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The Research Fundfor Coal and Steel
of the European Commission
Katowice, 21 February 2013
Mario IamarinoAnna Zietek
DG Research and Innovation Directorate G - Industrial Technologies
1. RFCS: history, activities, benefits
2. RFCS vs Framework Programmes
3. Proposal submission and evaluation steps
4. Technical Reporting
5. Financial Reporting
Structure of Presentation
European Coal and Steel CommunityTreaty of Paris - 1951
...expired in 2002
European Coal and Steel CommunityMain scope
- coordination of the national coal and steel sectors
- boosting economical progress through cooperation
- ensuring stability
- supporting technological innovation by co-financing research projects
Main financial resources: levies on coal and steel products paid by the companies non-public money
1952
1973
1981
1986
The ECSC Flag
Launching of theResearch Fund for Coal and Steel
Treaty of Nice - 2001
The residual assets of the ECSC are transferred to the European Commission
10 Years of RFCSLuxembourg, September 2012
ECSC Assets
Current investment portfolio: 1 673 million €
Interests generated annually : 3 %
Annual budget for the programme: 50 – 60 million €
Revenues made available so far: 563 million €
50-60 million € / year50-60 million € / year
Steel:72.8%
Coal:27.2 %
Annual BudgetAnnual Budget
Annual BudgetAnnual Budget
Th
e C
om
mis
sio
n
Technical Groups
CAG/SAG
COSCO
RFCS Programme management
Programme CommitteeRepresentatives of the
Member States 1)
Coal / Steel Advisory GroupRecommended
representatives 2)
12 Technical GroupsSenior Experts for
project monitoring & review 2)
1) Appointed by the Member States2) Appointed by the EC
COUNCIL DECISION 2008/376/EC on the adoption of the Research Programme of the Research Fund for Coal and Steel and on the multiannual technical guidelines for this programme.
The RFCS Legal BasisThe RFCS Legal Basis
Highly industry-oriented….
4. Improving the competitive position of Community coal
5. Health and safety in mines6. Efficient protection of the environment
and improvement of the use of coal as a clean energy source
7. Management of external dependence on energy supply
Articles:
Coal Research ObjectivesCoal Research Objectives
8. New and improved steelmaking & finishing techniques
9. RTD and the utilisation of steel10. Conservation of resources and
improvement of working conditions
Articles:
Steel Research ObjectivesSteel Research Objectives
Eligible Actions: • Research projects (60% funding)
to cover investigative or experimental work with the aim of acquiring further knowledge
• Pilot projects (50% funding)development of an installation with a view to examining the potential for putting theoretical
or laboratory results into practice
• Demonstration projects (50% funding)construction or operation of an industrial-scale installation for the industrial and/or
commercial exploitation of the technology at minimum risk
• Accompanying measures (60% funding, up to 100% in special cases)promotion of the use of knowledge gained in projects of the Research Programme
~ 15 €/y
Project Synopses
Collection of about 550 projects (2003 – 2013),Completed projects have direct link to final report.
http://cordis.europa.eu/coal-steel-rtd/home_en.html
Project Synopses
Success Stories
http://cordis.europa.eu/coal-steel-rtd/home_en.html
Success Stories
http://cordis.europa.eu/coal-steel-rtd/home_en.html
Benefits from the RFCS
An insight into theMonitoring and Assessment
Exercise
Why ?
• The exercise is foreseen every 7 years in the Legal Basis(Last one in 2006 due date is 2013)
• An expert committee has been appointed and has formulated a working method
• Draft results are now available for both the monitoring and assessment exercises
• Final version to be published at the end of 2013
How ?
