PARTICIPATING IN THE EUROPEAN RESEARCH PROGRAMMES FIFTH FRAMEWORK PROGRAMME. European Commission. Community Research

European Commission Community Research PARTICIPATING IN THE EUROPEAN RESEARCH PROGRAMMES GUIDE FOR APPLICANTS UNDER THE FIFTH FRAMEORK PROGRAMME FOR EUROPEAN RESEARCH AND TECHNOLOGICAL DEVELOPMENT (1999-2002) FIFTH FRAMEORK PROGRAMME EUR 19309

1 PARTICIPATING IN THE EUROPEAN RESEARCH PROGRAMMES GUIDE FOR APPLICANTS UNDER THE FIFTH FRAMEORK PROGRAMME FOR EUROPEAN RESEARCH AND TECHNOLOGICAL DEVELOPMENT (1999-2002) Research Directorate-General European Commission

2 NOTICE LEGAL SCOPE This Guide to the Fifth Framework Programme is one of the sources of information offered by the European Commission to provide the greatest possible assistance to the various categories of potential participants in the programme. However, the information provided is not legally binding. The reader should consult the table on page 42 Documents and information required and how to obtain them for an overview of the documents available and their legal status. Neither the European Commission nor any person acting on its behalf is responsible for the use which might be made of the following information. EXHAUSTIVENESS This Guide is by no means exhaustive. In accordance with its intended purpose (see the back cover page), it gives an overview of the fundamental aspects of the objectives and mechanisms of the Fifth Framework Programme, but without going into detail. Interested parties should decide whether or not to participate on the basis of a careful examination of all the official documents produced for applicants (as set out in the table on page 42 Documents and information required and how to obtain them ). In addition, some of the information contained in this Guide may subsequently be updated. The CORDIS website offers complete, up-to-date information on Fifth Framework Programme developments. This information is available in several languages and the official documents are usually published there in all the European Union s official languages. The on-line version of this Guide can also be consulted on the European Commission s Europa website at the Research Directorate- General s home page. europa.eu.int/comm/research VALIDITY OF INTERNET ADDRESSES Many of the reference documents mentioned in this guide are also available on the Internet. The URL addresses are indicated in such cases. However, some of them may change with the passage of time. If you do not find a document, send an e-mail to the site s webmaster or contact the Info Desk for the programme concerned. NOTICE

3 LEGEND IMPORTANT POINT! TO GET AN ANSER TO YOUR QUESTIONS A MISTAKE TO BE AVOIDED! SEE ALSO SERVICE OR ASSISTANCE PROVIDED ebsite M E-mail address T Telephone No F Fax No LEGEND

4 THE GUIDE IN A NUTSHELL MAIN TOPICS ADDRESSED IN THIS GUIDE The mechanisms of the Fifth Framework Programme p. 16 How to participate in the Fifth Framework Programme p. 33 The model contract p. 57 Innovations in the Fifth Framework Programme p.11 Stages in the submission of a proposal p. 49 Support for SMEs p. 80 ho can participate in the Fifth Framework Programme? p. 19 15 tips to increase your chances of being successful p. 45 Intellectual property rights p. 31 The research themes Documents and information required Research fellowships p. 12, 64 p. 42 p. 27 The types of support available p. 25-31 hat happens to the proposal? p. 52 Participants in countries outside the European Union p. 21 The types of activity financed F Evaluation of proposals Information and assistance p. 25 p. 54 p. 85 SUMMARY

5 TABLE OF CONTENTS IF YOU CANNOT FIND A PARTICULAR TOPIC IN THIS TABLE OF CONTENTS, PLEASE CONSULT THE INDEX ON PAGE 94. INTRODUCTION 3 1 HAT IS THE FIFTH FRAMEORK PROGRAMME? 7 1.1 A unique instrument for European policy 8 1.2 High-quality research and international cooperation 9 1.3 The main innovations in the Fifth Framework Programme 11 1.4 The main features of the Fifth Framework Programme 12 1.5 Understanding the mechanisms of the Fifth Framework Programme 16 2 HO CAN PARTICIPATE IN THE FIFTH FRAMEORK PROGRAMME? 19 2.1 ho can participate (organisations and countries)? 20 2.2 How many participants are needed for projects? 22 2.3 hat are the categories of participants? 23 2.4 hat are the advantages of participating in the framework programme? 24 2.5 hat undertakings must participants give? 31 3 HO TO PARTICIPATE IN THE FIFTH FRAMEORK PROGRAMME 33 3.1 Help before you apply 35 3.2 How to identify an interesting call for proposals or tenders 37 3.3 Documents and information required and how to obtain them 42 3.4 How to prepare your proposal 44 3.5 How, when and to whom to submit your proposal 48 4 ONCE YOUR PROPOSAL HAS BEEN SUBMITTED, HAT HAPPENS NEXT? 51 4.1 hat happens to the proposal? 52 4.2 How long is the selection process likely to take? 53 4.3 How are the proposals evaluated? 54 4.4 hat happens if a proposal is rejected? 56 4.5 hat happens if a proposal is accepted? 57 A ANNEXES 63 A.1 The key actions and other components of the Fifth Framework Programme 65 A.2 Useful sources of Community information and assistance 85 A.3 Forms for free subscriptions to European Commission publications on RTD and innovation 90 INDEX 94 SUMMARY

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1 HAT IS THE FIFTH FRAMEORK PROGRAMME? 1111111111 HAT?

8 1 1 A UNIQUE INSTRUMENT FOR EUROPEAN POLICY hile Europe is at the leading edge of scientific research in many areas, it nevertheless finds it difficult to convert its scientific breakthroughs into innovative, competitive and sustainable products and services. Since the launch of the First Framework Programme for Research and Technological Development in 1984, the EU s institutions have been playing a driving role in the organisation of multidisciplinary trans-frontier cooperation. The Fifth Framework Programme will distribute something approaching EUR 15 billion to the parties involved in European RTD over the period 1999-2002, but its aims go far beyond mere cofinancing of research projects. This programme provides a coherent and truly European framework for supporting research and technological development as part of Community research policy and constitutes a four-year strategic plan for the period 1999-2002. During this period, it will stimulate transnational collaboration in research, particularly between industry and universities, and the establishment of networks of excellence. The Fifth Framework Programme will also help to establish an environment in Europe that is favourable to innovation. That means encouraging technology transfer, ensuring the availability of venture capital, providing greater protection for intellectual property rights, and developing human resources. In this connection, increased resources will be devoted to encourage SME participation in all the framework programme activities. But if, today more than ever, science and technology are the driving forces behind industrial development and therefore job creation, the drive belt connecting research and economic growth is still too loose in Europe. It is on this point that the European Union s new programmes will concentrate: putting research and innovation to work for targeted socio-economic objectives, such as resolving problems relating to health, the environment and personal mobility. The EU s programmes stimulate the mobility of both those involved in RTD and of ideas, at a time when technical and scientific knowledge is a vital component of economic development. In accordance with the principle of subsidiarity (whereby an activity is undertaken at the level of the European Union only if that proves more effective than the national, regional or local level) the Fifth Framework Programme sets out Europe s major research priorities. The content of this programme was defined by the Member State Research Ministers and the European Parliament based on proposals submitted by the European Commission. These proposals themselves took into account the wishes of those involved or concerned - the worlds of science and industry, and consumer associations, etc., which were fully consulted during the preparations for the Fifth Framework Programme. HAT?

9 1 2 HIGH-QUALITY RESEARCH 1 2 AND INTERNATIONAL COOPERATION The Fifth Framework Programme is innovative, but it also fits in with the previous programmes. Thus, its objective continues to be the development of a true European scientific community equipped with the best skills. It will continue to support scientific and technical work of the highest quality, conducted through transnational projects promoting the mobility of researchers and building on the successes of the previous programmes, in particular the networks developed with the support of the European Union. All Community research can be summed up in these two fundamental principles: high-quality research; maximum added value from transnational cooperation. The other key aspects of the projects that will be cofinanced by the European Commission are as follows: their contribution to the European Union s socio-economic objectives (jobs, health, environment, competitiveness, etc.); greater emphasis on the exploitation and/or dissemination of results. Through the seven specific programmes of which it is composed, the Framework Programme implements a coherent set of complementary actions. Generic research activities in priority sectors, support for infrastructures, international cooperation, the dissemination and exploitation of results, and the development of human potential: all the links are there to form an integrated European research and innovation policy. The results achieved and the statements made by programme participants all point to the same fact: if Europe has been able to gain (or regain) a lead in several scientific or technical fields in recent years, this has often been due to Community programmes helping researchers to coordinate their efforts and/or achieve a critical mass of physical and intellectual resources. HAT?

