European Commission - Specific RTD programme in the field of Information Technologies

SPECIFIC INFORMATION
DOCUMENT

ESPRIT
Call on R&D; Tasks
Two-Step Evaluation

"Supporting the growth and the spread of the Information Society"

February 1997


CONTENTS

1. Introduction
1.1. Objectives
1.2. Scope
1.3. Topics
1.4. Organisation of work
2. Participation
2.1. Rules on Participation
2.2. Financial and Contractual Conditions
3. Evaluation, Format and Criteria
3.1. The evaluation and selection process
3.2. Questions to be answered in a Proposal
3.3. Proposal preparation and evaluation criteria
4. Submitting a Proposal
5. Further Information
6. Annexes
Form 1 : Proposal Administrative Summary
Form 2 : Individual Participant Profile
List of Codes
Acknowledgement of Receipt Form
Glossary
7. List of National Contact Points

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1. Introduction

This document introduces procedures and rules for preparing proposals under the two-step evaluation process against tasks in the R&D; Areas of domains:

Proposers who want to prepare an R&D; proposal for a Single-Step Evaluation Call against Tasks in the R&D; Areas of Software Technologies (ST), Open Microprocessors Systems Initiative (OMI), Technologies for Business Processes (TBP), and Integration in Manufacturing (IiM) need to consult the separate Specific Information Document for R&D; Tasks under Single-step evaluation.

The introduction for proposals on Themes of the IT Work programme (IT for Mobility, Electronic Commerce, Information Access and Interfaces, Learning and training in Industry) is also given in a separate Specific Information Document.

Another Specific Information Document is available for proposers of R&D; proposals in the domain of Long term Research (LTR).

Finally a number of Specific Information Documents is made for proposals for Preparatory, Support and Technology Transfer Activities.

Proposers who are new to Esprit are advised to refer first to the Introduction for Proposers and the Work programme of Esprit.

All documents are available on request at the Esprit Information Desk:

Tel: +32 2 296.85.96 Fax: +32 2 296.83.88 E-mail: Esprit@dg3.cec.be

or at the Webpage

/esprit/home.html

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1.1 Objectives

Proposals for R&D; tasks are the main type of proposals in the Esprit programme. They should aim at covering technical work described in the tasks of the Work programme. In addition proposals against themes target at bringing together a range of different technical contributions for development of solutions for that theme. For the latter please refer to the Specific Information Document on R&D; for Themes, which describe the objectives in more detail.

The objective of the implementation of R&D; tasks in Esprit is:

1 "to provide and demonstrate the technological building blocks for information society applications and for application in industry to strengthen the competitiveness of all EU industry. The tasks are described in the 1997 Esprit Work programme."

In general, R&D; work should be well-focused, industrially relevant - which could include pre-normative work -, innovative and relevant at a European level.

In support of R&D; activities and their exploitation, the Esprit programme stimulates demonstration projects, validation and integration experiments and other technology dissemination and awareness activities, in combination with the R&D; or in separate activities.

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1.2 Scope

Proposals prepared following this document should fit within the overall scope of the IT programme, relate to the R&D; tasks and preparatory tasks that are described in the relevant Call published in the Official Journal and fall within the topics as described in 1.3.

This document is meant for Calls for proposals which will be evaluated in two step.

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1.3 Topics

Hereunder a short description is given of the topics which are covered by this document. Further details are given in the Esprit Work programme.

R&D; in Technologies for Components and Subsystems (TCS) are structured around three technical areas: semiconductor components and subsystems; microsystems; peripherals. The general approach is system oriented and application driven, and aims at reinforcing strengths and at exploiting technological opportunities drawing on appropriate technology solutions best filling the specific application requirements.

Within the Multimedia Systems (MS) domain two R&D; areas are identified in the Esprit 1997 Work-programme. Multimedia Technology aims at developing and integrating technologies to allow the creation, manipulation, display, access and storage of multimedia information. It also aims to build on existing standards and to contribute to the creation of new srandards where no appropriate industrial standards exist. Multimedia Objects Trading and Intellectual Property Rights Management aims at developing, integrating and applying technologies in view of building an appropriate open environment for ditribution, trading and use of digital multimedia objects. The work will be based on various business models and will focus on developping common rules & standards ensuring world wide interoperability across different users platforms, different media and application domains.

