A.

THE FIFTH FRAMEWORK PROGRAMME

The Fifth Framework Programme focuses on Community

activities in the field of research, technological development

and demonstration (RTD) for the period 1998 to 2002

CONTRACT PREPARATION FORMS (CPF)

for

Financial support from the EC

for shared-cost RTD actions:

research and technological development projects,

demonstration projects,

and

combined projects *

Part 3:

Contractor's Forms (A8.1 - A8.4 and Annex 2: Financial data)

These forms must be used together with Part 1, the notes to the forms.

This document can be downloaded from URL: http://www.cordis.lu/ fp5/cpf.htm

Final Version, 12 August, 1999

Ref. No. cpf_rtdp_en_199901C

Contractor's Section

Contract Preparation forms

(A8.1-A8.4)

Shared Cost RTD CPF Form – Form A8.1 1/2

European Commission

Research Directorates General
Shared Cost
RTD CPF Forms

FP5RTD

for commission use only

Project Acronym ²

Proposal No ³

A8.1

Participant Profile/Information (1 form per participant) (part 1/2)⁵⁰

Legal information on the participating organisation

Participant Role ²²

Participant No ²³

Assistant to Contractor No ²⁴

Registration No with the European Commission's Research Programmes ⁵¹

Organisation Legal Name ⁵²

Short Name ⁵³

Legal Registration No ⁵⁴

VAT No ⁵⁵

Activity Type ⁵⁶

Legal Status ⁵⁷

If 'PRC', Specify ⁵⁸

Business Area ⁵⁹(NACE)

User/Supplier⁶⁰(U / S)

Cost Basis ⁶¹ (FC / FF / AC)

Legal Address of the organisation⁶²

PO Box ¹¹

Street Name and Number

Post Code ¹²

Cedex ¹³

Town/City

Country Code ¹⁴

Country Name ¹⁴

Organisation details ⁶³

Year ⁶⁴

Annual turnover⁶⁵

Annual Balance Sheet Total⁶⁶

Total R&D Expenditure⁶⁷

Number of employees ⁶⁸

Number of R&D Personnel ⁶⁹

Number of researchers and engineers ⁷⁰

Female researchers and engineers ⁷¹

Is Your Organisation independent ⁷²

Y

N

If No, please indicate legal name(s) of owner(s) who own
25 % or more⁷³

Is Your Organisation affiliated to any other participant(s) in the project⁷⁴?

Y

N

If Yes, please indicate Participant No, Short Name(s) and character of affiliations(s)
(D / I)⁷⁵

Address of the main Institute/ Department/ Laboratory carrying out the work⁷⁶

Institute/Department/

Laboratory Name ¹⁰

PO Box ¹¹

Street Name and Number

Post Code ¹²

Cedex ¹³

Town/City

Country Code ¹⁴

Country Name ¹⁴

Shared Cost RTD CPF Form – Form A8.1 2/2

European Commission

Research Directorates General
Shared Cost
RTD CPF Forms

FP5RTD

for commission use only

Project Acronym ²

Proposal No ³

A8.1

Participant Profile/Information (1 form per participant) (part 2/2)⁵⁰

Participant Role ²²

Participant No ²³

Assistant to Contractor No ²⁴

Authorised administrative official for the purpose of contract signature ⁷⁷

Title (Dr, Prof., ...)

Gender ⁸

F

M

Function ⁷⁸

Family Name

First Name

Telephone No ¹⁵

Fax No ¹⁵

E-mail

Second Authorised administrative official for the purpose of contract signature ⁷⁹

Title (Dr, Prof., ...)

Gender ⁸

F

M

Function ⁷⁸

Family Name

First Name

Telephone No ¹⁵

Fax No ¹⁵

E-mail

Scientific Person in charge of the project ⁸⁰

Title (Dr, Prof., ...)

Gender ⁸

F

M

Function ⁷⁸

Family Name

First Name

Telephone No ¹⁵

Fax No ¹⁵

E-mail

Authorised contact person ⁸¹

Title (Dr, Prof., ...)

