Milano, 12-13 Marzo 2014 Corso di Europrogettazione HORIZON 2020: Consortium Agreement Lauro Pollachini

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Milano, 12-13 Marzo 2014 Corso di
EuroprogettazioneHORIZON 2020 Consortium
AgreementLauro Pollachini FSP
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HORIZON 2020 - Consortium Agreement
Cosè il Consortium Agreement? È un documento
contrattuale ulteriore tra i partner di un
progetto, in aggiunta al Grant Agreement firmato
con la Commissione, destinato a regolare gli
accordi interni concernenti il funzionamento del
Consorzio e il coordinamento delle attività in
modo da assicurare che il progetto sia realizzato
in modo adeguato a quanto previsto nellallegato
tecnico (Annex I DoW). Il Consortium
Agreement (CA) è di norma richiesto dal Grant
Agreement (salvo eccezioni previste nel work
programme). Il Consortium Agreement è un accordo
contrattuale tra tutti e solo i partner del
Consorzio e non coinvolge la Commissione. Non
può contraddire il Grant Agreement, che in caso
di conflitto prevale sul CA.
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HORIZON 2020 - Model Grant Agreement
Il nuovo Model Grant Agreement (MGA) di H2020 in
tre messaggi
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HORIZON 2020 - Model Grant Agreement
FP7 DoW Table A3 Form A Form C CFS CoM
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HORIZON 2020 - Model Grant Agreement
Struttura del MGA
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HORIZON 2020 - Model Grant Agreement
H2020 Quali novità ?
Commission basic concept for Model GA Basis
New Financial Regulation H2020 Rules for
Participation Objectives Simplification,
flexibility and coherence Global architecture
common with the other EU programmes
Terminology terms and meanings defined in the
Financial Regulation except for those terms
specific to H2020 A single document with all
provisions (no more separate Core Annexes
Special Clauses) Online explanations for each
part ("annotated GA") Simplified wording
revised by a specialised service of EC
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HORIZON 2020 - Model Grant Agreement
H2020 Regole di Partecipazione Principali
novità Single funding rate (100 / 70 - 25
overheads) Simplified rules for grants New
forms of funding aimed at innovation (Prizes,
PCP, SME, ) Intensified partnering New
emphasis on Open Access Access Rights for the
Union and the Member States
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HORIZON 2020 - Model Grant Agreement

• Third Parties Affiliated Entities
• Subcontractors

(Annex 3a)
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HORIZON 2020 - Consortium Agreement
FP7 - Core Grant Agreement (Art. 1.4) The
beneficiaries are deemed to have concluded a
consortium agreement (the "consortium agreement")
regarding the internal organisation of the
consortium. - Annex II - General Conditions (Art.
II.2) 4) Beneficiaries shall fulfil the following
obligations as a consortium c) make appropriate
internal arrangements consistent with the
provisions of this grant agreement to ensure the
efficient implementation of the project. When
provided for in Article 1.4 these internal
arrangements shall take the form of a written
consortium agreement (the "consortium
agreement"). The consortium agreement governs
inter alia the following i. the internal
organisation of the consortium including the
decision making procedures ii. rules on
dissemination and use, and access rights iii.
the distribution of the financial contribution of
the Union Euratom iv. the settlement of
internal disputes, including cases of abuse of
power v. liability, indemnification and
confidentiality arrangements between the
beneficiaries.
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HORIZON 2020 - Consortium Agreement
H2020 MGA (Art. 41.3) Internal arrangements
between beneficiaries - Consortium agreement The
beneficiaries must have internal arrangements
regarding their operation and co-ordination to
ensure that the action is implemented properly.
These internal arrangements must be set out in a
written consortium agreement between the
beneficiaries, which may cover - internal
organisation of the consortium - management of
access to the electronic exchange system -
distribution of EU funding - additional rules on
rights and obligations related to background and
results (including whether access rights remain
or not, if a beneficiary is in breach of its
obligations) (see Section 3) - settlement of
internal disputes - liability, indemnification
and confidentiality arrangements between the
beneficiaries. The consortium agreement must not
contain any provision contrary to the Agreement.
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HORIZON 2020 - Consortium Agreement

