Quality of life and management of living resources

GUIDE FOR PROPOSERS

PART 1

2nd EDITION, DEC 1999 A_PG1_EN_200001.doc

Foreword

The Guide for Proposers is part of the information necessary to make a

proposal for a programme under the Fifth Framework Programme. It will help

you to locate the programme which is of interest to you and will provide

the necessary guidance on how to submit a proposal and the forms for

proposal submission. It is divided into two main parts and four sections.

PART 1

Section I describes the overall priorities, goals and structures of

the Fifth Framework Programme.

Section II describes the priorities and objectives of the Specific

Programme on Quality of Life and Management of Living Resources.

Section III outlines the main rules which define who may participate

in the Fifth Framework Programme, and the general conditions for this

participation.

PART 2

Section IV provides detailed information for each CALL FOR PROPOSALS

for the programme Quality of Life and Management of Living Resources,

as well as proposal submission forms.

The additional documents you will need to prepare a proposal are :

The Work Programme for the Specific Programme you are applying for. The

Work Programme provides the description of the content of the ‘action

lines’ or ‘research objectives’, which are open for proposals, and an

indicative timetable for programme implementation (“roadmap”).

The Call for Proposals as published in the Official Journal of the European

Communities. This will tell you which action lines are open for proposals

and what the deadline for the proposal submission is.

The Evaluation Manual (as well as programme specific guidelines that may be

included in Part 2 of this Guide). These documents will provide details of

which criteria will be used in the evaluation of proposals, which weight is

attributed to each of the criteria and where appropriate the threshold to

be attained in order to be retained. You can use the evaluation manual and

the guidelines as a checklist for the completeness of your proposal.

The Guide for Proposers, including the proposal submissions forms, is

together with the Work Programme, the Call for Proposals and the Evaluation

Manual the Information Package for a Call. This Guide for Proposers also

contains references to other documents, reports, forms and software tools

which are of assistance in the preparation of proposals. They are available

on CORDIS: http://www.cordis.lu.

This Guide for Proposers does not supersede the rules and conditions laid

out, in particular, in Council and Parliament Decisions relevant to the

Fifth Framework Programme, the various Specific Programmes nor the Calls

for Proposals in these Programmes.

Contents – PART 1

Foreword 2

PART 1 3

I. The Fifth Framework Programme 3

I.1. Objectives 3

I.2. Structure and contents 3

I.3. Implementation 4

Box 1 - Bursaries for young researchers from Developing Countries 6

Box 2 - The System of Marie Curie Fellowships 7

II. The Specific Programme: Quality of Life and Management of Living

Resources 8

II.1. Programme objectives 8

II.2. Programme strategy 8

II.3. Programme structure and contents 8

II.4. Synergies with other programmes 10

II.5. Implementation of the programme 10

II.6. References 11

III. Participation in activities in the Fifth Framework Programme 12

III.1. The participants 12

III.2. Proposal submission 12

III.3. Proposal evaluation 13

III.4. Proposal selection 14

III.5. The contract 14

III.6. Project follow-up 15

III.7. Financial contribution of the Community 16

III.8. Assistance available to proposers 16

Box 3 - Co-operation with non-EU Countries and International

Organisations 18

Box 4 - Participation from non-EU countries in FP5 19

Box 5 - Main milestones of the selection process 20

BOX 6 - Indicative Typology of Contracts 21

Box 7 - Methods for the calculation of EC funding 22

BOX 8 - Intellectual Property Rights 23

Box 9 - Key recommendations 24

Notes - PART 1 25

2nd EDITION, DEC 1999 A_PG1_EN_200001.doc

This second edition introduces no substantial changes concerning the

information given to proposers in the March 1999 edition. Improvements are

the results of experience with the use of the March 1999 edition.

PART 1

I. The Fifth Framework Programme[i]

I.1. Objectives

The Fifth Framework Programme, adopted on 22nd December 1998, defines the

Community activities in the field of research, technological development

and demonstration (hereafter referred to as “RTD”) for the period 1998-

2002.

The Fifth Framework Programme differs from its predecessors. It has been

conceived to help solve problems and to respond to major socio-economic

challenges facing the European Union. It focuses on a limited number of

objectives and areas combining technological, industrial, economic, social

and cultural aspects.

Priorities have been chosen according to three basic principles which will

apply for all levels: the Framework Programme as a whole, the Specific

Programmes implementing it and the RTD activities covered by those

programmes.

European “value added” and the subsidiarity principle, for example, to

reach a critical mass or contribute to solving problems of a European

dimension,

Social objectives, such as quality of life, employment or protection of the

environment in order to meet the expectations and concerns of the Union’s

citizens,

3. Economic development and scientific and technological prospects in order

to contribute to the harmonious and sustainable development of the

European Union as a whole.

I.2. Structure and contents

The Fifth Framework Programme consists of seven Specific Programmes, of

which four are Thematic Programmes and three are Horizontal Programmes.

The Thematic Programmes are :

4. Quality of life and management of living resources

5. User-friendly information society

6. Competitive and sustainable growth

7. Energy, environment and sustainable development.

In line with the provisions set out in the EC Treaty, the widely ranging

Horizontal Programmes underpin and complement these Thematic Programmes.

The Horizontal Programmes are:

8. Confirming the international role of Community research

9. Promotion of innovation and encouragement of participation of small and

medium-sized enterprises (SMEs)

10. Improving human research potential and the socio-economic knowledge

base.

One essential new characteristic of the Fifth Framework Programme is the

integrated, problem-solving approach. Integration is strengthened at three

levels:

> By the key action concept in the Thematic Programmes. Key actions are

major innovations of the Fifth Framework Programme. They will enable the

many and varied aspects of the economic and social issues to be targeted,

by integrating the entire spectrum of activities and disciplines needed

to achieve the objectives.

1. By integration between Horizontal and Thematic Programmes objectives.

International co-operation

Participation by entities of third countries and international

organisations will be possible in all Programmes in addition to

opportunities for participating in the Horizontal Programme “Confirming

the international role of Community research”. Conditions for

participation, including possible financial arrangements, are specified

in section III of this document. Box 1 describes the opportunities for

bursaries for young researchers from developing countries.

Innovation and participation of SMEs

Measures encouraging SME participation in RTD activities will be carried

out in all Thematic Programmes and the Innovation and SME programme.

Details on SME stimulation measures will be found in a special

information brochure devoted to them. In addition, each Thematic

Programme will interface with the Horizontal Programme “Promotion of

innovation and encouragement of SME participation” in order to develop

awareness and help technology transfer and use of the results of the

Thematic Programme.

Socio-economic and training aspects

Socio-economic research can be funded by both the Thematic Programmes

and by the key action on “Improving the socio-economic knowledge base”

of the Horizontal Programme “Improving the human research potential and

the socio-economic knowledge base”. Socio-economic research is present

in the Thematic Programmes as an integral part of the technological

research activities. Training opportunities for researchers are assured

through the Marie Curie system of fellowships that can be implemented by

Thematic Programmes as well as by other specific training activities in

the Human Potential Programme. The fellowships system is described

schematically in Box 2.

By integration between Thematic Programmes. Complementary and synergistic

interactions will be ensured in implementing the Programmes.

I.3. Implementation

I.3.1. Work Programme

A Work Programme has been drawn up for each Specific Programme, describing

the specific activities and the various research areas. The Work Programme

will be revised regularly with the assistance of Advisory Groups of

independent experts to ensure its continued relevance in the light of

evolving needs and developments. Potential proposers should therefore

ensure they are consulting the current version of the work programme when

planning a proposal. The Work Programme appearing at the Specific Programme

Web site is always the current version.

The Work Programme includes an indicative timetable or “roadmap”, which

indicates which parts of the Work Programme will be opened, by calls for

proposals, and deadline(s) involved. This provides a means of focusing

attention on areas or sub-areas, thereby optimising opportunities for

launching collaborative projects and establishing thematic networks.

The Commission will manage the Specific Programmes to ensure that links in

thematic content between the programmes are exploited in a synergistic way.

This may occasionally require joint or synchronised calls for proposals.

Where necessary, co-ordination measures such as these will be indicated in

the announcement of the calls for proposals, and in the Work Programme.

I.3.2. Types of actions supported

The Community will contribute financially to the RTD[ii] activities,

carried out under the Specific Programmes implemented within the Fifth

Framework Programme. The general rules[iii] are as follows:

(a) Shared-cost actions

Research and technological development (R&D) projects[iv] – projects

obtaining new knowledge intended to develop or improve products, processes

or services and/or to meet the needs of Community policies (financial

participation: 50 % of total eligible costs4,[v]).

