ERC Grants in 2013: Evaluation of Proposals

1. ERC Grants in 2013: Evaluation of Proposals Dr. Frank Kuhn Social Sciences & Humanities Scientific Management Department B.2 Starting Grant Unit30 August, 2012 Research Funding Symposium (cancelled) APSA, New Orleans

2. Part 1 – Funding Schemes 2013 focus on: Starting Grant Consolidator Grant Part 2 – Data from previous calls Outline

3. ERC profile • ERC grants aim to support 'Frontier Research', in other words the pursuit of questions at or beyond the frontiers of knowledge, without regard for established disciplinary boundaries. • Proposals of a multi- or interdisciplinary nature which cross the boundaries between different fields of research, pioneering proposals addressing new and emerging fields of research or proposals introducing unconventional, innovative approaches and scientific inventions are encouraged, as long as the expected impact on science, scholarship or engineering is significant. • The research proposed should has a high-gain/high-risk profile, i.e. if successful the payoffs will be very significant, but there is a higher-than-normal risk that the research project does not entirely fulfil its aims.

4. ERC Funding Schemes Freedom of the individual grantee ERC offers independence, recognition & visibility • to work on a research topic of own choice, with a team of own choice • to gain true financial autonomy for 5 years • to negotiate with the host institution the best conditions of work • to attract top team members (EU and non-EU) and collaborators • to move with the grant to any place in Europe if necessary (portability of grants) • to attract additional funding and gain recognition;ERC is a quality label

5. ERC grant schemes - Strategic principles All fields of science and scholarship are eligible Investigator-driven, bottom-up Excellence is the only valid criterion Individual team + research project Irrespective of nationality, gender or age of researchers Investment in research talent Attractive, flexible grants, up to five years Under control of the Principal Investigator Independent individual teams in Europe All nationalities can apply Host organisation to be located in EU or Associated Country

6. ERC Grant schemes Four types of grants: • ERC Starting Grant (StG): Starting own independent research team or programme – € 1.5 M (up to € 2.0 M)/5 y • ERC Consolidator Grant (CoG): Consolidating own independent research team or programme – € 2.0 (up to € 2.75 M)/5 y • ERC Advanced Grant (AdG): Attract & reward established independent research leaders – € 2.5 (up to €3.5 M) /5 y • ERC Synergy Grants: Small groups of Principal Investigators – up to € 15 M/6 y + Proof of Concept funding

7. ERC Grants Applicants from outside Europe “Can I apply as a Non-European?” • Yes, you can. Candidates from outside Europe only need to find a EU-based host institution (HI) willing to host them for the duration of the project. • ERC Grants by now a household name in European academia • Likely to find a HI • cp. ERC website for succesful HIs ("funded projects") Additional incentives for Non-Europeans • can apply for substantial additional funding • in general: European universities offer additional incentives to ERC Grantees (e.g. professorships, additional team positions)

8. ERC Funding schemes Planned budget 2012 & 2013

9. StG and CoG 2013: Two separate calls The two streams of previous Starting Grant will be separated into two separate calls: • Starting Grant: 2 – 7 yearsafterPhD • Consolidator Grant: 7 – 12 yearsafterPhD │9

10. ERC Starting Grants Objective "ERC Starting Grants boost the independent careers of excellent researchers by providing adequate support at the critical stage where they are starting their own independent research team or programme."

11. ERC Consolidator Grants Objective "ERC Consolidator Grants boost the independent careers of excellent researchers by providing adequate support at the critical stage where they are consolidating their own independent research team or programme."

