Pathfinder Grant Application Guidelines For Partners

September 2016 Intake

Climate-KIC European HQ | August 19, 2016

Version 1.0

climate-kic.org

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Purpose of this document Our 2016 Pathfinder Grant Application Guidelines support partners in making their applications to our open Pathfinder calls that occur throughout the year.

In 2016, Climate-KIC is running three calls specifically for Pathfinder projects:

February 2016 May 2016 September 2016 For support in interpreting this document, please contact your local Climate-KIC Lead (cf page 7).

Summary of Changes for September 2016 There have been a number of changes to the Pathfinder Grant Application Form and Guidelines for September 2016.

Description of Change Rationale

Declarations of Interest Transparency on proper processes around disclosure, decision and risk management in relation to a fair and open call for funding.

Declaring any projects with shared outputs/ resources (not KCAs- these are different). Duplicate funding.

This enables us to identify any instances where EU funding is being combined to support a project. Any instances where outputs or resources are shared should be defined.

Project Requirements Section added that outlines the expectations in terms of reporting and updates back to Climate-KIC on the project. Added from learnings and general feedback from partners that this would be good to have clearly outlined up front.

Guidance on Resubmission Clarifying that proposals should not be resubmitted unless invited to do so by the Theme & Geography. Partners are advised to liaise with their local Climate-KIC lead.

Outputs/ Deliverables/ KPIs In line with 2017 requirements and identifying the delivery partner as required by the funder (EIT).

Cost to be attached to delivery of each work package and each deliverable in line with 2017 requirements. Deliverables are also attached to a partner.

Reflects multi-year nature of the projects (i.e. 2016 and 2017)

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Climate Accounting Pathfinder Grant Application Form has been amended to streamline the answers to the questions.

Cost Categories Amended to reflect 2017 reporting to the funder (EIT).

Confidentiality Clause Updated in line with demonstrator guidance to be more specific on levels of confidentality.

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Contents Purpose of this document .............................................................................................................................. 1

Summary of Changes for September 2016 .............................................................................................. 1

1.0 Introduction ......................................................................................................................................... 5

1.1 Guidance on Completing your application .......................................................................................... 5

1.2 Key Dates ..................................................................................................................................................... 5

1.3 Information Requested ............................................................................................................................ 6

1.3 Review Criteria ................................................................................................................................................ 6

1.4 Managing Conflict of Interest ..................................................................................................................... 7

1.5 Climate-KIC Contact List .............................................................................................................................. 7

2.0 Application ........................................................................................................................................... 8

2.1 Eligibility 8

2.2 Avoiding Duplicate Funding......................................................................................................................... 8

2.3 Guidance on Resubmissions ....................................................................................................................... 8

2.4 Project Duration .............................................................................................................................................. 8

2.5 Consortia Guidelines...................................................................................................................................... 9

2.6 Distribution of Funds .................................................................................................................................... 9

2.7 Cost categories ............................................................................................................................................. 10

2.8 Outputs, Deliverables and KPIs ................................................................................................................ 11

2.9 Climate-KIC Project Requirements ......................................................................................................... 12

2.10 Submitting your Application ................................................................................................................... 13

2.11 Decision ........................................................................................................................................................ 13

3.0 Introduction to Pathfinder ............................................................................................................. 14

3.1 The new Innovation Pipeline..................................................................................................................... 14

3.2 Pathfinders in the new Framework ........................................................................................................ 14

4.0 Climate-KIC Themes ........................................................................................................................ 14

Decision Metrics and Finance Theme............................................................................................................ 15

Sustainable Land Use Theme .......................................................................................................................... 15

Sustainable Production Systems Theme ..................................................................................................... 15

Urban Transitions Theme ................................................................................................................................. 15

Annex I Review Criteria ........................................................................................................................... 16

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Annex II Suggested Deliverable Formats ............................................................................................. 10

Annex III -*NEW for 2017* – EIT Core KPI definitions and Proof requirements ............................ 12

Annex IV – Thematic Priorities .............................................................................................................. 16

Abbreviations

C-KIC Climate KIC DMF Decision Metrics and Finance EIT European Institute of Innovation & Technology KAVA KIC added value activities KCA KIC Complementary Activities KIC Knowledge and Innovation Communities KPI Key Performance Indicator LE Legal Entity PF Pathfinder SLU Sustainable Land Use SPS Sustainable Production Systems Theme One of Climate-KIC's 4 thematic areas (Sustainable Production Systems, Urban

Transitions, Sustainable Land Use, Decision metrics and Finance) UT Urban Transitions

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1.0 Introduction This document is designed to cover our Pathfinder grant applications, including eligibility and application procedures.

Climate-KIC reserves the right to amend this guideline at any time. The guideline in effect at any time will be those contained in the most recent version of this guide which can be found on our website [http://www.climate-kic.org/news/eit-climate-kic-invites-partners-to-submit-their-innovation-proposals-september-2016/].

This document should be used for applications for pathfinder grants only.

If you have a general query, or require advice on applying for a grant through Climate-KIC, please speak to your local Climate- KIC lead (cf page 7).

1.1 Guidance on Completing your application You can apply for the Pathfinder grant by submitting the Pathfinder Grant Application Form (in both .pdf and .docx/.doc format). Please note that this requires two documents to be submitted, one in word, and one in .PDF format. Please note: The maximum length of the proposal is 12 pages. Any proposals exceeding this limit will be assessed on the content of the first 12 pages only.

All application documents should be written in English. Exceptions can be made for supporting documents, such as Letter of Intent, which could be written in one of the official languages spoken in the country the application is submitted. In order to be assessed by all reviewers, you may choose to provide a short summary in English. Climate-KIC reserves the right to request for a translation at any times.

