Quality of life and management of living resources

two legal entities, independent of each other, and established in two

different Member States, or one Member State and one Associated State. (The

Joint Research Centre of the European Commission is considered as a

participant of a Member State).

However, certain actions may vary from this general rule - either by

requiring more participants or by permitting a single one (see box 6).

III.1.3. Role of the participants

Participants in a proposal fall into a number of different legal

categories, according to the type of activity proposed and the nature of a

participant’s role in it (see box 6 and III.5.3.).

III.2. Proposal submission

III.2.1. call for proposals

Calls for Proposals published in the Official Journal will open certain

parts of a Specific Programme’s Work Programmes for proposals, indicating

what types of actions (RTD projects, Accompanying measures etc.) are

expected. In addition to those with a fixed closing date, the Commission

will open certain Calls on a longer ‘open’ basis, with periodic evaluation

of received proposals. A provisional timetable for the Calls of a Specific

Programme is included in each Work Programme.

A Call may address the full programme, a key action, one or several

research themes, areas, sectors, action lines, objectives, topics. In order

to ensure co-ordination among the Specific Programmes, common Calls may be

published. The objectives to be achieved may also be fully detailed, for

example in the case of key actions or dedicated calls[xiv].

Proposals submitted under a Call shall be subject to a selection process

presented in section III.4.

Certain Accompanying Measures may however be based on spontaneous

applications or on a call for tender, and shall therefore be subject to a

different process[xv].

III.2.2. Submission

Participants should complete the appropriate Proposal Submission Form

corresponding to the type of action involved, preferably using the software

tool that the Commission supplies: The Proposal Preparation Tool or

‘ProTool’, available at the following address:

http://www.cordis.lu/fp5/protool.

Proposals must be completed in full as detailed in the Guide for Proposers

Part 2.

In addition, experience in previous Calls shows that a number of general

recommendations, provided in box 9, may be helpful. Participants have the

choice to submit proposals either electronically or on paper.

Submission takes place in the following steps, which are detailed in Part 2

of this Guide.

|The co-ordinator may request a pre-proposal check from |

|the Commission, if this service is offered for the call|

|concerned. |

|The proposer may be required in the Call for Proposals |

|to submit a request for a proposal number. This form |

|(Notification of Intention to Propose) is sent to the |

|Commission services via fax or electronic mail. |

|The requested proposal number is sent back to the |

|proposer by fax or electronic mail from the Commission.|

|The proposal is prepared either in electronic or paper |

|form, preferably using ProTool. |

|The co-ordinator checks the proposal against the key |

|recommendations (Box 9) |

|Electronic submission |Paper submission |

|The submitting partner in |The proposal is sent to the|

|the consortium seeks |Commission in the form of |

|certification for the |five bound paper copies and|

|Programme. |one unbound original. |

|The proposal is submitted |

|electronically following |

|the instructions given with|

|ProTool. |

III.3. Proposal evaluation

III.3.1. General principles

The evaluation of proposals will be based on the fundamental principles of

transparency and equality of treatment. The entire selection process and

the description of the criteria by which the proposals will be evaluated

are presented in the Evaluation Manual (see also box 5 and Appendix 6 of

Part 2 of this Guide).

In general, and in order to help the Commission, panels of independent,

external experts[xvi] will be constituted covering a wide range of relevant

expertise, without linguistic or geographic bias. Proposers’

confidentiality will be fully respected, both to avoid conflicts of

interest and to preserve the impartiality of the independent experts.

III.3.2. Conformity check and eligibility

On receipt, all proposals will be subject to a validation process, to

ensure they conform to the requirements of the Call, of the submission

procedure and of the rules for participation.

Only proposals that conform to these requirements will be subject to

evaluation.

III.3.3. Evaluation

Proposals will be evaluated according to criteria grouped into five

categories, as laid down in the Work Programme applicable to the relevant

call. The content and the respective weighting of the criteria are

described in the Evaluation Manual. Programme specific information on

evaluation may also be explained, if appropriate, in Part 2 of this Guide.

Ethical aspects and safety aspects have to be taken into account in the

process.

The experts examine proposals individually, then meet as a panel to agree a

ranking. At this stage, they may recommend that certain proposals should be

combined into larger projects or linked together as clusters (see section

I.3.3).

Following the evaluation, and according to the interest of Community, the

Commission will establish a list of proposals in order of priority. This

list will take into account the budget available (which has been set out in

the call for proposals) plus, if necessary, a percentage of the call budget

to allow for withdrawal of proposals and/or savings to be made during

contract finalisation. Late or ineligible proposals, those of inadequate

quality or for which there is not adequate budget will be subject to a “non-

retained” decision by the Commission. This information, with the main

reason for non-retention, will be communicated to the proposers concerned.

III.4. Proposal selection

The co-ordinators of proposals, which have been retained, will be notified

in writing. This notification however does not ultimately commit the

Commission to fund the project concerned.