Demonstration projects4 – projects designed to prove the viability of new

technologies offering potential economic advantage but which cannot be

commercialised directly (financial participation: 35 % of total eligible

costs5).

Combined R&D and demonstration projects4– projects combining the above

elements (financial participation: 35 to 50 % of total eligible costs4,5).

Support for access to research infrastructures – (only implemented under

“Improving the human research potential and the socio-economic knowledge

base” – IHP Programme) actions enhancing access to research infrastructures

for Community researchers. Support will cover maximum of 100 % of the

eligible costs necessary for the action.

“SME Co-operative” research projects4 – projects enabling at least three

mutually independent SMEs from at least two Member States or one Member

State and an Associated State to jointly commission research carried out by

a third party (financial participation: 50 % of total eligible project

costs4).

“SME Exploratory” awards – support of 75 % of total eligible costs[vi] for

an exploratory phase of a project of up to 12 months (e.g. feasibility

studies, validation, partner search).

(b) Training fellowships

Marie Curie fellowships are either fellowships, where individual

researchers apply directly to the Commission, or host fellowships, where

institutions apply to host a number of researchers (financial

participation: maximum of 100 % of the additional eligible costs necessary

for the action[vii]). See Box 2.

The decisions on the specific programmes may define specific sub types of

actions for example: the programme “Confirming the international role of

Community research” – INCO 2 - defines bursaries for young researchers from

developing countries and other bursaries for researchers from the EU Member

States or Associated States as specific training fellowships. See Box 1.

(c) Research training networks and thematic networks

- Training networks for promoting training-through-research especially of

researchers at pre-doctoral and at post-doctoral level (these are only

implemented under the IHP Programme) - and thematic networks for bringing

together e.g. manufacturers, users, universities, research centres around a

given S&T objective. These include co-ordination networks between Community

funded projects. Support will cover maximum 100% of eligible costs

necessary for setting up and maintaining such networks.

(d) Concerted actions

Actions co-ordinating RTD projects already in receipt of national funding,

for example to exchange experiences, to reach a critical mass, to

disseminate results etc. (financial participation: maximum of 100 % of the

eligible costs necessary for the action).

(e) Accompanying measures

Actions contributing to the implementation of a Specific Programme or the

preparation of future activities of the programme. They will also seek to

prepare for or to support other indirect RTD actions (financial

participation: maximum of 100 % of total eligible costs).

Each Specific Programme will not necessarily open all the above mentioned

types of actions in all calls. Please refer to sections II and Part 2 of

this Guide to see which actions are called for in the different programmes

and calls.

I.3.3 Clusters

The cluster is a defined group of RTD projects. Its aim is to guarantee

complementarity among projects, to maximise European added value within a

given field and to establish a critical mass of resources at the European

level.

An integrated approach towards research fields and projects financed is

needed to solve complex multidisciplinary problems effectively. The

clusters reflect this problem-solving approach. Indeed, in a cluster

projects are joined together because they complement each other in

addressing major objectives in the context of a key action or a generic

activity (sometimes even across different key actions or specific

programmes). Clusters are expected to optimise scientific networking,

management, co-ordination, monitoring, the exchange of information and, on

voluntary basis, the exploitation and dissemination activities. The cluster

may thus become a natural process to generate European added value,

wherever it makes sense, beyond the limited resources of an isolated

project.

All types of projects can be assembled and integrated within a cluster,

including those funded by different EU RTD activities (key action, generic

activity, infrastructure). By the same token, and as part of an overall

European approach, relevant activities under other research frameworks

(notably EUREKA, COST) could also be taken into account whenever this can

reinforce synergy. Clusters will be set up through thematic networks or

complementary clauses.

I.3.4. Gender equal opportunities

In line with the Commission’s strategic approach of mainstreaming equal

opportunities in all Union policies, particular account is taken in the

Fifth Framework Programme of the need to promote the participation of women

in the fields of research and technological development. Therefore women

are encouraged to participate in proposals for the above mentioned RTD

activities.

Box 1 - Bursaries for young researchers from Developing Countries

When preparing a joint research proposal1 or concerted action proposal for

submission to any of the programmes, a consortium may, if it wishes,

include an application for an international co-operation training bursary2.

These bursaries will be funded from the budget of the Specific Programme

‘Confirming the International Role of Community Research’ and are intended

to allow young researchers from Developing Countries, including Emerging

Economies and Mediterranean Partner Countries3 to work for up to 6 months

in a European research institute participating in a FP-5 project. The

bursaries will be granted for training activities only (e.g. to allow the

applicant to learn a new scientific technique or for work on a particular

experiment or set of experiments where the host institution has particular

expertise and which cannot be performed in the home institution of the

candidate).

The bursary application must be submitted together with the proposal

application and will be evaluated together with it. Spontaneous, individual

bursary applications will not be accepted. Inclusion of a bursary

application will neither enhance nor detract from the chances of success of

the proposal. Only if the whole proposal is selected for funding and the

bursary application is highly rated, will the bursary be granted. A poor

bursary application can be rejected without harming the chances of success

of the proposal.

In order to be eligible, the bursary applicant must not be more than 40

years of age at the time of application, must be a national of one of the

eligible countries3 and be established and working in that country and

intending to return there at the end of the training period. She/he must

also have a good knowledge of a working language of the host institute.

Applications from female researchers are encouraged.

The host institute must be established in an EU Member State or in a State

Associated to FP-54 and must be a member of the consortium proposing the

research project or concerted action.

Eligible bursary applications will be evaluated according to the excellence

of the scientific and/or training objectives of the application, its

potential value to the applicant and his/her institute and to the project

as a whole, as well as the experience and professional training of the

candidate.

The 6 month training period may start at any time up to 12 months from the

Commission signature of the main project contract. A fixed sum will be

granted to cover the cost of one (apex) return fare from the place of

origin of the candidate to the host institute, and a daily allowance for

the duration of the training period (based on the rates for Marie Curie

Fellowships, see the corresponding brochure for applicants).

1 Research and Technological Development projects, Demonstration projects

and Combined projects (see point I.3.2.a)

2 Application forms can be downloaded from the CORDIS web site page

(http://www.cordis.lu/fp5) for the Calls to which you reply, or ordered

from the Programmes’ information desk.

3 Developing countries are: African, Caribbean, Pacific (ACP) countries,

Asian and Latin American (ALA) countries, Mediterranean countries (MC).

4 For the list of Associated States, see box 4.

Box 2 – The System of Marie Curie Fellowships

| |

|As described below, there are two types of application for a Marie Curie|

|Fellowship: individual fellowships, where individual researchers apply |

|to the Commission for a fellowship; and host fellowships, where |

|institutions apply to the Commission to host a number of researchers. |

| |

|Individual Fellowships: |

| |

|Marie Curie Individual Fellowships |

|Fellowships for young researchers at post-doctoral level or equivalent |

| |

|Marie Curie Return Fellowships |

|Fellowships for Marie Curie Fellows, originating from a less-favoured |

|region, to return to a less favoured region of their home country after |

|their initial two year post-doctoral fellowship |

| |

|Marie Curie Experienced Researchers Fellowships |

|Fellowships for experienced researchers: for the transfer of expertise |

|and technology between (i) industry and academia and (ii) towards |

|less-favoured regions of the European Community. |

| |

| |

|Host Fellowships: |

| |

|Stays at Marie Curie Training Sites |

|Giving young researchers pursuing doctoral studies the opportunity to |

|spend part of their studies within an internationally recognised group, |

|in their specialised area of research. |

| |

|Marie Curie Development Host Fellowships |

|Fellowships for institutions located in less-favoured regions, which are|

|active in research and have a need to develop new areas of research |

|competence, to host post-doctoral level researchers in the area of |

|competence required. |

| |

|Marie Curie Industry Host Fellowships |

|Awarded to enterprises, including SMEs, for the training of young |

|researchers, at postgraduate and post-doctoral level, in an industrial |

|or commercial environment. These fellowships particularly aim at |

|providing research training opportunities for young researchers without |

|any previous industrial experience. |

| |

|Further information on the system of Marie Curie Fellowships and |

|application forms may be obtained from its web site |

|(http://www.cordis.lu/improving/home.html) or from the IHP Programme’s |

|information desk. |

II. The Specific Programme: Quality of Life and Management of Living

Resources

II.1. Programme objectives

Economic and political developments in Europe have resulted in greater

prosperity, increased life expectancy and better working conditions. These

improvements have, however, been accompanied by challenges, such as higher

health-care costs, an ageing population, environmental degradation and

heightened ethical concerns. A gap has become increasingly evident between

the availability of natural resources and human activities. Paradoxically,

this has occurred just as there is an "explosion" in the knowledge base

concerning the structure and function of all living things, pointing

towards new developments in, for example, health-care, pharmaceuticals,

agriculture and food.

