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

TOC \o “1-2” Foreword PAGEREF _Toc469732760 \h 2

PART 1 PAGEREF _Toc469732761 \h 3

I. The Fifth Framework Programme PAGEREF _Toc469732762 \h 3

I.1. Objectives PAGEREF _Toc469732763 \h 3

I.2. Structure and contents PAGEREF _Toc469732764 \h 3

I.3. Implementation PAGEREF _Toc469732765 \h 4

Box 1 – Bursaries for young researchers from Developing Countries
PAGEREF _Toc469732766 \h 6

Box 2 – The System of Marie Curie Fellowships PAGEREF _Toc469732767 \h
7

II. The Specific Programme: Quality of Life and Management of Living
Resources PAGEREF _Toc469732768 \h 8

II.1. Programme objectives PAGEREF _Toc469732769 \h 8

II.2. Programme strategy PAGEREF _Toc469732770 \h 8

II.3. Programme structure and contents PAGEREF _Toc469732771 \h 8

II.4. Synergies with other programmes PAGEREF _Toc469732772 \h 10

II.5. Implementation of the programme PAGEREF _Toc469732773 \h 10

II.6. References PAGEREF _Toc469732774 \h 11

III. Participation in activities in the Fifth Framework Programme
PAGEREF _Toc469732775 \h 12

III.1. The participants PAGEREF _Toc469732776 \h 12

III.2. Proposal submission PAGEREF _Toc469732777 \h 12

III.3. Proposal evaluation PAGEREF _Toc469732778 \h 13

III.4. Proposal selection PAGEREF _Toc469732779 \h 14

III.5. The contract PAGEREF _Toc469732780 \h 14

III.6. Project follow-up PAGEREF _Toc469732781 \h 15

III.7. Financial contribution of the Community PAGEREF _Toc469732782
\h 16

III.8. Assistance available to proposers PAGEREF _Toc469732783 \h 16

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

Organisations PAGEREF _Toc469732784 \h 18

Box 4 – Participation from non-EU countries in FP5 PAGEREF
_Toc469732785 \h 19

Box 5 – Main milestones of the selection process PAGEREF _Toc469732786
\h 20

BOX 6 – Indicative Typology of Contracts PAGEREF _Toc469732787 \h 21

Box 7 – Methods for the calculation of EC funding PAGEREF
_Toc469732788 \h 22

BOX 8 – Intellectual Property Rights PAGEREF _Toc469732789 \h 23

Box 9 – Key recommendations PAGEREF _Toc469732790 \h 24

Notes – PART 1 PAGEREF _Toc469732791 \h 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.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 RTD activities, carried
out under the Specific Programmes implemented within the Fifth Framework
Programme. The general rules are as follows:

(a) Shared-cost actions

Research and technological development (R&D) projects – 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,).

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 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). 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 (
HYPERLINK http://www.cordis.lu/fp5 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. 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”

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 Programme

HYPERLINK http://www.cordis.lu/fp5/src/oj.htm
http://www.cordis.lu/fp5/src/decisions.htm

Decision on the “Quality of Life and Management of Resources” Programme

HYPERLINK http://www.cordis.lu/fp5/src/oj.htm
http://www.cordis.lu/fp5/src/decisions.htm

Quality of Life homepage

HYPERLINK http://www.cordis.lu/fp5/src/oj.htm
http://www.cordis.lu/life

Call text for “Quality of Life and Management of Resources” Programme

HYPERLINK http://www.cordis.lu/XXX/XXX
http://www.cordis.lu/life/src/library.htm

Work Programme “Quality of Life and Management of Resources” Programme

HYPERLINK http://www.cordis.lu/XXX/XXX
http://www.cordis.lu/life/src/library.htm

Quality of Life Documents

HYPERLINK http://www.cordis.lu/XXX/XXX
http://www.cordis.lu/life/src/library.htm

Quality of Life contacts

HYPERLINK http://www.cordis.lu/XXX/XXX
http://www.cordis.lu/life/src/contacts.htm

Marie-Curie fellowships homepage

HYPERLINK http://cordis.lu/XXX/XXX http://www.cordis.lu/improving

SME-specific measures homepage

HYPERLINK http://cordis.lu/XXX/XXX http://www.cordis.lu/sme

INCO-web site (Bursaries, international co-operation)

HYPERLINK http://cordis.lu/XXX/XXX http://www.cordis.lu/inco

Other programme web sites accessible via

HYPERLINK http://cordis.lu/XXX/XXX http://www.cordis.lu/fp5/

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, the decision on the rules of participation, and other
subsequent texts or documents.

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.

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.

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.

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

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, 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”.

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) who lead the action, and
the members who are associated with them. Principal contractor(s) 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.

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: HYPERLINK http://www.cordis.lu/fp5/src/3rdcountries.htm
www.cordis.lu/fp5/src/3rdcountries.htm or contact the Programmes’
Information Desk

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 EUROPE5

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 (1st activity of FP5), AUSTRALIA (1st activity of
FP5), CANADA (1st activity of FP5), CHINA (1st activity of FP5), SOUTH
AFRICA (FP5), USA (FP5) : in force.

RUSSIA (1st 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.

Box 5 – Main milestones of the selection process

BOX 6 – Indicative Typology of Contracts

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 ACTIONS7

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.

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 rights for the execution of the project Use* Access rights for
the execution of project Use

Research and technological development Project Principal Contractor
Royalty-free Royalty-free (1) to all knowledge Favourable conditions
Favourable conditions

Assistant Contractor (2) Royalty-free / Favourable Conditions
Favourable Conditions/

Market conditions

(1) Favourable Conditions/ Market conditions /

Principal Contractor of the same specific programme Favourable
Conditions Market conditions

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)

SME co-operative Research Project Principal Contractor (SME)
Co-ownership (3) Co-ownership (3)

for Exploitation only Royalty-free Favourable Conditions for
Exploitation only

RTD

performer

(non- participant) Royalty-free

Royalty-free

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

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.)

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.

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

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

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

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.

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.

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

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.

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

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

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

PAGE 26

Quality of Life and Management of Living Resources

Guide for Proposers – PART 1 December 1999

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Quality of Life and Management of Living Resources

Guide for Proposers – PART 1 December 1999

PAGE 20

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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.

It will also carry out research and development activities conducted by
the Joint Research Centre

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

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.

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 %

EC funding up to maximum of ?22,500

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

Mored detailed information on this area are given in an explanatory
note, available from CORDIS at : HYPERLINK
http://www.cordis.lu/life/calls/199902.htm#refdocs
http://www.cordis.lu/life/calls/199902.htm#refdocs

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”.

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)

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)

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, …

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

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

See Vademecum on grant management and the rules for public procurement

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.

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

In certain exceptional cases by paying a fixed lump sum.

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

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

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

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

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).

QUALITY OF LIFE AND

MANAGEMENT OF LIVING RESOURCES

THE FIFTH FRAMEWORK PROGRAMME

1998-2002

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