modello di Consortium Agreement nell'ambito del VI programma quadro di rst
modello di Consortium Agreement
nell'ambito del VI programma quadro di rst
a cura dell'Ufficio Relazioni con l'Unione Europea del Politecnico di Torino
con il gruppo di lavoro CRUI "Aspetti contrattuali"
22 luglio 2003
INDICE
1. Introduzione 3
2. Definizione 3
3. Momento della stipula del consortium agreement 3
4. Disposizioni organizzative 4
5. Disposizioni Finanziarie 4
6. Il modello di consortium agreement proposto e i suoi ambiti di applicabilità 5
ALLEGATO A 7
Commento alla checklist fornita dalla Commissione Europea 7
ALLEGATO B 13
consortium agreement 13
ALLEGATO C 37
preliminary consortium agreement 37
1. Introduzione
Le novità introdotte dal VI Programma Quadro hanno notevoli ripercussioni su tutta la gestione amministrativa dei progetti co-finanziati.
Il finanziamento di progetti di grandi dimensioni, la necessità di un coinvolgimento dei vertici politici degli enti proponenti, una più ampia autonomia contabile e gestionale dei contraenti, la semplificazione delle procedure di presentazione delle proposte e stipula dei contratti hanno come contrappeso maggiori responsabilità amministrative in capo ai proponenti.
E' proprio nell'ottica dell'accresciuta necessità di regolare in maniera chiara e precisa le responsabilità derivanti dal progetto, che deve considerarsi di particolare rilevanza la conclusione del "Consortium Agreement", strumento già utilizzato in precedenza ma che oggi assume una nuova centralità.
Riconoscendo ai partecipanti una maggiore autonomia nella gestione del progetto e nella disciplina tra di essi di diverse questioni quali ad esempio i diritti e le obbligazioni che riguardano la gestione e l’accesso alla proprietà intellettuale (IPR), nei limiti stabiliti dal Contratto con la Comunità, la Commissione ha reso obbligatoria la conclusione del Consortium Agreement prima della stipula del contratto, a meno che sia diversamente specificato nell’invito a presentare proposte.
2. Definizione
Secondo le Regole di partecipazione (Regolamento (CE)N.2321/2002 del Parlamento Europeo e del Consiglio del 16 dicembre 2002) il Consortium Agreement (CA) è “un accordo che i partecipanti ad un'azione indiretta concludono tra loro per l'attuazione di questa". Tale accordo non dovrà pregiudicare gli obblighi dei partecipanti, sia reciproci sia verso la Comunità, che derivano dalle Regole di partecipazione e dal Contratto. La Commissione Europea non è parte dell’accordo e non svolge alcun ruolo nella scelta, effettuata dalle parti, delle clausole ritenute appropriate alla natura e allo scopo della collaborazione e degli interessi considerati. Si limita a mettere a disposizione una checklist che fornisce indicazioni ai partecipanti nella stesura dell'accordo.
3. Momento della stipula del Consortium Agreement
Durante i Programmi Quadro precedenti, il CA veniva di solito concluso quando il progetto era già in corso e comunque dopo la firma del contratto. Nel VI PQ, come già detto, il CA diventa obbligatorio per le Reti d'eccellenza (NoE) e i Progetti Integrati (PI) già prima della stipula del contratto. Sarebbe in effetti auspicabile che il consortium agreement –anche in una forma preliminare- fosse concluso già in fase di preparazione della proposta. Si suggerisce questa eventualità per due ordini di fattori:
i partners si impegnerebbero a contribuire alla redazione della proposta, al rispetto dei termini e alla conclusione del contratto;
il coordinatore si impegnerebbe a non modificare arbitrariamente parti sostanziali della proposta e a tenere informati i partners sulla corrispondenza con la Commissione.
Dato inoltre che la CE non richiede più l'apposizione della firma del legale rappresentante in originale ma solo moduli elettronici (modulo A2) con la sola indicazione del responsabile scientifico ("person in charge") del progetto, il CA preliminare costituirebbe una forma di impegno dei partner a portare avanti le attività del progetto, se approvato, e aggiungerebbe, in fase di valutazione, valore alla proposta (in particolare nelle NoE).
4. Disposizioni organizzative
Tale sezione contiene le disposizioni relative alla struttura gestionale del progetto. Deve essere pertanto redatta collegandola strettamente al progetto stesso, ai suoi caratteri distintivi, alla tipologia di strumento, alle dimensioni e alla struttura organizzativa che i partner hanno deciso di adottare. In generale non è opportuna una proliferazione di organi collegiali. E’ necessaria la presenza di un organo che deliberi sulle questioni di carattere strategico e politico, nonché su quelle particolarmente delicate (sanzioni, risoluzioni, …). Le attività esecutive e gestionali possono essere compiute, secondo le dimensioni del progetto, da organi unipersonali o collegiali. Nei progetti di minori dimensioni (come Strep e Misure Specifiche per le PMI) si potrà utilizzare un unico organo direttivo (steering board, management board).
Nel CA è necessario, in particolare, definire con attenzione:
scopo e responsabilità dei vari organi;
regole organizzative (composizione, ecc.) e di funzionamento (incontri, decisioni, presidenza, ecc.);
procedure di revisione del CA e del Contratto con la Commissione Europea: modificazione delle regole tecniche e finanziarie, recesso di membri del consorzio o accettazione di nuovi partner.
5. Disposizioni Finanziarie
A differenza del passato, il contratto stipulato con la Commissione Europea contiene l'indicazione dell'importo totale del contributo comunitario ma non del piano finanziario con l'allocazione del budget tra tutti i contraenti. Diventa pertanto essenziale che il piano dettagliato delle voci di costo e delle percentuali di contributo comunitario per ciascun contraente sia riportato nel CA.
Il CA deve inoltre contenere le procedure per la modifica di tale piano, le modalità di trasferimento del contributo dal coordinatore agli altri contraenti, eventualmente la previsione di un apposito fondo di riserva nel caso di inadempienza di uno o più contraente.
6. Il modello di CA proposto e i suoi ambiti di applicabilità
Di seguito viene proposto:
un commento della check list della Commissione Europea in cui sono stati evidenziati gli elementi a cui prestare particolare attenzione nella conclusione di un accordo consortile (allegato A)
un modello di "Consortium Agreement" (allegato B)
un modello di "Preliminare di Consortium Agreement" (allegato C)
1. La check list evidenzia gli elementi la cui presenza è indispensabile in un CA:
Informazioni generali
Preambolo
Oggetto: scopo, natura e durata
Regole tecniche
Disposizioni commerciali
riservatezza
diritti di proprietà intellettuale
pubblicazioni e reports alla Commissione Europea
Disposizioni organizzative
organi decisionale ed esecutivi
Disposizioni finanziarie
piano finanziario e allocazione fra i partner
modalità di trasferimento dei pagamenti
Disposizioni legali
responsabilità
inadempienze
dispute
2. Il modello di CA proposto è stato concepito come strumento di supporto per la definizione delle regole interne al consorzio. Tale modello deve di volta in volta essere completato e modificato in relazione:
alle caratteristiche del progetto e alle sue dimensioni;
allo strumento utilizzato (NoE, IP, STREPS…), in relazione al quale il CA potrebbe richiedere un approfondimento o una semplificazione;
alle decisioni del consorzio in materia di struttura organizzativa;
IPR, ecc.
Nella stesura si è tenuto conto delle indicazioni e dell'articolazione suggerite nella Check List, e si è tentato di predisporre un modello di base adattabile a tutti gli strumenti del VI PQ.
3. Il modello di "Preliminare di Consortium Agreement" è stato invece predisposto nella forma di un documento sintetico, tale da poter essere già facilmente firmato in fase progettuale, e contiene gli elementi fondamentali di un preliminare: impegno a contribuire alla redazione della proposta, al rispetto dei termini e alla conclusione del contratto, e per il coordinatore, a non modificare arbitrariamente parti sostanziali della proposta e a tenere informati i partners sulla corrispondenza con la Commissione.
