The new NWO Open Competition SSH Dr Eelco

The new NWO Open Competition SSH Dr. Eelco van Dongen Policy officer at NWO, Domain Social Sciences and Humanities Nederlandse Organisatie voor Wetenschappelijk Onderzoek Coordinator Open Competition SSH

Outline Background Open Competition SSH Eligibility criteria The new modular system Procedure Q&A with the audience

Background Open Competition SSH Nederlandse Organisatie voor Wetenschappelijk Onderzoek

NWO in transition Transition NWO -> more transparency and uniformity in the organisation Harmonisation -> transparency and uniformity in NWO’s funding instruments – More similar rules and regulations across instruments, programmes, domains – Integrating various instruments into larger programmes, without losing flexibility For SSH: opportunity to innovate in terms of non-programmed research funding Ø No more separate Humanities and Social sciences instruments for open research one new funding instrument for non-programmed research

2018: most existing SSH instruments discontinued Internationalisation in the Humanities Investment Grant NWO Medium Open Research Area (ORA) Research Talent (Onderzoekstalent) Free Competition Humanities Ph. Ds in the Humanities (from 2020/2021 onwards) • Total budget (M€ 16. 5, after 2020: M€ 18) • NWO: commitment to non-programmed research => Domain Board SSH has freed additional money => 2018 budget of M€ 22

The new NWO Open Competition – SSH New instrument for non-programmed research in the Social Sciences and Humanities. ‒ Start: 25 September 2018 Two main principles: 1. Curiosity-driven research ‒ No thematic limitations (SSH focus required, but cross-disciplinary = ok) ‒ In principle, every type of funding is possible 2. Applicants may choose the desired structure and size of their project: ‒ Small individual <-> large collaborative projects ‒ (Inter)national scope, investment grants, valorisation: all should be possible

Eligibility criteria Nederlandse Organisatie voor Wetenschappelijk Onderzoek

General eligibility criteria Researchers can only apply if they are employed by: • • Dutch universities NWO and KNAW institutes the Netherlands Cancer Institute; the Max Planck Institute for Psycholinguistics in Nijmegen researchers from the DUBBLE Beamline at the ESRF in Grenoble NCB Naturalis Advanced Research Centre for Nano. Lithography (ARCNL) Princess Máxima Center for Pediatric Oncology Researchers require a qualifying appointment for at least the duration of the application procedure and the entire duration of the research for which the grant is being applied for. • • No unpaid or zero-hours appointments No conditional appointments (exception: retirement age) » Criteria apply to both main and co-applicants!

Limiting the number of applications Discontinued instruments: together, ~700 applications annually – with strict eligibility criteria (Research Talent) or after preselection (Ph. Ds in the Humanities) Official numbers: 3000 -5000 SSH researchers could apply to a unrestricted single instrument NWO wants increased award rates and reduced workload for applicants Requires pre-proposals and strict eligibility criteria NWO has established a standardized set of eligibility criteria Domain Board SSH decided on selection of criteria for Open Competition SSH

Specific eligibility criteria in the Open Competition SSH Considerations: Only as many limiting measures as are necessary Higher award rates (aim: 25%) Reduce the workload for applicants Reduce the workload for referees/committee members A fair distribution of budget between subgroups of researchers ‒ Talent Scheme: M€ 44; Open Competition SSH M€ 22

Measures to limit the number of applications (1) An applicant may only submit a proposal if s/he is no longer eligible to apply to the Talent Scheme - Applicant = main and co-applicants - Exceptions: extension rule Vici; actual application in next round no longer possible An applicant may only submit one application per calendar year in the Vrije Onderzoeksruimte (Non-programmed Research Area) (= NWO Open Competition – SSH, Ph. Ds in the Humanities, and Replication Studies) An applicant may only submit an application to the NWO Open Competition – SSH once every two years ‒ This also applies to resubmissions.

