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Kathrin Kohs

Pathways to successful EU- research projects – workshop based on experience with project management in FP 6 Legal aspects - Experience and best practice. Kathrin Kohs. KoWi kk@kowi.de. Overview. Basic documents in FP 6 Different contracts Why contract management in EU-Projects?

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Kathrin Kohs

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  1. Pathways to successful EU- research projects – workshop based on experience with project management in FP 6Legal aspects - Experience and best practice Kathrin Kohs KoWi kk@kowi.de

  2. Overview • Basic documents in FP 6 • Different contracts • Why contract management in EU-Projects? • The Consortium Agreement/the main rules • The Consortium Agreement/Trouble spots in Management/Pre-cautions • Advice for coordinators and partners

  3. Basic documents in FP 6 • Basic documents concerning the legal management I. General information on FP 6 II. Core Contract + Annexes III. Rules of participation IV. Financial Guidelines V. Any update by the COM

  4. Different Contracts • The Core Contract - One single draft version for all projects, all instruments and all partners - Only signed by the Coordinator and the COM - Comes into force by signature of the COM • The Letter of Intent (LoI, optional) - Optional - First considerations on partners, management and IPR-strategies

  5. Why contract management in EU-Projects? The European goal: To realize economic, scientific and political ideas for Europe - Connection between Science and Administration - Connection between public bodies/Industry/SME - Different point of views on economic interests / IPR - Big consortiums with unknown partners - Many unforeseen situations

  6. The Consortium Agreement • The Consortium Agreement - Obligatory in IP and NoE - Rules for internal management of the project - Without the consent of the COM - To be concluded as early as possible - No unified single draft version yet - All draft versions have a similar structure - A chance to stipulate many details for the consortium

  7. The Consortium Agreement • Points to consider - Management - Decision-making bodies - Ways to get in and out of the CA - Payments - Liability - IPR - Applicable law

  8. The Consortium Agreement/main rules/Management • The management structure (optional) - General Assembly - Advisory Board - Steering Committee - Panels - Coordinator - Project Management Office - IPR- Council

  9. The Consortium Agreement/main rules/Management/Coordinator • Coordinator - The single contact person between the consortium and the COM - Management und coordination - Administration and payments - Member of Project Coordination Committee - Leadership of Project Office - Responsible for the Project Controlling

  10. The Consortium Agreement/main rules/Management/Coordinator • Obligations „..overall management, charring the Steering Committee and the Advisory Board, preparation of the meetings. Alert the Steering Committee, General Assembly and Commission in case of non-delivery and / or default, maintaining and keeping the financial accounts with respect to the payments of funds granted by the COM, naming a successor at kick-off-meeting in order to ensure a smooth course of the project in case a grave breach of the contract by the coordinator, …“ „He shall not be entitled to act or to make legal binding declarations on behalf of any other party“ „He has the right to retain any payment if a party is late in submitting or refuses to provide deliverables.“

  11. The Consortium Agreement/main rules/Communication • Rules of communication - List of all e-mail-addresses / phone numbers - All e-mails should be sent in CC to the Management Unit - Build up a homepage including service-numbers - Put up deadlines for answering important e-mails / in order to come to important decisions

  12. The Consortium Agreement/main rules/Payments • The rules of payments "The Co-ordinator shall receive all payments made by the Commission. Except for the part of the advance payments withheld for the Common Liability Reserve (if any), the Co-ordinator will transfer, in accordance with the Contract and the budget allocation decided by the General Assembly, the appropriate sums to the respective Parties with minimum delay, but not later than thirty (30) calendar days from the receipt thereof from the Commission. The Co-ordinator shall notify each Party promptly of the date and amount transferred to its respective bank account, as listed in Annex C, and shall give the relevant references."

  13. The Consortium Agreement/main rules/Payments • Option: "The advance payments from the Commission shall be deposited into a separate account. The transfer to the individual Party will be made in half-yearly installments. The first installment will be transferred with minimum delay, but not later than thirty (30) calendar days from the receipt thereof from the Commission. The second and subsequent installments will be released by the Co-ordinator depending on the decision of the Project Co-ordination Committee about completion of work and/or timely submission of Project deliverables."

