# C_2004309EN.01001601.xml

| 15.12.2004 | EN | Official Journal of the European Union | C 309/16 |
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15.12.2004

EN

Official Journal of the European Union

C 309/16

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Calls for proposals for indirect RTD actions under the specific programme for research, technological development and demonstration: ‘Integrating and strengthening the European Research Area’

Thematic priority area: ‘Specific activities covering a wider field of research’

Call identifiers: FP6-2004-SME-COOP, FP6-2004-SME-COLL

(2004/C 309/06)

| 1. | In accordance with Decision No 1513/2002/EC of the European Parliament and of the Council, of 27 June 2002, concerning the sixth framework programme of the European Community for research, technological development and demonstration activities contributing to the creation of the European Research Area and to innovation (2002 to 2006) (1), the Council adopted on 30 September 2002 the specific programme for research, technological development and demonstration: 'Integrating and strengthening the European Research Area' (2002 to 2006) (2) (referred to as the specific programme).
  In accordance with Article 5(1) of the specific programme, the Commission of the European Communities (referred to as the Commission) has adopted on 9 December 2002 a work programme (3) (referred to as the work programme) setting out in greater detail the objectives and scientific and technological priorities of the specific programme, and the timetable for implementation.
  In accordance with Article 9(1) of Regulation (EC) No 2321/2002 of the European Parliament and of the Council, of 16 December 2002, concerning the rules for the participation of undertakings, research centres and universities in, and for the dissemination of research results for, the implementation of the European Community sixth framework programme (2002 to 2006) (4) (referred to as the rules for participation), proposals for indirect RTD actions should be submitted under the terms of calls for proposals. |
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1.

In accordance with Decision No 1513/2002/EC of the European Parliament and of the Council, of 27 June 2002, concerning the sixth framework programme of the European Community for research, technological development and demonstration activities contributing to the creation of the European Research Area and to innovation (2002 to 2006) (1), the Council adopted on 30 September 2002 the specific programme for research, technological development and demonstration: 'Integrating and strengthening the European Research Area' (2002 to 2006) (2) (referred to as the specific programme).

1

2

In accordance with Article 5(1) of the specific programme, the Commission of the European Communities (referred to as the Commission) has adopted on 9 December 2002 a work programme (3) (referred to as the work programme) setting out in greater detail the objectives and scientific and technological priorities of the specific programme, and the timetable for implementation.

3

In accordance with Article 9(1) of Regulation (EC) No 2321/2002 of the European Parliament and of the Council, of 16 December 2002, concerning the rules for the participation of undertakings, research centres and universities in, and for the dissemination of research results for, the implementation of the European Community sixth framework programme (2002 to 2006) (4) (referred to as the rules for participation), proposals for indirect RTD actions should be submitted under the terms of calls for proposals.

4

| 2. | The present calls for proposals for indirect RTD actions (referred to as the calls) comprise the present general part and the specific conditions that are described in the Annexes. The Annexes indicate in particular, the dates of closure for the submission of proposals for indirect RTD actions, an indicative date for the completion of the evaluations, the indicative budget, the instruments and the areas concerned, the evaluation criteria for the evaluation of proposals for indirect RTD actions, the minimum number of participants, and any applicable restrictions. |
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2.

The present calls for proposals for indirect RTD actions (referred to as the calls) comprise the present general part and the specific conditions that are described in the Annexes. The Annexes indicate in particular, the dates of closure for the submission of proposals for indirect RTD actions, an indicative date for the completion of the evaluations, the indicative budget, the instruments and the areas concerned, the evaluation criteria for the evaluation of proposals for indirect RTD actions, the minimum number of participants, and any applicable restrictions.

| 3. | Natural or legal persons fulfilling the conditions stated in the rules for participation and that do not fall under any of the exclusion cases in the rules for participation or in Article 114(2) of Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities (5) (referred to as the proposers) are invited to submit to the Commission proposals for indirect RTD actions subject to the conditions in the rules for participation and in the call concerned being fulfilled.
  The conditions of participation of the proposers will be verified within the framework of the negotiation of the indirect RTD action. Before that however, proposers will have signed a declaration stating that they do not fall under any of the cases given by Article 93(1) of the Financial Regulation. They will also have given the Commission the information listed in Article 173(2) of Commission Regulation (EC, Euratom) No 2342/2002, of 23 December 2002, laying down detailed rules for the implementation of Council Regulation (EC, Euratom) No 1605/2002 on the Financial Regulation applicable to the general budget of the European Communities (6).
  The European Community has adopted an equal opportunities policy and, on this basis, women are particularly encouraged to either submit proposals for indirect RTD actions or participate in the submission of proposals for indirect RTD actions. |
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3.

