Pre-proposal Submission Form

4th Call for Transnational Collective Research Project Proposals 2007 Pre-proposal Submission Form Submission deadline: October 8, 2007 Project Acronym: ConTrans Coordinator: Name: DST Development Centre for Ship Technology and Transport Systems Country/Region: Germany Partners & Country/Region: Partners are presently not yet determined. DST is in contact with a Dutch partner, who is interested in this project, but did not yet confirm his participation due to cofunding questions. A third partner should preferably cover a third country with relevant inland water transport, such as Belgium, France or Austria. The respective pages in part B concerning the partners are presently kept empty. Document version: 1.0 Date: August 7, 2007 This template can be downloaded from www.cornet-era.net

Introduction This pre-proposal template follows exactly the same structure as the proposal template. As a general rule, all essential information needs to be provided, however in less detail than for the final proposal. This is in particular true for section C.1.5 Detailed Work Plan and Time Schedule. Sections in gray text in this template are optional for the pre-proposal. As a guideline, Part C of this pre-proposal should not exceed 10 pages. Part A Project information Full title of the project: Intermodal solutions for continental break bulk transport Innovative approach to a future-oriented market Project acronym: ConTrans Duration of the project: (max.24 months) Start: 07/2008 End: 06/2010 Month/Year Month/Year (preliminary) Coordinator/Consortium leader (Title of the Association): DST Development Centre for Ship Technology and Transport Systems 47057 Duisburg Oststr. 77 Germany Postal Code/City Street /Nr. Country Project partner (Association, grouping of enterprises) see page 1 Applicant 1: Applicant 2: Applicant n: CORNET 4th Call Pre-proposal template 2 / 12

Part B Applicants and Research Performers B. 1. C o o r d i n a t i n g A p p l i c a n t (Preliminary) Consortium Leader: (Title of the Association or grouping of enterprises) DST Development Centre for Ship Technology and Transport Systems Partner acronym: DST Address: 47057 Duisburg Oststr. 77 Germany Postal Code/City Street / Nr. Country ++49-203-99369-0 ++49-203-361 13 73 www.dst-org.de Telephone Telefax Internet Contact Person: Head of Association /CEO: Name: Prof. Dr. P. Engelkamp Tel: ++49-203-99369-30 E-mail: engelkamp@dst-org.de Project Manager : Name: Dipl.-Ing. B. Holtmann Tel: ++49-203-99 369-55 E-mail: holtmann@dst-org.de Information about Applicant: Foundation (year): 1954 Number of Employees: 32 Number of Members: 64 thereof SMEs: 33 Legal Form: registered association Business Sector (please tick): Industry Trade Services Sector any other sector: R&D Branch: Research and Development with focus on inland and coastal navigation CORNET 4th Call Pre-proposal template 3 / 12

B. 2. A p p l i c a n t (Please note that this page has to be filled in for each project partner separately) Title of Association or Grouping of Enterprises: Partner acronym: Address: Postal Code/City Street/Nr. Country Telephone Telefax Internet Contact Person: Head of Association/CEO: Name: Tel: E-mail: Project Manager: Name: Tel: E-mail: Information about Association: Foundation (year): Number of employees: Number of members: thereof SMEs: Legal form: Business sector (please tick): Industry Trade Services Sector any other Sector: Branch: CORNET 4th Call Pre-proposal template 4 / 12