Measures to limit the number of applications (2) An applicant may only resubmit a rejected proposal once and only if the proposal concerned received the qualification 'very good' or 'excellent‘ – So, no resubmission of pre-proposals An applicant may submit a new application no more than one year before the planned end date (= end date last appointment) of the project within NWO that has the longest duration and for which he/she is the applicant/project leader. – Only applicable to new NWO projects awarded after 25 September 2018 – Not applicable to the full proposal phase of Open Competition SSH 2018

Practical limitations for applying in the first round Condition Applicable in first round? Qualifying appointment of sufficient duration Applicable Not eligible for Talent Scheme Applicable Max. 1 application/ year to SSH Open Research Area Not fully applicable in the first round* Max. 1 application/ 2 years to Open Competition SSH Not applicable in the first round* Only resubmission of highly rated proposals Not applicable in the first round* Cannot apply with an existing NWO project Not applicable in the first round* *Please note that applying to the Open Competition SSH 2018 might affect applications in 2019

The new modular system Nederlandse Organisatie voor Wetenschappelijk Onderzoek

New in 2018: application modules Modular system: Researchers choose which combination of modules is needed to answer their research question(s), as well as the budget requested for each part of the application. – Personnel – Research costs – Investment/Equipment – Valorisation / Knowledge utilisation – Internationalisation The total set of modules is standardised across NWO. Domain Boards determine for each funding instrument: – Which modules are available, and how often they may be requested – What amount of funding can be requested for each module

Modules in the Open Competition General information: • Max. NWO contribution = € 750. 000 • Researchers are encouraged to apply for funding in line with their specific research goals. Modules available: 1. Personnel (1 a, 1 b, 1 c, 1 e, 1 f) 2. Material costs 3. Investments 4. Knowledge utilisation (4 a only) 5. Internationalisation

Not available in the Open Competition SSH 1. Personnel – 1 d. HBO staff – 1 g. Salary of applicants 4 b. Entrepreneurship 6. Public-private collaboration / cofinancing requirements

1. Personnel (1) Submodules can be used up to 3 x per application (if budget allows) 1 a: – – – Ph. D student 4 yr / 1. 0 FTE or 5 yr / 0. 8 FTE VSNU salary + bench fee Can be appointed at any university in the Netherlands 1 b: Postdoc – 1 yr / 0, 5 FTE up to 4 yr / 1, 0 FTE – VSNU salary + bench fee – Can be appointed at any university in the Netherlands

1. Personnel (2) 1 c: – – – Non-scientific personnel Per module: € 100. 000 max. (VSNU tariffs) Essential personnel: student assistants, analysts, technicians etc. Only in combination with 1 a or 1 b. Minimum appointment: 1 yr / 0. 5 FTE. Can be appointed where needed. 1 e: – – Research leave Replacement costs for main and/or co-applicants Per project max. 5 months at 1 FTE (postdoc salary) Can be spread across project and/or divided across multiple applicants. Only for the purpose of the proposed research project

1. Personnel (3) 1 f. Other scientific personnel – Essential personnel: research assistants, graduate physicians/ specialists, other researchers etc. – Only in combination with 1 a or 1 b. – Minimum appointment: 1 yr / 0. 5 FTE. – Maximum appointment 4 yr / 1, 0 FTE, 5 yr if parttime.

2. Material credit Module can be used up to 3 x. Per module: max. € 15. 000 per year per FTE position (1 a, 1 b or 1 d). Module may cover any mix of costs for: – Project-related goods, services, equipment, consumables, temporary staff. – Travel and accomodation, fieldwork, research visits (only for personnel 1 a and 1 b) – Implementation & organisation costs, open access, participant recruitment, licences Special rules: – Small equipment and software: max. € 160. 000 per project. – Max. of € 15. 000 can be exceeded if justified; equipment/software limit is final.

3. Investments up to the lower limit of Investment Grant NWO Large Investment in equipment, datasets – Also allowed: technical personnel critical for development or setup of investment. – Not allowed: existing datasets, other personnel, maintenance. Module can be used once. Min. NWO contribution: € 160. 000 (equipment); € 25. 000 (datasets/data collections) Max. NWO contribution: € 500. 000 Required institutional contribution: at least 25%

4. Knowledge utilisation 4 a. Knowledge utilisation – Can be used up to 2 x. – Max. € 25. 000 per module. – Any utilisation or implementation costs related to research findings • Requires specification by applicant (in full proposal)

5. Internationalisation (1) 5 a. Internationalisation – Can be used up to 2 x. – Max. € 25. 000 per module • Can be exceeded with justification – Covers costs resulting from international collaboration: • Travel and accommodation (if not covered by bench fee). • Travel and accommodation of foreign guest researchers. • Organisation cost of international meetings/workshops.

