How to prepare a good proposal H2020

Marko Curavić – Head of Unit
UNIT B1 - Space Research
Research Executive Agency
How to prepare a good proposal

QUALITY = key to success
Demonstrate WHAT – WHY – HOW !
An excellent idea is the basis of a good proposal
but is not sufficient….
The expected impacts and implementation aspects
are as important !
The proposal should excel in each single criterion !
Be specific in your objectives and expected impacts
and clearly demonstrate how you aim to implement
and sustain them

Call Content
 Open or top-down Topics
 Budget availability
Evaluation
criteria
Proposal structure
H2020 Rules
 Eligibility
 Admissibility
QUALITY = key to success

CALL topics
TopicsTopics
Calls for proposalsCalls for proposals
Topics
Specific challenge
Scope
Expected Impact
The 'problem'
Identifies the aspects of the challenge that
needs to be tackled.
WP text does not outline the expected solutions
to the problem, nor the approach to be taken by
the applicant ("non-prescriptive" approach)
Calls for proposals
H2020 Space Work
Programme
The 'problem in detail'
Provides more details on the specific
challenge by specifying a perimeter to the
problem described
The 'change' to be achieved
Provides a broad description of what is the
impact to be achieved through the
project(s) to be funded.
The dissemination and exploitation of future
research results are vital for the impact
Carefully read the Topic text + additional documents:
proposal should answer scope and expected impacts of the Call topic

Topic – Proposal – Evaluation Criteria
PART B
1. Excellence
1.1 Objectives
1.2 Relation to the work programme
1.3 Concept and methodology
1.4 Ambition
2. Impact
2.1 Expected impacts
2.2 Measures to maximise impact
a) Dissemination and exploitation of results
b) Communication activities
3. Implementation
3.1 Work plan, Work packages, deliverables
3.2 Management structure, milestones and
procedures
3.3 Consortium as a whole
3.4 Resources to be committed
4. Members of the consortium
4.1. Participants (applicants)
4.2. Third parties involved in the project
(including use of third party resources)
5. Ethics and Security
Topics
Specific challenge
Scope
Expected Impact

1. EXCELLENCE
Crt 1.1 - Clarity and pertinence of
the objectives
• Are the objectives clear, measurable,
realistic and achievable within project
duration?
• How does the proposal address the
specific challenge and scope of the
work programme topic?
PART B - 1. Excellence
1.1 Objectives
clear, measurable, realistic and achievable within
project duration
explain how your proposal addresses the specific
challenge and scope of the work programme topic

1. EXCELLENCE
Crt 1.2 - Soundness of the concept,
• Is the concept of the proposal
sound (i.e. based on models or
assumptions which are valid and
convincing)?
1.1 Objectives –
project duration
(a)Concept
• Describe and explain the overall concept + main
ideas, models or assumptions involved.
• Technology Readiness Levels
• Links with other projects/activities
• Identify any inter-disciplinary considerations and,
where relevant, use of stakeholder knowledge;
(a)Methodology
• Describe and explain the overall methodology
challenge and scope of the work programme topic and credibility of the proposed
methodology
• Does the proposal show that the
proposed methodology is
appropriate and effective for
achieving the stated objectives?
BE CAREFULL with TRL ≥5 + plan
well the activities needed to reach it
• Is the initial and targeted Technology
Readiness Level (TRL) properly
described and realistically achievable
with the project proposed?

1. EXCELLENCE
Crt 1.3 - Extent that proposed work
is beyond the state of the art
• Is the state of the art is well
researched and presented and to what
extent does the proposed work go
beyond the state of the art?
1.1 Objectives –
project duration
(a)Concept
(a)Methodology
1.4 Ambition
• advance beyond the state-of-the-art
• extent the proposed work is ambitious
• Describe the innovation potential
and demonstrates innovation
potential
• RIA: Which are there ground-breaking
objectives, novel concepts and
approaches proposed and to what
extent are they innovative?
• For IA/ high TRL RIA: Which are
there new products, services or
business and organisational models
proposed and to what extent are they
innovative?
• Is the proposed work ambitious
enough to be innovative, without
being so ambitious that it is not
feasible?

