Quality of life and management of living resources

Guide for Proposers – PART 1 December 1999

THE FIFTH FRAMEWORK PROGRAMME

1998-2002

QUALITY OF LIFE AND
MANAGEMENT OF LIVING RESOURCES

GUIDE FOR PROPOSERS

PART 1

2^nd 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 1 19

Box 5 - Main milestones of the selection process 21

BOX 6 – Indicative Typology of Contracts 22

Box 7 - Methods for the calculation of EC funding 24

BOX 8 - Intellectual Property Rights 26

Box 9 - Key recommendations 27

Notes – PART 1 28

2^nd 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 Programme¹ I.1. Objectives

The Fifth Framework Programme, adopted on 22nd December 1998, defines the Community activities in the field of research, technological development and demonstration (hereafter referred to as “RTD”) for the period 1998-2002.

The Fifth Framework Programme differs from its predecessors. It has been conceived to help solve problems and to respond to major socio-economic challenges facing the European Union. It focuses on a limited number of objectives and areas combining technological, industrial, economic, social and cultural aspects.

Priorities have been chosen according to three basic principles which will apply for all levels: the Framework Programme as a whole, the Specific Programmes implementing it and the RTD activities covered by those programmes.

European “value added” and the subsidiarity principle, for example, to reach a critical mass or contribute to solving problems of a European dimension,

Social objectives, such as quality of life, employment or protection of the environment in order to meet the expectations and concerns of the Union’s citizens,

Economic development and scientific and technological prospects in order to contribute to the harmonious and sustainable development of the European Union as a whole.

I.2. Structure and contents

The Fifth Framework Programme consists of seven Specific Programmes, of which four are Thematic Programmes and three are Horizontal Programmes.

The Thematic Programmes are :

Quality of life and management of living resources

User-friendly information society

Competitive and sustainable growth

Energy, environment and sustainable development.

In line with the provisions set out in the EC Treaty, the widely ranging Horizontal Programmes underpin and complement these Thematic Programmes.

The Horizontal Programmes are:

Confirming the international role of Community research

Promotion of innovation and encouragement of participation of small and medium-sized enterprises (SMEs)

Improving human research potential and the socio-economic knowledge base.

One essential new characteristic of the Fifth Framework Programme is the integrated, problem-solving approach. Integration is strengthened at three levels:

By the key action concept in the Thematic Programmes. Key actions are major innovations of the Fifth Framework Programme. They will enable the many and varied aspects of the economic and social issues to be targeted, by integrating the entire spectrum of activities and disciplines needed to achieve the objectives.

By integration between Horizontal and Thematic Programmes objectives.

International co-operation

Participation by entities of third countries and international organisations will be possible in all Programmes in addition to opportunities for participating in the Horizontal Programme “Confirming the international role of Community research”. Conditions for participation, including possible financial arrangements, are specified in section III of this document. Box 1 describes the opportunities for bursaries for young researchers from developing countries.

Innovation and participation of SMEs

Measures encouraging SME participation in RTD activities will be carried out in all Thematic Programmes and the Innovation and SME programme. Details on SME stimulation measures will be found in a special information brochure devoted to them. In addition, each Thematic Programme will interface with the Horizontal Programme “Promotion of innovation and encouragement of SME participation” in order to develop awareness and help technology transfer and use of the results of the Thematic Programme.

Socio-economic and training aspects

Socio-economic research can be funded by both the Thematic Programmes and by the key action on “Improving the socio-economic knowledge base” of the Horizontal Programme “Improving the human research potential and the socio-economic knowledge base”. Socio-economic research is present in the Thematic Programmes as an integral part of the technological research activities. Training opportunities for researchers are assured through the Marie Curie system of fellowships that can be implemented by Thematic Programmes as well as by other specific training activities in the Human Potential Programme. The fellowships system is described schematically in Box 2.

By integration between Thematic Programmes. Complementary and synergistic interactions will be ensured in implementing the Programmes.

I.3. Implementation I.3.1. Work Programme

A Work Programme has been drawn up for each Specific Programme, describing the specific activities and the various research areas. The Work Programme will be revised regularly with the assistance of Advisory Groups of independent experts to ensure its continued relevance in the light of evolving needs and developments. Potential proposers should therefore ensure they are consulting the current version of the work programme when planning a proposal. The Work Programme appearing at the Specific Programme Web site is always the current version.

The Work Programme includes an indicative timetable or “roadmap”, which indicates which parts of the Work Programme will be opened, by calls for proposals, and deadline(s) involved. This provides a means of focusing attention on areas or sub-areas, thereby optimising opportunities for launching collaborative projects and establishing thematic networks.

The Commission will manage the Specific Programmes to ensure that links in thematic content between the programmes are exploited in a synergistic way. This may occasionally require joint or synchronised calls for proposals. Where necessary, co-ordination measures such as these will be indicated in the announcement of the calls for proposals, and in the Work Programme.

I.3.2. Types of actions supported

The Community will contribute financially to the RTD² activities, carried out under the Specific Programmes implemented within the Fifth Framework Programme. The general rules³ are as follows:

(a) Shared-cost actions

Research and technological development (R&D) projects⁴ – 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 costs^4,5).

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 costs^4,5).

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 costs⁶ 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 action⁷). 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.