Assessment of 198 projects completed over the period 2003 - 2020
78 projectsidentified by TG Rapporteurs as promising for quantification
of benefit
198 projectsbeing
completedin the
evaluation period with approved
Final Report
46 projects selected for
In depth assessment
23% of projects
selected
23% of projectsassessedin-depth
RFCS projects rated as very successful
High degree of achievement of the individual objectives of the projects
0% 20% 40% 60% 80% 100%
scientific
technical
economical
social
100%
80%
60%
40%
coal & steel
degree of achievement
Outcomes of the projects
Practically and industrially validated solutions, ready for dissemination
0% 20% 40% 60% 80% 100%
knowledge
recommendation
new practice
new process
numerical model
new solution
new product
measuring device
coal & steel
In-depth assessment
Examples of benefits provided by the projects
• Quantified Benefits : Financial Returns estimated at the project level for the beneficiaries• Operational cost reduction• Productivity improvement• Energy, raw materials savings• New market shares
• Qualitative Benefits• New knowledge• Environmental benefit• Health, safety, working conditions
Examples of financial returns (Coal sector)
• Coal Mining• New mechanisation and automation of longwall mining equipment
Productivity increase with a fully automated shearer loader system 1.5 M€/y/longwall; potential 45 M€/y (EU)
Cost reduction: decrease of labour cost, increase of running time 0.1 M€/y/longwall; potential 3 M€/y (EU)
sales of the automated shearer loader in booming markets
• Clean Coal technologies• Cost saving in power plants
Increase of plant availability by 1 % 1 M€/yCost saving by avoiding wrong investment of cleaning system 10 M€
• Coal Conversion• Improving coke battery life through integrated monitoring
Capital cost net reduction of 5 % through life extension potential 0.75 €/t/y
50 m€/y invested by RFCS
700 m€/y potential benefits
1. RFCS: history, activities, benefits
2. RFCS vs Framework Programmes
3. Proposal submission and evaluation steps
4. Technical Reporting
5. Financial Reporting
Structure of Presentation
Research and InnovationSources for EU funding at DG RTD
• Framework programmes 1984 – 2020• (FP1… FP7, Horizon 2020)
• RFCS 2003 - ?
Research and InnovationSources for EU funding at DG RTD
• Framework programmes € 11 b/y• (FP1… FP7, Horizon 2020)
• RFCS € 52 m/y
In 2013:
FP7 budget breakdown
Complementary to RFCS
Transition from FP7 to…
Total: € 960 bn (European summit 7-8/2/2013)
Budget Horizon 2020: € 80 bn(not confirmed)
RFCS versus
Framework Programmes
RFCS FPs
Does not rely on contributions from member states
Relies on contributions from member states
Bottom - up Top - down
Continuous programme Discontinuous programme
RFCS versus
Framework Programmes
RFCS FPs
Open call(proposal submission limited to June-September)
Calls are announced by the EC
Funding rate: 60% Research50% Demonstration60% Accompanying measures
Funding rate:50-75% Research 50% Demonstration100% Other activities
RFCS versus
Framework ProgrammesRFCS FPs
Actual costsActual costs(average hourly rates still accepted)
Indirect costs:35% of staff costs
Indirect costs:40% of total costs for public bodies and SMEs (60% up to 2010)20% other companies(moving towards actual indirect costs)Actual indirect costs are welcome
RFCS versus
Framework Programmes
RFCS FPs
Fully managed by the European Commission
Partially externalised (executive agencies)
RFCS versus
Framework Programmes
RFCS FPs
Stable Dynamic
1. RFCS: history, activities, benefits
2. RFCS vs Framework Programmes
3. Proposal submission and evaluation
4. Technical Reporting
5. Financial Reporting
Structure of Presentation
WHO can participate?
Any legal entity established in any of the Member States (public or private organizations).
New EU member states (non-ECSC countries) have the some rights to participate as old member states.
Partners from Candidate or Third Countries can participate, but cannot receive funding. From 1 July 2013: Croatia joins EU and can receive RFCS funding.
• Number of partners: 4 - 8• Total budget: 2 - 4 million €• RFCS funding: 1 -2 million €• Duration: 36 – 42 months
No threshold nor limit on budget, consortium size, project duration.