10 1 2 A special effort will also be devoted to SMEs, which constitute the principal source of innovation and jobs in Europe. Since they have traditionally had difficulties in taking part in Community programmes, they will in the future benefit from specific measures and greater special assistance. Over 12 000 SMEs were involved in various projects under the Fourth Framework Programme (1994-98), i.e. twice as many as during the previous framework programme. In fact, European SMEs are now showing more interest in Community programmes than in national programmes. The European Commission has published case studies relating to many RTD projects successfully completed during the earlier framework programmes. Some of them can be found on the following websites: europa.eu.int/comm/research/success/en/success_en.html Innovation and technology transfer: www.cordis.lu/irc/src/success/success.htm SMEs: www.cordis.lu/sme/src/success.htm Projects on which press releases have been issued: www.cordis.lu/innovation smes/vips/en/home.html Projects that have been reported on television: www.tvlink.org M F Various publications describing the results of Community research projects are also available, free of charge, in several languages. To obtain copies, please contact the Commission s Research Directorate-General, specifying the field and language in which you are interested. research@cec.eu.int +32 2 295 82 20 HAT?

11 1 3 1 3 THE MAIN INNOVATIONS IN THE FIFTH FRAMEORK PROGRAMME Compared with its forerunners, the Fifth Framework Programme is innovative both in terms of its overall approach and in the mechanisms for managing and implementing the programmes. Some of the main changes are as follows. Unlike the earlier programmes, which structured the research activities in terms of scientific and technological disciplines, the new programme focuses the bulk of the research effort on 23 major socio-economic issues such as health and environment, the ageing population, and clean and renewable energies (see The key actions on page 13). Through this clear link between research and society, the Fifth Framework Programme is intended to enable European Union citizens to benefit more directly from the impact of research, particularly in terms of job creation and better living and working conditions. Greater involvement of the worlds of science and industry, and of users in carrying out the work, notably through the 17 expert groups set up to assist the Commission on the content and direction of the key actions. Establishing a dynamic partnership with small and medium-sized enterprises (SMEs), in particular as a result of greater information and assistance. Opening up the programme to 16 Associated States under the same participation conditions as the Member States: 11 States that have applied to join the European Union, together with Iceland, Norway, Liechtenstein, Switzerland and Israel. Rationalisation of participation procedures especially those for SMEs. HAT?

12 1 4 THE MAIN FEATURES OF THE FIFTH FRAMEORK PROGRAMME The Fifth Framework Programme comprises four thematic programmes, each addressing a series of scientific, technological and societal issues, and three horizontal programmes that address generic issues. It has a budget of EUR 14.96 billion for the period 1999-2002. FOUR THEMATIC PROGRAMMES 1 Quality of Life and Management of Living Resources QUALITY OF LIFE 2 User-friendly Information Society IST 3 Competitive and Sustainable Growth GROTH 4 a- Energy, Environment and Sustainable Development EESD b- Nuclear Energy EESD/EURATOM THREE HORIZONTAL PROGRAMMES 1 Confirming the International Role of Community Research INCO 2 Promotion of Innovation and Encouragement of Participation of SMEs 3 Improving Human Research Potential and the Socio-economic Knowledge Base INNOVATION & SME HUMAN POTENTIAL HAT?

13 1 4 > The thematic programmes implement three main categories of activities: The key actions. One of the major innovations of the Fifth Framework Programme, 23 key actions focus on practical issues affecting modern society and its citizens, and address these issues through multidisciplinary approaches involving all the interested parties. The thinking behind these key actions is therefore far removed from the traditional organisation of research within fairly compartmentalised disciplines. They incorporate research, training, demonstration activities, etc. Generic research activities. These activities are intended to maintain flexibility within the Fifth Framework Programme, and to support research and development of generic technologies in emerging and/or promising sectors. They are designed to support research work that is complementary to the work carried out in the key actions. Support for research infrastructures. Although the construction and operation of research infrastructures is the responsibility of the Member States, Community support is justified in order to ensure the optimum use of existing infrastructures and, through transnational cooperation, to allow their rational and economically efficient development. > The horizontal programmes implement a range of targeted support measures accessible to the participants in each thematic programme: fellowships for European researchers or those from developing countries, specific support for SMEs (exploratory awards to support the preparatory stage, CRAFT projects in support of cooperative research and subcontracting), aid for training networks, thematic networks, exchanges of experience between projects, various accompanying measures, etc. HAT?

14 1 4 THE FIFTH FRAMEORK PROGRAMME: KEY ACTIONS AND OTHER ACTIVITIES Budget ( millions ) THEMATIC PROGRAMMES > Quality of Life and Management of Living Resources (QOL Programme) 2 413 Key Actions 1 Food, Nutrition and Health 290 2 Control of Infectious Diseases 300 3 The Cell Factory 400 4 Environment and Health 160 5 Sustainable Agriculture, Fisheries and Forestry 520 6 The Ageing Population and Disabilities 190 Other Activities Generic RTD Activities 483 Support for Research Infrastructures 70 > User-friendly Information Society (IST Programme) 3 600 Key Actions 1 Systems and Services for the Citizen 646 2 New Methods of ork and Electronic Commerce 547 3 Multimedia Content and Tools 564 4 Essential Technologies and Infrastructures 1 363 Other Activities Generic RTD Activities (Future and Emerging Technologies) 319 Support for Research Infrastructures 161 > Competitive and Sustainable Growth (GROTH programme) 2 705 Key Actions 1 Innovative Products, Processes and Organisation 731 2 Sustainable Mobility and Intermodality 371 3 Land Transport and Marine Technologies 320 4 New Perspectives for Aeronautics 700 Other Activities Generic RTD Activities 546 Support for Research Infrastructures 37 A SHORT DESCRIPTION OF THE SCIENTIFIC CONTENT OF EACH OF THESE ACTIVITIES IS GIVEN IN ANNEXE 1 (p. 64) FOR DETAILED EXPLANATIONS, PLEASE CONSULT: the legislative decision - which also specifies the accompanying measures (various types of support) linked to each programme; the work programme for each programme. To obtain these documents, please see section 3.3 below (p. 42). HAT?

15 1 4 > Energy, Environment and Sustainable Development (EESD) 2 125 Key Actions 1 Sustainable Management and Quality of ater 254 2 Global Change, Climate and Biodiversity 301 3 Sustainable Marine Ecosystems 170 4 The City of Tomorrow and Cultural Heritage 170 5 Cleaner Energy Systems including Renewables 479 6 Economic and Efficient Energy for a Competitive Europe 547 Other Activities Generic RTD Activities 135 Support for Research Infrastructures 69 > Nuclear Energy (EESD-EURATOM)* 979 Key Actions 1 Controlled Thermonuclear Fusion 788 2 Nuclear Fission 142 Other Activities Generic RTD Activities 39 Support for Research Infrastructures 10 HORIZONTAL PROGRAMMES > Confirming the International Role of Community Research (INCO) 475 > Promotion of Innovation and Encouragement of Participation of SMEs (Innovation & SME) 363 > Improving Human Research Potential and the Socio-economic Knowledge Base (IMPROVING) 1 280 Key Action 1 Improving the Socio-economic Knowledge Base 165 > Joint Research Centre (JRC):** Research activities undertaken directly by the European Communities and Euratom 1 020 TOTAL 14 960 * ** Euratom (European Atomic Energy Community): certain activities undertaken in the context of the Fifth Framework Programme fall under the jurisdiction of the Euratom Treaty and not the Treaty establishing the European Community. However, this has no practical significance for participants. The Joint Research Centre (JRC) is a high-level research body set up and administered directly by the European Commission to carry out RTD tasks in eight major scientific fields. It is made up of eight specialised institutes located in five countries. It actively cooperates with private and public research centres in Europe. It can therefore be a partner in consortia set up in order to submit a project under the Fifth Framework Programme. You can find more information about the JRC on its website: www.jrc.cec.eu.int/jrc/index.asp HAT?

