innovation takes off - clean sky · • at least 30% of cs2 eu funding open to competition via cfp...
TRANSCRIPT
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 : [email protected]
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:
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