SHIFT2RAIL JOINT UNDERTAKING

ANNUAL ACTIVITY REPORT 2014

Approved by the S2R Governing Board, on 31 March 2015, in accordance with

Article 20 of the Statutes of the S2R JU annexed to Council Regulation (EU) No

642/2014 and with Article 20 of the Financial Rules of the S2R JU.

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Contents

Contents .................................................................................................................................................. 2

FACTSHEET .............................................................................................................................................. 4

INTRODUCTION ....................................................................................................................................... 6

1 OPERATIONS .................................................................................................................................... 7

1.1 Key objectives 2014 and associated risks ................................................................................ 7

1.1.1. Preparatory actions for S2R JU autonomy ...................................................................... 7

1.1.2. Development of the strategic Master Plan ..................................................................... 8

1.1.3. Call for Associated Members of the S2R JU .................................................................... 9

1.2 Research activities ................................................................................................................. 11

1.3 Calls for proposals and grant information ............................................................................. 11

1.4 Progress against KPIs / Statistics (Annex C) ........................................................................... 12

1.5 Operational budget execution .............................................................................................. 12

2 SUPPORT ACTIVITIES ..................................................................................................................... 12

2.1 Communication activities ...................................................................................................... 12

2.2 Legal and financial framework .............................................................................................. 13

2.3 Budgetary and financial management .................................................................................. 14

2.4 Procurement and contracts ................................................................................................... 15

2.5 Housing, IT and logistics ........................................................................................................ 15

2.6 Human Resources .................................................................................................................. 15

3 GOVERNANCE ................................................................................................................................ 16

3.1 Governing Board .................................................................................................................... 16

3.2 Executive Director ................................................................................................................. 17

3.2.1. States Representatives Group ............................................................................................. 17

3.2.2. Scientific Committee ........................................................................................................... 19

3.3 Innovation Programme’s Steering Committees .................................................................... 19

3.4 European Railway Agency ..................................................................................................... 19

4 INTERNAL CONTROL FRAMEWORK ............................................................................................... 19

4.1 Financial Procedures ............................................................................................................. 19

4.2 Ex-ante Controls on operational Expenditure ....................................................................... 20

4.3 Ex-post Control of Operational Expenditure and Error Rates Identified .............................. 20

4.4 Audit of the European Court of Auditors .............................................................................. 20

4.5 Internal Audit ......................................................................................................................... 20

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4.6 Risk management .................................................................................................................. 20

4.7 Compliance and effectiveness of Internal Control ................................................................ 20

5 MANAGEMENT ASSURANCE ......................................................................................................... 21

5.1 Assessment of the Annual Activity Report by the Governing Board ..................................... 21

5.2 Elements supporting assurance ............................................................................................ 21

5.3 Results from audits during the reporting year and follow up of previous audits ................. 21

5.4 Reservations .......................................................................................................................... 21

5.5 Overall conclusion ................................................................................................................. 21

6 OBJECTIVES AND MAIN MILESTONES FOR 2015 ........................................................................... 21

7 DECLARATION OF ASSURANCE ...................................................................................................... 22

8 ANNEXES ........................................................................................................................................ 23

ANNEX A Organisational chart of the S2R JU .................................................................................... 23

ANNEX B Establishment plan ............................................................................................................. 24

ANNEX C Indicators and Scoreboard of KPIs ..................................................................................... 25

ANNEX D Draft Annual accounts ....................................................................................................... 36

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FACTSHEET

Name Shift2Rail Joint Undertaking (S2R JU)

Objectives

The Shift2Rail Joint Undertaking (S2R JU) is a new public-private partnership in the rail sector, providing a platform for cooperation that will drive innovation in the years to come. The S2R JU will pursue research and innovation activities in support of the achievement of the Single European Railway Area and improve the attractiveness and competitiveness of the European rail system.

Shift2Rail will contribute to:

• a 50 % reduction of the life-cycle cost of the railway transport system (i.e. costs of building, operating, maintaining and renewing infrastructure and rolling stock);

• a 100 % increase in the capacity of the railway transport system;

• a 50 % increase in the reliability and punctuality of rail services (measured as a 50 % decrease in unreliability and late arrivals).

Founding Legal Act Council Regulation (EU) No 642/2014 of 16 June 2014

Executive Director Mr Christos ECONOMOU, Executive Director Ad Interim

Governing Board

EC members:

Mr João AGUIAR MACHADO, Chair, DG MOVE Director General

Mr Rudolf STROHMEIER, DG RTD Deputy Director General

EC alternates:

Ms Magda KOPCZYNSKA, DG MOVE Director C

Ms Manuela SOARES, DG RTD Director H

Industry members (until 31/12/2014):

Mr Nicolas Castres-Saint-Martin (ALSTOM)

Mr Giovanni Bocchetti (ANSALDO STS)

Mr Josef Doppelbauer (BOMBARDIER)

Mr José Gortazar (CAF)

Mr Jerry England (NETWORK RAIL)

Mr Roland Edel (SIEMENS)

Mr Christian Gregoire (THALES)

Mr Bo Olsson (TRAFIKVERKET)

Industry alternates:

Mr Daniel Cadet (ALSTOM)

Mr Antonio Ruggieri (ANSALDO STS)

Mr Markus Dengler (BOMBARDIER)

Mr Aitor Galarza (CAF)

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Mr Andrew Doherty (NETWORK RAIL)

Mr Lars Bergmann (SIEMENS)

Mr Yves Perreal (THALES)

Mr Christer Löfving (TRAFIKVERKET)

Other participants:

Mr Christos Economou (Executive Director ad Interim of the S2R JU

Observers

Mr Richard Lockett / Ms Sarah Young (European Railway Agency)

Mr Jaime Martinez Real (Chairman of the States Representatives Group)

Other bodies

Scientific Committee

States Representatives Group

Programme Office of the Executive Director

Innovation Programmes' Steering Committees

Staff 4 (On-going staff recruitment)

2014 Budget Voted budget EUR 988 800. EUR 494 400 of contributions collected.

Budget

implementation Administrative expenditure only

Grants No grants were signed in 2014

Strategic Research

Agenda

The draft Shift2Rail Master Plan was approved by the S2R JU Governing Board on 24 September 2014 (http://ec.europa.eu/transport/modes/rail/doc/2014-09-24-draft-shift2rail-master-plan.pdf). The Commission adopted a proposal for a Council Decision endorsing the Shift2Rail Master Plan on 16 December 2014.

Call implementation Number of calls launched in 2014: No calls for proposals were launched in 2014.

A call for Associated Members to the S2R JU was issued on 6 October 2014.

Number of applications submitted: 43

Number of eligible applications: 40

The call is a two-stage procedure. The evaluation of the first-stage submissions should

be finalised in Q1 2015. The second stage will then be launched with a view to

finalising membership negotiations in the autumn of 2015.

Participation,

including SMEs

Total n° of participations in funded projects: N.A. as no grant agreements were signed

in 2014.

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INTRODUCTION

The Shift2Rail Joint Undertaking (S2R JU) is a new public-private partnership for rail research,

providing a platform for the rail sector as a whole to work together with a view to driving innovation

in the years to come. Officially established on 7 July 2014, the S2R JU will pursue research and

innovation activities in support of achieving the Single European Railway Area and improving the

attractiveness and competitiveness of the European rail sector. It seeks to provide a platform for rail

equipment manufacturers, infrastructure managers, railway undertakings, rail research organisations

and all other relevant stakeholders to work together and coordinate their R&I efforts with a view to

driving innovation in the years to come.

