Quality of life and management of living resources

(ii) Project by project participation: This participation will be on a self-

financing basis and this option is open to all non-associated European

countries, to Mediterranean partner countries, to countries with which the

EU has an S&T Agreement, and to international organisations, as long as the

participation is in conformity with the interest of the Community.

(iii) All other countries: For countries not covered by the above

categories, participation in FP-5 projects on a self-financing basis will

be possible if the participation is in conformity with the interest of the

Community and is of substantial added value for implementing all or part of

the specific programme. The interest of the Community and the substantial

added value must be clearly indicated in the proposal.

The conformity with the interests of the Community will be assessed with

particular regard to the contribution to one or more of the following (as

laid down in Council Decision): the needs of other Community policies in

support of which the RTD actions are carried out; providing appropriate

incentives for maintaining and creating jobs in the Community; promoting

sustainable development and improving the quality of life in the Community;

strengthening the international competitiveness of Community industry; the

existence of S&T co-operation agreements between the Community and third

countries or international organisations.

Substantial added value may refer for example to cases where the third

country participant is a generally recognised, top-level specialist in the

field of the proposal or has access to unique resources which are of great

importance to the project but which are not available in Europe, or where

third country participant offers the prospect of opening new markets for

the European participants.

In exceptional cases, Community financing for the third country participant

or international organisation may be provided by the programme if it is

essential for achieving the objectives of the project1, i.e. if the

contribution of the participant cannot be provided by any other means and

the project cannot be carried out without that participant.

For country groupings, see box 4

1 Additional rules are foreseen in the Specific Programme “Energy,

environment and sustainable development” which provide for financial

support to those entities where their participation is beneficial and

offers added value for achieving the objectives of the Programme.

Box 4 - Participation from non-EU countries in FP5 1

For latest information on entry into force of these agreements, please

consult: www.cordis.lu/fp5/src/3rdcountries.htm or contact the Programmes'

Information Desk

| | | |

| |CANDIDATES |BULGARIA, REPUBLIC OF CYPRUS, CZECH |

|Associated | |REPUBLIC, ESTONIA, HUNGARY, LATVIA, |

|States |FOR EU- |LITHUANIA, POLAND, ROMANIA, SLOVAKIA, |

| | |SLOVENIA : in force. |

|may |MEMBERSHIP | |

|participate | |For Malta and Turkey, please see footnote 3 |

|with | |and 4 |

|Community | | |

|funding | | |

| |EFTA-EEA |ICELAND, LIECHTENSTEIN, NORWAY: in force. |

| |OTHERS |ISRAEL : in force. |

| | |SWITZERLAND 2 : entry into force expected on|

| | |the 1.1.2001. |

| |OTHER |ALBANIA, BOSNIA-HERZEGOVINA, FORMER YUGOSLAV|

| |EUROPEAN |REPUBLIC OF MACEDONIA, SWITZERLAND 2 |

|Third States 6| |MALTA 3 and TURKEY 4 are also shown under |

| | |Mediterranean Partnership. |

| | |MICROSTATES AND TERRITORIES IN EUROPE5 |

|may | | |

|participate | | |

| | | |

|without | | |

|Community | | |

|funding | | |

| | | |

|(exceptionally| | |

|with Community| | |

|funding | | |

|when duly | | |

|justified as | | |

|being | | |

|essential for | | |

|achieving the | | |

|objectives | | |

|of the | | |

|project) | | |

| |EUROPEAN |ARMENIA, AZERBAIJAN, BELARUS, GEORGIA, |

| |NIS |MOLDOVA, RUSSIA, UKRAINE. |

| | |ALGERIA, EGYPT, JORDAN, LEBANON, MALTA3, |

| |MEDITERRANEAN|MOROCCO, PALESTINE AUTHORITY, SYRIA, |

| |PARTNERSHIP |TUNISIA, TURKEY4. |

| | | |

| | |All above countries may participate project |

| | |by project if in conformity with the |

| | |interests of the Community and on a self |

| | |financing basis. |

| | |ARGENTINA (1st activity of FP5), AUSTRALIA |

| | |(1st activity of FP5), CANADA (1st activity|

| |COUNTRIES |of FP5), CHINA (1st activity of FP5), SOUTH |

| |WITH |AFRICA (FP5), USA (FP5) : in force. |

| |CO-OPERATION |RUSSIA (1st activity of FP5): |

| |AGREEMENT |Agreement signed. |

| | |The above countries may participate in the |

| | |fields covered by the Co-operation |

| | |Agreement, once in force, and on a self |

| | |financing basis (until then, Russia may |

| | |participate as an European NIS). |

| |ANY OTHER |May participate project by project if in |

| |COUNTRY |conformity with the interests of the |

| | |Community and on a self financing basis, |

| | |only if its participation is also of |

| | |substantial added value for implementing all|

| | |or part of the specific programmes in |

| | |accordance with its objectives.. |

| |INTERNATIONAL|May participate project by project if in |

| |ORGANISATIONS|conformity with the interests of the |

| |7 |Community and on a self financing basis. |

Participation from third States and of International Organisations must

take place together with the minimum number of legal entities from the

Community and any Associated States.

