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 aproposal for a programme under the Fifth Framework Programme. It will helpyou to locate the programme which is of interest to you and will providethe necessary guidance on how to submit a proposal and the forms forproposal 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 'actionlines 'or' research objectives ', which are open for proposals, and anindicative 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 proposalsand what the deadline for the proposal submission is.

The Evaluation Manual (as well as programme specific guidelines that may beincluded in Part 2 of this Guide). These documents will provide details ofwhich criteria will be used in the evaluation of proposals, which weight isattributed to each of the criteria and where appropriate the threshold tobe attained in order to be retained. You can use the evaluation manual andthe guidelines as a checklist for the completeness of your proposal.

The Guide for Proposers, including the proposal submissions forms, istogether with the Work Programme, the Call for Proposals and the Evaluation
Manual the Information Package for a Call. This Guide for Proposers alsocontains references to other documents, reports, forms and software toolswhich are of assistance in the preparation of proposals. They are availableon 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 theinformation given to proposers in the March 1999 edition. Improvements arethe 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 developmentand demonstration (hereafter referred to as "RTD") for the period 1998 -
2002.
The Fifth Framework Programme differs from its predecessors. It has beenconceived to help solve problems and to respond to major socio-economicchallenges facing the European Union. It focuses on a limited number ofobjectives and areas combining technological, industrial, economic, socialand cultural aspects.
Priorities have been chosen according to three basic principles which willapply for all levels: the Framework Programme as a whole, the Specific
Programmes implementing it and the RTD activities covered by thoseprogrammes.
European "value added" and the subsidiarity principle, for example, toreach a critical mass or contribute to solving problems of a Europeandimension,

Social objectives, such as quality of life, employment or protection of theenvironment in order to meet the expectations and concerns of the Union'scitizens,

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, ofwhich 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 theintegrated, problem-solving approach. Integration is strengthened at threelevels:
> 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 < p> 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 synergisticinteractions 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, describingthe specific activities and the various research areas. The Work Programmewill be revised regularly with the assistance of Advisory Groups ofindependent experts to ensure its continued relevance in the light ofevolving needs and developments. Potential proposers should thereforeensure they are consulting the current version of the work programme whenplanning 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", whichindicates which parts of the Work Programme will be opened, by calls forproposals, and deadline (s) involved. This provides a means of focusingattention on areas or sub-areas, thereby optimising opportunities forlaunching collaborative projects and establishing thematic networks.
The Commission will manage the Specific Programmes to ensure that links inthematic 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 inthe 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] - projectsobtaining new knowledge intended to develop or improve products, processesor services and/or to meet the needs of Community policies (financialparticipation: 50% of total eligible costs4, [v]).
Demonstration projects4 - projects designed to prove the viability of newtechnologies offering potential economic advantage but which cannot becommercialised directly (financial participation: 35% of total eligiblecosts5).
Combined R & D and demonstration projects4-projects combining the aboveelements (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 knowledgebase "- IHP Programme) actions enhancing access to research infrastructuresfor Community researchers. Support will cover maximum of 100% of theeligible costs necessary for the action.
"SME Co-operative" research projects4 - projects enabling at least threemutually independent SMEs from at least two Member States or one Member
State and an Associated State to jointly commission research carried out bya third party (financial participation: 50% of total eligible projectcosts4).
"SME Exploratory" awards - support of 75% of total eligible costs [vi] foran exploratory phase of a project of up to 12 months (eg feasibilitystudies, validation, partner search).

(b) Training fellowships

Marie Curie fellowships are either fellowships, where individualresearchers apply directly to the Commission, or host fellowships, whereinstitutions apply to host a number of researchers (financialparticipation: maximum of 100% of the additional eligible costs necessaryfor the action [vii]). See Box 2.
The decisions on the specific programmes may define specific sub types ofactions for example: the programme "Confirming the international role of
Community research "- INCO 2 - defines bursaries for young researchers fromdeveloping countries and other bursaries for researchers from the EU Member
States or Associated States as specific training fellowships. See Box 1.