Natural or legal persons fulfilling the conditions stated in the rules for participation and that do not fall under any of the exclusion cases in the rules for participation or in Article 114(2) of Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities (5) (referred to as the proposers) are invited to submit to the Commission proposals for indirect RTD actions subject to the conditions in the rules for participation and in the call concerned being fulfilled.

5

The conditions of participation of the proposers will be verified within the framework of the negotiation of the indirect RTD action. Before that however, proposers will have signed a declaration stating that they do not fall under any of the cases given by Article 93(1) of the Financial Regulation. They will also have given the Commission the information listed in Article 173(2) of Commission Regulation (EC, Euratom) No 2342/2002, of 23 December 2002, laying down detailed rules for the implementation of Council Regulation (EC, Euratom) No 1605/2002 on the Financial Regulation applicable to the general budget of the European Communities (6).

6

The European Community has adopted an equal opportunities policy and, on this basis, women are particularly encouraged to either submit proposals for indirect RTD actions or participate in the submission of proposals for indirect RTD actions.

| 4. | The Commission makes available to proposers guides for proposers relating to the call(s) which contain information on the preparation and the submission of a proposal for an indirect RTD action. The Commission also makes available Guidelines on proposal evaluation and selection procedures (7). These guides and guidelines, as well as the work programme and other information relating to the call(s), can be obtained from the Commission via the following addresses:





  European Commission |
| --- | --- |
| The FP6 Information Desk |
| Directorate General RTD |
| B-1049 Brussels, Belgium |
| E-mail: research-sme@cec.eu.int |
| Internet address: www.cordis.lu/fp6 |

4.

The Commission makes available to proposers guides for proposers relating to the call(s) which contain information on the preparation and the submission of a proposal for an indirect RTD action. The Commission also makes available Guidelines on proposal evaluation and selection procedures (7). These guides and guidelines, as well as the work programme and other information relating to the call(s), can be obtained from the Commission via the following addresses:

7

European Commission

The FP6 Information Desk

Directorate General RTD

B-1049 Brussels, Belgium

E-mail: research-sme@cec.eu.int

Internet address: www.cordis.lu/fp6

| 5. | Proposals for indirect RTD actions are invited to be submitted only as an electronic proposal via the web-based Electronic Proposal Submission System (EPSS (8)). In exceptional cases, however, a coordinator may request permission from the Commission to submit on paper in advance of a call deadline. This should be done by writing to one of the following addresses:





  European Commission |
| --- | --- |
| Thomas Arnold |
| Directorate-General RTD |
| SDME 9/20 |
| B-1049 Brussels |
| E-mail address: research-sme@cec.eu.int |

5.

Proposals for indirect RTD actions are invited to be submitted only as an electronic proposal via the web-based Electronic Proposal Submission System (EPSS (8)). In exceptional cases, however, a coordinator may request permission from the Commission to submit on paper in advance of a call deadline. This should be done by writing to one of the following addresses:

8

European Commission

Thomas Arnold

Directorate-General RTD

SDME 9/20

B-1049 Brussels

E-mail address: research-sme@cec.eu.int

The request must be accompanied by an explanation of why the exception is being sought. Proposers wishing to use paper submission take the responsibility for ensuring that such requests for exemption and the associated procedures are completed in time for them to meet the call deadline.

All proposals for indirect RTD actions must contain two parts: the forms (part A) and the content (part B).

Proposals for indirect RTD actions may be prepared off-line or online and submitted online. Part B of proposals for indirect RTD actions can only be submitted in PDF (portable document format, compatible with Adobe version 3 or higher with embedded fonts). Compressed (zipped) files will be excluded.

The EPSS software tool (for off-line or online usage) is available via the Cordis website www.cordis.lu.

Proposals for indirect RTD actions that are submitted online and which are incomplete, illegible or contain viruses will be excluded.

