Innovation Takes Off

Not legally binding

Innovation Takes Off

Principles of the Clean Sky 2 First Call for Proposals

Sebastien DUBOIS, CS2JU

Bruno MASTANTUONO, CS2JU

Brussels, 4 March 2015

2

I Info Campaign C Call Open E Evaluation N Negotiation

CS2 Calls - Tentative Planning

Partner selection

1st Call for Partners

2nd Call

3rd Call

GAM accession

2014 Q2 Q3 Q4 Q1 Q2

I N

Q3 2015

Q4 Q1 Q2 Q3 2016

1st WAVE

2nd WAVE

GAP signature

3rd WAVE C I

Core-Partner selection

Not legally binding

E

9th

Jul 5th

Nov Feb July

16th

Dec

31st

March

C

April Jul

Nov

C

GAM accession

N E

Nov March

June

E C

E N C

N C E

N

Call Launch 16th December 2014

Call Closure 31st March 2015

Evaluations end of May

Q&A opened until 6th March

Technical sessions & GAP preparation June 2015

Start date of activities November 2015

The call contains 53 Topics with total available funding of almost 48 Million Euro

For questions : Info-Call-CFP-2014-01@cleansky.eu

Find out more:

• www.cleansky.eu

• ec.europa.eu/research/participants/portal4/desktop/en/opportunities/h2020/calls/h2020-cs2-cfp01-2014-01.html#tab1

1st call for proposal at a glance

Not legally binding

1st Call for Proposals (Partners) - Overview

Area No. of topics Funding (M€)

IADP Large Passenger Aircraft 12 14.9

IADP Regional Aircraft 1 0.5

IADP Fast Rotorcraft 8 4,4

ITD Airframe 14 9.6

ITD Engines 10 13.4

ITD Systems 8 5.2

Small Air Transport (SAT) Transverse Area 0 0

ECO Tranverse Area 0 0

Technology Evaluator 0 0

TOTAL 53 48.0

• At least 30% of CS2 EU Funding open to competition via CfP / CfT,

• 12 – 15 CfP expected over the H2020 Funding period (2014 – 2020)

• 1st Call shows healthy average topic size (Average funding ~1.1M€)

• The topics are roughly equally balanced across the 2 type of actions “RIA or IA”

Selected via Calls for Proposals (2 to 3 launched per years)

Short/medium-term commitment;

Level and quality of resources adequate for the Topic concerned;

Competences / capabilities necessary to carry out the activities aiming at developing new knowledge, new technologies and solutions contributing to the action;

The scope and perimeter of activities is defined from the beginning and might be of various type (study, design, simulation, development, manufacturing, integration etc.);

The activities are limited in time and closely related to the needs as proposed by IADP/ITD Steering Committees and approved for CfP launch by the CSJU;

The activity is defined and will be technically lead by the Topic Manager following the technical roadmap/goals of the ITD/IADP

Partners: Definition and Role

Not legally binding

Partner Topic Description

Not legally binding

The Topic descriptions: • Part of the Work Plan 2014-2015 approved by the board of the CSJU

(provides the detailed technical description of each topics) • Describe the tasks as defined by the Topic Manager (representing a

Member of the ITD/ IADP) based on the objectives of the ITD/IADP • Aligned with the CS2 Joint Technical Programme in support of HLOs

of each ITD/IADP/TA (JTP: the strategic vision of the programme) • Define the nature of the action: RIA (Research and Innovation) or IA

(Innovation)

They contain the following : • Activities & outputs as required within the IADP/ITD • Indicative topic values (funding in M€) • Capabilities and technology areas concerned • Timeline • Deliverables & Milestones

Partner Topic Description (example)

Not legally binding

Where to find Topic Descriptions

Not legally binding

List of Topics (1/2)

Not legally binding

List of Topics (2/2)

Not legally binding

Who can apply

The 16 Leaders of JU and their affiliates may apply to Calls for Core Partners and Calls for Proposals only in another IADP/ITD where they are not involved as Members.

