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

SPECIFIC INFORMATION
DOCUMENT

ESPRIT
Call on R&D; Tasks
Long Term Research

"Contributing towards a long-term industrial vision"

February 1997


CONTENTS

1. Long Term Research in Esprit
1.1. Objectives of Long Term Research
1.2. Scope and Topics
1.3. Organisation of work
2. Participation
2.1. Rules on Participation
2.2. Financial and Contractual Conditions
3. Evaluation, Format and Criteria
3.1. Selecting the scheme for a proposal
3.2. The evaluation and selection process
3.3. Proposal preparation and criteria for evaluation
3.4 Open LTR Projects : Conditions for Extension into a Second Phase
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. Long Term Research in Esprit

This document introduces procedures and rules for preparing proposals against R&D; Tasks in the domain of Long Term Research (LTR) of the Esprit Programme. In particular, it describes the following schemes. (1)

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 :

E-mail: email removed

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(1) Note : There is a third LTR scheme, called the Pro-active scheme, that has focused on the following two strategic areas:

If a further Call for Proposals is published for the Pro-active schemes, additional documents describing the schemes will be issued at the time. The rest of this document deals with the Reactive and the Open schemes only.

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1.1 Objectives of Long Term Research

The objective of Long Term Research (LTR) is to ensure that at any one time the potential for the next wave of industrial innovation is maintained and that the scarce expertise underpinning European information technology (IT) RTD is replenished in those areas where it is most needed.

Long Term Research in the Esprit programme contributes to bridging an important gap. On one side of the gap we have research aimed at pushing the frontiers of knowledge and understanding. This research, through its close association with universities and the training of new scientists and engineers is being mostly addressed at the national level.

On the other side of the gap, we have purely industrial research and development. In an area such as information technology, with its ever shortening product life-cycles, this research is increasingly and necessarily short-term.

A longer term industrial vision is increasingly necessary but less and less affordable, especially by smaller businesses. Moreover, the limiting factor for this vision is not so much the scarcity of finance as the scarcity of highly skilled human resources which, for the interdisciplinary research needed by today's technology, have to be brought together from many different parts of Europe.

In other words, LTR seeks projects that address present or future industrial problems, or opportunities, unconstrained by immediate short-term expediency. These projects should help build a long-term industrial vision.

The industrial relevance of LTR projects neither detracts from the requirement of quality nor does it diminish the value of original and visionary thinking. LTR aims at environments from which appropriate partnerships between industry and academia may evolve. Environments in which academic free-thinking turns into useful and timely product or service, and in which entrepreneurship based on innovation is given every chance to flourish.

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1.2 Scope and Topics

Proposals prepared following this document should fit within the overall scope of the IT programme, relate to LTR tasks ( 4.1 or 4.2 ). and fall within the topics as described below. For Reactive LTR, calls are published periodically in the Official Journal and proposals must be submitted before expiration of the deadline indicated in the call text. For Open LTR scheme proposals can be submitted at any time while the call is open, as described in the "Continuous Submissions" section of the Call for Proposals .

Both "tasks" described in this document cover proposals for advanced research in future and emerging technologies in the same broad area of information technology. Neither task gives a prescription of the specific technological topics to be addressed: indeed, the ground covered is defined in a completely "bottom-up" fashion, through the selected proposals, by the research community itself. Moreover, the proposals being selected have an increasing tendency to be highly interdisciplinary and to defy traditional classification.

Why is it then that two tasks are defined, both for "bottom-up" defined proposals in LTR in IT ?

The reason is that there are a number of factors which can combine to make different mechanisms of evaluation, management and funding more appropriate for some proposals than others. These mechanisms we have called "schemes" (the "open" and the "reactive" LTR schemes) and are described in this document. Factors which affect the choice of scheme can be the maturity of the research in the area of the proposal, the risks involved, how known these risks are and many others. This document aims to guide the user in the selection of the most appropriate scheme, as well as the preparation of a proposal within the scheme chosen.