The S2R JU will manage an estimated budget of at least €920 million (for the period 2014-2024) to

coordinate Research & Innovation activities in the rail sector. The budget will be split between the EU

and the industrial partners participating in the S2R JU.

The activities of the S2R JU will benefit all actors in the rail sector. It will help boosting the

competitive edge of the rail supply industry, opening new market perspectives and offering

significant employment and export opportunities. Railway undertakings, infrastructure managers and

public transport operators will benefit from innovations that drastically reduce infrastructure and

operating costs, which should ensure better value for the subsidies paid to rail operators by national

governments.

Shift2Rail aims to deliver:

a reduction, by up to 50%, in the life-cycle cost of railway transport (i.e. costs of building,

operating, maintaining and renewing infrastructure and rolling stock);

an overall increase in capacity of up to 100% and

an overall increase in reliability of up to 50% in the different rail market segments.

More generally, it should support the Union's policy of making rail a more attractive mode, as part of

the overall objectives of increasing transport capacity, reducing congestion and reducing oil use for

climate change and fuel security reasons.

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1 OPERATIONS

1.1 Key objectives 2014 and associated risks

The Shift2Rail Joint Undertaking ('S2R JU') was officially established on 7 July 2014 following the

adoption by the Council of Regulation (EU) N°642-2014 establishing the Shift2Rail Joint Undertaking

on 16 June 2014 ('S2R Regulation').

There were three main objectives for the S2R JU in 2014:

Preparatory actions for S2R JU autonomy: As a newly established JU, activities in 2014 were

principally focused on the setting up of the S2R JU, including putting in place an appropriate

governance structure and fulfilling all the preparatory actions to lead to the operational

independence of the S2R JU;

Development of the strategic Master Plan: It was essential to rapidly develop this key

strategic document due to the fact that the adoption procedure foreseen in Article 1(4) of

Annex I to the S2R Regulation is lengthy (the document first needs to be approved by the

Governing Board, then endorsed by the Council, acting on a proposal from the adopted by

the Governing Board, before being adopted by the Governing Board), and yet is a key pre-

requisite for the call for associated members to the JU and the adoption of the first S2R JU

annual work plans, in accordance with Article 2 of Annex I to the S2R Regulation;

Implementation of the call for associated members of the S2R JU: In accordance with Article

4(4) of Annex I to the S2R Regulation, the first call for associated members to the S2R JU had

be launched within three months at the latest following the establishment of the S2R Joint

Undertaking (i.e. by 7 October 2014 at the latest).

1.1.1. Preparatory actions for S2R JU autonomy

Achieving operational autonomy is a lengthy process that requires the fulfilment of a series of criteria

under which the Commission could agree with the JU on the day of the latter's capacity to implement

its own budget.

These criteria include the establishment of the bodies of the S2R JU (as listed in Article 5 of the S2R

Statutes, namely, the Governing Board, Executive Director, Scientific Committee and States

Representatives Group), the adoption of basic legal, administrative and financial documents,

procedures and budgets, the recruitment of key staff and the finalisation of housing arrangements.

An overview of the main actions undertaken in 2014 relating to these criteria can be found in the

following sections of the document.

Until achieving operational autonomy (i.e. achieving the capacity to implement its own budget), the

S2R JU remains under the responsibility of the European Commission and all its initial operations are

run by the Commission, in collaboration with the other founding members (Article 19 of the Council

Regulation establishing the S2R JU).

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In accordance with the same article, the Commission designated an interim Executive Director of the

S2R JU on 9 July 2014 to exercise the duties that are assigned to the Executive Director in the S2R

Regulation.

The interim Executive Director is assisted by a limited number of Commission officials. He may

authorise all payments covered by the appropriations provided in the annual budget of the S2R JU,

once approved by the Governing Board, and conclude agreements, decisions and contracts, including

staff contracts following the adoption of the S2R JU's staff establishment plan.

The autonomy of the S2R JU is planned for the 3rd quarter of 2015 when all autonomy criteria are

planned to be met.

The date for achieving autonomy of the JU is technically contingent on the deployment of a

dedicated ABAC accounting system, which, in turn, is conditional on the recruitment of a number of

key staff, including the S2R JU Executive Director.

The main risks associated to the autonomy of the S2R JU are therefore related to possible delays in

the recruitment of the S2R JU Executive Director and to the deployment of a functioning ABAC

environment. To manage these risks, close scrutiny on the appointment and ABAC related processes

has been established by DG Mobility & Transport. A Service level Agreement has been signed

between the JU and the relevant Commission service (DG BUDG) setting up a timetable for the

implementation of ABAC in 2015.

1.1.2. Development of the strategic Master Plan

In accordance with Article 1(4) of the S2R Statutes, the S2R JU had to develop a Shift2Rail strategic

Master Plan, defining the priority research and innovation activities to drive innovation in the rail

sector in the long term, and structured around the five following thematic areas or 'Innovation

Programmes’ (‘IPs’):

IP1: Cost-efficient and Reliable Trains, including high capacity trains and high speed trains;

IP2: Advanced Traffic Management & Control Systems;

IP3: Cost-efficient, Sustainable and Reliable High Capacity Infrastructure;

IP4: IT Solutions for Attractive Railway Services;

IP5: Technologies for Sustainable & Attractive European Freight.

Given the Master Plan's status as the key strategic document to focus all EU-funded R&I efforts in the

future, as well as a reference document for the call for associated members and for the first S2R JU

annual work plans, the main risks associated to the development of the Master Plan were related to

possible delays in the adoption procedure and to the need to ensure broad stakeholder adherence to

the document.

In light of these challenges, the founding members of the S2R JU, including the Union, elaborated a

first draft of the Master Plan, in consultation with the European Railway Agency (ERA) and the

European Rail Research Advisory Council (ERRAC) Technology Platform already in the first two

quarters of 2014.

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Numerous individual meetings with sector representatives were also held, and a public consultation

meeting held on 20 June 2014, to which close to 200 stakeholders took part. The consultation

revealed that the draft of the Master Plan as elaborated by the founding members was well balanced

and broadly supported.

On 24 September 2014, the Governing Board of the S2R JU approved the Master Plan1. On the basis

of this stable document, it was possible to launch the call for associated members. Furthermore, the

Commission adopted a proposal for a Council Decision endorsing the Shift2Rail Master Plan on 16

December 2014. It is expected that the Council will endorse the Master Plan in Q1 2015.

The Master Plan is a living document that may be updated by the Governing Board of the S2R JU

once the associated members have been selected and the Governing Board of the S2R JU reaches its

full composition (i.e. including representatives of selected associated members as foreseen in Article

6 of the S2R Statutes).

1.1.3. Call for Associated Members of the S2R JU

A crucial milestone in 2014 was the launch of the call for the selection of associated members to the

S2R JU. Indeed, in accordance with Article 4 of Annex I of the Council Regulation establishing the S2R

JU, the first call for associated members had to be launched at the latest three months after the

establishment of the S2R JU.

In agreement with the Governing Board of the S2R JU, the Commission successfully launched the call

on 6 October 20142.

The call document (Ref. S2R JU/AM/01/20143) listed the conditions and procedures for applications,

as well as a detailed list of selection and evaluation criteria. The deadline for applications was 12

November 2014 and the Commission received 43 applications. These included 27 applications by

single legal entities (SLEs) and 16 applications on behalf of consortia, so that a total of 127 entities

applied. 7 applications were made by stakeholders from the rail operating community (ROC), i.e.

railway undertakings (RU), infrastructure managers (IM) or urban operators (URBAN) either as SLEs

or consortia. The research community (research centres or universities) was also rather well

represented in applications either as SLEs or consortia. Finally, there were 4 applications from SMEs

as single entities and a further 18 SMEs were involved in consortia.

