Overview of Clean Sky 2 And the first Calls for Partners
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- Jesse Heath
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1 Overview of Clean Sky 2 And the first Calls for Partners Innovation Takes Off
2 Brief Re-Cap on Clean Sky Unique Public-Private-Partnership in Aeronautics Integrated, thematic set-up Downstream approach Large-scale complex demonstrations Open Calls for engaging wide set of participants Projects to run from
3 Good Progress to Date On track towards the key environmental objectives 2000 EXAMPLE: Breakdown of 50% CO 2 reduction targeted
4 Participation is a Clear Success Story Clean Sky Programme by 30 July 2013 ~75% of the Programme ~600 participants 15% SMEs and 27% Academia/ROs 68 UK 94 FR 80 DE 56 ES 68 IT Clean Sky participants per Member State and Associated Country (ITD leaders, Associates and Partners)
5 New Frontiers Beckon 1. Bridging the gap: FP7 & Clean Sky end well before 2020 Further demonstration required to achieve a full TRL6 Further gains needed to reach the ACARE 2020 Goals, 2. Growing competition 3. New and ambitious goals in ACARE SRIA (2035 / 2050)
6 Addressing the H2020 Challenges Smart Green and Integrated Transport Resource efficient transport that respects the environment Ensuring safe and seamless mobility Building industrial leadership in Europe Enhancing and leveraging innovation capability across Europe, with a strong emphasis on SME participation Leveraging private sector initiatives, and (important!) building on MS national and regional efforts
7 Clean Sky 2 Joint Technical Proposal Programme Joint Technical Proposal The European Aeronautical Industry s proposal for the continuation and extension of the Clean Sky Joint Technology Initiative with a Clean Sky 2 Programme under the European Union s Horizon 2020 Framework Programme for Research and Innovation. June 2013
8 Eco-Design Fraunhofer Gesellschaft Small Air Transport Evektor Piaggio Technology Evaluator (TE) German Aerospace Center (DLR) Vehicle IADPs Clean Sky 2 Programme Set-up Fast Rotorcraft Agusta Westland Eurocopter EU Funding Decision 1.755bn (1.716bn net )* * After running costs Large Passenger Aircraft Airbus Regional Aircraft Alenia Aermacchi Airframe ITD Dassault EADS-CASA Saab Large Systems ITDs Engines ITD Safran Rolls-Royce MTU Systems ITD Thales Liebherr Building on Clean Sky, going further into integration at full aircraft level And developing new technology streams for the next generations of aircraft
9 Energy Efficiency & Environment Environment Economy Society
10 Enabling Seamless Mobility within increasingly Constrained Infrastructure
11 Building industrial leadership in Europe
12 The Principles for Participation Up to 40% of EU funding available for CS2 Leaders At least 60% of EU funding open to competition: Up to 30% for Core Partners (becoming Members once selected) At least 30% for CfP (i.e. Partners as in CS) plus CfTs Meaning >1bn of EU funding in play, via open Calls Industry, SMEs, Academia, and Research Organizations eligible both for participation as Core Partners or Partners. Participation may also take place via suitable Clusters / Consortia.
13 Call for Proposals Practical Information for applicants as Partners Innovation Takes Off
14 CS2 Calls - Tentative Planning 2014 Q2 Q3 Q4 Q1 Q Q Q4 Q1 Q2 Q3 Core-Partner selection 1 st WAVE 2 nd WAVE 1 st Call for Partners 2 nd Call I 9 th Jul C 5 th Nov E Feb N July GAM accession 3 rd WAVE I C Partner selection 16 th 31 st Dec March June Nov GAP signature C April Jul E C N C E Nov E N March GAM accession N 3 rd Call C E N I Info Campaign C Call Open E Evaluation N Negotiation
15 1 st call for proposal at a glance Call Launch 16 th December 2014 Call Closure 31 st March 2015 Evaluations end of May Q&A opened until 10 th 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 @cleansky.eu Find out more: ec.europa.eu/research/participants/portal4/desktop/en/opportuniti es/h2020/calls/h2020-cs2-cfp html#tab1
16 1 st Call for Proposals (Partners) - Overview Area No. of topics Funding (M ) IADP Large Passenger Aircraft IADP Regional Aircraft IADP Fast Rotorcraft 8 4,4 ITD Airframe ITD Engines ITD Systems Small Air Transport (SAT) Transverse Area 0 0 ECO Tranverse Area 0 0 Technology Evaluator 0 0 TOTAL At least 30% of CS2 EU Funding open to competition via CfP / CfT, CfP expected over the H2020 Funding period ( ) 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
17 Partners: Definition and Role 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
18 Partner Topic Description The Topic descriptions: Part of the Work Plan 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