R&D; in High Performance Computing and Networking (HPCN) aims at helping all sectors of industry to exploit the opportunities offered by advanced computing and networking systems to add higher levels of intelligence, reach larger throughputs or ensure shorter response times in their products, processes or services.

For HPCN five R&D; areas with tasks are described in the Esprit Work programme for 1997: Simulation, Embedded Systems, Information Management and Decision Support, Networked Multi-site Applications; Development and Execution Environments.

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1.4 Organisation of work

Proposed projects should work towards concrete results and must from the outset have clear routes to exploitation. Consortia should be compact and comprise the minimum number of partners necessary to execute the work. Unnecessary duplication of skills and activities should be avoided.

Applications to this call should be targeted R&D; Proposals that comprise activities which sharply focus on the tasks described in the Work programme. Results should be commercially exploitable within a 3-5 year time frame. Proposers should clearly indicate the expected increment vis-à-vis the prevailing state-of-the-art and plans for commercial exploitation should be included in the proposal. Precise evaluation criteria are given in Section 3.3.

R&D; work could be complemented by demonstration work, including trial deployment of systems in an industrial or commercial context. This could, if not the major part of the work, be presented together with the R&D; in one proposal. Demonstration projects or trial applications can also be proposed separately in accordance with the guidelines presented in the Specific Documents for such proposals.

Similarly validation and integration experiments could be proposed following one of the schemes presented in Specific Documents for best practice proposals, e.g. ESSI or Best practice in TBP or IiM, and PST activities in HPCN.

The Commission is also willing to contribute financially to other RTD support measures which can be proposed through the Programme's continuous submission procedures. Examples of this type include, amongst others, industrial working groups on topics of common interest insofar as they support the Esprit Work programme.

Proposers should prepare their proposals in accordance with the structural recommendations and evaluation criteria given in section 3 of this Specific Information Document. All the necessary administration forms required to submit a proposal are provided in the accompanying annexes or available on diskettes or on the Esprit Web pages.

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2. Participation

2.1 Rules on Participation

From EU member states

The programme is open to all legal entities - i.e. people and organisations - established and carrying out RTD activities in the Member States of the European Union (industrial firms both large and small enterprises aimed at bringing products and services to the market - universities, higher education institutes, research organisations, etc.), and to the Joint Research Centre of the EC.

The group of proposers must contain at least two non-affiliated industrial participants from different member states or from one member state and one state associated and financially contributing to the Programme.

From associated and financially contributing states

Participation in this programme, with financial contribution from the EU, is open to any legal entity established or carrying out RTD activities in a third country associated with and contributing financially to the implementation of this Programme.

These are currently: Iceland, Israel, Liechtenstein and Norway.

From other European countries, Australia, Canada and South Africa

Legal entities established and carrying out RTD activities in other European countries or in countries who have concluded an S&T; agreement with the EU (not financially contributing as described above) may participate in the programme on condition that:

the participation is in the interest of EU policies

the minimum stipulated number of legal entities from the EU and associated and financially contributing states are involved

These states are at printing date: Albania, Armenia, Azerbaijan, Belarus, Bulgaria, Cyprus, Czech Republic, Estonia, Georgia, Hungary, Latvia, Lithuania, Malta, Moldavia, Poland, Romania, Russia, Slovakia, Slovenia, Turkey and Ukraine, for which financial support by the EU, would in the case of acceptance of the proposal, normally be provided from funds other than the Esprit budget (an explicit request for such funding has to accompany the proposal).

Swiss, Australian and Canadian organisations may participate under the above conditions, but without funding from the EC. It is expected that agreement with South Africa will be reached in early 1997, so that organisations from South Africa may from then on also participate under the above conditions without EC funding.

Organisations from other states

Legal entities established in states other than above listed, may participate on condition that:

the participation contributes effectively to the implementation of the Programme and provides mutual benefit to the interests of the EU and the state concerned

the minimum stipulated number of legal entities from the EU or associated and financially contributing states are involved

Organisations from Japan, Korea, New Zealand, Taiwan and the USA are not eligible for funding from the EU.

