University of Maribor
UČINKOVITO VODENJE MEDNARODNIH RAZISKOVALNIH
PROJEKTOV
OBZORJE 2020 – Projektna prijava
Intellectual property rights of the consortium in
Horizon 2020
Gianni D’Errico
R&D Project developer
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd
priority axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness
of higher education.«
When to Address the «Problem»?
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
2
Consortium Agreement Models
1. MCARD - CA Model
2. EUCAR CA Model
3. DESCA CA Model
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
3
Grant Agreement
ARTICLE 24 —AGREEMENT ON BACKGROUND
ARTICLE 25 —ACCESS RIGHTS TO BACKGROUND
ARTICLE 26 — OWNERSHIP OF RESULTS
ARTICLE 27 — PROTECTION OF RESULTS — VISIBILITY OF EU
FUNDING
ARTICLE 28 — EXPLOITATION OF RESULTS
ARTICLE 29 — DISSEMINATION OF RESULTS — OPEN ACCESS —
VISIBILITY OF EU FUNDING
ARTICLE 30 — TRANSFER AND LICENSING OF RESULTS
ARTICLE 31 —ACCESS RIGHTS TO RESULTS
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
4
Sections involved – MCARD model
Section 8: Results
Section 9: Access Rights
Section 10: Non-disclosure of Confidential Information
Section 11: Miscellaneous
•
•
Attachment 1 (Background included)
•
Attachment 2 (Declaration of Accession)
Attachment 3 (List of Third Parties for simplified transfer according)
•
Attachment 4 (List of Affiliated Entities pursuant to Article 1)
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
5
Decisional Process
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
6
What to bring from the Project Proposal (Annex 1 GA)
NDA
MoU
Exploitation
startegies
Background
IPR
statements
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
7
Section 8: Results
8.1. Ownership of Results
Results shall be owned by the Party whose employee(s) generated such Results, or on whose behalf
such Results have been generated.
8.2. Joint ownership
In accordance with the first paragraph of Article 26.2 of the Grant Agreement, two or more Parties shall
own Results jointly if:
they have jointly generated them; and
it is not possible to:
establish the respective contribution of each Party; or
separate them for the purpose of applying for, obtaining or maintaining their protection.
Once the Result is generated, the joint owners can agree to apply another regime than joint ownership.
In case the joint owners agree on transfer of ownership of Result to third party, the other Parties can
exercise pre-emptive right.
8.3. Transfer of Results
8.3.1 Each Party may transfer ownership of its own Results (including without limitation its share in
Results that it owns jointly with another Party or Parties and all rights and obligations attached to such
Results) to any of its Affiliated Entities defined in Attachment 4 without notification to any other Party. In
case of joined Results the other owners shall be informed of a transfer immediately.
8.3.2 Each Party may identify in Attachment 3 to this CA specific third party(ies) if it intends to transfer
the ownership of any of its own and/or jointly owned Results (Third Parties). Each Party may transfer
ownership of its own Results to such any Third Party(ies) it identified in Attachment 3 with notification
all Parties. The other Parties can exercise pre-emptive right.
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
8
Section 8: Results
8.3.3 The Parties hereby agree that in the framework of a merger or an acquisition, which, for the sake of
clarity, shall mean to include any assignment of ownership of any of the Parties’ Results, no notification of
intended transfer of ownership need be given, due to confidentiality obligations arising from national and/or
community laws or regulations, for as long as such confidentiality obligations are in effect and/or for as long
as such notice is prohibited under applicable EU and/or national laws on mergers and acquisitions. The
Parties agree however, that the concerned party will do everything in its power to give the respective
notification as soon as possible.