Applications can be submitted at any time from the launch of the call to the closing date. The closing date for the September 2016 call is September 30 23:59:59 local time. For further information on the submission process please see section 2.10.

1.2 Key Dates August 19 Launch of the call September 30 Application deadline (23:59:59 local time) October 3 Issue Letter of Acknowledgement November 7 Issue Decision Letter (on or before) November 17 Issue Award Letter (on or before)

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1.3 Information Requested Climate-KIC has a responsibility to ensure that any public funding it provides is used for its approved purposes and that, when an organisation receives funding, it is used appropriately.

The information that is requested (and listed below) is required to verify that projects are set up and planned effectively by the organisation(s) receiving funding.

• Project essentials • Project Summary • Confirmation of Participation • Proposal and Project Implementation Plan • Potential Climate Impact • Consortium Information • Cost Category Distribution • Costs per Partner • Outputs, Deliverables and KPIs

Please ensure that you provide all the information requested in the Pathfinder Grant Application Form. Without the availability of the relevant information, the application for funding will not be progressed.

Each year, Climate-KIC must report to our funding body (EIT). The details provided will be used for grant management purposes enable us, the EIT, and our external auditors to track, monitor and audit grant applications made and issued. The confidentiality agreement is as set out in the Pathfinder Grant Application Form.

1.3 Review Criteria Each year, Climate-KIC invests in grants and funding throughout Europe to drive climate innovation, this has an impact on the climate, economy, and innovation landscape of Europe. It is crucial that Climate-KIC demonstrates the value and impact of the work it funds to prove value for public funding. In this context, there is a greater need to demonstrate the impact of all of our projects. To enable this to happen, proponents need to be actively engaged and conscious of the impact of their work and/ or project and its wider impacts from inception to completion – and beyond if we are to capture and demonstrate the longer-term impact of activities. At the Pathfinder application stage we do not expect that all impacts will be obvious or known to the consortia, Climate-KIC, or an external reviewer. However, proponents need to consider these key factors when submitting an application:

• Demand • Innovation Potential • Quality of Plan

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• Strategic Fit • Value for Money • Climate Relevance • Outputs

An explanation of what we mean by those is given in Annex I Review Criteria

1.4 Managing Conflict of Interest Conflicts of interest should be declared by Climate-KIC workers involved in pathfinder decisions. Interests declared will be scrutinised by non-conflicted Climate-KIC staff and drawn to the attention of members of panels or boards making the decision on funding (such members themselves should also not be subject to a conflict). Conditions relating to how conflicts should be managed may be attached to awards. Climate-KIC terms and conditions include a requirement for organisations to have effective processes in place to manage conflicts of interest. If new conflicts arise once an award has been made these should be declared and managed using the organisation’s and Climate-KIC’s established processes.

1.5 Climate-KIC Contact List If you have a general query, or require advice on applying for a grant through Climate-KIC, please speak to your local Climate-KIC lead as listed below

Climate-KIC office Local Climate-KIC leads Mail

Hungary Harald Rauter harald.rauter@climate-kic.org

Switzerland Netherlands Eelco van Ijken eelco.vanijken@climate-kic.org

France Benoist Vercherin benoist.vercherin@climate-kic.org Italy Arianna Cecchi arianna.cecchi@climate-kic.org

Spain Ignacio Chanzá ignacio.chanza@climate-kic.org Nordics Peter Normann Vangsbo peter@climate-kic-nordic.org

Germany Sarah Teller-Tokarska sarah.teller@climate-kic.org Poland Alicja Zyznarska alicja.zyznarska@climate-kic.org

UK Jason Louis-Gouveia jason.louisgouveia@climate-kic.org

Decision Metrics and

Finance (DMF) Rachael Holmes

rachael.holmes@climate-kic.org Sustainable

Land Use (SLU) Catherine Laurent-Polz catherine.laurent-polz@climate-kic.org

Sustainable Production

Systems (SPS) Istvan Pocs

istvan.pocs@climate-kic.org

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Urban Transitions (UT) Verena Stecher verena.stecher@climate-kic.org

2.0 Application

2.1 Eligibility Pathfinder calls are only open to Climate-KIC partners. Non-Climate-KIC partners interested in joining the consortium of a Pathfinder project may be included but their participation will need to be validated with your local Climate-KIC lead before submission, and are not eligible to receive Climate-KIC funding directly, unless subcontracted by an existing Climate-KIC partner (see AGA – Annotated Model Grant Agreement1)

2.2 Avoiding Duplicate Funding If applicants are knowingly involved in any EU funded project (of a similar nature to your proposal) that is currently underway or pending approval, then details should be provided. Especially in instances of involving shared resources or shared outputs. e.g. same person working, similar outputs, using same equipment etc.) For further guidance, please contact your local Climate-KIC Lead. Resources requested should be described in sufficient detail for the reviewers to identify what is required for different aspects of the work. If costs are not sufficiently clear and well justified the board may cut costs before awarding the grant, or award a lesser amount.

2.3 Guidance on Resubmissions Resubmissions will only be considered where they have been invited by the theme, and if the proposal is substantially different in terms of objectives, and/ or work to be carried out. In which case, it is best to consult with Climate-KIC staff. In the case of resubmission, the resubmitted proposal must acknowledge the initial submission, detailing modifications which merit re-consideration. All proposals are checked in a review administration process to identify uninvited resubmissions.

2.4 Project Duration The duration of a Pathfinder project should not be more than 6 months. Projects may run into the following year, however, they are obliged to report (both financial and performance) on an annual basis. The implication therefore is that any project running over two calendar years will be expected to report in year 1 on year 1 activities, and on year 2 on year 2 and project finalisation activities.