1 Different rules apply for the specific programme ‘Confirming the

international role of Community research’ (except for Associated

States) and the EURATOM Framework Programme

2 According to Swiss authorities, this association agreement could

enter into force on the 1st of January 2001 at the earliest.

Meanwhile, Swiss legal entities shall be considered as those of any

other third European country.

3 An association agreement with Malta is foreseen to be negotiated

in 2000. Should this agreement be concluded, the status of Associated

State shall take precedence over any other. Meanwhile, Maltese

research entities participate to the activities of FP5 as “other

European”. They are also shown under Mediterranean Partnership. For

latest news, www.cordis.lu/fp5/src/3rdcountries.htm.

4 Turkish research entities participate to the activities of FP5 as

“other European”. They are also shown under Mediterranean Partnership.

For latest news, www.cordis.lu/fp5/src/3rdcountries.htm.

5 Andorra, Monaco, San Marino, Vatican City State (Holy See),

Faeroe Islands (DK), Channel Islands (GB), Isle of Man (GB), Svalbard

and Jan Mayen Islands (NO).

6 In the case of a country becoming associated to FP-5, that status

takes precedence over any other

7 Community funding may also be granted if it is foreseen to use

the facilities of an international organisation that are based in a

third country, should this use be essential for achieving the

objectives of the project.

Box 5 - Main milestones of the selection process

BOX 6 – Indicative Typology of Contracts

| | |NT |CONTRIBUTION | | |

| |cipa|stan|er |latio|ge |son|ble |Subc|el |umab|utin|ecti|r |rdin|ess|perf| |

| |l |t | |n |funding |nel|equi|ontr|and |les |g |on |spec|atio| |orme| |

| |or |or | | | | | | |nce | | |ledg|s |s | | | |

| | | | | | | | | | | | |e | | | | | |

|R&D project |min |yes | |FC, |FC, FF: |Yes|yes |yes |yes |yes |yes |yes |yes |yes | | |FC: (actual |

| |2 | | |FF |50% | | | | | | | | | | | |rate)x(personn|

| | | | |and |AC: 100%| | | | | | | | | | | |el) |

| | | | |AC | | | | | | | | | | | | |FF: |

| | | | | | | | | | | | | | | | | |) |

| | | | | | | | | | | | | | | | | |AC: 20%1 |

| | | | | |35 or | | | | | | | | | | | | |

| | | | | |50% | | | | | | | | | | | | |

| | | | | |AC: 100%| | | | | | | | | | | | |

|project | | | | |35% | | | | | | | | | | | | |

| | | | | |AC: 100%| | | | | | | | | | | | |

|Support for |1 | | |AC |Up to |yes| |yes |yes |yes |yes | |yes | | | |20%1 |

|access to | | | | |100% | | | | | | | | | | | | |

| | | | | UF |Up to | | | |yes | | | | | |yes| | |

| | | | | |100% | | | | | | | | | | | | |

|SME co-operative |min | | |FC, |50% |yes|yes |yes |yes |yes |yes | |yes | | |yes |(actual |

|(CRAFT) |3 | | |FF | | | | | | | | | | | | |rate)x(personn|

| |SME | | | | | | | | | | | | | | | |el) |

|Exploratory |min | | |Fixed|75%2 | | | | | | | | | | | | |

| |SME | | |t | | | | | | | | | | | | | |

| |ion | |fell|t | | | | | | | | | | | | | |

| | | |ow | | | | | | | | | | | | | | |

|Marie Curie | | |1 | | | | | | | | | | | | | | |

|Fellowships | | |ow | | | | | | | | | | | | | | |

|Developing | | |1 | | | | | | | | | | | | | | |

|Fellowships | | |ow | | | | | | | | | | | | | | |

|Community |ow | | | | | | | | | | | | | | | | |

|Thematic network|min | |yes |AC |Up to |yes| |yes |yes | |yes | |Yes | | | |20%1 |