The Core Partners and their affiliates may apply in subsequent waves of Calls for Core Partners in all IADP/ITD. They may apply to Calls for Proposals only in another IADP/ITD where they are not involved as Members.

The Partners selected by Call for Proposal may apply to Calls for Core Partners and Calls for Proposal in all IADP/ITD.

General Annexes (Highlights) 1/3

Not legally binding

Funding Rates - Core Partners

The funding rates in the 1st Call for Proposals stem from

H2020 Innovation Action category (IA): – Not-for-Profit organisations foreseen to be funded at 100% of total eligible cost in

accordance with the H2020 Regulation

– For-Profit Participants (large and small) should be funded 70% of total eligible cost

H2020 Research and Innovation Action category (RIA): – Not-for-Profit organisations foreseen to be funded at 100% of total eligible cost in

accordance with the H2020 Regulation

– For-Profit Participants (large and small) should be funded 100% of total eligible cost

Type of actions

Non profit Organisations

Other type of organisations

RIA 100/25 100/25

IA 100/25 70/25

Funding Rate

Partner actions defined in the Work Plan are labelled either “ Innovation Actions” or “Research and Innovation Action”

Awarded Partners will be reimbursed either 70% or 100% of Total Eligible Costs (incl. a flat rate of 25% for Indirect Costs)

70/25

Funding = 70% x (Direct Costs (1) x 125%+Subcontracting costs)

100/25

Funding = 100% x (Direct Costs (1) x 125%+Subcontracting costs)

General Annexes (Highlights) 3/3

Not legally binding

(1) Direct Costs include direct personnel costs + other direct costs

Total Eligible Costs

Topic funding value

Given in the topic description (but not an eligibility criteria)

Proposed by the topic manager on the basis of the work to be done

An indication for the elaboration of the funding value of the proposal

Efficient application of resources for the expected outcomes & impacts

One of the sub-criteria of the “Implementation” criteria

This will be used for assessing the proposals against each others

The proposed funding value shall be well justified, in conjunction with the expected outcomes and impacts

The topic funding value remains indicative

Indicative Funding Value

Not legally binding

• Part B-I: limited to 70 pages and detailing the main aspects of the proposal to be evaluated (budget, timeline, effort, WBS, Risks) according to the evaluation criteria (excellence, impact, evaluation)

• Part B-II: giving details about the applicant entity and any participant in the work * (legal entity, CV, core-competencies and background) and any related Ethics & Security aspects

Proposal Template

Not legally binding * Either Consortium, Clusters, single entity and any Third parties involved in the project

The applicants will submit a proposal, using a template (IA or RIA) composed of several parts, of which 2 constitute the technical proposal:

Applicants shall submit one proposal per Topic, in case of multi-applications.

The proposal template is structured to address all the sub-criteria composing each of the 3 evaluation criteria and they will be used during the evaluation to set up the scoring and the ranking.

Excellence (/5)

• Objectives

• Relation to the Work Plan

• Concept and approach

• Ambition

Proposal Template: Part BI

Not legally binding

Impact (/5)

• Expected Impact • Measures to maximise impact Dissemination and exploitation of results Communication activities

Implementation (/5)

• Description of work — Work packages, deliverables and milestones • Management capabilities • Management structure and procedures • Risk management • Efficiency and internal coordination of the Consortium/ Clusters as a

whole (where applicable) • Allocation of resources to be committed and best value for money

Proposal Template: Part BI

Not legally binding

Proposal Template: Part BI - Work Package Effort

WP Leader WP Ref. n° WP TITLE e.g. SYSTEMS ITD

Duration of the activity from: to:

NAME OF APPLICANTS

(Short name)Applicant 1 Applicant 2 Applicant 3 Applicant 4 Applicant 5 Applicant 6 Applicant 7 Applicant 8 Applicant 9 Applicant 10

2015 2016 2017 2018 2019 2020 & after Total

1 100 0%

2 50 0%

... 45 0%

TOTAL 195

Applicant

1

2

...

Applicant

1

2

...