For organisations from other countries, financial support by the EU may be provided from funds other than the Esprit budget. An explicit request for such funding has to accompany the proposal.

International organisations

International Organisations may participate on condition that:

the participation contributes effectively to the implementation of the Programme

the minimum stipulated number of legal entities from the EU or associated and financially contributing states are involved

Financial support from the Esprit Programme may be provided to international organisations situated in Europe on a case by case basis. An explicit request for such funding has to accompany the proposal.

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2.2 Financial and Contractual Conditions

If your proposal is successful in the evaluation and is selected for further negotiation, the Commission services will contact you for finalisation of the Project Programme and budgetary aspects.

The Project Officer assigned to be the responsible Commission official will provide you with the necessary documentation. The time needed in this phase depends on the complexity and evaluators' comments, but normally negotiations would take between 4 and 8 weeks if the work is well planned by the consortium.

A goal of the two-step procedure is to obtain a full proposal which is already close to a Project Programme, as feedback from the first step of the evaluation will have already been taken into account by proposers.

The contract used for RTD actions is the standard Cost Reimbursement Contract for RTD as adapted to the Esprit programme.

The Commission has published an information booklet concerning the contracting conditions and the standard contract. You can obtain this booklet by request from :

**** e-mail: info-dg12@DG12.cec.be; fax: +32/2 295 82 20 ****

The contract provides explicit definitions of the partnership, the reporting obligations, the allowable costs and other financial conditions and the intellectual property right conditions. The contractual terms cannot be overruled by a consortium agreement, but the latter is recommended to provide further detail for the consortium on management and exploitation aspects. A model text is not available as it would depend very much on the specific situation of the consortium and work to be done under the associate contract.

The essential contractual/financial aspects for RTD contracts are the following:

The Commission contributes 50% of the actual allowable costs, including overheads. Labour rates, including overheads, need to be accepted by Commission services on the basis of a detailed explanation using analytical budget accounting. For universities and research institutions which do not use analytical accounting systems, the Commission may decide that they must use the so-called 100% additional cost method. This method excludes labour cost of permanent staff and allows only limited overheads. For precise details see the contract text.

Reporting on results is to be described in the Project Programme, which will form Annex 1 to the contract. Normally every 6 or 12 months cost statements and progress reports are required and a review meeting held with external expert reviewers, to monitor the progress.

Consortia consist of:

Normal partners or contractors, signing the contract and having full rights and obligations, including joint and several responsibility for the work. One of them will take the task of co-ordinator and is responsible for management and administrative tasks and for liaison with the Commission

Associate partners, whose interests normally lie in a restricted part of the work and whose shares are relatively small. They will have an associate contract with a normal partner and take no joint and several responsibility. Rights will be appropriate to their share in the work. The conditions on allowable costs, audits and reporting are the same as for normal partners. Associate partners provide standard cost statements and share in the costs of the work like normal partners

Sub-contractors, who provide services at market prices. The full costs are born by the partner, who also acquires ownership of the result. The full costs of the services are allowable and the Commission contributes to these costs

Intellectual Property Rights (IPR). The partner who creates (invents) will be the owner of the IPR. Every partner is obliged to provide free licenses for research and exploitation of the results obtained in the project to all contractors. They should also allow access on favourable conditions to background results where needed for exploitation of the project results. Partners have obligations to provide access to IPRs for research to EU and associated state participants in other projects. It is advised that you read carefully the precise contractual conditions, as stated in the Annex II of the standard contract.

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3. Evaluation, Format and Criteria

3.1 The evaluation and selection process

The ESPRIT programme has procedures for both one and two step proposal submission and evaluation.

The submission and evaluation of the proposals as described in this information package will be done in two steps.

The call will specifically describe if a one-step or two-step procedure is used to evaluate proposals in an area of the Workprogramme. Please make sure that you use the right procedure for your proposal. A full proposal will not be invited for a second step evaluation if the short proposal has not been evaluated positively.

Proposers must submit first a short proposal, which will be evaluated against the criteria given for short proposals in section 3.3. These relate notably to objectives and technical quality, industrial and societal relevance, European dimension and adequacy of consortium and resources.