Versions of proposals for indirect RTD actions submitted on a removable electronic storage medium (eg, CD-ROM, diskette), by e-mail or by fax will be excluded.

Any proposal for indirect RTD actions that has been allowed to be submitted on paper and which is incomplete will be excluded.

Further details on the various proposal submission procedures are given in Annex J of the Guidelines on proposal evaluation and selection procedures.

| 6. | Proposals for indirect RTD actions have to reach the Commission at the latest on the closure date and at the time specified in the call concerned. Proposals for indirect RTD actions arriving after this date and time will be excluded.
  Proposals for indirect RTD actions not satisfying the conditions relating to the minimum number of participants indicated in the call concerned will be excluded.
  This also applies regarding any additional eligibility criteria given in the work programme. |
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6.

Proposals for indirect RTD actions have to reach the Commission at the latest on the closure date and at the time specified in the call concerned. Proposals for indirect RTD actions arriving after this date and time will be excluded.

Proposals for indirect RTD actions not satisfying the conditions relating to the minimum number of participants indicated in the call concerned will be excluded.

This also applies regarding any additional eligibility criteria given in the work programme.

| 7. | In the case of successive submissions of the same proposal for an indirect RTD action, the Commission will examine the last version received before the closure date and time specified in the call concerned. |
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7.

In the case of successive submissions of the same proposal for an indirect RTD action, the Commission will examine the last version received before the closure date and time specified in the call concerned.

| 8. | If foreseen in the relevant call, proposals for indirect RTD actions could be evaluated in the framework of a future evaluation. |
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8.

If foreseen in the relevant call, proposals for indirect RTD actions could be evaluated in the framework of a future evaluation.

| 9. | In all correspondence relating to a call (e.g. when requesting information, or submitting a proposal for an indirect RTD action), proposers are invited to cite the relevant call identifier. |
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9.

In all correspondence relating to a call (e.g. when requesting information, or submitting a proposal for an indirect RTD action), proposers are invited to cite the relevant call identifier.

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(1)  OJ L 232, 29.8.2002, p. 1.

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(2)  OJ L 294, 29.10.2002, p. 1.

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(3)  Commission Decision C(2002) 4789, as modified by C(2003) 577, C(2003) 955, C(2003) 1952, C(2003) 3543, C(2003) 3555, C(2003) 4609, C(2003) 5183, C(2004) 433, C(2004) 2002, C(2004) 2727, C(2004) 3324, and C(2004) 4178, all decisions unpublished.

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(4)  OJ L 355, 30.12.2002, p. 23.

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(5)  OJ L 248, 16.9.2002, p. 1.

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(6)  OJ L 357, 31.12.2002, p. 1.

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(7)  C(2003) 883 of 27.3.2003, as last modified by C(2004) 3337 of 1.9.2004.

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(8)  The EPSS is a tool to assist proposers to develop and submit their proposals electronically.

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ANNEX I

FP6-2004-SME-COOP

1.   Specific programme: Integrating and strengthening the foundations of the European Research Area

2.   Thematic priority/Domain: Horizontal research activities involving SMEs

3.   Call title: Cooperative research projects

4.   Call identifier: FP6-2004-SME-COOP

5.   Date of publication: 15 December 2004

6.   Closure dates: 14 September 2005 at 17.00 (Brussels local time)

7.   Total indicative budget: EUR 75 million

8.   Area and instruments:

| Area | Instrument |
| --- | --- |
| Any subject across the whole field of science and technology covered by Article 163 of the EC Treaty | Specific research project for SMEs (Cooperative research project) |

Area

Instrument

Any subject across the whole field of science and technology covered by Article 163 of the EC Treaty

Specific research project for SMEs (Cooperative research project)

9.   Minimum number of participants
   (1):

| Instrument | Minimum number |
| --- | --- |
| Specific research project for SMEs (Cooperative research project) | Five independent legal entities from three different MS or AS, with at least two MS or ACC |

Instrument

Minimum number

Specific research project for SMEs (Cooperative research project)

Five independent legal entities from three different MS or AS, with at least two MS or ACC