- Training networks for promoting training-through-research especially ofresearchers at pre-doctoral and at post-doctoral level (these are onlyimplemented under the IHP Programme) - and thematic networks for bringingtogether e.g. manufacturers, users, universities, research centres around agiven S & T objective. These include co-ordination networks between Communityfunded projects. Support will cover maximum 100% of eligible costsnecessary 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, todisseminate results etc. (financial participation: maximum of 100% of theeligible costs necessary for the action).

(e) Accompanying measures

Actions contributing to the implementation of a Specific Programme or thepreparation of future activities of the programme. They will also seek toprepare for or to support other indirect RTD actions (financialparticipation: maximum of 100% of total eligible costs).
Each Specific Programme will not necessarily open all the above mentionedtypes of actions in all calls. Please refer to sections II and Part 2 ofthis Guide to see which actions are called for in the different programmesand calls.

I.3.3 Clusters

The cluster is a defined group of RTD projects. Its aim is to guaranteecomplementarity among projects, to maximise European added value within agiven field and to establish a critical mass of resources at the Europeanlevel.
An integrated approach towards research fields and projects financed isneeded to solve complex multidisciplinary problems effectively. Theclusters reflect this problem-solving approach. Indeed, in a clusterprojects are joined together because they complement each other inaddressing major objectives in the context of a key action or a genericactivity (sometimes even across different key actions or specificprogrammes). Clusters are expected to optimise scientific networking,management, co-ordination, monitoring, the exchange of information and, onvoluntary basis, the exploitation and dissemination activities. The clustermay thus become a natural process to generate European added value,wherever it makes sense, beyond the limited resources of an isolatedproject.
All types of projects can be assembled and integrated within a cluster,including those funded by different EU RTD activities (key action, genericactivity, 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 canreinforce synergy. Clusters will be set up through thematic networks orcomplementary clauses.

I.3.4. Gender equal opportunities

In line with the Commission's strategic approach of mainstreaming equalopportunities in all Union policies, particular account is taken in the
Fifth Framework Programme of the need to promote the participation of womenin the fields of research and technological development. Therefore womenare encouraged to participate in proposals for the above mentioned RTDactivities.

Box 1 - Bursaries for young researchers from Developing Countries

When preparing a joint research proposal1 or concerted action proposal forsubmission 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 intendedto allow young researchers from Developing Countries, including Emerging
Economies and Mediterranean Partner Countries3 to work for up to 6 monthsin a European research institute participating in a FP-5 project. Thebursaries will be granted for training activities only (eg to allow theapplicant to learn a new scientific technique or for work on a particularexperiment or set of experiments where the host institution has particularexpertise and which cannot be performed in the home institution of thecandidate).

The bursary application must be submitted together with the proposalapplication and will be evaluated together with it. Spontaneous, individualbursary applications will not be accepted. Inclusion of a bursaryapplication will neither enhance nor detract from the chances of success ofthe proposal. Only if the whole proposal is selected for funding and thebursary application is highly rated, will the bursary be granted. A poorbursary application can be rejected without harming the chances of successof the proposal.

In order to be eligible, the bursary applicant must not be more than 40years of age at the time of application, must be a national of one of theeligible countries3 and be established and working in that country andintending to return there at the end of the training period. She/he mustalso 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 theresearch project or concerted action.

Eligible bursary applications will be evaluated according to the excellenceof the scientific and/or training objectives of the application, itspotential value to the applicant and his/her institute and to the projectas a whole, as well as the experience and professional training of thecandidate.

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 begranted to cover the cost of one (apex) return fare from the place oforigin of the candidate to the host institute, and a daily allowance forthe 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 projectsand 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 orderedfrom 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 greaterprosperity, increased life expectancy and better working conditions. Theseimprovements have, however, been accompanied by challenges, such as higherhealth-care costs, an ageing population, environmental degradation andheightened ethical concerns. A gap has become increasingly evident betweenthe availability of natural resources and human activities. Paradoxically,this has occurred just as there is an "explosion" in the knowledge baseconcerning the structure and function of all living things, pointingtowards new developments in, for example, health-care, pharmaceuticals,agriculture and food.
This programme aims to unlock the resources of the living world and improvethe quality of life. To achieve this, the links between discovery,production and end-use must be consolidated. The needs of society and therequirements of the consumer are paramount and research must lead toquantifiable future wealth and job creation, while respecting theprinciples of sustainable development.

