Expectations around Impact in Horizon 2020

Dr Ailidh WoodcockEuropean Advisor, UK Research Office

Ailidh.Woodcock@bbsrc.ac.uk16 February 2017

University of Sheffield

Agenda

Start End Session10:00 10:10 Introduction from John Derrick10:10 11:20 Overview of UKRO, Introduction to Horizon 2020, Brexit and

Future Programming for H2020/FP911:20 11:30 Break11:30 12:10 Building Consortia and Networks 12:10 12:50 Lunch12:50 13:30 Expectations around impact in H202013:30 14:20 How to Involve Industry Partners in Proposals 14:20 14:30 Break14:30 16:00 Surgery Sessions 16:00 - END

• Impact in Horizon 2020– Underpinning Policy– What is Impact– Addressing Impact– Impact in Evaluation

• Measures to Maximise Impact – Communication of activities– Dissemination of results

• Open Access • Open Research Data – Data Management Plan

– Further information

Overview

Horizon 2020Impact within the Framework Programme

• The Impact section gained more importance in Horizon 2020, as the Commission now wants to see tangible outcomes of the projects in the form on new innovations (products, services, solutions, policy recommendations, etc.)

• 1/3 of all knowledge in the world is ‘produced’ in Europe, but we are lagging behind our international partners when it comes to commercialising ideas and seeing tangible benefits (improved lives, increased economic growth, reduced unemployment, etc.)

• Furthermore, there is more focus on dissemination of results and communication of the project activities.

Focus on Impact

- 10 year strategy aimed at making the EU more dynamic and competitive

- Three key drivers: Smart, sustainable and inclusive growth

- Headline targets:

Europe 2020 strategy

75% of the population aged 20-64 should be employed

3% of the EU's GDP should be invested in R&D

The "20/20/20" climate/energy targets

should be met

The share of early school leavers should be under 10% and at least 40% of

younger generation should have a tertiary degree

20 million fewer people should be at risk of poverty

Seven flagship initiatives:

Europe 2020 strategy

Innovation Union

Youth on the move

A digital agenda for Europe

Resource efficient Europe

An industrial policy for the

globalisation era

An agenda for new skills and

jobs

European platform against

poverty

• A Connected Digital Market

• A Resilient Energy Union

• A Forward Looking Climate Change Policy

• A Deeper and Fairer Internal Market

• A Strengthened Industrial Base

• A Stronger Global Actor

• Towards a New Policy on Migration

• An Area of Justice

• Fundamental Rights Based on Mutual Trust

Other key priorities impacting on call topics

Horizon 2020: Influences and Wider Policy Environment

Horizon 2020European Technology Platforms (ETPs)

What is Impact?

• The benefits deriving from making practical use of inventions (innovation)

• The greater the benefits – the greater the impact!

Impact

• Making practical use of inventions (new or improved processes, products, services…) to produce tangible benefits, which help satisfy needs (economic, personal, environmental…)

Innovation

• Impact was the most problematic section in the first applications and many applications failed because of impact not being addressed properly.

• Problem:– Treated too artificially with not enough detail provided (too much

focus on science in the Excellence part.– Simply stating that the consortium will reach the expected impact

is not enough!

Problems with addressing Impact

• Dedicate enough time to this section

• Know the direct and wider policy background

• Keep in mind who is funding this and why

What is important for the Impact section?

• SC1-PM-11-2016-2017: Clinical research on regenerative medicine

– Obtain results by means of in-patient regenerative medicine research that allows new therapies to safely reach the next level of testing or medical practice.

– Stimulate growth and competitiveness of European regenerative medicine including European small and medium-sized enterprises and industry operating in the sector.

– Increase the attractiveness of Europe as a location of choice for development of new therapeutic options.

– Lever existing investments in fundamental research into regenerative medicine.

– Develop new approaches to currently untreatable diseases.

Example of Expected Impact in Horizon 2020

• Most applicants state that they will reach the expected impact and be involved in a number of dissemination and exploitation activities.

• No specific details of these activities are provided and that is where the applications lose points!

• The project (incl. activities to maximise impact) must appear ready to go…

How to address Impact correctly?

• Be SMART about it:

pecific

easurable

ssignable

ealistic

ime-bound

How to address Impact correctly?

