EUROPEAN RESEARCH COUNCIL Advanced Grants and Starting Grants Information and Proposal Writing “Is it the right scheme for me?” February 2008

ERC Introduction to UKRO and UK ERC NCP

Science and Technology Facilities Council Biotechnology and Biological Sciences Research Council Engineering and Physical Sciences Research Council Economic and Social Research Council Medical Research Council Natural Environment Research Council Arts and Humanities Research Council UK Research Office

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UK Research Office UKRO Subscriber Services include… - Website with information on programmes, FAQs and Guidance - Information services – updates (& searchable database) Register/Update your profile at: Enquiry service - Annual visit from an UKRO European Advisor - Specialist training courses and information events - Annual conference for European officers - Meeting room in Brussels - Monthly publication - British Council ‘RTD Insight’ - National Contact Point (Marie Curie and ERC)

European Research Council National Contact Point helpdesk Website ERC mailing list for events and key updates Helpdesk via and telephone or Specialist training courses and information events UK Research Office – ERC NCP Advice on applying for ERC actions Eligibility Application help Results Contractual issues Advice to those with ERC grants

ERC Introduction to the ERC: Aims and Structure

What is the ERC? What is the European Research Council (ERC)? a new pan-European funding organisation designed to support the best in Europe - scientists, engineers and scholars funding of €7.51 billion ( ) What are the aims of the ERC? Encourage highest quality research in Europe Competitive, flexible funding Investigator-initiated frontier research across all fields of research, on the basis of scientific excellence Retain, repatriate and recruit (career support) ERC - Introduction

ERC Grant Schemes Starting Independent Researcher Grants aims to provide adequate support to researchers at the stage at which they are intending to establish or are already leading their first independent research team or, depending on the field, developing their first independent research programme researchers applying for an ERC Starting Grant must be able to demonstrate their potential to become independent research leaders ~1/3 Annual ERC Budget ERC - Introduction

ERC Grant Schemes Advanced Investigator Grants aims to encourage and support excellent, innovative and investigator-initiated research projects carried out by recognised leading advanced investigators complements the ERC Starting Grant scheme by targeting researchers who have already established themselves as being independent research leaders in their own right ~2/3 Annual ERC Budget ERC - Introduction

ERC Starting Grants Summary and Useful Feedback

European Research Council (ERC) A Quick Recap – Starting Grants Call First call launched Dec 06, annual calls to st Stage Deadline: 25 April 2007 (17:00 CET) Call budget Around €300 million / ~ 250 grants? Eligibility Between 2 and 9 years post PhD (some allowance for maternity and other reasons), any nationality but PI must be based in EU or Associated State (once awarded ERC grant), any legal entity (incl industry) Project Size € 100,000 to €400,000 per year up to 5 years Evaluation Panels Projects submitted to 20 panels split across Social Sciences and Humanities, Life Sciences, Physical Sciences and Engineering Evaluation Process Two stage, strict page limits for each stage, interview at second stage reserve of 20% to promote interdisciplinarity Evaluation Criteria Potential of the Principal Investigator, Quality of the research project and the research environment ERC – StG

ERC Starting Grants Calls Indicative Call Schedule Please note that resubmission and multiple application rules apply Work Programme Revision ERC Action Call open Call Deadline Estimated Call value (€ M) Evaluation Feb. 2007StG1Winter 06Spring Spring - Autumn 07 May 2008StG2Summer 08Autumn Winter 08 – Spring 09 May 2009StG3Summer 09Autumn Winter 09 – Spring 10 May 2010StG4Summer 10Autumn Winter 10 – Spring 11 ERC – StG

Starting Grants First Call Statistics 9167 first stage (outline) proposals Average grant requested ~ €1 Million (indicated range €500k to €2 million) 559 invited to submit second stage applications Approximately 50% success rate at the second stage ERC – StG

Feedback on EPSS High Demand on the FP7 Electronic Proposal Submission System (EPSS) Problems at Submission (~100 proposals) Late submission (tentative uploads after deadline) Some failure to comply with technical requirements (invalid format of the proposal: not PDF format, protection by password) Late download of annexes (statements of support not signed by HI on time) ERC – StG

Feedback on Eligibility Issues Eligibility criteria issues Completeness (including statement of support from institution) Related to the ERC Starting Grant scheme: PhD, Host country Around 350 non-eligible proposals Mainly for missing or invalid statement of support (more than 250 cases) Also for ineligibility of PI (PhD outside eligibility period) Eligibility Committee In case of doubt on eligibility, evaluation may proceed after a decision by the eligibility review committee (~ 50 proposals) Invalid statement of support (statement signed by the applicant on behalf of the host) ERC – StG

