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Energy, environment and sustainable developmentGuide for proposers – part 2 October 2000

THE FIFTH FRAMEWORK PROGRAMMEThe Fifth Framework Programme focuses on Communityactivities in the field of research, technological developmentand demonstration (RTD) for the period 1998 to 2002.

Energy, environment and sustainableDevelopment

Part B, Energy Sub-programme

GUIDE FOR PROPOSERS

PART 2

Calls for Proposals published in October 2000Energy 4th and 5th CallsEnergy Open Call

October 2000 Edition

This edition incorporates changes arising from the Work Programme Update: October 2000, introducing Target Actions, and Priorities of Strategic Importance to the EU, and a distinction between Short-term and Medium-to-Long-term RTD.


IMPORTANT NOTES :

The Energy Work Programme Update (edition October 2000) covers the ongoing Open Calls and the Fixed Calls launched in October 2000 for budgets 2001 and 2002 and should be read in conjunction with the Work Programme of March 2000 edition (neglecting the roadmaps).

A new version of the FP5 Manual of Proposal Evaluation Procedures (the FP5 Evaluation Manual) was adopted by the Commission on July 14, 2000. There are two important changes made to the procedures for checking the eligibility of proposals received, which should be noted by all potential participants :

Proposals submitted on paper must be received by the Commission at the address specified in the call text on or before the applicable deadline. The above constitutes a change with respect to the previous calls. DEADLINES NOW APPLY TO RECEIPT BY THE COMMISSION.

It is no longer necessary for the Commission to be in receipt of original signatures of the proposal partners and/or the proposal coordinator at the proposal stage. Copies of complete signed proposals will now be accepted.

Other changes do not necessarily apply across all programmes.

These provisions should apply to all calls published after the July 14, 2000 as well as the open calls already published as from September 30, 2000. The new version of the Evaluation Manual is available on Cordis at the following address : http://www.cordis.lu/fp5/src/evalman.htm

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Foreword

The Guide for Proposers is part of the information necessary to make a proposal for a programme under the Fifth Framework Programme. It will help you to locate the programme which is of interest to you and will provide the necessary guidance on how to submit a proposal and the forms for proposal submission. It is divided into two main parts and four sections.

PART 1Section 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 Energy, Environment and Sustainable Development.

Section III outlines the main rules, which define who may participate in the Fifth Framework Programme, and the general conditions for this participation.

PART 2Section IV provides detailed information for the calls for proposals for the Energy, Environment and Sustainable Development – Part B: Energy, as well as proposal submission forms.

The additional documents you will need to prepare a proposal are:The Work Programme for the Specific Programme for which you are applying. The Work Programme provides the description of the content of the 'action lines' or 'research objectives', which are open for proposals, and an indicative timetable for programme implementation (“roadmap”).

The Calls for Proposals as published in the Official Journal of the European Communities. This will tell you which 'action lines' or 'research objectives' are open for proposals and what the deadline for the proposal submission is.

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

The Guide for Proposers, including the proposal submissions forms, is together with the Work Programme, the Calls for Proposals and the Evaluation Manual the Information Package for the Calls. This Guide also contains references to other documents, reports, forms and software tools which are of assistance in the preparation of proposals (they are available on Cordis, www.cordis.lu).

This Guide for Proposers does not supersede the rules and conditions laid out, in particular, in the Council and Parliament Decisions relevant to the Fifth

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Framework Programme, the various Specific Programmes nor the Calls for Proposals of these Programmes.

Table of Contents

IV. SPECIFIC INFORMATION FOR THE ENERGY, ENVIRONMENT AND SUSTAINABLE DEVELOPMENT PROGRAMME - PART B: ENERGY 4TH, 5TH & OPEN CALLS PUBLISHED IN OCTOBER 2000. 5

IV.1 INTRODUCTION 5IV.2 TYPES OF ACTIONS 8IV.3 PROPOSAL PREPARATION 9

IV.3.1 Proposal language 9IV.3.2 Proposal structures and submission forms 9IV.3.3 Proposal preparation Tool (Pro-Tool) 10IV.3.4 Proposal anonymity 11IV.3.5 Optional pre-proposal check 11IV.3.6 Notification of intention to propose 11

IV.4 SUBMISSION OF PROPOSALS 11IV.4.1 Introduction 11IV.4.2 Submission modalities (please, see also check-list in section IV.9) 11IV.4.3 Acknowledgement of receipt 13

IV.5 DEADLINES 14IV.6 DELIVERY OF PROPOSALS 14IV.7 SUPPORT FOR PROPOSERS 14

IV.7.1 EESD: Part B - Energy Information desk 14IV.7.2 Partner search facilities 15IV.7.3 National Contact Points 15IV.7.4 Programme Information days 15IV.7.5 Other help facilities: the Intellectual Property Right-Helpdesk 15

IV.8 REFERENCES ON LINE 16IV.9 CHECK-LIST FOR SUBMISSION (RTD, DEMONSTRATION AND COMBINED PROJECTS, THEMATIC NETWORKS, CONCERTED ACTIONS AND ACCOMPANYING MEASURES) 17

V. KEYWORDS TO BE USED IN THE PROPOSAL APPLICATION FORM A1 18

ANNEX 1 – ACKNOWLEDGEMENT OF RECEIPT FORM 20

ANNEX 2: PRE-PROPOSAL CHECK FORMS AND GUIDELINES 21

- APPENDIX 1: APPLICATION FORMS 25

- APPENDIX 1A - PROPOSAL SUBMISSION FORMS FOR SHARED COST ACTIONS:RESEARCH, DEMONSTRATION AND COMBINED PROJECTS 26

- APPENDIX 1B - PROPOSAL SUBMISSION FORMS FOR ACCOMPANYING MEASURES39

- APPENDIX 1C - PROPOSAL SUBMISSION FORMS FOR CONCERTED ACTIONS/THEMATIC NETWORKS 46

- APPENDIX 1D – PROPOSAL SUBMISSION FORMS FOR INCO BURSARIES 56

- APPENDIX 1E – SPECIAL CONDITIONS FOR THE INCO PROGRAMME 56

ANNEX 3 EVALUATION FORMS 57

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IV. Specific information for the Energy, Environment and Sustainable Development Programme - part B: Energy4th, 5th & Open Calls published in October 2000.

IV.1 Introduction

This section details the procedure required for the 4th and 5th “fixed deadline” periodic calls and the continuously open call for proposals under the Energy, Environment and Sustainable Development programme-part B: Energy. This Guide provides detailed information on those actions implemented through the fixed deadline Calls : research, demonstration and combined activities, Thematic Networks and Concerted Actions as well as bursaries for young researchers from developing countries (INCO bursaries), and through the Open Call for Accompanying Measures and RTD Activities of a Generic Nature. Other Guides for proposers give corresponding details for Training Fellowships and SME measures.

A new approach has been adopted for the implementation in 2001 - 2002 of all Energy sub-programme activities, based upon three main elements :

- concentration of a substantial fraction of the programme budget (approximately 60%) around a core set of Target Actions which are designed to facilitate the emergence of solutions with a measurable impact, high profile and direct relevance to EU policy objectives; Target Actions integrate multidisciplinary and multi-sectorial activities involving, wherever possible, private-public sector partnerships and end-users from the business, industrial and policy-making sectors;

- identification of a limited number of priorities of strategic importance to the EU, at least one of which should be addressed by proposals related to any of the topics of the Work Programme, to which the remaining 40% of the programme budget are allocated;

- A clear differentiation between proposals addressing problems that can be solved and technologies that can be used within the short time-frame (less than five years), and proposals which address problems and technologies within the medium-to-long time-frames (more than five years). For more details about the distinction between short and medium-to-long time-frames, please refer to the Energy, Environment and Sustainable Development (EESD) - part B: Energy Work Programme Update: October 2000.

This time-frame distinction between short and medium-to-long is applicable to all indirect RTD actions supported within the programme, i.e. shared-cost actions comprising fundamental research, industrial research and demonstration, including technology stimulation for SMEs and research infrastructure; co-ordination activities including concerted actions and thematic networks; “Marie Curie” training fellowships and accompanying measures. The budgetary appropriations will be split accordingly: half of the budget is allocated to the activities focused on short-term issues, and the other half to the activities focused on medium-to-long-term issues.

The time-frame distinction does not imply that all problems that can be solved in the short-term are necessarily associated with demonstration projects nor that long-term issues are necessarily associated with research projects : the distinction applies to the type of solutions that will be delivered and not to the type of indirect RTD actions that will be used.

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Calls for Proposals

There are three distinct Calls for Proposals, and the Fourth and Fifth Calls are themselves each divided into 4 Call parts :

Fourth Call for Proposals for medium-to-long-term indirect RTD actions

Call part identifier

Scope Indicative Deadlines

Type of Actions

ENERGIE4-T1 Target Actions G to L *** : Medium-to-long-term problems 9 Feb 2001* Research,

Demonstration, Combined, Concerted Actions & Thematic Networks

ENERGIE4-G1 Medium-to-long-term problems for all Thematic Priorities **

ENERGIE4-T2 Target Actions G to L*** : Medium-to-long-term problems 14 Dec 2001*

ENERGIE4-G2 Medium-to-long-term problems for all Thematic Priorities **

* at 17.00 Brussels local time** taking account of the strategic priorities laid out in the Work Programme Update : October 2000*** see the next section for the definition of each Target Action

Fifth Call for Proposals for short-term indirect RTD actions

Call part identifier

Scope Indicative Deadlines

Type of Actions

ENERGIE5-T1 Target Actions A, C, D & F : Short-term problems *** 15 Mar 2001* Research,

Demonstration, Combined, Concerted Actions & Thematic Networks

ENERGIE5-G1 Short-term problems for all Thematic Priorities **

ENERGIE5-T2 Target Actions A, B, C & E : Short-term problems *** 14 Dec 2001*

ENERGIE5-G2 Short-term problems for all Thematic Priorities **

New Open Call for Proposals for short- and medium-to-long-term indirect RTD actions.

Call identifier Scope Indicative Cut-off dates

Type of Actions

ENERGIE-OPEN For all Thematic Priorities ** 9 Feb 2001*14 Dec 2001*

Accompanying Measures, RTD activities of generic nature, Training Fellowships

15 Mar 2002* Accompanying Measures only

17 Jan, 18 Apr 2001*

SME Measures Exploratory Awards

17 Jan, 18 Apr, 19 Sept 2001 and 16 Jan, 17 Apr 2002*

SME Measures Co-operative Research

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In order to ensure the most appropriate evaluation, the proposer therefore needs to consider carefully to which Call or Call part to address the proposal on the bases of :

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does the type of action fit into the Open Call (for Accompanying Measures, RTD activities of generic nature, Training Fellowships and SME measures) or the fixed deadline calls (for Research, Demonstration and Combined proposals, Concerted Actions and Thematic Networks)?

does the subject of the proposal fit into either the short-term or the medium-to-long term? does the subject of the proposal fit into either a Target Action or into the rest of the Work

Programme? for which deadline the proposal is intended : February 2001, March 2001, December

2001, or (for Accompanying Measures only) the final March 2002 deadline, or the particular deadlines for SME measures?

Proposers are reminded of the following extract from the Call texts : “In particular, the same proposal must not be submitted to a Target Action and a General Call with the same deadline. In any such case, the Commission reserves the right to evaluate only one of the submissions under the Call which the Commission considers the more appropriate and to declare the other proposal ineligible.” In this regard, a proposal to the Fourth or Fifth Call addressing a subject which fits within a Target Action should be submitted to the Call part identifier for that Target Action, not to the General Call part identifier.

In case a proposal is erroneously submitted, the Commission services will endeavour to transfer the proposal to the next available Call or Call part where it fits best and therefore stands the most chance of a favourable evaluation.

The full texts of the Calls for Proposals can be consulted in the Official Journal and can also be down-loaded from the EESD web-site http://www.cordis.lu/eesd/calls/calls.htm

Target Actions

There are six Short-term Target Actions and six Medium-to-Long-term Target Actions :

Short-term Target Actions

A. Fuel Cells and H2 : Application Driven Fuel Cells B. Biomass for the production of heat and electricity : Bio-Electricity C. Integration of RES and distributed generation of energy systems : Sustainable

Communities D. Rational Use of energy : Clean Urban Transport E. Rational Use of energy : Eco-Buildings F. Clean Power Generation : Gas Power Generation

Medium to Long-term Target Actions

G. Fuel Cells and H2 : Fuel Cells & H2

H. Biomass for the production of heat and electricity : Bio Energy I. Integration of RES and distributed generation of energy systems : Integration J. Rational Use of energy : Cleaner Fuels for Transport K. Storage of Energy: Storage L. Photovoltaics: PV

Priorities of strategic importance to the EU

These priorities apply particularly to proposals responding to the General parts of the Fourth Call (Call part identifiers ENERGIE4-G1 and ENERGIE4-G2) and Fifth Call (Call part identifiers ENERGIE5-G1 and ENERGIE5-G2). i. Management of green house gases (GHG) emissions and climate change

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ii. Exploiting the potential of new ICTs in energy RTD including e-science issues iii. Socio-economic research related to energy technologies and their impact iv. International co-operation, co-ordination with Member States research programmes

and EU wide research networks v. Pre-normative research of interest at EU level

Full details of the Target Actions and the priorities of strategic importance to the EU are given in the Energy, Environment and Sustainable Development (EESD) - part B: Energy Work Programme Update: October 2000.

IV.2 Types of actionsThe above mentioned Periodic Calls invite submission of proposals for the following types of actions:

RTD, demonstration and combined projects: these are carried out by industrial or service organisations, universities or research centres and are aimed at strategic objectives with significant potential for socio-economic and industrial impact. These need to respond to the objectives specified in the calls, which are themselves based on the Energy, Environment and Sustainable Development (EESD) - part B: Energy Work Programme Update: October 2000.

Thematic Networks and Concerted Actions are designed to facilitate networking of organisations, co-ordination of RTD activities and exchange and dissemination of knowledge so as to optimise research efforts, reach critical mass, and enhance impact at European level. They bring together industry, universities, research centres, users, research infrastructures, and other relevant stakeholders around a common S&T objective related to the priorities of the programme. Please note that Thematic Networks and Concerted Actions cannot provide funding for RTD activities. Funding is intended to support co-ordination.