TOTAL

SUMMARY OF PLANNED DIRECT COSTS

ITD / IADP / TA name

150,000

SUBCONTRACTING COSTS PLANNED

(Euros)

TOTAL ELIGIBLE COSTS 683,750

OTHER DIRECT COSTS 85,000

SUBCONTRACTING 15,000

TOTAL DIRECT COSTS 550,000

FLAT RATE FOR INDIRECT COSTS

(25% flat rate)133,750

PLANNED COSTS

PERSONNEL COSTS

WORK PACKAGE EFFORT - CLEAN SKY 2

40,000 25,000 20,000 85,000

15,000

OTHER DIRECT COSTS

0 0 0 0

TRAVELSDEPRECIATION OF

EQUIPMENTOTHER GOODS AND SERVICES

OTHER DIRECT COSTS PLANNED

(Euros)

e.g. On ground test

450,000

25,000 10,000 15,000 50,000

15,000 15,000 5,000 35,000

15,000

0

TOTAL

450,000

SUBCONTRACTING / 3RD PARTY

xxx

xxx 0

Description of services

STAFF RESOURCES / PERSONNEL COSTS

150,000

150,000

Applicant

TOTAL PM

PLANNED

(Person Month)

Planned Progress per Year (%)PERSONNEL COSTS

PLANNED (Euros)

Overview of the Evaluation Process

Receipt of proposals

Individual evaluation

Consensus group

Panel Review Finalisation

Evaluators

Individual Evaluation

Reports

Done remotely for

this call: good

experience and to be

cont’d

Consensus Report

Done in BXL as

CS2 Policy

Panel report

Evaluation Summary Report

Panel ranked list

Eligibility check

Allocation of proposals to evaluators

JU Ranked list to GB for adoption

Finalization of Call

Results

Eligibility and other conditions

H2020 rules for participation apply - specificities of Clean Sky 2: • Minimum conditions for participation: single entities may apply as Partner, so

called “mono-beneficiary” derogation already in force in Clean Sky • Additional conditions set out in the Work Plan Eligibility criteria and additional conditions are laid down in the General Annexes

of the Work Plan ( Section Calls for Proposal)

Check these rules before submitting a proposal

Eligibility and other conditions

Who may apply? • single entities (SMEs, large industries, RO, Academia etc.) • Consortia of legal entities • Clusters (applying as single legal entity – if with a valid PIC - or via the linked

third parties option) Third Countries participation subject to H2020 rules, JU funding only when: • evaluated as “essential” for the action or • existing bilateral agreement between the EU and the third country • envisaged in the Work Plan

Additional conditions

1. Admissibility rules: • CSJU Leaders and affiliates: eligible to apply only in CfP in another ITD/IADP

(like in CS). Status of affiliates to be declared when applying + declaration on non conflict of interest

• Core Partners (after selection and Membership approval by CSJU) not allowed to apply as Partners within the same ITD/IADP, non conflict of interest declaration to be submitted when applying

2. Draft plan of dissemination and exploitation showing contribution to European competitivess of the sector

For all beneficiaries and activities in the grant

Defined in the Work Plan

Maximum

reimbursem

ent rates

Research and

technological

development

activities (*)

Demonstratio

n activities Other

activities

Network of

excellence 50%

75% (**) 100%

Collaborativ

e

project(****)

50%

75% (**) 50% 100%

Coordinatio

n and

support

action

100%

(***)

(*) Research and technological development includes scientific

coordination. (**) For beneficiaries that are non-profit public bodies, secondary and

higher education establishments, research organisations and SMEs (***) The reimbursement of indirect eligible costs, in the case of

coordination and support actions, may reach a maximum 7% of the direct

eligible costs, excluding the direct eligible costs for subcontracting and the

costs of resources made available by third parties which are not used on

the premises of the beneficiary. (****) Including research for the benefit of specific groups (in particular

SMEs)

One project = One rate

Up to 100 % of the eligible costs for research actions (RIA)

Up to 70 % for innovation actions (IA) exception for non-profit organisations – up to 100%

Funding rates

Disclaimer: Information not legally binding

Other novelties from H2020

Audit Certificates:

Simplification, only for final payments/per beneficiary and only when funding related

to direct costs ≥ €325 000 €

Guarantee Fund:

5% retained from JU grant value, deducted from the prefinancing payment.