1 http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/amga/h2020-amga_en.pdf

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2.5 Consortia Guidelines In all cases, at least one Climate-KIC Partner must be on the application. E.g. Pathfinder applications of <€25k could consist of 1 C-KIC Partner only. The Lead Partner must be a Climate-KIC partner.

There are no restrictions or upwards limit on the number of Climate-KIC partners named on a grant application, however all named beneficiaries must be actively engaged in the proposed project and the input of each partner must be clearly defined.

Consortia can consist of C-KIC partners from different geographies, but the consortium as a whole should only apply to a single Climate-KIC Office (see page 7). Multiple simultaneous applications will be disqualified.

Organisations in the process of applying for official Climate-KIC partner status can apply in this call, but they will be eligible for EIT funding only once they have officially become Partner. Please be aware that costs can only be reimbursed once the partnership has been formally accepted by EIT. Only costs incurred after the formal partner entry date are reimbursable. Any award letter can only be issued once the partner has been confirmed by the EIT, and will be dated accordingly on, or after the date of the confirmation of partner status. A decision letter can be issued conditional to the organisation receiving partner status.

Non-KIC partners are not restricted from joining a consortium, yet they cannot receive EIT funding, and therefore cannot be the lead proponent.

Climate-KIC Legal Entities (LE), even if supporting innovation management in our usual capacity, should not be listed in the project consortium. Any proposal with a Climate-KIC Legal Entity presented as a partner will not be progressed.

2.6 Distribution of Funds Most Pathfinder grants can expect to receive a contribution from EIT in the range of €15k-€30k.

Up to a maximum of €50k is available for the most complex innovation opportunities, for example systemic innovations across value chains, or where multiple stakeholders must participate in the Pathfinder consortium. In all cases, value for money will be assessed as part of the selection criteria, so please ensure the requested grant justifies the complexity or potential of the innovation.

For projects where work involves more than one Climate-KIC partner, funds will be awarded directly to each Climate-KIC partner in respect to the request outlined in the proposal, subject to adjustments at the discretion of the board. Funds are not awarded directly from Climate-KIC to a non-partner institution. This is agreed in one Award Letter addressed to the project lead.

Partners can sub-contract for grant applications. Specific rules however apply as defined in AGA – Annotated Model Grant Agreement, for subcontracting. Local Climate-KIC leads will guide you accordingly, and partners are advised to consult these guidelines and associated thresholds when preparing their proposals.

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Three terms are essential for the understandings of project funding rules are: i) EIT-Funding, ii) Co-Funding, iii) KIC Complementary Activities (KCA):

i) EIT Funding: This constitutes the portion of the grant that is requested from Climate-KIC in order to carry out the activities identified in the proposal (EIT Grant).

ii) Co-Funding: This is funding from other sources than EIT, like KIC Legal Entities/Partners own resources. This can only come from approved Climate-KIC partners or linked third parties. Other EU (non-EIT) funding sources may not serve as co-funding. Co-funding can be a financial contribution or an in-kind contribution (e.g. use of premises). From 2017, Climate-KIC will be setting a programmatic minimum for co-funding expectations. But because Climate-KIC has a range of partners that include SMEs, it is therefore more appropriate for the community of partners to help meet the overall requirements, rather than set a flat % rate per partner.

iii) KIC Complementary Activities (KCA) are complementary activities that are not financed by EIT. They have a clear and described link to Climate-KIC activities. Note, if complementary activities are funded with other EU (non EIT) funding, then these can be included here. The costs of KIC complementary activities shall be:

i. proportionate to the cost of KIC added value activities and/or to the expected impact in furthering the mission of EIT and Climate-KIC (i.e. the relative weight of KIC complementary activities within KIC activities must be suitable and reasonable to achieve the objectives of the activity)

ii. identifiable and verifiable.

The availability and ratio of co-funding will influence the decision making.

2.7 Cost categories In order to comply with AGA – Annotated Model Grant Agreement, strict rules apply to the five cost categories. Brief explanations are provided below but more detail can be made available if required. Direct Personnel: Costs for employees or natural persons working under a direct contract. All staff costs should be supported by contract, payroll records and authorised timesheets. Include an estimate of the overall FTE – i.e. persons that will be active on the task.

Travel and subsistence: Travel and associated subsistence costs relating to the delivery of the project.

Depreciation: (Equipment) relates to all equipment purchased for the implementation of the project. If 100% of costs are reported, the project partner will be required to prove it is used solely for implementation of the project. If used for other activities, the cost must be apportioned appropriately. Additionally, equipment must be reported in line with the partner’s usual accounting practices (fixed asset policy). If a partner has a fixed asset policy that allows it to expense the entire cost of the equipment in the year of acquisition, then the full amount can be reported and claimed in 2017. If the policy is that the partner capitalised equipment, i.e. recognises the cost of the equipment over its useful life, then the partner will only be able to report and claim the portion of the cost that relates to

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2017. For example, assuming a partner purchases a computer with a useful life of 3 years for €300 on 1st January and is required to capitalise this in accordance with its fixed asset policy, then it can report and claim €100 in 2017 for the computer. In 2018 it will be able to claim an additional €100, and 2019 the remaining €100. (If the partner is not involved in delivering the project in 2018 and 2019 then they would be unable to claim these costs, presumably equipment then being used other activity).

Sub-Contracting: Third parties engaged to carry out work key to the implementation of the project, who work independently from the partner, although still under their supervision. Where subcontracting is likely to happen, it must be anticipated and actions of the subcontractor described in the cost explanation. Subcontractors must be procured with respect to the best value for money principle, and avoiding any conflicts of interest. A fully signed contract must be in place between the subcontractor and the partner.

