Partecipazione delle Università a progetti comunitari nel ruolo di Parte Terza: problematiche

e strategicità

Università degli studi di Modena e Reggio Emilia Direzione Ricerca e Trasferimento Tecnologico Ufficio Ricerca

Internazionale Roma, GDL CODAU Ricerca, 24 Maggio 2017

Agenda

• Introduzione

• Terze Parti nel MGA Horizon 2020

• Terze Parti negli accordi tra Partners

• Conclusioni

Introduzione • Partecipazione degli enti di ricerca e delle Università in qualità

di Parte terza ai progetti finanziati ambito europeo: – Massimizzazione della distribuzione dei budget tra partners dello

stesso paese;

– Rafforzamento delle collaborazioni esistenti e nuove.

Occorre: – valorizzare il ruolo della Parte terza in termini di contributi alla

ricerca - riconoscimento in termini di prodotti della ricerca

– ragionare nell’ottica di gruppi di interesse e priorità della ricerca sempre più collegate al tessuto imprenditoriale e sociale dei territori che (in)direttamente beneficiano dei progetti di ricerca

I prodotti della ricerca

La ricerca scientifica produce • conoscenza originale • un avanzamento nello stato del sapere consolidato. Per sua natura, essa • è sottoposta alla verifica inter-soggettiva dei pari all’interno di comunità organizzate e • si realizza attraverso pubblicazioni inserite in forme di comunicazione scientifica strutturate

e specializzate (riviste, collane editoriali, conferenze etc.). Dalla ricerca scientifica possono • discendere altri prodotti di ricerca di norma anch’essi associati a pubblicazioni o

eventualmente materializzati in “oggetti” suscettibili di osservazione esterna (ANVUR, 2015).

Ai fini della valutazione, la ricerca scientifica è misurata attraverso i suoi prodotti

Fondo primalità Art. 9, Legge 30 dicembre 2010, n. 240 Ulteriori somme possono essere attribuite a ciascuna università con decreto del Ministro, in proporzione alla valutazione dei risultati raggiunti effettuata dall'ANVUR.

Parti Terze in Horizon2020 MGA e

Risultati della ricerca

Horizon2020 MGA

Horizon2020 MGA

ARTICLE 26 MGA — OWNERSHIP OF RESULTS

Results belong normally to the beneficiary that produced them

26.3 Rights of third parties (including

personnel)

• If third parties (including personnel) may claim rights to the results, the beneficiary concerned must ensure that it complies with its obligations under the Agreement. – The beneficiaries must ensure that they can fulfil their obligations under

the GA regarding results, by making arrangements with any third parties that could claim rights to them (e.g. subcontractors, linked third parties, international partners, employees, etc.).

• Examples (third parties that may claim rights): academic institutions

in countries that have a kind of ‘professor’s privilege’ system (according to which researchers may have some rights to the results of university research); employees or students who carry out work for the action (if they have rights under national law or their contract); beneficiaries for which linked third parties carry out a significant part of the work.

• If a third party generates results, the beneficiary concerned must obtain all necessary rights (transfer, licences or other) from the third party, in order to be able to respect its obligations as if those results were generated by the beneficiary itself.

• If obtaining the rights is impossible, the beneficiary must refrain from using the third party to generate the results.

Joint Research Units • JRUs do not have a separate legal personality, but form a single research

unit where staff and resources from the different members are put together to the benefit of all. – lacking legal personality, – existing physically (with premises, equipment, and resources individual to them

and distinct from ‘owner’ entities). A member of the JRU is the beneficiary and any other member of the JRU contributing to the action and who is not a beneficiary of the GA has to be identified in Article 14 (a legal link exist!!)

• Where the internal arrangements of a JRU state that any results produced

by one member are owned jointly by all members, these other members are third parties that can claim rights on the results.

• In this case, the JRU member that is the beneficiary must ensure that it can fulfil its contractual obligations under the GA (e.g. with regard to other beneficiaries’ access rights).

