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«Information Package Volume I Proposal preparation and submission V04.07.2014 RFCS Information Package 2014, Volume I RFCS Information Package 2014, ...»

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RESEARCH AND INNOVATION

Research Fund for Coal and Steel

Information Package

Volume I

Proposal preparation and submission

V04.07.2014

RFCS Information Package 2014, Volume I

RFCS Information Package 2014, Volume I

Table of contents

1 INTRODUCTION

2 PROGRAMME IMPLEMENTATION

2.1 RESEARCH OBJECTIVES OF THE RFCS

2.2 ELIGIBLE ACTIVITIES

Research Projects 8 Pilot and Demonstration Projects 9 Accompanying Measures 10

2.3 WHO CAN PARTICIPATE

2.4 ELIGIBLE COSTS

Equipment 11 Staff Costs 11 Operating costs 12 Indirect Costs 12

2.5 SUBCONTRACTS FOR RESEARCH ASSISTANCE

2.6 PROJECT DURATION

3 PROPOSAL PREPARATION AND SUBMISSION

3.1 THE PARTICIPANT PORTAL

3.2 THE 6 SUBMISSION STEPS

3.3 STEP 1 – LOGIN TO THE PARTICIPANT PORTAL

3.4 STEP 2 – FUNDING SCHEME

3.5 STEP 3 – CREATE DRAFT

3.6 STEP 4 – PARTIES

3.7 STEP 5 – EDIT PROPOSAL

3.8 STEP 6 – SUBMIT

4 SELECTION OF SUCCESSFUL PROPOSALS

4.1 CONDITIONS FOR ADMISSIBILITY AND ELIGIBILITY

4.2 EVALUATION

4.3 PROPOSAL FOLLOW UP

5 INFORMATION AND ASSISTANCE

5.1 HELPDESKS

5.2 SUPPORTING DOCUMENTS

5.3 CONFIDENTIALITY AND PERSONAL DATA PROTECTION

ANNEXES

ANNEX I: RFCS LEGAL BASIS

ANNEX II: SCOPE OF THE TECHNICAL GROUPS

RFCS Information Package 2014, Volume I

ANNEX III: RESEARCH OBJECTIVES

ANNEX IV: EVALUATION FORMS

ANNEX V: ANNUAL PRIORITIES OF THE RFCS PROGRAMME

ANNEX VI: SUBMISSION FORMS

RFCS Information Package 2014, Volume I

1 INTRODUCTION

The Research Programme of the Research Fund for Coal and Steel (RFCS) is a financial instrument of the European Union intended to support research and innovation in the coal and steel sectors.

The Programme is complementary to other European financial instruments for research and innovation, such as Horizon 2020, but it remains outside those programmes. The European Commission encourages however complementarity and synergies between the different research programmes and supports the exchange of information between projects financed under different instruments.

The adoption of the Research Programme of the Research Fund for Coal and Steel is encompassed in Council Decision 2008/376/EC1 (see Annex I). The Council Decision is referred to in the following document as the RFCS Legal Basis.

The programme is managed by the European Commission, more particularly Directorate-General for Research and Innovation, Directorate D – Key

Enabling Technologies, with the assistance of:

- The Coal and Steel Committee (COSCO)

- The Coal Advisory Group (CAG) and the Steel Advisory Group (SAG)

- The Coal and Steel Technical Groups (TG).

According to Art. 25 of the RFCS Legal Basis, the detailed rules for participation in the RFCS programme are laid out in this Information Package, which is written in accordance to the Financial Regulation2 applicable to the general budget and its Rules of Application,3 and the RFCS Legal Basis.

The Information Package is composed of two volumes:

 Volume I is addressed to all applicants and includes information on the preparation and submission of proposals to the RFCS programme, Council Decision 2008/376/EC of 29 April 2008 (OJ L 130, 20.05.2008) Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002, OJ L298, 26.10.2012, p.1.

Commission Delegated Regulation (EU) No 1268/2012 of 29 October 2012 on the rules of application of the Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council on the financial rules applicable to the general budget of the Union, OJ L 362, 31.12.2012, p.1.

RFCS Information Package 2014, Volume I

 Volume II is specifically addressed to applicants of proposals recommended for funding following the evaluation and provides instructions on Grant Agreement preparation.

Both volumes are published electronically on the RFCS website on CORDIS (http://cordis.europa.eu/coal-steel-rtd/), specifically in the sections dedicated to the submission of proposals and to the preparation of the Grant Agreement, and on the Participant Portal for submission of proposals, as explained in Chapter 3.

The 2014 edition of Volume I is published on the occasion of the opening of proposals submission. The 2014 edition of Volume II will be published at a later stage of the proposals selection process.

Proposals submitted to the RFCS programme should relate either  to the production and/or processing of iron and/or steel or to their properties, manufacture and/or utilisation of steel products, or  to the production, preparation, conversion or utilisation of coal.

To this purpose, the definitions of "coal" and "steel" given under Art. 3 of the RFCS Legal Basis apply.





More specifically, proposals must address at least one of the RFCS Research Objectives (see Articles 4 to 10 of the RFCS Legal Basis available in Annex I to

this Information Package):

Coal 1 Improving the Competitive position of European Union Coal.

Coal 2 Health and Safety in Mines.

Coal 3 Efficient Protection of the Environment and improvement of the use of coal as a clean energy source.

Coal 4 Management of External Dependence on Energy Supply.

Steel 1 New and improved Steel making and finishing techniques.

Steel 2 RTD and the utilization of steel.

Steel 3 Conservation of resources and improvement of working conditions.

Within the above-mentioned objectives, the Research Programme of the Research Fund for Coal and Steel provides for a bottom-up approach, thus leaving applicants free to submit a project of any size in any relevant area, on the condition that it is in line with the terms set down in this Information Package.