16 1 5 UNDERSTANDING THE MECHANISMS OF THE FIFTH FRAMEORK PROGRAMME To understand the procedures and participation rules described in this guide, it is important to bear in mind six basic principles governing the Framework Programme. The European Commission does not itself undertake or participate in RTD projects (except via its Joint Research Centre). The Commission s role is to offer financial or other support to private and public research bodies, and companies and institutions wishing to embark on a research project. However, as a general rule, unsolicited project proposals are not allowed. Normally, proposals must be submitted in response to a specific call for proposals or tenders published in the Official Journal of the European Communities, within specified time limits.* The project s content must correspond to objectives set out in one of the programmes of the Fifth Framework Programme; the partners involved in the project must satisfy all the eligibility criteria, and their proposal must rigorously satisfy all the scientific, thematic and formal requirements of the call. * A call for tenders gives the details of the service required, and the applicant offering the best value for money is selected. A call for proposals indicates more general objectives, and the applicants that are selected are those that propose the most worthwhile relevant projects. HAT?

17 1 5 Proposals received in response to a call which satisfy the three requirements mentioned above are evaluated on the basis of objective criteria by panels of experts in the various fields concerned. Only those highest-quality projects that are most in line with the objectives of the programme concerned are selected by the Commission for Framework Programme support. Projects are selected solely on the basis of specified criteria, such as scientific and technical quality and socio-economic impact, and on condition that they comply with the programme objectives, within the limits of the budgets available. There are no national quotas. HAT?

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2 HO CAN PARTICIPATE IN THE FIFTH FRAMEORK PROGRAMME? 22222222 HO?

20 2 1 HO CAN PARTICIPATE (ORGANISATIONS AND COUNTRIES)? The Fifth Framework Programme, and its corresponding financial support, is open to all legal entities established in the 15 Member States of the European Union that are involved in research, or the dissemination or use of research results. For example: individuals; industrial and commercial firms, including small and medium-sized enterprises (SMEs); universities; research bodies; technology dissemination bodies. The programme is also open to all legal entities established in one of the countries associated with the programme (known as Associated States), which enjoy the same participation conditions as the Member States (see International Cooperation box). The participation and funding of legal entities established in other countries (often known as third countries ) are governed by rules that apply throughout the Fifth Framework Programme (see International Cooperation box), with the exception of the Confirming the International Role of Community Research programme where certain entities are entitled to participate fully. Applicants have to prove that they have at their disposal the technical, financial and human resources needed for the successful completion of the project as a whole and to ensure that the results of the project are used and/or disseminated. HO?

21 2 1 INTERNATIONAL COOPERATION Cooperation with partners established in countries that are not members of the European Union and with international organisations hen preparing an RTD project for one of the programmes, applicants should bear in mind that entities established outside the EU and international organisations can also participate. The countries that are not members of the EU can be subdivided into three categories (below). Any international organisation or consortium member from outside the EU must be presented under one of these in the initial proposal. 1 Countries associated with the Fifth Framework Programme. In the case of each of these countries, establishments can participate and be funded with the same rights and responsibilities as partners from EU Member States from the entry into force of the association agreements. 1 For the latest information about the entry into force of these agreements, please visit the following website: www.cordis.lu/fp5/src/3rdcountries.htm 2 Participation on a project-by-project basis. Operating on a self-funding basis, this option is open to all the non-associated European countries, the Mediterranean partner countries, the countries with which the EU has a scientific and technological cooperation agreement, and international organisations, provided that participation is in accordance with the Community interest (as defined in the Council decision). 3 All other countries, known as third countries. In the case of countries not included in the above categories, participation in projects under the Fifth Framework Programme on a self-funding basis is possible if participation is both in accordance with the Community interest and will contribute significant added value in the implementation of all or part of the specific programme. The Community interest and the significant added value must be clearly demonstrated in the proposal. In exceptional cases, if this is essential in order to achieve the objectives of the project, Community funding for a participant from a third country or for an international organisation may be granted under the programme. The participation of third countries and international organisations in no way affects the need to comply with the minimum number of legal entities from the Community and any other associated country. Details about the participation of third countries can be obtained from the INCO internet home page: www.cordis.lu/inco2/src/participation.htm 1 At the time of writing, there are 16 associated countries (including Switzerland where entry into force is expected in 2001): Bulgaria, Czech Republic, Cyprus, Estonia, Hungary, Iceland, Israel, Latvia, Liechtenstein, Lithuania, Norway, Poland, Romania, Slovakia and Slovenia. Malta is also negotiating association. HO?

22 2 2 HO MANY PARTICIPANTS ARE NEEDED FOR PROJECTS? Proposals submitted to the Commission must have a Community dimension. In general, this means that they must involve at least two legal entities, independent of each other, established in two different Member States or in a Member State and an associated country (the European Commission s Joint Research Centre - the JRC - is regarded as a participant established in a Member State). However, certain activities cannot follow this general rule, either because they require more participants or because single-participant projects are allowed. 2 2 For further details, please consult the Guide for Proposers - Part 1, Box 6. Details on page 42. HO?

23 2 3 HAT ARE THE CATEGORIES 2 3 OF PARTICIPANT? Projects cofinanced under the Fifth Framework Programme are, in principle, carried out by consortia comprising at least two partners from different countries. It is important to clearly negotiate the role, rights and obligations of each participant beforehand. These points must be clearly stated in the proposal. The various categories of participants defined in the model contract drawn up by the European Commission are as follows. The principal contractors sign the contract with the European Commission and are legally responsible for the successful completion of the project as a whole. They have extensive intellectual property rights as well as favourable access rights to all the results generated by the project. They also have an obligation to use or disseminate the results. The project coordinator is the principal contractor providing the interface between the consortium and the Commission. They ensure scientific coordination, submit reports and are in charge of the financial and administrative aspects of the contract. An assistant contractor signs the contract with the European Commission, has limited legal responsibility, works for one of the principal contractors, has property rights for their own results but less favourable access rights to other results, and an obligation to use or disseminate the results. Subcontractors and RTD performers are not regarded by the European Commission as project participants and have no rights to the results generated. Host establishment: private or public research body that hosts fellows. Fellow: individual researcher. EEIG (European Economic Interest Grouping): a simplified legal entity enabling several European organisations to cooperate. HO?

24 2 4 HAT ARE THE ADVANTAGES OF PARTICIPATING IN THE FRAMEORK PROGRAMME? There are three types of advantage. 1. One benefit that is difficult to quantify, but is appreciated by participants, is the added value brought to a project by access to major transnational networks of expertise, and the publicity and prestige arising from the European label. 2. The participants selected enjoy the benefits of the various cooperation and RTD support mechanisms set up by the Commission. The main support measures are described in points 2, 3 and 4 of section 2.4.1 below. 3. The Commission contributes financially to the work involved in the projects selected. How this works is described in point 1 below. Normally, the Commission reimburses a set percentage of participants eligible expenses, although sometimes it makes a flat-rate contribution. Payments are made in regular instalments. HO?

25 2 4.1 TYPES OF ACTION FINANCED 2 4 NOT EVERY CALL FOR PROPOSALS ILL COVER ALL THE TYPES OF ACTION MENTIONED BELO. THE SPECIFIC MEASURES FOR SMES AND INNOVATION OPERATE VIA ALL THE PROGRAMMES. 1. RESEARCH, TECHNOLOGICAL DEVELOPMENT AND DEMONSTRATION ACTIVITIES > Actions cofinanced by the EU (known as shared-cost actions ) Research and technological development (RTD) projects: projects focusing on the acquisition of new knowledge with a view to developing or improving products, processes or services or responding to the needs of Community policies. Generic RTD activities are included. Financial assistance: 50% of the total eligible costs. Demonstration projects: projects designed to prove the viability of new technologies which offer a potential economic advantage but which cannot be commercialised directly. Financial assistance: 35% of the total eligible costs. Combined RTD and demonstration projects: projects combining the above elements. Financial assistance: 35-50% of the total eligible costs. Support for access to research infrastructures: actions to improve access to research infrastructures for Community researchers. Financial assistance: up to 100% of the eligible costs. > Concerted actions Actions to coordinate RTD projects that have already received funding outside the framework programme, e.g. to facilitate exchanges of information, achieve a critical mass, disseminate results, etc. Financial assistance: up to 100% of the eligible expenses necessary for the action. HO?