Commento alla checklist fornita dalla Commissione Europea
Materia |
Contenuti indicati dalla cheklist |
Commenti |
Informazioni Generali Informazioni generali sul partenariato
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Identificazione delle parti
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Nel Consortium Agreement (di seguito “CA”) occorre specificare:
E’ opportuno accertarsi, in particolare, che i firmatari del CA abbiano la facoltà di impegnare l'istituzione di appartenenza (in base alla legge, allo statuto e alle altre norme interne, oppure in base a procure). Tale controllo va esteso ai poteri di tutti coloro che rappresentano i partner, per esempio i membri degli organi. |
Lista dei componenti dello staff
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La CE consiglia di indicare i nominativi di coloro che lavoreranno al progetto soprattutto per rafforzare l’obbligo di segretezza. Tale indicazione, inoltre, è utile all'atto di rendicontare i costi del personale. Questa informazione, se la si considera opportuna, può essere inserita in un allegato, che specifichi nome e categoria del personale. |
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Terzi che mettono a disposizione risorse
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Nel caso in cui si utilizzino le risorse di soggetti terzi, è opportuno indicarne il tipo e l’uso che se ne fa. Anche in questo caso è meglio indicare le relative informazioni in un allegato. |
Preambolo Informazioni preliminari |
Ragioni della stipula dell’accordo
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Il CA dovrebbe contenere la descrizione delle attività svolte precedentemente alla stipula del contratto con la CE (presentazione della proposta, negoziazione..). Una delle ragioni per tale descrizione è l’opportunità di vincolare i partner alle dichiarazioni rese prima della stipula del contratto, in modo da far valere la cosiddetta “responsabilità precontrattuale”. |
Definizione delle espressioni utilizzate |
La checklist richiede che nel CA siano definite le espressioni utilizzate. Si consiglia di definire soltanto le espressioni il cui significato non è contenuto nel contratto con la CE o nelle fonti giuridiche. |
Oggetto Attività e risultati |
Attività da compiere |
L’oggetto del CA è la specificazione degli obblighi e dei diritti dei partecipanti sui contenuti del contratto con la CE. |
Inizio e durata dell’efficacia |
Occorre indicare la data di inizio e di conclusione del CA. Secondo quanto già detto nell’introduzione, è opportuno che il CA o almeno un suo preliminare entri in vigore già nella fase di redazione della proposta. Il CA, anche se preceduto da un preliminare, dovrebbe avere una durata superiore alla durata del contratto con la CE. Infatti in esso sono disciplinate materie, come quelle riguardanti la segretezza e la proprietà industriale e intellettuale (IPR) che hanno una rilevanza anche successiva alla fine del contratto con la CE. |
Regole tecniche Disciplina del contributo di ogni parte al Progetto |
Contributo tecnico delle parti
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Il CA, secondo la checklist, dovrebbe dettagliare ulteriormente l’attività da svolgere nel progetto in termini di: contributo tecnico delle parti; risorse tecniche messe a disposizione; programma di lavoro; limiti dell’impegno tecnico ed eventuali procedure da adottare per la modifica delle regole tecniche. Tali informazioni sono generalmente già contenute nella descrizione dei workpackage del progetto (e cioè dell’Allegato I al contratto con la CE), soprattutto da un punto di vista tecnico-scientifico.
Potrebbe invece essere opportuno dettagliare maggiormente nel CA le attività da compiere da un punto di vista operativo. E’ però necessario fare attenzione che tale descrizione non sia in contrasto con quanto già indicato nell’Allegato I del contratto con la CE. E' comunque opportuno che siano inserite in un allegato al CA. |
Risorse tecniche messe a disposizioni
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Programma di lavoro Programma dettagliato di lavoro
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Limiti di impegno tecnico Procedure di modifica I limiti di impegno delle risorse non dovrebbero essere basati su risultati, ma espressi in quantità di impegno |
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Procedure di modifica Procedure per modificare le regole tecniche. |
Per la disciplina delle procedure di modifica e delle conseguenze in caso di inadempimento si consiglia di fare riferimento alle regole organizzative. |
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Regole in caso di non-adempimento Conseguenze del mancato svolgimento delle attività |
Regole organizzative Disciplina degli strumenti decisionali |
Organi direttivi (decisionali, amministrativi, tecnici, IPR, finanziari) |
Il CA è un contratto di durata, plurisoggettivo (stipulato tra diversi soggetti) e con comunione di scopo (tutti i soggetti sono legati dal comune obiettivo di svolgere l’attività di ricerca). Tra le conseguenze più importanti di tali caratteristiche vi è l’individuazione di chi prende le decisioni comuni, durante l’intero svolgimento del rapporto contrattuale. Di solito le decisioni sono affidate ad organi, composti dai rappresentanti dei partner. |
Una chiara definizione degli organi di governo, delle loro funzioni, composizione, funzionamento (meeting, quorum) permetterà una gestione agile. Solitamente, si distinguono tra organi decisionali (che prendono decisioni strategiche), gestionali, tecnici e consultivi. La presenza di tutti questi organi è facoltativa e dipende dalla dimensione e dalla tipologia dei progetti. Si potrebbe prevedere che le riunioni dei vari organi possano tenersi anche in via telematica, per renderne effettiva l’operatività. |
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Coordinamento degli organi |
Qualora ci siano più organi, è opportuno introdurre strumenti di coordinamento. Per esempio, tale funzione potrebbe essere svolta dal coordinatore che fa parte di tutti gli organi e li gestisce. |
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Modifiche dell’Agreement |
Occorre stabilire le regole per la modifica delle varie disposizioni del CA. Un ruolo importante, a tale proposito, potrebbe essere svolta dall’organo decisionale. |
Regole finanziarie
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Piano finanziario - Stima dettagliata dei costi - Allocazione del contributo CE - Finanziamenti di terzi - Budget - Modulistica |
Bisogna porre particolare attenzione alla distribuzione del contributo tra i partner perché questo aspetto non è regolato nel contratto con la CE. D’altro canto nulla è stabilito riguardo ai tempi di effettivo trasferimento dei fondi dal coordinatore ai partner. E’ utile allegare al CA un documento che stabilisce la distribuzione dei finanziamenti tra partner e il calendario dei pagamenti. Le disposizioni finanziarie dovrebbero essere poter essere modificate dagli organi del CA. |
Pagamenti - Spese comuni - Modalità di pagamento - Termini - Divisa - Costi di pagamento - Tributi - Interessi - Identificazione dei costi di management |
Si potrebbe precisare che le spese bancarie connesse al trasferimento dei pagamenti o al tasso di cambio saranno a carico della parte ricevente.
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Audit delle spese
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E’ opportuno fissare regole uniformi per la rendicontazione e la certificazione. Ciò è particolarmente utile nel Sesto Programma Quadro, che lascia una maggiore libertà in materia amministrativa, ma proprio per questo, maggiori possibilità di errori ed eterogeneità nei comportamenti dei diversi partner. |
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Certificazione audit
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Regole sulla proprietà intellettuale e industriale Disciplina della segretezza e dei beni immateriali |
Segretezza Ambito di applicazione Limiti all’obbligo:
Periodo dell’obbligo (di solito superiore alla durata del contratto)
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Nel CA occorre disciplinare i diversi aspetti relativi alla proprietà intellettuale industriale sia delle conoscenze preesistenti (pre-existing know how) sia delle conoscenze prodotte dal progetto (knowledge). In particolare bisogna disciplinare gli aspetti indicati nella checklist e cioè:
Nel disciplinare tali aspetti, bisogna tener conto delle regole del contratto con la CE e della normativa nazionale e comunitaria sulla proprietà intellettuale industriale. |
Proprietà dei risultati Proprietà comune Casi problematici Proprietà comune: bisogna stabilire le regole di esercizio della proprietà comune. Come:
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La checklist consiglia di dettare regole nelle ipotesi più problematiche, come quella in cui le conoscenze prodotte appartengano a più partner. Occorre, a tal proposito, stabilire delle regole di sfruttamento, come, per esempio, la ripartizione per territori. |
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Accesso Regole per l’accesso:
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L’accesso è il diritto di godimento di un partner con riferimento alle conoscenze e alle conoscenze preesistenti, appartenenti ad un altro partner. Questo diritto è riconosciuto gratuitamente, ma può essere soggetto a limiti soprattutto nel caso di accesso per lo sfruttamento commerciale. |
Regole sulla proprietà intellettuale e industriale Disciplina della segretezza e dei beni immateriali |
Protezione dei risultati
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Bisogna stabilire chi protegge i risultati della ricerca. Ordinariamente l’obbligo di protezione spetta a chi è il proprietario delle conoscenze. |
Sfruttamento Nel caso di proprietà comune: 1) Sfruttamento separato:
2) Sfruttamento congiunto:
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Occorre stabilire regole per lo sfruttamento commerciale dei risultati, soprattutto nel caso di proprietà congiunta. |
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Diffusione e pubblicazione Disciplina dell’obbligo di diffusione (V. Disciplina della protezione) per la durata del Progetto e per 2 anni dopo (Cfr. Annex II.17) Pubblicazione (cfr. Annex II.16 Obbligo di comunicazione) |
Per quanto riguarda le pubblicazioni:
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Sub licenze In generale il diritto d’accesso non consente sublicenze. Si possono concedere regolando:
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Occorre regolare le ipotesi in cui i partner concedono a terzi sublicence del Knowledge e del Pre-existing Know-How. Tali regole devono tendere ad evitare che tali licenze pregiudichino i diritti di accesso dei partner. |
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Pre-existing Know-How escluso dal contratto Identificazione al fine di:
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E’ importante stabilire quali conoscenze preesistenti al progetto (Pre-existing Know-How) sono utilizzate nel progetto e quali sono escluse dall’accesso degli altri partner. Tale dichiarazione dei limiti va fatta, a norma del contratto con la CE, prima della stipula dello stesso. Altrimenti le limitazioni non possono essere opposte ai partner. Nella bozza di CA che si propone, si prevede un allegato che contiene la lista delle conoscenze preesistenti e degli eventuali limiti. |
Regole “legali” Disciplina di vari aspetti quali la fine del contratto, le sanzioni contrattuali, la legge applicabile e il giudice competente. |
Forma legale |
La checklist richiede che si indichi quale forma legale viene dato al CA. Di solito i partner, stipulando il CA, non creano un nuovo soggetto di diritto e svolgono l’attività del progetto rimanendo autonomi nei confronti della CE e dei terzi. E’ comunque possibile che i partner, sia in fase di stipula del CA, sia successivamente, costituiscano un nuovo soggetto di diritto per svolgere in modo stabile l’attività (come una società di capitale, un GEIE, un consorzio, un’associazione, ecc.). |
Fine del contratto
- Termination by Force Majeure |
Come si è detto sopra (nella parte dedicata all’ “oggetto”) nel CA bisogna specificare la data di inizio e fine del vincolo contrattuale. Occorre inoltre disciplinare le diverse ipotesi di fine del contratto, quali il recesso (scioglimento volontario del CA) e la risoluzione (scioglimento del CA per inadempimento o causa di forza maggiore). Lo scioglimento può riguardare l’intero CA o può interessare uno o più partner. |
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Sanzioni contrattuali
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Il CA deve specificare quali sono le conseguenze dell’inadempimento dei partner nei rapporti reciproci. Tali conseguenze possono consistere nella risoluzione (v. sopra) e da sanzioni patrimoniali che, nella contrattualistica internazionali, prendono il nome di “penalty” o di “liquidate damages”. E’ da prendere in considerazione l’ipotesi di richiedere garanzie di adempimento ai partner. |
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Legge applicabile
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È' corretto precisare che il CA è regolato dal diritto UE e, per quanto non previsto, dal diritto nazionale indicato nel Contratto con la Commissione. Ciò premesso, è preferibile che la legge nazionale applicabile sia quella del Contratto con la Commissione (legge belga o lussemburghese). |
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Giudice competente
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Per dirimere le controversie occorre individuare o un giudice nazionale (meglio se un giudice della legge nazionale applicabile) o un arbitro. Nella bozza di CA si è scelto di indicare un arbitro, in modo da assicurare una più celere risoluzione delle controversie, anche se, probabilmente a costi maggiori. Nella bozza di CA si demanda, comunque, all’organo decisionale tutti i poteri per risolvere estragiudizialmente le controversie, fatto sempre salvo il diritto di ricorre all’arbitro. |
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Distacco personale
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La checklist prevede che, nel caso in cui si verifichi il distacco del personale da un partner ad un altro, siano specificate le regole di detto distacco. Di solito è opportuno stabilire regole compatibili con quelle nazioni del partner distaccatario (quello presso il quale il personale è distaccato). Nelle controversie di lavoro, infatti, generalmente si applica la disciplina del luogo dove si svolge l’attività lavorativa. |
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Sottoscrizione del contratto Individuazione: - dei rappresentanti - dei luoghi per le comunicazioni |
Come già spiegato nel paragrafo “informazioni generali”, il CA deve essere sottoscritto da chi ha la rappresentanza negoziale del partner. La checklist richiede che vengano forniti gli indirizzi (postali, telefax , e-mail) per le comunicazioni tra partner. |
Regole “legali” Disciplina di vari aspetti quali la fine del contratto, le sanzioni contrattuali, la legge applicabile e il giudice competente. |
Final Clauses - Entire agreeemnt - Severability - Counterparts - Assignment - Lingua - Allegati - Procedura di stipula |
Il CA contiene diverse clausole che chiudono il testo e che sono spesso caratteristiche dei contratti internazionali, come, per esempio:
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ALLEGATO B
Consortium Agreement
for the project called
"__________"
This consortium agreement (“Consortium Agreement”) is made and entered into force this … day of ... month/ year by and between
__________having its registered office at __________, represented by [insert the name of legal representative or his proxy], VAT identification number _________, hereinafter referred to as - "__________"
and
…
…
…
Hereinafter referred to individually or collectively as the “Contractor(s)”
CONTENTS
PREAMBLE 16
Title I: SUBJECT OF THE AGREEMENT 16
Section 1: Subject, purpose and nature of the Consortium Agreement 16
Art. 1.1 Definitions 16
Art. 1.2 Additional definitions 16
Art. 1.3 Purpose of the Consortium Agreement 17
Section 2: Responsibility 17
Art. 2.1 Responsibility 17
Title II: ORGANISATIONAL PROVISIONS 18
Section 1: Project Organisation and Management Structure 18
Art. 1.1 Management Structure 18
1.1.1 Co-ordinator 18
1.1.2 Governing Board 19
1.1.3 Executive Committee 19
Art. 1.2 Common rules for the bodies 20
Art. 1.3 Advisory Panels [if applicable] 20
Title IV: TECHNICAL AND FINANCIAL PROVISIONS 21
Section 1: Technical provisions 21
Art. 1.1 Human and material resources 21
Section 2: Costs – Payment 21
Art. 2.1 General Principle 21
Art. 2.2 Transfer of payments 21
Art. 2.3 Management of EC contribution 21
Art. 2.4 Management costs 21
Title V: Confidentiality and IPR 21
Section 1: Confidentiality 21
Art. 1.1 : Confidentiality 21
Section 2: Intellectual Property Rights 22
Art. 2.1 Ownership on Pre-existing Know-How 22
Art. 2.2 Identification of Pre-Existing Know How [if applicable] 22
Art. 2.3 Knowledge [if applicable] 22
Art. 2.4 Access-rights 23
2.4.1 General Principles relating to Access-rights 23
2.4.2 Access-rights for carrying out the project 23
2.4.3 Access-rights for Use 23
Art. 2.5 Decisions on IPR matters 24
Section 3: Publications and Press Releases 24
Title VI: LEGAL PROVISIONS 24
Section 1: Duration, withdrawal and inclusion of a New Contractor 24
Art. 1.1 Duration 24
Art. 1.2 Suspension and termination 25
Art. 1.3 Withdrawal of a Contractor 25
Art. 1.4 Inclusion of a new Contractor 25
Section 2: Liability, Termination 26
Art. 2.1 Liability 26
Art. 2.2 Termination 27
Art. 2.3 Bankruptcy 27
Section 3: Settlement of Disputes 27
Section 4: Final provisions 28
Art. 4.1 Language 28
Art. 4.2 Notices 28
Art. 4.3 Applicable Law 28
Art. 4.4 Assignment 28
Art. 4.5 Entire Agreement - Amendments 28
Art. 4.6 Severability 28
Art. 4.7 Annexes and Conflicts 28
Annex A: Contract 30
Annex B: Budget 31
Annex C: List of the members of the management structure 32
Annex D: Pre Existing Know – How 33
Annex E: Recipients for Notices 34
Annex F: Bank Account 35
Annex G: List of material and human resources 36
PREAMBLE
WHEREAS, the Contractors, having considerable experience in the field of the Project, have submitted a Proposal for the Project to the Commission [or: "intend to submit a Proposal for the Project to the Commission“] in consideration of Decision No 1513/2002/EC of the European Parliament and of the Council of 27 June 2002 concerning the sixth framework programme of the European Community for research, technological development and demonstration activities, contributing to the creation of the European Research Area and to innovation (2002 to 2006), (OJEC L 232/1) and of Regulation (EC) No 2321/2002 (OJEC L355) of the European Parliament and of the Council of 30 December 2002 concerning the Rules for the participation of undertakings, research centres and universities and for the dissemination of research results for the implementation of the European Community sixth framework programme 2002-2006;
WHEREAS the Contractors have decided and agreed to execute and perform the Contract (as such term is defined in the above mentioned Regulation) to be awarded by the Commission for the Project in the event the Commission accepts their Proposal; [this part should be changed if the Proposal has been already accepted by the European Commission]
WHEREAS the Contractors in accordance with the provisions of the Commission contractual rules, Annex II General Conditions - Part A, Section 1, Article II.1, wish to specify or supplement, between themselves, the provisions of the anticipated Contract, with respect to the carrying out thereof;
WHEREAS the Contractors have agreed on a project called “…” to be carried out in the framework of the specific research and technological development programme “…”.;
WHEREAS the Contractors considers that it is of their mutual benefit to co-operate on the strategic, scientific and technological objectives of the sub-mentioned Project
NOW THEREFORE IT IS HEREBY AGREED AS FOLLOWS:
Title I: SUBJECT OF THE AGREEMENT
Section 1: Subject, purpose and nature of the Consortium Agreement
Art. 1.1 Definitions
For sake of clarity, words used in this Consortium Agreement shall have the same meaning as that defined in the second article of Regulation (EC) No 2321/2002 (OJEC L355) of the European Parliament and of the Council of 30 December 2002 concerning the rules for the participation of undertakings, research centres and universities and for the dissemination of research results for the implementation of the European Community sixth framework programme 2002-2006 and the same definition and meaning as that contained in the Contract with the European Commission, including its Annex II General Conditions unless otherwise defined herein.