Gender ⁸

F

M

Function ⁷⁸

Family Name

First Name

Telephone No ¹⁵

Fax No ¹⁵

E-mail

I certify that the information set out in forms A8.1 to A8.4 (Annex 2) is accurate and correct and that the estimated costs conform with the European Commission's allowable costs for RTD support and our normal cost accounting principles and reflect the costs expected to be incurred in carrying out the approved Annex 1 to the contract description of work. I also confirm that our organisation is committed to participate to the above mentioned research project.

Date (DD/MM/YYYY)

Signature of authorised contact person

Shared Cost RTD CPF Form – Form A8.2

European Commission

Research Directorates General
Shared Cost
RTD CPF Form A6

EN

N

1

FP5RTD

for commission use only

Project Acronym ²

Proposal No ³

A8.2

Participant Profile/Information (1 form per participant) Personnel costs/overheads ⁵⁰

Participant Role ²²

Participant No ²³

Assistant to Contractor No ²⁴

Personnel costs and overheads⁸²

Categories of staff to work on the project ⁸³:

1:

2:

3:

4:

Personnel Costs⁸⁴ Year 1

Overhead Costs⁸⁵ Year 1

Staff Cat.:

Hours on Project

Hourly Rate (EURO)

Personnel costs (EURO)

Hourly overhead rate (EURO)

Overhead costs (EURO)

1.

2.

3.

4.

Total Personnel costs year 1:

Total overhead y 1:

Personnel Costs Year 2

Overhead Costs Year 2

Staff Cat.:

Hours on Project

Hourly Rate (EURO)

Personnel costs (EURO)

Hourly overhead rate (EURO)

Overhead costs (EURO)

1.

2.

3.

4.

Total Personnel costs year 2:

Total overhead y 2:

Personnel Costs Year 3

Overhead Costs Year 3

Staff Cat.:

Hours on Project

Hourly Rate (EURO)

Personnel costs (EURO)

Hourly overhead rate (EURO)

Overhead costs (EURO)

1.

2.

3.

4.

Total Personnel costs year 3:

Total overhead y 3:

Total Personnel costs:

Total Overhead

Hourly Rates are based on: Actual Salaries: Average Salaries⁸⁶:

Base year for the rates are:

Average increases per year in percent: %

Number of productive hours per year⁸⁷:

Overhead percentage: %

For all Participants with Subcontractors (Person months):

Total number of person months worked on the project by all subcontractors for this participant:

Year 1

Year 2

Year 3

Total

Total number of all subcontractor's person months:

For additional cost participants ⁸⁸ (Hours)

Categories of Permanent staff to work on the project:

Year 1

Year 2

Year 3

Total

1: Academics

2: Technicians

3: Other (scientific/technical)

Total hours

Shared Cost RTD CPF Form – Form A8.3 1/2

European Commission

Research Directorates General
Shared Cost
RTD CPF Forms

EN

O

1

FP5RTD

for commission use only

Project Acronym ²

Proposal No ³

A8.3

Participant Profile/Information (1 form per participant) Other costs (part 1/2)⁵⁰

Participant Role ²²

Participant No ²³

Assistant to Contractor No ²⁴

Durable Equipment costs (EURO) ⁸⁹

Description ⁹⁰

Month of purchase ⁹¹

Cost of purchase (EURO) ⁹²

Period of use (months)⁹³

Depreciation period (months) ⁹⁴

% usage on the project ⁹⁵

Amount charged to project (EURO) ⁹⁶

Total

Consumables costs (EURO) ⁹⁷

Description:

Year 1

Year 2

Year 3

Total

1:

2:

3:

4:

Total

Travel / subsistence costs (EURO) ⁹⁸

Description:

Year 1

Year 2

Year 3

Total

Total

Computing costs (EURO) ⁹⁹

Description:

Year 1

Year 2

Year 3

Total

1:

2:

3:

4:

Total

Shared Cost RTD CPF Form – Form A8.3 2/2

European Commission

Research Directorates General
Shared Cost
RTD CPF Forms

EN

P

1

FP5RTD

for commission use only

Project Acronym ²

Proposal No ³

A8.3

Participant Profile/Information (1 form per participant) Other costs (part 2/2)⁵⁰