The following table provides information on the representation of SMEs, the research community, the rail operating community and large industry, among the entities applying.

Organisation type SMEs ROC (RU / IM /

Urban) RESEARCH CENTRES

/ UNIVERSITIES LARGE

INDUSTRY TOTAL

Total number of entities 22 23 33 49 127

Share of total applications 17% 18% 26% 39% 100%

1 http://ec.europa.eu/transport/modes/rail/doc/2014-09-24-draft-shift2rail-master-plan.pdf

2 Commission Decision N° C(2014) 7084 final

3 http://ec.europa.eu/transport/modes/rail/news/doc/2014-10-06-shift-to-rail-call/2014-10-06-call-associated-member-s2rju.pdf

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In terms of geographical representation, there were significantly more applications from entities established in EU-15 countries than in the central and eastern Member States, as seen in the graph below.

Finally, all Innovation Programmes (IPs) identified in the draft S2R Master Plan4 were covered by applicants, as were, to a lesser extent, the Cross-Cutting Activities (CCA). Overall, the sum of proposed contributions on indirect actions (projects) reached M€ 474, i.e. a more than three-time over-subscription compared to the expected overall contribution from associated members to the JU foreseen in the S2R Regulation (M€ 150). Generally all IPs were largely "over-subscribed", in particular IP2, IP3 and IP5. As indicated in the following table, almost three quarters of the applicants' proposed contributions were concentrated on IP1, IP2 or IP3.

CCA IP1 IP2 IP3 IP4 IP5 Total

CONSORTIA 2 7 4 10 2 6 16

SLEs 4 12 14 6 9 7 27

Total 6 21 20 18 11 13 43

Amount of the proposed own contributions

(indirect actions)

M€ 7 M€ 135 M€ 111 M€ 105 M€ 43 M€ 73 M€ 474

Percentage (compared to the

total commitment) 1,5% 28,5% 23,4% 22,1% 9,2% 15,4% 100,0%

The evaluation procedure of the first stage of the call was initiated in November 2014 and is

expected to be completed in March 2015.

The main risk associated to this procedure is to ensure a non-discriminatory and transparent process,

that enables the Commission to make the final decision on a manageable number of associated

members to the S2R JU, that provide for the key capabilities required to to implement the S2R

Master Plan, while also ensuring geographical balance, as well as balanced participation of SMEs, of

4 http://ec.europa.eu/transport/modes/rail/shift2rail_en.htm

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the research community and of actors from the entire rail value chain, including from outside the

traditional rail sector, in accordance with Article 4(4) of Annex I to the S2R Regulation.

In order to ensure that this was the case, the Governing Board of the JU, who is tasked with the

transparent evaluation of applications, in accordance with Article 4(2) of Annex I to the S2R

Regulation, decided to delegate the evaluation to independent experts. The evaluation process has

therefore been centrally managed by the Commission, with regular reports to the Governing Board.

1.2 Research activities

As the Shift2Rail JU is currently in its set-up phase, it has not yet begun any research activities. The

first calls or invitations for proposals are expected to be published in 2015.

However, in drafting and approving the first version of the Shift2Rail Strategic Master, the S2R JU has

already made progress on further defining the objectives of the different innovation programmes

and the associated priority research areas.

Furthermore, the S2R JU invited the founding members other than the Union to submit technical proposals to

the Shift2Rail multiannual action plan on 25 September 2014, with a deadline of 10 November 2014.

The evaluation by independent experts of these technical submissions was organised in December 2014, with a

view to elaborating a scoping paper for the draft Shift2Rail multiannual action plan, to serve as a reference

document for the second stage of the selection procedure for associated members. The scoping paper

represents a first draft prioritisation of the activities foreseen in the Master Plan, taking into account the S2R

JU's available budget for the period 2014-2024.

1.3 Calls for proposals and grant information

The S2R JU did not launch any calls or invitations for proposals in 2014.

However, a call for proposals was launched by the Commission under its Work Programme 2014-

2015 of Horizon2020, and specifically under the Challenge “Smart, green and integrated transport”,

call “Mobility for Growth”, topic 2 "Rail". The call included the three following topics for a maximum

budget of EUR 52 million:

MG.2.1-2014.I²I – Intelligent Infrastructure

MG.2.2-2014. Smart rail services

MG.2.3-2014. New generation of rail vehicles

Although this call was launched by the Commission, the work programme specified that “the

selected proposals will contribute to the objectives of the initiative to be implemented under a

public-private partnership (Shift2Rail) as they will later be integrated into the activities of this

partnership”.

Furthermore, Article 4 of the S2R Regulation foresees that the management of these projects may be

taken over by the S2R JU once it achieves the operational capacity to implement its own budget.

The first stage of the 2014 call was closed on 18 March 2014. A total of 33 proposals were received,

of which two were ineligible. The proposals were evaluated remotely, by independent experts, from

14th April 2014 – 23rd May 2014.

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Following the first stage evaluation, a total of 13 proposals were invited to stage 2. The deadline for

second stage submissions was 28 August 2014. All 13 proposals were successfully submitted by the

applicants by this deadline and were deemed eligible. The proposals were evaluated by independent

experts from 15 September to 14 October 2014, first remotely, then centrally in Brussels. A decision

of the Commission on the list of projects to be funded and reserve lists will be adopted at the

beginning of the year 2015.

1.4 Progress against KPIs / Statistics (Annex C)

Since the S2R JU was established in mid-2014, the definition of the Key Performance Indicators (KPIs)

was not completed by December 2014. A draft list of KPIs has been elaborated by the Commission

aiming at the establishment of 3 groups of indicators, namely:

Horizon 2020 Key Performance Indicators5 common to all JTI JUs;

Indicators for monitoring H2020 Cross-Cutting Issues6 common to all JTI JUs;

Key Performance Indicators specific for S2R JU.

In future, the Annual Work Plans will provide KPIs. They will clearly set out how the planned activities

will contribute to the achievement of objectives set, listing the respective KPIs and taking into

account the allocated resources and the identified risks.

Furthermore, one of the core tasks of the S2R JU will be to develop a model to monitor the progress

towards the objectives laid down in the S2R Regulation. It will develop a suitable methodology for

gathering and exploiting the necessary data to measure these impacts, and for assessing the optimal

combination of technology developments to achieve these KPIs.

1.5 Operational budget execution

Since no grants were signed by the S2R JU during 2014, no operational budget has been executed.

2 SUPPORT ACTIVITIES

2.1 Communication activities

A number of communication activities were organised to ensure political and public awareness about

the S2R JU's activities. As new Joint Undertaking, the main objective was to foster awareness towards

EU and national policy makers, as well as stakeholders of the railway sector.

A major point of attention in communication activities was the need to ensure the involvement of

stakeholders from the entire rail value chain, including actors from outside the traditional rail sector,

from the very start of the process, in defining the R&I strategy of the S2R JU.

5 (based on Annex II to Council Decision 2013/743/EU)

6 (based on Annex III to Council Decision 2013/743/EU)

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To this end, the Commission organised a large number of meetings and exchanges with stakeholders

in the railway sector (such as UNIFE (rail supply industry), CER (incumbent railway undertakings), UIP

(wagon keepers), EIM (independent infrastructure managers), UITP (urban transport operators) and

EPTO (private passenger transport operators)) on the content of the Shift2Rail strategic Master Plan.

This consultation process was rounded off by the organisation of a major stakeholder consultation

meeting on 20 June 2014, to which close to 200 stakeholders took part.