12. ERC Starting and Consolidator Grants The applicant’s profile “Am I competitive enough?” • Potential for research independence • Evidence of scientific maturity • At least one (StG) /several (CoG) publications without participation of PhD supervisor Promising track-record of early achievements • Significant publications • Invited presentations in conferences • Funding, patents, awards, prizes

13. Submission of proposals Single submission ► one deadline per Call (new 2012 -13) ► to a targeted panel ► electronically only ► proposals have two parts: Part A: administrative forms Part B: scientific proposal itself Complete information: Guides for Applicants

14. Submission of proposals Proposal structure PART A – online forms A1 Proposal and PI info A2 Host Institution info A3 Budget PART B1 – submitted as .pdf CV 2 p. Track Record 2 p. Extended Synopsis 5 p. Annexes – submitted as .pdf • Statement of support of HI • If applicable: explanatory information on ethical issues; copy of PhD (StG & CoG); document for extension of eligibility window (StG & CoG) PART B2 – submitted as .pdf • Scientific Proposal 15 p. • (incl. budget table)

15. Timetable of 2013 ERC calls │ 15

16. Review Process: two steps Submission of full proposals Individual assessment of full proposal by panel members & referees Eligibility check Step 1 (remote) evaluation on the basis of section 1 of proposal* by panel members AdG :2nd Panel meeting StG: 2nd Panel meeting incl. interviews of applicants 1st Panel meeting Proposals selected for funding Proposals passing to step 2

17. ERC StG and CoG SchemesEvaluation of Excellence: Criterion 1: Research Project Ground-breaking nature and potential impact of the research: To what extent does the proposed research address important challenges? To what extent are the objectives ambitious and beyond the state of the art (e.g. novel concepts and approaches or development across disciplines)? How much is the proposed research high risk/high gain?

18. ERC StG and CoG SchemesEvaluation of Excellence: Criterion 1: Research Project Scientific Approach: To what extent is the outlined scientific approach feasible (based on Extended Synopsis)? To what extent is the proposed research methodology appropriate to achieve the goals of the project (based on Scientific Proposal)? To what extent does the proposal involve the development of novel methodology (based on Scientific Proposal)? To what extent are the proposed timescales and resources necessary and properly justified (based on Scientific Proposal)?

19. ERC StG and CoG SchemesEvaluation of Excellence: Criterion 2: Principal Investigator(s) Intellectual capacity, creativity and commitment: The PI has demonstrated the ability to propose and conduct ground-breaking research and his/her achievements have typically gone beyond the state-of-the-art. The PI provides abundant evidence of creative independent thinking. The ERC Grant would contribute significantly to the establishment and/or further consolidation of the PI's independence. The PI is strongly committed to the project and demonstrates the willingness to devote a significant amount of time to the project (min 50% of the total working time on it and min 50% in an EU Member State or Associated Country) (based on Scientific Proposal). fully agree, agree partially, disagree partially, strongly disagree

20. Feedback to ApplicantsNew scoring system (2012 – 2013) • A, B, C system replaces numerical Scoring • Scoring system during remote evaluation and panel meeting is the same as in the previous year

21. Feedback to ApplicantsNew scoring system (2012 – 2013) End of Step 1: A. Proposal is of sufficient quality to pass to Step 2 of the evaluation; B. Proposal is of high quality but not sufficient to pass to Step 2 of the evaluation; C. Proposal is not of sufficient quality to pass to Step 2 of the evaluation. The applicant may also be subject to resubmission limitations in the next call

22. Feedback to ApplicantsNew scoring system (2012 – 2013) End of Step 2: A. Proposal fully meets the ERC's excellence criterion and is recommended for funding if sufficient funds are available; B. Proposal meets some but not all elements of the ERC's excellence criterion and will not be funded.

23. Feedback to ApplicantsRanking range – Step 1 • “A” proposal do not receive an Evaluation Report • “B” proposal will receive 10% ranking slices starting from the cut-off point between A and B • e.g. Ranking range 36% - 45% • Last tranche will be rounded up (larger) • “C” proposal will receive simply the top and the bottom percentage positions • E.g. From 68% to 100%

24. Feedback to ApplicantsRanking range – Step 2 • “A” proposals within panel budget at meeting (funding for sure) will simply receive the top and bottom percentage of group • E.g. Top 45% • “A” proposal outside panel budget (i.e. not sure if budget available) will receive their individual ranking position with a 2% ranking range • E.g. 52 - 54% • “B” proposal will simply get top and bottom of group • e.g. between 58% and 100%

