Dr Gianpietro van de Goor ERC/European Commission RTD, Directorate S Fax +32-2-2993173...
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Transcript of Dr Gianpietro van de Goor ERC/European Commission RTD, Directorate S Fax +32-2-2993173...
Dr Gianpietro van de GoorERC/European Commission
RTD, Directorate S
Fax +32-2-2993173
The European Research Council Latvian FP7 Launch Event, Riga, 5 February 2007
European Research Council
│ 2
1. Background & Evolution
2. Aim & Strategy
3. Funding Schemes & Activities
4. Grant Agreement
5. Organisation & Management
6. In brief: 1st call & applicant services
OverviewOverview
European Research Council
│ 3
Basic / Frontier researchBasic / Frontier researchin the Europein the Europe
National activities:─ Research councils (DFG-1920, CNR-1923, CNRS-1939,
SNF-1952), academies, etc.
Intergovernmental activities: ─ CERN (1953), ESO (1962), ESA (1962/1975), EMBO (1963),
ILL (1967), COST (1971), ESF (1974), EMBL (1978), Eureka (1985), ITER (1988), ESRF (1988), INTAS (1993)
EU activities (“supranational”): ─ ECSC – Euratom – EC (1957), JRC (1959), JET (1973),
FP1 (1984) … FP7 (2006-2013)─ European Research Area – ERA (2000)─ FP7 (2006-2013): Ideas/ERCIdeas/ERC, Marie Curie fellowships,
research infrastructures, thematic priority areas
European Research Council
│ 4
The birth of theThe birth of theEuropean Research CouncilEuropean Research Council
The ERC is:
A logical development of the European Research Area
Securely anchored in European legislation
… at the same time…..
A revolutionary development
European Research Council
│ 5
ERC, “Ideas” and FP7ERC, “Ideas” and FP7
A new “institution”
Which is also part of the “family” of FP7: Co-operation
IdeasIdeas
People
Capacities
Complementary to other FP7 support to targeted research (bottom-up vs. targeted research)
European Research Council
│ 6
FP7 Ideas ProgrammeFP7 Ideas Programme
Creates ERC
Provides funding─ Budget (2007-2013) : € 7.51 bn (around 15% of FP7 budget)
─ Average budget: € ~1 bn per year
Sets overall objectives for researchand operating principles
European Research Council
│ 7
1. Background & Evolution
2. Aim & Strategy
3. Funding Schemes & Activities
4. Grant Agreement
5. Organisation & Management
6. In brief: 1st call & applicant services
OverviewOverview
European Research Council
│ 8
Challenges forChallenges forresearch in Europe (I)research in Europe (I)
Dropping research performance, low visibility US scientists dominate in many areas
(many more high impact publications)
Dropping private R&D investments 1.93% of Europe’s GDP is invested in R&D compared with
2.59% in US and 3.15% in Japan (European Commission, July 2005)
industrial R&D is moving abroad
Fragmentation of research and funding activities duplication of research in Europe due to high number of
Research Institutions (UNESCO Science Report, 2005)
lack of competition and visibility
European Research Council
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Challenges forChallenges forresearch in Europe (II)research in Europe (II)
Limited career opportunities in Europe(especially for young researchers)
more promising career opportunities elsewhere
brain drain to other professions or countries
Complex Administration not helping to attract/maintain the best researchers
European Research Council
│ 10
Boost European excellence in frontier research
by investing in the best researchers and ideas
through competition at European level
on the basis of excellence as the sole criterion
raising incentives towards quality and aspirations of individual researchers
providing benchmarks and leverage towards broader (structural) improvements in European research
Strategic AimsStrategic AimsOverviewOverview
European Research Council
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Strategy & ActivitiesStrategy & ActivitiesERC Scientific CouncilERC Scientific Council
Retain – Repatriate – Recruit
Favour “brain gain” and “reverse brain drain” increase competition, recognition and international visibility
for excellent individual scientists and scholars in Europe
ERC Advanced Grant: attract & reward established independent research leaders
Keep (young) researchers in Europe improve career opportunities and independence - especially
for young researchers
ERC Starting Grant: attract & retain the next generation of independent research leaders
European Research Council
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ERC budget 2007-2013ERC budget 2007-2013
Total (FP7 Ideas budget): € 7.51 bn ≈1/3 Starting Grants, ≈ 2/3 Advanced Grants Less than 5% for operational ERC management
1st Call StG only, Jan 2007, € 300 Mio. Budget allocated to three areas (for operational reasons)
2nd Call AdG only, August 2007, € 550 Mio.