However, typical projects have:
How to submit a proposal• Since 2011, RFCS proposals are to be
submitted electronically through the SEP platform
• Go to RFCS webpage on Cordis:http://cordis.europa.eu/coal-steel-rtd/
41
Submission of proposals
• A1 – General information on the proposal• A2 – Beneficiaries profiles• A3 – Budget
• B1 – Proposal administrative overview• B2 – Proposal description• (B3 – Resubmitted proposals)• B4 – Technical Annex
B4 - TECHNICAL ANNEXContractual document
•Part 1: Project Objectives
• Part 2: Workpackage Description
• Part 3: Bar Chart
1.Proposal
submission(Sept 2013)
submittedproposals
2.eligibility
check
eligibleproposals
ineligibleproposals
3.evaluations
not recommended
for funding
rankinglist
4.budget cut-off
negotiation
unsufficientbudget
5.SAG, COSCOCommission
Decision
Project Start
(Jul 2014)
Proposal Selection Process
• On site evaluation (Brussels)
• 1 week for coal
• 4 weeks for steel
• Around 25 to 30 Experts per week + 1 observer
• Requirement for experts selection • Expertise & Competences • No conflict of interest• Ca. 50% renewal• Max. 3 consecutive participations• Geographical origins • Gender balance
Evaluations
47
Do you want to become an expert?
Expert Registration
• On RFCS website, follow the link to Participant Portal
• For both FP and RFCS • Simple process
48
Selection Criteria(Research, Pilot & Demonstration projects)
1. Scientific and technical approach
2. Innovative content
3. Consistency of resources and quality of partnership
4. Industrial interest and scientific/technical prospects
5. Added value for the European Union
* Required threshold of 3 points
0 - 5 pts*
0 - 5 pts*
0 - 5 pts
0 - 5 pts
0 - 5 pts
Selection Criteria(Accompanying Measures)
1. Contribution to RFCS Objectives
2. Scientific, technical and socio-economic prospects
3. Added value for the European Union
4. Budget and resources
Required threshold : 15 total points
0 - 5 pts
0 - 5 pts
0 - 5 pts
0 - 5 pts
• Different from Project Objectives• Not mandatory• For Research, Pilot and Demonstration only• Available electronically and listed also in Infopack Vol.1
Annual Research Priorities
If a proposal meets an annual priority, it will be awarded 1 extra point
Coal Priorities 2013 (1)
1. 1. Management of environmental risks during or after mine closure
2. 2. Increasing the efficiency of mine production and development by utilising Information and Communication Technologies for improved process optimisation
3. 3. Protection of mine infrastructure in the case of major accident hazards like rock bursts,
gas explosion, fire, etc.
52
Coal Priorities 2013 (2)
• 4. Improving the efficiency and economics of underground coal gasification
• 5. Improvement in coal carbonisation through the use of alternative raw materials in
coking blends• 6. Upgrading of coal-derived liquids
53
Coal Priorities 2013 (3)
• 7. Technological improvements targeting enhanced efficiency and environmental performance of coal fired power plants
• 8. The development of flexible CCS plants in terms of fuel mix and dynamic behaviour
• 9. Pilot projects validation of emerging and innovating technologies leading to efficiency improvements and CO2 capture
54
Annual Research Priorities
Good proposals and bad proposals do not need the priority bonus!
Proposals with intermediate marks may benefit from the priority bonus.
Final mark
bad proposals(not funded)
goodproposals(funded anyway)
Cut-off budget
Step 2: Consensus meeting
When the 3 individual evaluations are ready, these are merged together into one single text (Draft Consensus Report).
Unanimity is required concerning the fact that a proposals passes (or does not pass) the eliminating threshold on criteria 1 and 2.
Proposals received Proposals received
57
Outcomes of the 2012 evaluation exercise
Not yet available!
A written communication will be sent to the Project Coordinators between the end of 2012 and the first months of 2013.
Final remarks & advice
• Strong competition
• High quality level of proposals
• Long process: start early with experienced partners !