As a result of this part of the evaluation, proposals will be classified. This classification cannot be changed, regardless of eventual submission of a full proposal.

Proposers having submitted the proposals classified best, will be invited to submit a full proposal within a period of two months. Other proposers will, normally within 6 weeks after the submission deadline, receive information on the results of the evaluation of the short proposal.

A full proposal must contain in addition to the information of the short proposal: detailed work and exploitation plan, project management procedures and further details on proposers and resources (see criteria in section 3.3). The full proposal is intended to constitute the Project Programme annexed to the shared cost contribution contract if the proposal were to be selected for funding.

A full proposal will be evaluated according to the criteria for full proposals given in section 3.3.

Submission upon invitation of the Commission of a full proposal implies that such proposal stands a reasonable chance of being selected for funding. In practice it appears that at least one out of three invited full proposals will be funded.

All proposals are evaluated by a panel of specially selected experts who are all bound by a confidentiality agreement and a code of conduct to avoid conflicts of interest. The evaluation will be exclusively based on the criteria set out in this section and will include assessment of the conformity of the work with the objectives and topics as stated in sections 1.1 and 1.3 of this Specific Information Document. The evaluation will be carried out under the responsibility and co-ordination of the Commission who will also interact with associate Programmes, e.g. Telematics Applications, ACTS, IMT.

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3.2 Questions to be answered in a Proposal

When making a proposal, proposers should ask themselves the following questions:

The Why

The industrial relevance concerns the industrial context the proposal refers to, including market situation, needs and opportunities, technical state-of-the-art, and outstanding problems.

The What

The objectives set the specific business and technical targets to be achieved by the proposers, whereas results define the concrete outcomes of the project. They should be innovative within their specific industrial context and provide benefits to a wider community than solely the proposers themselves.

The Who

The proposers include both individual proposers with their profiles and skills and their collaboration, where synergism among partners roles should appear. The soundness of the proposing group is not limited to the technical ability to perform the work, but includes aspects such as whether the work is in-line with the core business of proposers and whether business co-operation among participants is possible, credible and potentially successful.

The How

Exploitation planning addresses the ways to achieve business objectives and provide the expected benefits during and after the project, whereas the work planning mainly concerns the identification of activities needed to achieve technical objectives and how they are co-ordinated with the business aspects.

Duration and resources concerns the staffing and time scale of activities identified in the work plan, whereas Project management focuses on how all the components above are managed to achieve success.

You should keep the above basic questions in mind while fulfilling the criteria detailed below. These criteria address the different aspects of a proposal in detail, and will be used by the expert evaluators to assess how it answers the basic questions above, while conforming with the scope and objectives of the Programme and showing the necessary European-level added value.

The criteria are designed to provide a fair, practical and consistent way of establishing to what extent proposals meet the goals of Esprit. The same set of criteria are used in all evaluations of Industrial R&D; proposals.

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3.3 Proposal preparation and evaluation criteria

In this section we will specify the recommended structure of, and the evaluation criteria which need to be satisfied by proposals.

A proposal is comprised of two parts :

Part 1: providing the administrative and financial data

Part 2: providing the technical description of the proposed project.

You may submit proposals in any official language of the EC. However, it is appreciated to supply at least the summary in English as this will assist the speedy evaluation of proposals.

Note: For the September 1997 call the preffered method of submission for all short proposals (first-step proposals) in all domains is using the electronic submission procedure. The Commission strongly encourages all participants to use electronic submission if it is possible.


The description of the proposal structure given below, includes the criteria which have to be addressed in each of the sections. Certain criteria might be addressed in several sections of the proposal. In such cases it is advised to refer in the relevant section to other places in the proposal which should be taken into account for assessment.

Part 1: administrative and financial data

To complete Part 1 of the proposal you need to complete all the forms as given in Annex 1. You can obtain an electronic version of these forms on a diskette or download it from the Esprit Web pages. You are strongly recommended to use this way of data preparation and send the prepared diskette along with the proposal (this is not relevant in case of electronic submission when the full proposal is submitted electronically).

If you use the diskette or Web software to prepare a diskette, it will make it easier to fill in the correct data in the right format. You can also make clear print-outs and it will help Commission services to enter your data quickly in their database. Of course, you may complete the paper forms, or the forms as they are provided by other programmes for RTD Project proposals, as these contain the same questions. In either case, please follow carefully the detailed instructions.

