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Research programme of the Research Fund for Coal and Steel (RFCS)

Information packageForms

Edition 2007

15

This Information package is intended to assist organisations and persons who are interested in submitting an application for financial support under the Research Fund for Coal and Steel. This document is composed of two parts:

- The first part, Practical information, aims at helping understand the procedures for proposal preparation and submission, project monitoring and project reporting.

- The second part, Forms, contains the different forms which should be downloaded from the website and fulfilled to submit proposals.

All the forms are available from: http://cordis.europa.eu/coal-steel-rtd

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Manuscript completed in April 2007

EUROPEAN COMMISSION

Directorate-General for Research

Research Fund for Coal and Steel

Contact: RFCS publicationsAddress: European Commission, CDMA 0/124, B-1049 BrusselsFax (32-2) 29-65987, e-mail: [email protected]: http://cordis.europa.eu/coal-steel-rtd

Interested in European research? Research* eu is our monthly magazine keeping you in touch with main developments (results, programmes, events, etc.). It is available in English, French, German and Spanish. A free sample copy or free subscription can be obtained from:

European Commission Directorate-General for ResearchCommunication UnitB-1049 BrusselsFax (32-2) 29-58220E-mail: [email protected]: http://ec.europa.eu/research/research-eu

European Commission

Research programme of the Research Fund for Coal and Steel (RFCS)Information package - Forms

2007 —223 pp. — 21.0 x 29.7 cm

ISBN: 92-79-05593-5



EUROPEAN COMMISSION

2007

Information PackageForms

LEGAL NOTICE:

Neither the European Commission nor any person acting on behalf of the Commission is responsible for the use which might bemade of the following information.

The views expressed in this publication are the sole responsibility of the author and do not necessarily reflect the views of theEuropean Commission.

A great deal of additional information on the European Union is available on the Internet.It can be accessed through the Europa server (http://europa.eu).

Cataloguing data can be found at the end of this publication.

Luxembourg: Office for Official Publications of the European Communities, 2007

ISBN: 92-79-05593-5

© European Communities, 2007Reproduction is authorised provided the source is acknowledged.

Printed in Belgium

PRINTED ON WHITE CHLORINE-FREE PAPER

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Freephone number:00 800 6 7 8 9 10 11

(*) Certain mobile telephone operators do not allow access to 00 800 numbers or these calls may be billed.

Table of contents

Important! To submit a proposal under the Research Fund for Coal and Steel, the forms presented in this document must be downloaded from: http://www.cordis.lu/coal-steel-rtd/infopack.htm

A N N E X I Proposal overview submission form for research, pilot and demonstration projects and accompanying measures for the promotion of knowledge gained (Type 2) ………………………………………………………………………………. 5

A N N E X I I Proposal submission forms for financial support from the Research Programme of the Research Fund for Coal and Steel for accompanying measures relating to information exchange and dissemination activities (Type 1) …………………11

A N N E X I I I Proposal submission forms for financial support from the Research Programme of the Research Fund for Coal and Steel for accompanying measures – training and mobility of researchers (Type 3)…………………………………………...23

A N N E X I V Submission/contract preparation forms (CPF) for financial support from the RFCS for RTD projects and Type 2 accompanying measures ……………………………………………………………………………………………….. 33

A N N E X V Acknowledgement of receipt form …………………………………………………………………………………….. 65

A N N E X V I Model contract – Research, pilot and demonstration projects and accompanying measures for the promotion of the use of knowledge gained …………………………………………………………………………………………………… 69

A N N E X V I I Model contract – Type 1 – Information exchange and dissemination activities……………….…………………….. 125

A N N E X V I I I Model contract for Type 3 – Accompanying measures. ………………………………………….…………………. 147

A N N E X I X Council decision of 1st February 2003 – Laying down the multiannual technical guidelines for the research programme of the Research Fund for Coal and Steel……………………………………………………………………………… 177

A N N E X X Guidelines for technical reporting…………………………………………………………………………………….. 193

A N N E X X I Legal form list per country…………………………………………………………………………………………… 205

A N N E X X I I Legal entity identification forms……………………………………………………………………………………… 211

A N N E X X I I I Financial identification forms………………………………………………………………………………………… 219

3

ANNEX I

EUROPEAN COMMISSION ANNEX I RESEARCH DIRECTORATE-GENERAL Research Fund for Coal and Steel

7

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RReesseeaarrcchh,, PPiilloott aanndd DDeemmoonnssttrraattiioonn pprroojjeeccttss and accompanying measures for the promotion of knowledge gained (Type 2)

A0. INFORMATION ON THE PROPOSAL1

Proposal Full Name

Proposal Acronym2

Research area3 Coal Steel

Type of Proposal4 Research Pilot /Demonstration Type 2

Starting Date (DD/MM/YYYY) Project duration (in months)5

Research priority6 Technical Group7

N°8 Contractor’s Role9

Connec-tion10

Full official denomination11

Country name

Total costs (Euro)

Contribution requested12

(Euro) 1 CO. ./.

2 CR. ./.

3 CR. ./.

4 SC. ./.

Grand Total à Make sure that the information provided in this annex is fully consistent with the information provided in annex IV forms 4.1, 4.2, 4.3.

FOR COMMISSION USE ONLY

Proposal No

Post stamp Reception date


8

A1. PROPOSAL ADMINISTRATIVE OVERVIEW Important notice: Please respect the document format given hereafter. Do not insert additional pages or any annexes as this section must not exceed, under any circumstances, a maximum of 5 pages. Font Size: minimum 12.

Proposal summary (maximum 100 words)

Proposal resubmission: Yes/No (if yes, please also provide information requested under A3 )

Reference, title, date of actual or expected completion of all previous EC, ECSC or RFCS projects of major relevance to the objectives of the proposal (this list must be prioritised):

Explain in a concise manner to what extent your proposal brings added value to what has already been achieved to date at both European and worldwide level:


9

A2. PROPOSAL DESCRIPTION (TYPICALLY 3 TO 5 PAGES, MAXIMUM 10 PAGES) Important notice: Please respect the document format given hereafter. Do not insert additional pages or any annexes as this section must not exceed, under any circumstances, a maximum of 10 pages. Font Size: minimum 12.

A2 - Page 1

A2 – Page 2

A2 - Page 3

A2 - Page 4

A2 - Page 5

A2 - Page 6

A2 - Page 7

A2 - Page 8

A2 - Page 9

A2 - Page 10


10

This section should provide the following additional information for resubmitted proposals only:

• Title, reference number and year of the previous submission(s)

• Evaluation report received from the Commission following the last submission (1 page)

• A short description of main changes made, making reference to the comments of the evaluators in the last evaluation report (maximum 1 page)

A3 - Page 1

(Evaluation report of the last submission)

A3. FOR RESUBMITTED PROPOSALS ONLY: ADDITIONAL INFORMATION Please fill in this section only if your proposal has already been submitted and evaluated under a prior call for proposals.

Important notice: Please respect the document format given hereafter. Do not insert additional pages or any annexes as this section must not exceed, under any circumstances, a maximum of 2 pages.

Font Size: minimum 12.


11

A3 - Page 2

- Title, reference number and year of the previous submission

- Short description of main changes made

(Maximum 1 page)

12

HOW TO COMPLETE THE PROPOSAL SUBMISSION FORMS FOR ANNEX I (A0 TO A3)

1 This overview information has to be completed by the coordinator. 2 Provide a short title or acronym of no more than 20 characters, to be used to identify the proposal. 3 Please cross under which area (Coal or Steel) you submit the proposal. 4 Please cross the correct answer. 5 Project duration in months. Project shall normally run between 36 and 42 months. Please be

aware that the Commission operates a general policy of non-prolongation of research contracts. 6 Please indicate the research priority under which the proposal falls:

Steel 1 New and improved Steel making and finishing techniques. Steel 2 RTD and the utilisation of steel. Steel 3 Conservation of resources and improvement of working conditions. Coal 1 Improving the Competitive position of Community Coal. Coal 2 Health and Safety in Mines. Coal 3 Efficient Protection of the Environment and improvement of the use of coal as a clean

energy source. Coal 4 Management of External Dependence on Energy Supply.

7 Please indicate the Technical Group under which the proposal falls:

TGS 1 Ore agglomeration and Iron making TGS 2 Steelmaking processes TGS 3 Casting, reheating and direct rolling TGS 4 Hot and cold rolling processes TGS 5 Finishing and coating TGS 6 Physical metallurgy and design of new generic steel grades TGS 7 Steel products and applications for automobiles, packaging and home appliances TGS 8 Steel products and applications for building, construction and industry TGS 9 Factory-wide control, social and environmental issues TGC 1 Coal mining operations, mine infrastructure and management, unconventional use of

coal deposits TGC 2 Coal preparation, conversion and upgrading TGC 3 Coal combustion, clean and efficient coal technologies, CO² capture

8 The number allocated by the consortium to the participant for this proposal. The co-ordinator of a

proposal is always number one. 9 The role for the participant as defined by the consortium for this proposal. The following codes

should be used: CO: Co-ordinator CR: Contractor (different from the co-ordinator) SC: Subcontractor

10 Only for subcontractors. They should indicate the number (e.g. 1, 2, 3 etc.) of the contractor(s) to

which they are connected to. 11 Please indicate the full official denomination which is the name under which the entity is registered

in the Official Trade registers, if applicable. 12 The maximum contribution requested from the Community for each participant in Euro, expressed

as a percentage of the allowable costs are: a) for research projects: up to 60% b) for pilot and demonstration projects: up to 40% c) for promotion of knowledge gained (type 2 accompanying measures): in principle up to 60%

ANNEX II

EUROPEAN COMMISSION ANNEX II RESEARCH DIRECTORATE-GENERAL Research Fund for Coal and Steel

15

PPrrooppoossaall ssuubbmmiissssiioonn ffoorrmmss ffoorr ffiinnaanncciiaall ssuuppppoorrtt ffrroomm tthhee RReesseeaarrcchh PPrrooggrraammmmee ooff tthhee RReesseeaarrcchh FFuunndd ffoorr CCooaall aanndd SStteeeell

ffoorr AAccccoommppaannyyiinngg MMeeaassuurreess rreellaattiinngg ttoo iinnffoorrmmaattiioonn eexxcchhaannggee aanndd ddiisssseemmiinnaattiioonn aaccttiivviittiieess ((TTyyppee 11))

C0. INFORMATION ON THE PROPOSAL1

Proposal Full Name


Amount of financial support requested3

Period (date) and venue of the activity4


Proposal No



16

C1. INFORMATION ON THE APPLYING ORGANISATION

Scientific Person in charge of the project5

Title (Dr, Prof., ...)

Function6

Family Name

First Name (Forename)

PO Box7

Street Name, No

Post Code8 Cedex9

Town/City Country name

Telephone No10 Fax No10

E-mail

Legal information on the applying organisation


Organisation short name or acronym (if relevant)

Legal form fully written12 Legal form abbreviation13

Legal Registration No14 VAT No15

Place of registration16

Yes Activity type17 SME

No

Entity type18

Full official address of the applying organisation

PO Box7

Street Name and Number

Post Code8 Cedex9


Internet homepage


17

Authorised administrative official for the purpose of contract signature19

Title (Dr, Prof., …)

Function6

Family Name

First Name (Forename)


E-mail

I certify that the information set out in this proposal is accurate and correct.

Date (DD/MM/YYYY) Place

Names and signature(s) of authorised person(s) and stamp of the organisation

Together with form C1, the proposer/contractor must provide copies of legal supporting documents, e.g. certificate of registration, VAT certificate, latest available balance sheet, unless already delivered to the RFCS programme.

The relevant legal entity and financial identification forms of Annex XII & XIII will have to be filled at the contract preparation stage. However, you can fill these forms at the submission stage. In that case, you will just be asked to confirm these data at the contract preparation stage.


18

C2. INFORMATION ON THE PROPOSAL

Objectives of the activity20

Outline of the programme21

Organisers and participants/contributors22

Motivation of the request for financial support23


19

C3. TOTAL COSTS AND REVENUE FOR THE ACTIVITIES

Total costs (Euro)

Total costs

Revenue (Euro)

Contribution requested from the Community3

Own resources

Other resources (origin and amount in Euro)

-

-

-


20

Certified Declaration (to be filled by the applying organisation)

I certify that the information relating to our organisation set out in forms C0 to C3 of Annex II and legal entity and financial identification forms of Annex XII & XIII is accurate and correct, that the estimated costs meet the criteria for eligible costs for Research Fund for Coal and Steel projects, as established by the point 3.6 of the legal basis of the programme (Annex to Council Decision of 1 February 2003 laying down the multiannual guidelines for the research programme of the Research Fund for Coal and Steel) and normal cost accounting principles and that they reflect the estimated costs expected to be incurred in carrying out the work described herein.

I also certify that


- is committed to participate in the above mentioned project;

- has stable and sufficient sources of funding to maintain its activity throughout its participation in the project and to provide any counterpart funding necessary;

- has or will have the resources as and when needed to carry out its involvement in the above mentioned project.

As required by Article 93 of Council Regulation (EC, Euratom) N° 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities [OJ L248, 16.09.2002, p. 1], I certify that none of the following cases apply to our organisation:

a) it is bankrupt or being wound up, is having its affairs administered by the courts, has entered into an arrangement with creditors, has suspended business activities, is the subject of proceedings concerning those matters, or is in any analogous situation arising from a similar procedure provided for in national legislation or regulations;

b) it has been convicted of an offence concerning its professional conduct by a judgement which has the force of res judicata;

c) it has been guilty of grave professional misconduct proven by any means which the contracting authority can justify;

d) it has not fulfilled obligations relating to the payment of social security contributions or the payment of taxes in accordance with the legal provisions of the country in which it is established or with those of the country of the contracting authority or those of the country where the contract is to be performed;

e) it has been the subject of a judgement which has the force of res judicata for fraud, corruption, involvement in a criminal organisation or any other illegal activity detrimental to the Communities' financial interests;

f) following another procurement procedure or grant award procedure financed by the Community budget, it has been declared to be in serious breach of contract for failure to comply with its contractual obligations.


21

I understand that any potential contractor who has committed an irregularity in the implementation of any other contract financed by the European Communities budget may be excluded from the selection procedure at any time.

The participant organisation is aware that:

- any potential contractor who can not certify that none of the above situations apply, shall be excluded from participation in any future contract;

- any potential contractor having been found guilty of misrepresentation in supplying the information required as a condition for participation in the contract or failing to supply such information shall be excluded from participation in any future contract;

I attach copies of legal supporting documents, e.g. certificate of registration, VAT capital certificate, latest available balance sheet. Yes/No

If no, date (dd/mm/yyyy), of delivery of these legal documents, with confirmation that the information provided to the Research Fund for Coal and Steel programme has not changed.

I have, previously or currently submitted this proposal or one similar in content to a Commission Programme in a previous call? Yes/No

If Yes, please give details of the proposal:

Programme name Year Proposal No

Name

First name

Date (DD/MM/YYYY) Signature of person(s) authorised to commit the organisation

22

HOW TO COMPLETE THE PROPOSAL SUBMISSION FORMS FOR ANNEX II (FORMS C0 TO C3)

1 Forms C.0, C.1, C.2 and C.3 have to be completed by the proposer. 2 Please cross the relevant box. 3 The contribution requested from the European Community in Euro. Please note that for Type 1 the

maximum funding level is in principle €20 000 and should not be more than 20 % of the total costs of the event.

4 Indicate the date and the place of the activity/event. 5 The name and contact details for the scientific person responsible for the proposal who acts as a

contact, normally the co-ordinator of the proposal. 6 The function, which the person has within the organisation, for example: director, vice-president,

managing director, vice chancellor etc. 7 If applicable, indicate number of Post Office Box for surface mail delivery. 8 If applicable, enter numerical (alphanumeric for United Kingdom and The Netherlands) post code

without being prefixed by the country identifier, e.g. 1000 and not B-1000 or SW1H 9AS and not UK-SW1H 9AS.

9 If applicable, indicate Cedex for surface mail delivery. 10 Please give the telephone and fax numbers in the following format: for example a European

Commission telephone number in Brussels, Belgium, (32-2)2988888, 32 being the country code number, 2 the area code number for international calls, 2988888 the subscriber’s number.

11 Please indicate the full official denomination which is the name under which the entity is registered in

the Official Trade registers, if applicable. 12 Please indicate the official form under which your entity does exist: for a registered company, it must

correspond to the certificate of incorporation. Otherwise, please refer to the Legal Statute. It is mandatory to fill in the legal form completely and show the abbreviation when existing.

13 Please refer to Annex XI of the Information Package. 14 If applicable, please provide the organisation’s legal national registration number or code found in,

e.g. the Chambers of Commerce register or the Business register. 15 If applicable, please provide the organisation’s value added tax (VAT) number in the VAT register. 16 Please refer to the Official Trade Register, if applicable. 17 Indicate the principal activity of your organisation. Please use one of the following codes:

RES: Research (i.e. organisations only or mainly established for research purposes) HES: Higher Education (i.e. organisations only or mainly established for higher education/training,

e.g. universities, and colleges) IND: Industry (i.e. industrial organisations private and public, both manufacturing and industrial

services – such as industrial software, design, control, repair, and maintenance. In addition, please specify if your organisation is a SME. A SME is a company who has fewer than 250 employees and either an annual turnover not bigger than € 40 million or annual balance-sheet total not bigger than € 27 million per year and not owned as to 25% or more by one enterprise or jointly by several enterprises.

OTH: Others

23

18 Please use one of the following codes:

GOV: Governmental (local, regional or national public or governmental organisations, e.g. libraries, hospitals, and schools)

INO: International Organisation (i.e. an international organisation established by national governments)

PUC: Public Commercial Organisation (i.e. commercial organisation established and owned by a public authority)

PRC: Private Commercial Organisation including Consultant (i.e. any commercial organisation owned by individuals either directly or by shares)

EEIG: European Economic Interest Group PNP: Private Organisation, Non Profit (i.e. any privately owned non-profit organisation)

19 This is a person within the organisation with authority to sign the contract with the European

Commission. 20 The objectives of the activity should be described. It should be clearly demonstrated how the scope of

the activity falls within the priorities of Type 1 measures. Priorities should be given to the dissemination and promotion of research results gained under the "Research Programme of the Research Fund for Coal and Steel”.

21 A description of the programme has to be provided. A full and detailed description of the event has to

include the programme outline, the European dimension and related benefits of the event to the related Community as well as the assessment of the impact and follow up of the event. If available, attach drafts of leaflets, call for papers, programme, etc.

22 Information on the organisers (e.g. organising committee) and expected number of participants from

different European countries has to be given. 23 Specify the reason why a financial support is requested. Indicate any previous or other involvement

of the Community associated with this event.

ANNEX III

EUROPEAN COMMISSION ANNEX III RESEARCH DIRECTORATE-GENERAL Research Fund for Coal and Steel

27

PPrrooppoossaall ssuubbmmiissssiioonn ffoorrmmss ffoorr ffiinnaanncciiaall ssuuppppoorrtt ffrroomm

tthhee RReesseeaarrcchh PPrrooggrraammmmee ooff tthhee RReesseeaarrcchh FFuunndd ffoorr CCooaall aanndd SStteeeell

ffoorr AAccccoommppaannyyiinngg MMeeaassuurreess

TTrraaiinniinngg aanndd MMoobbiilliittyy ooff RReesseeaarrcchheerrss ((TTyyppee 33)) ((BBUURRSSAARRIIEESS CCOOMMIINNGG IINN AADDDDIITTIIOONN TTOO AA SSAALLAARRYY PPAAIIDD BBYY TTHHEE

OORRGGAANNIISSAATTIIOONN OOFF OORRIIGGIINN OOFF TTHHEE CCAANNDDIIDDAATTEE))

D0. INFORMATION ON THE PROPOSAL1

Proposal Full Name

Related RTD Project Name and number2


Starting Date (DD/MM/YYYY) Duration (months)

Financial support requested4


Proposal No



28

D1. INFORMATION CONCERNING THE CANDIDATE AND HIS/HER EMPLOYER5

Candidate

Title (Dr, Prof., ...) Name

Nationality

Employer


Legal form (fully written)7 Legal form abbreviation8




No

Entity Type13

PO Box14

Street Name, No

Post Code15 Cedex16



E-mail

Date (DD/MM/YYYY) Place

I certify that the information in this proposal is accurate and complete and that my organisation has agreed to send the above-mentioned candidate to the host organisation.

I certify that the candidate is on the payroll of our organisation and shall stay on it during his/her mobility. Should he/she be selected for a type 3 accompanying measure, his/her salary will continue to be paid by our organisation during his/her secondment to the host organisation. It is understood that the EC grant is a bursary which shall come in addition to this salary.

Names and signature(s) of authorised person(s) and stamp of the employer of the candidate

Name and signature of the candidate


29

D2. INFORMATION CONCERNING THE HOST ORGANISATION Host Organisation Full official denomination6





No

Entity Type13

PO Box14

Street Name, No

Post Code15 Cedex16

Town/City Country name Address of the main department where the training activity is to be carried out Dept/Institute Name

PO Box14

Street Name, No

Post Code15 Cedex16



E-mail

Scientific person in charge of the project Title (Dr, Prof., ...) Name


E-mail

Authorised administrative official for the purpose of contract signature18 Title (Dr, Prof., ...)

Function

Family name

First name (forename)


E-mail

I certify that the information in this proposal about my organisation is accurate and complete and a written consortium agreement on this proposal is established.

Date (DD/MM/YYYY) Signature of authorised person(s) and stamp of the host organisation

Together with form D2, the proposer/contractor must provide copies of legal supporting documents, e.g. certificate of registration, VAT certificate, latest available balance sheet, unless already delivered to the RFCS programme.

The relevant legal identity and financial identification forms of Annex XII & XIII will have to be filled at the contract preparation stage. However, you can fill them at the submission stage. In that case, you will just be asked to confirm these data at the contract preparation stage.


30

D3. PROPOSAL DESCRIPTION

Proposal Full Name

Research Objectives and content (maximum 300 characters)

Training/research activity content and expected impact (maximum 600 characters)

Curriculum Vitae of the candidate19

31

Certified Declaration (to be filled by the host organisation)

I certify that the information relating to our organisation set out in forms D0 to D3 of Annex III and legal entity and financial identification forms of Annex XII & XIII is accurate and correct, that the estimated costs meet the criteria for eligible costs for Research Fund for Coal and Steel projects, as established by the point 3.6 of the legal basis of the programme (Annex to Council Decision of 1 February 2003 laying down the multiannual guidelines for the research programme of the Research Fund for Coal and Steel) and normal cost accounting principles and that they reflect the estimated costs expected to be incurred in carrying out the work described herein.

I also certify that


- is committed to participate in the above mentioned project;

- has stable and sufficient sources of funding to maintain its activity throughout its participation in the project and to provide any counterpart funding necessary.

- has or will have the resources as and when needed to carry out its involvement in the above mentioned project.








32




- any potential contractor having been found guilty of misrepresentation in supplying the information required as a condition for participation in the contract or failing to supply such information shall be excluded from participation in any future contract;

I attach copies of legal supporting documents, e.g. certificate of registration, VAT capital certificate, latest available balance sheet. Yes/No

If no, date (dd/mm/yyyy), of delivery of these legal documents, with confirmation that the information provided to the Research Fund for Coal and Steel programme has not changed.

I have, previously or currently submitted this proposal or one similar in content to a Commission Programme in a previous call? Yes/No

If Yes, please give details of the proposal:

Programme name Year Proposal No

Name

First name


33

HOW TO COMPLETE THE PROPOSAL SUBMISSION FORMS FOR ANNEX III

(FORMS D0 TO D3) 1 This form is to be completed by the host organisation. 2 Provide the title and number of the RFCS EC funded project to which training/research

activity is affiliated. 3 Please cross under which area (Coal or Steel) you submit the proposal. 4 Please see Information Package 5 Information concerning the candidate and his/her employer (Form D1). 6 Please indicate the full official denomination which is the name under which the entity is

registered in the Official Trade Register, if applicable. 7 Please indicate the official form under which your entity does exist: for a registered

company, it must correspond to the certificate of incorporation. Otherwise, please refer to the Legal Statute. It is mandatory to fill in the legal form completely and show the abbreviation when existing.

8 Please refer to Annex XI of the Information Package. 9 If applicable, please provide the organisation’s legal national registration number or

code found in, e.g. the Chambers of Commerce register or the Business register. 10 If applicable, please provide the organisation’s value added tax (VAT) number in the

VAT register. 11 Please refer to the Official Trade Register, if applicable. 12 Indicate the principal activity of your organisation. Please use one of the following

codes: RES: Research (i.e. organisations only or mainly established for research purposes); HES: Higher Education (i.e. organisations only or mainly established for higher

education/training, e. g. universities, and colleges); IND: Industry (i.e. industrial organisations private and public, both manufacturing and

industrial services – such as industrial software, design, control, repair and maintenance). In addition, please specify if your organisation is a SME. A SME is a company who has fewer than 250 employees and either an annual turnover not bigger than 40 million € or annual balance-sheet total not bigger than 27 million € and not owned as to 25% or more by one enterprise or jointly by several enterprises.

OTH: Others

34

13 Please use one of the following codes: GOV: Governmental (local, regional or national public or governmental organisations,

e. g. libraries, hospitals, and schools); INO: International Organisation (i.e. an international organisation established by

national governments); PUC: Public Commercial Organisation (i.e. commercial organisation established and

owned by a public authority); PRC: Private Commercial Organisation including Consultant (i.e. any commercial

organisation owned by individuals either directly or by shares); EEIG: European Economic Interest Group; PNP: Private Organisation, Non Profit (i.e. any privately owned non-profit

organisation). 14 If applicable, indicate the Post Office Box number for surface mail delivery. 15 If applicable, enter numerical (alphanumeric for United Kingdom and The Netherlands)

post code without being prefixed by the country identifier, e.g. 1000 and not B-1000 or SW1H 9AS and not UK-SW1H 9AS.

16 If applicable, indicate Cedex for surface mail delivery. 17 Please give the telephone and fax numbers in the following format: for example a

European Commission telephone number in Brussels, Belgium, (32-2)2988888, 32 being the country code number, 2 the area code number for international calls, 2988888 the subscriber’s number.

18 This is a person within the organisation with authority to sign the contract with the

European Commission. 19 The following information is requested: University studies and diplomas obtained,

dissertations/theses; professional/research experience, relevant scientific/technical skills required, list of publications and patents as well as other outcomes of research work.

ANNEX IV

EUROPEAN COMMISSION RESEARCH DIRECTORATE-GENERAL Research Fund for Coal and Steel

37

ANNEX IV Cover

Submission/Contract Preparation Forms (CPF) for financial support from the

RFCS for RTD projects and Type 2 accompanying measures

Annex IV includes all forms necessary for the proposal submission stage and the contract preparation stage. Applicants do not need to fill all of them at the proposal submission stage. However, they will have to do so, should their proposal be selected. In that case, they will be invited to just complete and/or update all the forms, notably in the light of recommendations resulting from the evaluation. The complete set of forms to be filled consists of the following mandatory documents:

• At proposal submission stage: Cover Forms 1-1, 1-2, 1-3 Form 2 Forms 4-1, 4-2, 4-3, 4-4 Forms 5-1, 5-2, 5-3 (only if applicable) Form 7 • At contract preparation stage:

- Contract Preparation Forms (CPF) Forms 1-1, 1-2, 1-3 Form 2 Forms 3-1, 3-2 Forms 4-1, 4-2, 4-3, 4-4 Forms 5-1, 5-2, 5-3 Form 6 Form 7 (duly signed originals) - Legal entity identification forms (see ANNEX XII) - Financial identification forms (see ANNEX XIII) Applicants/contractors must provide copies of legal supporting documents, e.g. certificate of registration, VAT certificate, latest available balance sheet, unless already delivered to the RFCS Programme (only obligatory at the contract preparation stage).

INFORMATION ON THE PROJECT Project Full Name

Project Acronym1 Proposal No2

FOR COMMISSION USE ONLY CONTRACT NUMBER Reception date / /


38

ANNEX IV Form 1-1

OBLIGATORY AT THE SUBMISSION STAGE

TECHNICAL ANNEX

Project acronym:

Proposal No2:

Contract No: (will be attributed by

the Commission)

TITLE:

PROJECT OBJECTIVES

Objectives clearly stated in a concise manner (½ to 1 page maximum).


39

ANNEX IV Form 1-2


WORK PACKAGE DESCRIPTION WP No

Work package Title Number of man hours29

WP Leader (full name & acronym)

Contractor (s) (full name & acronym)

Total

1 – Objectives

Objectives clearly stated in a concise manner using bullet points (½ page).

2 - Work programme and distribution of tasks with indication of participating contractors

3 - Interrelation with other work packages (please give WP No)

4 - Deliverables and milestones

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41

ANNEX IV Form 2


CONTRACTOR PROFILE/INFORMATION (1 FORM PER PARTICIPANT) Project Acronym1 Proposal No2 Legal information on the participating organisation

Contractor Role3 Contractor No4

Full Official Denomination5

Organisation short name or Acronym (if relevant)

Legal form (fully written)6

Legal form abbreviation7


Place of Registration10


No

Entity Type12

Full Official address of the contractor

PO Box13


Post Code14 Cedex15


Internet homepage Authorised administrative person for the purpose of contract signature17 Title (Dr, Prof., etc.) Function18 Family Name First Name (Forename) Telephone No19 Fax

No19

E-mail


42

ANNEX IV Form 2


Address of the main Institute/Department/Laboratory carrying out the work Institute/Department/ Laboratory Name16

PO Box13 Post Code14 Cedex15


Internet homepage Scientific person in charge of the project Title (Dr, Prof., etc.) Function18 Family Name First Name (Forename) Telephone No19 Fax No19 E-mail Authorised contact person Title (Dr, Prof., etc.) Function18 Family Name First Name (Forename) Telephone No19 Fax No19 E-mail

Form 3-1ONLY OBLIGATORY AT THE CONTRACT PREPARATION STAGE

Title Acronym Proposal No

Company Name

Employee's namea Categoryb

Currency

Annual gross salaryc National Insurance Number of days per year 365

Other (to specify) Unemployment Weekend days -104

Pension 1 Absenced

Pension 2 Personal holidayse

Other (to specify) Mandatory legal holidays

Total annual working days

xWorking hours per dayf

Total A Total B Total C

Date (dd/mm/yy)

Note: Please make sure that information provided in this form is consistent with Forms 3-2, 4-1 and 4-2.

f Working hours per day: Based on internal company regulations or branch agreements.

Name and Title of Responsible

d Absence: sickness, education, travel, etc. up to 15 days maximum.

Signature of responsible

a Employee's name: Where applicable.

INDIVIDUAL FORM OF ACTUAL HOURLY COSTS CALCULATION

ANNEX IV

EUROPEAN COMMISSIONRESEARCH DIRECTORATE-GENERAL


e Personal holidays: as stated in the employees' work agreement or civil servant statement.

ANNUAL GROSS SALARY (A)c EMPLOYERS' SOCIAL CHARGES (B)

ANNUAL WORKING HOURS (C)

Hourly rate (A + B) / C =

b Category examples: Researcher, Post-Graduate, Engineer, Technician, Manual labour directly assigned to the project.c Annual gross salary: Evidence to justify this data should be available.

43

ANNEX IV

Form 3-2ONLY OBLIGATORY AT THE CONTRACT PREPARATION STAGE

Title Acronym Proposal No

Company Name

Currency

Exchange rate*

Employee list Hourly Rate (A)Effective number of

hours on project (B) Total Cost (A x B)

Post-Graduate (names) 0,00

0,00

0,00

0,00

0,00

0,00

0,00

Technical staff (names) 0,00

0,00

0,00

0,00

0,00

0,00

0,00

Manual labour (names) 0,00

0,00

0,00

0,00

0,00

0,000,00 0,00

* Use the exchange rate applicable in January (of year following the submission date). This rate is available at: http://ec.europa.eu/budget/inforeuro

Note: Figures are estimates deemed to integrate all possible changes expected to occur over the project duration.Please make sure that information provided in this form is consistent with Forms 3-1, 4-1 and 4-2.