Participant Role ²²

Participant No ²³

Assistant to Contractor No ²⁴

Subcontracting costs (EURO) ¹⁰⁰

Subcontractors (names)

Country Code

Work service

Costs Year 1

Costs Year 2

Costs Year 3

Total

1:

2:

3:

4:

Total

Other specific project costs (EURO) ¹⁰¹

Description:

Year 1

Year 2

Year 3

Total

1:

2:

3:

4:

Total

Protection of knowledge (EURO) ¹⁰²

Description:

Year 1

Year 2

Year 3

Total

1:

2:

3:

4:

Total

Year 1

Year 2

Year 3

Total

Total allowable costs

EC contribution in percentage ¹⁰³

Total EC contribution

Conversion rate used

National Currency¹⁰⁴:

Conversion Rate to EURO¹⁰⁵:

Shared Cost RTD CPF Form – Form A8.4

European Commission

Research Directorates General
Shared Cost
RTD CPF Forms

FP5RTD

for commission use only

Project Acronym ²

Proposal No ³

A8.4

Participant Profile/Information (1 form per participant) ⁵⁰

Participant Role ²²

Participant No ²³

Assistant to Contractor No ²⁴

Financial information on the contractor's own contribution and other public sector contributions to the contract¹⁰⁶

Other public sector contributions towards the participation under the contract ¹⁰⁷:

Participant’s own contribution towards the participation under the contract¹⁰⁸:

Human resources information

Total person hours agreed for the proposed participation to the contract:

Of which researchers and engineers (RSE) person hours (total number of RSE hours on the contract):

Of which number of female RSE hours (total number of female RSE hours on the contract):

Link of subcontractor(s)

Are any of the subcontractors linked to a contractor or associated contractor?

O NO O YES

Nature of link:

Financial and accounting rules used by the Participant ¹⁰⁹

Has information on your organisation's cost accounting principles and systems (in particular for calculating the personnel costs and allocating overheads) already been supplied to the Research Programmes of the Commission?

o NO o YES ______________________

Specify the most recent Commission contract number

o X = Annex on Financial and Accounting Rules attached

o X = Annex on Overhead calculation attached

Documents (X = Annex Attached)

o Legal documents establishing organisation ¹¹⁰

o Annual reports and balance sheets¹¹¹

o Organisation structure¹¹²

If applicable and not attached, please specify most recent Research Programme contract number where supplied.

Annex 2

Financial data

Shared Cost RTD CPF Form – Annex 2 Part 1/2

European Commission

Research Directorates General
Shared Cost
RTD CPF Forms

FP5RTD

for commission use only

Project Acronym ²

Proposal No ³

Annex 2

Financial Data (1 form per participant) ¹²⁰

Participant Role ²²

Participant No ²³

Assistant to Contractor No ²⁴

	Historical data			Budgeted data ^{(without EC contribution)}
Company	t-2	t-1	t0	t+1
BALANCE SHEET
ASSETS
1. Subscribed capital unpaid
2. Fixed assets
2.1. Intangible fixed assets
2.2. Tangible fixed assets
2.3. Financial assets
3. Current assets
3.1. Stocks
3.2.1. Debtors due after one year
3.2.2. Debtors due within one year
3.3. Cash at bank and in hand
3.4. Other current assets
Total assets

LIABILITIES
4. Capital and reserves
4.1. Subscribed capital
4.2. Reserves
4.3. Profit and loss brought forward
5. Creditors
5.1.1 Long term non-bank debt
5.1.2 Long term bank debt
5.2.1. Short term non-bank debt
5.2.2. Short term bank debt
Total liabilities

Shared Cost RTD CPF Form – Annex 2 Part 2/2

European Commission

Research Directorates General
Shared Cost
RTD CPF Forms

FP5RTD

for commission use only

Project Acronym ²

Proposal No ³

Annex 2

Financial Data (1 form per participant) ¹²⁰

Participant Role ²²

Participant No ²³

Assistant to Contractor No ²⁴

	Historical data			Budgeted data ^{(without EC contribution)}
Company	t-2	t-1	t0	t+1
BALANCE SHEET