A complete Part 1 comprises :

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Part 2: Description of the Proposed RTD Project

The following two sections present proposal preparation and evaluation criteria respectively for short and full proposals.

3.3.1 Preparation and evaluation criteria for SHORT PROPOSALS

Part 2 (your project description) should follow the recommended structural outline given below, and provide in no more than 10 pages all the information requested. It should contain the following sections:

The description of these sections as well as the criteria used for assessment are given below. Evaluators will be asked to use these evaluation criteria to assess your proposal.

It goes without saying that evaluators are best helped in conducting their task if the information provided is concise and follows the recommended structure. Any irrelevant information should be avoided.

Technical Summary

This section should be one page and should capture the essence of the proposal. It should summarise :

Note: This may be a copy of the 1000 character summary given in Part 1 (form 1a).

Project Objectives and Scope

The rationale for the project should be clarified. In particular:

Criteria to be addressed in this section are:

Industrial relevance and impact on society

Important aspects are:

Criteria to be addressed in this section are:

European dimension

Address the relevance of the work to the competitivety of European industry and the interdependence with ongoing national, European or international programmes

Criteria to be addressed in this section are:

The Proposers

Present the rationale for the specific consortium and include:

Criteria to be addressed in this section are:

Duration & Resources

The duration should be rationalised in relation to the objectives to be achieved. Estimates of the resources (manpower, equipment, etc.) should be presented for each partner for each work package and summarised at the project level.

Criteria to be addressed in this section are:

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3.3.2 Preparation and evaluation criteria for FULL PROPOSALS

Part 2 (your project description) should follow the recommended structural outline given below, and provide in not more than 30 pages all the information requested.

Full proposals should contain the following sections of the short proposal (updated or further detailed as appropriate):

plus the following sections (new or extended from the short proposal):

The description of the extended or new sections as well as the criteria used for assessment are given below. Evaluators will be asked to use these evaluation criteria to assess your proposal.

It goes without saying that evaluators are best helped in conducting their task if the information provided is concise and follows the recommended structure. Any irrelevant information should be avoided.

Please keep in mind that it is intended to use the full proposal as the Project Programme to be annexed to the contract, if the proposal were to be selected. Ideally no further negotiation should be needed.

Project Work plan

Describe concisely the work planned to achieve the objectives of the project and include the following elements :

Criteria to be addressed in this section are:

Exploitation plan

Outline the consortium's strategy for exploitation of the foreseen project results. It should include the exploitation plans of each of the partners in terms of :

Criteria to be addressed in this section are:

Project management

The project management could form one of the work packages described under Project Work plan. Here one should address:

Criteria to be addressed in this section are:

The Proposers

Present the rationale for the specific consortium and include:

Criteria to be addressed in this section are:

Duration & Resources

The duration should be rationalised in relation to the objectives to be achieved.

Resources should be presented as follows:

Criteria to be addressed in this section are:

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4. Submitting a Proposal

Each proposal must have a co-ordinating proposer, shortly co-ordinator, and this section of the information package is primarily directed to him. Normally, the co-ordinator will become the project co-ordinator, if the proposal is ultimately successful.

Proposals should be submitted by you, co-ordinator, and you will be responsible for the liaison with the Commission.

You should submit one full original of each proposal plus 6 copies. This includes the forms and any useful information you choose to include, as long as it is relevant and limited in length.

It is your responsibility to assemble the proposal and you should submit it in one parcel.

It is also your responsibility to ensure that the proposal is delivered at the appropriate address before expiration of the deadline.

Note: For the September 1997 Call the preferred method of submission for all short proposals (first-step proposals) in all domains is using the electronic submission procedure. Information on calls using electronic submission, and on its procedure, will be available through the Esprit Information Desk and on the Esprit Web pages.