Total



SUMMARY OF ACTUAL HOURLY COSTS CALCULATION

44


ANNEX IV Form 4-1


Proposal number:

Contractor No Contractor Role Connection Organisation short name

or AcronymEquipment

(I)Staff (II) Overheads

(III)Travel and

subsistence (a)Assistance from third parties (b)

Other operating costs (c)

Operating costs

(a+b+c=IV)

Total costs (I+II+III+IV)

Contribution requested from the Community

1 CO 0 0

2 CR 0 00 00 00 00 00 00 00 00 00 00 00 00 0

0 0 0 0 0 0 0 0 0


TOTAL

COST SUMMARY IN EURO AFTER NEGOTIATION

Project acronym:

45

ANNEX IV Form 4-2


Description22 Date of purchaseUtilisation period

(months) [A]23Depreciation period

(months) [B]24Cost of

purchase [C]25% allocation to

the project [D]26

Amount charge to project27

[(A/B)xCxD]#DIV/0!#DIV/0!#DIV/0!#DIV/0!#DIV/0!#DIV/0!#DIV/0!#DIV/0!#DIV/0!

#DIV/0!

Staff categories28

1.2.3.



Participant Profile/Information (1 form per participant)20

Equipment and Staff costs details

Contractor role3 Contractor n° 4

Equipment (Euro)21

Total (I)

Staff


00

N° of man hours29

[WH]Hourly rate (Euro)29

[S/PT]Staff amount (Euro)29

[WHxS/PT]0

Total (II)Overheads30 (30% to be systematically applied) Total (III)

0000

46

ANNEX IV Form 4-3


The use of consumable itemsEnergy (directly used for the project)

Miscellaneous analyses

The maintenance or repair of equipment specifically used for the projectThe transport of equipment or products for and in the course of the project

IT servicesThe rent of equipment specifically used for the project

The alteration and transformation of existing equipment to the extent necessary for the proper performance of the project

Operating costs (Euro)34

Total (c)

Total (IV) = (a + b + c)

0

0

Special examinations and tests

Travel and subsistence (Euro)31

Other operating costs (Euro)33

Total (a)

Assistance from third parties (Euro)32

Name of subcontractor or type of cost (e.g. audit or financial

guarantee)Work description Amount (Euro)





Operating costs details


1.2.3.4.

Total (b) 0

The raw materials employedMinor items of regular consumption

47

ANNEX IV Form 4-4





Total costs and revenue


Total costs (Euro)

Revenue (Euro)

Total costs (I + II + III + IV) #DIV/0!


Contribution requested from the Community35

Own resourcesOther resources (origin and amount in Euro)

Total 0

- - -

48


49

ANNEX IV Form 5-1


SUBCONTRACTOR PROFILE/INFORMATION (1 FORM PER SUBCONTRACTOR) (ONLY IF THE CUMULATIVE AMOUNT OF SUBCONTRACTS FOR THE CONTRACTOR EXCEEDS 20% OF ITS TOTAL ESTIMATED ALLOWABLE COSTS)

Legal information on the subcontractor

Subcontractor to contractor No36 Subcontractor number37

Subcontractor full official denomination38

Subcontractor short name or Acronym (if relevant)



Place of Registration10


No

Entity type12

Legal address of the subcontractor

PO Box13


Post Code14 Cedex15


Internet homepage

Address of the main Institute/ Department/ Laboratory carrying out the work

Institute/Department/Laboratory Name16

PO Box13


Post Code14 Cedex15


Internet homepage

ANNEX IV Form 5-2


Description22 Date of purchaseUtilisation period

(months) [A]23Depreciation period

(months) [B]24Cost of

purchase [C]25% allocation to

the project [D]26

Amount charge to project27

[(A/B)xCxD]#DIV/0!#DIV/0!#DIV/0!#DIV/0!#DIV/0!#DIV/0!#DIV/0!#DIV/0!#DIV/0!

#DIV/0!

Staff categories28

1.2.3.

0000

Total (B)Overheads30 (30% to be systematically applied) Total (C)

00

N° of man hours29

[WH]Hourly rate (Euro)29

[S/PT]Staff amount (Euro)29

[WHxS/PT]0

Equipment (Euro)21

Total (A)

Staff





SUBCONTRACTOR PROFILE/INFORMATION (1 FORM PER SUBCONTRACTOR) EQUIPMENT AND STAFF COSTS DETAILS ONLY FOR SUBCONTRACTORS EXCEEDING 20% OF THE CONTRACTOR’S ESTIMATED ALLOWABLE COSTS

50

ANNEX IV Form 5-3


* The total amount has to be included in the form 4.3 in “Assistance from third parties”.

Contractor n° 4

SUBCONTRACTOR PROFILE/INFORMATION (1 FORM PER SUBCONTRACTOR) EQUIPMENT AND STAFF COSTS DETAILS ONLY FOR SUBCONTRACTORS EXCEEDING 20% OF THE CONTRACTOR’S ESTIMATED ALLOWABLE COSTS




Contractor role3

IT services

Other operating costs (Euro)33

The raw materials employedMinor items of regular consumption

Energy (directly used for the project)

Total = (A + B + C + D)*

0

#DIV/0!

Special examinations and tests

Miscellaneous analyses

Total Costs (Euro)

Total (D)

The rent of equipment specifically used for the project

The alteration and transformation of existing equipment to the extent necessary for the proper performance of the project

The use of consumable items

The maintenance or repair of equipment specifically used for the projectThe transport of equipment or products for and in the course of the project

51


53

ANNEX IV Form 6

TO BE USED OPTIONALLY AT THE CONTRACT PREPARATION STAGE

MANDATE FOR CONTRACTORS’ DELEGATION OF SIGNATURE OF CONTRACT TO COORDINATOR (1 FORM PER PARTICIPANT)

Project Acronym Proposal No

Contractor Role Contractor No

Legal Name

The contractor [……………………………………………..], represented for the purpose hereof by [……………………………………………..]1, grants power of attorney to the coordinator [……………………………………………..]2 to act in its name and for its account in signing the contract corresponding to the project

[…………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………….]3 concluded with the Commission of the European Communities.

[…………………………………………………………………………………………]4 legal representative of […………………….………………………….…………………………]5

[Done in………………………………on……………/……/………….]

[……………………………………]6 Important notice: ü The mandate is used by the contractor to appoint the coordinator as attorney for the purpose of

signing the contract corresponding to the above mentioned project in its name. Two signed copies are required.

ü The mandate must be signed by a person who has the legal power to commit his/her organisation.

ü The mandate must be given to the organisation having the role of coordinator and not to a person.

1 The legal representative of the contractor (person holding signatory powers). 2 Full official denomination of the coordinator. 3 Title of the project and number of the proposal. 4 The legal representative of the contractor (person holding signatory powers). 5 Full official denomination of the contractor. 6 Signature of the legal representative.


55

ANNEX IV Form 7


Certified Declaration by each participant (including the coordinator) I certify that the information relating to our organisation set out in Forms 1-1 to 6 (and in the legal entity and financial identification forms) of the Submission and/or (cross as appropriate) Contract Preparation Forms is accurate and correct, that the estimated costs meet the criteria for eligible costs for Research Fund for Coal and Steel projects, as established by the point 3.6 of the legal basis of the programme (Annex to Council Decision of 1 February 2003 laying down the multiannual guidelines for the research programme of the Research Fund for Coal and Steel) and normal cost accounting principles and that they reflect the estimated costs expected to be incurred in carrying out the work described herein.

I also certify that

Full official denomination5 - is committed to participate in the above mentioned project; - has stable and sufficient sources of funding to maintain its activity throughout its participation in the

project and to provide any counterpart funding necessary. - has or will have the resources as and when needed to carry out its involvement in the above

mentioned project.









56

ANNEX IV Form 7



I enclose an external audit report unless otherwise provided on ……………(please, specify date) to the Research Fund for Coal and Steel Programme as requested by article 173(4) of the Commission Regulation39 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.



- any potential contractor having been found guilty of misrepresentation in supplying the information required as a condition for participation in the contract or failing to supply such information shall be excluded from participation in any future contract.

I have, previously or currently submitted this proposal or one similar in content to a Commission Programme in a previous call? Yes/No If Yes, please give details of the proposal: Programme name Year Proposal No

Name

First name


Legal Entity Identification Form

Please fill the relevant legal entity identification form in Annex XII according to the entity type

The relevant legal entity identification form of Annex XII will have to be filled at the contract preparation stage. However, you can fill this form at the submission stage. In

that case, you will just be asked to confirm these data at the contract preparation stage.

57

Financial Identification Form

Please use the relevant financial identification form in Annex XIII according to the country

The relevant financial identification form of Annex XIII will have to be filled at the contract preparation stage. However, you can fill this form at the submission stage. In that case, you

will just be asked to confirm these data at the contract preparation stage.

58


59

ANNEX IV Explanatory notes

EXPLANATORY NOTES

1. Project Acronym

Use the same acronym used in the proposal submission if any.

2. Proposal No The proposal number will be given by the Commission Services after submission.

3. Contractor Role The role for the participant as defined by the consortium for this proposal. The following codes should be used: CO: Coordinator - CR: Contractor (different from the coordinator) - SC: Subcontractor.

4. Contractor No The number allocated by the consortium to the participant for this proposal. The coordinator of a proposal is always number one.

5. Full official denomination Please indicate the full official denomination, which is the name under which the entity is registered in the Official Trade register, if applicable.

6. Legal form (fully written) Please indicate the official form under which your entity does exist: for a registered company, it must correspond to the certificate of incorporation. Otherwise, please refer to the Legal Statute. It is mandatory to fill in the legal form completely and show the abbreviation when existing.

7. Legal form abbreviation Please refer to Annex XI.

8. Legal registration No If applicable, please provide the organisation’s legal national registration number or code found in, e.g. the Chambers of Commerce register or the Business register.

9. VAT No If applicable, please provide the organisation’s value added tax (VAT) number in the VAT register.

10. Place of registration Please refer to the Chambers of Commerce register or the Business register.

11. Activity type Indicate the principal activity of your organisation. Please use one of the following codes: RES: Research (i. e. organisations only or mainly established for research purposes). HES: Higher Education (i. e. organisations only or mainly established for higher education/training, e. g. universities, and colleges). IND: Industry (i.e. industrial organisations private and public, both manufacturing and industrial services – such as industrial software, design, control, repair, and maintenance). In addition, please specify if your organisation is a SME. A SME is a company who has fewer than 250 employees and either an annual turnover not bigger than € 40 million or annual balance-sheet total not bigger than € 27 million/year and not owned as to 25% or more by one enterprise or jointly by several enterprises. OTH: Others.

60

12. Entity type Please use one of the following codes: GOV: Governmental (local, regional or national public or governmental organisations, e. g. libraries, hospitals, and schools). INO: International Organisation (i. e. an international organisation established by national governments). PUC: Public Commercial Organisation (i. e. commercial organisation established and owned by a public authority). PRC: Private Commercial Organisation including Consultant (i. e. any commercial organisation owned by individuals either directly or by shares). EEIG: European Economic Interest Group. PNP: Private Organisation, Non Profit (i. e. any privately owned non-profit organisation).

13. PO Box If applicable indicate number of Post office Box for surface mail delivery.

14. Post Code If applicable, enter numerical (alphanumeric for United Kingdom and The Netherlands) post code without being prefixed by the country identifier, e.g. 1000 and not B-1000 or SW1H 9AS and not UK-SW1H 9AS.

15. Cedex If applicable, indicate Cedex for surface mail delivery.

16. Institute/Department/Laboratory name Name of the unit (department or institute) in the organisation, which will be carrying out the work and for which the contact person is working. The address details given in the following fields must be for the department /institute and in principle not the legal address of the organisation.

17. Authorised administrative person for the purpose of contract signature This is a person within the organisation with authority to sign the contract with the European Commission.

18. Function The function, which the person has within the organisation, for example: director, vice-president, managing director, vice chancellor, etc.

19. Telephone No and Fax No Please give the telephone and fax numbers in the following format; for example (a European Commission telephone number in Brussels, Belgium) (32-2) 2988888 (32 being the country code number; 2 the area code number for international calls; 2988888 the subscriber's number).

20. Participant/Profile information Forms should be filled in by all the contractors and accompanied by a certified declaration

21. Equipment Equipment purchased or leased may be charged as a direct cost. The allowable costs for leased equipment shall not exceed any allowable costs for its purchase. Allowable costs include equipment purchased or leased within the six months preceding the commencement date or equipment which is the property of a Contractor and which has not been fully depreciated when the research begins. The allowable costs shall be calculated according to the following formula: A x C x D B A = Utilisation period (months), refer to Note 23 B = Depreciation period (months), refer to Note 24 C = Cost of purchase, refer to Note 25 D = % Allocation to the project, refer to Note 26

22. Description Give a brief description of the equipment to be purchased specifically for use under the project

23. Utilisation period (months)

61

This is the period (in months) during which the equipment is used for the project after its delivery.

24. Depreciation period (months) Equipment must be depreciated on a linear basis over a depreciation period of either

• 36 months for data-processing equipment, provided the cumulative amount is < 25 000€ • 60 months for data-processing equipment, provided the cumulative amount is ≥ 25 000€ • 60 months for all other equipment

Please note that, more particularly, any equipment or PC’s used for administrative tasks are not allowable direct costs, as referred to in Article 11 of Annex II to the contract.

25. Cost of purchase This is the purchase price of the equipment in Euro (excluding VAT).

26. % Allocation to the project This is the percentage of time for which the equipment is used for this project in relation to its total usage (i.e. including usage for other purposes) during the same period. For example, if the equipment is used for 6 months and in that time the equipment is used for a total of 300 hours for the project, but for no other purposes, then the percentage usage is 100%. However, if during the same period the equipment is used for 300 hours for the project and is also used for 100 hours for purposes other than the research project, then the percentage usage is 75%.

27. Amount charged to the project Only the depreciated value in Euro of the equipment as calculated according to the formula may be charged to the project.

28. Staff categories Only staff, which is directly employed by the contractor and belongs to the following categories, can be charged to the project: 1: Scientific and post-graduate 2: Technical staff 3: Manual labour If needed, the above categories can be further detailed, provided that any sub-division can be clearly and unambiguously identified to the category under which it is presented.

29. N° of man hours/Hourly Rate (Euro)/Staff amount (Euro) The costs of hours which will be devoted on the project exclusively by scientific, post-graduate or technical staff and the staff cost of manual workers directly employed by the contractor may be charged. Any additional staff costs (e.g. scholarships) shall require the Commission’s prior written approval. No administrative staff can be accounted as allowable costs. Staff costs shall comprise: -actual staff costs; or -average employment costs, where these correspond to the normal practice of the contractor concerned, provided they are certified by an external audit certificate, that there is no significant deviation between the average employment costs and the actual staff costs, and provided such practices are regarded as acceptable by the Commission. The personnel cost shall be calculated according to the following formula WH x S/PT or WH x AHR WH = Working Hours (Hours to be spent on the project) S = Salary costs [€/annum] Salary costs charged should be taken from the actual payroll account and should be the total yearly gross remuneration plus the employer social charges (e.g. holiday pay, pension contributions, health insurance and social security payments). Remuneration costs must be calculated individually for each researcher.

62

PT = Productive time [hours/annum] AHR = Average hourly rate per category. Please refer to Article 12.2 of Annex 2 to the model contract.

30. Overheads A lump sum of 30% of the staff costs shall be systematically applied.

31. Travel and subsistence (Euro) Costs in Euro must be directly related to the project and must be reasonable and justified. In principle, 2 coordination meetings a year with 1 representative per contractor may be charged. No other travel and subsistence costs shall be permitted without the written approval of the European Commission. All costs must exclude VAT. In no case more than €10 000 travel and subsistence costs may be charged for a three-year project. No travel costs outside the European Union are allowed.

32. Assistance from third parties Costs in Euro for assistance from third parties (subcontractors). Contractors may conclude subcontracts where this proves necessary for the performance of their work. The work carried out in the frame of a subcontract shall include scientific or technical research activity. It does not apply to arrangements for the provision of materials, equipment and services concluded by a contractor in the course of its normal business. The cumulative amount of the subcontracts for each contractor shall not exceed 20% of its total estimated allowable costs. If it exceeds 20%, please fulfil the forms 5-1 to 5-3. All costs must exclude VAT. Cost arising directly from requirements imposed by the contract (e.g. cost of audit certificates and of financial guarantees) shall also be included in the assistance from third parties.

33. Other operating costs (Euro) Other operating costs in Euro directly related to the execution of the project shall be limited to the items given listed. All costs must exclude VAT. As to alteration and transformation of existing equipment to the extent necessary for the proper performance of the project, costs charged to the project must be the depreciated value, as calculated according to the same method as for “Equipment” (see note 21), if it is registered as fixed assets and not fully depreciated.

34. Operating costs (Euro) Operating costs are the sum of travel and subsistence, assistance from third parties where applicable and other operating costs.

35. Contribution requested from the Community The maximum contribution requested from the Community for each participant in Euro, expressed as a percentage of the allowable costs are: a) for research projects: up to 60% b) for pilot and demonstration projects: up to 40% c) for promotion of knowledge gained: in principle up to 60%

36. Subcontractor to contractor Only for subcontractors. They should indicate the number (e.g. 1, 2, 3 etc.) of the contractor(s) to which they are connected to.

37. Subcontractor number The number of the subcontractor for each of the contractors.

38. Subcontractor full official denomination Please indicate the full official denomination which is the name under which the entity is registered in the Official Trade registers, if applicable.

63

39. Commission Regulation

Commission Regulation (EC, Euratom) n° 2342/2002 of 23 December 2002, L357/48, OJ 31 December 2002, Article 173(4): For actions where the cost to be financed exceeds €300 000 and for operating grants over €75 000, the proposal shall be accompanied by an external audit report produced by an approved auditor. That report shall certify the accounts for the last financial year available and give an assessment of the financial viability of the applicant within the meaning of Article 176(2). Article 176(2): The applicant must have stable and sufficient sources of funding to maintain his activity throughout the period during which the action is being carried out or the year for which the grant is awarded and to participate in its funding. The applicant must have the professional competencies and qualifications required to complete the proposed action or work programme unless specifically provided otherwise in the basic act. Please note that the external audit report is not mandatory for proposers where costs to be funded by the Commission are less than €300 000.

— An external audit report (accompanying proposals, where costs to be financed exceeds 300 000 € per beneficiary) enables the Commission to assess that the applicants have stable and sufficient sources of funding to maintain its activity throughout the project — An audit certificate (at the end of the project), prepared by any qualified external auditor, certifies that the costs incurred meet the conditions required by the RFCS contract.

ANNEX V

A:\Steel\Infopack\Infopack 2007\Lay out\Volume 2\05-Annex V _20oc 67

EUROPEAN COMMISSION ANNEX V RESEARCH DIRECTORATE-GENERAL Research Fund for Coal and Steel

Acknowledgement of receipt form

Brussels,

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

Dear Sir/Madam,

We are pleased to acknowledge receipt of your proposal:

To be completed by the co-ordinator

Programme: Research Programme of the Research Fund for Coal and Steel

Research Area(s)1 Coal Steel

Type of proposal1 Research Pilot and Demonstration

Accompanying measure1

Type 1 Type 2 Type 3

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.

On behalf of the Commission we thank you for your proposal and your interest in the research programmes.

Yours faithfully,

The Head of Unit 1 Please cross the correct answer

ANNEX VI


MODEL CONTRACT

Research, Pilot and Demonstration Projects and accompanying measures for the promotion of the use of knowledge gained

73

CONTRACT Article 1 - Scope .................................................................................................................. 76 Article 2 - Duration.............................................................................................................. 76 Article 3 - Allowable costs and maximum financial contribution of the Community ............. 76 Article 4 - Payments by the Commission .............................................................................. 76 Article 5 - Reporting periods................................................................................................ 78 Article 6 - Financial Statements ........................................................................................... 78 Article 7 - Technical reports................................................................................................. 78 Article 8 - Bank account ...................................................................................................... 79 Article 9 - Payment procedures ............................................................................................ 80 Article 10 - Amendments ..................................................................................................... 80 Article 11 - Special conditions ............................................................................................. 80 Article 12 - Applicable law and competent court.................................................................. 82 Article 13 - Communication................................................................................................. 82 Article 14 - Annexes ............................................................................................................ 83 TABLE I.............................................................................................................................. 84

ANNEX I

Technical Annex………………………………………………………………………………85

ANNEX II General conditions

Part A - Implementation of the work .................................................................................... 87 Article 1 - Definitions .......................................................................................................... 87 Article 2 - Management of project ....................................................................................... 88 Article 3 - Assistance of third parties ................................................................................... 89 Article 4 - Technical verification of project.......................................................................... 90 Article 5 - Termination of contract or end of participation of a contractor ........................... 90 Article 6 - Liability .............................................................................................................. 93 Article 7 - Force majeure ..................................................................................................... 93 Article 8 - Conflict of interests ............................................................................................. 93 Article 9 - Suspension .......................................................................................................... 94 Article 10 - Confidentiality .................................................................................................. 94 Part B - Financial management ............................................................................................ 94 Article 11 - Allowable costs ................................................................................................. 94 Article 12 - Direct costs ....................................................................................................... 96 Article 13 - Indirect costs ..................................................................................................... 99 Article 14 - Request for payments ........................................................................................ 99 Article 15 - General provision on payments ....................................................................... 101 Article 16 - Determining the final grant.............................................................................. 102 Article 17 - Recovery......................................................................................................... 103 Article 18 - Controls and audits.......................................................................................... 104 Article 19 - Liquidated damages and financial penalties..................................................... 105 Article 20 - Audit certificates ............................................................................................. 106

74

Part C - Financial statement ............................................................................................... 107 C1 Summary mid-term or final financial statement .................................................... 107 C2 Coordinator/contractor's mid-term or final financial statement.............................. 108 C3 Subcontractor's mid-term or final financial statement ........................................... 112 C4 Full summary of all receipts and expenditure of the project (euro)........................ 115 C5 Summary of participants receipts and expenditure in the project (euro) ................ 116

ANNEX III Scientific and technical documents

Article 1 - Six-monthly reports........................................................................................... 117 Article 2 - Mid-term technical implementation report......................................................... 117 Article 3 - Final report ....................................................................................................... 117 Article 4 - Publishable report ............................................................................................. 117 Article 5 - Other publications ............................................................................................. 118 Article 6 - Dissemination of scientific and technical results................................................ 118 Article 7 - Protection of knowledge.................................................................................... 118 Article 8 - Publicity............................................................................................................ 118 Article 9 - Evaluation......................................................................................................... 119

ANNEX IV Intellectual property rights

Article 1 - Ownership of knowledge ................................................................................... 121 Article 2 - Protection of knowledge .................................................................................... 121 Article 3 - Use and dissemination....................................................................................... 122 Article 4 - Access rights ..................................................................................................... 122 Article 5 - Incompatible or restrictive commitments........................................................... 123

75

CONTRACT No ………

The European Community (hereinafter referred to as “the Community”), represented by the Commission of the European Communities (“the Commission”), in its capacity as manager of the Research Fund for Coal and Steel,1 itself represented for the purposes of the signature of this contract by Mr/Mrs ……… (first name, last name), ………………………. (status), DG …….,

of the one part ("the Community"),

and

………………… (Full official denomination) …………. ("the coordinator") "ACRONYM", established in [Member State]

Legal form (if applicable)

Full official address

Legal registration No (if applicable)

VAT No (if applicable)

[……………………………………. "ACRONYM", established in [Member State],

(same as above)]

[……………………………………. "ACRONYM", established in [Member State],

(same as above)]

[…]

represented by their authorised representatives.

of the other part (collectively "the contractors" ),

hereinafter referred to as "contracting parties",

HAVE AGREED to the terms and conditions established in this contract and its annexes (collectively "the contract"), which form an integral part of the contract.

1 As laid down in Article 4(1) of Council Decision of 1 February 2003 establishing the measures necessary for the

implementation of the Protocol, annexed to the Treaty establishing the European Community, on the financial consequences of the expiry of the ECSC Treaty and on the Research Fund for Coal and Steel (2003/76/EC) (OJ L 29, 5.2.2003).

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Article 1 - Scope

1.1 The contractors2 shall carry out the work set out in Annex I (the "project") to this contract in accordance with the conditions set out in this contract.

1.2 Subject to force majeure as defined under Article 7 of Annex II, the contractors shall use reasonable endeavours to achieve the results intended for the project and to fulfil the obligations of a defaulting contractor. A contractor shall not be liable to take action beyond its reasonable control or to reimburse money due from a defaulting contractor unless it has contributed to the default. Measures to be taken in the event of force majeure shall be agreed between the contracting parties.

Article 2 - Duration

2.1 The contract shall enter into force on the date of the last signature of the contracting parties.

2.2 The project shall run for [insert number] months from [insert date] ("the start date").

2.3 This contract shall be completed once the rights and obligations of all contracting parties have been met.

Article 3 - Allowable costs and maximum financial contribution of the Community

3.1 The total estimated allowable costs of the project are EUR [insert figure] ([insert amount in words] euro).

3.2 The Community shall contribute up to and including [insert %]3 of the allowable costs up to EUR [insert figure] ([insert amount in words] euro) of the project.

The estimated cost apportionment between the contractors in the project is set out in Table I.

No transfers of the research work or of the estimated budget between contractors shall be permitted without the written approval of the Commission.

3.3 Undertakings, research institutes or natural persons established in Applicant States may participate in this contract without receiving any financial contribution, unless otherwise provided under the relevant European Agreements and their additional Protocols, and in the decisions of the various Association Councils. The same applies to entities from third countries where their participation is in the interest of the Community.

Article 4 - Payments by the Commission

The Commission shall pay its contribution, as stipulated in Articles 14 to 16 of Annex II, for the project in euro as follows:

4.1 First pre-financing:

Within 45 days of [the latest of the following dates:]4

2 Words that appear in italics are defined in Article 1 of Annex II. 3 Up to 60%, 40% and 100% respectively for research projects, for pilot and demonstration projects and for

accompanying measures, support and preparatory actions. 4 Use this option if other documents than the signed contract are required; in that case, select the appropriate options.

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the date when the last of the contracting parties signs the contract5

[receipt of (a) first financial guarantee(s) produced by the [coordinator] [contractors] for the amounts set out in Table I]

a pre-financing payment shall be made to the [coordinator] [contractors] as set out in Table I, representing [insert %]6 of the amount of Community financial contribution specified in Article 3.2.

4.2 Second pre-financing:

The payment of the second pre-financing may not be made until at least 70% of the first pre-financing has been used up [and shall be conditional on the contractors producing a financial guarantee or equivalent security covering the aggregated amount of pre-financing as set out in Table I].

The request for payment of the second pre-financing must be accompanied by the documents specified in Article 14.2 of Annex II [including an external audit certificate on the project’s accounts7].

The request for payment becomes admissible only when the technical implementation report has been officially presented to the relevant Technical Group.

The Commission shall have 45 days from the deadline for submission of the mid-term financial statement referred to in Article 6 or from the date of presentation by the coordinator of the mid-term technical implementation report as referred to in Article 7 to the relevant Technical Group, whichever is the latest, to approve or reject the documents submitted by the coordinator or to request additional supporting documents or information under the procedure laid down in Article 14.3 of Annex II. In that case, the coordinator shall have 45 days to submit the additional information or documents requested.

Within 45 days following approval by the Commission of the documents accompanying the request for payment of the second pre-financing, a second pre-financing payment shall be made to the [coordinator] [contractors] as set out in Table I. The total of the pre-financing payment may not be more than 80% of the amount of Community financial contribution specified in Article 3.2.

4.3 Payment of the balance

The request for payment of the balance shall be accompanied by the documents specified in Article 14.3 of Annex II [including an external audit certificate on the project’s accounts].7

The request for payment becomes admissible only when the technical implementation report has been officially presented to the relevant Technical Group.

5 If the beneficiary signs last, the following formula should be used: “the date when the signed contract is officially

received”. 6 Up to 80%. 7 An audit of this kind may be required by the authorising officer in respect of any payment, depending on his

assessment of the management risk. It is compulsory in the case of cumulative pre-financing payments or interim payments that exceed EUR 750 000 per financial year and contract, excluding the first pre-financing payment, and for balance payments exceeding EUR 150 000.

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The Commission shall have 45 days from the deadline for submission of the final financial statement referred to in Article 6, or from the date of presentation by the coordinator of the final report as referred to in Article 7 to the relevant Technical Group, or from the date of submission of the publishable report as referred to in Article 7, whatever is the latest, to approve or reject the documents submitted by the coordinator or to request additional supporting documents or information under the procedure laid down in Article 14.3 of Annex II. In that case, the coordinator shall have 45 days to submit the additional information or new documents requested.

A payment representing the balance of the contribution determined in accordance with Article 16 of Annex II shall be made to the [coordinator] [contractors] within 45 days following approval by the Commission of the documents accompanying the request for payment of the balance.

Article 5 - Reporting periods

The project is divided into two reporting periods:

First reporting period:

from start date to 31.12.[year of start date + [1] [2] [3] year(s)].8

Final reporting period:

from 01.01.[year of project's start date + [2] [3] [4] years]8 to closing date of the project.

Article 6 - Financial Statements

Financial statements shall be submitted through the coordinator in [one] [two] signed [copy] [copies] in accordance with the following schedule:

- a mid-term financial statement not later than [90] [insert number] days from the end of the first reporting period as referred to in Article 5;

- a final financial statement not later than [90] [insert number] days from the beginning of the calendar year following the closing date of the project.

Article 7 - Technical reports

Technical reports consist of six-monthly reports, a mid-term technical implementation report, a final report, and a publishable report as specified in Annex III.

Reports shall be submitted through the coordinator in two copies in [….], in accordance with the following schedule:

- six-monthly reports to be submitted within [90] [insert number] days of the corresponding six-month period elapsing, except for the last six-month period preceding the submission of the mid-term and final reports;

- a mid-term technical implementation report not later than [90] [insert number] days from the end of the first reporting period as referred to in Article 5;

8 As of function of the duration of the project.

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- a final report not later than [90] [insert number] days from the beginning of the calendar year following the closing date of the project;

- a publishable report not later than [90] [insert number] days after approval of the final report.

The mid-term technical implementation report and the final report shall be presented by the coordinator to the relevant Technical Group as referred to in Article 1(6) of Annex II.

Where the work is completed before the closing date of the project, the related reports shall cover the period up to that date.

Article 8 - Bank account

Payment to the coordinator

The financial contribution of the Community shall be paid to the coordinator on behalf of the contractors to the following bank account or sub-account of the coordinator denominated in euro, as indicated below:9

Name of bank: […]

Address of branch: […]

Precise denomination of the account holder: […]

Full account number (including bank codes): […]

[IBAN account code: […]]10

Direct payments to each contractor

The Commission shall pay sums due under the contract directly to the contractors up to the amounts per contractor specified in Table I.

Payments will be made to the following bank accounts or sub-accounts of the contractors denominated in euro, as indicated below.11

[ACRONYM]

Name of bank: […]

Address of branch: […]

Precise denomination of the account holder: […]

Full account number (including bank codes): […]


(idem for each contractor)

9 As shown by the account identification document issued or certified by the bank concerned. 10 BIC code for countries where the IBAN code does not apply. 11 As shown by the account identification document issued by the bank concerned.

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This (These) account(s) or sub-account(s) must make it possible to identify funds paid by the Commission.

Article 9 - Payment procedures

Where the payment of the Community financial contribution is made to the coordinator on behalf of the contractors, the Commission is discharged from its obligation to make payments to the contractors.

All payments shall be considered as pre-financing until approval of the appropriate reports and financial statement. Approval of any report or financial statement does not imply exemption from any audit or review, which may be carried out in accordance with the provisions of Article 18 of Annex II.

Where the mid-term financial statement is accompanied by an audit certificate, the amount of pre-financing which is justified in the mid-term financial statement and accepted by the Commission shall be considered as final, subject to the results of any audit or review, which may be carried out pursuant to the provisions of Article 18 of Annex II.

Payment of the balance justified by an audit certificate shall be considered as final, subject to the results of any audit or review, which may be carried out pursuant to the provisions of Article 18 of Annex II.

Where a contractor has used less than 70% of its pre-financing according to the mid-term financial statement, and notwithstanding the approval by the Commission of the mid-term technical implementation report, its subsequent intermediate pre-financing may be paid only if an audit certificate is provided for that reporting period.

Article 10 - Amendments

This contract, including the annexes thereto, may be modified only in writing, by way of an amendment between the authorised representatives of the contracting parties. No verbal agreement may be binding on the contracting parties for this purpose.

