Information session SBO 2017 Guy Thoonen

Information session FWO Overview Mission and key facts FWO Characteristics of the SBO-programme Submission of a SBO project proposal Evaluation process and framework Practical recommendations Additional information February 2017 Information session FWO

1. Mission and key facts FWO

Information session FWO 1. Mission and key facts Mission of the FWO Funds fundamental scientific research (‘frontier research’) and strategic research February 2017 Information session FWO

Information session FWO 1. Mission and key facts Target groups of the FWO Young researchers Postdoctoral researchers Established researchers Research teams Top-researchers and high-potential researchers February 2017 Information session FWO

Information session FWO 1. Mission and key facts Funding schemes of the FWO Funding for individual researchers Pre- and postdoctoral fellowships, bench fees and grants Funding for research teams Research projects, Big Science, Bilateral agreements, TBM, SBO, … Supporting mobility, international contacts and collaborations Travel grants, sabbatical leaves, scientific research communities, organization of conferences in Belgium, international coordination actions, collaboration agreements, … Attracting excellent researchers, active abroad, to Flanders Odysseus, Pegasus Awarding scientific prizes Research Infrastructure VSC February 2017 Information session FWO

Information session FWO 1. Mission and key facts Budget 2016: 320 million EUR, ca. 79% from Flemish Government Budget 2017: 341 million EUR February 2017 Information session FWO

Information session FWO 1. Mission and key facts FWO Policy on Research integrity Clause in call text, application and contract on commitment to RI Profiles for (co)promoters and researchers Adaptations in General Regulation on procedure and sanctions in case of RI violation Please read the detailed information on our website: http://www.fwo.be/en/the-fwo/organisation/research-integrity/.  Every applicant and beneficiary is expected to know the rules and what (s)he will be committed to. February 2017 Information session FWO

2. Characteristics of the SBO-programme

Characteristics of the SBO-programme Key aspects High-quality basic research with focus on challenging, high-risk, inventive and original research Open to all scientific disciplines and fields of application (bottom up) Clear vision about the potential for exploitation of the project results Engagement to ensure effective transfer, exploitation and valorization of research to and by economic or societal actors in Flanders Two finality parts: economic or societal, defined by the main type of actors who embrace the applications February 2017 Information session FWO

Characteristics of the SBO-programme 2 axes Research Valorization February 2017 Information session FWO

Characteristics of the SBO-programme Strategic basic research within SBO programme: Research is not a goal in itself but an essential mean to allow for an important new valorization or knowledge utilization Results should be translatable into concrete applications: generation of new products, processes or services solution of societal issues creation of new opportunities for societal value creation … Alignment between the supply-driven focus (from research organizations) and problem-driven focus (from the demand side: companies, societal actors) February 2017 Information session FWO

Characteristics of the SBO-programme Valorization: reciprocal cooperation across institutional boundaries Involvement of the economic/societal user community in the SBO project cycle to facilitate a smooth transition between the end of the SBO-project and the further development and implementation pathway within the user organizations. Requires an investment in meaningful interactions and network building during the preparation phase of the SBO project with users in the field i.e. companies or societal actors, external to the research organizations. Active effort and commitment to enable the effective transfer to and utilization of research results by these actors. February 2017 Information session FWO

Characteristics of the SBO-programme Economic valorization strategies: economic value creation (i.e. employment + investments) Transfer of results to existing companies → follow-up R&D activities Requirement for an industrial advisory committee Transfer to a to be founded spin-off company Societal utilization strategies: societal value creation Transfer results to existing organizations → follow-up R&D & implementation activities Requirements for a societal advisory committee SBO research: still far away from the market: successful SBO project should initially result in follow-up (R&D and/or translational) activities. Applicants remain owners of the project results: transfer to be carried out at prevailing market conditions and open to all companies in the European Union, including those that are not a member of the advisory committee. February 2017 Information session FWO

Characteristics of the SBO-programme Two challenges for SBO applicants: Demonstrate scientific potential and design appropriate research approach. February 2017 Information session FWO

Characteristics of the SBO-programme Two challenges for SBO applicants: Demonstrate scientific potential and design appropriate research approach. Demonstrate valorization potential and valorization approach. Clear vision on the potential for valorization/utilization Meaningful synergy, interaction dynamics and mobilization across institutional boundaries (research organizations ↔ economic/societal actors) Active effort and commitment to enable the effective transfer to and utilization of the research results by economic or societal actors Advisory committee (role before, during & after project)