What is common to both schemes, apart from their bottom-up nature, is the requirement for the proposals to be for advanced research whose industrial finality is clear. A proposal for pushing the frontiers of knowledge for its own sake is unlikely to succeed, just as a proposal for the development of an industrial application based on existing knowledge will be rejected. Likewise, a proposal for the incremental improvement of some industrial process is not likely to be considered to fall within the scope of Long Term Research. Experience has shown that as many proposals are being rejected for being too upstream as for being too downstream.

Technologically, therefore, LTR is oriented to those domains of activity where originality and risk-taking combine to produce eventual breakthroughs. A good partnership between industry and academia is often the best way to ensure that the ideas researched carry through to the marketplace, but industrial participation in a consortium is not obligatory for two reasons: (a) Industrial partners may not wish to invest a lot of effort in the early stages of a project when the risks are not known. They may form useful extra-project relationships with academic partners and join later, if an opportunity presents itself. (b) Any academic is viewed as a potential entrepreneur once the research worked upon proves its value.

The two schemes are not just alternatives for the same proposal to be submitted. If the open scheme is suitable for a given proposal, the reactive scheme is unlikely to be suitable, and vice-versa. The following is a brief summary of the different nature of the two schemes:

The Open LTR scheme is for trying out ideas which promise very high returns if successful but whose risk is unknown, or whose credibility needs to be further established before a substantial investment is put into a major R&D; effort. It consists of a first phase during which risk assessment is carried out, credibility of feasibility is established etc. Success in being funded for this exploratory phase is to a large extent predicated on criteria set out by the proposers themselves. If the referees assess that fulfilling the criteria is very likely, then the project is being proposed in the wrong scheme - it means that the risks are known, or low, and that the two-phase approach is certainly not justified.

The Reactive LTR scheme is for projects where it is known exactly what problem is being solved if the research proposed is eventually successful. It is less likely that a proposal suitable for this scheme would be submitted in the open scheme. However, there have been some cases when a relatively simple but very high risk component of the technology predicates the success of the major part of the project, in which case the "open" scheme may be more suitable.

1.3 Organisation of work

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.

Direct industrial participation is not obligatory in LTR projects, but the projects must address present or future industrial problems or opportunities. These projects do not have immediate short-term market expediency; however they must lead to innovative and improved technologies with clearly identifiable route for their take-up by industry. Precise evaluation criteria are given in Chapter 3 .

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

The contract used for RTD actions is the standard Cost Reimbursement Contract for RTD as adapted to the Esprit programme, except for Open LTR Phase 1 projects where a Fixed Contribution Contract is used..

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: email removed ; ****

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 Cost Reimbursement Contracts contracts are the following:

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

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3. Evaluation, Format and Criteria

3.1 Selecting the scheme for a proposal

The Open LTR Scheme is designed for developing highly novel IT-related ideas which are industrially relevant. Such ideas should not have been tried before and are characterised by a level of risk which is unknown , for instance because there is no current experience on which to base this assessment. The Open scheme can offer a fixed lump sum of up to 100 KECUs to help you to demonstrate concretely the value of your idea over a period of up to 12 months. If this first phase is successful, the follow-on second phase, a full-scale RTD project, may follow.

The Reactive LTR scheme is designed to ensure that the Long Term Research part of the IT programme provides for projects that respond to well identified industrial needs for complementary long term research work in areas related to any domain of IT RTD activities. These projects typically incorporate advanced research and the development of new technologies. Projects are therefore expected to have substantial involvement of research organisations. It is also expected that the proposed long term research will be characterised by a high level of risk. However, this risk should be known and acceptable . Industrial relevance and potential impact are central to these projects , and the routes and mechanisms for the take-up of results must be identified. Direct industrial participation is not mandatory, but could be seen as a proof of relevance. Industrial relevance, whatever way it is demonstrated, is an essential positive element for success.