Delivery of your Proposal

Your proposal should be sent by courier or postal services or delivered by hand to:

IT Programme Office
Boulevard du Souverain, 191-197
B-1160 Brussels
Belgium

You must clearly mark on the parcel:

'Confidential: Proposal for the programme for RTD in Information Technologies (Esprit)'

Important note

Do not send proposals by fax or E-mail. Do not announce by fax or telephone that the proposals are in the mail. Faxes and telephone calls of this nature hinder the operation of the Commission in handling proposals, and will not be acknowledged. Until two weeks have elapsed, do not telephone or fax to enquire whether your proposal has been received.

Do not send or deliver your proposal to Esprit Commission Offices. This would create considerable delays. The only correct address is the one mentioned above.

Deadlines for Submission

The deadline for submission of the short proposal is normally one month after the date of the Call for Proposals. The precise information is given in each call and should be carefully checked and adhered to. Proposals which are received after the deadline are not eligible.

Normally proposers invited to submit a full proposal will have two months to prepare the full proposal. Deadlines will be indicated in the invitation letter.

In the case that an RTD proposal results from a SME Exploratory Award and the share in the proposed project costs of the SME proposers which received the award will be more than half of the total proposed cost, the RTD proposal can be submitted continuously, at any time.

Acknowledgement of Receipt Form

You should include – in the parcel in which the proposal is delivered - a separate envelope containing the official 'Acknowledgement of Receipt' form as given in the Annex. On this you – the co-ordinator - must put your organisation's name and address and the title of the proposed project. This will ensure that the acknowledgement is returned to you correctly addressed.

Before it is returned, however, the Commission's reception staff will record the date of receipt and a unique reference number on the form. This reference number must be used in all subsequent correspondence relating to the proposal.

You should ensure that all proposers are given the proposal reference number and use it in all contacts with the Commission.

If you do not receive an 'Acknowledgement of receipt' within two weeks after the closing date of the Call, or the date of submission in case of a continuous Call, you should send a fax to the IT Programme office (Fax: + 32 2 6637200), indicating the acronym, title, domain, type of action and name of co-ordinator. You will receive an answer by fax within one week. You are strongly advised to retain proof of dispatch if the proposal is mailed or sent by courier.

Submitting the proposals to other programmes

You are advised to submit proposals only once and to not send proposals which are essentially the same to different domains of the Esprit Programme or different programmes.

If the proposal is related to other Esprit domains or to other Community programmes you are advised to indicate this in the proposal itself or in an attached covering letter.

In any case you should give details on similar proposals on form 1a and sign the declaration.

The IT programme will take your comments in account and when appropriate involve the other domains or other programmes in the evaluation.

The IT programme reserves the right to redirect the proposals to another domain than indicated by the proposers or to another programme if EC staff or evaluators indicate that that would be more appropriate.

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5. Further Information

If there are further questions on the content of this Specific Information Document or if there is a need for further clarification in matters relating to the call, please contact:

Esprit Information Desk
European Commission DGIII/F
N105 8/94
Rue de la Loi 200
B1049 Bruxelles, Belgium.
telephone: +32.2.296.85.96
fax: +32.2.296.83.88
email: Esprit@dg3.cec.be


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6. Annexes

Form 1a : Proposal Administrative Summary
Form 1b : Proosal Administrative Summary (continued)
Form 2 : Individual Participant Profile
List of Codes
Acknowledgement of Receipt Form
Glossary

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FORM 1a : PROPOSAL ADMINISTRATIVE SUMMARY

Programme Name: Esprit

Acronym:(max 10 chars)

Proposal Title:(max 160 chars)
Contact Person during the Proposal Evaluation
First Name: Family Name:
Organisation Name:
Department Name:
Street Name: Street No:
Post Code City Country:
Telephone: Fax:
E-mail:
Project synopsis (maximum 1000 characters)











Please sign your answer to the following question

To the best of your knowledge, has this proposal, or a proposal that is similar in content, with your involvement or with the involvement of any of the partners in your consortium, been submitted to any other domain of Esprit or EU research programme?

Yes / No

If your answer is Yes, please give details (title of proposal, coordinator, name of programme, when submitted).