Art.1.2 Additional definitions
"Budget" is the budget in Annex B with the Contractors' Project Shares agreed upon by the Consortium for the execution of the Project and according to the total EC contribution defined in the Contract.
"Consortium" means all the Contractors participating in the Project covered by the Contract.
"Contract" means the Contract related to the Project
“Contractor” means a participant defined in the EC Regulation on the rules for participation as a legal entity contributing to an indirect action and having rights and obligations with regard to the Community under the terms of such Regulation or according to the Contract.
“Co-ordinator” means the Contractor identified in the Contract who, in addition to its obligations as a Contractor, is obliged, as institution, to carry out the specific co-ordination tasks provided for in the Contract on behalf of the Contractors.
"Commission" or "EC" means the Commission of the European Communities.
“Consortium Agreement” or "Agreement” means this agreement including its Annexes
"Defaulting Contractor" means a Contractor breaching its obligations of the Contract or the Consortium Agreement.
"EC contribution" means the financial contribution of the Commission to the Consortium as defined in the Contract.
"Project" means the project, called …, with project No. <insert project number> as set out in the Programme of Activities as defined in the Contract Annex A.
"Programme of Activities" means the Programme of Activities, as defined in the Contract Annex A.
"Project Share" means for each Contractors, that Contractor's share of the Budget of the Project as agreed by the Consortium in Annex B
"Project Deliverables" means the deliverables required under the Contract and this Consortium Agreement (including but not limited to the reports, cost statements and certified audit reports) that have to be delivered by the Contractors to the Co-ordinator and/or the Commission.
“Subproject” means a set of work packages requiring specific co-ordination for their performances.
Art. 1.3 Purpose of the Consortium Agreement
The purpose of this Agreement is to specify the organisation of the work between the Contractors, to organise the management of the Project, to define the rights and obligations of the Contractors, including, but not limited to, their liability and indemnification, to supplement the provisions of the Contract concerning Access Rights and to set out rights and obligations of the Contractors supplementing but not conflicting with those of the Contract.
The Contractors agree to co-operate pursuant to the terms of this Agreement in order to execute and fulfil the Contract with the EC and perform the tasks designated in the Programme of Activities in Annex A.
The Consortium Agreement shall be regarded as connected to the Contract. In case of conflict between this Consortium Agreement or parts of it and the Contract, the latter shall prevail.
Section 2: Responsibility
Art. 2.1 Responsibility
Each Contractor hereby undertakes with respect to other Contractors all reasonable endeavours to diligently perform and fulfil actively and on time all of its obligations under the Contract and this Consortium Agreement. Each Contractor shall be individually responsible (including for financial matters) to fulfil these obligations.
Each Contractor undertakes reasonable endeavours:
to promptly prepare and provide the Executive Committee, the Co-ordinator or the Sub-Project leader, as appropriate, with the deliverables, information and reports as they require in order to perform their duties under this Consortium Agreement and under Contract or as the Commission may request;
to submit the Co-ordinator every six months 1[yearly] a cost statement of expenses incurred together with the supporting documents;
to address to the Co-ordinator an audit certificate in accordance with the relevant article of the Contract no later than thirty days after the expiry of each certification period;
to notify the Co-ordinator promptly of any delay in performance or of any event that may impact the Project;
to inform the Co-ordinator of any relevant communications it receives from third parties in relation to the Project;
to ensure the accuracy of any information or materials it supplies to the other Contractors or under the Contract and to promptly correct any error therein of which it is notified. The recipient Contractor shall be responsible for the use to which it puts such information and materials;
not to use knowingly any proprietary rights of a third contractor for which such Contractor has not acquired the corresponding right of use and/or to grant licenses;
to act at all times in good faith and in a manner that reflects the good name, goodwill and reputation of the other Contractors and in accordance with good business ethics;
to participate in a co-operative manner to the meetings of the different bodies under this Consortium Agreement.
Title II: ORGANISATIONAL PROVISIONS
Section 1: Project Organisation and Management Structure
Art. 1.1 Management Structure
The Project organisation shall comprise the following:
Co-ordinator is the intermediary to the European Commission and is authorised to execute the project management
Governing Board is the principal decision-making body of this Project and shall comprise all Contractors
Executive Committee means the project management decision-making body
Sub Project Leader is the co-ordinator of each Sub-project activities
1.1.1 Co-ordinator
The Co-ordinator shall be the intermediary between the Contractors and the Commission and shall perform all tasks assigned to it as described in the Contract and hereunder. The Co-ordinator is responsible for the overall management of the Project.
In particular, the Co-ordinator shall be responsible for:
Vis-à-vis the Commission:
signing the Contract with the European Commission after authorisation by all the Contractors representing at least eighty percent (80%) of the Project Shares;
receiving the entire financial contribution from the Commission. The Co-ordinator will manage this contribution by allocating it to the Contractors pursuant to the Programme of Activities and the decisions taken by the appropriate bodies;
supervising the scientific, technical, financial and administrative progress of the Project, and keep informed the Commission of all the relevant information as specified in the Contract;
co-ordinating the reporting to the Commission on the basis of the information gathered from the Contractors;
submitting documentation to the Commission, including all reports, Project Deliverables and any other necessary information required. If one or more Contractors is late in submission of deliverables under the Contract, the Co-ordinator may submit the other Contractors’ deliverables to the Commission.
Vis-à-vis the other Contractors:
organising the activities and chairing the meetings of the Governing Board and Executive Committee;
forwarding any documents and information connected with the Contract performance to the Governing Board, Executive Committee and the Contractors concerned;
setting up an Handbook for the Project’s management to be approved by the Governing Board;
acting as an intermediate between the Contractors;
following up the Project expenses and monitoring the cost statements prepared and certified by the Contractors;
transferring sums allocated among the Contractors as per their Project Shares according to the decisions of the Governing Board and keeping related records identifying what portion of the payments made by the Commission has been allocated and/or paid to each Contractor. 2
Except in its capacity as the representative of the Contractors described in the Contract, the Co-ordinator shall not be entitled to act or to make legally binding declarations on behalf of any other Contractor.
1.1.2 Governing Board
The Governing Board shall consist of one representative of each Contractor. The Co-ordinator shall chair all meetings of the Governing Board. Each representative shall have one vote and may appoint a substitute to attend and vote at any meeting of the Governing Board.
The Governing Board shall in particular be entitled for:
deciding political and strategic orientation of the Project; its Programme of Activities and Budget;
deciding upon the Programme of Activities and its major changes;
deciding upon the allocation of the Budget to the Programme of Activities and approving the changes of the Project Shares, if exceeding 20% 3of the EC contribution;
deciding upon the Handbook for the Project’s management prepared by the Coordinator;
deciding upon the rules for the management of the funds received from the Commission, including the transfer of the payment from the Co-ordinator to the Contractors;
If necessary, may decide on staggered payments of the contribution to a Contractor for justified reasons;
deciding upon the review and/or amendment of terms of the EC Contract and this Consortium Agreement;
deciding on the further commitments proposed by the Executive Committee;
deciding to suspend all or part of the Project or to terminate all or part of the Contract, or to request the Commission to terminate the participation of one or more Contractors;
in case of default of a Contractor, agreeing on actions to be taken against the Defaulting Contractor;
agreeing procedures and policies in accordance with the Commission contractual rules, Annex II General Conditions - Part B for the management of the Knowledge, IPR and Publications matters;
settling any dispute arising from the Project implementation;
deciding upon the enlargement of the Consortium and the access of new Contractors to the Contract and the Consortium Agreement, including related Competitive Calls and their procedures.
All Contractors shall implement the decisions taken by the Governing Board. Refusal by a Contractor to implement a decision of the Governing Board shall be dealt with as per the provisions on Dispute Settlement.
1.1.3 Executive Committee
The Executive Committee shall consist of the Co-ordinator and all the Sub-Project Leaders.
Under the control of and in compliance with the decisions of the Governing Board, the Executive Committee shall be in charge of the operational management of the Project.