This programme aims to unlock the resources of the living world and improve

the quality of life. To achieve this, the links between discovery,

production and end-use must be consolidated. The needs of society and the

requirements of the consumer are paramount and research must lead to

quantifiable future wealth and job creation, while respecting the

principles of sustainable development.

II.2. Programme strategy

The strategy of this programme is to focus on specific areas where the

growing knowledge base should provide solutions to some of the pressing

needs of society that need to be tackled on a European scale. Fundamental

ethical values must be respected.

Based on the criteria laid down for selecting the major research themes for

the Fifth Framework Programme, emphasis in this programme will be placed on

the following:

European added value. This will be achieved by addressing specific cross-

border challenges, such as improving health and managing and exploiting

renewable natural resources. Themes such as drug abuse, biosafety,

bioethics and issues related to agriculture, forestry and fisheries should

reinforce the scientific base in support of Community policies. Indeed many

of the activities addressed in the programme, such as genomic research,

neurosciences, infectious diseases, ageing and disabilities sustainable

management and utilisation of forestry resources, fish management and

human, animal and plant diseases, due to their size and complexity, are

more meaningful if they are addressed at the European level.

Social objectives. Research must be developed which promotes health and

quality of life, secures safe and wholesome food, preserves and restores a

healthy environment, stimulates rural and coastal communities, improves

response to consumer needs and facilitates information flow to the

consumer.

Economic development. The huge potential for economic growth and job

creation must be realised, both in the traditional industries, including

primary production and in the rapidly growing high technology industries

dominated by small and medium-size enterprises (SMEs). To contribute

effectively to European competitiveness and employment, results must be

transferred from research into commercially successful products and

processes. Intrinsic to this approach is the effective use of

demonstration, training, dissemination and exploitation of research

results, along with stimulation of innovation and entrepreneurship.

II.3. Programme structure and contents

The programme is primarily built around six specific key actions that are

goal-oriented and problem solving. The key actions are targeted at

identifiable socio-economic and market needs, such as improving quality and

safety of food; controlling infectious diseases; harnessing the power of

the cell; health and environment; sustainable agriculture, forestry and

fisheries, integrated rural development, sustainable development; and

promoting healthy ageing. A unique feature of key actions is their response

to Community policy objectives, in areas like agriculture and fisheries,

industry, consumer protection, environment and health.

In addition, the generic activities of the programme aim to build up

through RTD the knowledge base in identified areas of strategic importance

for the future, in relation to chronic and degenerative diseases, genomes,

neurosciences, public health, persons with disabilities and ethical and

socio-economic issues surrounding the life sciences. Support for research

infrastructures, dissemination and exploitation of results, training and an

increased role for SMEs, and entrepreneurship are also an integral part of

the programme.

The following section represents a short overview of the programme

structure and contents. Detailed objectives and RTD priorities are

specified in the Work Programme. Be sure to consult the current version,

since the Work Programme is revised periodically.

II.3.1. Six key actions

1. Food, Nutrition and Health

To improve the health of European citizens by providing safe, healthy and

varied food products. RTD priorities include the development of safe and

flexible manufacturing processes and technologies, the detection and

elimination of infectious and toxic agents throughout the food chain, and

gaining a more profound understanding of the role of food in promoting and

sustaining health.

2. Control of Infectious Diseases

To combat established, emerging or re-emerging infectious diseases, linked

to old, new or mutated infectious agents in humans or animals. RTD

priorities include vaccine development; strategies to identify and control

infectious diseases; and aspects of public health and care delivery

systems.

3. The "Cell Factory"

To help the Community’s enterprises exploit the advances made in life

sciences and technology, particularly in the fields of health, environment,

agriculture, agro-industries and high value-added products. RTD priorities

include developing innovative health-related processes and products; energy-

efficient bioremediation and waste biotreatment processes; and new

biological processes from cell factories.

4. Environment and Health

To tackle environmentally related health issues. RTD priorities include

diseases and allergies related to or influenced by the environment; risk

assessment and risk management processes to reduce causes and harmful

environmental health effects.

5. Sustainable Agriculture, Fisheries and Forestry, and Integrated

Development of Rural Areas including Mountain Areas

To implement innovative approaches to production and exploitation and to

improve the quality of life, RTD should concentrate on: Competitiveness and

its direct implications for employment in rural and coastal areas,

especially in light of the need to adapt to the evolution of the Common

Agricultural and Fisheries Policies, to the evolving world trade situation

and globalisation of the markets, to E.U. enlargement and to the limited

availability of natural resources; Reduction of the vulnerability of the

relevant sectors through the diversification of production, taking full

advantage of Europe’s proven technological skills to develop new products

and services from natural resources; Response to societal demands for sound

environmental practices, sustainable use of renewable resources and for

products complying with consumer health and environmental requirements.

6. The Ageing Population and Disabilities

To mobilise research (a) in order to enhance the quality of life, autonomy

and social integration of older people with an emphasis on healthy ageing

and well-being in old age and (b) in order to improve quality, efficiency

and user-friendliness of care and welfare provision and to enable older

people to stay in their own homes. RTD priorities include age-related

illnesses and health problems to prevent, treat or delay onset;

determinants of healthy ageing and well-being in old age; demographic and

social policy aspects of population ageing; coping with functional

limitations in old age; health and social care services to older persons.

II.3.2. Research and Technological Development Activities of a Generic

Nature

These activities aim to reinforce the knowledge base in chosen areas of

strategic but generic importance for the Life Sciences related to humans,

animals (both terrestrial and aquatic) and plants. This is in contrast to

the mission oriented problem solving approach in the Key Actions, which

place the emphasis on the linkage between discovery and exploitation.

Projects will be encouraged that promote interaction between basic and

applied research and that involve both the research and health sectors in

order to ensure maximum transfer of knowledge between research and its

users, including industry. The networking of projects will also be promoted

in order to create a critical mass for optimum exploitation of results.

The generic research activities are:

7. Chronic and Degenerative Diseases, Cancer, Diabetes, Cardiovascular

Diseases and rare Diseases

8. Research into Genomes and Diseases of Genetic Origin

9. Neurosciences

10. Public-health and Health-services Research (including drug-related

problems)

11. Research relating to Persons with Disabilities

12. Bioethics

13. Socio-economic Aspects of Life Sciences and Technologies

II.3.3. Support for Research Infrastructures

Within the QoL Programme, the term "research infrastructures" refers to

facilities and resources that provide essential services to the research

community in the life sciences[viii]. The objectives of the Programme in

supporting research infrastructures (in this action line as well as

elsewhere in the Programme where research infrastructures are supported)

are: (i) to encourage the optimum use of Europe's research infrastructures,

notably by fostering transnational cooperation in their rational and cost-

effective use and development and, in conjunction with the QoL system of

Marie Curie Fellowships, by broadening access to these infrastructures

particularly for young researchers; (ii) to improve the European-wide

consistency and complementarity of these infrastructures and their

competitiveness at world level; and (iii) to help improve the quality and

user-orientation of services offered to the European research community.

The role of the Programme’s activities in support for research

infrastructures is to add value at the European level in the context that

the construction and operation of research infrastructures is the

responsibility of national authorities.

This particular action of the QoL Programme will provide support for

research infrastructures in the following fields: biological collections,

biological information resources, clinical research facilities, pre-

clinical research facilities, facilities for aquaculture and fishery

research .

It should be noted that the QoL Programme will not provide support for

tasks that involve the construction and routine operation of research

infrastructures, nor for the collection of data (unless the collection is

an integral component of the research in an infrastructure RTD project).

The cost of activities aimed at stimulating the introduction and use of

trans-European broadband communication networks for research will however

be considered eligible.

II.4. Synergies with other programmes

Interactions with horizontal activities and across programmes are described

in Annex 3 of the Work programme.

II.5. Implementation of the programme

II.5.1 Types of Calls for Proposals

The following types of Calls for proposals are envisaged:

Periodic calls: These will be open for the submission of proposals for RTD

projects and related activities, within a defined scope and with fixed

deadlines, to be specified in the Official Journal of the European

Communities and outlined in the indicative timetable for programme

implementation.

Open calls: Calls for SME specific measures (exploratory awards and co-

operative research), support for Research Infrastructure (thematic

networks, concerted actions and RTD projects), training, international

initiatives and accompanying measures, will be launched at the start of the

programme and remain open until the last year of the Fifth Framework

Programme. Periodic evaluations will be carried out at least twice a year.

Dedicated calls: These will be published in the Official Journal normally

once or twice per year and be limited to a number of very specific topics

and/or activities. The Commission may also publish a request for interested

parties (Expression of Interest /Needs) to suggest ideas for activities

that could be included.