Financial Support to 3rd parties: Third parties in receipt of grant from partner, where no specific service or goods expected in return. Will include any grants made in the accelerator programme, tuition fees, research and mobility payments made to students, and any travel paid for non-staff (excludes travel incurred by subcontractors which would be paid for as part of their subcontract). Financial support may not exceed €60,000 for each third party. Financial Support to 3rd Parties must be described in the cost explanation, including the selection, criteria for calculating the amounts, and categories of person or beneficiaries who may receive support.

• Prizes: Prizes is part of financial support to 3rd parties. They can be awarded to beneficiaries in accordance with conditions that must include the conditions for participation, award criteria, amount of the prize and payment arrangements. If prizes are to be awarded, then they must be described in the explanation for financial support to third parties.

Other Goods and services: Costs of other goods and services (not subcontracts) relating to the delivery of the project, such as consumables, room hire, printing etc.

Indirect costs: at 25% of total eligible direct costs (excludes Sub Contracting and Financial Support to 3rd parties). Note this cell is auto-calculated.

2.8 Outputs, Deliverables and KPIs Outputs, Deliverables and Key Performance Indicators (KPIs) are how Climate-KIC measures its overall performance. Outputs: Outputs are strategic activities or products/services that you think are critically important to achieving success within each identified year of the project. Outputs are the project’s main results that should be substantiated with documentary evidence. Your deliverable (documentary proof of evidence) should ideally relate to an output (you may have one or more deliverables per project outcome. Deliverables: A deliverable is a physical/tangible document (actual proof of evidence) you typically supply to substantiate your outputs. You may have two or three documents that underpin one significant output. In Annex II , you will find suggested formats for deliverables.

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KPIs: There are two types of KPIs, namely EIT Core KPIs and Climate-KIC Specific KPIs. Climate-KIC is assessed on its total KPI results as part of the reporting exercise to EIT and all projects are required to contribute to ensure success. Pathfinders should review the list of KPIs, identify those they can contribute to and indicate targets. For a KPI to be accepted, evidence must comply with the definitions outlined in Annex III -*NEW for 2017* – EIT Core KPI definitions and Proof requirements. Climate-KIC specific KPIs for 2017 are currently awaiting management sign-off and will be discussed and targets agreed with successful Pathfinder projects.

2.9 Climate-KIC Project Requirements Climate-KIC has a set of general requirements for all projects. As a responsible grant provider, Climate-KIC must ensure it has full records of project evidence to ensure we can meet any future audits requirements, and also report annually to EIT. We aim to keep the reporting burden to a minimum, whilst still meeting our funder needs.

Please note: Failing to satisfy the requirements identified in this section may lead to a decision from EIT or Climate-KIC to withhold all, or part of the project funding.

Set-up packages and Task Confirmations Each Climate-KIC project is required to complete a set-up package and Task Confirmations which describes the work plan, outputs, deliverables, KPIs, budget. This is needed for grant management and reporting purpose. Kick-off and Closure Meeting Each Pathfinder starts with a kick-off meeting and concludes with a closure meeting of project stakeholders and Climate-KIC representatives.

Progress Updates Your local Climate-KIC lead will require a quarterly update on progress in terms of spend, performance and progress against Outputs, Deliverables and KPIs.

Costs Pathfinders must comply with costs requirements (see section 2.7 above) to ensure full recovery. Non-compliance could result in disallowances.

Final Report Each Pathfinder will be required to submit a short Final Report which captures knowledge developed by the project and includes details of whether or not the Pathfinder has identified an innovation opportunity. A template will be provided and this Final Report will be part of the formal evidence submitted to EIT.

Summary report Where a Pathfinder spans two years, a short summary of the project will be required to be submitted in January 2017. A template will be provided and will be part of the formal evidence submitted to EIT.

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Project proof of evidence (deliverables) As mentioned in section 2.8, Pathfinders will be expected to provide deliverable documentation (proof of evidence). It is this project generated evidence that Climate-KIC will collect from Pathfinders for its own records as proof of delivery for the grant. These proofs of evidence may also be used as supplementary evidence for reporting to EIT on our funding.

2.10 Submitting your Application Applications can be submitted at any time from the launch of the call to the closing date. The closing date for the September 2016 call is September 30 23:59:59 local time. We recommend you to liaise with your local Climate-KIC lead or any of the Theme members prior to submitting an application. They can support you and guide you through the process. All applications must be submitted to the respective local Climate-KIC lead (see page 7) as well as to applications@climate-kic.org. Please submit your proposal both in pdf and Word format. Please note: No extensions will be granted under any circumstances.

2.11 Decision Climate-KIC will inform the lead proponent of the outcome of the application by Monday 7th November, unless any delay is communicated on or before the conclusion of this four-week period. It is the responsibility of the lead proponent to cascade information to the rest of the project consortia regardless of the outcome. Should the application be successful, the lead proponent is responsible for adhering to any timelines or deadlines, or communicating and agreeing any delays.

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3.0 Introduction to Pathfinder In 2016 Climate-KIC is introducing a new Innovation pipeline managed in the context of each of the four themes (and in some cases cross-theme). All Climate-KIC activities are required to address Theme Priorities and to explore and develop synergies with existing activities.

