Brussels , 18 January 2019 I H2020 Info day on ICT WP 2019 - Photonics topics

1. Brussels, 18 January 2019 IH2020 Info day on ICT WP 2019 - Photonics topics Notes on the evaluation process Christoph Helmrath

2. ELIGIBILITY • Minimum number of partners from minimum number of member states/associated states • IA & RIA: min 3 independent participants from 3 different member/associated states • CSA: min 1 from 1 • For British applicants: • Please note that until the UK leaves the EU, EU law continues to apply to and within the UK, when it comes to rights and obligations; this includes the eligibility of UK legal entities to fully participate and receive funding in Horizon 2020 actions. Please be aware however that the eligibility criteria must be complied with for the entire duration of the grant. If the United Kingdom withdraws from the EU during the grant period without concluding an agreement with the EU ensuring in particular that British applicants continue to be eligible, you will cease to be eligible to receive EU funding (while continuing, where possible, to participate) or be required to leave the project on the basis of Article 50 of the grant agreement.

3. Definition of RIA, IA & CSA (1) Types of actions as defined in General Annex D of the H2020 Work Programme Research and Innovation Actions (RIA) • Action primarily consisting of activities aiming to establish new knowledge and/or to explore the feasibility of a new or improved technology, product, process, service or solution. • For this purpose they may include basic and applied research, technology development and integration, testing and validation on a small-scale prototype in a laboratory or simulated environment. • Projects may contain closely connected but limited demonstration or pilot activitiesaiming to show technical feasibility in a near to operational environment

4. Definition of RIA, IA & CSA (2) Innovation Actions (IA) • Actions primarily consisting of activities directly aiming at producing plans and arrangements or designs for new, altered or improved products, processes or services. • For this purpose they may include prototyping, testing, demonstration, piloting, large-scale product validation and market replication. • Actions may include limited research and development activities Coordination & Support Actions (CSA) 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

5. Technology Readiness Levels  RIAs and IAs Research & Innovation Actions Innovation Actions TRL1: Basic principlesobserved TRL2: Technology conceptformulated TRL3: Experi-mental proofofconcept TRL4: Techno- logyvali-dation in lab TRL5: Tech. vali-dation in relevant en-vironment TRL6: Demonstration in relevant en-vironment TRL7: Demonstra tion in ope-rational en-vironment TRL8: System completeandqualified TRL9: Success- fulmis-sionsoperations Manu-facturing Disruptive Research Applied Research Pilot Production or Demonstration Project

6. Evaluation Process Overall evaluation process Evaluators Receipt of proposals Individual evaluation Panel Review Finalisation Consensus group Eligibility check Allocation of proposals to evaluators Individual Evaluation Reports (Usually done remotely) Consensus Report (May be done remotely) Panel report Evaluation Summary Report Panel ranked list Final ranked list

7. Evaluation Criteria - Overview All proposals are evaluated against the following criteria: • Criterion 1: Excellence • Criterion 2: Impact • Criterion 3: Implementation

8. Evaluation criterion 1 – Excellence (IA/RIA) • 1. Excellence Note: The following aspects will be taken into account, to the extent that the proposed work corresponds to the topic description in the work programme*: • Clarity and pertinence of the objectives • Soundness of the concept, and credibility of the proposed methodology • Extent that proposed work is beyond the state of the art, and demonstrates innovation potential (e.g. ground-breaking objectives, novel concepts and approaches, new products, services or business and organisational models) • Appropriate consideration of interdisciplinary approaches and, where relevant: use of stakeholder knowledge, gender dimension *If a proposal is partly out of scope, this must be reflected in the score and explained in the comments

9. Points of Attention – Excellence(IA/RIA) • Is the proposal relevant to topic description and to whichextent? • If a proposal is partly out of scope, this will be reflected in the score and explained in the evaluation comments • Proposed objective(s) should be clearly defined, measurable to the extent possible, realistic and achievable within the proposed duration. • Objectives should be consistent with the expected exploitation and impact. • Innovation potential: • Does the proposalrefer to relevant (if any) products and services alreadyavailable in the market? • Has there been a patent search and what are the results? • Gender dimension: doesNOTrefer to gender balance in the teams but to the content of the planned research and innovation activities such as sex and gender analysis for innovation and discovery