New in Clean Sky to better protect the action from financial risks associated to

the implementation of the action

Financial Viability*:

Simplification, only coordinators of actions (projects) ≥ 500k€ in funding

Other beneficiaries in case of grounds on their financial capacity subject to

JU discretion. Documents to be sent to REA

* Except public bodies and other exceptions

CS vs CS2 main differences in CfP process

• Topic value not anymore an eligibility criterion, only “indicative,” however value and efficiency of costs resources allocated in the proposal will be duly evaluated

• Only external independent evaluators

• ethical aspects of the proposal, complete the self assessment and “tag” any aspect which may require attention

• Combination of H2020 – EU Structural Funds encouraged but avoidance of double funding of same cost item and co-financing to be met

CS vs CS2 main differences in CfP

• The role of the ITD/IADP Topic Manager indicated in the Work Plan, rules for submissions and model Grant Agreement for Partners

• No official “negotiation” phase in H2020, from evaluation to “grant preparation”, proposals evaluated as they are and not on their potential

• However “technical sessions” envisaged with Topic Manager and JU based on the CSJU “topic” logic to fit into the ITD/IADP as set in the WP

• Time to grant :

- 5m max for evaluation process +

- 3m max for grant preparation

Target of max 8 months for grant signature, efforts from both

coordinator/beneficiaries and JU side will be crucial to meet this target

Not legally binding

Where to find the rules?

• Work Plan 2014-2015

• General Annexes of the Work Plan:

• B & C: Eligibility, admissibility rules and special conditions

• D: funding rate for type of actions (IA or RIA)

• F: Evaluation: Selection criteria ( operational check) & Evaluation/award criteria, scoring and threshold

• Rules for submissions, selection, evaluation and award (specific to CfPs)

• Model Grant Agreement for Partners (Mono and Multi-beneficiaries)

• Model ITD/IADP Consortium Agreement - for accession of Partners (where applicable)

• Model Implementation Agreement - for bilateral signature between Topic Manager and Partner (where applicable) - to be published

HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT

From submission to grant preparation

A maximum TTG of 8 months

5 months max. 3 months max.

Invitation to grant preparation

Grant signature Call deadline

Proposal Evaluation Grant Agreement Preparation Prefinancing submission

Accession GA

HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT

Business process overview Grant preparation

Sending of the invitation letter and ESR

Sets deadlines for beneficiaries: submission of the first drafts and signature of declarations

The precise moment when the invitations and ESR will be sent to coordinators is configurable at the level of the call, always within the 5 months. All coordinators notified at the same time.

Interaction with coordinator

Sending of the first set of GPFs and technical annex by the coordinator by the given deadline.

Monitoring of the signature of declarations by the beneficiaries in the background.

HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT

Business process overview Grant signature

The coordinator is asked to sign in parallel with other processes, selection decision and budgetary commitment.

The JU will only be invited to sign once all the conditions are met.

The Accession of the other beneficiaries will be automatically monitored by the system, sending reminders when applicable.

HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT

Business process overview

Time to grant: speeding up the process

Legal entities validated (PIC) in parallel. Anticipate any issue,

send all documents for validation to REA and promptly react

to any additional request

No more paper workflow between coordinator and JU

e-communication & e-signature of grants

HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT

Ben

efic

iary

Affiliated entities

Third parties with a legal link

Subcontractors

• Similar to FP7 Special Clause 10

• Must be identified in the GA

• Same cost eligibility criteria than beneficiaries

• NEW: COM or Agency may request them to accept joint and several liability for their EU contribution

• To be listed in Art. 14 (!)