The Executive Committee shall in particular be responsible for:
implementing the political and strategic orientation decided by the Governing Board;
implementing and updating the Programme of activity;
monitoring the Project Deliverables;
supporting the Co-ordinator in fulfilling obligations towards the Commission,
proposing to the Governing Board rules for the management of the funds received from the Commission, including the transfer of Project Shares;
approving the changes of the Project Shares, if the amounts transferred do not exceed 20% of the EC contribution;
deciding upon measures to ensure effective day-to-day Project co-ordination in the framework of controls and audit procedures;
supporting the Co-ordinator in preparing meetings with the Commission and related data;
agreeing on press releases of the Contractors with regard to the Project;
making proposal to the Governing Board for the review and/or amendment of the terms of the Contract or to request the Commission to terminate the participation of one or more Contractors;
reviewing and deciding in case of default of a Contractor, assignment of the Defaulting Contractor's tasks, and suggestion on any new entity to join the Project for that purpose;
making proposals to the Governing Board to suspend all or part of the Project or to terminate all or part of the Contract, or to request the Commission to terminate the participation of one or more Contractors;
The Contractors agree to abide by all decisions of the Executive Committee.
1.1.4 Sub Project Leader
The Sub Project Leader shall co-ordinate each Sub-project activities and maintain the documentation of these activities.
He shall transmit any documents and information in relation to the Sub Project activities between the Contractors concerned and to the Co-ordinator. All Sub Project meetings shall be minuted by the Sub Project Leader and sent to the Coordinator.
The Sub Project Leader shall approve the deliverables of the Sub Project and send any related documents to the Coordinator.
Art. 1.2 Common rules for the bodies
The Procedure Common Rules applicable to the bodies are as follows:
Meetings
The chairman of the body shall convene meetings [insert the schedule] and shall also convene meetings at any time upon written request of any Contractor in the case of an emergency situation.
Preparation and Organisation of the Meetings
The chairman shall provide an agenda to the members of the body (and also a copy to the all Contractors, even if not members) not later than ten calendar days in advance of the relevant Governing Board meeting. The agenda must give full details and background to any proposed decision.
Should a Contractor suggest adding a discussion/decision to the proposed agenda, it shall do so in writing to all other members at least seven calendar days prior to the meeting date.
The Chairman may decide, notifying it with the agenda, the that the meeting shall be held by means of electronic mail, video conference, telephone conference or similar communication systems.
Rules of voting
Each representative shall have one vote and may appoint a substitute to attend and vote at any meeting.
Meetings of the bodies shall constitute a quorum if more than fifty (50) percent of the members are present or duly represented by proxy.
Decision shall not be taken validly unless a majority of two-thirds (2/3) of its members are present or represented.
In any case, decisions shall be taken by a majority of 75% of the votes of members present or represented, provided always that a Contractor may issue its veto only in the case of a decision to accept a new Contractor in the Consortium if a substantial threat to its commercial or strategic interests is likely to exist which cannot be resolved by any other measure.
Minutes
The Chairman shall draft the minutes of each meeting to formalise in writing all decisions taken and shall dispatch them to the members (and also a copy to the all Contractors, even if not members) within fifteen calendar days of the concerned meeting.
The minutes shall be considered as accepted by the members if, within fifteen calendar days from receipt thereof, nobody has objected in writing to the Chairman, provided that objection shall be either on such formalisation or on a decision that was not part of the agenda and which was not accepted by all members.
Art. 1.3 Advisory Panels [if applicable]
The Governing Board shall have the right to set up Panels, including the appointment of its members, in order to advise and support it in the proper management and co-ordination of the Project. These Panels have an advisory role only.
Title IV: TECHNICAL AND FINANCIAL PROVISIONS
Section 1: Technical provisions
Art. 1.1 Human and material resources
Each Party shall make available the resources for performing its obligations as agreed in the Plan of Activities. These resources may take the form of money or comprise assets of any other nature.
(if applicable) All resources made available for the performance of the Project's activities shall be valued and included in the Annex G to this Consortium Agreement
Section 2: Costs – Payment
Art. 2.1 General Principle
The Budget comprises the total costs agreed for each Contractor and allocated to each Project’s activity as defined in Annex B of this Consortium Agreement.
The Budget includes only eligible costs according to the art. II.19 of the Contract.
Art. 2.2 Transfer of payments
The Co-ordinator shall receive all payments made by the Commission.
The Co-ordinator undertakes to transfer the appropriate sums to the respective Contractors with minimum delay, in accordance with the Contract and the modalities agreed by the Governing Board.4
The Co-ordinator will notify each other Contractor promptly of the date and amount transferred to its respective bank account and shall give the relevant references.
Art. 2.3 Management of EC contribution
The Co-ordinator shall manage EC contribution, respecting the rules approved by the Governing Board and shall provide periodically the Governing Board a report on its management.
Art. 2.4 Management costs
Each Contractor undertakes reasonable endeavours not exceed the ceiling of its management costs, according to the Project Share. Duly justified exemptions concerning audit costs should be agreed by the Executive Committee.
Banking and transaction costs related to the handling of any financial resources shall be born by each Contractor [or by the Co-ordinator].
Title V: Confidentiality and IPR
Section 1: Confidentiality
Art. 1.1 : Confidentiality
All information, directly or indirectly disclosed to a Contractor in connection with the Contract or with this Agreement and labelled in accordance with the Contract, shall be treated by the receiving Contractor as confidential and shall not be disseminated without prior written consent of the disclosing Contractor or be used for any purpose other than the carrying out of the receiving Contractor’s obligations under this Agreement or the Contract.
This restriction shall not extend to any information which:
has been in the possession of the receiving Contractor prior to receipt from the disclosing Contractor;
is or has been published or otherwise has become public knowledge, otherwise than through any act of omission on the part of the receiving Contractor;
was rightfully acquired by the receiving Contractor from others without any undertaking of confidentiality imposed by the disclosing Contractor;
was developed by the receiving Contractor independently of the work of the Project as evidence in writing;
where applicable, is approved for release in writing by the Governing Board;
the receiving Contractor is specifically required to disclose pursuant to an order of a court of competent jurisdiction in order to fulfil the court order.
Confidential Information will be flagged according to the following:
if the information is written, a “confidential” xxxx shall be put on each page, and the document concerned shall be communicated under a sealed envelope;
if the information is spoken, the confidential parts will be flagged as such by the disclosing contractor. The disclosing Contractor and the receiving contractor shall record this exchange of information in a written form within the next thirty working days.
Each Contractor undertakes to establish suitable procedures for ensuring that confidential Information related to the Project is restricted to those of their employees, subcontractors and all other thirds, needing such information for the purpose of the duties assigned to them and that all such employees, subcontractors and all other thirds are themselves subject to suitable obligations of confidentiality.
Upon completion of the Project each Contractor shall return to the other Contractors any background information communicated by them for the purpose of the Project.
The above obligations shall apply for the period in which use of any Knowledge or Pre-existing know-how is to be made available also after the end of the Consortium Agreement, following receipt of any confidential Information by a Contractor.
The obligation of confidentiality is deemed, also, in order to respect the Ethical Rules, in particular those relating to Privacy.
Section 2: Intellectual Property Rights
Art. 2.1 Ownership on Pre-existing Know-How
Each Contractor is and remains the sole owner of its intellectual and industrial property rights over its Pre-Existing Know How.
Art. 2.2 Identification of Pre-Existing Know How [if applicable]
The Contractors have identified and listed in Annex D the Pre-Existing Know-How over which they may grant access rights for the Project and the Pre-Existing Know-How explicitly excluded or affected by restrictions to the access.
The Contractors agree that all other Pre-Existing Know-How shall be considered as unnecessary for the implementation of the Project and/or excluded, provided however that the Contractors may update in Annex D to extend the listed Pre-Existing Know-How developed between the date of submission of the proposal and the date of award of the Contract or before the effective joining of a new contractor
In case a Contractor objects to exclusion from access to Pre-existing Know-how, the Contractor seeking to exclude access must petition the Governing Board to decide whether the exclusion can take effect. Until a decision of the Governing Board is taken, access to Pre-existing Know-how is regarded as denied.
Incorrect declarations made in bad faith may lead to the exclusion of the Contractor concerned.
Art. 2.3 Knowledge [if applicable]
Knowledge arising from work carried out under the Project shall be the property of the Contractors carrying out the work leading to that Knowledge.
Where several Contractors have jointly carried out work generating the Knowledge and where their respective share of the work cannot be ascertained, they shall have joint ownership of such Knowledge. They shall agree among themselves on the allocation and the terms of exercising the ownership of said Knowledge. Subject to any specific agreement between the Contractors owning the Knowledge and to the provisions of the Contract and this Agreement, each co-owner shall be entitled to use the joint Knowledge as it sees fit, without compensation, provided said use does not conflict with the Project.
The Knowledge arising from the Project could be (likely but not alone) as following:
… ;
…;
…;
….
The Ownership of the Knowledge, arising from the Project, shall be attributed as follows:
… ;
…;
…;
….
