MANUAL OF PROPOSAL EVALUATION PROCEDURES

Introduction
Summary of the steps involved in the proposal evaluation and project selection process
Pre-proposal checks
Pre-registration
Receipt of proposals
Administrative check on eligibility
Evaluation experts
Evaluation criteria
Proposal marking
Independent observers

Final examination, proposal ranking and rejection decision
Contract preparation and finalisation
Reporting

Annex A: Feedback form for pre-proposal check
Annex B: SME-specific measures
Annex C: Terms of Reference and Code of Conduct for Expert Evaluators
Annex D: Conflict of Interest Declaration
Annex E: Role of Commission staff in Evaluations
Annex F: Terms of Reference for independent observers of the evaluation process
Annex G: Model of Evaluation Summary Report

ANNEXES ON EVALUATION PROCEDURES FOR THE SPECIFIC PROGRAMMES:
ANNEX H: "Quality of Life and Management of Living Resources"
ANNEX I: "User-friendly information society" (IST Programme)
ANNEX J: "Competitive and sustainable growth"
ANNEX K: "Energy, Environment and Sustainable Development"
ANNEX L: "Confirming the International Role of Community Research"
ANNEX M: "Promotion of Innovation and Encouragement of the the Participation of SMEs"
ANNEX N: "Improving Human Research Potential and the Socio-economic Knowledge Base"
ANNEX O: "Quality of Life and Management of Living Resources" - "Competitive and sustainable growth"-"Energy, Environment and Sustainable Development"

Introduction

The new approach followed in preparing and implementing the fifth framework programmes requires an evolution in the earlier practices for evaluating research proposals. The purpose of this evolution is threefold:

- a broader integration of scientific and technological evaluation criteria with socio-economic issues, matching these to resources and management capabilities;

- a faster processing of calls for proposals and a more effective assistance and information to potential proposers;

- a more harmonised set of general procedures in order to facilitate coordination and interaction between specific programmes or key actions.

The processes for evaluating proposals submitted for funding to research, technological development and demonstration (RTD) programmes of the European Communities will continue to rest on a number of well established principles:

1. Quality. Projects selected for funding must demonstrate a high scientific, technical and managerial quality in the context of the objectives of the RTD programme in question and must help in making a contribution to Community policies in general.
2. Transparency. In order to provide a clear framework for researchers preparing proposals for funding, the process of reaching those funding decisions, both the principles and the practice, must be clearly described and available to any interested party. In addition, adequate feedback must be provided to proposers on the outcome of the evaluation of their proposals.
3. Equality of treatment. A fundamental principle of Community RTD support is that all proposals should be treated alike, irrespective of where they originate or the identity of the proposers.

4. Impartiality. All eligible proposals are treated impartially on their merits, following an independent peer review.

5. Efficiency and speed. The procedures have been designed to be as rapid as possible, commensurate with maintaining the quality of the evaluation and respecting the legal framework within which the RTD programme is managed.

The purpose of this manual is to provide in one document the "ground rules" or guidelines for the evaluation of proposals for European Community funded projects, taking the principles set out above into consideration. It describes the basic procedures that will be followed by all the programmes under the fifth framework programmes of the European Community and the European Atomic Energy Community, indicating any particular procedures that will be used in specific cases or under particular circumstances.

The harmonisation of the basic procedures between the specific programmes of the fifth framework programmes which is implied by the preparation of this manual is intended to make it easier for consortia and researchers to prepare their proposals in the full knowledge of the rules that will apply. In addition, the aim is to ensure that, whenever possible, proposals are not excluded from consideration for administrative reasons when they span areas covered by more than one programme and to ensure that projects can easily be transferred between the programmes when appropriate. This manual recognises, though, that individual programmes and/or action lines will have special needs in some circumstances and provides flexibility within a harmonised framework for programmes to adapt procedures to their own particular needs when this is appropriate. Due to the nature of the research training measures and specific measures for small and medium-sized enterprises (SMEs) a number of specific rules will apply to such measures funded under the horizontal or thematic programmes. Any exceptions from the general rules are mentioned in the text of this manual.

For each specific programme, a short annex is appended to this document setting out how it is intended to apply the guidelines contained within this manual, in particular the choices made (where choices exist) and details of each programme’s priorities through a description of the marking and weighting system to be used and any programme-specific interpretations of the general evaluation criteria or criteria specific to the particular programme. Whilst the programme-specific annexes adapt these guidelines and provide further detail, they may not go against the provisions of this manual; if the text of annex is unclear in this respect, the main text of this manual will apply.

Throughout this manual, the term "proposal" generally signifies an application for funding of a shared-cost RTD project through either a European Community or Euratom specific programme. The rules set out in this manual for the evaluation of such proposals also apply to all other proposals for funding initiated through calls for proposals (e.g. concerted actions, fellowships and training actions and other measures such as SME-specific measures and certain accompanying measures), unless otherwise stated. Procedures for dealing with measures submitted through normal public procurement procedures or for ad-hoc subsidies are covered by the Commission’s general rules for such measures. Special provisions for any particular measures are either mentioned in the main text or dealt with in an annex.