Quality of life and management of living resources
Quality of life and management of living resources
GUIDE FOR PROPOSERS PART 1 2nd EDITION, DEC 1999 A_PG1_EN_200001.doc Foreword
The Guide for Proposers is part of the information necessary to make a
proposal for a programme under the Fifth Framework Programme. It will help
you to locate the programme which is of interest to you and will provide
the necessary guidance on how to submit a proposal and the forms for
proposal submission. It is divided into two main parts and four sections.
PART 1 Section I describes the overall priorities, goals and structures of the Fifth Framework Programme. Section II describes the priorities and objectives of the Specific Programme on Quality of Life and Management of Living Resources. Section III outlines the main rules which define who may participate in the Fifth Framework Programme, and the general conditions for this participation. PART 2 Section IV provides detailed information for each CALL FOR PROPOSALS for the programme Quality of Life and Management of Living Resources, as well as proposal submission forms. The additional documents you will need to prepare a proposal are : The Work Programme for the Specific Programme you are applying for. The
Work Programme provides the description of the content of the ‘action
lines’ or ‘research objectives’, which are open for proposals, and an
indicative timetable for programme implementation (“roadmap”). The Call for Proposals as published in the Official Journal of the European
Communities. This will tell you which action lines are open for proposals
and what the deadline for the proposal submission is. The Evaluation Manual (as well as programme specific guidelines that may be
included in Part 2 of this Guide). These documents will provide details of
which criteria will be used in the evaluation of proposals, which weight is
attributed to each of the criteria and where appropriate the threshold to
be attained in order to be retained. You can use the evaluation manual and
the guidelines as a checklist for the completeness of your proposal. The Guide for Proposers, including the proposal submissions forms, is
together with the Work Programme, the Call for Proposals and the Evaluation
Manual the Information Package for a Call. This Guide for Proposers also
contains references to other documents, reports, forms and software tools
which are of assistance in the preparation of proposals. They are available
on CORDIS: http://www.cordis.lu. This Guide for Proposers does not supersede the rules and conditions laid out, in particular, in Council and Parliament Decisions relevant to the
Fifth Framework Programme, the various Specific Programmes nor the Calls for Proposals in these Programmes. Contents – PART 1 Foreword 2
PART 1 3
I. The Fifth Framework Programme 3
I.1. Objectives 3
I.2. Structure and contents 3
I.3. Implementation 4
Box 1 - Bursaries for young researchers from Developing Countries 6
Box 2 - The System of Marie Curie Fellowships 7
II. The Specific Programme: Quality of Life and Management of Living
Resources 8
II.1. Programme objectives 8
II.2. Programme strategy 8
II.3. Programme structure and contents 8
II.4. Synergies with other programmes 10
II.5. Implementation of the programme 10
II.6. References 11
III. Participation in activities in the Fifth Framework Programme 12
III.1. The participants 12
III.2. Proposal submission 12
III.3. Proposal evaluation 13
III.4. Proposal selection 14
III.5. The contract 14
III.6. Project follow-up 15
III.7. Financial contribution of the Community 16
III.8. Assistance available to proposers 16
Box 3 - Co-operation with non-EU Countries and International
Organisations 18
Box 4 - Participation from non-EU countries in FP5 19
Box 5 - Main milestones of the selection process 20
BOX 6 - Indicative Typology of Contracts 21
Box 7 - Methods for the calculation of EC funding 22
BOX 8 - Intellectual Property Rights 23
Box 9 - Key recommendations 24
Notes - PART 1 25 2nd EDITION, DEC 1999 A_PG1_EN_200001.doc This second edition introduces no substantial changes concerning the
information given to proposers in the March 1999 edition. Improvements are
the results of experience with the use of the March 1999 edition. PART 1
I. The Fifth Framework Programme[i]
I.1. Objectives
The Fifth Framework Programme, adopted on 22nd December 1998, defines the
Community activities in the field of research, technological development
and demonstration (hereafter referred to as “RTD”) for the period 1998-
2002.
The Fifth Framework Programme differs from its predecessors. It has been
conceived to help solve problems and to respond to major socio-economic
challenges facing the European Union. It focuses on a limited number of
objectives and areas combining technological, industrial, economic, social
and cultural aspects.
Priorities have been chosen according to three basic principles which will
apply for all levels: the Framework Programme as a whole, the Specific
Programmes implementing it and the RTD activities covered by those
programmes.
European “value added” and the subsidiarity principle, for example, to
reach a critical mass or contribute to solving problems of a European
dimension, Social objectives, such as quality of life, employment or protection of the
environment in order to meet the expectations and concerns of the Union’s
citizens, 3. Economic development and scientific and technological prospects in order to contribute to the harmonious and sustainable development of the European Union as a whole.
I.2. Structure and contents
The Fifth Framework Programme consists of seven Specific Programmes, of
which four are Thematic Programmes and three are Horizontal Programmes.
