Guide for Proposers

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

THE FIFTH FRAMEWORK PROGRAMME The Fifth Framework Programme focuses on Community activities in the field of research, technological development and demonstration (RTD) for the period 1998 to 2002. Energy, environment and sustainable Development

Part B, Energy Sub-programme

GUIDE FOR PROPOSERS

PART 2

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

October 2000 Edition

This edition incorporates changes arising from the Work Programme Update: October 2000, introducing Target Actions, and Priorities of Strategic Importance to the EU, and a distinction between Short-term and Medium-to-Long-term RTD. Energy, environment and sustainable development Guide for proposers – part 2 October 2000

IMPORTANT NOTES :

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

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

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

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

Other changes do not necessarily apply across all programmes.

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

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

Foreword

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

PART 1 Section I describes the overall priorities, goals and structures of the Fifth Framework Programme.

Section II describes the priorities and objectives of the Specific Programme on Energy, Environment and Sustainable Development.

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

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

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

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

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

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

This Guide for Proposers does not supersede the rules and conditions laid out, in particular, in the Council and Parliament Decisions relevant to the Fifth Framework Programme, the various Specific Programmes nor the Calls for Proposals of these Programmes. 3 Energy, environment and sustainable development Guide for proposers – part 2 October 2000

Table of Contents

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

IV.1 INTRODUCTION 5 IV.2 TYPES OF ACTIONS 8 IV.3 PROPOSAL PREPARATION 9 IV.3.1 Proposal language 9 IV.3.2 Proposal structures and submission forms 9 IV.3.3 Proposal preparation Tool (Pro-Tool) 10 IV.3.4 Proposal anonymity 11 IV.3.5 Optional pre-proposal check 11 IV.3.6 Notification of intention to propose 11 IV.4 SUBMISSION OF PROPOSALS 11 IV.4.1 Introduction 11 IV.4.2 Submission modalities (please, see also check-list in section IV.9) 11 IV.4.3 Acknowledgement of receipt 13 IV.5 DEADLINES 14 IV.6 DELIVERY OF PROPOSALS 14 IV.7 SUPPORT FOR PROPOSERS 14 IV.7.1 EESD: Part B - Energy Information desk 14 IV.7.2 Partner search facilities 15 IV.7.3 National Contact Points 15 IV.7.4 Programme Information days 15 IV.7.5 Other help facilities: the Intellectual Property Right-Helpdesk 15 IV.8 REFERENCES ON LINE 16 IV.9 CHECK-LIST FOR SUBMISSION (RTD, DEMONSTRATION AND COMBINED PROJECTS, THEMATIC NETWORKS, CONCERTED ACTIONS AND ACCOMPANYING MEASURES) 17 V. KEYWORDS TO BE USED IN THE PROPOSAL APPLICATION FORM A1 18

ANNEX 1 – ACKNOWLEDGEMENT OF RECEIPT FORM 20

ANNEX 2: PRE-PROPOSAL CHECK FORMS AND GUIDELINES 21

- APPENDIX 1: APPLICATION FORMS 25

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

- APPENDIX 1B - PROPOSAL SUBMISSION FORMS FOR ACCOMPANYING MEASURES 39

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

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

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

ANNEX 3 EVALUATION FORMS 57

IV. Specific information for the Energy, Environment and Sustainable Development Programme - part B: Energy 4th, 5th & Open Calls published in October 2000.

IV.1 Introduction

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

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

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

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

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

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

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

5 Energy, environment and sustainable development Guide for proposers – part 2 October 2000 Calls for Proposals

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

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

Call part Scope Indicative Type of Actions identifier Deadlines ENERGIE4-T1 Target Actions G to L *** : Medium-to-long-term problems 9 Feb 2001* Research, ENERGIE4-G1 Medium-to-long-term problems Demonstration, for all Thematic Priorities ** Combined, ENERGIE4-T2 Target Actions G to L*** : Concerted Actions & Medium-to-long-term problems 14 Dec 2001* Thematic Networks ENERGIE4-G2 Medium-to-long-term problems for all Thematic Priorities ** * at 17.00 Brussels local time ** taking account of the strategic priorities laid out in the Work Programme Update : October 2000 *** see the next section for the definition of each Target Action

Fifth Call for Proposals for short-term indirect RTD actions

Call part Scope Indicative Type of Actions identifier Deadlines ENERGIE5-T1 Target Actions A, C, D & F : Short-term problems *** 15 Mar 2001* Research, ENERGIE5-G1 Short-term problems for all Demonstration, Thematic Priorities ** Combined, ENERGIE5-T2 Target Actions A, B, C & E : Concerted Actions & Short-term problems *** 14 Dec 2001* Thematic Networks ENERGIE5-G2 Short-term problems for all Thematic Priorities **

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

Call identifier Scope Indicative Cut- Type of Actions off dates Accompanying ENERGIE-OPEN For all Thematic Priorities ** 9 Feb 2001* Measures, RTD 14 Dec 2001* activities of generic nature, Training Fellowships 15 Mar 2002* Accompanying Measures only 17 Jan, 18 Apr SME Measures 2001* Exploratory Awards 17 Jan, 18 Apr, SME Measures 19 Sept 2001 Co-operative and 16 Jan, 17 Research Apr 2002*

6 Energy, environment and sustainable development Guide for proposers – part 2 October 2000 In order to ensure the most appropriate evaluation, the proposer therefore needs to consider carefully to which Call or Call part to address the proposal on the bases of :  does the type of action fit into the Open Call (for Accompanying Measures, RTD activities of generic nature, Training Fellowships and SME measures) or the fixed deadline calls (for Research, Demonstration and Combined proposals, Concerted Actions and Thematic Networks)?  does the subject of the proposal fit into either the short-term or the medium-to-long term?  does the subject of the proposal fit into either a Target Action or into the rest of the Work Programme?  for which deadline the proposal is intended : February 2001, March 2001, December 2001, or (for Accompanying Measures only) the final March 2002 deadline, or the particular deadlines for SME measures?

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

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

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

Target Actions

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

Short-term Target Actions

A. Fuel Cells and H2 : Application Driven Fuel Cells B. Biomass for the production of heat and electricity : Bio-Electricity C. Integration of RES and distributed generation of energy systems : Sustainable Communities D. Rational Use of energy : Clean Urban Transport E. Rational Use of energy : Eco-Buildings F. Clean Power Generation : Gas Power Generation

Medium to Long-term Target Actions

G. Fuel Cells and H2 : Fuel Cells & H2 H. Biomass for the production of heat and electricity : Bio Energy I. Integration of RES and distributed generation of energy systems : Integration J. Rational Use of energy : Cleaner Fuels for Transport K. Storage of Energy: Storage L. Photovoltaics: PV

Priorities of strategic importance to the EU

These priorities apply particularly to proposals responding to the General parts of the Fourth Call (Call part identifiers ENERGIE4-G1 and ENERGIE4-G2) and Fifth Call (Call part identifiers ENERGIE5-G1 and ENERGIE5-G2). 7 Energy, environment and sustainable development Guide for proposers – part 2 October 2000 i. Management of green house gases (GHG) emissions and climate change ii. Exploiting the potential of new ICTs in energy RTD including e-science issues iii. Socio-economic research related to energy technologies and their impact iv. International co-operation, co-ordination with Member States research programmes and EU wide research networks v. Pre-normative research of interest at EU level

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

IV.2 Types of actions The above mentioned Periodic Calls invite submission of proposals for the following types of actions:  RTD, demonstration and combined projects: these are carried out by industrial or service organisations, universities or research centres and are aimed at strategic objectives with significant potential for socio-economic and industrial impact. These need to respond to the objectives specified in the calls, which are themselves based on the Energy, Environment and Sustainable Development (EESD) - part B: Energy Work Programme Update: October 2000.

 Thematic Networks and Concerted Actions are designed to facilitate networking of organisations, co-ordination of RTD activities and exchange and dissemination of knowledge so as to optimise research efforts, reach critical mass, and enhance impact at European level. They bring together industry, universities, research centres, users, research infrastructures, and other relevant stakeholders around a common S&T objective related to the priorities of the programme. Please note that Thematic Networks and Concerted Actions cannot provide funding for RTD activities. Funding is intended to support co-ordination. - Thematic Networks are used: a) to co-ordinate a group (or “cluster”) of projects funded at Community or national level; b) to establish and develop networking activities other than those defined above, -Concerted Actions are used for the co-ordination of research activities already funded within individual Member states, in order for instance to channel efforts efficiently, to exchange and complement experience, to disseminate results.