1. EXCELLENCE
Crt 1.4 - Appropriate consideration of
interdisciplinary approaches
• Are relevant inter-disciplinary approaches
(i.e. the integration of data, techniques,
tools or concepts from two or more
disciplines e.g. natural sciences, technology,
engineering, economics, social sciences)
considered in the proposed concept?
1.1 Objectives –
project duration
(a)Concept
(a)Methodology
1.4 Ambition
• advance beyond the state-of-the-art
• extent the proposed work is ambitious
• Describe the innovation potential
and, where relevant, use of stakeholder
knowledge
• Who are the stakeholders (e.g. potential
USERS or CUSTOMERS or other groups
or organisations with an interest in the
results of the proposed project)?
• How does the proposal demonstrate that
the consortium will get relevant
knowledge from them (e.g. organizing
workshops with users, discussing with
customers, participating in relevant
working groups etc.)?
• How will their knowledge be used?
and gender dimension in research and
innovation content.

2. IMPACT
PART B - 2. Impact
Crt 2.1 - The extent to which the
outputs would contribute to the
expected impacts listed in the work
programme under the relevant topic
• How much would the proposal contribute
to each of the expected impacts
mentioned in the work programme?
• each of the expected impacts mentioned under
the relevant topic
• any substantial impacts not mentioned in the
work programme
• Describe any barriers/obstacles, and any framework
conditions

2. IMPACT
PART B - 2. Impact
Crt 2.2 - Any substantial impacts not
mentioned in the WP, 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
• Are there any other substantial impacts
not mentioned in the work programme
which are described in the proposal and
are relevant to the issues listed above?
the relevant topic
work programme
• Describe any barriers/obstacles, and any
framework conditions

2. IMPACT
PART B - 2. Impact
Crt 2.3 - Quality of proposed measures
to
- exploit and disseminate project results
(including IPR, manage research data
where relevant)
- Assess the quality of the "draft Plan for the
Exploitation and Dissemination of the
project's Results (PEDR)" with respect to
the specific measures to be implemented
both during and after the end of the
project.
- Is the plan to disseminate project results
to audiences who might use the results in
their own work (e.g. Presentations in
conferences, publications in peer review
journals etc.) appropriate?
- communicate the project activities to
different target audiences
- Are activities to communicate project
activities to multiple audiences beyond the
project's own community (media, public
etc.) included? How are these tailored to
the needs of various audiences?
the relevant topic
work programme
conditions
• draft ‘plan for the dissemination and exploitation
of the project's results’
• Business plan where relevant
• Outline the strategy for knowledge management and
protection (incl IPR)
• Open Research Data -> information on how the
participants will manage the research data generated
and/or collected during the Project
a) Communication activities
• promoting the project and its findings
-> tailored to different target audiences, including groups
beyond the project's own community

2. IMPACT
PART B - 2. Impact
to exploit and disseminate project
results (including IPR, manage
research data where relevant)
• Is the strategy for the management of
IPR appropriate? Does it describe the
main background IPR needed to carry
out the project, its ownership and
accessibility, authorisation to use Third
Party rights, and the ownership
principles that will govern the project
results?
the relevant topic
work programme
conditions
• draft ‘plan for the dissemination and exploitation of
the project's results’
• Outline the strategy for knowledge management
and protection (incl IPR)