The Thematic Programmes are :
4. Quality of life and management of living resources
5. User-friendly information society
6. Competitive and sustainable growth
7. Energy, environment and sustainable development. In line with the provisions set out in the EC Treaty, the widely ranging
Horizontal Programmes underpin and complement these Thematic Programmes.
The Horizontal Programmes are:
8. Confirming the international role of Community research
9. Promotion of innovation and encouragement of participation of small and medium-sized enterprises (SMEs)
10. Improving human research potential and the socio-economic knowledge base. One essential new characteristic of the Fifth Framework Programme is the
integrated, problem-solving approach. Integration is strengthened at three
levels:
> By the key action concept in the Thematic Programmes. Key actions are major innovations of the Fifth Framework Programme. They will enable the many and varied aspects of the economic and social issues to be targeted, by integrating the entire spectrum of activities and disciplines needed to achieve the objectives.
1. By integration between Horizontal and Thematic Programmes objectives. International co-operation Participation by entities of third countries and international organisations will be possible in all Programmes in addition to opportunities for participating in the Horizontal Programme “Confirming the international role of Community research”. Conditions for participation, including possible financial arrangements, are specified in section III of this document. Box 1 describes the opportunities for bursaries for young researchers from developing countries. Innovation and participation of SMEs Measures encouraging SME participation in RTD activities will be carried out in all Thematic Programmes and the Innovation and SME programme. Details on SME stimulation measures will be found in a special information brochure devoted to them. In addition, each Thematic Programme will interface with the Horizontal Programme “Promotion of innovation and encouragement of SME participation” in order to develop awareness and help technology transfer and use of the results of the Thematic Programme. Socio-economic and training aspects Socio-economic research can be funded by both the Thematic Programmes and by the key action on “Improving the socio-economic knowledge base” of the Horizontal Programme “Improving the human research potential and the socio-economic knowledge base”. Socio-economic research is present in the Thematic Programmes as an integral part of the technological research activities. Training opportunities for researchers are assured through the Marie Curie system of fellowships that can be implemented by Thematic Programmes as well as by other specific training activities in the Human Potential Programme. The fellowships system is described schematically in Box 2.
By integration between Thematic Programmes. Complementary and synergistic
interactions will be ensured in implementing the Programmes. I.3. Implementation
I.3.1. Work Programme
A Work Programme has been drawn up for each Specific Programme, describing
the specific activities and the various research areas. The Work Programme
will be revised regularly with the assistance of Advisory Groups of
independent experts to ensure its continued relevance in the light of
evolving needs and developments. Potential proposers should therefore
ensure they are consulting the current version of the work programme when
planning a proposal. The Work Programme appearing at the Specific Programme
Web site is always the current version.
The Work Programme includes an indicative timetable or “roadmap”, which
indicates which parts of the Work Programme will be opened, by calls for
proposals, and deadline(s) involved. This provides a means of focusing
attention on areas or sub-areas, thereby optimising opportunities for
launching collaborative projects and establishing thematic networks.
The Commission will manage the Specific Programmes to ensure that links in
thematic content between the programmes are exploited in a synergistic way.
This may occasionally require joint or synchronised calls for proposals.
Where necessary, co-ordination measures such as these will be indicated in
the announcement of the calls for proposals, and in the Work Programme. I.3.2. Types of actions supported The Community will contribute financially to the RTD[ii] activities,
carried out under the Specific Programmes implemented within the Fifth
Framework Programme. The general rules[iii] are as follows: (a) Shared-cost actions Research and technological development (R&D) projects[iv] – projects
obtaining new knowledge intended to develop or improve products, processes
or services and/or to meet the needs of Community policies (financial
participation: 50 % of total eligible costs4,[v]).
Demonstration projects4 – projects designed to prove the viability of new
technologies offering potential economic advantage but which cannot be
commercialised directly (financial participation: 35 % of total eligible
costs5).
Combined R&D and demonstration projects4– projects combining the above
elements (financial participation: 35 to 50 % of total eligible costs4,5).
Support for access to research infrastructures – (only implemented under
“Improving the human research potential and the socio-economic knowledge
base” – IHP Programme) actions enhancing access to research infrastructures
for Community researchers. Support will cover maximum of 100 % of the
eligible costs necessary for the action.
“SME Co-operative” research projects4 – projects enabling at least three
mutually independent SMEs from at least two Member States or one Member
State and an Associated State to jointly commission research carried out by
a third party (financial participation: 50 % of total eligible project
costs4).
“SME Exploratory” awards – support of 75 % of total eligible costs[vi] for
an exploratory phase of a project of up to 12 months (e.g. feasibility
studies, validation, partner search). (b) Training fellowships Marie Curie fellowships are either fellowships, where individual
researchers apply directly to the Commission, or host fellowships, where
institutions apply to host a number of researchers (financial
participation: maximum of 100 % of the additional eligible costs necessary
for the action[vii]). See Box 2.
The decisions on the specific programmes may define specific sub types of
actions for example: the programme “Confirming the international role of
Community research” – INCO 2 - defines bursaries for young researchers from
developing countries and other bursaries for researchers from the EU Member
States or Associated States as specific training fellowships. See Box 1.