Thematic Network and Concerted Action proposals also need to respond to the objectives specified in the calls, which are themselves based on the Energy, Environment and Sustainable Development (EESD) - part B: Energy Work Programme Update: October 2000.  INCO Bursaries: when preparing a research proposal, an application can be made at the same time for support of a young researcher from a developing country to work up to 6 months in a European research institute participating in the project.

Proposals must address the research objectives listed in the relevant periodic call part and detailed in the EESD - part B: Energy Work Programme Update: October 2000. Proposals corresponding to other parts of the Work Programme than those opened by the relevant periodic call part will not be evaluated. The continuously Open Call for Proposals for RTD actions under the specific Programme for Research, Technological Development and Demonstration on EESD-part B: Energy, includes the following types of activities:

8 Energy, environment and sustainable development Guide for proposers – part 2 October 2000  RTD activities of generic nature

 SME measures: a. SME Exploratory Awards b. SME Co-operative Research

 Training a. Individual fellowships b. Host fellowships

 Accompanying measures (including OPETS where applicable).

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

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

Partnerships should include the stakeholders relevant to the development and ultimate implementation of the RTD results. This includes research centres and universities, product or technology developers, component and material providers, service companies, industrial users, policy makers, regulatory and standardisation authorities and consumer organisations. SME participation in partnerships is particularly encouraged. Proposers are normally free to define the time scale and resources required to carry out their proposed work unless guidelines are supplied in the call for proposals or the work programme, depending on the type of activity to be carried out.

IV.3 Proposal preparation IV.3.1 Proposal language

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

IV.3.2 Proposal structures and submission forms

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

The Proposal Submission Forms for research, demonstration and combined projects come in three parts. - Part A collects necessary administrative information about the proposal and the proposers (e.g. proposal name, proposers’ names and addresses, brief description of the work, total funding requested by type of expense etc.). This information is subject to verification by the Commission services.

9 Energy, environment and sustainable development Guide for proposers – part 2 October 2000 - Part B (which unlike Part A is in the form of a structure or list of topics which should be followed, rather than a pre-prepared form) describes in detail the nature of the work which will be undertaken. This section must normally be “anonymous”, that is to say, it may contain no information which reveals the identity of participants. For Energy related proposals anonymity is not required. Nevertheless, if anonymity is not respected it may cause problems if the proposal has to be transfered to another more appropriate programme, where anonymity is required. - Part C identifies and describes fully the partners and their role in the consortium and in the proposed project. It also describes the European added value, the contribution to EU policies and social objectives, prospects for scientific technological and economic development, the resources, partnership and management of the project; and the exploitation and/or dissemination plans.

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

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

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

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

The Proposal Submission Forms for Accompanying Measures, Concerted Actions and Thematic Networks are similarly divided into Parts A, B and C. The anonymity requirements for Part B are the same as for research, demonstration and combined proposals. The form for acknowledgement of receipt, provided in Annex 1, must be attached to the proposal in order to ease confirmation of receipt of the proposal. IV.3.3 Proposal preparation Tool (Pro-Tool)

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

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

10 Energy, environment and sustainable development Guide for proposers – part 2 October 2000 Once the proposal has been prepared with the tool, it may be sent either electronically or on paper, as preferred by the proposers.

IV.3.4 Proposal anonymity

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

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

IV.3.5 Optional pre-proposal check

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

IV.3.6 Notification of intention to propose

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

IV.4 Submission of proposals IV.4.1 Introduction If the proposal has been prepared on paper following the format given in the appropriate Proposals Submission Form, it may be submitted on paper to the European Commission. If the proposal is made with the Pro-Tool and is then printed out on paper, this paper version may also be submitted. If the proposal has been made with the Pro-Tool it may be submitted electronically. This electronic submission may be made by any member of the consortium (not only the Co- ordinating partner). The partner who makes the submission must obtain certification (see below) so that electronic submission can be securely carried out.

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

Proposers should submit either on paper or electronically, not both. If a proposal is submitted in both forms, the Commission will evaluate the electronic version. 11 Energy, environment and sustainable development Guide for proposers – part 2 October 2000 IV.4.2.1 By electronic means IV.4.2.2 On paper

 Certification  Procedure In order that a proposal can be sent electronically Where national regulations concerning the to the Commission, the co-ordinator (or other sending of data do not permit the use of partner who is submitting the completed encryption, and thus confidential transmission proposal) must request in advance a certificate cannot be ensured; or where proposers for some which will allow him to digitally sign the other reason prefer it, proposals may be prepared proposal. using the ProTool then printed out on paper, or A standard certificate (Class-II) or either a one- may be fully prepared on paper using the time certificate (Class-I) can be requested. Both appropriate Proposal Submission Form. are provided free of charge. Standard certificates (Class-II) can be obtained by ProTool permits preparation of proposals for the downloading, installing and using the ProTool. Proposers main types of activity within the Fifth Framework are requested to complete and sign a request form and to send this to the FP5-CSP. Once the FP5-CSP has received Programme. In exceptional cases an appropriate and accepted the form, a certificate will be provided. This version of ProTool may not be available, in which certificate allows electronic submission of proposals for the case only paper submission will be possible. duration of the certificate (normally one year, but This guide for proposes for the call concerned extendible), without any further exchange of paper indicates the structure of the proposal required, information. This form of certificate will allow encryption of the proposal. and forms are available). (It should be noted that national regulations may impose certain conditions to the use of the encryption software. It is  Number of copies the responsibility of the proposers to ensure that such national regulations are adhered to). One-time certificates (Class-I) can also be obtained from the Paper proposals should be prepared : FP5-CSP, by use of the ProTool and electronic - with five bound copies of Part A communication only. This form of certificate allows electronic submission of only one proposal, for those co- - with five bound copies of Part B ordinators who want to try the system out, or who expect not - with five bound copies of Part C, to send another proposal soon. Electronic submission with this certificate requires in addition the sending of a - with one complete unbound paper manually signed form A.1 from Part A of the Proposal The complete set of proposal documentation Submission Form on paper to the Commission before the should be placed in an envelope or envelopes, deadline set out in the relevant Call for Proposals. This form of certificate does not provide encryption. Security marked “Commercial-in-confidence” with is restricted to the standard available on the secure servers additionally the following information: used (SSL). A request for certification is made by using the  The name of the Programme to which it is ProTool. submitted, the date of publication of the Call  Procedure and the Call & Call part identifier; The tool for sealing the proposal forms part of  The proposal number (if one has been issued ProTool. This tool is used by the co-ordinator to by the Commission); package the administrative and technical proposal information parts A, B and C into one file and  A reference to the work addressed by the produce a “fingerprint” or validation file of the proposal (e.g. the Target Action (if proposal, which uniquely identifies the proposal applicable), the name or number of the key file. Submission of the validation file signifies the action, thematic priority etc., as given in the time of proposal submission. In case of Work Programme or Call for Proposals). communication problems this file can be printed and faxed before the deadline of the Call. The The package should also contain a completed proposal itself must be electronically received no “Acknowledgement of receipt” form (see Annex more than 48 hours after the Call deadline. While 1) so that the Commission can return notification the sender will be returned an electronic message of safe arrival of the proposal. indicating successful transfer of file, this is not however the formal acknowledgement of receipt This envelope/these envelopes should then be of proposal. sealed within a second envelope or packaging, which is addressed to the Commission office for receipt of proposals given as specified in the call 12 Energy, environment and sustainable development Guide for proposers – part 2 October 2000 Holders of a Class-II certificate will also be able text. to encrypt the proposal file. The precise method is explained in the sealing tool. Proposals on paper may be sent to the Commission by mail, by trusted delivery service On receipt, the Commission will electronically or by hand as described in the call text. archive, under secure conditions, the validation and proposal file as received. After decryption If you use more than one package, please clearly and unpacking also a copy of the proposal as mark them 1 of x, 2 of x…. provided to evaluators will be archived electronically under the same conditions, together with the necessary information on the tools and When preparing a proposal on paper, the information used to decrypt and unpack. proposer must indicate the proposal short name (acronym), the proposal number (if a If the Commission receives multiple electronic number has been allocated before submission versions of the same proposal, it will evaluate by the Commission) and the date of only the last version received before the Call preparation at the top of every page of the deadline, and discard the others. parts B and C, and on all annexes. Pages must be clearly numbered. Senders are warned that the Commission cannot be held liable for unlawful use of the encryption tools provided, the use of which may be forbidden in some circumstances in some Member States.  Electronic submission fall-back procedure Failure in downloading or an inability to decrypt or read a proposal file will result in a fall-back procedure being initiated by the Commission. The Commission will within 24 hours request those proposers to submit a back-up copy of their proposal. The back-up should arrive within 48 hours and must be identical to the file produced during sealing, which will be checked by use of the unique identifier provided in the validation file. (Proposers planning electronic submission are recommended to prepare such a back-up copy in advance, for use if called for).

