Quality of Life and Management of Living Resources

Guide for Proposers – PART 1 December 1999

THE FIFTH FRAMEWORK PROGRAMME

1998-2002

QUALITY OF LIFE AND
MANAGEMENT OF LIVING RESOURCES

GUIDE FOR PROPOSERS

PART 1

2^nd 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

2^nd 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 Programme¹

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,

• 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 :

• Quality of life and management of living resources

• User-friendly information society

• Competitive and sustainable growth

• 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:

• Confirming the international role of Community research

• Promotion of innovation and encouragement of participation of small and medium-sized enterprises (SMEs)

• 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.

• 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 RTD² activities, carried out under the Specific Programmes implemented within the Fifth Framework Programme. The general rules³ are as follows:

(a) Shared-cost actions

• Research and technological development (R&D) projects⁴ – 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 costs^4,5).

• 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 costs^4,5).

• 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 costs⁶ 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 action⁷). 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).