Any request for amendment must be submitted by the coordinator and received by the Commission at least six months before the closing date of the project.

Article 11 - Special conditions

[No special conditions should apply to the contract.]

[The following special conditions apply to the contract.]

[Contractors from Applicant States or third countries

Contractors from Applicant States or third countries that participate in the project without any financial contribution from the Community will not be subject to financial audit. The provisions of Articles 3, 4, 6, 8, 9, parts B and C of Annex II are not applicable.]

[Cost of subcontracted work

[The cumulative amount of subcontracts as referred to in Article 3.4 of Annex II does not apply to the following contractors for the following subcontracts:

Contractor Subcontractor Cost of subcontracted work

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[ACRONYM] […………..] EUR [……..]12]

[Together with the final financial statement and for subcontracts exceeding [10%] [insert %] of its estimated allowable costs, each contractor shall provide an audit certificate prepared and certified by an external auditor, certifying that the costs incurred by its subcontractors meet the conditions required by this contract, and in particular by part B of Annex II. The cost of this certificate is an eligible cost under third party assistance as referred to in Article 12.3 (l) of Annex II.]13]

[Equipment costs for Pilot and Demonstration projects

The depreciation period (B) of 60 months as referred to in Article 12.1 of Annex II is replaced as follows for the following contractors: Contractor Depreciation period (months)

[ACRONYM] […………..]

[ACRONYM] […………..]

…

[Projects shorter than 25 months

Articles 4.1, 4.2, 5, 6 and 7, the last column of Table I (aggregated financial guarantee) and Articles 14.1 and 14.2 of Annex II shall not apply.

Payments

Within 45 days of [the latest of the following dates:]14

the date when the last of the contracting parties signs the contract15

[receipt of financial guarantees produced by the [coordinator] [contractors] for the amounts set out in Table I]

a pre-financing payment shall be made to the [coordinator] [contractors] as set out in Table I, representing [insert %]16 of the amount of Community financial contribution specified in Article 3.2.

[The financial guarantee shall be issued by a bank or an approved financial institution established in one of the Member States of the European Union17 and shall remain in force until final payments by the Commission match the proportion of the total grant accounted for

12 Applicable only for any subcontract fully described (subcontractor, tasks, costs of subcontracted work) in the proposal

and therefore in Annex I. 13 Only if no audit certificate is requested in Article 4. 14 Use this option if other documents than the signed contract are required; in that case, select the appropriate options. 15 If the beneficiary signs last, the following formula should be used: “the date when the signed contract is officially

received”. 16 Up to 80%. 17 In exceptional cases, the guarantee may be replaced by a personal joint security provided by a third party (where

appropriate, provision for this should be included in the Article ‘Special Conditions’ in part I (Special Conditions) of the contract).

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by pre-financing. The Commission undertakes to release the guarantee within 30 days following the final payment.]

Financial statements

A final financial statement reporting all allowable cost incurred during the project shall be submitted not later than [90] [insert number] days from the beginning of the calendar year following the closing date of the project.

Technical reports

Technical reports consist of six-monthly reports, a final report and a publishable report as specified in Annex III.

Reports shall be submitted through the coordinator in two copies in [….], in accordance with the following schedule:

- six-monthly reports to be submitted within [90] [insert number] days of the corresponding six-month period elapsing, except for the last six-month period preceding the submission of the final report;

- a final report not later than [90] [insert number] days from the beginning of the calendar year following the closing date of the project;

- a publishable report not later than [90] [insert number] days after the approval of the final report.

Where the work is completed before the closing date of the project, the related reports shall cover the period up to that date.]

[Sole contractor clause

All references to the contractors or to the coordinator in this contract and in the Annexes thereto shall be interpreted as references to the contractor.]

Article 12 - Applicable law and competent court

This contract is governed by the law of [Belgium].

Any dispute between the parties arising from the interpretation or application of the provisions of the contract which cannot be settled amicably shall be brought before the Court of Justice of the European Communities.

Article 13 - Communication

Any communication in connection with this contract shall be in writing, indicating the number of the contract [and where applicable the contractor number], and shall be sent by registered letter with advice of delivery or equivalent to the following addresses:

For the Commission:

European Commission Directorate-General [Research]

Directorate [Energy]

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Unit [Research Fund for Coal and Steel] [B-1049 Brussels] For the coordinator:

Mr/Ms […] [Function]

[Official denomination]

[Full official address]

Article 14 - Annexes

The Annexes forming an integral part of this contract are:

Annex I - Technical Annex

Annex II - General conditions

Annex III - Scientific and technical documents

Annex IV - Intellectual property rights (IPR)

In the event of any conflict, the terms set out in the contract shall take precedence over those in the Annexes.

The special conditions set out in Article 11 shall take precedence over any other provisions of this contract.

Done at Brussels,

On behalf of [acronym of the contractors]:

Title:

Name: (written out in full)

Function:

Signature:

(stamp of the organisation)

On behalf of the Commission:

Name: (written out in full)

Title:

Signature:

Date:

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TABLE I

Estimated breakdown of the total estimated allowable costs

and pre-financing

Contract No ……

TOTAL ESTIMATED MAXIMUM FIRST FIRST SECOND AGGREGATED

ALLOWABLE COST CONTRIBUTION PRE-FINANCING FINANCIAL PRE-FINANCING FINANCIAL

(euro) (euro) (euro) GUARANTEE (euro) GUARANTEE

NAME

(euro) (euro)18

COORDINATOR

A [ACRONYM]

CONTRACTOR

B [ACRONYM]

CONTRACTOR

C [ACRONYM]

CONTRACTOR

D [ACRONYM]

CONTRACTOR

E [ACRONYM]

CONTRACTOR

F [ACRONYM]

TOTAL

18 Where the mid-term financial statement is accompanied by an audit certificate, the aggregated financial guarantee

has to be reduced by the costs presented in the mid-term financial statement and accepted by the Commission.

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ANNEX I

Technical Annex

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ANNEX II

General Conditions19

Part A - Implementation of the work

Article 1 - Definitions

(1) Access rights: means licences and user rights to knowledge or pre-existing know-how.

(2) Allowable costs: are the costs eligible under this contract as defined in Articles 11 to 13 of this Annex.

(3) Applicant State: is a State acknowledged by the Community as a candidate for accession to the European Union.

(4) Closing date of the project: means the date calculated by adding the duration of the project to the start date referred to in Article 2.2.

(5) Contractor: means a signatory to this contract, other than the Community.

(6) Coal and Steel Technical Groups (Technical Groups): are Groups designated and described under point 2.3 of the Annex to the Council Decision of 1 February 2003 laying down the multiannual technical guidelines for the research programme of the Research Fund for Coal and Steel.20 Their role consists of assisting the Commission in the monitoring of research and pilot/demonstration projects. Members shall be appointed by the Commission and shall come from the sectors related to the coal or steel industry, research organisations or user industries where they should have responsibility for research strategy, management or production. Technical Groups meetings will be held yearly in principle from March to May. The coordinators will be requested to present their mid-term technical implementation and final reports, and where appropriate their six-monthly reports,21 to the corresponding Technical Group. Following its advice, the Commission will approve or refuse technical reports.

(7) Coordinator: means the contractor carrying out the tasks provided for in Article 2.1 of this Annex.

(8) Dissemination: means the disclosure of knowledge by any appropriate means other than publication resulting from the formalities for protecting knowledge.

(9) Irregularity: means any infringement of a provision of Community law or any breach of a contractual obligation resulting from an act or omission by a contractor which has, or would have, the effect of prejudicing the general budget of the European Communities or budgets managed by it through unjustified expenditure.

(10) Knowledge: means the results, including information, whether or not they can be protected, arising from the project governed by this contract, as well as copyrights or rights pertaining to

19 Words defined in Article 1 of this Annex appear in italics throughout. 20 Council Decision 2003/78/EC (OJ L 29, 5.2.2003). 21 The presentation of the first six-monthly report shall include information for the experts to judge on the objective

and the working plan at the beginning of the project.

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such results following applications for, or the issue of, patents, designs, plant varieties, supplementary protection certificates or similar forms of protection.

(11) Legitimate interest: means a contractor's interest of any kind, particularly a commercial interest, that may be claimed in the cases provided for in this contract. To this end, the contractor must prove that failure to take account of its interest would result in it suffering disproportionately great harm.

(12) Plan for using and disseminating the knowledge: means the report on the contractors’ intentions for the protection, use and dissemination of the knowledge generated under the project.

(13) Pre-existing know-how: means the information which is held by contractors prior to the conclusion of the contract, or acquired in parallel with it, as well as copyrights or rights pertaining to such information following applications for, or the issue of, patents, designs, plant varieties, supplementary protection certificates or similar forms of protection.

(14) Pre-financing: means any part of the Community financial contribution which is paid in advance of submission of proof of work having been carried out for a specific period of the project, either in order to provide advance funds to permit the work on the project to begin or to continue with the next phase.

(15) Project: means all the work referred to in Annex I of this contract.

(16) Start date: means the date upon which the project begins as identified in Article 2.2.

(17) Subcontract: means a contractual arrangement between a contractor and a subcontractor for the performance of part of the work on the project which cannot be carried out by the contractor itself. The subcontract does not apply to arrangements for the provision of materials, equipment and services concluded by a contractor in the course of its normal business. The work carried out as part of a subcontract shall include scientific or technical research activity.

(18) Subcontractor: means a third party having concluded a subcontract with a contractor.

(19) Third country: means a State that is neither a Member State nor an Applicant State.

(20) Transfers from third parties: are financial transfers made specifically to co-finance the project in accordance with Article 16.4 of this Annex.

(21) Use: means the direct or indirect utilisation of knowledge in research activities or for developing, creating and marketing a product or process or for creating and providing a service.

Article 2 - Management of project

2.1 The coordinator shall:

- be the intermediary for all communication between the contractors and the Commission in accordance with Article 13;

- request all payments to the Commission on behalf of the contractors;

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- ensure, where the payments by the Commission are made to it, that all appropriate payments are made to contractors without unjustified delay and in any event within 45 days of receipt from the Commission. The coordinator shall inform the Commission of the distribution of the Community contribution between contractors and of the date of transfer;

- be responsible for the management of the project;

- inform the other contractors of any event of which it is aware that is liable to affect the implementation of the project.

2.2 The contractors shall:

- agree between themselves appropriate arrangements for the proper performance of the project;

- forward to the coordinator the data needed to draw up the reports provided for in Article 7 and the corresponding financial statements;

- inform the coordinator immediately of any event liable to substantially affect or delay implementation of the project of which they are aware.

Article 3 - Assistance of third parties

3.1 Contractors may conclude subcontracts where this proves necessary for the performance of their work as stated in Annex I.

3.2 If a contractor has to conclude contracts in order to implement the project and they constitute costs of the project under an item of allowable costs, he shall ensure that the contracts are awarded to competent contractors offering best value for money.22

3.3 Where the contractors enter into subcontracts with third parties, they continue to remain bound by their obligations to the Commission under the contract.

3.4 Subcontracts may be awarded only in the following cases:

(a) Recourse to third party must be justified having regard to the nature of the project and what is necessary for its implementation.

(b) They may only cover the execution of a specific part of the project which cannot be carried out by the contractor itself.

(c) The cumulative amount of subcontracts for each contractor shall not exceed [20%] [insert %] of its total estimated allowable costs.

(d) Any recourse to third parties while the project is under way shall be subject to prior written authorisation by the Commission.

(e) The final draft of the subcontract must be submitted to the Commission for approval before its signature. Not later than four weeks after the last signature, a copy of the agreed subcontract shall be sent to the Commission.

22 Departments may include provision in the Special Conditions for specific rules of procedure to apply according to

the estimated value of the contract, the relative size of the Community contribution and the management risk.

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The Commission’s approval shall be deemed to be granted where the subcontractor is clearly identified in Annex I and is a legal entity, incorporated and resident in, and subject to the law of, a Member State of the European Community, directly or indirectly owning, owned by, or under the same ownership as the contractor.

Where these conditions are not fulfilled, the costs incurred will not be taken into account.

Ownership shall exist through the direct or indirect:

- ownership or control of more than 50% of the nominal value of the issued equity share capital or more than 50% of the shares entitling the holders to vote for the election of directors, or persons performing similar functions, or

- right by any other means to elect or appoint directors, or persons performing similar functions, who have a majority vote.

(f) Each contractor shall retain sole responsibility for carrying out the project and for compliance with the provisions of the contract. Each contractor must undertake to make the necessary arrangements to ensure that the third party chosen waives all rights in respect of the Commission under the contract.

(g) Each contractor must undertake to ensure that the conditions applicable to it under the contract are also applicable to the third party chosen and ensure that subcontractors do not enter into further subcontracts.

(h) No subcontract shall be concluded with a contractor in the project.

Article 4 - Technical verification of project

4.1 The Commission, or its authorised representatives, shall be given reasonable access to sites or premises of work on the project and to documents concerning the project's management, progress and review.

4.2 Each contractor shall provide reasonable assistance, including attending meetings for monitoring, reviewing and evaluating the project.

4.3 In accordance with the provisions of point 2.3. of the Annex to Council Decision of 1 February 2003 laying down the multiannual technical guidelines for the research programme of the Research Fund for Coal and Steel Commission,23 the Commission may be assisted in its monitoring task by the Coal and Steel Technical Groups. The Coal and Steel Technical Groups may visit any site where the project is being carried out. They shall submit its findings to the Commission.

Article 5 - Termination of contract or end of participation of a contractor

5.1 Termination by the contractors

Acting on behalf of the contractors, jointly and unanimously, the coordinator may request the Commission to terminate the contract, or the participation of any contractor, for major technical or economic reasons substantially affecting the project, or if the exploitation

23 Council Decision 2003/78/EC (OJ L 29, 5.2.2003).

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potential of the results of the contract significantly diminishes, by giving 60 days' written notice.

In duly justified cases, any contractor may terminate the contract at any time by giving 60 days’ written notice to the Commission stating the reasons, without being required to furnish any indemnity on this account. If no reasons are given or if the Commission does not accept the reasons, the contractor shall be deemed to have terminated this contract improperly, with the consequences set out in the third subparagraph of paragraph 4 of this Article.

The Commission may not object to the withdrawal by a contractor from the project where all the other contractors have agreed in writing, unless the withdrawal affects the conditions under which the contract was concluded. Prior notification shall be given to the Commission and shall be deemed to be accepted unless written observations are transmitted within 60 days of receipt of the notification.

5.2 Termination by the Commission

The Commission may terminate the contract, or the participation of any contractor, by written notice without any indemnity on its part, in the following circumstances:

a) in the event of a legal, financial, technical or organisational change in a contractor’s situation that is liable to affect the contract substantially or to call into question the decision to award the grant;

b) where a contractor fails to fulfil a substantial obligation incumbent on it under the terms of the contract, including its annexes;

c) in the event of force majeure, notified in accordance with Article 7 of this Annex;

d) where a contractor is declared bankrupt, is being wound up or is the subject of any other similar proceedings;

e) where a contractor is found guilty of an offence involving its professional conduct by a judgment having the force of res judicata or where it is guilty of grave professional misconduct proven by any justified means;

f) where a contractor is guilty of misrepresentation or submits reports inconsistent with reality to obtain the grant provided for in the contract;

g) where a contractor has intentionally or by negligence committed a substantial irregularity in performing the contract or in the event of fraud, corruption or any other illegal activity on the part of the contractor to the detriment of the Communities' financial interests.

h) where the conditions for participation in the project established by Council Decision No 2003/78/EC of 1 February 2003 and the call for proposals to which the project was submitted are no longer satisfied, unless the Commission considers that the continuation of the project is essential to the implementation of research programme of the Research Fund for Coal and Steel.

5.3 Termination procedure

The termination procedure is initiated by registered letter with advice of delivery or equivalent.

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In the cases referred to in points (a), (b), and (d) of paragraph 2, the contractor shall have 30 days to submit its observations and take any measures necessary to ensure continued fulfilment of its obligations under the contract. If the Commission fails to confirm acceptance of these observations by giving written approval within 30 days of receiving them, the termination procedure shall continue to run.

Where notice is given, termination shall take effect at the end of the period of notice, which shall start to run from the date when the letter of termination is received.

If notice is not given in the cases referred to in points (b), (e), (f) and (g) of paragraph 2, termination shall take effect from the day following the date when the letter of termination is received.

5.4 Effects of termination

In the event of termination, payments by the Commission shall be limited to the allowable costs incurred by the contractor up to the effective date of termination and to any legitimate commitments taken prior to that date which cannot be cancelled.

The coordinator or the defaulting contractor shall have 60 days from the date when termination takes effect, as notified by the Commission, to produce a request for final payment in accordance with Article 14 of this Annex, including an external audit certificate on the project’s account, unless otherwise specified in writing by the Commission. If no request is made within this time limit, the Commission shall not reimburse the expenditure incurred by the contractors up to the date of termination. The Commission shall recover any amount where its use is not substantiated by the technical implementation reports and financial statements, including an external audit certificate, approved by the Commission.

By way of exception, in the event of improper termination by the contractors or termination by the Commission on the grounds set out in points (e), (f) or (g) of paragraph 2, the Commission may require the partial or total repayment of sums already paid under the contract on the basis of technical implementation reports and financial statements approved by the Commission, in proportion to the gravity of the failings in question and after allowing the contractor to submit its observations.

By way of exception, at the end of the period of notice mentioned in paragraph 3 of this Article, when the Commission terminates the contract for the reason that the contractors have not provided the financial statements or the technical reports within the deadline given in Articles 6 and 7 and they have still not carried out this obligation in the two months following the written notification to this effect by the Commission by registered letter with advice of delivery or equivalent, the Commission will not proceed with the reimbursement of expenses incurred by the contractors up until the end date of the project and will recover, where necessary, all amounts where the costs incurred have not been justified by the technical implementation and financial reports approved by the Commission.

5.5 Contractors shall take appropriate action to cancel or mitigate commitments entered into before the termination notice, and shall take account of any reasonable written directions from the Commission to this effect on the termination.

5.6 Access rights relating to work performed on the project before termination shall be granted by any defaulting or withdrawing contractor on the conditions specified in Annex IV to any replacing entity performing the project.

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Access rights granted by any of the other contractors to a defaulting or a withdrawing contractor shall relate only to work performed on the project before the termination or withdrawal.

5.7 The following provisions shall continue to apply despite any termination:

- Articles 10, 18 and 19 of Annex II, Articles 5, 6, 7, 8 of Annex III and Annex IV.

Article 6 - Liability

6.1 The contractors shall have sole responsibility for complying with any legal obligations incumbent on them.

6.2 The Commission shall not, in any circumstances or on any grounds, be held liable in the event of a claim under the contract relating to any damage caused during the project’s execution. Consequently, the Commission will not entertain any request for indemnity or reimbursement accompanying any such claim.

6.3 Except in cases of force majeure, the contractors shall make good any damage sustained by the Commission as a result of the execution or faulty execution of the project.

6.4 The contractors shall bear sole liability vis-à-vis third parties, including for damage of any kind sustained by them while the project is being carried out.

Article 7 - Force majeure

7.1 Force majeure shall mean any unforeseeable exceptional situation or event beyond the parties’ control which prevents either of them from fulfilling any of their obligations under this contract, was not attributable to error or negligence on their part, and proves insurmountable in spite of all due diligence. Defects in equipment or material or delays in making them available (unless due to force majeure), labour disputes, strikes or financial difficulties cannot be invoked as force majeure by the defaulting party.

7.2 A party faced with force majeure shall inform the other party without delay by registered letter with advice of delivery or equivalent, stating the nature, probable duration and foreseeable effects.

7.3 Neither of the parties shall be held in breach of their obligations under the contract where they are prevented from fulfilling them by force majeure. The parties shall make every effort to minimise any damage due to force majeure.

7.4 The project may be suspended in accordance with Article 9 of this Annex.

Article 8 - Conflict of interests

The contractors shall take every necessary precaution to avoid any risk of a conflict of interests and shall inform the Commission without delay of any situation constituting or likely to lead to a conflict of interests. A conflict of interests may arise in particular from economic interests, political or national affinities, family or emotional ties, or any other common interests that are liable to influence the impartial and objective performance of the contract.

The Commission reserves the right to check that the measures taken are appropriate and may demand additional measures if necessary.

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Any situation constituting a conflict of interest or likely to lead to a conflict of interest during the implementation of the contract must be brought to the immediate attention of the Commission in writing via the coordinator. The contractors agree to take immediately the necessary measures to remedy such a situation. The Commission reserves the right to verify that these measures are appropriate and may, if necessary, require the contractors to take additional measures within a specified deadline.

Article 9 - Suspension

9.1 Acting on behalf of the contractors, the coordinator may request the Commission to suspend implementation of the project if circumstances make this impossible or excessively difficult, notably in the event of force majeure. The coordinator shall inform the Commission without delay, giving all the necessary reasons and details and the foreseeable date of resumption. The Commission must give its written approval within 60 days.

9.2 If the Commission does not terminate the contract under Article 5 of this Annex, the contractors shall resume implementation once circumstances allow and shall inform the Commission accordingly. The duration of the project shall be extended by a period equivalent to the length of the suspension. In accordance with Article 10, an amendment shall be concluded to extend the duration of the project and to make any amendments that may be necessary to adapt the project to the new implementing conditions.

Article 10 - Confidentiality

The Commission and the contractors undertake to preserve the confidentiality of any document, information, knowledge, pre-existing know-how or other material directly related to the subject of the contract that is duly classed as confidential, where disclosure could cause prejudice to the other contractors or to the Commission. The parties shall remain bound by this obligation beyond the closing date of the project.

The Commission shall take reasonable steps to ensure that experts of the Coal and Steel Technical Groups, and any other experts appointed where appropriate, providing assistance to it in the management of this contract do not disclose or use confidential information provided to them. Details of any such experts intended to exercise functions under Article 4 (technical verification) of this Annex, or under Annex IV (IPR), shall be given in advance and the Commission shall take reasonable account of any objections by the contractors for legitimate interest.

Part B - Financial management

Article 11 - Allowable costs

11.1 To be considered as allowable direct costs of the project, costs must satisfy the following general criteria:

- they must correspond to cost categories defined in Articles 12 and 13 of this Annex;

- they must be directly connected with the subject of the contract;

- they must be necessary for performance of the project covered by the contract;

- they must be reasonable and justified and they must accord with the principles of sound financial management, in particular in terms of value for money and cost-effectiveness;

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- they must be actually incurred by the contractors during the lifetime of the project as specified in Article 2.2 and recorded in their accounts or tax documents and they must be identifiable and verifiable.

11.2 Contractors must not claim any cost not necessary to complete the project. The following costs shall not be considered allowable:

- debt and debt service charges;

- provisions for losses or potential future liabilities;

- other interest owed;

- doubtful debts;

- exchange losses;

- any identifiable indirect taxes, including VAT or duties;

- costs declared by the contractor in connection with another project, action or work programme receiving a Community grant;

- excessive or reckless expenditure.

11.3 Allowable costs shall be reimbursed by the Commission where they are justified by the contractors. To this end, each contractor shall maintain, on a regular basis and in accordance with the normal accounting conventions of the State in which it is established, the accounts for the project and appropriate documentation for the project to support and justify the costs and the hours reported in its requests for payments. The accounting procedures shall permit the direct reconciliation between the costs and receipts incurred for the implementation of the project and the overall statement of accounts relating to the overall business activity of the contractor. This documentation must be complete, precise and effective and shall be made available for audits. Any cost which cannot be documented or which does not respect the above mentioned principles shall not be charged as project expenditure.

11.4 Allowable costs on the basis of expenditure shall be equal to the sum of the expenses incurred less any recoveries (discounts, refunds, recovery of materials, finished products or scrap, the sale or recovery of plant or equipment, donations). Contributions in kind shall not count as actual expenditure by the contractors and shall not constitute allowable costs. However, if they are provided for and set out in Annex I in order to contribute to the proper implementation of the project, the contractors undertake to obtain them as provided for in the contract.

11.5 Allowable costs shall cover only actual costs incurred for the work carried out under the contract. Contractors and subcontractors cannot claim any budgeted or commercial rates. Allowable costs shall be broken down into the following four categories:

- equipment,

- staff,

- operating costs,

- indirect costs (overheads).

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11.6 No cost shall be allowed which has not been claimed in the final financial statement as referred to in Article 14.3 of this Annex.

Article 12 - Direct costs

12.1 Equipment

The costs of purchasing equipment directly related to the execution of the project shall be chargeable as direct costs.

By way of an exception to Article 11.1 of this Annex, and subject to prior written authorisation of the Commission, allowable costs include equipment purchased specifically for the project within the six months preceding the start date or equipment which is the property of a contractor and has not been fully depreciated when the research begins.

Allowable costs shall be calculated according to the following formula:

A x C x D

B

A = the period in months during which the equipment has been used for the project after its delivery;

B = depreciation period of 60 months (36 months for data processing equipment costing less than 25 000 euro);

C = purchase cost of equipment;

D = percentage usage of equipment on the project.

12.2 Staff

12.2.1 The cost of actual hours spent on the project exclusively by scientific, post-graduate or technical staff and the cost of manual workers directly employed by the contractor may be charged. Any additional staff costs (e.g. scholarships) shall require the Commission’s prior written approval. No administrative staff can be accounted as allowable costs.

12.2.2 All working hours charged must be recorded throughout the duration of the project not later than at the time of reporting of the project and certified. This requirement will be satisfied by, at the minimum, the maintenance of time records, certified at least monthly by the designated project manager, or an authorised senior employee of the contractor.

12.2.3 Staff costs shall comprise:

- actual staff costs;

or

- average employment costs, where these correspond to the normal practice of the contractor concerned, provided they are certified by an external audit certificate, that there is no significant deviation between the average employment costs and the actual staff costs, and provided such practices are regarded as acceptable by the Commission.

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12.2.4 Actual staff costs shall be calculated according to the following formula:

WH x S

PT

WH = Working Hours

Working hours to be charged as referred to in Article 12.2.2. Estimates of hours worked are not allowable.

S = Salary costs [€/annum]

Salary costs charged should be taken from the payroll account and should be the total yearly gross remuneration plus the employer’s portion of social charges (e.g. holiday pay, pension contributions, health insurance and social security payments). Salary costs must be calculated individually for each staff member.

In the case of work contracts, the costs excluding VAT should be taken from the invoice received for the work performed. Invoices should indicate the project on which the persons have worked, the tasks carried out and the hours spent.

PT = Productive time [hours/annum]

() Total productive hours should represent the total workable hours based on the contract of employment less a provision for non-chargeable time (maximum 15 days/year) according to the actual situation of the contractor. The contractor shall produce and forward to the Commission by [31 March] of each year the actual situation of productive time applicable for that year, with a copy of all relevant supporting documents. Where this information has not been received by the Commission by [31 March], the productive time applicable for that year will be [1700] hours/annum.

No overtime should be charged to Commission projects, and the time charged for each researcher shall not exceed the productive time.

() As a general rule, productive time to be taken into consideration per full time employee is [1600] hours/annum.

12.2.5 Average employment costs shall be calculated according to the following formula:

WH x AHR

WH = Working Hours

Working hours to be charged as referred to in Article 12.2.2. Estimates of hours worked are not allowable.

AHR = Average hourly rate per category

Average hourly rate per category shall be calculated by dividing the total salary costs for all staff belonging to the category by the total number of working hours.

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Total salary costs should be taken from the payroll account and should be the total yearly gross remuneration plus the employer’s portion of social charges (e.g. holiday pay, pension contribution, health insurance and social security payments).

Not later than at the time of reporting, the contractor must provide an audit certificate prepared and certified by an external auditor as referred to in Article 20.2 of this Annex, certifying that the average hourly rates per category (AHR) calculated according to this method do not create any significant deviation between the average and actual employment costs. The certificate should expressly certify the system of reporting staff costs and specify the data that were subject to verification. The cost of this certificate is an eligible cost under third party assistance as referred to in Article 12.3 (l) of this Annex.

An audit certificate is not required unless the deviation in any category between the last calculated AHR and the last certified AHR is greater than [insert %].24

12.3 Operating costs

Operating costs directly related to the implementation of the project shall be limited solely to the cost of:

(a) raw materials;

(b) minor items of regular consumption;

(c) the use of consumable items;

(d) energy;

(e) the maintenance or repair of equipment;

(f) the transportation of equipment or products;

(g) the alteration and transformation of existing equipment;

(h) IT services;

(i) the rental of equipment;

(j) miscellaneous analyses;

(k) special examinations and tests;

(l) assistance from third parties: Costs of subcontracts shall be allowable costs in accordance with Article 3 of this Annex, provided that they are covered by the categories of expenditure set out above.

Costs arising directly from requirements imposed by the contract (i.e. audit certificates), including the costs of any financial services (i.e. the cost of financial guarantees) shall be allowable costs.

24 In principle 5%.

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By way of an exception to Article 11.1 of this Annex, allowable costs shall include costs of external audit certificates on the project accounts incurred within [insert number]25 days following the end of the project.

(m) travel and subsistence costs:

Travel and subsistence costs directly related to the project (i.e. cost of attendance by [one] [two] representative(s) of each contractor to [two] [three] coordination meetings per year organised by the coordinator) may be charged. No other travel and subsistence costs and no travel costs outside the European Union shall be permitted without the written approval of the Commission.

Article 13 - Indirect costs

13.1 A lump sum of 30% calculated on the basis of the allowable staff expenditure referred to in Article 12.2 of this Annex to cover all other expenses ("overhead costs") which may arise in connection with the project and which are not specifically identified in the preceding paragraphs.

13.2 This lump sum includes costs incurred to attend meetings with the Coal and Steel Technical Groups required and organised by the Commission.

13.3 Indirect costs shall not be allowable under a project grant awarded to a contractor which already receives an operating grant from the Commission during the period in question.

Article 14 - Request for payments

Payments shall be made in accordance with Article 4.

14.1 First pre-financing

Where required by the provisions of Article 4.1 on pre-financing, the contractors shall furnish a financial guarantee from a bank or an approved financial institution established in one of the Member States of the European Union.26 The guarantor shall stand as first call guarantor and shall not require the Commission to have recourse against the principle debtor (the contractor). The financial guarantee shall remain in force until final payments by the Commission match the proportion of the total grant accounted for by pre-financing. The Commission undertakes to release the guarantee within 30 days following the final payment.

14.2 Second pre-financing

The contractors may request a second pre-financing payment once they have used up the percentage of the previous payment specified in Article 4.2 on second pre-financing. The request shall consist of the following documents:

- a mid-term technical implementation report on project implementation as set out in Article 2 of Annex III;

- a detailed mid-term financial statement of the allowable costs actually incurred by each contractor during the period covered by the mid-term technical implementation report;

25 In principle 90. 26 In exceptional cases, the guarantee may be replaced by a personal joint security provided by a third party (where

appropriate, provision for this should be included in Article 11 (Special Conditions)).

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- where required by the above-mentioned provisions of Article 4.2, a financial guarantee in accordance with paragraph 1;

- where required by the above-mentioned provisions of Article 4.2, an external audit certificate on the project’s accounts. The external audit shall be carried out in accordance with Article 20 of this Annex.

These documents shall be drawn up in accordance with the relevant provisions of the annexes.

14.3 Payment of the balance

By the appropriate deadline indicated in Article 6, the coordinator shall request the payment of the balance. The request shall consist of the following documents:

- a final report on the implementation of the project;

- a detailed final financial statement of the allowable costs actually incurred by each contractor during the period covered by the final report on the implementation of the project;

- a full summary statement of the all receipts and expenditure of the project;

- where required by the provisions of Article 4.3 on payments, an external audit report on the project’s final accounts in accordance with Article 20 of this Annex. The purpose of the audit is to certify that the financial documents submitted to the Commission by a contractor comply with the financial provisions of the contract, that the costs declared cover all the actual costs of the project, and that all receipts have been declared.

The documents accompanying the request for payment shall be drawn up in accordance with the provisions of the annexes. If an external audit of the project’s accounts is not required, each contractor shall certify that the financial documents submitted to the Commission comply with the financial provisions of the contract, that the costs declared cover all the actual costs, and that all receipts have been declared.

On receipt of these documents and after the relevant Technical Group has met, the Commission shall have the period specified in Article 4 in order to:

- approve these documents;

- ask the coordinator or the relevant contractor for supporting documents or any additional information it deems necessary to allow the approval of the documents;

- reject these documents and ask for the submission of new documents.