II.5.2 Implementation Modalities (“Types of actions")

The “Quality of Life and Management of Living Resources” programme is

implemented through the following types of actions:

1. Shared-cost actions, excluding “Support for access to research

infrastructures”[ix]

2. Concerted actions

3. Thematic networks

4. Marie Curie Training Fellowships

5. Accompanying measures

6. INCO bursaries

In addition to these types of action, the Quality of Life programme

encourages the submission of “Cluster” proposals, which are essentially a

cluster of sub-projects (“component” projects).

Details of the different types of actions (“implementation modalities”) and

cluster proposals are given in Section IV.2 of Part 2 of this Guide.

The types of actions that will be funded and the research areas covered

will vary from call to call. Please refer to details of the specific calls

published in the Official Journal and Part 2 of the “Guide for Proposers”,

which will give you further, call specific, information, including a

detailed description of the types of actions supported.

II.6. References

|Decision on the Fifth Framework | |http://www.cordis.lu/fp5/src|

|Programme | |/decisions.htm |

|Decision on the “Quality of Life | |http://www.cordis.lu/fp5/src|

|and Management of Resources” | |/decisions.htm |

|Programme | | |

|Quality of Life homepage | |http://www.cordis.lu/life |

|Call text for “Quality of Life and | |http://www.cordis.lu/life/sr|

|Management of Resources” Programme | |c/library.htm |

|Work Programme “Quality of Life and| |http://www.cordis.lu/life/sr|

|Management of Resources” Programme | |c/library.htm |

|Quality of Life Documents | |http://www.cordis.lu/life/sr|

| | |c/library.htm |

|Quality of Life contacts | |http://www.cordis.lu/life/sr|

| | |c/contacts.htm |

|Marie-Curie fellowships homepage | |http://www.cordis.lu/improvi|

| | |ng |

|SME-specific measures homepage | |http://www.cordis.lu/sme |

|INCO-web site (Bursaries, | |http://www.cordis.lu/inco |

|international co-operation) | | |

|Other programme web sites | |http://www.cordis.lu/fp5/ |

|accessible via | | |

III. Participation in activities in the Fifth Framework Programme

This section describes the conditions of participation in activities within

the Fifth Framework Programme, the process whereby the Commission selects

among the proposals submitted to it, and the manner in which selected

projects should be carried out.

It is based on the Annex IV of the decision on the Fifth Framework

Programme[x], the decision on the rules of participation[xi], and other

subsequent texts or documents[xii].

III.1. The participants

III.1.1. Who ?

The Framework Programme, with its corresponding financial support, is open

to all legal entities established in the Member States of the European

Union – e.g. individuals, industrial and commercial firms, universities,

research organisations, etc. including SMEs. The Programme is also open to

all legal entities established in any of the other States associated to the

Programme (see box 4).

Participation and financing for legal entities established in other

countries (‘third countries') is governed by common conditions which are

applied throughout the Fifth Framework Programme (see boxes 3 and 4), with

the exception of the Programme ‘Confirming the international role of

Community research’ under which some entities are entitled to receive

Community funding depending on their country of origin[xiii].

III.1.2. How many?

Proposals submitted to the Commission should demonstrate a Community

dimension. As a general rule, this means that they should involve at least

two legal entities, independent of each other, and established in two

different Member States, or one Member State and one Associated State. (The

Joint Research Centre of the European Commission is considered as a

participant of a Member State).

However, certain actions may vary from this general rule - either by

requiring more participants or by permitting a single one (see box 6).

III.1.3. Role of the participants

Participants in a proposal fall into a number of different legal

categories, according to the type of activity proposed and the nature of a

participant’s role in it (see box 6 and III.5.3.).

III.2. Proposal submission

III.2.1. call for proposals

Calls for Proposals published in the Official Journal will open certain

parts of a Specific Programme’s Work Programmes for proposals, indicating

what types of actions (RTD projects, Accompanying measures etc.) are

expected. In addition to those with a fixed closing date, the Commission

will open certain Calls on a longer ‘open’ basis, with periodic evaluation

of received proposals. A provisional timetable for the Calls of a Specific

Programme is included in each Work Programme.

A Call may address the full programme, a key action, one or several

research themes, areas, sectors, action lines, objectives, topics. In order

to ensure co-ordination among the Specific Programmes, common Calls may be

published. The objectives to be achieved may also be fully detailed, for

example in the case of key actions or dedicated calls[xiv].

Proposals submitted under a Call shall be subject to a selection process

presented in section III.4.

Certain Accompanying Measures may however be based on spontaneous

applications or on a call for tender, and shall therefore be subject to a

different process[xv].

III.2.2. Submission

Participants should complete the appropriate Proposal Submission Form

corresponding to the type of action involved, preferably using the software

tool that the Commission supplies: The Proposal Preparation Tool or

‘ProTool’, available at the following address:

http://www.cordis.lu/fp5/protool.

Proposals must be completed in full as detailed in the Guide for Proposers

Part 2.

In addition, experience in previous Calls shows that a number of general

recommendations, provided in box 9, may be helpful. Participants have the

choice to submit proposals either electronically or on paper.

Submission takes place in the following steps, which are detailed in Part 2

of this Guide.

|The co-ordinator may request a pre-proposal check from |

|the Commission, if this service is offered for the call|

|concerned. |

|The proposer may be required in the Call for Proposals |

|to submit a request for a proposal number. This form |

|(Notification of Intention to Propose) is sent to the |

|Commission services via fax or electronic mail. |

|The requested proposal number is sent back to the |

|proposer by fax or electronic mail from the Commission.|

|The proposal is prepared either in electronic or paper |

|form, preferably using ProTool. |

|The co-ordinator checks the proposal against the key |

|recommendations (Box 9) |

|Electronic submission |Paper submission |

|The submitting partner in |The proposal is sent to the|

|the consortium seeks |Commission in the form of |

|certification for the |five bound paper copies and|

|Programme. |one unbound original. |

|The proposal is submitted |

|electronically following |

|the instructions given with|

|ProTool. |

III.3. Proposal evaluation

III.3.1. General principles

The evaluation of proposals will be based on the fundamental principles of

transparency and equality of treatment. The entire selection process and

the description of the criteria by which the proposals will be evaluated

are presented in the Evaluation Manual (see also box 5 and Appendix 6 of

Part 2 of this Guide).

In general, and in order to help the Commission, panels of independent,

external experts[xvi] will be constituted covering a wide range of relevant

expertise, without linguistic or geographic bias. Proposers’

confidentiality will be fully respected, both to avoid conflicts of

interest and to preserve the impartiality of the independent experts.

III.3.2. Conformity check and eligibility

On receipt, all proposals will be subject to a validation process, to

ensure they conform to the requirements of the Call, of the submission

procedure and of the rules for participation.

Only proposals that conform to these requirements will be subject to

evaluation.

III.3.3. Evaluation

Proposals will be evaluated according to criteria grouped into five

categories, as laid down in the Work Programme applicable to the relevant

call. The content and the respective weighting of the criteria are

described in the Evaluation Manual. Programme specific information on

evaluation may also be explained, if appropriate, in Part 2 of this Guide.

Ethical aspects and safety aspects have to be taken into account in the

process.

The experts examine proposals individually, then meet as a panel to agree a

ranking. At this stage, they may recommend that certain proposals should be

combined into larger projects or linked together as clusters (see section

I.3.3).

Following the evaluation, and according to the interest of Community, the

Commission will establish a list of proposals in order of priority. This

list will take into account the budget available (which has been set out in

the call for proposals) plus, if necessary, a percentage of the call budget

to allow for withdrawal of proposals and/or savings to be made during

contract finalisation. Late or ineligible proposals, those of inadequate

quality or for which there is not adequate budget will be subject to a “non-

retained” decision by the Commission. This information, with the main

reason for non-retention, will be communicated to the proposers concerned.

III.4. Proposal selection

The co-ordinators of proposals, which have been retained, will be notified

in writing. This notification however does not ultimately commit the

Commission to fund the project concerned.

A brief report on the evaluation prepared by the Commission will be sent to

the proposers via the proposal co-ordinator. Further administrative and

financial information will be required to assess the viability of the

proposed project.

Hence, participants will have to demonstrate that they have all the

necessary resources[xvii] needed for carrying out the project. The

Commission will check these, and may seek to safeguard its interest by

asking for a bank guarantee or by other measures.

The Commission may also propose modifications to the original proposal

based on the result of the evaluation, or in terms of grouping or

combination with others.

On successful conclusion of these negotiations, the Commission will then

offer contracts for the commencement of work, based on a timetable

determined by the needs of the Specific Programme concerned.