ERC AdG Lessons learned for StG Maximise the Call Budget By combining budgets over two successive years (one application per researcher in 2008 or 2009) Limit oversubscription Only the best are encouraged to apply Excellent track record in recent years is a pre-requisite Applications should be substantive (one stage submission with two step evaluation) Disincentives for submissions which are not of the highest quality Adjusted panel structure Additional panels to take into account uneven demand and improve the boundaries between fields covered by panels Need to encourage interdisciplinary proposals Separate interdisciplinary budget Higher budget limit ERC – StG

Lessons learned Often applicants did not fully understand ERC concepts (frontier research, ‘individual team’) Applicants often not ambitious enough Often applicants did not explain why the research is important or what the impacts would be Many applications resembled job description written by a supervisor rather than showing the PI’s ideas Many people already fairly experienced (i.e. having UK fellowships) Applicants should aim their proposal at generalist reviewers (panel members) in Stage 1 Although the top ranked proposals were outstanding, many average ones were also submitted ERC – StG

ERC Advanced Grants Introduction to the ERC Advanced Grant

Advanced Grants (AdG) AdG aims to support Excellent, innovative and investigator-initiated research projects* Flexible projects to promote substantial advances in the frontiers of knowledge, such as: new lines of enquiry new methods and techniques unconventional approaches investigations at the interface between established disciplines opening up new lines of enquiry in research field or other domains high-risk, high-reward research multi- and inter- disciplinary proposals, which are strongly encouraged Carried out by leading advanced investigators whatever their nationality must be already established and recognised as being independent research leaders in their own right PI can lead a team, if needed (more on this later) *all fields of science and scholarship are eligible, except nuclear research ERC AdG - Introduction

Advanced Grants (AdG) ERC Budget Funding of €7.51 billion ( ) ~ 2/3 Annual ERC Budget for AdG ~1/3 Annual ERC Budget for StG Spending profile increases ERC-2008-AdG Call budget ~€517 million Hope to fund ~300 Proposals? 20,000 applications expected? ERC AdG - Introduction

AdG Submission and Evaluation Overview Submission Single Stage Submission, But 2-Step Peer Review (no interviews) Electronic Submission via EPSS Deadlines (for the ERC-2008-AdG Call) Physical Sciences and Engineering Panels – 28 February 2008 Social Sciences and Humanities – 18 March 2008 Life Sciences – 22 April 2008 All are at Brussels local time Around 20,000 proposals expected? ERC AdG – Submission/Evaluation

AdG Peer Review Structure Structure of AdG Application 3 main research domains, and 25 panels within this (each with an indicative budget) Physical Sciences and Engineering (10 panels) – 39% Life Sciences (including Medical) (9 panels) – 34% Social Sciences and Humanities (6 panels) – 14% The remaining 13% has been allocated to further support interdisciplinary research

ERC Advanced Grants Preparing the proposal - ERC Advanced Grant

Key Documents Focus Call Fiche (specific) Work Programme (annual?) Submission ERC Guide for Applicants (call specific) EPSS Guide FAQs Ethics Guidance Background Guide for Peer Reviewers ERC Rules on Submission, Evaluation, Selection and Award Procedures Model Grant Agreement Guide for ERC Grant Holders (to follow) Updatable Financial, Negotiation, IPR, Certification and Reporting Guidelines FP7 Rules of Participation ERC AdG – Submission/Evaluation

ERC Advanced Grants Calls Indicative Call Schedule Please note that resubmission and multiple application rules apply Work Programme Revision ERC Action Call open Call Deadline Estimated Call value (€ M) Evaluation Oct. 2007AdG1Autumn 07Spring Spring 08 - Autumn 08 May 2008AdG2Autumn 08Spring Spring 09 - Autumn 09 May 2009AdG3Autumn 09Spring Spring 10 - Autumn 10 May 2010AdG4Autumn 10Spring Spring 11 - Autumn 11 ERC AdG - Introduction

AdG Resubmission & Multiple Application Rules  Only one ERC Grant managed by a PI may be active at any time  One submission (as PI or Co-I) may be made to ERC-2008-AdG or ERC-2009-AdG  PI or Co-Is submitting to ERC-2008-AdG or ERC-2009-AdG and failing quality threshold(s) will not be permitted to apply to ERC AdG  A PI or Co-I who has submitted to ERC-2008-AdG or ERC-2009-AdG can not submit for a Starting Grant in 2008 or 2009 For full text, see the Work Programme ERC AdG – Submission/Evaluation