• Descriptions should be short & concise, but don't expect the evaluators to dig out necessary information
• Explain improvements in case of resubmission
• Make use of the RFCS projects synopses
• Enrol as an expert (Evaluator)
59
1. RFCS: history, activities, benefits
2. RFCS vs Framework Programmes
3. Proposal submission and evaluation steps
4. Technical Reporting
5. Financial Reporting
Structure of Presentation
Monitoring of the projects is done by:
1 Scientific Project Officer
1 Set of financial officers (allocated by country)
1 Set of external experts (Technical Group)
Technical Groups Coal
TGC1 – Coal mining operation, mine infrastructure and management, unconventional use of coal
TGC2 – Coal preparation, conversion and upgrading
TGC3 – Coal combustion, clean and efficient coal technologies, CO2 capture
Technical Groups Steel
TGS1 – Ore agglomeration and ironmaking
TGS2 – Steelmaking process
TGS3 – Casting
TGS4 – Hot and cold rolling processes
TGS5 – Finishing and coating
Technical Groups Steel
TGS6 – Physical metallurgy and design of new generic steel grades
TGS7 – Steel products and applications for automobiles, packaging and home appliances
TGS8 – Steel products and applications for building, construction and industry
TGS9 – Factory-wide control, social and environmental issues
First Annual Mid-Term Annual Draft Final
Cover page X X X X
Distribution list X X X X
Table of Contents X X X X
Abstract (max 250 words) X X X X
Project Overview Table X X X X
Budget information X X
Bar chart (actual vs planned) X X X X
List of Deliverables X X X X
State of the Art X
Progress of work and problems encountered X X X
Final summary (max 10 pages) X
Scientific and technical description of work (task by task)
X X
Dissemination activities, patents X X X X
List of achronims, abbreviations, references X X X X
Signed Technical Annex X X X
Guidelines for Technical Reporting
Deliverables
• To facilitate the work of the TG reviewers, it is recommended to
append deliverables to the periodic reports• (upload deliverables on CIRCABC is also an option). • For deliverables which are not in the form of a written report (e.g., a
new process, a new product, a web site), a short description (plus some pictures) should be provided.
• Whenever possible, avoid distributed (or do-it-yourself) deliverables (“Deliverable consists of Fig on pag X plus Table on pag Y”).
1. RFCS: history, activities, benefits
2. RFCS vs Framework Programmes
3. Proposal submission and evaluation steps
4. Technical Reporting
5. Financial Reporting
Structure of Presentation
Guidelines for Financial reporting
2 Cost Statements:
1. MID-TERM COST STATEMENT
Delivered max. 90 days from the end of the first reporting period
Triggers the 2nd pre-financing (40%, Annex III) if <70% of 1st pre-financing used, payment reduced by
unused amount
Guidelines for Financial reporting
2. FINAL COST STATAMENT
Delivered max. 90 days from the beginning of the calendar year following the closing date of the project
Triggers the final payment (only after approval of publishable final report)
Art. II.4.bIn case that a final financial statement has not been received until the 31/12 of the calendar year following the closing date of the project, the Commission is entitled to proceed to the closure of the project account on the basis of the assumption that the beneficiary(ies) concerned do not claim any costs for the entire project.
Guidelines for Financial reportingCERTIFICATE ON FINANCIAL STATEMENTS
Audit certificate prepared and certified by an external auditor compulsory with the Final Cost Statement covers the costs of the entire project subcontract costs, if exist, should be certified confirmation that on no conflict of interest exists the Commission is entitled to reject some of the costs accepted by the
Auditor the only existing cost incurred after the end of the project and
considered as an eligible cost an additional financial and/or technical Audit can be requested by the
Commission at any time of the duration of the project and up to 5 years after completion of the project.