Any proposal, which is finally not taken up, due to a lack of available

funding for example, will be subject to a “non-retained” decision by the

Commission. This information, with the main reason for non-retention, will

be communicated to the proposers concerned.

III.5. The contract

Contracts are issued to proposals successful in the procedure of selection.

III.5.1. The various types of contracts

Research contracts from the Commission fall into five main groups. They

each have their own detailed conditions, appropriate to the types of action

and the activities to which they refer. (see boxes 6, 7 and 8).

III.5.2. The subject of the contract

The main obligation of the participants is to carry out the project to

completion in a pre-arranged period, and to make use of or disseminate its

results.

In return, the Commission undertakes to contribute financially to the

realisation of the project, normally by reimbursing a certain percentage of

the project costs[xviii].

III.5.3. Rights and obligations of participants

These may vary according to the nature of the action or the category of

participant:

. For Research and Technological Development (R&D) projects,

Demonstration projects and Combined projects, a participant who has a

wide-ranging role in the project throughout its lifetime is normally a

principal contractor. A participant whose role is largely in support

of one or several of these principal contractors is termed an assistant

contractor. Principal contractors are distinguished from assistant

contractors in two main ways:

- all the principal contractors are collectively responsible to the

Commission for the execution of the project and shall use reasonable

endeavours to obtain the expected results;

- principal contractors have rights of access to the results of the

project and any pre-existing know how. Assistant contractors have

limited rights. (see Box 8)

. For support for access to research infrastructure, the host

infrastructure is a principal contractor[xix], who is responsible for

the implementation of the action.

. For SME co-operative research projects, SMEs benefiting from the

project are principal contractors. Organisations performing the

research, named RTD performers, are subcontractors and, as such, are

not considered to be "participants"[xx].

. For Exploratory awards, SMEs are principal contractors.

For both SME Co-operative research projects and SME Exploratory awards,

principal contractors share responsibility and have the same access to

intellectual property rights. It should be noted that RTD performers,

although they are not considered to be "participants", can have access to

the know-how necessary to perform the research, and, in specific cases,

to the knowledge resulting from the projects (see Box 8).

. Concerted Actions, Research Training Networks and Thematic Networks

distinguish between the principal contractor(s)[xxi] who lead the

action, and the members who are associated with them. Principal

contractor(s)[xxii] sign a membership contract with their members, with

the prior agreement of the Commission and in conformity to their own

Commission contract, and share with them joint and several

responsibility, in relation to the carrying out of the project.. This

distinction does not affect intellectual property rights.

. For Accompanying Measures, the participants role shall vary according

to the nature of the action (see Box 6). Principal contractors share

joint and several responsibility. In Accompanying Measures specific to

technology take-up members can participate.

. For Fellowships, the Commission’s contract is normally offered to the

host institution, which then signs an agreement with the Fellow,

conforming to the terms of the Commission’s contract. Exceptionally, in

the case of bursaries for Community Researchers (INCO 2), the

Commission contract may be with the individual personally. In general,

intellectual property rights shall be addressed in the agreement signed

with the individual and according to the national legislation of the

host institution.

Participants in an action may conclude between themselves any agreements

necessary to the completion of the work, provided these do not infringe on

their obligations as stated in the contract they sign with the Commission.

III.5.4. The co-ordination of the project

Within a consortium, participants shall designate one of the principal

contractors to carry out the co-ordination function[xxiii].

The co-ordinator is the liaison between the participants and the

Commission, responsible for collecting, integrating and submitting project

deliverables, and for distributing the funds received from the Commission.

The costs incurred by the co-ordinator in the fulfilment of his

responsibilities can be claimed as direct or indirect costs (see boxes 6

and 7).

It should be noted that the successful management of the project is a joint

commitment of all the participants. They may however agree amongst

themselves to confer upon the co-ordinator additional responsibilities,

provided this does not infringe on their obligations as stated in the

contract they sign with the Commission.

III.5.5. Subcontractors

Sub-contractors are not participants in a project. Their function is only

as service providers to a principal contractor, an assistant contractor or

a member, who fully funds their activity. The costs are then reimbursable

by the Commission according to the rules of the contract in force.

Sub-contractors make no financial investment in the project, and they

therefore do not benefit from any intellectual property rights arising from

its achievements (see boxes 6 and 7).

III.6. Project follow-up

In order for the Commission to verify the execution of the contract,

participants are required to submit, via the co-ordinator interim and final

reports as well as reports of costs incurred.

These reports will be analysed by Commission services in the light of the

criteria, which led to the original selection of the proposal This will

ensure the project conforms to the conditions associated with the Community

financial contribution, and that the progress foreseen actually takes

place. The reports are also used to assess whether and in what manner the

project should continue to be supported.

In addition, and conforming to objectives stated in the Fifth Framework

Programme decision concerning the use and dissemination of results, the

Commission will follow-up the implementation of the results of the project.

Therefore participants are in general required to produce a “Technology

Implementation Plan” indicating how the knowledge gained will be used. The

Commission will ensure, where necessary, the confidentiality of these data.

III.7. Financial contribution of the Community

The Commission undertakes a financial contribution to the work.

With the exception of those cases where the Commission's contribution takes

the form of a lump sum payment, the Commission reimburses eligible costs

incurred by participants as the project progresses. Payment is made in

instalments at regular intervals.

III.7.1. Incurred eligible costs

Participants are required to identify and declare their eligible costs by

the submission of interim and final cost statements based on the actual

costs incurred for the execution of the project. Participants must retain

supporting documents, which justify these costs, for at least 5 years from

the end of each payment, to permit auditing by Commission services or other

institutions, e.g. the European Court of Auditors.

The different categories of costs that are eligible for Commission funding

differ according to type of contract (see Boxes 6 and 7).

III.7.2. Calculation methods

A number of different methods are used to calculate the Commission funding,

depending on the type of action involved and on the participant’s capacity

to identify his incurred costs (see boxes 6 and 7).

For Research and Technological Development projects, Demonstration and

Combined Research and Demonstration projects, three calculation methods are

used: full cost actual overhead (FC), full cost flat rate (FF) and

additional cost (AC).

For Accompanying Measures, one calculation method is used for all

participants. The overhead may be calculated as a flat rate of the

personnel costs and in some cases no overheads may be allowed.

For technology take-up measures not all cost categories may be allowable.

For Concerted Actions and Thematic Networks, all participants use the

additional cost model (AC), so overheads are calculated as 20% of all

direct costs (except subcontracting).

Use of permanent staff is allowed for all types of organisations if

accurate time records are kept.

III.7.3. Payment of the contribution

The Community contribution is paid in Euro, in a number of regular

instalments based on cost claims submitted by participants with their

interim and final reports.

The Commission may make advance payments at the beginning of the project,

contingent on verification of the participants’ financial standing. In

certain circumstances the Commission may request financial or other

guarantees to ensure the security of any advance payment made. This is

particularly necessary for those shared-cost actions where the participants

themselves are expected to support part of the cost.

III.8. Assistance available to proposers

The EC carries out a range of activities in support of potential proposers.

These vary as appropriate according to the nature of the Call and the

Specific Programme concerned. Therefore, they are detailed in the Guide

Part 2.

For each programme there is a network of National Contact Points in Member

and Associated States. The National Contact Points can be helpful to

organisations from their country in finding partners from other countries,

and in assisting in procedural or administrative matters. There are a

number of other networks such as Innovation Relay Centres, Euro Info

Centres etc., which potential proposers may also consult.

The European Commission maintains an Infodesk for each programme of the

Fifth Framework Programme for the duration of their Calls. Any questions

concerning the Call not covered in this document nor in the material

available at the programme web site may be directed to the Infodesk, whose

address is included in the Call specific information in the Guide Part 2.

The Infodesk will post any last-minute information concerning the Call on

the programme website, which potential proposers should check periodically

for this reason.

The certification service provider has established an EU-wide support

network for proposers in the national languages. Details are given on the

web page relating to this service (http://www.fp5.csp.org).

The Commission may organise “Info-days”, to disseminate information about

the Fifth Framework or a particular Call, and also to provide an occasion

for proposers to meet potential consortium partners.

The Commission’s CORDIS server in Luxembourg (http://www.cordis.lu/fp5/)

offers a number of services and information sources which may be useful in

particular to support partner search activities. It also contains details

of organisations which have already expressed an interest in participating

to the different programmes under the Fifth Framework Programme.

In addition, the CORDIS website offers targeted information concerning both

implementation modalities of the specific programmes as well as financial

and administrative management aspects.