AdG Structure of Application Forms Part A – Administrative and Summary Forms (completed directly onto EPSS) A.1 Proposal & PI information A.1T Forms – 10 year track record & leadership profile ( PI) A.2 Host institution information A.3 Budget – financial information Part B – Proposal Details (template from EPSS) Cover page – Abstract Section 1 Scientific Leadership Profile (2 pages) (+2 Co-I)* CV (2 pages) (+2 Co-I)* 10 Year Track Record (2 pages) (+2 Co-I)* Extended Synopsis (5 pages) Section 2 Scientific Proposal (15 pages) Section 3 Research Environment ( 2 pages) Annexes Host institutions Commitment Statement Ethical Form Additional Ethical Issues information** *For projects with a Co-I max 6 additional pages ** If applicable ERC AdG – Submission/Evaluation

AdG Evaluation Criteria Principal Investigator (and Co-I if applicable) Quality of research output/track record Intellectual capacity and creativity Research Project Ground breaking nature of the research Potential impact Methodology High gain/high risk balance Research environment (only at step 2) Contribution of the research environment Participation of other legal entities Each evaluation criterion (Heading 1 and 2) will be marked on a scale of 1 to 4: 4 = Outstanding, 3 = Excellent, 2=Very Good, 1=Non-fundable A quality threshold of ≥2 will be applied to these criteria. Proposals ranked on basis of marks received and an overall appreciation of their strengths and weaknesses 1-4 Pass/Fail 1-4 FP7 – ERC – Evaluation Criteria

ERC Advanced Grants Principal Investigator

PI Profile Overview PI Profile Active researcher Track record of significant achievements in last 10 years Exceptional leaders in terms of originality and significance of research contribution (Does not need to have a PhD) All this needs to be shown in your application…. …which will include: - a ten year track record - a scientific leadership profile - a cv ERC AdG - Introduction

PI Profile 10 year track record Benchmarks of “10 year track record” Top 10 Senior author publications in major peer-reviewed multi- disciplinary scientific journals and/or leading peer-reviewed journals of their respective research fields (~10) Monographs and any translations of monographs (if applicable) (~3) And if applicable Granted patents (~5) Invited presentations into peer-reviewed, internationally established conferences and/or international advanced schools (~10) Expeditions that the applicant has led (~3) International conferences in the field of the applicant that have been organised by PI (member of the steering and/or organising committee) (~3) International Prizes/Awards/Academy Memberships ERC AdG - Introduction

PI Profile Leadership profile Possible indicators of “leadership profile” Content and impact of the major scientific or scholarly contributions of the applicant to his/her own research field and/or neighbouring research fields and, if applicable, the wider societal impact The international recognition and diffusion that these major contributions have received from others (publications or appropriate equivalents /additional funding/ students /international prizes and awards /institution building /other) Ability to productively change research fields and/or establish new interdisciplinary approaches ERC AdG - Introduction

PI Independence Host must give PI independence to: Apply for funding independently of senior colleagues Manage the funding for the project Publish as senior authors and invite as co-authors only those who have contributed substantially to the reported work Supervise & recruit team members, including students Have access to facilities and space for research Statement from Host Decided by the Peer Review Panels (Does not apply to team members) ERC AdG - Introduction

Hints and Tips PI Criteria Sell yourself! Remember the Funding ID section in the CV is important. Make sure you address the full requirements of the leadership profile, and consider what makes your leadership profile stand out? Clarify specific points to strengthen your application and give additional relevant details. Explain anything that is UK specific. The Co-I(s) will also be evaluated – do they strengthen your proposal? The evaluators will review the PI (+Co-I) on the basis of their experience and information the PI (+Co-I) provide in the application form! If you refer to journal impact factors, state which one you are using. Leave plenty of time to do the A1T forms on EPSS. AdG - Application – PI (7)

FAQs on the PI Criteria Is there a set style for the CV? What if I have more than 10 years experience, will this count for the AdG application? What if I have changed research fields? I’ve taken a career break for 3 years in the last 10 years what should I do? I’ve mainly been teaching for the last 5 years, but before then I was an active researcher – can I still apply? Which publications are considered to be high quality? What do I do if my experience does not match the profile of the PI? AdG - Application – PI (8)