IV.4.3 Acknowledgement of receipt

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

13 Energy, environment and sustainable development Guide for proposers – part 2 October 2000 IV.5 Deadlines The deadlines for submission of proposals are given in the Periodic Call texts and are also available on CORDIS: http://www.cordis.lu/eesd/calls/calls.htm The cut-off dates for the Open Call are given in the Open Call text and are also available on CORDIS: http://www.cordis.lu/eesd/calls/calls.htm

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

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

IV.7 Support for proposers IV.7.1 EESD: Part B - Energy Information desk There are two Energy Info desks, one for Medium-to-Long-term and one for Short-term indirect RTD actions : Medium-to-Long-term indirect RTD actions (4th Call and New Open Call)

European Commission e-mail: [email protected] Research Directorate General Fax: +32.2.296.06.21 Energy Info desk http:www.cordis.lu/eesd SDME 2/3 Rue de la Loi/Wetstraat 200, B-1049 Brussels – Belgium

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

European Commission e-mail: [email protected] Directorate General TREN Fax: +32.2.295.05.77 Energy Info desk http:www.cordis.lu/eesd DM 28 Rue de la Loi/Wetstraat 200, B-1049 Brussels – Belgium

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

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

IV.7.2 Partner search facilities The Commission’s CORDIS server in Luxembourg (http://www.cordis.lu) offers a number of services and information sources which may be useful in partner search for participation in this programme, as well as a list of organisations which have already expressed an interest in participating in this programme.

IV.7.3 National Contact Points National Contact Points for the EESD Programme can be helpful to organisations from their own country in finding partners from other countries, and should be contacted for further information for the country concerned. See the list included in the EESD Information Package or the Programme NCPs web page: http://www.cordis.lu/fp5/src/ncps.htm, for the latest update.

IV.7.4 Programme Information days The EESD - Part B : Energy sub-programme organises Information Days where those interested in proposing may attend for a presentation of the programme and of the Framework Programme in general, to obtain documentation and proposal preparation software (ProTool), to ask questions etc. and to meet potential consortium partners. Latest information on planned Information Days is obtainable from the Programme Info desks and on the Programme web- site.

IV.7.5 Other help facilities: the Intellectual Property Right-Helpdesk The IPR-Helpdesk has been set up to support participants in RTD programmes seeking information on Intellectual Property Rights (IPR) and related contractual issues. The activity will also aid participants in locating the assistance necessary to register, protect, and exploit their inventions. The IPR-Helpdesk offers information on these issues and guides users to the services available form national patent offices, patent agents, and lawyers in their country.

IPR-Helpdesk 64-66 avenue Victor Hugo L-1750 Luxembourg Tel. +352-47 11 11 1 Fax. +352-47 11 11 60 e-mail: [email protected] http://www.cordis.lu/ipr-helpdesk

15 Energy, environment and sustainable development Guide for proposers – part 2 October 2000 IV.8 References on line Potential proposers are invited to consult the EESD web-site: http://www.cordis.lu/eesd/home.html Decision on the 5th Framework http://www.cordis.lu/eesd/src/library.htm Programme Decision on the EESD-Energy Thematic http://www.cordis.lu/eesd/src/library.htm Programme EESD-Energy calls for proposals http://www.cordis.lu/eesd/calls/calls.htm EESD-Energy Work Programme http://www.cordis.lu/eesd/calls/calls.htm EESD-Energy Downloads http://www.cordis.lu/eesd/calls/calls.htm EESD-Energy Documents http://www.cordis.lu/eesd/src/library.htm Proposal submission forms http://www.cordis.lu/fp5/src/forms_a.htm Proposal Preparation Tool http://www.cordis.lu/fp5/protool/ Evaluation Manual http://www.cordis.lu/fp5/src/evalman.htm INCO Bursaries http://www.cordis.lu/fp5/src/forms_a.htm EESD-Energy National Contact Points http://www.cordis.lu/fp5/src/ncps.htm Expert candidature http://www.cordis.lu/expert-candidature/home.html Decision No 182/1999/EC of the European O.J. L26/1- http://www.cordis.lu/fp5/src/decisions.htm Parliament and of the Council of 22 L26/31 December 1998 concerning the Fifth framework programme of the European Community for research, technological development and demonstration activities (1998 to 2002) Decision of the Council of 25 January 1999 OJ L64, http://www.cordis.lu/fp5/src/decisions.htm on the EESD 12.3.99 Official Journal Calls for Proposals texts http://www.cordis.lu/fp5/src/t-4.htm OPET Accompanying Measures document http://www.cordis.lu/fp5/src/t-4.htm Model Contracts http://www.cordis.lu/fp5/ IPR Help Desk [email protected] CORDIS search for potential partners http://www.cordis.lu/fp5/src/eoi.htm Innovation Relay Centres http://www.cordis.lu/ Last-minute information http://www.cordis.lu/fp5/eesd/ European energy-related policies and activities: Kyoto Protocol to the United Nations http://www.cop3.de/ Framework Convention on Climate Change White Paper : Energy for the future – http://europa.eu.int/en/comm/dg17/599fi_en.htm Renewable sources of energy DG Transport-Energy overview http://europa.eu.int/comm/dgs/energy_transport/index _en.html Energy policy overview http://europa.eu.int/en/comm/dg17/mission.htm Energy legislation and policy instruments http://europa.eu.int/en/comm/dg17/policy.htm List of legislative documents http://europa.eu.int/en/comm/dg17/legislat.htm#lexth International Energy Agency (IEA) http://www.iea.org/techno/index.htm OPET Network http://www.cordis.lu/opet/home.html Current and previous EC funded RTD activities: CORDIS RTD Projects database http://www.cordis.lu JOULE-funded R&D projects http://www.cordis.lu SESAME database for THERMIE-funded http://europa.eu.int/en/comm/dg17/thproja.htm energy demonstration projects THEMIS database for THERMIE energy http://europa.eu.int/en/comm/dg17/thprojb.htm accompanying measures, thematic networks and concerted actions funded

16 Energy, environment and sustainable development Guide for proposers – part 2 October 2000 IV.9 Check-list for submission (RTD, demonstration and combined projects, Thematic Networks, Concerted Actions and Accompanying Measures) In order to avoid last-minute problems with submission, there are a number of checks which you should carry out.

 Does the type of action fit into the Open Call (for Accompanying Measures, RTD activities of generic nature, Training Fellowships and SME measures) or the fixed deadline calls (for Research, Demonstration and Combined proposals, Concerted Actions and Thematic Networks)?  Does the subject of the proposal fit into either the short-term or the medium-to-long term?  Does the subject fit into either a Target Action or the rest of the Work Programme?  For which deadline is the proposal intended : as an indication, February 2001, March 2001, December 2001, or (for Accompanying Measures only) the final March 2001 deadline, or the particular deadlines for SME measures? For ELECTRONIC submission of your EESD proposal you should check the following items:  Have you ordered your certificate (using ProTool with an electronic request, and by sending the full written and signed forms) well in advance of the deadline (at least 3 weeks before is recommended)?  Have you imported this certificate to ProTool successfully?  Have you requested a proposal number (at least three weeks before the deadline)?  Are all parts of the proposal (A-B-C) duly completed?  Have you integrated all parts (A-B-C) and the filled out acknowledgement of receipt form) of the proposal into the file to be submitted?  Have you checked the address of the server to which to upload the proposal?  Have you checked that the proposal prints out correctly in one of the formats: PDF, RTF, Postscript or Word, and that it does not include files of another format (do not use picture, photo, voice or video formats, or MS projects, or similar tools)?  Last but not least: Is your proposal submitted before the deadline according to the procedure for electronic submission? For PAPER submission of your EESD–part B: Energy proposal you should check the following items:  Are all parts of the proposal (A, B & C) duly completed?  Is your proposal prepared with five bound copies of part A, five bound copies of part B, five bound copies of part C, and one complete unbound ?  Is the complete set of proposal forms placed in an envelope, marked "Commercial-in- confidence", with the following information:  "EESD-Energy Programme" and date of publication of the call?  The Call & Call part identifier (see call text)?  A reference to the Target Action (if applicable) and Key Action(s) and Thematic Priorities addressed by the proposal (as given in the Work Programme)?  Have you completed the "Acknowledgement of Receipt" form and included it in the package?  If you use more than one Package, are the X packages clearly marked parcel 1 of X, 2 of X, etc.? Is each parcel clearly marked as described above?  Is the address on the package complete and correct (see call text)  Last but not least: make sure that you send your proposal in time to be received at the correct address before the closing time and date of the call.