| |1 | | | |100% | | | | | | | | | | | | |

|Training network |1 | |min.|AC |Up to | | | | | | |Yes | | | | |20%1 |

| | | |4 | |100% | | | | | | | | | | | | |

|CONCERTED ACTIONS|min | |yes |AC |Up to |yes| |yes |yes | |yes | |yes | | | |20%1 |

| |1 | | | |100% | | | | | | | | | | | | |

|Accompanying |min | | | |Up to |yes|yes |yes |yes |yes |yes |Yes |yes |yes | | |yes5 |

|measures 3 |1 | | | |100% | | | | | | | | | | | | |

|Euro conference |1 | | | |Up to |yes| |yes |yes |yes | | |yes4|yes | | |None |

| | | | | |100% | | | | | | | | | | | | |

|Technology |min | |yes | |Up to |yes|yes |yes |yes |yes |yes |yes |yes |yes | | |yes6 |

|Take-up |1 | | | |100% | | | | | | | | | | | | |

* FC = Full Costs/ FF= Full costs Fixed rate/AC= Additional Costs/ UF =

User Fee. For more information, see Box 7.

1 Direct costs, excluding subcontracting costs

2 Up to maximum of €22,500

3 For subsidies, see the Vademecum on grant management and com pv(98) 1395

4 Organisation costs (see specific Guide for Proposers Part 2)

5 Overhead is calculated as a lump sum of the personnel costs (not

exceeding 80%).

6 The eligible cost categories for each of the types of technology take-up

measures are referred to in the relevant Guide for Proposers, Part 2

7 Two alternative contracts are available respectively to the R&D and the

Demonstration. One is the “Deliverables”, by which the contribution is paid

in pre-set amounts and adjusted with the final payment on the basis of

actual costs for the whole contract. The other is the “flat rate” (for

projects estimated less than 100 000 euro) by which the contribution

consists of a fixed amount based on the estimated costs for the work.

Box 7 - Methods for the calculation of EC funding

Full cost (FC)

The participant can identify all the direct and indirect costs related to

the project. He should be able to demonstrate that his accounting system

enables the identification of those costs with sufficient precision. FC =

total direct costs + actual overhead rate.

Full costs Flat rate (FF)

The participant who may participate on a full costs basis or who can

identify his direct costs related to the project (temporary and permanent

staff) but not the indirect costs linked to the project may elect the

overhead to be charged on a flat rate basis, 80 % of the direct personnel

cost.

Additional cost (AC) - in R&D projects

Subject to the specific contract terms, the Commission shall only take into

account the project’s additional (non recurrent) costs. AC = total direct

additional costs + x% overhead on direct costs (excluding subcontracting)

(for x% see Box 6).

Additional cost (AC) - in Concerted Actions/Thematic networks and

Euroconferences

The Community funding shall only cover the direct costs necessary for the

action, however, costs for permanent staff are eligible if time records are

kept. AC = total direct additional costs + x% overhead on direct costs

(excluding subcontracting) (for x% see Box 6).

User Fee (UF)

This system is only used in the context of projects providing access to

research infrastructure. It is based on a "unit cost", which is a fixed

composite rate, for each access. Travel and subsistence costs and a flat

rate contribution for general expenses are added. The participant should be

able to demonstrate that his accounting system enables him to calculate

with sufficient precision the "unit cost". UF = ((unit cost x quantity of

access) + travel and subsistence costs) + 20% overhead.

Costs categories

A cost shall be considered as eligible only where it is necessary for and

during the project and is provided for in the contract. It shall be

reimbursed if the amount has actually been spent and recorded in the

accounts. No profit may be included.

Personnel costs: subject to the contract terms, scientific and

technical personnel; time devoted to the project shall be

recorded.

Durable equipment: subject to the contract terms, equipment shall be

reimbursed according to a depreciation period (for

computer equipment that cost less than 25.000 Euro the

depreciation period is 36 months, for all other equipment

the depreciation period is 60 months) and its use on the

project; equipment leased shall be reimbursed without

exceeding the eligible cost if it were to be purchased.

Subcontracting: external services.

Travel and subsistence: travel outside the European Union or an

Associated State needs the prior approval of the

Commission, except for visiting a participant.

Consumables: only project specific items.

Computing: only project specific items.

Protection of knowledge: subject to contract terms, only with prior

approval of the Commission

Other specific costs any cost necessary for the project, not falling

within a defined category and having received the prior

approval of the Commission

Co-ordination costs: costs for the financial/administrative

administration (personnel, travel and all other cost

categories apart from subcontracting) incurred only by the

co-ordinator - the financial/administrative co-ordinator

in case of split between scientific and administrative co-

ordinator - in order to fulfil his tasks.