PROFIT AND LOSS ACCOUNT

6. Turnover
7. Variation in stocks
8. Other operating income
9. Costs of material and consumables
10. Added value
11. Staff costs
12. Gross operating profit
13. Depreciation and value adjustments on non financial assets
14. Net operating profit
15. Financial income and value adjustments on financial assets
16. Interest paid
17. Similar charges
18. Profit or loss on ordinary activities
19. Extraordinary income and charges
20. Taxes on profits
21. Profit or loss for the financial year

22. Profit or loss for the financial year + Depreciation

APPLICATION FORM	ASSETS "4th ACCOUNTING DIRECTIVE (Article 9)"
1. Subscribed capital unpaid	A. Subscribed capital unpaid	A. Subscribed capital unpaid (including unpaid capital)
2. Fixed assets	C. Fixed Assets
2.1. Intangible fixed assets	B. Formation expenses as defined by national law C. I. Intangible fixed assets	B. Formation expenses as defined by national law C.I.1. Cost of research and development C.I.2.Concessions, patents, licences, trade marks and similar rights and assets, if they were: (a) acquired for valuable consideration and need not be shown under C
2.2. Tangible fixed assets	C.II.Tangible fixed assets	C.II.1. Land and buildings C.II.2. Plant and machinery C.II.3. Other fixtures and fittings, tools and equipment C.II.4. Payment on account and tangible assets in course of construction
2.3. Financial assets	C.III.Financial assets	C.III.1.Shares in affiliated undertakings C.III.2. Loans to affiliated undertakings C.III.3. Participating interests C.III.4.Loans to undertakings with which the compagy is linked by virtue of participating interest C.III.5.Investments held as fixed assets
3. Current assets	D. Currents assets
3.1. Stocks	D.I.Stocks	D.I.1. Raw materials and consumables D.I.2. Work in progress D.I.3. Finished products and goods for resale D.I.4 Payment on account
3.2.1. Debtors, due and payable after more than one year	D.II. Debtors, due and payable after more than one year	D.II.1. Trade debtors D.II.2. Amounts owed by affiliated undertakings D.II.3. Amounts owed by undertakings with which the compagny is linked by virtue of participating interest D.II.4. Others debtors D.II.6. Prepayments and accrued income
3.2.2. Debtors, due and payable within a year	D.II. Debtors due and payable within a year	D.II.1. Trade debtors D.II.2. Amounts owed by affiliated undertakings D.II.3. Amounts owed by undertakings with which the company is linked by virtue of participating interest D.II.4. Others debtors D.II.6. Prepayments and accrued income
3.3. Cash at bank and in hand	D.IV. Cash at bank and in hand	D.IV. Cash at bank and in hand
3.4. Other current assets	D.III Investments	D.III.1. Shares in affiliated undertakings D.III.2.Own shares (with an indication of their nominal value or, in the absence of a nominal value, their accounting par value) D.III.3. Other investments
Total assets	Total assets