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

A1 Acoustics C23 Composites (Ceramic F3 Financing A2 Active noise control matrix) F4 Fine/specialty chemicals A3 Active safety C24 Composites (Metal matrix) F5 Fire testing / Fire control/ A4 Active vibration control C25 Composites (Polymer Fire prevention A5 Actuators matrix) F6 Fixed wing aircraft A6 Adaptive wing C26 Compressor F7 Flexibility A7 Adhesives / Bonding C27 Computational F8 Flexible / non rigid materials A8 Aerodynamics chemistry and modeling F9 Flight control / Flight A9 Aeroelastics C28 Computer science/ management A10 Aero-engine efficiency Software F10 Flight stability and control A11 Aerothermodynamics C29 Concrete F11 Flow measurements A12 Air quality C30 Concurrent engineering F12 Fluid-dynamics A13 Airports C31 Congestion pricing F13 Foamed materials A14 Analytical chemistry C32 Construction F14 Forming A15 Anti-fraud C33 Consumer sciences, F15 Freight transport A16 Applied physics consumers’ rights F16 Fuel cells A17 Automatic control C34 Corrosion F17 Fuel management A18 Automation, robotic control C35 Cost-benefit F18 Fuselage systems C36 Crashworthiness G1 Geochemistry A19 Autonomous aircraft C37 Criminology G2 Geology / Exploration A20 Avionics D1 Dangerous goods G3 Geophysics B1 Benchmarking D2 Databases / Expert systems G4 Geotechnics / Soil B2 Best practice / good / Data collection mechanics practice D3 Demand and traffic G5 Glasses B3 Bicycles management G6 Geotextiles B4 Biochemistry D4 Design / Design H1 Health and working B5 Biomaterials technologies conditions B6 Bio-medical materials D5 Deterioration/failure H2 Human factors B7 Bio-mimetic materials mechanisms H3 Human-vehicle interaction B8 Biosensors D6 Diagnostic systems H4 Hydraulic systems B9 Biotechnology D7 Diagnostics, diagnosis I1 Imaging / Image processing B10 Body fluids/ Tissues/ D8 Diamonds/Superhard I2 In vitro testing/trial methods Cultures,etc. materials I3 Industrial operations in the B11 Boundary layer D9 Dismantling sea B12 Braking systems D10 Displays I4 Information Society B13 Building materials D11 Door-to-door service Technologies/ Information B14 Buses (Transports) D12 Drag reduction systems C1 Cabin environment D13 Drug abuse, addiction I5 Inorganic chemistry C2 CAE/CAD/CAM systems D14 Drug discovery, profiling, I6 In-process measurements C3 Carbon/Graphite targeting I7 Inspection and maintenance C4 Cargo tracking & visibility D15 Dynamics/Fluid dynamics I8 Instrumentation / Measuring C5 Casting E1 Eco-efficiency systems C6 Catalysts/Zeolites E2 Ecology / Environment I9 Inter cooler C7 Ceramics E3 Economics I10 Interconnectivity C8 Certification E4 Efficiency I11 Interfacial science C9 Chemical engineering E5 Electrical I12 Intermodality C10 Chemical metrology E6 Electro-magnetic I13 Interoperability C11 Chemical synthesis/ E7 Electronics I14 Iron making Conversion E8 Emissions / Emission J1 Joining C11 Chronology, datation measurements K1 Knowledge based systems technology E9 Energy K2 Knowledge engineering C12 CIME E10 Engines L1 Landing gear C13 Civil engineering / E11 Engineering L2 Laser technology Infrastructure E12 Environmental impacts L3 Layers C14 CO (carbon monoxide) E13 Ergonomics L4 Leaching / Bio-availability / C15 CO2 (carbon dioxide) E14 Exhaust gas recuperator Solubility C16 Coatings/Thin films E15 Exploitation and diffusion L5 Leather C17 Coke making of results L6 Life cycle impacts C18 Collision avoidance E16 Exploration of the sea L7 Lightning C19 Colloidal chemistry E17 Extraction techniques L8 Logistics C20 Combined transport F1 Ferrous L9 Lubricants C21 Combustion F2 Fibres/Reinforcing M1 Machine tools C22 Composite Materials materials M2 Magnetic 18 Energy, environment and sustainable development Guide for proposers – part 2 October 2000

M3 Maintenance P13 Powder metallurgy S24 Superconductors M4 Man-machine interaction P14 Powders S25 Supramolecular chemistry M5 Manufacturing P15 Power beams S26 Surface characterization M6 Material P16 Power optimised aircraft /Analysis characterization/Testing P17 Powertrain components S27 Surface chemistry M7 Material processing P18 Powertrain optimisation S28 Surface treatment M8 Materials science technologies technologies M9 Measurements/testing P19 Precision engineering S29 Survivability theory P20 Preventive maintenance S30 Sustainability M10 Mechanical systems P21 Pricing and financing S31 Sustainable mobility M11 Mechatronics / Robotics P22 Primary structures S32 System/vehicle accessibility M12 Membrane/Separation P23 Product testing S33 Systems efficiency technology P24 Production technologies T1 Technology assessment and M13 Metallogeny P25 Propulsion systems foresight M14 Metallurgy/Hydrometals P26 Prototyping ( Soft/Hard ) T2 Technology transfer M15 Metrology, physical P27 Public transport T3 TENs instrumentation P28 Public-private partnerships T4 Testing, conformance testing M16 Micro engineering/ Q1 Quality assurance/ Quality T5 Textiles / Leather Microsystems Control T6 Thermodynamics M17 Microelectronics Q2 Quality, quality control, T7 Tilt-rotor M18 Micro-mechanics traceability T8 Tools/Dies M19 Minerals/Ores R1 Rail T9 Total quality management M20 Mining / Quarrying R2 Recycling T10 Toxicity testing M21 Mobility R3 Reference T11 Traffic management / M22 Modeling and simulation materials/methods control M23 Modular systems R4 Refractories T12 Training M24 Molecular engineering R5 Reinforcement technology T13 Transfer points M25 Monitoring / condition R6 Reliability T14 Transhipment technologies monitoring / remote sensing R7 Renewable raw materials T15 Transport demand M26 Moulding / Casting R8 Repair / Restoration T16 Transport economics M27 Multifunctional engineering R9 Research networking T17 Tribology - Lubricants M28 Multilayers/ Multimaterials R10 Research policy T18 Turbo-machinery M29 Multisensory technology, R11 Risk assessment T19 Turnaround time multi-sensing R12 Road U1 Ultra-low and near-zero N1 Nanobiotechnology R13 Road pricing emission vehicle propulsion N2 Nanofabrication R14 Rocks/Stones/ Aggregates systems N3 Nanotechnology R15 Rolling U2 Ultra-precision N4 Navigation and positioning R16 Rotary wing aircraft measurements N5 New generation vehicles S1 Safety technology U3 Ultrasonics N6 New means of transport S2 Sample banks U4 Unmanned surveying N7 New propulsion systems S3 Sea-bed U5 Urban infrastructure N8 New vehicle technologies S4 Security systems U6 Urban planning, land use N9 Noise and vibration S5 Semiconductors planning N10 Non ferrous S6 Semispan wing U7 User-friendliness N11 Non-destructive testing S7 Sensors / Signal processing V1 Vehicle control and design N12 NOx (nitrous oxide) S8 Sensory science, sensors, V2 Vehicle structures O1 On-board monitoring instrumentation V3 Vibration Analysis / O2 On-board systems S9 Separation technology Acoustics O3 Operational cost S10 Shipbuilding V4 Virtual organisations O4 Operational safety S11 Ships V5 Virtual reality/Virtual O5 Operator/user acceptance S12 Smart materials / products / manufacturing O6 Optical systems / Optics Structures V6 Vision/Optical systems O7 Opto-electronics S13 Socio-economic impacts W1 Wake vortex O8 Organic chemistry S14 Socio-economic needs and W2 Waste / Effluents reduction O9 Organometallic chemistry / objectives W3 Water materials S15 Sociology W4 Wear P1 Packaging materials S16 Solders / Blazes / W5 Wood / Timber composites / P2 Paints Welding / Joining Paper P3 Paper S17 Solid state chemistry W6 Working conditions P4 Particle technology S18 Sonic boom P5 Passive safety S19 SOx (sulphur dioxide) P6 Petrochemicals S20 Standardisation, P7 Pharmaceuticals standardisation of new P8 Photonics technologies P9 Plastics / Rubbers S21 Stress/psychological P10 Platforms effects P11 Pneumatic systems S22 Structural Analysis P12 Polymers S23 Superalloys/Special alloys 19 Energy, environment and sustainable development Guide for proposers – part 2 October 2000