Approval of the documents accompanying the request for payment shall not imply recognition of their regularity or of the authenticity, completeness and correctness of the declarations and information contained therein.

Requests for additional information or new documents shall be notified to the coordinator or to the relevant contractor in writing or by electronic mail. The coordinator shall have the period laid down in Article 4 to submit the information or new documents requested.

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If additional documents are requested, the time limit for scrutiny shall be extended by the time it takes to obtain the documents concerned.

Where documents are rejected and new documents requested, the approval procedure described in this Article shall apply.

In the event of renewed rejection, the Commission reserves the right to terminate the contract by invoking Article 5.2 b) of this Annex.

14.4 The contractors shall submit requests for payments in the format specified in Part C or in any similar format notified or approved in writing by the Commission. Contractors must take all the necessary steps to ensure that the costs incurred by their subcontractors are detailed in form C3.

14.5 If a request for a second pre-financing is not submitted as required, the Commission may withhold its payment for the project until the payment of the balance. The Commission may suspend the period for payment laid down in Article 4 at any time by notifying the coordinator that the request for payment is not admissible, either because it does not comply with the provisions of the contract, or because it does not accord with the technical implementation reports and financial statements approved by the Commission, or because there is a suspicion that some of the costs in the request for payment are not allowable and additional checks are being conducted. The payment period shall continue to run from the date when a properly constituted request for payment is registered.

The Commission may also suspend its payments at any time if the coordinator or any contractor is found or presumed to have infringed the provisions of the contract, in particular in the wake of the audits and checks provided for in Article 18 of this Annex.

The Commission shall inform the coordinator of any such suspension by registered letter with advice of delivery or equivalent. Suspension shall take effect on the date when notice is sent by the Commission.

14.6 The coordinator shall provide any details reasonably required by the Commission for its management of the contract.

Article 15 - General provision on payments

15.1 Payments shall be made by the Commission in euro. Costs incurred in currencies other than the euro shall be reported in euro on the basis of the rate applicable on the first day of the month following the end of the reporting period. The conversion rate27 used shall be indicated in the financial statements when reporting costs incurred.

15.2 On expiry of the period for payment specified in Article 4, the coordinator or any contractor, where payments are made directly to contractors in accordance with Article 8, may, within two months following the date of receipt of a late payment, request payment of interest on the late payment at the rate applied by the European Central Bank for its main refinancing operations in euro, plus three and a half points; the reference rate to which the increase applies shall be the rate in force on the first day of the month of the final date for payment, as

27 The conversion rate for the euro must be the rate published by the Commission for budget execution. This rate is

available at: http://ec.europa.eu/budget/inforeuro. This rate corresponds to the market rate for the penultimate working day of the previous month quoted by the European Central Bank, which is available at: http://eur-lex.europa.eu/en/index.htm.

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published in the C series of the Official Journal of the European Union. This provision shall not apply to public authorities of the Member States of the European Union.

Interest on late payment shall cover the period from the final date for payment, exclusive, up to the date of payment as defined in paragraph 1, inclusive. The interest shall not be treated as a receipt for the project for the purposes of determining the final grant within the meaning of Article 16 of this Annex. The suspension of payment by the Commission may not be considered as late payment.

15.3 The coordinator shall inform the Commission of the amount of any interest or equivalent benefits yielded by the pre-financing it has received from the Commission. Notification must be made annually if the interest in question represents a significant amount, and in any event when the request for payment of the balance of the grant is made. The interest shall be treated as a receipt for the project within the meaning of Article 16 of this Annex.

15.4 The contractors have a period of two months, starting from the date of notification by the Commission of the final amount of the grant constituting either the payment of the balance or a recovery order in accordance with Article 17 of this Annex, or, by default, the date of receipt of the payment of the balance, to request in writing any additional information regarding the determination of the final grant or contesting this determination. After this period, any such requests will not be considered. The Commission undertakes to reply in writing within two months starting from the date of receipt of the request for information. This procedure is without prejudice to the right of the contractors to appeal against the decision of the Commission pursuant to the provisions of Article 12. In line with the provisions of Community legislation in this respect, such appeals must be lodged within two months following the notification of the decision to the requester or, by default, the day on which he becomes aware of it.

Article 16 - Determining the final grant

16.1 Without prejudice to Article 18 of this Annex, the Commission shall adopt the amount of the final payment to be made to the coordinator or the contractors pursuant to Article 8 on the basis of the documents referred to in Article 14 of this Annex, which it has approved.

16.2 The total amount paid to the coordinator or to the contractors pursuant to Article 8 by the Commission may not in any circumstances exceed the maximum amount of the grant laid down in Article 3, even where the total actual costs allowable exceed the estimated total allowable costs specified in Article 3.

16.3 Where the actual allowable costs when the project ends are lower than the estimated total allowable costs, the financial contribution of the Community shall be limited to the amount obtained by applying the Community grant percentage specified in Article 3 to the actual allowable costs approved by the Commission.

16.4 Receipts of the project may arise from (a) financial transfers to the contractor from third parties, and (b) income generated by the project and as specified below:

a) Where there is a financial transfer from third parties:

• made specifically to co-finance the project or specifically to finance a resource used by the contractor on the project, such transfer shall be considered to be receipts of the project;

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• where the use of the financing or the use of resources paid with the financial transfers are at the discretion of the contractor and the contractor chooses to allocate such resources to the project, such transfers shall not be considered to be receipts of the project.

Contractors shall ensure that third parties whose resources are made available to the project are informed of this use of their resources. Contractors shall do so in accordance with their national legislation and practices.

b) Income generated by the project:

• income generated by actions undertaken in carrying out the project and income from the sale of assets purchased under the contract up to the value of the cost initially charged to the project shall be considered as a receipt of the project;

• income generated for the contractor from the use of knowledge resulting from the project shall not be considered as a receipt of the project.

16.5 The contractors hereby agree that the grant shall be limited to the amount necessary to balance the project’s receipts and expenditure and that it may not in any circumstances produce a profit for them.

Profit shall mean any surplus of all actual receipts attributable to the project, whether duly established or confirmed in the case of other outside funding, or whether determined by applying the principles laid down in paragraphs 2 and 3 of this Article to the total allowable costs of the project. For the purposes of this Article, only actual costs falling within the categories of allowable costs as referred to in Article 11 of this Annex shall be taken into account. Non-allowable costs shall always be covered by non-Community resources.

Any surplus determined in this way shall result in a corresponding reduction in the amount of the grant.

Any interest or equivalent benefits yielded by the pre-financing of the project shall be considered as receipts of the project.

16.6 Without prejudice to the right to terminate the contract under Article 5 of this Annex, if the project is not implemented or is implemented poorly, partially or late, the Commission may reduce the grant initially provided for in line with the actual implementation of the project on the terms laid down in this contract.

Any reduction in the amount of the grant to be paid by the Commission shall be effected by:

- reducing the balance of the grant payable when the project ends;

- requesting the contractor concerned to repay any amounts overpaid, if the total amount already paid by the Commission exceeds the final amount which it actually owes.

Article 17 - Recovery

17.1 If any amount is unduly paid to a contractor or if recovery is justified under the terms of the contract, the contractor concerned undertakes to repay the Commission the sum in question on whatever terms and by whatever date it may specify.

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17.2 If a contractor fails to pay by the date set by the Commission, the sum due shall bear interest at the rate indicated in Article 15.2 of this Annex. Interest on late payment shall cover the period between the date set for payment, exclusive, and the date when the Commission receives full payment of the amount owed, inclusive. This provision does not apply to national public administrations of the Member States which are contractors of this contract.

Any partial payment shall first be entered against charges and interest on late payment and then against the principal.

17.3 Sums owed to the Community may be recovered by offsetting them against any sums owed to the contractor, after informing it accordingly, or by calling in the financial guarantee provided in accordance with Article 14 of this Annex. The contractor’s prior consent shall not be required.

17.4 Bank charges occasioned by the recovery of the sums owed to the Community shall be borne solely by the contractors.

17.5 The contractors understand that, under Article 256 of the Treaty establishing the European Community, the Commission may adopt an enforceable decision formally establishing an amount as receivable from persons other than States.

Article 18 - Controls and audits

18.1 The Commission may, at any time during the contract and up to five years after the end of the project, arrange for audits to be carried out, either by outside scientific or technological reviewers or auditors, or by the Commission departments themselves, including OLAF. Such audits may cover scientific, financial, technological and other aspects (such as accounting and management principles) relating to the proper execution of the project and the contract. Any such audit shall be carried out on a confidential basis. Any amounts due to the Commission as a result of the findings of any such audit may be the subject of a recovery as mentioned in Article 17 of this Annex.

The contractor(s) shall have the right to refuse the participation of a particular outside scientific or technological reviewer or auditor on grounds of commercial confidentiality.

18.2 The contractors shall make available directly to the Commission all the detailed data that may be requested by the Commission with a view to verifying that the contract is being properly managed and performed.

18.3 The contractors shall keep the original or, in exceptional cases, duly substantiated, authenticated copies, of all documents relating to the contract for up to five years from the end of the project. These shall be put at the Commission’s disposal where requested during the execution of any audit under the contract.

18.4 In order to carry out these audits, the contractors shall ensure that the Commission’s departments and any outside body(ies) it appoints have on-the-spot access, in particular to the contractor’s offices, at all reasonable times, and to all the information needed to carry out those audits.

18.5 The European Court of Auditors shall have the same rights as the Commission, notably right of access, for the purpose of checks and audits, without prejudice to its own rules.

18.6 In addition, the Commission may carry out on-the-spot checks and inspections in accordance with Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-

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the-spot checks and inspections carried out by the Commission in order to protect the European Communities’ financial interests against fraud and other irregularities,28 Regulation (EC) No 1073/1999 of the European Parliament and of the Council of 25 May 1999 concerning investigations conducted by the European Anti-Fraud Office (OLAF)29 and Council Regulation (Euratom) No 1074/1999 of 25 May 1999 concerning investigations conducted by the European Anti-Fraud Office (OLAF).30

18.7 Contractors shall ensure that the rights of the Commission and the Court of Auditors to carry out audits are extended to the right to carry out any such audit or control on any subcontractor or third party whose costs are reimbursed in full or in part by the Community financial contribution, on the same terms and conditions as indicated in this Article.

Article 19 - Liquidated damages and financial penalties

Without prejudice to any other measures provided for in this contract, the contractors agree that the Community, with the aim of protecting its financial interests, is entitled to claim liquidated damages from a contractor who is found to have overstated expenditure and who has consequently received an unjustified financial contribution from the Community. Liquidated damages are due in addition to the recovery of the unjustified financial contribution from the contractor.

a) Any amount of liquidated damages shall be proportionate to the overstated expenditure and unjustified portion of the Community contribution. The following formula shall be used to calculate any possible liquidated damages:

Liquidated damages = unjustified financial contribution x (overstated expenditure/total claimed)

The calculation of any liquidated damages shall only take into consideration the period relating to the contractor’s claim for the Community contribution for that period. It shall not be calculated in relation to the entire Community contribution.

b) The Commission shall inform the contractor which it considers liable to pay liquidated damages in writing of its claim by way of a registered letter with acknowledgement of receipt. The contractor shall have a period of 30 days to answer the Community’s claim.

c) The procedure for repayment of unjustified financial contribution and for payment of liquidated damages will be determined in accordance with the provisions of Article 17.

d) The Commission shall be entitled to compensation in respect of any overstated expenditures which come to light after the contract has been completed, in accordance with the provisions of paragraphs a) to f).

e) These provisions shall be without prejudice to any administrative or financial sanctions that the Commission may impose on any defaulting contractor in accordance with the Financial Regulation or to any other civil remedy to which the Community or any other contractor may be entitled. Furthermore, these provisions shall not preclude any criminal proceedings which may be initiated by the Member States’ authorities.

f) Further as established by the Financial Regulation applicable to the general budget of the European Communities, any contractor declared to be in grave breach of its contractual

28 OJ L 292, 15.11.1996, p. 2. 29 OJ L 136, 31.5.1999, p. 1. 30 OJ L 136, 31.5.1999, p. 8.

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obligations shall be liable to financial penalties of between 2% and 10% of the value of the grant in question. This rate may be increased to between 4% and 20% in the event of a repeated breach in the five years following the first infringement.

Article 20 - Audit certificates

20.1 For each period for which an audit certificate is required, each contractor shall provide an audit certificate prepared and certified by an external auditor, certifying that the costs incurred during that period meet the conditions required by this contract. The certificate should expressly state the amounts that were subject to verification. Where third parties’ costs are claimed under the contract, such costs shall be audited in accordance with the provisions of this Article.

The cost of this certification is an allowable cost under third party assistance.

20.2 Each contractor is free to choose any qualified external auditor, including its usual external auditor, provided that it meets the cumulative following professional requirements:

a) the external auditor must be independent from the contractor;

b) the external auditor must be qualified to carry out statutory audits of accounting documents in accordance with the Eighth Council Directive 84/253/EEC of 10 April 1984 or similar national regulations.

20.3 A contractor that is a public body may opt for a competent public officer to provide an audit certificate, provided that the relevant national authorities have established the legal capacity of that competent public officer to audit that public body.

Certification by external auditors pursuant to this Article does not diminish the liability of contractors under this contract nor the rights of the Community arising from Article 18 of this Annex.

Part C - Financial Statements

C1 Summary mid-term1 or final1 financial statement

for the periode from toProject Title:Contract No:

Total 0,00 0,00 0,00

Confirmed by the coordinator on behalf of the contractors as reasonable for the work under the contract.

Date: Date:Name: Name:Function: Function:Signature: Signature:

Name of participant2 Status3Total costs (national currency)

Total costs (in euro)

1 Please specify.2 Coordinator, contractors.3 Insert as appropriate: COO (coordinator); CR (contractor).4 If a participant does not submit a request for payment, insert "no statement" in the column "Remarks".

Commission contribution

(in euro)Remarks4

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C2 Coordinator/contractor’s mid-term1

toProject Title:Contract No:Name of coordinator/contractor:E-mail of person in charge of financial reporting:National currency in which accounts kept:Exchange rate for conversion to euro:2

1. Equipment3

2. Staff3. Operating costs3.1 Other operating costs (a-k)4 0,00 0,003.2 assistance from third parties (l)5 0,00 0,003.3 travel and subsistence costs (m)6 0,00 0,00

Indirect costs4. Overheads = 30% of (2) aboveAdjustments5. Adjustments to costs previously reported7

% contribution of the Commission:

2 The exchange rate must be that specified in Article 15.1 of Annex II of the RFCS model contract.3 Equipment must be depreciated - see Article 12.1 of Annex II and Article 11 of the RFCS model contract.

Contractor's Certificate

We certify that-

-

-

Date:

Name of Technical Manager:

Signature of Technical Manager: Signature of Financial Officer:

for the period from

Subtotal of direct costs

Direct costs0,000,00

0,00

such costs have been incurred and fall within the definition of allowable costs specified in thecontract;full supporting documentation to justify the costs is available for audit.

We certify that any necessary adjustments, for any reason, to costs reported in a previous request forpayments have been incorporated in the above statement.

7 Not applicable for the first request for payment. Any necessary adjustments, for example to reflect actual rates insteadof budgeted rates, must be made in subsequent statements. Details and reasons for any adjustments must be provided.

the above costs are derived from the resources employed, which were necessary for the workunder the contract;

Total

5 See Articles 3 and 12.3 (l) of Annex II of the RFCS model contract.

1 Please specify

Amount for the periodCategories of cost

0,00 0,00

0,00

or final1 financial statement

euroNational currency

1,0000 (Equal to 1 for euro)

0,00 0,00

0,00 0,00

0,00 0,00

0,00 0,00

4 See Article 12.3 (a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k) of Annex II of the RFCS model contract.

6 See Article 12.3 (m) of Annex II of the RFCS model contract.

Date:

Name of Financial Officer:

108

C2

for the period from toContract No:

Currency:

Utilisation period

(months)3

Depreciation period 36/60

months4

Cost of purchase

% Allocation to Project5

[A] [B] [C] [D]

Total

Total


[WH]

Number of working hours

3 Periods in months (during the reporting period) for which the equipment has been used for the project.

1 Please specify2 For allowable cost calucation see Article 12.1 of Annex II of the RFCS model contract.

4 Unless otherwise specified in Article 11 of the RFCS model contract.5 Percentage use of item of equipment of the project.

7 Where the reporting period is longer than one calendar year, please indicate the number of working hours and the corresponding hourly rate applicable for each calendar year.

6 The personnel rate comprises the elements specified in Article 12.2 of Annex II of the RFCS model contract.

[I]

0,000,000,000,00

[S/PT]6 7

Equipment2

Hourly rateStaff

Amount

or [AHR][II]

Name

Coordinator/contractor’s mid-term1

Name of coordinator/contractor:

Details by category (national currency)

Description Date of purchase

StaffAmount

[I] x [II]0,000,000,000,000,000,000,00

0,000,000,000,00

110

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

Total

Description (please insert rows where necessary)(a) raw materials (subtotal);

(b) minor items of regular consumption (subtotal);

(k) special examinations and tests (subtotal);Please specify detailsPlease specify details

Other operating costs8

(c) the use of consumable items (subtotal);

(d) energy (subtotal);

(e) the maintenance or repair of equipment (subtotal);Please specify details

Please specify details










(h) IT services (subtotal);




(g) the alteration and transformation of existing equipment (subtotal);

(f) the transportation of equipment or products (subtotal);






0,00

0,00

0,00

0,00

0,00

0,00

0,00

0,00

0,00

0,00


(i) rental of equipment (subtotal);

(j) miscellaneous analyses (subtotal);Please specify details

Amount

0,00

0,00

110

Total

Total

9 See Article 12.3 (l) of Annex II of the RFCS model contract.10 Please specify, where applicable, name of subcontractor or type of cost arising directly from requirements imposed by the contract.

Date Location

12 See Article 12.3 (m) of Annex II of the RFCS model contract.

11 See article 3 of Annex II of the RFCS model contract.

DescriptionTravel and subsistence12

Third party assistance9

Subcontractor10 Date of acceptance of third party by the Commission11

Amount

0,000,000,00

Amount0,000,000,00

110

C3 Subcontractors’s mid-term1

Project Title:Contract No:Name of coordinator/contractor:E-mail of person in charge of financial reporting:National currency in which accounts kept:Exchange rate for conversion to euro:2 (Equal to 1 for euro)

1. Equipment3

2. Staff3. Operating costs (a-k)4

Indirect costs4. Overheads = 30% of (2) aboveAdjustments5. Adjustments to costs previously reported5

% contribution of the Commission:

2 The exchange rate must be that specified in Article 15.1 of Annex II of the RFCS model contract.3 Equipment must be depreciated - see Article 12.1 of Annex II and Article 11 of the RFCS model contract.

Subcontractor's Certificate

We certify that-

-

-

Date:

Name of Technical Manager:

Signature of Technical Manager: Signature of Financial Officer:

Date:

Name of Financial Officer:


0,00 0,00

0,00 0,00

0,00

0,00 0,00


to

euroNational currency

1,0000

Total

1 Please specify

Amount for the periodCategories of cost

0,000,00

0,000,00

such costs have been incurred and fall within the definition of allowable costs specified in thecontract;full supporting documentation to justify the costs is available for audit.

We certify that any necessary adjustments, for any reason, to costs reported in a previous request forpayments have been incorporated in the above statement.

5 Not applicable for the first request for payment. Any necessary adjustments, for example to reflect actual rates instead ofbudgeted rates, must be made in subsequent statements. Details and reasons for any adjustments must be provided.

the above costs are derived from the resources employed, which were necessary for the work underthe contract;

for the period from


Direct costs0,000,00

0,00

112

C3 Subcontractor’s mid-term1 or final1 financial statement

for the period from toContract No:

Currency:

Utilisation period

(months)3

Depreciation period 36/60

months4

Cost of purchase

% Allocation to Project5

[A] [B] [C] [D]

Total

0,00

Total

3 Periods in months (during the reporting period) for which the equipment has been used for the project.

1 Please specify2 For allowable cost calucation see Article 12.1 of Annex II of the RFCS model contract.

Number of working hours

Name of coordinator/contractor:

Staff

[II]

Hourly rate

[S/PT]6 7

or [AHR]

Details by category (national currency)

[I]

Description Date of purchase

Name of subcontractor:

Name

[WH]

Equipment2

Amount

StaffAmount

0,00

7 Where the reporting period is longer than one calendar year, please indicate the number of working hours and the corresponding hourly rate applicable for each calendar year.

6 See Article 12.2 of Annex II of the RFCS model contract.

4 Unless otherwise specified in Article 11 of the RFCS model contract.5 Percentage use of item of equipment of the project.

[I] x [II]0,000,000,00

0,000,000,00

0,000,000,000,000,000,000,00

113

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

0,000,00

Total



(g) the alteration and transformation of existing equipment (subtotal);Please specify detailsPlease specify details(h) IT services (subtotal);

(i) rental of equipment (subtotal);Please specify detailsPlease specify details(j) miscellaneous analyses (subtotal);

Other operating costs8

Description (please insert rows where necessary) Amount

Please specify detailsPlease specify details

(a) raw materials (subtotal);Please specify detailsPlease specify details(b) minor items of regular consumption (subtotal);Please specify detailsPlease specify details

Please specify details(k) special examinations and tests (subtotal);Please specify detailsPlease specify details

(c) the use of consumable items (subtotal);Please specify detailsPlease specify details(d) energy (subtotal);Please specify details

(f) the transportation of equipment or products (subtotal);Please specify detailsPlease specify details

Please specify details(e) the maintenance or repair of equipment (subtotal);Please specify detailsPlease specify details

0,00

0,00

0,00

0,00

0,00

0,00

0,00

0,00

0,00

0,00

0,00

0,00

113

C4Project title: Contract No:

Project closing date:Project start date:Final financial statement exchange rate for conversion to euro: 1

1. Equipment2. Staff • Own resources3. Operating costs(a) raw materials; 0,00(b) minor items of regular

consumption;0,00

(c) the use of consumable items; 0,00(d) energy; 0,00 • Other resources(e) the maintenance or repair of

equipment;0,00

(f) the transportation of equipment or

products;

0,00

(g) the alteration and transformation

of existing equipment

0,00

(h) IT services; 0,00(i) rental of equipment; 0,00(j) miscellaneous analyses; 0,00(k) special examinations and tests; 0,00(l) assistance from third parties 0,00(m) travel and subsistence costs; 0,00

Indirect costs4. Overheads = 30% of (2) above. • % EU Contribution

0,000,00

1 Where applicable, please indicate the exchange rate using the following format: GDP/EUR = 0,690350.


Date: Date:

Name: Name:

Function: Function:

Signature: Signature:

Profit: (II - I):Total cost: (I) Total revenue: (II)

Subtotal of direct costs 0,00

0,000,00

According to Article 5 of the RFCS model contract, the final reporting period lasts from the start up date until the closing date. According to Article 15.1 of Annex II of the RFCS model contract, cost incurred in currencies other than the euro shall be reported in euro on the basis of the rate applicable on the first day of the month following the end of the reporting period. The conversion rate used shall be indicated in the financial statements when reporting costs incurred.2 As referred to in Article 16.4 of Annex II of the RFCS model contract.3 As referred to in Article 15.3 of Annex II of the RFCS model contract.

0,000,00

Full summary of all receipts and expenditure of the project (euro)

• Transfers from third parties• Income generated by the project 2

• Interest or equivalent benefits 3

Categories of cost

Direct costs

Categories of revenueeuro euro

0,00

115

C5Project title: Contract No:

Project closing date:Project start date:

1. Equipment2. Staff • Own resources3. Operating costs(a) raw materials; 0,00(b) minor items of regular 0,00(c) the use of consumable items; 0,00(d) energy; 0,00 • Other resources(e) the maintenance or repair of

equipment;0,00


0,00

(g) the alteration and transformation of existing equipment

0,00

(h) IT services; 0,00(i) rental of equipment; 0,00(j) miscellaneous analyses; 0,00(k) special examinations and tests; 0,00(l) assistance from third parties 0,00(m) travel and subsistence costs; 0,00

Indirect costs4. Overheads = 30% of (2) above. • % EU Contribution

0,000,00

1 Where applicable, please indicate the exchange rate using the following format: GDP/EUR = 0,690350.


Date: Date:

Name: Name:

Function: Function:

Signature: Signature:

Full summary of participant receipts and expenditure of the project (euro)

Final financial statement exchange rate for conversion to euro:1

• Transfers from third parties• Income generated by the project 2

• Interest or equivalent benefits 3

Categories of cost

Direct costs

Categories of revenueeuro euro

Profit: (II - I):Total cost: (I) Total revenue: (II)

According to Article 5 of the RFCS model contract, the final reporting period last from the start up date until the closing date. According to Article 15.1 of Annex II of the RFCS model contract, cost incurred in currencies other than the euro shall be reported in euro on the basis of the rate applicable on the first day of the month following the end of the reporting period. The conversion rate used shall be indicated in the financial statements when reporting costs incurred. 2 As referred to in Article 16.4 of Annex II of the RFCS model contract.3 As referred to in Article 15.3 of Annex II of the RFCS model contract.


0,000,00

0,000,000,00

0,00

116

117

ANNEX III

Scientific and technical documents

Within a reasonable timetable laid down by the coordinator, the contractors shall submit to the latter all the necessary scientific reports or technical information concerning their work, which the coordinator needs to provide the Commission with the reports that it requires.

As part of the project carried out by the contractors under this contract, the coordinator shall produce and forward the following documents to the Commission and its appointed experts, as set out below. The contractors agree to participate in a reasonable number of meetings to present and discuss the reports with the Commission and its appointed experts.

The layout and format of the reports, including reports for publication, shall conform to the rules communicated by the Commission.

Article 1 - Six-monthly reports

Six-monthly reports cover the results obtained during each six-month period, except for the last six-month period preceding the submission of the mid-term technical implementation and the final report. They shall give a concise description of the work carried out and the results obtained and shall include all necessary managerial information and the planning of future research activities. A detailed six-monthly report including an overview of all the results obtained in the project may be requested by the Commission, where appropriate, for presentation to the relevant Technical Group.

Article 2 - Mid-term technical implementation report

The mid-term technical implementation report shall present full details of the work carried out and the results obtained during the first reporting period as referred to in Article 5, as well as a discussion of the results and conclusions.

It shall contain all necessary managerial information and the planning of the activities for the next years, and shall also include results already presented in all previous six-monthly reports.

However, the results obtained during this period shall also be incorporated in the final report as referred to in Article 3 of this Annex.

Article 3 - Final report

The final report, including a summary, shall give a detailed description of the work carried out and of the results obtained during the entire duration of the project. It shall draw particular attention to any new knowledge gained through the project and comprise a Plan for using and disseminating the knowledge.

Article 4 - Publishable report

Not later than three months after the approval of the final report, the coordinator shall forward to the Commission a publishable version of the final report, for publication via any suitable media.

For pilot and demonstration projects the publishable version of the report can be a synthesis of the final report approved.

The publishable report shall be submitted in a suitable electronic format conforming to the rules of publishing communicated by the Commission.

118

Article 5 - Other publications

The results of work carried out within the frame of the project, or any part thereof that constitutes a coherent whole, may be presented or published. The author of the publication shall obtain the prior written approval of all contractors regarding the text to be published. The coordinator shall forward the text to the Commission prior to its presentation or publication. The text shall include the phrase "work carried out with a financial grant from the Research Fund for Coal and Steel of the European Community”.

Article 6 - Dissemination of scientific and technical results

With due regard to Article 3 of Annex IV, the Commission shall ensure that the results, either upon the closing date of or during the project, are presented or published via any suitable media in order to make them available to interested parties in the European Union.

Contractors are required to provide all reasonable assistance regarding the scientific and technical aspects of any such presentation or publication and, in particular, shall make available the specialists and research officers concerned to act as presenters and/or rapporteurs. Contractors shall keep all relevant documents produced during the research work at the disposal of interested parties in the European Union for five years, having due regard where necessary to any rights regarding patents and know-how.

Article 7 - Protection of knowledge

The contractors concerned shall inform the Commission of all measures taken to ensure adequate and effective protection of knowledge.

Details of any such protection sought or obtained shall be included in the Plan for Using and Disseminating of Knowledge.

Article 8 - Publicity

8.1 Unless the Commission requests otherwise, any communication or publication by the contractors concerning the project, including at a conference or seminar, shall indicate that the project has received funding from the Research Fund for Coal and Steel of the European Community.

Any communication or publication by the contractors, in any form and medium, shall indicate that sole responsibility lies with the author and that the Commission is not responsible for any use that may be made of the information contained therein.

8.2 The contractors authorise the Commission to publish the following information in any form and medium, including via the Internet:

- the contractors name and address,

- the subject and purpose of the grant, including, where appropriate, a summary,

- the amount granted and the proportion of the project’s total cost covered by the funding.

Upon a reasoned and duly substantiated request by the contractors, the Commission may agree to forgo such publicity if disclosure of the information indicated above would risk compromising the contractors' security or prejudicing their commercial interests.

119

Article 9 - Evaluation

Whenever the Commission carries out an interim or final evaluation of the project’s impact measured against the objectives of the Community programme concerned, the contractors undertake to make available to the Commission and/or persons authorised by it all such documents or information as will allow the evaluation to be successfully completed and to give them the rights of access specified in Article 18 of Annex II.

120

121

ANNEX IV

Intellectual property rights

Article 1 - Ownership of knowledge

1.1 Knowledge shall be the property of the contractor carrying out the work leading to that knowledge.

1.2 Where several contractors have jointly carried out work generating the knowledge and where their respective share of the work cannot be ascertained, they shall have joint ownership of such knowledge. The contractors concerned shall agree amongst themselves on the allocation and terms of exercising ownership of that knowledge, in accordance with the provisions of this contract.

1.3 If personnel working for a contractor are entitled to claim rights to knowledge, the contractor shall take steps or reach appropriate agreements to ensure that these rights can be exercised in a manner compatible with its obligations under this contract.

1.4 Where a contractor transfers ownership of knowledge, it shall take steps or conclude agreements to pass on to the assignee its obligations under this contract, in particular regarding the granting of access rights, dissemination and use of the knowledge. As long as the contractor is required to grant access rights, it shall give prior notice of at least 60 days to the Commission and the other contractors of the planned assignment and the name and address of the assignee.

1.5 The Commission or the other contractors may object within 30 days of notification to such a transfer of ownership. The Commission may object to transfer of ownership to third parties, in particular to those not established in a Member State, where such a transfer is not in accordance with the interests of developing the competitiveness of a dynamic, knowledge-based European economy or is inconsistent with ethical principles. The other contractors may object to any transfer of ownership where such transfer would adversely affect their access rights.

Article 2 - Protection of knowledge

2.1 Where knowledge is capable of industrial or commercial application, its owner shall provide for adequate and effective protection, in conformity with relevant legal provisions, including this contract, and having due regard to the legitimate interests of the contractors concerned. Details of any such protection sought or obtained shall be included in the plan for using and disseminating the knowledge.

2.2 Where a contractor does not intend to protect its knowledge in a specific country, it shall inform the Commission. Where a contractor intends to waive the protection of its knowledge, the Commission shall be informed at least 45 days prior to the corresponding deadline. In such a case, and where the Commission considers it necessary to protect such knowledge in a particular country, it may, with the agreement of the contractor concerned, adopt measures to protect the knowledge. In this event, and as far as that particular country is concerned, the Community shall take on the obligations regarding the granting of access rights in the place of the contractor. The contractor may only refuse if it can demonstrate that its legitimate interests will be significantly impaired.

122

2.3 A contractor may publish or allow the publication of data, on whatever medium, concerning knowledge it owns provided that this does not affect the protection of that knowledge. The Commission and the other contractors shall be given 30 days' prior written notice of any planned publication. If, before the end of this period, the Commission and/or the other contractors so request, a copy of this data shall be communicated to them within 30 days of receipt of such notice. The Commission and the other contractors may object to the publication within 30 days of receipt of the data due to be published where they consider that the protection of their knowledge would be adversely affected by this publication. The planned publication shall be suspended until the end of this consultation period. In the absence of any objection within the above-mentioned period, the Commission and the other contractors shall be deemed to agree.