II.2. Programme strategy

The strategy of this programme is to focus on specific areas where thegrowing knowledge base should provide solutions to some of the pressingneeds of society that need to be tackled on a European scale. Fundamentalethical values must be respected.
Based on the criteria laid down for selecting the major research themes forthe Fifth Framework Programme, emphasis in this programme will be placed onthe following:
European added value. This will be achieved by addressing specific cross -border challenges, such as improving health and managing and exploitingrenewable natural resources. Themes such as drug abuse, biosafety,bioethics and issues related to agriculture, forestry and fisheries shouldreinforce the scientific base in support of Community policies. Indeed manyof the activities addressed in the programme, such as genomic research,neurosciences, infectious diseases, ageing and disabilities sustainablemanagement and utilisation of forestry resources, fish management andhuman, animal and plant diseases, due to their size and complexity, aremore meaningful if they are addressed at the European level.
Social objectives. Research must be developed which promotes health andquality of life, secures safe and wholesome food, preserves and restores ahealthy environment, stimulates rural and coastal communities, improvesresponse to consumer needs and facilitates information flow to theconsumer.
Economic development. The huge potential for economic growth and jobcreation must be realised, both in the traditional industries, includingprimary production and in the rapidly growing high technology industriesdominated by small and medium-size enterprises (SMEs). To contributeeffectively to European competitiveness and employment, results must betransferred from research into commercially successful products andprocesses. Intrinsic to this approach is the effective use ofdemonstration, training, dissemination and exploitation of researchresults, along with stimulation of innovation and entrepreneurship.

II.3. Programme structure and contents

The programme is primarily built around six specific key actions that aregoal-oriented and problem solving. The key actions are targeted atidentifiable socio-economic and market needs, such as improving quality andsafety of food; controlling infectious diseases; harnessing the power ofthe cell; health and environment; sustainable agriculture, forestry andfisheries, integrated rural development, sustainable development; andpromoting healthy ageing. A unique feature of key actions is their responseto 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 upthrough RTD the knowledge base in identified areas of strategic importancefor the future, in relation to chronic and degenerative diseases, genomes,neurosciences, public health, persons with disabilities and ethical andsocio-economic issues surrounding the life sciences. Support for researchinfrastructures, dissemination and exploitation of results, training and anincreased role for SMEs, and entrepreneurship are also an integral part ofthe programme.

The following section represents a short overview of the programmestructure and contents. Detailed objectives and RTD priorities arespecified 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 andvaried food products. RTD priorities include the development of safe andflexible manufacturing processes and technologies, the detection andelimination of infectious and toxic agents throughout the food chain, andgaining a more profound understanding of the role of food in promoting andsustaining health.

2. Control of Infectious Diseases
To combat established, emerging or re-emerging infectious diseases, linkedto old, new or mutated infectious agents in humans or animals. RTDpriorities include vaccine development; strategies to identify and controlinfectious diseases; and aspects of public health and care deliverysystems.

3. The "Cell Factory"
To help the Community's enterprises exploit the advances made in lifesciences and technology, particularly in the fields of health, environment,agriculture, agro-industries and high value-added products. RTD prioritiesinclude developing innovative health-related processes and products; energy -efficient bioremediation and waste biotreatment processes; and newbiological processes from cell factories.

4. Environment and Health
To tackle environmentally related health issues. RTD priorities includediseases and allergies related to or influenced by the environment; riskassessment and risk management processes to reduce causes and harmfulenvironmental health effects.

5. Sustainable Agriculture, Fisheries and Forestry, and Integrated
Development of Rural Areas including Mountain Areas
To implement innovative approaches to production and exploitation and toimprove the quality of life, RTD should concentrate on: Competitiveness andits direct implications for employment in rural and coastal areas,especially in light of the need to adapt to the evolution of the Common
Agricultural and Fisheries Policies, to the evolving world trade situationand globalisation of the markets, to E.U. enlargement and to the limitedavailability of natural resources; Reduction of the vulnerability of therelevant sectors through the diversification of production, taking fulladvantage of Europe's proven technological skills to develop new productsand services from natural resources; Response to societal demands for soundenvironmental practices, sustainable use of renewable resources and forproducts complying with consumer health and environmental requirements.