Access: only for Support for access to research infrastructure; user

fee related to visiting scientist.

RTD performer only for SME co-operative research project; cost of

research performed by a non-participant.

Overheads: subject to the contract terms, either an actual rate (FC), or a

flat rate (FF) calculated on personnel costs or on the

direct additional costs (AC) excluding subcontracting, or

as a lump sum of personnel costs (Accompanying Measures).

BOX 8 - Intellectual Property Rights

The following table lists the access rights (license on a patent, other

users rights) to knowledge (intellectual property created during the

project) and know-how (pre-existing intellectual property) as a function of

the different types of actions and participants.

| |Knowledge |Pre-existing know-how |

| | |necessary for the |

| | |execution of the project|

| | |or to use its Knowledge |

| |Access |Use* |Access |Use |

| |the | |the | |

|cal | | | | | |

| | | |(1) | | |

|Project | | |for | |for |

| | | |for | | |

|Combined |Principal |In general, IPR rules for R&D projects shall be |

|R&D/ |Contractor|applied to R&D workpackages, and IPR rules for |

|Demonstrat| |Demonstration projects to Demonstration |

|ion | |workpackages. |

|Project | |If the identification of the various workpackages is|

| | |impossible, IPR rules for R&D projects shall apply |

| | |if the total EC contribution to the project as a |

| | |whole is superior to 42,5% of its total cost. If the|

| | |figure is equal or inferior to 42,5%, IPR rules for |

| | |Demonstration projects shall then be applied. |

| |Assistant | |

| |Contractor| |

| |(2) | |

|co-operati|Contractor|(3) |(3) |e |Conditions |

|ve |(SME) | |for | |for |

| |performer | | |e | |

| |(non- | | | | |

| |t) | | | | |

|Concerted |Principal |The knowledge which is suitable for dissemination |

|Action |Contractor|will be disseminated |

| |Member | |

|Networks |Principal |The knowledge which is suitable for dissemination |

| |Contractor|will be disseminated |

| |Member | |

|Fellowship|Host |The ownership of knowledge will be determined by the|

|s |Institutio|Host Institution according to the applicable law. |

| |n |The knowledge which is suitable for dissemination |

| | |will be disseminated |

| |Grant | |

| |holder | |

|Accompanyi|Principal |The ownership of knowledge will be determined |

|ng |Contractor|regarding to the Community financing level. As the |

|Measures | |case may be, use or dissemination will prevail. |

| |& in | |

| |particular| |

| |cases | |

| |Members | |

(*) Access rights to knowledge for the purpose of use are limited to

knowledge generated under the project concerned.

(1) Contractors and Assistant Contractors unable to exploit their own

knowledge might grant access rights at reasonable financial or similar

conditions, instead of royalty-free.

(2) More favourable conditions when beneficiary requests access from

its principal contractor or the other assistant contractors of the

latter.

(3) SME Contractors are the owners of all knowledge resulting from the

research work carried out by the RTD performers.

Box 9 - Key recommendations

V Eligible partners: Check first that you and your partners are eligible

for participation in the Programme (for example: your organisation must

have a registered legal existence, there are minimum consortium

conditions etc.) and also that you are eligible for the particular

activity involved (some activities may be reserved e.g. for SMEs,

organisations in particular sectors of industry….etc.)

V Specific actions and RTD objectives: Check that your proposed work does

indeed address an activity included in the current Call. Ineligible

proposals, or proposals not addressing activities open in the Call, will

be excluded from evaluation.

V Selection criteria: Any proposal evaluated below the thresholds will not

be considered for funding.

V Management: Clearly indicate ability for high quality management adapted

to the size of the project.

V Content: Good proposals show consistency with the five selection

criteria.

V Ethical issues: Clearly describe any potential ethical aspects and

applicable regulatory aspects of the research to be carried out and the

way they are dealt with according to national regulations.

V Presentation: Good proposals are drafted in a clear and easily

understandable way. Good proposals are precise and concise, not “wordy” -

evaluators judge on content, not on number of pages.

V Results: Good proposals clearly show the results that will be achieved,

and how the participants intend to diffuse or exploit these results.

V Completeness: Proposals must be complete, as they are evaluated only on

the basis of the written material submitted. Follow the format of the

Proposal Submission Form. You are highly recommended to use the ProTool

software supplied free of charge by the Commission to proposers.

V Partnership: Partners should discuss and agree beforehand their

respective roles and responsibilities.