26 2 4 2. SPECIAL MEASURES FOR SMES CRAFT cooperative research projects: research carried out in cooperation by SMEs. Projects enabling at least three, mutually independent SMEs from at least two different Member States (or at least one Member State and one Associated State), to request a third-party research organisation to conduct research on their behalf as a subcontractor. (The Commission does not consider the subcontractor to be a project participant, see p. 59.) Financial assistance: 50% of the total eligible project costs. Exploratory Awards: awards enabling a group of SMEs to draw up a research proposal. They cover expenses such as feasibility or validation studies, partner search, etc. Financial assistance: 75% of the total eligible costs (up to a maximum of EUR 22 500 ). 3. TRAINING SCHEMES > Training fellowships for researchers There are two types of Marie Curie Fellowship: a) individual fellowships, for which researchers apply directly to the Commission; b) host fellowships, where establishments wishing to host researchers must apply. Financial assistance: up to 100% of the eligible additional expenses necessary for the action (see Fellowships box). It is also possible to fund the training of young researchers from developing countries as part of projects in other parts of the Fifth Framework Programme (see Fellowships box). > Research training networks and thematic networks The training networks are intended to promote training through research, in particular for PhD students and young scientists with a doctorate or comparable experience. The thematic networks bring together various parties (e.g. manufacturers, users, universities, research centres) around a given science or technology objective. Financial assistance: up to 100% of the eligible expenses necessary for setting up and maintaining such networks. HO?

27 2 4 1. MARIE CURIE FELLOSHIPS FOR RESEARCHERS The are two types of application for Marie Curie Fellowships 1. Individual fellowships: researchers apply personally to the Commission for a fellowship. 2. Host fellowships: institutions apply to the Commission for fellowships so that they can host researchers. > Individual fellowships - Marie Curie Individual Fellowships for young researchers at post-doctoral level or equivalent. - Marie Curie Return Fellowships enabling Marie Curie fellows from an economically less-favoured region of the European Union to return to that region after their initial two-year post-doctoral fellowship. - Marie Curie Experienced Scientists Fellowships for experienced researchers to promote the transfer of expertise and technology between industry and academia, and towards economically less-favoured regions of the European Union. > Host fellowships - Stays at Marie Curie training sites giving young researchers an opportunity to spend part of their studies within a specialised, internationally recognised group in their particular field of research. - Marie Curie Development Host Fellowships enabling research institutions located in economically less-favoured regions of the European Union, which need to develop new areas of expertise, to receive post-doctoral level researchers in the area of expertise required. - Marie Curie Industry Host Fellowships awarded to firms (in particular SMEs) for the training of young researchers at post-graduate and post-doctoral level in an industrial or commercial environment. These fellowships particularly aim at providing research training opportunities for young researchers in an industrial environment. Further information about the Marie Curie Fellowships and application forms may be obtained from the following website: HO? www.cordis.lu/improving

28 2 4 2. BURSARIES FOR YOUNG RESEARCHERS FROM DEVELOPING COUNTRIES hen preparing a joint-research or concerted-action proposal for submission under one of the programmes, a consortium may, if it wishes, include an application for an international cooperation training bursary. These bursaries are funded from the budget of the Confirming the International Role of Community Research (INCO) programme. They are intended to allow young researchers from developing countries to work for up to six months in a European research establishment participating in a project under the Fifth Framework Programme. Bursaries will be granted only for training activities allowing the applicant to learn a new scientific technique or to take part in a particular experiment or set of experiments where the host establishment has particular expertise and which cannot be performed at the applicant s home establishment, etc. Inclusion of a bursary application will neither enhance nor detract from the chances for the success of the proposal. However, only if the whole proposal is selected for funding will the bursary be granted. 4. OTHER ACTIONS > Accompanying measures These measures contribute to the implementation of a specific programme or the preparation of future activities under the programme: information and assistance concerning access to the programmes, promotion of the results of projects, etc. They are also designed to prepare for or support other indirect RTD actions. Financial assistance: up to 100% of the total eligible costs. HO?

29 2 4.2 ELIGIBLE EXPENSES 2 4 In order to be reimbursed by the Commission, participants must identify and report their eligible expenses by submitting interim and final statements. They must keep the supporting documents for at least five years after each payment for auditing by the Commission or other institutions, in particular the Court of Auditors. To be reimbursable, expenses must be: 1. necessary for the action in question; 2. provided for in the contract; 3. actually incurred; 4. recorded in the accounts. The various categories of expenses eligible for funding by the Commission, as well as the criteria to be satisfied to obtain reimbursement, differ depending on the type of contract. 3 2 4.3 CALCULATION METHODS There are several methods of calculating Commission funding, according to the type of action and the ability of the participant to identify the expenses that he has incurred. 4 3 4 For further details, please consult the Guide for Proposers - Part 1, Boxes 6 and 7. See page 42. ibid. HO?

30 2 4 2 4.4 PAYMENTS, ADVANCES, GUARANTEES, TIME LIMITS The Community contribution is paid in euros in several instalments agreed in advance and based on the statements of expenses submitted by the participants in their interim and final reports. At the start of the project the Commission can pay advances of up to 40% of the total budget subject to verification of the participants financial standing. In some cases the Commission may request financial or other guarantees to ensure the security of any advance payment made. (In the case of SMEs, expenses related to such financial guarantees may, where appropriate, by reimbursed by the Commission). The Commission retains 15% of the total amount until it has approved the project s final report. As a general rule, the European Commission undertakes to honour all its invoices and financial commitments within a period of 60 days from the date of receipt. The majority of settlements are made within this time limit. However, the submission of documents that are not complete or precise enough will inevitably delay payments. HO?

31 2 5 HAT UNDERTAKINGS 2 5 MUST PARTICIPANTS GIVE? In return for receiving funding from the European Commission, participants must undertake to: 1. complete the research project; 2. use and/or disseminate the results; 3. comply with certain rules concerning intellectual property rights. INTELLECTUAL PROPERTY RIGHTS The Commission s model contract for research and technological development (RTD) projects addresses in detail questions relating to intellectual property rights (IPR). The basic principle is that intellectual property must revert to the partner who generated the new knowledge. However, there also needs to be clear prior agreement on this aspect between the partners, particularly if the project is likely to produce results that can be commercialised. 5 The Commission set up an Intellectual Property Rights Helpdesk in September 1998. Its role is to inform and assist participants in RTD projects funded by the European Union on any questions relating to intellectual property (patents, copyright, trade marks, designs and models, etc.) and to raise public awareness of the importance of intellectual property in Europe. The IPR-Helpdesk offers two main services: an Internet website providing detailed information and many other resources, and a telephone help line. The IPR-Helpdesk offers personalised assistance free of charge, providing basic legal information and identifying specialist or national services able to resolve users problems. IPR-Helpdesk M www.cordis.lu/ipr-helpdesk info@ipr-helpdesk.org T F +352 471 11 11 +352 471 11 60 5 For further details, please consult the Guide for Proposers - Part 1, Box 8. See page 42. HO?

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3 HO TO PARTICIPATE IN THE FIFTH FRAMEORK PROGRAMME 3333333333 HO?

34 3 1 The purpose of this chapter is not to help applicants to submit effective proposals, that is the role of the detailed Guide for Proposers included in the Information Package which is freely available. The following pages are intended to give the reader an overall picture of the procedures involved that is sufficiently clear and precise for them to judge whether or not their organisation is capable of submitting a project to the Commission. If it is, they can then obtain the Information Package relating to the call for proposals in question from the relevant Commission infodesk. HO?