The Commission and the Interim Executive Director of the S2R JU also participated in meetings and

conferences organized in Brussels and in some EU Member States in order to disseminate

information about S2R JU activities, in particular:

Participation in the JU-JTI call launch on 9 July 2014 – Shift2Rail was associated in the event

for the launch of the activities of all seven European Joint Undertakings.

Participation in the InnoTrans international faire trade organised in Berlin in September

2014.

Presentations to the ERRAC plenary session of November 2014 and to the ERRAC Permanent

Advisory Groups in July 2014.

Participation in the Spanish Shift2Rail Information Day in Madrid in October 2014, marking

the launch of the call for Associated Members.

Presentations within various rail and/or research stakeholder fora (UNIFE general assembly

June 2014, CLORA (Club des Organismes de Recherche Associés), etc.

A fact-sheet was also produced and disseminated during the launch of the S2R JU on July 9. It gathers

general information as well as facts and figures about S2R JU activities.

The DG MOVE website has been regularly updating its content related to all activities executed

during 2014: organisation of events, publication of the S2R Master Plan, launch of the S2R JU call for

associated members, S2R JU governance members, S2R JU vacancies, frequently asked questions

section, etc.

The S2R JU has also initiated in 2014 the procedure for the purchase and creation of a visual identity

and communication materials (www.shift2rail.org website, etc.). Following discussions in the

Governing Board, it was decided to engage in a dialogue with the JU industry partners, in particular

UNIFE, to organise the purchase (transfer of ownership) of the existing website, logo, social network

accounts, which have been created by the S2R promoters during the preparatory phase. This process

is expected to be completed in 2015.

2.2 Legal and financial framework

The legal framework refers to:

Council Regulation (EU) N°642/2014 of 16 June 2014 establishing the Shift2Rail Joint Undertaking

(OJ L 177, 17.6.2014, p. 9).

Regulation (EU) No 1291/2013 of the European Parliament and of the Council of 11 December

2013 establishing Horizon 2020 — the Framework Programme for Research and Innovation for

the period 2014-2020 and repealing Decision No 1982/2006/EC (OJ L 347, 20.12.2013, p. 104), as

well as Regulation (EU) No 1290/2013 of the European Parliament and of the Council of 11

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December 2013 laying down the rules for participation and dissemination in Horizon 2020 (OJ L

347, 20.12.2013, p. 81).

The Financial Rules of the S2R JU, as adopted by the Governing Board of the S2R JU on 30 July

2014.

2.3 Budgetary and financial management

The Governing Board of the S2R JU adopted its yearly budgets for 2014 and for 2015 on 15 October

2014. The budgets consist of the statements of revenue and expenditure for each year, together with

the staff establishment plans.

The total budget of the S2R JU for 2014 was EUR 998 800, split equally among the Commission and

the non-Commission members, to cover staff costs and administrative expenditures only. No

operational budget was included as the JU did not launch any research and innovation actions in

2014. The adopted budget was in fully line with the initial estimates from the Commission regarding

the budgetary needs during the JU's start-up phase7.

In accordance with Article 19 of the S2R Regulation, the Executive Director ad Interim of the S2R JU

and the European Commission were in charge of executing the S2R JU budget in 2014.

This meant that payments to third parties (beneficiaries, suppliers, staff) were carried out by the

Commission from the JU budget lines and administered following the provisions of the Financial

Regulation. All financing decisions, budgetary commitments, legal commitments were co-signed by

the JU’s legal representative – Interim Executive Director – and the Commission’s authorising officer

by delegation.

In terms of execution of the administrative budget for 2014, the following points should be noted:

The budget needs of the S2R JU were lower than expected due, among others, to the fact that

DG MOVE accommodated the S2R JU free of charge during the start-up phase, until the S2R JU

obtains its own premises. Costs related to the rental of buildings, movable property, IT

infrastructure and equipment, etc. were therefore postponed until 2015.

The late adoption of the budget 2014 meant that the first financial commitments of the

Commission on behalf of the S2R JU could only take place at the end of the year, thereby

resulting in a limited number of payments in 2015. The main payments in 2014 were in relation

to the payment of first staff members taking the office in late 2014, as well as the payment of

meeting costs (Governing Board meetings, meeting of the States Representatives Group and

expert meetings for the evaluation of applications under the call for associated members);

As regards the payment of the 2014 contributions of the founding members to the administrative

expenditures of the JU, the Governing Board agreed that these payments should be claimed by

the JU in 2015 in addition to the 2015 contributions, due to the limited needs in 2014.

2.4 Procurement and contracts

In 2014, S2R JU did not launch any procurement procedures. 7 COM(2013) 922 final

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2.5 Housing, IT and logistics

In the context of the "initial actions" as described in Article 19 of the S2R Regulation, the staff of the

S2R Joint Undertaking is currently located in the premises of DG MOVE and benefits from its IT and

logistical infrastructures.

The interim Executive Director initiated actions in 2014 aiming to identify appropriate office space in

Brussels. After investigating different alternatives, it was decided to house the S2R JU in the same

building as the other previously established Joint Undertakings, such as Clean Sky, IMI or FCH in the

"White atrium" building, located at 56 Avenue de la Toison d'Or in Brussels.

The related rental contract is expected to be signed in early 2015 and the S2R JU will benefit from

similar conditions to the other JUs.

This decision is in line with the Commission Communication "la politique d'installation des services

de la Commission à Bruxelles et à Luxembourg"8, which clearly recommends the gathering of EU

services in a smaller number of larger buildings. In particular, this can be done by enabling EU

services to increase their "share" in buildings where they rent only part of the building.

This option has the advantage of allowing for the development of clear synergies between the JUs

(same IT infrastructure, shared meeting rooms, shared IT and other support services, same secured

connection with Commission building, etc.).

2.6 Human Resources

In addition to the recruitment process for the Executive Director, the S2R Joint Undertaking initiated

on 10 July 2014 two procedures to recruit the first staff of the JU, namely 3 Programme Managers

and 1 Accounting Officer. The vacancy notices were published on the website of EPSO and the

website run by the Shift2Rail promoters.

Four recruitment processes were completed in 2014 and two members of the staff (programme

officers) already took office in November and December 2014. An additional programme officer as

well as the accountant of the JU, who also had been recruited, will take office in January 2015.

In accordance with the staff establishment plan, the recruitment of the JU staff will continue to

progress in 2015 with a view to have the team complete by 2016. Service level Agreements have

been signed with the relevant Commission services (DG HR and PMO) aiming to facilitate the

recruitment, remuneration, training, etc. of the JU staff.

3 GOVERNANCE

In accordance with Article 5 of Annex I of the Council Regulation establishing the S2R JU, the bodies

of the S2R Joint Undertaking are: (a) the Governing Board; (b) the Executive Director; (c) the Scientific

Committee; (d) the States Representatives Group.

8 COM(2007)501

16

3.1 Governing Board

The Governing Board of the JU was formally established after the 8 Founding Members of the S2R JU

other than the Union listed in Annex II to the S2R Regulation (rail equipment manufacturers Alstom,

Ansaldo STS, Bombardier, Construcciones y Auxiliar de Ferrocarriles (CAF), Siemens and Thales, and

infrastructure managers Network Rail (UK) and Trafikverket (SE)) formally accepted the S2R Statutes

and once all founding members, including the Union, nominated their representatives and alternate

representatives to the Board.

In accordance with the S2R Regulation, the JU Governing Board is currently composed of two

representatives from the Commission and one representative from each of the founding members of

the S2R Joint Undertaking other than the Union. Once the procedure for selecting associated

members will be completed and the Steering Committees for each Innovation Programme (IP) have

been formed, the number of representatives in the Governing Board will be extended to include

representatives from the Associated Members, on the basis of the shortlists proposed by the IP

Steering Committees. .