B. 3. R e s e a r c h P e r f o r m e r (This page has to be filled in for each scientific subcontractor separately!) Title of Organisation: DST Development Centre for Ship Technology and Transport Systems Partner acronym: DST Address: 47057 Duisburg Oststr. 77 Germany Postal Code/City Street Number Country ++49 203 99 369 0 ++49-203-36 13 73 www.dst-org.de Telephone Telefax Internet Organisation type: University University of Applied Sciences (FH) Non-Profit Research Institute (No University) Single Researcher Other Contact person: Head of Organisation: Name: Prof. Dr. P. Engelkamp Tel: ++49-203-99 369 30 E-mail: engelkamp@dst-org.de Contact Person: Name: Dipl.-Ing. B. Holtmann Tel: ++49-203-99 369 55 E-mail: holtmann@dst-org.de Experience of RTO in the area of expertise (main references, publications, cooperations, etc ): DST analyses and develops innovative solutions and transport concepts considering inland waterway and river-sea-transport. The following examples illustrate selected DST s references: Intermodal transport of swap bodies on the relation Duisburg-Goole with integration of river-sea shipping Development of strategies for improved access of inland navigation companies to the cargo traffic market Establishment of a market study on a terminal for combined transport within an inland Rhine port, identification of transport volume suitable to be shifted to inland waterways transport Development of a technical-economic concept for the transport of both bulk cargo and containers Development of a technical-economic concept covering container transport in up to three layers by inland vessels on the stretch between Koblenz and Regensburg Analysis of possible solutions to intensify the employment of inland waterways regarding the transport of different transport units CORNET 4th Call Pre-proposal template 5 / 12

Please include a copy of the detailed costs of the project for R&D services. O v e r v i e w o f C o s t s The cost-calculation has presently been kept open, since the total budget as well as the task distribution among the (potential) partners has not yet been determined. I. C o s t s p e r p a r t n e r Project Costs Requested funding Consortium Leader Partner 1 Partner 2 Partner n : II. Cost Breakdown Cost Breakdown Consortium Leader Partner 1 Partner 2 Partner 3 Total Personnel Costs RTO Other Costs Travel costs, material, overheads, etc. CORNET 4th Call Pre-proposal template 6 / 12

Part C D e s c r i p t i o n o f t h e P r o j e c t C.1. Technical and scientific description of the Project C.1.1 The need At present, break bulk is to a large extent transported in containers. The utilization of containers thus quasi homogenizes heterogeneous break bulk resulting in a simplification and rationalization of transhipment, transport and storage procedures. Containers enable intermodal transport; individual containers are bundled on the main stretch and transported by transport modes with a high cost-efficiency like water- and rail-transport, while roadtransport plays a decisive role for collection and distribution of containers on pre- and endhaul. In general, different categorisations and classifications of intermodal transport are possible. As to this envisaged project it will be distinguished between maritime (intercontinental) transports on the one hand and continental transport on the other. Maritime containers are transported by seagoing ships on the main stretch; within the seaport a bundling takes place and the hinterland traffic moves them according to destination and infrastructure by inland vessels, railways or trucks or combinations of the aforementioned. In case of large transport distances and efficient infrastructure inland vessels and railways come into operation to a large extent. For the last 20 years though, Inland Waterways Transport (IWT) has been successful in reaching a strong market position regarding transports of maritime containers within hinterland traffic of the so called ARA 1 ports and fills now successfully a so far undeveloped market segment: While only a few 100,000 TEU had been transported by inland vessels at the beginning of the nineteen-nineties, the volume went up to about 2.1 M TEU in 2005. Continental, non-maritime break bulk traffics also deal with comparatively large and rising transport volumes. A study, which was conducted in 2002 on behalf of the German Federal Ministry of Traffic, Construction and Housing 2 Identification of market potential for transport of stackable swap bodies within IWT and field test quantifies the volume, IWT could gain, with about 2.6 M TEU p.a.. This number refers to areas with direct access to inland waterways. Potential still goes up to 4.6 M TEU p.a., if adjacent areas within a radius of 150 km are considered. Even if this analysis rather touches the upper limit, it clearly points out the enormity of this transport volume and its potential for IWT. However, up to now IWT cannot participate in this growing market. To date, it mainly falls to the truck mode and in a limited extend to rail transport. Against this background the proposed project deals with containerised transport of continental, non-maritime break bulk as an opportunity for IWT to participate in this market segment. In this context, the involvement of suitable containers and respective organisational structures plays a decisive role. 1 Antwerpen, Rotterdam, Amsterdam 2 Studiengesellschaft für den kombinierten Verkehr ev (SGKV) and Kessel + Partner, " Identification of market potential for transport of stackable swap bodies within inland waterways and field test ", Freiburg and Wiesbaden, 2002 CORNET 4th Call Pre-proposal template 7 / 12