Annex 1 – Acknowledgement of receipt form EUROPEAN COMMISSION RESEARCH DIRECTORATE –GENERAL

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

Brussels,

Dear Madam/Sir

We are pleased to acknowledge receipt of your proposal: To be completed by Co-ordinating Partner Programme: Energy, Environment and Sustainable Development-Energy Research Area(s): § § § Proposal Title:

Proposal Acronym:

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

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

Proposal registration number: ………………………………….. You are kindly requested to quote this reference number in all future correspondence relating to this proposal. Please ensure that all your partners are also made aware of this reference number. After a check for eligibility, your proposal will be evaluated. It is expected that the final result of the evaluation will be communicated to you three to four months after the deadline for submission of proposals. On behalf of the Commission we thank you for your proposal and your interest in the research programmes. Yours faithfully,

5FP Evaluation Co-ordinator

20 Energy, environment and sustainable development Guide for proposers – part 2 October 2000 Annex 2: Pre-Proposal Check Forms and Guidelines

Pre-proposal check/consultation - Confidential information Page 1

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

Department/ Institute Name Street name and no. PO Box Post Code Town/City CEDEX Country Telephone Fax E-mail address Please answer carefully all the questions. The Commission services reserve the right to return without comment any incomplete pre-proposals.

2. Proposal title 3. Proposal acronym 4. Project duration (approx. months) 5. Total cost (Euro)

5.1 EC contribution requested (Euro) 6. Main Programme Energy, Environment and Sustainable Development-part B: Energy 6.1 Short or Medium-to-Long term? Short-term  Medium-to-long-term  6.2 Call part identifier 6.3 Target Action Letter (A to L) and short TA title (if applicable) 6.4. Thematic priorities 7. Other Programme(s) 7.1. Thematic priorities

8. Participants Nr. Organisation name Country Activity Business Activity or NACE code (Co-ordinator first) code * 1 2 3 4 etc

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

21 Energy, environment and sustainable development Guide for proposers – part 2 October 2000 Pre-proposal check/consultation - Confidential information Page 2

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

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

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

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

In view of the innovative approach adopted for programme implementation in 2001-2002, with the clear differentiation between short and medium-to-long time-frames, the separate General and Target Action call parts, and the priorities of strategic importance to the EU, proposers are strongly recommended to make use of this service which is beneficial to the preparation of all proposals and to obtain guidance as to which call part their proposals would be best suited. For this reason, the proposer should clearly complete questions 6.1 to 6.4 on the pre-proposal check form : 6.1 Short or Medium-to-Long term? 6.2 Call part identifier 6.3 Target Action Letter (A to L) and short TA title (if applicable) 6.4. Thematic priorities

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

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

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

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

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

 the need  the socio-economic problem(s) addressed and the way it will be approached, emphasising any new developments;  the expected contribution to Community social objectives (employment, quality of life, safety, working conditions, protection of the environment …..);  the Community added value (problem solving at European level, additional impact,...);

23 Energy, environment and sustainable development Guide for proposers – part 2 October 2000  and if appropriate, the project’s contribution to EU policies or its addressing of standardisation and regulation problems;  and finally economic scientific and technological prospects.

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

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

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

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

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

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

Short-term actions e-mail : [email protected] fax : +32.2. 295.05.77

Medium-to-long-term actions e-mail : [email protected] fax : +32.2.296.42.88

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

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

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

24 Appendix 1: Application Forms Appendix 1A is for a Research, Demonstration or Combined proposal. Appendix 1B is for an Accompanying Measure proposal. Appendix 1C is for a Concerted Action or Thematic Network proposal. Appendices 1A, 1B, and 1C are divided into three separate parts: · Part A, which contains legal and administrative information concerning the proposers, and a summary of the funding requested; · Part B, which describes the work to be carried out. If the consortium decides to submit Part B anonymously, the participants must only be refered to by the codes and numbers assigned to them in the administrative form A3. If anonymity is not respected it may be impossible to transfer a proposal to another programme where anonymity is required. · Part C, which describes the European added value; the contribution to EU policies and social objectives; prospects for scientific, technological, and economic development; the resources, partnership, and management of the project; and the exploitation and/or dissemination plans. The Part A forms (for optical reading) and their explanatory notes, are common to all Specific Programmes. You may also download them from the programme web site http://www.cordis.lu/eesd. When it is for a Target Action, for ALL types of proposals (Research, Demonstration or Combined, Accompanying Measure, Concerted Action or Thematic Network), the proposer must specify the Target Action Letter very clearly at the end of the proposal title in the "Proposal Full Name" box on the Part A form. For instance, "Research on a new PV material - TARGET ACTION L" or "Thematic Network on novel energy storage devices - TARGET ACTION K". In submitting Parts B and C, which are specific to the Energy sub-programme, proposers are required to follow the structure given in the relevant Appendices. The description must be structured to reflect the 5 main criteria by which the proposal will be evaluated. These criteria and their relative importance (by “weighting” and "threshold") are given in the table below for the categories of activity covered in Appendices 1A, 1B and 1C. For a full explanation of criteria, weightings and thresholds, please refer to the Evaluation Manual available in CORDIS at http://www.cordis.lu/fp5/src/evalman.htm SELECTION CRITERIA Weighting (scale of 1 to 10) and (Threshold - scale of 0 to 5) TYPE OF ACTION Appendix Scientific and Community Added Contribution to the Economic Management reference technological Value & Energy- Environment & Development and Resources quality related policies Community Social S&T prospects Objectives Research in Key Actions and Generic 1A 3.5 1.5 1 2 2 Actions (Target Actions, (3) (3) General & Open Calls)

Demonstration and Combined in Key 1A 2 1.5 1 3 2.5 Actions and Generic (3) (3) (3) Actions (Target Actions, General & Open Calls)

Accompanying measures (Open Call) 1B 2 3 1 2 2 (3) (3)

Thematic Networks/ Concerted Actions 1C 2 3 1 2 2 (Target Actions and (3) (3) General Calls) Proposers are reminded that for a proposal to be eligible, it must be complete in all three parts: the administrative and budgetary forms (part A) and the proposal description in part B and part C.

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

Part A

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

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

Parts B and C

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

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

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

26 Part B: Shared cost actions: Research, Demonstration & Combined Projects Description of scientific and technological activities NB! Part B must normally be anonymous

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

B 0 Title and Acronym of Proposal

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

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

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

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

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

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

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

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

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

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

28 Essential elements of the work plan are: a) Introduction: explaining the structure of the work plan and the overall methodology used to achieve the objectives (up to 2 pages); b) Project planning and timetable (Table B 2); c) Detailed project description broken down into work packages:  List of work packages (Table B 3);  List of deliverables (Table B 4);  Description of each work package (up to 1 page) according to the indicative structure of Table B 5. Note that only eligible costs* are to be included by proposers (See also Guide for Proposers, Part 1, Box 7). These data must be consistent with the cost data submitted in the Part A administrative forms A4. d) Measures of the Techno – Economic performance. (Particularly for demonstration projects, this is an important set of criteria against which the ultimate success of the project shall be judged). Calculation of principal performance indicators (energy produced and saved and other quantifiable impacts and benefits as given in the work programme). Economic calculation (e.g. from data supplied on investment, energy balance and running costs). For demonstration projects the calculation of the payback time is required. Calculation of the environmental impact etc.