A brief report on the evaluation prepared by the Commission will be sent to

the proposers via the proposal co-ordinator. Further administrative and

financial information will be required to assess the viability of the

proposed project.

Hence, participants will have to demonstrate that they have all the

necessary resources[xvii] needed for carrying out the project. The

Commission will check these, and may seek to safeguard its interest by

asking for a bank guarantee or by other measures.

The Commission may also propose modifications to the original proposal

based on the result of the evaluation, or in terms of grouping or

combination with others.

On successful conclusion of these negotiations, the Commission will then

offer contracts for the commencement of work, based on a timetable

determined by the needs of the Specific Programme concerned.

Any proposal, which is finally not taken up, due to a lack of available

funding for example, will be subject to a “non-retained” decision by the

Commission. This information, with the main reason for non-retention, will

be communicated to the proposers concerned.

III.5. The contract

Contracts are issued to proposals successful in the procedure of selection.

III.5.1. The various types of contracts

Research contracts from the Commission fall into five main groups. They

each have their own detailed conditions, appropriate to the types of action

and the activities to which they refer. (see boxes 6, 7 and 8).

III.5.2. The subject of the contract

The main obligation of the participants is to carry out the project to

completion in a pre-arranged period, and to make use of or disseminate its

results.

In return, the Commission undertakes to contribute financially to the

realisation of the project, normally by reimbursing a certain percentage of

the project costs[xviii].

III.5.3. Rights and obligations of participants

These may vary according to the nature of the action or the category of

participant:

. For Research and Technological Development (R&D) projects,

Demonstration projects and Combined projects, a participant who has a

wide-ranging role in the project throughout its lifetime is normally a

principal contractor. A participant whose role is largely in support

of one or several of these principal contractors is termed an assistant

contractor. Principal contractors are distinguished from assistant

contractors in two main ways:

- all the principal contractors are collectively responsible to the

Commission for the execution of the project and shall use reasonable

endeavours to obtain the expected results;

- principal contractors have rights of access to the results of the

project and any pre-existing know how. Assistant contractors have

limited rights. (see Box 8)

. For support for access to research infrastructure, the host

infrastructure is a principal contractor[xix], who is responsible for

the implementation of the action.

. For SME co-operative research projects, SMEs benefiting from the

project are principal contractors. Organisations performing the

research, named RTD performers, are subcontractors and, as such, are

not considered to be "participants"[xx].

. For Exploratory awards, SMEs are principal contractors.

For both SME Co-operative research projects and SME Exploratory awards,

principal contractors share responsibility and have the same access to

intellectual property rights. It should be noted that RTD performers,

although they are not considered to be "participants", can have access to

the know-how necessary to perform the research, and, in specific cases,

to the knowledge resulting from the projects (see Box 8).

. Concerted Actions, Research Training Networks and Thematic Networks

distinguish between the principal contractor(s)[xxi] who lead the

action, and the members who are associated with them. Principal

contractor(s)[xxii] sign a membership contract with their members, with

the prior agreement of the Commission and in conformity to their own

Commission contract, and share with them joint and several

responsibility, in relation to the carrying out of the project.. This

distinction does not affect intellectual property rights.

. For Accompanying Measures, the participants role shall vary according

to the nature of the action (see Box 6). Principal contractors share

joint and several responsibility. In Accompanying Measures specific to

technology take-up members can participate.

. For Fellowships, the Commission’s contract is normally offered to the

host institution, which then signs an agreement with the Fellow,

conforming to the terms of the Commission’s contract. Exceptionally, in

the case of bursaries for Community Researchers (INCO 2), the

Commission contract may be with the individual personally. In general,

intellectual property rights shall be addressed in the agreement signed

with the individual and according to the national legislation of the

host institution.

Participants in an action may conclude between themselves any agreements

necessary to the completion of the work, provided these do not infringe on

their obligations as stated in the contract they sign with the Commission.

III.5.4. The co-ordination of the project

Within a consortium, participants shall designate one of the principal

contractors to carry out the co-ordination function[xxiii].

The co-ordinator is the liaison between the participants and the

Commission, responsible for collecting, integrating and submitting project

deliverables, and for distributing the funds received from the Commission.

The costs incurred by the co-ordinator in the fulfilment of his

responsibilities can be claimed as direct or indirect costs (see boxes 6

and 7).

It should be noted that the successful management of the project is a joint

commitment of all the participants. They may however agree amongst

themselves to confer upon the co-ordinator additional responsibilities,

provided this does not infringe on their obligations as stated in the

contract they sign with the Commission.

III.5.5. Subcontractors

Sub-contractors are not participants in a project. Their function is only

as service providers to a principal contractor, an assistant contractor or

a member, who fully funds their activity. The costs are then reimbursable

by the Commission according to the rules of the contract in force.

Sub-contractors make no financial investment in the project, and they

therefore do not benefit from any intellectual property rights arising from

its achievements (see boxes 6 and 7).