C.1.2 State of the art In the past, various attempts were made to open up the market segment of continental break bulk transport to inland waterways and river-sea shipping. As mentioned before, the consideration of containers plays an important role for intermodal transport of break bulk by ship. In this light, up to now the main activities focused on the development and analysis of technical approaches. These studies dealt primarily with transport units and their characteristics. While maritime transports involve ISO-1 containers, trucks handle the continental cargo using for example solid superstructures or swap bodies. Usually they are pallet-wide and allow for an about 15-20 % higher stowing volume; their stackability however is limited and depends on the version applied. Stackability though is an important prerequisite as far as transport by ship is concerned. In this context the analysis concerning the application of e.g. stowing systems with racks for transport of non-stackable transport units or the use of more solid and stackable containers took place. Also the EU commission put high importance to the subject container : After a legislative initiative to develop a new intermodal transport unit failed in 2003, the latest action plan fostering logistics 3 on part of the EU foresees a new attempt to design such a box. A further technical approach covers pallets as loading units and their transport by ship without container. Besides these primarily technical and in general feasible approaches, additional prerequisites are needed, e.g. competitiveness in terms of costs. Intermodal transport for instance per ship can achieve significant cost advantages on the main leg compared to direct road transport due to the cost efficiency of inland navigation. However, these gains have to more than compensate the system related costs at both ends of the intermodal transport chain, like pre- and endhaul as well as transhipment between truck und inland vessels. Among others a sufficient concentration of transport volume is necessary, which implies a bundling of individual transports on the main stretch. Also in this aspect maritime and continental break bulk transports differ: sea ports take over the bundling in a quasi natural way for seagoing transports; this advantage is missing within continental transports and thus impedes intermodal transport. The aforementioned study (SGKV and Kessel & Partner) has already touched this topic. Furthermore, apart from technical questions and competitiveness, another decisive prerequisite has to be met to open up this market to intermodal IWT. This refers to organisation and in particular the ownership of the containers and the operator structure. In case of maritime transport containers are provided by only a few large maritime shipping companies, which often also arrange for the hinterland transport. Also with respect to the transport unit pallet suitable structures (pallet pools) exist on the market enabling the supply and use of pallets deriving from appropriate pools. The advantage of such pools is a shared and interchangeable use of equipment, allowing a high degree of availability at rather low costs. For inland containers such systems do not exist. Pooling either regionally by some transport companies or on wider scale at national or European level might be solutions to further develop continental intermodal transport and to enable IWT to participate in this market. Pooling of container equipment however is a challenge, as, compared to pallets, higher values, higher storage and higher imbalance costs are involved. Moreover efficient and just in time positioning of containers are not only matters of transport, but of container fleet management. The questions, if pooling of inland containers is commercially feasable and how it could be organised to be acceptable for transport & shipping companies shall be sorted out in the frame of this project 3 DVZ-Brief, October 5th 2007 CORNET 4th Call Pre-proposal template 8 / 12

The content of those just outlined questions regarding organisation of transport and ownership structure are crucial factors for a market success of this envisaged concept. They also depend on the other aforementioned aspects, like technical requirements and costrelated competitiveness. Only a close interaction of all factors would provide a successful concept. C.1.3 Innovation target The innovation of the given approach is to develop an appropriate organisation and operator structure for the transport of continental containers in such a way that the prerequisites for a successful transport by inland waterways and river-sea shipping are met. As at present transport structures for continental break bulk and containers are individually and dominated by a multiplicity of road operators and forwarding agents, such a concept comes up to a system change. For the first time an approach other than the normally technical ones is presented. In particular, questions about operator- and organisation structures, posed by this approach, have to be answered. Nevertheless technical and traffic related questions (suitability of container, transport volume, bundling, necessary transport distance etc.) should be looked at. Also, competitiveness must be considered. The advantage for SMEs is that the operational transport activities mainly fall to inland waterway companies, mainly belonging to the SMEs themselves, partly also to river-sea shipping companies and private railways. This approach would open up a new market segment with significant potential to them. C.1.4 Technical and Scientific Methodology In detail the following work packages are planned: I. Models and structures of provision of suitable boxes for continental container transport II. 1. models and structures within other business fields; possibilities of and limits to a transfer seagoing containers pallets 2. solutions for continental container traffic potential operators possible models appropriate stimulation systems market launch Development of a transport concept (in case containers are provided) actors origin-destination-areas characteristics of containers / selection CORNET 4th Call Pre-proposal template 9 / 12