Signature of Contact Person............................................................................................
FORM 1B : PROPOSAL ADMINISTRATIVE SUMMARY (continued)
Proposal resources breakdown

Programme Name: Esprit

Action Type: PI Acronym (max 10 char):
Proposal Title (max 160 char):

Work Programme Tasks (c):
1st Choice:
2nd Choice: 3rd Choice: Duration (in months)
List of participants

No

Organisation Names (d)

Country (b)

Admin.Role (b) (C/P/A)

Org. Type (b)

Funding Regime (e) (S/A)

Global Costs in ECU (f)

Effort in Person Years (g)

Total Costs: Total Funding: Total Person Years:

Please copy this form if more space is needed to list the participants.

The participation in the Proposal of all the Partners and Associated Partners, and at the levels indicated above, must be formally sanctioned by representatives of the said organisations in letters accompanying the proposal.

(b) A list of codes is supplied in this Annex.

(c) See Work programme.

(d) Short name for participants that use such a name in Form 2, and legal name if such a short name does not exist.

(e) S for shared costs funded at 50% and A for Research Institutes or Universities with funding at 100% of additional costs. Research Institutes or Universities might be obliged to be funded at 100% of additional costs if they cannot demonstrate that an analytical budget accountancy system is used which can appropriately support the cost reporting required.

(f) If funding regime A is chosen, the figure should only cover additional costs. Costs per partner are not required for short proposals.

(g) In case of funding regime A, the figure should cover the whole effort (and not only the additional one).

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FORM 2 : INDIVIDUAL PARTICIPANT PROFILE
Programme Name: Esprit Acronym:
Proposal Title:
Legal identification of the Participating Organisation
Short name (h): Legal Status (i): Organisation Type(l):
Company Registration No: VAT No:
Legal Name (j):
Department Name (if applicable):
Legal address of the Participating Organisation
Street Name: Street Number:
Post Code: City: Country :
Telephone No: Fax No:
Organisation's role in the proposal
Administrative role (l) (C/P/A): Functional role(l) (S/U): Relevant industrial sector (l):
Organisation details (if applicable)
Number of employees: Is the participant an SME (Y/N)? (k)
Is your organisation affiliated to any other participant(s) in the proposal (Y/N)? (k):
If the answer is Y, please indicate the participant(s) name(s):




(h) A Short name should be included only if it is in common use outside the organisation (max. 20 char.).

(i) e.g. SA, Ltd, GmbH, AG, EEIG, etc.

(j) The legal name is the one used in contracts.

(k) For definition see glossary.

(l) A list of codes is supplied in this Annex.


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LIST OF CODES

1. Action Types
PI Industrial R&D; Project
2. COUNTRY
Code Name Code Name Code Name
A Austria FL Liechtenstein N Norway
B Belgium GR Greece NL Netherlands
CH Switzerland ISR Israel P Portugal
D Germany I Italy S Sweden
DK Denmark IRL Ireland SF Finland
E Spain ISL Iceland UK United Kingdom
F France L Luxembourg
Other according to standard ISO list
3. ADMINISTRATIVE ROLE
C Coordinator A Associate Partner P Partner
4. ORGANISATION TYPE
U University A Public Administration R Research Institute
I Industry O Other
5. FUNCTIONAL ROLE
S Supplier U User
Please note that this relates to the specific role that your organisation has in this proposal with respect to its expected results. If both apply please choose the one most relevant in this project.
6. INDUSTRIAL SECTORS
Identify the relevant industrial sector of the organisation in the proposal and include the corresponding code in the appropriate space on Form 2
Code
Business
Finance and Insurance FI
Business, legal and management consultancy; holdings BC
Publishing, printing and reproduction of recorded media PP
Real estate activities RE
Renting and leasing RL
Lodging and restaurants LR
Technical testing and analysis TA
Wholesale and retail trade; repair of goods WR
Community activities
Community service activities CS
Education ED
Energy production and distribution; gas and water supply EN
Health and social work HS
Recreational, cultural and sporting activities RC
Recycling CY
Post and telecommunications PT
Transportation services TS
Engineering (other than software engineering)
Electrical engineering and related technical consultancy EE
Mechanical engineering and related technical consultancy ME
IT activities
Audiovisual consumer electronics IA
Electronic components IC
Electronic engineering and related technical consultancy IE
Industrial process control systems IP
Office machinery and computers IM
Software consultancy and supply, data processing and related Services IS
Manufacturing
Aircraft and spacecraft AS
Metals and alloys MA
Chemical products CP
Fabricated metal products, except machinery and equipment FM
Food products and beverages FB
Furniture FV
Leather and leather products LL
Machinery, electrical and electrical instruments EQ
Medical, precision and optical instruments IN
Non-metallic mineral products MP
Pharmaceuticals, medicinal chemicals and botanical products PH
Pulp, paper and paper products PA
Rubber and plastic products RU
Textile and textile products TE
Vehicles for land transportation VL
Vehicles for sea transportation VS
Wood and wood products WW
Other activites
Agriculture and forestry AF
Construction and building CB
Fishing FS
Mining and quarrying MQ
Telecom products IT
Activity code not provided above NN