-Thematic Networks are used:a) to co-ordinate a group (or “cluster”) of projects funded at Community or national

level;b) to establish and develop networking activities other than those defined above,

-Concerted Actions are used for the co-ordination of research activities already funded within individual Member states, in order for instance to channel efforts efficiently, to exchange and complement experience, to disseminate results.

Thematic Network and Concerted Action proposals also need to respond to the objectives specified in the calls, which are themselves based on the Energy, Environment and Sustainable Development (EESD) - part B: Energy Work Programme Update: October 2000.

INCO Bursaries: when preparing a research proposal, an application can be made at the same time for support of a young researcher from a developing country to work up to 6 months in a European research institute participating in the project.

Proposals must address the research objectives listed in the relevant periodic call part and detailed in the EESD - part B: Energy Work Programme Update: October 2000. Proposals corresponding to other parts of the Work Programme than those opened by the relevant periodic call part will not be evaluated.

The continuously Open Call for Proposals for RTD actions under the specific Programme for Research, Technological Development and Demonstration on EESD-part B: Energy, includes the following types of activities:

RTD activities of generic nature

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SME measures:a. SME Exploratory Awardsb. SME Co-operative Research

Traininga. Individual fellowshipsb. Host fellowships

Accompanying measures (including OPETS where applicable).

The indicative budgets and the cut-off dates are given in the Energy, Environment and Sustainable Development (EESD) - part B: Energy Work Programme Update: October 2000.

Details on the types of actions listed above are provided in the Guide for Proposers Part 1, and in the above-mentioned Work Programme, as well as in the EESD web-site: http://www.cordis.lu/fp5/src/t-4.htm

Partnerships should include the stakeholders relevant to the development and ultimate implementation of the RTD results. This includes research centres and universities, product or technology developers, component and material providers, service companies, industrial users, policy makers, regulatory and standardisation authorities and consumer organisations. SME participation in partnerships is particularly encouraged.

Proposers are normally free to define the time scale and resources required to carry out their proposed work unless guidelines are supplied in the call for proposals or the work programme, depending on the type of activity to be carried out.

IV.3 Proposal preparationIV.3.1 Proposal language

Proposals may be submitted in any official language of the European Union. If your proposal is not in English, a translation of the full proposal would be of assistance to the evaluators and an English translation of the abstract and proposal summary should be included in part A of the Proposal Submission Form.

IV.3.2 Proposal structures and submission forms

Forms have been prepared which collect the information required for each proposal - the Proposal Submission Forms. These are designed both to ensure that all necessary information is collected and also to allow a fair and equal comparison between proposals. There are several versions, differing according to the types of action proposed (RTD projects – including research, demonstration and combined projects, Thematic Networks, Concerted Action, Accompanying measures, etc.). Proposers must ensure they are using the appropriate form for the type of action.

The Proposal Submission Forms for research, demonstration and combined projects come in three parts. - Part A collects necessary administrative information about the proposal and the

proposers (e.g. proposal name, proposers’ names and addresses, brief description of the work, total funding requested by type of expense etc.). This information is subject to verification by the Commission services.

- Part B (which unlike Part A is in the form of a structure or list of topics which should be followed, rather than a pre-prepared form) describes in detail the nature of the work

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http://www.cordis.lu/fp5/src/t-4.htm


which will be undertaken. This section must normally be “anonymous”, that is to say, it may contain no information which reveals the identity of participants. For Energy related proposals anonymity is not required. Nevertheless, if anonymity is not respected it may cause problems if the proposal has to be transfered to another more appropriate programme, where anonymity is required.

- Part C identifies and describes fully the partners and their role in the consortium and in the proposed project. It also describes the European added value, the contribution to EU policies and social objectives, prospects for scientific technological and economic development, the resources, partnership and management of the project; and the exploitation and/or dissemination plans.

Proposers are reminded that for a proposal to be eligible, all Parts must be fully completed.

For research or a demonstration projects, the proposers need to make only one proposal description.

For combined projects (research and demonstration), the general rule is that the proposal should be made in two parts, one describing the research and one covering the demonstration. The proposing consortium must in this case make two separate descriptions of part B and C and also two A4 cost sheets, one for each part. In the cases, where it is impossible to separate clearly the research and demonstration parts of the proposal, the consortium may write one proposal description, but, in any case, the form A4 “Cost summary” must clearly reflect the percentage of funding corresponding to the research and the demonstration respectively.

There are special forms for INCO bursaries (Bursaries for young researchers from developing countries) which can be requested in conjunction with an RTD, demonstration and combined proposal: Part A provides administrative information, while Part B provides a description of the bursary as well as the Curriculum Vitae of the applicant.

The Proposal Submission Forms for Accompanying Measures, Concerted Actions and Thematic Networks are similarly divided into Parts A, B and C. The anonymity requirements for Part B are the same as for research, demonstration and combined proposals.

The form for acknowledgement of receipt, provided in Annex 1, must be attached to the proposal in order to ease confirmation of receipt of the proposal.

IV.3.3 Proposal preparation Tool (Pro-Tool)

The Commission has prepared a software tool (the Proposal Preparation Tool or “ProTool”) which is available on CORDIS : http://www.cordis.lu/fp5/protool/. This tool helps proposers to prepare the administrative and financial information of a proposal (part A) in conformity with the appropriate Proposal Submission Form. This tool is therefore used by the Co-ordinating Partner. A version of the tool is also available for participants, allowing them to prepare their contribution electronically for electronic communication to the Co-ordinating Partner.

ProTool includes help-texts and references, as well as assistance in making the forms complete and consistent and assembling part A with part B and C. Its use supports proposers as well as the Commission services with high quality and efficient entry of administrative data.

Once the proposal has been prepared with the tool, it may be sent either electronically or on paper, as preferred by the proposers.

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IV.3.4 Proposal anonymity

Research, demonstration and combined projects, Accompanying Measures, Thematic Network and Concerted Actions: the general rule for the FP5 Thematic Programmes is that Part B of the proposal must normally be anonymous. In this part, which contains the description of the work content of the proposed project, there must be no reference to the names of the organisations involved in the consortium or any information by which they may be identified, including proposers' names in bibliographic references (those could be in part C of the forms). Participants must be referred to by the codes and numbers assigned in the Proposal Submission Form Part A, sheet A3.

For EESD - Part B: Energy proposals anonymity is not required. Nevertheless, if anonymity is not respected it may cause problems if the proposal has to be transfered to another more appropriate programme, where anonymity is required.

IV.3.5 Optional pre-proposal check

The Commission services offer a pre-proposal check to give advice to all proposers on the eligibility of consortia and on whether the proposed work is within the scope of the current call. In view of the innovative approach adopted for programme implementation in 2001-2002, with the clear differentiation between short and medium-to-long time-frames, the separate General and Target Action call parts, and the priorities of strategic importance to the EU, proposers are strongly recommended to make use of this service which is beneficial to the preparation of all proposals and to obtain guidance as to which call part their proposals would be best suited. Forms and detailed instructions can be found in Annex 2. Requests for pre-proposal checks can be received by the Commission up to 6 weeks before the closing date of the call.

IV.3.6 Notification of intention to propose

As far as the EESD programme - part B: Energy is concerned, a notification of intention to propose is not required.

IV.4 Submission of proposals IV.4.1 Introduction

If the proposal has been prepared on paper following the format given in the appropriate Proposals Submission Form, it may be submitted on paper to the European Commission. If the proposal is made with the Pro-Tool and is then printed out on paper, this paper version may also be submitted.

If the proposal has been made with the Pro-Tool it may be submitted electronically. This electronic submission may be made by any member of the consortium (not only the Co-ordinating partner). The partner who makes the submission must obtain certification (see below) so that electronic submission can be securely carried out.

IV.4.2 Submission modalities (please, see also check-list in section IV.9)

Proposers should submit either on paper or electronically, not both. If a proposal is submitted in both forms, the Commission will evaluate the electronic version.

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IV.4.2.1 By electronic means

CertificationIn order that a proposal can be sent electronically to the Commission, the co-ordinator (or other partner who is submitting the completed proposal) must request in advance a certificate which will allow him to digitally sign the proposal.A standard certificate (Class-II) or either a one-time certificate (Class-I) can be requested. Both are provided free of charge.Standard certificates (Class-II) can be obtained by downloading, installing and using the ProTool. Proposers are requested to complete and sign a request form and to send this to the FP5-CSP. Once the FP5-CSP has received and accepted the form, a certificate will be provided. This certificate allows electronic submission of proposals for the duration of the certificate (normally one year, but extendible), without any further exchange of paper information. This form of certificate will allow encryption of the proposal. (It should be noted that national regulations may impose certain conditions to the use of the encryption software. It is the responsibility of the proposers to ensure that such national regulations are adhered to).One-time certificates (Class-I) can also be obtained from the FP5-CSP, by use of the ProTool and electronic communication only. This form of certificate allows electronic submission of only one proposal, for those co-ordinators who want to try the system out, or who expect not to send another proposal soon. Electronic submission with this certificate requires in addition the sending of a manually signed form A.1 from Part A of the Proposal Submission Form on paper to the Commission before the deadline set out in the relevant Call for Proposals.This form of certificate does not provide encryption. Security is restricted to the standard available on the secure servers used (SSL).A request for certification is made by using the ProTool. ProcedureThe tool for sealing the proposal forms part of ProTool. This tool is used by the co-ordinator to package the administrative and technical proposal information parts A, B and C into one file and produce a “fingerprint” or validation file of the proposal, which uniquely identifies the proposal file. Submission of the validation file signifies the time of proposal submission. In case of communication problems this file can be printed and faxed before the deadline of the Call. The proposal itself must be electronically received no more than 48 hours after the Call deadline. While the sender will be returned an electronic message indicating successful transfer of file, this is not however the formal acknowledgement of receipt of proposal.

Holders of a Class-II certificate will also be able

IV.4.2.2 On paper

ProcedureWhere national regulations concerning the sending of data do not permit the use of encryption, and thus confidential transmission cannot be ensured; or where proposers for some other reason prefer it, proposals may be prepared using the ProTool then printed out on paper, or may be fully prepared on paper using the appropriate Proposal Submission Form.

ProTool permits preparation of proposals for the main types of activity within the Fifth Framework Programme. In exceptional cases an appropriate version of ProTool may not be available, in which case only paper submission will be possible. This guide for proposes for the call concerned indicates the structure of the proposal required, and forms are available).

Number of copies

Paper proposals should be prepared :- with five bound copies of Part A - with five bound copies of Part B - with five bound copies of Part C,- with one complete unbound paper The complete set of proposal documentation should be placed in an envelope or envelopes, marked “Commercial-in-confidence” with additionally the following information:

The name of the Programme to which it is submitted, the date of publication of the Call and the Call & Call part identifier;

The proposal number (if one has been issued by the Commission);

A reference to the work addressed by the proposal (e.g. the Target Action (if applicable), the name or number of the key action, thematic priority etc., as given in the Work Programme or Call for Proposals).

The package should also contain a completed “Acknowledgement of receipt” form (see Annex 1) so that the Commission can return notification of safe arrival of the proposal.

This envelope/these envelopes should then be sealed within a second envelope or packaging, which is addressed to the Commission office for receipt of proposals given as specified in the call

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to encrypt the proposal file. The precise method is explained in the sealing tool.

On receipt, the Commission will electronically archive, under secure conditions, the validation and proposal file as received. After decryption and unpacking also a copy of the proposal as provided to evaluators will be archived electronically under the same conditions, together with the necessary information on the tools and information used to decrypt and unpack.

If the Commission receives multiple electronic versions of the same proposal, it will evaluate only the last version received before the Call deadline, and discard the others.

Senders are warned that the Commission cannot be held liable for unlawful use of the encryption tools provided, the use of which may be forbidden in some circumstances in some Member States. Electronic submission fall-back procedureFailure in downloading or an inability to decrypt or read a proposal file will result in a fall-back procedure being initiated by the Commission. The Commission will within 24 hours request those proposers to submit a back-up copy of their proposal. The back-up should arrive within 48 hours and must be identical to the file produced during sealing, which will be checked by use of the unique identifier provided in the validation file. (Proposers planning electronic submission are recommended to prepare such a back-up copy in advance, for use if called for).

text.

Proposals on paper may be sent to the Commission by mail, by trusted delivery service or by hand as described in the call text.

If you use more than one package, please clearly mark them 1 of x, 2 of x….

When preparing a proposal on paper, the proposer must indicate the proposal short name (acronym), the proposal number (if a number has been allocated before submission by the Commission) and the date of preparation at the top of every page of the parts B and C, and on all annexes. Pages must be clearly numbered.

IV.4.3 Acknowledgement of receipt

Once a proposal, either electronic or paper, has been received and registered by the Commission, an acknowledgement of receipt will be despatched.Proposers who do not receive an acknowledgement of receipt within three weeks after the deadline, and fear their proposal is lost, should contact the programme Info desk. Proposers are reminded that it is their own responsibility to ensure the safe delivery of their proposal.

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IV.5 DeadlinesThe deadlines for submission of proposals are given in the Periodic Call texts and are also available on CORDIS: http://www.cordis.lu/eesd/calls/calls.htm

The cut-off dates for the Open Call are given in the Open Call text and are also available on CORDIS: http://www.cordis.lu/eesd/calls/calls.htm

Proposers should periodically check the EESD Call Web site (http://www.cordis.lu/eesd/calls/calls.htm) for the latest information

IV.6 Delivery of proposalsProposals must be received on or before the deadline at the address specified in the relevant Call text and according to the modalities also provided in the Call. Important Notice: The deadline for proposals submitted on paper now applies equally to post, courier, and hand delivery. This constitutes a change with respect to previous calls where deadlines applied to submission. Deadlines now apply to receipt by the Commission at the correct address specified in the relevant Call text.