• Consortium Agreement (MGA Art. 41.3)
• E obbligatorio a meno che il work programme non
  dica il contrario
• Sarà reso disponibile un template analogo al
  DESCA model dellFP7
• Il Consortium Agreement dovrà riguardare
• Organizzazione interna (governance)
• Distribuzione del funding UE
• Questioni addizionali (a complemento del GA)
  riguardanti
• Foreground e Background (IPR, Ownership,
  Dissemination, AR)
• Risoluzione delle controversie
• Confidenzialità delle informazioni
• Responsabilità e indennizzo
• Receipts (contributi in soldi o forza-lavoro al
  progetto da terze parti)
• Riallocazioni del contributo UE
• Etc.

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HORIZON 2020 - Background and Results

• Some definitions
• FP7 Background stays Background (MGA 24)
• any data, know-how or information, whatever its
  form or nature,
• tangible or intangible, including any attached
  rights (e.g. patent or
• database rights)
• held by participants prior to their accession to
  the grant agreement,
• needed to implement the project or to exploit its
  results, and
• identified by participants in a written agreement
  (MGA 24).
• FP7 Foreground becomes Results (any output of
  project) (MGA 26.1)
• any tangible or intangible output of the
  action, whatever its form or nature,
• including any attached rights (e.g. patent).
• Access Rights (MGA 25.1) means rights to use
  Results or Background under the terms and
  conditions laid down in the Grant Agreement.
  Unless agreed otherwise, access rights do not
  include the right to sub-license.

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ACCESS RIGHTS
Implementation
Exploitation
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Joint ownership

• Joint ownership (MGA 26.2)
• Joint owners shall agree on the allocation and
  terms of exercise of
• their joint ownership in a Joint ownership
  agreement. Unless
• otherwise agreed in the joint ownership
  agreement, each joint owner
• may grant non-exclusive licences to third
  parties to exploit jointly-
• owned results (without any right to
  sublicense), if the other joint
• owners are given
• (a) at least 45 days advance notice and
• (b) fair and reasonable compensation.
• Once results are generated, joint owners may
  opt for a different
• regime than joint ownership.
• Access rights for the Union and Member States
  (MGA 31.5)
• ?Royalty-free access for policy and programmes
  related purposes
• to Results generated with Union funding
  (strictly limited to non-
• commercial and non-competitive use)
• ?For actions in Secure Societies such access
  rights apply also for
• Member States

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Ownership Dissemination - Transfer

• Results are owned by the beneficiary that
  generates them (MGA 26.1)
• General obligation to protect the results (in
  case of expected
• commercial or industrial exploitation) (MGA
  27.1)
• General obbligation to exploit the results (MGA
  28.1)
• General obbligation to disseminate results (MGA
  29.1)
• Obligatory Open Access to scientific
  pubblications (MGA 29.2)
• Information on EU funding (MGA 27.3)
• Each beneficiary may transfer ownership of its
  results (MGA 30.1)
• Each beneficiary may grant licenses to its
  results (MGA 30.2)
• General obligation to maintain confidentiality
  (MGA 36.1)
• Obligation to aim for gender equality (MGA 33.1)
  and general
• obligation to comply with ethical principles
  (MGA 34.1)

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H2020 - IPR - AR

• H2020 Rules of Participation - IP regime
• Continuity with regard to FP7
• Basic outset of IP regime remains
• Some new features
• open access to research publications
• possibility to lay down additional
  exploitation/dissemination
• obligations in the GA
• access rights for the Union for the purpose of
  developing,
• implementing and monitoring Union policies or
  programmes.
• IP regime consistent with the MGA will be
  available in the new DESCA
• model for H2020.

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Lauro Pollachini - RSE / FSP E-mail
lauro.pollachini_at_rse-web.it