III. IV. requirements on part of operators / transport volume schedule cost structures Assessment Overall perspectives C.1.5 Detailed work plan and time schedule (optional) Give a detailed description of each of the work-packages, i.e. for each work-package: - Identify the required input - Describe the specific objectives - Describe planned tasks, the time necessary, and time schedule. - Describe the expected outcome, including specific deliverables, and when they need to be available - Describe the planned milestones and the decisions that need to be taken at each milestone - Give a detailed overview of the planned effort for each partner, preferably on task level. - Identify risks associated with each deliverable, with respect to technical feasibility and timing C.2. Project management Beside the DST two additional partners shall perform this project. A work package leader will be assigned to each work package or step, respectively. Depending on the tasks he carries out the work package on his own or coordinates the work of the participating partners. A work plan will be developed in the frame of the final application containing the individual work steps, schedule and possible dependencies. Furthermore, important intermediate results will be defined as milestones. Meetings of WP-leaders as well as of the project accompanying committee will also be shown. C.3. Dissemination and exploitation of the project results Continuation after project/follow up If a suitable model can be developed, after conclusion of the project the question of how to implement it will be of high importance. In this case the dissemination strategy (see below) will play a central role. In case the objectives of this project cannot be reached and the development of a suitable model fails, since e.g. individual prerequisites are not yet given, but might be possible on midterm horizon, a further ongoing observation of the market will take place. All 3 partners will be involved in this task. Dissemination strategy The realization of the project requires a transfer of obtained results into practice. The different participants of both the loading and transporting business sector can be considered as addressees in this context. During the transfer process the project accompanying committee plays am important role. Therefore, representatives of the loading and the transporting business sector should take part in this committee. CORNET 4th Call Pre-proposal template 10 / 12

A further dissemination of the projects results shall occur by use of various platforms; publications among others within professional journals, at conferences and via internet are planned. All partners will fulfil these tasks taking into consideration their national conditions. C.4. Economic impact of the project Relevance of the project to the sector Transport volumes mentioned before under C1.1 illustrate the potential, this approach is addressed to. Against the background that a large number of IWT-companies are SME s and that this market has not been developed yet by inland navigation, the significance of this project for the sector is underlined. Describe economic advantages of the project/ cost effectiveness Will new jobs be added or is job security enhanced? Mention notable social aspects of the project. As already mentioned, in case of success the project results will help to open up a new market segment to IWT, providing new means of income. Project outcome would thus not only ensure existing jobs within inland navigation but also generate new employment possibilities. C.5. Relevance of the Project to the CORNET Objectives of collaboration Continental container transports are to a large extent international transport. They are especially important for the success of the envisaged model, as they in general cover long distances and are therefore crucial to intermodal traffic. The international cooperation within this project will not only contribute to an adequate consideration of different market conditions within the individual countries but also to achieve the critical volume being necessary for intermodal traffic. Future aspects As already mentioned under C3, future steps and co-operations essentially depend on the results of this project. Positive results should initiate an implementation of the model into the market. In case of negative results, market conditions within the attending countries should be observed as to possible improvements and possible new evaluations. Both cases should foresee a regular exchange of opinions between the participants. C.6. More detailed description of the project partners, their qualifications and justification to participate in the project Please give following information about each eligible project partner: - Overview and justification of the contribution - Previous projects (topics) in general very briefly - Previous project and experience relevant for the project CORNET 4th Call Pre-proposal template 11 / 12

C.7. More detailed description of the research performing partners, their qualifications and justification to participate in the project Please give following information about the research performing partners: - General information: main mission, date of foundation, number of employees / researchers, main research activities - Overview and justification of the contribution - Important publications in the requested area of research (patents, books, publications..) - Previous projects (topics) in general very briefly - Previous project and experience relevant for the project C.8. IPR Property rights within the consortium have to be agreed on later, as possible participants have not been decided on definitely. CORNET 4th Call Pre-proposal template 12 / 12