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

* In the case of a proposal for a demonstration project, this means only costs related to the realisation of the innovative part of the project. 29 Table B 1 Proposal Objectives Overview (Please only address objectives which are relevant for the proposal and quantify where possible) Relevant Thematic Priority number(s) (see Work Programme) …. , …. , …. Target Action letter and title (if appropriate): … , …………….. Tick if See Criterion Current status for the envisaged Improvement for the Long term potential for relevant proposal no. technology (Quantified) envisaged technology expected improvement e.g. allowable to the section at the end of project (quantify cost for a technology to be proposal (page no.) new value and % change) cost-effective (quantify new value and % change) 1Scientific and Technical objectives, contribution to the goals in the Thematic Priorities and Target Actions of the Work Programme and Innovation S/T objectives related to the B2( ) technology. Investment cost (e.g. per kW for B3 ( ) 1 RES or RUE or kWh for storage ) Running costs ( e.g. operation and B3 ( ) 1 maintenance) Efficiency for energy (heat and/or B3 ( ) 1 electricity) production in % Cost of energy produced (e.g. RES) B3 ( ) 1 or saved (RUE) in € cent/kW Other goals mentioned in the WP B3 ( ) Does the proposal exploit ICTs and B4 ( ) 1 ** e-science*? Other **

2 Community added value and contribution to EU energy-related policies GHG emissions & climate change* C1 ( ) 2 Does the proposal include Pre- C1 ( ) 2 ** normative research*? EU – member state (ERA) and C1 ( ) 2 ** other international collaboration* Security and diversification of C1 ( ) 2 ** energy supply. Energy saving by RUE C1 ( ) 2 Increase the share of new and C1 ( ) 2 ** renewable energy sources (RES) Other **

* Priorities of strategic importance to the EU ** Please describe in one sentence which type of activity is envisaged and/or how the proposal contributes to achieving them. (The column headings do not apply here) 30 Table B 1 Proposal Objectives Overview - continued (Please only address objectives which are relevant for the proposal and quantify where possible) Tick if See Criterion Current status for the envisaged Improvement for the Long term potential for relevant proposal no. technology (Quantified) envisaged technology expected improvement (e.g. to the section at the end of project (Quantify allowable cost for a proposal (page no.) new value and % change) technology to be cost- effective) (Quantify new value and % change) 3 Contribution to the environment and EU social objectives Reduced environmental impact: e.g. Non GHG C2 ( ) 3 emissions, noise, solid waste, other (please indicate type of pollution addressed and quantify where possible). Pollution type 1 C2 ( ) 3 Pollution type 2 C2 ( ) 3 Pollution type 3 C2 ( ) 3 Health and safety C2 ( ) 3 Employment C2 ( ) 3 Does the proposal include socio- C2 ( ) 3 ** economic research* ? Other 4 Economic impact and S&T prospects Market prospects C3 ( ) 4 Exploitation plans & dissemination C3 ( ) 4 strategy Other

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

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

31 Table B 2 Project planning and timetable

WORKPACKAGE / MANPOWER BARCHART

Duration / critical path : see milestone list 1st year 2nd year 3rd year Workpackage descriptions

Workpackage 1: Title 1 Task 1.1 Title Task 1.2 " Workpackage 2: Title Task 2.1 " Task 2.2 " Workpackage 3: Title Task 3.1 Title Task 3.2 " Workpackage 4: Title Task 4.1 Title Task 4.2 " Workpackage 5: Title Workpackage 6: Title Task 6.1 Title Task 6.2 " Task 6.3 " Workpackage 7: Title Task 7.1 Management Task 7.2 Exploitation

6 m Final 12 m Mid-term 24 m 30 m

Reporting Periods

1 Table B 3 List of work packages

Work Work package title Work package Person- Cost Start End Phas Deliverable package leader months3 (euro) month4 month5 e6 No7 No1 No2

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

33 Table B 4 Deliverables list

Deliverable Deliverable title Delivery Dissemination No8 date9 level10

8 Deliverable numbers in order of delivery dates: D1 – Dn 9 Month in which the deliverable will be available. Month 0 marking the start of the project, and all delivery dates being relative to this start date. 10 Please indicate the dissemination level using one of the following codes: PU = Public RE = Restricted to a group specified by the consortium (including the Commission Services). CO = Confidential, only for members of the consortium (including the Commission Services). 34 Table B 5 Work package description (for each work package)

Work package No11 : Start month12: End month13: Cost (Euro): Work package title: Work package Other participants with major involvement Leader (No) : Participant No : Person-months per participant: Cost (Euro) per participant: Other significant cost items (specify main items and costs) Procurement of sub-contracting, equipment, materials, services, other items (Please specify major items): Costs of procured items (Euro)

Objectives

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

Deliverables

Milestones and expected results

11 Work package number: WP 1 – WP n. 12 Relative start date for the work in the specific work packages, month 0 marking the start of the project, and all other start dates being relative to this start date. 13 Relative end date, month 0 marking the start of the project, and all end dates being relative to this start date. 35 Part C: Shared cost actions: Research, Demonstration & Combined Projects Community added value, energy-related policies, the environment, social objectives, S & T prospects, and management NB! Part C is not anonymous

C 0 Title and acronym

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

C 1 Community added value and contribution to EU energy-related policies (up to 2 pages) This section should describe what is the EU added value of the proposal and why the proposed project should be carried out at European, instead of at national level. For example if there is a need to create a critical mass in human or financial terms, or whether the project will bring together complementary expertise existing in different organisations. In view of the EU policy to construct a European Research Area (ERA), the co-ordination of EU and national programmes and/or EU-wide networks (and international co-operation) is given priority. Networking EU and national research programmes, mobility of human resources and bench marking of EU and national research (e.g. research performance indicators) have been identified as key instruments to deploy the policy priorities stated in the European Research Area. If appropriate, please describe how the proposal addresses these issues.

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

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

36  Improving the environment (e.g. through pollution and noise abatement, solid waste reduction) and minimising use/conservation of natural resources;  Improving the quality of life and health and safety (including working conditions);  Improving employment prospects and the use and development of skills in Europe.

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

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

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

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

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

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

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

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

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

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

38 Appendix 1B - Proposal Submission Forms for Accompanying Measures

Part A

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

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

Parts B and C

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

To be considered for support, accompanying measures must conform to the following criteria:  The measures should conform with the objectives of the programme as set out in the Council Decision and the Work Programme or with Community RTD policy and/or the achievement of the European Research Area as a whole.  The proposed measures must have a genuine European or international dimension in terms of the participation to be expected and/or the impact of the measures.  The proposed measures must be of high quality, cost-effective and feasible for the funding proposed. The funding should clearly be in proportion with the expected results. The professional qualifications and credentials of the beneficiaries should be clear in the proposals.  In general, funding levels should be tied to the level of EU interest of the measure (or part measure) concerned. As an indication, 100% funding The results of the measure (or part measure) should have broad strategic interest to the Commission for furthering the objectives of a specific programme, EU RTD policy and/or the European Research Area in general, while there will be minimal direct benefit (other than the intellectual interest) for the proposers themselves 75% funding the results of the measure (or part measure) will mainly be of strategic interest to the Commission, while being of limited direct benefit to the proposers themselves.

39 50% funding the results of the measure (or part measure) will be of direct benefit to both the Commission and to the proposers themselves. Intermediate funding levels should reflect the degree of direct interest for Commission/proposers.  Proposals for accompanying measures will only normally be considered if they are for events or work at least ten months after the cut-off date.  Where appropriate (e.g. conferences, workshops, etc.), proposed measures should have a clear publicity value for the Commission and the programme. In particular, there should be a clear acknowledgement of the role of the Commission in supporting the measure.  There should be transparency in the submission of the proposed measures. In particular, all applicants should provide clear and detailed information in the proposal setting out all the appropriate costs (including income) and clear objectives for furthering Community policy and/or the objectives of the specific programme concerned.  The measures proposed should not have a permanent nature nor should they create any acquired rights for the beneficiaries.  There should be no commercial character to the measures proposed nor should there be any profit or direct commercial gain for the beneficiaries.  For conferences, seminars, workshops, etc., evidence should be provided that the organisers have attempted to recover some of the costs of the event from other sources and/or by charging a registration fee.

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

40 Part B Accompanying Measures : Description of scientific and technological activities NB! Part B must normally be anonymous

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

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

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

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

B 5 Work plan This section should concisely describe the work plan proposed to achieve the objectives of the Accompanying Measure. The work plan must be broken down into Work Packages (WPs). Where appropriate, the following elements should be provided: a) Introduction – explaining the structure of the work plan and the overall methodology used to achieve the objectives; b) Project planning and timetable (Table B2 in Appendix 1A); c) Detailed project description broken down, when appropriate, into WPs: - List of WPs (Table B3 in Appendix 1A); - List of deliverables (Table B4 in Appendix 1A); - Description of each WP (up to 1 page) according to the indicative structure of Table B5 in Appendix 1A.

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

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

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

C 0 Title and Acronym of Proposal

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

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

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

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

C 2 Contribution to the environment and Community social objectives (max. 1 page) This section should describe and quantify how the proposal will contribute to EU environmental and social objectives (where relevant refering to specific EU policies), such as : 43  Improving the environment (e.g. through pollution and noise abatement, solid waste reduction) and minimising use/conservation of natural resources;  Improving the quality of life and health and safety (including working conditions);  Improving employment prospects and the use and development of skills in Europe.