10.   Restriction to participation:

| — | At least three participants must be independent SMEs (2) established in at least two MS or AS, with at least one MS or ACC. Research centres, research institutes, contract research organisations and consultancy firms are excluded. |
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At least three participants must be independent SMEs (2) established in at least two MS or AS, with at least one MS or ACC. Research centres, research institutes, contract research organisations and consultancy firms are excluded.

| — | At least two participants must be RTD performers (having the capacity to carry out research at the request of the SMEs), independent from any other participant and must be established in two MS or AS, with at least one MS or ACC. |
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At least two participants must be RTD performers (having the capacity to carry out research at the request of the SMEs), independent from any other participant and must be established in two MS or AS, with at least one MS or ACC.

| — | Other legal entities, such as enterprises or end-users that make a particular contribution to the project and to solving specific problems or needs of the SMEs involved may participate, though not in a dominant role. These enterprises and end-users must be independent from the SME participants and the RTD performers. |
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Other legal entities, such as enterprises or end-users that make a particular contribution to the project and to solving specific problems or needs of the SMEs involved may participate, though not in a dominant role. These enterprises and end-users must be independent from the SME participants and the RTD performers.

11.   Consortium agreement: Participants in RTD actions resulting from this call are required to conclude a consortium agreement at the start of the project

12.   Evaluation procedure:

| — | the evaluation shall follow a single stage procedure, |
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the evaluation shall follow a single stage procedure,

| — | proposals will not be evaluated anonymously. |
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proposals will not be evaluated anonymously.

13.   Evaluation criteria: see Annex B to the work programme for the applicable criteria (including their individual weights and thresholds and the overall threshold) per instrument.

14.   Indicative evaluation and selection delays:

| — | evaluation results: estimated to be available within three months after the closure date, |
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—

evaluation results: estimated to be available within three months after the closure date,

| — | contract signature: it is estimated that the first contracts related to this call will come into force eight months after the closure date. |
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contract signature: it is estimated that the first contracts related to this call will come into force eight months after the closure date.

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(1)  MS = Member States of the EU; AS (including ACC) = Associated States ; ACC = Associated candidate countries. Any legal entity established in a Member State or Associated State and which is made up of the requested number of participants may be the sole participant in an indirect action.

(2)  Article 2(17) of the Regulation of the European Parliament and of the Council concerning the rules for the participation of undertakings, research centres and universities in, and for the dissemination of research results for the implementation of the European Community sixth framework programme 2002 to 2006 (OJ L 355, 30.12.2002, p. 23) refers, for this definition, to Commission Recommendation 96/280/EC (OJ L 107, 30.4.1996, p. 4) which is replaced from 1 January 2005 by Commission Recommendation 2003/361/EC (OJ L 124, 20.5.2003 p. 36).

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ANNEX II

FP6-2004-SME-COLL

1.   Specific programme: Integrating and strengthening the foundations of the European Research Area

2.   Thematic priority/Domain: Horizontal research activities involving SMEs

3.   Call title: Collective research projects

4.   Call identifier: FP6-2004-SME-COLL

5.   Date of publication:

6.   Closure date: 26 May 2005 (first stage), at 17.00 (Brussels local time)

7.   Total indicative budget: EUR 65 million

8.   Area and instruments:

| Area | Instrument |
| --- | --- |
| Any subject across the whole field of science and technology covered by Article 163 of the EC Treaty | Specific research project for SMEs (Collective research project) |

Area

Instrument

Any subject across the whole field of science and technology covered by Article 163 of the EC Treaty

Specific research project for SMEs (Collective research project)

9.   Minimum number of participants
   (1):

| Instrument | Minimum number |
| --- | --- |
| Specific research project for SMEs (Collective research project) | Five legal entities, of which three must be independent, from three different MS or AS, with at least two MS or ACC |

Instrument

Minimum number

Specific research project for SMEs (Collective research project)

Five legal entities, of which three must be independent, from three different MS or AS, with at least two MS or ACC

10.   Restriction to participation:

| — | At least one participant must be a European Industrial Association/Grouping (2) established in a MS or an AS. This Association/Grouping must be made up of a minimum of two independent legal entities established in two MS or AS, with at least one MS or ACC.
  Instead of this European Industrial Association/Grouping, there may be at least two independent Industrial Association/Groupings established in two MS or AS, with at least one MS or ACC. |
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—

At least one participant must be a European Industrial Association/Grouping (2) established in a MS or an AS. This Association/Grouping must be made up of a minimum of two independent legal entities established in two MS or AS, with at least one MS or ACC.