6. The Ageing Population and Disabilities
To mobilise research (a) in order to enhance the quality of life, autonomyand social integration of older people with an emphasis on healthy ageingand well-being in old age and (b) in order to improve quality, efficiencyand user-friendliness of care and welfare provision and to enable olderpeople to stay in their own homes. RTD priorities include age-relatedillnesses and health problems to prevent, treat or delay onset;determinantsof healthy ageing and well-being in old age; demographic andsocial policy aspects of population ageing; coping with functionallimitations in old age; health and social care services to older persons.

II.3.2. Research and Technological Development Activities of a Generic
Nature

These activities aim to reinforce the knowledge base in chosen areas ofstrategic but generic importance for the Life Sciences related to humans,animals (both terrestrial and aquatic) and plants. This is in contrast tothe mission oriented problem solving approach in the Key Actions, whichplace the emphasis on the linkage between discovery and exploitation.
Projects will be encouraged that promote interaction between basic andapplied research and that involve both the research and health sectors inorder to ensure maximum transfer of knowledge between research and itsusers, including industry. The networking of projects will also be promotedin order to create a critical mass for optimum exploitation of results.

The generic research activities are:
7. Chronic and Degenerative Diseases, Cancer, Diabetes, Cardiovascular
Diseases and rare Diseases
8. Research into Genomes and Diseases of Genetic Origin
9. Neurosciences
10. Public-health and Health-services Research (including drug-relatedproblems)
11. Research relating to Persons with Disabilities
12. Bioethics
13. Socio-economic Aspects of Life Sciences and Technologies

II.3.3. Support for Research Infrastructures

Within the QoL Programme, the term "research infrastructures" refers tofacilities and resources that provide essential services to the researchcommunity in the life sciences [viii]. The objectives of the Programme insupporting research infrastructures (in this action line as well aselsewhere in the Programme where research infrastructures are supported)are: (i) to encourage the optimum use of Europe's research infrastructures,notably by fostering transnational cooperation in their rational and cost -effective use and development and, in conjunction with the QoL system of
Marie Curie Fellowships, by broadening access to these infrastructuresparticularly for young researchers; (ii) to improve the European-wideconsistency and complementarity of these infrastructures and theircompetitiveness at world level; and (iii) to help improve the quality anduser-orientation of services offered to the European research community.
The role of the Programme's activities in support for researchinfrastructures is to add value at the European level in the context thatthe construction and operation of research infrastructures is theresponsibility of national authorities.
This particular action of the QoL Programme will provide support forresearch infrastructures in the following fields: biological collections,biological information resources, clinical research facilities, pre -clinical research facilities, facilities for aquaculture and fisheryresearch.
It should be noted that the QoL Programme will not provide support fortasks that involve the construction and routine operation of researchinfrastructures, nor for the collection of data (unless the collection isan integral component of the research in an infrastructure RTD project).
The cost of activities aimed at stimulating the introduction and use oftrans-European broadband communication networks for research will howeverbe considered eligible.

II.4. Synergies with other programmes

Interactions with horizontal activities and across programmes are describedin Annex 3 of the Work programme.

II.5. Implementation of the programme

II.5.1 Types of Calls for Proposals

The following types of Calls for proposals are envisaged:
Periodic calls: These will be open for the submission of proposals for RTDprojects and related activities, within a defined scope and with fixeddeadlines, to be specified in the Official Journal of the European
Communities and outlined in the indicative timetable for programmeimplementation.
Open calls: Calls for SME specific measures (exploratory awards and co -operative research), support for Research Infrastructure (thematicnetworks, concerted actions and RTD projects), training, internationalinitiatives and accompanying measures, will be launched at the start of theprogramme and remain open until the last year of the Fifth Framework
Programme. Periodic evaluations will be carried out at least twice a year.
Dedicated calls: These will be published in the Official Journal normallyonce or twice per year and be limited to a number of very specific topicsand/or activities. The Commission may also publish a request for interestedparties (Expression of Interest/Needs) to suggest ideas for activitiesthat could be included.