Article 3 - Use and dissemination

3.1 The contractors shall use or cause to be used the knowledge arising from the project, which they own, in accordance with their interests. The contractors shall set out the terms of use in a detailed and verifiable manner, in particular in the plan for using and disseminating the knowledge, and in accordance with the provisions of this contract.

3.2 Where dissemination of knowledge would not adversely affect its protection or its use, the contractors shall ensure that it is disseminated within a period of two years after the end of the project. Should the contractors fail to do so, the Commission may disseminate the knowledge. In so doing, the Commission and the contractors shall take particular account of the following factors:

a) the need to safeguard intellectual property rights;

b) the benefits of swift dissemination, for example in order to avoid duplication of research efforts and to create synergies between projects;

c) confidentiality;

d) the legitimate interests of the contractors.

Article 4 - Access rights

4.1 The general principles relating to access rights are the following:

a) Access rights shall be granted to any of the other contractors upon written request. The granting of access rights may be made conditional on the conclusion of specific agreements aimed at ensuring that they are used only for the intended purpose, and of appropriate undertakings as to confidentiality. Contractors may also conclude agreements with the purpose, in particular, of granting additional or more favourable access rights, including access rights to third parties, in particular to enterprises associated with the contractor(s), or specifying the requirements applicable to access rights, but not restricting the latter. Any agreement providing for access rights to contractors and/or third parties must ensure that the potential access rights for other contractors are maintained. Such agreements shall comply with the applicable competition rules.

b) The Commission may object to the grant of access rights to third parties, in particular to those not established in a Member State, where such grant is not in accordance with the interests of developing the competitiveness of a dynamic, knowledge-based

123

European economy, or is inconsistent with ethical principles. Contractors shall ensure that where any potential grant of access rights to knowledge may not be in accordance with these interests, the Commission shall be given 30 days' prior written notice of plans to provide such access rights to third parties.

c) Access rights to pre-existing know-how shall be granted provided that the contractor concerned is free to grant them.

d) A contractor may explicitly exclude specific pre-existing know-how from its obligation to grant access rights, by means of a written agreement between the contractors established before the contractor concerned signs the contract or before a new contractor joins the project. The other contractors may only withhold their agreement if they demonstrate that the implementation of the project or their legitimate interests will be significantly impaired thereby.

e) Except where the contractor granting access rights so agrees, such rights shall confer no entitlement to grant sub-licences.

4.2 The access rights for implementation of the project are the following:

a) Contractors shall enjoy access rights to the knowledge and to the pre-existing know-how, if that knowledge or pre-existing know-how is needed to carry out their own work under that project. Access rights to knowledge shall be granted on a royalty-free basis. Access rights to pre-existing know-how shall be granted on a royalty-free basis, unless otherwise agreed before signature of the contract.

b) Subject to its legitimate interests, the termination of the participation of a contractor shall in no way affect its obligation to grant access rights pursuant to the previous paragraph to the other contractors until the end of the project.

4.3 The access rights for use of knowledge are the following:

a) Contractors shall enjoy access rights to knowledge and to the pre-existing know-how, if that knowledge or pre-existing know-how is needed to use their own knowledge. Access rights to knowledge shall be granted on a royalty-free basis, unless otherwise agreed before signature of the contract. Access rights to pre-existing know-how shall be granted under fair and non-discriminatory conditions to be agreed.

b) Subject to the contractors’ legitimate interests, access rights may be requested under the conditions laid down in the previous paragraph until two years after the end of the project or after the termination of the participation of a contractor, whichever falls earlier, unless the contractors concerned agree on a longer period.

Article 5 - Incompatible or restrictive commitments

Contractors shall be informed as soon as possible by the contractor required to grant access rights of any limitations to the granting of access rights or of any restriction which might substantially affect the granting of access rights, as the case may be.

ANNEX VII

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127

ANNEX VII


MODEL CONTRACT

TYPE 1 - Information Exchange and Dissemination Activities

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129

EUROPEAN COMMISSION RESEARCH DIRECTORATE-GENERAL Version 001 of 30.01.2004 Directorate K - Energy Research Fund for Coal and Steel

AGREEMENT NUMBER - […]1

The European Community (“the Community”), represented by the Commission of the European Communities (“the Commission”), itself represented for the purposes of signature of this agreement by Mr Raffaele LIBERALI, Director, DG Research K of the one part, and [full official name] [official legal form]2 [official registration No]3 [official address in full] [VAT number], (“the beneficiary”), represented for the purposes of signature of this agreement by [name, forename and function] of the other part,

HAVE AGREED

the Special Conditions, General Conditions and Annexes below: Annex I Description of the action Annex II Estimated budget of the action which form an integral part of this agreement ("the agreement"). The terms set out in the Special Conditions shall take precedence over those in the other parts of the agreement. The terms of the General Conditions shall take precedence over those in the Annexes.

1 [Plain text]: items to be filled in. [Text in italics]: these items are optional and may be deleted depending on the context of the grant. 2 Delete if the beneficiary is a natural person or a public-sector body. 3 Delete if the beneficiary is a public-sector body. (For natural persons, also indicate the number of their identity

card or, failing that, of their passport or equivalent.)

Version of 25.05.2004

130

I - SPECIAL CONDITIONS

ARTICLE I.1 - PURPOSE OF THE GRANT I.1.1 The Commission has decided to award a grant, under the terms and conditions set out

in the Special Conditions, the General Conditions and the Annexes to the agreement, which the beneficiary hereby declares that he has taken note of and accepts, for the action entitled […] ("the action").

I.1.2 The beneficiary accepts the grant and undertakes to do everything in his power to carry

out the action as described in Annex I, acting on his own responsibility. ARTICLE I.2 - DURATION I.2.1 The agreement shall enter into force on the date when the last of the two parties signs. I.2.2 The action shall run for [...] [months/days] from [insert date] (“the starting date of the

action”).4 ARTICLE I.3 - FINANCING THE ACTION I.3.1 The total cost of the action is estimated at EUR […], as shown in the estimated budget

in Annex II. The estimated budget shall give a detailed breakdown of the costs that are eligible for Community funding under the terms of Article II.14, of any other costs that the action may entail, and of all receipts, so that receipts and costs balance.

I.3.2 The total eligible costs of the action for which the Community grant is awarded are

estimated at EUR […], as shown in the estimated budget in Annex II. [Indirect costs are eligible for flat-rate funding of 30% of the costs of staff subject to the conditions laid down in Article II.14.3.]

I.3.3 The Commission shall contribute a maximum of EUR […], equivalent to […]% of the

estimated total eligible costs indicated in paragraph 2. The final amount of the grant shall be determined as specified in Article II.17, without prejudice to Article II.19.

The Community grant may not finance the entire costs of the action. The amounts and sources of co financing other than from Community funds shall be set out in the estimated budget referred to in paragraph 1.

I.3.4 By way of derogation from Article II.13, the beneficiary may, when carrying out the

action, adjust the estimated budget by transfers between items of eligible costs, provided that this adjustment of expenditure does not affect implementation of the action and the transfer between items does not exceed 10% of the amount of each item of estimated eligible costs for which the transfer is intended, and without exceeding the total eligible costs indicated in paragraph 2. He shall inform the Commission in writing.

4 In accordance with Article 112 of the Financial Regulation, a grant may be awarded for an action which has

already begun only where the applicant can demonstrate the need to start the action before the agreement is signed. In such cases, expenditure eligible for financing may not have been incurred prior to the date of submission of the grant application, save in duly substantiated exceptional cases (as provided for in the basic act, or aid for crisis situations and humanitarian aid operations).


131

ARTICLE I.4 - PAYMENT ARRANGEMENTS The request for payment shall be accompanied by the final technical implementation report and financial statement specified in Article II.15. The Commission shall have 455 days to approve or reject the final technical implementation report or to request additional supporting documents or information under the procedure laid down in Article II.15. In that case, the beneficiary shall have 306 days to submit the additional information or a new report. A payment representing the grant determined in accordance with Article II.17 shall be made to the beneficiary within 45 days following approval by the Commission of the technical implementation report accompanying the request for payment. The Commission may suspend the period for payment in accordance with the procedure in Article II.16.2. ARTICLE I.5 - SUBMISSION OF REPORTS AND OTHER DOCUMENTS7 The final technical implementation report and financial statement must be submitted in one copy in [English] within 3 months following the closing date of the action specified in Article I.2.2. ARTICLE I.6 - BANK ACCOUNT Payment shall be made to the beneficiary's bank account or sub-account denominated in euro,8 as indicated below:9

Name of bank: […] Address of branch: […]

Precise denomination of the account holder: […] Full account number (including bank codes): […]


This account or sub-account must identify the payment made by the Commission.

5 No more than 45 days under the implementing rules. 6 Recommended: note more than 30 days. 7 Choose one or other of the options in this article, according to whether the necessary information regarding the

form and content of the reports is given in the annexes or not. 8 Except in the case of bank accounts in countries that do not accept euro transactions. 9 As shown by the account identification document issued or certified by the bank concerned. 10 BIC code for countries where the IBAN code does not apply.


132

ARTICLE I. 7 - GENERAL ADMINISTRATIVE PROVISIONS Any communication in connection with this agreement shall be in writing, indicating the number of the agreement, and shall be sent to the following addresses:

For the Commission: European Commission Directorate-General Research Directorate Energy Unit Research Fund for Coal and Steel B-1049 Brussels

Ordinary mail shall be considered to have been received by the Commission on the date on which it is formally registered by the Commission unit responsible referred to above.

For the Beneficiary: Mr/Ms (…) [Function] [Official denomination] [Full official address]

ARTICLE I.8 - LAW APPLICABLE AND COMPETENT COURT The grant is governed by the terms of the agreement, the Community rules applicable and, on a subsidiary basis, by the law of Belgium. The beneficiary may bring legal proceedings regarding decisions by the Commission concerning the application of the provisions of the agreement and the arrangements for implementing it, before the Court of First Instance of the European Communities and, in the event of appeal, the Court of Justice of the European Communities.


133

II -GENERAL CONDITIONS

PART A: LEGAL AND ADMINISTRATIVE PROVISIONS ARTICLE II.1 - LIABILITY II.1.1 The beneficiary shall have sole responsibility for complying with any legal obligations

incumbent on him. II.1.2 The Commission shall not, in any circumstances or on any grounds, be held liable in

the event of a claim under the agreement relating to any damage caused during the action's execution. Consequently, the Commission will not entertain any request for indemnity or reimbursement accompanying any such claim.

II.1.3 Except in cases of force majeure, the beneficiary shall make good any damage

sustained by the Commission as a result of the execution or faulty execution of the action.

II.1.4 The beneficiary shall bear sole liability vis-à-vis third parties, including for damage of

any kind sustained by them while the action is being carried out. ARTICLE II.2 - CONFLICT OF INTERESTS The beneficiary undertakes to take all the necessary measures to prevent any risk of conflicts of interests which could affect the impartial and objective performance of the agreement. Such conflict of interests could arise in particular as a result of economic interest, political or national affinity, family or emotional reasons, or any other shared interest. Any situation constituting or likely to lead to a conflict of interests during the performance of the agreement must be brought to the attention of the Commission, in writing, without delay. The beneficiary shall undertake to take whatever steps are necessary to rectify this situation immediately. The Commission reserves the right to check that the measures taken are appropriate and may demand that the beneficiary take additional measures, if necessary, within a certain time. ARTICLE II.3 - OWNERSHIP/USE OF THE RESULTS II.3.1 Unless stipulated otherwise in this agreement, ownership of the results of the action,

including industrial and intellectual property rights, and of the reports and other documents relating to it shall be vested in the beneficiary.

II.3.2 Without prejudice to paragraph 1, the beneficiary grants the Commission the right to

make free use of the results of the action as it deems fit, provided it does not thereby breach its confidentiality obligations or existing industrial and intellectual property rights.

ARTICLE II.4 - CONFIDENTIALITY The Commission and the beneficiary undertake to preserve the confidentiality of any document, information or other material directly related to the subject of the agreement that is duly classed as confidential, if disclosure could cause prejudice to the other party. The parties shall remain bound by this obligation beyond the closing date of the action.


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ARTICLE II.5 - PUBLICITY II.5.1 Unless the Commission requests otherwise, any communication or publication by the

beneficiary about the action, including at a conference or seminar, shall indicate that the action has received funding from the Research Fund for Coal and Steel of the European Community.

Any communication or publication by the beneficiary, in any form and medium, shall indicate that sole responsibility lies with the author and that the Commission is not responsible for any use that may be made of the information contained therein.

II.5.2 The beneficiary authorises the Commission to publish the following information in any

form and medium, including via the Internet: - the beneficiary's name and the address, - the subject and purpose of the grant, - the amount granted and the proportion of the action's total cost covered by the

funding. Upon a reasoned and duly substantiated request by the beneficiary, the Commission may agree to forgo such publicity if disclosure of the information indicated above would risk compromising the beneficiary's security or prejudicing his commercial interests.

ARTICLE II.6 - EVALUATION Whenever the Commission carries out an interim or final evaluation of the action's impact measured against the objectives of the Community programme concerned, the beneficiary undertakes to make available to the Commission and/or persons authorised by it all such documents or information as will allow the evaluation to be successfully completed and to give them the rights of access specified in Article II.19. ARTICLE II.7 - SUSPENSION II.7.1 The beneficiary may suspend implementation of the action if exceptional circumstances

make this impossible or excessively difficult, notably in the event of force majeure. He shall inform the Commission without delay, giving all the necessary reasons and details and the foreseeable date of resumption.

II.7.2 If the Commission does not terminate the agreement under Article II.11.2, the

beneficiary shall resume implementation once circumstances allow and shall inform the Commission accordingly. The duration of the action shall be extended by a period equivalent to the length of the suspension. In accordance with Article II.13, a supplementary written agreement shall be concluded to extend the duration of the action and to make any amendments that may be necessary to adapt the action to the new implementing conditions.


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ARTICLE II.8 - FORCE MAJEURE II.8.1 Force majeure shall mean any unforeseeable exceptional situation or event beyond the

parties' control which prevents either of them from fulfilling any of their obligations under this agreement, was not attributable to error or negligence on their part, and proves insurmountable in spite of all due diligence. Defects in equipment or material or delays in making them available (unless due to force majeure), labour disputes, strikes or financial difficulties cannot be invoked as force majeure by the defaulting party.

II.8.2 A party faced with force majeure shall inform the other party without delay by

registered letter with advice of delivery or equivalent, stating the nature, probable duration and foreseeable effects.

II.8.3 Neither of the parties shall be held in breach of their obligations under the agreement if

they are prevented from fulfilling them by force majeure. The parties shall make every effort to minimise any damage due to force majeure.

II.8.4 The action may be suspended in accordance with Article II.7. ARTICLE II.9 - AWARD OF CONTRACTS II.9.1 If the beneficiary has to conclude contracts in order to carry out the action and they

constitute costs of the action under an item of eligible direct costs in the estimated budget, he shall seek competitive tenders from potential contractors and award the contract to the bid offering best value for money; in doing so he shall observe the principles of transparency and equal treatment of potential contractors and shall take care to avoid any conflict of interests.

II.9.2 Contracts as referred to in paragraph 1 may be awarded only in the following cases:

(a) they may only cover the execution of a limited part of the action; (b) recourse to the award of contracts must be justified having regard to the nature of

the action and what is necessary for its implementation; (c) the tasks concerned must be set out in Annex I and the corresponding estimated

costs must be set out in detail in the budget in Annex II; (d) any recourse to the award of contracts while the action is under way, if not

provided for in the initial grant application, shall be subject to prior written authorisation by the Commission;

(e) the beneficiary shall retain sole responsibility for carrying out the action and for compliance with the provisions of the agreement. The beneficiary must undertake to make the necessary arrangements to ensure that the winner of the contract waives all rights in respect of the Commission under the agreement;

(f) the beneficiary must undertake to ensure that the conditions applicable to him under Articles II.1, II.2, II.3, II.4, II.5, II.6, II.10 and II.19 of the agreement are also applicable to the winner of the contract.

ARTICLE II.10 - ASSIGNMENT Claims against the Commission may not be transferred.


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In exceptional circumstances, where the situation warrants it, the Commission may authorise the assignment to a third party of the agreement and payment flowing from it following a written request to that effect, giving reasons, from the beneficiary. If the Commission agrees, it must make its agreement known in writing before the proposed assignment takes place. In the absence of the above authorisation, or in the event of failure to observe the terms thereof, the assignment shall not be enforceable against and shall have no effect on the Commission. In no circumstances shall such an assignment release the beneficiary from his obligations to the Commission. ARTICLE II.11 – TERMINATION OF THE AGREEMENT II.11.1 Termination by the beneficiary

In duly justified cases, the beneficiary may withdraw his request for a grant and terminate the agreement at any time by giving 60 days' written notice stating the reasons, without being required to furnish any indemnity on this account. If no reasons are given or if the Commission does not accept the reasons, the beneficiary shall be deemed to have terminated this agreement improperly, with the consequences set out in the third subparagraph of paragraph 4.

II.11.2 Termination by the Commission

The Commission may decide to terminate the agreement, without any indemnity on its part, in the following circumstances: (a) in the event of a legal, financial, technical, organisational or auditing change in

the beneficiary's situation that is liable to affect the agreement substantially or to call into question the decision to award the grant;

(b) if the beneficiary fails to fulfil a substantial obligation incumbent on him under the terms of the agreement, including its annexes;

(c) in the event of force majeure, notified in accordance with Article II.8, or if the action has been suspended as a result of exceptional circumstances, notified in accordance with Article II.7;

(d) if the beneficiary is declared bankrupt, being wound up or is the subject of any other similar proceedings;

(e) if the beneficiary is found guilty of an offence involving his professional conduct by a judgment having the force of res judicata or if he is guilty of grave professional misconduct proven by any justified means;

(f) if the beneficiary is guilty of misrepresentation or submits reports inconsistent with reality to obtain the grant provided for in the agreement;

(g) if the beneficiary has intentionally or by negligence committed a substantial irregularity in performing the agreement or in the event of fraud, corruption or any other illegal activity on the part of the beneficiary to the detriment of the European Communities' financial interests. A substantial irregularity consists of any infringement of a provision of an agreement or regulation resulting from an act or an omission on the part of the beneficiary which causes or might cause a loss to the Community budget.

II.11.3 Termination procedure

The procedure is initiated by registered letter with advice of delivery or equivalent.


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In the cases referred to in points (a), (b) and (d) of paragraph 2, the beneficiary shall have 30 days to submit his observations and take any measures necessary to ensure continued fulfilment of his obligations under the agreement. If the Commission fails to confirm acceptance of these observations by giving written approval within 30 days of receiving them, the procedure shall continue to run. Where notice is given, termination shall take effect at the end of the period of notice, which shall start to run from the date when notification of the Commission’s decision to terminate the agreement is received. If notice is not given in the cases referred to in points (c), (e), (f) and (g) of paragraph 2, termination shall take effect from the day following the date on which notification of the Commission’s decision to terminate the agreement is received.

II.11.4 Effects of termination

In the event of termination, payment by the Commission shall be limited to the eligible costs actually incurred by the beneficiary up to the date when termination takes effect, in accordance with Article II.17. Costs relating to current commitments that are not due to be executed until after termination shall not be taken into account. The beneficiary shall have 60 days from the date when termination takes effect, as notified by the Commission, to produce a request for payment in accordance with Article II.15. If no request for payment is received within this time limit, the Commission shall not reimburse the expenditure incurred by the beneficiary up to the date of termination and it shall recover any amount if its use is not substantiated by the technical implementation reports and financial statements approved by the Commission. By way of exception, at the end of the period of notice referred to in paragraph 3, where the Commission is terminating the agreement on the grounds that the beneficiary has failed to produce the final technical implementation report and financial statement within the deadline stipulated in Article I.5 and the beneficiary has still not complied with this obligation within two months following the written reminder sent by the Commission by registered letter with advice of delivery or equivalent, the Commission shall not reimburse the expenditure incurred by the beneficiary up to the date on which the action ended and it shall recover any amount if its use is not substantiated by the technical implementation reports and financial statements approved by the Commission.

By way of exception, in the event of improper termination by the beneficiary or termination by the Commission on the grounds set out in points (e), (f) or (g) of paragraph 2, the Commission may require the partial or total repayment of sums already paid under the agreement on the basis of technical implementation reports and financial statements approved by the Commission, in proportion to the gravity of the failings in question and after allowing the beneficiary to submit his observations.

ARTICLE II.12 - FINANCIAL PENALTIES By virtue of the Financial Regulation applicable to the general budget of the European Communities, any beneficiary declared to be in grave breach of his obligations shall be liable to financial penalties of between 2% and 10% of the value of the grant in question, with due regard for the principle of proportionality. This rate may be increased to between 4% and 20% in the


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event of a repeated breach in the five years following the first. The beneficiary shall be notified in writing of any decision by the Commission to apply such financial sanctions. ARTICLE II.13 - SUPPLEMENTARY AGREEMENTS II.13.1 Any amendment to the grant conditions must be the subject of a written supplementary

agreement. No oral agreement may bind the Parties to this effect. II.13.2 The supplementary agreement may not have the purpose or the effect of making

changes to the agreement which might call into question the decision awarding the grant or result in unequal treatment of applicants.

II.13.3 If the request for amendment is made by the beneficiary, he must send it to the

Commission in good time before it is due to take effect and at all events one month before the closing date of the action, except in cases duly substantiated by the beneficiary and accepted by the Commission.


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PART B - FINANCIAL PROVISIONS

ARTICLE II.14 - ELIGIBLE COSTS II.14.1 To be considered as eligible costs of the action, costs must satisfy the following general

criteria: - they must be connected with the subject of the agreement and they must be provided

for in the estimated budget annexed to it; - they must be necessary for performance of the action covered by the agreement; - they must be reasonable and justified and they must accord with the principles of

sound financial management, in particular in terms of value for money and cost-effectiveness;

- they must be generated during the lifetime of the action as specified in Article I.2.2 of the agreement;

- they must be actually incurred by the beneficiary, be recorded in his accounts in accordance with the applicable accounting principles, and be declared in accordance with the requirements of the applicable tax and social legislation;

- they must be identifiable and verifiable.

The beneficiary’s internal accounting and auditing procedures must permit direct reconciliation of the costs and revenue declared in respect of the action with the corresponding accounting statements and supporting documents.

II.14.2 The eligible direct costs for the action are those costs which, with due regard for the

conditions of eligibility set out in Article II.14.1, are identifiable as specific costs directly linked to performance of the action and which can therefore be booked to it direct. In particular, the following direct costs are eligible provided that they satisfy the criteria set out in the previous paragraph: - the cost of staff assigned to the action, comprising actual salaries plus social security

charges and other statutory costs included in the remuneration, provided that this does not exceed the average rates corresponding to the beneficiary's usual policy on remuneration;

- travel and subsistence allowances for staff taking part in the action, provided that they are in line with the beneficiary's usual practices on travel costs or do not exceed the scales approved annually by the Commission;

- the purchase cost of equipment (new or second-hand), provided that it is written off in accordance with the tax and accounting rules applicable to the beneficiary and generally accepted for items of the same kind. Only the portion of the equipment's depreciation corresponding to the duration of the action and the rate of actual use for the purposes of the action may be taken into account by the Commission, except where the nature and/or the context of its use justifies different treatment by the Commission;

- costs of consumables and supplies, provided that they are identifiable and assigned to the action;

- costs entailed by other contracts awarded by the beneficiary for the purposes of carrying out the action, provided that the conditions laid down in Article II.9 are met;

- costs arising directly from requirements imposed by the agreement (dissemination of information, specific evaluation of the action, audits, translations, reproduction, etc.), including the costs of any financial services (especially the cost of financial guarantees);


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II.14.3 The eligible indirect costs for the action are those costs which, with due regard for the conditions of eligibility described in Article II.14.1, are not identifiable as specific costs directly linked to performance of the action which can be booked to it direct, but which can be identified and justified by the beneficiary using his accounting system as having been incurred in connection with the eligible direct costs for the action. They may not include any eligible direct costs.

By way of derogation from Article II.14.1, the indirect costs incurred in carrying out the action may be eligible for flat-rate funding fixed at not more than 7% of the total eligible direct costs.11 If provision is made in Article I.3.2 for flat-rate funding in respect of indirect costs, they need not be supported by accounting documents.

II.14.4 The following costs shall not be considered eligible:

- return on capital; - debt and debt service charges; - provisions for losses or potential future liabilities; - interest owed; - doubtful debts; - exchange losses; - VAT, unless the beneficiary can show that he is unable to recover it; - costs declared by the beneficiary and covered by another action or work programme

receiving a Community grant; - excessive or reckless expenditure.

II.14.5 Contributions in kind shall not constitute eligible costs. However, the Commission can

accept, in duly substantiated exceptional cases, that the co financing of the action referred to in Article I.3.3 should be made up entirely or in part of contributions in kind. In this case, the value calculated for such contributions must not exceed: - the costs actually borne and duly supported by accounting documents of the third

parties who made these contributions to the beneficiary free of charge but bear the corresponding costs;

- the costs generally accepted on the market in question for the type of contribution concerned when no costs are borne.

Contributions involving buildings shall not be covered by this possibility. In the case of co financing in kind, a financial value shall be placed on the contributions and the same amount will be included in the costs of the action as ineligible costs and in receipts from the action as co financing in kind. The beneficiary shall undertake to obtain these contributions as provided for in the agreement.

II.14.6 By way of derogation from paragraph 3, indirect costs shall not be eligible under a

project grant awarded to a beneficiary who already receives an operating grant from the Commission during the period in question.

11 The 7% ceiling may be exceeded by a reasoned Commission decision; provision should be made for this in the

Special Conditions.


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ARTICLE II.15 - REQUESTS FOR PAYMENT Payment shall be made in accordance with Article I.4 of the Special Conditions. Payment is made after the end of the action on the basis of the costs actually incurred by the beneficiary in carrying out the action. By the appropriate deadline indicated in Article I.5, the beneficiary shall submit a request for payment accompanied by the following documents: - a final report on the implementation of the action; - an overall financial statement of the eligible costs actually incurred, following the structure of

the estimated budget; - a full summary statement of the receipts and expenditure of the action. The documents accompanying the request for payment shall be drawn up in accordance with the provisions of Article I.5 and the annexes. If an external audit of the action's accounts is not required, the beneficiary himself shall certify that the financial documents submitted to the Commission comply with the financial provisions of the agreement, that the costs declared are the actual costs, and that all receipts have been declared. On receipt of these documents, the Commission shall have the period specified in Article I.4 in order to: - approve the final report on implementation of the action; - ask the beneficiary for supporting documents or any additional information it deems

necessary to allow the approval of the report; - reject the report and ask for the submission of a new report. Failing a written reply from the Commission within the time limit for scrutiny indicated above, the report shall be deemed to have been approved. Approval of the report accompanying the request for payment shall not imply recognition of their regularity or of the authenticity, completeness and correctness of the declarations and information they contain. Requests for additional information or a new report shall be notified to the beneficiary in writing. The beneficiary shall have the period laid down in Article I.4 to submit the information or new documents requested. If additional information is requested, the time limit for scrutiny shall be extended by the time it takes to obtain this information. Where a report is rejected and a new report requested, the approval procedure described in this article shall apply.

In the event of renewed rejection, the Commission reserves the right to terminate the agreement by invoking Article II.11.2(b). ARTICLE II.16 - GENERAL PROVISIONS ON PAYMENT II.16.1 Payment shall be made by the Commission in euro. Any conversion of actual costs into

euro shall be made at the daily rate published in the Official Journal of the European Union or, failing that, at the monthly accounting rate established by the Commission and published on its website applicable on the day when the payment order is issued by the Commission, unless the Special Conditions of the agreement lay down specific provisions.


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Payment by the Commission shall be deemed to be effected on the date when it is debited to the Commission's account.

II.16.2 The Commission may suspend the period for payment laid down in Article I.4 at any

time by notifying the beneficiary that his request for payment cannot be met, either because it does not comply with the provisions of the agreement, or because the appropriate supporting documents have not been produced or because there is a suspicion that some of the expenses in the financial statement are not eligible and additional checks are being conducted.

The Commission may also suspend its payment at any time if the beneficiary is found or presumed to have infringed the provisions of the agreement, in particular in the wake of the audits and checks provided for in Article II.19. The Commission shall inform the beneficiary of any such suspension by registered letter with advice of delivery or equivalent. Suspension shall take effect on the date when notice is sent by the Commission. The remaining payment period shall start to run again from the date when a properly constituted request for payment is registered, when the supporting documents requested are received, or at the end of the suspension period as notified by the Commission.

II.16.3 On expiry of the period for payment specified in Article I.4, and without prejudice to

paragraph 2 of this Article, the beneficiary may, within two months following the date of receipt of a late payment, request payment of interest on the late payment at the rate applied by the European Central Bank for its main refinancing operations in euros, plus three and a half points; the reference rate to which the increase applies shall be the rate in force on the first day of the month of the final date for payment, as published in the C series of the Official Journal of the European Union. This provision shall not apply to recipients of a grant which are public authorities of the Member States of the European Union.

Interest on late payment shall cover the period from the final date for payment, exclusive, up to the date of payment as defined in paragraph 1, inclusive. The interest shall not be treated as a receipt for the action for the purposes of determining the grant within the meaning of Article II.17.4.

II.16.4 The suspension of payment by the Commission may not be considered as late payment. II.16.5 The beneficiary shall have two months from the date of notification by the Commission

of the amount of the grant determining the amount of the payment, to request information in writing on the determination of the grant, giving reasons for any disagreement. After this time such requests will no longer be considered. The Commission undertakes to reply in writing within two months following the date on which the request for information is received, giving reasons for its reply. This procedure is without prejudice to the beneficiary’s right to appeal against the Commission’s decision pursuant to Article I.8. Under the terms of Community legislation in this matter, such appeals must be lodged within two months following the notification of the decision to the applicant or, failing that, following the date on which the applicant learned of the decision.


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ARTICLE II.17 - DETERMINING THE GRANT II.17.1 Without prejudice to information obtained subsequently pursuant to Article II.19, the

Commission shall adopt the amount of the payment to be granted to the beneficiary on the basis of the documents referred to in Article II.15. which it has approved.

II.17.2 The total amount paid to the beneficiary by the Commission may not in any

circumstances exceed the maximum amount of the grant laid down in Article I.3.3, even if the total actual costs eligible exceed the estimated total eligible costs specified in Article I.3.2.

II.17.3 If the actual eligible costs when the action ends are lower than the estimated total

eligible costs, the Commission's contribution shall be limited to the amount obtained by applying the Community grant percentage specified in Article I.3.3 to the actual eligible costs approved by the Commission.

II.17.4 The beneficiary hereby agrees that the grant shall be limited to the amount necessary to

balance the action's receipts and expenditure and that it may not in any circumstances produce a profit for him.

Profit shall mean any surplus of all actual receipts attributable to the action over the total actual costs of the action. The actual receipts to be taken into account shall be those which have been established, generated or confirmed on the date on which the request for payment of the balance is drawn up by the beneficiary for financing other than the Community grant, to which shall be added the amount of the grant determined by applying the principles laid down in paragraphs 2 and 3 of this article. For the purposes of this article, only actual costs falling within the categories set out in the estimated budget referred to in Article I.3.1 and contained in Annex II shall be taken into account; non-eligible costs shall always be covered by non-Community resources. Any surplus determined in this way shall result in a corresponding reduction in the amount of the grant.

II.17.5 Without prejudice to the right to terminate the agreement under Article II.11, and

without prejudice to the right of the Commission to apply the penalties referred to in Article II.12, if the action is not implemented or is implemented poorly, partially or late, the Commission may reduce the grant initially provided for in line with the actual implementation of the action on the terms laid down in this agreement.

II.17.6 On the basis of the amount of the payment determined in this way, the Commission

shall set the amount of the payment as being the amount still owing to the beneficiary. ARTICLE II.18 - RECOVERY II.18.1 If any amount is unduly paid to the beneficiary or if recovery is justified under the

terms of the agreement, the beneficiary undertakes to repay the Commission the sum in question on whatever terms and by whatever date it may specify.


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II.18.2 If the beneficiary fails to pay by the date set by the Commission, the sum due shall bear

interest at the rate indicated in Article II.16.3. Interest on late payment shall cover the period between the date set for payment, exclusive, and the date when the Commission receives full payment of the amount owed, inclusive. This provision shall not apply to recipients of a grant which are public authorities of the Member States of the European Union.


II.18.3 If payment has not been made by the due date, sums owed to the Commission may be

recovered by offsetting them against any sums owed to the beneficiary, after informing him accordingly by registered letter with advice of delivery or equivalent, or by calling in the financial guarantee provided in accordance with Article II.15.1. The beneficiary's prior consent shall not be required.

II.18.4 Bank charges occasioned by the recovery of the sums owed to the Commission shall be

borne solely by the beneficiary. II.18.5 The beneficiary understands that under Article 256 of the Treaty establishing the

European Community, the Commission may adopt an enforceable decision formally establishing an amount as receivable from persons other than States. An action may be brought against such decision before the Court of First Instance of the European Communities.

ARTICLE II.19 - CHECKS AND AUDITS II.19.1 The beneficiary undertakes to provide any detailed information requested by the

Commission or by any other outside body authorised by the Commission to check that the action and the provisions of the agreement are being properly implemented.

II.19.2 The beneficiary shall keep at the Commission's disposal all original documents,

especially accounting and tax records, or, in exceptional and duly justified cases, certified copies of original documents relating to the agreement for a period of five years from the date of payment of the balance specified in Article I.4.

II.19.3 The beneficiary agrees that the Commission may have an audit of the use made of the

grant carried out either directly by its own staff or by any other outside body authorised to do so on its behalf. Such audits may be carried out throughout the period of implementation of the agreement until the balance is paid and for a period of five years from the date of payment of the balance. Where appropriate, the audit findings may lead to recovery decisions by the Commission.

II.19.4 The beneficiary undertakes to allow Commission staff and outside personnel authorised

by the Commission the appropriate right of access to sites and premises where the action is carried out and to all the information, including information in electronic format, needed in order to conduct such audits.

II.19.5 By virtue of Council Regulation (Euratom, EC) No 2185/96 and Regulation (EC)

No 1073/1999 of the European Parliament and the Council, the European Anti-Fraud Office (OLAF) may also carry out on-the-spot checks and inspections in accordance with the procedures laid down by Community law for the protection of the financial


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interests of the European Communities against fraud and other irregularities. Where appropriate, the inspection findings may lead to recovery decisions by the Commission.

II.19.6 The European Court of Auditors shall have the same rights as the Commission, notably

right of access, as regards checks and audits. SIGNATURES For the beneficiary For the Commission [name/forename/function] [name/forename] [signature] [signature] Done at [place], [date] Done at [place], [date] In duplicate in [language]

ANNEX VIII

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ANNEX VIII


MODEL CONTRACT

TYPE 3 – Accompanying measures for the training and mobility of researchers involved in a project funded under the ECSC or

the Research Fund for Coal and Steel

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A:\Steel\Infopack\Infopack 2007\Lay out\Volume 2\08-AnnexVIII-modelcontractType 3_2007.doc

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CONTRACT No ______ Research Fund for Coal and Steel

(Type 3 Accompanying Measures for the training and mobility of researchers involved

in a project funded under the ECSC or the Research Fund for Coal and Steel) The European Community (hereinafter referred to as the “Community”), represented by the Commission of the European Communities (“the Commission”), in its capacity as manager of the Research Fund for Coal and Steel1, itself represented for the purposes of the signature of this contract by Mr Raffaele LIBERALI, Director, DG Research K of the one part), and ………………… (Full official denomination) …………. (hereinafter referred to as the “contractor") "ACRONYM", established in [Member State] Legal form (if applicable) Full official address Legal registration No (if applicable) VAT No (if applicable) of the other part, collectively the “contracting parties” HAVE AGREED to the following terms and conditions established in this contract and its annexes (collectively “the contract”). Article 1 - Scope 1. The Community agrees to grant a financial contribution which is a special bursary to

facilitate the training and mobility of a researcher and to be used for the implementation of a project called [name of project] within the framework of the Research Fund for Coal and Steel. This bursary must be regarded as a transnational mobility incentive which is additional to any salary or remuneration received by the researcher, who must continue to be on the pay roll of his or her organisation of origin during the period for which the bursary is granted.

2. The contractor assumes the rights and obligations established by the contract with effect

from the date on which it enters into force. 3. The contractor shall carry out the work set out in Annex I to this contract ("the project")

in accordance with the conditions set out in this contract. 1 As laid down in Article 4(1) of Council Decision of 1 February 2003 establishing the measures necessary

for the implementation of the Protocol, annexed to the Treaty establishing the European Community, on the financial consequences of the expiry of the ECSC Treaty and on the Research Fund for Coal and Steel (2003/76/EC) (OJ L 29, 5.2.2003).

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Article 2 - Entry into force of the contract and duration of the project 1. This contract shall enter into force on the day of its signature by the contractor and the

Commission. 2. The duration of the project shall be (insert number) months from [fixed starting date

(insert date)] (hereinafter referred to as the “start date”). This contract shall be completed once the rights and obligations of the contracting parties have been met. The implementation and payment phases relating to the project must be completed by the final implementation date of the contract2. The provisions set out in Articles II.7, II.9, II.10, II.11, II.20, II.21, II.22 and Part C of Annex II shall continue to apply after the final implementation date as well as any provisions in Annex III which specifically state that they shall continue to apply after the final implementation date. Article 3 - Community financial contribution The maximum Community financial contribution shall be EUR (insert amount in words XXXXXX EURO)] Article 4 - Reporting periods The reporting period for the European Commission shall encompass the whole duration of the project. Article 5 - Reports A final report shall be submitted to the Commission at the latest 45 days after the end of the project. It shall include the information required under Article II.7. Where the work is completed before the end of the duration of the project, the related activity and financial reports shall cover the period up to the final implementation date of the project. Reports shall be submitted in English. Article 6 - Payment modalities The Community financial contribution shall be paid in accordance with the following: (a) [amount of XXXX Euro] pre-financing within 45 days following [the date of entry into

force of the contract] (i.e. 80% of the maximum Community contribution as referred to in Article 3).

(b) the outstanding balance shall be paid within 45 days following the approval by the

Commission of the report referred to in Article II.7 and at the latest within 90 days of receipt. This payment shall be considered as final, subject to the results of any audit or review, which may be carried out pursuant to the provisions of Article II.20.

The financial contribution of the Community, except a 5% flat rate covering the administrative and management costs incurred by the contractor, shall be used by the contractor exclusively 2 The final implementation date is determined by taking into account, after the end date of the project, the

maximum periods allowed for the contractor to submit all the required reports and other deliverables, for the Commission to approve them and for it to make the final payment. If the periods indicated are extended by means of an amendment to the contract, the final implementation date shall be redefined accordingly.

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in funding the researcher and cover: - a monthly contribution to the mobility costs of the researcher of EUR [ ] - a yearly travel allowance based upon the distance between the place of origin and the host institution of the researcher of EUR [ ] Article 7 - Special clauses [No special condition applies to this contract.] [The following special conditions apply to this contract:] Article 8 - Amendments This contract, including the annexes thereto, may be modified only in writing, by way of an amendment between the authorised representatives of the contracting parties. No verbal agreement may be binding on the contracting parties for this purpose. Any request for amendment must be submitted by the contractor and received by the Commission at least six months before the closing date of the project Article 9 - Communication 1. Requests for amendments and any communication foreseen by the contract shall identify

the nature and details of the request or communication and be submitted in writing by means of registered mail with acknowledgement of receipt to the following addresses:

For the Commission: Commission of the European Communities

DG RTD Directorate K Research Fund for Coal and Steel [B-1049 Brussels Belgium]]

For the contractor: [contact address]

2. Where the contract foresees that information or documents are to be transferred by

electronic means, the following functional mailboxes shall be used:

For the Commission: For the contractor:

3. Payment to the contractor

The financial contribution of the Community shall be paid to the contractor to the following bank account of the contractor denominated in Euro, as indicated below:3 Name of bank: […] Address of branch: […]

3 As shown by the account identification document issued or certified by the bank concerned

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Precise denomination of the account holder: […] Full account number (including bank codes): […]

[IBAN account code: […]]4 This account must make it possible to identify funds paid by the Commission.

4. Each party to the contract shall inform the other parties without delay of any changes in

the names or addresses identified in paragraphs 1 and 2 above. Article 10 - Applicable law The law of Belgium shall govern this contract. Article 11 - Jurisdiction Any dispute between the parties arising from the interpretation or application of the provisions of the contract which cannot be settled amicably shall be brought before the Court of Justice of the European Communities. Article 12 - Annexes forming an integral part of this contract: 1. The following annexes form an integral part of this contract:

Annex I Description of work Annex II General conditions Annex III Specific provisions

2. In the event of any conflict between the provisions of the Annexes to this contract and

any provision of this part of the contract, the latter shall take precedence. The provisions of Annex III shall take precedence over the provisions of Annex II, and both shall take precedence over the provisions of Annex I.

3. The special conditions set out in Article 7 shall take precedence over any other provisions

of this contract. Done at [Brussels], On behalf of [acronym of the contractor]: Title: Name: (written out in full) Function: Signature: (stamp of the organisation) On behalf of the Commission: Name: (written out in full) Title: Signature:

4 BIC code for countries where the IBAN code does not apply.


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ANNEX II Research Fund for Coal and Steel Type 3 Accompanying Measures

(Training and Mobility of researchers involved in a project funded under the ECSC or the Research Fund for Coal and Steel)

GENERAL CONDITIONS

TABLE OF CONTENTS II.1 DEFINITIONS

Part A: Implementation of the Project SECTION 1 - IMPLEMENTATION AND DELIVERABLES II.2 ACTIVITIES II.3 PERFORMANCE OBLIGATIONS II.4 FORCE MAJEURE II.5 EVENT AFFECTING THE IMPLEMENTATION OF THE PROJECT II.6 SUSPENSION AND PROLONGATION OF THE PROJECT II.7 REPORTS AND DELIVERABLES II.8 EVALUATION AND APPROVAL OF REPORTS AND DELIVERABLES II.9 CONFIDENTIALITY II.10 COMMUNICATION OF DATA II.11 INFORMATION TO MEMBER STATES II.12 PUBLICITY II.13 LIABILITY II.14 ASSIGNMENT SECTION 2 - TERMINATION OF THE CONTRACT AND RESPONSIBILITY II.15 TERMINATION OF THE CONTRACT II.16 TERMINATION FOR BREACH OF CONTRACT AND IRREGULARITY

Part B: Financial Provisions SECTION 1: GENERAL FINANCIAL PROVISIONS II.17 PAYMENTS MADE BY THE COMMISSION II.18 INTEREST YIELDED BY PRE-FINANCING II.19 PAYMENT MODALITIES SECTION 2: CONTROLS, RECOVERIES AND SANCTIONS II.20 CONTROLS AND AUDITS II.21 LIQUIDATED DAMAGES II.22 REIMBURSEMENT TO THE COMMISSION AND RECOVERY ORDERS

Part C: Intellectual Property Rights II.23 OWNERSHIP OF KNOWLEDGE II.24 PROTECTION OF KNOWLEDGE II.25 USE AND DISSEMINATION II.26 ACCESS RIGHTS

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II.1 - Definitions 1. Access rights: means licences and user rights to knowledge or pre-existing know-how. 2. Dissemination: means the disclosure of knowledge by any appropriate means other than

publication resulting from the formalities for protecting knowledge. 3. Final implementation date: means the final date for implementation, which is

determined taking into account the maximum periods allowed, beyond the end date of the duration of the project, as identified in Article 2.2, for the contractor to submit the required activity reports and financial statements, for the Commission to approve them, and for it to make the final payment.

4. Financial Regulation: means the Council Regulation (EC, Euratom) No 1605/2002 of 25

June 2002 on the Financial Regulation applicable to the general budget of the European Communities5 and the Commission Regulation laying down detailed rules for the implementation of Council Regulation (EC) No 2342/2002 of 23 December 2002 on the Financial Regulation applicable to the general budget of the European Communities6.

5. Irregularity: means any infringement of a provision of Community law or any breach of a

contractual obligation resulting from an act or omission by the contractor which has, or would have, the effect of prejudicing the general budget of the European Communities or budgets managed by it through unjustified expenditure.

6. Knowledge: means the results, including information, whether or not they can be

protected, arising from the project governed by this contract, as well as copyrights or rights pertaining to such results following applications for, or the issue of patents, designs, plant varieties, supplementary protection certificates or similar forms of protection.

7. Legitimate interest: means the contractor’s interest of any kind, particularly a

commercial interest which may be claimed in the cases provided for in this contract. To this end, the contractor must prove that failure to take account of its interest would result in its suffering disproportionately great harm.

8. Pre-existing know-how: means the information which is held by the contractor prior to

the conclusion of the contract, or acquired in parallel with it, as well as copyrights or rights pertaining to such information following applications for, or the issue of, patents, designs, plant varieties, supplementary protection certificates or similar forms of protection.

9. Pre-financing: means any part of the Community financial contribution which is paid in

advance of submission of proof of work having been carried out for a specific period of the project either in order to provide advance funds to permit the work on the project to begin or to continue with the next phase.

10. Project: means all the work referred to in Annex I to this contract.

5 OJ L 248, 16.9.2002, p.1. 6 OJ L 357, 31.12.2002, p.1

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11. Research activities: means the activities carried out by the researcher as described in Annex I.

12. Researcher: means the person carrying out the research activities described in Annex I. 13. Start date: means the date upon which the project begins as identified in Article 2.2 of

this contract. 14. Use: means the direct or indirect utilisation of knowledge in research activities or for

developing, creating and marketing a product or process or for creating and providing a service.

Part A: Implementation of the Project

SECTION 1 - IMPLEMENTATION AND DELIVERABLES II.2 - Activities and objectives The project’s main activities and objectives are described in Annex I II.3 - Performance obligations 1. The contractor shall:

a) ensure the efficient implementation of the project and take all necessary and

reasonable measures to ensure that the project is carried out in accordance with the terms and conditions of this contract;

b) provide all detailed data requested by the Commission for the purposes of the proper

administration of this project; c) make appropriate arrangements for the proper performance of its work identified in

Annex I

d) provide the Commission and Court of Auditors directly with information requested in the framework of controls and audits, as provided for in Article II.20;

e) take part in meetings concerning the supervision, monitoring and evaluation of the

project which are relevant to it; f) take all necessary steps to avoid commitments that are incompatible with the

obligations provided for in this contract; g) carry out the project in accordance with fundamental ethical principles; h) endeavour to promote equal opportunities between men and women in the

implementation of the project; i) take every necessary precaution to avoid any risk of conflict of interest relating to

economic interests, political or national affinities, family or emotional ties or any other interests liable to influence the impartial and objective performance of the

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project and shall inform the Commission without delay of any situation which could lead to such a conflict of interest.

2. The Commission shall:

a) monitor the scientific, technological and financial execution of the project and ensure that the Community financial contribution is provided when and where necessary under the conditions established by the contract;

b) maintain the confidentiality of any information, data, reports or other deliverables or

knowledge communicated to it as confidential, in accordance with the provisions of Article II.9.

II.4 - Force majeure 1. Force majeure shall mean any unforeseeable and exceptional event affecting the contract

and the implementation of the project by the contractor, which is beyond its control or the control of the Community and cannot be overcome despite its reasonable endeavours. Any default of a product or service or delays in making them available (unless due to force majeure) for the purpose of performing this contract and affecting such performance, including, for instance, anomalies in the functioning or performance of such product or service, labour disputes, strikes or financial difficulties do not constitute force majeure.

2. If the contractor is subject to force majeure liable to affect the fulfilment of its

contractual obligations, it shall notify without delay the Commission, stating the nature, likely duration and foreseeable effects.

3. If the Community is subject to force majeure liable to affect the fulfilment of its

contractual obligations, it shall notify without delay the contractor, stating the nature, likely duration and foreseeable effects.

4. The contractor shall not be considered to be in breach of its obligation to execute the

project if it has been prevented from complying by force majeure. Where the contractor cannot fulfil its contractual obligations to execute the project due to force majeure, remuneration for accepted eligible costs incurred may be made only for tasks which have actually been executed up to the date of the event identified as force majeure. All necessary measures shall be taken to limit damage to the minimum.

5. The project can be suspended or terminated due to force majeure in accordance with the

provisions of Articles II.5, II.6 and II.15. II.5 - Event affecting the implementation of the project The contractor shall immediately inform the Commission of any event affecting or delaying the implementation of the project. II.6 - Suspension and prolongation of the project The contractor can propose to suspend part, or all, of the project if force majeure or exceptional circumstances, render its execution excessively difficult or uneconomic. The contractor must inform the Commission without delay of such circumstances, including all

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justifications and information related to the event, as well as an estimation of the date when the work on the project will begin again. 1. The Commission may suspend part or all of the work under the project where it considers

that the contractor is not performing satisfactorily, in order to re-negotiate with it and propose the necessary amendments to the contract to redress the situation. Where the Commission suspends all or part of the project, it must inform the contractor without delay of the justifications for such an event, as well as the conditions necessary to reinstate the work again. This suspension takes effect on the date the contractor receives the notification.

2. During the period of suspension, no costs may be charged to the project for carrying out

any tasks or any part of the project which has been suspended. 3. The work or the project can be taken up again once both parties have agreed on the

continuation. Notwithstanding any other modifications, which may be necessary as a result of any such suspension and re-starting of the work, the extension of the duration will be identified by means of a written amendment in accordance with Article 8. Unless otherwise requested by the contractor, the extension will be equal to the period of suspension.

4. The Commission may terminate or the contractor may request the termination of the

contract if it is established that it will be excessively difficult to continue with all or part of the project and/or that for technical, financial, economic or scientific reasons the delay or non-execution will be such that the project is no longer viable.

II.7 - Reports and deliverables 1. Within 45 days following the end of the project, the contractor shall submit to the

Commission the final report consisting of:

a) a final activity report covering all the relevant work carried out during the whole duration of the project;

b) a financial report covering the entire duration of the project, providing evidence of

payments made to the researcher by the contractor; c) any supplementary reports which might be required by Annex I of the contract.

2. The contractor shall transmit this final report to the Commission by electronic means in accordance with the provisions of Article 9.2. However, the original copy of this report shall be submitted in accordance with the provisions of Article 9.1. In such cases, the date of receipt pursuant to Article 9.1 prevails.

II.8 - Evaluation and approval of reports and deliverables 1. The Commission undertakes to evaluate the final report identified in Article II.7.1 within

45 days of receipt thereof. Where no comments, changes or substantial corrections to any of the project activity reports are required, the project activity reports are deemed to be approved within 90 days of receipt.

4. Approval of any report does not imply exemption from any audit or review, which may

be carried out in accordance with the provisions of Article II.20.

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5. Where, following the evaluation of the report, the Commission considers that the

contractor is not performing satisfactorily, it may:

a) Reject the report submitted and request the contractor to complete the work foreseen in Annex I or to perform additional work within a reasonable delay established by the Commission. The report shall be re-submitted once the work has been completed;

b) Terminate the contract for non-performance.

II.9 - Confidentiality 1. The Commission and the contractor undertake to preserve the confidentiality of any

document, information, knowledge, pre-existing know-how or other material communicated to them in relation to the execution of the project, and which has been identified as confidential in relation to the execution of the project, or where such information was provided orally, it has been confirmed as such in writing within 30 days after disclosure. Where the contract provides for the communication of any data, knowledge, pre-existing know-how or other document, the contractor and the Commission shall first satisfy themselves that the recipient will keep it confidential and use it only for the purpose for which it is communicated.

2. The confidentiality of any document, information or other material, the disclosure of

which could harm, interfere with or otherwise limit the effective protection of their intellectual property rights, must be maintained during the life of the project.

This obligation no longer applies where: a) the content of any document, information or material becomes publicly available

through work or actions lawfully performed outside this contract and not based on activities under it, or

b) the content of the document, information or material has been communicated without

confidentiality restrictions or these are subsequently waived, or c) the information is lawfully received from a third party who is in lawful possession

thereof and under no obligation of confidence to the disclosing party. II.10 - Communication of data for evaluation, impact assessment, standardisation purposes and communication of information beyond the research community 1. Without prejudice to the provisions of Article II.9 the contractor shall be required to

provide, at the request of the Commission, data necessary for:

a) the continuous and systematic review of the Research Fund for Coal and Steel; b) the evaluation and impact assessment of Community activities. Such data may be requested throughout the entire duration of the contract and up to five years after the end of the project. The data collected may be used by the Commission in its own evaluations but will not be published other than in analytical form based on anonymous statistics.

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2. Without prejudice to the provisions regarding protection of knowledge and

confidentiality, the contractor must, during the entire duration of the contract and for two years following the end of the project, inform the Commission and the European standardisation bodies about knowledge which may contribute to the preparation of European or, where appropriate, international standards or to an industrial consensus on technical issues. To this end, it shall communicate appropriate data on such knowledge to the Commission and to the standardisation bodies concerned.

3. The contractor must engage with actors beyond the research community and with the

public as a whole, to help spread awareness and knowledge and to explore the wider societal implications of the project and its results and must report on the actions taken in this respect in accordance with the provisions of Article 9.

II.11 - Information to be provided to Member States The Commission shall make available to any Member State its useful information on knowledge arising from the project, upon request, provided that such information is relevant to public policy, unless the contractor provides a reasoned case against doing so. Under no circumstances, shall such availability confer any rights or obligations of the Commission and the contractor, to Member States receiving such information. Unless such general information becomes public, or is made available by the contractor with an indication that it is without any confidentiality restrictions, Member States shall comply with the Commission’s obligations on confidentiality as established by this contract. II.12 - Publicity 1. The contractor shall, throughout the duration of the project, take appropriate measures to

ensure suitable publicity for the project in order to highlight the Community financial support involved. Unless the Commission requests otherwise, any notice or publication by the contractor about the project, including at a conference or seminar, must specify that the project has received research funding from the Research Fund for Coal and Steel. Where use of the European emblem, or any similar trademark or logo, is envisaged, prior approval shall be required from the Commission. Authorisation to use the European emblem or other similar mark or logo implies no right of exclusive use. It does not permit the appropriation of the emblem, or of any similar trademark or logo, whether by registration or by any other means.

Any notice or publication by the contractor, in whatever form and on or by whatever medium, must specify that it reflects only the author’s views and that the Community is not liable for any use that may be made of the information contained therein.

2. The Commission shall be authorised to publish, in whatever form and on or by whatever medium, including the Internet, the following information: – the name of the contractor, – the name of the researcher funded under the project, – the title of the project and the general purpose of the grant in the form of the

summary provided by the contractor, – the amount granted, – the geographic location of the activities carried out.

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3. Upon a reasoned and duly substantiated request by the contractor, the Commission may agree to forego such publicity if disclosure of the information indicated above would risk compromising the contractor’s security or commercial interests.

II.13 - Liability 1. The Community cannot be held liable for acts or omissions committed by the contractor

performing this contract. It shall not be liable for any defaults of any products or services created on the basis of knowledge resulting from the project, including, for instance, anomalies in the functioning or performance thereof.

2. The contractor fully guarantees the Community, and agrees to indemnify it, in case of any

action, complaint or proceeding brought by a third party against it as a result of damage caused, either by any act or omission committed by the contractor in performing this contract, or because of any products or services created by the contractor on the basis of knowledge resulting from the project.

In the event of any action brought by a third party against the contractor in connection with the performance of this contract, the Commission may assist the latter upon written request. The costs incurred by the Commission in this connection shall be borne by the contractor.

3. The contractor shall bear sole responsibility for ensuring that the use of acronyms within the framework of this project does not infringe existing trademarks, registered names and other similar rights.

II.14 - Assignment The contractor shall not assign any of the rights and obligations arising from the contract, without the prior and written authorisation of the Commission. SECTION 2 -TERMINATION OF THE CONTRACT AND RESPONSIBILITY II.15 - Termination of the contract 1. The contractor may request the termination of the contract providing the justification for

termination. The request must be submitted in accordance with Article 9.1 and must be received by the Commission 60 days before the end of the duration of the project. The Commission may agree or object within six weeks of receipt of such a request. Where the Commission does not object within this period, it is deemed to have approved the request on the last date of this delay. Notwithstanding this approval, a written amendment to the contract shall be formalised by the Commission. Termination shall take effect on the date of Commission’s approval.

2. The Commission may terminate the contract in the following cases:

a) where, in accordance with the provisions of Article II.8, the required final report is not approved by the Commission.

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b) where a legal, financial, organisational or technical change of the contractor puts into question the decision of the Commission to accept its participation or the interests of the Community.

c) in case of force majeure notified in conformity with Article II.4, where any

reactivation of the project after suspension is impossible. d) where the conditions for participation in the project established by the Research

Fund for Coal and Steel7 are no longer satisfied, unless the Commission considers that the continuation of the project is essential to the implementation of the Research Fund for Coal and Steel

e) where the contractor is found guilty of an offence involving its professional conduct

by a judgment having the force of res judicata or if it is guilty of grave professional misconduct proven by any justified means.

3. Termination of the contract by the Commission in accordance with paragraph 2 of this

Article shall be notified to the contractor and shall become effective 30 days after its receipt by the contractor.

4. In the event of termination, any financial contribution from the Community is limited to

payments made up to the effective date of termination and of any legitimate commitments taken prior to that date, which cannot be cancelled.

Within 45 days after the effective date of termination, the contractor shall submit a final report as referred to in Article II.7 relating to the work carried out and the payments made to the researcher up to that date. In the absence of receipt of such a report within the delays, the Commission may determine not to make any further payment and, where appropriate, require the reimbursement of the pre-financing after providing 30 days notice in writing of the non-receipt of such report. Notwithstanding the termination of the contract, the provisions identified in II.9, II.10, II.11, II.12, II.13, II.15, II.20, II.21, II.22 and Part C of Annex II continue to apply after the termination of the contract. II.16 - Termination for breach of contract and irregularity 1. In the case of breach of any obligation imposed by this contract the Commission shall

request the contractor to find appropriate solutions to make good that breach within a maximum period of 30 days.

Costs incurred by the contractor, after the date of receipt of such request, shall be eligible only if an appropriate solution to the breach is accepted by the Commission. Where appropriate, the contractor may request the Commission to suspend the project in accordance with Article II.6. In the absence of any satisfactory solution, the Commission will terminate the contract.

7 Council Decision 2003/78/EC of 1 February 2003 (OJ L 29, 5.2.2003), laying down the multiannual

technical guidelines for the research programme of the RFCS.

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2. The Commission may immediately terminate the contract:

a) where the contractor has deliberately or through negligence committed an irregularity in the performance of any contract with the Commission;

b) where the contractor has contravened fundamental ethical principles. Notification of termination shall be addressed to the contractor. Termination shall take effect upon receipt of such notification by the contractor and shall be without prejudice to the obligations established or referred hereto. The Commission shall inform the contractor of the effective date of termination.

4. The contractor has up to 30 days after the effective date of termination of the contract to provide the Commission with the final report, as provided for in Article II.7.2, relating to the work it has performed from the beginning of the project up to the effective date of the termination and for the payments made to the researcher from the beginning of the project up to the effective date of the termination. In the absence of receipt of such a report within the delays, the Commission shall consider that no payments were made by the contractor to the researcher for the period in question.

5. Based on the final report and information referred to in paragraph 4, the Commission shall establish the debt owed by the contractor or the amounts that it is entitled to receive for the payments made to the researcher, incurred in good faith before the effective date of termination and accepted by the Commission.

6. The provisions identified in Articles II.9, II.10, II.11, II.12, II.13, II.20, II.21 and II.22 of

Part C of this Annex II continue to apply to the contractor after termination of the contract.

Part B - Financial Provisions

SECTION 1 - GENERAL FINANCIAL PROVISIONS II.17 - Payments made by the Commission The Community financial contribution shall be paid to the contractor via two instalments (one pre-financing instalment within 45 days following the date of entry into force of the contract and the outstanding balance following the approval by the Commission of the reports referred to in Article II.7.1 at the latest within 90 days of their receipt. They must be used by the host institution exclusively in funding the researcher8 and cover: - a monthly contribution to the mobility costs of the researcher. - a yearly travel allowance based upon the distance between the place of origin and the

host institution of the researcher.

8 Except a 5% flat rate of the total financial contribution granted by the Commission covering the

administrative and management costs incurred by the contractor.

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II.18 - Interest yielded by pre-financing provided by the Commission 1. In accordance with the provisions of the Financial Regulation9, pre-financing granted to

the contractor remains the property of the Community. 2. The contractor shall inform the Commission of the amount of any interest or equivalent

benefits yielded by the pre-financing it has received from the Commission. Notification must be made when the request for payment of the balance of the grant is made.

II.19 - Payment modalities 1. Without prejudice to Article II.20, the Commission shall adopt the amount of the final

payment to be made to the contractor on the basis of the final report referred to in Article II.7 which it has approved.

2. Any interest yielded by pre-financing provided by the Commission shall result in a

corresponding reduction in the amount of the grant. 3. Without prejudice to the right to terminate the contract, if the project is not implemented

or is implemented poorly, partially or late, the Commission may reduce the grant initially provided for in line with the actual implementation of the project on the terms laid down in this contract.

4. Any reduction in the amount of the grant to be paid by the Commission shall be effected

by: - reducing the balance of the grant payable when the project ends; - requesting the contractor to repay any amounts overpaid, if the total amount already

paid by the Commission exceeds the final amount which it actually owes.

5. In the event of late payment the contractor may claim interest, within two months of receipt of the payment. Interest shall be calculated at the rate applied by the European Central Bank to its principal refinancing operations, as published in the C series of the Official Journal of the European Communities, in force on the first calendar day of the month in which the due date falls, plus three and a half percentage points. Interest shall be payable for the time elapsed between expiry of the payment deadline and the date of payment. Date of payment is the date upon which the Commission’s account is debited. Any such interest payment is not considered as part of the financial contribution of the Community established by the provisions of Article 3 of the contract.

6. The periods identified in Article 6 regarding the delays for payment may be suspended by

the Commission at any time by notification of the contractor that the financial report requested in Article II.7.1 is not acceptable, either because it does not conform to the requirements of the contract or because it is not in conformity with the activity reports submitted for approval to the Commission. The delay for approval of the financial report will be suspended until the submission of the corrected or revised version as requested and the balance of the delay for approval will start again upon receipt by the Commission of this information.

9 Article 5.4 of the Financial Regulation (OJ L 248, 16.9.2002, p.1) and Articles 3 and 4 of the Commission

Regulation laying down detailed rules for its implementation (OJ L 357, 31.12.2002, p.1.)

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7. The Commission may suspend its payments at any time in case of non-respect by the

contractor of any contractual provision, particularly regarding the audit and control provisions in Article II.20. In such case, the Commission shall notify the contractor directly by means of registered letter with acknowledgement of receipt.

8. The Commission may suspend its payments at any time where there is a suspicion of

irregularity committed by the contractor in the performance of the contract. The Commission shall notify the contractor of the justification for the suspension of payment directly by means of registered letter with acknowledgement of receipt.

SECTION 2 - CONTROLS, RECOVERIES AND SANCTIONS II.20 - Controls and audits 1. The Commission may, at any time during the contract and up to five years after the end

of the project, arrange for audits to be carried out, either by outside scientific or technological reviewers or auditors, or by the Commission departments themselves including OLAF. Such audits may cover scientific, financial, technological and other aspects (such as accounting and management principles) relating to the proper execution of the project and the contract. Any such audit shall be carried out on a confidential basis. Any amounts due to the Commission as a result of the findings of any such audit may be the subject of a recovery as mentioned in Article II.22.

The contractor shall have the right to refuse the participation of a particular outside scientific or technological reviewer or auditor on grounds of commercial confidentiality.

2. The contractor shall make available directly to the Commission all the detailed data that may be requested by the Commission with a view to verifying that the contract is being properly managed and performed.

3. The contractor shall keep the original or, in exceptional cases, duly substantiated,

authenticated copies, of all documents relating to the contract for up to five years from the end of the project. These shall be put at the Commission's disposal where requested during the execution of any audit under the contract.

4. In order to carry out these audits, the contractor shall ensure that the Commission's

departments and any outside body(ies) nominated by it have on-the-spot access, notably to the contractor's offices, at all reasonable times and to all the information needed to carry out those audits.