3rd call onwards: StG + AdG ≈ € 1.0 bn per year
European Research Council
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1. Background & Evolution
2. Aim & Strategy
3. Funding Schemes & Activities
4. Grant Agreement
5. Organisation & Management
6. In brief: 1st call & applicant services
OverviewOverview
European Research Council
│ 14
ERC GrantsERC GrantsStrategic principlesStrategic principles
All fields of science and scholarship are eligible investigator-driven, bottom-up
Excellence is the only valid criterion individual team + research project
Investment in research talent Attractive, flexible grants, up to five years
under control of the lead researcher (PI)
Independent individual teams in Europe nationality of researchers is not relevant
host organisation to be located in EU or AS
European Research Council
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ERC GrantsERC GrantsOperational PrinciplesOperational Principles
Application in response to calls for proposals
Two-step application Procedure due to large number of expected applications
ERC peer review evaluation process based panels panels select proposals to be funded and applicable budgets
European Research Council
│ 16
Individual Research Teams:
headed by a single “Principal Investigator” (team leader)
of any nationality
if necessary, including additional team members.
The “Principal Investigator” has the freedom to choose the research topic and the power to assemble his/her research team meeting the needs of the project.
Teams can be of national or trans-national character.
ERC GrantsERC GrantsWho can apply ? Who can apply ?
European Research Council
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ERC Grant SchemesERC Grant Schemes
Two grant schemes are available:
1. ERC Starting Independent Researcher Grant scheme (ERC Starting Grant) 1st call for proposals published, deadline 25 April 2007
2. ERC Advanced Investigator Researcher Grant scheme (ERC Advanced Grant) 1st call for proposals published later in 2007
European Research Council
│ 18
ERC Advanced GrantERC Advanced Grant (ERC Advanced Investigator Researcher Grant)(ERC Advanced Investigator Researcher Grant)
Designed to support excellent investigator-initiated research projects by established independent research leaders
Complement the ERC Starting Grant scheme by targeting researchers who have already established their independence as team leaders
~100’000-500’000 Euro per grant per year
for up to 5 years, i.e. ~500’000-2’500’000 Euro per grant ~ € 600M per call (~⅔ of ERC annual budget, annual calls)
~ 300 Advanced Grants per year
European Research Council
│ 19
ERC Starting GrantERC Starting Grant(ERC Starting Independent Researcher Grant )(ERC Starting Independent Researcher Grant )
support researchers at the start of their independent research career and establishing or consolidating their own independent research team (or research programme)
provide a structure for transition from working under a supervisor to an independent research leader
~100’000 – 400’000 Euro per grant per year
for up to 5 years, i.e. ~500’000-2’000’000 Euro per Grant ~ €300M per call (~ ⅓ of ERC annual budget, annual calls)
~200 Starting Grants per year, ~1400 Starting Grants over 7 years of FP7 (2007-2013)
European Research Council
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ERC Starting GrantERC Starting GrantRequirementsRequirements
PI 2-9 years since completion of PhD: Special circumstances
will be taken into account, such as maternity/paternity leave, military/civil service (+3 years max.)