In line with the provisions of the S2R Statutes, a representative of the European Railway Agency and

the chairperson of the States Representatives Group have also been invited to attend meetings of

the Governing Board as observers and take part in its deliberations, but with no voting rights.

The composition of the Governing Board in 2014 is as follows:

Main representative Alternate

EUROPEAN COMMISSION (DG MOVE) João Aguiar Machado Magda Kopczynska

EUROPEAN COMMISSION (DG RTD) Rudolf Strohmeier Manuela Soares

ALSTOM Nicolas Castres-Saint-Martin Daniel Cadet

ANSALDO STS Giovanni Bocchetti Antonio Ruggieri

BOMBARDIER Josef Doppelbauer Markus Dengler

CAF José Gortazar Aitor Galarza

NETWORK RAIL Jerry England Andrew Doherty

SIEMENS Roland Edel Lars Bergmann

THALES Christian Gregoire Yves Perreal

TRAFIKVERKET Bo Olsson Christer Löfving

Three meetings of the Governing Board were organised in 2014:

30 July 2014

15 October 2014

16 December 2014

Asides from dealing with the preparation and adoption of all the basic legal, administrative and

financial documents required with a view to achieving operational autonomy, the Board worked on

preparing the Shift2Rail Strategic Master Plan, which sets out the research and innovation priorities

of the S2R JU and on the implementation of the call for Associated Members to the S2R JU.

The following decisions were approved by the Board:

17

Decision N°1/2014 - Rules of procedure of the Governing Board of the Shift2Rail Joint

Undertaking: The document circulated prior to the meeting was approved subject to some

minor amendments agreed during the meeting (see point 4 below).

Decision N°2/2014 - Financial rules of the Shift2Rail Joint Undertaking: The document

circulated prior to the meeting was approved with no amendments (see point 5 below).

Decision N°3/2014 - Approval of the Shift2Rail Strategic Master Plan (decision taken by

written procedure)

Decision N°4/2014 - The budget and establishment plan of the S2R JU for 2014 and for 2015

Decision N°5/2014 - A decision in principle of the establishment of user requirements

working groups, a system integration working group and an implementation and deployment

working group. These groups will assist the JU in fulfilling its objectives and promoting an

inclusive approach to the widest range of stakeholders. The Governing Board tasks the

Executive Director with initiating the process for drafting the terms of reference of these

groups and making a proposal for the procedure and timing of their establishment.

Decision N°6/2014 - The process and criteria for selection of the Shift2Rail Scientific

Committee members. The Governing Board tasks the Executive Director with publishing the

call for the expressions of interest for the selection of Members of the Scientific Committee

of the Shift2Rail Joint Undertaking by 22 October.

3.2 Executive Director

In accordance with Article 19 of the S2R Regulation, the European Commission has appointed an

Executive Director ad Interim, Mr. Christos Economou from DG MOVE on 09 July 2014.

In parallel, the recruitment process for the position of Executive Director was also launched on 25

July 2014 (vacancy notice COM/2014/10363). The vacancy notice was published on the website of

EPSO and the website run by the Shift2Rail promoters. The deadline for applications was 22

September 2014. 44 applications were received. The selection procedure for this position is still

ongoing and is expected to be completed by mid- 2015.

3.2.1. States Representatives Group

Following the entry into force of the S2R Regulation, Members States and countries associated to the

Horizon 2020 framework programme were asked to nominate their representatives to the States

Representatives Group, in accordance with Article 14 of the S2R Statutes. To date, the 27 countries

have nominated representatives to the Group. The list is as follows:

Country Name First Name Organisation

Albania Gjermeni Leonidha Deputy Administrator of the Albanian Railways

Austria Krautsack Sarah Austrian Federal Ministry for Transport, Innovation and Technology

Belgique Geens Peter FOD Mobiliteit en Vervoer

Croatia Lazor Damir Ministry of Maritime Affairs, Transport and Infrastructure

Cyprus Lambrinos Michael Public Works Department, Ministry of Communications & Works

18

Czech Republik Haltuf Miroslav Independent expert, H - Comp consulting

Denmark Selsmark Niels Danish Transport Authority

Estonia Haidak Toomas Ministry of Economic Affairs and Communications

Finland Hilska Lassi Ministry of Transport and Communications

France Cheron Christophe Ministère de l'Écologie, du Développement durable et de l'Énergie

Germany Küpper Wolfgang Head of Unit LA 10, Railway Policy, at the Federal Ministry of Transport and Digital Infrastructure

Greece AGIASOGLOU Stefanos Ministry of Infrastructure, Transport and Networks

Hungary Gecse Gergely Ministry of National Development - Department for Transport Infrastructure

Italy Violi Alessandro Ministero delle Infrastrutture e dei Trasporti - Dipartimento Trasporti nel Gruppo consultivo a supporto dell'impresa comune Shift2Rail

Latvia Riekstiņš Māris Deputy Director of the Department of Railway, Ministry of Transport

Lithuania Tamulis Vidmantas

Head of the Railway Transport Division of the Water and Railway Transport Policy Department of the Ministry of Transport and Communications

Luxembourg Poeker Jeannot Inspecteur Principal

Netherlands van der Burg

Rob Ministry of Infrastructure and Environment, department Rail Transport

Norway Rognes Ingunn Norwegian Ministry of Transport and Communications

Portugal

Afreixo Nunes da Cruz

José Manuel Instituto da Mobilidade e dos Transportes, I.P.

Romania Anoaica Dragoş Ministry of Transport

Slovakia Magdechová Katarína Ministry of Transport, Construction and Regional Development of the Slovak Republic

Slovenia Pregl Miloš Ministry of Infrastructure

Spain Martínez Real Jaime Ministry of Transport

Turkey Ay Mustafa TUBITAK

Ukraine Kulachok Volodymyr Head of Division of Economic Analysis in Rail Sector / ministry of Infrastructure

United Kingdom Brown Chris Rail Technical International and Safety Team of the Rail Executive of the Department for Transport in the UK

A first meeting of the States Representatives Group was organised on 16 October 2014 in Brussels.

The States Representatives Group adopted its rules of procedures at its first meeting. It also

proceeded with the election of the Chair and Vice-Chair persons. In December 2014, the SRG also

adopted by written procedure a list of recommended nominees for the Scientific Committee.

3.2.2. Scientific Committee

The S2R Joint Undertaking launched the selection procedure of its Scientific Committee on 21

October 2014 through the publication of an open call for expression on interest, in accordance with

Article 13 of the S2R Statutes. The call document (Ref. S2R JU/SC/01/20149) lists the eligibility

9 http://ec.europa.eu/transport/modes/rail/news/doc/2014-10-22-shift-to-rail-call/call-members-scientific-

committee.pdf

19

conditions, evaluation and selection criteria and procedures for applications. The deadline for

applications was 22 December 2014.

The call was published on the website of DG MOVE and the website of the S2R promoters

(www.shift2rail.org). In accordance with the S2R Regulation, the call was also advertised through the

ERRAC technology platform, the European Railway Agency and the States Representatives Group,

who were invited to nominate potential candidates.

61 applications were received in response to the call, of which 55 were male applicants and 6 were

female applicants. The applications were received from applicants representing 17 different EU

Member States and 5 non-EU Member States. Among these, 24 candidates received nominations

from the States Representatives Group and/or ERRAC.

1 application was deemed ineligible. 1 application was deemed inadmissible. The selection panel will

complete the evaluation of the application in the first months of 2015 and the S2R Scientific

Committee is expected to be established in the first half of 2015.