You should select the Open LTR Scheme:

You should select Reactive LTR Scheme:

In both cases, "long term" research does not have to mean a long-term project. Innovation often means to shrink the time needed to solve a hard problem. Such a potentially high-risk approach is often the condition of breakthroughs and, as such, is welcome. In this sense "long term" can be seen as a product of time and risk.

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3.2The evaluation and selection process

All proposals are evaluated by 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 1.2 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.

The ESPRIT programme has procedures for both one and two step proposal submission and evaluation. The submission and evaluation of the Open LTR Proposals (Phase 1) will be done in a single step, and the submission and evaluation of the Reactive LTR Proposals in two steps.

Evaluation of Open LTR Proposals

The evaluation of proposals for Open LTR projects is conducted in one step, on the basis of a short proposal. The proposal format is given in Section 3.3.1

If the proposal is funded and its first phase is successful, the project may be extended to the second phase which is a full-scale RTD Project. The conditions for extending an Open project to Phase 2 are given in Section 3.4 . The diagram below shows the two-phase structure of Open LTR projects.

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Evaluation of Reactive LTR Proposals

The Reactive LTR Proposals are evaluated in two steps. To keep the cost of submitting a proposal down, all proposals for Reactive LTR Projects are first submitted as short proposals. A decision about the selection of short proposals will, as a rule, be made within two weeks after submission, and the selected proposers will then be offered the opportunity to submit a full proposal within two months. If they do so, they will stand a reasonable chance - usually one in three or better - of being selected for funding. Full proposals (not more than 30 pages) will be evaluated in a second evaluation and selection step.

The diagram below shows the two-step evaluation procedure of Reactive LTR projects.

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3.3 Proposal Preparation and Criteria for Evaluation

3.3.1 Open LTR Phase 1 Proposals

Questions to be answered in a Proposal

All proposals should answer the following questions:

Your proposal must answer all these questions by fulfilling the criteria detailed below. These will be used by the evaluators to assess the proposal. Criteria address different aspects of a proposal, and assess how it answers the basic questions above, while conforming with the scope and objectives of the programme and showing the necessary European dimension.

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 scientific and technical targets to be achieved by the proposers, including both ultimate objectives of the work and the objectives to be attained at the end of the first phase. The proposed ideas should be highly innovative , provide benefits to a wider community than solely the proposers themselves, and the outcomes of the project should lead to significant breakthroughs.

As far as the tasks of the first phase are concerned, they must provide the evidence needed to make a decision on the continuation of the project. Measurable criteria for assessing the success or failure of the first phase must be included.

The How

The approach mainly concerns, first the identification of scientific and technological elements, methodology, planned resources needed to achieve the first-phase objectives, and second the outline of a plausible second-phase approach. Duration and resources concerns the staffing and time scale of activities.

The Who

The proposers must satisfy the evaluators that they collectively have the necessary skills and abilities to reach the decision point at the end of the first phase. They do not have to show ability to carry out completely the tasks that may arise for the second phase; a reconfiguration of the consortium is possible.

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 Open LTR phase 1 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 if at least the summary is provided in English as this will assist the speedy evaluation of proposals.

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. 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 Chapter 6 (Annexes). You can obtain an electronic version of these forms on a diskette or download it from the Esprit Web pages. This way of data preparation, and the sending of the prepared diskette along with the proposal, is strongly recommended.

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 :

Part 2: Description of the Proposed RTD Project

It is recommended that Part 2 (your project description) follows the outline given below and that it provides all the information requested in not more than 6 pages (plus one separate page for the first item, the Technical Summary). 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, to the point and follows the recommended structure. Any irrelevant information should be avoided.

Technical Summary

This section should, in one page, 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:

European dimension

Criteria to be addressed in this section are:

Industrial relevance

An important aspect is the potential industrial impact

Criteria to be addressed in this section are:

Criteria for assessing success of first phase

Given that the main purpose of the Open Scheme first phase is to effectively allow a complete evaluation of the basic ideas proposed, the first phase must provide results on which to base a decision to continue funding the work of the best projects amongst those whose continuation is justified by the findings of the first phase.