APPLICATION FORM	LIABILITIES / 4^th ACCOUNTING DIRECTIVE (Article 9)
4. Capital and reserves	A. Capital and reserves
4.1 Subscribed capital	A.I. Subscribed capital A.II. Share premium account	A.I. Subscribed capital A.II. Share premium account
4.2. Reserves	A.III. Revaluation reserve A.IV. Reserves	A.III. Revaluation reserve A.IV.1. Legal reserve, in so far as national law requires such a reserve A.IV.2. Reserve for own shares A.IV.3. Reserves provided for by the articles of association A.IV.4. Other reserves
4.3. Profit and loss brought forward	A.V Profit and loss brought forward from the previous years A.VI. Profit or loss for the financial year	A.V Profit and loss brought forward from the previous years A.VI. Profit or loss for the financial year
5. Creditors	C. Creditors
5.1.1. Long term non-bank debt	B. Provisions for liabilities and charges ( > one year) C. Creditors ( > one year)	B.1. Provisions for pensions and similar obligations B.2. Provisions for taxation B.3. Other provisions C.1. Debenture loans C.3. Payments received on accounts of orders in so far as they are not shown separately as deductions from stocksTrade creditor
5.1.2. Long term bank debt	C. Creditors "credit institutions" ( > one year)	C.2 Amounts owed to credit institutions C.5. Bills of exchange payable
5.2.1. Short term non-bank debt	B. Provisions for liabilities and charges ( < or = one year) C. Creditors ( < or = one year)	B.1. Provisions for pensions and similar obligations. B.2. Provisions for taxation. B.3. Other provisions. C.1. Debenture loans C.3. Payments received on accounts of orders in so far as they are not shown separately as deductions from stocksTrade credit
5.2.2. Short term bank debt	C. Creditors "credit institutions" ( < or = one year)	C.2 Amounts owed to credit institutions C.5. Bills of exchange payable
Total liabilities	Total Liabilities

APPLICATION FORM	PROFIT AND LOSS ACCOUNT / 4th ACCOUNTING DIRECTIVE (Article 23)
6.Turnover	1. Net turnover	1. Net turnover
7. Variation in stocks	2. Variation in stock of finished goods and in work in progress	2. Variation in stock of finished goods and in work in progress
8. Other operating income	3. Work performed by the undertaking for its own purposes and capitalized. 4. Other operating income	3. Work performed by the undertaking for its own purposes and capitalized. 4. Other operating income
9. Costs of material and consumables	5. (a) Raw materials and consumables 5. (b) Other external charges 8. Other operating charges	5. (a) Raw materials and consumables 5. (b) Other external charges 8. Other operating charges
10. Added value	Added value =1+2+4-(5a+5b)
11. Staff costs	6. Staff costs	6.(a) Wages and salaries 6.(b) social security costs
12. Gross operating profit	Added value - staff costs = [1+2+4-(5a+5b)] - 6
13. Depreciation and value adjustments on non financial assets	7. Depreciation and value adjustments on non financial assets	7.(a) Value adjustments in respect of formation expenses and of tangible and intangible fixed assets 7. (b) Value adjustments in respect of current assets, to the extent that they exceed the amount of value adjustments which are normal in the undertaking
14. Net operating profit	(Added value - staff costs) - Depreciation and value adjustments on non-financial assets = [1+2+4-(5a+5b)] - 7
15. Financial income and value adjustments on financial assets	Financial income and value adjustments on financial assets	9. Income from participating interests 10. Income from other investment and loans forming part of the fixed assets 11. Other interest receivable and similar income 12. Value adjustments in respect of financial assets and of investments held as current ass
16. Interest paid	Interest paid	13. Interest and similar charge
17. Similar Charges	Similar Charges
18. Profit or loss on ordinary activities	Profit or loss on ordinary activities =[ [1+2+4-(5a+5b)] - 7] + [(9+10+11)-(12+13)]
19. Extraordinary income and charges	Extraordinary income and charges	16. Extraordinary income 17. Extraordinary charges
20. Taxes	Tax on profit or loss on ordinary activities Tax on extraordinary profit or loss	14. Tax on profit or loss on ordinary activities 19. Tax on extraordinary profit or loss 20. Other taxes not shown under the above items
21. Profit or loss for the financial year	Profit or loss for the financial year	21. Profit or loss for the financial year
22. Profit or loss for the financial year + Depreciation	Profit or loss for the financial year + Depreciation

Financial Data. Form (Annex 2)

Financial data

All private organisations and individuals participating under the FC and FF cost models, except for public organisations and universities must fill in this form. It provides the basis for the calculation by the Commission services to verify that the organisation has the necessary human and financial resources to carry out the work. The explanations to the form are provided immediately after the form. The t stands for time, so that t0 is the latest year for which account is available, t-1 and t-2 the two years preceding and t+1 is the current year (estimated or budget amounts).