II.5.2 Implementation Modalities ( "Types of actions")

The "Quality of Life and Management of Living Resources" programme isimplemented through the following types of actions:

1. Shared-cost actions, excluding "Support for access to researchinfrastructures "[ix]

2. Concerted actions

3. Thematic networks

4. Marie Curie Training Fellowships

5. Accompanying measures

6. INCO bursaries
In addition to these types of action, the Quality of Life programmeencourages the submission of "Cluster" proposals, which are essentially acluster of sub-projects ( "component" projects).
Details of the different types of actions ( "implementation modalities") andcluster proposals are given in Section IV.2 of Part 2 of this Guide.
The types of actions that will be funded and the research areas coveredwill vary from call to call. Please refer to details of the specific callspublished in the Official Journal and Part 2 of the "Guide for Proposers",which will give you further, call specific, information, including adetailed description of the types of actions supported.

II.6. References

III. Participation in activities in the Fifth Framework Programme

This section describes the conditions of participation in activities withinthe Fifth Framework Programme, the process whereby the Commission selectsamong the proposals submitted to it, and the manner in which selectedprojects should be carried out.
It is based on the Annex IV of the decision on the Fifth Framework
Programme [x], the decision on the rules of participation [xi], and othersubsequent texts or documents [xii].

III.1. The participants

III.1.1. Who?

The Framework Programme, with its corresponding financial support, is opento all legal entities established in the Member States of the European
Union - e.g. individuals, industrial and commercial firms, universities,research organisations, etc. including SMEs. The Programme is also open toall legal entities established in any of the other States associated to the
Programme (see box 4).
Participation and financing for legal entities established in othercountries ( 'third countries') is governed by common conditions which areapplied throughout the Fifth Framework Programme (see boxes 3 and 4), withthe exception of the Programme 'Confirming the international role of
Community research 'under which some entities are entitled to receive
Community funding depending on their country of origin [xiii].

III.1.2. How many?

Proposals submitted to the Commission should demonstrate a Communitydimension. As a general rule, this means that they should involve at leasttwo legal entities, independent of each other, and established in twodifferent Member States, or one Member State and one Associated State. (The
Joint Research Centre of the European Commission is considered as aparticipant of a Member State).
However, certain actions may vary from this general rule - either byrequiring 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 legalcategories, according to the type of activity proposed and the nature of aparticipant'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 certainparts of a Specific Programme's Work Programmes for proposals, indicatingwhat types of actions (RTD projects, Accompanying measures etc.) areexpected. In addition to those with a fixed closing date, the Commissionwill open certain Calls on a longer 'open' basis, with periodic evaluationof 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 severalresearch themes, areas, sectors, action lines, objectives, topics. In orderto ensure co-ordination among the Specific Programmes, common Calls may bepublished. The objectives to be achieved may also be fully detailed, forexample in the case of key actions or dedicated calls [xiv].
Proposals submitted under a Call shall be subject to a selection processpresented in section III.4.
Certain Accompanying Measures may however be based on spontaneousapplications or on a call for tender, and shall therefore be subject to adifferent process [xv].

III.2.2. Submission

Participants should complete the appropriate Proposal Submission Formcorresponding to the type of action involved, preferably using the softwaretool 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 generalrecommendations, provided in box 9, may be helpful. Participants have thechoice to submit proposals either electronically or on paper.
Submission takes place in the following steps, which are detailed in Part 2of this Guide.

III.3. Proposal evaluation

III.3.1. General principles

The evaluation of proposals will be based on the fundamental principles oftransparency and equality of treatment. The entire selection process andthe description of the criteria by which the proposals will be evaluatedare 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 relevantexpertise, without linguistic or geographic bias. Proposers 'confidentiality will be fully respected, both to avoid conflicts ofinterest 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, toensure they conform to the requirements of the Call, of the submissionprocedure and of the rules for participation.
Only proposals that conform to these requirements will be subject toevaluation.