35 3 1 HELP BEFORE 3 1 YOU APPLY The European Commission and the Member States carry out a range of activities to assist applicants. The assistance varies according to the nature of the call for proposals and the specific programme concerned. For example, in each Member State a network of official national contact points for the Fifth Framework Programme has been set up. Their task is to assist potential applicants in identifying the most appropriate programme, and obtaining information about the procedures and administrative requirements, etc. A network of national contact points has also been set up for SMEs in response to their specific concerns. In addition, for each programme Member States may set up a network of specialists who can, for example, help organisations in one country find partners in other countries. Applicants can also make use of other information and assistance services such as the Innovation Relay Centres (IRC) and the Euro Info Centres (EIC). The three types of networks mentioned above are also generally to be found in the countries associated with the framework programme. The European Commission runs an information service (infodesk) for each programme while the calls are open. Any questions not covered in the relevant Information Package, in the material available on the programme s Internet homepage on CORDIS, or on the Frequently Asked Questions page for the Fifth Framework Programme may be directed to the appropriate infodesk. europa.eu.int/comm/research/faq.html In addition, the infodesk posts any last-minute information and any additions or corrigenda concerning the call on the programme website on CORDIS: applicants should visit this site regularly. DETAILS OF THE INFODESKS ARE GIVEN UNDER EACH PROGRAMME IN ANNEXE 1, PAGE 64. HO?

36 3 1 The certification service provider for electronic submissions (via the ProTool software package) has also established an EU-wide, local-language support network for applicants. For further information, please visit the web page relating to this service. www.cordis.lu/fp5/protool/home.html Finally, the Commission organises info-days to present the thematic programmes or a particular call for proposals, and also to provide an opportunity for applicants to meet potential partners. DETAILS OF THESE INFORMATION AND ASSISTANCE SERVICES ARE GIVEN IN ANNEXE 2, PAGE 85. B5 PARTNER SEARCH The Commission s CORDIS website offers a number of services and information sources which can be useful for partner-search activities. CORDIS also contains a list of organisations which have already expressed an interest in participating in the various programmes under the Fifth Framework Programme and information about each organisation. The European Commission offers a range of tools and networks that may help European RTD performers to identify potential partners. These services are generally free of charge. Most of them are also accessible in many countries outside the European Union. Other national and commercial resources are also available. DETAILS OF THESE SERVICES ARE GIVEN IN ANNEXE 2, PAGE 88. HO?

37 3 2 3 2 HO TO IDENTIFY AN INTERESTING CALL FOR PROPOSALS OR TENDERS 3 2.1 THE STARTING POINT: THE OFFICIAL JOURNAL Participation in the Fifth Framework Programme is conditional on the submission of a formal project proposal to the European Commission by the main partner(s). Generally speaking, unsolicited project proposals are not allowed. Proposals have to be submitted in response to an official call for proposals or call for tenders from the Commission, in accordance with the procedures and time limits laid down. A call for tenders gives the details of the service required, and the applicant offering the best value for money is selected. A call for proposals indicates more general objectives, and the relevant projects exhibiting the highest quality are selected. The only official source of information concerning calls for proposals and calls for tenders is the Official Journal of the European Communities or OJ. TO BE ABLE TO TRACK DON THE CALLS PUBLISHED IN THE OFFICIAL JOURNAL EFFECTIVELY, IT IS OF COURSE PREFERABLE TO KNO HAT YOU ARE LOOKING FOR. IT IS THEREFORE A GOOD IDEA TO PINPOINT BEFOREHAND THE PROGRAMME OR PROGRAMMES FOR HICH YOU PLAN TO SUBMIT A PROPOSAL AND IDENTIFY THE CALLS RELATING TO THOSE PROGRAMMES. THE VARIOUS ORK PROGRAMMES CONTAIN TIMETABLES OF CALLS. HO?

38 3 2 TO CONSULT THE OFFICIAL JOURNAL > The OJ is published daily in the eleven official languages of the European Union. The C (information, notices and preparatory EU legislation) and L (legislation) series of the OJ are published on paper. Both these series contain the legislative decisions relating to the Fifth Framework Programme. The C series also publishes all calls for proposals. Monolingual, cumulative editions of both L and C series are also published monthly on CD-ROM in all official languages. The EUR-Lex website provides free access to these for a period of 45 days following publication, after which they can be found on the monthly CD-ROM website: europa.eu.int/eur-lex europa.eu.int/eur-lex/en/ojcd-notice.html > A subscription to the S series of the Official Journal is necessary in order to receive calls for tenders. The S series, which is no longer printed on paper, is available twice a week in the eleven languages of the European Union on CD ROM. The current issue of the S series can also be consulted free of charge on the TED website: ted.eur-op.eu.int However, this site does not yet allow access to previous editions (under construction). > It is possible to subscribe to the OJ (paper version and/or CD-ROM) in each Member State of the European Union and also in many other countries in the rest of the world. To find out which is your nearest agent and for more information about the OJ, please visit the following website: eur-op.eu.int/general/en/index.htm THE ABOVE INFORMATION IS GIVEN FOR THE RECORD, SINCE ALL THE DOCUMENTS MENTIONED AND MANY OTHERS HAVING A BEARING ON THE FIFTH FRAMEORK PROGRAMME ARE IN PRINCIPLE PUBLISHED IN REAL TIME AND ARE ACCESSIBLE FREE OF CHARGE IN VARIOUS LANGUAGES ON THE CORDIS EBSITE. IT IS THEREFORE HIGHLY RECOMMENDED THAT YOU VISIT THAT SITE VERY REGULARLY. Address for calls for proposals: www.cordis.lu/fp5/src/calls.htm CORDIS ALSO OFFERS THE POSSIBILITY OF DONLOADING DIRECTLY (IN ORD OR PDF FORMAT) MOST OF THE INFORMATION DOCUMENTS AND OFFICIAL FORMS NEEDED IN ORDER TO RESPOND TO A CALL FOR PROPOSALS. THE CORDIS RAPIDUS E-MAIL ALERT SYSTEM IS ALSO AN EXCELLENT AY OF FINDING OUT AUTOMATICALLY HEN A CALL FOR PROPOSALS IN AN AREA THAT INTERESTS YOU HAS BEEN PUBLISHED, OR SOME OTHER EVENT, MATCHING CRITERIA THAT YOU HAVE SPECIFIED, HAS OCCURRED. www.cordis.lu/src/i_014_en.htm HO

39 3 2 Information about calls for proposals is also published via various media, including the European Commission s quarterly RTD info magazine (produced by the Research Directorate-General) which contains a summary table of all the planned calls and their timetables. To subscribe to it or to view it on line, please visit the following website: europa.eu.int/comm/research/rtdinfo.html Calls may be but are not always the subject of a prior information notice published in the C series of the OJ (and on the CORDIS website, see above). A prior information notice advertises, several months in advance, the Commission s intention of publishing a call. The notice contains a short summary of the content of the planned call, so that interested applicants can make their preparations more effectively. If you have any doubts or questions, feel free to contact the information service for the programme or programmes in which you are interested: www.cordis.lu/fp5/src/cont-cec.htm HO?

40 3 2 3 2.2 HAT CALL FOR PROPOSALS TO CHOOSE? Each of the thematic and horizontal programmes will be the subject of one or more calls for proposals during the Fifth Framework Programme (1999-2002). The new multidisciplinary approach adopted may create uncertainty for applicants about which programme they should target. For example, will a project relating to a clean fuel come under quality of life, sustainable growth, energy, the environment or mobility? To find the answer to this question, there are three steps to be followed. 1 First find about the legislative decision concerning each of the programmes likely to be concerned. These decisions set out the key actions for each programme and the R&D priorities assigned to them under the Fifth Framework Programme. The decisions can be consulted on the relevant programme web pages on CORDIS (click on Library in the menu panel). www.cordis.lu/fp5/home.html 2 Once you have identified the field, you should consult the work programme for the programme or programmes identified, which is also in the CORDIS library. The work programme describes in detail the research topics due to be covered by the calls for proposals. NB: During the life of the framework programme, the Commission may update the work programmes to take account of the development of knowledge and priorities. You should therefore watch out for this. HO?