Management of Intellectual Property Rights
Demonstration of specific measures in scope ownership, access/use, etc.
during and after the project:
A short reference to the IPR "to be developed in the Consortium
Agreement" is not sufficient
1.Identify your own background (data, know-how and/or information held or
identified by participants prior to their accession to the action)
2.Verify if background of third parties is needed. If yes, what are their
access rights? Need for authorisation to use and exploit the results?
3.Check the state-of-the-art: existing patents? E.g. via database provided by
the European Patent Office: Espacenet
1.Specify the ownership of the results: Who owns what? Any transfers? On
which conditions?
2.Is there a need to protect the results? If yes, assign cost. Ensure
appropriate access and usage right for key IP during AND after the project
(results & background)

2. IMPACT
PART B - 2. Impact
• If research data is generated, does the
proposal identify the types of data that
will be generated, the standards that will
be used, how the data will be exploited
and/or shared/made accessible for
verification and re-use?
the relevant topic
work programme
conditions
• draft ‘plan for the dissemination and exploitation of the
project's results’

Open access to research data
• Open research data sharing applies to the data needed to validate the results
presented in scientific publications + Additionally, projects can choose to make other
data available open access
• Proposals need to describe their approach in a Data Management Plan (DMP), included
as a deliverable in the project
• Costs related to data management and data sharing are eligible for reimbursement during
the project duration
• Now by default obligatory for all new topics except if they decide to opt-out for
example for commercial or security reasons (see WP Annex L). Projects can opt-out at any
stage.
• Proposals will not be evaluated more favourably for participating or penalised for opting
out.
is an obligation under H2020 => online access at no charge to the user to peer-
reviewed scientific publications
• Self-archiving: 'traditional' publication plus deposit of manuscripts in a repository ('Green
OA')
• OA publishing: immediate OA provided by publisher ('Gold OA')
≠ Open Access to scientific publications

2. IMPACT
PART B - 2. Impact
BUSINESS PLAN – IA
• is a business plan included?
• Is that plan properly considering the
competition, pricing, revenue streams
and financial forecasts?
• is this plan realistic?
the relevant topic
work programme
conditions
• draft ‘plan for the dissemination and exploitation of the
project's results’

Preliminary Business plan
The purpose of the preliminary business plan is to demonstrate the commercial
potential of the product and/or service (offering) and describe how this
potential will be realised.
 Define the proposed offering: the product and/or service;
target market sector.
 Review the market sector, its: structure; size; drivers;
market and technology trends.
 Assess the competition: main players, their current
offerings and market share.
 Describe the innovation of the proposed offering in the
context of the competition and the sector’s needs.
 Summarise potential business model(s) together with
possible entry price(s) and costs.
 Assess the key risks to market entry and possible options
for risk mitigation.
 Outline, graphically, the roll-out of the offering: timescale;
sales growth; market share.

3. IMPLEMENTATION
PART B – 3. IMPLEMENTATION
Crt 3.1 Quality and effectiveness of
the work plan, including extent to
which resources assigned in work
packages are in line with objectives/
deliverables
• How good is the overall structure of the
work plan?
• Have the different work packages been
scheduled and linked appropriately? Are
their inter-dependencies clear?
• Are milestones and deliverables well
defined and appropriately timed?
• Are the work packages and associated
tasks sufficiently described to provide a
good understanding of the work
involved and justify the proposed
resources to be allocated?
3.1 Work plan — Work packages, deliverables
• overall structure of the work plan
• timing of the different work packages Gantt chart
• detailed work description (WP, deliverables, etc..)
• Pert chart or similar (inter-relation of the WPs)

3. IMPLEMENTATION
Crt 3.2 - Appropriateness of management
structures and procedures, including risk
and innovation management
• Are the described organisational structure
and decision making mechanisms
appropriate to the scale and complexity of
the project?
• Are the management procedures, including
quality management and conflict resolution,
appropriate to the scale and complexity of
the project?
• Are critical internal and external risks
related to project implementation described
with appropriate mitigation measures and
severity/probability estimates?
• has innovation management been
appropriately addressed in the
management structure and work plan (I.e.
does the proposal show how any scientific
or technological inventions or advances will
actually be turned into relevant concrete
innovations with specific practical or
commercial advantages over existing
solutions)?
procedures
• organisational structure and the decision-making
mechanisms + why they are appropriate to the
complexity and scale of the project.
• where relevant, innovation management
• Describe any critical risks, relating to project
implementation + mitigation measures