3.1 The new Innovation Pipeline Short introduction of the new Innovation Pipeline:

3.2 Pathfinders in the new Framework In 2016, Pathfinder applications contribute to the Ideator programme. The Ideator programme aims to generate ideas, or more precisely innovation opportunities, that can be subsequently exploited to produce innovations. This will be achieved through empowering the Climate-KIC community of partners and attracting potential entrepreneurs, professionals and students to develop and refine their ideas addressing thematic priorities identified in the Theme Strategies (see Annex I pp. 8-24). For 2016 calls, Pathfinder projects are in continuity with the 2015 Innovation Pillar activities. Through Pathfinders, Climate-KIC partners can build consortia and work together in a structured way to identify Innovation Opportunities. We however intend to have quicker and smaller ideation activities with our Partners. Pathfinder projects should be shorter (ideally less than 6 months) and smaller (between 10 and 50k€, with a nominal range 15-30k€). The number of partners involved need to be optimized and one-country consortia will be allowed for point innovation ideas.

Pathfinder projects having an initial robust business model will be able to directly enter the Accelerator at stage 2 (business model validation) in order to accelerate the idea maturation.

4.0 Climate-KIC Themes

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Climate-KIC operates through four themes, listed below. These themes were defined using IPCC logic.

Decision Metrics and Finance Theme Decision-makers, investors and high-carbon consumers must acquire the confidence and commitment to climate action, unlocking finance and driving the climate relevant economy. The mission of the DMF Theme is to build integrated competences, models, tools and mechanisms to provide the evidence informing systemic decision-making and realise the full potential of stakeholders to act against emissions and increase resilience.

Sustainable Land Use Theme This theme aims to develop innovative tools and measures that enhance land use functions and their associated value chains in order to address climate mitigation and adaptation issues. It focuses on agriculture and food value chains, on forestry and bio-economy value chains, on integrated territorial approaches. It ambitions to mobilise our diverse community of stakeholders to address climate issues affecting and resulting from land use, in order to overcome barriers, accelerate innovation and catalyse action that leads to high climate and socioeconomic benefits.

Sustainable Production Systems Theme Based on Circular Economy Package Climate-KIC Sustainable Production Systems vision is: zero carbon value chains and zero waste systems in operation which are the future foundation of Europe’s industry. Climate-KIC‘s SPS theme mission is to catalyse the transition to a zero carbon economy by seed-funding high-impact climate solutions, facilitating innovative cross-industry co-operation and supporting technological as well as unique business model innovation in regional clusters and value chains.

Urban Transitions Theme Climate-KIC’s Urban Transitions (UT) theme develops integrated, scalable and replicable systemic solutions that serve as catalysts, driving the transformation towards livable, zero-carbon and resilient cities. To this end, we bring together innovators and key stakeholders in urban systems to overcome barriers and drive systemic innovation, demonstrating that ambitious innovation with high socio-economic and climate benefits is possible. We then support the scale up of these innovations within Europe and beyond, unlocking the market potential for climate benefit worldwide.

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Annex I Review Criteria Criteria Explanation

Demand identified and/or addressed

Demand-side needs – what new, existing or latent needs will form the basis of the innovation opportunity.

Market demand is necessary for the creation of self-sustaining economic activity. Climate-KIC interprets demand as the demonstrated willingness of stakeholders to purchase a product or service, or commit to implementing change by use of the products/services of the project. Demand needs to be clarified, so that a solution can be identified and matched by a potential product/service. The proposal must clearly identify the demand (in the case of a demand driven Pathfinder), or outline the activities within the Pathfinder that aim to identify the demand (in the case of a discovery driven Pathfinder).

Interpretations of demand include:

• Legislation to limit CO2 is not in itself considered to be demand, as there is no economic contribution from the policymakers. Whereas the stakeholders that are implementing, or are impacted by policy and are looking for solutions to it, are considered to be demand as they can purchase the product or service being developed by the Pathfinder project.

• A new public policy is targeted as the innovation, where the demand comes from the political/governmental establishment that will implement (in effect pay for) the policy.

• New knowledge that changes business behaviour, where the demand comes from the corporates who will implement (in effect pay for) communications programmes.

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Criteria Explanation

Innovation potential Supply-side discoveries – what new or existing discoveries will form the basis of the innovation opportunity, or will need to be identified.

The proposal must explain the ability of the innovation to fulfil or enable identified demand which had previously not been met or met less effectively. It must convey what is new or more effective in the ideas, knowledge, technologies, processes, services or products. As well as innovations identified by partners, this may be the result of combining existing innovations to be more effective together, or combining a new innovation that enables an existing innovation to scale up. If the discovery has not been identified (in the case of demand driven Pathfinder), the proposal must outline the activities within the Pathfinder that will stimulate and select the best ideas, knowledge, technologies, process, services or products that address the demand.

These activities could include: • Desk research to drive insights • Assessing similar/related innovation challenges to look for crossover • Workshops brokering demand and supply side stakeholders • Community engagement • Open innovation events • Innovation competitions

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Criteria Explanation

Quality of the plan The plan must explain how the Pathfinder objectives will be achieved, namely the identification and possible validation of an innovation opportunity. Good project management is required, with defined milestones and detail on the structuring of work within the project; how progress will be made and measured, including deliverables and KPIs targeted throughout the project. Plans should allow for flexibility, as projects may evolve during project implementation, due to their exploratory nature.

• Consideration should be given to how the plan will consolidate and apply knowledge developed by the project. • Please indicate any activities or work packages in the plan not financed by Climate-KIC.

Please provide any assumptions, including the rationale for why some work packages may be particularly large or different, and any significant risks associated with the estimated budget, or areas/amounts that are variable.

Strategic fit Climate-KIC prioritises projects which fit its strategic thematic areas. Successful proposals will identify one of the four themes and will be tailored to outlined theme priorities. Some projects may fit into two themes. In such a case the first one mentioned will be used as the main one.

