WP3 - Evaluation and proposal selection Andreas Nikolaus Küppers R&I Coordinator Head, EU Project Office, GFZ

The Impact

WP3 Tasks (from Grant Agreement) Task 3.1 Preparation and launch of the Call for the selection of the Independent External Agency (IEA) (GFZ + SC) Task 3.2 Guidelines for proposals evaluation (GFZ) Task 3.3 Publishing of ranking list of the projects selected for the four different thematic strands (GFZ, month 12) Task 3.4 Project negotiation assistance (GFZ) The WP-3 Leader will assist the four selected consortiums (and their coordinators) in the negotiation phase of the projects.

WP3 Issues Changes in the Objectives Changes in Tasks (Call for Executive Agency) New Deliverables Two step submission Critical changes in the formulation of the CfPs for strands (Compliance w/ Original Call?) Timing becomes critical (as changes need to be integrated in work plans): New start date

Deliverables (from GA)

Milestones

Timeline(s) ~ 1 month 37 Days ~ 1 month 37 Days ~ 1 month + α T3.1: Preparation and launch of the Call for the selection of the Independent External Agency (IEA) ~ 1 month 37 Days ~ 1 month 37 Days ~ 1 month + α Preparation of Call EoI IEA Publication of Call IEA Selection and clearance with SC Restricted Call IEA Final IEA Selection and clearance with SC SC meeting SC meeting At least 6 months + α until tape cutting for the submission of proposals Start of the IEA operations earliest in October 2016 (Project month 9) Task 3.2 Guidelines for proposals evaluation (GFZ) Task 3.3 Publishing of ranking list of the projects selected for the four different thematic strands (GFZ, month 12) Task 3.4 Project negotiation assistance (GFZ)

New Deliverables for WP3 Task 3.1 T3.1: Preparation and launch of the Call for the selection of the Independent External Agency (IEA) D3.01 Report on Preparation of Call EoI IEA D3.02 Report on Publication of Call D3.03 Report on IEA Selection and clearance with SC D3.04 Report on Restricted Call IEA D3.05 Report on Final IEA Selection and clearance with SC D3.06 Contract for the IEA

Timeline Project Calls & Evaluation 1st Call 1st Deadline 2nd Call 2nd Deadline Preparations GO! 3 months 3,5 months SC meeting / Evaluation 4 months Full proposal 4 months Evaluation, Preparations Total time to contract: 14,5 months

Timeline(s) Tasks 3.2 - 3.4 Preparation, Evaluation and Negotiation of calls for proposals (4 strands) Task 3.2 Guidelines for proposals evaluation Task 3.3 Publishing of ranking list of the projects selected for the four different thematic strands Task 3.4 Project negotiation assistance Del.-No Deliverable Title Type Diss. level Due Date in months Due Date (GA) Due Date (new) D3.1 Report on Guidelines for Evaluators (Stage-One & Stage-Two) Report CO 6 07/16 01.08.2016 11/2016 D3.2 Report on Review at the First-Stage 10 11/16 01.12.2016 6/2017 D3.3 Report on Review at the Second-Stage 12 01/17 01.02.2017 12/2017 D3.4 Ranking lists and information on each selected project PU D3.5 Formal and duly signed commitment on availability of funds and project information passport for thematic Strands 1-4 14 03/17 01.04.2017 01/2018 D3.6 Report on negotiation 18 7/17 01.08.2017 3/2018 Task 3.2 Guidelines for proposals evaluation (GFZ) Task 3.3 Publishing of ranking list of the projects selected for the four different thematic strands (GFZ, month 12) Task 3.4 Project negotiation assistance (GFZ)