IV.7 Support for proposersIV.7.1 EESD: Part B - Energy Information desk

There are two Energy Info desks, one for Medium-to-Long-term and one for Short-term indirect RTD actions :

Medium-to-Long-term indirect RTD actions (4th Call and New Open Call)

European Commission Research Directorate General Energy Info deskSDME 2/3Rue de la Loi/Wetstraat 200, B-1049 Brussels – Belgium

e-mail: [email protected]: +32.2.296.06.21http:www.cordis.lu/eesd

Short-term indirect RTD actions (5th Call and New Open Call)

European Commission Directorate General TRENEnergy Info deskDM 28Rue de la Loi/Wetstraat 200, B-1049 Brussels – Belgium

e-mail: [email protected]: +32.2.295.05.77 http:www.cordis.lu/eesd

NB: Please do not use these addresses for proposal submission.The desks are manned 09h00 – 12h30 and 14h30 – 17h00 (Brussels), Monday to Friday.

Proposers should periodically check EESD Call Web site (http://www.cordis.lu/eesd/calls/calls.htm) for the latest information

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mailto:[email protected]


IV.7.2 Partner search facilities

The Commission’s CORDIS server in Luxembourg (http://www.cordis.lu) offers a number of services and information sources which may be useful in partner search for participation in this programme, as well as a list of organisations which have already expressed an interest in participating in this programme.

IV.7.3 National Contact Points

National Contact Points for the EESD Programme can be helpful to organisations from their own country in finding partners from other countries, and should be contacted for further information for the country concerned. See the list included in the EESD Information Package or the Programme NCPs web page: http://www.cordis.lu/fp5/src/ncps.htm, for the latest update.

IV.7.4 Programme Information days

The EESD - Part B : Energy sub-programme organises Information Days where those interested in proposing may attend for a presentation of the programme and of the Framework Programme in general, to obtain documentation and proposal preparation software (ProTool), to ask questions etc. and to meet potential consortium partners. Latest information on planned Information Days is obtainable from the Programme Info desks and on the Programme web-site.

IV.7.5 Other help facilities: the Intellectual Property Right-Helpdesk

The IPR-Helpdesk has been set up to support participants in RTD programmes seeking information on Intellectual Property Rights (IPR) and related contractual issues. The activity will also aid participants in locating the assistance necessary to register, protect, and exploit their inventions. The IPR-Helpdesk offers information on these issues and guides users to the services available form national patent offices, patent agents, and lawyers in their country.

IPR-Helpdesk64-66 avenue Victor Hugo L-1750 Luxembourg Tel. +352-47 11 11 1Fax. +352-47 11 11 60e-mail: [email protected]://www.cordis.lu/ipr-helpdesk

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http://www.cordis.lu/ipr-helpdesk

mailto:[email protected]

http://www.cordis.lu/growth/src/ncps.htm


IV.8 References on linePotential proposers are invited to consult the EESD web-site: http://www.cordis.lu/eesd/home.html

Decision on the 5th Framework Programme

http://www.cordis.lu/eesd/src/library.htm

Decision on the EESD-Energy Thematic Programme


EESD-Energy calls for proposals http://www.cordis.lu/eesd/calls/calls.htmEESD-Energy Work Programme http://www.cordis.lu/eesd/calls/calls.htmEESD-Energy Downloads http://www.cordis.lu/eesd/calls/calls.htmEESD-Energy Documents http://www.cordis.lu/eesd/src/library.htmProposal submission forms http://www.cordis.lu/fp5/src/forms_a.htmProposal Preparation Tool http://www.cordis.lu/fp5/protool/Evaluation Manual http://www.cordis.lu/fp5/src/evalman.htmINCO Bursaries http://www.cordis.lu/fp5/src/forms_a.htmEESD-Energy National Contact Points http://www.cordis.lu/fp5/src/ncps.htmExpert candidature http://www.cordis.lu/expert-candidature/home.htmlDecision No 182/1999/EC of the European Parliament and of the Council of 22 December 1998 concerning the Fifth framework programme of the European Community for research, technological development and demonstration activities (1998 to 2002)

O.J. L26/1-L26/31

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

Decision of the Council of 25 January 1999 on the EESD

OJ L64, 12.3.99

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

Official Journal Calls for Proposals texts http://www.cordis.lu/fp5/src/t-4.htmOPET Accompanying Measures document http://www.cordis.lu/fp5/src/t-4.htmModel Contracts http://www.cordis.lu/fp5/IPR Help Desk [email protected] search for potential partners http://www.cordis.lu/fp5/src/eoi.htmInnovation Relay Centres http://www.cordis.lu/Last-minute information http://www.cordis.lu/fp5/eesd/

European energy-related policies and activities:Kyoto Protocol to the United Nations Framework Convention on Climate Change

http://www.cop3.de/

White Paper : Energy for the future – Renewable sources of energy

http://europa.eu.int/en/comm/dg17/599fi_en.htm

DG Transport-Energy overview http://europa.eu.int/comm/dgs/energy_transport/index_en.html

Energy policy overview http://europa.eu.int/en/comm/dg17/mission.htmEnergy legislation and policy instruments http://europa.eu.int/en/comm/dg17/policy.htmList of legislative documents http://europa.eu.int/en/comm/dg17/legislat.htm#lexthInternational Energy Agency (IEA) http://www.iea.org/techno/index.htmOPET Network http://www.cordis.lu/opet/home.html

Current and previous EC funded RTD activities:CORDIS RTD Projects database http://www.cordis.luJOULE-funded R&D projects http://www.cordis.luSESAME database for THERMIE-funded energy demonstration projects

http://europa.eu.int/en/comm/dg17/thproja.htm

THEMIS database for THERMIE energy accompanying measures, thematic networks and concerted actions funded

http://europa.eu.int/en/comm/dg17/thprojb.htm

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http://www.cordis.lu/eesd/calls/calls.htm


http://www.cordis.lu/growth/home.html


IV.9 Check-list for submission (RTD, demonstration and combined projects, Thematic Networks, Concerted Actions and Accompanying Measures)

In order to avoid last-minute problems with submission, there are a number of checks which you should carry out.

Does the type of action fit into the Open Call (for Accompanying Measures, RTD activities of generic nature, Training Fellowships and SME measures) or the fixed deadline calls (for Research, Demonstration and Combined proposals, Concerted Actions and Thematic Networks)?

Does the subject of the proposal fit into either the short-term or the medium-to-long term? Does the subject fit into either a Target Action or the rest of the Work Programme? For which deadline is the proposal intended : as an indication, February 2001, March

2001, December 2001, or (for Accompanying Measures only) the final March 2001 deadline, or the particular deadlines for SME measures?

For ELECTRONIC submission of your EESD proposal you should check the following items: Have you ordered your certificate (using ProTool with an electronic request, and by

sending the full written and signed forms) well in advance of the deadline (at least 3 weeks before is recommended)?

Have you imported this certificate to ProTool successfully? Have you requested a proposal number (at least three weeks before the deadline)? Are all parts of the proposal (A-B-C) duly completed? Have you integrated all parts (A-B-C) and the filled out acknowledgement of receipt

form) of the proposal into the file to be submitted? Have you checked the address of the server to which to upload the proposal? Have you checked that the proposal prints out correctly in one of the formats: PDF, RTF,

Postscript or Word, and that it does not include files of another format (do not use picture, photo, voice or video formats, or MS projects, or similar tools)?

Last but not least: Is your proposal submitted before the deadline according to the procedure for electronic submission?

For PAPER submission of your EESD–part B: Energy proposal you should check the following items: Are all parts of the proposal (A, B & C) duly completed? Is your proposal prepared with five bound copies of part A, five bound copies of part B,

five bound copies of part C, and one complete unbound ? Is the complete set of proposal forms placed in an envelope, marked "Commercial-in-

confidence", with the following information: "EESD-Energy Programme" and date of publication of the call? The Call & Call part identifier (see call text)? A reference to the Target Action (if applicable) and Key Action(s) and Thematic

Priorities addressed by the proposal (as given in the Work Programme)? Have you completed the "Acknowledgement of Receipt" form and included it in the

package? If you use more than one Package, are the X packages clearly marked parcel 1 of X, 2 of

X, etc.? Is each parcel clearly marked as described above? Is the address on the package complete and correct (see call text) Last but not least: make sure that you send your proposal in time to be received at the

correct address before the closing time and date of the call.

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V. Keywords to be used in the proposal application form A1(The first space is for business area keywords (NACE))

19


A1 AcousticsA2 Active noise controlA3 Active safetyA4 Active vibration controlA5 ActuatorsA6 Adaptive wingA7 Adhesives / BondingA8 AerodynamicsA9 AeroelasticsA10 Aero-engine efficiencyA11 AerothermodynamicsA12 Air qualityA13 AirportsA14 Analytical chemistryA15 Anti-fraudA16 Applied physicsA17 Automatic controlA18 Automation, robotic control

systemsA19 Autonomous aircraftA20 AvionicsB1 Benchmarking B2 Best practice / good

practiceB3 BicyclesB4 BiochemistryB5 BiomaterialsB6 Bio-medical materialsB7 Bio-mimetic materialsB8 BiosensorsB9 BiotechnologyB10 Body fluids/ Tissues/

Cultures,etc.B11 Boundary layerB12 Braking systemsB13 Building materialsB14 Buses (Transports)C1 Cabin environmentC2 CAE/CAD/CAM systemsC3 Carbon/GraphiteC4 Cargo tracking & visibilityC5 CastingC6 Catalysts/ZeolitesC7 CeramicsC8 CertificationC9 Chemical engineeringC10 Chemical metrologyC11 Chemical synthesis/

ConversionC11 Chronology, datation

technologyC12 CIMEC13 Civil engineering /

InfrastructureC14 CO (carbon monoxide)C15 CO2 (carbon dioxide)C16 Coatings/Thin filmsC17 Coke makingC18 Collision avoidanceC19 Colloidal chemistryC20 Combined transportC21 CombustionC22 Composite MaterialsC23 Composites (Ceramic

matrix)C24 Composites (Metal matrix)

C25 Composites (Polymer matrix)

C26 CompressorC27 Computational

chemistry and modelingC28 Computer science/

SoftwareC29 ConcreteC30 Concurrent engineeringC31 Congestion pricingC32 ConstructionC33 Consumer sciences,

consumers’ rightsC34 CorrosionC35 Cost-benefitC36 CrashworthinessC37 CriminologyD1 Dangerous goodsD2 Databases / Expert systems

/ Data collectionD3 Demand and traffic

managementD4 Design / Design

technologiesD5 Deterioration/failure

mechanismsD6 Diagnostic systemsD7 Diagnostics, diagnosisD8 Diamonds/Superhard

materialsD9 DismantlingD10 DisplaysD11 Door-to-door serviceD12 Drag reductionD13 Drug abuse, addictionD14 Drug discovery, profiling,

targetingD15 Dynamics/Fluid dynamicsE1 Eco-efficiencyE2 Ecology / EnvironmentE3 EconomicsE4 EfficiencyE5 ElectricalE6 Electro-magneticE7 ElectronicsE8 Emissions / Emission

measurementsE9 EnergyE10 Engines E11 EngineeringE12 Environmental impactsE13 ErgonomicsE14 Exhaust gas recuperatorE15 Exploitation and diffusion

of resultsE16 Exploration of the seaE17 Extraction techniquesF1 FerrousF2 Fibres/Reinforcing

materialsF3 FinancingF4 Fine/specialty chemicalsF5 Fire testing / Fire control/

Fire preventionF6 Fixed wing aircraftF7 Flexibility

F8 Flexible / non rigid materialsF9 Flight control / Flight

managementF10 Flight stability and controlF11 Flow measurementsF12 Fluid-dynamicsF13 Foamed materialsF14 FormingF15 Freight transport F16 Fuel cellsF17 Fuel managementF18 FuselageG1 GeochemistryG2 Geology / ExplorationG3 GeophysicsG4 Geotechnics / Soil

mechanicsG5 GlassesG6 GeotextilesH1 Health and working

conditionsH2 Human factorsH3 Human-vehicle interactionH4 Hydraulic systemsI1 Imaging / Image processingI2 In vitro testing/trial methodsI3 Industrial operations in the

seaI4 Information Society

Technologies/ Information systems

I5 Inorganic chemistryI6 In-process measurementsI7 Inspection and maintenanceI8 Instrumentation / Measuring

systemsI9 Inter coolerI10 InterconnectivityI11 Interfacial scienceI12 IntermodalityI13 InteroperabilityI14 Iron makingJ1 JoiningK1 Knowledge based systemsK2 Knowledge engineeringL1 Landing gearL2 Laser technologyL3 LayersL4 Leaching / Bio-availability /

SolubilityL5 LeatherL6 Life cycle impactsL7 LightningL8 LogisticsL9 LubricantsM1 Machine toolsM2 MagneticM3 MaintenanceM4 Man-machine interactionM5 ManufacturingM6 Material

characterization/TestingM7 Material processingM8 Materials scienceM9 Measurements/testing theoryM10 Mechanical systemsM11 Mechatronics / Robotics

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M12 Membrane/Separation technology

M13 MetallogenyM14 Metallurgy/HydrometalsM15 Metrology, physical

instrumentationM16 Micro engineering/

MicrosystemsM17 MicroelectronicsM18 Micro-mechanicsM19 Minerals/OresM20 Mining / QuarryingM21 MobilityM22 Modeling and simulationM23 Modular systemsM24 Molecular engineeringM25 Monitoring / condition

monitoring / remote sensingM26 Moulding / CastingM27 Multifunctional engineeringM28 Multilayers/ MultimaterialsM29 Multisensory technology,

multi-sensingN1 NanobiotechnologyN2 NanofabricationN3 NanotechnologyN4 Navigation and positioningN5 New generation vehiclesN6 New means of transportN7 New propulsion systemsN8 New vehicle technologiesN9 Noise and vibrationN10 Non ferrousN11 Non-destructive testingN12 NOx (nitrous oxide)O1 On-board monitoringO2 On-board systemsO3 Operational costO4 Operational safetyO5 Operator/user acceptanceO6 Optical systems / OpticsO7 Opto-electronicsO8 Organic chemistryO9 Organometallic chemistry /

materialsP1 Packaging materialsP2 PaintsP3 PaperP4 Particle technologyP5 Passive safetyP6 PetrochemicalsP7 PharmaceuticalsP8 PhotonicsP9 Plastics / RubbersP10 Platforms P11 Pneumatic systemsP12 PolymersP13 Powder metallurgyP14 PowdersP15 Power beamsP16 Power optimised aircraftP17 Powertrain componentsP18 Powertrain optimisation

technologiesP19 Precision engineeringP20 Preventive maintenanceP21 Pricing and financing