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Acknowledgement of receipt

European Commission
Directorate General III: Industry
RTD: Information Technologies

Please write the name and address to
which the acknowledgement of receipt
should be sent in the box








VERY IMPORTANT

We may ask the representatives of proposers to attend meetings and/or provide further information at any time after the closing date and especially in the first two months after this date. In your own interest please ensure that representatives are available at short notice during this period.

To be completed by Coordinating Partner

Reference :

Proposal Title :

Acronym :

Domain :

To be completed by Esprit Evaluation Coordinator

We are pleased to acknowledge receipt of your proposal above on :..................................................................


Your proposal is registered under Nr: ........................ (Please refer to this proposal number in future correspondence)



Yours sincerely,




Esprit Evaluation Manager


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Glossary

Affiliated Organisation Two organisations are affiliated if either one directly or indirectly controls the other or if both are directly or indirectly controlled by the same parent organisation. Organisation A is considered as controlling B if:
  • A holds more than 50% of the share capital of B, or
  • A holds more than 50% of the shareholder's voting rights of B, or
  • A holds the decision making powers of B
CORDIS Community Research and Development Information Service (see Section 5 in Introductory Booklet)
EC European Commission
EU European Union
EEA European Economic Area, includes the EU, Iceland and Norway. The EEA agreement is not in force for Liechtenstein at the time of printing this document
EEIG European Economic Interest Grouping. A legal entity consisting of several European organisations which could participate as such in a project under an EU programme. A guide to the role of EEIGs in RTD can be obtained from the IT Programme Information Desk (see section 5 in Introductory Booklet) and more detailed documentation is also available from Directorate General XV (Financial Institutions and Company Law)
EFTA European Free Trade Association, includes Iceland, Liechtenstein, Norway and Switzerland
ESSI European Software Systems Initiative, a best practice activity in ST
HPCN High Performance Computing and Networking: one of the four focused clusters in the IT work programme
ICT Information and Communication Technologies
IiM Integration in manufacturing: one of the four focused clusters in the IT programme
IT Information technology
IPR Intellectual property rights
JRC Joint Research Centre of the EC
LTR Long term research: one of the domains in the IT work programme
MS Multimedia systems: one of the three domains of underpinning technologies in the IT work programme
OMI Open microprocessor systems initiative: one of the four focused clusters in the IT work programme
RTD Research and technological development, including demonstration
SME Small/medium sized enterprise. For SME Exploratory Awards, enterprises will be eligible if they satisfy simultaneously the following three criteria:
  • has no more than 500 employees
  • has an annual turnover of not more than 50 million ECUs
  • is no more than one third owned by an organisation that does not satisfy the first two criteria, unless it is a financial investor such as a bank or venture capitalist
ST Software technologies: one of the three domains of underpinning technologies in the IT work programme
TBP Technologies for business processes: one of the four focused clusters in the IT work programme
TCS Technologies for components and subsystems: one of the three domains of underpinning technologies in the IT work programme


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Template for Short Proposal

The Part 2 of a short proposal should not exceed 10 pages, and indicatively have the following organization and size (see section 3.3 for details).


Template for Short Proposal

The Part 2 of a full proposal should not exceed 30 pages, and indicatively have the following organization and size (see section 3.3 for details).

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7. Esprit National Contact Points

National Contact Points will help if you have any questions about the Programme and the preparation of proposals.

A list of National Contact Points is available for consultation.


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The URL of this document is /esprit/src/ind-2st.htm

It was last updated on 8 September 1997 and is maintained by Esprit