Linked Third Parties

Third Parties carrying out work in the action

Annex 3 a) of the GAP, Declaration of joint & several liability will be requested if:

The beneficiary is weak, AND

The linked third parties account for 50% or more of the JU contribution of the beneficiary

Joint liability of third parties

!

If requested, the beneficiary must submit it to accede to the GAP

HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT

Ben

efic

iary

Affiliated entities

Third parties with a legal link

Subcontractors

• Ensure best value for money and avoid any conflict of interests

• Estimated costs and tasks must be identified in the budget and Annex 1

• NEW: if not identified in Annex 1, Commission may still approve them (beneficiary bears the risk of rejection)

• Article 13 MGA

Linked Third Parties

Third Parties carrying out work in the action

HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT

Ben

efic

iary

Contracts necessary for the implementation

Contributions in kind

• For the purchase of goods, works or services

• Ensure best value for money and avoid any conflict of interests

• Article 10 MGA

• Free of charge or against payment are eligible costs if they meet the eligibility conditions

• Must be set out in Annex 1

• NEW:if not identified in Annex 1, Commission may still approve them (beneficiary bears the risk of rejection)

• Articles 11 & 12 MGA

Third Parties: other

HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT

Grant preparation Description Of The Action (DoA), Annex I

The DoA is structured in the same way as the proposal, comprising Parts A and B

Part A is based mostly on structured information. Part A shall not include contractual obligations (e.g. financial report, interim and final reports, etc.) as project deliverables

Part B (the narrative part): is based on Part B of the proposal and must be uploaded as a PDF

PART B

• Single article: subject of the agreement

Chapter 1: General

• Action, duration and budget

Chapter 2: Action

• Amount, reimbursement rates, eligible costs

Chapter 3: Grant

• To implement the action: resources, in-kind contributions, subcontracts

• Grant administration: reporting, payments, audits

• Background and results: access rights, protection of results, exploitation, dissemination

• Others: gender equality, ethics, confidentiality

Chapter 4: Rights and obligations

• Roles and responsibilities, internal arrangements

Chapter 5: Division of roles

• Rejection, reduction, recovery and penalties

• Suspension and termination of the action

Chapter 6: Rejection, reduction, penalties, termination, etc

• Accession, entry into force, amendments, applicable law

Chapter 7: Final provisions

Disclaimer: Information not legally binding

Annex 1: Description of the action

Annex 2: Estimated budget

Annex 3: Accession Forms, 3a & 3b

Annex 4: Financial statements

Annex 5: Certificate on the financial statements

Annex 6: Certificate on the methodology

H2020 Model Grant Agreement: Annexes to the grant:

Disclaimer: Information not legally binding

Clean Sky 2 GRANT AGREEMENT FOR PARTNERS

GAP Mono or Multi-

beneficiaries

1. List of beneficiaries and linked third parties

2. Duration and start date

3. Reporting periods

4. Reimbursement rates

5. Estimated eligible costs

6. Maximum amount of the grant

7. Prefinancing

8. Guarantee fund retention

9. Bank account

10. Other information: granting authority, if consortium agreement is required, obligation to keep records

11. Applicable options

Adaptations and options specific to CSJU: role of TM

in CfP implementation, Consortium Agreement or

Implementation Agreement, TM assessment of

Partners reports/deliverables to JU, TM/Partner

mutual access rights to background and foreground

Questions ?

41

Any questions on the 1st Call for Proposals

and topics can be addressed to the following mailbox:

Info-Call-CFP-2014-01@cleansky.eu

Last deadline to submit questions: 6th March 2015, COB.

Thank you !

Thank You

42

Disclaimer

The selection of Partners will be based on Horizon 2020 Rules for Participation, the rules for submission of proposals, evaluation and selection of Partners as adopted by the Governing Board of Clean Sky 2 JU and will apply to the calls for Proposals

The content of this presentation is not legally binding . This presentation wishes to provide a preliminary overview of these rules . The proposed content/approach is based on the consultation with the “National States Representative Group” and the “Task Force “ of the

Clean Sky 2 Programme Programme