19 Partner Topic Description (example)
20 Where to find Topic Descriptions
21 List of Topics (1/2)
22 List of Topics (2/2)
23 Who can apply General Annexes (Highlights) 1/3 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.
24 Funding Rates - Core Partners The funding rates in the 1 st 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
25 General Annexes (Highlights) 3/3 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) Total Eligible Costs (1) Direct Costs include direct personnel costs + other direct costs
26 Indicative Funding Value 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
27 Proposal Template The applicants will submit a proposal, using a template (IA or RIA) composed of several parts, of which 2 constitute the technical proposal: 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, corecompetencies and background) and any related Ethics & Security aspects * Either Consortium, Clusters, single entity and any Third parties involved in the project
28 Applicants shall submit one proposal per Topic, in case of multiapplications. 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
29 Proposal Template: Part BI 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
30 Proposal Template: Part BI - Work Package Effort WORK PACKAGE EFFORT - CLEAN SKY 2 WP Leader WP Ref. n WP TITLE ITD / IADP / TA name 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 STAFF RESOURCES / PERSONNEL COSTS TOTAL PM Planned Progress per Year (%) Applicant PLANNED (Person Month) & after Total % % % TOTAL 195 PERSONNEL COSTS PLANNED (Euros) 150, , , ,000 Applicant SUBCONTRACTING / 3RD PARTY Description of services SUBCONTRACTING COSTS PLANNED (Euros) e.g. On ground test 15,000 xxx 0 xxx 0 TOTAL 15,000 Applicant TOTAL TRAVELS DEPRECIATION OF EQUIPMENT OTHER DIRECT COSTS OTHER GOODS AND SERVICES OTHER DIRECT COSTS PLANNED (Euros) 25,000 10,000 15,000 50,000 15,000 15,000 5,000 35, ,000 25,000 20,000 85,000 SUMMARY OF PLANNED DIRECT COSTS PLANNED COSTS PERSONNEL COSTS 450,000 SUBCONTRACTING 15,000 OTHER DIRECT COSTS 85,000 TOTAL DIRECT COSTS 550,000 FLAT RATE FOR INDIRECT COSTS (25% flat rate) 133,750 TOTAL ELIGIBLE COSTS 683,750
31 Overview of the Evaluation Process Evaluators Receipt of proposals Individual evaluation Consensus group Panel Review Finalisation Eligibility check Allocation of proposals to 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 JU Ranked list to GB for adoption Finalization of Call Results
32 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
33 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
34 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
35 Funding rates Maximum reimbursem ent rates Network of excellence Collaborativ e project(****) Coordinatio n and support action Research and technological development activities (*) 50% 75% (**) 50% 75% (**) Demonstratio n activities Other activities 100% 50% 100% 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 For all beneficiaries and activities in the grant Defined in the Work Plan 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% Disclaimer: Information not legally binding
36 Other novelties from H2020 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 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 Audit Certificates: Simplification, only for final payments/per beneficiary and only when funding related to direct costs * Except public bodies and other exceptions
37 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
38 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
39 Where to find the rules? Work Plan 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
40 From submission to grant preparation A maximum TTG of 8 months Call deadline Invitation to grant preparation Grant signature submission Proposal Evaluation Grant Agreement Preparation Prefinancing 5 months max. 3 months max. Accession GA HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT
41 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
42 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
43 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
44 Beneficiary Third Parties carrying out work in the action Linked Third Parties 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 (!) HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT
45 Joint liability of third parties 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! If requested, the beneficiary must submit it to accede to the GAP
46 Beneficiary Third Parties carrying out work in the action Linked Third Parties 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 HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT
47 Beneficiary Third Parties: other For the purchase of goods, works or services Contracts necessary for the implementation Contributions in kind 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 HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT
48 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 HORIZON 2020: SMART, GREEN AND INTEGRATED TRANSPORT
49 Chapter 1: General Single article: subject of the agreement Chapter 2: Action Action, duration and budget Chapter 3: Grant Amount, reimbursement rates, eligible costs Chapter 4: Rights and obligations 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 5: Division of roles Roles and responsibilities, internal arrangements Chapter 6: Rejection, reduction, penalties, termination, etc Rejection, reduction, recovery and penalties Suspension and termination of the action Chapter 7: Final provisions Accession, entry into force, amendments, applicable law Disclaimer: Information not legally binding
50 H2020 Model Grant Agreement: Annexes to the grant: Annex 1: Annex 2: Annex 3: Description of the action Estimated budget Accession Forms, 3a & 3b Annex 4: Annex 5: Annex 6: Financial statements Certificate on the financial statements Certificate on the methodology Disclaimer: Information not legally binding
51 1. List of beneficiaries and linked third parties Clean Sky 2 GRANT AGREEMENT FOR PARTNERS 2. Duration and start date 3. Reporting periods 4. Reimbursement rates 5. Estimated eligible costs GAP Mono or Multibeneficiaries 6. Maximum amount of the grant 7. Prefinancing 8. Guarantee fund retention 9. Bank account 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 10. Other information: granting authority, if consortium agreement is required, obligation to keep records 11. Applicable options
52 Questions? Any questions on the 1 st Call for Proposals and topics can be addressed to the following mailbox: Info-Call-CFP @cleansky.eu
53 Thank You 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
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