V Contract: Check that the model contract conditions for the type of work

that you are proposing are acceptable for your organisations.

V Competition: There will be competition, and a weak element in an

otherwise good proposal might make it lose out to others. Therefore edit

your proposal tightly, strengthen or eliminate weak elements.

Last but not least:

Arrange for your draft proposal to be evaluated by experienced colleagues

before sending it, using the evaluation criteria described in the

Evaluation Manual and in Appendix 6 (PART 2). Use their advice to improve

it before submission.

Notes – PART 1

-----------------------

[i] On the 22/12/98, the Council also decided on the Fifth Euratom

Framework Programme for research and training (CORDIS :

http://www.cordis.lu/fp5/src/decisions.htm)

The specificity of the latter will be described in a separate information

document.

[ii] It will also carry out research and development activities conducted

by the Joint Research Centre

[iii] In the Decisions adopting the Specific Programmes, there can be no

derogation from the financial participation rates set out here, with the

exception of duly justified special cases

[iv][v] The rates may need to be adjusted in individual cases to comply

with the Community framework for State aid for R&D (O.J. C 45, 17.2.1996)

and with article 8 of the WTO Agreement on subsidies and countervailing

measures (O.J. L 336, 23.12.1994). If the project is supported financially

by a Member State or one of its public bodies, the cumulation rule applies,

according to item 5.12 of the above mentioned Community framework.

[vi] In the special case of legal entities which do not keep analytical

accounts, the additional eligible costs generated as a result of the

research will be financed at the rate of 100 %

[vii] EC funding up to maximum of ¬ 22,500

[viii] In the case of industrial host fellowships, this will normally

approximate to 50 % of the total eligible costs

[ix] Mored detailed informa of €22,500

[x] In the case of industrial host fellowships, this will normally

approximate to 50 % of the total eligible costs

[xi] Mored detailed information on this area are given in an explanatory

note, available from CORDIS at :

http://www.cordis.lu/life/calls/199902.htm#refdocs

[xii] The implementation modality “Support for access to research

infrastructure” should not be confused with “Support for research

infrastructures”, which is part of the programme and supports various

actions. The action “Support for access to research infrastructures” is

supported by the horizontal programme “Improving human potential”.

[xiii] European Parliament and Council Decision N° 1999/182/EC of 22

December 1998 concerning the Fifth Framework Programme of the European

Community for research, technological development and demonstration

activities (1998-2002)

[xiv] Council Decision 1999/65/EC of 22 December 1998 concerning the rules

for the participation of undertakings, research centres and universities

and for the dissemination of research results for the implementation of the

Fifth Framework Programme of the European Community (1998-2002)

[xv] Council Decisions on the specific programmes, Commission Regulation

implementing the Council Decision 1999/65/EC concerning the rules of

participation, Work Programmes of the specific programmes, model contracts,

Evaluation Manual, …

[xvi] See the Work Programme of the Specific Programme “Confirming the

international role of Community research” and its corresponding Guide for

Proposers.

[xvii] Such calls are based on Community need to support certain of its

policies (standardisation, anti-fraud actions…)

[xviii] See Vademecum on grant management and the rules for public

procurement

[xix] Experts shall be selected following a Call for candidates. However,

in exceptional cases, the evaluation process may be conducted without them.

The Commission's services shall however follow the rules set out in the

Evaluation Manual.

[xx] These include human resources, infrastructure, financial resources

and, where appropriate, intangible property.

[xxi] In certain exceptional cases by paying a fixed lump sum.

[xxii] Anywhere where it is possible for easy reading, the word

“contractor” may be used.

[xxiii] Specific rules related to their participation in this type of

action can be found in the ad hoc information brochure devoted to SMEs.

[xxiv] A single contractor is possible in the case of Concerted Actions,

Thematic and Training Networks

[xxv] A single contractor is possible in the case of Concerted Actions,

Thematic and Training Network Actions, where he carries out the co-

ordinator role.

[xxvi] This role may in exceptional cases be carried by two contractors,

with one responsible for the scientific co-ordination, and the other

responsible for financial matters (e.g.: if the scientific co-ordinator is

unable to receive Community funding due to his status, his location, his

uncertain financial standing, or because he is unable to distribute funds

to participants in due time).

-----------------------

[pic]

QUALITY OF LIFE AND

MANAGEMENT OF LIVING RESOURCES

THE FIFTH FRAMEWORK PROGRAMME

1998-2002

Страницы: 1, 2, 3, 4

МЕНЮ

Quality of life and management of living resources

ИНТЕРЕСНОЕ