P22 Primary structuresP23 Product testingP24 Production technologiesP25 Propulsion systemsP26 Prototyping ( Soft/Hard )P27 Public transportP28 Public-private partnershipsQ1 Quality assurance/ Quality

ControlQ2 Quality, quality control,

traceabilityR1 RailR2 RecyclingR3 Reference

materials/methodsR4 RefractoriesR5 Reinforcement technologyR6 ReliabilityR7 Renewable raw materialsR8 Repair / RestorationR9 Research networkingR10 Research policyR11 Risk assessmentR12 RoadR13 Road pricingR14 Rocks/Stones/ AggregatesR15 RollingR16 Rotary wing aircraftS1 Safety technologyS2 Sample banksS3 Sea-bedS4 Security systemsS5 SemiconductorsS6 Semispan wingS7 Sensors / Signal processingS8 Sensory science, sensors,

instrumentationS9 Separation technologyS10 ShipbuildingS11 ShipsS12 Smart materials / products /

StructuresS13 Socio-economic impactsS14 Socio-economic needs and

objectivesS15 Sociology S16 Solders / Blazes /

Welding / JoiningS17 Solid state chemistryS18 Sonic boomS19 SOx (sulphur dioxide)S20 Standardisation,

standardisation of new technologies

S21 Stress/psychological effects

S22 Structural AnalysisS23 Superalloys/Special alloysS24 SuperconductorsS25 Supramolecular chemistryS26 Surface characterization

/AnalysisS27 Surface chemistryS28 Surface treatment

technologiesS29 SurvivabilityS30 Sustainability

S31 Sustainable mobilityS32 System/vehicle accessibilityS33 Systems efficiencyT1 Technology assessment and

foresightT2 Technology transferT3 TENsT4 Testing, conformance testingT5 Textiles / LeatherT6 ThermodynamicsT7 Tilt-rotorT8 Tools/DiesT9 Total quality managementT10 Toxicity testingT11 Traffic management /

controlT12 TrainingT13 Transfer pointsT14 Transhipment technologiesT15 Transport demandT16 Transport economicsT17 Tribology - LubricantsT18 Turbo-machineryT19 Turnaround timeU1 Ultra-low and near-zero

emission vehicle propulsion systems

U2 Ultra-precision measurements

U3 UltrasonicsU4 Unmanned surveyingU5 Urban infrastructureU6 Urban planning, land use

planningU7 User-friendlinessV1 Vehicle control and designV2 Vehicle structuresV3 Vibration Analysis /

AcousticsV4 Virtual organisationsV5 Virtual reality/Virtual

manufacturingV6 Vision/Optical systemsW1 Wake vortexW2 Waste / Effluents reductionW3 WaterW4 WearW5 Wood / Timber composites /

PaperW6 Working conditions

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Annex 1 – Acknowledgement of receipt formEUROPEAN COMMISSIONRESEARCH DIRECTORATE –GENERAL

Please write the name and full postal address to which this acknowledgement of receipt should be sent (in the box )

Brussels,

Dear Madam/Sir

We are pleased to acknowledge receipt of your proposal:To be completed by Co-ordinating Partner

Programme: Energy, Environment and Sustainable Development-Energy

Research Area(s): § § §

Proposal Title:

Proposal Acronym:

This proposal has been given the following reference number (To be completed by the Commission):

Date of reception: ………………………………………………..

Proposal registration number: …………………………………..

You are kindly requested to quote this reference number in all future correspondence relating to this proposal. Please ensure that all your partners are also made aware of this reference number.

After a check for eligibility, your proposal will be evaluated. It is expected that the final result of the evaluation will be communicated to you three to four months after the deadline for submission of proposals.

On behalf of the Commission we thank you for your proposal and your interest in the research programmes.

Yours faithfully,

5FP Evaluation Co-ordinator

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Annex 2: Pre-Proposal Check Forms and Guidelines

Pre-proposal check/consultation - Confidential information Page 1

1. Co-ordinator:Title (Dr, Prof…) Gender (F/M)Family Name First Name Organisation Name

Department/Institute Name Street name and no. PO Box Post CodeTown/City CEDEXCountryTelephone FaxE-mail address

Please answer carefully all the questions. The Commission services reserve the right to return without comment any incomplete pre-proposals.

2. Proposal title3. Proposal acronym4. Project duration (approx. months)5. Total cost (Euro)

5.1 EC contribution requested (Euro)6. Main Programme Energy, Environment and Sustainable

Development-part B: Energy6.1 Short or Medium-to-Long term? Short-term Medium-to-long-term 6.2 Call part identifier6.3 Target Action Letter (A to L) and short TA title (if applicable)6.4. Thematic priorities7. Other Programme(s)7.1. Thematic priorities

8. Participants Nr. Organisation name

(Co-ordinator first) Country Activity

code *Business Activity or NACE code

1234etc

* Activity codes: REC (Research Organisation), HES (High Education Institute), IND (commercial manufacturer/industry), SER (service provider i.e.: engineering services or consultant), OTH (all others, i.e.: standardisation bodies etc.)

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Pre-proposal check/consultation - Confidential information Page 2

Give a short description of the work:9. Objectives (maximum 2000 characters):

10. Description of the work (maximum 1000 characters):

11. Deliverables, exploitation and socio-economic impact (maximum 500 characters):

24


Guidance note for potential participants for the “Pre-proposal check”

In view of the innovative approach adopted for programme implementation in 2001-2002, with the clear differentiation between short and medium-to-long time-frames, the separate General and Target Action call parts, and the priorities of strategic importance to the EU, proposers are strongly recommended to make use of this service which is beneficial to the preparation of all proposals and to obtain guidance as to which call part their proposals would be best suited. For this reason, the proposer should clearly complete questions 6.1 to 6.4 on the pre-proposal check form :6.1 Short or Medium-to-Long term?6.2 Call part identifier6.3 Target Action Letter (A to L) and short TA title (if applicable)6.4. Thematic priorities

PurposesThe pre-proposal check is a service established within the EESD-part B: Energy Programme to assist proposers intending to submit an RTD proposal.The pre-proposal check is intended to give advice and guidance mainly concerning the suitability of the proposed subject with respect to the priorities of the work programme, and the particular call content.

Nature of the pre-proposal checkThe submission of outline proposals is on a voluntary basis.It must be stressed that the informal advice provided through the pre-proposal check service cannot in any way be interpreted as a commitment by the Commission with regard to acceptance or rejection of proposals formally submitted at a later stage. Proposers at the very early stages of proposal preparation, looking for advice on ideas for projects not yet developed, should not use the pre-proposal check service.

Participants:Although it is not absolutely necessary for the consortium to be finalised; the core partners should nevertheless be identified and the remaining members of the consortium at least tentatively defined. It will not be possible to process those pre-proposals, which do not satisfy these minimum requirements.

Description of the pre-proposalIn order to receive a reasonable level of advice from the Commission services, please follow the guidelines given below concerning the description of the work.

Objectives:The objectives should be quantified and realistic, but in order to be able to comment on the main impacts expected from the project, please describe briefly the following points:

the need the socio-economic problem(s) addressed and the way it will be approached, emphasising

any new developments; the expected contribution to Community social objectives (employment, quality of life,

safety, working conditions, protection of the environment …..); the Community added value (problem solving at European level, additional impact,...); and if appropriate, the project’s contribution to EU policies or its addressing of

standardisation and regulation problems;

25

Energy, environment and sustainable developmentGuide for proposers – part 2 October 2000 and finally economic scientific and technological prospects.

Description of the work:A concise description of the work as well as the methodology used to achieve the objectives should be given, including where possible any work packages.

For the consortium, a justification should be given for the balance of the partnership in terms of complementarily, trans-nationality and multidisciplinary approach.

Deliverables, exploitation and socio-economic impact :The practical results expected from the project, as well as the socio-economic impact expected , should be outlined.

The expected deliverables, the exploitation and the dissemination strategies for the results e.g. workshops, publications should be explained, in reference to an eventual “Technology Implementation Plan”.

Submission of pre-proposalsPre-proposals should be submitted using the apposite form, available for download (as Microsoft® Word 6.0 template) from the CORDIS web-site:http://www.cordis.lu/eesd/calls/calls.htm

This form should preferably be filled in by computer, saved as a Word document and then e-mailed. Alternatively, a printed version of the completed form can be faxed. The e-mail address and fax number to be used depend on whether the proposal is for a short-term or a medium-to-long-term action :

Short-term actionse-mail : [email protected] : +32.2. 295.05.77

Medium-to-long-term actionse-mail : [email protected] : +32.2.296.42.88

Please mention in the e-mail ‘Subject line’ the intended Call part identifier, Target Action (if applicable), and Key Action or Generic Activity.

A response to the pre-proposal check will be provided by e-mail or by fax as soon as possible, but normally within five days from receipt. The Commission services reserve the right to refuse treatment of any incomplete pre-proposals.

Please note : requests for pre-proposal checks can be received by the Commission up to 6 weeks before the closing date of the call.

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http://www.cordis.lu/growth/src/ppc.htm

Appendix 1: Application FormsAppendix 1A is for a Research, Demonstration or Combined proposal.Appendix 1B is for an Accompanying Measure proposal.Appendix 1C is for a Concerted Action or Thematic Network proposal.Appendices 1A, 1B, and 1C are divided into three separate parts:· Part A, which contains legal and administrative information concerning the proposers, and a summary of the funding requested;· Part B, which describes the work to be carried out. If the consortium decides to submit Part B anonymously, the participants must only be refered to by the codes and numbers assigned to them in the administrative form A3. If anonymity is not respected it may be impossible to transfer a proposal to another programme where anonymity is required.· Part C, which describes the European added value; the contribution to EU policies and social objectives; prospects for scientific, technological, and economic development; the resources, partnership, and management of the project; and the exploitation and/or dissemination plans.The Part A forms (for optical reading) and their explanatory notes, are common to all Specific Programmes. You may also download them from the programme web site http://www.cordis.lu/eesd.

When it is for a Target Action, for ALL types of proposals (Research, Demonstration or Combined, Accompanying Measure, Concerted Action or Thematic Network), the proposer must specify the Target Action Letter very clearly at the end of the proposal title in the "Proposal Full Name" box on the Part A form. For instance, "Research on a new PV material - TARGET ACTION L" or "Thematic Network on novel energy storage devices - TARGET ACTION K".

In submitting Parts B and C, which are specific to the Energy sub-programme, proposers are required to follow the structure given in the relevant Appendices. The description must be structured to reflect the 5 main criteria by which the proposal will be evaluated. These criteria and their relative importance (by “weighting” and "threshold") are given in the table below for the categories of activity covered in Appendices 1A, 1B and 1C. For a full explanation of criteria, weightings and thresholds, please refer to the Evaluation Manual available in CORDIS at http://www.cordis.lu/fp5/src/evalman.htm

SELECTION CRITERIA Weighting (scale of 1 to 10) and (Threshold - scale of 0 to 5)

TYPE OF ACTION Appendix reference

Scientific and technological

quality

Community Added Value & Energy-related policies

Contribution to the Environment &

Community Social Objectives

Economic Development and

S&T prospects

Management Resources

Research in Key Actions and Generic Actions (Target Actions, General & Open Calls)

1A 3.5(3)

1.5(3)

1 2 2

Demonstration and Combined in Key Actions and Generic Actions (Target Actions, General & Open Calls)

1A 2(3)

1.5(3)

1 3 2.5(3)

Accompanying measures (Open Call) 1B 2 3

(3)1 2 2

(3)

Thematic Networks/Concerted Actions (Target Actions and General Calls)

1C 2 3(3)

1 2 2(3)

Proposers are reminded that for a proposal to be eligible, it must be complete in all three parts: the administrative and budgetary forms (part A) and the proposal description in part B and part C.

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Appendix 1A - Proposal Submission Forms for Shared Cost Actions: Research, Demonstration and Combined Projects

Part A

The Forms and Notes for Part A can be down-loaded from the programme web site (http://www.cordis.lu/fp5/src/forms_a.htm), or may be obtained via your National Contact Point or the Programme Information Desk (see Section V.6.1).

When it is for a Target Action, the proposer must specify the Target Action Letter very clearly at the end of the proposal title. For instance, "Research on a new PV material - TARGET ACTION L". The Thematic Priorities must still be specified on Forms A0 and A1 for all proposals.

Parts B and C

In the Parts B (scientific and technological work) and C (European added value, contributions to the EU energy-related, environmental and social policies, exploitation plans and project management), the proposer must follow the structure given below. (Please also fill in Table B 1 which is to give an Overview of the Proposal Objectives).

If the consortium decides to submit the proposal Part B anonymously then there must be no reference in Part B to the names of the organisations involved in the consortium. The participants must only be refered to by the codes and numbers assigned to them in the administrative form A3. For EESD - Part B: Energy proposals anonymity is not required. Nevertheless, if anonymity is not respected it may cause problems if the proposal has to be transferred to another more appropriate programme, where anonymity is required.

Only eligible costs are to be included by proposers (see Part 1, Box 7). Cost data submitted in Part B must be consistent with the cost data submitted in the Part A administrative forms A4.

28

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

Part B: Shared cost actions: Research, Demonstration & Combined ProjectsDescription of scientific and technological activitiesNB! Part B must normally be anonymous

There are no forms for Parts B or C; the proposal should follow the instructions as to layout and content given below. The proposer must indicate the proposal short name (acronym) and the date of preparation at the top of every page of parts B and C, and on all annexes. Pages must be clearly numbered.

B 0 Title and Acronym of Proposal

When it is for a Target Action, the proposer must specify the Target Action Letter very clearly at the end of the proposal title. For instance, "Research on a new PV material - TARGET ACTION L".

B 1 Summary (similar to the administrative form A2, and anonymous)Provide a short but clear overview of the proposal following the structure of form A2, addressing all the main aspects of the proposal which will be addressed in Parts B and C and which reflect the 5 evaluation criteria.

Proposal Objectives Overview (see Table B 1).Table B 1 should be completed and is intended to give an overview of the relevance of the proposal to the different EU objectives. These objectives are directly linked to the evaluation criteria 1- 4 as given on the first page of Appendix 1 and are grouped accordingly in the table. Priorities of strategic importance to the EU introduced in the Work Programme Update: October 2000 are indicated with an asterisk *. Note that it is essential for a proposal responding to the general part of the call (i.e. addressing any of the topics in the work programme and not being part of a Target Action) to show a high degree of compliance with one, or preferably several, of the above mentioned strategic priorities. Proposals responding to the Target Actions will obviously have an added value if they are in line with one or more of these strategic priorities.

