Besonderheiten von Konsortialverträgen in RP6-Projekten

Bettina Asamer

FFG, Europäische und Internationale Programmee-mail: Bettina.Asamer@ffg.at,Tel.: 057755 4402

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Antrag

Vertragsverhandlung

Nachbearbeitung

Projektlaufzeit

Projektverlauf

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Struktur des Fördervertrages

http://europa.eu.int/comm/research/fp6/working-groups/model-contract/index_en.html

GrundvertragANNEX I

• Technischer Annex

ANNEX II• Allgemeine Bestimmungen

ANNEX III• Spezielle Bestimmungen der Instrumente

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Verträge in der Anbahnung

GeheimhaltungsvereinbarungLetter of IntentLetter of CommittmentAbsichtserklärungVorvertrag

Vertragliche Vertrauensbildung

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Konsortialvertrag

Vertragliche Verpflichtung

Auf Basis des Mustervertrages

(Vorgeschrieben bzw. empfehlenwert): Unterschrift vor Projektunterschrift

Neue Regelungsinhalte Regeln des Geistigen Eigentums Zuteilung von Verantwortlichkeiten und Tasks Finanzielle Verteilung: wann, wie, wer? Haftung, Bonität

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Das Vertragsmanagement im 6.RP

Partner-suche

Antragstellung

KonsortialvertragKonsortialvertrag

ProjektdauerVerwertung

LizenzverträgeLizenzverträge

Vertrags-verhandlungen

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Der KonsortialvertragMöglicher Inhalt

Präambel• Spezifikum des Anglo-amerikanischen Rechtes• Darstellung der Intentionen und Beweggründe

Definitionen• Verweis auf die EU-Definitionen• Zusätzliche Definitionen• Kann Mißverständnisse ausräumen!!!!

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Der KonsortialvertragMöglicher Inhalt

Dauer • Beginn und geplantes Ende• Abhängigkeit von EU-Vertrag

Der Koordinator• Pflichten• Rechte

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Der KonsortialvertragMöglicher Inhalt

Die Partner• Rechte und Pflichten• Verhältnis untereinander• Verteilung der Rollen

ZahlungsmodalitätenVertraulichkeit

• Definition, Umfang• Dauer• Veröffentlichungen

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Der KonsortialvertragMöglicher Inhalt

Haftung• Untereinander• Gegenüber der Kommission• Gegenüber Dritten• Unterlassung und Schadenersatz

Höhere Gewalt• Rechtliche Definition

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Der KonsortialvertragMöglicher Inhalt

IP-Eigentum und Zugangsrechte • Schutz der Kenntnisse

• Geheimhaltung, Patent, etc.• Allgemeine Bestimmungen

• Formalkriterien• Folgen von Änderungen in den Unternehmen

• Fusion, Konkurs, Besitzerwechsel• Verschiedene Formen der Ergebnisse

• Software, Marke, Design, etc.

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Der KonsortialvertragMöglicher Inhalt

Zugangsrechte• Präzisierung und Klärung der EU-

Vertragsbestimmungen Projektdurchführung - Verwertung

Veröffentlichungen• Einspruchsmöglichkeiten• Formaler Ablauf

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Der KonsortialvertragMöglicher Inhalt

Projektmanagement• Projektkomitee• Quoren• Zuständigkeiten• Meetings• Vertretungsbefugnisse• Protokolle • Kontakte

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Der KonsortialvertragMöglicher Inhalt

Beendigung des Vertrages• Gründe für die Auflösung• Formalkriterien• Folgen der Auflösung

Streitbeilegung• Gericht• Schiedsgerichtsbarkeit ( Achtung: Kosten)

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Der KonsortialvertragMöglicher Inhalt

Juristische Klauseln

• Sprache• Anwendbares Recht• Schriftlichkeit von Änderungen• Anzahl der Kopien

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Der KonsortialvertragMöglicher Inhalt

VertragsstrafenAnnexe

• Pre-existing Know-How• Affiliates• Budget• Ansprechpersonen• Bankkonten

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Examples

For the easier handling and execution of the Project the Contractorsconsider a possible establishment of a company. The Contractors herebymutually agree to verify and to check the legal and actual possibilities inconnection with an intended incorporation and in this regard their approvalshall not be unreasonably withheld.

Art. 10: ....The General Assembly shall in particular be responsible for:...

without prejudice to Article 7, agreeing procedures and policies inaccordance with Annex II General Conditions - Part B for the managementof the Knowledge;

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Examples

The burden of the proof of the “needed” Access rights in accordance with the provisions ofAnnex II - General Conditions Part C Article II. 35 and 7.4.4 and 7.4.4 and 7.4.5 hereof shall beupon the requesting Contractor.

7.4.8 Affiliates Access Rights

Each Contractor hereby grants Access Rights to all Affiliates of the other Contractors as ifsuch Affiliates were parties hereto, provided all such Affiliates fulfill all confidentiality andother obligations of the Contractors under the Contract and under this Consortium Agreement

Duties of the coordinator ... iv. ensuring that the quality of the management of the Project uses

industry best practice and is of a standard at least equivalent to normal commercial projects.

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Example

7.6 Use of Marks

Each Contractor retains all rights, title and interest in any of its trade and business names, servicemarks, trade marks, logos or other symbols it uses to identify itself or any of its activities(“Marks”) and no Contractor shall acquire under this Consortium Agreement any general licenseor any other right, express or implied, by law or otherwise, title or interest in or to any suchMarks of any other Contractor.

Each Contractor shall obtain the other Contractor’s (s’) prior written approval of any publicationor any press releases or public announcement making reference to said other Contractor(s) andspecifically on the Marks of said Contractor(s) to be used and on the manner it will be used.

