Preparatory phase of new ESFRI research infrastructure projects
HORIZON Coordination and Support Actions
Basic Information
- Identifier
- HORIZON-INFRA-2023-DEV-01-08
- Programme
- Developing, consolidating and optimising the European research infrastructures landscape, maintaining global leadership (2023)
- Programme Period
- 2021 - 2027
- Status
- Closed (31094503)
- Opening Date
- December 6, 2022
- Deadline
- March 9, 2023
- Deadline Model
- single-stage
- Budget
- €7,500,000
- Min Grant Amount
- €1,000,000
- Max Grant Amount
- €1,500,000
- Expected Number of Grants
- 5
- Keywords
- ESFRI projectsESFRIESFRI roadmap
Description
Project results are expected to contribute to several of the following expected outcomes:
- structuring effect on ERA;
- the scientific excellence of the European landscape of sustainable RI enhances problem-solving capacities to address challenges in science, industry and society;
- solid ground for the decision making on new research infrastructures is available to MS/ACs, their funding bodies and other relevant stakeholders (e.g.: international organisations, third countries; foundations; etc.);
- long-term perspective for RI investments;
- consistent and well-functioning European research infrastructures ecosystem through the development of synergies and complementarities between new and existing research infrastructures, including technology infrastructures and infrastructures financed by ERDF.
This topic supports the preparatory phase of new ESFRI research infrastructure projects identified in the 2021 update of the ESFRI Roadmap, which have never been supported before for their preparatory phase. These ESFRI projects have been selected for the excellence of their scientific case and for their strategic importance for the European Research Area and the structuring of the European research infrastructure ecosystem.
Proposal consortia should involve all the stakeholders necessary to move the project forward, to take the decisions, and to make financial commitments, before construction can start (including, but not limited to, national/regional ministries/governments, research councils or funding agencies from the countries that have already declared their commitment in the application to ESFRI). Operators of research facilities, research centres, universities, and industry may also be involved whenever appropriate.
Proposals for research infrastructure preparatory phases will tackle all key questions concerning legal, financial and technical issues leading to the establishment of a new research infrastructure and ensuring commitment of Member States/Associated Countries to their long-term operation and use in all fields of science.
In this respect, proposals should address all following aspects:
- the development of legal and financial frameworks/plans relating to the setting-up, construction and/or integration of national resources, operation and decommissioning of the research infrastructure as well as its Governance structure; the complementarities between national and EU instruments (such as the European Structural and Investment Funds or the European Investment Bank) and/or innovative financing solutions (e.g.: pre-commercial procurement; public-private partnerships);
- the preparation of legal and financial agreements, including site, governance, internal rules, financing of the new research infrastructures. These are deliverables that should be finalised before the end of the project (e.g.: through a Memorandum of Understanding; a 'signature-ready' document for the setting-up and the actual implementation of the research infrastructure);
- the establishment of plans for logistics and human resources management, in relation to the construction/integration and future operation, including RI service provision as well as for an efficient data curation and preservation and for the provision of access to data collected or produced by the future infrastructure, in line with the FAIR principles;
- the technical challenges concerning the joint development, transfer of knowledge and implementation of key RI technologies and the completion of the final technical design of the infrastructure;
- the development of plans for the provision of RI services to identified scientific user communities;
- the relevance of the RI for science and society, including its socio-economic impacts at local/regional level and links with the smart specialisation strategies at regional level.
Environmental (including climate-related) impacts as well as the optimisation of resource and energy use should be integrated in the Preparatory phase of new research infrastructures.
Proposals should explain any synergies and complementarities with previous or current EU grants.
Destination & Scope
Over recent years, the European Commission, Member States (MS) and Associated Countries (AC) have been closely collaborating, in particular within the European Strategy Forum on Research Infrastructures (ESFRI), to develop an integrated and efficient ecosystem of research infrastructures (RIs) in Europe, which encompasses single-sited facilities, distributed facilities integrating resources across the European Research Area, as well as networks of national facilities and which serves researchers and engineers in all S&T fields, from basic to applied research. To facilitate integration and pooling of resources for the development of new capacities, a legal instrument has also been developed at European level, the European Research Infrastructure Consortium (ERIC) that provides favourable conditions for the establishment and operation of large European infrastructures supported jointly by several MSs and ACs as well as by third countries. While Member States remain central in the development and financing of public RIs, the Union and ESFRI play a catalysing and leveraging role in driving the integration between national efforts.
The challenges for the near future are to consolidate and optimise the European Research Infrastructure landscape and enhance its capacity to support frontier research and address the emerging and new scientific and societal objectives associated with the transition towards a sustainable and resilient Europe. In addition, there is the need to define and implement an effective and sound RI strategy in Europe, in close cooperation with ESFRI, MSs and ACs, which is complemented by and interlocks with the long-term ambition of creating an integrated Technology Infrastructure (TI) landscape, the latter is supported in Pillar II of Horizon Europe Programme (HE). Such a strategy would also help in exploiting synergies between RI and TI financed from Horizon and massive investments in infrastructures from ERDF.
This destination aims to create a world-leading coherent, responsive, sustainable and attractive RI landscape in Europe, by reducing its fragmentation at European, national and regional level, ensuring coordination of efforts and fostering alignment of priorities among MSs and ACs, connecting RIs to the European Open Science Cloud (EOSC), and which is able to support national and regional R&I ecosystems. The support to a European strategy for Research Infrastructures as well as activities to enhance the role of RIs for international cooperation and science diplomacy will also be covered under this destination.