3. IMPLEMENTATION
Crt 3.3 - Complementarity of the
participants which the consortium as
a whole brings together expertise
• How is the complementarity of the
participants described?
• Does the consortium bring together the
necessary expertise for the project?
procedures
• Describe the consortium
• Describe the contribution of each partner
• If a participant requesting EU funding is based in a
country or is an international organisation that is not
automatically eligible for funding, explain why the
participation of the entity in question is essential
to carrying out the project
Third country or international
organisation not eligible for funding

3. IMPLEMENTATION
Crt 3.4 - Appropriateness of allocation
of tasks, ensuring that all participants
have a valid role and adequate
resources in the project to fulfil that
role
• Does each partner have a valid role and
adequate resources (both effort and
budget) to fulfil that role?
AVOID EMPTY SHELLS !
procedures
3.4 Resources to be committed
• table showing number of person/months required
• table showing ‘other direct costs’ for participants where
those costs exceed 15% of the personnel costs
• Describe the consortium
• Describe the contribution of each partner
• If a participant requesting EU funding is based in a
country or is an international organisation that is not
automatically eligible for funding, explain why the
participation of the entity in question is essential to
carrying out the project
• If "Other Direct Costs" exceed 15% of
personnel costs:
a. have they been explained adequately?
b. Are these costs "reasonable, justified
and comply with the principle of sound
financial management, in particular
regarding economy and efficiency"(Art.
6.1.)?
• If any of the work will be subcontracted
to third parties, has this been justified
convincingly?

3. IMPLEMENTATION
Crt 3.4 - Appropriateness of allocation
of tasks, ensuring that all participants
have a valid role and adequate
resources in the project to fulfil that
role
PART B – 4. Members of the consortium
4.2. Third parties involved in the project (including
use of third party resources)
• Does the participant plan to subcontract certain tasks
(please note that core tasks of the project should not be
sub-contracted)
• Does the participant envisage that part of its work is
performed by linked third parties
• Does the participant envisage the use of contributions in
kind provided by third parties (Articles 11 and 12 of the
General Model Grant Agreement)
4.1. Participants (applicants)
• a description of the legal entity and its main tasks
• a curriculum vitae + profile of the persons
• a list of up to 5 relevant publications, and/or products,
services
• a list of up to 5 relevant previous projects or activitieS
• a description of any significant infrastructure and/or any
major items of technical equipment
Crt 3.3 - Complementarity of the
participants which the consortium as
a whole brings together expertise

Subcontracting (article 13 GA)
• Subcontracts concern the implementation of action tasks
• Procedure ensuring the best value for money and avoiding conflict of interests
• the eligible cost is the price charged to the beneficiary, no indirect cots
-> Explain well the reason for subcontractors, especially if the related costs are high, and be
careful with predefined subcontractors !
≠ Contracts to purchase goods, works or services (article 11 GA)
Similar to subcontracting (Procedure ensuring the best value for money and avoiding the
conflict of interests), but concern rather small services and not project tasks (ex. renting, CFS,
website) and are budgeted under other direct costs (25% indirect costs)
very high Other Direct Costs
For example this is NOT sufficient for the experts to judge if the costs are "reasonable,
justified and comply with the principle of sound financial management, in particular regarding
economy and efficiency"(Art 6.1):
Subcontract/Contract/Other direct costs
Other goods and services €650,000 EEE (€400,000)
Parts (€50,000)
Mechanics (€100,000)
Testing (€100,000)