The third column of the table should give the section (and page) of the proposal where a particular objective or priority is described. It should be noted that only objectives and priorities are included; other aspects such as risk, work plan, methodology, consortium, resources, etc. do not form part of this table, but will be considered in the evaluation and should be addressed in the relevant sections of the proposal.

The last three columns of the table have been designed, for the different objectives, to quantify 1) the present state of the art of the technology, 2) the improvement which may result from the proposed project and 3) the long term objectives (10-20 years) which may be expected for this technology (in particular for medium and long term projects). Due to the wide variety of energy RTD areas and the difference between applied and more basic research, this may not fit all proposals; in which case, please try to quantify as well as you can. In cases where the headings of the last three columns do not apply this is indicated (by a double asterisk**) and you are requested to give a short description of one sentence, instead.

For more details see also the relevant section of the proposal form, as referred to in column 3 in Table B 1, where the information in Table B 1 should be elaborated.

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B 2 Scientific and Technical Objectives (up to 1 page)This section should define what problem(s) or challenge(s) the project aims to address, and describe the scientific/technological objectives of the proposal. They should be achievable within the project, not through subsequent development, and should be stated in a quantified, measurable and verifiable form (outputs, impacts). Although the S/T objectives of the project are generally different from the quantitative goals and deliverables indicated in the relevant thematic priorities of the Work Programme (see B3), they are linked in that they enable the project to aim towards them. For instance, the S/T objective might be to reduce the weight of a turbine blade by 10%, and this then contributes to the Work Programme goals of higher efficiency and lower energy cost/kW. The progress and outcome of the project will be measured against these objectives in reviews and assessments. Explain why Research, Demonstration or a combination of the two is appropriate.

B 3 Contribution to the goals of the Thematic Priorities and Target Actions of the Work Programme (up to 1 page)This section describes which research areas (Thematic Priorities and/or Target Actions) are addressed by the proposal and how it will contribute to the objectives and goals laid down in the relevant parts of the Work Programme. The goals of the Thematic priorities and Target Actions are predominantly related to investment costs, running costs (e.g. reliability and maintenance) and to the efficiency of energy production and transformation. Please describe and quantify how the project contributes to making the technology cost-effective. Due to the wide variety of RTD areas, the quantification of costs should be adapted to the proposal (e.g. reduction of the investment and/or running costs for RES technologies or for energy savings per kW, reduction of storage cost per kWh, etc). Also the efficiency can relate to different issues such as energy transformation, production, storage, etc. Where appropriate describe also other objectives specifically mentioned in the Work Programme such as increase of availability, of lifetime (cycle life), capacity, reliability. Reduction of CO2 emissions and contributions to objectives mentioned in the White Paper should be described in the section C 1, pollution abatement in C 2. In addition please introduce the quantified objectives, which you described in this section, in Table B 1. Note that it is essential for a proposal responding to the general part of the call (i.e. addressing any of the topics in the work programme and not being part of a Target Action) to show a high degree of compliance with one, or preferably several, of the above mentioned strategic priorities. Proposals responding to the Target Actions will obviously have an added value if they are in line with one or more of these strategic priorities.

B 4 Innovation (up to 2 pages)This section describes the state of the art in the area of research, development or application of the project, and how the proposal will advance the state of the art. It also should indicate the level of technical (and economic) risk. Proposers should pay attention to the second priority of strategic importance to the EU : “Exploiting the potential of new ICTs in Energy RTD including e-science issues”. If appropriate, please expand on this aspect.

B 5 Project work plan, methodology and approachThis section describes the work planned to achieve the objectives of the project. An introduction should explain the structure and methodology of the work plan and how the work plan will lead the participants to achieve the objectives of the proposal. The work plan must be broken down into work packages (WPs) which should follow the logical phases of a project's life cycle. The number of work packages used must be appropriate to the complexity of the work and the overall value of the project. Each work package should be a major sub-division of the project and should also have deliverables (normally important milestones in the overall work plan).

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Essential elements of the work plan are:a) Introduction: explaining the structure of the work plan and the overall methodology

used to achieve the objectives (up to 2 pages);b) Project planning and timetable (Table B 2);c) Detailed project description broken down into work packages:

List of work packages (Table B 3); List of deliverables (Table B 4); Description of each work package (up to 1 page) according to the indicative

structure of Table B 5.Note that only eligible costs* are to be included by proposers (See also Guide for Proposers, Part 1, Box 7). These data must be consistent with the cost data submitted in the Part A administrative forms A4.

d) Measures of the Techno – Economic performance. (Particularly for demonstration projects, this is an important set of criteria against which the ultimate success of the project shall be judged). Calculation of principal performance indicators (energy produced and saved and other quantifiable impacts and benefits as given in the work programme). Economic calculation (e.g. from data supplied on investment, energy balance and running costs). For demonstration projects the calculation of the payback time is required. Calculation of the environmental impact etc.

Describe the measurement and monitoring systems to be used to verify performance and degree of fulfilment of the objectives. These measurements should be of appropriate duration and follow appropriate international standards or recognised practices.

* In the case of a proposal for a demonstration project, this means only costs related to the realisation of the innovative part of the project.

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Table B 1 Proposal Objectives Overview (Please only address objectives which are relevant for the proposal and quantify where possible)

Relevant Thematic Priority number(s) (see Work Programme) …. , …. , ….Target Action letter and title (if appropriate): … , ……………..

Tick if relevant to the proposal

See proposal section(page no.)

Criterion no.

Current status for the envisaged technology (Quantified)

Improvement for the envisaged technology expected at the end of project (quantify new value and % change)

Long term potential for improvement e.g. allowable cost for a technology to be cost-effective (quantify new value and % change)

1Scientific and Technical objectives, contribution to the goals in the Thematic Priorities and Target Actions of the Work Programme and InnovationS/T objectives related to the technology.

B2( )

Investment cost (e.g. per kW for RES or RUE or kWh for storage )

B3 ( ) 1

Running costs ( e.g. operation and maintenance)

B3 ( ) 1

Efficiency for energy (heat and/or electricity) production in %

B3 ( ) 1

Cost of energy produced (e.g. RES) or saved (RUE) in € cent/kW

B3 ( ) 1

Other goals mentioned in the WP B3 ( )Does the proposal exploit ICTs and e-science*?

B4 ( ) 1 **

Other **

2 Community added value and contribution to EU energy-related policiesGHG emissions & climate change* C1 ( ) 2

Does the proposal include Pre-normative research*?

C1 ( ) 2 **

EU – member state (ERA) and other international collaboration*

C1 ( ) 2 **

Security and diversification of energy supply.

C1 ( ) 2 **

Energy saving by RUE C1 ( ) 2Increase the share of new and renewable energy sources (RES)

C1 ( ) 2 **

Other **

* Priorities of strategic importance to the EU** Please describe in one sentence which type of activity is envisaged and/or how the proposal contributes to achieving them. (The column headings do not apply here)

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Table B 1 Proposal Objectives Overview - continued(Please only address objectives which are relevant for the proposal and quantify where possible)

Tick if relevant to the proposal

See proposal section (page no.)

Criterion no.

Current status for the envisaged technology (Quantified)

Improvement for the envisaged technology expected at the end of project (Quantify new value and % change)

Long term potential for improvement (e.g. allowable cost for a technology to be cost-effective) (Quantify new value and % change)

3 Contribution to the environment and EU social objectives Reduced environmental impact: e.g. Non GHG emissions, noise, solid waste, other (please indicate type of pollution addressed and quantify where possible).

C2 ( ) 3

Pollution type 1 C2 ( ) 3Pollution type 2 C2 ( ) 3Pollution type 3 C2 ( ) 3Health and safety C2 ( ) 3Employment C2 ( ) 3

Does the proposal include socio-economic research* ?

C2 ( ) 3 **

Other

4 Economic impact and S&T prospectsMarket prospects C3 ( ) 4

Exploitation plans & dissemination strategy

C3 ( ) 4

Other

5 Other objectives not covered in previous sections (for instance related to research of a more basis nature, or at a component rather than system level)

* Priorities of strategic importance to the EU** Please describe in one sentence which type of activity is envisaged and/or how the proposal contributes to achieving them. (The column headings do not apply here)

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Table B 2 Project planning and timetable

Table B 3 List of work packages

Workpackage

No1

Work package title Work package leader

No2

Person-months3

Cost (euro)

Startmonth4

Endmonth5

Phase6

DeliverableNo7

TOTAL

1 Work package number: WP 1 – WP n.2 Number of the participant leading the work in this work package (ref. Form A3).3 The total number of person-months allocated to each work package.4 Relative start date for the work in the specific work packages, month 0 marking the start of the project, and all other start dates being relative to this start date.5 Relative end date, month 0 marking the start of the project, and all end dates being relative to this start date.6 Only for combined research and demonstration projects: please indicate R for research and D for demonstration.7 Deliverable number: Number(s) for the deliverable(s)/result(s) mentioned in the work package: D1 - Dn.

Table B 4 Deliverables list

DeliverableNo8

Deliverable title Delivery date9

Disseminationlevel10

8 Deliverable numbers in order of delivery dates: D1 – Dn9 Month in which the deliverable will be available. Month 0 marking the start of the project, and all delivery dates being relative to this start date.10 Please indicate the dissemination level using one of the following codes:

PU = PublicRE = Restricted to a group specified by the consortium (including the Commission Services).CO = Confidential, only for members of the consortium (including the Commission Services).

Table B 5 Work package description (for each work package)

Work package No11 : Start month12: End month13: Cost (Euro):Work package title:

Work package Leader (No) :

Other participants with major involvement

Participant No :Person-months per participant:Cost (Euro) per participant:

Other significant cost items (specify main items and costs)Procurement of sub-contracting, equipment, materials, services, other items (Please specify major items):Costs of procured items (Euro)

Objectives

Description of work (with sub-task titles where appropriate)

Deliverables

Milestones and expected results

11 Work package number: WP 1 – WP n.12 Relative start date for the work in the specific work packages, month 0 marking the start of the project, and all other start dates being relative to this start date.13 Relative end date, month 0 marking the start of the project, and all end dates being relative to this start date.

Part C: Shared cost actions: Research, Demonstration & Combined ProjectsCommunity added value, energy-related policies, the environment, social objectives, S & T prospects, and management

NB! Part C is not anonymous


C 0 Title and acronym

When it is for a Target Action, the proposer must specify the Target Action Letter very clearly at the end of the proposal title. For instance, "Research on a new PV material - TARGET ACTION L"

C 1 Community added value and contribution to EU energy-related policies (up to 2 pages)

This section should describe what is the EU added value of the proposal and why the proposed project should be carried out at European, instead of at national level. For example if there is a need to create a critical mass in human or financial terms, or whether the project will bring together complementary expertise existing in different organisations. In view of the EU policy to construct a European Research Area (ERA), the co-ordination of EU and national programmes and/or EU-wide networks (and international co-operation) is given priority. Networking EU and national research programmes, mobility of human resources and bench marking of EU and national research (e.g. research performance indicators) have been identified as key instruments to deploy the policy priorities stated in the European Research Area. If appropriate, please describe how the proposal addresses these issues.

Where appropriate, this section should also describe and quantify how the results of the proposed project will contribute to the implementation or evolution of one or more of the EU energy-related policies such as Green House Gas (GHG) emission reductions and pre-normative research (both priority objectives). Other objectives are: security and diversification of energy supply, achieving EU objectives related to Rational Use of Energy (energy savings of 12% by 2010) and RES (doubling of the RES share of energy production from 6% to 12% by 2010). In the case of demonstration projects, the location(s) of implementation should be specified. Please quantify where possible (see Table B 1).

C 2 Contribution to the environment and EU social objectives (up to 2pages) This section should describe and quantify (see Table B 1) how the proposal will contribute to EU environmental and social objectives (where relevant refering to specific EU policies), such as :

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Improving the environment (e.g. through pollution and noise abatement, solid waste reduction) and minimising use/conservation of natural resources;

Improving the quality of life and health and safety (including working conditions);

Improving employment prospects and the use and development of skills in Europe.

Attention is drawn to the third priority of strategic importance to the EU on “Socio-economic research related to energy technologies and their impact”. If appropriate, please expand on this aspect.

C 3 Economic development and scientific and technological prospects (up to 3 pages)This section should describe the strategic impact of the results of the proposed project in terms of creation of market opportunities (please quantify, see Table B 1) or improvement of competitiveness for the participants. This could, where appropriate, include assessment of current and future cost targets and market size, competition, the benefits from using the products or services based on the results, pricing and potential sales.

This section should also describe the plans for the dissemination and - if relevant - exploitation of the results for the consortium as a whole and for the individual participants in concrete terms. It should describe the tools and/or means to be used to disseminate the results, potential user groups and how they will be involved. It should detail the exploitation strategies in particular for the commercial/industrial organisations involved in the proposal. The exploitation plan presented in the proposal should be further detailed and refined during the duration of the project. The Intellectual Property arrangements among the participants and with sub-contractors and other parties should also be specified.

Finally this section should include an assessment of the wider Scientific and Technological prospects opened by this project. In this respect, you should also refer to the section on dissemination of results.

In view of the fact that priority is given to proposals which include socio-economic research, please describe, if appropriate, how socio-economic research is integrated into technological research (e.g. socio-economic research which helps to map RTD excellence and foster dissemination, or which addresses non-technical barriers, customer behaviour, etc.).

C 4 Project management (up to 2 pages)This section describes the management of the project, the decision-making structures, the communication flow within the consortium and the quality or controlling measures which will be implemented. It should specify any legal, financial or other authorisations required (e.g. approval of the site of a demonstration project) and any co-operation agreements relevant to the commencement and implementation of the project.

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C 5 Description of the consortium (up to 1 page)A short overview of the consortium describing the participants and sub-contractors if any, their roles and functions in the consortium and how they relate to each other, for instance operationally and financially.