Criteria to be addressed in this section are:

Note : If the criteria are self-fulfilling or have a very high likelihood of being achieved, then the proposal should not be submitted under the Open LTR scheme, but under the Reactive LTR scheme.

Potential for innovation

The Open LTR scheme is designed for developing highly novel IT-related ideas which are industrially relevant.

Criteria to be addressed in this section are:

Approach

The approach, methodologies and technologies being used and developed in order to achieve the project results must be described for Phase 1, and outlined for Phase 2. The probability of success of the first phase must be a-priori low or un-assessable.

Criteria to be addressed in this section are:

Duration and resources

The duration and resources for phase 1 should be commensurate with the objectives to be achieved. The total funding requested should not exceed 100 KECUs, and its duration should not exceed 12 months.

In addition, give an estimate of the duration and resources required for the second phase. The duration should be commensurate to the objectives to be achieved. When possible, estimates of the total resources (manpower, equipment, etc.) should be presented.

Criteria to be addressed in this section are:

The Proposers

Present a short description of each partner in the project:

Present also brief details (CVs)of the "key" staff involved in the project in an annex. Each CV should be no more than one page in length.

Criteria to be addressed in this section are:

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3.3.2 Reactive LTR Short Proposals

Questions to be answered in a Proposal

All proposals should answer the following questions:

In addition, the proposal must outline the approach to be used and the duration and resources foreseen for the proposed research.

1 Your proposal must answer these questions by fulfilling the criteria detailed below. These will be used by the evaluators to assess the proposal. Criteria address different aspects of a proposal, and assess how it answers the basic questions above, while conforming with the scope and objectives of the programme and showing the necessary European dimension.

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 scientific 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 must satisfy the evaluators that they collectively have the necessary skills and abilities to fulfill the objectives of the project.

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.

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 Reactive LTR short 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 if at least the summary is provided in English as this will assist the speedy evaluation of proposals.

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. 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 Chapter 6 (Annexes). You can obtain an electronic version of these forms on a diskette or download it from the Esprit Web pages. This way of data preparation, and the sending of the prepared diskette along with the proposal, is strongly recommended.

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 :

Part 2: Description of the Proposed RTD Project

Part 2 (your project description) should follow the recommended outline given below and provides all the information requested in not more than 6 pages (plus one page Technical Summary). 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, in one page, 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:

European dimension

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

Criteria to be addressed in this section are:

Industrial relevance

Important aspects are:

Criteria to be addressed in this section are:

Results and potential innovation

The proposal should describe the expected results, and explain in what respect these results are novel compared to the state-of-the art.

Approach

The approach, methodologies and technologies being used and developed in order to achieve the project results must be outlined (they would be fully described in a full proposal in the event that the short proposal is successful).

Criteria to be addressed in this section are:

Duration and Resources

The duration should be commensurate to the objectives to be achieved. Estimates of the total cost and total funding should be given. Any unusual expenditure, such as large equipment costs should be highlighted.

Criteria to be addressed in this section are:

The Proposers

For short proposals, it is not required that the group of proposers is complete. Present the rationale for the core consortium and include:

Criteria to be addressed in this section are:

Present also brief details (CVs) of the "key" staff involved in the project in an annex. Each CV should be no more than one page in length.

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3.3.3 Reactive LTR Full Proposals

Questions to be answered in a Proposal

All proposals should answer the following questions:

Your proposal must answer these questions by fulfilling the criteria detailed below. These will be used by the evaluators to assess the proposal. Criteria address different aspects of a proposal, and assess how it answers the basic questions above, while conforming with the scope and objectives of the programme and showing the necessary European dimension.

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 scientific 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 must satisfy the evaluators that they collectively have the necessary skills and abilities to fulfill the objectives of the project.