Value for money Value for Money will be judged on a number of factors, including:

• How well the proposed activities are focused on an impactful project outcome. • How appropriate the scale of the activities is compared to the anticipated benefit/importance of the activities. • How well the partnership is suited to the activities described and is the number of partners optimised.

How many complementary activities are leveraged to kick-start the Pathfinder project.

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Criteria Explanation

Climate relevance This criterion evaluates the climate impact of the project in terms of climate mitigation (target GHG emissions saved or carbon sequestration) and climate adaptation (loss of lives that are prevented, assets protected) including:

Mitigation

• Climate change challenge: Is the description of the climate change challenge the project aims to tackle clear and sound?

• Baseline scenario: How valid and relevant is the described baseline scenario for the area the project focus? • Climate mitigation impact potential: Is the description of what the project sets out to achieve and how it reduces GHG

emissions in the specific area clear? Does the project show a clear improvement in terms of reducing GHG emissions compared to the baseline scenario?

• Evidence/Credibility: Has there been used relevant third party documentation to demonstrate evidence of the overall climate impact story?

Adaptation

• Climate change challenge: Is the description of the climate change challenge the project aims to tackle clear and sound?

• Baseline scenario: How valid and relevant is the described baseline scenario for the area the project focus? • Climate adaptation impact potential: Is the description of what the project sets out to achieve and how it is expected to

improve the situation clear? • Does the project show a clear improvement of the situation compared to the baseline scenario? • Evidence/Credibility: Has there been used relevant third party documentation to demonstrate evidence of the overall

climate impact story?

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Criteria Explanation

Project outputs Potential outputs intended for the project should be detailed, for example:

• Market/stakeholder analysis. • Assessment of competition (market benchmarking). • Identified risks and barriers to success. • Insights, primary/secondary research or experimental evidence of the demand and solution. • Clearly articulated innovation opportunity and nature of the solution (knowledge, service, product, policy etc.) that

addresses market needs. • Model demonstrating viability of self-sustaining outcome (including the scaling-up of the innovation). • Knowledge and competencies required to exploit the innovation opportunity.

Opportunities to attract investment in the exploitation of an innovation opportunity. In particular, evidence of co-finance that can be secured for any subsequent Innovation Project.

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Annex II Suggested Deliverable Formats Key Deliverable format Description of format Expectations of the deliverable format

Publication Publications that result from knowledge developed due to Climate-KIC activity.

A publication can take many forms but in all instances it must meet the highest standards and publishing criteria of the most relevant body, whether academic, institution or business. For example, a peer reviewed scientific article must be accepted and published in a journal, or other accepted formats.

Demonstrators Demonstration site equipped or prototype developed.

A short report (following recommended report structure below) that integrates succinct narrative of the demonstration with photos or visuals of demonstration site/prototype.

Reports

- Project report - Market analysis - Feasibility study - Policy draft - Comparative study - Handbook and training

tool - Newsletter, - etc.

Reports resulting from a project task, work package, project stage, etc.

Any report should cover minimum standards expected in any report, such as: • Abstract – summary of the major points, conclusions, and recommendations. It

should be treated as a general overview of the report. • Introduction – this section explains the main problem and shows the reader the

report’s main objectives, research, scope, purposes and goals. • Main section/Body – expands the main ideas into several sections, with each having

a subtitle, and explains the methodology used to produce this report. Information must be organized in order of importance. If needed, a “Discussion” section can be included in the end so that main findings are debated and their significance is explained.

• Conclusions – covers the writer’s judgement based on information in the body of the report.

• Recommendations – covers the writer’s endorsements based on the conclusions. • Appendices/Annexes – evidence supporting the report. For example, technical

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Key Deliverable format Description of format Expectations of the deliverable format

information that is not comprehensive by the main audience, yet experts in the field will read.

• References/Bibliography - sources of information using proper citation guidelines e.g. APA, Chicago, etc.

Event Report: Workshop, Seminar Conference, Online forum, etc.

Event resulting during implementation from finalisation of a project task, work package, project stage.

Proof that event took place (e.g. list of attendees, agenda). All proofs should be grouped into a short report summarising the event’s main achievements. Supporting documents such as list of attendees should be annexed.

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Annex III -*NEW for 2017* – EIT Core KPI definitions and Proof requirements *cells highlighted in grey are not relevant to Pathfinders. Pathfinders should only set targets for the KPIs most relevant to their projects. Cells highlighted in red do not require projects to set targets, but are relevant.

2017 EIT Core KPI

Code Definition/Formula Supporting Evidence requirements

# Graduates from EIT labelled MSc and PhD programmes

EITN01

Sum of graduates from EIT labelled Masters and EIT labelled PhD programmes in year N.

List of the graduates including names, contact details (e-mail address), gender, country of origin and residence, indication of the educational programme; the list to be provided by KIC Education Directors

# Start-ups created by students enrolled and graduates from EIT labelled MSc and PhD programmes

EITN02

Sum of start-ups created by students enrolled and graduates from EIT labelled MSc and PhD programmes in year N.

To be eligible, a start-up should be created during EIT labelled programme (by students) or within five years from the graduation (by graduates).

1. Registration certificate, company’s profile, contact details and gender of the CEO/owner;

2. Document such as an invoice or an online sales record certifying the first financial transaction for a service/product sold to a customer, or a declaration of honour from a former student certifying the first commercial transaction with a reference to the customer.

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2017 EIT Core KPI

Code Definition/Formula Supporting Evidence requirements

# Products (goods or services) or processes launched on the market

EITN03

Number of innovations introduced to the market during the KAVA duration or within three years after completion thereof. By innovations we mean new or significantly improved products (goods or services) and processes sold. Innovations should be reported in the year when they were introduced on the market (but not later than three years after completion of the KAVA).