Expected impact
Proposals for topics under this destination should set out a credible pathway to contributing to one or several of the following impacts:
- Disruptive research and breakthrough science and innovation through cutting-edge, interconnected and sustainable Research Infrastructures;
- Strengthened scientific excellence and performance and efficiency of the European Research Area, increasing its attractiveness to researchers from all over the world;
- Coordinated research infrastructure capacity among countries and regions, also by exploiting possibilities given by the smart specialisation processes;
- Reinforced R&I capacities enabling systemic changes needed for a truly transformative societal and economic recovery and a strengthened resilience of critical sectors, as outlined in the Recovery Plan;
- Improved European response, in cooperation with international players, to emerging socio-economic and related scientific and technological challenges at global level.
Eligibility & Conditions
General conditions
1. Admissibility conditions: described in Annex A and Annex E of the Horizon Europe Work Programme General Annexes
Proposal page limits and layout: described in Part B of the Application Form available in the Submission System
2. Eligible countries: described in Annex B of the Work Programme General Annexes
A number of non-EU/non-Associated Countries that are not automatically eligible for funding have made specific provisions for making funding available for their participants in Horizon Europe projects. See the information in the Horizon Europe Programme Guide.
3. Other eligibility conditions: described in Annex B of the Work Programme General Annexes
Legal entities established in non-associated third countries may exceptionally participate in this Coordination and support action.
4. Financial and operational capacity and exclusion: described in Annex C of the Work Programme General Annexes
5. Evaluation and award:
-
Award criteria, scoring and thresholds are described in Annex D of the Work Programme General Annexes
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Submission and evaluation processes are described in Annex F of the Work Programme General Annexes and the Online Manual
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Indicative timeline for evaluation and grant agreement: described in Annex F of the Work Programme General Annexes
6. Legal and financial set-up of the grants: described in Annex G of the Work Programme General Annexes
Eligible costs will take the form of a lump sum as defined in the Decision of 7 July 2021 authorising the use of lump sum contributions under the Horizon Europe Programme – the Framework Programme for Research and Innovation (2021-2027) – and in actions under the Research and Training Programme of the European Atomic Energy Community (2021-2025). [[This decision is available on the Funding and Tenders Portal, in the reference documents section for Horizon Europe, under ‘Simplified costs decisions’ or through this link: https://ec.europa.eu/info/funding-tenders/opportunities/docs/2021-2027/horizon/guidance/ls-decision_he_en.pdf]].
Specific conditions
7. Specific conditions: described in the [specific topic of the Work Programme]
Documents
Call documents:
Standard application form — call-specific application form is available in the Submission System
Standard application form (HE CSA)
Standard evaluation form — will be used with the necessary adaptations
Standard evaluation form (HE CSA)
MGA
RAO decision authorising the use of lump sum funding
Explanatory slides for applicants on the specificities of lump sum funding
Detailed Budget Table (HE LS) for estimation of Lump Sum Funding
Additional documents:
HE Main Work Programme 2023-2024 – 1. General Introduction
HE Main Work Programme 2023-2024 – 3. Research Infrastructures
HE Main Work Programme 2023-2024 – 13. General Annexes
HE Framework Programme and Rules for Participation Regulation 2021/695
HE Specific Programme Decision 2021/764
Rules for Legal Entity Validation, LEAR Appointment and Financial Capacity Assessment
EU Grants AGA — Annotated Model Grant Agreement
Funding & Tenders Portal Online Manual
Support & Resources
Online Manual is your guide on the procedures from proposal submission to managing your grant.
Horizon Europe Programme Guide contains the detailed guidance to the structure, budget and political priorities of Horizon Europe.
Funding & Tenders Portal FAQ – find the answers to most frequently asked questions on submission of proposals, evaluation and grant management.
Research Enquiry Service – ask questions about any aspect of European research in general and the EU Research Framework Programmes in particular.
National Contact Points (NCPs) – get guidance, practical information and assistance on participation in Horizon Europe. There are also NCPs in many non-EU and non-associated countries (‘third-countries’).
Enterprise Europe Network – contact your EEN national contact for advice to businesses with special focus on SMEs. The support includes guidance on the EU research funding.
IT Helpdesk – contact the Funding & Tenders Portal IT helpdesk for questions such as forgotten passwords, access rights and roles, technical aspects of submission of proposals, etc.
European IPR Helpdesk assists you on intellectual property issues.
CEN-CENELEC Research Helpdesk and ETSI Research Helpdesk – the European Standards Organisations advise you how to tackle standardisation in your project proposal.
The European Charter for Researchers and the Code of Conduct for their recruitment – consult the general principles and requirements specifying the roles, responsibilities and entitlements of researchers, employers and funders of researchers.
Partner Search Services help you find a partner organisation for your proposal.
Latest Updates
Dear applicant,
We would like to draw your attention to an update of the “Detailed Budget Table” Excel template. A new template has been republished for your kind consideration and use.
An additional paragraph has been added to the instructions tab, explaining how to save the detailed budget table and how to upload it in the submission system.
The following instructions have been added:
“After you completed this Excel workbook, you must also complete the table ‘Budget for the proposal’ in Part A of the proposal, entering the requested EU contribution for each participant. Fill the Part A budget table using the total for each participant from the sheet ‘Lump sum breakdown’ in this Excel workbook.
The format of this Excel workbook is .xlsm because it uses macros to generate sheets and make calculations automatically. Always save it as .xlsm.
However, this format cannot be uploaded to the submission system for security reasons.
Therefore, to submit the completed workbook, save a copy as an .xlsx or .xls document (and not as .xlsm) and upload it to the proposal submission tool at Step 5 of the submission process. Always keep a copy of the original .xlsm file.
To save the workbook as .xlsx document, use the action button in the sheet “Instructions”. Alternatively, click on “File” and then “Save as”; in the “Save as” dialog box, choose “.xlsx” or “.xls” from the “Save as type” dropdown list.”
You can still use the template initially available in the submission system if you wish to, but please be aware of the instructions on how to upload and save the file.