ERC Advanced Grants The Project

‘Individual Team’ Concept Overview ERC AdG - Introduction

‘Individual Team’ Concept - PI Principal Investigator (PI) = Team Leader Central to the grant and review criteria Must be a leading investigator already established as an independent research leader in their own right…..and must be seen as such by peers Has the power to assemble a research group of team members (and in certain cases only, co-investigators) Freedom to chose the research topic Can be of any nationality or current location But must carry out their research at an institution in EU Member State or Associated Country if funded Chooses a host institution and applies in conjunction with host If funded, signs ‘supplementary agreement’ with the host Host institution can not be changed during review process (tbc) but researchers can move once funded under certain conditions ERC AdG - Introduction

‘Individual Team’ Concept - PI’s Host Institution PI’s Host Institution Can be any type of legal entity Must be in an EU Member State or Associated Country The PI does not have to be based there at the time of application Must guarantee independence of PI Must not constrain the PI to the research strategy of the institution Must provide most of the infrastructure necessary for the research Has appropriate intellectual environment and infrastructural support This is assessed during Peer Review Is the ‘applicant legal entity’ Signs a Supporting Statement as part of application If funded signs up to the Grant Agreement If funded, signs a ‘Supplementary Agreement’ with the PI Host institution can not be changed during review process (tbc) but researchers can move once funded under certain conditions ERC AdG - Introduction

‘Individual Team’ Concept Team Members Team Members (if needed) Grouping of researchers which meets the needs of the project without ‘artificial administrative constraints’… …but NOT a traditional network or research consortium Normally in the same institution as the PI But could be national or trans-national However, if in a separate legal entity involved, participation must be fully justified in terms of scientific added value (assessed during peer review) Team members can be of any nationality & established in almost any country (not just EU/AC) PI has freedom to choose appropriate team members Team members do not need to be independent Smaller role in applications forms and review than the PI (and Co-I) Institution (s) where Teams based sign up to Grant Agreement Named v’s un-named? ERC AdG - Introduction

‘Individual Team’ Concept - CoI Co-Investigators (Co-I) (If needed) Only as an exception For interdisciplinary* projects only Must bring knowledge and skills from a different discipline to the PI Led by PI, but could lead others in the interdisciplinary field? Must be named Interdisciplinary Co-I projects can have a larger budget Competes part of application form and quality of Co-I is assessed during Peer Review Scientific Added Value of Co-I(s) also assessed during Peer Review Can have more than one Co-I Can be at same institution or different institution Co-I can be of any nationality Co-I’s Institution Can be any type of legal entity Co-I’s host organisation must be in EU Member State or Associated Country Institution where Co-I is based signs up to Grant Agreement TBC whether Co-I signs a ‘Supplementary Agreement’ (*interdisciplinary within the remit of a panel or across panels/domains) ERC AdG - Introduction

AdG Structure of Application Forms Part A – Administrative and Summary Forms (completed directly onto EPSS) A.1 Proposal & PI information A.1T Forms – 10 year track record & leadership profile ( PI) A.2 Host institution information A.3 Budget – financial information Part B – Proposal Details (template from EPSS) Cover page – Abstract Section 1 Scientific Leadership Profile (2 pages) (+2 Co-I)* CV (2 pages) (+2 Co-I)* 10 Year Track Record (2 pages) (+2 Co-I)* Extended Synopsis (5 pages) Section 2 Scientific Proposal (15 pages) Section 3 Research Environment ( 2 pages) Annexes Host institutions Commitment Statement Ethical Form Additional Ethical Issues information** *For projects with a Co-I max 6 additional pages ** If applicable ERC AdG – Submission/Evaluation

Hints and Tips Research Project Criteria Consider what excites you about the research and convey this in your application. Think about your audience and remember to explain UK specific terminology Explain how the research will open new horizons or opportunities. Provide a clear, concise work-plan which gives details of the immediate goals. Explain what each team member is doing (and their background/ recruitment profile) Highlight any intermediate stages where you may need to adjust your project planning. Clearly explain how you will manage and disseminate your project. Justify the resources you need for your research proposal and ensure the resources are appropriate. (Have you included all staff costs) AdG Application – Project (5)

FAQs on the Research Project Does it have to be a totally new project? Should I include a bibliography as an annex to my proposal? What level of knowledge should I expect from the evaluators? Why do I need to provide a synopsis as well as the full proposal? Should I name my team members in my application? Should I include a Plan B? How much time am expected to spend on the project? AdG Application – Project (6)