10. Evaluation criterion 2 – Impact(IA/RIA) 2. Impact The following aspects will be taken into account • The extent to which the outputs of the project would contribute to each of the expected impacts mentioned in the work programme under the relevant topic (see the "expected impacts" in previous presentations) • Any substantial impacts not mentioned in the work programme, that would enhance innovation capacity, create new market opportunities, strengthen competitiveness and growth of companies, address issues related to climate change or the environment, or bring other important benefits for society • Quality of the proposed measures to: • exploit and disseminate the project results (including management of IPR), and to manage research data where relevant • communicate the project activities to different target audiences

11. Points of attention – Impact (1)(IA/RIA) • Note: Impact is assessed "in context" with the technical output (from criterion 1 Excellence) • A proposal needs to demonstrate impact in all expected impacts listed in the work programme for the sub-topic. • Does the proposal provide the metrics, the baseline and concrete targets of these impacts? (not to be confused with the metrics to achieve the technical objectives) • Are any substantial impacts not mentioned in the work programme described? • Are barriers/obstacles or any framework conditions (e.g. regulation, standards, public acceptance, workforce considerations, follow-up financing, cooperation along the value chain) described, that may determine the extent to which the impact will be achieved ? • Has the proposalsufficientlyexaminedthe intellectualpropertyrightsrelated to the proposal, i.e. doesit have the "freedomto operate" ?

12. Points of attention - Impact (2)(IA/RIA) • Is a draft plan for the exploitation and dissemination of resultsprovided ? • Are the proposed communication measures for promoting the project & its findings tailored to the needs of different target audiences, including groups beyondthe project's own community ? • As relevant, include information on how the participants will manage the research data generated and/or collected during the project • Is the strategy for knowledge management and protection outlined? Are measures included to provide open access (free on-line access, such as the ‘green’ or ‘gold’ model) to peer-reviewed scientific publications which might result from the project?

13. Evaluation criterion 3 - Implementation(IA/RIA) 3. Quality and efficiency of the implementation The following aspects will be taken into account: • Quality and effectiveness of the work plan, including extent to which the resources assigned to work packages are in line with their objectives and deliverables • Appropriateness of the management structures and procedures, including risk and innovation management • Complementarity of the participants and extent to which the consortium as whole brings together the necessary expertise • Appropriateness of the allocation of tasks, ensuring that all participants have a valid role and adequate resources in the project to fulfil that role

14. Points of Attention – Implementation(IA/RIA) Consortium • Complementarity of participants: No unjustified overlaps and no gaps • Is the value/supply chain covered as appropriate? Resources: • Are the claimed efforts (person months) commensurate with the work? • Are other direct costs declared in table 3 of Part A of the proposal sufficiently explained in part B (usually section 3.4) Note: no details required from a participant if the "other direct costs" in table 3 of Part A are less than 15% of the personnel costs of this participant) • Are costs for subcontracting declared in table 3 of Part A of the proposal sufficiently explained

15. Points of Attention – Innovation (IA/RIA) • Innovation Potential (Excellence criterion): • Extent that proposed work is beyond the state of the art, and demonstrates innovation potential (e.g. ground-breaking objectives, novel concepts and approaches, new products, services or business and organisational models) Innovation Potential = Potential of the results to deliver innovations and expected impacts relevant to the call. • Innovation Capacity (Impact criterion): • Any substantial impacts not mentioned in the work programme, that would enhance innovation capacity, create new market opportunities, strengthen competitiveness and growth of companies, address issues related to climate change or the environment, or bring other important benefits for society Innovation Capacity = Capacity of the results to be used to develop other innovations not mentioned in the call. Innovation Management (Implementation criterion) • Appropriateness of the management structures and procedures, including risk and innovation management Innovation management is a process which requires an understanding of both market and technical problems, with a goal of successfully implementing appropriate creative ideas. A new or improved product, service or process is its typical output. It also allows a consortium to respond to an external or internal opportunity

16. Point of Attention - Operational Capacity • The necessary basic operational capacity to carry out proposed activity(ies) will be based on the information provided in the proposal, such as • Curriculum Vitae or description of the profile of the key persons • Relevant publications or achievements • Relevant previous projects or activities • Description of any significant infrastructure or any major items of technical equipment • A description of any third parties that are not represented as project partners, but who will nonetheless be contributing towards the work (e.g. providing facilities, computing resources)

17. More Information See the funding and tender website for all relevant information https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/home • Search for "ICT-03" or "ICT-05" Including: • Standard proposal templates • Standard evaluation forms (self evaluationforms for proposers) • Workprogramme