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

Страницы: 1, 2, 3, 4, 5, 6, 7, 8