C 6 Description of the participants (up to 1 page per organisation)A short description of each participating organisation including its expertise and experience and short CVs of 1 or 2 key person(s) to be involved, indicating relevant experience, expertise and involvement in other EU projects. (Each CV not more than 10 lines)

C7 ResourcesA sufficient explanation and justification (per proposer, if relevant) should be given to enable the necessity of the proposed costs to be evaluated. The various cost categories should be related to the work packages. Amounts and sources of co-financing should be indicated.

C8 Related projects and previous proposals (max. 1 page)Include a list of related projects, including those identified through CORDIS (http://www.cordis.lu) or other databases. If the same or a similar application is or has been submitted within one of the current or previous programmes of the European Union, indicate, wherever appropriate, the programme and proposal reference, the title of the proposal, the participants involved, whether the proposal was accepted or not, and any other relevant information. State if the proposal is already at the submission stage one of a group of related and co-ordinated proposals and include a brief description of the cluster, its objectives and the role and contribution of the present proposal to the cluster.

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Appendix 1B - Proposal Submission Forms for Accompanying Measures

Part A

The Form and Notes for Part A can be downloaded from the programme web site (http://www.cordis.lu/fp5/src/forms_a.htm), or may be obtained via your National Contact Point (see Appendix 5) or the Programme Information Desk (see Section V.6.1).

When it is for a Target Action, the proposer must specify the Target Action Letter very clearly at the end of the proposal title. For instance, "Accompanying Measure on a long-term research strategy for Fuel Cells - TARGET ACTION G". The Thematic Priorities must still be specified on Forms A0 and A1 for all proposals.

Parts B and C

The activities covered by accompanying measures range from simple support of workshops to more elaborate activities such as studies and exploitation. The proposal forms have been designed to accommodate the most demanding proposals; for simple activities please do not feel obliged to “fill” the maximum available space; be as concise as possible. In all cases, when writing your proposal you should follow the structure of headings and guiding questions given below.

To be considered for support, accompanying measures must conform to the following criteria: The measures should conform with the objectives of the programme as set out in

the Council Decision and the Work Programme or with Community RTD policy and/or the achievement of the European Research Area as a whole.

The proposed measures must have a genuine European or international dimension in terms of the participation to be expected and/or the impact of the measures.

The proposed measures must be of high quality, cost-effective and feasible for the funding proposed. The funding should clearly be in proportion with the expected results. The professional qualifications and credentials of the beneficiaries should be clear in the proposals.

In general, funding levels should be tied to the level of EU interest of the measure (or part measure) concerned. As an indication,

100% funding The results of the measure (or part measure) should have broad strategic interest to the Commission for furthering the objectives of a specific programme, EU RTD policy and/or the European Research Area in general, while there will be minimal direct benefit (other than the intellectual interest) for the proposers themselves75% funding the results of the measure (or part measure) will mainly be of strategic interest to the Commission, while being of limited direct benefit to the proposers themselves.50% funding the results of the measure (or part measure) will be of direct benefit to both the Commission and to the proposers themselves.

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Intermediate funding levels should reflect the degree of direct interest for Commission/proposers.

Proposals for accompanying measures will only normally be considered if they are for events or work at least ten months after the cut-off date.

Where appropriate (e.g. conferences, workshops, etc.), proposed measures should have a clear publicity value for the Commission and the programme. In particular, there should be a clear acknowledgement of the role of the Commission in supporting the measure.

There should be transparency in the submission of the proposed measures. In particular, all applicants should provide clear and detailed information in the proposal setting out all the appropriate costs (including income) and clear objectives for furthering Community policy and/or the objectives of the specific programme concerned.

The measures proposed should not have a permanent nature nor should they create any acquired rights for the beneficiaries.

There should be no commercial character to the measures proposed nor should there be any profit or direct commercial gain for the beneficiaries.

For conferences, seminars, workshops, etc., evidence should be provided that the organisers have attempted to recover some of the costs of the event from other sources and/or by charging a registration fee.

If the consortium decides to submit the proposal Part B anonymously then there must be no reference in Part B to the names of the organisations involved in the consortium. The participants must only be referred to by the codes and numbers assigned to them in the administrative form A3. For EESD - Part B: Energy proposals anonymity is not required. Nevertheless, if anonymity is not respected it may cause problems if the proposal has to be transferred to another more appropriate programme, where anonymity is required.


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Part B Accompanying Measures : Description of scientific and technological activitiesNB! Part B must normally be anonymous



When it is for a Target Action, the proposer must specify the Target Action Letter very clearly at the end of the proposal title. For instance, "Accompanying Measure on a long-term research strategy for Fuel Cells - TARGET ACTION G".


B 2 Scientific/ technical objectives (max. 1 page)This section should describe which problems or issues will be addressed and give the scientific/technical objectives of the proposal. These objectives should be achievable within the project, not through subsequent development, and should be stated in a measurable and verifiable form (outputs, impacts). Although the S/T objectives of the project are generally different from the quantitative goals and deliverables indicated in the relevant thematic priorities of the Work Programme (see B3), they are linked in that they enable the project to aim towards them. For instance, the S/T objective might be to develop a RTD roadmap for PV, and this then contributes to the Work Programme goals of higher efficiency and lower energy cost/kW. The progress and outcome of the project will be measured against these S/T objectives in reviews and assessments

B 3 Contribution to the goals of the Thematic Priorities and Target Actions of the Work Programme (up to 1 page)This section describes which research areas (Thematic Priorities and/or Target Actions) are addressed by the proposal and how it will contribute to the objectives and goals laid down in the relevant parts of the Work Programme. Note that it is essential for a proposal for an accompanying measure to any of the topics in the work programme which are not part of a Target Action to show a high degree of compliance with one, or preferably several, of the priorities of strategic importance to the EU introduced in the Work Programme Update: October 2000. Proposals for accompanying measures to the Target Actions will obviously have an added value if they are in line with one or more of these strategic priorities.

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B 4 Innovation (up to 1 page)This section should describe the international state-of-the-art and specify the particular novelty or advance involved in the action; define also the relevant user groups and other stakeholders concerned and their involvement. Proposers should pay attention to the second priority of strategic importance to the EU : “Exploiting the potential of new ICTs in Energy RTD including e-science issues”. If appropriate, please expand on this aspect.

B 5 Work planThis section should concisely describe the work plan proposed to achieve the objectives of the Accompanying Measure. The work plan must be broken down into Work Packages (WPs). Where appropriate, the following elements should be provided:a) Introduction – explaining the structure of the work plan and the overall

methodology used to achieve the objectives;b) Project planning and timetable (Table B2 in Appendix 1A);c) Detailed project description broken down, when appropriate, into WPs:

- List of WPs (Table B3 in Appendix 1A);- List of deliverables (Table B4 in Appendix 1A);- Description of each WP (up to 1 page) according to the indicative structure of Table B5 in Appendix 1A.

The number of Work Packages used must be tailored to the complexity of the work and the overall value of the project. Each WP should be a logical sub-division of the project and should also have a verifiable end-point (normally an important milestone in the overall work plan).

NB: In a case of request of support for an event such as a conference or a workshop, the work plan should not normally be as detailed as in the section B5. In that case, the proposal should describe the background and objectives of the event, the expected number of participants and justify the funding of the action proposed providing details of how the overall costs of the event will be covered by contributions from various sources including for example the charging to participants of registration fees. A proposal for this type of AM should not plan any event or associated expenditure less than 10 months, after the deadline of the call for proposals.

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Part C Accompanying Measures: Community added value, environmental and social objectives, S/T prospects, managementNB! Part C is non anonymous


C 0 Title and Acronym of Proposal

When it is for a Target Action, the proposer must specify the Target Action Letter very clearly at the end of the proposal title. For instance, "Accompanying Measure on a long-term research strategy for Fuel Cells - TARGET ACTION G".

C 1 Community added value and contribution to EU energy-related policies (max. 1 page)This section should describe the EU added value of the proposal and why the proposed project should be carried out at European level instead of at national level. For example if there is a need to create a critical mass in human or financial terms, or whether the project will bring together complementary expertise existing in different organisations. In view of the EU policy to construct a European Research Area (ERA), the co-ordination of EU and national programmes and/or EU-wide networks (and international co-operation) is given priority. Networking EU and national research programmes, mobility of human resources and bench marking of EU and national research (e.g. research performance indicators) have been identified as key instruments to deploy the policy priorities stated in the European Research Area. If appropriate, please describe how the proposal addresses these issues.

In the case of an international conference, workshop or other event, the proposal should indicate the benefits expected for participants from EU and Associated Member States.

Where appropriate, this section should also describe and quantify how the results of the proposed project will contribute to one or more of the EU energy-related policies such as: reduction of Green House Gas (GHG) emissions and pre-normative research (both priorities of strategic importance to the EU). Other policies are security and diversification of energy supply, achieving EU objectives related to Rational Use of Energy (energy savings of 12% by 2010) and RES (doubling of the RES share of energy production from 6% to 12% by 2010). Please quantify where possible.

C 2 Contribution to the environment and Community social objectives (max. 1 page)

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This section should describe and quantify how the proposal will contribute to EU environmental and social objectives (where relevant refering to specific EU policies), such as : Improving the environment (e.g. through pollution and noise abatement,

solid waste reduction) and minimising use/conservation of natural resources;




C 3 Economic development and scientific and technological prospects (up to 1 page)This section should describe the strategic impact of the results of the proposed project in terms of creation of market opportunities or improvement of competitiveness for the participants. This could, where appropriate, include assessment of current and future cost targets and market size, competition, the benefits from using the products or services based on the results, pricing and potential sales.

This section should also describe possible plans for the dissemination and/or exploitation of the results for the consortium as a whole (where relevant) and for the individual participants in concrete terms. The dissemination and/or exploitation strategies should be defined, along with the user groups and other stakeholders.

Finally this section should include an assessment of the wider Scientific and Technological prospects opened by this project. In this respect, you should also refer to the section on dissemination of results.

C 4 Management and resources (max. 2 pages + tables)Where relevant, the following issues should be addressed :

a) The management This section should describe how the project will be managed, the decision-making structures, the communication flow within the consortium (where applicable) and the quality assurance measures and progress monitoring measures that will be implemented (including the assessment criteria to be used for the review). It must also indicate and, if necessary, clarify how the legal aspects (e.g. intellectual property, regulations, and safety) have been taken into account.

b) The consortiumIn case of a multi-proposer consortium, summarise the role and contribution of each of the proposers (up to 1/2 page per proposer), their qualifications for their role, their capacity to provide their contribution to the project, and how they complement each other. Financial or legal links between any of the

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participants and any sub-contractors should be indicated. For a single participant proposal, the qualifications and capacities to carry out the project should be demonstrated.

c) ResourcesA summary of the costs (consistent with the details in the Sheet A4 of Part A) should be given in a tabular form showing the different cost categories (see items 49 to 63 in the notes to the Part A forms), the total costs and the contribution requested to the Commission. A sufficient explanation and justification (per proposer, if relevant) should be given to enable the necessity of the proposed costs to be evaluated. The various cost categories should be related to the work packages. Amounts and sources of co-financing should be indicated.

C 5 Related projects, previous proposals and list of references (max. 1 page)Include a list of related projects, including those identified through the CORDIS http://www.cordis.lu or other databases. If the same or a similar application has been made within one of the previous programmes of the European Union, the proposal reference, the title of the proposal, the participants involved, whether the proposal was accepted or not, and any other relevant information. Include a list of relevant references cited in the proposal.

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Appendix 1C - Proposal Submission Forms for Concerted Actions/Thematic Networks

(Note: A concerted action/thematic network may by managed by a single contractor or by a consortium)The definition of the concerted action or thematic network is given in the guide for proposers part 1 as well as at the beginning of this document, see page 4).

Part A

The Forms and Notes for Part A can be downloaded from the programme web site (http://www.cordis.lu/fp5/src/forms_a.htm), or may be obtained via your National Contact Point (see Appendix 5) or the Programme Information Desk (see Section V.6.1).

When it is for a Target Action, the proposer must specify the Target Action Letter very clearly at the end of the proposal title. For instance, "Thematic Network on novel energy storage devices - TARGET ACTION K". The Thematic Priorities must still be specified on Forms A0 and A1 for all proposals.

Parts B and C

In the parts B (scientific and technological work) and C ( European added value, contributions to the social policies, exploitation plans and project management), the proposer must follow the structure given below.

If the consortium decides to submit the proposal Part B anonymously then there must be no reference in Part B to the names of the organisations involved in the consortium. The participants must only be referred to by the codes and numbers assigned to them in the administrative form A3. For EESD - Part B: Energy proposals anonymity is not required. Nevertheless, if anonymity is not respected it may cause problems if the proposal has to be transferred to another more appropriate programme, where anonymity is required.


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Part B Concerted Actions/Thematic Networks : Description of activitiesNB! Part B must normally be anonymous



When it is for a Target Action, the proposer must specify the Target Action Letter very clearly at the end of the proposal title. For instance, "Thematic Network on novel energy storage devices - TARGET ACTION K".


B 2 Scientific and Technical Objectives and innovation(up to 1 page)This section describes the scientific/technological objectives of the proposal. They should be achievable within the project, not through subsequent development, and should be stated in a quantified, measurable and verifiable form (outputs, impacts). Although the S/T objectives of the project are generally different from the quantitative goals and deliverables indicated in the relevant thematic priorities of the Work Programme (see B3), they are linked in that they enable the project to aim towards them. For instance, a S/T objective could be the co-ordination and monitoring of related RTD projects, and this then contributes to the Work Programme goals of higher efficiency and lower energy cost/kW. The progress and outcome of the project will be measured against these objectives in reviews and assessments.

Briefly outline the international state-of-the-art and the technical limitations of existing products, processes, technologies, methodologies, policies, standards, etc.

Explain the scientific and technological approach which is currently followed by the members of the network to improve the current state of the art.

Describe the main innovations which are expected to result from this network. Proposers should pay attention to the second priority of strategic importance to the EU : “Exploiting the potential of new ICTs in Energy RTD including e-science issues”. If appropriate, please expand on this aspect.

