I.3.2. Types of actions supported

Поможем в ✍️ написании учебной работы

Имя

Поможем с курсовой, контрольной, дипломной, рефератом, отчетом по практике, научно-исследовательской и любой другой работой

Нажимая кнопку "Продолжить", я принимаю политику конфиденциальности

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 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,

· 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:

Ø 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.

Ø 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.

Ø 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.

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.

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.3.1. Six key actions

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.

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.

Neurosciences

Bioethics

13. Socio-economic Aspects of Life Sciences and Technologies

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 Programme		http://www.cordis.lu/fp5/src/decisions.htm
Decision on the “Quality of Life and Management of Resources” Programme		http://www.cordis.lu/fp5/src/decisions.htm
Quality of Life homepage		http://www.cordis.lu/life
Call text for “Quality of Life and Management of Resources” Programme		http://www.cordis.lu/life/src/library.htm
Work Programme “Quality of Life and Management of Resources” Programme		http://www.cordis.lu/life/src/library.htm
Quality of Life Documents		http://www.cordis.lu/life/src/library.htm
Quality of Life contacts		http://www.cordis.lu/life/src/contacts.htm
Marie-Curie fellowships homepage		http://www.cordis.lu/improving
SME-specific measures homepage		http://www.cordis.lu/sme
INCO-web site (Bursaries, international co-operation)		http://www.cordis.lu/inco
Other programme web sites accessible via		http://www.cordis.lu/fp5/

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.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 The submitting partner in the consortium seeks certification for the Programme.	Paper submission The proposal is sent to the Commission in the form of five bound paper copies and 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.3.3. 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.5.5. 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.

Associated States

may participate

With

Community

Funding

CANDIDATES FOR EU- MEMBERSHIP BULGARIA, REPUBLIC OF CYPRUS, CZECH REPUBLIC, ESTONIA, HUNGARY, LATVIA, LITHUANIA, POLAND, ROMANIA, SLOVAKIA, SLOVENIA : in force. For Malta and Turkey, please see footnote 3 and 4 EFTA-EEA ICELAND, LIECHTENSTEIN, NORWAY: in force. OTHERS ISRAEL : in force. SWITZERLAND ² : entry into force expected on the 1.1.2001.

Third States ⁶

may participate

Without

Community

Funding

(exceptionally with Community funding

when duly justified as being essential for achieving the objectives

of the project)

OTHER EUROPEAN ALBANIA, BOSNIA-HERZEGOVINA, FORMER YUGOSLAV REPUBLIC OF MACEDONIA, SWITZERLAND ² MALTA ³ and TURKEY ⁴ are also shown under Mediterranean Partnership. MICROSTATES AND TERRITORIES IN EUROPE ⁵ EUROPEAN NIS ARMENIA, AZERBAIJAN, BELARUS, GEORGIA, MOLDOVA, RUSSIA, UKRAINE. MEDITERRANEAN PARTNERSHIP ALGERIA, EGYPT, JORDAN, LEBANON, MALTA³, MOROCCO, PALESTINE AUTHORITY, SYRIA, 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. COUNTRIES WITH CO-OPERATION AGREEMENT ARGENTINA (1^st activity of FP5), AUSTRALIA (1^st activity of FP5), CANADA (1^st activity of FP5), CHINA (1^st activity of FP5), SOUTH AFRICA (FP5), USA (FP5) : in force. RUSSIA (1^st activity of FP5): 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 COUNTRY May participate project by project if in 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 ORGANISATIONS ⁷ May participate project by project if in conformity with the interests of the 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.