PI and team members Any nationality One ERC Grant per investigator only may be active at any
one time
Hosting institution Located in a EU member state or associated country Intra-European grant portability allowed
European Research Council
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ERC Starting GrantERC Starting GrantSubmission of ProposalsSubmission of Proposals
Two-step application procedure (risk of oversubscription)
1st stage - Outline Proposal: max 8 Pages
2nd stage – Full Proposal: max 16 Pages
Electronic Submission only (via EPSS)
Pre-registration (via EPSS) Providing ERC with indication on number & area of proposals
Proposal Components
a) CV + self-evaluation + funding ID (3 / 4 pages)
b) Description of research project (4 / 10 pages)
c) Description of scientific environment + resources (1 / 2 pages)
European Research Council
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Allocation to Panels
Reading and Assessment by Panel members
Panel meetings
Proposals retained for stage 2
Proposals submitted
Reading by Remote Referees
Proposals resubmitted
Interviews of applicants
Panel meetings
Panel chairs meetings
Proposals selected
ERC Submission, Evaluation ERC Submission, Evaluation and Selection Processand Selection Process
European Research Council
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ERC Starting Grant ERC Starting Grant 20 peer review panels in 3 domains20 peer review panels in 3 domains
Area 1: Physical Sciences, Engineering Sciences, Universe and Earth Sciences (8 panels)
Area 2: Biological and Life Sciences (7 panels)
Area 3: Social Sciences and Humanities (5 panels)
- Each panel consists of one Panel Chair and 10-12 panel members
- Panel Chair oversees evaluation process for the proposals assigned to his/her panel in collaboration with the ERC staff
- The Panel Chair gives high level stamp of credibility and visibility to the whole evaluation process
European Research Council
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ERC Starting Grant ERC Starting Grant Panel Structure per Area (I)Panel Structure per Area (I)
1. Physical Sciences, Engineering Sciences, Universe and Earth Sciences (8 panels)
Panel PE1 - Mathematical foundations
Panel PE2 - Fundamental constituents of matter
Panel PE3 - Condensed matter in physics and chemistry
Panel PE4 - Material and chemical sciences
Panel PE5 - Information and communication
Panel PE6 - Engineering sciences
Panel PE7 - Universe science
Panel PE8 - Earth system science
European Research Council
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ERC Starting Grant ERC Starting Grant Panel Structure per Area (II)Panel Structure per Area (II)
2. Biological and Life Sciences (7 panels)
Panel LS1 - Molecular, cellular and developmental biology
Panel LS2 - Genetics, genomics, bioinformatics and systems biology
Panel LS3 - Organismic physiology, including infection and immunity
Panel LS4 -Neurosciences
Panel LS5 - Evolutionary, population and environmental biology
Panel LS6 - Medical and health science research
Panel LS7 - Applied Life Sciences, biotechnology and bioengineering
European Research Council
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ERC Starting Grant ERC Starting Grant Panel Structure per Area (III)Panel Structure per Area (III)
3. Social and Human Sciences (5 panels)
Panel SH1 - Individuals and organisations
Panel SH2 - Institutions, behaviour, values and beliefs
Panel SH3 - The human mind and its complexity
Panel SH4 - Cultures and cultural diversity
Panel SH5 - The study of the past and of cultural artefacts
European Research Council
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Evaluation CriteriaEvaluation CriteriaScientific Excellence is the sole CriterionScientific Excellence is the sole Criterion
1. Potential of Principal Investigator
2. Quality of research project
3. Research Environment and Resources
Referees and panels evaluate and score criteria under Heading 1 and Heading 2 numerically which will result in the ranking of the projects: 0-5 points, in increments of 0.5 Threshold 8 / 10
Criteria under Heading 3 will be considered as "pass/fail" and commented but not scored
European Research Council
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ERC Starting GrantERC Starting GrantEvaluation criteria (I)Evaluation criteria (I)
1. Principal Investigator: Potential to perform world class research
a. Quality of research output Has the Principal Investigator published in high quality peer reviewed journals or
the equivalent? To what extent are these publications ground-breaking and demonstrative of
independent creative thinking and capacity to go significantly beyond the state of the art?
b. Intellectual capacity and creativity To what extent does the Principal Investigator's record of research,
collaborations, project conception, supervision of students and publications demonstrate that he/she is able to confront major research challenges in the field, and to initiate new productive lines of thinking?
European Research Council
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ERC Starting GrantERC Starting GrantEvaluation criteria (II)Evaluation criteria (II)
2. Quality of the research proposal
a. Ground-breaking nature of the research Does the proposed research address important challenges in the field(s)
addressed? Does it have suitably ambitious objectives, which go substantially beyond the
current state of the art (e.g. including trans-disciplinary developments and novel or unconventional approaches)?
b. Potential impact Does the research open new and important, scientific, technological or scholarly
horizons?
c. Methodology Stage 1: Is the outlined scientific approach (including the activities to be
undertaken by the individual team members) feasible? Stage 2: Is the proposed research methodology (including when pertinent the use
of instrumentation, other type of infrastructures etc.) comprehensive and appropriate for to the project? Will it enable the goals of the project convincingly to be achieved within the timescales and resources proposed and the level of risk associated with a challenging research project?