• Think of impact at various levels– International

• How does it help tackle global societal challenges?

– European • How does the project contribute to the objectives of EU strategies and plans?

• How does it help address fragmentation of research agendas across Europe?

• How does it help to build lasting partnerships i.e. between academia and industry?

– Institutional• How does the project fit with the institution's wider plans and strategic

direction?

How to address Impact correctly?

• General Criteria for Research and Innovation Actions/Innovation Actions/ SME instrument (may be adapted by WP/call)

• Only bold criteria considered for first stage of two-stage proposals

Evaluation Criteria

• Clarity and pertinence of the objectives• Soundness of the concept, including trans-disciplinary considerations, where relevant• Extent that proposed work is ambitious, has innovation potential, and is beyond the state of the art

(e.g. ground-breaking objectives, novel concepts and approaches)• Credibility of the proposed approach

Excellence

• The expected impacts listed in the work programme under the relevant topic• 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; and, where relevant, by delivering such innovations to the markets• Any other environmental and socially important impacts (not already covered above)• Effectiveness of the proposed measures to exploit and disseminate the project results (including

management of IPR), to communicate the project, and to manage research data where relevant

Impact

• Coherence and effectiveness of the work plan, including appropriateness of the allocation of tasks and resources

• Complementarity of the participants within the consortium (when relevant)• Appropriateness of the management structures and procedures, including risk and innovation

management

Implementation

• Meeting the Expected impacts outlined in the call topics• Think about impact in the broadest sense:

– Academic impact? Publications, conferences, data management…– Socio-economic impact? Growth, job creation, market size, IP, monitoring of

exploitation potential, policy outputs, social benefits…– Public engagement? Communication strategy, education, media, social media,

user groups…

• The extent to which project outputs will contribute at European and/or international level policy, strategies, etc.– Effectiveness of the proposed project to exploit and disseminate results to

communicate the project, and to manage research data where relevant. Open Access!

Thinking About Impact

• The expected impacts listed in the work programme under the relevant topic:

– 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, and where relevant, by delivering such innovations to the markets

– Any other environmental and socially important impacts

– Effectiveness of the proposed measures to exploit and disseminate the project results, to communicate the project, and to manage research data where relevant.

Impact criterion during evaluation

• Enhancing innovation capacity and integration of new knowledge

– How will the consortium partners benefit from any technology transfer taking place?

– How will the consortium benefit from open access to expertise required on the project?

– How will the project help strengthen the competitiveness of the consortium as a world-leading group in a particular research area against other organisations?

– How will international networks and other links be exploited by partners to exchange new knowledge?

Impact criterion during evaluation

• Strengthening the competitiveness and growth of companies by developing innovations meeting the needs of European and global markets, and where relevant, by delivering such innovations to the markets

– What marketable products, services, or solutions will be the result of the Horizon 2020 project?

– What will the economic benefits be for the partners involved, especially SMEs? Will it help them increase their turnover, maintain current level of employment, increase their competitiveness and help access new markets?

– What will be the impact on European economy?

Impact criterion during evaluation

• Any other environmental and socially important impacts

– Will the project include ANY public engagement activities that will in turn result in increased awareness of the problem faced?

– Will the project result in increased social innovation in Europe?

– Will the outcome of the project help the EU reach objectives of new EU policies/ strategies/ plans not in place when the call was written?

• COP 21 climate deal (Energy and Climate calls)

• Migration crisis in Europe (Inclusive societies, Security calls)

Impact criterion during evaluation

Horizon 2020Measures to maximise impact

• The expected impacts listed in the work programme under the relevant topic:

– 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, and where relevant, by delivering such innovations to the markets

– Any other environmental and socially important impacts

– Effectiveness of the proposed measures to exploit and disseminate the project results, to communicate the project, and to manage research data where relevant.

Impact criterion during evaluation

• Consider a large number of communication activities:– Project website– Participation in conferences and other events– Publication in peer-reviewed journals– Social media– (Local) media coverage, etc.

• Many projects now include professional companies dealing with dissemination in the media in order to maximise impact

• Show who the main audience will be, for example:– Communication to other scientists

• i.e. during dedicated conferences, which you know will take place during the project’s lifetime– Societal engagement: end-users and stakeholders

• Animal health industry • Regulatory bodies• Farming, veterinary and animal health advisor communities • Wider public

Impact – communication of activities

• Remember!