25. Possibility to exclude reviewers (new since AdG 2012) • Applicants can nominate up to three persons to be excluded from the evaluation of their proposal, specifying the reason for exclusion: • Direct scientific rivalry • Professional Hostility • Similar situation which would impair or put in doubt the objectivity of the potential evaluator • Exclusion may concern any independent expert, including the panel chair, panel members as well as remote referees • The concerned persons will be excluded from the evaluation of the proposal assuming that the ERCEA is still in a position to evaluate the proposal properly

26. Scientific domains • For operational reasons : 25 panels in 3 main domains PE: Physical Sciences, Engineering (10 panels) LS: Life Sciences (9 panels) SH: Social Sciences and Humanities (6 panels) • Allocation of call budget per domain as follows: PE domain: 44% LS domain: 39% SH domain : 17% Within domains, budgets are allocated to the panels in proportion to the number of submissions

27. Capacities People (8 %) JRC non- (9 %) nuclear (3 %) Ideas Co-operation (65 %) (15 %) FP7 budget € 50.5 billion ERC budget € 7.5 billion; Increase by € 250 M/year

28. ERC Panel Structure: 3 Domains, 25 Panels Social Sciences and Humanities (SH)  6 SH1 Individuals, institutions & markets SH2 Institutions, values, beliefs and behaviour SH3 Environment & society SH4 The Human Mind and its complexity SH5 Cultures & cultural production SH6 The study of the human past Physical Sciences & Engineering (PE)  10 PE1 Mathematical foundations PE2 Fundamental constituents of matter PE3 Condensed matter physics PE4 Physical & Analytical Chemical sciences PE5 Materials & Synthesis PE6 Computer science & informatics PE7 Systems & communication engineering PE8 Products & process engineering PE9 Universe sciences PE10 Earth system science Each panel : Panel Chair and 10-15 Panel Members Life Sciences (LS)  9 LS1 Molecular & Structural Biology & Biochemistry LS2 Genetics, Genomics, Bioinformatics & Systems Biology LS3 Cellular and Developmental Biology LS4 Physiology, Pathophysiology & Endocrinology LS5 Neurosciences & neural disorders LS6 Immunity & infection LS7 Diagnostic tools, therapies & public health LS8 Evolutionary, population & environmental biology LS9 Applied life sciences & biotechnology │ 28 │ 28

29. Eligibility For the Starting Grant the Principal Investigator shall have been awarded his/her first PhD at least 2 and up to 7 years prior to the publication date of the call for proposals of the ERC Starting Grant. For the Consolidator Grant the Principal Investigator shall have been awarded his/her first PhD over 7 and up to 12 years prior to the publication date of the call for proposals of the ERC Consolidator Grant. The effective elapsed time since the award of the first PhD can be reduced in the following properly documented circumstances. Extension may be requested - must be supported by official documents: - maternity /paternity leave - long-term illness, clinical training or national service

30. Eligibility & Re-Submissions Ineligibility • submission after the deadline • incomplete proposals including annexes • no commitment letter from HI • HI outside EU MS or AC • PhD award date (>12 or <2) • Missing supporting official document Re-application • only one active ERC grant at any time • only one application per PI under the same WP • if 2012 ► 2013: only if > evaluated at least as A or B in step 1

31. Host Institution Applicant legal entity: institution that engages and hosts the PI for the duration of the project Any type of legal entity: universities, research centres, business research units … as long as it is in MS or AC Commitment of HI: to ensure that the PI may - apply for funding independently - manage research and funding for the project - publish independently as senior author - have access to reasonable space and facilities │31