Box 3 - Co-operation with non-EU Countries and International Organisations

Opportunities for participation in proposal consortia

In planning a RTD proposal for submission to one of the programmes or to

the key action ‘Improving the socio-economic knowledge base’, researchers

should be aware that it is also open to participation by entities from non-

EU countries and to international organisations. The opening falls into

three categories and in all cases, the third country/international

organisation participant must be included as a participant in the original

proposal submitted:

(i) Countries associated to FP-5: For each of these countries, institutions

may participate and be funded, with similar rights and responsibilities to

EU Member State participants, once the Association Agreements come into

force (see box 4).

(ii) Project by project participation: This participation will be on a self-

financing basis and this option is open to all non-associated European

countries, to Mediterranean partner countries, to countries with which the

EU has an S&T Agreement, and to international organisations, as long as the

participation is in conformity with the interest of the Community.

(iii) All other countries: For countries not covered by the above

categories, participation in FP-5 projects on a self-financing basis will

be possible if the participation is in conformity with the interest of the

Community and is of substantial added value for implementing all or part of

the specific programme. The interest of the Community and the substantial

added value must be clearly indicated in the proposal.

The conformity with the interests of the Community will be assessed with

particular regard to the contribution to one or more of the following (as

laid down in Council Decision): the needs of other Community policies in

support of which the RTD actions are carried out; providing appropriate

incentives for maintaining and creating jobs in the Community; promoting

sustainable development and improving the quality of life in the Community;

strengthening the international competitiveness of Community industry; the

existence of S&T co-operation agreements between the Community and third

countries or international organisations.

Substantial added value may refer for example to cases where the third

country participant is a generally recognised, top-level specialist in the

field of the proposal or has access to unique resources which are of great

importance to the project but which are not available in Europe, or where

third country participant offers the prospect of opening new markets for

the European participants.

In exceptional cases, Community financing for the third country participant

or international organisation may be provided by the programme if it is

essential for achieving the objectives of the project1, i.e. if the

contribution of the participant cannot be provided by any other means and

the project cannot be carried out without that participant.

For country groupings, see box 4

1 Additional rules are foreseen in the Specific Programme “Energy,

environment and sustainable development” which provide for financial

support to those entities where their participation is beneficial and

offers added value for achieving the objectives of the Programme.

Box 4 - Participation from non-EU countries in FP5 1

For latest information on entry into force of these agreements, please

consult: www.cordis.lu/fp5/src/3rdcountries.htm or contact the Programmes'

Information Desk

| | | |

| |CANDIDATES |BULGARIA, REPUBLIC OF CYPRUS, CZECH |

|Associated | |REPUBLIC, ESTONIA, HUNGARY, LATVIA, |

|States |FOR EU- |LITHUANIA, POLAND, ROMANIA, SLOVAKIA, |

| | |SLOVENIA : in force. |

|may |MEMBERSHIP | |

|participate | |For Malta and Turkey, please see footnote 3 |

|with | |and 4 |

|Community | | |

|funding | | |

| |EFTA-EEA |ICELAND, LIECHTENSTEIN, NORWAY: in force. |

| |OTHERS |ISRAEL : in force. |

| | |SWITZERLAND 2 : entry into force expected on|

| | |the 1.1.2001. |

| |OTHER |ALBANIA, BOSNIA-HERZEGOVINA, FORMER YUGOSLAV|

| |EUROPEAN |REPUBLIC OF MACEDONIA, SWITZERLAND 2 |

|Third States 6| |MALTA 3 and TURKEY 4 are also shown under |

| | |Mediterranean Partnership. |

| | |MICROSTATES AND TERRITORIES IN EUROPE5 |

|may | | |

|participate | | |

| | | |

|without | | |

|Community | | |

|funding | | |

| | | |

|(exceptionally| | |

|with Community| | |

|funding | | |

|when duly | | |

|justified as | | |

|being | | |

|essential for | | |

|achieving the | | |

|objectives | | |

|of the | | |

|project) | | |

| |EUROPEAN |ARMENIA, AZERBAIJAN, BELARUS, GEORGIA, |

| |NIS |MOLDOVA, RUSSIA, UKRAINE. |

| | |ALGERIA, EGYPT, JORDAN, LEBANON, MALTA3, |

| |MEDITERRANEAN|MOROCCO, PALESTINE AUTHORITY, SYRIA, |

| |PARTNERSHIP |TUNISIA, TURKEY4. |

| | | |

| | |All above countries may participate project |

| | |by project if in conformity with the |

| | |interests of the Community and on a self |

| | |financing basis. |

| | |ARGENTINA (1st activity of FP5), AUSTRALIA |

| | |(1st activity of FP5), CANADA (1st activity|

| |COUNTRIES |of FP5), CHINA (1st activity of FP5), SOUTH |

| |WITH |AFRICA (FP5), USA (FP5) : in force. |

| |CO-OPERATION |RUSSIA (1st activity of FP5): |

| |AGREEMENT |Agreement signed. |

| | |The above countries may participate in the |

| | |fields covered by the Co-operation |

| | |Agreement, once in force, and on a self |

| | |financing basis (until then, Russia may |

| | |participate as an European NIS). |

| |ANY OTHER |May participate project by project if in |

| |COUNTRY |conformity with the interests of the |

| | |Community and on a self financing basis, |

| | |only if its participation is also of |

| | |substantial added value for implementing all|

| | |or part of the specific programmes in |

| | |accordance with its objectives.. |

| |INTERNATIONAL|May participate project by project if in |

| |ORGANISATIONS|conformity with the interests of the |

| |7 |Community and on a self financing basis. |

Participation from third States and of International Organisations must

take place together with the minimum number of legal entities from the

Community and any Associated States.

1 Different rules apply for the specific programme ‘Confirming the

international role of Community research’ (except for Associated

States) and the EURATOM Framework Programme

2 According to Swiss authorities, this association agreement could

enter into force on the 1st of January 2001 at the earliest.

Meanwhile, Swiss legal entities shall be considered as those of any

other third European country.

3 An association agreement with Malta is foreseen to be negotiated

in 2000. Should this agreement be concluded, the status of Associated

State shall take precedence over any other. Meanwhile, Maltese

research entities participate to the activities of FP5 as “other

European”. They are also shown under Mediterranean Partnership. For

latest news, www.cordis.lu/fp5/src/3rdcountries.htm.

4 Turkish research entities participate to the activities of FP5 as

“other European”. They are also shown under Mediterranean Partnership.

For latest news, www.cordis.lu/fp5/src/3rdcountries.htm.

5 Andorra, Monaco, San Marino, Vatican City State (Holy See),

Faeroe Islands (DK), Channel Islands (GB), Isle of Man (GB), Svalbard

and Jan Mayen Islands (NO).

6 In the case of a country becoming associated to FP-5, that status

takes precedence over any other

7 Community funding may also be granted if it is foreseen to use

the facilities of an international organisation that are based in a

third country, should this use be essential for achieving the

objectives of the project.

Box 5 - Main milestones of the selection process

BOX 6 – Indicative Typology of Contracts

| | |PARTICIPA| |DIRECT COSTS |INDIRECT COSTS|

| | |NT |CONTRIBUTION | | |

| |Prin|Assi|Memb|Calcu|Percenta|Per|Dura| |Trav|Cons|Comp|Prot|Othe|Co-o|Acc|RTD |Overheads |

| |cipa|stan|er |latio|ge |son|ble |Subc|el |umab|utin|ecti|r |rdin|ess|perf| |

| |l |t | |n |funding |nel|equi|ontr|and |les |g |on |spec|atio| |orme| |

| |Cont|cont| |Metho| | |pmen|acti|subs| | |of |ific|n | |r | |

| |ract|ract| |d * | | |t |ng |iste| | |know|cost|cost| | | |

| |or |or | | | | | | |nce | | |ledg|s |s | | | |

| | | | | | | | | | | | |e | | | | | |

|SHARED COST | | | | | | | | | | | | | | | | | | |

|ACTIONS7 | | | | | | | | | | | | | | | | | | |

|R&D project |min |yes | |FC, |FC, FF: |Yes|yes |yes |yes |yes |yes |yes |yes |yes | | |FC: (actual |