• Communication is a two-way street, so evaluators want to see that the project will be able to collect feedback from the audience NOT just transmit information (interaction is important).

Impact – communication of activities

Project Audience

Dissemination of results - Open Access

Source: European Commission

Obligation to provide open access when publishing

Open Access to Research Data now mandatory for all parts of Horizon 2020.

Related costs eligible

Related costs eligible

Related costs eligible

• Horizon 2020 mandates open access to all scientific publications.• In general, make publications as open as possible as quickly as

possible • There are two main options:

Open Access

Green

• Self-archiving / 'green' open access – the author, or a representative, archives the published article/final peer-reviewed manuscript in an online repository before, at the same time as, or after publication.

Gold• Open access publishing / 'gold' open access - an

article is immediately published in open access mode.

• From 2017 research data is open by default in Horizon 2020 with possibilities to opt out.– This is an expansion of the original pilot across all thematic areas of Horizon

2020 – The Commission’s moto is ‘as open as possible as closed as necessary’

• It is possible to opt out but need a justifiable reason

Open Research Data

Source: European Commission

• Article 29.3 of the Model Grant Agreement governs the pilot.

• Open research data is also mentioned in the updated introduction to the 2016-2017 work programme.

• A new General Annex L has been added to the work programme on conditions relating to open data.

• The Commission has also updated the guidance on open research data and the emphasis on FAIR data principles has been strengthened.

Open Research Data now the default

Source: European Commission

• Horizon 2020 grantees are required to:– Take measures to ensure open access to the data (including metadata)

underlying their scientific publications.

– Provide access to any other research data of their choice.

– Encouraged to share datasets beyond publication.

• No repository is imposed.• A data management plan is a deliverable on the project (max. 6

months from project start date) and should include information on:– The data the research will generate.

– How to ensure its curation, preservation and sustainability.

– What parts of that data will be open and how.

Open Research Data requirements

• A data management plan template is available on the Participant Portal

• The use of a Data Management Plan is obligatory for all projects that do not opt-out.

• Projects that opt-out are also strongly encouraged to submit a Data Management Plan, if relevant for their planned research.

• The DMP needs to be updated over the course of the project whenever significant changes arise (e.g. new data)

• No need for full-scale DMP in the proposal, but good research data management should be addressed under the Impact criterion…

ORD requirements – Data Management Plan

• In the proposal (under Impact) include the following:– A clear dissemination strategy for project results (i.e. scientific

publications open access)

– A Data Management Plan (if relevant, i.e. where research data is gathered) – a short, general outline of the policy for data management, including the following:

• What types of data will the project generate/collect?• What standards will be used?• How will this data be exploited and/or shared/made

accessible for verification and re-use? If data cannot be made available, explain why.

• How will this data be curated and preserved?

How to deal with OA in proposals?

• Questions to be addressed include:– What kind of needs does the project respond to?– What kind of problem the proposed solution will solve and why this solution

will be better than existing ones and in which areas?– What new knowledge (results) will the project generate (assessment of the

state of the art)?– Who will use these results?– What benefits will be delivered and how much benefit?– How will end users be informed about the generated results?

• Above taken from European IPR Helpdesk factsheet: https://www.iprhelpdesk.eu/sites/default/files/newsdocuments/FS-Plan-for-the-exploitation-and-dissemination-of-results_1.pdf

Plan for the Exploitation and Dissemination of Results in Horizon 2020

• Detailed guidance on Open Access in H2020 is provided on the Participant Portal:– Guidelines on Data Management (incl. a template for the DMP);– Guidelines on Open Access to Scientific Publications and Research

Data;

• Useful guidance and factsheets also provided by the European IPR Helpdesk:– The Plan for the Exploitation and Dissemination of Results in

Horizon 2020;– Open access to publications and data in Horizon 2020: FAQ

Further guidance

Thank you for your attention

Dr Ailidh WoodcockEuropean Advisor UK Research Office (UKRO)Email: Ailidh.Woodcock@bbsrc.ac.ukTel: +32 2 286 90 56