Article 12 – Confidentiality

12.1 During the term of the Project and for a period of three years thereafter, theContractors shall treat as confidential any information which is exchanged underthe performance of the Project by any disclosing Contractor.

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Example

Article 13: Settlement of DisputesParties agree that, in case of dispute or difference between the Parties arising out of or in connection with this Consortium Agreement, the Parties shall first endeavour to settle it amicably. All disputes or differences arising in connection with this Consortium Agreement which cannot be settled as provided for in the preceding sentence shall be governed exclusively by the laws of Greece, and shall be subject to the exclusive jurisdiction of the courts of Thessaloniki, unless the PMB

prefers another competent jurisdiction.

Art.7. WP leadersThe coordinator will appoint task leaders who will be responsible for the work performed within the tasks and preparation of deliverables predicted. The Task leaders will be appointed during the kick-off meeting of the Steering Committee.

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Example

7.2.2 Where several Contractors have jointly carried out work generating theKnowledge and where their respective share of the work cannot be ascertained(which is especially assumed for contractors sharing a working package), they shallhave joint ownership of such Knowledge and shall be entitled to use and license ofsuch Knowledge without owing any financial compensation to each other. Thecontractors shall agree amongst themselves (seperate agreement) ....

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Annex H - Plan for Use and Dissemination

Detail which Contractor at which conference will when publish certain results …

The consortium will keep contact and share results with the groups that are working on alternativeapproaches, to ensure that the results will converge to a maximum extent. Since the consortium has astrong research focus, most of the dissemination efforts will be published in the proceedings ofestablished international conferences (see table below) and journal papers:

-

Practical issues relating to a specific technology will be published as experience reports at dedicatedtracks at conferences or workshops. Additionally, technical reports with the overall results will bepublished using a internet platform (see Article 5.3). The type of publications will change along theproject lifecycle due to the changing emphasis on research and technological development.

Acronym Title OrganizersDSN The Int. Conference on Dependable Systems and Networks IEEE

Exploitation

Beside academic publishing, the results will be exploited into future products. In particular, XXX isinterested in using the results to add functionality to one of their products, a distributed managementsystem for a YYYYY.Furthermore, the participating researchers of the XXX are going to use the project results to start aspin-off company. The preparation for the foundation of the spin-off will start at the middle ofthe project when research activities are reasonably settled.XXX is going to use the know-how and results of this project for the development of a newgeneration of distributed systems in the field of YYY computing, which addresses similar problemsbut in slightly different level. They plan to release a commercial product in the years between 2005-2006.Similar, XXX will use the results for improving future product releases of their YYYXX product.Additional to the industrial exploitation it is considered to disseminate results during XXXinformation days.

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Examples

Knowledge is exclusively owned by SME Partners as from day one of its creation and thetransfer is deemed operated to SME by the RTD Performers who accept to enter into anyadditional agreement or to issue separate documents if necessary in particular for the purposeof complying with the copyrights, patent or other laws of the different countries concerned.Except for that last purpose, no formal additional transfer of ownership is necessary fromRTD Performers.

.1.1 Transfer of Employees' Rights

In addition to the obligations pursuant to the EU Contract, each Party shallensure that it can grant Access Rights and fulfil the obligations under the EUContract and this Consortium Agreement notwithstanding any rights of itsemployees, or persons it engages to perform part of its share of the Project, inthe Knowledge or Pre-existing Know-how they create after the effective date ofthis Consortium Agreement as identified.

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Participant --: The Chancellor, Masters & Scholars of the University of XXXThe University of XXX is party to an agreement between YYY Limited dated ...pursuant to which YYYLimited have certain rights to the intellectual property created by Professor ZZZ research group. Whilstthe University of XXX has the right to use and grant Access Rights to such intellectual property for thepurposes of academic research, any Access Rights to such intellectual property to the other consortiumpartners for commercial exploitation (which may be Knowledge or Pre-Existing Know-How) are subjectto the prior written consent of YYY Limited which may not be available or may not be granted at YYYLimited’s sole discretion.XXX agrees to disclose only the Pre-existing know-how previously listed for the project and excludes allother pre-existing know-how of its participating institute or organisation, this including:-- pre-existing know-how developed by XXX University researchers not participating in the QQQ Networkof Excellence,

- pre-existing know-how developed by researchers participating in the QQQ Network Of Excellencewhich is outside the scope of the programme for jointly executed research activities of the Network.

XXX also hereby excludes from its obligation to grant Access Rights for Use (i.e. commercialexploitation) to Pre-existing know-how and Knowledge all Pre-existing know-how and Knowledgegenerated by XXX as a result of NNN Funding for Professor ZZZ research group.

Specifically excluded from the obligation to grant Access Rights for Use will be Pre-existing Know-Howand Knowledge as listed below:

1) Protected Know-how:,Patent No. or File No

2) Protected Know-how:,Patent No. or File No.:

3) For the purposes of commercial exploitation, all existing know how relating to these patents and anysubsequent know how created that falls within the scope of the University’s licence and pipelineagreement with YYY Ltd dated

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www.ipr-helpdesk.org

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Muster für Konsortialverträge

Unite (int. Universitätsvereinigung)• http://www.unite.be/ca-6.htm

KOWI (dt. Service-Einrichtung zur EU-Forschungsförderung)

• http://www.kowi.de/rp6/default.htm

IPR-Helpdesk• http://www.ipr-helpdesk.org/index.htm

Gruppe für Musterverträge• http://europa.eu.int/comm/research/fp6/

working-groups/model-contract/index_en.html

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Vielen Dank für Ihre Aufmerksamkeit!