The foreseen transnational call should be aimed to support both transnational research collaborations under Strands and a limited number of ambitious, high level, innovative, multi-national and multi-disciplinary collaborative research projects that will add value to the respective research areas. A Two-Stage procedure for the Call will be adopted in ERA-PLANET to enhance a real competition and prioritise ideas at a wide European level: - Stage 1: Short proposals will be submitted at the First-Stage providing an overview of new topics and ideas emerging at the European level. These proposals will be reviewed and prioritised by external reviewers selected by the EA giving a ranking list. Only the top ranking proposals from the first stage will be admitted to the second stage by submitting a full proposal - Stage 2: Small number of full proposals will be submitted at the second stage, All proposal will be evaluated by the external reviewers with a support of the EA. Activities will be developed through: Task 3.1 Preparation and launch of the Call for the selection of the Independent External Agency (IEA) (GFZ + SC) WP3 will prepare the Call for the selection of the IEA and submit the draft of the Call to the SC of ERA-PLANET. After approval, WP3 will launch the Call and reports to SC on the IEA candidates. SC will select the IEA. WP-3 Leader will prepare the contract for the IEA. The WP-3 Leader will make sure that the IEA execute the following tasks: - Management of all tasks related to proposal submission during the two-stage submission and selection process. - Selection of the reviewers’ panels from the EC central data base for the evaluation of the proposals related to the four Strands; - Ranking of the proposals submitted for each Strand; - Submission of the Evaluation Report for each submitted proposal to the WP-3 Leader; The IEA will ensure that the - Composition of the consortia is in line with the EU regulations (e.g., that at least two independent entities from two different EU Member States or Associated Countries are members); - Proposals where all entities are eligible for funding under the national programmes involved in the JTC are invited to Stage-Two. All lawful steps will be taken to ensure confidentiality of information and documents obtained during the evaluation and selection procedures of the JTC. Task 3.2 Guidelines for proposals evaluation (GFZ) A detailed guide for proposals evaluation will be prepared and submitted to the IEA. Evaluation and ranking of proposals will be based on the following criteria: a) Excellence; b) Impact; c) Quality and efficiency of the project implementation. Task 3.3 Publishing of ranking list of the projects selected for the four different thematic strands (GFZ, month 12) After the end of the Two-Stage evaluation procedure WP3 will prepare and submit to the SC the following: 1. The ranking lists of the projects in the four different thematic strands 2. The observers' report on the evaluation 3. The joint selection list of the projects to be funded, and 4. A formal and duly signed commitment on availability of funds as in-kind contribution from each consortium partner participating to the projects. Furthermore, after the end of the evaluation the Consortium will submit to the European Commission a project information passport for each project selected for funding, including data on each participant and abstracts of the project proposal, in a format specified by the European Commission, for publication and evaluation purposes. These project information passports will be updated at the end of the action, in particular the data on each participant and the overview of the results. Task 3.4 Project negotiation assistance (GFZ) The WP-3 Leader will assist the four selected consortiums (and their coordinators) in the negotiation phase of the projects. WP3 Tasks Task 3.1 Preparation and launch of the Call for the selection of the Independent External Agency (IEA) (GFZ + SC) Missing Timeline: Selection, Call and Evaluation Procedure of the External Agency (IEA) Official Call Procedure (EU wide) Evaluation Procedure 209.000 € limit for publication in the official journal of the EU 2-stage call: 1st stage Call for Expression of interest 2nd stage restricted Call Timeline: additional 6-7 months needed Task 3.2 Guidelines for proposals evaluation (GFZ) Task 3.3 Publishing of ranking list of the projects selected for the four different thematic strands (GFZ, month 12) Task 3.4 Project negotiation assistance (GFZ) 1st STEP The foreseen transnational call should be aimed to support both transnational research collaborations under Strands and a limited number of ambitious, high level, innovative, multi-national and multi-disciplinary collaborative research projects that will add value to the respective research areas. A Two-Stage procedure for the Call will be adopted in ERA-PLANET to enhance a real competition and prioritise ideas at a wide European level: - Stage 1: Short proposals will be submitted at the First-Stage providing an overview of new topics and ideas emerging at the European level. These proposals will be reviewed and prioritised by external reviewers selected by the EA giving a ranking list. Only the top ranking proposals from the first stage will be admitted to the second stage by submitting a full proposal - Stage 2: Small number of full proposals will be submitted at the second stage, All proposal will be evaluated by the external reviewers with a support of the EA. Activities will be developed through: Task 3.1 Preparation and launch of the Call for the selection of the Independent External Agency (IEA) (GFZ + SC) WP3 will prepare the Call for the selection of the IEA and submit the draft of the Call to the SC of ERA-PLANET. After approval, WP3 will launch the Call and reports to SC on the IEA candidates. SC will select the IEA. WP-3 Leader will prepare the contract for the IEA. The WP-3 Leader will make sure that the IEA execute the following tasks: - Management of all tasks related to proposal submission during the two-stage submission and selection process. - Selection of the reviewers’ panels from the EC central data base for the evaluation of the proposals related to the four Strands; - Ranking of the proposals submitted for each Strand; - Submission of the Evaluation Report for each submitted proposal to the WP-3 Leader; The IEA will ensure that the - Composition of the consortia is in line with the EU regulations (e.g., that at least two independent entities from two different EU Member States or Associated Countries are members); - Proposals where all entities are eligible for funding under the national programmes involved in the JTC are invited to Stage-Two. All lawful steps will be taken to ensure confidentiality of information and documents obtained during the evaluation and selection procedures of the JTC. Task 3.2 Guidelines for proposals evaluation (GFZ) A detailed guide for proposals evaluation will be prepared and submitted to the IEA. Evaluation and ranking of proposals will be based on the following criteria: a) Excellence; b) Impact; c) Quality and efficiency of the project implementation. Task 3.3 Publishing of ranking list of the projects selected for the four different thematic strands (GFZ, month 12) After the end of the Two-Stage evaluation procedure WP3 will prepare and submit to the SC the following: 1. The ranking lists of the projects in the four different thematic strands 2. The observers' report on the evaluation 3. The joint selection list of the projects to be funded, and 4. A formal and duly signed commitment on availability of funds as in-kind contribution from each consortium partner participating to the projects. Furthermore, after the end of the evaluation the Consortium will submit to the European Commission a project information passport for each project selected for funding, including data on each participant and abstracts of the project proposal, in a format specified by the European Commission, for publication and evaluation purposes. These project information passports will be updated at the end of the action, in particular the data on each participant and the overview of the results. Task 3.4 Project negotiation assistance (GFZ) The WP-3 Leader will assist the four selected consortiums (and their coordinators) in the negotiation phase of the projects. 2nd STEP