41 3 2 3 Finally, the detailed information contained in the text of a published call for proposals will determine where and when to submit your project. In addition and this is essential the scientific and technological content of the project must tally with the requirements of the call. A project must meet these conditions to be cofinanced under the Fifth Framework Programme. By following this procedure, it is possible to identify the programme to look out for and the appropriate call for proposals. In the case of projects which are difficult to classify under the headings of the Fifth Framework Programme, it is advisable to examine the work programmes and calls for proposals for several programmes that may be concerned in order to identify the most appropriate one. NB: For certain categories of calls (see section 3.5 below) the time between the publication of the call and the deadline for submission of proposals is not very long (generally around three months). It may therefore be worth starting to prepare a project proposal even before a call is actually published. YOU ARE NOT ALLOED TO SUBMIT THE SAME PROJECT IN RESPONSE TO MORE THAN ONE CALL FOR PROPOSALS AT THE SAME TIME. IF YOU HAVE ANY DOUBTS OR QUESTIONS, PLEASE CONSULT THE INFORMATION SERVICE OF THE MOST LIKELY PROGRAMME OR PROGRAMMES: www.cordis.lu/fp5/src/cont-cec.htm HO?

42 3 3 DOCUMENTS AND INFORMATION REQUIRED AND HO TO OBTAIN THEM DOCUMENT Recommended Legally obligatory Legal Status Included in the INFO PACK 1 1 Legislative decision on the Fifth Framework Programme Decision N 182/1999/EC (plus decisions concerning participation and the dissemination of results) X Legal value no 2 Legislative decision on the thematic or horizontal programme (one per programme) X Legal value no 3 ork programme 2 X Legal value X (one per programme) 4. Call for proposals or tenders X Legal value no 5 Guide for Proposers 3 Part 1: General Part 2: Specific to each call X Information document X 6 Forms for the notification and submission of proposals. Acknowledgement of receipt X Legal value PARTIALLY. The Guide indicates how to obtain the forms not included. 7 Evaluation Manual 4 X Legal value Possibly 8 Background information (news, documents, etc.) Information document Partially 9 Reply to individual questions Information value or legal value 1 The INFO PACK or Information Package is specific to each call for proposals or call for tenders. It contains all the documents that are needed by or useful for applicants (Part 1 of the Guide: General information; Part 2 of the Guide: Practical information for proposers). It is provided free of charge for all interested parties on request from the information service of the programme concerned. Its contents can also be downloaded from the CORDIS website in ord, PDF or HTML format see the home page for each programme. HO?

43 A B Official Journal eur-op.eu.int/general/en/index.htm or the Library section of the CORDIS website (official site for the Fifth Framework Programme) www.cordis.lu/fp5/src/decisions.htm CORDIS: consult the sections corresponding to each programme www.cordis.lu/fp5/home.html 3 3 HERE TO FIND IT (Official sources) A A, B, C B, C C D E F Information service specific to each programme (Infodesks) CORDIS: www.cordis.lu/fp5/src/cont-cec.htm www.cordis.lu/fp5/src/forms_a.htm ebsite of the European Commission s Research Directorate-General (responsible for RTD) europa.eu.int/comm/research/fp5.html and, in particular the page of Frequently Asked Questions europa.eu.int/comm/research/faq.html Free European Commission magazines (paper and eb version). To browse or subscribe: RDT Info: europa.eu.int/comm/research/rtdinfo.html Technology Transfer & Innovation: www.cordis.lu/itt/itt-en/home.html A, B, C B, C N.B. : All these information services are free of charge, except the subscription to the Official Journal, which can, however, be consulted free of charge on the Internet (cf. section 3.2, page 38 above). B, C, D B, C B, E, F C, E 2 Please make sure that you have the latest version. 3 The Guide for Proposers (Parts 1 and 2 included in the Information Package) is particularly useful. This document takes applicants step by step through the entire procedure: it gives general explanations about the Fifth Framework Programme; it makes it possible to identify the best programme for their project, and sets out the participation rules; it indicates the official documents required and useful sources of information; it gives detailed explanations and practical advice on the procedures to be followed at each stage: setting up partnerships, preparing and submitting projects, project evaluation, project selection, contractual and legal aspects, intellectual property, project monitoring, financial arrangements and payment of contributions, accompanying measures and fellowships, bursaries, grants, etc. N.B.: This guide refers several times to sections and boxes in the first edition of the Guide for Proposers. The order of sections and numbering of boxes may, however, change in later editions. 4 The Evaluation Manual describes in detail all the selection procedures and criteria that will be applied for project evaluation purposes. In the Fifth Framework Programme it has been made public for the first time in order to increase transparency and equity in the selection process. The manual will help applicants prepare proposals that are more in line with the expectations of the European Commission and which therefore have better chances of being successful. HO?

44 3 4 HO TO PREPARE YOUR PROPOSAL 3 4.1 SCOPE OF THE CALL 1 Content of the call The broad areas of activity covered by a call are described in the announcement published in the Official Journal of the European Communities. APPLICANTS ARE ADVISED TO CONSULT THE CURRENT ORK PROGRAMME, HICH GIVES MORE DETAILED INFORMATION ABOUT THE TYPE OF RESEARCH ENVISAGED. PROPOSALS CORRESPONDING TO ANY PARTS OF THE ORK PROGRAMME NOT COVERED BY A PARTICULAR CALL ILL NOT BE EVALUATED. 2 Duration and scope of projects Applicants are free to define the timetable and resources needed to carry out the task proposed, unless indicated otherwise in the call for proposals or work programme. 3 Special conditions There may be special conditions for proposals submitted in response to a call. If this is the case, they will be set out in the call for proposals or in the work programme. 4 A useful service: pre-proposal check In some calls for proposals, the Commission may offer an optional pre-proposal check. This is an informal advisory service provided to the research community. The aim is to advise potential applicants as to whether their proposal meets general eligibility criteria and the requirements of a particular call. The comments provided to the applicant neither commits the Commission to accept a proposal, nor does it oblige the applicant subsequently to present a proposal. A SPECIAL FORM IS PROVIDED IN PART 2 OF THE GUIDE FOR PROPOSERS IF THIS SERVICE IS OFFERED FOR THE CALL IN QUESTION. HO?

45 3 4 3 4.2 PREPARING A PROPOSAL 1 15 TIPS TO INCREASE YOUR CHANCES OF BEING SUCCESSFUL 1 Make an accurate assessment of the effort required. One of the European Commission s major concerns is to simplify and streamline as much as possible the administrative and other work involved in preparing a proposal. Nevertheless, you should not underestimate the quantity and cost of resources required in particular with regard to negotiations with partners in order to submit a top-quality proposal with a reasonable chance of being accepted. On the other hand, the thinking required to reply to the Commission s various questions may help applicants realise that certain factors have not been properly evaluated and thus to improve their project. The programme information packages offer checklists for this purpose. 2 Eligible partners. Check first of all whether you and your partners satisfy the conditions for participating in the programme (legal status, etc.), and the conditions relating to the particular activity in question (certain activities may, for example, be earmarked for SMEs, organisations in certain industrial sectors, etc.). 3 Specific actions and RTD objectives. Check whether your proposal does in fact correspond to an activity covered by the call in question. Ineligible proposals and proposals which do not concern activities covered by the call will be excluded from the evaluation. 4 Selection criteria. You should pay careful attention to the selection criteria, since proposals which do not meet these will not be considered for funding. 5 Management. You must clearly explain and justify your ability to ensure high-quality management commensurate with the scale of the project. 6 Content. A good proposal must satisfy the five selection criteria (cf. section 4.3, page 55). Since the requirements may vary from one programme to another, refer to the Information Package for the programme you have selected. 7 Ethical issues. Describe clearly all the possible ethical and regulatory aspects in relation to the research to be carried out, and how they are governed by national regulations. 8 Presentation. A good proposal will be written clearly in a way that is easy to understand. It should be precise and concise the evaluators will judge based on the content and not the number of pages. Since the processing of certain forms is automated (optical recognition machines), it is important to complete them legibly and carefully so as not to delay the processing of your file. HO?