Characteristics of the SBO-programme Advisory committee: Compulsory for SBO-E (transfer to existing companies) and SBO-M, optional in case of spin-off earmarked project Open to all interested companies, including outside the Flemish region Covers entire valorization chain: elaborate on the role of each individual user Elaborate on active involvement and commitment of user organizations (pre, intra, post-project) Dynamics of the advisory committee – members’ expectations: elaborated vision on intellectual property rights/transfer of project results, especially for members that are active in overlapping areas of applications and/or field were exclusivity is common Spin-offs: importance of early interactions with interface and transfer services, possible customers and capital providers February 2017 Information session FWO

Characteristics of the SBO-programme Advisory committee: Substantiate early and meaningful interactions and cooperations between researchers and the users from the early definition and design phase of the project proposal onwards → i.e. enabler for meaningful interaction dynamics over the lifecycle of the project Mention parallel R&D collaborations, follow-up R&D activities and implementation efforts → beneficial for feasibility/likelihood of the valorization approach after the SBO-project SBO-M: Application oriented activities from the third project year onwards to bridge the gap between SBO-results and societal implementation (advantage in selection process!). Activities to be performed by the societal actors – no FWO funding Substantiated letters of intent February 2017 Information session FWO

Characteristics of the SBO-programme Advisory committee SBO-E Monetary contribution mandatory for all commercial members of the advisory committee SME: €250/year Large enterprise and other organization: €1,000/year ‘In kind’ contribution can be accepted provided it is well substantiated Higher contribution is not obligatory but may be positively assessed in the evaluation of the proposal No hard requirement for financial contribution by scientific institutions, governments, and societal actors within such advisory committee Contribution needs to be confirmed in the ‘letters of intent’ of companies February 2017 Information session FWO

Characteristics of the SBO-programme Eligible partner organizations: all Flemish Research institutions*: Universities University colleges (‘Hogescholen’) University Hospitals IMEC, VITO, VIB, Flanders’ Make, Flanders Marine Institute, and scientific institutions with a government grant and an establishment in the Flemish Region obliged to submit the proposal together with at least one other Flemish research institution Optional involvement of non-Flemish Research institutions: maximum 20% of the project budget useful knowledge transfer towards Flanders (“missing links” in essential expertise) & clear added value for the SBO-project (including valorization objectives) If there are any doubts about your organization meeting this definition, compliance with this definition should be supported by means of an independent legal advice! Please contact the FWO administration for further assistance via SBO@fwo.be * Definition of a ‘research and knowledge-dissemination organisation’ as stated in Article 2, section 83 of the Regulation (EU) No 651/2014 of the commission of June 17, 2014— Framework for State aid for research and development and innovation (2014/C 198/01) Article II.2 & II.3 of the Higher Education Code of 11 October 2013 (http://data-onderwijs.vlaanderen.be/edulex/document.aspx?docid=14650)

Characteristics of the SBO-programme Programme Budget: circa 40 M€ (of which 2 M€ is earmarked for SBO proposals in the context of ERA-net) Pre-established allocation key 2/3 for projects with a economic finality 1/3 for projects with a societal finality Project period: Max. 4 years (project duration cannot be extended) Start of project: January 1, 2018 At the final financial verification, costs made after the official project period can be accepted as follows: Staff cost: Project period + 1 year All other costs: Project period + 2 years Success rate 2016: 23% !new February 2017 Information session FWO

Characteristics of the SBO-programme Support: 100% of acceptable costs Acceptable costs: Max. € 500,000/year/participating legal entity with a share of more than 15% of the total budget Research and ‘valorization preparing’ staffing* Overhead, operation cost, equipment, subcontracting up to 40,000€/FTE Large costs (exceptional) Non-binding guideline on the magnitude of the project budget: about € 2M * Directly integrated into the relevant research teams of the SBO project consortium, not individuals employed in interface services or research coordination services and for whom another form of funding is already available February 2017 Information session FWO

3. Submission of an SBO project proposal

Submission of an SBO project proposal Submission via FWO e-portal Before submission: transfer of application to host institution in FWO e-portal: deadline 25/04 at 5 PM Importance of timely interactions with TTO offices & a smooth start-up of the evaluation procedure Preliminary application should contain at least: project consortium members summary of scientific & valorization goals experts to be avoided (max. 5) Other parts: if not finalized, empty PDF can be uploaded Final submission: 19/05 5 PM by main applicant’s institution !new February 2017 Information session FWO

Submission of an SBO project proposal E-portal FWO February 2017 Information session FWO