Main Changes
year of signature Contracts 2008 and earlier Grant Agreements 2009 and later
Real staff costs
mid-term and final report (otherwise AR needed on mid-
term)Mandatory only in final report
(adjustment needed)Staff cost excess need to notify if 20% (Art.II.3.f)
Overheads 30% of staff costs 35% of staff costs
Travel and subsistance
1 coordination meeting per semester, 1 representative,
hosted meetings not eligiblenot covered
( included in the overheads)Equipment 36 / 60 months 60 months
Currencylocal currency +
exchange rate to € local currency
Sumbission time limit
max. 31/03 of year after the end of the reporting period
max. 31/03 of year after the end of the reporting period
DEADLINE:31/12 of that year. Project can be closed by EC assuming no
claims
Staff costs • Staff costs must be consistent with objectives and duration of
corresponding tasks.
• Art.II.3.f
• Notify the Commission if staff costs are >20% then planned at the grant
agreement preparation stage
• To assess the eligibility of additional staff costs, the Commission shall
seek the advice of the Technical Group.
• In absence of any notification before the closing date of the project, the staff
cost amount agreed during the grant agreement negotiations will be retained and
used as an upper ceiling.
Common mistakes and examples of good practice
After 2009 the depreciation period is always 60 months!
Invoices for equipment always requested!
Common mistakes and examples of good practice
Annual working hours and the hourly rate for each staff member
2.400,0024,00
4.900,00
Common mistakes and examples of good practice
Details for each item needed!
Common mistakes and examples of good practice
Please provide always the copy of the invoice above 5.000,00 EURO
Inv. no 128/10/ECEL,, purchase of: electronic detectors PCB Piezotronics, 40 pcs
Inv. no WK/2011/3320, purchase of: shroff casette, 4 pcs
Inv. no 57/1/11, purchase of: electronic component of the probe, 50 pcs
Inv. no 102/11/ECEL, purchase of: small-size acelometer detectors type 1,16 pcs
Inv. no 108/07/2011, purchase of: probe covers 1-component 50 pcs 45.568,55
16.000,00
3.580,00
2.859,00
6.880,00
74.887,55
Guidelines for Financial reporting: on time payment
Prepare the cost statements on time Send dated and signed original versions (if final report, Audit certificate must be attached) Check carefully the reporting dates, project acronym, grant
agreement number, contact person email address All items should be clearly identified, please avoid lumped
sums Attach all invoices for single items > 5000€. Attach invoices for claimed equipment Revenues genereted by the project and other sources
contribution must be declared; Provide staff costs per single calendar year and, if required
by the Commission, per single task.
79
For research assistance only Max 40% of beneficiary’s budget (unless affiliates) Should be foreseen at GA preparation Must be approved by EC prior to signing
• Copy of draft subcontract• Forms B5 for subcontractor
A signed copy is to be sent once the subcontract is actually signed
Subcontracts
Amendments• Changes to the Grant Agreements may be requested by any of the parties.
It shall be signed by the Legal Representative of the concerned party, and submitted in written to the Commission by the Coordinator. If accepted, a modified version of the Grant Agreement is issued and sent to the consortium for signature.
• If >1 modification requested, the request is to be considered as a package and shall be approved/rejected as a whole.
• Examples of possible amendments:• - Termination and inclusion of a beneficiary;• - Suspension / termination / extension of the project;• - Changes in the technical objectives of the project (limited changes are
accepted);• - Transfer of activities and budget from one beneficiary to another;
• Please refer to the Guidelines for amendments on the RFCS website.
Changes of cost positions
• Changes to the different costs positions in the budget do not require an amendment (budget breakdown is not a contractual document).
• However, the beneficiary concerned should contact the Project Officer and ask for the acceptance of the new breakdown of costs.
• If this is not done, the Project Officer may reject the modified costs during the analysis of the cost statements.
• If the new budget is accepted, new budget forms should be provided (Form B5).
82
• RFCS website is hosted by Cordis:
http://cordis.europa.eu/coal-steel-rtd/
Here you will find:
• Information Package volume I (proposal submission)• Information Package volume II (preparation of Grant Agreement)• Amendment guide• Guidelines for Technical and Financial Reporting• Project Synopses and Success Stories
and much more…
Web Links / RFCS Info
Thank you for your attention
83
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