46 3 4 9 Results. A good proposal clearly indicates the expected results and the way in which the participants plan to publicise or use them. 10 Exhaustiveness. Proposals should be complete, since they are evaluated only on the basis of the written documents presented. Follow the instructions given on the form. The Commission recommends using the ProTool software package, which it will provide to applicants, free of charge, for the preparation of proposals (see below). 11 Partnership. Partners must discuss and agree on their respective responsibilities, rights, obligations and roles beforehand. 12 Contract. Check to see whether the conditions of the model contract applicable to your project are understood by and are acceptable to all the partners. 6 13 Competition. Project proposals compete against one another. A weakness in an otherwise valid dossier risks undermining it. Therefore, take particular care with your proposal and improve it or eliminate weak points. 14 Quality control. Get your project proposal evaluated by experienced colleagues on the basis of the evaluation criteria set out in the Guide for Proposers, 7 so as to improve it before submitting it. Before submitting a proposal, take care to ensure that all the formal and administrative criteria are scrupulously satisfied: submission deadline, number of copies, instructions on packaging (double envelopes, etc.), authorised signatures, legal and accounting information, acknowledgement of receipt, etc. Around 10% of proposals received by the Commission are eliminated because they fail to comply with one of these criteria! If you have any doubts, please consult the Infodesk of the programme concerned. 15 Use the Internet. Good Internet access is particularly useful for any applicant under the Fifth Framework Programme; the CORDIS website offers direct, continually updated and partially multilingual access to all useful documents, information and services. However, you do not have to use the Internet. All the documents and information can be obtained through more conventional means such as fax, telephone and mail. 6 7 For further details, please consult the Guide for Proposers - Part 1, Box 6. See page 42. Annexe 6 to Part 3: See page 42. HO?

47 3 4 2 LANGUAGE Proposals may be submitted in any of the eleven official languages of the European Union. However, an English translation of the entire proposal would be useful for the evaluators and an English summary of the proposal must be included. You should get an English-speaker familiar with the technical field in question to check the accuracy and quality of the English translations. 3 FORMS Special forms have been drawn up to gather the information needed for each proposal. They are intended to serve as a checklist for applicants and ensure that all the necessary information is provided and also to enable the proposal to be compared fairly. NB: There are several model forms depending on the type of proposal (RTD projects, demonstration projects, accompanying measures, concerted actions, fellowships, etc.). Applicants should make sure that they use the appropriate form. Special additional forms must be completed for applications concerning specific measures for SMEs, Marie Curie Fellowships and bursaries for young researchers from developing countries. These forms are included in the Guide for Proposers drawn up for these schemes. 4 PROTOOL: A HANDY TOOL TO HELP YOU PREPARE YOUR PROPOSAL MORE EFFECTIVELY THE COMMISSION HAS DEVELOPED A COMPUTER PROGRAM KNON AS PROTOOL (PROPOSAL PREPARATION TOOL), HICH IS AVAILABLE FREE OF CHARGE ON THE INTERNET EBSITE FOR THE FIFTH FRAMEORK PROGRAMME. www.cordis.lu/fp5/protool/home.html ProTool helps applicants prepare the administrative and financial information concerning a proposal in the correct format. It is therefore intended for the project coordinator. A version of ProTool has also been developed for other partners, who can use it to prepare their contributions for electronic submission to the coordinator. Once a proposal has been prepared with this tool, it can be transmitted electronically or on paper, whichever is more convenient for the applicant. HO?

48 3 5 HO, HEN AND TO HOM TO SUBMIT YOUR PROPOSAL There are two possible scenarios for proposal submission dates. 1 Continuously open calls for proposals (often for the entire duration of the framework programme, i.e. until 2002). The call lists a series of cut-off dates (usually two per year). All the proposals which reach the Commission before one of these dates will then be evaluated. A project submitted after a particular deadline will be evaluated later. This very flexible arrangement is most frequently used for SME support measures and fellowships, but is tending to spread to other programmes. 2 Call for proposals with a specified deadline. The call specifies a single cut-off date. After that date, the call for proposals no longer applies. This procedure generally concerns the thematic programmes. NB: the time between the date of publication of the call and the deadline for submitting proposals is not very long (generally around three months). It may therefore be worth starting to prepare a project even before a call is actually published. Proposals submitted late will be rejected. However, it is possible that new calls covering the same field will be published later. In that event, the proposal should be resubmitted, but do check that it fully complies with the requirements of the new call. Advance information on some calls may be published in the Official Journal (and on the CORDIS website) so that interested applicants can make their preparations more effectively. However, this is not always the case. In all cases it is important to check carefully the date and time of the deadlines specified in each call for proposals. For calls with a single deadline, a proposal submitted the day after a cut-off date, or on the same day but after the time specified, will be rejected. For continuously open calls, evaluation will be postponed to a later date. Each edition of the European Commission s quarterly magazine, RTD info, contains a table summarising all planned calls and their deadlines. To subscribe to the magazine or browse it on line, please visit the following website: europa.eu.int/comm/research/rtdinfo.html You can also go directly to the call tables at: europa.eu.int/comm/research/rtdinfo/agenda/agenda_en.html A proposal may be submitted on paper or electronically. HO?

49 3 5 SENDING A PROPOSAL STEP BY STEP > If a pre-proposal check by Commission staff is offered in the call in question, the applicant may request this. > In the call for proposals, the applicant may be requested to ask for a proposal number. This form (notification of intention to submit a proposal) should be sent to the Commission by fax or e-mail. > The Commission sends the applicant the proposal number requested by fax or e-mail. > The proposal is prepared by the applicant in electronic or paper form, possibly using the ProTool software. > The applicant checks the proposal against the 15 key recommendations set out in Section 3.4.2. above. > Electronic submission: The consortium partner submitting the proposal asks for certification for the programme. The proposal is submitted electronically following the instructions given with ProTool. Failure in downloading or an inability to decrypt or read a proposal file will result in a fallback procedure being initiated by the Commission (a paper copy will be requested urgently). Submission on paper: The proposal is sent to the Commission. > An acknowledgement of receipt will be sent once a proposal in electronic form or on paper has been received and registered by the Commission. HO?

1 2 3 4 A

4 ONCE YOUR PROPOSAL HAS BEEN SUBMITTED, HAT HAPPENS NEXT? 4444444444444 NEXT?

52 4 1 HAT HAPPENS TO THE PROPOSAL? MAIN SELECTION STAGES STAGE 1 Receipt of proposal Acknowledgement of receipt STAGE 2 Verification of eligibility STAGE 3 Evaluation of eligible proposals with the help of outside experts taking into consideration the socio-economic and, where appropriate, ethical aspects of the proposals STAGE 4 Summary evaluation reports and recommendations STAGE 5 List of priority proposals STAGE 6a Financial and administrative checking of proposals judged worthy of support and negotiations with participants > > STAGE 6b Decision to reject and notification of consortium coordinators STAGE 7 Selection decision STAGE 8 Signature of the contract NEXT?

53 4 2 HO LONG IS THE SELECTION 4 2 PROCESS LIKELY TO TAKE? Proposal evaluation begins For continuously open calls for proposals: refer to the evaluation dates mentioned in the call For calls with a specified deadline: immediately after the call is closed Contract negotiations start for selected proposals 2-3 months following the call deadline The contract is signed 6-8 months after the call deadline The advance (where appropriate) is paid 60 days after contract signature > NEXT?