3.3 Innovation Programme’s Steering Committees

The Shift2Rail Regulation foresees the establishment of Steering Committees for each Innovation

Programme (Article 11 of the Statutes). However, these will only be established once the associated

members have been selected. Each Steering Committee will have to adopt its rules of procedure,

based on a common model approved by the Governing Board.

3.4 European Railway Agency

Article 12 of the Shift2Rail Statutes clarifies the areas of cooperation between the Shift2Rail Joint

Undertaking and the European Railway Agency. A number of meetings have been organised with the

staff of ERA during the drafting of the Master Plan. Moreover, ERA has been present in all meetings

of the S2R Governing Board, in which it participated as an observer (cf. 3.1).

4 INTERNAL CONTROL FRAMEWORK

4.1 Financial Procedures

As the S2R JU has not yet obtained its financial autonomy, the budgetary and financial management

of the S2R JU is integrated in EC DG Mobility and Transport financial management, according to the

Commission's financial procedures. The S2R JU manual of Financial Procedures will be prepared in

line with Article 17(3) of the financial rules of the S2R JU and incorporated to the ABAC

Implementation. The main purpose of the document is to describe the financial circuits, identify

actors and detail check lists on the implementation of S2R JU budget. The financial circuits will take

into account the structure of S2R JU and the risks associated with the management environment.

They will be established in order to standardise the mandatory steps of the processing of financial

transactions.

20

4.2 Ex-ante Controls on operational Expenditure

No operational expenditures were executed in 2014, thus no ex-ante controls on these were

implemented.

4.3 Ex-post Control of Operational Expenditure and Error Rates

Identified

N.A.

4.4 Audit of the European Court of Auditors

N.A.

4.5 Internal Audit

N.A.

4.6 Risk management

During 2014 S2R JU risk management was integrated in EC DG Mobility and Transport Risk

management.

Within the Commission Risk Management is defined as:

"A continuous, proactive and systematic process of identifying, assessing, and managing risks in line

with the accepted risk levels, carried out at every level of the Commission to provide reasonable

assurance as regards the achievement of the objectives".

Practically, risk management is about taking the necessary time to identify and carefully assess

potential problems (risks) that could affect the execution of the organisation's activities and the

achievement of its objectives. The risks are prioritised according to their relative significance, and

actions are taken to reduce them to a "tolerable" level. Hence, the aim is neither to avoid risks at all

costs, nor to reduce the risk to zero. Indeed, a certain degree of risk-taking is necessary to keep the

organisation dynamic.

For background information, see the Communication to the Commission - "Towards an effective and

coherent risk management in the Commission services" (SEC(2005)1327).

4.7 Compliance and effectiveness of Internal Control

The Internal Control Standards and the Internal Control Framework are under preparation.

The Internal Control Framework (ICF) will aim to help the JU to address different types of

management issues and risks, so that reasonable assurance regarding the proper execution of the

whole operational system can been gained.

Internal Control Standards will be based on the same principles as applied by the Commission and

adapted to the JU's context and specificities. The JU's ICS will have to be adopted by the Governing

21

Board and provide generic management principles and set out the minimum requirements for the

control activities.

5 MANAGEMENT ASSURANCE

5.1 Assessment of the Annual Activity Report by the Governing Board

The Annual Activity Report 2014 was sent to the Governing Board on 4 March 2015 and the Executive

Director presented the report during the Governing Board meeting on 31 March.

The Board is of the opinion that this documents sets out the relevant highlights of the

implementation of the 2014 activities of the Joint Undertaking from both an administrative and

operational point of view. The accuracy and completeness of the various activities had been

improved during the initial set-up phase of the JU carried out by the European Commission. This

document clearly reports on the achievements of the objectives set for the first year: the level of

achievement is considered satisfactory.

5.2 Elements supporting assurance

5.3 Results from audits during the reporting year and follow up of

previous audits

5.4 Reservations

5.5 Overall conclusion

6 OBJECTIVES AND MAIN MILESTONES FOR 2015

Activities in 2015 will principally be focused on completing the establishment of the S2R JU, including

further preparatory actions to lead to the operational independence of the S2R JU, as well as the

continuation of activities started in 2014 with a view to launching the JUs first activities.

In particular, the JU is expected to finalise the recruitment procedure for the Executive Director of

the JU, and to recruit other key staff members (Head of Programme, legal officer, financial assistant,

communications officer, HR assistant, etc.).

The implementation of the ABAC system should also progress, enabling the JU to achieve financial

autonomy, subject to the conditions provided for under Article 19 of the S2R Regulation (initial

actions). At the same time, the JU will normally move into the White Atrium building, a further step

towards its administrative and operational autonomy. .

23

1 ANNEXES

ANNEX A Organisational chart of the S2R JU

24

ANNEX B Establishment plan

Staff population 2014* 2015**

Est

abli

shm

ent

pla

n p

ost

s

Officials

AD

AST

AST/SC

TA

AD 14 1 1

AD 9 1 2

AD 8

1

AST

AST/SC

Total 2 4

Exte

rnal

Per

sonnel

CA GFIV 2 5

CA GF III 1 3

CA GF II 1 2

CA GFI

Total CA 4 10

SNE

Structural service

providers

TOTAL 6 14

External staff for

occasional

replacement

* Staff population in voted EU Budget

** Staff population in Draft EU Budget

25

ANNEX C Indicators and Scoreboard of KPIs

TABLE I

Horizon 2020 Key Performance Indicators1 common to all JTI JUs

Co

rre

spo

nd

en

ce t

o g

en

era

l A

nn

ex

1

Key Performance Indicator Definition/Responding to

question Type of data required Data to be provided by

Baseline at the start of H2020

(latest available)

Target at the end of H2020

Automated

IND

UST

RIA

L LE

AD

ERSH

IP

12

SME - Share of participating SMEs introducing innovations

new to the company or the market (covering the period

of the project plus three years);

Based on Community Innovation Survey (?). Number and % of participating SMEs that have

introduced innovations to the company or to the market;

Number of SMEs that have introduced innovations;

H2020 beneficiaries through project reporting

n.a. [new approach

under H2020]

50%

Yes

13 SME - Growth and job creation in participating SMEs

Turnover of company, number of employees

Turnover of company, number of employees;

H2020 beneficiaries through project reporting

n.a. [new approach

under H2020]

to be developed based on FP7 ex-post

evaluation and /or first H2020 project

results

Yes

SOC

IETA

L

CH

ALE

NG

ES

14 Publications in peer-reviewed high impact journals in the

area of the JTI

The percentage of papers published in the top 10% impact

ranked journals by subject category.

Publications from relevant funded projects (DOI: Digital Object Identifiers); Journal

impact benchmark (ranking) data to be collected by commercially available bibliometric databases.

H2020 beneficiaries through project reporting;

Responsible Directorate/Service (via access to appropriate

bibliometric databases)

n.a. [new approach

under H2020]

[On average, 20 publications per €10 million funding (for

all societal challenges)]

Yes

1 (based on Annex II to Council Decision 2013/743/EU)

26

Co

rre

spo

nd

en

ce t

o g

en

era

l A

nn

ex

1

Key Performance Indicator Definition/Responding to

question Type of data required Data to be provided by

Baseline at the start of H2020

(latest available)

Target at the end of H2020

Automated

15 Patent applications and patents awarded in the area

of the JTI

Number of patent applications by theme; Number of awarded

patents by theme

Patent application number H2020 beneficiaries through project reporting;

Responsible Directorate/Service (via

worldwide search engines such as ESPACENET, WOPI)

n.a. [new approach

under H2020]

On average, 2 per €10 million funding

(2014 - 2020) RTD A6 Yes

16 Number of prototypes testing activities and clinical trials2

Number of prototypes, testing (feasibility/demo) activities,

clinical trials

Reports on prototypes, and testing activities, clinical trials

H2020 beneficiaries through project reporting

n.a. [new approach

under H2020]

[To be developed on the basis of first

Horizon 2020 results]

Yes

17 Number of joint public-private publications in

projects

Number and share of joint public-private publications out of all

relevant publications.