| |2 | | |FF |50% | | | | | | | | | | | |rate)x(personn|

| | | | |and |AC: 100%| | | | | | | | | | | |el) |

| | | | |AC | | | | | | | | | | | | |FF: |

| | | | | | | | | | | | | | | | | |80%x(personnel|

| | | | | | | | | | | | | | | | | |) |

| | | | | | | | | | | | | | | | | |AC: 20%1 |

|Combined project | | | | |FC, FF: | | | | | | | | | | | | |

| | | | | |35 or | | | | | | | | | | | | |

| | | | | |50% | | | | | | | | | | | | |

| | | | | |AC: 100%| | | | | | | | | | | | |

|Demonstration | | | | |FC, FF: | | | | | | | | | | | | |

|project | | | | |35% | | | | | | | | | | | | |

| | | | | |AC: 100%| | | | | | | | | | | | |

|Support for |1 | | |AC |Up to |yes| |yes |yes |yes |yes | |yes | | | |20%1 |

|access to | | | | |100% | | | | | | | | | | | | |

|research | | | | | | | | | | | | | | | | | |

|infrastructures | | | | | | | | | | | | | | | | | |

| | | | | UF |Up to | | | |yes | | | | | |yes| | |

| | | | | |100% | | | | | | | | | | | | |

|SME co-operative |min | | |FC, |50% |yes|yes |yes |yes |yes |yes | |yes | | |yes |(actual |

|(CRAFT) |3 | | |FF | | | | | | | | | | | | |rate)x(personn|

| |SME | | | | | | | | | | | | | | | |el) |

|Exploratory |min | | |Fixed|75%2 | | | | | | | | | | | | |

|awards |2 | | |amoun| | | | | | | | | | | | | |

| |SME | | |t | | | | | | | | | | | | | |

|TRAINING | | | | | | | | | | | | | | | | | |

|FELLOWSHIPS | | | | | | | | | | | | | | | | | |

|Marie Curie Host |inst| |min |Fixed| | | | | | | | | | | | | |

|Fellowships |itut| |1 |amoun| | | | | | | | | | | | | |

| |ion | |fell|t | | | | | | | | | | | | | |

| | | |ow | | | | | | | | | | | | | | |

|Marie Curie | | |1 | | | | | | | | | | | | | | |

|Individual | | |fell| | | | | | | | | | | | | | |

|Fellowships | | |ow | | | | | | | | | | | | | | |

|Developing | | |1 | | | | | | | | | | | | | | |

|countries | | |fell| | | | | | | | | | | | | | |

|Fellowships | | |ow | | | | | | | | | | | | | | |

|Fellowships for |fell| | | | | | | | | | | | | | | | |

|Community |ow | | | | | | | | | | | | | | | | |

|Researchers | | | | | | | | | | | | | | | | | |

|SUPPORT TO | | | | | | | | | | | | | | | | | |

|NETWORK | | | | | | | | | | | | | | | | | |

|Thematic network|min | |yes |AC |Up to |yes| |yes |yes | |yes | |Yes | | | |20%1 |

| |1 | | | |100% | | | | | | | | | | | | |

|Training network |1 | |min.|AC |Up to | | | | | | |Yes | | | | |20%1 |

| | | |4 | |100% | | | | | | | | | | | | |

|CONCERTED ACTIONS|min | |yes |AC |Up to |yes| |yes |yes | |yes | |yes | | | |20%1 |

| |1 | | | |100% | | | | | | | | | | | | |

|ACCOMPANYING | | | | | | | | | | | | | | | | | |

|MEASURES | | | | | | | | | | | | | | | | | |

|Accompanying |min | | | |Up to |yes|yes |yes |yes |yes |yes |Yes |yes |yes | | |yes5 |

|measures 3 |1 | | | |100% | | | | | | | | | | | | |

|Euro conference |1 | | | |Up to |yes| |yes |yes |yes | | |yes4|yes | | |None |

| | | | | |100% | | | | | | | | | | | | |

|Technology |min | |yes | |Up to |yes|yes |yes |yes |yes |yes |yes |yes |yes | | |yes6 |

|Take-up |1 | | | |100% | | | | | | | | | | | | |

* FC = Full Costs/ FF= Full costs Fixed rate/AC= Additional Costs/ UF =

User Fee. For more information, see Box 7.

1 Direct costs, excluding subcontracting costs

2 Up to maximum of €22,500

3 For subsidies, see the Vademecum on grant management and com pv(98) 1395

4 Organisation costs (see specific Guide for Proposers Part 2)

5 Overhead is calculated as a lump sum of the personnel costs (not

exceeding 80%).

6 The eligible cost categories for each of the types of technology take-up

measures are referred to in the relevant Guide for Proposers, Part 2

7 Two alternative contracts are available respectively to the R&D and the

Demonstration. One is the “Deliverables”, by which the contribution is paid

in pre-set amounts and adjusted with the final payment on the basis of

actual costs for the whole contract. The other is the “flat rate” (for

projects estimated less than 100 000 euro) by which the contribution

consists of a fixed amount based on the estimated costs for the work.

Box 7 - Methods for the calculation of EC funding

Full cost (FC)

The participant can identify all the direct and indirect costs related to

the project. He should be able to demonstrate that his accounting system

enables the identification of those costs with sufficient precision. FC =

total direct costs + actual overhead rate.

Full costs Flat rate (FF)

The participant who may participate on a full costs basis or who can

identify his direct costs related to the project (temporary and permanent

staff) but not the indirect costs linked to the project may elect the

overhead to be charged on a flat rate basis, 80 % of the direct personnel

cost.

Additional cost (AC) - in R&D projects

Subject to the specific contract terms, the Commission shall only take into

account the project’s additional (non recurrent) costs. AC = total direct

additional costs + x% overhead on direct costs (excluding subcontracting)

(for x% see Box 6).

Additional cost (AC) - in Concerted Actions/Thematic networks and

Euroconferences

The Community funding shall only cover the direct costs necessary for the

action, however, costs for permanent staff are eligible if time records are

kept. AC = total direct additional costs + x% overhead on direct costs

(excluding subcontracting) (for x% see Box 6).

User Fee (UF)

This system is only used in the context of projects providing access to

research infrastructure. It is based on a "unit cost", which is a fixed

composite rate, for each access. Travel and subsistence costs and a flat

rate contribution for general expenses are added. The participant should be

able to demonstrate that his accounting system enables him to calculate

with sufficient precision the "unit cost". UF = ((unit cost x quantity of

access) + travel and subsistence costs) + 20% overhead.

Costs categories

A cost shall be considered as eligible only where it is necessary for and

during the project and is provided for in the contract. It shall be

reimbursed if the amount has actually been spent and recorded in the

accounts. No profit may be included.

Personnel costs: subject to the contract terms, scientific and

technical personnel; time devoted to the project shall be

recorded.

Durable equipment: subject to the contract terms, equipment shall be

reimbursed according to a depreciation period (for

computer equipment that cost less than 25.000 Euro the

depreciation period is 36 months, for all other equipment

the depreciation period is 60 months) and its use on the

project; equipment leased shall be reimbursed without

exceeding the eligible cost if it were to be purchased.

Subcontracting: external services.

Travel and subsistence: travel outside the European Union or an

Associated State needs the prior approval of the

Commission, except for visiting a participant.

Consumables: only project specific items.

Computing: only project specific items.

Protection of knowledge: subject to contract terms, only with prior

approval of the Commission

Other specific costs any cost necessary for the project, not falling

within a defined category and having received the prior

approval of the Commission

Co-ordination costs: costs for the financial/administrative

administration (personnel, travel and all other cost

categories apart from subcontracting) incurred only by the

co-ordinator - the financial/administrative co-ordinator

in case of split between scientific and administrative co-

ordinator - in order to fulfil his tasks.

Access: only for Support for access to research infrastructure; user

fee related to visiting scientist.

RTD performer only for SME co-operative research project; cost of

research performed by a non-participant.

Overheads: subject to the contract terms, either an actual rate (FC), or a

flat rate (FF) calculated on personnel costs or on the

direct additional costs (AC) excluding subcontracting, or

as a lump sum of personnel costs (Accompanying Measures).