5. Ethics & Security
• Each applicant is responsible for:
 identifying any potential ethics issues
 detailing how they plan to address them in sufficient detail already at
the proposal stage so to conform to national, European and
international regulations
Part A in SEP – ethics self-assessment + Part B section 5
Does this research have the potential for military applications?
• Exclusive civilian focus of the research must be demonstrated. Do you need
export licenses (for dual use items)? e.g., GNC, TPS etc.
• Risk mitigation strategies for:
 Mission creep: change of focus toward military
 Leak of "sensitive" information (misuse)
• Does the participation of Third Countries, i.e. non-EU,
beneficiaries, raise ethical issues? Export/Import Control?
The Regulation: Council Regulation (EC) No 428/2009 of 5 May 2009 setting up
a Community regime for the control of exports, transfer, brokering and transit of
dual-use items: http://trade.ec.europa.eu/doclib/docs/2009/june/tradoc_143390.pdf

Innovation
Enhancing innovation capacity : (Any substantial
impacts not mentioned in the WP, that would enhance
innovation capacity; create new market opportunities,
strengthen competitiveness and growth of companies, .. )
 Addressing barriers/obstacles, and any framework
conditions such as regulation and standards;
 of the participating organisations/research community
by enabling new processes or partnerships beyond
the project consortium.
Innovation potential : (e.g. ground-breaking
objectives, novel concepts and approaches, new
products, services or business and organisational
models).
Innovation management = is a process which
requires an understanding of both market and
technical problems, with a goal of successfully
transfer the innovations developed.
 Is innovation management clearly assigned?
 How will innovation management be taken care of?
 Are concrete innovation tools identified? ...

Optimise your chances to success
Understand the domain and its challenges
R&D but also market, IPR and regulations, competition
Be clear and explicit
Evaluators must judge only what they read and not on the proposal potential.
They have limited time
Do a mock evaluation
Ask a colleague to conduct a self-assessment of the proposal against each evaluation
sub-criterion. If you don't find the right answer easily in the text, the evaluators won't
find it either!
Optimise available time to prepare your proposal
• Last minute preparations are often reflected in a lower quality which largely reduces
the changes in success;
• Start a draft early + Submit on time
• Incomplete submission is not an Obvious Clerical Error
• Late submission in IT system = inadmissible proposal. Deadlines are strict!
Resubmission
• Check carefully the call topic as it may have slightly changed from previous call
• See if your proposal is still up to date as 2-3 years is a long time in science /
technology
Do not be afraid of letting the Commission see the abstract of your proposal in order to
help us identify the best possible expert.

Look for inspiration
https://www.gsa.europa.eu/search-projects

References
Call pages: http://ec.europa.eu/research/participants/portal/desktop/en/opportunities
Grants Manual - Section on: Proposal submission and evaluation
http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/pse/h2020-guide-pse_en.pdf
Guidance for evaluators of Horizon 2020 proposals
http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/pse/h2020-evaluation-faq_en.pdf
Templates for mock evaluations:
http://ec.europa.eu/research/participants/data/ref/h2020/call_ptef/ef/h2020-call-ef-ria-ia-csa_en.pdf
H2020 reference documents:
http://ec.europa.eu/research/participants/portal/desktop/en/funding/reference_docs.html
Communication guidelines for projects:
http://ec.europa.eu/research/participants/data/ref/h2020/other/gm/h2020-guide-comm_en.pdf
Guide on beneficiary registration, validation and financial viability check Manual:
http://ec.europa.eu/research/participants/docs/h2020-funding-guide/index_en.htm
http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/oa_pilot/h2020-hi-oa-pilot-
guide_en.pdf
http://ec.europa.eu/research/participants/docs/h2020-funding-guide/cross-cutting-issues/open-access-data-
management/open-access_en.htm
ETHICS
How to complete your ethics Self-Assessment:
http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/ethics/h2020_hi_ethics-self-
assess_en.pdf
Ethics Issues Table template:
http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/ethics/ethics-eit_en.pdf

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