III.3.3. Evaluation

Proposals will be evaluated according to criteria grouped into fivecategories, as laid down in the Work Programme applicable to the relevantcall. The content and the respective weighting of the criteria aredescribed in the Evaluation Manual. Programme specific information onevaluation may also be explained, if appropriate, in Part 2 of this Guide.
Ethical aspects and safety aspects have to be taken into account in theprocess.
The experts examine proposals individually, then meet as a panel to agree aranking. At this stage, they may recommend that certain proposals should becombined 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. Thislist will take into account the budget available (which has been set out inthe call for proposals) plus, if necessary, a percentage of the call budgetto allow for withdrawal of proposals and/or savings to be made duringcontract finalisation. Late or ineligible proposals, those of inadequatequality or for which there is not adequate budget will be subject to a "non -retained "decision by the Commission. This information, with the mainreason 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 notifiedin 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 tothe proposers via the proposal co-ordinator. Further administrative andfinancial information will be required to assess the viability of theproposed project.
Hence, participants will have to demonstrate that they have all thenecessary resources [xvii] needed for carrying out the project. The
Commission will check these, and may seek to safeguard its interest byasking for a bank guarantee or by other measures.
The Commission may also propose modifications to the original proposalbased on the result of the evaluation, or in terms of grouping orcombination with others.
On successful conclusion of these negotiations, the Commission will thenoffer contracts for the commencement of work, based on a timetabledetermined by the needs of the Specific Programme concerned.
Any proposal, which is finally not taken up, due to a lack of availablefunding for example, will be subject to a "non-retained" decision by the
Commission. This information, with the main reason for non-retention, willbe 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. Theyeach have their own detailed conditions, appropriate to the types of actionand 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 tocompletion in a pre-arranged period, and to make use of or disseminate itsresults.
In return, the Commission undertakes to contribute financially to therealisation of the project, normally by reimbursing a certain percentage ofthe project costs [xviii].

III.5.3. Rights and obligations of participants

These may vary according to the nature of the action or the category ofparticipant:
. 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 agreementsnecessary to the completion of the work, provided these do not infringe ontheir 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 principalcontractors 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 projectdeliverables, and for distributing the funds received from the Commission.
The costs incurred by the co-ordinator in the fulfilment of hisresponsibilities can be claimed as direct or indirect costs (see boxes 6and 7).
It should be noted that the successful management of the project is a jointcommitment of all the participants. They may however agree amongstthemselves to confer upon the co-ordinator additional responsibilities,provided this does not infringe on their obligations as stated in thecontract they sign with the Commission.

III.5.5. Subcontractors

Sub-contractors are not participants in a project. Their function is onlyas service providers to a principal contractor, an assistant contractor ora member, who fully funds their activity. The costs are then reimbursableby the Commission according to the rules of the contract in force.
Sub-contractors make no financial investment in the project, and theytherefore do not benefit from any intellectual property rights arising fromits 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 finalreports as well as reports of costs incurred.
These reports will be analysed by Commission services in the light of thecriteria, which led to the original selection of the proposal This willensure the project conforms to the conditions associated with the Communityfinancial contribution, and that the progress foreseen actually takesplace. The reports are also used to assess whether and in what manner theproject 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 takesthe form of a lump sum payment, the Commission reimburses eligible costsincurred by participants as the project progresses. Payment is made ininstalments at regular intervals.

III.7.1. Incurred eligible costs

Participants are required to identify and declare their eligible costs bythe submission of interim and final cost statements based on the actualcosts incurred for the execution of the project. Participants must retainsupporting documents, which justify these costs, for at least 5 years fromthe end of each payment, to permit auditing by Commission services or otherinstitutions, e.g. the European Court of Auditors.
The different categories of costs that are eligible for Commission fundingdiffer 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 capacityto 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 areused: full cost actual overhead (FC), full cost flat rate (FF) andadditional cost (AC).
For Accompanying Measures, one calculation method is used for allparticipants. The overhead may be calculated as a flat rate of thepersonnel 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 theadditional cost model (AC), so overheads are calculated as 20% of alldirect costs (except subcontracting).
Use of permanent staff is allowed for all types of organisations ifaccurate time records are kept.