B 3 Contribution to the goals of the Thematic Priorities and Target Actions of the Work Programme (up to 1 page)This section describes which research areas (Thematic Priorities and/or Target Actions) are addressed by the proposal and how it will contribute to the objectives and goals laid down in the relevant parts of the Work Programme. Note that it is essential for a proposal responding to the general part of the call (i.e. addressing any of the topics in the work programme and not being part of a Target Action) to show a high degree of compliance with one, or preferably

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several, of the five priorities of strategic importance to the EU introduced in the Work Programme Update: October 2000. Proposals responding to the Target Actions will obviously have an added value if they are in line with one or more of these strategic priorities.

B 4 Work planThe main objectives of the network should be addressed in Work packages and tasks (see below).

The work plan describes the objectives, the network structure and the coherence of the work packages and tasks, role of participants, work content and deliverables. Where appropriate, the following elements should be provided: Project planning and time table (Table B2 in Appendix 1A); Description of work packages and tasks (1 page per work package)

according to the indicative structure of Table B3 in this Appendix 1C; Overview of all the deliverables of the network (Table B4 in this

Appendix 1C); Overview of important milestones with decision criteria (Table B5 in this

Appendix 1C);

The number and organisation of the Work packages depends on the size and scope of the network. Large Work packages can be sub-divided in Tasks. Work package Leaders and, where appropriate, Task Leaders should be nominated. A number of examples of possible work package topics is given below:

Work package “Network management” provides the basic infrastructure needed to operate the network. It includes the activities of the Steering Committee, the network secretariat (members administration, contracts administration, compilation of progress reports, cost statements, organisation of main meetings, etc.), the setting up and maintenance of the web-site and (electronic) communications infrastructure of the network.

Work package on collaboration of EU and, where appropriate, nationally funded RTD projects on a particular RTD topic. This could include day-to-day interactions between the member organisations and projects involved, co-ordination (and, where appropriate monitoring) of RTD activities related to this topic, information exchange, etc.. Short-term co-ordination / training visits between member organisations could also be organised in these work packages.

Work package “Mapping of Centres of Excellence” throughout the EU to support the establishment of the European Research Area.

Work package “Benchmarking coordination” to support pre-normative research promote harmonisation of standards to ease dissemination and exploitation of results.

Work package “RTD Strategy” addressing one or more of the following activities for the area of interest of the network: to jointly assess and

48

report on the international State of the-Art, to benchmark national and EU programmes, to develop a strategy, to regularly define and update the joint RTD strategy which is aimed at achieving the network objectives and at identifying the need for new RTD activities, studies, etc.

Work package “Exploitation, Dissemination and IPR” to define coordinated exploitation plans in order to improve the exploitation of the RTD results of the member organisations and projects. It organises coordinated activities for the dissemination of the RTD objectives of the network and its results and addresses questions related to the Intellectual Property Rights.

Work package “Training & Education” to initiate and co-ordinate training and education related activities relevant to the members’ RTD activities.

Work package “Standardisation” to interface on behalf of the Members to Standardisation Committees.

Etc.

49

Table B 3 Concerted Action/Thematic NetworkWork package description

Work package Title: WP No:

Starting date: month no. Duration: months Total Effort (man-months):

Member involved Role of Member Effort (man-months):

Objectives

Description of work / tasks

Deliverables

Milestones and criteria

Interrelation with other work packages

50

Table B 4 Concerted Action/Thematic NetworkOverview of deliverables

No1 Due Date2

W.P. / Task No.

Nature3 Description

.

Etc.

1) No : Numbers in order of delivery or due date (D1 – Dn for deliverables, M1-Mn for Milestones)2 ) Due date : Month in which the deliverables or milestones are due.

Month 0 marking the start of the project, and all due dates being relative to this start date.3) Indicate the nature of the deliverable, for example:

report, prototype, demonstrator, methodology, software code, sample, etc.

Table B 5 Concerted Action/Thematic NetworkOverview of milestones

No Due date

Brief description of Milestone objectives

Decision criteria for assessment

M1

Etc.

51

Part C Concerted Actions/Thematic Networks : Community added value and social objectives, S/T prospects, managementNB! Part C is non anonymous


C 0 Title and Acronym of Proposal

When it is for a Target Action, the proposer must specify the Target Action Letter very clearly at the end of the proposal title. For instance, "Thematic Network on novel energy storage devices - TARGET ACTION K".

C 1. Community added value and contribution to EU Policies (up to 2 pages)This section should describe what is the EU added value of the proposal and why the proposed project should be carried out at European instead of at national level. Address especially the need to increase the impact of scattered research efforts by co-ordination and the need to bring together European-wide expertise / resources. Make an estimate of the impact of the co-ordination in terms of acceleration of the RTD or decrease in RTD costs. Comment on existing co-ordination mechanisms that are relevant for the topic of the network. In view of the EU policy to construct a European Research Area (ERA), the co-ordination of EU and national RTD programmes and/or EU-wide networks (and international co-operation) is given priority. Networking EU and national research programmes, mobility of human resources and bench marking of EU and national research (e.g. research performance indicators) have been identified as a key instruments to deploy the policy priorities stated in the European Research Area. If appropriate, please describe how the proposal addresses these issues.

Where appropriate, this section should also describe and quantify how the results of the proposed project will contribute to the implementation or evolution of one or more of the EU energy-related policies such as Green House Gas (GHG) emission reductions and pre-normative research (which are two of the five priorities of strategic importance to the EU introduced in the Work Programme Update: October 2000). Other objectives are security and diversification of energy supply, achieving EU objectives related to Rational Use of Energy (energy savings of 12% by 2010) and RES (doubling of the RES share of energy production from 6% to 12% by 2010). Please quantify where possible.

C 2 Contribution to the environment and Community social objectives (up to 2 pages)This section should describe and quantify how the proposal will contribute to EU environmental and social objectives (where relevant referring to specific EU policies), such as :

52

Improving the environment (e.g. through pollution and noise abatement, solid waste reduction) and minimising use/conservation of natural resources;




C 3 Economic development and S/T prospects (up to 2 pages)This section should describe the strategic impact of the results of the proposed project in terms of creation of market opportunities (please quantify) or improvement of competitiveness for the participants. This could, where appropriate, include assessment of current and future cost targets and market size, competition, the benefits from using the products or services based on the results, pricing and potential sales.

This section should also describe, the plans for the dissemination and - if relevant - exploitation of the results for the network as a whole and for the individual participants in concrete terms. It should describe the tools and/or means to be used to disseminate the results, potential user groups and how they will be involved. It should detail the exploitation strategies in particular for the commercial/industrial organisations involved in the proposal. The exploitation plan presented in the proposal should be further detailed and refined during the duration of the project. The Intellectual Property arrangements among the participants and with sub-contractors and other parties should also be specified.

Finally this section should include an assessment of the wider Scientific and Technological prospects opened by this network. In this respect, you should also refer to the section on dissemination of results.

C 4 Description of the consortium (up to 1 page)Each member organisation must be committed to contribute actively to the achievement of the objectives. The consortium should include a range of stakeholders appropriate to the

technology and the foreseen use and dissemination of the results. This should ensure that the problems are properly defined, that the network objectives meet the requirements and that the research phase has the best chances of being successfully completed. The composition and commitment of the consortium should ensure that positive RTD results are followed through to exploitation. Effective participation of SMEs is strongly encouraged and their participation should be mentioned in this section. Where appropriate, collaboration with concerned international associations, federations, etc. is recommended. Previous co-operation between participants should be mentioned.

Provide a list of member organisations (Table C 1).

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Provide a table with an overview of the RTD projects and activities to be co-ordinated by the action (Table C 2).

C 5 Description of the member organisations (1/4 page per member)Give a brief description of each member organisation (which can include industrial and commercial organisations, universities, research organisations, policy making bodies, control laboratories, fraud fighters, etc) and its role in the network (e.g. technology and exploitation) and its facilities and/or expertise.

C 6 Network structure (1 page)Describe the network organisation, structure and communication flow.

The Co-ordinator is responsible for the day-to-day management of the network and is the interface with the European Commission. The management capability of the co-ordinator in terms of qualifications, availability and resources should be demonstrated. In case of a large network where many RTD projects may have to be co-ordinated, the relevant work package may be sub divided in tasks (or clusters) which are co-ordinated by Cluster Co-ordinators It is recommended to have a formal Steering Committee for taking important strategic and management network decisions.

Outline the communication flows and methods of the network. Apart from meetings, newsletters and reports, it is expected that there will be a need to set up and maintain a Web-site and efficient electronic communication systems to facilitate the communication between the Co-ordinator, Steering Committee, Work packages, Members organisations / Projects, the European Commission and external interested parties. See for example the web-sites set up by already existing networks such as the “Target Research Action on Environmentally Friendly Construction Technologies” at http://www.tra-efct.com. Specify methods for network progress control and planning (progress reports, working group reports, milestone reports, meetings, etc.).

C 7 Information on Resources and Budget (max. 2 pages)Include an overview of the costs of all proposers. Provide further sufficient explanation and justification per proposer to enable the proposed costs to be evaluated, especially concerning costs of consumables, equipment, subcontracting, computing, other specific project costs, protection of knowledge. Relate the costs to the activities in the Work packages and tasks. Consider the costs per year for the Co-ordinator of the network, the costs for co-ordinating a Work package or task, other costs incurred for the execution of a Work package and personnel /travel costs for the participants.

C8 Related projects and previous proposals (max. 1 page)Include a list of related projects, including those identified through CORDIS (http://www.cordis.lu) or other databases. If the same or a similar application is or has been submitted within one of the current or previous programmes of the European Union, indicate, wherever appropriate, the programme and proposal reference, the title of the proposal, the participants involved, whether

54

the proposal was accepted or not, and any other relevant information. State if the proposal is one of a group of related and co-ordinated (so called "ex ante clustered") proposals. If the proposal is clustered, include a brief description of the cluster, its objectives and the role and contribution of the present proposal to the cluster.

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Table C 1 Concerted Action/Thematic NetworkParticipating organisations

No1

Name2Country No. of

Employees3Main Mission4/

Business ActivityRole

1

2

3

1) use same participant numbers as in Proposal Submission Form A32) abbreviate long names if needed3) number of employees of the organisation4) main mission, e.g.: manufacturer of ., user of .., research organisation for .., policy making body for .. , university

department teaching …

Table C 2 Concerted Action/Thematic NetworkOverview of projects

Organisation1

Project ref.2

StartDate3

EndDate3

Annex4 Title of project5

1) Organisation which represents the project2) Project reference number or acronym (e.g. ENERGY ENK6-2001-9999 "ACRO")3) Project start and end date e.g. Feb. 20034) Annex: insert an X if there is an annex with further description of the project (no more than one page)5) Title of the project, other very brief important information

56

Appendix 1D – Proposal Submission Forms For INCO Bursaries

Appendix 1E – Special conditions for the INCO Programme

The above can both be down-loaded from the following web site : http://www.cordis.lu/fp5/src/forms_a.htm

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Annex 3 Evaluation Forms

Indicative

This annex presents examples of the forms used by the independent expert

evaluators to evaluate proposals for Research, Demonstration and Combined

projects, Accompanying Measures, Concerted Actions and Thematic Networks.

It does not supersede the rules and conditions laid out, in particular, in the

Evaluation Manual for the Fifth Framework Programme, and in Council and

Parliament Decisions relevant to the Fifth Framework Programme, to the

Specific Programme or to the Calls for Proposals in these Programmes.

58

Introduction

The evaluation takes place according to the procedures described in the current Fifth Framework Programme Manual of Evaluation Procedures, along with its Annex on the Specific Programme. Some further explanation is included in the Guide for Proposers Part 1, Section III.

The enclosed indicative versions of the Evaluation Forms show examples of the forms used by the external independent evaluators to record their assessments and scores for RTD proposals (research, demonstration, and combined) and for Accompanying Measures, Concerted Actions, and Thematic Networks.

The Forms shown are the same for proposals submitted to the Target Actions and General parts of the Calls, but some of the detailed questions differ in emphasis, in line with the Work Programme Update : October 2000. In particular, it is essential that proposals submitted to the General parts of the Calls should comprehensively and fully satisfy at least one, but preferably more, of the five "priorities of strategic importance to the EU" described in section 4 of the Work Programme Update : October 2000. For this reason, the Evaluation Forms contain special sections where the evaluators are asked to enter their assessment on this aspect of proposals submitted to the General parts of the Calls. While it is not essential for proposals to the Target Actions to specifically address the "priorities of strategic importance to the EU", doing so would surely add value to these proposals also.

The first set of Evaluation Forms is for Research, Demonstration, and Combined proposals and the second set is for Accompanying Measures, Concerted Actions, and Thematic Networks.