European Research Council
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ERC Starting GrantERC Starting GrantEvaluation criteria (III)Evaluation criteria (III)
3. Research Environment a. Transition to independence Will the proposed project enable the Principal Investigator to make or consolidate
the transition to independence?
b. Host institution [normally applicant legal entity] Does the institution hosting the project have most of the infrastructure necessary
for the research to be carried out? Is it in a position to provide an appropriate intellectual environment and
infrastructural support and to assist in achieving the ambitions for the project and the Principal Investigator?
c. Participation of other legal entities If it is proposed that other legal entities participate in the project, in addition to the
applicant legal entity, is their participation fully justified by the scientific added value they bring to the project?
European Research Council
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ERC covers all fields of science, engineering and scholarship
For operational reasons the ScC agreed on 3 main research domains:
─ Physical Sciences & Engineering
─ Biological & Life Sciences
─ Social Sciences and Humanities
The first call budget for ERC Starting Grants has been pre-allocated to these areas as follows:
45% - 40% - 15%
ERC Starting GrantERC Starting Grant Budget AllocationBudget Allocation
European Research Council
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1. Background & Evolution
2. Aim & Strategy
3. Funding Schemes & Activities
4. Grant Agreement
5. Organisation & Management
6. In brief: 1st call & applicant services
OverviewOverview
European Research Council
│ 33
ERC Grant AgreementERC Grant AgreementConceptConcept
Agreement between ERC and Principal Investigator’s (PI’s) hosting organisation (beneficiary)• Rights/obligations on scientific, financial, ethical conduct and
monitoring, eligible costs, IPR, modifications, grant portability
Supplementary Agreement between PI and its hosting organisation• Rights/obligations: administration, project execution, IPR
Single grant holder approach• PI and members from same organisation• But: multi-partner/multi-national teams are possible
There will be no “project negotiations”• Grant agreement based on the proposal and the peer review
decision (budget)• PI can accept/reject the offered grant
European Research Council
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ERC Grant AgreementERC Grant AgreementMain ElementsMain Elements
Core Grant Agreement (between ERC and hosting organisation)
Description of work (Annex I to the Grant Agreement)
General Conditions (Annex II to the Grant Agreement)
Supplementary Agreement (between PI and hosting organisation)
Accession Form (if more than one hosting organisation - Annex III)
Special clause (if more than one hosting organisation for team members)
European Research Council
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1. Background & Evolution
2. Aim & Strategy
3. Funding Schemes & Activities
4. Grant Agreement
5. Organisation & Management
6. In brief: 1st call & applicant services
OverviewOverview
European Research Council
│ 36
ERC ActorsERC Actors
The Scientific CouncilIndependent scientific governance
The AgencyPractical implementation and management of operations
The European UnionProviding the financial means
European Research Council
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The Scientific CouncilThe Scientific CouncilMembers & RoleMembers & Role
•22 most respected researchers reflecting the full scope of European research and scholarship
proposed by an independent identification committee appointed by the Commission (for 4 years, renewable once)
•Role: Establishes overall scientific strategy
establishes annual work programmes (incl. calls for proposals, evaluation criteria); defines peer review methodology; ensures selection and accreditation of experts
Controls quality of operations and management Ensures communication with the scientific community
European Research Council
│ 38
The Scientific CouncilThe Scientific Council OrganisationOrganisation
22 Members of the Scientific Council elected the Chair and Vice-Chairs
One Chair: Prof. Fotis Kafatos
Two Vice-Chairs: Prof. Helga Nowotnyand Dr Daniel Estève
+ Regular Plenary Meetings (every 1-2 months)
+ Secretariat of the ScC(Directorate S)
European Research Council
│ 39
The ERC Secretary-GeneralThe ERC Secretary-General
• The 22 Members of the Scientific Council
appointed a Sec. Gen. Prof. Ernst-Ludwig Winnacker
(Jan 2007 – June 2009) Prof. Andreu Mas-Colell
(July 2009 – Dec 2011)
Role to ensure the integrated operation of ERC to monitor the implementation of the ScC’s strategy and position as