III.7.3. Payment of the contribution

The Community contribution is paid in Euro, in a number of regularinstalments based on cost claims submitted by participants with theirinterim and final reports.

The Commission may make advance payments at the beginning of the project,contingent on verification of the participants 'financial standing. Incertain circumstances the Commission may request financial or otherguarantees to ensure the security of any advance payment made. This isparticularly necessary for those shared-cost actions where the participantsthemselves 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 Memberand Associated States. The National Contact Points can be helpful toorganisations from their country in finding partners from other countries,and in assisting in procedural or administrative matters. There are anumber 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 questionsconcerning the Call not covered in this document nor in the materialavailable at the programme web site may be directed to the Infodesk, whoseaddress is included in the Call specific information in the Guide Part 2.
The Infodesk will post any last-minute information concerning the Call onthe programme website, which potential proposers should check periodicallyfor this reason.
The certification service provider has established an EU-wide supportnetwork for proposers in the national languages. Details are given on theweb page relating to this service (http://www.fp5.csp.org).
The Commission may organise "Info-days", to disseminate information aboutthe Fifth Framework or a particular Call, and also to provide an occasionfor 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 inparticular to support partner search activities. It also contains detailsof organisations which have already expressed an interest in participatingto the different programmes under the Fifth Framework Programme.
In addition, the CORDIS website offers targeted information concerning bothimplementation modalities of the specific programmes as well as financialand 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 tothe key action 'Improving the socio-economic knowledge base', researchersshould be aware that it is also open to participation by entities from non-
EU countries and to international organisations. The opening falls intothree categories and in all cases, the third country/internationalorganisation participant must be included as a participant in the originalproposal submitted:

(i) Countries associated to FP-5: For each of these countries, institutionsmay participate and be funded, with similar rights and responsibilities to
EU Member State participants, once the Association Agreements come intoforce (see box 4).

(ii) Project by project participation: This participation will be on a self -financing basis and this option is open to all non-associated Europeancountries, to Mediterranean partner countries, to countries with which the
EU has an S & T Agreement, and to international organisations, as long as theparticipation is in conformity with the interest of the Community.

(iii) All other countries: For countries not covered by the abovecategories, participation in FP-5 projects on a self-financing basis willbe possible if the participation is in conformity with the interest of the
Community and is of substantial added value for implementing all or part ofthe specific programme. The interest of the Community and the substantialadded value must be clearly indicated in the proposal.

The conformity with the interests of the Community will be assessed withparticular regard to the contribution to one or more of the following (aslaid down in Council Decision): the needs of other Community policies insupport of which the RTD actions are carried out; providing appropriateincentives for maintaining and creating jobs in the Community; promotingsustainable development and improving the quality of life in the Community;strengthening the international competitiveness ofCommunity industry; theexistence of S & T co-operation agreements between the Community and thirdcountries or international organisations.

Substantial added value may refer for example to cases where the thirdcountry participant is a generally recognised, top-level specialist in thefield of the proposal or has access to unique resources which are of greatimportance to the project but which are not available in Europe, or wherethird country participant offers the prospect of opening new markets forthe European participants.

In exceptional cases, Community financing for the third country participantor international organisation may be provided by the programme if it isessential for achieving the objectives of the project1, ie if thecontribution of the participant cannot be provided by any other means andthe 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 financialsupport to those entities where their participation is beneficial andoffers 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

Participation from third States and of International Organisations musttake 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 theinternational role of Community research '(except for Associated
States) and the EURATOM Framework Programme

2 According to Swiss authorities, this association agreement couldenter into force on the 1st of January 2001 at the earliest.
Meanwhile, Swiss legal entities shall be considered as those of anyother third European country.

3 An association agreement with Malta is foreseen to be negotiatedin 2000. Should this agreement be concluded, the status of Associated
State shall take precedence over any other. Meanwhile, Malteseresearch entities participate to the activities of FP5 as "other
European "