PARTICIPANT

CONTRIBUTION

DIRECT COSTS

INDIRECT COSTS

Principal Contractor Assistant contractor Member Calculation Method * Percentage funding Personnel Durable equipment Subcontracting Travel and subsistence Consumables Computing Protection of knowledge Other specific costs Co-ordination costs Access

RTD performer

Overheads

SHARED COST ACTIONS ⁷

R&D project

min 2

yes FC, FF and AC FC, FF: 50% AC: 100% Yes yes yes yes yes yes yes yes yes

FC: (actual rate)x(personnel)

FF: 80%x(personnel)

AC: 20%¹

Combined project FC, FF: 35 or 50% AC: 100%

Demonstration project FC, FF: 35% AC: 100%

Support for access to research infrastructures 1 AC Up to 100% yes yes yes yes yes yes

20%¹

UF Up to 100% yes yes

SME co-operative (CRAFT) min 3 SME

FC, FF 50% yes yes yes yes yes yes yes

yes

(actual rate)x(personnel)

Exploratory awards min 2 SME Fixed amount 75%²

TRAINING FELLOWSHIPS

Marie Curie Host Fellowships institution min 1 fellow Fixed amount

Marie Curie Individual Fellowships 1 fellow

Developing countries Fellowships 1 fellow

Fellowships for Community Researchers fellow

SUPPORT TO NETWORK

Thematic network min 1 yes AC Up to 100% yes yes yes yes Yes

20%¹

Training network 1 min. 4 AC Up to 100% Yes

20%¹

CONCERTED ACTIONS min 1 yes AC Up to 100% yes yes yes yes yes

20%¹

ACCOMPANYING MEASURES

Accompanying measures ³ min 1 Up to 100% yes yes yes yes yes yes Yes yes yes

yes⁵

Euro conference 1 Up to 100% yes yes yes yes yes⁴ yes

None

Technology Take-up min 1 yes Up to 100% yes yes yes yes yes yes yes yes yes

yes⁶

* 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.

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).

Knowledge

Demonstration Project

Principal Contractor Royalty-free Favourable Conditions for Exploitation only, to all knowledge Favourable conditions Favourable conditions for Exploitation only Assistant Contractor (2) Royalty-free / Favourable Conditions Favourable Conditions/ Market conditions for Exploitation only Favourable Conditions/ Market conditions /

Combined R&D/

Demonstration Project

Principal Contractor

In general, IPR rules for R&D projects shall be applied to R&D workpackages, and IPR rules for Demonstration projects to Demonstration workpackages.

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)

Concerted Action

Principal Contractor

The knowledge which is suitable for dissemination will be disseminated

Member

Networks

Principal Contractor

The knowledge which is suitable for dissemination will be disseminated

Member

Fellowships

Host Institution

The ownership of knowledge will be determined by the Host Institution according to the applicable law. The knowledge which is suitable for dissemination will be disseminated

Grant holder Accompanying Measures Principal Contractor & in particular cases Members

The ownership of knowledge will be determined regarding to the Community financing level. As the case may be, use or dissemination will prevail.

(*) 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

ü 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.)

ü 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.

ü Selection criteria: Any proposal evaluated below the thresholds will not be considered for funding.

ü Management: Clearly indicate ability for high quality management adapted to the size of the project.

ü Content: Good proposals show consistency with the five selection criteria.

ü 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.

ü 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.

ü Results: Good proposals clearly show the results that will be achieved, and how the participants intend to diffuse or exploit these results.

ü 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.

ü Partnership: Partners should discuss and agree beforehand their respective roles and responsibilities.

ü Contract: Check that the model contract conditions for the type of work that you are proposing are acceptable for your organisations.

ü 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][iv] 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.

[v] 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 %

[vi] EC funding up to maximum of ?22,500

[vii] In the case of industrial host fellowships, this will normally approximate to 50 % of the total eligible costs

[viii] 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

[ix] 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”.

[x] 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)

[xi] 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)

[xii] 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, …

[xiii] See the Work Programme of the Specific Programme “Confirming the international role of Community research” and its corresponding Guide for Proposers.

[xiv] Such calls are based on Community need to support certain of its policies (standardisation, anti-fraud actions…)

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

[xvi] 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.

[xvii] These include human resources, infrastructure, financial resources and, where appropriate, intangible property.

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

[xix] Anywhere where it is possible for easy reading, the word “contractor” may be used.

[xx] Specific rules related to their participation in this type of action can be found in the ad hoc information brochure devoted to SMEs.

[xxi] A single contractor is possible in the case of Concerted Actions, Thematic and Training Networks

[xxii] A single contractor is possible in the case of Concerted Actions, Thematic and Training Network Actions, where he carries out the co-ordinator role.

[xxiii] 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).