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

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

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

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

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

b) The consortium In case of a multi-proposer consortium, summarise the role and contribution of each of the proposers (up to 1/2 page per proposer), their qualifications for their role, their capacity to provide their contribution to the project, and how they complement each other. Financial or legal links between any of the participants and any sub-contractors should be indicated. For a single participant proposal, the qualifications and capacities to carry out the project should be demonstrated.

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

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

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

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

Part A

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

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

Parts B and C

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

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

46 Part B Concerted Actions/Thematic Networks : Description of activities NB! Part B must normally be anonymous

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

B 2 Scientific and Technical Objectives and innovation(up to 1 page) This section describes the scientific/technological objectives of the proposal. They should be achievable within the project, not through subsequent development, and should be stated in a quantified, measurable and verifiable form (outputs, impacts). Although the S/T objectives of the project are generally different from the quantitative goals and deliverables indicated in the relevant thematic priorities of the Work Programme (see B3), they are linked in that they enable the project to aim towards them. For instance, a S/T objective could be the co-ordination and monitoring of related RTD projects, and this then contributes to the Work Programme goals of higher efficiency and lower energy cost/kW. The progress and outcome of the project will be measured against these objectives in reviews and assessments.  Briefly outline the international state-of-the-art and the technical limitations of existing products, processes, technologies, methodologies, policies, standards, etc.  Explain the scientific and technological approach which is currently followed by the members of the network to improve the current state of the art.  Describe the main innovations which are expected to result from this network. Proposers should pay attention to the second priority of strategic importance to the EU : “Exploiting the potential of new ICTs in Energy RTD including e- science issues”. If appropriate, please expand on this aspect.

B 3 Contribution to the goals of the Thematic Priorities and Target Actions of the Work Programme (up to 1 page) This section describes which research areas (Thematic Priorities and/or Target Actions) are addressed by the proposal and how it will contribute to the objectives and goals laid down in the relevant parts of the Work Programme. Note that it is essential for a proposal responding to the general part of the call (i.e. addressing any of the topics in the work programme and not being part of a Target Action) to show a high degree of compliance with one, or preferably 47 several, of the five priorities of strategic importance to the EU introduced in the Work Programme Update: October 2000. Proposals responding to the Target Actions will obviously have an added value if they are in line with one or more of these strategic priorities.

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

The work plan describes the objectives, the network structure and the coherence of the work packages and tasks, role of participants, work content and deliverables. Where appropriate, the following elements should be provided:  Project planning and time table (Table B2 in Appendix 1A);  Description of work packages and tasks (1 page per work package) according to the indicative structure of Table B3 in this Appendix 1C;  Overview of all the deliverables of the network (Table B4 in this Appendix 1C);  Overview of important milestones with decision criteria (Table B5 in this Appendix 1C);

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

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

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

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

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

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

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

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

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

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

 Etc.

49 Table B 3 Concerted Action/Thematic Network Work package description

Work package Title: WP No: Starting date: month no. Duration: months Total Effort (man-months): Member involved Role of Member Effort (man-months):

Objectives

Description of work / tasks

Deliverables

Milestones and criteria

Interrelation with other work packages

50 Table B 4 Concerted Action/Thematic Network Overview of deliverables

No1 Due W.P. / Task Nature3 Description Date2 No.

1) No : Numbers in order of delivery or due date (D1 – Dn for deliverables, M1-Mn for Milestones) 2 ) Due date : Month in which the deliverables or milestones are due. Month 0 marking the start of the project, and all due dates being relative to this start date. 3) Indicate the nature of the deliverable, for example: report, prototype, demonstrator, methodology, software code, sample, etc.

Table B 5 Concerted Action/Thematic Network Overview of milestones

No Due Brief description of Milestone Decision criteria for assessment date objectives M1

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

C 0 Title and Acronym of Proposal

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

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

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

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

52  Improving the environment (e.g. through pollution and noise abatement, solid waste reduction) and minimising use/conservation of natural resources;  Improving the quality of life and health and safety (including working conditions);  Improving employment prospects and the use and development of skills in Europe.

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

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

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

C 4 Description of the consortium (up to 1 page) Each member organisation must be committed to contribute actively to the achievement of the objectives.  The consortium should include a range of stakeholders appropriate to the technology and the foreseen use and dissemination of the results. This should ensure that the problems are properly defined, that the network objectives meet the requirements and that the research phase has the best chances of being successfully completed. The composition and commitment of the consortium should ensure that positive RTD results are followed through to exploitation. Effective participation of SMEs is strongly encouraged and their participation should be mentioned in this section. Where appropriate, collaboration with concerned international associations, federations, etc. is recommended. Previous co-operation between participants should be mentioned.  Provide a list of member organisations (Table C 1).  Provide a table with an overview of the RTD projects and activities to be co-ordinated by the action (Table C 2).

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

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

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

It is recommended to have a formal Steering Committee for taking important strategic and management network decisions.

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

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

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

54 of the cluster, its objectives and the role and contribution of the present proposal to the cluster.

55 Table C 1 Concerted Action/Thematic Network Participating organisations

No1 Country No. of Main Mission4/ Role Name2 Employees3 Business Activity 1 2 3

1) use same participant numbers as in Proposal Submission Form A3 2) abbreviate long names if needed 3) number of employees of the organisation 4) main mission, e.g.: manufacturer of ., user of .., research organisation for .., policy making body for .. , university department teaching …

Table C 2 Concerted Action/Thematic Network Overview of projects

Organisation Project Start End Annex4 Title of project5 1 ref.2 Date3 Date3

1) Organisation which represents the project 2) Project reference number or acronym (e.g. ENERGY ENK6-2001-9999 "ACRO") 3) Project start and end date e.g. Feb. 2003 4) Annex: insert an X if there is an annex with further description of the project (no more than one page) 5) Title of the project, other very brief important information

56 Appendix 1D – Proposal Submission Forms For INCO Bursaries

Appendix 1E – Special conditions for the INCO Programme

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

57 Annex 3 Evaluation Forms

Indicative

This annex presents examples of the forms used by the independent expert evaluators to evaluate proposals for Research, Demonstration and Combined projects, Accompanying Measures, Concerted Actions and Thematic Networks.

It does not supersede the rules and conditions laid out, in particular, in the Evaluation Manual for the Fifth Framework Programme, and in Council and Parliament Decisions relevant to the Fifth Framework Programme, to the Specific Programme or to the Calls for Proposals in these Programmes.

58 Introduction

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

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

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

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

59 Evaluation Forms

Research,

Demonstration, and

Combined proposals

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

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

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

II. Detailed evaluation Please carry out the detailed evaluation on the following pages and then come back to summarise your results here. Scores should reflect the quality of the proposal as submitted by the proposers and the likelihood of it meeting its objectives : Criterion Overall mark Weighting W & (Threshold) Overall score M Research Demo & MxW (Circle one) Combined 1. Scientific/technical quality and innovation 0 1 2 3 4 5 3.5 (3) 2 (3) 2. Community added value and contribution to 1.5 (3) EU energy-related policies 0 1 2 3 4 5 1.5 (3) 3. Contribution to the environment and EU 1 social objectives 0 1 2 3 4 5 1 4. Economic development and S&T prospects 0 1 2 3 4 5 2 3

5. Resources, partnership and management 0 1 2 3 4 5 2 2.5 (3) TOTAL (maximum 50): /50

III. Recommendation Proposal recommended for Max. Recommended EC funding (if consideration NO  YES  supported):

Key comments :

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

Low  Medium  High 

Date : Signature :

61 ENERGIE - Individual Evaluation for RTD Proposal

Proposal no. NNE5-2001- Acronym TA  or GEN  Name of evaluator : Panel no. : Criterion 1. Scientific/technological quality and innovation The sub-questions in all criteria are only examples of points to be considered - they may not apply to all proposals 1.1 Contribution to addressing the technical objectives: e.g. Are the S/T objectives expressed clearly and in verifiable (and where possible quantitative) terms? - Does the proposal meet WP targets such as reduced investment cost, running costs, efficiency, cost of energy, etc. - For demonstration projects: Is a clear energy balance provided (whenever appropriate)? Comments :

0 1 2 3 4 5

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

0 1 2 3 4 5

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

0 1 2 3 4 5

Overall comments for this criterion:

Overall mark (integer) out of 5 0 1 2 3 4 5

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

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

2.1 Community Added Value. e.g.Will the results be applicable on an European scale? - Does the proposal contribute to the European Research Area through co-ordination, benchmarking, networking and mobility between EU programmes and other national or international activities? (STRATEGIC PRIORITY FOR GENERAL CALL)

Comments :

0 1 2 3 4 5

2.2 Contribution to EU energy-related policies e.g. Does the proposal make a positive contribution to EU Energy-related policies on GHG emissions and climate change (STRATEGIC PRIORITY FOR GENERAL CALL), security and diversification of energy supply, increasing the share of new and renewable energies, energy saving through rational use of energy, internalisation of externalities? - Are the expected results meaningful in respect to the Kyoto commitment? - Does the proposal include pre-normative RTD? (STRATEGIC PRIORITY FOR GENERAL CALL)

Comments :

0 1 2 3 4 5

Criterion 3. Contribution to the environment and EU social objectives

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

Comments :

0 1 2 3 4 5

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

Comments :

0 1 2 3 4 5

Criterion 4. Economic development and S&T prospects

4.1 Strategic impact e.g.What is the likely contribution of the project in terms of creation of market opportunities? - What potential does the proposal offer in terms of increased competitiveness? - For demonstration and combined projects: Economic viability: Is the payback calculation acceptable? Is the payback time value appropriate for the types of application/markets considered? Comments :

0 1 2 3 4 5

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

0 1 2 3 4 5

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

Comments :

0 1 2 3 4 5 Overall comments for this criterion:

Criterion 5. Resources, partnership and management

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

0 1 2 3 4 5

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

0 1 2 3 4 5

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

(If applicable, please suggest a figure for EC funding in Section III) 0 1 2 3 4 5

Overall mark (integer) out of 5 Note : the threshold of 3 does not apply to Research proposals 0 1 2 3 4 5

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

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

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

3. Contribution to the environment and Community social objectives

4. Economic development and S&T prospects

5. Resources, partnership and management

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

Low  Medium  High  7. Overall remarks

Renewables % Non-Renewables Total project cost € Demo % Demo % Requested EC funding € Proposal recommended for NO YES Max. Recomm. € consideration   EC funding Criteria 1 2 3 4 5 Weighting W & (Threshold) : Research x 3.5 (3) x 1.5 (3) x 1 x 2 x 2 Scores Evaluator names Weight & (Thresh) : Combined&Demo x 2 (3) x 1.5 (3) x 1 x 3 x 2.5 (3) MxW Evaluator signatures Non-weighted marks M (out of 5)

Initial averages : Consensus marks/scores :

67 ENERGIE - Panel consensus report for RTD Proposal p.2/2 Please DO NOT fill in this form for Target Action proposals The fulfilment of one, or preferably several, of the five “Priorities Of Strategic Importance to the EU” to a High degree is a pre-condition for a GEN proposal to be recommended for consideration. Proposal no. NNE5-2001- Panel no. : Only for GEN  Title :

DEGREE OF FULFILMENT OF PRIORITIES OF STRATEGIC IMPORTANCE TO THE EU 1. Management of greenhouse gases (GHG) emissions and climate change

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

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

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

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

68 Evaluation Forms

Accompanying Measures,

Concerted Actions, and

Thematic Networks

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

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

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

II. Detailed evaluation Please carry out the detailed evaluation on the following pages and then come back to summarise your results here. Scores should reflect the quality of the proposal as submitted by the proposers and the likelihood of it meeting its objectives : Criterion Overall mark M Weighting W & Overall score M (Circle one) (Threshold) x W

1. Scientific/technical quality and innovation 0 1 2 3 4 5 2 /10 2. Community added value and contribution to EU 3 (3) 0 1 2 3 4 5 energy-related policies /15 3. Contribution to the environment and EU social 1 0 1 2 3 4 5 objectives /5 2 4. Economic development and S&T prospects 0 1 2 3 4 5 /10 2 (3) 5. Resources, partnership and management 0 1 2 3 4 5 /10 TOTAL (maximum 50): /50

III. Recommendation Proposal recommended for Max. Recommended EC funding (if consideration NO  YES  supported): Key comments :

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

Date : Signature :

70 ENERGIE - Individual Evaluation : AM  , CA  , or TN 

Proposal no. NNE5-2001- Acronym Open , TA  or GEN  Name of evaluator : Panel no. : Criterion 1. Scientific/technological quality and innovation The sub-questions in all criteria are only examples of points to be considered - they may not apply to all proposals 1.1 Contribution to addressing the technical objectives and supporting innovation: e.g. Are the S/T objectives expressed clearly and in verifiable (and where possible quantitative) terms? - Does the proposal contribute to WP targets such as reduced investment cost, running costs, efficiency, cost of energy, etc. - Does the proposal demonstrate good awareness of the state of the art? - Will the proposed action contribute to increasing technology awareness and/or technology uptake? - Does the proposal exploit ICTs and e-science? (STRATEGIC PRIORITY FOR GENERAL CALL) Comments :

0 1 2 3 4 5

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

0 1 2 3 4 5

Overall mark (integer) out of 5 0 1 2 3 4 5 Criterion 2. Community Added Value and contribn. to EU energy-related policies 2.1 Community Added Value. e.g.Will the results be applicable on an European scale? - Does the proposal contribute to the European Research Area through co-ordination, benchmarking, networking and mobility between EU programmes and other national or international activities? (STRATEGIC PRIORITY FOR GENERAL CALL) Comments :

0 1 2 3 4 5 2.2 Contribution to EU energy-related policies e.g. Does the proposal make a positive contribution to EU Energy-related policies on GHG emissions and climate change (STRATEGIC PRIORITY FOR GENERAL CALL), security and diversification of energy supply, increasing the share of new and renewable energies, energy saving through rational use of energy, internalisation of externalities? - Are the expected results meaningful in respect to the Kyoto commitment? - Does the proposal support pre-normative RTD? (STRATEGIC PRIORITY FOR GENERAL CALL) Comments :

0 1 2 3 4 5

71 ENERGIE - Individual Evaluation : AM  , CA  , or TN 

Proposal no. NNE5-2001- Acronym Open , TA  or GEN  Name of evaluator : Panel no. : Criterion 3. Contribution to the environment and EU social objectives 3.1 Contribution to preserving and/or enhancing the environment e.g.Will the project contribute to the development of any environmentally friendly or energy efficient processes? - Will there be environmental benefits such as reduction of non-GHG emissions, noise, solid waste, other pollutants? - Will the project contribute to minimising use or conservation of natural sources? Comments :

0 1 2 3 4 5

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

0 1 2 3 4 5

Overall mark (integer) out of 5 0 1 2 3 4 5 Criterion 4. Economic development and S&T prospects e.g.Is it likely that the results will be widely and usefully applied (by industry, public authorities and other users)? - Are exploitation & dissemination strategies explained and sectorial and/or geographical target groups identified? Comments :

Overall mark (integer) out of 5 0 1 2 3 4 5 Criterion 5. Resources, partnership and management 5.1 Quality of the management and partnership e.g.Is an appropriate management structure proposed, with a clear communications strategy? - Are there clear and verifiable performance indicators? - Do the partners have clear roles and the necessary skills and experience?(potential end-users are highly desirable) - Are there significant advantages in the European dimension of the partnership? Comments :

0 1 2 3 4 5

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

(If applicable, please suggest a figure for EC funding in Section III) 0 1 2 3 4 5

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

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

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

3. Contribution to the environment and Community social objectives

4. Economic development and S&T prospects

5. Resources, partnership and management

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

Low  Medium  High 7. Overall remarks

Renewables % Non-Renewables Total project cost €

Demo % Demo % Requested EC funding €

Proposal recommended for NO YES Max. Recomm. € consideration   EC funding Criteria 1 2 3 4 5 Weighting W & (Threshold) x 2 x 3 (3) x 1 x 2 x 2 (3) Scores MxW Evaluator names Evaluator signatures Non-weighted marks M

Initial averages : Consensus marks/scores :

73 ENERGIE - Panel consensus report : CA  , or TN  p.2/2 Please DO NOT fill in this form for AM or Target Action proposals The fulfilment of one, or preferably several, of the five “Priorities Of Strategic Importance to the EU” to a High degree is a pre-condition for a GEN proposal to be recommended for consideration. Proposal no. NNE5-2001- Panel no. Only for GEN  Title :

DEGREE OF FULFILMENT OF PRIORITIES OF STRATEGIC IMPORTANCE TO THE EU 1. Management of greenhouse gases (GHG) emissions and climate change

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

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

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

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