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Consortium agreement and IPR issues
Maria Habicht
Estonian Research Council
May 28, 2013
Kaunas
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• Letter of Commitment
• Memorandum of understanding
• Confidentiality or non-disclosure agreement
• Consortium agreement
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Secuence of activities
Conf. agreement
Call opens
Memorandum of understanding
Submission
Draft CA CA signed
GA signed Evaluation
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https://ec.europa.eu/research/participants/portal/page/fp7_documentation
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ftp://ftp.cordis.europa.eu/pub/fp7/docs/fp7-consortium-agreement-checklist-2011v2_en.pdf
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http://www.desca-fp7.eu/latest-version-of-desca/desca-30/
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Consortium agreement - models
• EICTA -IPCA Integrated Project Consortium Agreement
– Model proposed as a reference for ICT and electronic projects – http://www.digitaleurope.org/
• EUCAR
– Model of the European car industry – http://www.eucar.be/
• ASD -IMG4 – Model of the European aeronautic industry – http://www.aerosme.com/
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Consortium agreement:
• Is obligatory in FP7
• Must be signed by ALL partners
• Commission is not involved at this stage
• May have different dates than Grant agreement
• Must treat all partner equally
• No partner can expect ‘special treatment’
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Consortium agreement:
• Gives the list of project consortium members
• Defines the meaning of used terminology
• Specifies entry into force, duration and termination of the agreement
• Defines relations between the partners, their role, rights and obligations
• Describes the project management structure
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Consortium agreement:
• Describes the distribution of Commission funding between the partners and gives an overview of management costs
• Specifies access to intellectual property and rules for dissemination of deliverables and project results
• Fixes the rules for ammendments and problem solving
• May include confidentiality issues if appropriate
• Gives a list of involved in-kind resources and conditions of their use
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Consortium agreement is the coordinator’s major tool to control the project team and the process of implementation!
Read the draft carefully and protect your rights as a partner to be able to fulfill your obligations!
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Intellectual Property Rights: Terminology Why? For whom? How? Hints for Horizon 2020
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Pre-existing know-how (FP6) background
Knowledge (FP6) foreground
Terminology
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Terminology
Background (Art. II 1.4 GA) - information and attached
rights
- held by participants prior to their accession to the Grant Agreement
- needed for carrying out the project or for using the foreground
- may be defined by the participants
Application for protection must be filed before accession to the Grant Agreement!
Ownership is not affected by participation in an FP7 project!
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Terminology
Foreground (Art. II 1.7 GA)
• the results, including information, materials and
knowledge generated in a given project, whether or not
they can be protected
– Tangible (e.g. prototypes, micro-organisms, etc)
– Intangible (IPR) results of the project
Belongs to the participant(s) generating the result!
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Valuable foreground of industrial or commercial application should be protected, although it is not mandatory
If the consortium leaves the foreground unprotected, the Commission (JRC) may take ownership
Ownership of foreground may be transfered from one to another partner or to a third party (or to the Commission)
Commission may exercise their right of objection to the planned transfer of rights
Protection, use, dissemination and publication
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Foreground should be used by the owner(s) in further research or product, process and service related activities
Foreground must be disseminated (but not before protection has been granted if it is an issue)
Notice of dissemination (including publication) must be given to other partners, unless agreed otherwise
Community financial assistance must be clearly indicated on publications and patent applications
Protection, use, dissemination and publication
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Access rights = licences and user rights to foreground or background owned by another participant in the project
Access rights are never automatically granted
Access rights must be requested in writing
Access right must be granted to another partner only if it is needed to carry out the project activities
The owner may exclude some specific elements of the background or impose some conditions in the access agreement
Sublicensing must be agreed separately
Access rights
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Royalty-free – no money or other compensation is
requested.
