Excellence and (part of) Impact − In that case, only the aspects of the criteria in bold are considered − Default threshold for individual criteria is 4 (unless specified otherwise in the WP) − The level of overall threshold will be set so that success rate at stage 2 will be as close as possible to 1:3 (in terms of budget) Note: Remove bullet points that do not apply to the type of action and procedure (single or two stage) of your call/topic Note: The weight of 1.5 applies for ranking only  Experts give a score out of 5 for all criteria  Thresholds to individual criteria and total score apply  For above-threshold proposal, impact is multiplied by 1.5, giving a total score out of 17.5.  If IA and RIA in the same ranked lists, then a normalisation (out of 15) is needed.
  • 33. HORIZON 2020 39 Interpretation of the scores The proposal fails to address the criterion or cannot be assessed due to missing or incomplete information. Poor. The criterion is inadequately addressed, or there are serious inherent weaknesses. Fair. The proposal broadly addresses the criterion, but there are significant weaknesses. Good. The proposal addresses the criterion well, but a number of shortcomings are present. Very Good. The proposal addresses the criterion very well, but a small number of shortcomings are present. Excellent. The proposal successfully addresses all relevant aspects of the criterion. Any shortcomings are minor. 0 1 2 3 4 5
  • 34. HORIZON 2020 40 Evaluation Process Individual Evaluation Report Individual Evaluation Report Individual Evaluation Report Consensus group Consensus Report Individual Evaluation Report Individual Evaluation Report Expert Expert Expert ExpertExpert Minimum 3 experts … but can be more Individual evaluation Consensus Proposal Eligible proposal
  • 35. HORIZON 2020 41 Individual evaluation • Read the proposal and evaluate it against the evaluation criteria − Without discussing it with anybody else − As submitted - not on its potential if certain changes were to be made − Do not penalise applicants that did not provide detailed breakdown costs – they are not required • Disregard excess pages marked with a watermark • Check to what degree the proposal is relevant to the call or topic • Complete an Individual Evaluation Report (IER) − Give your view on operational capacity − Give comments and scores for all evaluation criteria (scores must match comments) − Explain shortcomings, but do not make recommendations (e.g. no additional partners, work packages, resource cuts) • Sign and submit the form in the electronic system Look at the substance: Some proposals might be handicapped by language difficulties, others deceptively well written
  • 36. HORIZON 2020 42 If a proposal • Is only marginally relevant in terms of its scientific, technological or innovation content relating to the call or topic addressed, you must reflect this in a lower score for the Excellence criterion − No matter how excellent the science! • Does not significantly contribute to the expected impacts as specified in the WP for that call or topic, you must reflect this in a lower score for the Impact criterion • Would require substantial modifications in terms of implementation (i.e. change of partners, additional work packages, significant budget or resources cut…), you must reflect this in a lower score for the “Quality and efficiency of the implementation” criterion • If cross-cutting issues are explicitly mentioned in the scope of the call or topic, and not properly addressed (or their non-relevance justified), you must reflect this in a lower score for the relevant criterion − A successful proposal is expected to address them, or convincingly explain why not relevant in a particular case − Proposals addressing cross-cutting issues which are not explicitly mentioned in the scope of the call or topic can also be evaluated positively
  • 37. HORIZON 2020 43 Consensus • It usually involves a discussion on the basis of the individual evaluations − For full proposals, don't immediately converge on the average score − For first stage proposals, the average is a starting point • The aim is to find agreement on comments and scores − Agree comments before scores! − If an applicant lacks basic operational capacity, you make comments and score the proposal without taking into account this applicant and its associated activity(ies) • “Outlying” opinions need to be explored − They might be as valid as others – be open-minded − It is normal for individual views to change • Moderated by Commission/Agency staff (or an expert in some cases) − Neutral and manages the evaluation, protects confidentiality and ensures fairness − Ensures objectivity and accuracy, all voices heard and points discussed − Helps the group keep to time and reach consensus
  • 38. HORIZON 2020 44 Consensus report (CR) • The rapporteur is responsible for drafting the CR − Including consensus comments and scores − In some cases, the rapporteur does not take part in the discussion • The quality of the CR is of utmost importance − It often remains unchanged at the panel stage • The aim of the CR is to give: − A clear assessment of the proposal based on its merit, with justification − Clear feedback on the proposal’s weaknesses and strengths, of an adequate length, and in an appropriate tone − Explain shortcomings, but not to make recommendations • Avoid: − Comments not related to the criterion in question − Comments too long, or too short and inappropriate language − Categorical statements that have not been properly verified − Scores that don’t match the comments − Marking down a proposal for the same critical aspect under two different criteria Remember, applicants will read your comments and, based on them, can challenge the evaluation through the evaluation review procedures
  • 39. HORIZON 2020 45 The panel review • Consists of experts from the consensus groups and/or new experts • Ensures the consistency of comments and scores given at the consensus stage • Resolves any cases where a minority view is recorded in the CR • Endorses the final scores and comments for each proposal − Any new comments and scores (if necessary) should be carefully justified • Recommends a list of proposals in priority order • Prioritises proposals with identical total scores • May also hold hearings at which applicants are invited to present their proposal Note: Keep the last bullet point if hearings are specified under your call/topic in the WP. Otherwise, delete it.
  • 40. HORIZON 2020 46 Proposals with identical total scores • For each group of proposals with identical total scores, the panel considers first proposals that address topics that are not already covered by more highly-ranked proposals • The panel then orders them according to: − First, their score for Excellence, − And second, their score for Impact • If there are ties, the panel takes into account the following factors: − First, the absolute EU budget allocated to SMEs − Second, the gender balance of personnel carrying out the research and/or innovation activities • If there are still ties, the panel agrees further factors to consider: − e.g. synergies between projects or contribution to the objectives of the call or of Horizon 2020 • The same method is then applied to proposals that address topics that are already covered by more highly-ranked proposals Note: For Innovation Actions and the SME instrument, adapt the second bullet point - first their score for Impact and second for Excellence
  • 41. HORIZON 2020 47 Observer(s) • Appointed by the Commission/Agency may attend any meetings or monitor remote evaluation, to ensure a high quality evaluation • They check the functioning and running of the overall process • They advise, in their report, on the conduct and fairness of the evaluation sessions (including 1st stage of 2 stage processes) and, if necessary, suggest possible improvements • They do not evaluate proposals and, therefore, do not express any opinion on their quality • They may raise any questions - please give them your full support
  • 42. HORIZON 2020 48 Ethics review • Only proposals that comply with the ethical principles and legislation may receive funding • For proposals above threshold and considered for funding, an ethics screening and, if necessary, an ethics assessment is carried out by independent ethics experts or qualified internal staff in parallel with the scientific evaluation or soon after − Proposals involving the use of human embryonic stems cells automatically undergo an ethics assessment • For those proposals in which one or more ethical issues have been identified, the experts will assess whether the ethics issues are adequately addressed • The ethics experts will produce an ethics report and give an opinion on the proposal, including: − Granting ethics clearance (or not) − Recommending the inclusion of ‘ethics requirements’ in the grant agreement, or − Recommending a further Ethics Assessment and/or an Ethics Check or Audit
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