WP3 @ Proposal Del.-No Deliverable Title WP Lead beneficiary Type Dissemination level Due Date in months Due Date D3.1 Report on Guidelines for Evaluators (Step-1 & Step-2) WP3 17 - GFZ Report Confidential 6 07/16 01.08.2016 D3.2 D3.2 Report on Review at trans-national level (Step-1) 08 09/16 01.10.2016 D3.3 Single international peer review (Step-2) 10 11/16 01.12.2016 D3.4 Ranking lists of the projects selected for the four different thematic strands and joint selection list of the projects to be funded Public 11 12/16 01.01.2017 D3.5 Formal and duly signed commitment on availability of funds and project information passport for thematic Strands 1, 2, 3, 4 D3.6 Report on the Kick Off meeting of all thematic Strand projects 20 09/17 01.10.2017 D3.6 (GFZ, month 20)

WP3 @ GA WP3: Start month: 6 (01.07.2016) |End Month: 20 (01.09.2017) Del.-No Deliverable Title WP Lead beneficiary Type Dissemination level Due Date in months Due Date (GA) D3.1 Report on Guidelines for Evaluators (Stage-One & Stage-Two) WP3 17 - GFZ Report Confidential, 6 07/16 01.08.2016 D3.2 Report on Review at the First-Stage 10 11/16 01.12.2016 D3.3 Report on Review at the Second-Stage 12 01/17 01.02.2017 D3.4 Ranking lists and information on each selected project Public D3.5 Formal and duly signed commitment on availability of funds and project information passport for thematic Strands 1-4 14 03/17 01.04.2017 D3.6 Report on negotiation 18 7/17 01.08.2017

WP3 Objective (Proposal) The main objective is the preparation and launch of the Call for the selection of the Independent External Agency (IEA). The IEA will be taken under subcontract and will be authorised to execute the complete practical/administrative call tasks in a fully transparent and independent manner. The IEA will execute the Two-Stage evaluation and the proposal selection. WP3 will support the coordinators of the four selected proposals in the negotiation phase according to the rules laid down in the H2020 Model Grant Agreement for ERA-NET Co-fund, the General Annexes of the H2020 Work Programme 2014-2015, plus the Horizon 2020 Proposal template for ERA-NET Co-fund actions as published together with the Call for proposals. This set of activities will constitute major core parts of the implementation of the joint transnational call.

WP3 Objective (GA) The foreseen transnational call should be aimed to support both transnational research collaborations under Strands and a limited number of ambitious, high level, innovative, multi-national and multi-disciplinary collaborative research projects that will add value to the respective research areas. A Two-Stage procedure for the Call will be adopted in ERA-PLANET to enhance a real competition and prioritise ideas at a wide European level: - Stage 1: Short proposals will be submitted at the First-Stage providing an overview of new topics and ideas emerging at the European level. These proposals will be reviewed and prioritised by external reviewers selected by the EA giving a ranking list. Only the top ranking proposals from the first stage will be admitted to the second stage by submitting a full proposal - Stage 2: Small number of full proposals will be submitted at the second stage, All proposal will be evaluated by the external reviewers with a support of the EA. Activities will be developed through: Task 3.1 Preparation and launch of the Call for the selection of the Independent External Agency (IEA) (GFZ + SC)….

Del. @ WP3 WP3: Start month: 6 (01.07.2016) |End Month: 20 (01.09.2017) Del.-No Deliverable Title WP Lead beneficiary Type Dissemination level Due Date in months Due Date (GA) D3.1 Report on Guidelines for Evaluators (Stage-One & Stage-Two) WP3 17 - GFZ Report Confidential, 6 07/16 01.08.2016 Work has to be performed starting M1