59

Evaluation Forms

for

Research,

Demonstration, and

Combined proposals

60

ENERGIE - Individual Evaluation Summary for RTD ProposalProposal no. NNE5-2001- Acronym TA or GEN Name of evaluator : Panel no. :Title :

I. Within scope?I.1. Is the proposal within the scope of the Work Programme? yes noI.2. If NO, please comment here …

……… and stop evaluating the proposal and inform the moderator immediatelyI.3. If YES, for a General Call proposal, go to Section II - Detailed evaluation.I.4. If YES, for a Target Action proposal, is it within the scope of a Target Action? yes noI.5. If YES to qn I.4. please give the Target Action Letter (A-L) and short TA title and go to Section II - Detailed evaluationI.6. If NO to qn I.4. inform the moderator immediately, to decide whether the proposal should be evaluated as a General Call or a Target Action proposal

II. Detailed evaluationPlease carry out the detailed evaluation on the following pages and then come back to summarise your results here. Scores should reflect the quality of the proposal as submitted by the proposers and the likelihood of it meeting its objectives :

Criterion Overall mark M

(Circle one)

Weighting W & (Threshold) Overall scoreMxWResearch Demo &

Combined1. Scientific/technical quality and innovation 0 1 2 3 4 5 3.5 (3) 2 (3)2. Community added value and contribution to EU energy-related policies 0 1 2 3 4 5 1.5 (3) 1.5 (3)

3. Contribution to the environment and EU social objectives 0 1 2 3 4 5 1 1

4. Economic development and S&T prospects 0 1 2 3 4 5 2 3

5. Resources, partnership and management 0 1 2 3 4 5 2 2.5 (3)

TOTAL (maximum 50): /50

III. RecommendationProposal recommended for consideration NO YES Max. Recommended EC funding (if

supported):

Key comments :

Priorities of strategic importance to the EU (for General proposals only) : Please comment on and assess the degree to which the proposal meets the priorities

Low Medium High

Date : Signature :

61

ENERGIE - Individual Evaluation for RTD Proposal

Proposal no. NNE5-2001- Acronym TA or GEN Name of evaluator : Panel no. :

Criterion 1. Scientific/technological quality and innovation

The sub-questions in all criteria are only examples of points to be considered - they may not apply to all proposals

1.1 Contribution to addressing the technical objectives:e.g. Are the S/T objectives expressed clearly and in verifiable (and where possible quantitative) terms?- Does the proposal meet WP targets such as reduced investment cost, running costs, efficiency, cost of energy, etc.- For demonstration projects: Is a clear energy balance provided (whenever appropriate)?Comments :

1.2 Degree of innovatione.g.Does the proposal demonstrate good awareness of the state of the art?- What is the degree of originality and progress beyond state of the art? - What is the level of risk and the planned scientific and technical handling of these risks?- Does the proposal exploit ICTs and e-science? (STRATEGIC PRIORITY FOR GENERAL CALL)Comments :

1.3 Adequacy of methodology and approach How likely is it that the proposal will meet its objectives?e.g. Is the approach, methodology and work plan adequate and credible for achieving the planned results?- Are self-assessment procedures incorporated?- Are the major project milestones and deliverables properly identified?- Are quantitative and/or qualitative criteria for assessing progress/performance clearly identified?Comments :

Overall comments for this criterion:

Overall mark (integer) out of 5

0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

62



Criterion 2. Community Added Value and contribution to EU energy-related policies

2.1 Community Added Value. e.g.Will the results be applicable on an European scale?- Does the proposal contribute to the European Research Area through co-ordination, benchmarking, networking and mobility

between EU programmes and other national or international activities? (STRATEGIC PRIORITY FOR GENERAL CALL)

Comments :

2.2 Contribution to EU energy-related policiese.g. Does the proposal make a positive contribution to EU Energy-related policies on GHG emissions and climate change

(STRATEGIC PRIORITY FOR GENERAL CALL), security and diversification of energy supply, increasing the share of new and renewable energies, energy saving through rational use of energy, internalisation of externalities?

- Are the expected results meaningful in respect to the Kyoto commitment?- Does the proposal include pre-normative RTD? (STRATEGIC PRIORITY FOR GENERAL CALL)

Comments :



0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

64



Criterion 3. Contribution to the environment and EU social objectives

3.1 Contribution to preserving and/or enhancing the environmente.g.Will the project contribute to the development of any environmentally friendly or energy efficient processes?- Will there be direct environmental benefits such as reduction of non-GHG emissions, noise, solid waste, other pollutants?- Will the project contribute to minimising use or conservation of natural sources?- Are the benefits quantified?- For demonstration projects: does the proposal make provision for an environmental impact assessment?

Comments :

3.2 Contribution to EU social objectivese.g.Will the project result in a positive effect, or at least no net adverse effect, on health and safety?- Will the project improve working conditions?- Will the project improve the quality of life?- Will the project improve employment prospects?- Is socio-economic research integrated into the proposal? (STRATEGIC PRIORITY FOR GENERAL CALL)

Comments :



0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

65



Criterion 4. Economic development and S&T prospects

4.1 Strategic impacte.g.What is the likely contribution of the project in terms of creation of market opportunities?- What potential does the proposal offer in terms of increased competitiveness?- For demonstration and combined projects: Economic viability: Is the payback calculation acceptable?

Is the payback time value appropriate for the types of application/markets considered?Comments :

4.2 Usefulness and range of applications and quality of exploitation planse.g.Are exploitation plans given, well-planned, timely and likely to materialise? - Is it likely that the results will be widely and usefully applied (by industry, public authorities and other users)?Comments :

4.3 Dissemination strategiese.g.Are dissemination strategies explained, and results and target groups (sectorial and/or geographical) identified?- Is the potential of new ICTs fully exploited for dissemination purposes?

Comments :



0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

66



Criterion 5. Resources, partnership and management

5.1 Quality of the management and project approache.g. Is an appropriate management structure proposed, with a clear communications strategy?- Are there clear and verifiable performance indicators?- For demonstration projects: Are authorisation procedures likely to be concluded in the near future?Comments :

5.2 Quality and appropriateness of the partnershipe.g.Do the partners have the skills and experience needed (including availability of personnel proposed?)- Is the role and function of each partner clear, and do they all have an important contribution to the project?- Are there suitable participants capable of exploiting the results according to the Technology Implementation Plan?- Note: potential end-users are highly desirable in any consortium- Are there significant advantages in the European dimension of the partnership?- If major sub-contracts are planned, are they justified?- If there are any third country partners, are they really necessary? (Would EC funding be justified?)Comments :

5.3 Appropriateness of the resourcese.g. Is the proposed action cost-effective in general / are the quoted costs justified?- Is the proposed manpower adequate?- Is the equipment, travel etc. reasonable for the size and type of project proposed?Comments : (Aspects that need attention/modification at negotiation stage)

(If applicable, please suggest a figure for EC funding in Section III)


Overall mark (integer) out of 5Note : the threshold of 3 does not apply to Research proposals

0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

67

ENERGIE - Panel consensus report for RTD Proposal p.1/2Proposal no. NNE5-2001- Panel no. : TA or GEN Title :

Target Action Letter and TA Title (if applicable) :1. Scientific/technological quality and innovation

2. Community added value and contribution to EU energy-related policies

3. Contribution to the environment and Community social objectives

4. Economic development and S&T prospects

5. Resources, partnership and management

6. Degree of fulfilment of the priorities of strategic importance to the EU (Please DO NOT answer for Target Action proposals)

Low Medium High 7. Overall remarks

Renewables % Non-Renewables Total project cost €Demo % Demo % Requested EC funding €

Proposal recommended for consideration

NO

YES

Max. Recomm. EC funding

€

Evaluator names

Criteria 1 2 3 4 5Scores MxW

Weighting W & (Threshold) : Research x 3.5 (3) x 1.5 (3) x 1 x 2 x 2Weight & (Thresh) : Combined&Demo x 2 (3) x 1.5 (3) x 1 x 3 x 2.5 (3)

Evaluator signatures Non-weighted marks M (out of 5)

Initial averages :Consensus marks/scores :

68

ENERGIE - Panel consensus report for RTD Proposal p.2/2Please DO NOT fill in this form for Target Action proposals

The fulfilment of one, or preferably several, of the five “Priorities Of Strategic Importance to the EU” to a High degree is a pre-condition for a GEN proposal to be recommended for consideration.

Proposal no. NNE5-2001- Panel no. : Only for GEN Title :

DEGREE OF FULFILMENT OF PRIORITIES OF STRATEGIC IMPORTANCE TO THE EU1. Management of greenhouse gases (GHG) emissions and climate change

Low Medium High 2. Exploiting the potential of new ICTs in energy RTD including e-science issues

Low Medium High 3. Socio-economic research related to energy technologies and their impact

Low Medium High 4. International cooperation, coordination with Member States research programmes and EU wide research networks

Low Medium High 5. Pre-normative research of interest at EU level

Low Medium High

69

Evaluation Forms

for

Accompanying Measures,

Concerted Actions, and

Thematic Networks

70

ENERGIE - Individual Evaluation Summary : AM , CA , or TN Proposal no. NNE5-2001- Acronym Open , TA or GEN Name of evaluator : Panel no. :Title :

I. Within scope?I.1. Is the proposal within the scope of the Work Programme? yes noI.2. If NO, please comment here …

……… and stop evaluating the proposal and inform the moderator immediatelyI.3. If YES, for a General Call, go to Section II - Detailed evaluation.I.4. If YES, for a Target Action or Open Call, is it within the scope of a Target

Action? yes noI.5. If YES to qn I.4. please give the Target Action Letter (A-L) and short TA title and go to Section II - Detailed evaluationI.6. If NO to qn I.4. inform the moderator immediately, to decide whether the proposal should be evaluated as a General or a Target Action proposal

II. Detailed evaluationPlease carry out the detailed evaluation on the following pages and then come back to summarise your results here. Scores should reflect the quality of the proposal as submitted by the proposers and the likelihood of it meeting its objectives :

Criterion Overall mark M(Circle one)

Weighting W & (Threshold)

Overall score M x W

1. Scientific/technical quality and innovation 0 1 2 3 4 5 2 /102. Community added value and contribution to EU energy-related policies 0 1 2 3 4 5

3 (3)/15

3. Contribution to the environment and EU social objectives 0 1 2 3 4 5

1/5

4. Economic development and S&T prospects 0 1 2 3 4 5 2/10

5. Resources, partnership and management 0 1 2 3 4 52 (3)

/10TOTAL (maximum 50): /50

III. RecommendationProposal recommended for consideration NO YES Max. Recommended EC funding (if

supported):Key comments :

Priorities of strategic importance to the EU (for General proposals only) : Please comment on and assess the degree to which the proposal meets the priorities

Low Medium High

Date : Signature :

71

ENERGIE - Individual Evaluation : AM , CA , or TN

Proposal no. NNE5-2001- Acronym Open , TA or GEN Name of evaluator : Panel no. :

Criterion 1. Scientific/technological quality and innovationThe sub-questions in all criteria are only examples of points to be considered - they may not apply to all proposals

1.1 Contribution to addressing the technical objectives and supporting innovation:e.g. Are the S/T objectives expressed clearly and in verifiable (and where possible quantitative) terms?- Does the proposal contribute to WP targets such as reduced investment cost, running costs, efficiency, cost of energy, etc.- Does the proposal demonstrate good awareness of the state of the art?- Will the proposed action contribute to increasing technology awareness and/or technology uptake?- Does the proposal exploit ICTs and e-science? (STRATEGIC PRIORITY FOR GENERAL CALL)Comments :

1.2 Adequacy of methodology and approach e.g. Is the approach, methodology and work plan adequate and credible for achieving the planned results?- Are self-assessment procedures incorporated?- Are the major project milestones and deliverables properly identified?Comments :


Criterion 2. Community Added Value and contribn. to EU energy-related policies2.1 Community Added Value. e.g.Will the results be applicable on an European scale?- Does the proposal contribute to the European Research Area through co-ordination, benchmarking, networking and mobility

between EU programmes and other national or international activities? (STRATEGIC PRIORITY FOR GENERAL CALL)Comments :

2.2 Contribution to EU energy-related policiese.g. Does the proposal make a positive contribution to EU Energy-related policies on GHG emissions and climate change

(STRATEGIC PRIORITY FOR GENERAL CALL), security and diversification of energy supply, increasing the share of new and renewable energies, energy saving through rational use of energy, internalisation of externalities?

- Are the expected results meaningful in respect to the Kyoto commitment?- Does the proposal support pre-normative RTD? (STRATEGIC PRIORITY FOR GENERAL CALL)Comments :



0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

72

ENERGIE - Individual Evaluation : AM , CA , or TN

Proposal no. NNE5-2001- Acronym Open , TA or GEN Name of evaluator : Panel no. :

Criterion 3. Contribution to the environment and EU social objectives 3.1 Contribution to preserving and/or enhancing the environmente.g.Will the project contribute to the development of any environmentally friendly or energy efficient processes?- Will there be environmental benefits such as reduction of non-GHG emissions, noise, solid waste, other pollutants?- Will the project contribute to minimising use or conservation of natural sources?Comments :

3.2 Contribution to EU social objectivese.g.Will the project result in a positive effect, or at least no net adverse effect, on health and safety?- Will the project improve employment prospects?- Is socio-economic research integrated into the proposal? (STRATEGIC PRIORITY FOR GENERAL CALL)Comments :


Criterion 4. Economic development and S&T prospectse.g. Is it likely that the results will be widely and usefully applied (by industry, public authorities and other users)?- Are exploitation & dissemination strategies explained and sectorial and/or geographical target groups identified?Comments :


Criterion 5. Resources, partnership and management5.1 Quality of the management and partnershipe.g. Is an appropriate management structure proposed, with a clear communications strategy?- Are there clear and verifiable performance indicators? - Do the partners have clear roles and the necessary skills and experience?(potential end-users are highly desirable)- Are there significant advantages in the European dimension of the partnership?Comments :

5.2 Appropriateness of the resourcese.g. Is the proposed action cost-effective in general / are the quoted costs justified?- Is the proposed manpower adequate?-Comments : (Aspects that need attention/modification at negotiation stage)

(If applicable, please suggest a figure for EC funding in Section III)


0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

0 1 2 3 4 5

74

ENERGIE - Panel consensus report : AM , CA , or TN p.1/2 Proposal no. NNE5-2001- Panel no. Open , TA or GEN Title :

Target Action Letter and TA Title (if applicable) :1. Scientific/technological quality and innovation

2. Community added value and contribution to EU energy-related policies

3. Contribution to the environment and Community social objectives

4. Economic development and S&T prospects

5. Resources, partnership and management

6. Degree of fulfilment of the priorities of strategic importance to the EU (Please DO NOT answer for Target Action proposals)

Low Medium High 7. Overall remarks

Renewables % Non-Renewables Total project cost €

Demo % Demo % Requested EC funding €

Proposal recommended for consideration

NO

YES

Max. Recomm. EC funding

€

Evaluator names

Criteria 1 2 3 4 5 Scores MxWWeighting W & (Threshold) x 2 x 3 (3) x 1 x 2 x 2 (3)

Evaluator signatures Non-weighted marks M

Initial averages :Consensus marks/scores :

76

ENERGIE - Panel consensus report : CA , or TN p.2/2 Please DO NOT fill in this form for AM or Target Action proposalsThe fulfilment of one, or preferably several, of the five “Priorities Of Strategic Importance to the EU” to a High degree is a pre-condition for a GEN proposal to be recommended for consideration.

Proposal no. NNE5-2001- Panel no. Only for GEN Title :

DEGREE OF FULFILMENT OF PRIORITIES OF STRATEGIC IMPORTANCE TO THE EU1. Management of greenhouse gases (GHG) emissions and climate change

Low Medium High 2. Exploiting the potential of new ICTs in energy RTD including e-science issues

Low Medium High 3. Socio-economic research related to energy technologies and their impact

Low Medium High 4. International cooperation, coordination with Member States research programmes and EU wide research networks

Low Medium High 5. Pre-normative research of interest at EU level

Low Medium High

77