ARTICLE 25 MGA — ACCESS RIGHTS TO BACKGROUND

On royalty free by default or on fair and reasonable conditions

• there are NO specific access rights for EU institutions, Member States, Euratom, Joint Undertakings or Third Parties — except for the option for royalty-free access for users of research infrastructures in actions with trans-national or virtual access to research infrastructure.

ACCORDI TRA PARTNERS

Partecipazione delle Università a progetti comunitari nel ruolo di Parte Terza:

problematiche e strategicità

Università degli studi di Modena e Reggio Emilia

Direzione Ricerca e Trasferimento Tecnologico Ufficio Ricerca Internazionale

Roma, GDL CODAU Ricerca, 24 Maggio 2017

“Beneficiary has to ensure that the involvement of third parties does not affect the rights and obligations of the other Parties under this Consortium Agreement and the Grant Agreement.” Development of a Simplified Consortium Agreement (DESCA) model

Confidentiality

Each of the BENEFICIARIES undertakes to use a reasonable degree of care (but in any event, no less care than they apply to safeguard their own confidential information) not to disclose to any THIRD PARTY - except as expressly permitted by the CONSORTIUM AGREEMENT or the GRANT AGREEMENT

European Council for Automotive R&D (EUCAR) model

Ownership of Results

• EUCAR model

– Each CO-OWNING BENEFICIARY shall have the perpetual and irrevocable right to USE such RESULTS – including the right to grant non-exclusive licenses for USE to its own AFFILIATES and to other THIRD PARTIES - independently of and without requiring consent to other co-owners

• DESCA model

– Results are owned by the Party that generates them.

– Internally, the Parties have to ensure that they comply

with Article 26.3 of the Grant Agreement - rights of third parties (including personnel)

Transfer of Results

• DESCA MODEL

– Each Party may transfer ownership of its own Results following the procedures of the Grant Agreement Article 30.

– It may identify specific third parties it intends to transfer the ownership of its Results to in Attachment (3) to this Consortium Agreement. The other Parties hereby waive their right to prior notice and their right to object to a transfer to listed third parties according to the Grant Agreement Article 30.1

Access Rights - Exploitation

• DESCA model

– Option 1:

• Access for exploitation for internal research is free, access for any other exploitation of own Results (including third party research) will be granted on Fair and Reasonable conditions.

• Any Party exploiting another Party’s Results has to take care not to grant direct access to a third party, unless the owning Party has agreed to such granting of Access Rights.

– Option 2: Or All Access for Use of own Foreground will be granted royalty-free.

Liability • Eucar Model

– Should the FUNDING AUTHORITY, in accordance with the provisions of the GRANT AGREEMENT, or any THIRD PARTY, under the laws applicable, make a claim for specific performance or any reimbursement, indemnity or payment of damages from one or more BENEFICIARIES, the BENEFICIARIES who perform such BENEFICIARY's work or pay the reimbursement, indemnity or payment shall be entitled to receive from any BENEFICIARY a contribution to their additional cost or payment to the extent such BENEFICIARY's FAULT caused such claim.

– In the event it is not possible to attribute the FAULT to any BENEFICIARY, the amount claimed by the FUNDING AUTHORITY or the THIRD PARTY shall be apportioned among all the BENEFICIARIES in proportion to their respective share in the COMMUNITY FINANCIAL CONTRIBUTION as defined at the time of the implementation of the work or the payment to the FUNDING AUTHORITY.

• DESCA model: – Each Party shall be solely liable for any loss, damage or injury to third parties…. – With the Consortium Agreement the liability can only be limited between the

Parties. Such limitations do not have any direct effect on a third party which is not a Party to this Consortium Agreement

Conclusioni

• valorizzare i prodotti della ricerca svolta nei casi di Terza parte che implementa parte dell’azione;

• valorizzare forme associative come nel caso di aggregazione in Cluster nazionali e/o regionali (caso ClustER) e delle JRU (non previste dall’ordinamento italiano);

• …. premialità in termini di riconoscimento dei prodotti della ricerca e non solo del mero valore economico legato alla partecipazione al progetto

GRAZIE PER L’ATTENZIONE

Donata Franzi

donata.franzi@unimore.it

internationalresearch@unimore.it