(c) Research training networks and thematic networks
- Training networks for promoting training-through-research especially of
researchers at pre-doctoral and at post-doctoral level (these are only
implemented under the IHP Programme) - and thematic networks for bringing
together e.g. manufacturers, users, universities, research centres around a
given S&T objective. These include co-ordination networks between Community
funded projects. Support will cover maximum 100% of eligible costs
necessary for setting up and maintaining such networks. (d) Concerted actions Actions co-ordinating RTD projects already in receipt of national funding,
for example to exchange experiences, to reach a critical mass, to
disseminate results etc. (financial participation: maximum of 100 % of the
eligible costs necessary for the action). (e) Accompanying measures Actions contributing to the implementation of a Specific Programme or the
preparation of future activities of the programme. They will also seek to
prepare for or to support other indirect RTD actions (financial
participation: maximum of 100 % of total eligible costs).
Each Specific Programme will not necessarily open all the above mentioned
types of actions in all calls. Please refer to sections II and Part 2 of
this Guide to see which actions are called for in the different programmes
and calls. I.3.3 Clusters The cluster is a defined group of RTD projects. Its aim is to guarantee
complementarity among projects, to maximise European added value within a
given field and to establish a critical mass of resources at the European
level.
An integrated approach towards research fields and projects financed is
needed to solve complex multidisciplinary problems effectively. The
clusters reflect this problem-solving approach. Indeed, in a cluster
projects are joined together because they complement each other in
addressing major objectives in the context of a key action or a generic
activity (sometimes even across different key actions or specific
programmes). Clusters are expected to optimise scientific networking,
management, co-ordination, monitoring, the exchange of information and, on
voluntary basis, the exploitation and dissemination activities. The cluster
may thus become a natural process to generate European added value,
wherever it makes sense, beyond the limited resources of an isolated
project.
All types of projects can be assembled and integrated within a cluster,
including those funded by different EU RTD activities (key action, generic
activity, infrastructure). By the same token, and as part of an overall
European approach, relevant activities under other research frameworks
(notably EUREKA, COST) could also be taken into account whenever this can
reinforce synergy. Clusters will be set up through thematic networks or
complementary clauses. I.3.4. Gender equal opportunities In line with the Commission’s strategic approach of mainstreaming equal
opportunities in all Union policies, particular account is taken in the
Fifth Framework Programme of the need to promote the participation of women
in the fields of research and technological development. Therefore women
are encouraged to participate in proposals for the above mentioned RTD
activities. Box 1 - Bursaries for young researchers from Developing Countries
When preparing a joint research proposal1 or concerted action proposal for
submission to any of the programmes, a consortium may, if it wishes,
include an application for an international co-operation training bursary2.
These bursaries will be funded from the budget of the Specific Programme
‘Confirming the International Role of Community Research’ and are intended
to allow young researchers from Developing Countries, including Emerging
Economies and Mediterranean Partner Countries3 to work for up to 6 months
in a European research institute participating in a FP-5 project. The
bursaries will be granted for training activities only (e.g. to allow the
applicant to learn a new scientific technique or for work on a particular
experiment or set of experiments where the host institution has particular
expertise and which cannot be performed in the home institution of the
candidate).
The bursary application must be submitted together with the proposal
application and will be evaluated together with it. Spontaneous, individual
bursary applications will not be accepted. Inclusion of a bursary
application will neither enhance nor detract from the chances of success of
the proposal. Only if the whole proposal is selected for funding and the
bursary application is highly rated, will the bursary be granted. A poor
bursary application can be rejected without harming the chances of success
of the proposal. In order to be eligible, the bursary applicant must not be more than 40
years of age at the time of application, must be a national of one of the
eligible countries3 and be established and working in that country and
intending to return there at the end of the training period. She/he must
also have a good knowledge of a working language of the host institute.
Applications from female researchers are encouraged. The host institute must be established in an EU Member State or in a State
Associated to FP-54 and must be a member of the consortium proposing the
research project or concerted action. Eligible bursary applications will be evaluated according to the excellence
of the scientific and/or training objectives of the application, its
potential value to the applicant and his/her institute and to the project
as a whole, as well as the experience and professional training of the
candidate. The 6 month training period may start at any time up to 12 months from the
Commission signature of the main project contract. A fixed sum will be
granted to cover the cost of one (apex) return fare from the place of
origin of the candidate to the host institute, and a daily allowance for
the duration of the training period (based on the rates for Marie Curie
Fellowships, see the corresponding brochure for applicants).
1 Research and Technological Development projects, Demonstration projects
and Combined projects (see point I.3.2.a)
2 Application forms can be downloaded from the CORDIS web site page
(http://www.cordis.lu/fp5) for the Calls to which you reply, or ordered
from the Programmes’ information desk.
3 Developing countries are: African, Caribbean, Pacific (ACP) countries,
Asian and Latin American (ALA) countries, Mediterranean countries (MC).
4 For the list of Associated States, see box 4.
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