executed by the dedicated implementation structure to participate in the ERC board
European Research Council
│ 40
The AgencyThe Agency
Executes annual work programme
as established by the Scientific Council
Implements calls for proposalsand provides information and support to applicants
Organises peer review evaluation
Establishes and manages grant agreements
Administers scientific and financial aspectsand follow-up of grant agreements
European Research Council
│ 41
The European UnionThe European Union(represented by the European Commission)(represented by the European Commission)
Provides financingthrough the EU framework programmes
Guarantees autonomyof the ERC
Assures the integrity and accountabilityof the ERC
Adopts annual work programmesas established by the Scientific Council
European Research Council
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Prof. Fotis KafatosERC PresidentChair of the ScC
Prof. Helga NowotnyDr Daniel EsteveERC Vice-PresidentsVice-Chairs of ERC ScC
Prof. Ernst-Ludwig WinnackerERC Secretary-General
Jack MettheyDirector of ERC DIS(EC RTD Directorate S)
The ERC BoardThe ERC Board
European Research Council
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Dedicated ImplementationDedicated ImplementationStructure (DIS)Structure (DIS)
Progressive establishment of ERC Executive Agency─ Principles of lean and efficient management apply
First: Building up of capacities and operational methods as dedicated service within Commission
Then: Transition to agency structure─ Executive Agency will be legally established within the first trimester
of 2007 and is expected to be fully operational by mid-2008
Review of ERC structure by 2010
European Research Council
│ 44
ERC Management Structure
Scientific Council
Commission (Directorate S): the “interim” structure responsible for the implementation and management of ERC operations in the period until the ERC Executive Agency is established.
Unit S.1Strategic mattersand relations with the Scientific Council
•Provides secretariat of the ERC Scientific Council
•Prepares ERC strategy and work programme under guidance of the ScC
•Communicates and reports on ERC activities and achievements
Unit S.2Management of the “Ideas” Programme
•Manages ERC operations related to proposal submission and evaluation
•Establishes peer review evaluation panels under guidance of the ScC
•Provides scientific support to grant preparation and follow-up
Unit S.3Logistical support for the ERC
•Prepares legislation for the establishment of the ERC Executive Agency (ERC EA)
•Develops ERC EA internal operational processes
•Manages ERC resources, incl, staff recruitment, logistics
ERC Board
Unit S.4Administration and finance
•Manages financial circuits and budgetary operations
•Prepares and administers ERC grant agreements
•Ensures accountability to Court of Auditors
Secretary General
European Research Council
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The first homeThe first homefor the ERCfor the ERC
•Madou Plaza – Tour Madou•Brussels
•2 dedicated floors (5th/6th)•140 work places•5 meeting rooms•1 auditorium (192 seats)
European Research Council
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1. Background & Evolution
2. Aim & Strategy
3. Funding Schemes & Activities
4. Grant Agreement
5. Organisation & Management
6. In brief: 1st call & applicant services
OverviewOverview
European Research Council
│ 47
11stst Call in Brief Call in Brief
• ERC Starting Grants only• What? Any field of science, engineering and scholarship• Who? Principal Investigator (Individual Team) + Hosting
Organisation• By when ? Deadline Stage 1 submission: April 25, 2007• How? Consult « ERC Guide for Applicants »• Note:
Submission via EPSS only (no paper submission) Respect page limits and format Indicate keywords describing the subject area (panel assignment) Stage 2 submission: on invitation only if stage 1 proposal evaluated
positively
European Research Council
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Specific text of “Call for Proposal”
ERC Work Programme 2007
ERC Guide for Applicants
ERC Grant agreement
Other:
ERC Guide for Grant Holders
ERC Guide for Peer Reviewers
ERC Rules on submission, evaluation, selection and award procedures
DocumentationDocumentation
European Research Council
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Applicants Services
• ERC National Contact Pointsinform, raise awareness and provide advice on ERC funding opportunities, application, follow-up
• ERC helpdesksupport to ERC NCPs
• EPSS helpdesktechnical support on electronic proposal submission
• ERC website: http://erc.europa.euNews Alert, Publicity Material
European Research Council
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Thank you !