Box 2 – The System of Marie Curie Fellowships

As described below, there are two types of application for a Marie Curie Fellowship: individual fellowships, where individual researchers apply to the Commission for a fellowship; and host fellowships, where institutions apply to the Commission to host a number of researchers. Individual Fellowships: Marie Curie Individual Fellowships Fellowships for young researchers at post-doctoral level or equivalent Marie Curie Return Fellowships Fellowships for Marie Curie Fellows, originating from a less-favoured region, to return to a less favoured region of their home country after their initial two year post-doctoral fellowship Marie Curie Experienced Researchers Fellowships Fellowships for experienced researchers: for the transfer of expertise and technology between (i) industry and academia and (ii) towards less-favoured regions of the European Community. Host Fellowships: Stays at Marie Curie Training Sites Giving young researchers pursuing doctoral studies the opportunity to spend part of their studies within an internationally recognised group, in their specialised area of research. Marie Curie Development Host Fellowships Fellowships for institutions located in less-favoured regions, which are active in research and have a need to develop new areas of research competence, to host post-doctoral level researchers in the area of competence required. Marie Curie Industry Host Fellowships Awarded to enterprises, including SMEs, for the training of young researchers, at postgraduate and post-doctoral level, in an industrial or commercial environment. These fellowships particularly aim at providing research training opportunities for young researchers without any previous industrial experience. Further information on the system of Marie Curie Fellowships and application forms may be obtained from its web site (http://www.cordis.lu/improving/home.html) or from the IHP Programme’s information desk.

II. The Specific Programme: Quality of Life and Management of Living Resources II.1. Programme objectives

Economic and political developments in Europe have resulted in greater prosperity, increased life expectancy and better working conditions. These improvements have, however, been accompanied by challenges, such as higher health-care costs, an ageing population, environmental degradation and heightened ethical concerns. A gap has become increasingly evident between the availability of natural resources and human activities. Paradoxically, this has occurred just as there is an "explosion" in the knowledge base concerning the structure and function of all living things, pointing towards new developments in, for example, health-care, pharmaceuticals, agriculture and food.

This programme aims to unlock the resources of the living world and improve the quality of life. To achieve this, the links between discovery, production and end-use must be consolidated. The needs of society and the requirements of the consumer are paramount and research must lead to quantifiable future wealth and job creation, while respecting the principles of sustainable development.

II.2. Programme strategy

The strategy of this programme is to focus on specific areas where the growing knowledge base should provide solutions to some of the pressing needs of society that need to be tackled on a European scale. Fundamental ethical values must be respected.

Based on the criteria laid down for selecting the major research themes for the Fifth Framework Programme, emphasis in this programme will be placed on the following:

European added value. This will be achieved by addressing specific cross-border challenges, such as improving health and managing and exploiting renewable natural resources. Themes such as drug abuse, biosafety, bioethics and issues related to agriculture, forestry and fisheries should reinforce the scientific base in support of Community policies. Indeed many of the activities addressed in the programme, such as genomic research, neurosciences, infectious diseases, ageing and disabilities sustainable management and utilisation of forestry resources, fish management and human, animal and plant diseases, due to their size and complexity, are more meaningful if they are addressed at the European level.

Social objectives. Research must be developed which promotes health and quality of life, secures safe and wholesome food, preserves and restores a healthy environment, stimulates rural and coastal communities, improves response to consumer needs and facilitates information flow to the consumer.

Economic development. The huge potential for economic growth and job creation must be realised, both in the traditional industries, including primary production and in the rapidly growing high technology industries dominated by small and medium-size enterprises (SMEs). To contribute effectively to European competitiveness and employment, results must be transferred from research into commercially successful products and processes. Intrinsic to this approach is the effective use of demonstration, training, dissemination and exploitation of research results, along with stimulation of innovation and entrepreneurship.

II.3. Programme structure and contents

The programme is primarily built around six specific key actions that are goal-oriented and problem solving. The key actions are targeted at identifiable socio-economic and market needs, such as improving quality and safety of food; controlling infectious diseases; harnessing the power of the cell; health and environment; sustainable agriculture, forestry and fisheries, integrated rural development, sustainable development; and promoting healthy ageing. A unique feature of key actions is their response to Community policy objectives, in areas like agriculture and fisheries, industry, consumer protection, environment and health.

In addition, the generic activities of the programme aim to build up through RTD the knowledge base in identified areas of strategic importance for the future, in relation to chronic and degenerative diseases, genomes, neurosciences, public health, persons with disabilities and ethical and socio-economic issues surrounding the life sciences. Support for research infrastructures, dissemination and exploitation of results, training and an increased role for SMEs, and entrepreneurship are also an integral part of the programme.

The following section represents a short overview of the programme structure and contents. Detailed objectives and RTD priorities are specified in the Work Programme. Be sure to consult the current version, since the Work Programme is revised periodically.

II.3.1. Six key actions

1. Food, Nutrition and Health

To improve the health of European citizens by providing safe, healthy and varied food products. RTD priorities include the development of safe and flexible manufacturing processes and technologies, the detection and elimination of infectious and toxic agents throughout the food chain, and gaining a more profound understanding of the role of food in promoting and sustaining health.

2. Control of Infectious Diseases

To combat established, emerging or re-emerging infectious diseases, linked to old, new or mutated infectious agents in humans or animals. RTD priorities include vaccine development; strategies to identify and control infectious diseases; and aspects of public health and care delivery systems.

3. The "Cell Factory"

To help the Community’s enterprises exploit the advances made in life sciences and technology, particularly in the fields of health, environment, agriculture, agro-industries and high value-added products. RTD priorities include developing innovative health-related processes and products; energy-efficient bioremediation and waste biotreatment processes; and new biological processes from cell factories.