  14. The Consortium Agreement/main rules/Payments • Option: „The Coordinator may, however, withhold a sum of 10% of the financial contribution payable to each party until the party has performed all relevant work and submitted all applicable reports and deliverables concerning the payments in question.“

  15. The Consortium Agreement/main rules/Payments • Option: „In case a party has not provided the Coordinator with its deliverables in time or provided non-compliant deliverables, such party shall not receive its concerned contribution nor the following installment until it remedies such non-delivery. The General Assembly may decide on additional appropriate measures with respect to the concerned party.“

  16. The Consortium Agreement/main rules/Collective Responsibility • Collective responsibility: Annex II,18 Basic Principle: "Should the contract be terminated or the participation of a contractor be terminated..., the consortium will reimburse the amount due to the Commission. The amount due to the Commission may not exceed the value of the contribution due to the consortium in accordance with Article 5.2. The amount to be recovered shall be allocated between the remaining contractors other than those referred to in paragraph 3 in accordance with their pro rata share in the overall project. Exception: "Paragraphs 1 and 2 do not apply where the defaulting contractor is a public body, .."

  17. The Consortium Agreement/main rules/Collective Responsibility • The Liability Reserve 3 Steps: 1. The defaulting partner fulfils its obligations 2. Common Liability Reserve 3. All other partners • Public bodies are exempted from any obligation of a collective responsibility! • These rules are not applicable towards third parties!

  18. The Consortium Agreement/main rules/IPR • Definitions of Pre-existing Know-How and Knowledge • Obligations of each partner - to respect joint ownership - to respect the national law - to report any transfer of ownership / publication to the COM (not in FP7) and to the consortium - to report if there is no intention of protection • Access Rights • Exclusion of access rights

  19. The Consortium Agreement/main rules/IPR • Access Rights - To Pre-existing Know-How and Knowledge - Royalty-free, unless otherwise agreed prior to sign the Core Contract (!) - To all partners • Exclusion of access rights - Negative list! (positive in FP7) - Before signing the Core Contract - Only specific Know-How can be excluded

  20. The system of access rights (EU-Commission)

  21. The Consortium Agreement/main rules/IPR • Conclusion IPR matters should be considered as early as possible !

  22. The Consortium Agreement/Problems and Solutions in IPR • Partner refuses to provide access rights to Pre-existing Know-How Pre-caution: Find a clear and precise definition on pre-existing Know-How; early discussion on tasks, duties and consequences (nature of EU-projects!); agreements prior to any contract management with the COM

  23. The Consortium Agreement/Trouble spots in Management/Pre-cautions • Failure of partner to deliver Pre-caution: Agree on a tight reporting periods, regular communication, exact definition of tasks • Failure to supply regular reporting information on resources expended Pre-caution: Use simple tools, time sheets, communication rules

  24. The Consortium Agreement/Trouble spots in Management/Pre-cautions • Project Officer keeps asking more and more detailed planning information Pre-caution: be liable! • Additional work needs to be undertaken Pre-caution: Agreement on task-changes, priorities, project objectives should be clear, risk management

  25. The Consortium Agreement/Trouble spots in Management/Pre-cautions • Technical problems emerge which mean project cannot fulfill original objectives Pre-caution: to consider the objectives, risk management / "plan B" for Annex I • Partner wishes to withdraw Pre-caution: Finding rules for the CA, replacements, new structure for work packages?

  26. The Consortium Agreement/Trouble spots in Management/Pre-cautions • Project manager is delivering unsatisfactory service to the project Pre-caution: find exact definitions of all tasks, communication-network, share of work?, supporting teams for these situations

  27. The Consortium Agreement/Trouble spots in Management/Pre-cautions • Insufficient Knowledge about FP 6 Precaution: Get more information from the COM, KoWi, other project coordinators, experienced partners • Waste of time in the early stage of the project Precaution: Early contact and cooperation to the administration

  28. The Consortium Agreement/Trouble spots in Management/Pre-cautions • High costs of the project during the preparation period Precaution: Support by your institution, the Bundesland or by industrial partners? • Strong selection of all proposals by the COM Precaution: continuous update of your prospects of success in scientific and administrative matters of the project

  29. The Consortium Agreement/Advice for Coordinators • Advice for Coordinators - Work with high transparency - Work with one single draft version - Mark all changes in your draft version - Early cooperation between scientists and administration - Cooperate with the partners - All signatures of the consortium agreement at the very latest during the kick-off-meeting

  30. The Consortium Agreement/Advice for Partners • Advice for partners - Be aware of your specific position in the consortium - Always consider the Work Program - What are your IPR results? - Work with the coordinator - Your administration staff should speak English - Cooperate with other partners / scientists and the administration staff

  31. Thank you for your attention! Get more information on www.kowi.de/rp/blick

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