8.3.4 Any transfer of ownership of Results made under this Section 8.3 shall be made subject to the Access
Rights, the rights to obtain Access Rights and the right to Disseminate Results that are granted to the other
Parties and their Affiliated Entities in the GA and/or this CA. Therefore, each transferor shall use reasonable
efforts to ensure that such transfer does not prejudice such rights of the other Parties or their Affiliated
Entities, and the transferor shall pass on its obligations regarding the transferred Results to the transferee,
including the obligation to pass them on to any subsequent transferee. The obligations under this Section 8.3
apply for as long as other Parties have - or may request - Access Rights to Results, as provided in Section 9
of this CA.
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
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Section 8: Results
8.4 Dissemination
All Parties are committed to dissemination of their research findings and aim to ensure a fair distribution of
opportunities to publish, the visibility of the collaborative effort and the inclusion of young researchers in
publication and dissemination activities .
The copyright of each Party in copyright-protected work remains with the author/the Party himself or herself.
Authors shall always have the right to be fully acknowledged for their authorship.
8.4.1 Dissemination of Results
During the Action and for the period of XX years after the end of the Action, the Dissemination of Results by
one or several Parties owning such results including but not restricted to publications of whatever form
(excluding patent applications(s) and other registrations of IPRs), shall be governed by the procedure of
Article 29.1 of the Grant Agreement subject to the following provisions:
8.4.2 Dissemination of another Party’s unpublished Results or Background
In case a Party wishes to include in a Dissemination activity another Party's own Results (which are not
publically available), Background and/or Confidential Information, it needs to first obtain that Party's prior
written approval.
The mere absence of an objection is not considered as an approval.
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
10
Section 9: Access Rights
Positive List Vs Negative List
Each Party identifies in Attachment 1 references to its Background to which it will/will not grant Access Rights for the
implementation of the Action or Exploitation of any Results. In addition, each Party may, during the term of the
Action, add into Attachment “1” a reference to any of its Background not yet so listed.
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
11
Section 9: Access Rights
9.2. General Principles
9.2.1 Subject to Section 9.1 of this CA and as provided in Article 25 (Access Rights to
background) of the Grant Agreement, Parties shall use reasonable efforts to inform each other
before signature of the GA of any limitation affecting the granting of Access Rights to their
Background. Parties also shall inform each other as soon as possible of any other restriction
which might substantially affect the granting of Access Rights. Continuous research efforts
concerning possible third parties rights are not expected. If the General Assembly considers
that the restrictions mentioned in Section 9.1 of this CA have such significant impact, and
such restrictions are not foreseen in the Action Plan, it may decide to update the Action Plan
accordingly.
9.2.2 For the sake of clarity, any Access Rights granted under this Agreement expressly
exclude any rights to grant sub-licences, unless expressly stated otherwise in this CA or
agreed in writing between the Parties concerned
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
12
Section 9: Access Rights
9.2.8 Have Made Rights
Any and all Access Rights for Exploitation granted pursuant to this Agreement include the
right of Indirect Utilisation as such term is defined in Section 1 of this CA.
9.2.9 Employee’s Rights
In addition to the obligations pursuant to the GA, each Party shall, to the fullest extent it can
lawfully do so, ensure that it can grant Access Rights and fulfil the obligations under the GA
and this CA notwithstanding any rights of its employees or Subcontractors in Results so
created.
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
13
Section 9: Access Rights
9.3 Access Rights for Implementation
Access Rights to Results and Background Needed for the implementation of the
Action are hereby requested (in accordance with the requirements of the GA), and
shall be deemed granted solely for the implementation of the Action, as of the date
of the GA entering into force, on a royalty-free basis to and by all Parties, and shall
either terminate automatically upon completion of the Action or upon termination of
a Party’s participation in accordance with Section 9 9.2 of this CA.
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
14
Section 9: Access Rights
9.4 Access Rights for Exploitation
Access Rights to all Results of another Party for Internal Research and
Teaching royalty-free; but other Access Rights to Results on Fair and
Reasonable Conditions
Access Rights to Results for non-commercial internal research, non-commercial
development and teaching are hereby requested (in accordance with the
requirements of the GA), and shall be deemed granted, as of the date of the Result
arising, on a non-exclusive royalty-free worldwide basis to and by all Parties subject
to restrictions on confidentiality as provided in this Agreement.