Instead of this European Industrial Association/Grouping, there may be at least two independent Industrial Association/Groupings established in two MS or AS, with at least one MS or ACC.

| — | At least two participants, must be RTD performers (having the capacity to carry out research at the request of the Association(s)/Grouping(s)), independent from any other participant and established in two MS or AS with at least one MS or ACC. |
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—

At least two participants, must be RTD performers (having the capacity to carry out research at the request of the Association(s)/Grouping(s)), independent from any other participant and established in two MS or AS with at least one MS or ACC.

| — | At least two participants must be SMEs (3) established in two MS or AS, with at least one MS or ACC. Research centres, research institutes, contract research organisations and consultancy firms are excluded. |
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—

At least two participants must be SMEs (3) established in two MS or AS, with at least one MS or ACC. Research centres, research institutes, contract research organisations and consultancy firms are excluded.

11.   Consortium agreement:

| — | Participants in collective research projects resulting from this call are required to conclude a consortium agreement at the start of the project. |
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Participants in collective research projects resulting from this call are required to conclude a consortium agreement at the start of the project.

12.   Evaluation procedure:

| — | The evaluation of collective research proposals shall follow a two stage procedure, as described in the guidelines adopted by the Commission. For stage 1, an outline proposal providing the essential aspects of the proposed project shall be submitted. For proposals which successfully pass the first stage, co-ordinators shall be requested to provide a full proposal. The closure date for the submission of the full proposal (stage 2) will be detailed in the request (indicative closure date: mid November 2005). |
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The evaluation of collective research proposals shall follow a two stage procedure, as described in the guidelines adopted by the Commission. For stage 1, an outline proposal providing the essential aspects of the proposed project shall be submitted. For proposals which successfully pass the first stage, co-ordinators shall be requested to provide a full proposal. The closure date for the submission of the full proposal (stage 2) will be detailed in the request (indicative closure date: mid November 2005).

| — | Proposals will not be evaluated anonymously. |
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—

Proposals will not be evaluated anonymously.

13.   Evaluation criteria: see Annex B to the work programme for the applicable criteria (including their individual thresholds and the overall threshold) per instrument.

Outline proposals will consist of the required administrative information plus a scientific and technical description of maximum 8 pages. The evaluation of outline proposals (stage 1) will be based on a reduced set of criteria namely ‘relevance to the objectives of collective research’, ‘S & T excellence’ and ‘potential impact’. The threshold for proposals for which proposers will be invited to submit a stage 2 proposal is 11 out of 15.

The evaluation of proposals in stage 2 will be based on a full set of criteria (see Annex B).

14.   Indicative evaluation and selection delays:

| — | Evaluation results: estimated to be available within 3 months after the closure date. Proposers of successful proposals after the first stage evaluation will be asked to submit a stage 2 proposal with a deadline around mid-November 2005. |
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Evaluation results: estimated to be available within 3 months after the closure date. Proposers of successful proposals after the first stage evaluation will be asked to submit a stage 2 proposal with a deadline around mid-November 2005.

| — | Contract signature: it is estimated that the first contracts related to this call will come into force 12 months after the first stage closure date. |
| --- | --- |

—

Contract signature: it is estimated that the first contracts related to this call will come into force 12 months after the first stage closure date.

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(1)  MS = Member States of the EU ; AS (including ACC) = Associated States ; ACC = Associated candidate countries. Any legal entity established in a Member State or Associated State and which is made up of the requested number of participants may be the sole participant in an indirect action.

(2)  Industrial Associations/Groupings are moral persons, composed mostly of and representing the interests of SMEs and/or physical persons having the same kind of activities.

(3)  Article 2(17) of the Regulation of the European Parliament and of the Council concerning the rules for the participation of undertakings, research centres and universities in, and for the dissemination of research results for the implementation of the European Community sixth framework programme 2002 to 2006 (OJ L 355, 30.12.2002, p. 23) refers, for this definition, to Commission Recommendation 96/280/EC (OJ L 107 of 30.4.1996, p. 4) which is replaced from 1 January 2005 by the Commission Recommendation 2003/361/EC (OJ L 124, 20.5.2003 p. 36).

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