Properly flagged publications data (DOI) from relevant

funded projects

H2020 beneficiaries through project reporting;

Responsible Directorate/Service (via DOI

and manual data input-flags)

n.a. [new approach

under H2020]

[To be developed on the basis of first

Horizon 2020 results]

Yes

18* New products, processes, and methods launched into the

market

Number of projects with new innovative products, processes,

instruments, methods, technologies

Project count and drop down list allowing to choose the type processes, products,

instruments, methods, technologies

H2020 beneficiaries through project reporting

n.a. [new approach

under H2020]

[To be developed on the basis of first

Horizon 2020 results] Yes

EVA

LUA

TIO

N

NA

Time to inform (average time in days) all applicants of the

outcome of the evaluation of their application from the

final date for submission of completed proposals

To provide applicants with high quality and timely evaluation

results and feedback after each evaluation step by implementing and monitoring a high scientific

level peer reviewed process

Number of days (average) Joint Undertaking

FP7 latest know results?

Yes

2 Clinical trials are IMI specific

27

Co

rre

spo

nd

en

ce t

o g

en

era

l A

nn

ex

1

Key Performance Indicator Definition/Responding to

question Type of data required Data to be provided by

Baseline at the start of H2020

(latest available)

Target at the end of H2020

Automated

NA

Time to inform (average time in days) successful applicants

of the outcome of the evaluation of their

application from the final date for submission of completed proposals

Number of days (average) Joint Undertaking

FP7 latest know results

Yes

NA

Redress after evaluations To provide applicants with high quality and timely evaluation

results and feedback after each evaluation step by implementing and monitoring a high scientific

level peer reviewed process

Number of redresses requested

Joint Undertaking

FP7 latest know results

GR

AN

TS NA

Time to grant measured (average) from call deadline to signature of grants

To minimise the duration of the granting process aiming at

ensuring a prompt implementation of the Grant Agreements through a simple

and transparent grant preparation process

Cumulatively in days Average under H2020 (days) TTG < 270 days ( as %of GAs

signed)

Joint Undertaking (automatized)

n.a. [new approach

under H2020]

Yes

NA

Time for signing grant agreements from the date of informing successful applicants (average values)

Average under H2020 (days)

Joint Undertaking

n.a. [new approach

under H2020]

Yes

AU

DIT

S

NA Error rate % of common representative

error; % residual error CAS n.a. [new

approach under H2020]

Yes

NA

Implementation of ex-post audit results

Number of cases implemented; in total

€million; ´of cases implemented/total cases

CAS n.a. [new approach

under H2020]

Yes

28

Co

rre

spo

nd

en

ce t

o g

en

era

l A

nn

ex

1

Key Performance Indicator Definition/Responding to

question Type of data required Data to be provided by

Baseline at the start of H2020

(latest available)

Target at the end of H2020

Automated

PA

YM

ENTS

NA

Time to pay (% made on time)

-pre-financing - interim payment

-final payment

To optimize the payments circuits, both operational and

administrative, including payments to experts

Average number of days for Grants pre-financing, interim

payments and final payments;

Average number of days for administrative payments;

Number of experts appointed

Joint Undertaking

FP7 latest know results

-pre-financing (30 days)

- interim payment (90 days)

-final payment ((90days)

Yes

HR

NA

Vacancy rate (%) % of post filled in, composition of the JU staff 3

Joint Undertaking

n.a. [new approach

under H2020]

JU E

FFIC

IEN

CY

NA

Budget implementation/execution:

1. % CA to total budget 2. % PA to total budget

realistic yearly budget proposal, possibility to monitor and report

on its execution, both in commitment (CA) and payments (PA), in line with sound financial

management principle

% of CA and PA Joint Undertaking

100% in CA and PA

Yes

NA

Administrative Budget: Number and % of total of late

payments

realistic yearly budget proposal, possibility to monitor and report

on its execution in line with sound financial management

principle

Number of delayed payments % of delayed payments (of

the total)

Joint Undertaking

Yes

NOTES: 18* This indicator is not a legally compulsory one, but it covers several additional specific indicators requested for more societal challenges by the services in charge.

3 Additional indicators can be proposed/discussed with R.1 and/or DG HR

29

TABLE II

Indicators for monitoring H2020 Cross-Cutting Issues4 common to all JTI JUs

Co

rre

spo

nd

e

nce

in t

he

ge

ne

ral

An

ne

x 2

Cross-cutting issue

Definition/Responding to question Type of data required Data to be provided by

Data to be provided

in/to

Direct contributio

n to ERA

Automated

2

Wid

en

ing

the

par

tici

pat

ion

2.1 Total number of participations by EU-28 Member State Nationality of H2020 applicants & beneficiaries (number of )

H2020 applicants & beneficiaries at the submission and grant agreement signature stage

JU AAR RTD

Monitoring Report

YES Yes

2.2 Total amount of EU financial contribution by EU-28 Member State (EUR millions)

Nationality of H2020 beneficiaries and corresponding EU financial contribution

H2020 beneficiaries at grant agreement signature stage

JU AAR RTD

Monitoring Report

YES Yes

NA Total number of participations by Associated Countries Nationality of H2020 applicants & beneficiaries (number of )

H2020 applicants & beneficiaries at the submission and grant agreement signature stage

JU AAR RTD

Monitoring Report

YES Yes

NA Total amount of EU financial contribution by Candidate Country (EUR millions)

Nationality of H2020 beneficiaries and corresponding EU financial contribution

H2020 beneficiaries at grant agreement signature stage

JU AAR RTD

Monitoring Report

YES Yes

3

SMEs

par

tici

pat

ion

3.1 Share of EU financial contribution going to SMEs (Enabling & industrial tech and Part III of Horizon 2020)

Number of H2020 beneficiaries flagged as SME; % of EU contribution going to beneficiaries flagged as SME

H2020 beneficiaries at grant agreement signature stage

JU AAR RTD

Monitoring Report

Yes

4 (based on Annex III to Council Decision 2013/743/EU)

30

Co

rre

spo

nd

e

nce

in t

he

ge

ne

ral

An

ne

x 2

Cross-cutting issue

Definition/Responding to question Type of data required Data to be provided by

Data to be provided

in/to

Direct contributio

n to ERA

Automated

6

Ge

nd

er

6.1 Percentage of women participants in H2020 projects Gender of participants in H2020 projects

H2020 Beneficiaries through project reporting

YES Yes

6.2 Percentage of women project coordinators in H2020 Gender of MSC fellows, ERC principle investigators and scientific coordinators in other H2020 activities

H2020 beneficiaries at the grant agreement signature stage

YES Yes

6.3 Percentage of women in EC advisory groups, expert groups, evaluation panels, individual experts, etc.

Gender of memberships in advisory groups, panels, etc.