Access rights to foreground for implementing the project must be granted royalty free
Fair and reasonable conditions for compensation–
• financial (lump sum of royalty-percentage on
sales, net income, turnover etc)
or
• non-financial (access to other partner’s
technology or know-how, agreement for further cooperation)
Conditions for access rights
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Issues to bear in mind
• National rules and regulations
• Institutional rules and regulations
• Possibility of third party’s rights
• Proof of ownership (both background and foreground)
• Time limits and deadlines
• (Written) agreements
• Interests of a partner/person
• Competitiveness
• Relations with publishers
• Post-contract phase
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Eligible costs
• Patent search during the project (but not before signing the Grant Agreement)
• IPR protection, dissemination and management
• Licencing royalties paid to a third party (not a project partner)
• Royalties paid for access rights granted by other partners (in exceptional cases)
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Summary of notification requirements and the possibilities to reject
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Summary of the access rights
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Type of deliverable and levels of dissemination and access
Deliverables: R = Report, P = Prototype, D = Demonstrator, O = Other Dissemination level
PU = Public
PP = Restricted to other program participants (including the Commission Services)
RE = Restricted to a group specified by the consortium (including the Commission Services)
CO = Confidential, only for members of the consortium (including the Commission Services)
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Secret UE = EU Secret
Classified with the mention of the classification level "Secret UE" according to Commission Decision 2001/844 and amendments
Confidentiel UE = EU Confidential
Classified with the mention of the classification level "Confidentiel UE" according to Commission Decision 2001/844 and amendments
Restreint UE = EU Restricted:
Classified with the classification level "Restreint UE" according to Commission Decision 2001/844 and amendments
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ftp://ftp.cordis.europa.eu/pub/fp7/docs/ipr_en.pdf
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http://www.iprhelpdesk.eu/
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The Commission proposal for
on IPR, exploitation and dissemination
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A glance at the Commission's proposal
DISSEMINATION
General rule: each participant must disseminate its results as soon as possible, subject to restrictions due to the protection of results, security rules or legitimate commercial interests.
Additional dissemination obligations: more specific dissemination obligations may be laid down in the grant agreement.
Open access:
mandatory open access to research publications;
opening to experiment with open access to other results in appropriate areas.
Prior notice: before dissemination, a participant must notify the other participants who may object if their legitimate interests would suffer significant harm.
EU support: any dissemination (also patent applications, standards) must indicate EU support (for visibility and traceability reasons).
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ACCESS RIGHTS
a participant must grant access to its background
a participant must grant access to its results
if needed by another participant to carry out
own work
Royalty-free
unless otherwise agreed by participants before accession
to the grant agreement
Royalty-free
if needed by another participant to exploit
own results [*]
Fair and reasonable conditions (to be agreed by participants and may be royalty-free)
[*] Unless otherwise agreed in consortium agreement, an affiliate entity established in a MS or AC has access rights if needed to exploit results generated by the participant to which it is affiliated.
A glance at the Commission's proposal
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Agreement on the Consortium Agreement including any IPR related aspects
Creation of Results
Proposal
DURING
incl. draft plan for exploitation and dissemination of results
Evaluation
e.g. impact criterion
Negotiation
incl. agreed final plan
PROJECT CYCLE
AFTER
Start
BEFORE
End
Ownership
Protection
Exploitation
Dissemination
Access Rights
o to results for implementation or exploitation
o to background for implementation or exploitation
A glance at the Commission's proposal
o to results for exploitation
o to background
for exploitation
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A glance at the Commission's proposal
SPECIFIC CASES AND NEW FORMS OF FUNDING
Tailor-made provisions may be laid down in grant agreement regarding security-related activities, ERC frontier research, training and mobility actions, CSAs, KICs, etc.
Flexible provisions for:
pre-commercial procurement: a contractor will own at least the generated IPR and contracting authorities will enjoy at least royalty-free access rights and the right to grant non-exclusive licences to third parties under fair and reasonable conditions.
procurement of innovative solutions: specific provisions may be laid down in grant agreement, if needed to ensure maximum uptake of the results and to avoid any unfair advantage.
prizes: award may be subject to dissemination or exploitation conditions.