5. Internationalisation (2) 5 b. Money follows collaboration – Use of national research budget for valuable cross-border collaboration. – Funding for project personnel outside the Netherlands • Researchers, developers, collaborators. – No limit • But: requires motivation of critical nature of foreign expertise • If not sufficient: funding not made available

Procedure Nederlandse Organisatie voor Wetenschappelijk Onderzoek

Assessment procedure One fixed deadline per year Pre-proposal - deadline 25 September 2018 Full proposal – deadline 7 March 2019 The assessment committee consists of eight disciplinary panels Cross-domain/disciplinary applications possible One budget (M€ 22) ‒ Division Social Sciences / Humanities: • ~ 50 / 50 (Based on discontinued instruments) Decision on funding in June 2019

Eight disciplinary panels Business Administration Philosophy and Theology Behaviour and Education Historical Sciences Law and Governance Cultural Sciences Social Sciences Linguistics

Procedure pre-proposal A short pre-proposal ‒ to reduce the workload for the applicants; ‒ to reduce workload for the committee. Assessment committee selects pre-proposals for second phase at least 3 x the number of proposals that can be awarded funding are selected Only applicants of pre-proposals with a positive decision are allowed to submit a fullproposal Applicants may submit a written response to preliminary negative decision If selected: three months to write the full-proposal

Format pre-proposal (1) Administrative details Research idea (500 words, 50%) • Clarity of the research questions and the problem defined; • Innovative character of theme, approach and concepts. Impact (300 words, 30%) • Expected scientific impact; • Knowledge utilisation/societal impact; • Potential output.

Format pre-proposal (2) Researchers and organisation (500 words, 20%) a. Description of all personnel involved; includes key publications of applicants b. Choice of modules plus motivation - Quality of researchers; Relevance of the publications for the research idea; National and international collaboration; Added value of the researchers for the proposed research; Embedding and organisation; Appropriateness of the modules selected

Procedure full proposal Extended full proposal – More room for methodology, theory, role of project partners – Specification of budget External referees assess each application – 2 -4 referees, depending on size application – Referees tailored to research disciplines indicated by applicant Applicant may write a rebuttal to expert reviews Assessment committee ranks all applications in panel, advice to Domain Board SSH makes the final decision

Work in progress: Format full proposal (1) Administrative details Scientific quality (50%) ─ ─ ─ ─ ─ Clarity of the questions and problem posed; Methodology; Innovative character of theme, approach and concepts; Expected scientific impact and output; Convincing description of the innovative character; Convincing description of the urgency; Potential impact on the research field and related fields; Feasibility of strategy for realising scientific output (publications, database, conferences); Work plan; Weighting of potential output and indicators.

Work in progress: Format full proposal (2) Embedding, organisation and budget (30%) ─ ─ ─ ─ Quality of researchers; National and international collaboration; Appropriateness of the researchers for the subject proposed; Realistic description of the (potential for) national and international collaboration; Design of the project (structure, number of researchers, budget); Appropriateness of the funds applied for w. r. t. organisation and research mission; Appropriateness of the modules selected; Details budget.

Work in progress: Format full proposal (3) Knowledge utilisation (20%) ─ ─ ─ Contribution to society and/or other scientific disciplines; Disciplines and organisations that could benefit from the results; Potential for contribution to solving cultural, democratic, societal, or economic challenges; Extent to which there is a prospect of potential users or collaborative partners; Relevance of previous knowledge utilisation activities; Concrete knowledge utilisation plans; ─ Documented forms of collaboration.

Global timetable Period Activity 25 September 2018 (14. 00) Deadline submission pre-proposals Mid-October 2018 Assessment pre-proposals Mid-November 2018 Opportunity for applicants to respond to preliminary advice Mid-December 2018 Decision on pre-proposal announced 7 March 2019 (14. 00) Deadline submission full proposals March-April 2019 Referees consulted; rebuttals by applicants April-May 2019 Assessment full proposals by committee June 2019 Funding decision by SSH Domain Board; applicants are informed

The future of the Open Competition SSH Multi-year programme, with budget of at least M€ 22 Ongoing evaluation and reflection explicit part of procedure – Changes to eligibility criteria and procedure definite possibility Points of attention: – Time spent by and experience of applicants – Time spent by and experience of assessors – Number and distribution of applications – Involvement of junior and mid-career researchers – Effect and necessity of eligibility criteria Your feedback is important!

Q&A Questions, concerns, suggestions, comments?

Contact and feedback Open Competition SSH webpage: www. nwo. nl/sshoc Email address for general inquiries: sgwoc@nwo. nl Or contact: Eelco van Dongen coordinator Marleen van de Vate coordinator Marc Linssen programme head e. vandongen@nwo. nl m. vandenvate@nwo. nl m. linssen@nwo. nl 070 - 349 4005 070 – 344 0967 070 – 344 0625