Compiled by Responsible Directorate/ Service/Joint Undertaking based on existing administrative data made available by the CSC

YES

7

Inte

rnat

ion

al

coo

per

atio

n

7.1 Share of third-country participants in Horizon 2020 Nationality of H2020 beneficiaries H2020 beneficiaries at the grant agreement signature stage

JU AAR RTD

Monitoring Report

YES Yes

7.2 Percentage of EU financial contribution attributed to third country participants

Nationality of H2020 beneficiaries and corresponding EU financial contribution

H2020 beneficiaries at the grant agreement signature stage

JU AAR RTD

Monitoring Report

YES Yes

31

Co

rre

spo

nd

e

nce

in t

he

ge

ne

ral

An

ne

x 2

Cross-cutting issue

Definition/Responding to question Type of data required Data to be provided by

Data to be provided

in/to

Direct contributio

n to ERA

Automated

9

Bri

dgi

ng

fro

m d

isco

very

to

mar

ket

5

9.1 Share of projects and EU financial contribution allocated to Innovation Actions (IAs)

Number of IA projects Project Office – at GA signature stage he/she will be required to flag on SYGMA. Responsible Directorate/Service (WP coordinator)/Joint Undertaking - via tool CCM2

JU AAR RTD

Monitoring Report

Yes

9.2 Within the innovation actions, share of EU financial contribution focussed on demonstration and first-of-a-kind activities

Topics properly flagged in the WP; follow-up at grant level

Responsible Directorate/Service (WP coordinator)/Joint Undertaking - via tool CCM2

JU AAR RTD

Monitoring Report

Yes

NA Scale of impact of projects (High Technology Readiness Level)

Number of projects addressing TRL6 between…(4-6, 5-7)?

Joint Undertaking JU AAR RTD

Monitoring Report

11

Pri

vate

se

cto

r

par

tici

pat

ion

11.1 Percentage of H2020 beneficiaries from the private for profit sector

Number of and % of the total H2020 beneficiaries classified by type of activity and legal status

H2020 beneficiaries at grant agreement signature stage

JU AAR RTD

Monitoring Report

Yes

11.2 Share of EU financial contribution going to private for profit entities (Enabling & industrial tech and Part III of Horizon 2020)

H2020 beneficiaries classified by type of activity; corresponding EU contribution

H2020 beneficiaries at grant agreement signature stage

JU AAR RTD

Monitoring Report

Yes

12

Fun

d

ing

for

PP

Ps

12.1 EU financial contribution for PPP (Art 187) EU contribution to PPP (Art 187) Responsible Directorate/Service/

JU AAR RTD

Yes

5 This indicator (9.2) is initially intended to monitor the Digital Agenda (its applicability could be only partial)

6 TRL: Technology Readiness Level

32

Co

rre

spo

nd

e

nce

in t

he

ge

ne

ral

An

ne

x 2

Cross-cutting issue

Definition/Responding to question Type of data required Data to be provided by

Data to be provided

in/to

Direct contributio

n to ERA

Automated

Monitoring Report

12.2 PPPs leverage: total amount of funds leveraged through Art. 187 initiatives, including additional activities, divided by the EU contribution

Total funding made by private actors involved in PPPs - in-kind contribution already committed by private members in project selected for funding - additional activities (i.e. research expenditures/investment of industry in the sector, compared to previous year)

Joint Undertaking Services

JU AAR RTD

Monitoring Report

13

Co

mm

un

icat

ion

and

dis

sem

inat

ion

13.3 Dissemination and outreach activities other than peer-reviewed publications - [Conferences, workshops, press releases, publications, flyers, exhibitions, trainings, social media, web-sites, communication campaigns (e.g radio, TV)]

A drop down list allows to choose the type of dissemination activity. Number of events, funding amount and number of persons reached thanks to the dissemination activities

H2020 Beneficiaries through project reporting

JU AAR RTD

Monitoring Report

YES Yes

14

Par

tici

pat

ion

pat

tern

s o

f

ind

epen

den

t ex

pe

rts

14.2 Proposal evaluators by country Nationality of proposal evaluators Responsible Directorate/Service/Joint Undertaking in charge with the management of proposal evaluation

14.3 Proposal evaluators by organisations' type of activity Type of activity of evaluators' organisations

Responsible Directorate/Service/Joint Undertaking in charge with the management of proposal evaluation

YES

33

Co

rre

spo

nd

e

nce

in t

he

ge

ne

ral

An

ne

x 2

Cross-cutting issue

Definition/Responding to question Type of data required Data to be provided by

Data to be provided

in/to

Direct contributio

n to ERA

Automated

NA

Par

tici

pat

ion

of

RTO

s an

d

Un

iver

siti

es

Participation of RTO7s and Universities in PPPs (Art 187 initiatives)

Number of participations of RTOs to funded projects and % of the total Number of participations of Universities to funded projects and % of the total % of budget allocated to RTOs and to Universities

H2020 beneficiaries at the grant agreement signature stage

JU AAR RTD

Monitoring Report

YES Yes

NA

Eth

ics

The objective is ensuring that research projects funded are compliant with provisions on ethics efficiently

% of proposals not granted because non-compliance with ethical rules/proposals invited do grant (target 0%); time to ethics clearance 5target 45 days)8

Responsible Directorate/Service/Joint Undertaking

JU AAR RTD

Monitoring Report

Notes:

* H2020 applicants - all those who submitted H2020 proposals

*H2020 beneficiaries - all those who have signed a H2020 Grant Agreement

*Responsible Directorate - DG RTD Directorates and R&I DGs family in charge with management of H2020 activities

*Services -Executive Agencies and other external bodies in charge with H2020 activities

*Project officer - is in charge of managing H2020 projects in Responsible Directorate/Service including Executive Agencies

7 RTO: Research and Technology Organisation 8 Data relates to pre-granting ethics review. This time span runs in parallel to granting process.

34

TABLE III

Draft Key Performance Indicators specific for the S2R JU

# Key Performance Indicator Objective

Data to be provided by

Baseline at the start of H2020

Target at the end of H2020

Automated

S2R

1

% reduction in the costs of developing, maintaining, operating and renewing infrastructure and rolling stock and increase energy efficiency compared to "State-of-the-art"

Reduce the life-cycle cost of the railway transport

system JU "State-of-the-art" 2014 > 50 % No

2

% increase the capacity of railway segments to meet increased demand for passenger and freight railway services compared to "State-of-the-art" 2014

Enhance the capacity of the railway transport system

JU "State-of-the-art" 2014 100% No

3 % decrease in unreliability and late arrivals compared to "State-of-the-art" 2014

Increase in the quality of rail services

JU "State-of-the-art" 2014 > 50% No

4

Reduce noise emissions and vibrations linked to rolling stock and respectively infrastructure compared to "State-of-the-art" 2014

Reduce the negative externalities linked to

railway transport JU "State-of-the-art" 2014 > 3 - 10 dBA No

5 Number of TSI open points closed compared to "State-of-the-art" 2014

Enhance interoperability of the railway system

JU "State-of-the-art" 2014 > 20-30% No

6 Number of Integrated Technology Demonstrators (ITDs) and System Platform demonstrations

Improve market uptake of innovative railway solutions

through large-scale demonstration activities

JU tbd in the Multi Annual

Work Plan Yes

35

# Key Performance Indicator Objective

Data to be provided by

Baseline at the start of H2020

Target at the end of H2020

Automated

7

Share of the fund allocated to the

different Innovation Programmes and to

cross-cutting themes

Ensure that funding covers the railway system as a

whole JU n.a. n.a. No

8 Percentage of topics resulting in signature of GA

Ensure a sufficiently high call topics success rate

JU n.a. > 90% Yes

9 % of resources consumption versus plan (members only)

WP execution by members - resources

JU n.a. > 80% Yes

10 % of deliverables available versus plan (members only)

WP execution by members - deliverables

JU n.a. > 80% Yes

36

ANNEX D Draft Annual accounts

The S2R JU has not yet obtained its financial autonomy. Thus, the financial transactions relating to the JU are integrated in the Annual Accounts of the European Commission.