5. The European Court of Auditors shall have the same rights as the Commission, notably

right of access, for the purpose of checks and audits, without prejudice to its own rules. 6. In addition, the Commission may carry out on-the-spot checks and inspections in

accordance with Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities’ financial interests against fraud and other irregularities10, Regulation (EC) No 1073/1999 of the European Parliament and of the Council of 25 May 1999 concerning investigations conducted by the European Anti-

10 OJ L 292, 15.11.1996, p.2.

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Fraud Office (OLAF)11 and Council Regulation (Euratom) No 1074/1999 of 25 May 1999 concerning investigations conducted by the European Anti-Fraud Office (OLAF)12.

II.21 - Liquidated damages Without prejudice to any other measures provided for in this contract, the contractor agrees that the Community, with the aim of protecting its financial interests, is entitled to claim liquidated damages from the contractor if it is found to have overstated expenditure and has consequently received an unjustified financial contribution from the Community. Liquidated damages are due in addition to the recovery of the unjustified Community financial contribution from the contractor. 1. Any amount of liquidated damages shall be proportionate to the overstated expenditure

and unjustified portion of the Community contribution. The following formula shall be used to calculate any possible liquidated damages:

Liquidated damages = unjustified financial contribution x (overstated expenditure/ total claimed) The calculation of any liquidated damages shall only take into consideration the period relating to the contractor’s claim for the Community contribution for that period. It shall not be calculated in relation to the entire Community contribution.

2. The Commission shall inform the contractor which it considers liable to pay liquidated damages in writing of its claim by way of a registered letter with acknowledgement of receipt. The contractor shall have a period of 30 days to answer the Community's claim.

3. The procedure for repayment of unjustified financial contribution and for payment of

liquidated damages will be determined in accordance with the provisions of Article II.22. 4. The Commission shall be entitled to compensation in respect of any overstated

expenditures which come to light after the contract has been completed, in accordance with the provisions of paragraphs 1 to 6.

5. These provisions shall be without prejudice to any administrative or financial sanctions

that the Commission may impose on the contractor in accordance with the Financial Regulation or to any other civil remedy to which the Community or the contractor may be entitled. Furthermore, these provisions shall not preclude any criminal proceedings which may be initiated by the Member States' authorities.

6. Further, as established by the Financial Regulation, the contractor declared to be in grave

breach of its contractual obligations shall be liable to financial penalties of between 2% and 10% of the value of the Community financial contribution received by the contractor. The rate may be increased to between 4% and 20% in the event of a repeated breach in the five years following the first breach.

11 OJ L 136, 31.5.1999 12 OJ L 136, 31.5.1999

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II.22 - Reimbursement to the Commission and recovery orders 1. If any amount is unduly paid to the contractor or if recovery is justified under the terms

of the contract, the contractor undertakes to repay the Commission the sum in question. 2. If the contractor fails to pay by the date set by the Commission, the sum due shall bear

interest at the rate indicated in Article II.19.5. Interest on late payment shall cover the period between the date set for payment and the date when the Commission receives full payment of the amount owed.


3. Sums owed to the Commission may be recovered by offsetting them against any sums

owed to the contractor, after informing the latter accordingly, or by calling in any financial guarantee. The contractor’s prior consent shall not be required.

4. Bank charges occasioned by the recovery of the sums owed to the Commission shall be

borne solely by the contractor. 5. The contractor understands that under Article 256 of the Treaty establishing the

European Community, the Commission may adopt an enforceable decision formally establishing an amount as receivable from persons other than States.

Part C - Intellectual Property Rights

II.23 - Ownership of knowledge 1. Knowledge shall be the property of the contractor carrying out the work leading to that

knowledge. 2. If personnel working for the contractor are entitled to claim rights to knowledge, the

contractor shall take steps or reach appropriate agreements to ensure that these rights can be exercised in a manner compatible with its obligations under this contract.

3. Where the contractor transfers ownership of knowledge, it shall take steps or conclude

agreements to pass on to the assignee its obligations under this contract, in particular regarding the granting of access rights, dissemination and use of the knowledge. As long as the contractor is required to grant access rights, it shall give prior notice at least 60 days to the Commission, of the envisaged assignment and the name and address of the assignee.

4. The Commission may object within 30 days of notification to such a transfer of

ownership. The Commission may object to transfer ownership to third parties, in particular to those not established in a Member State, if such a transfer is not in accordance with the interests of developing the competitiveness of the dynamic, knowledge-based European economy or is inconsistent with ethical principles.

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II.24 - Protection of knowledge 1. Where knowledge is capable of industrial or commercial application, its owner shall

provide for its adequate and effective protection, in conformity with relevant legal provisions, including this contract.

2. Where the contractor does not intend to protect its knowledge in a specific country it

shall inform the Commission. Where the contractor intends to waive the protection of its knowledge, the Commission shall be informed at least 45 days prior to the corresponding deadline. In such a case and where the Commission considers it necessary to protect such knowledge in a particular country, it may, with the agreement of the contractor, adopt measures to protect the knowledge. In this event, and as far as that particular country is concerned, the Community shall take on the obligations regarding the granting of access rights in the place of the contractor. The contractor may only refuse if it can demonstrate that its legitimate interests will be significantly impaired.

3. The contractor may publish or allow the publication of data, on whatever medium,

concerning knowledge it owns provided that this does not affect the protection of that knowledge. The Commission shall be given 30 days prior written notice of any planned publication. If, before the end of this period, the Commission so requests, a copy of this data shall be communicated to them within 30 days after receipt of such request. The Commission may object to the publication within 30 days after receipt of the data envisaged to be published, if it considers that the protection of the knowledge would be adversely affected by this publication. The planned publication shall be suspended until the end of this consultation period. In the absence of any objection within the above-mentioned period, it is deemed that the Commission agrees.

II.25 - Use and dissemination 1. The contractor shall use or cause to be used the knowledge arising from the project,

which it owns, in accordance with its interests. The contractor shall set out the terms of use in a detailed and verifiable manner and in accordance with the provisions of this contract.

2. If dissemination of knowledge would not adversely affect its protection or its use, the

contractor shall ensure that it is disseminated within a period of two years after the end of the project. Should the contractor fail to do so, the Commission may disseminate the knowledge. In doing so, the Commission and the contractor shall take particular account of the following factors:

a) the need to safeguard intellectual property rights;

b) the benefits of swift dissemination, for example in order to avoid duplication of

research efforts and to create synergies between projects;

c) confidentiality;

d) the legitimate interests of the contractor.

II.26 - Access rights The general principles relating to access rights are the following:

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a) The contractor may grant access rights to third parties, in particular to enterprises

associated with the contractor. Any agreement providing for access rights to third parties must ensure their compliance with the applicable competition rules;

b) The Commission may object to the grant of access rights to third parties, in particular to

those not established in a Member State, if such grant is not in accordance with the interests of developing the competitiveness of the dynamic knowledge-based European economy, or is inconsistent with ethical principles. The Commission shall be given 30 days prior written notice of any plans to provide access rights to third parties;

c) Access rights to pre-existing know-how shall be granted provided that the contractor

concerned is free to grant them;

d) Except where the contractor granting access rights so agrees, such rights shall confer no entitlement to grant sub-licences.


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ANNEX III

SPECIFIC PROVISIONS


Type 3 Accompanying Measures (training and Mobility of researchers)

III.1 - Definitions In addition to the definitions in Article II.1, the following definitions apply to this contract: 1. Agreement: means the written agreement concluded between the contractor and the

researcher, pursuant to Article III.3. 2. Location of origin: means the place where the researcher was residing or carrying out

his/her main activity at the time of the relevant deadline for submission of the proposal unless (s)he has resided or carried out his/her main activity for less than 12 months in this location immediately prior to this date. In the latter case, the location of origin is the capital city of the country of his/her nationality. In case of a researcher holding more than one nationality, the location of origin is the capital city of the country where the researcher was residing for the longest period during the last 5 years prior to the relevant deadline for submission of the proposal.

3. Parental leave: means the period of leave related to a maternity or a paternity to be taken

by the researcher under the law referred to in Article III.3.1.g).

Part A: Implementation of the Project

SECTION 1 - IMPLEMENTATION AND DELIVERABLES III.2 - Performance obligations In addition to the obligations identified in Article II.3.1, the contractor shall: a) conclude an agreement with the researcher pursuant to Article III.3 and host the

researcher for the periods specified in Annex I; b) ensure that the researcher is covered under a social security scheme providing an

adequate protection in terms of level and scope at any place of the implementation of the research activities;

c) ensure that the researcher enjoys, at any place of the implementation of the research

activities the same standards of safety and occupational health as those awarded to local researchers holding a similar position;

d) execute, by the due dates, in accordance with the agreement provided for in

Article III.3, all the payments for which it is responsible;

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e) have, throughout the duration of the contract, the means, including the infrastructure,

equipment and products, for implementing the project in the scientific and technical fields concerned and to make these means available to the researcher, as necessary;

f) provide reasonable assistance to the researcher in all administrative procedures required

by the contractor’s relevant authorities; g) record and update, for at least three years after the end of the project, the contact details

of the researcher; h) inform the Commission of any event which might affect the implementation of the project

and the rights of the Community and of any circumstance affecting the conditions of participation referred to in the Research Fund for Coal and Steel, the Financial Regulation and any requirements of the contract, including: - any organisational change, - any significant modification relating to the agreement, - parental leave at the request of the researcher and its consequences pursuant to the

applicable national law under Article III.3.1.g), in particular its duration, its financial implications and the legal and contractual obligations of the contractor during this period.

III.3 - The contractor’s relationship with the researcher 1. The agreement shall determine, in accordance with the contract, the conditions for

implementing the research activities and the respective rights and obligations of the researcher and the contractor under the project.

The contract shall be annexed to the agreement, as well as any amendment to the contract. The agreement must be kept by the contractor for the purposes of audit for the period mentioned in Article II.20. The agreement shall be in conformity with the contract.

The agreement shall specify in particular:

a) the name of the scientist in charge of supervising the researcher activities indicated

in Annex I;

b) the amounts that the researcher is entitled to receive from the contractor pursuant to this contract and the arrangements for payment of the amounts due to the researcher;

c) any additional contribution paid by the contractor to the researcher for the purpose

of this project and the arrangements for payment of this amount;

d) any amount deducted, subject to a legal justification;

e) that the researcher, for his/her research activities, will continue to be employed by his organisation of origin and thus shall receive other incomes than those received from the contractor pursuant to points b) and c) of this paragraph;

f) the conversion and exchange rate(s) used, including the reference date(s) and

source(s), when payments are made in a national currency other than the Euro;

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g) the law applicable to the agreement; h) the social security coverage provided to the researcher, in conformity with Article

III.2.b);

i) the provisions for annual and sickness leave according to the internal rules of the contractor;

j) that the researcher must devote him/herself full-time to the research activities unless

there are duly justified reasons connected to personal or family circumstances and subject to prior approval of the Commission;

k) the description and the timetable for the implementation of the research activities, in

case that those activities are split in several separate periods;

l) the total duration of the agreement, the nature and the date of the appointment of the researcher in terms of status, provided that the requirements set forth in Article III.11 are respected and that the working conditions are comparable to those awarded to local researchers holding a similar position;

m) the location(s) where the research activities will take place, as referred to in Annex I;

n) that the researcher shall inform the contractor as soon as possible of circumstances

likely to have an effect on the performance of the contract, such as: - any modification relating to the agreement - any modification relating to the information having served as a basis for the award

of this accompanying measure Type 3 under the Research Fund for Coal and Steel;

- a pregnancy or a sickness that may directly have an effect on the implementation of the project;

o) the arrangements between the contractor and the researcher during the research and

training activities and beyond relating to intellectual property rights, in particular the access to pre-existing know-how, the use of knowledge, publicity and confidentiality provided that they are compatible with the provisions foreseen in Articles II.9, II.12, II.23, II.24, II.25, II.26 and Articles III.6, III.7, III.10, III.11;

p) that the researcher shall commit him/herself to keep the contractor informed for

three years following the end of the project of any change in his/her contact details; r) that the researcher will acknowledge the support of the Community under the

Research Fund for Coal and Steel in any related publications or other media in accordance with Article III.7.

2. The payment arrangements referred to in paragraph 1.b) of this Article shall be based, on

the principle of monthly payments in arrears unless contrary to the applicable law mentioned in paragraph 1.g) of this Article. They must provide for payments to the researcher from the beginning of his/her appointment as well as for payment of the full amounts allocated for the benefit of the researcher at the latest at the end of the project.

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III.4 - Suspension and prolongation of the project 1. In addition to the provisions of Article II.6.1, the contractor can propose to suspend part,

or all, of the project due to personal, family (including parental leave) or professional reasons of the researcher not foreseen in Annex I. The request of suspension by the contractor must be accompanied by the necessary justifications. The extension of the project will be equal to the period of suspension.

2. The contractor shall inform the researcher of the Commission decision. III.5 - Submission of project final report In addition to the provisions of Article II.7, the final activity report shall be signed by the scientist in charge indicated in Annex I and by the researcher. III.6 - Confidentiality The contractor shall ensure that the researcher has the same rights and complies with the same obligations as the contractor, as referred to in Article II.9. III.7 - Publicity The contractor shall ensure that the researcher has the same rights and complies with the same obligations as the contractor, as referred to in Article II.12. SECTION 2- TERMINATION OF THE CONTRACT AND RESPONSIBILITY III.8 - Termination of the contract In addition to the circumstances provided for in Article II.15.2, the Commission may terminate the contract in the following circumstances: a) when the researcher for any reason is no longer in a position to continue working under

the project; b) when the agreement between the contractor and the researcher is terminated due to non-

compliance in respect to their obligations under the agreement; c) when the researcher has made false declarations for which (s)he may be held responsible,

or has deliberately withheld material information in order to obtain the Community's financial contribution or any other advantage provided for by the contract.

Part B - Financial Provisions The researcher must have an employment contract and must undertake a physical transnational mobility at the start of the research activities or within less than 12 months before the relevant deadline for submission of the proposal. Any status proposed to the researcher shall be compatible with the applicable legislation of the contractor and shall ensure that adequate social security has been provided to the researcher, but not paid from the financial contribution granted under this contract.

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Payments are for the exclusive benefit of the researcher13 and consist of: a) A monthly contribution to the mobility costs of the researcher b) A travel allowance, for one return journey between his/her location of origin and the

contractor’s premises for every period of 12 months or less when the first period or the last period is less than 12 months. The first travel allowance should be paid upon taking up appointment and yearly after. Only one travel allowance shall be paid per period of 12 months.

Part C - Intellectual Property Rights III.10 - Access rights In addition to the provisions of Article II.26, the contractor shall ensure that the researcher enjoys, on a royalty-free basis, access rights to the pre-existing know-how and to the knowledge, if that pre-existing know-how or knowledge is needed for his/her research training activities under the project. III.11 - Incompatible or restrictive commitments The contractor shall inform, as soon as possible, the researcher of any restriction which might substantially affect the granting of access rights, as the case may be.

13 Except a 5% flat rate of the total financial contribution granted by the Commission covering administrative

and management costs incurred by the contractor.

ANNEX IX

ANNEX IX

COUNCIL DECISION of 1st February 2003

Laying down the multiannual technical guidelines for the research programme of the Research Fund for Coal and Steel

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COUNCIL DECISIONof 1 February 2003

laying down the multiannual technical guidelines for the research programme of the ResearchFund for Coal and Steel

(2003/78/EC)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the EuropeanCommunity,

Having regard to the Protocol annexed to the Treaty estab-lishing the European Community on the financial consequencesof the expiry of the ECSC Treaty and on the Research Fund forCoal and Steel,

Having regard to Council Decision 2003/76/EC of 1 February2003 establishing the measures necessary for the implementa-tion of the Protocol, annexed to the Treaty establishing theEuropean Community, on the financial consequences of theexpiry of the ECSC Treaty and on the Research Fund for Coaland Steel (1), and in particular Article 4(3) thereof,

Having regard to the proposal from the Commission (2),

Having regard to the opinion of the European Parliament (3),

Whereas:

(1) The revenue from investments of the net worth of theassets of the ECSC in liquidation and, on completion ofthe liquidation, the Assets of the Research Fund for Coaland Steel, are being assigned to the Research Fund forCoal and Steel, which is intended exclusively to fundresearch projects outside the Research FrameworkProgramme in the sectors related to the coal and steelindustry.

(2) The Research Fund for Coal and Steel is to be managedby the Commission in accordance with principles similarto those governing the present ECSC coal and steel tech-nical research programmes and on the basis of multi-annual technical guidelines which should constitute anideal extension of those ECSC programmes, providing ahigh concentration of research activities and ensuringthat they supplement those of the Community frame-work programme for research and technological devel-opment.

(3) In the framework of these management activities, theCommission will be assisted by a managementcommittee composed of representatives of MemberStates as well as advisory and technical groups repre-senting a wide range of interests of industries and otherstakeholders,

HAS ADOPTED THIS DECISION:

Article 1

The multiannual technical guidelines for the researchprogramme of the Research Fund for Coal and Steel (herein-after referred to as ‘technical guidelines’) are set out in theAnnex.

Article 2

The technical guidelines shall be reviewed or supplemented, ifappropriate, every five years, first period ending on 31December 2007. To this end, and at the latest in the first sixmonths of the last year of each five-year period, the Commis-sion shall reassess the operation and the effectiveness of thetechnical guidelines and shall propose any appropriate amend-ments.

If it sees fit, the Commission may carry out such reassessmentand shall submit proposals for any appropriate amendments tothe Council before the expiry of the five-year period.

Article 3

This Decision shall take effect on the day following that of itspublication in the Official Journal of the European Union.

It shall apply from 24 July 2002.

Article 4

This Decision is addressed to the Member States.

Done at Brussels, 1 February 2003.

For the Council

The PresidentG. PAPANDREOU

5.2.2003L 29/28 Official Journal of the European UnionEN

(1) See page 22 of this Official Journal.(2) OJ C 29, 30.1.2001, p. 254.(3) OJ C 87, 11.4.2002, p. 19.

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ANNEX

TECHNICAL GUIDELINES FOR THE RESEARCH PROGRAMME OF THE RESEARCH FUND FOR COAL ANDSTEEL

1. THE PROGRAMME

1.1. Objectives

As a continuation of the European Coal and Steel Community Coal and Steel Research and Technical Develop-ment Programmes (ECSC RTD programmes) and within the framework of sustainable development, a ResearchProgramme of the Research Fund for Coal and Steel (hereinafter referred to as the programme) shall be estab-lished. The objective of the programme is to support the competitiveness of the Community sectors related tothe coal and steel industry. The programme shall be consistent with the scientific, technological and politicalobjectives of the European Union, and shall complement the activities carried out in the Member States andwithin the existing Community research programmes, such as the framework programme of the EuropeanCommunity for research, technological development and demonstration activities (hereinafter referred to as theResearch Framework Programme). Coordination, complementarity and synergy between these programmes shallbe encouraged, as shall the exchange of information between projects financed under this programme and thosethat are financed under the Research Framework Programme.

1.2. Main principles

The programme shall provide financial assistance for allowable projects, accompanying measures and otheractions as defined in point 1.5 by promoting cooperation between undertakings, research centres and universi-ties. The programme shall cover production processes, utilisation, conservation of resources, environmentalimprovements and safety at work in sectors related to the coal and steel industry.

The terms ‘coal’ and ‘steel’ are defined in Appendix A.

1.3. Scope

These guidelines describe the structure, management and implementation of the programme, its scientific andtechnical content and priorities as a complement to other existing research programmes and the participationrules.

These guidelines include the call for proposals for the programme described in point 3.1 and the scientific/tech-nical and socioeconomic priorities described in Appendices B and C, which may be amended by the Commis-sion in accordance with the procedure described in point 2.1.

1.4. Participation

1.4.1. Member States

Undertakings, research institutes or natural persons established within the territory of a Member Statemay participate in the programme and apply for financial assistance, provided that they intend to carryout an RTD activity or can substantially contribute to such an activity.

1.4.2. Applicant States

Undertakings, research institutes or natural persons in applicant States shall be entitled to participatewithout receiving any financial contribution under the programme, unless otherwise provided under therelevant European Agreements and their additional Protocols, and in the decisions of the various Associa-tion Councils.

1.4.3. Third countries

Undertakings, research institutes or natural persons from third countries shall be entitled to participateon the basis of individual projects without receiving any financial contribution under the programme,provided that such participation is in the interest of the Community.

1.5. Allowable projects, accompanying measures and other actions

Research, pilot and demonstration projects, accompanying measures and support and preparatory actions mayall be financed under the programme.

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A research project is intended to cover investigative or experimental work with the aim of acquiring furtherknowledge to facilitate the attainment of specific practical objectives such as the creation or development ofproducts, production processes or services.

A pilot project is characterised by the construction, operation and development of an installation or a significantpart of an installation on an appropriate scale and using suitably large components with a view to examiningthe potential for putting theoretical or laboratory results into practice and/or increasing the reliability of thetechnical and economic data needed to progress to the demonstration stage, and in certain cases to the industrialand/or commercial stage.

A demonstration project is characterised by the construction and/or operation of an industrial-scale installationor a significant part of an industrial-scale installation with the aim of bringing together all the technical andeconomic data in order to proceed with the industrial and/or commercial exploitation of the technology atminimum risk.

Accompanying measures relate to the promotion of the use of knowledge gained, the clustering of projects, thedissemination of results and support for the training and mobility of researchers in connection with projectsfunded under the programme.

Support and preparatory actions are those appropriate to the sound and effective management of theprogramme, such as the periodic monitoring and assessment referred to in point 4, studies or the networking ofrelated projects funded under the programme.

2. MANAGEMENT OF THE PROGRAMME

The programme shall be managed by the Commission. The following committee and groups shall be established toassist the Commission:

(a) the Coal and Steel Committee described in point 2.1;

(b) the Coal and Steel Advisory Groups described in point 2.2;

(c) the Coal and Steel Technical Groups described in point 2.3.

2.1. The Coal and Steel Committee

2.1.1. The Commission shall be assisted by the Coal and Steel Committee (hereinafter referred to as theCommittee). Articles 4 and 7 of Council Decision 1999/468/EC of 28 June 1999 laying down the proce-dures for the exercise of implementing powers conferred on the Commission (1) shall apply by analogy.The period laid down in Article 4(3) of that Decision shall be set at three months.

2.1.2. The Committee may examine any question raised by its Chairman, either on the latter's initiative or atthe request of the representative of a Member State.

2.1.3. The Committee shall adopt its rules of procedure.

2.1.4. The following matters shall be adopted in accordance with the procedure referred to in point 2.1.1:

(a) the allocation of funds to individual projects, in accordance with point 3.3(3);

(b) the drawing-up of terms of reference for the monitoring and assessment of the programme referredto in point 4;

(c) any amendment of Appendices B and C to these guidelines;

(d) any other issue relating to the programme.

2.1.5. The Commission shall provide the Committee with information on the programme as a whole and onthe progress and actual or anticipated impact of all funded RTD actions.

2.2. The Coal and Steel Advisory Groups

The Coal and Steel Advisory Groups (hereinafter referred to as ‘the Advisory Groups’) shall be independent tech-nical advisory groups established to assist the Commission. For the coal and steel-related RTD aspects respec-tively, each Advisory Group shall advise on:

(a) the overall development of the programme, priorities listed in appendices B and C, including any amend-ments, the information package as referred to in point 3.1 and future guidelines;

(b) the consistency and the possible duplication with other RTD programmes at Community and national level;

(c) the setting out of the guiding principles for monitoring RTD projects;

(d) the work being undertaken on specific projects;

(e) the definition of the short term priorities of the programme, in accordance with Appendices B and C;

(f) the preparation of a manual for evaluating and selecting RTD actions, as referred to in point 3.3;


(1) OJ L 184, 17.7.1999, p. 23.

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(g) the evaluation of proposals for RTD actions and the priority to be given to those proposals, having regardto the funds available;

(h) the number, competence and composition of the Technical Groups referred to in point 2.3;

(i) other measures when requested to do so by the Commission.

Each Advisory Group shall be composed of members, as referred to in point 2.2.1 and point 2.2.2, appointedby the Commission to serve in a personal capacity for a period of five years. Appointments may be withdrawn.The Commission shall consider proposals for appointments received in the following ways: on a proposal bythe Member States; on a proposal by the entities referred to in point 2.2.1 and point 2.2.2; in response to a callfor applications for inclusion on a reserve list.

There should be at least one member from each Member State which is interested, and within each AdvisoryGroup a balanced range of expertise and the broadest possible geographical representation must be ensured.Members must be active in the field concerned and be aware of the industrial priorities.

The meetings of the Advisory Groups shall be chaired by the Commission, which shall also provide the secre-tariat. If necessary, the Chairman may request members to vote; every member has the right to one vote. TheChairman may invite visiting experts to take part in meetings where appropriate.

If necessary (e.g. to provide advice on matters of relevance for both sectors), the two Advisory Groups shallconvene in joint meetings.

2.2.1. The Coal Advisory Group

The composition of the Coal Advisory Group shall be as follows:

Members Maximum total

a) From coal producers/national federations or related research centres 8

b) From organisations representing coal producers at European level 2

c) From coal users or related research centres 8

d) From organisations representing coal users at European level 2

e) From organisations representing workers 2

f) From organisations representing equipment suppliers 2

24

Members must have a wide background knowledge and individual expertise in one or more of thefollowing areas: coal mining and utilisation, environment and social issues, including safety aspects.

2.2.2. The Steel Advisory Group

The composition of the Steel Advisory Group shall be as follows:

Members Maximum total

a) From steel industries/national federations or related research centres 21

b) From organisations representing producers at European level 2

c) From organisations representing workers 2

d) From organisations representing downstream processing industries or steel users 5

30


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Members must have a wide background knowledge and individual expertise in one or more of thefollowing areas: raw materials; ironmaking; steelmaking; continuous casting; hot and/or cold rolling; steelfinishing and/or surface treatment; development of steel grades and/or products; steel applications andproperties; environmental and social issues, including safety aspects.

2.3. The Coal and Steel Technical Groups

The role of the Coal and Steel Technical Groups consists of assisting the Commission in the monitoring ofresearch and pilot/demonstration projects. Members shall be appointed by the Commission and shall come fromthe sectors related to the coal and steel industry, research organisations or user industries where they shouldhave responsibility for research strategy, management or production.

3. IMPLEMENTATION OF THE PROGRAMME

3.1. Call for proposals

An open and continuous call for proposals is launched by this Decision, with 15 September of each year beingthe cut-off date for the submission of proposals for evaluation, starting with the year 2002.

The Commission shall establish and make public, including on the Community Research and DevelopmentInformation Service (CORDIS) or corresponding website an information package providing proposers and inter-ested parties with practical information on the programme, participation rules, methods of managing proposalsand projects, application forms, rules for the submission of proposals, model contracts, allowable costs, themaximum financial contribution allowable and methods of payment.

Applications must be submitted to the Commission in accordance with the rules laid down in the informationpackage, of which a paper copy can be obtained from the Commission on request.

3.2. Content of proposals

The proposals must relate to the scientific/technical and socioeconomic priorities laid down in Appendices Band C.

Each proposal must include a detailed description of the proposed project and contain full information on objec-tives, partnerships (including the precise role of each partner), management structure, anticipated results,expected applications and an assessment of anticipated industrial, economic, social and environmental benefits.

The proposed total cost and its breakdown must be realistic and effective, and the project must be expected toproduce a favourable cost/benefit ratio.

3.3. Evaluation and selection of proposals and monitoring of projects.

The Commission shall ensure a confidential, fair and equitable evaluation of proposals. The Commission shallestablish and publish a manual for the evaluation and selection of RTD actions as specified in point 2.2(f).

The evaluation and selection of proposals shall be carried out under the responsibility of the Commission asfollows:

1. After receiving and recording the proposals and verifying their eligibility, the Commission shall evaluatethem with the assistance of the relevant Advisory Group referred to in point 2.2(g), and, if necessary, inde-pendent experts;

2. The Commission shall draw up a list of the proposals adopted in order of merit;

3. The Commission shall decide on the choice of projects and the allocation of funds, assisted by theCommittee, in accordance with the procedure referred to in point 2.1.1.

The Commission shall, assisted by the technical groups referred to in point 2.3, monitor research projects andactivities.

3.4. Contracts

Projects based on selected proposals and measures and actions as specified under point 1.5 shall form thesubject of a contract. Contracts shall be based on relevant model contracts drawn up by the Commission, takingaccount, as appropriate, of the nature of the activities concerned.

Contracts shall define the financial contribution allocated under the programme on the basis of the allowablecosts, as well as the rules concerning cost reporting, the closure of accounts and audits.


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3.5. Financial contribution

The programme shall be based on cost-sharing RTD contracts. The total financial contribution including anyother additional public funding shall conform to the applicable rules on State aid.

Without prejudice to the previous paragraph, the maximum total financial contribution, expressed as a percen-tage of the allowable costs defined in point 3.6, shall be:

a) for research projects: up to 60%

b) for pilot and demonstration projects: up to 40%

c) for accompanying measures, support and preparatory actions: up to 100%

3.6. Allowable costs

The allowable costs shall cover only actual costs incurred for the work carried out under the contract. Contrac-tors, associated contractors and subcontractors cannot claim any budgeted or commercial rates. The allowablecosts shall be broken down into the following four categories:

3.6.1. Equipment costs

The costs of purchasing or hiring equipment directly related to the execution of the project shall bechargeable as direct costs. The allowable costs for the leasing of equipment shall not exceed any allow-able costs for its purchase.

3.6.2. Staff costs

The costs of actual hours devoted exclusively to the project by scientific, postgraduate or technical staffand the staff costs of manual workers directly employed by the contractor shall be chargeable. Any addi-tional staff costs (e.g. scholarships) shall require the Commission's prior written approval. All workinghours charged must be recorded and certified.

3.6.3. Operating costs

Operating costs directly related to the execution of the project shall be limited solely to the cost of:

(a) raw materials;

(b) minor items of regular consumption;

(c) the use of consumable items;

(d) energy;

(e) the maintenance or repair of equipment;


(g) the alteration and transformation of existing equipment;

(h) IT services;

(i) the rental of equipment;

(j) miscellaneous analyses;

(k) special examinations and tests;

(l) assistance from third parties;

(m) travel and subsistence costs.

3.6.4. Indirect costs

All other expenses (overhead costs or overheads) which may arise in connection with the project andwhich are not specifically identified in the preceding categories shall be covered by a lump sumamounting to 30 % of the allowable staff costs as referred to in point 3.6.2.

3.7. Technical reports

For research, pilot and demonstration projects, as described under point 1.5, a report must be drawn up everysix months by the contractor(s). Such reports shall be used to describe the technical progress made. On comple-tion of the work, a final report comprising an assessment of exploitation and impact shall be provided. Thisreport shall be published by the Commission in full or in summarised form depending on the strategic relevanceof the project. The decision shall be taken by the Commission after consultation, if necessary, of the relevantAdvisory Group. Where appropriate, final reports on accompanying measures as well as support and prepara-tory actions shall be required and published.


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4. ANNUAL REVIEWS, MONITORING AND ASSESSMENT OF THE PROGRAMME

The Commission shall conduct an annual review of activities under the programme and the progress of the RTDwork. The report containing that review shall be forwarded to the Committee.

The programme shall be the subject of a monitoring exercise, including an assessment of the expected benefits. Areport on that exercise shall be issued by the end of 2006, and thereafter every five years. These reports shall beforwarded to the European Parliament, the Council, the Committee and the Advisory Groups.

An assessment of the programme shall be carried out on completion of the projects financed during every period offive years, with the first period ending in 2008. The benefits of the RTD to society and to the relevant sectors shallalso be assessed. The assessment report shall be published.

The Commission shall draw up the terms of reference for the monitoring exercise and the assessment; the Commis-sion shall be assisted by the Committee. Both the monitoring and assessment shall be carried out by panels of highlyqualified experts appointed by the Commission.

5. TRANSITIONAL CLAUSE

The Commission shall take the appropriate steps to ensure a smooth transition from the ECSC RTD programmes tothe programme. ECSC contracts which are still running on expiry of the ECSC Treaty shall be managed by theCommission in accordance with their contractual obligations, with a view to harmonising the management of theECSC contracts and the contracts under the programme.


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Appendix A

RESEARCH PROGRAMME OF THE RESEARCH FUND FOR COAL AND STEEL

DEFINITION OF THE TERMS ‘COAL’ AND ‘STEEL’

1. COAL

(a) Hard coal;

(b) Hard coal briquette;

(c) Coke and semi-coke derived from hard coal;

(d) Lignite;

(e) Lignite briquettes;

(f) Coke and semi-coke derived from lignite.