Information session FWO E-portal FWO Supervisor of the project logs in to the e-portal and creates the new application. If you do not have an account for the e-portal yet, you need to register. February 2017 Information session FWO

Information session FWO E-portal FWO February 2017 Information session FWO

Submission of an SBO project proposal Whole project (scientific & valorization part, expertise & track record) in English According to the templates in the e-portal Budget prepared in fixed Excel-template February 2017 Information session FWO

Submission of an SBO project proposal February 2017 Information session FWO

Submission of an SBO project proposal Tabs: GENERAL: title, project duration, … SUMMARY: non-confidential summary for communication purposes innovation goal for uptake in the FWO agreement (when funded) APPLICANTS: = organizations (i.e. not at the level of the research unit!) that are part of the consortium consortium = ‘main applicant’ or ‘main applicant + co-applicant(s)’ February 2017 Information session FWO

Submission of an SBO project proposal Tabs: CO-SUPERVISORS: The person who fills in the information in the e-portal with his/her account receives automatically the status of supervisor. He/she is the contact person for the main applicant. Co-supervisors = representatives from the different research units in the consortium. For each co-applicant, one of these co-supervisors must be appointed as contact person for the applicant. REFEREES - OPTIONAL: If you can give a good reason why FWO should not contact certain experts for the evaluation of your proposal, you can provide these names (including a motivation). The list should be limited (max. 5)! February 2017 Information session FWO

Submission of an SBO project proposal Tabs: ETHICS: you have to indicate whether your study involves ethical aspects that require an approval by an ethical committee. BUDGET: Rules are explained in the Cost model on the website. Sub-budget for each applicant. Total budget = sum of the sub-budgets. Budget has to be prepared in the excel template (available on the website), and should (XLS w/o macros) be uploaded in the e-portal afterwards. Quotes for large subcontractors & large costs have to be uploaded in the e-portal as well. Next to the uploading of the excel-sheet, an overview of the total costs should be entered in the e-portal. February 2017 Information session FWO

Submission of an SBO project proposal Tabs: SCIENTIFIC PROJECT DESCRIPTION Template available in e-portal, to be uploaded as PDF INTENDED VALORIZATION AND KNOWLEDGE TRANSFER EXPERTISE AND TRACK RECORD EXTRA DATA Letters of intent of the advisory committee Additional info Free format; to be uploaded as PDF in the e-portal February 2017 Information session FWO

Submission of an SBO project proposal USERS/advisory committee: Letter of intent transferred to external experts (preferentially written in English) Letters of intent uploaded before submission of project !new !new February 2017 Information session FWO

Submission of an SBO project proposal IPR: Standard agreement used by most universities or research organizations or A mutual agreement concerning management and IPR allocation. This term sheet is prepared based on prior interaction with the TTO services and duly signed by a legal representative of the participating institutions. Due by September 1st, 2017. February 2017 Information session FWO

Submission of an SBO project proposal February 2017 Information session FWO

Submission of an SBO project proposal After transfer to main-applicant, submission by main-applicant via e-portal Who has access to the e-portal? Katholieke Universiteit Leuven (incl. UZ Leuven) Universiteit Hasselt Universiteit Antwerpen Universiteit Gent Vrije Universiteit Brussel (incl. UZ Brussel) UZ Antwerpen Universitair Ziekenhuis Gent Prins Leopold Instituut voor Tropische Geneeskunde Vlaams Instituut voor Biotechnologie Flanders Make Vlaamse Instelling voor Technologisch Onderzoek Interuniversitair Micro-Elektronica Centrum February 2017 Information session FWO

Submission of an SBO project proposal Declaration (after transfer of the application to FWO): Letter of intent/declaration per participating legal entity Authorization of inquiries, declaration of absence of double financing, & declaration of research organization Checkbox in e-portal for applicants with e-portal back office If applicable: for organizations without e-portal back office, FWO will contact the supervisor and request (a) signed letter(s) of intent for these organizations (template: see website) February 2017 Information session FWO

5.Evaluation process and framework

Evaluation process and framework One single selection round Evaluation of the scientific quality & utilization/valorization quality by 4 international experts Applicants may reply to expert comments and valorization-related questions from FWO staff* Expert recommendations and written feedback from the applicants → FWO staff* prepares the reporting to the SBO steering committees (Economic/Societal) SBO steering committees reviews, amends, modifies, and ratifies the preliminary evaluation reports and then rank the proposals Decision on support by the FWO board of directors (Dec 2017) * with support of staff from the AGENCY FOR INNOVATION AND ENTREPRENEURSHIP (www.vlaio.be)