ERC Advanced Grants The Research Environment

Hints and Tips Research Environment Criteria Sell your research environment in terms of appropriate intellectual environment and infrastructural support. If you have team members based in other legal entities have you justified this on the basis of scientific added value? Remember – if you project involves more than 1 legal entity then they need to sign the Grant Agreement too (make sure you include their research office in the proposal preparation). If you are planning to have a Co-I in your proposal make sure their role is clear and well justified (in terms of the research project and research environment). AdG - Application – Enviroment (2)

FAQ on the Research Environment Would an additional team member based in another organisation strengthen my proposal? Should I describe my team members if they are at the same institution, and where should I include this information? What do I need to include about the equipment and resources available at my host institution? Where can I find some standard text I can use to describe my institution or do I need to tailor it to my application? What is the difference between a team and a consortium? AdG - Application – Enviroment (3)

ERC Advanced Grants Budgets

Funding Levels and Duration of Grant Direct Costs: 100% of eligible and approved direct costs funded Indirect Costs: 20% flat rate (of the total direct costs excluding subcontracting) is allocated and charged (no proof needed of how spent) Normally Up to €2.5 million over 5 years EC contribution (or pro-rata for shorter projects) Can be higher, but only if: Co-Investigator Project (which MUST be inter- or multi-disciplinary) or The PI is coming from outside the EU/AC (‘third country’) to establish a research team at a host institution in an EU MS/AC or Proposal requires the purchase of major research equipment In these cases: up to €3.5 million over 5 years EC contribution (or pro-rata) ERC AdG - Introduction

Background Finance information (1) Direct costs: up to 100% of eligible costs Indirect costs: Flat rate of 20% * (of eligible direct costs) (*excluding subcontracting) Direct eligible costs are those which support all the research, management, training and dissemination activities necessary for the conduct of the project such as Personnel cost, Equipment, Consumables, Travel and Subsistence & Publication Costs How are eligible costs defined? Actual Incurred by the beneficiary during the project Determined according to usual accounting and management principles Used solely for project objectives Consistent with principles of economy, efficiency and effectiveness Recorded in accounts Exclusive of non-eligible costs AdG – ERC Financial Issues (1)

FAQs on Budgets Do I need to show how my budget is distributed across the project? What rules apply to subcontracting? Is there a list of standard costs published anywhere? Should I include patent costs? Can the evaluators cut my budget? Can I claim PI’s/Co-I’s/team members time on the grant, and what % time is reasonable? How does the flat rate work for indirect costs in the ERC? What information is required in the Administrative Form? Research Project ? AdG – ERC Financial Issues (6)

ERC Advanced Grants Commitment of the Host Institution & Ethics

FAQs on Commitment of the Host Where do you find the Commitment of the Host letter? Who should sign the Commitment of the Host letter? Can we/should we make any changes to the Commitment of the Host letter? Is the ERC looking an explicit financial commitment from the host institution? What will happen if I do not attach the letter of Commitment from the Host Institution? AdG – Supporting Documentation (2)

FAQs on Ethical Annex Does everyone need to complete the Ethical Issues Table? What happens if I forget to include the ethical table in my application? Where do I describe the ethically sensitive issues? Do I need to attach national legislation documents? Are there any resources available to help with this section? What is an ethical review? Explain the burden and benefit of the experiment and the effects it may have on the research subject Informed consent Data Protection Use of Animals Human embryonic stem cells AdG – Supporting Documentation (4)

Tips on Writing your Application 1.Liaise with your HoD and Research Office 2.Use clear and concise language 3.Pay careful attention to each section 4.Be ambitious, but show awareness of cutting edge 5.Look at examples of successful applications to other similar funding schemes 6.Read all the documentation, including the Grant Agreement 7.Be realistic with the budget, clearly link your budget to activities. Has your institution agreed your budget? 8.Proof read your application 9.Get application reviewed by colleagues? 10.Stick to page, font size, budget limits and format 11.Remember you can submit your proposal on EPSS as many times as you wish before the deadline. 12.Make sure you press submit on EPSS! ERC – Final Comments

ERC Advanced Grants Further Information

Further Information ERC – UK Helpdesk Links UK ERC NCP Website UK ERC NCP Helpdesk or UK ERC NCP Newsletter ERC – EU links EU ERC Website EU ERC Newsletter ERC Europa Helpdesk UKRO Information Services (For UKRO subscribers) ERC – Links

Further Information EPSS Helpdesk Tel: IPR helpdesk Website European Commission FP7 Ethics Website Cordis FP7 pages FP7 – Links