The How

The approach mainly concerns the identification of scientific and technological elements, methodology, planned resources needed to achieve the objectives. The take-up of results refers to the identification of credible and suitable mechanisms of technology transfer, whereas the work planning mainly concerns the identification of activities needed to achieve scientific and technical objectives and the assignment of these activities to the different participants. 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.

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 Reactive LTR full 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 if at least the summary is provided in English as this will assist the speedy evaluation of proposals.

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. 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 Chapter 6 (Annexes). You can obtain an electronic version of these forms on a diskette or download it from the Esprit Web pages. This way of data preparation, and the sending of the prepared diskette along with the proposal, is strongly recommended.

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 :

Part 2: Description of the Proposed RTD Project

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

European dimension

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

Criteria to be addressed in this section are:

Industrial relevance

Important aspects are:

Criteria to be addressed in this section are:

Results and potential innovation

The proposal should describe the expected results, and explain in what respect these results are novel compared to the state-of-the art.

Approach

The approach, methodologies and technologies being used and developed in order to achieve the project results must be described.

Criteria to be addressed in this section are:

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:

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:

Take-up of results

Outline the consortium's strategy for information dissemination and take-up of the foreseen project results. It should

Criteria to be addressed in this section are:

Duration and Resources

Estimates of the resources (manpower, equipment, etc.) should be presented for each partner for each work package and summarised at the project level. Total cost and total funding should be given. Any unusual expenditure, such as large equipment costs should be highlighted.

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:

Present also brief details (CVs) of the "key" staff involved in the project in an annex. Each CV should be no more than one page in length.

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3.4 Open LTR Projects: Conditions for Extension into a Second Phase

Conditions for Extension into a Second Phase

Consortia that consider their first phase project as successful and wish to apply for continuation into a second phase of an Open LTR project, will not have to submit a new proposal to a Call for Proposals. Instead, at the end of Phase 1 the consortia have to submit the First Phase Final Report which consists of two parts:

1. First Phase Project Overview (obligatory)

2. Second Phase Project Proposal (to be submitted by consortia wishing to continue)

The second phase project proposal consists of a detailed description of the work that would be carried out in the second phase. A decision will be taken on which of the most promising ideas developed in the first-phase projects will be funded in the form of full-scale projects, on the basis of assessment of

The evaluation criteria

Results of the first phase

The novelty and viability of the initially proposed idea should have been confirmed during the first phase and the initial risks involved assessed. The first phase project overview will explain to what extent the criteria established in the Project Programme of the First Phase have been satisfied.

Criteria to be addressed are:

Second Phase Project Proposal

The criteria for assessing the Open LTR Second Phase proposals are to a great extent the same as used for Reactive Full Proposals, notably Project Objectives and Scope, European dimension, Results and potential innovation, Approach, Workplan, Project management, Take up of results and Duration and resources.

Additional criteria apply for Industrial relevance and Proposers.

Industrial relevance

Industrial relevance of the proposed ideas should be confirmed at the end of the first phase, for example through an endorsement of the project by industry (such as having industrial proposer(s) or industrial members(s) in a project advisory committee).Criteria to be addressed in this section are the same as described in Section 3.3.3 .

The Proposers

Funding of the second phase could be conditional on the addition of proposers bringing skills deemed necessary as a result of the first phase assessment. Reconfiguration could also include, at the initiative of the proposers, industrial participation which it was not possible to attract before proving feasibility or assessing risks by means of the first phase. Criteria to be addressed in this section are the same as described in Section 3.3.3 .

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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.

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 Reactive LTR short proposals 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.

Proposals for the first phase of the Open LTR scheme can be submitted at any time while the call is open (as specified in the text of each Call for proposals of the programme, under the Continuous Submission Section).

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: ), 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 only once and not to 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 into account and when appropriate involve the other domains or 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.


email removed E-mail: email removed


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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:
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: 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
FL Long Term Research Open (WP Task 4.1)
PL Long Term Research Reactive (WP Task 4.2)
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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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/rtd-ltr.htm

It was last updated on 6 March 1997 and is maintained by email removed Susan Panter