32. ERC Structure • The Scientific Council • 22 prominent researchers proposed by an independent • identification committee • Appointed by the Commission (4 years, renewable once) • Establishes overall scientific strategy; annual work programmes • (incl. calls for proposals, evaluation criteria); peer review methodology; • selection and accreditation of experts • Controls quality of operations and management • Ensures communication with the scientific community • The ERC Agency • Executes annual work programmeas established by the Scientific Council • Implements calls for proposals and provides information and support to applicants • Organises peer review evaluation • Establishes and manages grant agreements • Administers scientific and financial aspects and follow-up of grant agreements • Carries out communications activities and ensures information dissemination • to ERC stakeholders The European Commission • Provides financing through the EU framework programmes • Guarantees autonomy of the ERC • Assures the integrity and accountability of the ERC • Adopts annual work programmes as established by the Scientific Council

33. The ERC Scientific Council Members(re-newed 1 February 2011) • Prof. Claudio BORDIGNON (IT – Medicine) • Prof. Nicholas CANNY, (IE – History) • Prof. Sierd A.P.L. CLOETINGH (NL – Earth Sciences) • Prof. Mathias DEWATRIPONT (BE – Economics) • Prof. Tomasz DIETL (PL – Physics) • Prof. Daniel DOLEV (IL – Computer Sciences) • Prof. Carlos M. DUARTE (ES – Biology) • Prof. Daniel ESTEVE (FR – Physics) • Prof. Pavel EXNER (CZ – Applied Mathematics & Mathematical Physics) • Prof. Hans-Joachim FREUND (DE- Physics & Physical Chemistry) • Prof. Carl-Henrik HELDIN (SE – Molecular Cell Biology), ERC Vice President • Prof. Timothy HUNT (UK - Biology) • Prof. Norbert KROO (HU – Physics) • Prof. Maria Teresa LAGO (PT – Astrophysics) • Prof. Henrietta L. MOORE (UK – Social Anthropology) • Prof. Helga NOWOTNY (AT – Social Studies of Science), ERC President • Prof. Christiane NÜSSLEIN-VOLHARD (DE – Genetics) • Prof. Alain PEYRAUBE (FR – Linguistics) • Dr. Jens ROSTRUP-NIELSEN (DK – Chemistry) • Prof. Mart SAARMA (EE – Biology) • Prof. Anna TRAMONTANO (IT- Biochemistry) • Prof. Isabelle VERNOS (ES – Molecular Biology) Prof. Helga Nowotny Vienna Science and Technology Fund (WWTF)

34. ERC Website

35. Essential documents • Call published on Participants Portal: https://ec.europa.eu/research/participants/portal/page/ideas?callIdentifier=ERC-2013-StG • Work Programme 2013 - Ideas • Guide for Applicants (ERC Starting Grant 2013) • Step by step submission via EPSS • ERC website: • ERC Guide for Grant Holders • ERC Guide for Peer Reviewers

36. Results of completed calls

37. Panel Members and Chairs

38. Part 1 – Funding Schemes Starting Independent Researcher Grant Part 2 – Data from previous calls Outline

39. Data from previous callsERC Starting grant calls 2007 - 2012Submitted proposals by domain │ 39

40. Data from previous callsERC Advanced grant calls 2008 - 2011Submitted proposals by domain │ 40

41. Data from previous callsERC Competitions 2007 - 2011Success rates │ 41 │ 41

42. Data from previous callsERC Competitions 2007 - 2011Success rates by country of Host Institution Success rates by country of Host Institution

43. Origin of GranteesERC Starting & Advanced grant calls 2007 – 2011 │ 43 *) Host institution refers to the organisation with which the first grant agreement was signed

44. International exchange of researchersERC Starting & Advanced grant calls 2007 - 2011

45. ERC Starting grant 2007-2011ERC Advanced grant 2008-2010Over 2000 ERC grantees 486 500 400 AdG StG 303 301 300 Funded Proposals 200 174 161 150 132 125 92 100 74 56 42 37 24 22 20 20 16 9 8 4 3 2 1 1 1 0 IL FI IT IE IS SI EL PL PT AT BE NL CZ ES EE SE FR DK CY TR DE UK HU BG CH NO Country of HI │ 45

46. Age of StG and AdG grantees

47. Thank you! ERC: http://erc.europa.eu/ Euraxess: http://ec.europa.eu/euraxess E-Mail: frank.kuhn@ec.europa.eu