The term ‘hard coal’ includes the high and medium-ranking ‘A’ coals (sub-bituminous coals) as defined in the ‘Interna-tional codification system of coal’ of the UN Economic Commission for Europe. The term ‘lignite’ includes the low-ranking ‘C’ coals (or ortho-lignites) and the low-ranking ‘B’ coals (or meta-lignites) of the same classification. Withregard to lignite, the programme shall apply solely to lignite used for electricity production or for combined heat/electricity production and not intended for the manufacture of briquettes or semi-coke.

2. IRON AND STEEL

(a) Raw materials for iron and steel production, such as iron ore, sponge iron and ferrous scrap;

(b) Pig iron (including hot metal) and ferro-alloys;

(c) Crude and semi-finished products of iron, ordinary steel or special steel (including products for re-use and re-rolling), such as liquid steel cast by continuous casting or otherwise, and semi-finished products such as blooms,billets, bars, slabs and strips;

(d) Hot finished products of iron, ordinary steel or special steel (coated or uncoated products, excluding steel cast-ings, forgings and powder metallurgy products), such as rails, sheet piling, structural shapes, bars, wire rods,plates and universal plates, strips and sheets, and tube rounds and squares;

(e) End products of iron, ordinary steel or special steel (coated or uncoated), such as cold-rolled strips and sheets andelectrical sheets;

(f) Products of the first-stage processing of steel that can enhance the competitive position of the above iron andsteel products, such as tubular products, drawn and polished products, cold-rolled and cold-formed products.


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Appendix B


SCIENTIFIC/TECHNICAL AND SOCIO-ECONOMIC PRIORITIES

COAL RTD

Research and technical development constitute a very important means of supporting Community energy objectives withregard to the supply of Community coal and its competitive and environmentally-friendly conversion and utilisation.Moreover, the growing international dimension of the coal market and the global scale of the problems confronting itmeans that the European Union has to take a leading role in meeting challenges relating to modern techniques, minesafety and environmental protection at worldwide level by ensuring the transfer of know-how required for further tech-nological progress, improved working conditions (health and safety) and enhanced environmental protection. Thepriority areas are set out in points 1 to 4 below, the order of which does not represent priority as between these points.

1. IMPROVING THE COMPETITIVE POSITION OF COMMUNITY COAL

The objective is to reduce the total costs of mining production, improve the quality of the products and reduce thecosts of using coal. Research projects encompass the entire coal production chain:

— modern techniques for surveying deposits,

— integrated mine planning,

— highly efficient, largely automated excavation and mining technologies corresponding to the geological character-istics of European hard coal deposits,

— appropriate support technologies,

— transport systems,

— power supply services, communication and information, transmission, monitoring and process control systems,

— coal preparation techniques, oriented to the needs of the consumer markets,

— coal conversion,

— coal combustion.

Research projects shall also aim to achieve scientific and technological progress with a view to gaining a better under-standing of the behaviour and control of deposits in relation to rock pressure, gas emissions, the risk of explosion,ventilation and all other factors affecting mining operations. Research projects with these objectives must present theprospect of results applicable in the short or medium term to a substantial part of Community production.

Preference is given to projects that promote at least one of the following:

(a) integration of individual techniques in systems and methods and the development of integrated mining methods;

(b) substantial reduction of production costs;

(c) benefits in terms of mine safety and the environment.

2. HEALTH AND SAFETY IN MINES

The required developments just mentioned must be accompanied by appropriate efforts in the field of mine safety, aswell as in gas control, ventilation and air-conditioning. Furthermore, underground working conditions raise the needfor specific improvements with regard to occupational health and safety.

3. EFFICIENT PROTECTION OF THE ENVIRONMENT AND IMPROVEMENT OF THE USE OF COAL AS ACLEAN ENERGY SOURCE

Research projects with this objective seek to minimise the impact of mining operations and the use of coal in theCommunity on the atmosphere, water and the surface within the framework of an integrated management strategywith respect to pollution. As the Community coal industry is undergoing constant restructuring, the research is alsogeared towards minimising the environmental impact of underground mines destined for closure.

Preference is given to projects that envisage:

(a) a reduction in greenhouse gas emissions, in particular methane, from coal deposits;

(b) the return to the mine of mining waste, fly ash and desulphurisation products, accompanied, where relevant, byother forms of waste;


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(c) the refurbishment of waste heaps and the industrial use of residues from coal production and consumption;

(d) the protection of water tables and the purification of mine drainage water;

(e) a reduction in the environmental impact of installations which mainly use Community coal and lignite;

(f) the protection of surface installations against the effects of subsidence in the short and long term;

(g) a reduction in emissions from coal utilisation.

4. MANAGEMENT OF EXTERNAL DEPENDENCE ON ENERGY SUPPLY

Research projects with this objective relate to the prospects for long-term energy supply and concern the upgrading— in economic, energy-related and environmental terms — of coal deposits which cannot be extracted economicallyby conventional mining techniques. Projects may include studies, the definition of strategies, fundamental and appliedresearch and the testing of innovative techniques which offer prospects for the upgrading of Community coalresources.

Preference is given to projects integrating complementary techniques such as the adsorption of methane or carbondioxide, coal bed methane extraction and underground coal gasification, etc.


190

Appendix C


SCIENTIFIC/TECHNICAL AND SOCIO-ECONOMIC PRIORITIES

STEEL RTD

With the general aim of increasing competitiveness and contributing to sustainable development, the main emphasis ofRTD is on the development of new or improved technologies to guarantee the economic, clean and safe production ofsteel and steel products characterised by steadily increasing performance, suitability to use, customer satisfaction,prolonged service life, easy recovery and recycling. The priority areas are set out in points 1 to 3 below, the order ofwhich does not represent priority as between these points.

1. NEW AND IMPROVED STEELMAKING AND FINISHING TECHNIQUES

RTD must aim to improve steel production processes with a view to enhancing product quality and increasingproductivity. Reducing emissions, energy consumption and the environmental impact as well as enhancing the use ofraw materials and the conservation of resources should form an integral part of the improvements sought. Researchprojects should address the following areas:

— new and improved iron-ore reduction processes,

— ironmaking processes and operations,

— electric arc furnace processes,

— steelmaking processes,

— secondary metallurgy techniques,

— continuous casting and near net shape casting techniques with and without direct rolling,

— rolling, finishing and coating techniques,

— hot and cold-rolling techniques, pickling and finishing processes,

— process instrumentation, control and automation,

— maintenance and reliability of production lines.

2. RTD AND THE UTILISATION OF STEEL

RTD on the utilisation of steel is essential for meeting the future requirements of steel users and creating new marketopportunities. Research projects should address the following areas:

— new steel grades for demanding applications,

— steel properties addressing mechanical properties at low and high temperatures such as strength and toughness,fatigue, wear, creep, corrosion and resistance against fracture,

— prolonging service life, in particular by improving the resistance of steels and steel structures to heat and corro-sion,

— steel-containing composites and sandwich structures,

— predictive simulation models on microstructures and mechanical properties,

— structural safety and design methods, in particular with regard to resistance to fire and earthquakes,

— technologies relating to the forming, welding and joining of steel and other materials,

— standardisation of testing and evaluation methods.

3. CONSERVATION OF RESOURCES AND IMPROVEMENT OF WORKING CONDITIONS

In both steel production and steel utilisation, the conservation of resources, the preservation of the ecosystem andsafety issues should form an integral part of the RTD work. Research projects should address the following areas:

— techniques for recycling obsolete steel from various sources and classification of steel scrap,

— steel grades and design of assembled structures to facilitate the easy recovery of steel scrap and its reconversioninto usable steels,

— control and protection of the environment in and around the workplace,

— restoration of steelworks sites,


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— improvement of working conditions and quality of life in the workplace,

— ergonomic methods,

— occupational health and safety,

— reduction of exposure to occupational emissions.


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ANNEX X

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ANNEX X

Research Fund for Coal and Steel GUIDELINES FOR TECHNICAL REPORTING

These guidelines provide the co-ordinator with details for the preparation of the technical reports referred to in the articles 5 and 7 of the contract and in its Annex III applicable for research, pilot and demonstration projects and accompanying measures for the promotion of the use of knowledge gained. It is the duty of the co-ordinator to ensure a timely preparation and transmission of these reports to the European Commission and to the appointed members of the relevant Technical Group.

1. GENERAL INFORMATION The project co-ordinator is responsible for the preparation, submission and proper circulation of all technical reports. The individual project leaders are responsible to supply in due time to the co-ordinator all required information in order to prepare the reports and to fulfil the contract requirements. The reports are essential documents for the Commission and the members of the relevant Technical Group for monitoring the progress of the project. The second pre-financing and the payment of the balance shall only be released upon receipt and approval of both: - the mid-term technical implementation (mid-term), final and publishable reports - the financial statements for the corresponding period. Failure to submit these reports in due time may result in the suspension of the relevant payment. The reporting language predominantly used is English. Should the report be prepared in one of the other official EU languages, please provide an English version of the abstract, table of contents and list of figures and tables. All reports (i.e. six-monthly, mid-term and final reports) should be distributed by the project coordinator as follows: Paper version • 2 copies to the Commission Electronic version • Upload of the report in electronic format to a common database of the Commission to

which the project co-ordinators and monitoring experts get specific access rights. (Users of the database will get all necessary instructions by the Commission in due time)

Guidelines for technical reporting

196

The two paper versions of the technical reports for the Commission shall be sent to the following address:

EUROPEAN COMMISSION RFCS PROGRAMME DG RTD.K4 CDMA 00/181 B – 1049 Brussels

2. GUIDELINES FOR THE SIX-MONTHLY REPORTS The six-monthly report has to be very concise and structured as follows. a) Cover page (for layout see Annex 1). b) Distribution list c) Table of contents d) Abstract

This abstract, of maximum 250 words, should highlight the main subjects and conclusions in a comprehensive albeit concise manner.

e) Six- monthly summary

The report should briefly describe the scientific and technical achievements and/or progress for the relevant period, along with any possible corrective actions required. (A simple compilation of individual reports produced by partners shall not be accepted). An overview (see Annex 2) and a bar chart comparing the original planning with the present activities shall be included.

A copy of the “Technical Annex” (Annex I to the contract), has to be included in the report.

3. GUIDELINES FOR THE MID-TERM TECHNICAL IMPLEMENTATION REPORT The mid-term technical implementation report covers the research work carried out and achievements made during the relevant reporting period. The mid-term report consists of two parts: Part 1: Management and co-ordination aspects and Part 2: Scientific and technical progress.


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The structure and the content of a mid-term report are described below: a) Cover page (lay out see Annex 1). b) Distribution list c) Table of contents d) Abstract

This abstract, of maximum 250 words, should highlight the main subjects and conclusions in a comprehensive albeit concise manner.

e) Mid-term summary Part 1 - Management and co-ordination aspects

This part describes the management and co-ordination aspects of the project. Its structure is as follows: • A project overview (see Annex 2) including information on actual expenditure

for the reporting period versus total budget • A bar chart comparing actual situation with initial planning; • A description of progress made and possible problems encountered, along

with corrective actions deemed necessary Part 2 - Scientific and technical progress

The report should describe the achievements and/or the progress made for the relevant period, on a task per task basis. A simple compilation of individual reports produced by partners shall not be accepted. The following items should be addressed: • Specific project objectives for the reporting period; • Results obtained (per task); • Publications and patents;

A copy of the “Technical Annex” (Annex I to the contract), has to be included in the report. The mid-term technical implementation report shall be submitted no later than 90 days after the end of the relevant period as referred to in the Article 5 of the contract.

4. GUIDELINES FOR THE FINAL REPORT The final report is an assessment of the entire project and should be suitable for a comprehensive technical review of the work performed. The entire final report must not exceed 150 pages in total (including all annexes), with a lean core report ideally of maximum 50 pages.


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The final report should be structured as follows: a) Cover page (for layout see Annex 1) b) Distribution list c) Table of contents d) Abstract

An abstract of maximum 250 words should highlight the main subjects and conclusions in a comprehensive albeit concise manner. It will be printed on the back cover of the publishable report and available on the CORDIS website and in Euroabstracts.

e) Final summary

The summary report should not exceed 10 pages and address the most significant aspects on a task by task basis: project objectives, results obtained and their usefulness, possible applications and patents.

f) Scientific and technical description of the results

This section covers the research approach, a description of the experimental work performed on a task per task basis, highlighting the main results achieved. A simple compilation of individual reports produced by partners shall not be accepted. The section shall contain the following:

1) Objectives of the project 2) Comparison of initially planned activities and work accomplished

This part should describe major deviations, if any, from the initial plan and their effects on the project.

3) Description of activities and discussion This chapter should describe the project activities and highlight any innovation made.

4) Conclusions This section should indicate achievements made.

5) Exploitation and impact of the research results This section should address issues related to the exploitation of the results, notably: • Actual applications; • Technical and economic potential for the use of the results; • Any possible patent filing; • Publications / conference presentations resulting from the project; • Any other aspects concerning the dissemination of results.

g) List of figures and tables h) List of References

i) Appendices:

Appendices are recommended. Also, a copy of the “Technical Annex” (Annex I to the contract) should be attached here.


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The final report shall be submitted no later than 90 days from the beginning of the calendar year following the closing date of the project.

5. PUBLISHABLE REPORT The publishable report shall be prepared after approval of the final report.

5.1. Content of the publishable report If no changes have been requested, the content and structure of the publishable report should be identical to the final report with the following exceptions:

• the layout of the cover page must be modified and designed as indicated in Annex 3

• the distribution list and the Technical Annex must be removed from the report

In addition, a 250 words abstract must be prepared and provided together with the report. This abstract will be printed on the back cover of the published report. For pilot and demonstration projects the European Commission may publish a condensed report depending on the strategic relevance of the project results and the content of confidential information. However the condensed version has to describe the objectives, work done and results achieved without disclosing details which might jeopardise industrial property rights. 5.2. Instructions for the preparation and layout of the publishable report The publishable report must be complete and proof-read as it will not be possible to accept any later change. The printer will use the files as they are. The following items must be sent to the Commission: A. In electronic format, a CD-ROM containing three files:

1. the publishable report with page numbering, starting with page 1 & 2 in white (PDF format)

2. the identical publishable report, but with numbers removed from the bottom of each page

3. the cover pages and the 250 words abstract (WORD format)

B. As paper version, 1. one print-out in colour of the electronic version with page numbers 2. a list indicating all pages which should be published in colour

It is of paramount importance that the document is prepared carefully in a standard layout that ensures that all final reports are presented in a uniform manner.


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The following standard layout instructions are compulsory. Margins: Top:

Bottom: Left: Right:

20 mm border 20 mm border 24 mm border 24 mm border

Font: Times New Roman size 11

Typing: Use a normal type for the body of the text (i.e. in general do not use italic, bold or any other type)

Headers, footers, logos:

Do not include any headers, footers whatsoever (no company logos, contract or document references, border lines etc.)

Illustrations, graphics:

Make sure that included illustrations/graphics are all of a clear, readable quality, and that they are well positioned with adequate space between each illustration and the text preceding and following it.

Photographs: Photographs should be of satisfactory, legible quality.

Colours: Colours should be used if it is imperative to demonstrate a point or feature (colour printing adds significantly to the publishing cost). Try to avoid colours in the graphics and use symbols.

Page numbering:

For the numbered version, insert page numbering on the front of the pages, at the bottom. Pages 1-2 are the cover page, made by the printer. Start the page numbering with the final summary as page 3. Start new chapter/part on an odd page (5, 7, 9, etc). If you add white pages, do not forget to number them.

Table of content:

Prepare it carefully in accordance with the page numbering as it will be printed as it is!

Cover page: Please use the exact layout sample given in Annex 3. Do not include any additional information and logos on the cover page. There is no need to number it as it will be done by the printer. Save it on the same file with the 250 words abstract.

250 words abstract:

There is no need to number it as it will be printed on the back cover of the published report. Save it on the same file as the cover page.


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Annex 1

Cover page for Six-monthly Report, Mid-term Report and Final Report

Research Programme of the Research Fund for Coal and Steel < specify Steel or Coal > RTD

or Technical Steel Research (for the ECSC projects)

Project carried out with a financial grant of the Research Programme of the Research Fund for Coal and Steel

or European Coal and Steel Community

< specify Six-monthly Report or Mid-term Report or Final Report >

Technical Report No: < 1 / 2 / 3…. > Period of Reference: < dd/mm/yy – dd/mm/yy (the period covered in the specific

report) > Technical Group: < specify relevant Technical Group >

<Title of project>

Contract Number: < specify all reference details >

Contractors: < full company name(s)> Location: < full address of the research location(s) > Co-ordinator: < name of project co-ordinator > Authors: <author(s) of the specific report – please include affiliation> Commencement Date: < dd/mm/yy (start of project) > Completion Date: < dd/mm/yy (planned end of project) > New Completion Date: < dd/mm/yy (this field is only to be included in case the

original completion date has been changed >


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Annex 2

SIX-MONTHLY /MID-TERM PROJECT OVERVIEW

CATEGORY OF RESEARCH (COAL /STEEL):

TECHNICAL GROUP:

REFERENCE PERIOD:

CONTRACT N°:

PROJECT N°:

TITLE:

CONTRACTOR(S):

COMMENCEMENT DATE:

COMPLETION DATE:

NEW COMPLETION DATE:

WORK UNDERTAKEN:

MAIN RESULTS:

FUTURE WORK TO BE UNDERTAKEN:

ON SCHEDULE (YES /NO):

PROBLEMS ENCOUNTERED:

CORRECTION – ACTIONS (USE OF A TABLE IS RECOMMENDED):

BUDGET INFORMATION PER PARTNER:

COST OF THIS PERIOD (EURO): *

TOTAL COST TO DATE (EURO): *

TOTAL BUDGET (EURO) :

PUBLICATIONS – PATENTS :

* not applicable for six-monthly report.


203

Annex 3

Title page for Publishable Report

Research Programme of the Research Fund for Coal and Steel or

Technical steel research (for the ECSC steel projects)

<Name of relevant Technical Group>

<Title of project>

<Author’s initial and last name Affiliation

Complete address of Affiliation> +

<If more authors include the same details for each as per above>

<Contract number>

<Contract Period – e.g. 1 July 2003 to 30 June 2005>

Final Report

ANNEX XI

COUNTRY LEGAL FORM ABBREVIATION LEGAL FORM DESCRIPTION

GERMANYDE KGaA Kommanditgesellschaft auf AktienDE OHG Offene HandelsgesellschaftDE GmbH & Co. OHG Gesellschaft mit beschraenkter Haftung & Co. OHGDE GmbH & Co. KG Gesellschaft mit beschraenkter Haftung & Co. KGDE AG AktiengesellschaftDE GEN GenossenschaftDE GmbH Gesellschaft mit beschraenkter HaftungDE KG KommanditgesellschaftDE GbR Gesellschaft des bürgerlichen RechtsDE EWIV Europäische wirtschaftliche InteressenvereinigungDE SE Europäische AktiengesellschaftDE e.V. Eintragener vereinDE Stiftung bürgerlichen RechtsDE Verein

AUSTRIAAT OHG Offene HandelsgesellschaftAT KG KommanditgesellschaftAT GesbR Gesellschaft bürgerlichen RechtsAT AG AktiengesellschaftAT GmbH (GesmbH) Gesellschaft mit beschränkter HaftungAT GEN GenossenschaftAT EWIV Europäische Wirtschaftliche InteressenvereinigungAT SE Europäische GesellschaftAT GmbH & Co. KG Gesellschaft mit beschraenkter Haftung & Co. KG

BELGIUMBE SC/CV Société Coopérative - Samenwerkende Vennootschap

BE SCRL/CVBA Société Coopérative à Responsabilité Limitée - Coöperatieve Vennootschap met Beperkte Aansprakelijkheid

BE SA/NV Société Anonyme - Naamloze VennootschapBE SCS/GCV Société en Commandite Simple - Gewone Commanditaire Vennootschap

BE SCA/Comm.VA Société en Commandite par Actions - Commanditaire Vennootschap Op AandelenBE SNC/VOF Société en Nom Collectif - Vennootschap Onder Firma

BE SPRL/BVBA Société Privée à Responsabilité Limitée - Besloten Vennootschap met Beperkte Aansprakelijkheid

BE Société Civile - Burgerlijke Vennootschap

BE GEIE/EESVGroupement Européen d'Intérêt Economique - Europees Economisch Samenwerkingsverband

BE SE Société Européenne - Europese Vennootschap

BE SPRLU/EBVBA SPRL Unipersonnelle - Eenhoofdige Besloten Vennootschap met Beperkte Aansprakelijkheid

BE ASBL/VZW Association sans but lucratif - Vereniging zonder winstoogmerkBE Personne morale de droit privé poursuivant un but d'utilité publique

DANMARKDK A/S Aktieselskab DK ApS AnpartsselskabDK I/S Interessentskab DK K/S Kommanditselskab DK Kommanditaktieselkab DK AndelsforeningDK EOEFG Europaeiske Oekonomiske FirmagrupperDK SE Europaeisk Selskab

LEGAL FORM LIST PER COUNTRY

EUROPEAN COMMISSION ANNEX XIRESEARCH DIRECTORATE-GENERAL Research Fund for Coal and Steel

207




SPAIN

ES Asociación sin ánimo de lucroES SA Sociedad AnónimaES Sociedad CooperativaES Sociedad Cooperativa LimitadaES SL Sociedad de Responsabilidad LimitadaES SRC Sociedad Regular ColectivaES SC Sociedad en Comandita/ComanditariaES SCA Sociedad Comanditaria por Acciones ES AEIE Agrupación Europea de Interés EconómicoES ES Sociedad Anónima EuropeaES Fundación FundaciónES SC Sociedad Civil

FINLANDFI AY Avoin YhtiöFI KY KommandiittiyhtiöFI OK OsuuskuntaFI OY Yksityinen OsakeyhtiöFI OYJ Julkinen OsakeyhtiöFI ETEY Eurooppalainen Taloudellinen EtuyhtymäFI SE Eurooppayhtiö

FRANCEFR SNC Société en Nom CollectifFR SCS Société en Commandite SimpleFR SCA Société en Commandite par Actions FR SARL Société a Responsabilité LimitéeFR Société civile FR SA Société Anonyme (à conseil d'administration /à directoire)FR SC Société Coopérative FR GEIE Groupement Européen d'Intérêt EconomiqueFR SE Société EuropéenneFR EURL Entreprise Unipersonnelle à Responsabilité LimitéeFR Association (loi 1/7/1901)FR GIE Groupement d'Intérêt EconomiqueFR ASBL Association Sans But Lucratif/Association reconnue d'intérêt publicFR SAS Société par Actions SimplifiéesFR EPIC Etablissement Public Industriel et Commercial

GREECEGR AE (or SA) Anónyme Etaireia GR EPE Etaireia Periorismènes Euthýnes GR OE Omórrythme EtaireiaGR EE Eterórrythme Etaireia GR Eterórrythme katà metochés Etaireia GR Synetairistikè Etaireia

208




ITALYIT EPR Ente Pubblico Nazionale di RicercaIT SAPA Società in Accomandita per AzioniIT SAS Società in Accomandita SempliceIT SCARL Società Cooperativa a Responsabilità LimitataIT SCPA Società Consortile per AzioniIT GEIE Gruppo Europeo di Interesse EconomicoIT SE Società Europea

IT Società cooperativa

IT Società semplice

IT SNC Società in Nome CollettivoIT SpA Società per AzioniIT SRL Società a Responsabilità LimitataIT Società a responsabilità limitata a socio unico

EIREIE PLC (or CPT) Public Limited Liability CompanyIE LTD Private Limited Liability CompanyIE Single -Member Limited Liability CompanyIE General partnershipIE Limited partnershipIE Civil partnershipIE Co-operative CompanyIE EEIG European Economic Interest GroupingIE SE European Company

LUXEMBOURGLU SA Société AnonymeLU SARL Société à Responsabilité LimitéeLU SUARL Société Unipersonnelle a Responsabilité LimitéeLU SCA Société en Commandite par ActionsLU SECS Société en Commandite SimpleLU SC Société CoopérativeLU SCSA Société coopérative organisée comme une SALU SENC Société en Nom Collectif LU Sciv Société civileLU GEIE Groupement Européen d'Intérêt Economique LU SE Société Européenne

NETHERLANDNL CV Commanditaire VennootschapNL MaatschapNL Coop CoöperatieNL NV Naamloze VennootschapNL BV Besloten Vennootschap met Beperkte AansprakelijkheidNL Eenpersoonsvennootschap met Beperkte AansprakelijkheidNL VOF Vennootschap Onder FirmaNL EESV Europees Economisch Samenwerkingsverband NL SE Europese VennootschapNL Stichting

209




PORTUGALPT SA Sociedade AnónimaPT LDA Sociedade por Quotas or LimitadaPT SNC Sociedade em Nome Colectivo PT SCS Sociedade em Comandita SimplesPT SCA Sociedade em Comandita por AcçõesPT SCRL Sociedade cooperativa de Responsabilidade LimitadaPT Sociedade civil PT UNIPESSOAL LDA Sociedade Unipessoal por QuotasPT AEIE Agrupamento Europeu de Interesse EconómicoPT SE Sociedade Europeia

UNITED KINGDOMGB General PartnershipGB Company Incorporated by Royal CharterGB PLC Public Limited Liability CompanyGB Limited PartnershipGB Civil PartnershipGB Coop. Soc. Ltd Limited Liability Cooperative CompanyGB EEIG European Economic Interest GroupingGB SE European CompanyGB Private Company Limited by Guarantee

SLOVAKIASK Záujmové združenie právnických osôb

SWEDENSE AB Pub Publikt AktiebolagSE AB Privat AktiebolagSE HB HandelsbolagSE KB KommanditbolagSE Ekonomisk FöreningSE EEIG Europeisk Ekonomisk IntressegrupperingSE SE EuropabolagSE Övriga stiftelserSE Stiftelse

NORWAYNO AS AkjeselskapNO ASA AllmennaksjeselskapNO Forbruksforening/SamvirkelagNO ANS Ansvarlig SelskapPO KS Kommadittselskap

POLANDPO Jednostka Badawczo-RozwojowaPO SA Spólka AkcyjnaPO SpZOO Spòlka z Ograniczona OdpowiedzialnósciaPO Spólka JawnaPO Spóldzielnia

210

ANNEX XII

ANNEX XII

Please use the relevant worksheet according to the entity type

213

LEGAL ENTITIES

PRIVACY STATEMENT: http://ec.europa.eu/budget/execution/legal_entities_en.htm

INDIVIDUAL

TITLE

NAME

FIRST NAME

(NAME 2)

(NAME 3)

OFFICIALADDRESS

POSTAL CODE P.O. BOX

TOWN/ CITY

COUNTRY

VAT NR **

IDENTITY CARD NUMBER O

PASSPORT NUMBER O

D D M M Y Y Y Y

DATE OF BIRTH PLACE OF BIRTH

COUNTRY OF BIRTH

PHONE FAX

E-MAIL

THIS "LEGAL ENTITY" SHEET UST BE COMPLETED AND SIGNED, AND SUBMITTEDTOGETHER WITH A LEGIBLE PHOTOCOPY OF THE IDENTITY CARD OR PASSPORT** IF THIS FIELD IS FILLED IN, PLEASE ATTACH AN OFFICIAL VAT DOCUMENT

DATE AND SIGNATURE

215

PRIVACY STATEMENT:http://ec.europa.eu/budget/execution/legal_entities_en.htm

PRIVATE COMPANIES

NGO

NAME(S)

ABBREVIATION

ADDRESS OF

HEAD OFFICE

TOWN/CITY

COUNTRY

VAT (1)

D D M M Y Y Y Y

REGISTRATION NR (2)

PHONE FAX

E-MAIL

CONTACT PERSON

DATE AND SIGNATURE OF AUTHORISED REPRESENTATIVE

THIS "LEGAL ENTITIES" DOCUMENT SHOULD BE COMPLETED AND RETURNED TOGETHER WITH: (1) A COPY OF THE VAT REGISTRATION DOCUMENT IF APPLICABLE AND IF THE VAT NUMBER DOES NOT APPEAR ON THE OFFICIAL DOCUMENT REFERRED TO AT 2 BELOW. (2) A COPY OF SOME OFFICIAL DOCUMENTS (OFFICIAL GAZETTE, COMPANY REGISTER, ETC) SHOWING THE NAME OF THE LEGAL ENTITY, THE ADDRESS OF THE HEAD OFFICE AND THE REGISTRATION NUMBER GIVEN TO IT BY THE NATIONAL AUTHORITIES.


PLACE OF REGISTRATION

DATE OF REGISTRATION

LEGAL ENTITIES

TYPE OF COMPANY

YES NO (Non Gouvernemental Organisation)

216

LEGAL ENTITIES

PRIVACY STATEMENT:http://ec.europa.eu/budget/execution/legal_entities_en.htm

PUBLIC ENTITIES

NGO YES NO (Non Gouvernemental Organisation)

NAME(S)

ABBREVIATION

OFFICIAL ADDRESS


CITY

COUNTRY

VAT **

PLACE OF REGISTRATION

DATE OF REGISTRATION D D M M Y Y Y Y

REGISTRATION NR

PHONE FAX

E-MAIL

CONTACT PERSON

DATE: STAMP

NAME AND FUNCTION OF THE AUTHORISED REPRESENTATIVE

SIGNATURE

THIS "LEGAL ENTITIES" FORM SHOULD BE COMPLETED, SIGNED AND RETURNED TOGETHER WITH:

- A COPY OF THE RESOLUTION, LAW, DECREE OR DECISION ESTABLISHING THE ENTITY IN QUESTION; - OR FAILING THAT, ANY ANOTHER OFFICIAL DOCUMENT ATTESTING TO THE ESTABLISHMENT OF THE ENTITY BY THE NATIONAL AUTHORITIES

TYPE OF COMPANY

** IF THIS FIELD IS COMPLETED, PLEASE ATTACH AN OFFICIAL VAT DOCUMENT

217

ANNEX XIII

The other worksheets are available online from: http://www.cordis.lu/coal-steel-rtd/infopack.htm

Please use the relevant financial worksheet according to the country

ANNEX XIII

Financial Information (bank data) which are to be used for the contract

United Kingdom/Ireland worksheet is published as an example.

221

FINANCIAL IDENTIFICATION ANNEX XIII

OPTIONAL AT THE SUBMISSION STAGE

ACCOUNT HOLDER

NAME

ADDRESS

TOWN/CITY POSTCODE

COUNTRY VAT NUMBER

CONTACT PERSON

TELEPHONE FAX

E - MAIL

BANK

BANK NAME

BRANCH ADDRESS

TOWN/CITY POSTCODE

SORT CODE ACCOUNT NUMBER

IBAN (Obligatory)

REMARKS :

BANK STAMP + SIGNATURE BANK REPRESENTATIVE DATE + SIGNATURE ACCOUNT HOLDER :(Both Obligatory) (Obligatory)

IRELAND/UNITED KINGDOM

223

Manuscript completed in April 2007

EUROPEAN COMMISSION



Contact: RFCS publicationsAddress: European Commission, CDMA 0/124, B-1049 BrusselsFax (32-2) 29-65987, e-mail: [email protected]: http://cordis.europa.eu/coal-steel-rtd

Interested in European research? Research* eu is our monthly magazine keeping you in touch with main developments (results, programmes, events, etc.). It is available in English, French, German and Spanish. A free sample copy or free subscription can be obtained from:

European Commission Directorate-General for ResearchCommunication UnitB-1049 BrusselsFax (32-2) 29-58220E-mail: [email protected]: http://ec.europa.eu/research/research-eu

European Commission

Research programme of the Research Fund for Coal and Steel (RFCS)Information package - Forms

2007 —223 pp. — 21.0 x 29.7 cm

ISBN: 92-79-05593-5

INF

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Research programme of the Research Fund for Coal and Steel (RFCS)

Information packageForms

Edition 2007

15

This Information package is intended to assist organisations and persons who are interested in submitting an application for financial support under the Research Fund for Coal and Steel. This document is composed of two parts:

- The first part, Practical information, aims at helping understand the procedures for proposal preparation and submission, project monitoring and project reporting.

- The second part, Forms, contains the different forms which should be downloaded from the website and fulfilled to submit proposals.

All the forms are available from: http://cordis.europa.eu/coal-steel-rtd

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