1. Description of product or process with specified performance characteristics/ physical parameters/ functionalities demonstrating novelty (new or significant improvement) of the product/ process.

2. Declaration demonstrating link with the specific KIC KAVA (indication of the specific output of KIC KAVA(s)).

3. Documented proof such as an invoice demonstrating that the purchase has been made by a customer.

# Start-ups created as a result of innovation projects

EITN04

Sum of start-ups established in year N as a result/ based on the output(s) of Innovation/ Research related KAVA(s), or start-ups created for the purpose of an innovation project to organise and support the development of an asset (but not later than three years after completion of the KAVA).

1. Registration certificate, company’s profile and contact details and gender of the owner/CEO.

2. Declaration demonstrating link with the specific KIC KAVA (indication of the specific output of KIC KAVA(s)).

3. Document such as an invoice or an online sales record certifying a first financial transaction for a service/product (result of the KIC KAVA) sold to a customer.

# Start-ups supported by KICs

EITN05

Number of start-ups that that have started receiving KIC’s business creation (BC) services through KIC KAVA activities within year N. KIC should justify that the provided services contribute to the company’s growth (including potential growth). Examples of such services are mentoring, consultancy on e.g. access to finance and markets, product/service

1. List of supported start-ups including information on company’s name and profile, contact data, name and gender of CEO/owner and reference to a specific KIC KAVA.

2. Formal signed agreement between Climate-KIC and the start-up clearly stating what is being provided, when and with which milestones / deliverables for the start-up to go onto the next stage of BC services and, if applicable, what is Climate-KIC receiving in

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2017 EIT Core KPI

Code Definition/Formula Supporting Evidence requirements

marketing, legal advice, internationalisation, match-making, etc. The services should be provided for a total period of at least two months.

exchange. 3. Registration certificate of the start-up receiving BC services.

Investment attracted by start-ups supported/have been supported by KICs

EITN06

Total EUR amount of private and public capital attracted within year N by ventures that have received KIC business creation services support of total duration of at least two months (as described in the output indicator above), within a maximum of three years following the last received KIC KAVA support activity.

Impact Fund investments into KIC supported start-ups should be measured separately.

1. List of the start-ups which attracted the capital including: company name and profile, contact data, amount of investments attracted, information on the investors (optionally) and reference to a specific KIC KAVA.

2. Press releases, or official announcements, or other official documents (e.g. signed declaration of honour by the Entrepreneurship Director confirming the accuracy of the provided information).

# Success stories submitted to and accepted by EIT

EITN07

Good practises or success stories presented by KICs to the EIT according to a specific format and accepted by the EIT including eligible nominees for the EIT awards.

[format to be provided by EIT – not yet received]

# External participants in

EITN08

Number of organisations from the EIT RIS defined regions selected via open calls that are collaborating with KIC and linked with a specific KAVA (including

1. List of organizations provided by the KIC including name, address, description of activity, EIT budget (if relevant), reference to KAVA.

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2017 EIT Core KPI

Code Definition/Formula Supporting Evidence requirements

EIT RIS programmes

but are not limited to providing business creation services to start-ups, joint collaborations on developing joint solutions, participation in education activities).

2. Respective collaboration agreement or equivalent describing the subject and nature of the collaboration/ RIS activity.

Budget consumption of KICs

EITN09

EIT grant approved/EIT grant committed

Calculated by EIT.

Partners should be aware that Climate-KIC is assessed by EIT for budget consumption.

NOTE: accurate financial forecasting by projects allows us to manage our overall budget consumption. Inaccurate forecasting means we cannot effectively manage our budget, which results in budget consumption issues.

Error rate of KICs

EITN10

Ineligible KAVA costs established by EIT based on ex-ante checks / total KAVA cost declared by KIC.

Calculated by EIT.

Partners need to be aware that Climate-KIC is assessed by EIT and it is now a formal KPI. It is the performance of projects, quality of the deliverable proofs and the compliance with cost requirements that all count towards this KPIs

Financial Sustainability (FS): revenue of KIC LE and FS coefficient

EITN11

The total revenues generated by the KIC Legal Entity in year N (absolute value in EUR) and FS coefficient (%) is the total revenues generated by the KIC LE divided by the total EIT KAVA in year N

Info only: Partners need to be aware that Climate-KIC is being assessed by EIT for progress against financial sustainability.

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Annex IV – Thematic Priorities Detailed explanation of Thematic Areas follows.

Theme Vision Area Priorities General Focus Examples

Decision Metrics and Finance

Empower decision-makers, investors and high-carbon consumers to act for climate, unlock finance and drive the climate-relevant economy

1. Create innovative financial tools to unlock investment

2. Engage further sectors that can be major users of DMF outcomes

3. Effectively address the challenge of adaptation metrics

4. Identify financial flows and benchmark climate change investment

5. Develop innovation to support capital mobilization

1. Higher quality GHG measurement identifies precisely the actual emitters and allows those emitters to target reduction

2. Increased accuracy of climate risk assessment & resilience performance allows cities, land, business (sectors) and communities to adapt in a timely manner

3. Certified MRV provides regulators and investors with the data and security to inform better-targeted regulations, access financial tools and create stronger incentives for carbon reduction

1. Use innovative GHG tools to identify and address elements of food distribution chains where GHG emissions can be most effectively reduced

2. Test concepts combining cost-efficient MRV and financial innovation to unlock climate investment in data poor regions

3. Pilot experiments on a focused geographic area to apply and test a selection of adaptation metrics

4. Work with asset management companies to address identified barriers to capital mobilisation for climate

Sustainable Production Systems

Carbon neutral value chains and zero waste systems in operation. We would like to support

To create circular loops and transform waste into a resource we aim at interlinking the upstream

3. create symbiotic relationships between various industries and stakeholders for the selected value chains.