54 4 3 HO ARE THE PROPOSALS EVALUATED? The basic principle underlying Community research and technological development activities is equality of treatment for all participants. However, more often than not the budgets available do not make it possible to provide funding for all the projects submitted. A rigorous selection procedure therefore has to be followed. Provided that applicants satisfy the legal and administrative criteria, and their proposals are in accordance with the objectives of the programmes, the sole selection criterion is the quality of the proposals. The Information Package and the Evaluation Manual define what is meant by a high-quality proposal. Before a proposal is evaluated, a check is carried out to verify the eligibility of a proposal from a purely administrative point of view: date of submission, transnational character, presence of all the documents in the appropriate form, etc. These minimum eligibility criteria are set out in the decisions of the Council of Ministers and the European Parliament, which are published in the Official Journal. The purpose is to ensure that public money is spent wisely. These basic conditions have since been translated into a number of operating rules by the European Commission with a view to ensuring the efficient, fair and transparent implementation of the considerable financial support provided by the Fifth Framework Programme. Proposals are evaluated based on the fundamental principles of objectivity, transparency and equality of treatment. The selection procedure is described in detail in the Evaluation Manual, which is available on the following CORDIS website: www.cordis.lu/fp5/src/evalman.htm It is important to note that there are no national quotas when it comes to allocating funding under the Fifth Framework Programme. In order to help the Commission, panels of independent external experts have been set up covering a wide range of expertise. These experts are selected by the Commission from an open list drawn up following a call for applications in the Official Journal. They evaluate the proposals in accordance with the criteria laid down. Each eligible proposal is subjected to a scientific and technical evaluation by at least three experts. A second panel of independent experts then examines socio-economic and ethical aspects. The anonymity of applicants and the confidentiality of proposals are fully guaranteed to ensure that the evaluators are impartial. In the event of a conflict of interests, the expert concerned must withdraw from the panel. The proposals are evaluated in accordance with five categories of criteria that are clearly set out in the Guide for Proposers for each call 8, and in the Evaluation Manual. 8 Annexe 6 of Part 2. Details on page 42. NEXT?

55 4 3 The criteria are: > scientific/technological quality and innovation; > Community added value; > contribution to Community social objectives; > potential economic, scientific and technological impact; > quality of management, partnership and resources. Ethical aspects are also taken into account at this stage. The details and quantitative weighting of the criteria are described in the Evaluation Manual. The experts examine the proposals individually before meeting as a panel to agree on a ranking. At this stage, they may recommend that certain similar or complementary proposals should be combined into larger projects or project clusters. Following the evaluation, the Commission draws up a list of proposals ranked according to the points the experts gave based on the criteria. As a rule, the Commission receives far more proposals than it can fund. The proposals compete against one another and only the quality of the projects determines the final selection. Fifth Framework Programme contracts are made directly between the contractors and the European Commission. At no stage in the procedure are applicants required to contact national or regional authorities. The Member States only play an advisory role through the opinions delivered by the programme committees on which they are represented. However, the Member States do make information and assistance services available to anyone interested in participating in the Fifth Framework Programme. NEXT?

56 4 4 HAT HAPPENS IF A PROPOSAL IS REJECTED? The Commission will officially reject proposals that are submitted late, are formally inadmissible or of inadequate quality, as well as high-quality proposals that cannot be funded due to budgetary constraints. The rejection decision, together with the main reason for rejection, will be communicated to the applicants concerned. The fact that a proposal is rejected does not necessarily mean that it is not of high quality. Given that the budgets available are limited, a project may be rejected in favour of a proposal that is more in line with the objectives of the Fifth Framework Programme or has more strong points, based on the selection criteria. Of course, the only consequence of a proposal being rejected is that the European Commission will not then cofinance it. There is nothing to stop partners carrying out their project anyway. NEXT?

57 4 5 4 5 HAT HAPPENS IF A PROPOSAL IS ACCEPTED? 4 5.1 NOTIFICATION The coordinators for the proposals selected will be informed in writing. However, this notification does not constitute a definitive commitment on the part of the Commission to fund the project concerned. A brief evaluation report drawn up by the Commission will be sent to the applicant. Additional administrative and financial information will be requested in order to evaluate the viability of the proposed project. Participants should then make sure that they have at their disposal all the resources needed to carry out the project. The Commission will check this information. here appropriate, it will protect its interests, e.g. by requesting a bank guarantee. 4 5.2 NEGOTIATION OF THE CONTRACT AND MODEL CONTRACT The Commission may also suggest changes to the initial project based on the outcome of the evaluation, or propose grouping or combining the project with others in a project cluster. The negotiations may cover the budget, technical, financial and legal aspects, etc. Once the negotiations have been completed, the Commission will then offer a contract to start the work, based on a timetable determined by the needs of the specific programme concerned and taking into account those of the consortium. The research contracts drawn up by the Commission fall into five main groups. They each have their own detailed conditions appropriate to the types of action and activities to which they relate. 9 9 For further details, please consult the Guide for Proposers - Part 1, boxes 6, 7 and 8. Details on page 42. NEXT?

58 4 5 INNOVATIONS IN THE MODEL CONTRACT a b c d e f General trend: simplification and greater transparency. Five main categories of contracts: Shared-cost projects (research, demonstration, and combined projects); SME projects (CRAFT, exploratory awards); Fellowships (Marie Curie, etc.); Coordination (thematic networks, concerted actions); Accompanying measures (study contracts, expert contracts, etc.) New and better-defined categories of participants: principal contractor, assistant contractor, subcontractor, etc. New categories of costs eligible for reimbursement: coordination costs, etc. Innovations in the cost-reimbursement system: overheads reimbursable on a flat-rate basis (and no longer just based on actual costs) for shared-cost projects (see point b above) and CRAFT projects. Dissemination and use of research results: improved technological implementation plan, obligation to use results. Otherwise, dissemination of results under pre-determined conditions; reduction of the number of those entitled to access rights to results, modified access right conditions, possibility of introducing exclusive access right. FOR MORE DETAILS ABOUT THE VARIOUS MODEL CONTRACTS UNDER THE FIFTH FRAMEORK PROGRAMME, PLEASE CONSULT THE GUIDE FOR PROPOSERS PART 1, BOX 6. DETAILS ON PAGE 42. ALL THE MODEL CONTRACTS CAN BE DONLOADED FROM CORDIS www.cordis.lu/fp5/mod-cont.htm NEXT?

59 4 5.3 PARTICIPANTS RIGHTS AND OBLIGATIONS 4 5 The participants main obligation is to carry out the project within a set time limit and to use the results. For its part, the Commission undertakes to make a financial contribution to the carrying-out of the project, usually by reimbursing a percentage of the project costs. The rights and obligations of the various categories of partners (principal contractors, assistant contractors, coordinator, etc.) may vary depending on the type of action in which they are participating. These are specified in the Guide for Proposers and in the agreement signed by the consortium partners. 4 5.4 PROJECT MANAGEMENT, MONITORING AND IMPACT In the case of a consortium, the partners designate one of the principal contractors to act as project coordinator. As the intermediary between the participants and the Commission, the coordinator has additional rights and obligations. They are responsible for collecting, merging and presenting the project deliverables and distributing the money received from the Commission. The expenses incurred by the coordinator in carrying out their responsibilities may be reimbursed under certain conditions. 10 However, it should be stressed that all the participants must undertake to manage the project efficiently. Subcontractors are not regarded as project participants. In some cases, however, the Commission may reimburse payment for their services. Subcontractors have no intellectual property rights to the results of the project. 11 10 11 For further details, please consult the Guide for Proposers - Part 1, Boxes 6 and 7. See page 42. For further details, please consult the Guide for Proposers - Part 1, Boxes 6, 7 and 8. See page 42. NEXT?

60 4 5 To enable the Commission to monitor the progress of the contract and ensure it complies with the EU s conditions for financial support, the participants must submit interim - generally annual - reports and a final report, together with statements of expenses incurred, via the coordinator. These reports are analysed by Commission staff based on the original project selection criteria. They also determine whether or not the Commission will continue to support the project, and how. Increased knowledge or technological developments may prompt the consortium or the Commission to propose changes to the project while it is being carried out. Any changes made by the partners require the Commission s prior approval. Use of results In addition, the Commission will monitor how the results of the completed project are implemented. Consequently, before the end of the project, the participants must submit a technological implementation plan indicating the way in which the new knowledge will be used. here appropriate, the Commission will ensure that this information is treated in confidence. The second horizontal programme, Innovation and SMEs, includes a whole range of support measures for the use and dissemination of project results. NEXT?

61 4 5.5 PAYMENTS 4 5 In return for the participants carrying out the research project and using the results, the Commission undertakes to make a financial contribution to their RTD work. FOR FURTHER DETAILS IN THIS CONNECTION, SEE SECTION 2.4.4, PAGE 30. NEXT?