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
15
Section 9: Access Rights
9.5 Access Rights for Affiliated Entities
9.5.1 Each Party identifies in Attachment 4 Affiliated Entities to which it
may grant Access Rights to Background and/or Results for the
implementation of the Action or Exploitation of any Results. Access
Rights to Results and Background can only be granted to Affiliated
Entities identified in Attachment 4 to this CA. Any decision on further
amendments of such Access Rights can be taken by the General
Assembly only.
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
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Section 10: Non-disclosure of Confidential Information
10.1 All information in whatever form or mode of communication,
which is disclosed by a Party (the “Disclosing Party”) to any
other Party (the “Recipient”) in connection with the Action during
its implementation, is “Confidential Information”.
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
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Section 10: Non-disclosure of Confidential Information
10.2 The Recipient hereby undertakes, for a period of 10 years after the end of the Action:
a) not to use Confidential Information otherwise than for the purpose for which it was disclosed;
b) not to disclose Confidential Information to any third party other than its Affiliated Entities that were
identified in Attachment 4 and Subcontractors as defined in Section 1 without the prior written
consent by the Disclosing Party, wherein the Recipient must ensure that an arrangement is in place
prior to such disclosure that subjects the Affiliated Entities and/or Subcontractors to provisions at
least as strict as provided in this Section 10;
c) to apply to the Disclosing Party’s Confidential Information at least the same degree of care as it
its own Confidential Information (but in any case shall apply not less than reasonable care); and
d) to ensure that internal distribution of Confidential Information by a Recipient, its Affiliated Entities
and Subcontractors shall take place on a need-to-know basis.;
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
18
Annex 1: Background Statement
As to NIC, it is agreed between the Parties that, to the best of their knowledge (please choose) representing the status at
the time of this CA
Describe Background included
Specific limitations and/or conditions for
Specific limitations and/or conditions for
implementation (Article 25.2 of the Grant
Exploitation (Article 25.3 of the Grant
Agreement) (if any)
Agreement) (if any)
NIC has the expertise in process
NIC will provide the other parties knowledge For the project-related distribution and
engineering, modelling and
about the process operation under various
publication of the results of the NIC, the
optimization, especially in regard to
conditions and configurations (batch, (semi- other parties have to obtain the written
separation unit operations. This
)continuous, etc.) applied. NIC hereby grants agreement of NIC beforehand.
knowledge and experience extends to
the Access Rights to the Background,
the determination and analysis of the
generated by the research teams of the
main governing mechanisms
Laboratory for Molecular Biology and
(adsorption, desorption and (un)folding Nanobiotechnology and Laboratory of
kinetics, as well as thermodynamics, in Catalysis and Chemical Reaction Engineering,
DSP units, inter- and intra-particle
directly involved in the Project, to the extent
mass transfer within packed- or fixedthat such Background is needed for the
beds of DSP units, fluid mechanics
implementation of the Project, and if NIC is
related to DSP units (flow patterns),
free to provide the stated Access Rights.
equipment design and specific process
equipment adaptation. The knowledge
of downstream process design and
modulation of conditions leading to
novel DSP development and
optimization (e.g. effluent recycling and
residence time modulation),,
intensification and scale-up.
Knowledge and experience in protein
interaction studies for development of
novel analytical tools.
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
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Annex 4: Access rights to Affiliated Entities
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
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Any Questions?
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
21
Gianni D’Errico
R&D Project Developer
TIKO-PRO
E:[email protected]
M: +386 (0) 70 730 264
»The project will be implemented in line with the Operational Programme for Human Resources Development 2007-2013, 3rd priority
axis: Development of human resources and lifelong learning, activity 3.3: Quality, competitiveness and responsiveness of higher
education.«
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