The European Commission encourages the submission of highly effective, well-co-ordinated and coherent projects, rather than a multitude of small

RFCS Information Package 2014, Volume I

projects addressing the same scientific/technical objectives in a specific field.

Therefore, dispersion into many individual proposals should be avoided and synergies for larger projects should be sought when research, pilot or demonstration proposals are being prepared.

2.2 ELIGIBLE ACTIVITIES

Applications can be submitted for the following Activities: Research Projects, Pilot and Demonstration Projects, Accompanying Measures (see Articles 14 to 17 of the RFCS Legal Basis). These types of Activities are summarized in the table and explained in the following sections.

–  –  –

RESEARCH PROJECTS

Research projects are intended to cover investigative or experimental work with the aim of acquiring further knowledge to facilitate the attainment of specific practical objectives such as the creation or development of new products, production processes or services.

RFCS Information Package 2014, Volume I

The proposals should demonstrate the ability to solve specific scientific or technical problems, as well as demonstrate the economic and/or scientific technological impact of the results.

The preliminary investigation on the state-of-the-art and literature review should not be part of the project, but should be completed prior to submission and described in the proposal.

The maximum total financial contribution of the European Union for Research projects is up to of 60 % of the eligible costs.

PILOT AND DEMONSTRATION PROJECTS

Pilot and Demonstration projects are aiming to bridge the gap between Research and Innovation. Innovation can be considered as the technological implementation of new products or processes within the relevant industrial sector, or of significant improvements to products or processes, based on previous research results. The innovation is technologically implemented if it is introduced on the market (product innovation) or used within a production process (process innovation).

In detail:

Pilot projects aim at the construction, operation and development of an installation or a significant part of an installation on an appropriate scale and using suitably large components with a view to examining the potential for putting theoretical or laboratory results into practice and/or increasing the reliability of the technical and economic data needed to progress to demonstration stage, and in certain cases to industrial and/or commercial stage.

Demonstration projects aim at the construction and/or operation of an industrial-scale installation or a significant part of an industrial-scale installation with the aim of bringing together all the technical and economic data in order to proceed with the industrial and/or commercial exploitation of the technology at minimum risk.

The preliminary investigation on the state-of-the-art and literature review should not be part of the project, but should be completed prior to submission and described in the proposal.

No significant research efforts should be included in Pilot and Demonstration projects, as they should focus on the construction and validation of a readydesigned unit.

The maximum total financial contribution of the European Union for Pilot and Demonstration projects is up to 50 % of the eligible costs.

RFCS Information Package 2014, Volume I

ACCOMPANYING MEASURES

Accompanying measures shall relate to the promotion of the use of knowledge gained or to the organisation of dedicated workshops or conferences in connection with projects or priorities of the Research Programme.

This activity includes the valorisation of research results having a direct impact in one of the following areas and excluding any kind of research

activity:

 contribution to the assessment or enhancement of European or international technical regulations and standards4;

 valorisation of results that have a direct and immediate potential application at industrial level. The improvement of product quality and environmental and safety standards in and around the workplace are of particular importance;

 exploitation of new or alternative market possibilities of products and processes related to the coal or steel sector.

The maximum total financial contribution of the European Union for Accompanying Measures is up to of 60 % of the eligible costs.

2.3 WHO CAN PARTICIPATE Any undertaking, public body, research organisation or higher and secondary education establishment, or other legal entity, including natural persons, established within the territory of a member state may participate in the Research Programme and apply for financial assistance, provided that they intend to carry out an RTD activity or can substantially contribute to such an activity.

Any undertaking, public body, research organisation or higher and secondary education establishment, or other legal entity, including natural persons, in candidate countries are entitled to participate without receiving any financial contribution under the Research Programme, unless otherwise provided under the relevant European Agreements and their additional Protocols, and in the decisions of the various Association Councils.

Any undertaking, public body, research organisation or higher and secondary education establishment, or other legal entity, including natural persons, from third countries are entitled to participate to individual projects without receiving any financial contribution under the Research Programme, provided that such participation is in the interest of the European Union.

To know more about European Standardisation and the standards making process please visit the website of the CEN (European Committee for Standardisation) and CENELEC (European Committee for Electrotechnical Standardisation) bodies at http://www.cencenelec.eu/Pages/default.aspx.

RFCS Information Package 2014, Volume I

2.4 ELIGIBLE COSTS Eligible costs of the project must be actual (not commercial nor budgeted) and incurred by the beneficiary during the duration of the project (with the exception of costs incurred in relation to certificates on the financial statements).

Such costs must be used for the sole purpose of achieving the objectives of the project and its expected results, in a manner consistent with the principles of economy, efficiency and effectiveness.

Value added tax (VAT) is eligible only in particular cases mentioned in Financial Regulation 2012, art 126(3) (c).

Eligible costs shall be broken down into the following four categories:

- equipment

- staff

- operating costs

- indirect costs.

EQUIPMENT

The costs of purchasing or hiring equipment which are directly related to the execution of the project shall be chargeable as direct costs. The eligible costs for leasing of equipment shall not exceed any eligible costs for its purchase.

Eligible costs for equipment shall be calculated according to the following

formula:

A/B x C x D

where:

A the period (in months) during which the equipment will be used for the project;

B 60 months (standard depreciation time);

C purchase cost of the equipment;

D fraction of use of the equipment in the project (0D≤1, D=1 if the equipment is used 100% for the project).

STAFF COSTS

Only the costs of the actual hours worked by the persons directly carrying

out work under the project may be charged. Such persons must:

- be directly hired by the beneficiary in accordance with its national legislation,

- work under the sole technical supervision and responsibility of the latter, and



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