BOX 8 - Intellectual Property Rights

The following table lists the access rights (license on a patent, other

users rights) to knowledge (intellectual property created during the

project) and know-how (pre-existing intellectual property) as a function of

the different types of actions and participants.

| |Knowledge |Pre-existing know-how |

| | |necessary for the |

| | |execution of the project|

| | |or to use its Knowledge |

| |Access |Use* |Access |Use |

| |rights for | |rights for | |

| |the | |the | |

| |execution of| |execution | |

| |the project | |of project | |

|Research |Principal |Royalty-free|Royalty-free |Favourable |Favourable |

|and |Contractor| |(1) to all |conditions |conditions |

|technologi| | |knowledge | | |

|cal | | | | | |

|developmen| | | | | |

|t Project | | | | | |

| |Assistant |Royalty-free|Favourable |Favourable |/ |

| |Contractor|/ Favourable|Conditions/ |Conditions/| |

| |(2) |Conditions |Market |Market | |

| | | |conditions |conditions | |

| | | |(1) | | |

| |Principal |Favourable |Market | | |

| |Contractor|Conditions |conditions | | |

| |of the | | | | |

| |same | | | | |

| |specific | | | | |

| |programme | | | | |

|Demonstrat|Principal |Royalty-free|Favourable |Favourable |Favourable |

|ion |Contractor| |Conditions |conditions |conditions |

|Project | | |for | |for |

| | | |Exploitation | |Exploitation|

| | | |only, to all | |only |

| | | |knowledge | | |

| |Assistant |Royalty-free|Favourable |Favourable |/ |

| |Contractor|/ Favourable|Conditions/ |Conditions/| |

| |(2) |Conditions |Market |Market | |

| | | |conditions |conditions | |

| | | |for | | |

| | | |Exploitation | | |

| | | |only | | |

|Combined |Principal |In general, IPR rules for R&D projects shall be |

|R&D/ |Contractor|applied to R&D workpackages, and IPR rules for |

|Demonstrat| |Demonstration projects to Demonstration |

|ion | |workpackages. |

|Project | |If the identification of the various workpackages is|

| | |impossible, IPR rules for R&D projects shall apply |

| | |if the total EC contribution to the project as a |

| | |whole is superior to 42,5% of its total cost. If the|

| | |figure is equal or inferior to 42,5%, IPR rules for |

| | |Demonstration projects shall then be applied. |

| |Assistant | |

| |Contractor| |

| |(2) | |

|SME |Principal |Co-ownership|Co-ownership |Royalty-fre|Favourable |

|co-operati|Contractor|(3) |(3) |e |Conditions |

|ve |(SME) | |for | |for |

|Research | | |Exploitation | |Exploitation|

|Project | | |only | |only |

| |RTD |Royalty-free| |Royalty-fre| |

| |performer | | |e | |

| |(non- | | | | |

| |participan| | | | |

| |t) | | | | |

|Concerted |Principal |The knowledge which is suitable for dissemination |

|Action |Contractor|will be disseminated |

| |Member | |

|Networks |Principal |The knowledge which is suitable for dissemination |

| |Contractor|will be disseminated |

| |Member | |

|Fellowship|Host |The ownership of knowledge will be determined by the|

|s |Institutio|Host Institution according to the applicable law. |

| |n |The knowledge which is suitable for dissemination |

| | |will be disseminated |

| |Grant | |

| |holder | |

|Accompanyi|Principal |The ownership of knowledge will be determined |

|ng |Contractor|regarding to the Community financing level. As the |

|Measures | |case may be, use or dissemination will prevail. |

| |& in | |

| |particular| |

| |cases | |

| |Members | |

(*) Access rights to knowledge for the purpose of use are limited to

knowledge generated under the project concerned.

(1) Contractors and Assistant Contractors unable to exploit their own

knowledge might grant access rights at reasonable financial or similar

conditions, instead of royalty-free.

(2) More favourable conditions when beneficiary requests access from

its principal contractor or the other assistant contractors of the

latter.

(3) SME Contractors are the owners of all knowledge resulting from the

research work carried out by the RTD performers.

Box 9 - Key recommendations

V Eligible partners: Check first that you and your partners are eligible

for participation in the Programme (for example: your organisation must

have a registered legal existence, there are minimum consortium

conditions etc.) and also that you are eligible for the particular

activity involved (some activities may be reserved e.g. for SMEs,

organisations in particular sectors of industry….etc.)

V Specific actions and RTD objectives: Check that your proposed work does

indeed address an activity included in the current Call. Ineligible

proposals, or proposals not addressing activities open in the Call, will

be excluded from evaluation.

V Selection criteria: Any proposal evaluated below the thresholds will not

be considered for funding.

V Management: Clearly indicate ability for high quality management adapted

to the size of the project.

V Content: Good proposals show consistency with the five selection

criteria.

V Ethical issues: Clearly describe any potential ethical aspects and

applicable regulatory aspects of the research to be carried out and the

way they are dealt with according to national regulations.

V Presentation: Good proposals are drafted in a clear and easily

understandable way. Good proposals are precise and concise, not “wordy” -

evaluators judge on content, not on number of pages.

V Results: Good proposals clearly show the results that will be achieved,

and how the participants intend to diffuse or exploit these results.

V Completeness: Proposals must be complete, as they are evaluated only on

the basis of the written material submitted. Follow the format of the

Proposal Submission Form. You are highly recommended to use the ProTool

software supplied free of charge by the Commission to proposers.

V Partnership: Partners should discuss and agree beforehand their

respective roles and responsibilities.

V Contract: Check that the model contract conditions for the type of work

that you are proposing are acceptable for your organisations.

V Competition: There will be competition, and a weak element in an

otherwise good proposal might make it lose out to others. Therefore edit

your proposal tightly, strengthen or eliminate weak elements.

Last but not least:

Arrange for your draft proposal to be evaluated by experienced colleagues

before sending it, using the evaluation criteria described in the

Evaluation Manual and in Appendix 6 (PART 2). Use their advice to improve

it before submission.

Notes – PART 1

-----------------------

[i] On the 22/12/98, the Council also decided on the Fifth Euratom

Framework Programme for research and training (CORDIS :

http://www.cordis.lu/fp5/src/decisions.htm)

The specificity of the latter will be described in a separate information

document.

[ii] It will also carry out research and development activities conducted

by the Joint Research Centre

[iii] In the Decisions adopting the Specific Programmes, there can be no

derogation from the financial participation rates set out here, with the

exception of duly justified special cases

[iv][v] The rates may need to be adjusted in individual cases to comply

with the Community framework for State aid for R&D (O.J. C 45, 17.2.1996)

and with article 8 of the WTO Agreement on subsidies and countervailing

measures (O.J. L 336, 23.12.1994). If the project is supported financially

by a Member State or one of its public bodies, the cumulation rule applies,

according to item 5.12 of the above mentioned Community framework.

[vi] In the special case of legal entities which do not keep analytical

accounts, the additional eligible costs generated as a result of the

research will be financed at the rate of 100 %

[vii] EC funding up to maximum of ¬ 22,500

[viii] In the case of industrial host fellowships, this will normally

approximate to 50 % of the total eligible costs

[ix] Mored detailed informa of €22,500

[x] In the case of industrial host fellowships, this will normally

approximate to 50 % of the total eligible costs

[xi] Mored detailed information on this area are given in an explanatory

note, available from CORDIS at :

http://www.cordis.lu/life/calls/199902.htm#refdocs

[xii] The implementation modality “Support for access to research

infrastructure” should not be confused with “Support for research

infrastructures”, which is part of the programme and supports various

actions. The action “Support for access to research infrastructures” is

supported by the horizontal programme “Improving human potential”.

[xiii] European Parliament and Council Decision N° 1999/182/EC of 22

December 1998 concerning the Fifth Framework Programme of the European

Community for research, technological development and demonstration

activities (1998-2002)

[xiv] Council Decision 1999/65/EC of 22 December 1998 concerning the rules

for the participation of undertakings, research centres and universities

and for the dissemination of research results for the implementation of the

Fifth Framework Programme of the European Community (1998-2002)

[xv] Council Decisions on the specific programmes, Commission Regulation

implementing the Council Decision 1999/65/EC concerning the rules of

participation, Work Programmes of the specific programmes, model contracts,

Evaluation Manual, …

[xvi] See the Work Programme of the Specific Programme “Confirming the

international role of Community research” and its corresponding Guide for

Proposers.

[xvii] Such calls are based on Community need to support certain of its

policies (standardisation, anti-fraud actions…)

[xviii] See Vademecum on grant management and the rules for public

procurement

[xix] Experts shall be selected following a Call for candidates. However,

in exceptional cases, the evaluation process may be conducted without them.

The Commission's services shall however follow the rules set out in the

Evaluation Manual.

[xx] These include human resources, infrastructure, financial resources

and, where appropriate, intangible property.

[xxi] In certain exceptional cases by paying a fixed lump sum.

[xxii] Anywhere where it is possible for easy reading, the word

“contractor” may be used.

[xxiii] Specific rules related to their participation in this type of

action can be found in the ad hoc information brochure devoted to SMEs.

[xxiv] A single contractor is possible in the case of Concerted Actions,

Thematic and Training Networks

[xxv] A single contractor is possible in the case of Concerted Actions,

Thematic and Training Network Actions, where he carries out the co-

ordinator role.

[xxvi] This role may in exceptional cases be carried by two contractors,

with one responsible for the scientific co-ordination, and the other

responsible for financial matters (e.g.: if the scientific co-ordinator is

unable to receive Community funding due to his status, his location, his

uncertain financial standing, or because he is unable to distribute funds

to participants in due time).

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[pic]

QUALITY OF LIFE AND

MANAGEMENT OF LIVING RESOURCES

THE FIFTH FRAMEWORK PROGRAMME

1998-2002