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 Programme^¹

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
RTD^²
activities, carried out under the Specific Programmes implemented
within the Fifth Framework Programme. The general rules^³
are as follows:

(a) Shared-cost actions

Research and technological development (R&D)
projects^⁴ – 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^,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 costs⁴^,⁵).

Support for access to research infrastructures
– (only implemented under
“Improving the human research potential and the socio-economic
knowledge base” – IHP Programme) actions enhancing
access to research infrastructures for Community researchers.
Support will cover maximum of 100 % of the eligible costs necessary
for the action.

“SME Co-operative” research
projects⁴ – projects enabling at least
three mutually independent SMEs from at least two Member States or
one Member State and an Associated State to jointly commission
research carried out by a third party (financial participation: 50 %
of total eligible project costs⁴).

“SME Exploratory” awards – support of 75 % of total
eligible costs^⁶
for an exploratory phase of a project of up to 12 months (e.g.
feasibility studies, validation, partner search).

(b)
Training fellowships

Marie Curie fellowships are either fellowships,
where individual researchers apply directly to the Commission, or
host fellowships, where institutions apply to host a number of
researchers (financial participation: maximum of 100 % of the
additional eligible costs necessary for the action^⁷).
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 — 5⁴and
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.

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