Art. 2.4 Access-rights
2.4.1 General Principles relating to Access-rights
All Access rights granted in accordance with this Consortium are granted on a non-exclusive basis, expressly exclude any rights to sub-license and shall be made free of any transfer costs.
Knowledge and Pre-existing Know-how shall be used only for the purposes for which Access rights to it have been granted and only for so long as it is necessary for those purposes.
In relation to the granting of Access rights "needed" or "need" shall mean that, without the grant of such Access rights:
in the case of Access rights granted for the execution of the Project, carrying out the tasks assigned to the recipient Contractor under the Programme of Activities (as amended from time to time) would be impossible, significantly delayed, or require significant additional financial or human resources.
in the case of Access rights granted for Use, the Use of a defined and material element of the recipient Contractor´s own Knowledge would be technically or legally impossible.
The burden of proof in relation to a claimed need for Access-rights shall be on the receiving Contractor. Where Access rights are deemed to have been granted, the receiving Contractor shall provide such proof to the granting Contractor within 30 days of receipt of a written request. Subject to the receiving Contractor acting in good faith, Access rights for execution of the Project shall remain in force pending the resolution of any dispute between the Contractors over the need for Access rights.
2.4.2 Access-rights for carrying out the project
Conditions for Access
Access rights to Knowledge and Pre-existing Know-How needed for the execution of the Project shall be granted on a royalty-free basis only upon written request specifying the scope and duration of their application particularly with respect to Pre-existing Know-how.
Entitlement for Use for the Project
After conclusion of an agreement, the requesting Contractor is entitled to use the Pre-existing Know-how or Knowledge for performing the Programme of Activities.
2.4.3 Access-rights for Use
Conditions
Access-rights to Knowledge and Pre-existing Know-how both needed for Use shall be granted upon bilateral agreement between the Contractors concerned. Access rights to Knowledge shall be granted on a royalty-free basis; Access rights to Pre-existing Know-how shall be granted on Fair and Non-discriminatory Conditions. The granting of Access-rights shall be made conditional on to the following principles:
(i) The access to Pre-existing Know-how is limited to the field of application being identified as pertaining to the objectives, content and goals of the project and necessary for the use of own Knowledge of the recipient Contractor.
(ii) The royalty-free access to Knowledge is limited to the field of application being identified as the objectives and goals of the Project. Outside this identified area, access to Knowledge may be granted on market conditions only.
(iii) subject to (i) and (ii) Access has to be granted within 6 months after written request by the potential user to the owning Contractor. In case Access is not being granted within the above-mentioned period, the Governing Board will decide this issue.
Governing Board also decides on the appropriateness of possible license fees as well as on the conditions for granting Access.
(iv) Access-rights exist in full scope until 2 years after Project completion or in case of prior termination of a certain Contractor after the time of leaving of such Contractor.
The involved Contractors may agree most favourable conditions.
Reimbursements
Any obligation regarding claims or rights of a third contractor, including especially rights of employees of the providing Contractor, resulting from the royalty-free Access rights granted by the providing Contractor must be reimbursed by the receiving Contractor.
Royalties due to Substantial Commercial Benefits
A Contractor which, having received royalty-free Access rights for Use of the Knowledge of another Contractor, and which over the period up to ten years after the end of the Contract has derived substantial commercial benefit from the exploitation of such Access rights shall, without prejudice to the rights and obligations of the Contractors concerned, notify such another Contractor as soon as possible. The involved Contractors shall agree a royalty and the other necessary dispositions.
Access rights for using Knowledge in subsequent Research Activities
Recognising the Contractors' obligations to act in good faith the Contractors agree that the Access rights for using Knowledge in subsequent research activities are to be for:
in any case, research in the frame of a European Programme;
internal research;
third-contractor research, provided the third contractor does not have direct access to confidential Knowledge from the Project generated by other Contractors;
Art. 2.5 Decisions on IPR matters
The Governing Board shall take all decisions on the IPR, and, in particular, the Governing Board shall try a prior settlement of the disputes on the Ownership, Access Rights, Dissemination of IPR.
A member of the Governing Board who is associated with any of the Contractors in dispute shall not participate in its deliberations or vote on its decision. The power of decision may be delegated to a Panel convened for that purpose, the membership of which shall be determined by the Governing Board and shall be acceptable to all Contractors concerned.
Section 3: Publications and Press Releases
Art. 3.1 Publications and Press Releases
If the Executive Committee has agreed a Project Deliverable to be available to the public, any Contractor may publish information included in such Project Deliverable without any notifications to the other Contractors and without any other Contractors' consent.
For the avoidance of doubt, it is stated that no Contractor shall have the right to publish or allow the publishing of data which constitutes another Contractor’s Knowledge, Pre-existing Know-how or confidential information, even where such data are amalgamated with such first Contractor’s Knowledge, Pre-existing Know-how or other information, document or material. Any use of such other Contractor’s data justifies, save for further remedies, objection to the publication by the Contractor concerned in accordance with the Contract
All the publications shall make reference to the Project title, the Contractor and to the funding institutions (wording to be defined at the first project team meeting).
This obligation shall remain applicable five years after the end of this Consortium Agreement and of the Contract.
The publishing Contractors must supply their planned publication to the other Contractors. Any opposition to the planned publication shall be made on justified grounds in accordance with this Consortium Agreement and the Contract.
When there is an opposition, the involved Contractors shall discuss how to overcome the justified grounds of the opposition by removal of any disclosure of copyright (for example software) owned by a non publishing Contractor and the opposing Contractor shall not unreasonably continue the opposition if actions are performed following the discussion.
The justified grounds of opposition are:
for business reasons concerning the inclusion of the opposing Contractor's Knowledge or Pre-Existing Know-How.
for protection reasons concerning Knowledge or Pre-Existing Know-How and if the publication of the material identified in opposition would adversely affect such protection.
However a delay to publication, for any reason, must be no longer than three months.
The Governing Board shall try a prior settlement of the disputes on the matters provided by this article.
Title VI: LEGAL PROVISIONS
Section 1: Duration, withdrawal and inclusion of a New Contractor
Art. 1.1 Duration
This Consortium Agreement shall come into force as of the date of its signature by the Contractors, (if applicable: but shall have retroactive effect from the date of the Contract Signature by the Co-ordinator) and shall continue in full force and effect until terminated or until complete discharge of all obligations for carrying out of the Project undertaken by the Contractors under the Contract and under this Consortium Agreement, whichever is earlier.
Art. 1.2 Suspension and termination
The Governing Board may suspend or terminate the Project due to force major in accordance with the provisions of the Contract
Art. 1.3 Withdrawal of a Contractor
Withdrawal
Any Contractor may request to terminate its participation in the Contract and the Consortium Agreement, by giving three months written notice of withdrawal to the other Contractors, by means of registered mail with acknowledgement of receipt, indicating the reasons for withdrawal.
The Governing Board may object to such withdrawal by unanimous vote minus the vote of the withdrawing Contractor, indicating the reasons for objection, within a period of forty-five days from receipt of notification.
If the Governing Board agrees with the withdrawal, the Co-ordinator shall inform the Commission by means of registered mail with acknowledgement of receipt in accordance of the provisions of the relevant provisions of the Contract.
Where the Governing Board disagrees, the Co-ordinator shall submit to the Commission a request for assistance, in accordance with the relevant article of the Contract.
Consequences of withdrawal
The consequences of withdrawal shall be as follows:
Confidentiality. The Contractor agrees to treat as confidential all confidential information, as defined in this Consortium Agreement, for a period of ten (10) years from the date of its withdrawal, and agrees not to apply for any patent or other proprietary right over any information it may have had knowledge of in connection with its participation in the Project.
Access Rights. Any Contractor withdrawing from the Consortium:
loses Access Rights to Knowledge produced and Pre-Existing Know-How identified, after its withdrawal;
keeps Access Rights to Pre-Existing Know-How and to the Knowledge of the other Contractors (in the state existing on the date of withdrawal), provided that (i) it is required, for the use of the Knowledge of which it is the owner or co-owner and (ii) such Access Rights are requested at least within two years after its withdrawal;
keeps its entitlement to royalties generated by the use by the other co-owners or third contractors of the Knowledge produced in the scope of the Project of which it is the owner or co-owner. Royalties will be calculated proportionally to its co-ownership share, or pursuant to the co-ownership agreement(s) or licence(s) concluded prior to its withdrawal;
The other Contractors keep, for the purposes of the research carried out in the scope of the Project, Access Rights, , to the Pre-Existing Know-How (in the state existing on the date of withdrawal) of the withdrawing Contractor and to the Knowledge produced by it in the scope of the Project, according to the terms defined by this Consortium Agreement. A withdrawing Contractor shall return all equipments or materials provided by the other Contractors, or destroy them upon their written request.
Financial consequences for the withdrawing Contractors. The withdrawing Contractor shall pay the following costs:
the procedure fees to select a new Contractor(s) to carry out the Project; in an amount determined by the Governing Board.
a financial compensation if the withdrawal impairs the conduct of the Project, in an amount determined by the Governing Board.
The withdrawing Contractor is required to honour its financial commitments contracted prior to the effective date of its withdrawal and to refund the EC contribution received except the amount spent for the performance of the Project, with appropriate justifications.
The withdrawing Contractor is not reimbursed for any part of the reserves constituted for the Consortium.
[if applicable]
Art. 1.4 Inclusion of a new Contractor
Inclusion of new Contractors without any additional contribution from the Commission
The Programme of Activities and the Contract determine the changes to the composition of the Consortium requiring a competitive selection procedure.
The competitive call procedure will be proposed by the Executive Committee to the Governing Board. Upon approval of the Governing Board the Co-ordinator will be in charge of implementing the call according to the provisions of the Contract.
Evaluation will be made by the Executive Committee with the support of additional experts appointed by the Co-ordinator on behalf of the Governing Board.
Entry of new Contractors with an additional contribution from the Commission
The Commission may increase the EC contribution to the Project during the course of its conduct in view of extending it to cover new activities that could involve new Contractors.
The Commission does so through calls for additional proposals, which it publishes and whose publicity it ensures in accordance with the rules of participation. The Commission shall evaluate and select these proposals in agreement with the Consortium.
Terms of participation in the Project of the new Contractors
Participation in the Project of the new Contractor shall be submitted to a prior formal decision of the Governing Board. By joining the Project a new Contractor agrees to participate (through human, material and/or financial means) in the Programme of Activities and to pay the entrance fee, if any, determined by the Governing Board.
The entrance into the Consortium of a new Contractor becomes effective on the date it adheres to the Contract by the signature of form A and to the Consortium Agreement by the signature of it.
Access Rights
Adhering to the Consortium Agreement, the new Contractor shall indentificate his Pre-Existing Know-How and the Pre-Existing Know-How explicitly excluded or affected by restrictions to the access.
The new Contractor has access to the Pre-Existing Know-How of the other Contractors for the purposes of research, use or dissemination upon written request according to this Consoritum Agreement.
Nevertheless, any Contractor pursuant of the provisions of EC Regulation shall have the right to exclude some of its Pre-Existing know-how from the new Contractor access rights.
The new Contractor has access to the Knowledge produced in the scope of the Project prior to its arrival for the purposes of research, use or dissemination at market conditions.
Section 2: Liability5, Termination
Art. 2.1 Liability
Regarding liability matters, the Contractors shall abide by the conditions set forth in the Contract.
The Contractors agree to assume all of the financial consequences of their liability in all cases their liability is asserted on the basis of damage caused to one of them or to a third in the scope of the performance of this Consortium Agreement.
Each Contractor shall indemnify each of the other Contractors in respect of acts or omissions of itself and of its employees, agents and subcontractors.
Exclusion of indirect damages
No Contractor shall be responsible to another for indirect or consequential loss or damages such as but not limited to loss of profit, loss of revenue, or loss of contracts.
Liability towards the Commission
Contractors being Public bodies shall only assume their own debts, in accordance with the participation rules and the Contract.
Claims by the Commission against such Contractor will be notified to this Contractor through the Co-ordinator. The Contractor shall immediately take all necessary steps within his competence to prevent or end a dispute. Notwithstanding any collective responsibility of the Contractors which may exist towards the Commission, each Contractor shall be liable towards the others for any losses or damages suffered by the Commission, as a consequence of any failure to perform all or part of its obligations under the Contract or under this Consortium Agreement.
Indemnification by the Defaulting Contractor
In any case where the Commission claims reimbursement in accordance with the collective responsibility of the Contract from a Contractor other than the Defaulting Contractor, the other Contractors shall be entitled to seek full indemnification by the Defaulting Contractor.
Save the determination of the all further indemnification, a Contractor in default of its obligations under the Contract and which default causes lawful withholding of payments by the Commission to other Contractors, shall pay to the other Contractors interest on the amount withheld at an annual rate equal to three (3) percentage point above the prime rate of interest on overdrafts charged according to the Euro Interbank Rate (EURIBOR) on the last working day before the Commission informed the other Contractors of such withholding or on the last working day before which the Contractors or the Co-ordinator became aware of such withholding (whichever was earlier). Such interest shall accrue on a daily basis until the Commission has effectively transferred the withheld amount to the Co-ordinator.
Art. 2.2 Termination
In the event of a breach by a Contractor of its obligations under this Consortium Agreement or the Contract which is irremediable or which is not remedied within thirty calendar days of a written notice from the Co-ordinator according to the decision of the Executive Committee, requiring that such breach be remedied, then the other Contractors in the Governing Board may jointly decide to terminate this Consortium Agreement with respect to the Defaulting Contractor following a minimum of thirty calendar days prior to written notice by the Co-ordinator.
Such termination shall take place with respect to the Defaulting Contractor and the latter shall be deemed to have agreed to the termination of the Contract in respect of its participation therein under the general provisions of Contract, as the other Contractors and/or the Commission shall decide provided always that:
(a) any and all Access rights granted to the Defaulting Contractor by the other Contractors as well as under the Contract, shall cease immediately; but any and all Access rights granted by the Defaulting Contractor to the other Contractors shall remain in full force and effect;
(b) the tasks of the Defaulting Contractor, shall be assigned according to the decision of the Executive Committee. The preference shall be granted to one or more of the remaining Contractors.
(c) the Defaulting Contractor shall:
assume all reasonable direct costs increase (if any), resulting from the assignment referred to in (b) above in comparison with the Project shares of the Defaulting Contractor as specified in the Annex B of this Consortium Agreement, and
be liable for any so resulting additional direct cost caused to the other Contractors.
The provisions above shall also apply in the events that:
any Contractor's participation in the Contract is terminated by the Commission pursuant to the provisions of the Contract, then, without prejudice to any other rights of the other Contractors
any Contractor enters into bankruptcy or liquidation or any other arrangement for the benefit of its creditors and the other Contractors, subject to approval by the Commission, decide to terminate the Consortium Agreement with respect to that Contractor, to take over the fulfilment of such Contractor's obligations and to receive subsequent payments under the Contract in respect thereof.
A Contractor is entitled to withdraw from the Project or to otherwise request the termination of its participation in the Contract having obtained firstly the prior written consent of the other Contractors in the Governing Board (such consent not to be unreasonably withheld), and secondly the consent of the Commission.
Art. 2.3 Bankruptcy
If a Contractor enters into bankruptcy or liquidation or any other administrative or judicial arrangements for the benefit of its creditors, the Governing Board shall take over the fulfilment of such Contractor 's obligations and receive subsequent payments under the Contract in respect thereof. In such event all rights and obligations under the Contract and this Agreement shall in good faith be redistributed among the remaining Contractors on the basis of the work performed by the affected Contractor prior to the occurrence of the above circumstance.
Section 3: Settlement of Disputes
All disputes or differences arising in connection with this Consortium Agreement which cannot be settled amicably shall be finally settled by arbitration under the rules of arbitration of the International Chamber of Commerce by one or more arbitrators to be appointed under the terms of those rules. In any arbitration in which there are three arbitrators, the chairman shall be of juridical education. The award of the arbitration will be final and binding upon the Contractors concerned.
Section 4: Final provisions
Art. 4.1 Language
This Consortium Agreement is drawn up in English, which language shall govern all documents, notices and meetings for its application and/or extension or in any other way relative thereto.
Art. 4.2 Notices
Any notice to be given under this Consortium Agreement shall be in writing to the addresses and recipients as listed in Annex E. It shall be deemed to have been served when personally delivered, or, if transmitted by telefax, electronic or digital transmission when transmitted provided that such transmission is confirmed by receipt of a successful transmission report and confirmed by mail.
Art. 4.3 Applicable Law
This Consortium Agreement shall be governed by the European Law and, where non provided by the latter, according to the Contract.
Art. 4.4 Assignment
No Contractor shall, without the prior written consent of the other Contractors, partially or totally assign or otherwise transfer any of its rights and obligations under this Consortium Agreement.
Such consent shall not be unreasonably withheld.
Art. 4.5 Entire Agreement - Amendments
Amendments or changes to this Consortium Agreement shall be valid only if made in writing and signed by an authorised signatory of each of the Contractors.
Art. 4.6 Severability
Should any provision of this Consortium Agreement prove to be invalid or incapable of fulfilment, or subsequently become invalid or incapable of fulfilment, whether in whole or in part, this shall not affect the validity of the remaining provisions of this Consortium Agreement. In such a case, the Contractors shall be entitled to demand that a valid and practicable provision be negotiated which most nearly fulfils the purpose of the invalid or impracticable provision.