Authorised administrative official for the purpose of contract signature ⁷⁷
Title (Dr, Prof., ...)		Gender ⁸	F	M
Function ⁷⁸
Family Name
First Name
Telephone No ¹⁵	Fax No ¹⁵
E-mail
Second Authorised administrative official for the purpose of contract signature ⁷⁹
Title (Dr, Prof., ...)		Gender ⁸	F	M
Function ⁷⁸
Family Name
First Name
Telephone No ¹⁵	Fax No ¹⁵
E-mail
Scientific Person in charge of the project ⁸⁰
Title (Dr, Prof., ...)		Gender ⁸	F	M
Function ⁷⁸
Family Name
First Name
Telephone No ¹⁵	Fax No ¹⁵
E-mail
Authorised contact person ⁸¹
Title (Dr, Prof., ...)		Gender ⁸	F	M
Function ⁷⁸
Family Name
First Name
Telephone No ¹⁵	Fax No ¹⁵
E-mail
I certify that the information set out in forms A8.1 to A8.4 (Annex 2) is accurate and correct and that the estimated costs conform with the European Commission's allowable costs for RTD support and our normal cost accounting principles and reflect the costs expected to be incurred in carrying out the approved Annex 1 to the contract description of work. I also confirm that our organisation is committed to participate to the above mentioned research project.
Date (DD/MM/YYYY)
Signature of authorised contact person

Participant Role ²²			Participant No ²³			Assistant to Contractor No ²⁴
Personnel costs and overheads⁸²
Categories of staff to work on the project ⁸³:
1:
2:
3:
4:
Personnel Costs⁸⁴ Year 1							Overhead Costs⁸⁵ Year 1
Staff Cat.:	Hours on Project	Hourly Rate (EURO)			Personnel costs (EURO)		Hourly overhead rate (EURO)	Overhead costs (EURO)
1.
2.
3.
4.
Total Personnel costs year 1:							Total overhead y 1:
Personnel Costs Year 2							Overhead Costs Year 2
Staff Cat.:	Hours on Project	Hourly Rate (EURO)			Personnel costs (EURO)		Hourly overhead rate (EURO)	Overhead costs (EURO)
1.
2.
3.
4.
Total Personnel costs year 2:							Total overhead y 2:
Personnel Costs Year 3							Overhead Costs Year 3
Staff Cat.:	Hours on Project	Hourly Rate (EURO)			Personnel costs (EURO)		Hourly overhead rate (EURO)	Overhead costs (EURO)
1.
2.
3.
4.
Total Personnel costs year 3:							Total overhead y 3:
Total Personnel costs:							Total Overhead
Hourly Rates are based on: Actual Salaries: Average Salaries⁸⁶:
Base year for the rates are:					Average increases per year in percent: %
Number of productive hours per year⁸⁷:				Overhead percentage: %

For all Participants with Subcontractors (Person months):
Total number of person months worked on the project by all subcontractors for this participant:	Year 1	Year 2	Year 3	Total
Total number of all subcontractor's person months:

For additional cost participants ⁸⁸ (Hours)
Categories of Permanent staff to work on the project:	Year 1	Year 2	Year 3	Total
1: Academics
2: Technicians
3: Other (scientific/technical)
Total hours

Consumables costs (EURO) ⁹⁷
Description:	Year 1	Year 2	Year 3	Total
1:
2:
3:
4:
Total

Computing costs (EURO) ⁹⁹
Description:	Year 1	Year 2	Year 3	Total
1:
2:
3:
4:
Total

Subcontracting costs (EURO) ¹⁰⁰
Subcontractors (names)	Country Code	Work service	Costs Year 1	Costs Year 2	Costs Year 3	Total
1:
2:
3:
4:
Total

Protection of knowledge (EURO) ¹⁰²
Description:	Year 1	Year 2	Year 3	Total
1:
2:
3:
4:
Total

Conversion rate used
National Currency¹⁰⁴:	Conversion Rate to EURO¹⁰⁵:

Link of subcontractor(s)
Are any of the subcontractors linked to a contractor or associated contractor?	O NO O YES	Nature of link: