Milano, Marzo 2014 Corso di Europrogettazione HORIZON 2020: Consortium Agreement Lauro Pollachini – FSP

2 HORIZON Consortium Agreement Consortium Agreement Cos’è 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 nell’allegato 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.

3 HORIZON Model Grant Agreement Il nuovo Model Grant Agreement (MGA) di H2020 in tre messaggi

4 HORIZON Model Grant Agreement FP7 DoW Table A3 Form A Form C CFS CoM

5 HORIZON Model Grant Agreement Struttura del MGA

6 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 H2020: Quali novità ? HORIZON Model Grant Agreement

7 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 HORIZON Model Grant Agreement

8  Third Parties & Affiliated Entities  Subcontractors (Annex 3a)

9 HORIZON 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.

10 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. HORIZON Consortium Agreement

11 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’ dell’FP7 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. HORIZON Consortium Agreement

12 HORIZON 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.

13 ACCESS RIGHTS Implementation Exploitation

14 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

15 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)

16 H 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.

17 Lauro Pollachini - RSE / FSP