Art. 4.7 Annexes and Conflicts
The Annexes to this Consortium Agreement, which are an integral part thereof are:
Annex A: Contract
Annex B: Budget
Annex C: List of the members of the management structure
Annex D: Pre Existing Know – How
Annex E: Recipients for Notices
Annex F: Bank Account
Annex G: List of material and human resources
In the event of conflict or inconsistency between any provision contained in the body of this Consortium Agreement and any provision contained in its Annexes, the provisions contained in this Consortium Agreement shall prevail.
In the event of conflict or inconsistency between any provision contained in this Consortium Agreement and the provisions of the Contract, the provisions of the Contract shall prevail.
SIGNATURES
In order to simplify the signing procedure each Contractor receives the signature page in 3 originals to be signed by …….. acting as the Co-ordinator. Signature of this sheet means that every Contractor contracts with each of the other Contractors named under the Contract and is fully aware of the content of this Consortium Agreement.
The original of this Consortium Agreement with all signed sheets will be available for consultation at the Co-ordinator premises. Upon request to the Co-ordinator a certified copy will be made available to the Contractor.
AS WITNESS the Contractors have caused this Consortium Agreement to be duly signed by the undersigned authorised representatives the day and year first above written.
Authorised to sign on behalf of
<INSERT NAME OF CO-ORDINATOR>
Signature
Name Title
Authorised to sign on behalf of
<INSERT NAME OF CONTRACTOR ...>
Signature
Name Title
Authorised to sign on behalf of
<INSERT NAME OF CONTRACTOR ...>
Signature
Name Title
Authorised to sign on behalf of
<INSERT NAME OF CONTRACTOR ...>
Signature
Name Title
Authorised to sign on behalf of
<INSERT NAME OF CONTRACTOR ...>
Signature
Name Title
Authorised to sign on behalf of
Annex A: Contract
Annex B: Budget
<Company>,
Personnel Costs
Materials
……
Total Costs
<Company>,
Personnel Costs
Materials
…….
Total Costs
<Company>,
Personnel Costs
Materials
…….
Total Costs
Annex C: List of the members of the management structure
GOVERNING BOARD
As of the date below, Contractors have designated the following persons as their representatives in the Governing Board:
Contractor 1 |
… |
1st Representative |
|
Phone |
|
Fax |
|
Address |
|
|
|
2nd Representative |
|
Phone |
|
|
Contractor 2 |
… |
1st Representative |
|
Phone |
|
Fax |
|
Address |
|
|
|
2nd Representative |
|
Phone |
|
|
EXECUTIVE COMMITTEE
As of the date below, Contractors have designated the following persons as their representatives in the Executive Committee:
Contractor 1 |
… |
1st Representative |
|
Phone |
|
Fax |
|
Address |
|
|
|
2nd Representative |
|
Phone |
|
|
Contractor 2 |
… |
1st Representative |
|
Phone |
|
Fax |
|
Address |
|
|
|
2nd Representative |
|
Phone |
|
|
Annex D: Pre Existing Know – How
Annex E: Recipients for Notices
<INSERT NAME AND ADDRESS OF EACH PARTY, TOGETHER WITH FAX
NUMBERS, AND NAME/POSITION OF PERSON FOR WHOSE ATTENTION
NOTICES ARE TO BE ADDRESSED>
<Company >,
00000 City, Country,
Mr.
Position Project Manager
Tel. +
Fax +
e-mail:
<Company >,
00000 City, Country,
Mr.
Position
Tel. +
Fax +
e-mail:
Annex F: Bank Account
<Co-ordinator>,
00000 City, Country,
Bank:
Address:
Bank Code Number:
Account Number:
<Company>,
00000 City, Country,
Bank:
Address:
Bank Code Number:
Account Number:
<Company>,
00000 City, Country,
Bank:
Address:
Bank Code Number:
Account Number:
<Company>,
00000 City, Country,
Bank:
Address:
Bank Code Number:
Account Number:
Annex G: List of material and human resources
ALLEGATO C
Preliminary Consortium Agreement
for the project called
"__________"
This preliminary consortium agreement (“Preliminary Consortium Agreement”) is made and entered into this … day of ... month/ year by and between
__________having its registered office at __________, represented by [insert the name of legal representative or his proxy], VAT identification number, hereinafter referred to as - "__________"
…
…
Hereinafter referred to individually or collectively as the “Contractor(s)”
Whereas
The Contractors wish to develop a project that has to be submitted in response to call n. …. under the Sixth Framework Programme of the European Community for research, technological development and demonstration (RTD) activities for the period 2002 to 2006:
NOW THEREFORE IT IS HEREBY AGREED AS FOLLOWS:
1. THE OBJECTIVES OF THE CONTRACTORS
The Contractors' overall objective is to submit a Proposal for a Project to European Commission as part of the Sixth Research And Technological Development Framework Programme.
2. POSSIBLE TITLE AND TOPICS OF THE PROJECT.
2.1. The proposed Project has the following title <…>, and is focused on the following fields and topics:
a) <...>
b) <...>, and
3. COORDINATOR’S OBLIGATIONS
3.1The Contractor <…> shall act as Coordinator.
3.2 The Coordinator shall have the functions pursuant to the Model Contract.
3.3The Coordinator shall be responsible for the submission of the Proposal and the conduct of negotiations of the Proposal with the Commission.
3.4Each Contractor shall be kept fully informed of the progress of any negotiations and, as far as its Sub Project and/or Work Package is concerned, shall attend and participate in the Contract negotiations only upon request from the Coordinator.
3.5 The Coordinator shall put at the disposal of the Contractors, all significant letters, emails, faxes or documents relating to the negotiations and shall also keep each Contractor informed of everything relevant to its Sub Project and/or Work Package until the signature of the Contract.
3.6The Coordinator shall not, without the prior written agreement of each relevant Contractor, propose or accept any deviation or variation to the conditions or scope of said Contractor’s Sub Project and/or Work Package.
4. CONTRACTORS OBLIGATIONS
4.1 Each Contractor has the responsibility to participate actively in the project preparation: deliver the needed information, participate in project definition and meetings, allocate resources, respect planning and deadlines.
4.2 For the period of the validity of this Preliminary Consortium Agreement, the Contractors agree they shall not submit to European Commission a project with third parties that are in conflict with the Project or with the objectives of this Preliminary Consortium Agreement.
5. EXPENSES
5.1. Each Contractor shall bear its own expenses in connection with its evaluation of the matters covered by this Preliminary Consortium Agreement and the preparation and negotiation of the agreements contemplated herein.
6. NONDISCLOSURE
6.1. Each Contractor shall grant the confidentiality of any information, data and document from time to time disclosed and/or delivered by the other Contractor.
7. CONSORTIUM AGREEMENT AND EC CONTRACT
7.1 The Contractor shall stipulate a Consortium Agreement at least within 15 days form the start of the negotiation with the European Commission.
7.2 If the European Commission will stipulate the Contract, each Contractor shall access to such Contract and shall sign the relevant “Form A”.
8. TERMINATION
8.1. This Preliminary Consortium Agreement may be terminated by Contractor until the starting of the negotiation phase or until the stipulation of the Consortium Agreement, whichever the earlier.
8.2 This Preliminary Consortium Agreement will be automatically terminated, in case of the European Commission will not select the Project
9. APPLICABLE LAW AND SETTELMENT OF THE DISPUTES
9.1. This Preliminary Consortium Agreement is construed in accordance with and shall be governed by the <...> Law.
9.2 All disputes shall be settled by arbitration under the rules of arbitration of the International Chamber of Commerce by one or more arbitrators to be appointed under the terms of those rules. In any arbitration in which there are three arbitrators, the chairman shall be of juridical education. The award of the arbitration will be final and binding upon the Contractors concerned.
1 The frequency of submission may be changed according to the project’s duration
2 It could be inserted: vii. withholding sums to constitute the Common Fund and managing it according to the provisions of this Agreement. The designation of the Common Fund and its management shall be set out by the appropriate bodies
3 The percentage may be changed according to the decision of the Contractors
4 This prevision could be replaced by a more strictly provision: Not later than thirty (30) days from a formal Governing Board decision on the Budget, the Co-ordinator will, on the basis of such authorisation, transfer the amounts available to it and due to the Contractors concerned.
5 The consortia could decide to insert the following provision in this section: Common fund
By decision of the Governing Board, a Common Fund may be established in order to secure indemnification to the Commission or to a third, in the case foreseen by this section
The Governing Board shall decide on the following matters:
determining the amounts or percentage to be withheld from advance payments by the Co-ordinator;
determining the modalities for its use;
detailing the rules for management of the fund;
detailing the conditions and/or time for the release of the reserves.
In case of use of Common fund, in order to indemnify the Commission or a third, the article 9.1 shall be applied to the Defaulting Contractor.
This provision will not be applied to public bodies, international organisations or participants whose participation in the Project is guaranteed by a Member State or by an associated State.
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