Evaluation process and framework Scoring grids available on FWO-website Scientific quality (S) S1: The strategic character of the research and its contribution to the development of a broad knowledge base with broad possibilities for further research activities S2: The efficiency and the quality of the research approach, the project planning (including the way in which coordination is ensured for project proposals that are carried out within a consortium), the work programme and the planned project management S3: The “value for money” and the feasibility of the proposed research with the planned personpower and resources S4: The existing competence, infrastructure and potential available to the project applicant(s) to conduct the proposed research February 2017 Information session FWO

Evaluation process and framework Valorization or utility perspectives (U) U1: The importance and the scope of the anticipated economic/societal valorization potential in Flanders U2: The quality of the proposed strategy and the approach for the support of the further economic/societal exploitation of the research results (knowledge transfer) U3: The available competence as regards the management of research results and their transfer to economic/societal stakeholders U4: The added value of the project in the field of sustainable development, where appropriate February 2017 Information session FWO

Evaluation process and framework Minimal requirements and ranking mechanism Possible scores that can be awarded per (sub)criterion are: ∆-score Insufficient information to assess the criterion exclusion Unacceptable exclusion Poor -2 Reasonable -1 Positive 0 Excellent +1 February 2017 Information session FWO

Evaluation process and framework Minimal requirements and ranking mechanism Double weight to criteria S1.1 (delta with respect to state-of-the-art) and S1.2 (challenging, high-risk and inventive character of the research) Minimal eligibility requirement: “reasonable” (delta score > -2) for both assessment dimensions (scientific quality or utilization) Projects which meet the minimal requirements are ranked: equal weight for the scientific quality and valorization quality scores In case of projects with equivalent scores: diversity of application areas can be aimed for Quota for SBO-E projects directed at the creation of a new spin-off company: max 20% of budget of economic SBO-programme The highest ranked project proposals are supported within the limits of the available budget February 2017 Information session FWO

6. Practical recommendations

Practical recommendations when preparing a proposal Process of creation of an SBO-proposal is different from a “classic” academic research proposal Be prepared to invest adequate time and effort in the proposal preparation process Key importance of meaningful two-way dialogue and interaction between researchers and economic or social/societal users from the early project conception onwards and over the entire project life cycle. Discuss project scope + cooperation principles + valorization intentions. Interact early with university interface or transfer services. Adopt a project management approach February 2017 Information session FWO

Practical recommendations when preparing a proposal Carefully read the documents on the website and contact FWO in case you should have questions (sbo@fwo.be) Ensure good coherence between the scientific part and the valorization aims of your proposal Think beyond the end date of the SBO-project Let users elaborate on follow-up R&D and implementation interests and opportunities Valorization/utilization is not just “dissemination” User involvement is not just “claiming being interested” February 2017 Information session FWO

7. Additional information

Additional information Support of potential applicants Potential applicants can make a request before an exploratory meeting (“verkennend gesprek”) at FWO. E-mail a short abstract, most important questions (max. 1 A4 p.) & preferred date to sbo@fwo.be February 2017 Information session FWO

Additional information Important dates Transfer preliminary application by promoter to main applicant (institution): April 25, 5 PM Importance of timely interactions with TTO offices & a smooth start-up of the evaluation procedure Preliminary application should contain at least: project consortium members summary of scientific & valorization goals experts to be avoided (max. 5) Main applicant (= organization) submits final application to FWO: May 19, 5 PM Receipt reports from the international reviewers: September 1 Deadline rebuttal: September 8, 5 PM Announcement of results: December 20 February 2017 Information session FWO

Additional information For the actual preparation of a proposal, consult the appropriate SBO-Manual and Application Templates (FWO e-portal) Information and documents are available on: http://www.fwo.be/nl/mandaten-financiering/onderzoeksprojecten/sbo-projecten/ (NL) http://www.fwo.be/en/fellowships-funding/research-projects/sbo-projects/ (EN) http://www.fwo-eloket.be/FWO.ELoket.WebUI/Login.aspx (FWO e-portal) SBO contact: SBO@fwo.be Helpdesk e-portal: fwohelpdesk@fwo.be 0800 23326 (during working days from 09:00 until 17:00) ONGOING SBO PROJECTS (awarded < 1/1/2016) WILL CONTINUE TO BE FOLLOWED UP BY THE AGENCY FOR INNOVATION AND ENTREPRENEURSHIP (www.vlaio.be) February 2017 Information session FWO