Реферат: Quality of life and management of living resources
GUIDE FOR PROPOSERS
2nd EDITION, DEC 1999 A_PG1_EN_200001.doc
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.
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
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:
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
I. The Fifth Framework Programme...............................................3
I.2. Structure and contents....................................................3
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
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
Box 4 - Participation from non-EU countries in FP5............................19
Box 5 - Main milestones of the selection process..............................20
BOX 6 - Indicative Typology of Contracts......................................21
Box 7 - Methods for the calculation of EC funding.............................22
BOX 8 - Intellectual Property Rights..........................................23
Box 9 - Key recommendations...................................................24
Notes - PART 1................................................................25
2nd EDITION, DEC 1999 A_PG1_EN_200001.doc
This second edition introduces no substantial changes concerning the
information given to proposers in the March 1999 edition. Improvements are the
results of experience with the use of the March 1999 edition.
I. The Fifth Framework Programme
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
· 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
One essential new characteristic of the Fifth Framework Programme is the
integrated, problem-solving approach. Integration is strengthened at three
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.
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
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.3.1. 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
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
(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
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
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
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
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 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
The 6 month training period may start at any time up to 12 months from the
Commission signature of the main project contract. A fixed sum will be
granted to cover the cost of one (apex) return fare from the place of origin
of the candidate to the host institute, and a daily allowance for the
duration of the training period (based on the rates for Marie Curie
Fellowships, see the corresponding brochure for applicants).
1 Research and Technological Development projects, Demonstration projects and
Combined projects (see point I.3.2.a)
2 Application forms can be downloaded from the CORDIS web site page
(http://www.cordis.lu/fp5) for the Calls to which you reply, or ordered from
the Programmes’ information desk.
3 Developing countries are: African, Caribbean, Pacific (ACP) countries,
Asian and Latin American (ALA) countries, Mediterranean countries (MC).
4 For the list of Associated States, see box 4.
Box 2 – The System of Marie Curie Fellowships
As described below, there are two types of application for a Marie Curie Fellowship: individual fellowships, where individual researchers apply to the Commission for a fellowship; and host fellowships, where institutions apply to the Commission to host a number of researchers.
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.
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
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
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
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
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
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
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
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
10. Public-health and Health-services Research (including drug-related problems)
11. Research relating to Persons with Disabilities
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
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
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.
|Decision on the Fifth Framework Programme|
|Decision on the “Quality of Life and Management of Resources” Programme|
|Quality of Life homepage|
|Call text for “Quality of Life and Management of Resources” Programme|
|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. 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
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:
Proposals must be completed in full as detailed in the Guide for Proposers
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)
The submitting partner in the consortium seeks certification for the Programme.
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
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.
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
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
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
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
In return, the Commission undertakes to contribute financially to the
realisation of the project, normally by reimbursing a certain percentage of the
III.5.3. Rights and obligations of participants
These may vary according to the nature of the action or the category of
· 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
- 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
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.
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
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
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
(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
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
In exceptional cases, Community financing for the third country participant or
international organisation may be provided by the programme if it is
essential for achieving the objectives of the project1, i.e. if
the contribution of the participant cannot be provided by any other means and
the project cannot be carried out without that participant.
For country groupings, see box 4
1 Additional rules are foreseen in the Specific Programme “Energy,
environment and sustainable development” which provide for financial
support to those entities where their participation is beneficial and offers
added value for achieving the objectives of the Programme.
Box 4 - Participation from non-EU countries in FP5 1
For latest information on entry into force of these agreements, please
consult: www.cordis.lu/fp5/src/3rdcountries.htm or contact the Programmes'
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
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,
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
BULGARIA, REPUBLIC OF CYPRUS, CZECH REPUBLIC, ESTONIA, HUNGARY, LATVIA, LITHUANIA, POLAND, ROMANIA, SLOVAKIA, SLOVENIA : in force.
For MaltaandTurkey, please see footnote 3 and 4
ICELAND, LIECHTENSTEIN, NORWAY: in force.
ISRAEL : in force.
SWITZERLAND 2 : entry into force expected on the 1.1.2001.
Third States 6
(exceptionally with Community funding
when duly justified as being essential for achieving the objectives
of the project)
ALBANIA, BOSNIA-HERZEGOVINA, FORMER YUGOSLAV REPUBLIC OF MACEDONIA, SWITZERLAND 2
MALTA 3 and TURKEY4 are also shown under Mediterranean Partnership.
MICROSTATES AND TERRITORIES IN EUROPE5
ARMENIA, AZERBAIJAN, BELARUS, GEORGIA, MOLDOVA, RUSSIA, UKRAINE.
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.
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):
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.
Box 5 - Main milestones of the selection process
BOX 6 – Indicative Typology of Contracts
* 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
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.
|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
FC, FF: 50%
FC: (actual rate)x(personnel)
FC, FF: 35 or 50%
FC, FF: 35%
Support for access to research infrastructures
|1||AC||Up to 100%||yes||yes||yes||yes||yes||yes|
| 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)|
|min 2 SME||Fixed amount|
Marie Curie Host Fellowships
|institution||min 1 fellow||Fixed amount|
Marie Curie Individual Fellowships
Developing countries Fellowships
Fellowships for Community Researchers
SUPPORT TO NETWORK
|min 1||yes||AC||Up to 100%||yes||yes||yes||yes||Yes|
|1||min. 4||AC||Up to 100%||Yes|
|min 1||yes||AC||Up to 100%||yes||yes||yes||yes||yes|
Accompanying measures 3
|min 1||Up to 100%||yes||yes||yes||yes||yes||yes||Yes||yes||yes|
|1||Up to 100%||yes||yes||yes||yes|
|min 1||yes||Up to 100%||yes||yes||yes||yes||yes||yes||yes||yes||yes|
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
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.
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
Personnel costs: subject to the contract terms,
scientific and technical personnel; time devoted to the project shall be
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
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.
(*) 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.
Pre-existing know-how necessary for the execution of the project or to use its Knowledge
Access rights for the execution of the project
Access rights for the execution of project
Research and technological development Project
|Royalty-free||Royalty-free (1) to all knowledge||Favourable conditions||Favourable conditions|
Assistant Contractor (2)
|Royalty-free / Favourable Conditions|
|Favourable Conditions/ Market conditions||/|
Principal Contractor of the same specific programme
|Favourable Conditions||Market conditions|
|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 ||/|
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)
for Exploitation only
|Royalty-free||Favourable Conditions for Exploitation only|
|The knowledge which is suitable for dissemination will be disseminated|
|The knowledge which is suitable for dissemination will be disseminated|
|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|
& 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.|
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
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
Notes – PART 1
 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
 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
 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 :
 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
 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
 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).