III.6. Project follow-up

In order for the Commission to verify the execution of the contract,

participants are required to submit, via the co-ordinator interim and final

reports as well as reports of costs incurred.

These reports will be analysed by Commission services in the light of the

criteria, which led to the original selection of the proposal This will

ensure the project conforms to the conditions associated with the Community

financial contribution, and that the progress foreseen actually takes

place. The reports are also used to assess whether and in what manner the

project should continue to be supported.

In addition, and conforming to objectives stated in the Fifth Framework

Programme decision concerning the use and dissemination of results, the

Commission will follow-up the implementation of the results of the project.

Therefore participants are in general required to produce a “Technology

Implementation Plan” indicating how the knowledge gained will be used. The

Commission will ensure, where necessary, the confidentiality of these data.

III.7. Financial contribution of the Community

The Commission undertakes a financial contribution to the work.

With the exception of those cases where the Commission's contribution takes

the form of a lump sum payment, the Commission reimburses eligible costs

incurred by participants as the project progresses. Payment is made in

instalments at regular intervals.

III.7.1. Incurred eligible costs

Participants are required to identify and declare their eligible costs by

the submission of interim and final cost statements based on the actual

costs incurred for the execution of the project. Participants must retain

supporting documents, which justify these costs, for at least 5 years from

the end of each payment, to permit auditing by Commission services or other

institutions, e.g. the European Court of Auditors.

The different categories of costs that are eligible for Commission funding

differ according to type of contract (see Boxes 6 and 7).

III.7.2. Calculation methods

A number of different methods are used to calculate the Commission funding,

depending on the type of action involved and on the participant’s capacity

to identify his incurred costs (see boxes 6 and 7).

For Research and Technological Development projects, Demonstration and

Combined Research and Demonstration projects, three calculation methods are

used: full cost actual overhead (FC), full cost flat rate (FF) and

additional cost (AC).

For Accompanying Measures, one calculation method is used for all

participants. The overhead may be calculated as a flat rate of the

personnel costs and in some cases no overheads may be allowed.

For technology take-up measures not all cost categories may be allowable.

For Concerted Actions and Thematic Networks, all participants use the

additional cost model (AC), so overheads are calculated as 20% of all

direct costs (except subcontracting).

Use of permanent staff is allowed for all types of organisations if

accurate time records are kept.

III.7.3. Payment of the contribution

The Community contribution is paid in Euro, in a number of regular

instalments based on cost claims submitted by participants with their

interim and final reports.

The Commission may make advance payments at the beginning of the project,

contingent on verification of the participants’ financial standing. In

certain circumstances the Commission may request financial or other

guarantees to ensure the security of any advance payment made. This is

particularly necessary for those shared-cost actions where the participants

themselves are expected to support part of the cost.

III.8. Assistance available to proposers

The EC carries out a range of activities in support of potential proposers.

These vary as appropriate according to the nature of the Call and the

Specific Programme concerned. Therefore, they are detailed in the Guide

Part 2.

For each programme there is a network of National Contact Points in Member

and Associated States. The National Contact Points can be helpful to

organisations from their country in finding partners from other countries,

and in assisting in procedural or administrative matters. There are a

number of other networks such as Innovation Relay Centres, Euro Info

Centres etc., which potential proposers may also consult.

The European Commission maintains an Infodesk for each programme of the

Fifth Framework Programme for the duration of their Calls. Any questions

concerning the Call not covered in this document nor in the material

available at the programme web site may be directed to the Infodesk, whose

address is included in the Call specific information in the Guide Part 2.

The Infodesk will post any last-minute information concerning the Call on

the programme website, which potential proposers should check periodically

for this reason.

The certification service provider has established an EU-wide support

network for proposers in the national languages. Details are given on the

web page relating to this service (http://www.fp5.csp.org).

The Commission may organise “Info-days”, to disseminate information about

the Fifth Framework or a particular Call, and also to provide an occasion

for proposers to meet potential consortium partners.

The Commission’s CORDIS server in Luxembourg (http://www.cordis.lu/fp5/)

offers a number of services and information sources which may be useful in

particular to support partner search activities. It also contains details

of organisations which have already expressed an interest in participating

to the different programmes under the Fifth Framework Programme.

In addition, the CORDIS website offers targeted information concerning both

implementation modalities of the specific programmes as well as financial

and administrative management aspects.

Box 3 - Co-operation with non-EU Countries and International Organisations

Opportunities for participation in proposal consortia

In planning a RTD proposal for submission to one of the programmes or to

the key action ‘Improving the socio-economic knowledge base’, researchers

should be aware that it is also open to participation by entities from non-

EU countries and to international organisations. The opening falls into

three categories and in all cases, the third country/international

organisation participant must be included as a participant in the original

proposal submitted:

(i) Countries associated to FP-5: For each of these countries, institutions

may participate and be funded, with similar rights and responsibilities to

EU Member State participants, once the Association Agreements come into

force (see box 4).

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