7. CO2 as raw material/feedstock (will be addressed under the Flagship EnCO2re)

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Theme Vision Area Priorities General Focus Examples

innovation ideas that accelerate multi-stakeholder and cross industry innovation with the biggest climate and business impact, reflect the principles of circular economy, implying lifecycle thinking, a material and/or energy exchange or sharing of assets, that lead to an added value among different stakeholders.

manufacturing industries in the chemicals and metal sector (B2B) with the industries with the highest demand for their products i.e. the downstream partners in the value chain (mobility, household appliances, electronics, packaging and packaged goods).

Further relevant stakeholders will support building and interlinking markets for secondary resources and for creating closed carbon cycles.

1. Generate alternative feedstock substituting raw materials through secondary materials and/or renewable, less carbon intensive resources

a. Bio-based chemicals, fuels and

4. implement the principles of lifecycle thinking, circular economy and of industrial symbiosis

5. creating an added value among different stakeholders

6. synergies identified with existing SPS project portfolio

8. Pilot projects connecting stakeholders across B2B and B2C industries in the selected value chains

9. Eco-design projects for mobility, household appliances, electronics, packaging and packaged goods

10. Remanufacturing for fully circular vehicles

11. Post-consumer waste recycling for aluminum

12. High-value steel recovery in automotive and other mobility industries

13. Plastics recycling and upcycling: packaging, household appliances, light-weight applications

14. Identification and separation technologies for effective plastic recycling

15. RECYCLING OF ELECTRICAL & ELECTRONIC WASTE

16. HOUSEHOLD WASTE RECOVERY with focus on plastics and metals

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Theme Vision Area Priorities General Focus Examples

materials from sustainable Biomass (2nd & 3rd generation) or sustainable waste from farms, forests, households and industry

2. CO2 re-use, emissions as source of (will be addressed under the Flagship EnCO2re)

a. zero waste systems:

b. Metals (steel, aluminium, copper)

c. Chemicals and Plastic

System layouts design and re- design: Holistic approaches rethinking the whole material flows, production processes, supply chains, distribution and logistics

17. PRODUCT AS SERVICE

Sustainable Land Use

Land use climate mitigation and adaptation functions strengthened through innovative tools

1. Traceability of food and wood supply chains

1. Connect better start-ups and innovation projects

2. Develop a consistent forestry portfolio to

1. Design a tool that improves the tracking of products within supply chains. See e.g. KIC supported start-up https://trakeo.com

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Theme Vision Area Priorities General Focus Examples

and systems that articulate new value chains and contribute to green growth

2. Monitoring of carbon stocks (agricultural soils, forests)

3. Carbon stock increase and sink function improvement

4. Climate friendly value chains from forest-derived products: wood construction or bio-based products

5. Connecting food value chains with climate-smart agricultural practices

6. Integrate better agriculture and forestry activities (circular economy, energy efficiency, carbon stocks, resilience)

Initiate integrated and resilient territorial approaches with specific focus on avoiding zero-sum games between land-use changes, and including water issues in the climate adaptation of territories

reinforce or preserve the sink functions of forests

3. Revisit the way we address adaptation, connecting resilience approaches with climate services

4. Developing a holistic framework for assessing resilience and adaptation approaches

2. New remote sensing method 3. New software that helps farmer

improve their soil carbon storage through best farming practices

4. Innovative wood housing for refugees valuing degraded forests

5. Enhanced commercialization of beef meat or milk produced with reduced methane emissions

6. A new biochar value chain for increased carbon storage in agricultural soils

1. An innovative groundwater storage solution that creates a buffer against drought and protects critical ecosystems

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Theme Vision Area Priorities General Focus Examples

Urban Transitions

Climate-KIC’s Urban Transitions (UT) theme develops integrated, scalable and replicable systemic solutions that serve as catalysts, driving the transformation towards liveable, zero-carbon and resilient cities. To this end, we bring together innovators and key stakeholders in urban systems to overcome barriers and drive systems innovation, demonstrating that ambitious innovation with high socio-economic and climate benefits is possible. We then support the scale up of these innovations within Europe and beyond, unlocking the market potential for climate benefit worldwide.

We are looking for projects that align with the UT theme focus on demonstrating systemic solutions. These projects will demonstrate how to deliver urban infrastructure in a joined up way. In particular UT is looking for a specific understanding of some of the key barriers to systemic change and to the scale up of integrated system innovations. We expect proposals to align different stakeholders and focus on more than one enabling infrastructure in joining up the identified needs and opportunities, in particular addressing the key blockers and opportunities.

Building deep relationships with networks of urban demand-side actors at building, district, and city scale. Starting with real world needs we provide access to the breadth of innovation across the Climate-KIC partnership. Leverage our existing network at Climate-KIC locations to scale our impact. Building up synergies within the existing portfolio and partnership. A key pillar of our portfolio are our two flagship programmes: Building Technologies Accelerator (BTA), Smart Sustainable Districts (SSD).

Energy storage: Use of buildings (fabric and active components) or transport for energy storage.

Performance data - collection, analytics, automatic response, visualisation and feedback: Use of innovative systems to acquire and disseminate data.

Heating, cooling, electricity integration: Tools for combined optimisation. Buildings as energy generators.

Low carbon cooling: Alternatives to water/standard refrigerants as cooling vectors.

Combined fabric solutions: Integrating design and manufacturing approaches across building fabric and heating systems.

Business models that support integrated planning, development and management.