Tendering for EU-Funded Research

EU-funded research projects are undertaken largely in the context of multi-annual research, technological development and demonstration (RTD) framework programmes. The Sixth Framework Programme 2002–2006 (FP6), due to come into effect in January 2003, has a proposed overall budget of 17.5 billion euros, representing about a 15 per cent nominal increase over the budget of the Fifth Framework Programme 1999–2002 (FP5). RTD funding is awarded on a competitive basis, covering up to 50 per cent of the total eligible costs of a project.

The present chapter offers only a broad outline of tendering procedures for EU-funded research. At the time of writing, EU research and technological development activities are in a phase of transition from FP5 to FP6. The new programme has a different orientation in terms of research themes, priorities and instruments for funding research, among other aspects. Its implementation will place greater emphasis on the European dimension of research activities, collaboration and integration between researchers as steps toward the creation of a European Research Area and considerations of European added value in decisions to fund research projects. Changes and improvements are being made in approaches and procedures. It is clear that the detailed requirements for preparing and submitting research proposals and the basis on which proposals are evaluated will not be exactly as they were in FP5. Though the full extent of the changes will be known only when the new programme is launched, the underlying principles are likely to remain the same.

The European Commission offers researchers a wealth of guidance and practical advice that can be readily downloaded from its research site (http://europa.eu.int/comm/research/) and from the www.cordis.lu Web site, as well as being available through other channels. The CORDIS (Community Research and Development Information Service) site also hosts the European Research Gateways Online pilot initiative giving access to core information on research projects across Europe. Much of the EC Web information relates to proposals for research under FP5, but the gist of the guidance will certainly hold good for FP6 and it remains essential reading for researchers. Two general documents are particularly important:

• Participating in the European Research Programmes: Guide for applicants under the Fifth Framework Programme, published in 2000: the tips on tendering reproduced later in the chapter are characteristic of the helpful style of this brochure;

• Manual of Proposal Evaluation Procedures: this internal manual was made public for the first time as part of FP5 to bring greater transparency and equity to the selection process.

Each EC call for proposals and tenders is complemented by a freely available information package specific to that call and containing all the documents considered necessary or useful for applicants, including a Guide for Proposers. The package is backed up by an information service (Infodesk) for each research programme while the calls are open.

Figure 4.1, reproduced from the Manual of Proposal Evaluation Procedures, summarizes the process from the initial call for proposals to contract signature. Changes in this process under FP6, as far as they were known at the time of writing, are referred to briefly in Chapter 22. Note that there is a difference in the European context between a call for tenders and a call for proposals. A call for tenders means that competitive bids are invited for a specific service, with the contract going to the applicant whose tender offers the best value for money. A call for proposals indicates that the Commission is seeking applications for research projects responding to broad themes and issues, with funding going to the projects that exhibit the highest scientific and technical quality. The EC may also use a two-tier process, in which an initial call for proposals identifies priority research themes that are then put out to tender.

Figure 4.1: Outline of the Bidding Process for EU Research Funding Source— Manual of Proposal Evaluation Procedures

So far as approaches to tendering are concerned, the considerations that researchers will need to keep in mind when shaping FP6 proposals largely correspond to the factors that were important in decisions about FP5 funding:

• The overriding priority will be the scientific and technical excellence of proposals, supported by a clear statement of objectives and methods and evidence of innovative thinking, particularly in respect to proposals for applied research.

• Applicants will be expected to communicate a solidly practical approach in their implementation plans and show that they are realistic about the complex nature of the links on which the achievement of benefits will depend.

• A project will not be considered for funding unless the proposal makes clear the intention to disseminate its results through publication in a high-level journal or to patent.

• Where applicants claim that a research idea has potential applications, they will be required to explain how they propose to reach its target audience.

• FP6 will encourage the participation of small and medium-size enterprises (SMEs): some 15 per cent of the funding available for FP6 thematic priorities is intended for SMEs.

• New funding instruments such as integrated projects and networks of excellence are intended to reinforce European competitiveness, mobilize a critical mass of research and development resources and contribute to the creation of the European Research Area, improving the integration of research capacities across the EU. Reflecting these aims, there will be a stronger emphasis on building trans-national teams and partnerships that can produce sustainable results over the long term.

• Applicants will need to make clear the 'European dimension' of the research, defined in the FP5 evaluation manual as 'the extent to which the project would contribute to solving problems at the European level and [the extent to which] the expected impact of carrying out the work at European level would be greater than the sum of the impacts of national projects'. They will have to explain why its success is contingent on activity at the European level and what the factors are that justify an input of EU funds.

In this connection, 'European added value' is a key attribute that researchers need to identify and project convincingly in their proposals. What kinds of research activity have this added value? They are projects that can, for example, help to:

• address common problems and challenges facing member states;

• bring together fragmented research efforts and build solutions that can be implemented on a Europe-wide basis;

• assist in the development of the European Research Area;

• create leading-edge RTD partnerships;

• provide a scientific base for European norms and standards;

• support EU policies and contribute to the implementation of EU strategies;

• enhance competitiveness and innovation in European business and industry, so as to strengthen Europe's position in emerging markets;

• yield downstream benefits for Europe's economy, industry and technology - and in particular for cooperation between SMEs;

• cement the links and relationships intrinsic to the operation of the enlarged EU;

• reduce inequalities between European regions.

The success rate is always better for those applicants who take the trouble to inform themselves in time, to plan the project's implementation well and to present it in a well-focused, clear and sufficiently technical manner. If they have also had some experience of EU programmes or have associates with such experience, then applicants can expect a higher success rate.

Many researchers have told us that preparing a project is in itself a valuable learning experience with many useful spin-offs - even if it does not ultimately succeed. The chances of being picked next time round are greatly enhanced, opportunities to make contacts with potential scientific and other partners are opened and partnerships can even be created which flourish without financial assistance.

(from EC Research (http://europa.eu.int/comm/research/)
- Frequently Asked Questions)

Two useful services offered by the EC are ProTool (a proposal preparation program) and a pre-proposal check. Developed for FP5, ProTool is designed to help applicants enter correctly the financial and administrative data required in a proposal: its use is essential in the electronic submission of proposals. The pre-proposal check is an optional and informal service available as part of some calls for proposals: with no commitment on either side, potential applicants can be advised on whether their bid meets general eligibility criteria and satisfies the particular requirements of the call.